Roush stinfo training nov15_2019rev

Scientific and Technical
Information (STINFO)
Training
R I C K R O U S H ( S T I N F O O F F I C E R ) A N D R I C H A R D S L E M P ( T E C H N I C A L E D I T O R )
A E R O S P A C E S Y S T E M S D I R E C T O R A T E , N O V E M B E R 2 0 1 9 ( R e v )
DISTRIBUTION STATEMENT A. Approved for public release. Distribution is unlimited. (Public Affairs Case Clearance Number: 88ABW-2018-5739; Clearance Date: 14 Nov 2018)

Training Overview
AUDIENCE FOR THIS TRAINING
STINFO training is for AFRL scientists and engineers (S&Es), work unit managers (WUMs), program managers,
authors, and controlling DoD office (CDO) personnel who handle the documentation that results from scientific and
technical research.
PURPOSE OF THIS TRAINING
STINFO training covers how to control information distribution, and how to handle and protect information by
• annotating STINFO with distribution statements and reasons
• ensuring that contractors’ proprietary STINFO is properly marked
• correctly identifying STINFO
• applying proper export control markings to STINFO
• annotating other notices, such as the destruction notice
• destroying STINFO that is no longer needed
• safeguarding digital STINFO and media that contains STINFO

Objectives

Training Objectives
After training, WUMs and S&Es should be able to correctly
• identify STINFO
• assign distribution statements and reasons to STINFO products
• describe the components of a distribution statement
• identify at least two sources on which to base export control decisions
• define limited rights, Small Business Innovation Research/Small Business Technology Transfer (SBIR/STTR)
rights, and government purpose rights
• identify how to mark portions of data in the body text that describe the Government’s license to use and
reproduce the data, per AFRL publication standards
• recognize nonconforming, noncompliant, and unjustified markings made by contractors on their submitted
documents

STINFO Program Objectives
The objectives of the Department of Defense (DoD) and Air Force (AF) STINFO programs are to
• manage the recording, protection, publication, dissemination and preservation of the DoD research
• distribute information to the widest audience of authorized users
• protect STINFO by preventing the release of information to adversaries
• prevent redundant research and development (R&D)
• ensure timely, efficient, and effective interchange of STINFO for use in planning and conducting research
• leverage return on investments in the Defense Technology Base

STINFO Defined
STINFO is the documentation of scientific and technical research findings from efforts by S&Es and researchers.
STINFO can be produced by AF S&Es, or received from military and industry contractors, academia, and the
defense R&D community. STINFO also results from demonstration and commercial application activities as well as
experiments, observations, simulations, war games, studies, and analyses.
STINFO includes various formats, media, and transmission methods (such as verbal
presentations and digital communications). STINFO also includes technical publications
related to research, development, engineering, testing, evaluation, production, operation,
and maintenance of processes, software, and hardware. Other examples of STINFO include:
• studies and analyses • basic research planning documents • war fighting science & technology plans
• modernization plans • technical memos and journal articles • data management plans
• technical orders and data • engineering data (such as drawings)
• Basic Research (BA1)
• Applied Research (BA2)
• Advanced Technology Development (ATD) (BA3)
• Advanced Component Development and Prototype (BA4)
• System Development and Demonstration (SDD) (BA5)
• Operational System Development (BA7)
• SBIR/STTR Research, Development, Testing,
and Evaluation (RDT&E) (BA6)
Weapon
Specific
Science and
Technology
Programs
SBIR/STTR
Program
STINFO MOST OFTEN RESULTS FROM RESEARCH EFFORTS IN THE FOLLOWING BUDGET ACTIVITIES (BA)

Distribution
Statements

Distribution Statements
• Distribution statements describe who has authorized access to STINFO without first having received specific
and direct approval by an official in the CDO. They describe releasability, ranging from complete public release
(DISTRIBUTION STATEMENT A) to release directly under the control of the CDO. Authorized distribution
statements are updated in the Department of Defense Instruction (DoDI) 5230.24, Distribution Statements on
Technical Documents.
• The distribution statement used on STINFO is based on the nature of results from a research effort. Expected
distribution to the proper audience is first spelled out in the Contract Data Requirements List (CDRL) in contracts
at the start of an effort. Alternately, it can be determined for in-house efforts at any time within an effort’s work
cycle, or can be re-assigned after the content of the final deliverable is reviewed.
• Documents should not be disseminated without a distribution statement. Never assume that unmarked
documents are approved for public release. Therefore, write DISTRIBUTION STATEMENT E on unmarked
documents until the CDO determines which statement should be assigned.
USAF
STINFO
CONTRACTORS
US PUBLIC
FOREIGN
FED GOVT &
AGENCIES
OTHER DOD
Audiences who can receive STINFO

