OPF-L RFP_Attachment J.15_CUI GUIDANCE FOR Contractors.pdf

CUI MARKING GUIDANCE FOR CONTRACTORS

Publication of DoDI 5200.48 “DoD CUI Program” has eliminated “For Official Use Only (FOUO)” The only approved term is Controlled Unclassified Information (CUI), which is unclassified information that requires safeguarding or dissemination controls pursuant to and consistent with applicable law, regulations, and government-wide policies but is not classified under Executive Order 13526 or the Atomic Energy Act, as amended.

The DOD makes no distinction between “Basic” and “Specified” CUI. Therefore, banner markings for documents containing CUI shall be marked with “CUI” in the banner and footer of the document.

Paragraph portion markings, when used shall read (CUI) for those paragraphs containing CUI and (U) for unclassified information.

The contractor shall consider the contents of the deliverable and when the deliverable includes Controlled Unclassified Information (CUI), assign markings as appropriate in compliance with DoDI

5200.48 and the following:

The CUI category “Controlled Technical Information (CTI),” as defined in DFARS clause 252.227-7013 and clarified in the CUI Registry is technical information with military or space application that is subject to controls on the access, use, reproduction, modification, performance, display, release, disclosure, or dissemination. Examples include research and engineering data, engineering drawings, and associated lists, specifications, standards, process sheets, manuals, technical reports, technical orders, catalog-item identification, data sets, studies and analyses and related information, and computer software executable code and source code.

Information determined to be CTI shall be marked in accordance with the DoDI 5200.48 guidance and shall include a distribution statement consistent with the DoDI 5230.24. If it has distribution statement B-F it is CUI and requires a CUI Designation indicator. CTI must be in all CUI Designation Indicators because Distribution Statements are for technical information.

The cover sheet and first page of deliverables containing CTI shall be marked with the CUI Designation Indicator and Distribution Statement.

Example of CUI DIB for Technical Information (placed bottom right of document. No font specification.

Must be legible. Font 6 acceptable)

Controlled by: USMC Controlled by: MCSC, NAME OF PROGRAM (Do not spell out) CUI Category: CTI, EXPT (EXPT ONLY if Export Controlled CTI, Export Controlled Information, or Critical Technology) Distribution Statement: D POC: name or first.last@ or Office Mailbox and/or phone of Govt POC

DISTRIBUTION STATEMENT D: Distribution authorized to the Department of Defense and U.S. DoD contractors only, CTI, Critical Technology, 14 February 2023. Other requests shall be referred to Commander, MARCORSYSCOM, ATTN: PM CS, 2200 Lester St, Quantico, VA 22134-5050. (Placed at bottom of page below CUI Designation Indicator).

Controlled Technical Information (CTI) and Exported Controlled (EXPT) information are the only CUI that will be marked with a distribution statement. If the deliverable is determined to contain export

DOD INSTRUCTION 5230.24

DISTRIBUTION STATEMENTS ON DOD TECHNICAL

INFORMATION

Originating Component: Office of the Under Secretary of Defense for Research and Engineering

Effective: January 10, 2023

Releasability: Cleared for public release. Available on the Directives Division Website at https://www.esd.whs.mil/DD/.

Reissues and Cancels: DoD Instruction 5230.24, “Distribution Statements on Technical Documents,” August 23, 2012, as amended

Approved by: Heidi Shyu, Under Secretary of Defense for Research and Engineering

Purpose: In accordance with the authority in DoD Directive (DoDD) 5137.02 and pursuant to Section 133a of Title 10, United States Code (U.S.C.), this issuance:

• Establishes policies, assigns responsibilities, and provides procedures for assigning distribution statements on technical information, including: research, development, test and evaluation (RDT&E);

engineering; acquisition; and sustainment information, to denote the extent to which the technical information is available for secondary release and distribution without additional approvals or authorizations.

• Establishes a standard framework and markings for managing, sharing, safeguarding, and distributing technical information in accordance with national and operational security, privacy, records management, intellectual property, Federal procurement, and export-control policies, regulations, and laws.

• Aligns marking procedures for controlled technical information (CTI) in accordance with procedures described in DoD Instruction (DoDI) 5200.48 and Part 2002 of Title 32, Code of Federal Regulations

(CFR).

• Helps originators of technical information determine to what extent it must be controlled in accordance with DoDD 5230.25.

Sticky Note

DoD Instruction 5200.48, “Controlled Unclassified Information (CUI),” March 6, 2020 https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodi/520048p.PDF?ver=2020-03-06-100640-800

Part 2002: Controlled Unclassified Information (CUI) https://www.ecfr.gov/current/title-32/subtitle-B/chapter-XX/part-2002

DoD Directive 5137.02, “Under Secretary of Defense for Research and Engineering (USD(R&E)),” July 15, 2020 https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodd/513702p.pdf?ver=2020-07-15-124712-047

10 USC, CH 4, Sec. 133a.Under Secretary of Defense for Research and Engineering.

https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title10-section133a&num=0&edition=prelim

DoD Directive 5230.25, “Withholding of Unclassified Technical Data from Public Disclosure,” November 6, 1984, as amended https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodd/523025p.pdf?ver=2019-02-25-133644-407

