Attachment H CONTROLLED UNCLASSIFIED INFORMATION (CUI) GUIDE.pdf

DISTRIBUTION STATEMENT A. Approved for public release: distribution unlimited.

Controlled Unclassified Information Guide

Program: Enhanced Night Vision in eyeglass form (ENVision) Program Manager: Rohith Chandrasekar, Ph. D.

Program Security Officer: Michael Langerman

Date: January 5, 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

iii

FOREWORD

1. DESCRIPTION

Technical Area (TA) 1 of ENVision will develop advanced night vision (NV) systems with the following characteristics:

a. Lightweight systems in near-eyeglass form factors

b. Extended visual access beyond near-infrared (NIR) to short-wave (SWIR), mid-wave

(MWIR), or long-wave infrared (LWIR) through a common aperture

c. Expanded field of view (FOV) to near natural eyesight (100°)

ENVision TA 2 will also enable a longer-term technical leap forward by identifying novel methods for direct photon upconversion of ambient IR illumination without the need for any electronic amplification. This research could allow for future simpler, all-optical NV systems. Given the basic research nature of this Technical Area, results and efforts will not lead to any CUI elements.

2. AUTHORITY

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

3. DISTRIBUTION

a. US Army C5ISR Night Vision Electronics and Sensors Directorate (NVESD)

b. Air Force Research Laboratories (AFRL)

c. Naval Surface Warfare Command (NSWC) Crane Division

d. Johns Hopkins University Applied Physics Laboratory (JHU/APL)

e. Program Executive Office (PEO) Soldier

GENERAL

1. PURPOSE

a. The purpose of this CUI guide is to ensure the protection of ENVision information IAW DoDI 5200.48. ENVision 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 ENVision. 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 ENVision. 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 ENVision, in compliance with Executive Orders and related DoD guidance. The scope of this guide is based on ENVision as planned at the date of this guide, and may expand or change as strategic decisions are made over the course of ENVision.

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.

mailto:DSO_Security@darpa.mil

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

1) Defense

2) 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. 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. Commercial or custom sensors and associated software that has CUI restrictions, e.g.

export controlled sensors.

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 ENVision 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 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. ENVision CUI (e.g., confidential business information, PII, technical data, 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 ENVision PSO and PSR at DSO_Security@darpa.mil.

https://www.darpa.mil/work-with-us/contract-management/public-release

b. Data breaches of DIB networks and systems involving ENVision 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.

13. INFORMATION PROTECTION GUIDANCE CHARTS

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

Planar optic prototype to include specific optical prescription, optical characterization and integration

Defense Controlled Technical Information (CTI)

DFARS

252.204.7012 and DoDI 5230.24

Federal Employees and Contractors Only

(FEDCON)

Monolithic image intensifier to include spectral bandwidth, gain, and low-light illumination performance

Defense Controlled Technical Information (CTI)

DFARS

252.204.7012 and DoDI 5230.24

Federal Employees and Contractors

Full integrated night vision prototype to include integrated assembly, and low-light level performance

Defense Controlled Technical Information (CTI)

DFARS

252.204.7012 and DoDI 5230.24

Federal Employees and Contractors

Description of the goals of specific research areas of the program if they relate to specific mission concepts of operation

Defense Controlled Technical Information (CTI)

DFARS

252.204.7012 and DoDI 5230.24

Federal Employees and Contractors

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

Export Control Export Controlled Research (EXPT)

15 CFR

734.8(b)

Distribution Statement C

FOIA Exemption 3 may be applicable.

ITAR

Photon upconversion based night vision concepts

N/A UNCLASSIFIED N/A N/A N/A