Components of a Distribution Statement
A typical distribution statement consists of the following components:
① Authorized audience approved for receipt of the data without further CDO approval.
② Up to three reasons that the data is restricted from public release.
③ Date that the given distribution was assigned (or last approved as still being applicable).
④ The CDO; secondary distributors must contact the CDO for release outside of the stated distribution.
①DISTRIBUTION STATEMENT B. Distribution authorized to U.S. Government agencies only;
②Critical
Technology and Export Controlled;
③March 2018. Other requests for this document shall be referred to
④AFRL/RQQM, Wright-Patterson Air Force Base, OH 45433-7542.
This sample distribution statement indicates that the STINFO may be released to Government personnel within
Government agencies only (and implicitly, DoD agencies included in the broad umbrella of Government agencies).

Distribution Statements to be Used on STINFO
DISTRIBUTION STATEMENT A. Approved for public release. Distribution is unlimited.
Assigned only to material that is unclassified, unlimited, and which can be made available or sold to the public
and foreign nationals, companies, and governments, including adversary governments, and may be exported.
Material authored or co-authored by government personnel MUST BE cleared through the 88 ABW Public Affairs
(PA) Office (PAO) or other authorized offices, if it is expected to be released to the public. Most fundamental
research can be approved for public release. The PA case number and the date cleared should be placed on
cleared technical reports (TRs), technical papers (TPs), journal articles (JAs), and conference papers.
DISTRIBUTION STATEMENT B. Distribution authorized to U.S. Government agencies only; (reasons); (date
of determination). Other requests for this document shall be referred to (controlling DoD office).
Prevents contractors from accessing the document without approval from the CDO; therefore, it is often used
when proprietary information is present, but it can be used with any of the DoD reasons, except Direct Military
Support.
DISTRIBUTION STATEMENT C. Distribution authorized to U.S. Government agencies and their
contractors; (reasons); (date of determination). Other requests for this document shall be referred to
(controlling DoD office).
Includes contractors as part of the audience, so it cannot be applied to documents that contain any contractor
proprietary information. Material with this distribution may also be released to Government requesters within the
DoD.

Distribution Statements to be Used on STINFO (cont’d)
DISTRIBUTION STATEMENT D. Distribution authorized to the Department of Defense and U.S. DoD
contractors only; (reasons); (date of determination). Other requests for this document shall be referred to
(controlling DoD office).
Includes DoD U.S. contractors as part of the audience, so it cannot be applied to documents that contain any
contractor proprietary information.
DISTRIBUTION STATEMENT E. Distribution authorized to DoD components only; (reasons); (date of
determination). Other requests for this document shall be referred to (controlling DoD office).
Allows access by DoD components only, preventing automatic access to any contractors or to U.S. Government
agencies, without the CDO’s approval (for example, the CDO can make direct distribution to the National
Aeronautics and Space Administration (NASA) or approved NASA contractors). Mandatory when the reason
Direct Military Support applies, and when the following intelligence dissemination control caveats apply to
classified materials: Not Releasable to Foreign Nationals (NOFORN) and Releasable to (REL TO).
DISTRIBUTION STATEMENT F. Further dissemination only as directed by (controlling DoD office) (date of
determination) or DoD higher authority.
DoDI 5230.24, Distribution Statements on Technical Documents discourages the use of DISTRIBUTION
STATEMENT F on classified or unclassified scientific and technical documents, except under rare and
exceptional circumstances when specific authority exists, or when the need-to-know has been verified.

Reasons describe why a specific distribution statement and its audience were selected. They provide additional
information about why the audience is authorized (without the CDO’s further approval) to receive the material, if
that audience makes a request for the material from a secondary distributor. The reasons also serve as a
description of the sensitivity of the material and how to handle it.
For TRs and TMs, up to 3 reasons may be used within the distribution statement, as applicable. They draw
attention to the type of information contained in the STINFO and to other special handling requirements.
Some reasons require further elaboration. For example, the reason Proprietary Information must be described
further as to how the Government has been licensed to use the proprietary material.
The following reasons are currently in use and are further explained on
the next slides:
• Administrative/Operational Use • Contractor Performance Evaluation
• Critical Technology • Direct Military Support
• Export Controlled • Foreign Government Information
• Operations Security • Premature Dissemination
• Proprietary Information • Specific Authority
• Software Documentation • Test and Evaluation
• Vulnerability Information
Distribution Statements: Reasons
Reasons to Release
or Not to Release