DoDI 5230.24, January 10, 2023

TABLE OF CONTENTS 2

TABLE OF CONTENTS

SECTION 1: GENERAL ISSUANCE INFORMATION

1.1. Applicability

1.2. Policy

SECTION 2: RESPONSIBILITIES

2.1. Deputy Chief Technology Officer for Science and Technology (DCTO(S&T))

2.2. Administrator, Defense Technical Information Center (DTIC)

2.3. Under Secretary of Defense for Acquisition and Sustainment

2.4. Under Secretary of Defense for Policy

2.5. Under Secretary of Defense for Intelligence and Security

2.6. General Counsel of the Department of Defense

2.7. Director of Administration and Management

2.8. DoD Component Heads

SECTION 3: PROCEDURES

3.1. General

3.2. Public Release of Technical Information

3.3. Classified Technical Information

3.4. Unclassified CTI

SECTION 4: DISTRIBUTION STATEMENTS FOR USE ON TECHNICAL INFORMATION

4.1. General

4.2. Distribution Statements and Notices

a. Distribution Statement A

b. Distribution Statement B

c. Distribution Statement C

d. Distribution Statement D

e. Distribution Statement E

f. Distribution Statement F

g. REL TO Notice

4.3. Defense Categories

a. CTI

b. Contractor Performance Evaluation

c. Critical Technology

d. Direct Military Support

e. Export Controlled

f. Foreign Government Information

g. International Agreements (IAs)

h. Operations Security

i. Patents and Inventions

j. Proprietary Business Information

k. Small Business Innovation Research (SBIR)

l. Software Documentation

m. Test and Evaluation

n. Vulnerability Information

TABLE OF CONTENTS 3

SECTION 5: THIRD PARTY–IMPOSED MARKINGS

5.1. General

5.2. Restrictive Markings

a. General

b. Procurement Contracts

c. Instruments Other Than Federal Acquisition Regulation-Based Contracts

d. Other Forms of Proprietary Information

e. Copyright

5.3. Reviewing the Applied Markings

a. Step 1

b. Step 2

c. Step 3

GLOSSARY

G.1. Acronyms G.2. Definitions

REFERENCES

TABLES

Table 1. Distribution Statements and Their Corresponding Categories for Use

FIGURES

Figure 1. Example CUI Designation Indicator and Distribution Statement for CTI Figure 2. Example Distribution Statement for CTI Figure 3. Export-Control Warning

SECTION 1: GENERAL ISSUANCE INFORMATION 4

SECTION 1: GENERAL ISSUANCE INFORMATION

1.1. APPLICABILITY.

This issuance:

a. Applies to:

(1) OSD, the Military Departments, the Office of the Chairman of the Joint Chiefs of Staff and the Joint Staff, the Combatant Commands, the Office of Inspector General of the Department of Defense, the Defense Agencies, the DoD Field Activities, and all other organizational entities within the DoD (referred to collectively in this issuance as the “DoD Components”).

(2) Newly created, revised, or previously unmarked classified and unclassified technical information originated or managed by all DoD-funded RDT&E programs and DoD technical information originated or managed by DoD acquisition and sustainment activities, including system design, development, production, and procurement; sustainment, including logistics, maintenance, and materiel readiness; or collaboration activities.

(3) Newly created, revised, or previously unmarked information, whether in tangible (e.g., technical report, model, prototype, blueprint, photograph, plan, instruction, operating manual) or intangible form (e.g., technical service or visual description), including but not limited to:

(a) Engineering drawings.

(b) Configuration-management documentation.

(c) Engineering data and associated lists.

(d) Standards.

(e) Specifications.

(f) Technical manuals, reports, and orders.

(g) Blueprints, plans, and instructions.

(h) Computer software and computer software documentation.

(i) Catalog-item identifications.

(j) Data sets, studies and analyses, and other technical information that can be used or be adapted for use to design, engineer, produce, manufacture, operate, repair, overhaul, or reproduce any military or space equipment or technology concerning such equipment.

SECTION 1: GENERAL ISSUANCE INFORMATION 5

(k) Other types of technical data.

b. Does not apply to technical information categorized as cryptographic and communications security, communications, and electronic intelligence and such other categories that may be designated by the; Director, National Security Agency; Chief, Central Security Service; or the Under Secretary of Defense for Intelligence and Security.

c. May not be used by the DoD Components as authority to deny information to Congress or any Federal, State, or local government agency that requires such information for regulatory or other official government purposes. The DoD Component will notify the recipient when information is subject to DoD distribution controls.

d. Does not provide authority to withhold from public release unclassified information regarding DoD operations, policies, activities, or programs, including the costs and evaluations of performance and reliability of military and space equipment or any other information that is not exempt from release in accordance with DoDD 5400.07; DoDIs 5200.01, 5230.09, and 5230.29; DoD Manual (DoDM) 5200.01; or DoDM 5230.30.

1.2. POLICY.

The DoD will pursue a coordinated and comprehensive program to promote sharing technical information to the maximum extent possible to facilitate the efficient use of resources in accordance with safeguarding requirements as specified in national and DoD information and operations security policies, procurement regulations, policies, and procedures, including those related to competitive procurement, regulations, and laws specified in this issuance.

DoD Directive 5400.07, “DoD Freedom of Information Act (FOIA) Program,” April 5, 2019 https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodd/540007p.pdf

DoD Instruction 5200.01, “DoD Information Security Program and Protection of Sensitive Compartmented Information (SCI),” April 21, 2016, as amended https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodi/520001p.PDF?ver=cF1II-jcFGP6jfNrnTr8lQ%3d%3d

DoD Instruction 5230.09, “Clearance of DoD Information for Public Release,” January 25, 2019, as amended https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodi/523009p.pdf?ver=nuEwULZ-197fNysiam2Mnw%3d%3d

DoD Instruction 5230.29, “Security and Policy Review of DoD Information for Public Release,” August 13, 2014, as amended https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodi/523029p.pdf?ver=FuGAr26eX4WUOocf3qhnCQ%3d%3d

DoD Manual 5200.01, “DoD Information Security Program,” February 24, 2012, as amended https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodm/520001m_vol1.pdf?ver=2020-08-04-092500-203

DoD Manual 5230.30, “DoD Mandatory Declassification Review (MDR) Program,” December 22, 2011, as amended https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodm/523030m.pdf?ver=ylN5iXMUU0ed12DPQ2Y8Cg%3d%3d giselle.pozzerle

Highlight

SECTION 2: RESPONSIBILITIES 6

SECTION 2: RESPONSIBILITIES

2.1. DEPUTY CHIEF TECHNOLOGY OFFICER FOR SCIENCE AND TECHNOLOGY

(DCTO(S&T)).

