# Presentation: 109817

## Preventing Compromises

- The Policies and Procedures for Ensuring Classified Information is not Inadvertently Released

## Purpose

- To familiarize individuals who generate classified information, intentionally or unintentionally, with the policies and procedures for preventing its inadvertent release

## Classification

- The ***identification*** of that matter we need to protect in the interest of the national security

*Security*
- The ***protection*** of classified matter

- versus

## LIMIT ACCESS TO CERTAIN INFORMATION

Only to those with a NEED TO KNOW!

- Only to those with a _***NEED TO KNOW***_!

- Why is Classification Important?

- PROTECT NATIONAL SECURITY

## CLASSIFICATION BUYS TIME!!

- Delays proliferation
- Adversaries must utilize resources to develop technologies
- Allows time for political solutions
- Provides time to correct vulnerabilities

## What is a Compromise?

- Disclosure of classified or unclassified controlled information to unauthorized person(s)
- Strips away the protection afforded by the classification and security system
- Results in a security infraction

## What is Unclassified Controlled Information (UCI)

- Unclassified Controlled Information meets the requirements to be any of:
- Unclassified Controlled Nuclear Information (UCNI)
- Official Use Only (OUO)
- Export Controlled Information (ECI)
- Is not for public dissemination and may carry other access restrictions
- All details of nuclear technologies, if not classified, are at least UCNI or ECI
- Many non-nuclear technologies in ORO’s domain prospectively have classified or ECI information attributes.

## What Are the Categories of Classified Information?

**Restricted Data (RD)**
**Formerly Restricted Data (FRD)**

- Atomic Energy Act

**Classification Category****	****	****	****    Authority**

**Notes:**
There are three categories of classified information -  RD, FRD, and NSI.  RD and FRD are governed by the Atomic Energy Act, which is a statute. RD and FRD deal primarily with nuclear weapon design and utilization and the production of nuclear material.  

NSI is governed by an Executive order and has a much broader application to include: safeguards and security, military plans, foreign affairs, and intelligence information.

## What is Restricted Data?

- Certain data concerning the
- Design, Manufacture, or Utilization of Atomic Weapons
- Production of Special Nuclear Material
- Use of Special Nuclear Material in the Production of Energy

**Notes:**
As you can see from this slide, the definition for RD is encompasses almost everything concerning nuclear weapons.  In the early days of the program just about everything concerning nuclear weapons, their use, and nuclear material production was classified.   However, over the years some of the information falling under this definition was declassified.  
Some information has been moved to other categories, which we will discuss later.

## What are the Major Areas of Restricted Data?

- Nuclear Weapon Design
- Nuclear Material Production
- Production Reactors
- Isotope Separation (e.g., Gaseous Diffusion, 	Gas Centrifuge)
- Quantities
- Naval Reactors

## What is Formerly Restricted Data (FRD)?

- _Classified_ information which has been removed from the Restricted Data category after DOE and DoD jointly determine that it
- 1) relates primarily to the _military utilization of atomic weapons_ and
- 2) can be adequately safeguarded as national security information

**“****FORMERLY” DOES NOT MEAN  UNCLASSIFIED**

**Notes:**
Because the number of weapons and storage locations of weapons increased dramatically following World War II, the military assumed a greater role.  Q clearances were too time consuming and some information did not require the same degree of protection as weapon design information (for example, military personnel providing security did not require the same level clearance as scientists designing nuclear weapons).  Therefore, in order to allow the military easier access to nuclear information that deals primarily with the utilization of nuclear weapons, the Atomic Energy Act of 1954 allowed certain information to be moved to a less sensitive category.   
One of those categories became known as Formerly Restricted Data, or FRD.  In order for RD to become FRD, DOE and DoD must agree that the information relates to military utilization and does not require the same protection standards as other RD such as design information, and that the information can be adequately protected as NSI.
Although it is called FORMERLY Restricted Data – the information is still classified.  Formerly refers to the fact that it was initially identified as RD, not that it is no longer classified.  Like RD, much of this information is still classified and access to it requires a security clearance.  

## What are Examples of Formerly Restricted Data?

- Stockpile quantities
- Weapons safety & storage
- Yields
- Locations** **

**Caution:  Historical information may still be classified FRD**

**Notes:**
Some of the information that has become FRD includes stockpile quantities, past and present; weapon safety and storage information; yields, for current and retired weapons; and locations, past and present.   
Most of the historical information on the stockpile, yields, and location remains classified.  