Distribution Statement Reasons
Reason Description Use With
Administrative/
Operational Use
To protect technical or operational data or information from automatic dissemination. For
publications required solely for official use or strictly for administrative or operational purposes
including data or information intended for the sole purpose of operating and sustaining DoD
weapon systems. This reason may apply to manuals, pamphlets, weapon system specifications,
technical orders, TRs, and other publications or technical data containing valuable technical or
operational information.
B, C, D, or E
Contractor Performance
Evaluation
To protect management-review information, contract performance evaluation records, or other
advisory documents evaluating contractors’ programs.
B or E
Critical Technology To protect design and manufacturing technology, including manufacturing processes, inspection
techniques, and test equipment, that make a significant contribution to the military potential of any
country or combination of countries and that may prove detrimental to the security of the United
States if released to other countries. Non-government recipients--primarily contractors--must
have a valid Defense Department (DD) Form 2345, Militarily Critical Technical Data Agreement,
on file when Critical Technology applies.
B, C, D, or E
Direct Military Support To protect export-controlled, technical information of such military significance that release for
purposes other than direct support of DoD-approved activities may jeopardize an important
technological or operational military advantage for the U.S., another country, or a joint U.S.-
foreign program. Non-government recipients must have a valid DD Form 2345 on file.
E
Export Controlled To protect information subject to the provisions described in Department of Defense Directive
(DoDD) 5230.25, Withholding of Unclassified Technical Data From Public Disclosure. Non-
government recipients must have a valid DD Form 2345 on file.
B, C, D, or E
Foreign Government Information To protect and limit distribution in accordance with the desires of and agreements with the foreign
government that furnished the technical information.
B, C, D, or E

Distribution Statement Reasons (cont’d)
Reason Description Use With
Operations Security (OPSEC) To protect information and technical data that may be observed by adversary intelligence systems
and to determine what indicators hostile intelligence systems may obtain that could be interpreted
or pieced together to derive critical information in time to be useful to adversaries.
B or E
Premature Dissemination To protect systems or hardware information in the developmental or conceptual stage to prevent
pre-mature disclosure that might jeopardize the inventor’s right to obtain a patent.
B or E
Proprietary Information To protect contractors’ proprietary information. This information is received with the understanding
that it will not be routinely transmitted outside of the U.S. Government.
B or E
Specific Authority To protect information not specifically included in the other authorized reasons, but which requires
protection according to a valid governing authority, such as Executive Orders (EOs), or federal
regulations. The specific authority must be cited as part of the reason: Specific Authority (Air
Force Instruction (AFI) 33-114), for example.
B, C, D, or E
Software Documentation To protect software documentation and data releasable according to the software license terms. B, C, D, or E
Test and Evaluation To protect the results of test and evaluation of commercial products or military hardware when
such disclosure may cause unfair advantage or disadvantage to the manufacturer of the product.
B or E
Vulnerability Information To protect information and technical data that provides insight into vulnerabilities of U.S. critical
infrastructure, including DoD warfighting capabilities vital to National Security that are otherwise
not publicly available.
B, C, D, or E

Assignment of Distribution Statements
All STINFO that may be disseminated inside and outside of a DoD organization must be assigned a
distribution statement and contain all other applicable markings.
• Distribution statements are assigned to materials by the CDO, as dictated in DoDI 5230.24, Distribution
Statements on Technical Documents, and AFI 61-201, Management of Scientific and Technical Information
(STINFO). “2.3.2. Distribution statements are used on unclassified, controlled unclassified, and classified
technical information to identify the availability for secondary distribution, release, and disclosure without
additional approvals and authorizations from the…CDO. Distribution statements are used in addition to
applicable classification, dissemination control markings and intellectual property notices.”
• Internal documents that are necessary for program management and are not intended for publication also
require conspicuous placement of a distribution statement. Recipients must be made aware of all distribution
restrictions. All other markings regarding export control and controlled unclassified information (CUI) should also
be applied to program-related STINFO. Distribution statements are intended to inform ALL recipients how they
must handle—and not share—the STINFO.
• The CDO is responsible for any changes to distribution statements on STINFO, and approves, consistent with
AF/DoD policies, the release of documents beyond the restrictions reflected in the distribution statement.
• If conditions change, and wider distribution of a published document is merited, the CDO should consider
changing the distribution statement. For instance, a Freedom of Information Act (FOIA) request for a restricted-
distribution document may trigger a review of the audience level that was determined for the document upon
initial publication, leading to a broadening of the audience to the general public: DISTRIBUTION STATEMENT A.
Contact the STINFO Office to facilitate changes to distribution statements.