Under the authority, direction, and control of the Under Secretary of Defense for Research and Engineering, the DCTO(S&T) takes such actions that may be required to ensure consistent and appropriate implementation and control of technical information within this issuance’s scope.

2.2. ADMINISTRATOR, DEFENSE TECHNICAL INFORMATION CENTER (DTIC).

Under the authority, direction, and control of the Under Secretary of Defense for Research and Engineering and in addition to the responsibilities in Paragraph 2.8., the Administrator, DTIC:

a. Acts as the DoD scientific and technical information program manager.

b. Maintains permanent documentation of controlling DoD office decisions for classifying and distributing technical information.

2.3. UNDER SECRETARY OF DEFENSE FOR ACQUISITION AND SUSTAINMENT.

The Under Secretary of Defense for Acquisition and Sustainment directs implementation of this issuance in accordance with DoDI 5000.90 to protect technical information developed or used within the Defense Acquisition System. Such implementation includes technology security and foreign disclosure reviews by appropriate authorities of technical information proposed for release to international partners or other external organizations.

2.4. UNDER SECRETARY OF DEFENSE FOR POLICY.

The Under Secretary of Defense for Policy:

a. Establishes DoD policy for international technology transfers, including, but not limited to, defense-related goods, services, and technologies.

b. Provides policy oversight of DoD activities relating to export controls and technology transfers.

c. Establishes and oversees the implementation of national and DoD policy for the disclosure of classified military information and foreign-engagement policy.

2.5. UNDER SECRETARY OF DEFENSE FOR INTELLIGENCE AND SECURITY.

The Under Secretary of Defense for Intelligence and Security:

DoD Instruction 5000.90, “Cybersecurity for Acquisition Decision Authorities and Program Managers,” December 31, 2020 https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodi/500090p.PDF?ver=MIG3uLnzXl31QcvXJTZ5uA%3d%3d

SECTION 2: RESPONSIBILITIES 7

a. Integrates the guidance in this issuance into the DoD information security and DoD operations security policies and programs, as applicable.

b. Exercises acquisition authority, as delegated by the Under Secretary of Defense for Acquisition and Sustainment, the Director of National Intelligence, or other appropriate official, for Intelligence, Counterintelligence, and Security technologies, systems, and equipment.

c. Ensures the exercise of acquisition authority by the heads of the Defense Intelligence, CI, and Defense Security Components is in coordination with the Under Secretary of Defense for Acquisition and Sustainment.

2.6. GENERAL COUNSEL OF THE DEPARTMENT OF DEFENSE.

The General Counsel of the Department of Defense advises the DoD Components regarding the statutory and regulatory requirements governing the export or other distribution of technical information.

2.7. DIRECTOR OF ADMINISTRATION AND MANAGEMENT.

The Director of Administration and Management:

a. Issues policy directing that the Washington Headquarters Services Defense Office of Prepublication and Security Review (DOPSR), or DoD Component public affairs personnel, properly review technical information submitted for public release clearance in accordance with DoDI 5230.09 to determine whether Distribution Statement A, as described in Paragraph 4.2.a., is appropriate for the technical information.

b. Processes appeals when public release is denied based upon this issuance, in accordance with DoDI 5230.29.

2.8. DOD COMPONENT HEADS.

The DoD Component heads:

a. Ensure that this issuance is implemented across their respective DoD Components in a uniform, consistent manner.

b. Ensure the Component’s designation, handling, and decontrolling—including identification, sharing, marking, safeguarding, storage, distribution, and destruction—of controlled unclassified information (CUI) is in accordance with DoDI 5200.48.

c. Ensure that the controlling DoD office:

(1) Exercises its inherent U.S. Governmental responsibility to determine the appropriate marking of controlled technical information in accordance with this issuance, DoDI 5200.48, DoDI 5230.09, and DoDM 5200.01.

DoD Instruction 5230.09, “Clearance of DoD Information for Public Release,” January 25, 2019, as amended https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodi/523009p.pdf?ver=nuEwULZ-197fNysiam2Mnw%3d%3d

DoD Instruction 5230.29, “Security and Policy Review of DoD Information for Public Release,” August 13, 2014, as amended https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodi/523029p.pdf?ver=FuGAr26eX4WUOocf3qhnCQ%3d%3d

DoD Instruction 5230.09, “Clearance of DoD Information for Public Release,” January 25, 2019, as amended https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodi/523009p.pdf?ver=nuEwULZ-197fNysiam2Mnw%3d%3d

DoD Manual 5200.01, “DoD Information Security Program, Vol 2; Marking of Information” February 24, 2012, as amended https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodm/520001m_vol2.pdf?ver=2020-08-04-112507-683

SECTION 2: RESPONSIBILITIES 8

(2) Correctly marks and applies the appropriate distribution statement for all technical information regardless of media or form, including, but not limited to, RDT&E, sustainment, and logistics information.

