Attachment_H_CONTROLLED_UNCLASSIFIED_INFORMATION__CUI__GUIDE.pdf

DISTRIBUTION STATEMENT A. Approved for public release: distribution unlimited

Controlled Unclassified Information Guide

Program: Coded Visibility (CV)

Program Manager: Rohith Chandrasekar, Ph.D.

Program Security Officer: Michael Langerman

Date: August 16, 2021

Version: 1.0

Rohith Chandrasekar, Ph.D. Michael Langerman

DSO Program Manager DSO Program Security Officer ii

FOREWORD

1. DESCRIPTION

2. AUTHORITY

3. DISTRIBUTION

GENERAL

1. PURPOSE

2. APPLICABILITY AND SCOPE

3. OFFICE OF PRIMARY RESPONSIBILITY

4. CONTROLLED UNCLASSIFIED INFORAMTION (CUI) CHALLENGES

5. OPERATION SECURITY (OPSEC)

6. CUI CATAGORIES

7. EXPORT CONTROL RESTRICTED INFORMATION

8. FREEDOM OF INFORMATION ACT (FOIA) EXEMPT INFORMATION

9. DISCLOSURE of CUI

10. CUI PROTECTION REQUIREMENTS

11. NOTIFICATION OF UNAUTHORIZED DISCLOSURE

12. HORIZONTAL SECURITY PROTECTION

13. INFORMATION PROTECTION GUIDANCE CHARTS

iii

FOREWORD

1. DESCRIPTION

Coded Visibility (CV) will leverage new insights in optical materials to develop tailorable, tunable and safe obscurants that disrupt our concealment capabilities and provide our

Warfighters with an asymmetric advantage on the battlefield. Specifically, CV will develop methods that enable a target identification capability for our Warfighters, while suppressing the target detection capability of our adversaries, imposing complexity to delay their sensing, decisions, and effects.

2. AUTHORITY

CUI elements referenced in this guide are under the authority of DoDI 5200.48, “Controlled

Unclassified Information,” March 6, 2020.

GENERAL

1. PURPOSE

a. The purpose of this CUI guide is to ensure the protection of Coded Visibility information

IAW DoDI 5200.48. Coded Visibility information should be controlled and stored consistent with federal requirements and guidance from the National Institute for

Standards and Technology (NIST). Sensitive information does not include information in the public domain.

b. This guide is not for classified national security information as defined in Executive

Order 13526, but identifies specific elements of sensitive information that are unclassified in nature requiring protection. This information is not classified national security information, but it is covered by the legislation at large for the Freedom of

Information Act (FOIA) and the exemptions therein.

2. APPLICABILITY AND SCOPE

This guide applies to all DARPA personnel, support contractors, mission partners, and industrial performers who support Coded Visibility. This guide should be cited as the basis for identifying, protecting and marking of information and material designated as a type of controlled unclassified information (CUI) associated with Coded Visibility. As defined at 32 CFR Section

2002.4(h), CUI is information that the government creates or possesses – or that an entity creates or possesses on behalf of the government that law, regulation or government-wide policy requires or permits an agency to handle using safeguarding or dissemination controls. It is to be used in conjunction with related security classification guides and guidance documents associated with the overall effort of Coded Visibility, in compliance with Executive Orders and related DoD guidance. The scope of this guide is based on Coded Visibility as planned at the date of this guide, and may expand or change as strategic decisions are made over the course of

Coded Visibility.

3. OFFICE OF PRIMARY RESPONSIBILITY (OPR)

This CUI guide is issued by DARPA. All inquiries concerning content, interpretations, and clarification of this document should be addressed to DARPA at DSO_Security@darpa.mil with any questions.

4. CONTROLLED UNCLASSIFIED INFORMATION (CUI) CHALLENGES

CUI Challenges: Authorized holders of CUI who, in good faith, believe that a designation of information as CUI within this guide is improper or incorrect, or who believe they have received unmarked CUI, should notify DARPA at DSO_Security@darpa.mil. Until the challenge is mailto:DSO_Security@darpa.mil resolved, the challenged CUI, including challenges to unmarked CUI, will continue to be safeguarded and disseminated at the appropriate control level indicated in the markings or presumed category.

