4 January 1999: MCTL link fixed.
21 April 1997
Source:
http://guppy.nosc.mil/services/sti/publications/inst/NOSC/5510-4A.html
NOSCINST 5510.4a
0141/RN:ab
15 August 1986
NOSC INSTRUCTION 5510.4A
From: Commanding Officer, Naval Command, Control and Ocean Surveillance Center RDT&E Division
To: Branch Heads, Project Office Heads, and above
Subj: MILITARILY CRITICAL TECHNOLOGY
Ref:
(a) OPNAVINST 5510.156, Department of the Navy Control of Technology Transfer(b) DOD Militarily Critical Technologies List (U), Office of the Deputy Under Secretary for International Programs and Technology (USDR&E) l October 1984 (S)
(c) NOSCINST 5600. 2D, Procedures for processing NOSC publications; establishment of
Note: This instruction has been replaced by NOSCINST 5600.2E(d) NOSCINST 5500.1, Security Manual
Note: This instruction has been replaced by NOSCINST 5500.1A(e) NOSCINST 3900. 8B, Navy/Industry Cooperative Research and Development (NICRAD) Program
(f) PL 98-94 of Sep 1983
(g) DOD Directive 5230.24, Distribution Statements on Technical Documents
(h) NOSCINST 3910. lB, Engineering drawings number assignments, usage reporting, and drawing master control
NOTE: This instruction has been replaced by NOSCINST 3910.1C(i) NOSCINST 5050. 2C, Attendance at conferences
(j) NOSCINST 5050.3A, Meetings sponsored by outside organizations; us eof NOSC facilities for
(k) National Security Decision Directive (NSDD) 189 dtd Sep 21, 1985, National Policy on the Transfer of Scientific, Technical and Engineering Information
(l) NAVMATNOTE 5510 of 22 July 1983, Control of International Technology, Goods, Services and Munitions Transfers
(m) DOD Directive 5230.25, Withholding of Unclassified Technical Data From Public Disclosure
(n) OPNAVINST 5510.161, Withholding of unclassified technical data from public disclosure
1. Purpose. To establish Center policy, general procedures, and responsibilities of NOSC personnel for handling, using, and disseminating militarily critical technology (MCT) (classified and unclassified technical information) per references (a) through (n).
2. Cancellation. NOSCINST 5510.4.
3. Scope. Procedures in this instruction concern the routing, approval, release, and marking of all data that is determined to be MCT in whatever format it is transmitted. This instruction does not apply to information that is:
a. Not generated at NOSC.b. Not under NOSC control by contract or other arrangement.
c. Within intelligence programs.
d. Within operational forces documentation.
e. Classified as fundamental research. (See reference (k) for exceptions.)
4. Background
a. The Militarily Critical Technologies List (MCTL) (reference (b)) has been produced by the Department of Defense in response to section 5(d) of the Export Administration Act (EAA) of 1979, which states:"(2) The Secretary of Defense shall bear primary responsibility for developing a list of militarily critical technologies. In developing such list, primary emphasis shall be given to-(A) arrays of design and manufacturing know-how,(B) keystone manufacturing, inspection, and test equipment, and
(C) goods accompanied by sophisticated operation, application and maintenance know-how which are not possessed by countries to which exports are controlled under this section and which, if exported, would permit a significant advance in a military system of any such country.
(3) The list referred to in Paragraph (2) shall be sufficiently specific to guide the determination of any official exercising export licensing responsibilities under this Act."
This document further supports Section 3 of the EAA which states:
"(2) It is the policy of the United States to use export controls only after full consideration of the impact on the economy of the United States and only to the extent necessary "(A) ... .to restrict the export of goods and technology which would make a significant contribution to the military potential of any other country or combination of countries which would prove detrimental to national security of the United States; ...."b. This instruction concerns technical data with military application: any blueprints, drawings, plans, instructions, computer software, and documentation or other technical information that can be used or adapted for use to design, engineer, produce, manufacture, operate, repair, overhaul, or reproduce any military equipment or technology concerning such equipment. This instruction also concerns technology and relevant technical data with significant military application and included in reference (b), or representing a new technology or an innovation with significant military importance that should be protected from public disclosure until it has been evaluated for inclusion in the MCTL.
5. Policy. The Department of the Navy's primary objective in the control of U.S. technology is to protect the United States' lead, relative to its potential adversaries, in the military application of technology. This lead is to be protected and maintained as long as practical to provide time for the advancement of technology through new research and development (reference (a)). Reference (f) requires that no unclassified information be released to the public or foreign nationals except by deliberate action. In addition to distribution, security classification, and downgrading statements, reference (n) requires that all Navy documents not officially cleared for public release and which relate to arms, munitions, or implements of war will be marked with a special warning. Thus, controls to protect such information are to be implemented at NOSC.