d. Establish and maintain active education and training programs to provide a basic understanding of distribution statements and export-control markings and to inform personnel of their responsibilities for the proper handling and protection of marked technical information.

e. Ensure that managers of DoD technical programs assign distribution statements to all technical information originating in their programs.

f. Ensure that contractors and award recipients generating or holding CTI marked with Distribution Statements B through F comply with the cybersecurity requirements and export-control requirements directed by Clauses 252.204-7012 and 252.225-7048 of the Defense Federal Acquisition Regulation Supplement (DFARS), respectively.

g. Pursuant to Chapters 29, 31, and 33 of Title 44, U.S.C., and Subchapter B of Chapter XII of Title 36, CFR, ensure that all records created or received in accordance with this issuance, regardless of format or medium, are maintained and managed in accordance with DoD Component records management issuances and National Archives and Records Administration– approved dispositions to ensure proper maintenance, use, accessibility, and preservation.

h. Integrate operations security into DoD technical information distribution considerations to protect critical information and indicators associated with DoD technical information, in accordance with DoDD 5205.02E.

48 CFR, CH 2, SubCH H, Part 252, Subpart 252.2, Sec 252.204-7012 Safeguarding covered defense information and cyber incident reporting.

https://www.ecfr.gov/current/title-48/chapter-2/subchapter-H/part-252/subpart-252.2/section-252.204-7012

252.225-7048 Export-Controlled Items.

https://www.ecfr.gov/current/title-48/chapter-2/subchapter-H/part-252/subpart-252.2/section-252.225-7048

44 USC, CHAPTER 29—RECORDS MANAGEMENT BY THE ARCHIVIST OF THE UNITED STATES AND BY THE ADMINISTRATOR OF GENERAL SERVICES https://uscode.house.gov/browse/prelim@title44/chapter29&edition=prelim

44 USC, CHAPTER 31—RECORDS MANAGEMENT BY FEDERAL AGENCIES

https://uscode.house.gov/browse/prelim@title44/chapter31&edition=prelim

44 USC, CHAPTER 33—DISPOSAL OF RECORDS

https://uscode.house.gov/browse/prelim@title44/chapter33&edition=prelim

Title 44—Public Printing And Documents https://uscode.house.gov/browse/&edition=prelim

Title 36: Parks, Forests, and Public Property https://www.ecfr.gov/current/title-36

Chapter XII: National Archives and Records Administration https://www.ecfr.gov/current/title-36/chapter-XII

36 CFR, CH XII, Subchapter B: Records Management https://www.ecfr.gov/current/title-36/chapter-XII/subchapter-B

DoD Directive 5205.02E, “DoD Operations Security (OPSEC) Program,” June 20, 2012, as amended https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodd/520502e.pdf?ver=2020-08-20-150856-547

SECTION 3: PROCEDURES 9

SECTION 3: PROCEDURES

3.1. GENERAL.

a. All DoD Components generating or responsible for technical information will determine who is authorized to access the information and apply the appropriate markings before primary distribution. Distribution statements will be used in addition to applicable classification markings pursuant to Volume 2 of DoDM 5200.01 and CUI markings pursuant to DoDI 5200.48.

b. DoD distribution statements are not required on technical proposals or similar documents submitted by contractors seeking DoD funds or contracts; however, markings specified by applicable acquisition regulations apply.

c. Distribution statements assigned to technical information by the controlling DoD office control secondary distribution in accordance with Volume 1 of DoDM 3200.14.

d. Technical information supporting acquisition, sustainment, logistics, maintenance, repair, supply, and RDT&E that is subject to the restrictions of this issuance will be marked, maintained, distributed, and controlled.

e. Unless otherwise authorized by the controlling DoD office, non-U.S. Government entities or individuals are strictly prohibited from further distributing technical information subject to the restrictions in this issuance.

f. All newly created, revised, or previously unmarked classified and unclassified DoD technical information will be assigned a distribution statement as described in Paragraph 4.2.

g. Distribution Statement X has been cancelled. Instead, use the export-control category described in Paragraph 4.3.e. Subsequent distribution of formerly Distribution Statement X information will display Distribution Statement C with export control as the stated reason for the marking.

h. Selection of the appropriate distribution statement is based on a number of considerations, including, but not limited to:

(1) Public release procedures specified in Enclosure 3 of DoDI 5230.29.

(2) Export controls in accordance with DoDD 5230.25; Parts 120–130 of Title 22, CFR (also known and referred to in this issuance as the International Traffic in Arms Regulations (ITAR)); and Parts 730–774 of Title 15, CFR (also known and referred to in this issuance as the Export Administration Regulations (EAR)).

(3) Export controls in accordance with Parts 110 and 810 of Title 10, CFR.

(4) Intellectual property and data-rights licenses for contract deliverables as described in Part 227 of the DFARS and the terms of the applicable transactional instrument.

mailto:daniel.duke@pentagon.af.mil mailto:daniel.duke@pentagon.af.mil

Sticky Note

DoD Manual 5200.01, VOL 2, “DoD Information Security Program: Marking of Information” February 24, 2012, as amended https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodm/520001m_vol2.pdf?ver=2020-08-04-112507-683 https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodi/520048p.PDF?ver=020-03-06-100640-800

DoD Manual 3200.14, Volume 1, “Principles and Operational Parameters of the DoD Scientific and Technical Information Program (STIP): General Processes,” March 14, 2014, as amended https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodm/320014m_vol1.pdf?ver=2019-02-25-134057-707

