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FAS Intro: The following plan was prepared in compliance with legislation adopted in the 105th Congress "to prevent the inadvertent release of records containing Restricted Data or Formerly Restricted Data during the automatic declassification of records." Its immediate impact will be to dramatically reduce or eliminate automatic declassification in 1999.

Information Security Oversight Office
National Archives and Records Administration
700 Pennsylvania Avenue, NW
Washington, DC 20408

February 1, 1999


On October 17, 1998, the President signed into law the National Defense Authorization Act for Fiscal Year 1999 (the "Act"). Section 3161 of the Act required the Secretary of Energy and the Archivist of the United States to develop a plan to protect against the inadvertent release of records containing Restricted Data (RD) and Formerly Restricted Data (FRD) during the automatic declassification process under Executive Order 12958, "Classified National Security Information."

The development and coordination process mandated by the Act is now complete, and we are pleased to transmit the attached Special Historical Records Review Plan (the "Plan") to your agency for implementation, effective beginning January 28, 1999. The guiding principle of the Plan, as the President stated in signing the Act, is to protect RD and FRD from inadvertent release "in a manner that will ensure the maximum continuity of agency efforts, as directed by my Executive Order 12958, to declassify historically valuable records."

Except for records contained in file series that are exempt from the Plan's evaluation requirement, as provided in paragraph II.A.2., agencies may not declassify and release any 25-year-old records that have not been reviewed on a page-by-page basis until March 30, 1999, when this plan goes into full effect. In the meantime, however, you should begin applying the other provisions of the Plan to your declassification activity under Section 3.4 of E.O. 12958

The primary responsibility for implementing the Plan falls to DOE, which will (1) train other agencies' reviewers to identify RD/FRD and (2) conduct quality assurance/control reviews of declassified records to find any overlooked RD/FRD and recommend corrective action. For other agencies, the primary tasks will be to (1) evaluate all file series subject to Section 3.4 of E.O. 12958 to determine their likelihood of containing RD/FRD; (2) conduct page-by-page review of file series likely to contain RD/FRD; and (3) ensure that appropriate personnel receive the mandatory training offered by DOE.

In addition, the attached Implementation Guide prepared by DOE outlines three requirements that need to be addressed within the next 60 days, i.e., scheduling mandatory training, reporting record locations, and reporting RD/FRD inadvertent releases. The Guide also contains points-of-contact for each step. If you have any questions about other aspects of the Plan, please contact one of us at the numbers listed below.

Steven Garfinkel
Information Security Oversight Office

A. Bryan Siebert
Office of Declassification
Department of Energy


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

January 13, 1999

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. The following figures represent estimates of incremental costs to be incurred by DOE, Department of Defense (DOD), and NARA to implement this plan. The only costs estimated by other agencies are the costs of receiving traning offered by DOE, which are not included here.

XI. Timetable to Implement Plan. (See Appendix 7)

XII. Definitions.

Appendix 1
Criteria for 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 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.



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)


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



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 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



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



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

APPENDIX 7 -- Timetable to Implement Plan

P.L. 105-261, SECTION 3161

This Implementation Guide outlines your agency's immediate implementation. The requirements are not all inclusive and should not be mistaken as the only requirements with which your agency must comply. They are merely a primer to facilitate immediate implementation.

TRAINING: Points-of-Contact

The implementation plan requires all individuals involved in the review of records under section 3.4 of Executive Order 12958 to attend varying degrees of training, based on their involvement with Restricted Data (RD) and Formerly Restricted Data (FRD) in the review process. The two courses described below are intended to enhance individuals' ability to recognize, handle and protect RD and FRD properly, thus reducing the risk of inadvertent public release.

In order to expedite the review process, it is important that agencies schedule their reviewers for these courses as soon as possible.

Point of Contact - John Lazor, (301)903-9968

Agencies should notify the Department of Energy (DOE) Director, Office of Declassification of the geographic location of records slated for processing under section 3.4 of Executive Order 12958, by February 11, 1999. This requirement will enable DOE to conduct quality assurance/ control reviews of agency records, thus facilitating the evaluation process. Agencies must report all locations of their affected records, the volume of records at each location, and the name and telephone number of the point-of-contact(s).

Point of Contact - John Lazor, (301)903-9968

Each agency should report to the DOE, Director, Office of Declassification, by March 1, 1999, all inadvertent releases of RD/FRD under the provisions of Executive Order 12958 which occurred before October 17, 1998. DOE will compile all instances of inadvertent release and report them to Congress, as required in the plan.

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