Controlled Unclassified STI

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Certain types of information have restricted access whose publication or distribution is restricted by various laws, federal codes, executive orders, international agreements, etc. This information is known as controlled unclassified information and can be broadly categorized as Official Use Only*, Unclassified Controlled Nuclear Information, and unclassified Naval Nuclear Propulsion Information.  Other types of information have restrictions on their handling such as certain copyrighted material.  However, regardless of the control marking, all STI is to be submitted to OSTI through appropriate applications. The Energy Link (E-Link) has built in encryption that will protect the submission of controlled unclassified STI, excluding Unclassified Controlled Nuclear Information. Classified and Unclassified Controlled Nuclear Information are to be submitted via other methods. For more information, review  How do I provide STI to OSTI? By Access Limitation Category.

Controlled unclassified STI must be marked and managed appropriately.  Unless otherwise specified in the contract, the appropriate handling/access restriction marking should be placed on the “first page” of the document (whether the cover page, title page, or first page of text) in the lower left corner, and indicated in the distribution/access limitation section on the accompanying Announcement Notice. Examples of acceptably marked controlled unclassified STI are included below. 

Handling/Access Restriction Markings for Controlled Unclassified Information in STI Products

NAME
DESCRIPTION
HANDLING/ACCESS
RESTRICTION MARKING
Applied Technology
Unclassified category of information established by DOE's Office of Nuclear Energy, Science and Technology (NE) to preserve the foreign trade value of certain NE-funded progress and topical reports containing engineering, development, design, construction, and operation information pertaining to particular programs. Such designation is indicated through contractual requirements or in the task orders under which such information is developed. 
APPLIED TECHNOLOGY
Any further distribution by any holder of this product or data therein to third parties representing foreign interests, foreign governments, foreign companies, and foreign subsidiaries or foreign divisions of U.S. companies shall be approved by the [insert appropriate NE Program Office officials], U.S. Department of Energy. Further, foreign party release may require DOE approval pursuant to 10 CFR 810, and/or may be subject to Section 127 of the Atomic Energy Act.
Copyrighted Material
Material that is copyrighted may be subject to restrictions on reproduction (copying, either in paper or electronically); distribution, by sale or otherwise, in paper or electronically; the preparation of derivative works, including translations; public display of the material; and public performance of the material. 
Refer to STI and Copyright for detailed information and appropriate handling/access restriction markings.
Export Controlled Information
This is information containing technical data as defined in and controlled by U.S. export control statutes. 
 
In accordance with DOE Acquisition Guide - Chapter 3.3, ECI must be clearly identified to ensure appropriate handling of such information by potential recipients. Information designated as ECI is given controlled distribution to prevent unauthorized release to foreign countries, organizations, or individuals. 
EXPORT CONTROLLED INFORMATION
Contains techical information whose export is restricted.  Violations may result in administrative, civil, and/or criminal penalties.  Limit dissemination to U.S. persons.  The cognizant program manager must approve other dissemination.
Limited Rights Data
Data, other than computer software, that embody trade secrets or are commercial or financial and confidential or privileged, to the extent that such data pertain to items, components, or processes developed at private expense, including minor modifications. 
LIMITED RIGHTS NOTICE
These data are submitted with limited rights under Government Contract No. [number] (and subcontract [number], if appropriate). These data may be reproduced and used by the Government with the express limitation that they will not, without written permission of the Contractor, be used for purposes of manufacture nor disclosed outside the Government; except that the Government may disclose these data outside the Government for the following purposes, if any; provided that the Government makes such disclosure subject to prohibition against further use and disclosure: [Agencies may list additional purposes or if none, so state.]
 
This notice shall be marked on any reproduction of these data, in whole or in part.
Official Use Only – Program Determined
This type of Official Use Only information is based on approved guidance as reflected in DOE Order 471.3, Identifying and Protecting Official Use Only Information
 
CG-SS-4, Classification and UCNI Guide for Safeguards and Security Information, dated 9/12/00, and other classification guides provide one type of program-determined guidance for marking and protecting Official Use Only information.
For marking requirements, refer to DOE Manual 471.3-1, Manual for Identifying and Protecting Official Use Only Information.
Patent Caution
Federal agencies are authorized to withhold from public disclosure any invention in which the Government owns or may own a right, title, or interest, for a reasonable length of time so that a patent application can be filed.
PATENT CAUTION
This product may contain patentable subject matter protected from unauthorized disclosure under U.S. Patent Law (35 U.S.C. 205). No further dissemination outside of the Government without the approval of the Assistant General Counsel for Intellectual Property, U.S. Department of Energy.
Proprietary Data
Information developed exclusively at private expense and contains information not owned by the Government. Examples of proprietary information include, but are not limited to, company financial data, insurance coverage, cost information, proprietary technical data, limited rights data, and restricted computer software.
See Limited Rights Data for technical data.
 
