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DEPARTMENT OF THE NAVY OPNAVINST 5510.161

Office of the Chief of Naval Operations op-oo9P3

Washington, DC 20350-2000 Ser09/5U301221

OPNAV INSTRUCTION 5510.161

From:

To:

Subj:

Ref:

Encl:

Chief of Naval Operations

All Ships and Stations

WITHHOLDING OF UNCLASSIFIED TECH-

NICAL DATA FROM PUBLIC DISCLOSURE

(a)

(b)

(c)

(d)

(e)

(f 1

(g)

(1)

(21

(3)

(41

(5)

(6)

(7)

(8)

(9)

(lo)

DOD Directive 5230.25 of 6 Nov 84

(NOTALI

Executive Order 12470 (NOTAL)

Public Law 90-629, “Arms Export Control

Act” as amended (22 U.S.C. Section 275

et seq.) (NOTALl

fiAVl NST 5720.42C

OPNAVINST 551O.1G

Militarily Critical Technologies List of

Ott 84 (NOTAL)

SECNAVINST 5720.44

Extract from the Export Administration

Regulation (EAR)

Extract from the International Traffic I n

Arms Regulation (ITAR)

Definitions

Sample Denial Letter for FOIA Requests

Information Sheet on Qualified U.S. Con-

tractors

DD Form 2345

Sample Denial Letter to Qualified U.S.

Contractors - (Requests Unrelated to Certifi-

cation)

Notice to Accompany the Dissemination of

Export Controlled Technical Data

Sample Denial Letter to Qualified U.S. Con-

tractors - (Requests Unrelated to DOD

support)

Sample Denial Letter to persons not Qualified

U.S. Contractors

1. Purpose. To implement reference (a) within the Depart-

ment of the h’avy (DOhlj, to assign responsibilities, pre-scribe procedures and issue policy concerning the controlof unclassified technical data by the DON.

2. Applicability and Scope. This instruction:

a. Applies to all unclassified! tcchnica] data that disclosecriliul teclln(llog~ willl (nilil~~:. (II >i~,l,”t’~pplication in

L

29 hty 1985

the possession of or under the control of the DON whichmay not be exported lawfully without an approval, author-ization or license under references (b) or (c).

b. Does not introduce any additional controls on thedissemination of technical data by private enterprises orindividuals beyond those specified by export cent rol lawsand regulations or in contracts or other mutual agree.ments, including certillcations made pursuant to para-graph k. Accordingly, the mere fact that the DON maypossess such data dots not in itself provide a basis for

control of these data pursuant to this instruction.

c. Does not introduce any controls on the dissemina-tion of scientific, educatioml or other data that qualifyfor General License GTDA under export control law.Enclosures (1 I and (2) are pertinent extracts from thesekws; General License GTDA is defined in enclosure (1 ).

d. Does not alter the DON’s responsibility to protectproprietary data of a private party in which the DON orthe Department of Defense has “limited rights” or.’restricted rights” (see enclosure (3), Def~tions) or whichare authorized to be withheld from public disclosureunder the Freedpm of Information Act, reference (d).

e. Does not pertain to or affect the release of technicafdata by the DON to foreign governments, internationalorganizations or their respective representatives or con-tractors, pursuant to official agreements or formal arrange-ments with the U.S. Government or pursuant to U.S.Government-licensed transactions involving these entitiesor individuals.

f. Does not apply to classified technical data. Afterdeclassification, however, dissemination of such data thatare within the scope of paragraph 2a is governed by thisinstruction. Reference (e) prescribes policy and proceduresfor the protection of classified information. includingclassified technical data.

3. Definitions. Terms used in this instruction are definedin enclosure (3).

4. Policy

a. The DON may, pursuant to reference (a), withholdfrom public disclosure, notwithstanding any other pro-visiwrs of law, any technical data that disclose critical

IIIIIIIIIIIIIIIIIIIIIIIIIII10579 LD052965CJ

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OPNAVINST 5510.16129 chdy 1985

technology with military or space application in thepossession of or under the control of the DON, if such

data may not be exported lawfully without an approval,authorization or license under reference (c). Regulationsissued under Executive Order or export control law (seeenclosures (1) and (2)) may, in certain cases, authorizethe export of technical data pursuant to a general un-restricted license or exemption. In these cases, the tech-nical data covered by license or exemption may not bewithheld.