DoD Instruction 5230.29, “Security and Policy Review of DoD Information for Public Release,” August 13, 2014, as amended https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodi/523029p.pdf?ver=FuGAr26eX4WUOocf3qhnCQ%3d%3d

DoD Directive 5230.25, “Withholding of Unclassified Technical Data from Public Disclosure,” November 6, 1984, as amended

10 CFR, CH I, Part 110: Export and Import of Nuclear Equipment and Material https://www.ecfr.gov/current/title-10/chapter-I/part-110?toc=1

10 CFR, CH III, Part 810: Assistance to Foreign Atomic Energy Activities https://www.ecfr.gov/current/title-10/chapter-III/part-810?toc=1

CFR Title 10: Energy https://www.ecfr.gov/current/title-10

48 CFR, CH 2, Part 227: Patents, Data, and Copyrights https://www.ecfr.gov/current/title-48/chapter-2/subchapter-E/part-227?toc=1

22 CFR, CH I, SubCH M: International Traffic in Arms Regulations, Parts 120-130 https://www.ecfr.gov/current/title-22/chapter-I/subchapter-M

15 CFR, Subtitle B, CH VII SubCH C: Export Administration Regulations https://www.ecfr.gov/current/title-15/subtitle-B/chapter-VII/subchapter-C

SECTION 3: PROCEDURES 10

(5) Relevant security classification guides, science and technology protection plans, program protection plans, and technology area protection plans as described in DoDI 5000.83.

i. Technical information in preliminary or working-draft form will be marked with a temporary notice or distribution statement pending proper security classification and distribution statement review as required by this issuance.

j. The first page or cover of any technical document will clearly display the distribution statement including the letter code and full statement described in Section 4, regardless of media or format.

(1) The distribution statement will appear in Block 12 of the Standard Form (SF) 298, “Report Documentation Page,” available on the U.S. General Services Administration Website at https://www.gsa.gov/forms-library/report-documentation-page, in accordance with Volume 1 of DoDM 3200.14 and DFARS Clause 252.235-7011.

(2) If the technical information is not prepared in hard copy or paper form and is prepared digitally or in any medium that cannot practicably have a cover or title page, the appropriate distribution statement will be affixed to all physical and digital items by other means in as obvious a position as possible. Additionally, an oral presentation of the information, including voice recordings, will note the distribution statement.

k. Distribution statements will remain in effect until changed or removed by the controlling DoD office. Removal of or tampering with control markings by unauthorized personnel is strictly prohibited.

(1) If technical information has been declassified pursuant to Executive Order 13526 and the DoD Mandatory Declassification Review Program described in DoDM 5230.30, the distribution statement will be changed to reflect the final release determination.

(2) Technical information that has been reviewed pursuant to the Section 552 of Title 5, U.S.C. (also known as the Freedom of Information Act), and processed in accordance with DoDM 5400.07, and Section 2002.44(b) of Title 32, CFR, will be marked with a distribution statement to reflect the final release determination.

l. Each controlling DoD office will establish and maintain a procedure to review active and non-archived technical information for which it is responsible in order to increase availability when conditions permit. When release restrictions no longer apply, the controlling DoD office will obtain public-release determinations in accordance with DoDI 5230.09 and assign Distribution Statement A, cancel any other distribution statement, and notify DTIC and all known holders of the technical information of the change.

m. The controlling DoD office will notify DTIC, other known repositories and authorized holders promptly so that they can have an authoritative record of controlling DoD office decisions regarding classification and distribution when:

(1) The controlling DoD office’s address changes.

32 CFR, Subtitle B, CH XX, Part 2002, Subpart C, Sec 2002.44(b) CUI and the Freedom of Information Act (FOIA).

https://www.ecfr.gov/current/title-32/subtitle-B/chapter-XX/part-2002/subpart-C/section-2002.44

DoD Directive 5400.07, “DoD Freedom of Information Act (FOIA) Program,” April 5, 2019 https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodm/540007_dodm_2017.pdf

DoD Instruction 5230.09, “Clearance of DoD Information for Public Release,” January 25, 2019, as amended https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodi/523009p.pdf?ver=nuEwULZ-197fNysiam2Mnw%3d%3d

DoD Instruction 5000.83, “Technology and Program Protection to Maintain Technological Advantage,” July 20, 2020, as amended https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodi/500083p.pdf?ver=fmz4Sx5tYVXnJZNKIoPoUQ%3d%3d

DoD Manual 3200.14, Volume 1, “Principles and Operational Parameters of the DoD Scientific and Technical Information Program (STIP): General Processes,” March 14, 2014, as amended https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodm/320014m_vol1.pdf?ver=2019-02-25-134057-707

252.235-7011 Final scientific or technical report.

https://www.ecfr.gov/current/title-48/chapter-2/subchapter-H/part-252/subpart-252.2/section-252.235-7011

Executive Order 13526, “Classified National Security Information,” December 29, 2009 https://www.federalregister.gov/executive-order/13526

DoD Manual 5230.30, “DoD Mandatory Declassification Review (MDR) Program,” December 22, 2011, as amended https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodm/523030m.pdf?ver=ylN5iXMUU0ed12DPQ2Y8Cg%3d%3d

5 USC, Part I, CH 5, SubCH II, Sec 552: Public information; agency rules, opinions, orders, records, and proceedings https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title5-section552&num=0&edition=prelim

SECTION 3: PROCEDURES 11

(2) The controlling DoD office is redesignated.

