i UNIVERSITY OF OKLAHOMA GRADUATE COLLEGE EXPLORING THE RELATIONSHIP BETWEEN U.S. GOVERNMENTAL SECRECY AND DEMOCRACY: CLASSIFICATION, CULTURES OF SECRECY, AND THE PUBLIC SPHERE A Dissertation SUBMITTED TO THE GRADUATE FACULTY In partial fulfi llment of the requirements for the Degree of Doctor of Philosophy By Harry Thomas Hall, Jr. Norman, OK 2005 UMI Number: 3164564 UMI Microform 3164564 Copyright 2005 by ProQuest Information and Learning Company. All rights reserved. This microform edition is protected against unauthorized copying under Title 17, United States Code. ProQuest Information and Learning Company 300 North Zeeb Road P.O. Box 1346 Ann Arbor, MI 48106-1346 ii EXPLORING THE RELATIONSHIP BETWEEN U.S. GOVERNMENTAL SECRECY AND DEMOCRACY: CLASSIFICATION, CULTURES OF SECRECY, AND THE PUBL IC SPHERE A Dissertation APPROVED FOR THE DEPARTMENT OF COMMUNICATION BY ________________________ Dr. Eric Kramer ________________________ Dr. Loretta Bass ________________________ Dr. Dan O’Ha ir ________________________ Dr. Sandy Ragan ________________________ Dr. Todd Sandel iii © Copyright by Harry Thomas Hall, Jr. 2005 All Rights Reserved iv Acknowledgements Many f riends, instructors, and family members contributed to the successful completion of this dissertation. Friends like Tim Doty and Bill Pierro, professors like Larry Wieder, and administrators like Kristi Wright all have my utmost gratitude for their assista nce in the entire process of achieving my Ph.D. In addition to these wonderful people, there are a handful of individuals whose assistance merits special recognition. Throughout the duration of my graduate work, Dr. Sandy Ragan was the best instructor, ad visor, and friend that a student could ever hope to have. Her kindness and accessibility established the bar with which to measure my own success as a professor. In addition to assisting me with my first scholarly publication, Dr. Dan O’Hair deserves gre at thanks for all of his other efforts on my behalf. From the Graduate School Fellowship to the Department of Defense Academic Advisor position, Dr. O’Hair’s assistance is appreciated and was essential to my success. I am also thankful for the opportunity to learn from Dr. Todd Sandel and Dr. Loretta Bass. Both are wonderful and inspiring instructors and committee members. Finally, there is Dr. Eric Kramer —my guru. Though I am in debt to all instructors mentioned here, my debt to him is the greatest. Whet her it was a three hour class period, a brief office visit, or an email, I always felt as if I came away from the interaction a more inspired and more intelligent person. He gave me the freedom to pursue the dissertation topic of my choice and the guidance to create a finished product in which I could be proud. Thank you. There are a few characteristics that all of the previously mentioned professors share. Firstly, even though I was always aware that I was the student and they were the v instructors, they all treated me as an equal and as someone whose contribution was important and appreciated. Secondly, regardless of how busy they were, every member of my committee made themselves available to me. Thirdly, and most importantly, all inspired me to think mo re critically, read more deeply, and to never be satisfied with a lackluster effort —from either myself or my students. This combination of respect, generosity, inspiration, and availability made my experience at the University of Oklahoma an extremely posi tive one. Fortunately for me, I have the most wonderful wife and children that any husband and father could ever hope for. McCulloch, my daughter, is the perfect combination of brain -power, charm, and beauty. Harrison, my son, is energetic, compassionate, and fun- loving. I do not know what they will be when they grow up, but I know that they have all of the personality and intelligence to accomplish whatever it is they want to accomplish. Of course, without my wife, this dissertation would not be readable —in fact, without Romney, I’m not even sure that I could have written this. You are the best proofreader in the world. Before Romney, the sentences looked like—“Secrecy bad. Democracy good. Democracy hate secrecy.” I think we can all agree that the finished product reads a little better. Thank you so much for your unconditional love and support —you are one of a kind, and I am a better person because of you. Finally, I would like to thank my mother and father, Harry T. and Eva Jo Hall, as the original sources of inspiration in my life. vi TABLE OF CONTENTS CHAPTER 1. INTRODUCTION . 1 2. THE DEVELOPMENT OF THE U.S. CLASSIFICATION SYSTEM . 44 3. GOVERNMENT SECR ECY, THE ATOMIC ENERGY ACT, AND THE DEPARTMENT OF ENERGY . .108 4. BUREAUCRACY, SECRECY, AND CULTURES OF SECRECY . 141 5. GOVERNMENT SECRECY AND THE PUBLIC SPHERE . .181 6. SECRECY AND CIVIL RIGHTS . .232 7. CONCLUSION . 