Distribution Statements: Primary vs. Secondary Distribution
PRIMARY DISTRIBUTION OF STINFO
• Primary distribution is when the CDO (and only the CDO) makes STINFO directly available to a requester in
accordance with (IAW) all regulations, instructions, and conditions that secondary distributors must also observe
before releasing STINFO to requesters, based on restrictions annotated on the STINFO. This includes initial
distribution as well as any subsequent distribution during the life of the STINFO, and includes dissemination
outside of the distribution statement audience.
• Primary distribution does NOT mean posting on the Internet. Also, the CDO may not share export controlled
STINFO with contractors who are not certified to receive it, and may not share proprietary STINFO with a
competing contractor unless a nondisclosure agreement (NDA) has been negotiated between the originating
contractor and the requesting contractor.
SECONDARY DISTRIBUTION OF STINFO
• Distribution statements were intended to control secondary distribution. This means that they denote the extent
of a document’s availability for distribution, release, and disclosure without the need for direct additional
approvals or authorizations by the CDO. Secondary distribution is made through STINFO repositories, such as
the Defense Technical Information Center (DTIC) and the National Technical Information Service (NTIS).
• After the directorate STINFO Office publishes a document at DTIC, DTIC provides the document to all
requesters who meet the audience restrictions described in the distribution statement. When a requestor falls
outside of the distribution statement audience, DTIC sends a DTIC Form 55, Request for Release of Limited
Document, to the CDO for approval or disapproval to release.

Export Control

Certain types of sensitive technical data and defense
services and weapons are export controlled. Export-
controlled data and services are listed in these
controlling regulations/documents:
• Export Administration Regulations (EAR)
• International Traffic in Arms Regulation (ITAR)
• U.S. Munitions List (USML)
• Commerce Control List (CCL).
An export is the transfer or movement of “anything” to a
“foreign person” at any place, any time, and by “any
method” out of the U.S.:
• anything = physical item, data, services, technical
assistance (instructions, skills training, working
knowledge, consulting), or other defense services
• foreign person = individual, entity, embassy, agency,
or agent of a foreign interest or on behalf of a foreign
person
• any method = e-mail, postal delivery, open
presentations, verbal conversation, on a digital
storage device, etc.
Examples of export-controlled materials include
• weapons of mass destruction (WMD), or weapons
radar for targeting or tracking
• technical data (blueprints, plans, diagrams, models,
formulae, engineering designs) or technology
• defense articles to an embassy, or any agency or
subdivision of a foreign government
• registration, control, or ownership to a foreign person
of any aircraft, vessel, or satellite covered by the
USML, whether in the U.S. or abroad.
In general, data is not export controlled if it
discusses only unclassified, cutting-edge science
(such as fundamental research), having no identified
applications, or discusses well-known technology
that is widely available in the public domain.
If you have doubts about whether export-control
restrictions apply to your documents and/or materials
after reviewing the USML and CCL, check with a
division technical advisor or your Foreign Disclosure
Office (FDO) representative.
Export Control

Export Control Laws/Acts
Export Administration Act (EAA): Requires obtaining a license from the U.S. Department of Commerce (USDC)
for exporting certain items and related technical data.
ITAR: Regulation/statute implemented by the Department of State (DoS) to restrict and control the export of
defense and military related technologies (by enforcing the Arms Export Control Act (AECA)) to safeguard U.S.
national security and further U.S. foreign policy objectives. The ITAR dictates that information about defense and
military related technologies (items listed on the USML), may be shared ONLY with U.S. persons.
AECA: Requires a license from the DoS for exporting defense articles and services, including technical data
related to weapons. It is implemented by the ITAR set out in 22 CFR 121-130.
EAR: Controls export of dual-use items (materials with both civilian and military uses) specified on the CCL. The
EAR is administered by the Bureau of Export Administration, USDC, and implements the EAA of 1979.
CCL: USDC licenses are required to export items on this list and the technical data relating to them.
USML: Defense articles and services, technical data, and other services whose export must be controlled, where:
• defense articles include models, mock-ups, and any other devices that reveal technical data related directly to
those articles
• defense services include the furnishing of assistance, including training to foreign persons, in the design,
engineering development, production, processing, manufacturing, use, operation, overhaul, repair, maintenance,
modification, or reconstruction of defense articles, whether in the U.S. or abroad.
Data described in export control regulations cannot be lawfully exported without approval, authorization, or license
under U.S. export control laws.

• To access export-controlled materials, U.S.
contractors must have an approved DD Form
2345 that shows approval/certification by the Joint
Certification Office, Defense Logistics Agency
(DLA) Logistics Information Service. Data may be
provided only to the document custodian listed on
the DD Form 2345 after verifying that the
contractor employee is still approved to receive
export-controlled data.
• If unable to determine the nature of a piece of
STINFO, annotate it with DISTRIBUTION
STATEMENT E. Distribution authorized to DoD
components only; Export Controlled. Ask a subject
matter expert (SME) to review the material to
determine what distribution and/or export controls
are appropriate. Do not assume that the original
contract language regarding the expected
inclusion of export-controlled data still applies
upon delivery of a contractor’s data.
How to Determine Export Control
YES
NO
YES
NO
NO
NO
YES
YES
YES
NO
Can the technical data be used to
design, engineer, produce, operate,
repair, or reproduce some article?
Has the exact same technical data
been publicly released through authorized
channels and is it generally available?
Does the technical data
disclose information recommended
for control in the MCTL?
Does the technical data directly
relate to a weapon listed on the USML?
Does the technical data directly
relate to an item listed on the CCL?
NOT SUBJECT
TO EXPORT
CONTROL
LAWS
SUBJECT
TO EXPORT
CONTROL
LAWS

