FAS Note: The following draft plan has been superseded by the final version which may be found here.

Official Use Only
(Draft)

Special Historical Records Review Plan
(Public Law 105-261)

I. Introduction.

II. Determination of Likelihood that a File Series Contains RD/FRD.

III. File Series Processing Requirements.

IV. Training Required to Recognize RD/FRD.

V. Supervision and Evaluation of Historical Record RD Reviewers.

VI. Evaluation of Agency Compliance.

VII. Resolution of Disagreements. An agency may submit concerns over procedural requirements in the plan or its implementation, including the quality assurance/quality control reviews and evaluations, to the DOE Director of Declassification and to the Director of ISOO in NARA. DOE and NARA shall confer and issue a joint decision on the concern within 30 days. If the response does not satisfy the agency or DOE and NARA are unable to reach a joint decision within 30 days, the agency may appeal the concern to the Secretary of Energy, who shall respond within 30 days. An agency making such an appeal shall also notify the Assistant to the President for National Security Affairs.

VIII. Notification of Inadvertent Releases.

IX. Use of Automated Declassification Technologies. The use of automated declassification technologies to protect RD and FRD from inadvertent release shall be considered by each agency as appropriate. Other software tools currently being developed shall be provided to the agencies as the tools are tested and proven effective.

X. Estimated Resource Requirements. A summary of estimated costs to be incurred by DOE, NARA, and all other agencies to implement this plan is appended.These estimates are incremental costs necessary to comply with the requirements inthis plan. (Appendix 1)

XI. Timetable to Implement Plan. (Appendix 8)

XII. Definitions.

APPENDIX 1
SUGGESTED FORMAT

RESOURCE REQUIREMENTS TO IMPLEMENT PLAN

Agency's Name:

Responsible Official: (Name and telephone number)

Point of Contact: (Name and telephone number)

Report only incremental costs necessary to comply with requirements of this plan.

							FY 1999            Outyears

Cost for new Federal staff
Cost for new contractor staff
Cost for training (including travel)
Cost to upgrade access authorizations
Cost to upgrade storage for RD/FRD records
Other costs (please list):

TOTAL ESTIMATED COST TO IMPLEMENT PLAN

NOTE: These estimates should include any other direct or indirect costs that an agency determines are necessary to implement the provisions of this plan. All training of current reviewers will becompleted in FY1999.

SEND TO: Senior Director, Records and Access Management, National Security Council, (OEOB, Room 392), Washington, DC 20504, Fax #202-456-9200.

Appendix 2
Evaluating File Series Descriptions to Determine if
They are Highly Unlikely to Contain RD or FRD

To make a decision on the likely presence of RD/FRD in any given file series, each agency must use its own resources to determine during what period it or its predecessor(s) may have had interfaces with the nuclear weapons program. The evaluation guidelines described in 1-7 below may be used to aid this determination.

1. Definition of Restricted Data and Formerly Restricted Data. Restricted Data is defined in the Atomic Energy Act of 1954, as amended, as "...all data concerning (1) design, manufacture, or utilization of atomic weapons; (2) the production of special nuclear material; or (3) the use of special nuclear material in the productionof energy..." Formerly Restricted Data is "...such data as the [DOE] and the Department of Defense jointly determine relates primarily to the military utilization of atomic weapons and which the [DOE] and Department of Defense jointly determine can be adequately safeguarded as defense information..."

2. Period Context of Records. All research on nuclear physics was unclassified prior to the formation of the National Defense Research Committee (NDRC) in June 1940. After the formation of the NDRC, publications on uranium research,which were at that time primarily concerned with isotope separation, were no longer made public. When the Manhattan Engineer District (MED) was formed on August13, 1942, it took over all matters involving the production of Special Nuclear Materials and nuclear weapons research and shrouded all work in a veil of secrecy.

The likelihood of the occurrence of RD or FRD in an other-agency file series depends on what issues the Atomic Energy Commission (AEC) or its predecessor or successor agency was involved in at the time and the involvement of the other agency in the same issues.

3. Examples. The following activities are provided as examples of past involvement with the nuclear weapons program by certain agencies and are not meant to be considered as all-inclusive:

4. Agency National Security Mission in Period when Records Were Generated.The national security mission of an agency or its predecessor organization during the period when the records were generated is another clue to the likelihood of the presence of RD or FRD in particular file series. Agencies involved in deliberations of the National Security Council or its predecessors or other policy-level councils are more likely to have received intelligence or facts about nuclear weapons capability.

5. Other Available Information About File Series. Other information known about the file series, such as the originating office or previous owner of the records and the activities engaged in at the time the records were created, may provide further clues to the likelihood of the presence of RD or FRD in particular file series.Finding aids for the file series, if they exist, would contribute to the historical context.

6. Type of Categorization Review or Survey Performed by Agency. An agency's certification should be based on the depth of the review of a file series that was done to support the certification. A certification that a file series is highly unlikely to contain RD/FRD is more reliable if the file series was extensively sampled or surveyed without discovering marked RD or FRD as opposed to relying on a review of file series title alone or the titles of the boxes containing the records.

