presentation to the public interest declassification board andrew weston-dawkes james wendt office...

Presentation to the

Public Interest Declassification BoardAndrew Weston-Dawkes

James WendtOffice of Classification

Office of Health, Safety and SecurityU.S. Department of Energy

October 13, 2006

Office of Classification

Mission

Develops, policies, procedures, and guidance to identify:

(1) information that must be classified or controlled under statute (RD,FRD and UCNI) or executive order (NSI) to protect the national security

(2) classified or controlled information that may be declassified or decontrolled.

(3) Reviews documents to ensure that documents are properly marked and publicly released documents do not contain classified or controlled information.

NRC

RD/FRD Program

NNSA

DoD FRD Joint

Responsibility

DOE StaffOffices

GC, IN, CN

Other AgenciesDOS, CIA, DOJ

DHS

DOE Energy, Science and Environment

Labs Plants

Atomic Energy Act Energy Reorganization Act

10 CFR part 1045Nuclear Classification and Declassification

DepartmentalRepresentative

Office ofResource Management

Office of Health, Safety and Security 9-8-06

Office ofClassification

Office of Quality

Management

Office ofTechnical Guidance

Office ofDocument

Reviews

Office ofSecurity

Technology& Assistance

Office ofSecurity

Assistance

Office ofTechnology

Office ofSecurity

Policy

Office ofPolicy

Office ofForeign

Visits and Assignments

NationalTraining Center

Office ofSecurity Training

Operations

Office ofSafety

TrainingOperations

Office ofEnvironment,

Safetyand Health Evaluations

Office ofIndependent

Oversight

Office ofSecurity

Evaluations

Office ofCyber

SecurityEvaluations

Office ofEmergency

Management Oversight

Office ofEnforcement

Office of Price-

AndersonEnforcement

Office of Security

Enforcement

Office of Worker

Safety andHealth

Enforcement

Office ofCorporate

Safety Analysis

Office of Corporate

SafetyPrograms

Office of Analysis

Office ofHealth

andSafety

Office of Worker

Safety andHealth

Assistance

Office ofWorker

Safety andHealthPolicy

Office of Domestic

HealthSurveillancesand Studies

Office ofInternational

Health Studies

Office ofNuclear

Safety andEnvironment

Office ofNuclear

Safety andEnvironmental

Policy

Office ofNuclear

Safety andEnvironmental

Assistance

Office of Personnel Security

Office ofSecurity Operations

Office of HQ Security Operations

Office of Special Operations

Congressional Liaison and Outreach

Program Office

Chief Health, Safety and Security Officer

Deputy Chieffor Operations

Deputy Chief forEnforcement and Technical Matters

Glenn S. Podonsky

Michael A. Kilpatrick

Office ofBusiness Operations

Office ofInformation Management

Office ofHuman Resources& Administration

Joan G. HawthorneDirector

Nicholas G. ProsperoDirector

Edith A. ChalkDirector

James A. WendtDirector

HS-1

HS-1

HS-1.1

HS-1.3

HS-1.31

HS-1.32

HS-1.33

HS-1.2HS-1.21

HS-1

HS-1.22

HS-1.23

HS-10

HS-11

HS-12

HS-13

HS-14

HS-20

HS-21

HS-22

HS-30

HS-31

HS-32

HS-40

HS-41

HS-42

HS-43

HS-50

HS-51

HS-52

HS-60

HS-61

HS-62

HS-63

HS-64

HS-70

HS-71

HS-72

HS-80

HS-81

HS-82

HS-90

HS-91

HS-92

HS-93

Andrew P. Weston-DawkesDeputy Director

Office of Classification HS-90

Joan Hawthorne, DirectorAndrew Weston-Dawkes, Deputy Director

Office of Document Reviews

James A. Wendt, Director

8 Federal Employees42 Contractors

Office of QualityManagement

Nick Prospero, Director


Office of Technical Guidance

Edie Chalk, Director


HS-91 HS-92 HS-93

FY06 Appropriation -- 13.1 M

Atomic Energy Act Executive Order FOIARD/FRD/UCNI NSI OUO

Policies and ProceduresRegulations, Directives, Orders, Manuals

Guidance

Other Agencies, Field Classification Offices,Individual Classifier Decisions,

Document Reviews

Training and Outreach

Knowledge Preservation

and Management

Production Tools

Oversight

Review

Evaluation

Classification Program Drivers

Examples of Classification Training to DOE personnel

• Classification Managers -- Classification Officers/Representatives Course (Three days)

• Classification/Declassification Authorities– Original Classifier – Desk-side briefing– Derivative Classifiers (DC)

• Policy Course (One day)• Performance-based Test (Covers guides that DC will

use) • Recertification Testing (Every three years)

– Derivative Declassifiers (DD)• DD Policy Course (Two days)• Recertification testing (Every three years)

EO and Kyl-Lott Training

• DOE Specific Training (Reviewers trained to

meet E.O. 12958 and Kyl-Lott requirements) – Intermediate Document Reviewers Course (Sixteen

weeks)– National Security Information Reviewers Course (Eight

weeks)

• DOE Training for Other Agency Reviewers– Historical Record Restricted Data Reviewers Course

