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R & R

Journal

Articles

Conference

Papers

Codes

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Solving the

Review & Release

Puzzle

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Solving the Review & Release Puzzle

CASC Quarterly MeetingDecember 9, 1999

Alane L. AlchornUCRL-VG-136698

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Review & Release protects LLNL, and benefits Lab researchers Review for or by

– Classification Office, including Export Control

– Director’s Office, including • legal and patents protections• copyright and trade name assertion

– Industrial Partnerships and Commercialization (IPAC) for CRADAs

Release to distribute an unclassified submission in the following ways– unlimited (print, web, cassette, and more)– unlimited internal (to LLNL only)– unlimited, but temporarily withheld from the

web (to protect first-publication rights)– limited or controlled (specific types of SUI only),

restrictions explained at http://www.llnl.gov/llnl_only/tid/dars/rr-sensitive.html

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What drives LLNL Review & Release?

Protection of national security interests by reviewing submissions for– classified, UCNI, SUI, SUTI, limited, or

controlled information

Freedom of Information Act (FOIA) – allows US citizens to ping their

government for documents and records– LLNL processes FOIA requests daily

DOE Contract 48– DOE Order 241.1– copyright and trade-name assertions– patent claims protection

LLNL policy– timely publication of

new findings– review of work released

under Lab approval

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Why should a CASC author request R & R?

To protect national security interests

For career enhancement– Citations build reputations– Publications count at PA time

To share results with colleagues who are not LLNL employees

To protect a security clearance For copyright assertion To establish a Record of Invention To access LLNL’s Print Shop For preprints/reprints of journal articles To place a publication in the LLNL

Library Bottom Line: It’s Lab policy!

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LLNL personnel policy mandates R & R

LLNL Personnel Policy and Procedure Manual

Section D, Regulations on Employee Conduct, Chapter VIII.1

"Releasing Technical Information"

"Scientific, technical, or other information developed at the Laboratory must not be released to anyone outside the Laboratory until approved (reviewed and released) by the Classification Office, the Patent Office, and the Director's Office or made available to the general public. The information must not be used by employees in their private business or in consulting for a client until cleared or made public."

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A request for R & R begins a paper trail ...

Document Release Form (LL6397# v4.0b [11/98])– hand-written or Informed Filler– all signatures must be ink originals

One original of the submission– color required iff the use of color encodes

specific reader information– Alane will make two collated copies

Auspices statement for all submissions, in “Acknowledgements” whenever possible

Disclaimer for all submissions except– abstracts - posters– audio or video tapes - two-page TBs– a few other “coverless” exceptions

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… and a request -processing time line

Routine priority– six full working days (counted from delivery

to DARS)

Rush priority – three full working days (counted from delivery

to DARS)

Warning! Danger, Will Robinson!– Every submission is S/T delay at any review,

for any reason (or no apparent reason). Alchorn’s Corollary to Murphy’s Law asserts that: Promptness of release is inversely proportional to the researcher’s urgent need for timely delivery.

– Plan for one or two days of delay, particularly during holiday periods.

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Ex post facto, sic ad litteram*

* After the fact, therefore perfectly

Defying all logic, R&R may be requested ex post facto.– It is NOT easier (in this case) to beg

forgiveness than to seek permission. You WILL be asked to explain yourself...

– Follow all the “routine” procedures, as noted on the previous two pages.

– Mandated when an audit reveals non-compliance.

The R&R number will be assigned in the current numerical sequence.

The submission receives full release authorization.

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The Auspices Statement is posted on CASC’s ...

http://www-r.llnl.gov/CASC/casc_internal/boilerplates/auspices_5.99.doc

APPROVED FOR EXTERNAL OR INTERNAL USE

This work was performed under the auspices of the U.S. Department of Energy by Lawrence Livermore National Laboratory under contract no. W-7405-Eng-48.

FOR INFORMAL DOCUMENTS,THE FOLLOWING ABBREVIATED VERSION IS ACCEPTABLE

This work was performed under the auspices of the U.S. DOE by LLNL under contract no.W-7405-Eng-48.

JOURNALBNL, ORNL

CONFERENCE

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… internal web site, as are the Disclaimer and...

http://www-r.llnl.gov/CASC/casc_internal/boilerplates/disclaimers_5.99.doc

This document was prepared as an account of work sponsored by an agency of the United States Government. Neither the United States Government nor the University of California nor any of their employees, makes any warranty, express or implied, or assumes any legal liability or responsibility for the accuracy, completeness, or usefulness of any information, apparatus, product, or process disclosed, or represents that its use would not infringe privately owned rights. Reference herein to any specific commercial product, process, or service by trade name, trademark, manufacturer, or otherwise, does not necessarily constitute or imply its endorsement, recommendation, or favoring by the United States Government or the University of California. The views and opinions of authors expressed herein do not necessarily state or reflect those of the United States Government or the University of California, and shall not be used for advertising or product endorsement purposes.

