Presentation to the Public Interest Declassification Board Andrew

Presentation to the Public Interest Declassification Board Andrew Weston-Dawkes James Wendt Office of Classification Office of Health, Safety and Security U. 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.

Do. D FRD Joint Responsibility Atomic Energy Act RD/FRD Program NRC Energy Reorganization Act DOE Staff Offices DHS GC, IN, CN NNSA Labs Other Agencies DOE Energy, Science and Environment Plants DOS, CIA, DOJ 10 CFR part 1045 Nuclear Classification and Declassification

Office of Health, Safety and Security HS-1. 31 Office of HQ Security Operations HS-1. 1 Departmental Representative Chief Health, Safety and Security Officer HS-1. 32 Office of Personnel Security HS-1 9 -8 -06 Office of HS-1. 2 Resource Management HS-1. 22 Office of Information Management Glenn S. Podonsky Deputy Chief for Operations Office of HS-1. 3 Security Operations HS-1. 33 Office of Special Operations HS-1. 21 Office of Business Operations HS-1 Congressional HS-1 Liaison and Outreach Program Office Michael A. Kilpatrick HS-1. 23 Office of Human Resources & Administration Deputy Chief for Enforcement and Technical Matters HS-10 Office of Health and Safety HS-20 Office of Nuclear Safety and Environment HS-30 Office of Corporate Safety Analysis HS-40 Office of Enforcement HS-50 National Training Center HS-60 Office of Independent Oversight HS-70 Office of Security Policy HS-80 HS-90 Office of Security Technology & Assistance Office of Classification Joan G. Hawthorne Director Andrew P. Weston-Dawkes Deputy Director HS-11 Office of Worker Safety and Health Policy HS-12 Office of Worker Safety and Health Assistance HS-13 Office of Domestic Health Surveillances and Studies HS-14 Office of International Health Studies HS-21 Office of Nuclear Safety and Environmental Policy HS-22 Office of Nuclear Safety and Environmental Assistance HS-31 Office of Corporate Safety Programs HS-32 Office of Analysis HS-41 Office of Worker Safety and Health Enforcement HS-42 Office of Price. Anderson Enforcement HS-51 Office of Security Training Operations HS-61 Office of Security Evaluations HS-71 Office of Policy HS-81 Office of Security Assistance HS-91 Office of Quality Management Nicholas G. Prospero Director HS-52 Office of Safety Training Operations HS-62 Office of Cyber Security Evaluations HS-72 Office of Foreign Visits and Assignments HS-82 Office of Technology HS-92 Office of Technical Guidance Edith A. Chalk Director HS-43 Office of Security Enforcement HS-63 Office of Emergency Management Oversight HS-93 Office of Document Reviews James A. Wendt Director HS-64 Office of Environment, Safety and Health Evaluations

Office of Classification HS-90 Joan Hawthorne, Director Andrew Weston-Dawkes, Deputy Director HS-91 HS-92 HS-93 Office of Quality Management Office of Technical Guidance Office of Document Reviews Nick Prospero, Director Edie Chalk, Director James A. Wendt, Director 4 Federal Employees 22 Contractors 8 Federal Employees 16 Contractors 8 Federal Employees 42 Contractors FY 06 Appropriation -- 13. 1 M

Classification Program Drivers Atomic Energy Act Executive Order RD/FRD/UCNI Policies and Procedures Regulations, Directives, Orders, Manuals NSI FOIA OUO Guidance t Production Tools Knowledge Preservation and Management n io lua a Ev Training and Outreach ght versi O w Revie Other Agencies, Field Classification Offices, Individual Classifier Decisions, Document Reviews

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 Course HRRDR Total Courses 110 Students 1, 308 HRRDR Refresher 39 Half-Day Seminar NA* 439 1, 113 * 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

Executive Order Program • 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. 7 M 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 31 st of that year • 135 K pages (estimate) for FY-07

Executive Order Program Review Process Records Management Identifies Classified Permanent DOE Records Select Records Nearing 25 Year Anniversary Date Yes Obtain Records From Repositories Review Records Page-by- Page and Perform QC Excluded RD/FRD Exempted NSI Controlled UCNI Declassified Unclassified Referred Special Media Database Entry Shipped to WNRC Suitland Awaiting Accession/ Transfer to Archives NDI Database

Executive Order Program 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

Historical Records Audit Program 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 under EO 12958 • Surveyed 213 M pages • Removed for Audit 37 M pages • Complete Audit October, 2006

Historical Records Audit Program 213 M Pages Surveyed For Potential Withdrawal Classified Documents consisting of approximately 100 K Pages Withdrawn FY 07 Plan: Redact Withdrawn Classified Documents 37 M Pages Withdrawn and Audited End of FY 06 Documents Withdrawn Begin FY 07 Pages Redacted

Historical Records Audit Program 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/eo 12958. jsp • Final report (25 th) scheduled for May, 2007

Historical Records Audit Program Quality Control Review Process NARA Makes Collection Available Check of Agency Reviewers and Process Used Not Reviewed Page-By-Page with Trained Reviewer Collection Returned for Rework Sample Review Results No RD/FRD NARA Notified of QCR Results Some RD/FRD Significant RD/FRD NARA Continues to Process Collection Public Release

Statutory Reviews Program 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

Statutory Reviews Program • 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”

FY 07 Plans • Support National Declassification Initiative – Complete Referrals as required – Complete QCR’s as required • Review DOE records that become 25 yrs old in FY 07 • 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.