(3) Classification markings, U.S. Government data-rights, distribution statements, or export-control warnings are changed or removed.

n. When possible or appropriate, those parts of a document that contain classified information or CTI will be prepared as an attachment, addendum, annex, enclosure, or similar removable section to allow separate distribution of the basic document at the lowest level of classification and to the widest possible audience.

o. Metadata describing technical information (e.g., title, abstract, keywords) will be written for the widest possible distribution in accordance with law, regulation, DoD policy, relevant security classification guides, science and technology protection plans, program protection plans, technology-area protection plans, or any other guidance pertaining to the withholding or release of technical information contained therein. When practical, metadata will be written in such a way that its content is unclassified and can be reviewed and determined by the DOPSR or the DoD Component public affairs personnel to be appropriate for Distribution Statement A.

p. Unclassified materials in any medium marked with Distribution Statement B, C, D, E, or F will be handled in accordance with procedures for banner marking, handling, storage, transmission, decontrol, and destruction described in DoDI 5200.48.

q. When no longer needed, CUI will be destroyed in accordance with DoDI 5200.48.

r. All records, regardless of format or medium, will be maintained and managed pursuant to National Archives and Records Administration–approved dispositions to ensure the proper maintenance, use, accessibility, and preservation.

3.2. PUBLIC RELEASE OF TECHNICAL INFORMATION.

a. DoDI 5230.09 requires a review of all DoD information before public release. Except as required by applicable Federal statutes or regulations or Executive orders, scientific and technical information resulting from unclassified fundamental research is exempt from prepublication controls and the review required by DoDI 5230.29.

b. Before submission to the DOPSR, DoD Components will ensure that all required preliminary reviews are conducted in accordance with DoDI 5230.29.

c. The DOPSR will approve for public release any official DoD information meeting the publication conditions of DoDI 5230.29. In accordance with DoDI 5230.29, DoD Component clearance authority may be delegated to the lowest level competent to evaluate the content and implications of public release of the information.

d. DoD technical information approved for public release will be marked “Distribution Statement A. Approved for public release: distribution unlimited.”

DoD Instruction 5230.09, “Clearance of DoD Information for Public Release,” January 25, 2019, as amended https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodi/523009p.pdf?ver=nuEwULZ-197fNysiam2Mnw%3d%3d

DoD Instruction 5230.29, “Security and Policy Review of DoD Information for Public Release,” August 13, 2014, as amended https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodi/523029p.pdf?ver=FuGAr26eX4WUOocf3qhnCQ%3d%3d

DoD Instruction 5230.29, “Security and Policy Review of DoD Information for Public Release,” August 13, 2014, as amended https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodi/523029p.pdf?ver=FuGAr26eX4WUOocf3qhnCQ%3d%3d

DoD Instruction 5230.29, “Security and Policy Review of DoD Information for Public Release,” August 13, 2014, as amended https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodi/523029p.pdf?ver=FuGAr26eX4WUOocf3qhnCQ%3d%3d

DoD Instruction 5230.29, “Security and Policy Review of DoD Information for Public Release,” August 13, 2014, as amended https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodi/523029p.pdf?ver=FuGAr26eX4WUOocf3qhnCQ%3d%3d

SECTION 3: PROCEDURES 12

e. Official DoD information, including, but not limited to, audio-visual materials or press releases that meet the criteria in DoDD 5122.05, will be coordinated through the Office of the Assistant to the Secretary of Defense for Public Affairs prior to public release.

3.3. CLASSIFIED TECHNICAL INFORMATION.

a. Classified technical information will be marked in accordance with Volume 2 of DoDM

5200.01 and assigned Distribution Statements B, C, D, E, or F. The distribution statement assigned to classified information will remain after declassification until the controlling DoD office changes or removes it.

b. If a classified document contains CTI, “CUI Warning Box for Classified Material” will appear on the first page of the document to alert readers to the presence of CUI. DoD Components will follow the format as described in DoDI 5200.48.

c. Declassified technical information that has no assigned distribution statement will be reviewed for possible CTI content and be handled as Distribution Statement E (“Distribution authorized to DoD Components only”) until the controlling DoD office changes it.

d. Declassified technical information containing CTI will be marked with a “CUI Designation Indicator” on the first page of the document using the marking and format described in DoDI 5200.48.

e. Security classification guides will be marked in accordance with DoDM 5200.45.

3.4. UNCLASSIFIED CTI.

a. All unclassified CTI must be marked as CUI in accordance with DoDI 5200.48. DoD legacy material, including CTI, will not be required to be remarked or redacted while it remains under DoD control or is accessed online and downloaded for use within the DoD. However, any such information or new derivative information must be marked as CUI if a careful analysis determines that it qualifies as CUI.

b. Unclassified CTI originated by or under the control of the DoD will be marked with a distribution statement.

c. CUI that is not technical information as defined in the Glossary will be marked in accordance with DoDI 5200.48.

d. Procedures for marking DoD unclassified CTI align with the requirements of DoDI

5200.48. DoD-controlled unclassified technical information will include “CUI” in the banner and footer of each page and must include a distribution statement. The controlling DoD office will determine distribution availability in accordance with Paragraph 3.1.h. and select the appropriate reason and audience for the content.

DoD Directive 5122.05, “Assistant to the Secretary of Defense for Public Affairs (ASD(PA)),” August 7, 2017 https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodd/512205_dodd_2017.pdf?ver=2017-08-07-125832-023

DoD Manual 5200.01, “DoD Information Security Program, Vol 2: Marking of Information” February 24, 2012, as amended https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodm/520001m_vol2.pdf?ver=2020-08-04-112507-683

DoD Manual 5200.45, “Instructions for Developing Security Classification Guides,” April 2, 2013, as amended https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodm/520045m.pdf?ver=2020-09-15-113512-400

SECTION 3: PROCEDURES 13

e. The first page or cover of any document or material containing CTI will include a CUI designation indicator as described in DoDI 5200.48. The indicator will include:

(1) Controlled By.