b. Because public disclosure of techrdcal data subjectto this instruction is equivalent to providing uncontrolledforeign access, withholdirtg these data from public dis-closure, unle~ approved, authorized or licensed in ac-cordance with export control law, is necessary and in thenational interest. Unclasstled technical data that are notgoverned by this instruction, unless otherwise restricted,shall continue to be made available to the public as wellas to state and local governments.

c. Notwithstanding the authority provided in para-graph 4a, it is DON policy to provide technical datagoverned by this instruction to individuals and enterprisesthat are determined to be qualified U.S. contractors (seeenclosure (3), Definitions), when the data are requestedfor a legitimate business purpose for which the contractoris certified by the Defense Logistics Semites Center(DLSC), Battle Creek, Michigan. These certifications arevalid for a period of 5 years. When the data are requestedfor a purpose other than to permit the requester to bid orperform on a contract with the DON, or other U.S. Govern-ment agency, and its release for purposes other than direct

support of DON or other DOD activities may jeopardizean important U.S. technological or operational advantage,the data shall he withheld. NormalIv. this restrictirm will

apply only in the case of Naval Nuclear Propulsion lntor-mation (NNPl) (as defined irr reference (e)), polymerhydrophones/arrays related to submarine technology/design and to structural acoustic applications to submarinedesign. Commands desiring to have other classes of infor-

> mation included in this restriction against release may

request approval from CNO (Op-009P). Requests mustinclude a detaifed justificat ion and !o be consideredfavorably, the technical data covered should provide asignificant military capability and its development forcommercial purposes would jeopardize the milituryadvantage it provides. In the case of requcstsl’t)r largenumbers of documents or exte[is:ic compilations of d~t~which would tax a commands ability !Q reply i]! a timelyfashion, the command concerned shall develi)p WIIh tl;ereqi.iester a muluallv satisfaclo~ Jclii er} sthccluic, ;!

agreement cannot be reached, the matter shall be referred

to C’NO (Op-009P).

d. This instruction may not be used by DON commandsas authority to deny access to technical data to the Con-gress, or to any Federal, State or local governmental agencythat requires the data for regulatory or other officialgovernmental purposes. Any such dissemination will includea statelnent that the technical data are controlled by theDON in accordance with this instruction.

e. The authority provided here may not be used towithhold from public disclosure unclassified information

regarding DON operations. policies, activities or programs,including the costs and evaluations of performance andreliability of military and space equipment. When infor-mation of this kind contains technical data subject to thisinstruction, the technical data shall be excised prior toany public disclosure.

f. This instruction may not be used as a basis for therelease of “limited rights” or “restricted rights” data asdefined in enclosure(3), or that authorized to be withheldfrom public disclosure under the Freedom of Information

Act (FOIA), implemented in the DON by reference (d).

9. This instruction may not be used to provide pro-tection for technical data that should be classified in ac-cordance with reference (e).

h. This instruction provides authority to cite “5 U.S.C.Sectirsn 552(b)(3)” (FOIA) as the basis for denials underthe FOIA (see reference (d)) of technical data determirtedto be subject to the provisions of this instruction. Seeenclosure (4) for .s sample denial letter for requests madeunder the FOIA.

5. Procedures

a. Requests for technical data shall be processed inaccordance with chapter 12 of reference (e). FOIA re-quests for technical data subject to this irtstruction shallbe handled in accordance with reference (d). FOIA re-

quests for technical data determined to be subject to thewjthhcddirtg authority effected by this instruction shallhe denied llnder 5 U.SC. Section 552(b) (3). and therequester shall be referred [o the provisions of this instruc-tion permitting Jccess by aualificd U.S. contractors. En-[Insurc ~-1~)LJ sanlili, denial Ielter for requests for un-cksssificd tecilnic Ql20!J IIndc: !he FOI.A. Enclosure (5)is ~ SJIIIplL.il~l’er:ll~[il;n shec: pcrl~:]lulg lo qualified L.S,

.:ontractors u Iiid si]d! h funushed mch r~ques!er withic:lers {If (ie!liul.

.i

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b. Upon receipt of a request for technical data in thepossessionof or under the control of the DON, the con-trolling Navy or MaMc Corps command (see enclosure (3),Deflnitiona) shall determine whether the data are governedby this instruction. This determination sltrdlbe baaed onthe following:

(1) The command’s findings that the data wouldrequire an approval, authorization or license for exportunder references (b) or(c), and that the data may not beexported pursuant to a genera!, unrestricted license (seeenclosure (l)) or exemption (see enclosure (2)). Corn.mands may, in caseswhere such determinations cannotreadily be made locally, request guidance on spec~lc casesfrom CNO(Op4X19P).It is not intended, however, thatall requests be referred routinely to CNO for decision.

