HR001124S0038_HAPPI_Attachment_J_CUI_Guide_signed_09032024.pdf

DISTRIBUTION STATEMENT A

Approved for Public Release: Distribution Unlimited

Microsystems Technology Office (MTO) Controlled Unclassified Information Guide

Program: Heterogenous Adaptively Produced Photonic Interfaces (HAPPI) Program Manager: Dr. Anna Tauke-Pedretti

Program Security Officer: Mr. James Persons

Date: August 28, 2024 Version: 1

Dr. Anna Tauke-Pedretti 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. CUI CATAGORIES

6. FREEDOM OF INFORMATION ACT (FOIA) EXEMPT INFORMATION

7. DISCLOSURE of CUI

8. CUI PROTECTION REQUIREMENTS

9. NOTIFICATION OF UNAUTHORIZED DISCLOSURE

10. INFORMATION PROTECTION GUIDANCE CHART

iii

FOREWORD

1. DESCRIPTION

The Heterogenous Adaptively Produced Photonic Interfaces (HAPPI) program will develop adaptive photonic interfaces to route dense photonic circuits in three dimensions to optically connect an optical waveguide from one photonic integrated circuit (PIC) to another with low loss. Innovations will demonstrate vertical waveguiding, transmission through material boundaries, and out-of-plane transitions. Post assembly will include adapting optical transitions and interfaces for individual photonic chips and circuits to refine the optical mode and beam propagation. The ending capability for HAPPI will be design and fabrication methods to achieve optical control of amplitude, phase, and modal properties in three dimensional waveguides.

Certain technologies developed under HAPPI will be critical to the DoD. This guide identifies those aspects of the program that performers must handle as Controlled Unclassified Information (CUI). In addition, each performer must determine and assert the export controls (either Export Administration Regulations or International Traffic in Arms Regulations) relevant to their project and communicate that assertion to their contracting agent and to the DARPA Program Manager.

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.

Approved for Public Release: Distribution Unlimited

1. PURPOSE

The purpose of this CUI guide is to ensure the protection of Heterogenous Adaptively Produced Photonic Interfaces (HAPPI) information IAW DoDI 5200.48. Select program items identified in this CUI Guide will be held at CUI. HAPPI information deemed CUI 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.

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.

2. APPLICABILITY AND SCOPE

This guide applies to all DARPA personnel, support contractors, mission partners, and industrial performers who support HAPPI. 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 HAPPI. 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 HAPPI, in compliance with Executive Orders and related DoD guidance.

The scope of this guide is based on the HAPPI program as planned at the date of this guide and may be modified as strategic decisions are made over the course of the program.

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

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. CUI CATAGORIES

a. 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 meeting those criteria, if disseminated, would use distribution statements B through F in accordance with DoD Instruction 5230.24, Distribution Statements on Technical Documents.

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.

c. 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.

d. Operations Security. Unclassified information that could constitute an indicator of U.S.

Government intentions, capabilities, operations, or activities or otherwise compromise operations. This includes pre-decisional information.

e. HAPPI critical information falls under the following indexes of CUI:

1) Controlled Technical Information

2) Proprietary Business Information

3) Export Controlled

6. FREEDOM OF INFORMATION ACT (FOIA) EXEMPT INFORMATION

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 exemption for HAPPI is listed below; however other exemptions could apply:

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

Approved for Public Release: Distribution Unlimited

7. 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 MTO Program Security Officer (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.

8. CUI PROTECTION REQUIREMENTS

HAPPI CUI (e.g., OPSEC data, proprietary business information, etc.) 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.

CUI may only be processed on systems that are compliant with DFARS 252.204-7012 requirements as detailed in NIST 800-171.

9. NOTIFICATION OF UNAUTHORIZED DISCLOSURE

Personnel must immediately report all unauthorized disclosures or suspected and known security incidents, privacy breaches, and suspicious activities involving CUI to the HAPPI program PSO and PSR at james.persons@darpa.mil and joey.gilchrist.ctr@darpa.mil

Data breaches of DIB networks and systems involving HAPPI 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 PSO upon discovery.

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

Approved for Public Release: Distribution Unlimited

10. INFORMATION PROTECTION GUIDANCE CHART

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

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

Proprietary Business Information

General Proprietary Business Information

(PROPIN)

18 U.S. Code § 1905

18 U.S. Code § 664

Dissemination List Only

(See appendix A for DARPA approved dissemination list)

FOIA

Exemption 4 may be applicable

Design, processing recipes, fabrication and assembly flows enabling links exceeding density of 256 links per mm2

Export Control

Export Controlled Research

(EXPTR)

15 CFR 734.8(b) Federal Employees and Contractors Only

(FEDCON)

FOIA

Exemption 4 may be applicable

Source architecture, designs, detailed processing recipes, and performance data applicable in next-generation military systems is protected as CUI and may be CTI.

Defense Controlled Technical Information

(CTI)

Executive Order#14104 - Federal Research & Development in Support of Domestic Manufacturing and US Jobs dated 28 July 2023

Distribution statements B through F

FOIA

Exemption 4 may be applicable