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… the Availability Notice required on some reportsAll reports submitted to the Office of Scientific and Technical Information (OSTI) must also carry an Availability Notice in addition to the disclaimer. The following availability information is printed on the inside of the front cover of the document, below the disclaimer.

This report has been reproduced directly from the best available copy.

Available to DOE and DOE contractors from the Office of Scientific and Technical Information

P.O. Box 62, Oak Ridge, TN 37831 Prices available from (423) 576-840

Available to the public from the National Technical Information Service U.S. Department of Commerce 5285 Port Royal Rd.,

Springfield, VA 22161

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What is a DUSA, and why is selecting the correct one important?

Read the information at

https://www-r.llnl. gov/

class_off/dusa/dusa.html

CASC researchers often

select– MATHCOMP or EO-UI– BASIS or SISAL– HIGHSTORE

The correct DUSA speeds processing and

protects the author

A DUSA IS NOT...Designated

Unthinkingly or

Selected

Automatically

A DUSA IS...Designated

Unclassified

Subject

Area

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EO-UI encompasses some specific DUSAs, and can be used in place of them

Algorithms, see MATHCOMP, MTP C Language, see BASIS

Climate, see MASSPEC

Compilers, see ELROS, SISAL

Computation, see MATHCOMP

Computer hardware, see BIS, MATHCOMP

Computer science, see MATHCOMP, SISAL

Databases, see PACT

Mathematics, see MATHCOMP

Networks, see HIGHSTORE, TELECOM

Numerical methods, see COMBMOD, MATHCOMP

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Topics included in the MATHCOMP DUSA

The following topics are included in MATHCOMP, provided that neither the exclusions listed on the following slide, nor any of the general exclusions applies.

Linear algebra, nonlinear equations, and optimization.

Differential and integral equations. Combinatorics and discrete mathematics. Theoretical computer science. Numerical analysis. Algorithms and their implementation on computers,

including cleared source code. Computer languages, program design tools, and

principles of software engineering. Data processing techniques. Operating systems. Utilities. Computer hardware and software information that is

publicly available from outside suppliers.

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Topics excluded from the MATHCOMP DUSA

An ADC must sign off on material containing the following topics.

ASCI-related research. Statements associating algorithms or

techniques with a classified application. Names of or references to source codes that

have not been reviewed and released. Algorithms or techniques developed in the

cleared community that are of special importance to nuclear weapon calculations.

Models or simulations of physical phenomena not covered by another DUSA.

Information about classified computer programs.

Information about the security of LLNL computer systems.

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The ten general exclusions to EO-UI are interpreted very broadly

Design, manufacture, and use of nuclear weapons.

Production of special nuclear material (e.g., 239Pu).

Use of special nuclear materials in the production of energy.

US Government plans for safeguarding nuclear materials or facilities.

Military plans, weapons systems, operations.

Foreign government information.

Intelligence activities, sources, methods, cryptology.

Foreign relations, including confidential sources.

Scientific, technological, or economic matters relating to national security.

Vulnerabilities or capabilities of systems, installations, projects or plans relating to national security.

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Rely on an ADC when a DUSA or EO-UI does not fit, or you are unsure Find information on Authorized

Derivative Classifiers (ADCs) at http://www-r.llnl.gov/CASC/casc_ internal/casc_admin.html– Select from lists of ADCs in CASC,

Computations, or DNT (A & B Divisions).

ASCI-related work must receive ADC sign-off as unclassified before it is submitted for further R & R.

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Preparing a released publication for the LLNL Library The DARS Document Coordinator

(usually Brenda Staley) will request a complete electronic copy.– Call Brenda at 4-4914 if you are

sending from a UNIX box.– Mac & PC users may

send ps or pdf files.

Soon (probably effective January 4, 2000), authors will be asked to complete an MS Word template to generate a customized cover.

TID will enter the release into the Lab Library, and will send it to OSTI, if appropriate.

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Additional services to assist authors of released publications A permanent record of released

publications, codes, VGs, and reports

Publications activity reports

Preprints, at LLNL and elsewhere

Reprints , including page charges

FOIA requests fulfilled by Library staff

Copyright forms

Off-site requests

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Who can help CASC authors plow through R&R?

Alane Alchorn, 2-7308– alchorn1@llnl.gov

Brenda Staley, 4-4914– staley1@llnl.gov

Mary Nijhuis for codes, 4-4008– nijhuis2@llnl.gov

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What is the future of R & R at LLNL?

The Document Release Form will be revised early in 2000.

New covers are in production now. Code release procedures may change. InfoSEC may affect R & R...

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Fitting the pieces of the R & R puzzle can be easier than it looks

R & R

Conference Papers

Journal Articles

Viewgraphs

Codes

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ACKNOWLEDGEMENTS

LLNL Classification OfficeBrenda Staley, TIDMary Nijhuis, TID

Tim Peck, TID

This work was performed under the auspices of the U.S. Department of Energy by Lawrence Livermore

National Laboratory under contract no. W-7405-Eng-48.

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