HR001121S0042_Attachment_3_ELGAR_CUI_Guide.pdf

Controlled Unclassified Information Guide

Program: Electronics for G-band ARrays (ELGAR) Program Manager: Thomas Kazior, Ph.D.

Program Security Officer: Mr. Paul Kieschnick

Date: 9/9/2021 Version: 01

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Thomas Kazior, Ph. D.

MTO Program Manager

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Mr. Paul Kieschnick MTO Program Security Officer

DISTRIBUTION STATEMENT A

Approved for Public Release: Distribution Unlimited

FOREWORD

I. DESCRIPTION

2. AUTHORITY

3. DISTRIBUTION

GENERAL

I. 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

I 0. CUI PROTECTION REQUIREMENTS

11. NOTIFICATION OF UNAUTHORIZED DISCLOSURE

DISTRIBUTION STATEMENT A

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FOREWORD

1. DESCRIPTION

The Electronics for G-band ARrays (ELGAR) program will develop the integration technologies needed to create compact, high-performance RF electronics, including Monolithic Microwave/Millimeter Wave Integrated Circuits (MMICs) and transmit and receive array frontends, to enable DoD communication and sensing systems at G-band frequencies.

2. AUTHORITY

CUI elements referenced in this guide are under the authority of Do DI 5200.48, "Controlled Unclassified Information," March 6, 2020.

3. Distribution

Distribution unlimited, approved for public release.

DISTRIBUTION STATEMENT A

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GENERAL

1. PURPOSE

a. The purpose of this CUI guide is to ensure the protection of the ELGAR program information IA W DoDI 5200.48. ELGAR 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 oflnformation Act (FOIA) and the exemptions therein, Patent filled under 35 U.S.C. 11 l(a), Export controlled International Traffic in Arms Regu_lations (IT AR) 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 suppo1t ELGAR. 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 ELGAR. 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 ELGAR, in compliance with Executive Orders and related DoD guidance. The scope of this guide is based on ELGAR as planned at the date of this guide, and may expand or change as strategic decisions are made over the course of ELGAR.

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

DISTRIBUTION STATEMENT A

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

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

1) Expo1t Controlled Research

2) Export Controlled

3) Proprietary Business Information

6. CUI CATEGORIES

a. Export Control: Export Controlled Research (EXPTR). 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 expo1t 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. Expo1t Control: Export Controlled. Unclassified information concerning certain items, commodities, technology, software, or other information whose expo1t 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.

c. 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.

DISTRIBUTION STATEMENT A

7. EXPORT CONTROL RESTRICTED INFORMATION

ELGAR export control restricted information includes research information pertaining to Export Administration Regulations or International Traffic in arms Regulations.

8. FREEDOM OF INFORMATION ACT (FOIA) EXEMPT INFORMATION

a. The Freedom oflnformation 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 ELGAR are listed below; however other exemptions could apply:

I) 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 DARPAinsttuction 65 and DoD Instructions 5230.09, 5230.29; Volume 3 ofDoD Manual 5200.01; and DoD Manual 5400.07, as applicable. Proposed public disclosures ofunclassified information shall be submitted using the public release form located at https://www.datpamiVwork-with-us/contract management/public-reiease.

b. Freedom oflnformation 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 (PRO PIN). Additional safeguards may become necessary if a contract requires the transfer of PRO PIN. 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.

DISTRIBUTION STATEMENT A

Approved for Public Release: Distribution Unlimited ·

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. ELGAR CUI (e.g., General Proprietary Business Information and Expo1t 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 DF ARS 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 ELGAR PSO and PSR at paul.kieschnick@darpa.mil and joey.gilchrist.ctr@darpa.mil, respectively.

b. Data breaches ofDIB networks and systems involving ELGAR CUI material must be reported IA W DF ARS 252.204-7012 requirements. In addition, all breaches must be reported to the DARPA Project contracting officer and program security officer (PSO) upon discovery.

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13. INFORMATION PROTECTION GUIDANCE CHARTS

These charts are provided to assist in identifying what types of information associated with the ELGAR 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 Index Category Reason LDC or Remarks Information Distribution

Statement Research which Export Export 15 CFR 734.8(b) DL. FOIA Exemption 3 may be requires Control Controlled applicable.

protections Research outlined in the EAR

CCL.

Materials that Export Export 15 CFR 734.8(b) DISTROD. FOIA Exemption 3 may be require protections Control Controlled applicable.

outlined in the

CCL. EAR

Data contractually Proprietary General The amount ofLRGWP is Dissemination FOIA Exemption 4 may be identified as Business Proprietary too detailed to fit the list- applicable.

controlled by a Information Business table. This is the link to Government business or Information CUI Registry: and its individual as (PROPIN) https:/ /www.archives.gov/ contactors proprietary. cui/registry/category- ( operating in a detail/proprietary- non-competitive business-info .html capacity)

* 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

DISTRIBUTION STATEMENT A