5. OPERATIONS SECURITY (OPSEC)

a. OPSEC is a process that identifies and mitigates adversarial risk to our operations by looking at our operations through the eyes of our adversaries. The application of the

OPSEC methodology includes identifying critical information, analyzing threats and vulnerabilities, analyzing and assessing adversarial risk, and implementing OPSEC measures that reduce this risk.

b. Coded Visibility critical information falls under the following index of CUI:

1) Defense

2) Provisional

3) Proprietary Business Information

4) Export Control

6. CUI Categories

a. Defense: Controlled Technical Information (CTI). This category relates to technical information with military or space application that is subject to controls on the access, use, reproduction, modification, performance, display, release, disclosure, or dissemination. Controlled technical information would meet that criteria, if disseminated, for distribution statements B through F using the criteria set forth in

DoD Instruction 5230.24, Distribution Statements on Technical Documents.

b. Provisional: Operations Security Information. This category relates to unclassified information that could constitute an indicator of U.S. Government intentions, capabilities, operations, or activities or otherwise threaten/compromise operations security.

c. Proprietary Business Information/General Proprietary Business Information

(PROPIN). Material and information relating to, or associated with, a company's products, business, or activities, including but not limited to financial information;

data or statements; trade secrets; product research and development; existing and future product designs and performance specifications.

d. Export Controlled: Export Controlled Research (EXPT). Unclassified information concerning certain items, commodities, technology, software, or other information whose export could reasonably be expected to adversely affect the United States national security and nonproliferation objectives. To include dual use items; items identified in export administration regulations, international traffic in arms regulations and the munitions list; license applications; and sensitive nuclear technology information. This category relates to the systematic investigation into and study of materials and sources in order to establish facts and reach new conclusions.

7. EXPORT CONTROL RESTRICTED INFORMATION

a. US Munitions List, Category XIII (g), concealment and deception equipment.

8. FREEDOM OF INFORMATION ACT (FOIA) EXEMPT INFORMATION

a. The Freedom of Information Act (FOIA), 5 U.S.C. § 552, is a federal law that defines agency records subject to public disclosure, outlines mandatory disclosure procedures, and defines nine exemptions that prohibit certain types of information from being released to the public. In addition to the FOIA, the Code of Federal Regulations (October

2016), 45 CFR § 5.31 specifies the type of information that falls under each of the nine exemptions that preclude release of information to the public under the FOIA. In accordance with 5 U.S.C. § 552(a)(8), DARPA will withhold records or information exempt from disclosure under the FOIA whenever disclosure would harm an interest protected by a FOIA exemption or disclosure is prohibited by law. The most relevant exemptions for Coded Visibility are listed below; however other exemptions could apply:

1) Exemption 3 – Protects information exempted from release by statute.

9. DISCLOSURE of CUI.

a. Public Disclosure. Information from this CUI guide does not allow automatic public release of this information. DoD information requested by the media or members of the public or proposed for release to the public by DoD civilians or military personnel or their contractors will be processed in accordance with DARPA Instruction 65 and DoD

Instructions 5230.09, 5230.29; Volume 3 of DoD Manual 5200.01; and DoD Manual

5400.07, as applicable. Proposed public disclosures of unclassified information shall be submitted using the public release form located at https://www.darpa.mil/work-with-us/contract-management/public-release.

b. Freedom of Information Act (FOIA) Requests. All personnel with knowledge of this

Project must coordinate with the DARPA PSO prior to providing a response to requests for information under the provisions of the FOIA.

c. Proprietary Information (PROPIN). Additional safeguards may become necessary if a contract requires the transfer of PROPIN. The holder of the information must clearly https://www.darpa.mil/work-with-us/contract-management/public-release https://www.darpa.mil/work-with-us/contract-management/public-release identify any and all PROPIN prior to its disclosure and release, the release will be coordinated with the PROPIN owner.

d. Foreign Disclosure. Disclosure of DARPA CUI to foreign nationals will be coordinated with the PSO, International Security, and International Cooperation. Disclosure approval must be granted by the Director, SID, who is the Foreign Disclosure Officer for DARPA.