Documents that contain export controlled information
must contain conspicuous export control warnings. Per
the DoDI 5230.24, the following notice must appear on
covers of documents if export control restrictions apply:
WARNING – This document contains technical data
whose export is restricted by the Arms Export Control
Act (Title 22, U.S.C., Sec 2751, et seq.) or the Export
Administration Act of 1979 (Title 50, U.S.C., App.
2401 et seq.), as amended. Violations of these export
laws are subject to severe criminal penalties.
Disseminate in accordance with provisions of DoD
Directive 5230.25.
For small items, such as a stand-alone schematic
and/or figure, annotating “Export Control Restrictions
Apply” is acceptable. For any material reproduced from
a piece of STINFO, the STINFO’s front pages that
contain export control warnings and destruction notices
should also be reproduced and included with the copy.
A warning page (shown to the right) is required when
export-controlled documents are disseminated.
Export Control Marking
ccc

Data Rights

Rights in Technical Data
Data rights refers to the negotiated right of the Government to use a contractor’s proprietary research data in
certain ways. Per the Defense Federal Acquisition Regulation Supplement (DFARS) 252.227-7013(a)(14) and
252.227-7018), in most negotiations, the Government obtains the right to “use, modify, reproduce, release,
perform, display, or disclose technical data, in whole or in part.” In return for data usage rights, the Government
protects a contractor’s privately funded independent research and development (IR&D, or IRAD) from disclosure to
other contractors, unless an NDA between all parties is in place.
The scope of the Government’s license depends on a variety of factors, including the source of funding for
development of the technology, whether the information relates to a commercial item, and the parties’ negotiations
for specialized license terms or restrictions. Contractors generally retain ownership of the intellectual property (IP)
that is embodied in technical data, documents, or information that they deliver or otherwise provide to the
Government.
When a work is completely funded by the Government, then the Government has unlimited rights. However, when
a contractor’s IR&D is needed to make research results more coherent, the Government must negotiate for the
limited right to use these proprietary contributions and include the proprietary technical data in a STINFO
publication or publications.

Unlimited Rights: Apply in noncommercial and
technical data and computer software that was
completely developed either by Government personnel
or contractors using only Government funding and
which was delivered without restrictive markings.
• Unlimited rights grant the Government and others
acting on its behalf a paid-up, nonexclusive, and
irrevocable worldwide license to reproduce, to
prepare derivative works, distribute copies, and to
perform and display the work for any purpose.
• Unlimited rights in data should not be confused with
“unlimited distribution” as with documents assigned
DISTRIBUTION STATEMENT A. Approved for public
release. Distribution is unlimited.
• To obtain unlimited rights, the Government must
fund all new research rather than purchase existing
research results. It excludes a contractor’s previous
research results.
Limited Rights: Apply only to technical data that is
developed exclusively at private expense. The U.S.
Government can use, duplicate, or disclose such
technical data within the Government only. The limited
rights data may not be used by a party other than the
Government without the owner’s written approval, except
in a few unique circumstances (for example, emergency
repair or overhaul). Limited rights do not expire, and
neither does the protection provided by the Government
of the contractor’s proprietary data that is so licensed.
• Distribution Statement B or E must be used when
data rights are involved, with Proprietary Information
as a reason, to prevent unauthorized access by other
contractors; other contractors must obtain permissions
—via an NDA—from the CDO and the proprietary data
owner’s before gaining access to the data.
• Within documents, there may be both unlimited and
limited data. It is, therefore, crucial that limited data is
marked so that Government may fully use the unmark-
ed unlimited data. Marking is discussed later.
Unlimited vs. Limited Rights to Data

