CONTROL OF UNCLASSIFIED TECHNOLOGY WITH MILITARY APPLICATION

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP86B00885R000100050089-4
• Release Decision: RIFPUB
• Original Classification: K
• Document Page Count: 13
• Document Creation Date: December 20, 2016
• Document Release Date: June 15, 2007
• Sequence Number: 89
• Publication Date: October 18, 1983
• Content Type: MEMO

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THE SECRETARY OF DEFENSE
WASHINGTON, THE DISTRICT OF COLUMBIA
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.1 8 OCT 1983
MEMORANDUM FOR SECRETARIES OF MILITARY DEPARTMENTS
CHAIRMAN OF THE JOINT CHIEFS OF STAFF
UNDER SECRETARIES OF DEFENSE
ASSISTANT SECRETARIES OF DEFENSE
GENERAL COUNSEL
INSPECTOR GENERAL
ASSISTANTS TO THE SECRETARY OF DEFENSE
DIRECTORS OF DEFENSE AGENCIES
SUBJECT: Control of Unclassified Technology with Military
Application
There has been a substantial transfer. of US technology
to the Soviet Union through a variety of mechanisms. These
undesirable transfers, particularly technical data and
information related to technologies with military appli
have contributed greatly to the Soviet?s military capabilityns,
saved them millions of dollars in research and development
costs, and have helped them to develop countermeasures to US
weapon systems. Accordingly, it is necessary to provie an
system of control of technical data that is produced
by or for the Department of Defense that reduces the risk of
undesired transfer of such technical data.
The objective of establishing a system of controls in
the Department and defense industry is to protect Defense
technology, without incurring substantial cost and minimizing
the impact on scientific innovation and the capability of
defense industry to compete successfully in domestic and
international markets.
The process to establish such a system will identify the
technologies to be controlled, to include the state of emergence
at which controls should be initiated, and improve internal
dissemination control policies and
are now underway to develop compreheprocedures. rt
nsive policy, procs ures
and technical guidance in these areas will continue, butr,
additional steps must be taken to protect military technology
until that process is complete. The OSD Steering Committee on
National Security and Technology Transfer now is undertaking a
process to (1) identify technologies that most urgently require
uniform and consistent control throughout the Department and
defense industry, to include the state of emergence at which
controls should be initiated, and (2) to develop the necessary
policy, procedures, and technical guidance for the control of
these technologies.
Not referred to OSD - On file release
instructions apply.
4729G
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To update the procedures for marking and disseminating
documents containing technical data and information, I am
directing that the attached interim policy be implemented
immediately by all DoD Components.
I ask the cooperation of all DoD Components in gaining
better control over the loss of the Department's technology
base, as well as in satisfying its obligations under the
export control laws. gy
Attachment
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Interim
Policy for Markin
and Disseminat; nv not--.... m
The policy and procedures outlined herein are effective
immediately and all DoD Components will begin implementation as
quickly as feasible to provide administrative control of initial
and secondary distribution of Defense technical documents. De-
finition of terms is provided in attachment 1. Distribution
statement markings identified in attachment 2 are mandatory for
all newly generated documents that are controlled under the
Scientific and Technical Information Program (DODD 3200.12) or
acquired under the Defense Technical Data Management Program
(DODD 5010,12). No requirement is imposed to mark or control
dissemination of existing documents, but such marking and con-
trol is not precluded if dissemination of the existing document
may be limited for any of the reasons given in attachment 2 and
the document has not already been made generally available to
the public.
Technical documents that are categorized as cryptographic
and communications security, communications and electronic in-
telligence, and such other categories as may be designated by the
Director, National Security Agency, through alternate methods, are exempthfromdthesebmarkinls limited
sions.
g provi-
Review of university research publications should be in
accordance with USDRE policy memorandum, "
Publications and University Research Grants,l"v ofs21ySeptember
1982.
Scientific and technical information managed under DoDD
3200.12 will continue to be disseminated in accordance with
procedures for registration and certification established in
DoDD 5200.21. A similar registration system will be established
to control dissemination of technical documents acquired under
DoDD 5010.12. Registration sytems will be centralized or com-
bined as quickly as possible to provide a single source of con-
trol over access to all DoD technical documents.
Within the Department of Defense, physical protection
procedures established in DoD Regulation 5400,7-R, "DoD Free-
dom of Information Program," for handling "For Official Use
Only" documents will also apply to technical documents bearing
distribution limitation markings B, C, D, E, and F.
