Attachment_H_CONTROLLED_UNCLASSIFIED_INFORMATION__CUI__GUIDE.pdf

DISTRIBUTION A: Approved for public release - distribution unlimited

Controlled Unclassified Information Guide

Program: Multiobjective Engineering and Testing of Alloy Structures (METALS)

Program Manager: Andrew Detor Program Security Officer: Darrell Shelton

Date: March 7, 2023 Version: 1.0

Andrew Detor Darrell Shelton 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

METALS will develop new experimental test methods that bring together non-conventional specimen designs, state-of-the-art full-field characterization techniques, and inverse analysis methods to rapidly extract accurate design-relevant properties. Outputs from the new test methods will be used directly in novel design optimization platforms where material is allowed to vary continuously throughout a component. This continuum material approach is expected to significantly expand the range of optimal design solutions

2. AUTHORITY

CUI elements referenced in this guide are under the authority of DoDI 5200.48, “Controlled Unclassified Information,” March 6, 2020.

3. DISTRIBUTION

Unlimited.

1. PURPOSE

a. The purpose of this CUI guide is to ensure the protection of Multiobjective Engineering and Testing of Alloy Structures (METALS) information IAW DoDI 5200.48.

METALS 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, academic institutions, and industrial performers who support METALS. 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 METALS. 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 METALS, in compliance with Executive Orders and related DoD guidance. The scope of this guide is based on METALS as planned at the date of this guide, and may expand or change as strategic decisions are made over the course of METALS.

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 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. METALS critical information falls under the following index of CUI:

1) Defense

2) Proprietary Business Information

3) Financial

4) Provisional

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. 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.

c. Financial: Budget (BUDG). Related to information concerning the federal budget, including authorizations and estimates of income and expenditures.

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

7. EXPORT CONTROL RESTRICTED INFORMATION

a. Not Applicable

8. FREEDOM OF INFORMATION ACT (FOIA) EXEMPT INFORMATION

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 METALS are listed below; however other exemptions could apply:

a. Exemption 3 – Protects information exempted from release by statute.

b. Exemption 4 – Protects trade secrets and commercial or financial information which could harm the competitive posture or business interests of a company.

c. Exemption 5 – Protects the integrity of the deliberative or policy-making processes within the agency by exempting from mandatory disclosure opinion, conclusions, and recommendations included within inter-agency or intra-agency memoranda or letters.

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 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. METALS CUI (e.g., personally identifiable information, proprietary business information, unclassified controlled technical information) 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 METALS PSO and PSR at DSO_Security@darpa.mil.

b. Data breaches of DIB networks and systems involving METALS 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. N/A

13. INFORMATION PROTECTION GUIDANCE CHARTS

These charts are provided to assist in identifying what types of information associated with the METALS 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

Budget Financial Budget FAR 2.101 and 3.104

Federal employees Only

(FED ONLY)

FOIA Exemption 5 may be applicable.

Quantitative metrics inclusive of design when applied to a specific military application

Defense Controlled Technical Information (CTI)

DFARS

252.204.7012 and DoDI 5230.24

DISTRO C FOIA Exemption 3 may be applicable.

Material architectures, designs and manufacturing techniques of METALS developed technology when applied to a specific military application

Defense Controlled Technical Information (CTI)

DFARS

252.204.7012 and DoDI 5230.24

Engineering design practices that enable inclusion of material for optimization when applied to a specific military application

Defense Controlled Technical Information (CTI)

DFARS

252.204.7012 and DoDI 5230.24

Effectiveness of METALS technology when applied to a specific military application

Defense Controlled Technical Information (CTI)

DFARS

252.204.7012 and DoDI 5230.24

Any computer model which utilizes data deemed CUI by METALS or another organization

Defense Controlled Technical Information (CTI)

DFARS

252.204.7012 and DoDI 5230.24

Any model prediction or calculation using a novel continuum alloy which predicts performance greater than state of the art when applied to a specific military application.

Defense Controlled Technical Information (CTI)

DFARS

252.204.7012 and DoDI 5230.24

DISTRO C FOIA Exemption 3 may be applicable.

Any experimental system or procedure related to a specific military capability

Defense Controlled Technical Information (CTI)

DFARS

252.204.7012 and DoDI 5230.24

DISTRO C FOIA Exemption 3 may be applicable.

METALS designs or manufacturing techniques protected by the company as proprietary

Proprietary Business Information

General Proprietary Business Information

(PROPIN)

18 USC 1905

29 USC 664

Dissemination List Controlled

(DL ONLY)

FOIA Exemption 4 may be