Other Data Rights (Less-than-Unlimited)
Government Purpose Rights (GPR): Under GPR, the U.S. Government has rights to use, duplicate, or disclose
data in whole or in part and in any manner, for government purposes only. The U.S. Government may release or
disclose the data to another government contractor for performance of a government effort, per DFARS 252.227-
7025. The recipient is also subject to the NDA, provided in DFARS 252.7103-7. IP under this protection is usually
created when research is a result of mixed funding (government and contractor funds, in any percentage
proportion). Per DFARS, the GPR generally expire 5 years from the start of the contract and revert to unlimited
rights for the government, unless an extension in the expiration date is negotiated.
SBIR/STTR Rights: Small business contractors, through SBIR/STTR Phase I, II, or III contracts, produce technical
data that the U.S. Government can use, duplicate, or disclose within the Government. A Small Business
Administration (SBA) Policy Directive in April 2, 2019 extends data protection to 20 years from the date of the
award of each contract Phase. For older contracts prior to May 2, 2019, expiration is still 5 years after completion
of project work on the current contract or any follow-on SBIR/STTR contract, whichever is later, and in an unlimited
fashion after the period of protection expires on the last contract.
Specifically Negotiated Rights: The DFARS defines a set of standard license categories that take into account
the relative investments in developing the technology by the Government and private enterprise. If these standard
rights do not effectively balance both the parties’ interests, “specifically negotiated licenses” are encouraged.
Restricted Rights: Restricted rights apply to noncommercial computer software delivered under government con-
tract, but funded wholly by the contractor. This applies to computer software code but not to software manuals.
Neither the contractor’s IP in the software nor the restricted rights to use the material by the Government expire.

The Government receives unlimited rights to use
proprietary data if a contractor fails to place descriptive
or conforming markings on submitted STINFO
regarding the negotiated usage license obtained by the
Government.
• Per DFARS 227.7013-10, (c), “Technical data
delivered or otherwise provided under a contract
without restrictive markings shall be presumed to
have been delivered with unlimited rights and may
be released or disclosed without restriction.”
• If not removed or corrected by the contractor within
60 days following notice, the Government may
ignore or, at the contractor's expense, remove or
correct nonconforming markings.
WUMs must be able to share information with other
contractors. When an entire report is inappropriately
marked as the contractor’s proprietary information, and
the WUM accepts it, then that information cannot be
shared with our supplier base.
UNACCEPTABLE markings on data include:
• Proprietary
• Competition sensitive
• Company confidential
• Other variants that do not describe the license that
the Government has to use the data.
STINFO Office personnel will locate
compliance errors and communicate the
need to correct them to the WUM, the
contractor, and to the Contracting Officer.
A contract modification may be required to
correct the marking error and permit inclusion
of the contractor’s/subcontractor’s proprietary material in
STINFO. A data rights table (as described in the DFARS
252.227-44) added to the contract indemnifies the
Government against potential lawsuits for reproducing
proprietary material if there is no usage license identified
in the contract; the data rights table provides evidence of
contractual licensure.
Marking Data Rights: Part I

AFRL’s preferred method of marking data rights
assertions on paragraphs, figures, and tables is shown
below. Note that using red text or bold faced text
makes the markings more conspicuous.
[Begin Co. Name Type of Data Rights]
This starts the protected paragraph-level text, which
can span multiple pages without additional re-marking
and can include tables and figures in the page span.
The Government’s right to use and reproduce this
material is restricted based on the type of licensing.
[End Co. Name Type of Data Rights]
If data rights apply only to a table or figure:
[Begin Co. Name Type of Data Rights]
[End Co. Name Type of Data Rights]
On pages that contain data rights assertions, page footer
text should indicate the kind of rights the Government
has to the data. The following is an example of page
footer text for a page that contains a contractor’s IR&D-
funded proprietary material:
DISTRIBUTION STATEMENT B. Distribution
authorized to U.S. Government agencies only.
Data subject to restrictions on cover and notice pages.
Company Name Limited Rights Data
If the same company includes data on a single page for
which two types of license apply, the licensed rights
would be listed in the page footer in order of most-to-
least restrictive usage rights by the Government.
If restricted-use proprietary data of more than one
company appears on the same page, the names of all
companies and descriptions of their respective rights
must be provided in the page footer. For example:
Company Name 1 Limited Rights Data and Company
Name 2 Government Purpose Rights Data
Marking Data Rights: Part II

Noncompliant Data Rights Markings
Data rights markings can be noncompliant in three major ways, in any combination: 1) they are absent, 2) they are
nonconforming in wording, format, or appearance, and 3) they are unjustified.
Absent Markings: According to DFARS, failure to place any markings on proprietary data results in unlimited
usage by the Government if the contractor fails to revise the material within 60 days of notice.
Nonconforming Markings: If the following marking format isn’t used, the contractor, or Government personnel,
must correct: “conspicuously and legibly mark the appropriate legend on all technical data that qualify for such
markings. The authorized legends shall be placed on the transmittal document or storage container and, for printed
material, each page of the printed material containing technical data for which restrictions are asserted. When only
portions of a page of printed material are subject to the asserted restrictions, such portions shall be identified by
circling, underscoring, with a note, or other appropriate identifier.”
• Reiterating, examples of nonconforming markings include Company Name Proprietary, Proprietary, Competition
Sensitive, Company Confidential, and other variants that do not describe the license that the Government has
to use the data.
Unjustified Markings: According to the DFARS, “An unjustified marking is an authorized marking that does not
depict accurately restrictions applicable to the Government's use, modification, reproduction, release, performance,
display, or disclosure of the marked technical data. For example, a limited rights legend placed on technical data
pertaining to items, components, or processes that were developed under a Government contract either
exclusively at Government expense or with mixed funding (situations under which the Government obtains
unlimited or government purpose rights) is an unjustified marking.”