## What is National Security Information (NSI)?

- Information which pertains to the national defense or foreign relations (National Security) of the United States and has been classified in accordance with an Executive Order (currently Executive Order 12958)

## What are Major Subject Areas of NSI?

- Safeguards and Security
- Arms Control Negotiations
- Nonproliferation
- Chemical/Biological Defense
- Intelligence/Counterintelligence
- Foreign Relations
- Radiological Emergency Response

## What are the Classification Levels?

**Top Secret**
- RD/FRD/NSI	Exceptionally Grave Damage
**Secret**
- RD/FRD/NSI	Serious Damage
**Confidential**
- RD/FRD 	Undue Risk to the Common  Defense and Security which can be described
- NSI 	Identifiable Damage

**Level****	**

**Release could result in**

## What are Your Individual Classification Responsibilities?

- Ensure that each document
- Generated in a classified subject area receives a classification review
- That is suspected of containing classified information receives a classification review
- Report incidents of security or classification concern

## What are Classified Subject Areas?

- Information that falls within the definition of RD, FRD, or NSI
- Within ORO common classified subject areas include :

## Current and Historic Classified Subject areas for the Oak Ridge Office

Security:
Physical Security 
Operational Security
Communications Security
Security Plans
Homeland Security
Security Vulnerabilities and Shortcomings 
Nuclear Materials Inventories

- Security:
- Physical Security
- Operational Security
- Communications Security
- Security Plans
- Homeland Security
- Security Vulnerabilities and Shortcomings
- Nuclear Materials Inventories

## Technology: 	
Uranium Separation Techniques
Calutron (Electro-Magnetic Isotope Separation)
Gaseous Diffusion	
Atomic Vapor Laser Isotope Separation (AVLIS)
Plasma Separation Process (PSP)

Lithium Separation					

- Uranium Separation Techniques
- Calutron (Electro-Magnetic Isotope Separation)
- Gaseous Diffusion
- Atomic Vapor Laser Isotope Separation (AVLIS)
- Plasma Separation Process (PSP)
- Lithium Separation

## Weapons:							
Nuclear Weapons Production and Science
Details and Materials 
Chemical/Biological Warfare
Threats: 
Description 
Messages 
Design Basis Threat

- Nuclear Weapons Production and Science
- Details and Materials
- Chemical/Biological Warfare
- Threats:
- Description
- Messages
- Design Basis Threat

## Work for Others:
Research for others
Other federal agencies
In association with other governments
Counterintelligence

- Research for others
- Other federal agencies
- In association with other governments
- Counterintelligence

## Who Must Conduct Classification Reviews?

- _Only_ Derivative Classifiers (DC)
- Required by DOE Manual 475.1-1B, *Manual For Identifying Classified Information*
- Trained in derivative classification
- Authorized in specific subject areas
- Have up-to-date classification guidance for subject areas of authority
- Appointed by the local Classification Officer

## How Does a DC Make Decisions?

- Documents for Review

## How Does a DC Make a Decision?

- Must base decision on published classification guidance
- Source documents not authorized for RD, and only in certain circumstances for NSI
- Information in the public domain relating to a classified subject area should not be used to make a classification decision.  Must always confirm the classification status with a DC

## What Makes Classification Difficult?

- Person making decision must be aware of all classification guidance applicable to the subject area
- Information published in one context may be unclassified but may be classified in a different context
- Example
- Physics phenomenon discussed in basic science or research is unclassified
- The same phenomenon discussed in the context of weapon science may be classified

- “Context”

## What Makes Classification Difficult? 

- Two pieces of unclassified information placed together to reveal classified information through their association
- Association could be within one document (i.e., weapon + material)
- Association could be created by combining unclassified information from separate documents into one

- “Association”

**+**

- *fictitious weapon

**CLASSIFIED**

## Why Are Some Documents Not Reviewed, as Required?

- “I am confident that this document doesn’t need a review.”
- “All of this information is from the public domain, so it’s not classified and doesn’t need a review.”
- “I’m in a hurry and I’m pretty sure it’s not classified.”

**Common Pitfalls**

## “This Document Doesn’t Need a Review.”

- Pitfall #1 - Overconfidence
- Why it’s a pitfall
- You can only be confident if
- You are a DC with the proper guidance available
- You have previously discussed the exact (not similar) information with a DC and learned that it isn’t classified
- The same information has been discussed in subject matter-related classification awareness briefing
- Solution - Don’t be overconfident, consult a DC

## “The information is from the Public Domain, so it’s not classified.”

- Pitfall #2 – Bad Assumption
- Why it’s a pitfall
- You can’t always be sure information in the public domain is unclassified
- The appearance of classified information in the public domain DOES NOT mean it is unclassified
- Even if information is unclassified as it appears in the public domain, it may be classified in the context of your document
- Solution - Consult a DC to verify the classification status of information in classified subject areas that appears in the public domain before using it in any document

## “I’m in a hurry...”

- Pitfall #3 – Bad Practice
- Why it’s a pitfall
- Risks the release of classified information
- It takes longer to deal with a possible security infraction, investigation and computer sanitization than to get a DC review
- Solution - Take the time to have a DC review documents in a classified subject area

## Examples of Compromises

**Sent:****	**Monday, August 13, 2007 4:59 PM
**To:****	**Les Bright
**Cc:****	**
**Subject:****	**FW: Weapons Committee Meeting
- Where are we are meeting?  My badge will get me in the building, so I will park at the nearest entrance.
- Thanks,
- B. Safe

**From: ****	**Les Bright
**Sent:****	**Tuesday, August 14, 2007 4:59 PM
**To:****	**B. Safe
**Cc:****	**D. Brown
**Subject:****	**FW: Weapons Committee Meeting
- Room E-401.   See you there.

