J-20 STI Submission Guidelines for BCOs -Markings and Distribution.pdf

1DISTRIBUTION STATEMENT A. Approved for public release.

Defense Technical Information Center (DTIC) http://www.dtic.mil

Markings and Distribution

2DISTRIBUTION STATEMENT A. Approved for public release.

• DoD Information Security Program DoDM 5200.01, volumes 1-4

Volume 1: Overview, Classification, and Declassification, February 24, 2012 https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodm/520001_vol1.pdf

Volume 2: Marking of Information, change 3, May 14, 2019 https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodm/520001_vol2.pdf

Volume 3: Protection of Classified Information, change 2, March 19, 2013 https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodm/520001_vol3.pdf

Volume 4: Controlled Unclassified Information, change 1, May 9, 2018 https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodm/520001-V4p.PDF

DoD Policy

3DISTRIBUTION STATEMENT A. Approved for public release.

• Distribution Statements on Technical Documents DoDI 5230.24, change 3, October 15, 2018 https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodi/523024p.pdf

• Withholding of Unclassified Technical Data From Public Disclosure

DoDD 5230.25, change 2, October 15, 2018 https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodd/523025p.pdf

DoD Policy

4DISTRIBUTION STATEMENT A. Approved for public release.

• Classification levels disseminated by DTIC: [foreign] Restricted, [U.S.] Confidential, Secret

• Overall markings

– Cover, internal pages, back- top & bottom

• Portion markings= within the document

– Paragraphs, charts, graphs, photos, maps

• Classification authority and downgrade/declassification information

– Classified by who & what authority & for how long

Markings- best practices

5DISTRIBUTION STATEMENT A. Approved for public release.

• Distinct from and in addition to classification markings (should not conflict or contradict)

• Denotes extent of availability for secondary distribution without additional approvals or authorizations by the controlling office

• Informs recipients of their responsibilities in handling the information

Distribution

6DISTRIBUTION STATEMENT A. Approved for public release.

• Format=

– Audience

– Reasons(s) for limitation

– Date of determination- could be:

• Date of the report

• Date of contract or other agreement

• Date of statute or regulation

• NOT the date of submission

– Controlling office

• Provide full name (not just acronym)

• Entity that sponsored the work which generated the document (DoD or other Federal government agency, or U. S. representative of a foreign entity, or receives information on behalf of DoD)

• Never a contractor- the COTR should direct the contractor to the appropriate statement or it is stipulated in the contract

Distribution- best practices

7DISTRIBUTION STATEMENT A. Approved for public release.

• To protect contractors’ intellectual property; new inventions, unique methodologies, other innovations

• Includes- Government purpose rights, limited rights (for technical data), restricted rights (computer software), special license, Small Business Innovation Research (SBIR), Small Business Technology Transfer (STTR)

• Contractors should be discouraged from using “Company confidential” or [Business} “Confidential” which could be mistaken for a classification marking

• Limited to-

– Distribution B: U.S. Government Only -or-

– Distribution E: DoD Only

• Further release is governed by terms in the contract and non-disclosure agreements

Proprietary Information

8DISTRIBUTION STATEMENT A. Approved for public release.

Purpose: to protect certain U.S. technology with military or space application from inadvertent foreign disclosure inside and outside the U.S.

What is “export”?: the transfer/disclosure of anything to a “foreign person” or the knowledge that what you are transferring to a U.S. national will further transfer it to a foreign national

Export Control

9DISTRIBUTION STATEMENT A. Approved for public release.

• Governed by laws and regulations

• Control lists of goods and technologies

• Includes associated technical data

• Requires licensing or approval before export

• Penalties for violation- jail time and fines

Export Control- key points

10DISTRIBUTION STATEMENT A. Approved for public release.

• WEAPONS AND WEAPON TECHNOLOGY

– Basic statute: International Security Assistance and Arms Export

Control Act of 1976

– Implementing regulation: International Traffic in Arms Regulations

(ITAR)

– Product List: U.S. Munitions List

– Implementing office: Department of State

• STRATEGIC TECHNOLOGY

– Basic statute: Export Administration Act of 1979 (extended by

Executive Order)

– Implementing regulation: Export Administration Regulations (EAR)

– Product List: Commerce Control List

– Implementing office: Department of Commerce

Export Control- guided by ITAR and EAR

11DISTRIBUTION STATEMENT A. Approved for public release.

