DARPA_POWER_CUI_Guide_final_signed.pdf

Controlled Unclassified Information Guide

Program: POWER Program Manager: Col Paul Calhoun

Program Security Officer: Mr. Michael Langerman

Date: October 7th, 2022 Version: Version 1.0

Colonel Paul Calhoun TTO Program Manager

Mr. Michael Langerman TTO Program Security Officer

This document is not approved for public release

Local reproduction of this document is authorized only in its entirety.

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

FOREWORD

1. DESCRIPTION

The goal of the Persistent Optical Wireless Energy Relay (POWER) program is to mature the concept of airborne optical energy relays to enable future networked energy architectures.

The POWER program will prove the ability to compress the energy logistics timeline, and provide energy quantities capable of persistent operations of future systems from safe, ground base sources at near instantaneous rates. The culmination of the POWER program will be the development and flight test of a payload capable of redirecting energy transmissions, correcting wavefronts to maximize beam quality at each relay, and harvest energy for ownship use. A secondary goal and outcome of the POWER program will be the conceptual design for an optimized relay platform for the distribution of optical energy in a future wireless energy web architecture.

2. AUTHORITY

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

3. Distribution

The POWER program will adhere to dissemination and distribution control as outlined in Specific Distribution Guidance Document. Relevant distribution statements for this program are as follows.

Distribution C: Distribution authorized to U.S. Government agencies and their contractors

Distribution F: Further dissemination only as directed by DARPA/TTO or higher DoD authority.

1. PURPOSE

a. The purpose of this CUI guide is to ensure the protection of POWER information IAW DoDI 5200.48. POWER 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, International Traffic in Arms Regulations (ITAR)

2. APPLICABILITY AND SCOPE

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

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 TTOSecurity@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 TTOSecurity@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. POWER critical information falls under the following index of CUI :

1) Critical Technical Information about the POWER program as it relates to the conceptual optimized relay platform that could be a future DoD development.

2) Program partners and stakeholders which reveal United States strategic direction and applications.

3) Financial data as it applies to breakouts of the program budget more detailed than the total cost and as it relates to cost of a potential future optimized relay platform.

4) Hardware being developed under this contract subject to Export Control regulations.

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. Provisional: Operational Security (OPSEC) Information. This category relates to Unclassified information that could constitute an indicator of U.S. Government intentions, capabilities, operations, or activities or otherwise threaten/compromise operations security.

c. Procurement & Acquisition: General Procurement & Acquisition. Material and information relating to, or associated with, the acquisition and procurement of goods and services, including but not limited to, cost or pricing data, contract information, indirect costs and direct labor rates.

d. Financial: Budget. Related to information concerning the federal budget, including authorizations and estimates of income and expenditures.

e. 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.

7. EXPORT CONTROL RESTRICTED INFORMATION

a. For the purposes of the POWER program, any hardware created for the purposes of wireless energy relay and any research supporting the function of specific components in relation to energy web architectures and strategic concept of operations (CONOPS) is to be export controlled.

1) Category VIII – Aircraft and Related Articles. (a) (8) Aircraft specially designed to incorporate a defense article for the purpose of performing an electronic warfare function

2) Category XI – Military Electronics. (7) Developmental electronic equipment or systems funded by the Department of Defense via contract or other funding authorization

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 POWER are listed below; however other exemptions could apply:

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

2) Exemption Four: Trade secrets and commercial or financial information obtained from a person that is privileged or confidential.

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. POWER CUI (e.g., confidential business information, PII, controlled technical information, provisional partnerships, program budget & cost data) 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 POWER PSO and PSR at Michael.Langerman@darpa.mil.

b. Data breaches of DIB networks and systems involving POWER 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 POWER 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 TTOSecurity@darpa.mil.

Element of Information Index Category Reason Distribution Statement

Remarks

Performance and Capabilities

Performance of the Optimized Relay Platform

The field of regard (FOR) at which the system can receive or direct energy

Defense CTI DFARS 252.204.7012 and DoDI 5230.24

Distribution Statement C:

Distribution authorized to U.S.

Government agencies and their Other requests for this document shall be referred to DARPA/TTO

The number of redirect/transmission channels capable per node – defined by the total number of targets to have power delivered simultaneously from a single node.

Defense CTI DFARS 252.204.7012

Distribution authorized to U.S.

Government agencies and their Other requests for this document

Flight envelope of the platform (airspeed and altitude)

Defense CTI DFARS 252.204.7012

Distribution authorized to U.S.

Government agencies and their Other requests for this document

Aerodynamic capability of the vehicle (lift, drag, and maneuverability)

Defense CTI DFARS 252.204.7012

Distribution authorized to U.S.

Government agencies and their Other requests for this document

Total Energy Harvesting Capability/Requirement

Defense CTI DFARS 252.204.7012

Distribution authorized to U.S.

Government agencies and their Other requests for this document

Specifications POWER Demonstration Specifications

Host aircraft compatibility and integration

Defense CTI DFARS 252.204.7012

Statement F:

Further dissemination only as directed by DARPA/TTO or higher DoD authority.

CUI if it describes the host aircraft’s capability once integrated with POWER unless directed as higher by the controlling office.

Unclassified when just describing the interfaces of the demonstration system.

Optimized Relay Platform specifications

Mass properties of the

UAV

Defense CTI DFARS 252.204.7012

Distribution authorized to U.S.

Government agencies and their Other requests for this document shall be referred to DARPA/TTO

To include tabulated list of all subsystems

OML and technical drawings of the UAV

Defense CTI DFARS 252.204.7012

Distribution authorized to U.S.

Government agencies and their Other requests for this document

Projected cost per vehicle of the optimized relay platform

Procurement Acquisition

General Procurement & Acquisition

DFARS

252.204.7012

Distribution authorized to U.S.

Government agencies and their Other requests for this document

Program budget Financial Budget DFARS 252.204.7012

Distribution authorized to U.S.

Government agencies and their Other requests for this document

Vulnerabilities and Weaknesses

Limitations of the optimized relay platform, to include vehicle performance, metrics related to total power throughput, system efficiency, and compatible infrastructure.

Defense CTI DFARS 252.204.7012

Distribution authorized to U.S.

Government agencies and their Other requests for this document

Administrative Data

Program partners and stakeholders

Provision Operational Security Information

FAR 2.101 and 3.104

Distribution Statement C:

Distribution authorized to U.S.

Government agencies and their Other requests for this document shall be referred to DARPA/TTO

CUI unless directed as higher by stakeholder to protect disclosure of strategic investment.

Hardware Integrated Demonstration System

Export Controlled

Export Controlled

DFARS

252.204.7012

Further dissemination only as directed by DARPA/TTO or higher DoD authority.

Individual subsystems manufactured by the performer

Export Controlled

Export Controlled

DFARS

252.204.7012

Further dissemination only as directed by DARPA/TTO or higher DoD authority.

NO FURTHER ENTRIES

NO FURTHER

ENTRIES