Balancing Scientific Openness and National Security Controls at the Nation's Nuclear Weapons Laboratories

Committee on Balancing Scientific Openness and National Security

NATIONAL ACADEMY OF SCIENCES

NATIONAL ACADEMY OF ENGINEERING

INSTITUTE OF MEDICINE

NATIONAL ACADEMY PRESS
Washington, D.C.



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Balancing Scientific Openness and National Security Controls at the Nation's Nuclear Weapons Laboratories Balancing Scientific Openness and National Security Controls at the Nation's Nuclear Weapons Laboratories Committee on Balancing Scientific Openness and National Security NATIONAL ACADEMY OF SCIENCES NATIONAL ACADEMY OF ENGINEERING INSTITUTE OF MEDICINE NATIONAL ACADEMY PRESS Washington, D.C.

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Balancing Scientific Openness and National Security Controls at the Nation's Nuclear Weapons Laboratories NATIONAL ACADEMY PRESS 2101 Constitution Ave., N.W. Washington, DC 20418 NOTICE: This volume was produced as part of a project approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The members of the committee responsible for the report were chosen for their special competences and with regard for appropriate balance. This report has been reviewed by a group other than the authors according to procedures approved by the Report Review Committee. Support for this project was provided by the Presidents' Funds. For more information about the National Academies, visit its home page at www.nationalacademies.org. International Standard Book Number 0-309-06833-9 Copyright 1999 by the National Academy of Sciences. All rights reserved. Printed in the United States of America

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Balancing Scientific Openness and National Security Controls at the Nation's Nuclear Weapons Laboratories THE NATIONAL ACADEMIES National Academy of Sciences National Academy of Engineering Institute of Medicine National Research Council The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Bruce M. Alberts is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. William A. Wulf is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Kenneth I. Shine is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy's purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Bruce M. Alberts and Dr. William A. Wulf are chairman and vice chairman, respectively, of the National Research Council.

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Balancing Scientific Openness and National Security Controls at the Nation's Nuclear Weapons Laboratories COMMITTEE ON BALANCING SCIENTIFIC OPENNESS AND NATIONAL SECURITY RICHARD A. MESERVE * (chair), Partner, Covington and Burling, Washington, D.C. JOHN P. McTAGUE ** (chair), former Vice President, Technical Affairs, Ford Motor Company, Montecito, California RUTH M. DAVIS, President and CEO, Pymatuning Group, Inc., Alexandria, Virginia JOHN H. GIBBONS, former Assistant to the President for Science and Technology, former Director, Office of Science and Technology Policy, former Director, Congressional Office of Technology Assessment, The Plains, Virginia JOHN P. HOLDREN, Professor, Center for Science and International Affairs, John F. Kennedy School of Government, Harvard University MICHAEL M. MAY, Director Emeritus, Lawrence Livermore National Laboratory; Co-Director, Center for International Security and Cooperation, Stanford University WOLFGANG K.H. PANOFSKY, Professor and Director Emeritus, Stanford Linear Accelerator Center, Stanford University Ex-Officio Members JACK HALPERN, Vice President, National Academy of Sciences, Louis Block Distinguished Professor Emeritus, Department of Chemistry, The University of Chicago F. SHERWOOD ROWLAND, Foreign Secretary, National Academy of Sciences, Donald Bren Research Professor of Chemistry and Earth System Science, University of California, Irvine Staff JOHN BORIGHT, Executive Director, Office of International Affairs JO HUSBANDS, Director, Committee on International Security and Arms Control WENDY WHITE, Director, Division on International Organizations and Academy Cooperation TAMAE MAEDA WONG, Program Manager, U.S. National Committees for International Scientific Unions * Resigned from the Committee upon confirmation to the Nuclear Regulatory Commission, October 1999. ** After October 1999.

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Balancing Scientific Openness and National Security Controls at the Nation's Nuclear Weapons Laboratories GEOFFREY FRENCH, Research Associate MELISSA GOODWIN, Senior Program Assistant KAI-HENRIK BARTH, National Research Council Intern WENDY BLANPIED, Project Assistant

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Balancing Scientific Openness and National Security Controls at the Nation's Nuclear Weapons Laboratories Reviewers This report has been reviewed in draft form by individuals chosen for their diverse perspectives and technical expertise, in accordance with procedures approved by the National Research Council's Report Review Committee. The purpose of this independent review is to provide candid and critical comments that will assist the National Academies in making the published report as sound as possible and to ensure that the report meets institutional standards for objectivity, evidence, and responsiveness to the study charge. The review comments and draft manuscript remain confidential to protect the integrity of the deliberative process. The committee wishes to thank the following individuals for their participation in the review of this report: JOHN F. AHEARNE, Sigma Xi, The Scientific Research Society LEW ALLEN, JR., General (Retired), USAF, and Retired Director, Jet Propulsion Laboratory JOHN D. BALDESCHWIELER, California Institute of Technology ANN CARACRISTI, President's Foreign Intelligence Advisory Board, Special Investigative Panel HAROLD K. FORSEN, Foreign Secretary, National Academy of Engineering, Retired Senior Vice President, Bechtel Corporation WILLIAM T. GOLDEN, New York, N.Y. ROBERT HERMANN, Global Technology Partners, LLC

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Balancing Scientific Openness and National Security Controls at the Nation's Nuclear Weapons Laboratories ANITA K. JONES, University of Virginia DAVID M. KIPNIS, Washington University School of Medicine ROLAND W. SCHMITT, President Emeritus, Rensselaer Polytechnic Institute ROBERT H. WERTHEIM, Rear Admiral (Retired), USN, Science Applications International Corporation While the individuals listed above have provided constructive comments and suggestions, it must be emphasized that responsibility for the final content of this report rests entirely with the authoring committee and the National Academies.

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Balancing Scientific Openness and National Security Controls at the Nation's Nuclear Weapons Laboratories Contents     INTRODUCTION   1     FOREIGN INTERACTIONS AND THE WEAPONS LABORATORIES   3     STRIKING A BALANCE   6     SUGGESTIONS FOR POLICY   8     CONCLUSION   11     APPENDIXES       A  Statement of Task   13     B  Committee and Staff Biographies   14     C  Statement on Scientific Openness and National Security   20     D  Symposium Agenda   23     E  U.S. Department of Energy Security Policies: Relevant Documents   26

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