Insert the name of the DoD Component unless the first page or cover is on letterhead stationery.

(2) Controlled By.

Insert the name of the DoD office.

(3) CUI Category.

For DoD unclassified CTI, the overarching CUI category authorizing the use of distribution statements is “CTI.”

(4) Distribution Statement.

Insert the letter (B, C, D, E, or F) designating the appropriate distribution statement, described in Paragraph 4.2.

(5) Point of Contact.

Include the controlling DoD office’s telephone number and/or office mailbox address. It is good practice to ensure that the telephone number and mailbox address are valid in case of personnel turnover.

f. Place the indicator at the bottom-right side of the first page or cover page, if applicable, of all technical information containing CUI, including classified material.

g. Directly beneath and separate from the CUI designation indicator box, affix the distribution statement in its entirety, including authorized audience, category, date of determination, and controlling DoD office. See Figures 1 and 2 for examples.

SECTION 3: PROCEDURES 14

Figure 1. Example CUI Designation Indicator and Distribution Statement for CTI

Controlled By: OUSD(R&E) Controlled By: Defense Advanced Research Projects Agency CUI Category: CTI, Proprietary Business Information Distribution Statement: E POC: dod.component.mailbox@mail.mil

Figure 2. Example Distribution Statement for CTI

Distribution Statement E. Distribution authorized to DoD only; Proprietary Business Information; 18 OCT 2008. Other requests for this document must be referred to Defense Advanced Research Projects Agency, ATTN: TIO, 675 North Randolph Street Arlington, VA 22203-2114.

h. For newly originated, revised, or previously unmarked technical information, the controlling DoD office will determine whether the information contains export-controlled technical information. DoDD 5230.25, the ITAR, and the EAR provide guidance for making this determination. Personnel responsible for technology security, foreign disclosure, release reviews, or export-control analysis may provide additional guidance.

i. All information found to contain export-controlled technical information will be marked with the export-control warning in Paragraph 4.3.e.(2). Any information so marked must also be assigned Distribution Statement B, C, D, or E and specify “Export Controlled” as a reason for the assignment. This information must also include the notice to accompany the release of export-controlled data specified in DoDD 5230.25. Such information will be released only to entities qualified to receive export-controlled technical information.

j. All technical information delivered to the U.S. Government that includes contractor-owned proprietary data or other third-party intellectual property described in Section 5 will be clearly and legibly marked with the applicable data-rights markings as specified in Clause 252.227-7013, 252.227.7015, or 252.227-7018 of the DFARS, as applicable. The type of data-rights licenses that the U.S. Government holds will be a consideration when assigning distribution statements.

DoD Directive 5230.25, “Withholding of Unclassified Technical Data from Public Disclosure,” November 6, 1984, as amended https://www.pmddtc.state.gov/ddtc_public?id=ddtc_kb_article_page&sys_id=%2024d528fddbfc930044f9ff621f961987 https://www.bis.doc.gov/index.php/regulations/export-administration-regulations-ear

DoD Directive 5230.25, “Withholding of Unclassified Technical Data from Public Disclosure,” November 6, 1984, as amended

48 CFR, CH 2, SubCH H, Part 252, Subpart 252.2, Sec 252.227-7013 Rights in Technical Data-Noncommercial Items.

https://www.ecfr.gov/current/title-48/chapter-2/subchapter-H/part-252/subpart-252.2/section-252.227-7013

48 CFR, CH 2, SubCH H, Part 252, Subpart 252.2, Sec 252.227-7015 Technical Data - Commercial Items.

https://www.ecfr.gov/current/title-48/chapter-2/subchapter-H/part-252/subpart-252.2/section-252.227-7015

48 CFR, CH 2, SubCH H, Part 252, Subpart 252.2, Sec 252.227-7018 Rights in Noncommercial Technical Data and Computer Software - Small Business Innovation Research (SBIR) Program.

https://www.ecfr.gov/current/title-48/chapter-2/subchapter-H/part-252/subpart-252.2/section-252.227-7018

Proprietary Business Information is Not a CUI Category. This is an organizational index grouping containing 6 CUI categories. See NARA website to select appropriate CUI category.

https://www.archives.gov/cui

SECTION 4: DISTRIBUTION STATEMENTS FOR USE ON TECHNICAL INFORMATION 15

SECTION 4: DISTRIBUTION STATEMENTS FOR USE ON TECHNICAL

INFORMATION

4.1. GENERAL.

a. Distribution statements will be shown on the title page or front cover of any technical document as described in Paragraph 3.1.j and on SF 298, where applicable. Compilations of documents may have different distribution statements governing their distribution if separated from the main document. The distribution statement applicable to the main document will be governed by the most restrictive distribution statement applicable to any part of the main document.

b. The wording of the distribution statements specified by this issuance may not be modified to accommodate additional distribution concerns such as distribution to foreign governments.

(1) Release or disclosure to foreign entities is outside the scope of secondary distribution as defined in the Glossary. Such release or disclosure must be in accordance with DoDD

5230.11 and DoDI 2040.02, as applicable.

(2) Where other markings are authorized and used in accordance with associated law, regulation, or U.S. Government–wide policy, those markings may be used to further inform distribution decisions in accordance with Paragraph 4.2. (e.g., releasable to (“REL TO”)).

c. Distribution Statements B, C, D, and E are expressed in a standard format consisting of information in this order:

(1) Authorized audience.