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INTERIfv PROCEDURES FOR ASSIGNING DISTRIBUTION
STATEMENTS ON DOD TECHNICAL DOCUMENTS
1. All DoD Components generating or responsible for technical
documents shall determine their distribution availability and
mark them appropriately before primary distribution.
a. All DoD technical documents must be assigned Distribu-
tion Statement A, B, C, D, E, or F.
b. Classified DoD technical documents may be assigned
Distribution Statement B, C, D, E, or F. The distribution
statement assigned to a classified document shall be retained
on the document after its downgrading or declassification. un-
til specifically changed or removed by the controlling DoD
office.
c. Technical documents resulting from DoD research and
technical efforts and that are intended for public release
should be protected until final determination is made by
competent authority in accordance with DoDD 5230.9 and
USDRE policy memorandum, "University Research Publications
and University Research Grants," of 21 September 1982.
d. Scientific and Technical documents which include a
contractor imposed limited rights' statement will be appro-
priately marked and controlled.
e. Controlling DoD offices are responsible for determining
distribution limitation of each report, whether it is an in-
house effort or contract/grant effort or whether the effort
is classified or unclassified, based on technology criticality.
The Militarily Critical Technologies List (MCTL) is one such
reference that can be used in making this determination.
f. Documents in preliminary or working draft form shall be
protected pending proper security classification review and
assignment of a distribution statement authorized by this
Directive.
2. Distribution statements shall remain in effect until changed
or removed by the controlling DoD office. Each controlling
office shall establish and maintain a procedure requiring review
of technical documents for which it is responsible, with the
objective of removing restrictions in distribution as soon as
conditions permit. The controlling DoD offices shall process
public release determinations in accordance with DoDD 5230.9.
When public release clearance is obtained, Distribution State-
ment A shall be assigned and cognizant document handling facili-
ties, including DTIC, shall be so notified by the DoD control-
ling office.
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3. Limitation statements previously assigned to technical
documents shall be converted as follows:
a. Documents bearing Distribution Statement A or B need
not be re-evaluated.
b. Documents bearing Distribution Statement #2 of super-
seded DoDD 5200.20, March 29, 1965, and not reviewed and re-
designated in accordance with DoDD 5200.20, September.24, 1970,
shall be assigned Distribution Statement C.
c. Documents bearing Distribution Statement #3 (USGO) of
superseded 5200.20, March 29, 1965, and not reviewed and re-
designated in accordance with DoDD 5200.20, September 24, 1970
shall be assigned Distribution Statement B.
d. Documents bearing Distribution Statement #4 (DoD Only)
of superseded 5200.20 of March 29, redesignated in accordance with 5200-20,d
September w24 o1970,
shall be assigned Distribution Statement E.
p tube24, e. Documents bearing Distribution Statement #5 (cor
of superseded 5200.20, March 29, 1965, and not reviewednororeed)
designated in accordance with DoDD 5200.20, September 24, 1970,
shall be assigned Distribution Statement P.
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DEFINITIONS
1. Contractor. An individual or organization outside the U.S.
Government accepting any type of agreement or order to provide
research, supplies or services to a U.S. Government agency. The
term specifically includes both prime contractors and subcontractors.
2. Controlling DoD Office. The DoD activity which has responsi-
bility for distribution of the document whether the work was done
in-house or by contract or grant. In the case of joint sponsorship,
the controlling office is determined by advance agreement and may
be either party or a group or committee representing the interested
activities or Services.
3. Critical Tech nolo Technologies which consist of
of design and manufacturing know-how (including technical () arrays
a data);
(b) keystone manufacturing, inspection, and test equipment;
keystone materials; and (d) goods accompanied by sophsticated)'
operation, application, or maintenance know-how that could make a
significant contribution to the military or combination of countries that may proveodetrimentalato thentry
security of the United States (also referred to as Militarily
Critical Technology).
4. Distribution Statement. A statement used in marking a techni-
cal document to denote the conditions of its availability for
distribution, release and disclosure. A distribution statement
marking is distinct from a security classification marking
assigned in accordance with DoD 5200.1-R.
5. Document. Any recorded information regardless of its medium,
physical form, or characteristics.
a. Technical Information. Information, including scientific
information, which relates to research, development, engineering,
test, evaluation, production,.-operation, use, and maintenance
of munitions and other military supplies and equipment. (JCS,
Pub.1).
b. Technical Document. Any document that presents technical
information.
