Background

1. Briefing Materials onDOE Site Involvement in Human Terrain Mapping Insert Name of Individual Doing BriefingDate

2. Background Human Terrain Mapping (HTM): • Research activity conducted primarily for military or intelligence purposes in countries prone to violence and/or political instability • Includes observations, questionnaires, and interviews of representatives of targeted groups, as well as modeling and analysis of collected data • May become basis for DOD and/or U.S. intelligence organizations’ responses in these locations

3. Background (cont.) • DoD further breaks all HTM activities into 2 categories: • Human Social Culture Behavior –Includes everything (in DOE’s definition of HTM) except immersion of teams of anthropologists with the troops. Has significant program funding from multiple Components within DoD. • Human Terrain Systems – Includes work done by teams of anthropologists to understand the “human terrain” in countries where we have an active military presence such as Afghanistan and Iraq. All three casualties were part of HTS work teams. There are currently 26 active teams, overseen by the Army Training and Doctrine Command. It is a supplementally funded program established 3 years ago addressing quick response capabilities and is therefore less stable than the HSCB program.

4. Background (cont.) • DoD has engaged and intends to continue to engage DOE laboratories in both categories of HTM-related activities through Work-for-Others agreements. • There are differing opinions about the value of HTM: • DoD sees HTM activities as critical to understanding the culture and mindset of local communities in the countries it occupies. • On the other hand, the American Anthropological Association issued a statement in 2007 voicing its concerns about the likelihood of ethics violations.

5. Concerns About Involvement of DOE/NNSA Laboratories • Lack of full disclosure of purpose and potential repercussions to individuals recruited for participation undermines any Institutional Review Board’s ability to review work against requirements for the protection of human research subjects. • Voluntary participation and informed consent cannot be ascertained. • Deception may be involved (research subjects, host country, researchers, collaborating institutions, etc. may not have full knowledge of the purpose and scope of the study). • Ethics violationsnot properly anticipated and resolved could result in a shut down of Human Subjects Research at DOE/NNSA site(s) and/or damage to the credibility of DOE.

6. Actions to Date • SC, NNSA, and IN are working with the new administration to pursue a Secretarial policy memo that would limit DOE site involvement in HTM. • In the meantime, SC (per January 15, 2009 memorandum) and NNSA (per December 8, 2008 memorandum) will only consider HTM WFO proposals that limit DOE site involvement to modeling & analysis of de-identified data. • In an effort to establish a formal MOA and/or informal working relationship with DoD whereby DoD will notify SC and/or NNSA when DoD is considering engaging in DOE sites in HTM-related activities, we: • Are working to identify and meet with HTM program leads within DoD • Met many of the program leads and heard DOE site presentations August 5-7 at DoD-sponsored conference in Chantilly, VA • Sites we know of that have been or are currently engaged in HTM-related efforts for DoD include: ORNL, Sandia, LANL, ANL, and PNNL.

7. Actions to Date (cont.) • Since February, SC has received 12 inquiries(regarding 15 proposed projects) from ORNL, 1 from ANL, and 1 from LBNL, and NA has received 1 inquiry from LLNL regarding whether proposed WFO projects are HTM.Both the ORNL and ANL projects were determined to be HTM-related efforts. • ORNL involvement will be primarily computer modeling and development of tools to assist with synthesis and analysis of data in support of DoD’s HSCB and HTS efforts. We have authorized all but 2 projects to proceed, for which we are gathering additional information from the PIs. • The ANL proposal also calls for modeling work in support of HTM activities, specifically in support of on-the-ground HTS activities in Afghanistan. We have authorized ANL to proceed, provided that any data used in model development is de-identified. • For those projects we’ve approved, we’ve requested a final, signed copy of the detailed proposal (for SC-23 (or NA-1, for NA sites) and the DOE laboratory IRB), notified the PI thatSC-23 (or NA-1) and the DOE laboratory IRB will need to pre-approve all proposed changes in scope, & and have requested that both SC-23 (or NA-1) and the DOE laboratory IRB receive annual status reports.

8. Summary of Known Participation by DOE/NNSA Labs We continue to work with our contacts at DOE/NNSA sites to identify ongoing and/or proposed HTM-related WFO projects. ORNL: as described on previous page, multiple HTM-related modeling efforts funded by the OSD and other federal agencies. ANL: conducting modeling related efforts funded by OSD in support of DoD’s HSCB efforts and (as described on previous page) will also soon begin an effort funded by the Army Training and Doctrine Command to develop/refine a model that will be used by a Human Terrain Team deployed in Afghanistan. PNNL: recently responded to a recent Broad Agency Announcement by the Office of Naval Research by submitting several abstracts for modeling of social-behavioral factors. Other related ongoing projects as well. Sandia: has begun a new project funded by the Office of the Secretary of Defense (OSD) involving development and use of media-analysis tools for strategic communications. A second project involves analysis of (now) de-identified data originally collected by U. of WI from interviews and focus groups in Indonesia regarding the effect of local and worldwide media on decision making. Other related ongoing projects as well. LANL: conducting at multiple projects that involve development of models and software that identify/analyze social cultural indicators of human behavior and resulting threats. Funding is from Domestic Nuclear Defense Office, DARPA, and Office of Naval Research.

9. Additional Actions Needed • Educate key representatives (Site office and lab management, WFO contacts, Human Subjects leads, and PIs) from each site • Identify ongoing HTM-related efforts and ensure they are in compliance with the requirements of the Secretary’s Policy Memo • Ensure new HTM-related proposals are getting routed appropriately for approvals • Following issuance of the Secretary’s Policy Memo, incorporate requirements into DOE Human Subjects and WFO Orders • Ensure the right people at DoD receive the Policy Memo

10. Additional Background Slides

11. Background: Deaths of Social Scientists Engaged in Human Terrain Mapping The Chronicle of Higher Education (May 9, 2008) Social Scientist in Army's 'Human Terrain' Program Dies in Afghanistan “Michael V. Bhatia, a graduate student in political science who was serving as a civilian employee of the U.S. Army’s Human Terrain program, died on Wednesday in Afghanistan. Mr. Bhatia graduated from Brown University in 1999 and was pursuing a doctorate in political science and international relations at the University of Oxford. Since late last year, he had been working with the Army’s 82nd Airborne Division as part of the Human Terrain program, a controversial effort in which scholars advise military personnel about local social structures.”

12. Background: Deaths of Social Scientists Engaged in Human Terrain Mapping The Washington Post(June 27,2008) Johns Hopkins Grad Student Dies in Iraq “Nicole Suveges was not the type of woman to back away from controversy. So when Laura Locker learned that her friend, a graduate student at Johns Hopkins University, had joined the Army’s Human Terrain System, a program that embeds social scientists within the military, Locker said she was not surprised. But friends and faculty members were stunned...when they learned she was one of four Americans killed in an explosion on June 24th ....(she) was in Iraq working on researching her dissertation.”

13. Background: Deaths of Social Scientists Engaged in Human Terrain Mapping Science (January 23, 2009) Deaths: War Zone “A 36-year old anthropologist has become the third social scientist to be killed while working with the U.S. Army’s Human Terrain System in Iraq and Afghanistan. Paula Loyd died from burns received in a November 2008 attach in Afghanistan....On November 5, 2008, she approached a man carrying a fuel jug in a village...in the southern part of the country where she was conducting interviews. The man ignited the fuel and threw it on Loyd, causing second- and third-degree burns.”