(2) The command’sjudgment that the technicaldata under consideration disclose critical technology withmilitary or space application. For purposes of makingthese determinations, the Militarily Critical TechnologiesL&t(MCTL), reference (f), shall be used as general guid.ante. The controlling DON command may request assist-ance in making these determinations from the Office ofthe Under Secretary of Defense for Research andEngineering (OUSDR&E) via CNO (Op-009P).

Q Rquests from foreign governments, organizationsor individwds for technicrd data shall be referred to CNO(op42).

d. The controlling command shall ensure that technicaldata determined to be governed by this instruction aremarked in accordance with chapter 12 of reference (e).AUtechnical documents determined to be subject to the

withholding provisions of this instruction will be markedwith an export warning notice as follows: “WARNING.This document contains technical data whose export isrestricted by the Arms Export Control Act (Title 22,U.S.C.Section 2751 et sq.) or Executive Order 12470.Violations of these export Iawsare subject to severecriminal penalties.”

● . A controlling command shall release technical datagoverned by this instruction only to a qualified U.S. con-tractor, as evidenced by the contractor’s submission of acompleted DD 2345, enclosure (6), with each request forunclassf:ed technical data subject to this instruction. Thecertification process has been established to assist thecontrolling Navy or Marine Corps command (see enclo.sure (3), Defmitiom) in determining as efficiently aspossible whether the requester should receive tt,e technical

OPNAVINST 5510,16129 July 1985

data requested. A certified requester is not autontaticaUyqualified to receive all DON export controlled information.The controlling command must ensure that the “qualiiledcontractor” is qtsalMedto receive the particular type ofinformation requested. Command release authority maybe exercised unless one of the following apply:

{1) The qualification of the US. contractor con.txmed has been revoked temporarily in accordance withparagraph 5i; or

(2) The requested data are judged to be unrelatedto the purpose for which the qualitled U.S. contractor iscertified. When release of technical data is denied in ac-cordanrx with this paragraph, the controlling commandshall inform the U.S. contractor of the reasons for thedenial, i.e., the requested data are deemed to be unrelatedto the U.S. contractor’s certification. The letter of denial.enclosure (7), is a sample of such a letter and shall advisethe U.S. contractor that application can be made to theDLSCfor a new certification and request additional in-formation which would describe intended use of therequested data; or

(3) The technictd data are being requested for apurpose other than to permit the requester to bid orperform on a contract with the DON or other U.S. Govern-ment agency. In these cases, the controlling commandshal!withhold the data if it has been determined by theoriginating command (see enclosure (3), Definitions) thatthe significanceof the data for military purposes precludesits release for purposes other than direct support of DONapproved activities, because release could jeopardue animportant technical or operational military advantage ofthe United States (normally applicable only to NNPI,polymer hydrophores/arrays and structural acoustic appli-cations to submarine design); or

(4) There is reason to question the validity of theU.S. contractor’s qualification, in which case the Chiefof Naval Operations (Op409P) is to be notified immedi-ately. Reasons for casting doubt upon the valitilty of aU.S. contractor’s qualifkation could be, but are not limitedto, a certifkation date of more than 5 years from date ofissue;an apparent alteration of the submitted DD 2345;the use of type faces, numbers, titles or other detail whichappear different from those previously observed on otherDD 2345; or the use crfforeign addresses or fms asproposed recipients of controlled data.

f. Any release to qualified U.S. contractors of technicaldata controlled by this instruction shall be accompanied by

OPNAVINST 5510.16129 July 1965

a notice to the recipient as set forth in enclosure (8). Docu-ments being mailed to a qualifkd U.S. contractor shall besent to the address ahown for the data recipient in block 3of the DD 234S regardlessof any rquest for mailing to adifferent address. Commands shall deny requests fromqtiled US. contractors that specify the data be sent toan address outside the United States.

g. Commands will deny fl non-FOIA requests for un-classifkd technical data covered by this instruction whichare not accompanied by a completed DD Form 234S.Commands may confm, when necessary, a rquester’squalifkation as a U.S. contractor by:

(1)Contacting the DISC at Autovon 369-9288/89or FTS 372-9288/89 or commercial (616) 9624511, ex.tension 9288, to ensure that the requester is listed by theDISC as a qualiiled U.S. contractor; and

[2) Reviewing the listing published by CNO (Op009P) of revocations and suspensionaof U.S, contractors’qualifkations to ensure that requesters have not beendebarred from receitig such data.