7. Quality of Descriptive Information and Existence of Database. The existence of a database in which box- or folder-level data and review results are recorded provides a firm documentation trail and extensive information about the file series. It is not a guideline per se, but it would provide more confidence in the results from applying other guidelines.

APPENDIX 3
SUGGESTED FORMAT

RECORD SERIES DETERMINED AS HIGHLY UNLIKELY TO CONTAIN RD/FRD

Agency's Name:

Responsible Official:

Point of Contact: (Name and telephone number)

1 . Record group to which file series belongs

2. File series title

3. File series volume (in linear feet)

4. File series location

5. Explain the basis for this determination and attach any survey notes or work products:

I certify that the file series identified above is determined as highly unlikely to contain RD/FRD.

(Signature of certifying official)
(Name and title of certifying official)
(Date)

APPENDIX 4

Restricted Data / Formerly Restricted Data
Recognition and Records Processing Seminar

Overview: The purpose of this seminar is to train all personnel involved with implementing the Special Historical Records Review Plan. Specifically, the seminar will include an overview of the plan, a review of the requirements for processing records affected by the plan, and training on the recognition of RD and FRD in both marked and unmarked records. (NOTE: No access authorization (i.e., security clearance) is required for this seminar.)

TOPIC COVERED                                      				TIME ALLOTTED

Introduction and Overview of the Implementation Plan                 		1/2 hour

In-depth review- of the plan and specific requirements outlined in -    	1 hour
the plan's procedures for processing of the affected records.
Specific examples of how to use the procedures for various
record sets will be provided

RD/FRD Recognition Training                                                      2 hours

Review and Discussion of Questions                                               1 hour

APPENDIX 5

COURSE OUTLINE FOR
HISTORICAL RECORD RD REVIEWERS

Overview: The purpose of this course is to train Historical Record RD Reviewers to recognize records potentially containing RD/FRD. Specifically, the course will enable such Reviewers to recognize nuclear information appearing in records not marked as containing RD/FRD which should be identified as potential RD/FRD and set aside. The course will use review aids, examples, and practical exercises extensively. Marking, handling, and coordination procedures for RD/FRD will also be covered. (NOTE: "Q," TS CNWDI for DOD, or equivalent access authorization (i.e., security clearance) is required for this training.)

DAY		SUBJECT						TIME ALL0TED

DAY 1		History of DOE and the RD/FRD Classification System	2 hours
		Overview of Nuclear-related Terms and Science		2 hours
		Nuclear Explosives
			Design/Manufacturing				4 hours

DAY 2		Nuclear Explosives (Continued)
			Design/Manufacturing (Continued)		2 hours
			Military Utilization				6 hours

DAY 3		Nuclear Explosives (Continued)
			Practical exercises
			(Review of nuclear explosive documents)	4 hours

		Nuclear Materials Production
		Nuclear Fuel Cycle and Production Reactors		2 hours
		Isotope Separation Technology				2 hours

DAY 4		Nuclear Materials Production (Continued)
			Practical exercises
			(Review of nuclear materials documents)	2 hours

		Special Nuclear Materials (SNM) Used for the
			Production of Energy
		Naval Reactor Program					2 hours
		Other Reactors						1 hour
		Practical exercises (Review of SNM in the
			production of energy documents)			1 hour
		Review of Major Areas of Declassified RD		1 hour
		Procedures for Marking, Handling, and Protecting	1 hour
		Suspected RD

DAY 5		Comprehensive Review and Practical Exercise		4 hours
		Certification Examination				2 hours

APPENDIX 6

DOE QUALITY ASSURANCE/QUALITY CONTROL

DOE will periodically utilize Quality Assurance (QA)/ Quality Control (QC) methods to evaluate an agency's compliance with this plan.

QA focuses on the declassification review process itself (e.g., procedures, training, internal checks, etc.). QC focuses on the product that results from the process (i.e., the declassified records themselves).

QA/QC will be conducted by qualified DOE and DOE contractor personnel. Typically, DOE will examine records that have been declassified to ensure that no RD or FRD is being inadvertently released. Based on the results of this records examination, the agency's declassification review process will be analyzed and improvements may be recommended.

Quality Control Methods

Quality Assurance Methods

APPENDIX 7
SUGGESTED FORMAT

REPORT OF INADVERTENT RELEASE

Agency's Name:

Responsible Official: (Name and telephone number)

Point of Contact: (Name and telephone number)

Date of Erroneous Release:

Date Erroneous Release Discovered:

1 Record group to which file series belongs

2. File series title

3. File series volume (in linear feet)

4. File series location

5. File series unclassified description, including

6. Identify the specific publication/document containing the inadvertent release and attach a copy of the released information

NOTE: When this form is completed, classify it at the level and category (RD or FRD) of the inadvertently released document

SEND TO: Director, Office of Declassification (Attn: NN-523) (Classified mailing address)
U. S. Department of Energy
P. 0. Box A
Germantown, MD 20874-0963