6. Responsibility. The Program Director for Technology, Code 014, is responsible for the administration of the Center's MCT program. The authority to represent the Center is delegated to the Head, Industry R&D Programs Office, Code 0141, who represents the Center in all MCT matters and is designated the single point of contact for responding to higher authority.
7. Action
a. Industry R&D Programs Office. Code 014l will:(1) Manage and direct the Center's MCT program.(2) Have oversight and guidance responsibility for references (a) through (n) as applicable to the Center's MCT program.
(3) Develop and publish procedures for implementing the MCT program at the Center. Form and chair a committee to draft such procedures. The committee shall be composed of members from NOSC organizations as deemed necessary.
(4) Upon request, assist authors in determining if papers and presentation material contain MCT.
b. Technical Information Division. Code 96 shall ensure that:
(1) Each technical publication, classified or unclassified, carries the proper distribution statement (reference (c)).(2) Routing/approval/release of technical publications conform to latest Navy Department requirements.
(3) All documents that are determined in the approval/release process to contain MCT carry the following statement:
"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 Executive Order 12470. Violations of these export laws are subject to severe criminal penalties."
(4) Presentation material (vu-graphs and/or slides) prepared at NOSC that contains MCT is marked on the first slide or vu-graph used in the presentation or on the first page of any hardcopy reproduction.
c. Security/Safety Office. Code 15 shall:
(1) Conduct periodic audits to ensure that documents are being properly reviewed and marked.(2) Process requests for transfer of MCT technical data to foreign governments per reference (d).
(3) Ensure that NICRAD agreements provide evaluation of contractors for unclassified agreements that involve MCT materials.
(4) Approve distribution lists for all MCT documents. (See enclosure (l), paragraph 11.)
(5) Distribute reference (b) to each department, division, and major staff office. Give Code 0141 a list of copy numbers/codes.
d. Intelligence Office
(1) Code 17 shall review MCT documents that contain intelligence data.(2) Code 171, upon request, will assist authors in determining if papers and presentation material contain MCT.
e. Line Management. Supervisors and managers shall:
(1) Ensure that authors of papers or presentation materials know that they are responsible for making the initial MCT determination and distribution list, that branch heads must review, and that division heads are responsible for approving or disapproving the final determination. The originator who makes the designation of MCT will specify the section and paragraph in reference (b) used for the determination.(2) Certify for NICRAD agreements whether the study involves MCT material. (See reference (d).)
(3) Provide technical support to Code 0141, if necessary, in the analysis and evaluation of technical data, on a case-by-case basis, to determine if said data contains MCT as currently defined.
(4) Each division will maintain the latest copy of reference (b) and make all division personnel aware of its location.
(5) Process requests from foreign governments for MCT technical data per reference (d) and supply a copy of all correspondence to Code 0141.
(6) Forward requests initiated by NOSC employees to transfer MCT technical data to foreign governments through Code 014, 152, 15, 032, and 02 for review before sending to Code 00 for signature.
(7) Be responsible for understanding what technologies and other data within their mission areas are MCT related. (See definitions in enclosure (1).)
(8) In the case of unclassified technology with military application, NOSC program, project, and system managers and others are required to identify to contractors elements of information within their respective projects that may require control.
(9) In the case of procurement packages, the following shall be included in submissions to the Data Management Office:
(a) A statement that provides the applicable paragraph of the MCTL that covers work to be contracted for.(b) A "tentative" determination of distribution statement to be used on documentation. Use NOSC TD 841, "Distribution Statements for Technical Publications", in making this determination.
f. Non-Document Publications. Engineering drawings, computer data, specifications, plans, etc., shall have MCT marked on them in addition to requirements of reference (h) if they are determined as MCT by definition.
g. Public Affairs Office. Code 032 shall be responsible for:
(1) Reviewing written material for use at conferences for MCT content and for informing speakers of proper markings of presentation materials per reference (1), or, if not covered, consult with Code 961.(2) Informing all participants in meetings that come under reference (j) of MCT requirements.
h. Data Management Office. Code 9211 shall ensure that:
(1) Contract packages, certified by originator to contain MCT data, conform to reference (n) requirement for a DD Form 2345 (Export Controlled DOD Technical Data Agreement).(2) Originator has provided a "tentative" determination of distribution statement to be used with documentation.
(3) Documentation package contains copies of all instructions necessary to define to vendor the proper marking of documentation (reports, computer tapes, drawings, etc.) for any data defined as MCT. (For example see reference (n), enclosure (8).)
(4) Reference (n) requirements on data "limited rights" are covered.
i. Supply Department. Code 20 shall:
(1) Ensure that any contract issued by NOSC with MCT material be covered by a DD Form 2345 per reference (n).(2) Ensure that contractor sections of reference (n) are covered within NOSC contracts.