6. Foreign Government Information. Information that is (a) pro-
vided to the United States by a foreign government or over
an international organization of governments, or any elementments,
thereof with the expectation, expressed or implied,_that the
information, the source of information, or both, are to be held in
confidence; or (b) produced by the United States pursuant to or as
a result of a joint arrangement with a foreign government or govern-
ments or an international organization of
element thereof, requiring that the information,lmthesarrangement,
or both, are to be held in confidence.
7. Grantee. An organization outside the U.S. Government to which
grant funds have been awarded by a sponsoring U.S. Government
agency.
A
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8. Primary Distribution. The initial distribution of or access
to documents authorized by the controlling DoD Components.
9. Public release. Release of technical documents to the general
public, based on declaration of competent authority in accordance
with DoD Directive 5230.9.
10. Secondary Distribution. Any distribution of documents
provided after primary distribution. It includes the loan,
reading, or the outright release of a document, in whole or in
part.
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DISTRIBUTION STATEMENTS
The fallowing distribution statements are authorized
for use on DoD technical documents:
1. DISTRIBUTION STATEMENT A: Approved for public release;
distribution is unlimited.
a. This statement may be used only on unclassified
documents that have been cleared for public release by com-
petent authority in accordance with DoD 5230.9.
b. Documents with this statement may be made available
or sold to the public including foreign nationals, companies,
and governments, and may be exported without a license.
c. This statement may never be used on technical docu-
ments that formerly were classified, without a positive
determination of such releasibility by the DoD controlling
office prior to release.
d. THIS STATEMENT SHALL NOT BE USED ON CLASSIFIED
DOCUMENTS.
2. DISTRIBUTION STATEMENT B: Distribution limited to U.S.
Government agencies only; fill in reason) (date). Other re-
quests for this document must be referred to (insert control-
ling DoD office).
a. This statement may be used on unclassified documents,
or on classified documents if necessary to ensure distribution
limitation in addition to need-to-know requirements imposed by
DoD 5200.1-R, or in the event the document is declassified.
b. Reasons for imposing Distribution Statement B include:
Foreign Government To protect and limit distribu-
Information tion in accordance with the de-
sires of the foreign government
that furnished the technical
information. Information of
this type is normally classified
at the CONFIDENTIAL level or
higher in accordance with DoD
5200.1-R.
Proprietary Informa- To protect information not
tion owned by the U.S. Government
and not protected by a con-
tractor's "limited rights"
statement, but received with
the understanding that it may
not be transmitted outside the
U.S. Government.
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Test and Evaluation To protect results of test and evalu-
ation of commercial products or military
hardware, when such disclosure may
cause unfair advantage or disadvantage
to the manufacturer of the product.
Contractor Performance To protect information in management
Evaluation reviews, records of contract performance
evaluation, or other advisory documents
evaluating programs of contractors.
Export Limitations Document contains information that may
be released to foreign nationals by
U.S. Government agencies only when
approved by competent authority, or
contains information that would require
an export license if foreign release is
intended.
Administrative/Operational To protect technical or operations data
Use or information from automatic dissemination
under the International Exchange Program
or by other means. This includes publi-
cations required solely for official use
or strictly for administrative or opera-
tional purposes. This statement may be
applied to manuals, pamphlets, technical
orders, technical reports, and other pub-
lications containing valuable technical or
operational data.
Software Documentation Relea
-
se only in accordance with the pro-
visions of DoD Instruction 7930.2.
-r-~-"~" Y To protect information not specifically
included in the above reasons and dis-
cussions, but which requires protection
pursuant to valid documented authority
such as Executive Orders, classification
guidelines, Export Administration Regu-
lation (EAR), International Traffic in
Arms Regulations (ITAR), DoD or DoD
Component regulations or policy guidance.
When filling in the reason, cite "Specific
Authority (identification of valid
documented authority)."