Copyrights and Patents
COPYRIGHT: Copyright protection covers original published and unpublished literary, scientific, and artistic works,
regardless of format, as long as such works are fixed in some tangible medium of expression (such as printed, recorded,
or sculpted) that allows the works to be communicated for more than a transitory period. Copyright arises automatically as
soon as there is a tangible record of what has been created.
• Copyright protection does not cover works prepared by government officers or employees as part of their official duties.
U.S. Government employees should inform publishers of their employment status and should not sign any document to
transfer a U.S. copyright as a prerequisite to publication. It is recommended that government authors place the
following statement on their publications: “This is a work of the U.S. Government and is not subject to copyright
protection in the United States.”
• Any notation of a contractor’s copyright on a work provided to the Government should be retained on a document’s
cover and on the label of a CD containing the document, in this format: Example: © 2019 Company Name
PATENTS: Patents are protections that describe the functional and technical aspects of products and processes. A U.S.
Patent gives an inventor the right, for a limited time period, usually 20 years from the patent filing date with the U.S. Patent
Office, to prevent others from making, using, or selling a patent-holder’s invention without the inventor’s permission. When
the patent term expires, the patented invention enters the public domain and is available for anyone’s use without the
payment of royalties. Patent categories include design patents, which cover new, original, and ornamental designs for
articles of manufacture; and utility patents, which cover processes, machines, articles of manufacture, and compositions of
matter.
• For Government-funded research, the contractor retains title to the invention, and the Government receives a
nonexclusive license of varying scope to use it for Government purposes.

Using CUI Markings
on STINFO

Applying Markings: Pulling It All Together
Distribution statements are placed in a prominent, conspicuous
location on the cover pages of documents, CDs, drawings, and
photos. All document covers should contain a distribution statement.
Export-control warning and/or any other additional warnings per DoDI
5230.24, if applicable, and a destruction notice should appear on
document covers, except for documents approved for public release.
An abbreviated form of a document’s distribution statement
that describes the audience should be placed in page footers of
documents. For example, an abbreviated form for Distribution
Statement B is “DISTRIBUTION STATEMENT B. Distribution
authorized to U.S. Government agencies only.”
According to AFI 61-201, STINFO must be appropriately identified,
documented, disseminated, preserved, marked, protected, and
accessible IAW the DoD STINFO program prior to dissemination.
Marking includes appropriate classification markings, any data rights
statements, distribution statement, export control notice, and
destruction notice. A caveat statement instructs readers to reproduce
all pages up to the Table of Contents with any reproduce pages.

Protecting STINFO

Foreign Disclosure Office (FDO)
• The FDO manages the implementation of AF policy for controlling
disclosure of critical technology and military information to foreign
governments or their representatives. Only the FDO is authorized with
the overall responsibility for implementing policies and procedures at the
local level. The FDO also arranges for authorized release of classified
information (CI) and CUI to foreign persons.
• WUMs should submit an Air Force Materiel Command (AFMC) Form 191, Foreign Disclosure Procurement
Decision Worksheet, to the FDO prior to any procurement announcement, regardless of whether the STINFO
from the process is expected to contain export-controlled data. The AFMC Form 191 is used to determine what
could happen to the STINFO throughout the life of a contract. It also permits identification of sensitivities and
restrictions associated with a planned procurement. Completion of the AFMC Form 191 is mandatory when
reviewing proposed procurement activities and AF sponsorship of controlled conferences.
• The FDO reviews requests to release specific documents to foreign persons. If the reason for release is valid
and the requested recipient is determined to be a trusted ally, the FDO authorizes release. When the AFRL
sponsors a controlled conference, the AFRL must ensure (by accessing a firm’s approved DD Form 2345) that
each contractor in attendance is approved to access export-controlled data. Without approval from the FDO,
only data that is approved for public release or has already been generally released and made available to the
public can be shared with a foreign person.
Foreign Persons
from any planet
may want to pick
your brain for
sensitive
information!

