HR001121S0031_Attachment_3_COFFEE_CUI_Guide_Final.pdf

DISTRIBUTION STATEMENT A

Approved for Public Release: Distribution Unlimited

Controlled Unclassified Information Guide

Program: COmpact Front-end Filters at the ElEment-level (COFFEE) Program Manager: Benjamin Griffin, Ph.D.

Program Security Officer: Mr. Paul Kieschnick

Date: 5/10/2021 Version: 01

Benjamin Griffin, Ph. D. Mr. Paul Kieschnick MTO Program Manager MTO 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

The Compact Front-end Filters at the ElEment-level (COFFEE) program will mitigate the vulnerability of wideband, digital-at-every-element phased arrays operating in congested RF environments by creating an integrable RF filter technology.

2. AUTHORITY

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

3. DISTRIBUTION

Distribution unlimited, approved for public release.

GENERAL

1. PURPOSE

a. The purpose of this CUI guide is to ensure the protection of the COFFEE program information IAW DoDI 5200.48. COFFEE 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, Patent filled under 35 U.S.C. 111(a), Export controlled International Traffic in Arms Regulations (ITAR) and Export Administration Regulations (EAR), Proprietary Manufacturer, and General Proprietary Business Information.

2. APPLICABILITY AND SCOPE

This guide applies to all DARPA personnel, support contractors, mission partners, and industrial performers who support COFFEE. 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 COFFEE. 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 COFFEE, in compliance with Executive Orders and related DoD guidance. The scope of this guide is based on COFFEE as planned at the date of this guide, and may expand or change as strategic decisions are made over the course of COFFEE.

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 MTOSecurity@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 MTOSecurity@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. COFFEE critical information falls under the following index of CUI:

1) Export Controlled

2) Proprietary Business Information

6. CUI CATEGORIES

a. Export Control: Export Controlled Research. 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.

b. Proprietary Business Information: General Proprietary Business Information. 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.

7. EXPORT CONTROL RESTRICTED INFORMATION

COFFEE export control restricted information includes research information pertaining to Export Administration Regulations.

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 COFFEE are listed below; however other exemptions could apply:

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

2) Exemption 4: Trade secrets or commercial or financial information that is confidential or privileged.

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

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

a. COFFEE CUI (e.g., General Proprietary Business Information and Export Controlled) 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 COFFEE PSO and PSR at paul.kieschnick@darpa.mil and joey.gilchrist.ctr@darpa.mil, respectively.

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

mailto:paul.kieschnick@darpa.mil

13. INFORMATION PROTECTION GUIDANCE CHARTS

These charts are provided to assist in identifying what types of information associated with the COFFEE 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 MTOSecurity@darpa.mil.

Element of Information

Index Category Reason LDC or Distribution Statement

Remarks

Research on devices that are outlined under CCL 3A001.b.

b.5. Electronically or magnetically tunable band-pass or band-stop filters, having more than 5 tunable resonators capable of tuning across a 1.5:1 frequency band (fmax/fmin) in less than 10 µs and having any of the following:

b.5.a. A band-pass bandwidth of more than 0.5% of

Export Control

Export Controlled Research

15 CFR 734.8(b) DISTRIBUTION

STATEMENT D.

Distribution authorized to the Department of Defense and U.S. DoD contractors only Export Controlled, 20210409.

Other requests shall be referred to DARPA, Microsystems Technology Office.

FOIA Exemption 3 may be applicable.

EAR

The following banner must be placed on all material subject to export restrictions: 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 (Title 50, U.S.C., App.

2401, et seq.) as amended.

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

Disseminate in accordance center frequency;

or b.5.b. A band-stop bandwidth of less than 0.5% of center frequency;

with provisions of DoD Directive 5230.25.

Devices outlined under CCL 3A001.b.

b.5. Electronically or magnetically tunable band-pass or band-stop filters, having more than 5 tunable resonators capable of tuning across a 1.5:1 frequency band (fmax/fmin) in less than 10 µs and having any of the following:

b.5.a. A band-pass bandwidth of more than 0.5% of center frequency;

or b.5.b. A band-stop bandwidth of less than 0.5% of center frequency;

Export Control

Export Controlled

50 USC 4614(c); 13 USC 301(g); 42 USC

2156; 42 USC

2168(a); 22 CFR 124.9(a)(5); 50 USC 4605(l)(5); 10 USC 130(a); 32 CFR 250.4(a) // 42 USC 2077(a); 15 CFR

718.3; 22 CFR

126.10(b); 15 CFR 748.1(c); 15 CFR 760.5(c); 32 CFR

250.9; 15 CFR 736,

Supplement No. 2

DISTRIBUTION

STATEMENT D.

Distribution authorized to the Department of Defense and U.S. DoD contractors only Export Controlled, 20210409.

Other requests shall be referred to DARPA, Microsystems Technology Office.

FOIA Exemption 3 may be applicable.

EAR

The following banner must be placed on all material subject to export restrictions: 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 (Title 50, U.S.C., App.

2401, et seq.) as amended.

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

Disseminate in accordance with provisions of DoD Directive 5230.25.

Data contractually identified as controlled by a business or individual as proprietary

Propriet ary Busines s Informa tion

General Proprietary Business Information

(PROPIN)

The amount of LRGWP is too detailed to fit the table. This is the link to CUI Registry:

https://www.archives .gov/cui/registry/cate gory-detail/proprietary-business-info.html

Dissemination list – Government and its contactors (operating in a non-competitive capacity)

FOIA Exemption 4 may be applicable.

CUI markings shall be compliant per guidance issued in DoDI5200.48, Controlled Unclassified Information (CUI).

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