HR001122S0017_Attachment_3_MELT_Contolled_Unclassified_Information__CUI__Guide.pdf

DISTRIBUTION STATEMENT A

Approved for Public Release: Distribution Unlimited

Controlled Unclassified Information Guide

Program: Modular Efficient Laser Technology (MELT) Program Manager: Thomas Ehrenreich, Ph.D.

Program Security Officer: Mr. James Persons

Date: January 6, 2022 Version: 02

Thomas Ehrenreich, Ph.D. Mr. James Persons 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

12. INFORMATION PROTECTION GUIDANCE CHARTS

iii

FOREWORD

1. DESCRIPTION

The goal of the Modular Efficient Laser Technology (MELT) program is to develop a laser tile as the building block for compact, scalable, panelized HEL sources. The MELT tiles will be integrated into planar arrays for scalable HEL sources with comparable or better performance than current HEL sources.

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.

1. PURPOSE

a. The purpose of this CUI guide is to ensure the protection of MELT information IAW DoDI 5200.48. MELT 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, Patents 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 MELT.

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

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

1) Proprietary Business Information

2) Defense (Controlled Technical Information (CTI))

3) Export Controlled

6. CUI Categories

a. 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.

b. Defense: Controlled Technical Information (CTI). Controlled Technical Information means technical information with military or space application subject to controls on the access, use, reproduction, modification, performance, display, release, disclosure, or dissemination. Controlled technical information is to be marked with one of the distribution statements B through F, in accordance with Department of Defense Instruction 5230.24, "Distribution Statements of Technical Documents." The term does not include information that is lawfully publicly available without restrictions. "Technical Information" means technical data, technology, software, or computer software, including technology and software subject to the Export Administration Regulations (EAR), technical data subject to the International Traffic in Arms Regulations (ITAR), and technical information in Defense Federal Acquisition Regulation Supplement clause 252.227-7013, "Rights in Technical Data - Noncommercial Items" (48 CFR 252.227-7013). Examples of technical information include research and engineering data, engineering drawings, and associated lists, specifications, standards, process sheets, manuals, technical reports, technical orders, catalog-item identifications, data sets, studies and analyses and related information, and computer software executable code and source code.

7. EXPORT CONTROL RESTRICTED INFORMATION

MELT export control restricted information includes research information pertaining to Export Administration Regulations (EAR) and/or the United States Munition List (USML).

a. Export Control: Export Controlled. 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.

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 MELT are listed below; however other exemptions could apply:

1) Exemption 3: Information that is prohibited from disclosure by another federal law.

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 the MELT 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. MELT 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.

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

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 MELT PSO and PSR at james.persons@darpa.mil and sandy.dulac.ctr@darpa.mil.

b. Data breaches of DIB networks and systems involving MELT CUI material must be reported IAW DFARS 252.204-

7012 requirements. In addition, all breaches must be reported to the DARPA MELT Project contracting officer and program security officer (PSO) upon discovery.

12. INFORMATION PROTECTION GUIDANCE CHARTS

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

Any proprietary technology related to diode laser or integration elements claimed under contract to be propriety.

Proprietary Business Information

General Proprietary Business Information

(PROPIN)

18 USC 1905

29 USC 664

Federal Employees and Contractors Only (FEDCON)

FOIA Exemption 4 may be applicable.

All Proprietary Information to include but not limited to, budget and schedule, programmatic status reports, metrics/ parameters, design details, technical drawings, schematics, hardware, software, methods for production of integrated tile subsystems, integrated tiles, and tile arrays will be CUI at a minimum.

Any material relevant to applications of MELT into developmental or integrated into currently utilized DoD system.

Defense Controlled Technical Information

48 CFR 252.204-7012; Title

10, § 130; 31 CFR 800.209;

Parts 22 CFR 120-130; 15

CFR 730-774; 22 USC 2778

(AECA); Export Control Reform Act of 2019 (FY 2019 NDAA, Subtitle B - Sections 1741-1781/PL 115- 232);10 USC 130(a) (DoD authority to withhold export controlled space/mil info); 32 CFR 250 // DoDD 5000.01;

DoDD5000.02; DoDI 5200.39; DoD Directive 5230.25; DoDI 3200.12

Distribution Statement D:

Distribution authorized to DoD and U.S. DoD contractors only Controlled Technical Information (date of determination).

Other requests for this document shall be referred to

DARPA MTO.

FOIA Exemption 3 may be applicable.

ITAR/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.

All Controlled Technical Information to include, Metrics/ parameters, design details, technical drawings, schematics, hardware, software, methods for production of integrated tile subsystems, integrated tiles, and tile arrays will be CUI at a minimum.

Export control items identified within the Commerce Control List (CCL) or the U.S.

Munitions List (USML).

Specific categories of the CCL may include category 6, observed in ECCN 6A005

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 C:

Distribution authorized to U.S.

Government Agencies and their contractors Export Controlled (date of determination).

Other requests for this document shall

FOIA Exemption 3 may be applicable.

ITAR/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

Specific categories of the USML may include category

XVIII

be referred to

DARPA MTO.

amended. Violations of these export laws are subject to severe criminal penalties. Disseminate in accordance with provisions of DoD Directive 5230.25.

All export controlled items within this program falling under category 3, to include and not limited to:

Metrics/ parameters Design details, technical drawings, schematics, hardware, software, methods for production of integrated tile subsystems, integrated tiles, tile arrays will be CUI at a minimum.

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