See Restricted Computer Software for computer software.
Protected Battery Information
In accordance with Public Law 102-381, Title II, 106 Stat. 1405, products containing Protected Battery Information must be clearly marked with the Protected Battery Information handling/access restriction marking to prevent disclosure of such information.
PROTECTED BATTERY INFORMATION
This product contains Protected Battery Information which was produced under Contract/CRADA No. [number] and is not to be further disclosed for a period of up to five years after the completion of the individual project, or not prior to [date] .
 
Protected CRADA Information
Information produced in the performance of a CRADA that is marked as being Protected CRADA Information by a party to the agreement and that would have been proprietary information had it been obtained from a non-Federal entity. It may be protected for a period up to 5 years from the date it was produced, except as expressly provided for in the CRADA.
PROTECTED CRADA INFORMATION
This document contains protected CRADA information which was produced on [date] under CRADA No. [number] and is not to be further disclosed for a period of [not to exceed 5 years] from the date it was produced except as expressly provided for in the CRADA.
 
Restricted Computer Software
Computer software developed at private expense and that is a trade secret, is commercial or financial and confidential or privileged, or is copyrighted computer software, including minor modifications of the computer software. 
RESTRICTED RIGHTS NOTICE
(a) This computer software is submitted with restricted rights under Government Contract No. [number] (and subcontract [number], if appropriate). It may not be used, reproduced, or disclosed by the Government except as provided in paragraph (b) of this notice or as otherwise expressly stated in the contract.
(b) This computer software may be— (1) Used or copied for use with the computer(s) for which it was acquired, including use at any Government installation to which the computer(s) may be transferred; (2) Used or copied for use with a backup computer if any computer for which it was acquired is inoperative; (3) Reproduced for safekeeping (archives) or backup purposes; (4) Modified, adapted, or combined with other computer software, provided that the modified, adapted, or combined portions of the derivative software incorporating any of the delivered, restricted computer software shall be subject to the same restricted rights; (5) Disclosed to and reproduced for use by support service Contractors or their subcontractors in accordance with paragraphs (b)(1) through (4) of this notice; and (6) Used or copied for use with a replacement computer. (c) Notwithstanding the foregoing, if this computer software is copyrighted computer software, it is licensed to the Government with the minimum rights set forth in paragraph (b) of this notice. (d) Any other rights or limitations regarding the use, duplication, or disclosure of this computer software are to be expressly stated in, or incorporated in, the contract. (e) This notice shall be marked on any reproduction of this computer software, in whole or in part.
Small Business Innovation Research (SBIR) / Small Business Technology Transfer (STTR)
Data first produced by a grantee that is a small business firm in performance of a small business innovation research grant issued under the authority of 15 U.S.C. 631 (Pub. L. 102-564, Small Business Research and Development Enhancement Act of 1992), which data are not generally known, and which data without obligation to its confidentiality have not been made available to others by the grantee or are not already available to the Government. 
SBIR/STTR RIGHTS NOTICE
 
These SBIR/STTR data are furnished with SBIR/STTR rights under Grant No. [number] (and subcontract [number] if appropriate). For a period of 4 years after acceptance of all items to be delivered under this grant, the Government agrees to use these data for Government purposes only, and they shall not be disclosed outside the Government (including disclosure for procurement purposes) during such period without permission of the grantee, except that, subject to the foregoing use and disclosure prohibitions, such data may be disclosed for use by support contractors. After the aforesaid 4-year period the Government has a royalty-free license to use, and to authorize others to use on its behalf, these data for Government purposes, but is relieved of all disclosure prohibitions and assumes no liability for unauthorized use of these data by third parties. This Notice shall be affixed to any reproductions of these data in whole or in part.
Naval Nuclear Propulsion Information - Unclassified
Unclassified or classified information concerning the design, arrangement, development, manufacture, testing, operation, administration, training, maintenance, and repair of propulsion plants of naval nuclear-powered ships and prototypes, including the associated shipboard and shore-based nuclear support facilities. 
Unclassified Naval Nuclear Propulsion Information (NNPI), is marked and handled as NOFORN, and may not be released publicly or for dissemination to foreign governments, foreign nationals, or any individual or activity not engaged in work for the naval reactors program. It is handled in accordance with Chief of Naval Operations Instruction N9210.3, Safeguarding of Naval Nuclear Propulsion Information, and is protected by export control requirements and statute.  
NOFORN (U-NNPI)
This document is subject to special export controls, and each transmittal to foreign governments or foreign nationals may be made only with the approval of the Naval Sea Systems Command.
 
Unclassified Controlled Nuclear Information
The unauthorized dissemination of Unclassified Controlled Nuclear Information (UCNI) is prohibited under Section 148 of the Atomic Energy Act of 1954, as amended. UCNI is identified and controlled as directed in DOE Order 471.1B, Identification and Protection of Unclassified Controlled Nuclear Information; and Title 10, Code of Federal Regulations, Part 1017, Identification and Protection of Unclassified Controlled Nuclear Information
For marking requirements refer to DOE Order 471.1B, and 10 CFR 1017.16 and 1017.17.

Last updated: June 26, 2014