(HRRDRC) (Four days)– RD Recognition and Records Processing Seminar (One

day)– HRRDRC Refresher Training (Half day)

Kyl-Lott Related Training Total Total

Course Courses Students HRRDR 110 1,308

HRRDR 39 439Refresher

Half-Day NA* 1,113Seminar * Most competed by reviewing video and

completing an exercise

Quality Assurance Review Program

• Provides oversight to agencies conducting historical records reviews pursuant to E.O.12958– On-site visits

– Review of plans and data submitted to DOE

• Ensures compliance with DOE-NARA Special Historical Records Review Plan that implements Public Laws 105-261 and 106-65

• Focuses on process and adherence to training requirements – not document reviews

• Generates report identifying results and recommended corrective actions

• Annual report to Congress on year’s activities required

Quality Assurance Review Program

• 1999-2005– 19 Agencies visited– 25 QARs conducted

• 5 Reports submitted to Congress to date

• 2006– 6 Agencies submitted questionnaires and were

evaluated– Follow up visits being considered

Document Review Efforts

Mr. Jim Wendt

Director, Office of Document Reviews

Office of Classification

• Review 25-year-old DOE permanent classified records subject to EO 12958, Section 3.3

• Confirm whether NSI documents should be declassified• Identify unmarked documents containing current NSI• Identify RD/FRD/UCNI - excluded from EO requirement

Executive Order Program


• Initiated in 1995, expect review complete – October 31, 2006 – 12.7M pages

• All records originated prior to December 31, 1981

• Review referred records by December 31, 2009

• Thereafter, as records become 25 years old, review by December 31st of that year

• 135K pages (estimate) for FY-07


RecordsManagementIdentifiesClassifiedPermanentDOE Records

Yes

Select Records Nearing 25 Year

Anniversary Date

ReviewRecordsPage-by- Page and Perform QC

Excluded RD/FRDExempted NSIControlled UCNIDeclassifiedUnclassifiedReferred

DatabaseEntry

Shipped to WNRC Suitland Awaiting Accession/ Transfer to Archives

Obtain RecordsFrom Repositories

NDI DatabaseSpecial Media

Review Process


Unclassified68%

Declassified10%

Referred 6%

UCNI 1%

NSI 1%

RD/FRD 14%

12.7 Million Pages

Historical Records Audit Program

• Objective: Examine records declassified and made available to the public at NARA by other govt. agencies to identify DOE equities (RD/FRD and DOE NSI) and withdraw them from public access

• Congressional Mandates– PL 104-106: Protects RD from automatic

declassification– PL 105-261: Requires plan to prevent inadvertent

release of RD/FRD– PL 106-65: Extends reviews to cover all releases

under EO 12958– PL 106-398: Provides for quarterly reports to

Congress

Complete audit of records previously made available to the public that may contain RD/FRD

• PL 105-261: Requires plan to prevent inadvertent release of RD/FRD

• PL 106-65: Extends reviews to cover all releases underEO 12958

• Surveyed 213M pages• Removed for Audit 37M pages• Complete Audit October, 2006


213M Pages

Surveyed

For Potential

Withdrawal37M Pages Withdrawn

and Audited

Classified Documents

consisting of approximately

100K Pages Withdrawn

Pages Redacted

Historical Records

Audit Program FY07 Plan: Redact Withdrawn ClassifiedDocuments

Begin FY07End of FY06

Documents Withdrawn

Prepare Quarterly Progress Reports for Congress

• PL 106-398: Provides for quarterly reports to Congress

• Completed 22 Reports to-date and unclassified versions are available to Public at:

» http://www.osti.gov/opennet/eo12958.jsp

• Final report (25th) scheduled for May, 2007



NARAMakesCollectionAvailable

SampleReviewResults

NARAContinuesto ProcessCollection

NARANotifiedof QCRResults

Check ofAgency Reviewers and Process Used

No RD/FRD

Some RD/FRD

Significant RD/FRD

Not Reviewed Page-By-Pagewith TrainedReviewer

Collection Returned forRework Public

Release

Quality Control Review Process

Freedom of Information Act (FOIA)• Required by 5 USC 552 as amended by Public Law No.

104-231• Backlog at 206 requests• For FY 2007, Resources transferred to eliminate backlog

> 1 year old

Statutory Reviews Program

Mandatory Reviews• Required by section 3.5 of EO 12958• Backlog at 188 requests • For FY 2007, Resources transferred to eliminate backlog

> 1 year old

• Patent Secrecy Reviews• Required by Title 35, U.S. Code, Section 181

• Litigation Reviews• Required by specific court orders



• Other reviews conducted on Congressional materials, Security (compromise) investigations, health/safety records, in-house authors, etc.– Primary customers

• DOE, NNSA, Other Govt. Agencies, Am. Public, Presidential Libraries, and Foreign Governments

• Approximately 70% of reviews “time sensitive”

FY07 Plans

• Support National Declassification Initiative– Complete Referrals as required– Complete QCR’s as required

• Review DOE records that become 25 yrs old in FY07

• Complete Quarterly Reports to Congress• Make significant progress in reducing FOIA

and Mandatory backlogs that are:– not out for Coordinate review– more than 1 year old.