h. If a request is denied because of use of an invalidDD 2345, the matter shall be reported immediately toCNO (Op-009P). Reports will contain, as a minimum, thedate of the request, the name and affiliation of the re-quester, a copy of the DD 2345 and an explanation as towhy the form was deemed to be invalid.

i. Commands becoming aware of credible and sufficientinformation that a qualMed U.S. contractor has (1) vio-lated U.S. export control law, (2) violated its certification,(3) made an application for @ratificationin bad faith or(4) made an omission or misstatement of material fact willreport this information to CNO (Op4109P).CNO (Op-009P) will, in coordimtion with the General Counsel of theNavy and the Judge Advocate General of the Navy, revoketemporarily the U.S. contractor’s quaMcation. Revocationshaving the potential for compromising a U.S. Governmentinvestigation may be delayed. Immediately upon a con-tractor’s revocation, CNO (Op4109P) shall notify thecontractor, the OUSDR&Eand all DON commands ondistribution for receipt of contractor qualifhtion revoca-tions or suspensions. The contractor concerned shall begiven an opportunity to respond in writing to the informa-tion upon which the temporary revocation is based beforebeing disqualified. Any U.S. contractor whose qualifka-tion has been revoked temporarily maybe reinstated byCNO (Op4109P) upon presentation of sufficient informa-

tion showing that the basis for the revomtion was in error

or has been remedied.—

j. When the basisfor a contractor’s temporary revoca-tion cannot be removed within 20 working days, CNO(Op4XNP) shall recommend to the OUSDIhkE that thecontractor be disqualified.

k. Charges forcopying,certifyingandseachhgrecords provided to requesters shall be kvkd in accord-ance with charges authorized by the NAVCOMPTMutual,paragraph 035887. Norrnslly, only one copy of the samerecord or document will be provided to each rquester.

f!.Technical documentsmarkedwithdistributionlimitation statements (see Exhibit 12B of reference(e))which require originator approval prior to release may not

be rekased without such approval. In these cases, a re.quester may be advised that his request requtres originatorapproval and that the approval has been requested. In thesecases controlling commands will rquest the approvat ofthe originating command prior to release of the requestedinformation. Originating commands shall approve releaseof their controlled information if assuredby the con-trolling command that the rquester is a quallfkd U.S.contractor, urdess the request should be denkd for thereasons permitted in paragraph Se. Unclassifiedtechnicaldata pertaining to naval nuclear propulsion matters se. -

quires CNO (OP40N) approval prior to its release by anycontrolling command. Unclas@led technical data per.taining to submarine matters or operations requires CNO(OP-02) approval prior to its release by any controllingcommand. Requests for technical data requiring rekwapproval by other DOD or Government agenciesshall bereferred to those agencies.

m. Unless advised to the contmry, qualified U.S. con.tractors who receive technical data governed by this in-struction may disseminate the data for purpms consistentwith their cetiifiitions without the prior permksion of

the controlling Navy umrnand. QuaMed U.S. contractors

IIMy dSO dkseminate such data without prior permission to:

(1) Any foreign recipient for which the data areapproved, authorized or licensed under references(b)or (c);

(2) Another qualified U.S. contractor, as defined inenclosure (3), including existing or potential subcomtractors, but only within the scope of the certlfkd legiti-mate business purpose of the recipient;

OPNAVINST 6510.16129 July 1966

(3} The &partmcnts of State and Commerce, for\purposesof applying for appropriate approvals, authoriza-tions or licenses for export under references(b) or (c).Any such application shall inciude a statement that thetechnical data for which approval, authorbtion or licenseis sought are controlled by the Department of the Navyin accordance with this instruction;

(4j Congress or to any Federal, State or local govern.

mental agency for regulatory purposes, or otherwise asmay be required by law or court order. Dhseminationsshall include a statement that the technical data are con-trolled by the DON in accordance with this instruction.

n. A qualified U.S. contractor desiring to disseminatetechnical data subject to this instruction in a manner notpermitted expressly by the terms of this instruction shallseek authority to do so from the controlling DON com-mand. A command receivingsuch request from a qualifiedU.S. contractor ahali refer the request to the command oroffice which originated the information. If the originatorcannot be ascertained, the request shali be referred toCNO (Op@9P). Unauthorized redissemination of technicaldata subject to this instruction by a qualifled U.S. con-tractor can take place by the publishing of articles in openliterature, in advertising or in promotional materials, inconducting educational and training courses, and by

~ similar means where persons or entities not authorized bythis instruct ion to have access to the technical data canobtain access.