(2) Defense category. This is the reason for the determination as to the extent to which the information is available for secondary release and distribution without additional approvals or authorizations. Categories are listed in Paragraph 4.3. Cite the category heading only, for example, “Controlled Technical Information.”

(3) Date of determination.

(4) Controlling DoD office.

d. Up to three reasons or justifications for the non-release of technical information may apply. Therefore, more than one defense category may be cited in a distribution statement. In these instances, the most restrictive reason will govern the overall distribution determination.

e. At the discretion of the controlling DoD office, for purposes of clarification, Distribution Statements B, C, D, and E may begin with the word “Secondary,” and the following text may precede the statement: “The [controlling DoD office] authorizes secondary distribution, release, and dissemination to the extent permitted by this distribution statement without additional approvals or authorizations.”

DoD Directive 5230.11, “Disclosure of Classified Military Information to Foreign Governments and International Organizations,” June 16, 1992 https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodd/523011p.pdf

DoD Instruction 2040.02, “International Transfers of Technology, Articles, and Services,” March 27, 2014, as amended https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodi/204002p.pdf?ver=2019-01-28-141235-830

SECTION 4: DISTRIBUTION STATEMENTS FOR USE ON TECHNICAL INFORMATION 16

4.2. DISTRIBUTION STATEMENTS AND NOTICES.

The distribution statements and notices described in this section are authorized for use on DoD technical information. A matrix of distribution statements and corresponding reasons appears in Table 1.

a. Distribution Statement A.

“Distribution Statement A. Approved for public release: distribution is unlimited.”

(1) This statement may be used only on unclassified technical information that has been approved for public release by a competent authority in accordance with the procedures described in Paragraph 3.2.

(2) Scientific or technical information resulting from contracted fundamental research efforts will normally be assigned Distribution Statement A, except for those rare and exceptional circumstances where there is a likelihood of disclosing performance characteristics of military systems or of manufacturing technologies that are unique and critical to defense. Extramural research must be scoped and negotiated by the contracting/agreement activity with the contractor and research performer and determined in writing by the contracting/agreement officer to be fundamental research.

(3) This statement will not be used on classified technical information or information containing export-controlled technical information.

(4) This statement may not be used on technical information that was formerly classified or designated as CUI unless such information is approved for public release as described in Paragraph 3.2.

b. Distribution Statement B.

“Distribution Statement B. Distribution authorized to U.S. Government agencies [category] [date of determination]. Other requests for this document must be referred to [controlling DoD office].”

(1) This statement can apply to classified, CUI, and unclassified technical information.

(2) Distribution is authorized only to employees of U.S. Government Executive Branch departments and agencies and DoD Components.

c. Distribution Statement C.

“Distribution Statement C. Distribution authorized to U.S. Government agencies and their contractors [category] [date of determination]. Other requests for this document must be referred to [controlling DoD office].”

SECTION 4: DISTRIBUTION STATEMENTS FOR USE ON TECHNICAL INFORMATION 17

(2) Distribution is authorized only to employees of U.S. Government Executive Branch departments and agencies and DoD Components, individuals, or employers who enter into a contract or award with the U.S. Government to perform a specific job, to supply labor and materials, or for the sale of products and services if such distribution is in furtherance of that contractual purpose.

d. Distribution Statement D.

“Distribution Statement D. Distribution authorized to the Department of Defense and U.S.

DoD contractors only [category] [date of determination]. Other requests for this document must be referred to [controlling DoD office].”

(2) Distribution is authorized only to military and civilian employees of the DoD or U.S.

DoD contractors or grantees who enter into a contract or award with the DoD to perform a specific job, to supply labor and materials, or for the sale of products and services if such distribution is in furtherance of that contractual purpose.

e. Distribution Statement E.

“Distribution Statement E. Distribution authorized to DoD Components only [category] [date of determination]. Other requests for this document must be referred to [controlling DoD office].”

(2) Distribution is authorized only to military personnel and civilian employees of the DoD.

(3) This statement will not be modified to further restrict access to specific branches or agencies within the DoD.

(4) Any technical information delivered to DTIC or any other DoD Component information center without a distribution statement will automatically be assigned Distribution Statement E.

f. Distribution Statement F.

“Distribution Statement F. Further distribution only as directed by [controlling DoD office] [date of determination] or higher DoD authority.”

(2) The controlling DoD office or a higher authority must be consulted before the material can be distributed. Use of this distribution statement cannot override distribution designated in Federal law, regulation, or U.S. Government–wide policy.

SECTION 4: DISTRIBUTION STATEMENTS FOR USE ON TECHNICAL INFORMATION 18

(3) To promote the free flow of information within the DoD, Distribution Statement F will not be used on classified, CUI, or unclassified scientific or technical information governed by the DoD scientific and technical information program described in DoDI 3200.12.

(4) Other technical information (e.g., technical manuals and orders, weapons, munitions documents) may be assigned Distribution Statement F, provided it will be reviewed on a 5-year cycle to consider a wider secondary distribution audience.

(5) The controlling DoD office must respond within 30 days to a request for release of technical information marked with Distribution Statement F. If the controlling DoD office agrees or there is no response within 30 days of receipt of a request to release the information, the information may be released to any DoD Component with Distribution Statement E and release must be documented.

g. REL TO Notice.

Information has been predetermined by the DoD controlling agency, in accordance with established foreign disclosure policies, to be releasable through established foreign disclosure procedures and channels to the foreign country or international organization indicated. The REL TO notice may be used to further inform distribution decisions. Follow the format described in Volume 2 of DoDM 5200.01.

4.3. DEFENSE CATEGORIES.

Defense categories…