3. DISTRIBUTION STATEMENT C Distribution limited to U.S. Government
agencies an their con Tractors; (fill in reason) na
requests for this document shall be referred toee). nthr
DoD office). (insert controolling
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a. May be used on unclassified documents, or on classified
documents if necessary to ensure distribution limitation in
addition to need-to-know requrements imposed by DoD 5200.1-R,
or in the event the document is declassified.'
b. Reasons for imposing Distribution Statement C include:
Critical Technology To protect information and technical
data which advance the state-of-the-art
or describe new technology in an
area of significant or potentially
significant military application, or
relates to a specific military deficiency
of a potential adversary. This control
on critical technology (as defined
in attachment 1) will allow early
dissemination to the U.S. Government
and its domestic contractors in a
manner that will ensure compliance
with the International Traffic in Arms
Regulations (ITAR) and Export Administration
Regulations (EAR).
Administrative/Operational Same as under Distribution Statement B.
Use
Specific Authority Same as under Distribution Statement B.
4. DISTRIBUTION STATEMENT D Distribution limited to DoD and DoD
contractors only; fill in reason) (date). Other requests shall
be referred to (insert controlling DoD office).
a. May be used on unclassified documents, or on classified
documents if necessary to ensure distribution limitation in
addition to need-to-know requirements imposed by DoD 5200.1-R,
or in the event the document is declassified.
b. Reasons for imposing Distribution Statement D include:
Premature Dissemination To protect information on system or
hardware in the developmental or
concept stage, which must be protected
to prevent premature dissemination.
Software Documentation Same as under Distribution Statement B.
Critical Technology Same as under Distribution Statement C.
Specific Authority Same as under Distribution Statement B.
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5. DISTRIBUTION STATEMENT E Distribution limited to DoD Components
only; fill in reason date). Other requests must be referred
to (insert controlling DoD office).
a. May be used on unclassified documents, or on classified
documents if necessary to ensure DoD distribution limitation in
addition to need-to-know requirements imposed by DoD 5200.1-R,
or in the event the document is declassified.
b. Reasons
for imposing Distribution Statement E inclu(ie:
Foreign Government
Information
Premature Dissemination
Software Documentation
Critical Technology
Specific Authority
6. DISTRIBUTION STATEMENT
by (insert controlling DoD
Same as under Distribution Statement B.
Same as under Distribution Statement D.
Same as under Distribution Statement B.
Same as under Distribution Statement C.
Same as under Distribution Statement B.
F Further dissemination only as directed
office) (date) or higher DoD authority.
a. Normally used only on classified documents, but may be
used on unclassified documents when specific authority exists.
b. Distribution Statement F is used when the DoD originator
determines that information is subject to special dissemination
limitation specified by paragraph 4-505, DoD 5200.1-R.
c. When a classified document assigned Distribution Statement
F is declassified, the statement shall be retained until the
controlling DoD office assigns the proper distribution statement
from this interim policy.
7. In addition to the distribution statement, the following
notice(s) may be used on all documents assigned Distribution
Statement B, C, D, E, or F.
WARNING
INFORMATION SUBJECT TO EXPORT CONTROL LAWS
This document may contain information subject to the Interna-
tional Traffic in Arms Regulation (ITAR) or the Export Administration
Regulation (EAR) of 1979 which may not be exported, released, or
disclosed to foreign nationals inside or outside the United States
without first obtaining an export license. A violation of the
ITAR or EAR may be subject to a penalty of up to 10 years imprisonmen
and a fine of $100,000 under 22 U.S.C. 2778 or Section 2410 of the t
Export Administration Act of 1979. Include this notice with an
reproduced portion of this document. Y
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DESTRUCTION NOTICE
For classified documents, follow the procedures in DoD5200.1-R,
Chapter IX or DoD 5220.22-M, "Industrial Security Manual
19. For unclassified documents, destro b pa
y
cludes reconstruction of the document. y any method which p pre-
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CONTRACTOR-IMPOSED DISTRIBUTION STATEMENTS
1. Section IX of the Defense Acquisition Regulations (DAR)
stipulates control procedures for contractor-controlled
technical information in which the Government has limited
rights. In this case the approved statement in the DAR must
appear on all copies of each document. Unmarked or improperly
marked technical documents supplied by a contractor will be
handled pursuant to the DAR. Limited rights information will
be assigned Distribution Statement B.
2. The limited rights statement shall remain in effect until
changed or cancelled under contract terms or with the permission
of the contractor, and until the controlling DoD office notifies
recipients of the document that the statement may be changed or
cancelled. Upon cancellation of the statement, the distribution,
disclosure, or release of the technical document will then be
controlled by its security classification, or, if unclassified,
by the appropriate statement selected from those authorized for
use on DoD technical documents.
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