**From: ****	**Les Bright
**Sent:****	**Wednesday, August 1, 2007 4:18 PM
**To:****	**B. Safe, R. Smart, I. M. Careful,
**Cc:****	**D. Brown
**Subject:****	**Weapons Committee Meeting
- The weapons committee will meet at HQ Germantown, MD on August 31, 2007 from 10 AM to 12 PM.  Please send your clearance by August 15.  Contract Ms. Brown when you reach the guard desk.
- - I.M.
- Weapons Committee Secretary
- Department of Energy

- Room number associated with
- Date
- Time
- Fact of classified meeting
- Classified!!

- Room number is not classified - e-mail by itself unclassified

- Room number associated with this e-mail is still unclassified

- E-Mail Threads

## Examples of Compromises

- UNCLASSIFIEDdraft report

**CLASSIFIED**

- Edits to the draft make the document CLASSIFIED due to association of material Y with the W-110

- *fictitious weapon

- Draft Documents

## Examples of Compromises 

**From: ****	**Les Bright
**Sent:****	**Monday, August 13, 2007 4:59 PM
**To:****	**B. Safe
**Cc:****	**
**Subject:****	**Work at Site B
- We are experiencing technical difficulties with the computers in the project to recover material Y during the demilitarization process.  The response from computer support has been inadequate.  Please advise me of a point of contact I may call to correct these problems.
- Les Bright

- Examples of Compromises

## What is a Security Infraction?

- Failing to classify information, documents, or material requiring classification
- Misclassifying information, documents, or material
- Failing to obtain classification guidance, thereby causing a compromise or potential compromise of classified matter

## What Happens when a Security Incident is Reported?

- The incident is investigated
- May be a security infraction (subject to administrative penalties)
- May also be a security violation (subject to civil or criminal penalties)
- If a compromise occurred all computers containing the information must be sanitized (including persons who receive the information via e-mail)
- All copies of compromised documents, drawings and other media must be retrieved
- Information in any form must be cleaned up

## What are Possible Penalties?

- Infractions
- Administrative penalty
- Verbal admonishment
- Written reprimand
- Suspension or termination
- Violation
- Civil penalty of up to $100,000
- Criminal penalty of
-     Maximum of 10 years (without intent)
-     Maximum of Life (with intent)

## Remember

- Do not create a document (including e-mail) in a classified subject area on an unclassified computer before your plans are reviewed, in order to determine that it will not be classified
- Subsequent drafts may add information which changes the context or adds an association so that the document becomes classified – make sure proposed subsequent drafts are discussed beforehand

**Notes:**
If you believe a document contains information which may be RD or FRD it must be submitted for review.  Documents in RD or FRD subject areas discussed earlier may contain RD or FRD, and therefore, should all be reviewed.  
The review must be conducted by an RD Classifier with authority in the subject area of the document being reviewed.  

## If you think you may have received classified information on an unclassified system, or a document that is not marked as classified properly, immediately discuss it with a DC – securely.  Take no other action unless directed by Security        (e.g., Do not forward e-mail or erase e-mail)

Don’t be overconfident, check with a DC when appropriate

- Don’t be overconfident, check with a DC when appropriate

## Where Can You Get Help?

- Know who your Derivative Classifiers (DC) are for your your work area, and/or who the Classification Officer (CO) is for your facility/ subject area, they are:
- Dave Hamrin for ORNL and UT-Battelle Subcontractors (865-574-6752);
- John Preston for ETTP and Bechtel Jacobs subcontractors (865-574-9951);
- Gregg Peed for USEC (740-897-3729);
- and Gabe Marciante for DOE ORO and all other supporting subcontractors (865-576-0754)

## Where Can You Get Help?

- COs are authorized by the government to decide when matter or a communication contains classified information.  They designate DCs to assist them in that work

## 
The originator of any document/media or proposed communication which is or may be classified, involves a potentially classified subject, or is originated in a classified subject area, must be reviewed by a DC or CO.
You are responsible for understanding what is classified or potentially classified about your work.  Ask your supervisor or CO for training.  

If discussing potentially classified information, use classified means of transmission.  Discussions must be in secure areas designated for classified discussions. 

- The originator of any document/media or proposed communication which is or _**may be**_ classified, involves a potentially classified subject, or is originated in a classified subject area, must be reviewed by a DC or CO.
- You are responsible for understanding what is classified or potentially classified about your work.  Ask your supervisor or CO for training.
- If discussing potentially classified information, use classified means of transmission.  Discussions must be in secure areas designated for classified discussions.