10. CUI PROTECTION REQUIREMENTS

a. Coded Visibility CUI (e.g., confidential business information, PII, etc.) regardless of media or format, will be protected from disclosure to unauthorized persons or groups, by properly storing in locked offices, cabinets, and drawers in accordance with DoDI

5200.48.

b. CUI may only be processed on DIB systems that are compliant with DFARS 252.204-

7012 requirements as detailed in NIST 800-171.

11. NOTIFICATION OF UNAUTHORIZED DISCLOSURE

a. Personnel must immediately report all unauthorized disclosures or suspected and known security incidents, privacy breaches, and suspicious activities involving CUI to the Coded Visibility PSO and PSR at DSO_Security@darpa.mil.

b. Data breaches of DIB networks and systems involving Coded Visibility CUI material must be reported IAW DFARS 252.204-7012 requirements. In addition, all breaches must be reported to the DARPA Project contracting officer and program security officer (PSO) upon discovery.

12. HORIZONTAL SECURITY PROTECTION

a. The following results were derived from relevant security classification guides through the course of horizontal security protection research.

1) Security Classification Guide for The U.S. Army Smoke and Obscurants

Technology Program, April 10, 2017:

Given that the Coded Visibility program will focus on small quantity deployments and will not focus on militarily relevant wavelengths, the program is categorized as

Unclassified.

13. INFORMATION PROTECTION GUIDANCE CHARTS

These charts are provided to assist in identifying what types of information associated with the Coded Visibility effort may be sensitive, provide guidance on the relevant markings for this information to control dissemination, and provide guidance on when these dissemination controls no longer apply. If at any time, there are questions regarding which category of information something falls under, or what dissemination controls apply, individuals should request guidance from DARPA at DSO_Security@darpa.mil.

Element of Information Index Category Reason LDC or

Distribution

Statement

Remarks

Performance evaluations and data from lab-based testing of obscurants operating in the visible and near-infrared spectral bands.

Export

Control

Export Controlled

Research (EXPT)

15 CFR

734.8(b)

Distribution

Statement D

Test data in VIS-NIR spectrum is UNCLASSIFIED with extinction coefficients <3 m2/g, and CUI for >3 m2/g.

Obscurant design, fabrication processes and dissemination protocols will be protected

IAW with extinction coefficients provided above.

Performance evaluations and data from lab-based testing of obscurants operating in the mid-wave infrared and long-wave infrared spectral bands.

Export

Control

Distribution

Statement D

Test data in MWIR-LWIR spectrum is UNCLASSIFIED with extinction coefficients <1 m2/g, and CUI with extinction coefficients >1 m2/g.

Obscurant design, fabrication processes and dissemination protocols will be protected

IAW extinction coefficients provided above.

Data from Government-hosted aerosol chamber, pilot, and field testing of obscurants across all spectral ranges

Defense Controlled

Technical

Information (CTI)

DFARS

252.204.7012

Distribution

Statement D

Test data of obscurants disseminated by traditional dissemination techniques

(pyrotechnic, explosive, propellant, spray nozzle, etc.)

will be protected IAW extinction coefficients in VIS-

NIR and MWIR-LWIR bands as provided above.

Any and all experimental test data from lab tests, Government-hosted aerosol chamber, pilot, and field testing of obscurants across all spectral ranges tied with probability of identification and probability of detection metrics

Defense Controlled

Technical

Information (CTI)

DFARS

252.204.7012

Distribution

Statement D

Test data of obscurants in any spectral band, disseminated by any means, and their corresponding probability of identification and detection metrics, will be protected IAW extinction coefficients provided above.

Discussions of theory and information on theoretical performance obscurants in IR, MWIR, and LWIR, excluding their interactions with sensors

N/A UNCLASSIFIED N/A N/A

Any simulations and theoretical analyses of probability of identification and detection through obscurants paired with a given sensor

Export

Control

Distribution

Statement D

Specific technologies and relation of specific technologies

(e.g. metamaterials.

Plasmonics) without reference to specific tactics.

N/A UNCLASSIFIED N/A N/A

Commercial or custom technologies and associated software that has CUI restrictions, e.g. export controlled technologies.

Export

Control /

PROPIN

General

Proprietary

15 CFR

734.8(b)

Distribution

Statement C

Business

Information (SP-

PROPIN)