Protecting STINFO
If you have access to CUI, use the following precautions:
• Protect it from unauthorized disclosure. Do not provide CUI to individuals or entities,
whether intentional or unintentional, which are not authorized to access the
information, pursuant to law, regulation, Government-wide policies, or directives.
• Safeguard it. Store it in authorized locations or put it under the personal observation
and control of an authorized holder. Also, use the following steps to safeguard CUI:
1. Place documents that contain CUI under an authorized coversheet*.
2. Store documents in cabinets, drawers, offices, office suites, briefcases, etc.
When inside a controlled environment, CUI does not need to be placed inside of
a locked container, only protected from visual observation by unauthorized persons.
3. Lock computers (for example, “Control-Alt-Delete”) and remove Common Access
Card (CAC)
4. For digital media that contains STINFO, encrypt, password protect, and transmit
only over secure network systems.
Unless specifically authorized in agency policy, CUI must NOT be handled in the following ways:
1. stored at personal residences
2. stored or processed on personally owned electronic devices
3. processed on devices that are physically available to the general public (for example, public internet kiosks)
4. posted on any public internet website
5. sent to or from personal email accounts.
* Use of the Form 901 is pending guidance
from AFRL HQ.

Destruction of STINFO and CUI
Publically released documents (which contain “DISTRIBUTION STATEMENT A. Approved for public release.
Distribution is unlimited.”, or some variant marking of this statement) may be disposed of in any recycle bin or trash
can. Otherwise, the material must be destroyed so that the information may not be reproduced, duplicated, or
recreated in any manner or by any means.
When it is no longer needed and when continued retention is no longer required pursuant to records disposition
schedules (RDSs) published by National Archives and Records Administration (NARA) or other applicable law,
regulations, or Government-wide policies, destroy CUI by
• shredding or burning only for paper documents
• cross cut shredders which produce particles that are 1 by 5 millimeters
in size, rather than strip shredders, must be used to destroy STINFO
• burning is preferred over pulverizing and macerating hard copy
• reformatting and shredding for floppy disk media
• reformatting and sending to a recycling center for computer hard drives
• reformatting and shredding for CD-ROMs/DVD-ROMs
• deleting files from memory and breaking into two or more pieces for
memory wands and flash drives
• for magnetic tapes, deleting files and sending to a recycling center for shredding.
Once STINFO is destroyed, the residue can be disposed in normal waste.

STINFO and the
Work Unit

STINFO Reporting, Work Unit (WU) Life Cycle, and WUM
Responsibilities
The WUM will:
• Create a WU in the AFRL Work Unit Management App for each R&D project (https://bpms.ebs.afrl.af.mil)
• Determine the appropriate distribution statement and reason for the WU record and the final report before the
work begins
• Determine the proper protection – classification, export control, and/or data rights before the work begins
• Provide technical progress for any significant findings/changes or at least annually (https://bpms.ebs.afrl.af.mil)
• Review the final technical report for conformance with contract requirements and with compliance/quality
standards.
• Final reports should be documented well enough to permit others to understand the purpose, scope,
approach, results or outcomes, and conclusions or recommendations from the conduct of such activities. The
report should also permit others to recreate/duplicate the research effort or findings.
LIT
SEARCH
INITIAL
RS
EFFORT
BEGINS
ANNUAL/PERIODIC RS
(Progress Text)
INTERIM
TR/TM/TP/
JA *
TECH
END DATE
(TED)
FINAL TR/TM/TP
TO STINFO
OFFICE
FINAL
TR/TM/TP
TO DTIC
RS = Research Summary
WU
CREATED
FINAL
RS
* Required for In-House

STINFO Reporting, Work Unit (WU) Life Cycle, and WUM
Responsibilities (cont’d)
The WUM will (cont’d):
• Submit the final TR to the directorate STINFO Office within 120 days of TED to ensure that submittal to DTIC
can occur within 180 days of TED
• Accept the Final Receiving Report in Wide Area Workflow (WAWF) only after the final TR is accepted by the
directorate STINFO Officer
• Close out the WU with a final report and initiate a new WU if the effort needs to continue beyond the technical
period of performance of an in-house effort, which may not exceed 8 years
• Ensure that an interim in-house TR/TM/TP/JA is forwarded to the directorate STINFO Office for submission to
DTIC every 2 years (starting from the WU start date and then from every interim TR/TM/TP/JA submission
date) until the final TR is due for the effort.
All research efforts will result in a final comprehensive TR that will be submitted to DTIC within 180 days after the
TED--see the contract for related report processing dates. Like contractual efforts, in-house researchers are
permitted 180 days after the TED to submit a final comprehensive TR to DTIC.
• A contract modification could extend the contract end date, but might not extend the TED.
• A final report becomes delinquent if it is not submitted to DTIC within 180 days after the TED. To avoid
becoming delinquent with their final TR, WUMs need to remain aware of the TED.

QUESTIONS?
Please Contact:
Rick Roush, STINFO Officer, 938-4948
Richard Slemp, Tech Editor, 938-4951

Skills Quiz

Roush stinfo training nov15_2019rev

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