(3) Issue any necessary denial letters as specified in reference (n).
8. Directive Responsibility. The Head, Industry R&D Programs Office, Code 0141, is responsible for keeping this instruction current.
F. M. PESTORIUS
Distribution:
C
1. Militarily Critical Technology (MCT). MCT includes:
a. Technology not already possessed by a potential adversary.b. Technology which provides advantages to the United States, in terms of performance, reliability, maintenance, and cost, over systems currently in use by an adversary.
c. Technology which is included in the Central Intelligence Agency's projections of Soviet acquisition targets.
d. Technology related to emerging technologies with high potential for having an impact on advanced military applications.
2. Critical Technology. Technologies which consist of:
a. Arrays of design and manufacturing know-how (including technical data).b. Keystone manufacturing, inspection, and test equipment.
c. Keystone materials.
d. Goods accompanied by sophisticated operation, application, or maintenance know-how that could make a significant contribution to the military potential of any country or combination of countries that may prove detrimental to the security of the United States (also referred to as Militarily Critical Technology).
The term "critical technology" refers to unclassified and classified, nuclear and nonnuclear, and published and unpublished technical information or data, whose acquisition by another nation would significantly enhance the military operational capability of such nation, irrespective of whether such technology is acquired directly from the United States or indirectly through another recipient, or whether the declared end use by the recipient is a military or nonmilitary use. Military criticality should not be confused with military utility. A militarily critical technology gives a nation's armed forces a new capability that could change the military balance. A militarily useful technology makes only an incremental improvement.
3. 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).
4. Technical Data. Classified or unclassified information that can be used or adapted for use in the design, production, manufacture, repair, overhaul, processing, engineering, development, operation, maintenance, or reconstruction of goods or munitions; or any technology that advances the state-oftheart or establishes a new art in an area of significant military applicability in the United States. The data may be tangible, such as a model, prototype, blueprint, or operating manual, or may be intangible, such as a technical service or oral or visual interactions.
5. Know-How. The know-how of design and manufacturing and the know-how and related technical information that is needed to achieve a significant development, production, or use. Includes services, processes, procedures, specifications, design data and criteria, and testing techniques.
6. Technology. Technical information and know-how that can be used to design, produce, manufacture, use, or reconstruct goods, including technical data and computer software.
7. Arrays of Know-How (including design and manufacturing know-how). The know-how and related technical information required to achieve a significant development, production, or utilization purpose. Such know-how includes services, processes, procedures, specifications, design data and criteria, and testing techniques.
8. Keystone Equipment (including manufacturing, inspection, or test equipment). The equipment specifically necessary for the effective application of a significant array of technical information and know-how.
9. Keystone Materials. Materials specifically necessary for the effective application of a significant array of technical information and know-how.
10. Goods Accompanied by Sophisticated Know-How. These are goods:
a. The use of which requires the provision (disclosure) of a significant array of technical information and know-how (including operation, application, or maintenance know-how, and/orb. For which embedded know-how is inherently derivable by reverse engineering or is revealed by use of the goods.
11. Document. Any recorded information regardless of its medium, physical form, or characteristics.
12. Technical Document. Any document that presents technical information.
13. Technical Report. Any preliminary or final document prepared to record document, or share results obtained from, or recommendations made on or relating to, DOD-sponsored or cosponsored scientific and technical work.
14. Distribution Statement. A statement used in marking a technical 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.
15. Transfer Mechanism. Means by which technology, goods, services, and munitions are transferred. Includes, but is not limited to, scientist, engineer, student, and academic exchanges; commercial proposals and associated business visitors; trade fairs, exhibits, and airshows; international programs (such as fusion, space, and high energy); international meetings and symposia on advanced technology; patents; disseminations of technical reports and technical data, whether published or by oral or visual release; dissemination of technical reports under DOD Directive 5400.7 (Freedom-of-Information Act); and acquiring an interest in U.S. industry, business, and other organizations.
16. MCT Program. The coordinated, comprehensive effort to ensure that scientific and technical information controlled by NOSC is reviewed for content of Militarily Critical Technology (MCT) within the context defined by higher authority. The program is concerned with elements such as:
a. Review, approval, and release of documents determined to contain MCT.b. Publication of regulations, policy, forms, etc.
c. Marking of documents.
d. Analysis of technical content for MCT determination.
e. Communication of latest policy direction and controls issued by higher authority.
17. SOCRATES. DOD foreign technology availability information system. A system to provide foreign technology capability assessment and track the technological capability (equipment, know-how, material) that gives a country's state-of-the-art capability. The system is keyed to the technologies itemized in the MCTL. Enclosure (1)
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