270 REFERENCES CITED . .295 APPENDIXES A. CLASSIFICATION STATISTICS . .314 B. INTERVIEW SCRIPTS AND PHONE SCRIPTS . .317 vii Abstract For the past 60 years government secrecy in the form of officially classified documents has increased dramatically. According to the Information Security Oversight Office there were slightly fewer than 16 million classification decisions in 2004 alone. In what way does classification impact representative democracy as it is practiced in the United States? This dissertation employed hermeneutic analysis to investigate the phenomenon of government secrecy and its effects on democracy. Through the analysis of executive orders, legislation, and official documents, the nature and scope of government secrecy was explored. The internal effects of secrecy on the information flow between governmental agencies were investigated, as well as the exter nal effects of secrecy between the government and its constituents. Findings suggest that overclassification not only negatively impacts the internal communication networks of the government, but also, negatively impacts the public sphere, as citizens are denied access to information vital to informed decision making. The effect of secrecy on civil liberties is also examined. What emerges from this comprehensive hermeneutic analysis is a simple pattern consisting of a threat, followed by increased secrecy and legislation, which finally results in the infringement on individual and group civil liberty. Historically, this pattern frequently repeats itself. 1 Chapter 1 Introduction For the past eighty years, U.S. government secrecy has proliferated at an alarmin g rate. In 2003, the Information Security Oversight Office 1 documented just over fourteen million original and derivative classification decisions for that year (ISOO, 2003)—the number of existing classified documents is invariably much larger. In 1997, th e Commission on Protecting and Reducing Government Secrecy, alarmed by the 5.7 million classified documents in 1996, concluded its three and a half year study by announcing that the governmental secrecy system had reached the point where it was threatening to undermine the democratic system of the United States. The severity of this issue cannot be found in the simple recitation of ever inflating numbers; however, the breadth of this issue is fully realized by a closer examination of events, such as Septemb er 11, 2001, where the veracity of warnings by previous secrecy committees and researchers decrying the threat of overclassification to national security was tragically realized. According to the Commission on Protecting and Reducing Government Secrecy, th e effects of government secrecy are numerous, and all have serious implications for democracy. Lack of government accountability, a cornerstone of a representative democracy, combined with increasing infringement on the civil liberties of the populace, are just two of the more critical symptoms of governmental secrecy. These products of the secrecy system, along with decreased national security, do, in fact, provide clear and present dangers to democracy. 1 The Information Security Oversight Office was es tablished by Executive Order 12958. The ISOO is a component of NARA —the National Archives and Records Administration. The mission of the ISOO is to oversee security classification programs and report the activities of those programs to the President of the United States of America. 2 The impetus of this dissertation is the fundamenta l need for the citizens of a democracy to have access to information. What happens to a representative democracy when the classification system and the ensuing culture 2 of secrecy systematically control the flow of information? Using concrete examples of bureaucratic secrecy and concrete examples of how secrecy threatens security, accountability, and civil liberties, this dissertation seeks to define and understand the impact of governmental secrecy on a political system predicated on transparency and the free flow of information among all participants. Government secrecy is not a new topic. Others have discussed aspects of the issue—focusing on specific components, such as the intelligence community (Odom, 2003; Powers, 2002; Shulsky & Schmitt, 2002; Steel e, 2001; Berkowitz & Goodman, 2000, 1989) or the dangers of secrecy for democracy (Rozell, 2002; Theoharis, 1998; Moynihan, 1997; Katz, 1987; Hoffman, 1981; Orman, 1980; Cox, 1975; Rourke, 1961). This dissertation seeks to reify certain elements of previous research, investigate secrecy through a communicative lens, and expand the discussion to clearly identify and describe cultures of secrecy, while examining the broader effects of government secrecy on democracy. Additionally, a recommendation will be mad e for the creation of a statutory basis for the classification system, as well as the formation of a coalition of concerned citizens to work with the government to assist in the declassification of information. According to Article 1, Section 5 of the Unit ed States Constitution, “each house shall keep a Journal of its Proceedings, and from time to time publish the same, excepting 2 The word culture in the singular is used here to refer to all government individuals and groups with the authority to classify or access classified information.