o. Any requester denied technicai data or any qualifiedU.S. contractor denied permission to redisseminate tech-nical data pursuant to this instruction shall be provided awritten statement of reasons for that action within 15 daysof such denial and advised of the right to make a writtenappeal to CNO (Op4109P).Appeals of denials made underFOIA shali be handled in accordance with proceduresestablished by reference (d). Other appeals shall be

- processed as directed by CNO (Op4109P).Enclosure (9) isa sample letter of denial to quaiified U.S. contractors. En-closure (1O)is a sample denial letter used for denials to

> requesters who are not qual~led U.S. contractors.

p. Denials for other than FOIA requests shall cite” 10U.S.C. Section 140c as implemented by DOD Directive,5230.25 of 6 Nov 1984” (NOTAL). FOIA deniais shallcite”5 U.S.C. Section 552(b)(3):’ reference (d). Denialletters shall be modelled after the formats set out inenclosures (4), (7), (9) and (10).

q. Requests for technical data from foreign individualsor entities shall be forwarded to CNO (Op-62).

r. When disclosure of export+ontrolled technical datais necessary to a procurement, the command concernedmust ensure that all who receive the data are qualifiidU.S. contractors. Information for Bids and Requests forRoposals may include notification that only contractorscertified under DOD procedures, reference (a), may receiveexport-controlled technical data from the DON. Suchnotification, if used, shall include information about thequalified U.S. contractor program, enclosure (5).

6, Respors$ibilities

a. Under the Chief of Naval Operations:

(1) The Director, Security Policy Division(OpQ09P)is responsible for the implementation of this instructionand shall:

(a) Administer and monitor compliance withthis instruction.

(b) Receive and disseminate notiilcations oftemporary revocation in accordance with paragraph 5i.

(c) Receive recommendations from DON com-

mands for contractor disqualification and notify theOUSDR&.Epursuant to paragraph 5i.

(d) ●[n coordination with the OASNRE&.Sandthe Director, Research Development, Test and Evacuation(OP4398), issue guidance which identifies the technicai&ta subject to this instruction.

(2) The Director, Technology Transfer Policy andControl Dividon (Op452) is responsible for the release oftechnical data covered by this instruction to foreign personsor entities, except for that &ta covered in subparagraph5m(l).

b. Commanding officers are responsible for ensuringthat technicsi data subject to this instruction in theirpossessionor under their control are handled in accord.ante with this instruction.

Q Persons in the naval establishment who have orhave had accessto technical data covered by this instruc-tion are responsible for the safeguarding and control of

OPNAVINST 5510.161

29 July 1985

the data in accordance with this instruction. Naval pcr-somel, military and civilian, may not publicly disclosesuch data without formal conuuaml approval. SCc reference (g).

d. The Judge Advocate General and the General Counsel,as appropriate, are responsible for cnsuri.ngthe proce-dural sufficiency and substantive lawfulness of U.S. con-

tractor certification revocations. The General Counsel isresponsible for providing legal review of FOIA rccpiestdenials when requested.

7. Report. The report required by paragraph 5 is assigned _Icport control symbol OPNAV 5510-23 and is approved for

3 years only from the date of this directive.

8. Form. DD 2345 (Rev Dec 85), S/NO 102-LF4M2-345O,mny be ol~taincd through normal Navy supply charnels inuccordancc wilh NAVSLJP P-2002.

RONALD J. HAYSVice Chief of Naval Operations

Distribution:

SNDL Parts 1 and 2

MA RCORPS Code DS

Commander

Naval Data Automation Command (Code 172)

Washington Navy Yard

Washington, D.C. 20374-1662 (200 copies)

Stocked:

CO, NAVPUBFORMCEN

5801 Tabor Avenue

Philadelphia, PA 19120-5099 (500 copies)

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OPNAVINST 5510.161

2 f)JUI.#85

EXTRACT FROM THE EXPORT ADMINISTRATION REGULATION (EAR)

The following pertinent section of the EAR is provided for the guidance of DONpersonnel in determining the releasability of technical data under the authority of thisinstruction.

Export Administration fiegulations Section 379.3—.

“General License GTDA: Technical Data Available toAll Destinations

A General License designated GTDA is hereby established authorizingdestinations of technical data described in 379.3(a), (b)) or (c)j below:

“(a) Data Generally Available

“Data that have been made generally available to the public in anyincluding -

the export to all

form,

“(l) Data released orally or visually at open conferences, lectures, trade shows, orother media open to the public; and

“(2) Publications that may be purchased without restrictions tit a nominal cost, orobtained without costs, or are reudily available at libraries open to the public.