• Export control warning WARNING - This document contains technical data whose export is restricted by the Arms Export Control Act (Title 22, U.S.C., Sec 2751, et seq.) or the Export Administration Act of 1979, as amended (Title 50, U.S.C., App. 2401 et seq.).

Violations of these export laws are subject to severe criminal penalties.

• “ITAR restricted” statement WARNING - This document contains technical data, export of which is restricted by the International Traffic in Arms Regulations (ITAR). Disclosure to foreign persons without prior U.S. Government approval is prohibited. Violations of these export laws and regulations are subject to severe civil and criminal penalties.

• Distribution reasons Export Controlled, Critical Technology or Direct Military Support- export control automatically applies with any of these reasons for limitation

Export Control markings

12DISTRIBUTION STATEMENT A. Approved for public release.

• Not a classification marking or distribution

• It is unclassified information that may be exempt from mandatory release to the public under the Freedom of Information Act (FOIA)

• May be used in conjunction with a distribution statement

• FOUO information may be disseminated within DoD components and between DoD components and their contractors, consultants and grantees as necessary in the conduct of official DoD business, provided that dissemination is not further controlled by a distribution statement

• If the only marking is FOUO, DTIC applies distribution E: DoD Only (and not distribution D, because E is more restrictive)

For Official Use Only (FOUO)

13DISTRIBUTION STATEMENT A. Approved for public release.

• Must be communicated by the controlling organization on letterhead (email or verbal request are not sufficient)

– Controlling organizations need to do a security review and inform DTIC/IACs in writing (not automatic based on declassification/downgrading dates); needs to go through PAO review before release to the public

• Digitize the document if still in microform

• Corrective maintenance on the document and citation

– Target sheet generated showing the classification and/or distribution statement FROM-TO and reason(s) (instead of remarking document)

– Notification letter scanned into document

• Databases updated

Classification or Distribution Changes

14DISTRIBUTION STATEMENT A. Approved for public release.

• None

– [Assuming the item is unclassifed] determine if there is government funding/sponsor (look for contract or other funding numbers)

– Contact the sponsor or controlling org [if one can be identified]

– If the controlling office cannot be identified or the controlling office does not respond after 30 days, use Distribution E, DoD Only

• Incomplete- missing reason, date, controlling office

– Reason- use Administrative/Operational Use (unless SBIR/STTR)

– Date of determination- use the report date

– Controlling organization- use the sponsor

Distribution statement issues

15DISTRIBUTION STATEMENT A. Approved for public release.

• Inappropriate- e.g. distribution C for a SBIR report

– Contact submitter or controlling organization

• Conflicting or inconsistent- between SF 298 and document, or within document itself

– Use document cover plus other markings/legends as the primary source

– Contact submitter or controlling organization; if no response after 30 days, use higher, more restrictive level of distribution or use statement E, DoD only (if the markings contradict each other)

Distribution statement issues

16DISTRIBUTION STATEMENT A. Approved for public release.

• If the only marking is FOUO, use statement E

• If the document is dated before 1961, use statement E, with Administrative/Operational Use

• Documents without a statement- try to contact sponsor or controlling organization; after 30 days use statement E

• If the document is marked Proprietary Information, use B or E

• If the document is marked SBIR or STTR, use statement B and the reason Proprietary Information (even if restriction has expired- unless notified by controlling org or sponsor)

• If the statement is missing a reason, use Administrative/Operational Use

• Items that are distribution F (assigned as a default)- follow same procedure as for no distribution statement

• Legacy items- map older wording to current statements

Distribution troubleshooting

17DISTRIBUTION STATEMENT A. Approved for public release.

Questions?

Monica Butteriss

Monica.e.Butteriss.civ@mail.mil

571-448-9838

Robert Stokes robert.b.stokes3.civ@mail.mil

571-448-9679 mailto:Monica.e.Butteriss.civ@mail.mil mailto:robert.b.stokes3.civ@mail.mil