HR001122S0059_Attachment_3_SPCE_Controlled_Unclassified_Information__CUI__Guide.pdf

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Controlled Unclassified Information Guide

Program: Space Advanced Conversion Electronics (SPCE)

Program Manager: Jason Woo

Program Security Officer: James Persons

Date: 25 August 2022

Version: 1.0

Jason Woo, Ph. D. James Persons

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

FOREWORD

1. DESCRIPTION

The SPCE program will demonstrate compact point-of-load (POL) voltage converters that exhibit high radiation tolerance and 25 percent higher efficient than state-of-the art (SOA).

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.

iii

GENERAL

1. PURPOSE

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

5200.48. This 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 SPCE personnel, support contractors, mission partners, and industrial performers. 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 SPCE. 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

SPCE, in compliance with Executive Orders and related DoD guidance.

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. (U) 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 mailto:MTOSecurity@darpa.mil 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. SPCE critical information falls under general use the following index of CUI :

1) Defense

2) Export Controlled

3) Proprietary Business Information

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.

c. Proprietary Business Information: General Proprietary Business Information (PROPIN).

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

SPCE, may contain export control restricted information which 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 SPCE 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.

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

Disclosure approval must be granted by the Director, SID, who is the Foreign

Disclosure Officer for DARPA.

10. CUI PROTECTION REQUIREMENTS

a. SPCE 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 SPCE security team at MTOSecurity@darpa.mil.

b. Data breaches of DIB networks and systems involving SPCE 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 MTO program security officer

(PSO) upon discovery MTOSecurity@darpa.mil.

12. INFORMATION PROTECTION GUIDANCE CHARTS

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

SPCE technology when used in DoD reference mission architectures is CTI.

Defense Controlled

Technical

Information

(CTI)

DFARS

252.204.7012 and

DoDI 5230.24

DISTRIBUTION

STATEMENT D.

Distribution authorized to the Department of

Defense and U.S. DoD contractors only Export

Controlled, (Date).

Other requests shall be referred to DARPA, Microsystems

Technology Office.

FOIA Exemption 3 may be applicable.

ITAR and EAR

The following banner must be placed on material containing export controlled items.

“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.

Integrated circuits designed or rated as radiation hardened to withstand a total dose of 5 x 103 Gy

(Si) or higher or a dose rate upset of 5 x 106 Gy (Si)/s or higher or a fluence of neutrons (1 MeV equivalent) of 5 x

1013 n/cm2 or higher on silicon or equivalent for other materials such as those consisting of hetereo-epitaxial materials consisting of a substrate having stacked epitaxially grown multiple layers.

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, (Date).

Other requests shall be referred to DARPA, Microsystems

Technology Office.

FOIA Exemption 3 may be

ITAR and EAR

The following banner must be placed on material containing export controlled items.

“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.

Non-public data controlled by the a business or individual as proprietary

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

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