INDEX
CHAPTER VIII
CLASSIFICATION APPRAISALS
1. POLICY. The classification practices, procedures, and performance of
DOE and DOE contractor organizations shall be appraised to ascertain
their adequacy and effectiveness.
2. OBJECTIVES.
a. To determine the effectiveness of classification personnel in
implementing the classification program.
b. To determine whether classification practices and performance
conform to DOE policy.
c. To evaluate the effectiveness of locally developed methods of
implementing DOE classification policy and regulations.
d. To evaluate the adequacy of the classification guidance and control
provided by DOE and DOE contractor organizations to their
subordinate elements.
3. STANDARDS AND PROCEDURES.
a. Appraisal Guidance and Instructions. This chapter presents policy,
objectives, and general guidance regarding standards and procedures
to be used in conducting classification appraisals. Detailed
instructions and specific guidance on the conduct of appraisals,
including preparation for appraisals, suggested formats for
workpapers and reports, and suggested methods for gathering and
evaluating relevant information, are contained in the DOE
Classification Appraisal Procedural Guide developed and promulgated
under the authority of SA-20.
b. Scope of Appraisals. The classification programs of the various
Departmental Elements and DOE contractor organizations differ in
scope, complexity, and sensitivity. No single list of points to be
covered in an appraisal is, therefore, appropriate in all cases.
The list of areas below is presented merely as a guideline; it
should serve to introduce a measure of uniformity into appraisal
reports and to remind the appraisers of areas that may need
attention. An appraisal should provide answers to those of the
following questions that are applicable:
(1) Management Awareness. How actively does management keep
informed of current DOE classification policy, especially as
it applies to information, projects, and materials under their
purview?
(2) Management Support. What is the position of the
classification function and the Classification Officer in the
organization? Are sufficient resources available to the
Classification Officer? If the Classification Officer has
additional duties, do the Classification Officer and any
assistants devote sufficient time to classification matters?
(3) Practices. How closely do classification practices comport
with DOE policy? (The answer should be based on a review of
representative samplings of classified and unclassified
correspondence, records, procurement forms, financial reports,
etc.).
(4) Classification Guidance. How complete, effective, and timely,
is the guidance developed for classified projects? (Appraisal
of a contractor organization should include review of the
classification guidance of both the contractor and
subcontractor organizations and the resulting classification
practices.) Have local classification guides been prepared
for all classified work being performed? Are they kept
current?
(5) Education Program. How active and effective is the education
program for indoctrination and instruction of all individuals
in applicable classification policies, principles, guidance,
and procedures?
(6) Classification Board. If a board has been appointed, what is
its purpose, who is on it, what is the frequency of its
meetings, and is it effective?
(7) Classifying and Declassifying Officials. How current is the
appointment of Authorized Classifiers and Authorized
Declassifiers? Are their numbers, locations, and
qualifications appropriate?
(8) Declassification. Is a declassification program needed? If
there is a program, is it being effectively administered?
(9) Appraisals. How thorough is the appraisal system in
determining compliance with approved guidance? Are
subcontractor appraisals being conducted?
(10) Other Classifying Organizations. Do any organizations other
than DOE (for example, DOD) have classification
responsibilities regarding sole or joint programs at the
organization being appraised? If there are inconsistencies
between DOE classification guidance and other guidance, have
actions been taken to resolve them?
(11) Non-nuclear Programs. In Field Elements with jurisdiction
over non-nuclear programs, have procedures been implemented
for periodic review of these programs for possible need for
classification? If so, are these review procedures timely and
comprehensive? Have the personnel responsible for the review
been properly trained and designated with appropriate
classification authority?
c. Frequency of Appraisals. The scope and frequency of appraisals
shall be determined by the management of the appraising
Departmental Element after consideration of the following factors:
(1) Past Performance Experience and Appraisal Results. Problem
areas and key functions representing potential trouble spots
should be identified for frequent review.
(2) Interval Since Last Appraisal. Every function having a major
classification interest should be appraised every 2 years
unless particular circumstances indicate otherwise. Effective
classification programs or functions having a minor
classification interest may be appraised on a less frequent
basis (3-5 years). Ineffective programs or those with key
personnel turnover may require more frequent (i.e., less than
2 years) appraisals. The local Classification Officer shall
determine if particular circumstances justify exceptions to
the 2-year appraisal frequency for classification functions
within that office's purview, based upon individual program
effectiveness.
(3) Management's need for information.
(4) Number of classified contracts administered by a Departmental
Element.
d. Visits.
(1) Classification performance should be evaluated on the basis of
a visit to the Departmental Element or contractor organization
being appraised. A classification appraisal based not on a
visit but on performance as revealed by matters raised by the
organization itself or incidentally exposed may neglect many
factors. Various units within the Departmental Element or
contractor organization may be unaware that their
classification practices are incorrect or may be reluctant to
call attention to them. Appraisals of a Departmental Element
or contractor organization based on personal visits should
include an inspection of classification practices of the
various units and a classification review of both outgoing and
internal papers and records. In cases where visits for
classification appraisals may be impractical (e.g., that of a
contractor who has responsibility for numerous small
subcontractors), appraisals may be made without visits,
provided all other requirements of this Order regarding
appraisals are met.
(2) Written records should be kept of all information gathered
during a classification appraisal until the report is
validated and approved. These records form the basis for the
conclusions presented in the appraisal report and can serve to
clarify or substantiate these conclusions. A suggested format
for these written appraisal records is given in the DOE
Classification Appraisal Procedural Guide.
e. Appraisal Reports.
(1) A written appraisal report is required. It should include
sufficient evaluation of the scope of the classification
program listed on page VIII-1, paragraph 3, or equivalent
treatment at the discretion of the appraiser, to give a clear
picture of classification performance.
(2) A format for appraisal reports is given in the DOE
Classification Appraisal Procedural Guide. Use of this format
is recommended in order to increase the comparability and
uniformity of appraisals.
(3) The report should inform both the Departmental Element
appraised and the organization responsible for the appraisal
of the adequacy of the classification program, and list as
recommendations any problem areas and necessary corrective
actions. If a substantial number of recommendations appear in
the report, they should be summarized for ready reference,
(4) Generally, no final report should be made without first
informing the Head of the appraised Departmental Element of
the appraisal results and the probable content of the report.
(5) The appraisal report on a Departmental Element shall be
submitted to the Head of that Departmental Element, and copies
forwarded to the HQ Element with primary interest in its
operations, SA-1, and, if appropriate, to Secretarial
officers.
(6) The appraisal report on a subordinate element or a contractor
organization by the Field Element administering the contract
shall be filed in that Field Element, and a copy provided to
SA-20.
(7) The appraisal report on a subcontractor organization by the
contractor organization administering the contract shall be on
file at the contractor organization, with a copy provided to
the Departmental Element administering the prime contract and
a copy provided on request to SA-20.
f. Followup.
(1) Where recommendations for action on minor deficiencies have
been submitted to responsible management, the adequacy of
their implementation shall normally be determined and reported
in the next appraisal. However, if measures are required to
correct major deficiencies, a followup, at least by
correspondence, shall be instituted by the appraising
Departmental Element or contractor organization in a timely
manner.
(2) A schedule for implementation of any necessary corrective
actions should be prepared by the appraised Departmental
Element or contractor organization and submitted to the
appraising Departmental Element or contractor organization,
which should institute measures to monitor the progress of
implementation of corrective measures.