‘The term ‘nominal cost’ as used in 379.3(a) (2), above, is intended to reflect realisticallyonly the cost of preparing and distributing the publication and not the intrinsic value ofthe technical data. If the cost is such as to prevent the technical data from beinggenerally available to the public, General License G1’DAwould not be applicable.

“(b) Scientific or Educational Data

“(l) Dissemination of information not directly and significantly related to design,production, or utilization in industrial processes, including such dissem inat ion bycorrespondence, attendance at, or participation in, meetings; or

“(2) Instruction in academic institutions and academic laboratories, excludinginformation that involves research under contract related directly and significantly todesign, production, or utilization in industrial processes.

“(c) Patent Applications

“Data contained in a patent application, prepared wholly from foreign-origin technicaldata where such application is being sent to the foreign inventor to be executed andreturned to the United States for subsequent filing in the U.S. Patent and TrademarkOffice. (No validated export license from the Office of Export Administration isrequired for data contained in a patent application, or an arllendment, modification,supplement, or division thereof for filing in a foreign country in accordance with theregulations of the Patent and ‘1’rndemrk Office 37 CFR Part 5.”)

Enclosure (1)L

..OPNAVINST 5510.161

z ‘9 JUL 19B5

\ EXTRACT FROM THE INTERNATIONAL TRAFFIC IN ARMSREGULATION (ITAR/

The following pertinent section of the ITARisprovided forthe guidance of DONpersonnel in determining the releasability of technical data under the authority of thisinstruction ‘.

International Traffic in Arms Remulations Part 125“General Exemption

‘(a) Except tui provided in 126.1* district dmectors of customs and postal authoritiesare authorized to permit the export without a license of unclassified technical data asfollows

‘(l) If it is in pubIishe# form and subject to public dissemination by beirqy

“(i) Sold at newsstands and bookstore%

“(ii) Available by subscription or purchase without restrictions to anyperson or available without cost to any persow

“(iii) Granted second class mailing privileges by the U.S. Governmentor

‘(iv) Freely available at public libraries.

Y2) If it has been approved for public release by any U.S. Governmentdepartment or agency having authority to classify information or material underExecutive Order (12356), as amended, and other applicable Executive Orders, and doesnot disclose the details of desig~ production, or manufacture of any arms, ammunition,or implements of war on the U.!%Munitions List.

‘(3) If the export is in furtherance of a manufacturing license or technical

assist-ante agreement approved by the Department of State in accordance with Part 124● $*

of this subchapter.

“(4) If the export is in furtherance of a contract with an agency of the US.Government or a contract between an agency of the US. Government and foreign-n% protided the contract calls for the export of relevant unclassified technicaldata, and such data are being exported only by the prime contractor. Such data shall notdisclose the details of development, engineering, design, production, or manufacture ofany arms, ammunition, or implements of war on the US. Munitions List. (This exemptiondoes not permit the prime contractor to enter into subsidiary technical assistance ormanufacturing license agree men@ or any arrangement which calls for the exportation oftechnical data without compliance with Part 124 of this subchapter.)

‘(5) If it relates to firearms not in excess of caliber .50 and ammunition forsuch weapo~ except technical data containing advanced designs, processes, andmanufacturing techniques.

Enclosure (2)

“(6) If it consists of technical data, other than desigw development, orproduction information relating to equipment, the export of which has been previouslyauthorized to the same recipient.

“(7) If it consists of operations, maintenance and training manuals, and dsPrelating to equipment, the export of which has been authorized to the same recipient. .

‘1(8)If it consists of additional copies of technical data previously approved forexport to the same recipien~ or if it consists of revised copies of technical data,provided it pertains to the identical Munitions List article, and the revisions are solelyeditorial and do not add to the content of technology previously approved for export tothe same recipient.

“(9) If it consistssource of import.

“(10) If the export

solely of technical data being reexported to the original

is by the prime contractor in direct support and within thetechnical and/or product limitations of a ‘US. Government approv&i project’ and theprime contractor so certifies The Office of Munitions ControJ Department of State,will verify, upon request, those projects which are ‘U.S. Government approved; andaccord an exemption to the applicant who pplies for such verification and exemption,where appropriate, under this subparagraph. t+

“[11) If the export is solely for the use of American citizen employees of US.firms p?ovide$the US firm certifies its overseas employee is a U.S. citizen and has a‘need to icnow.

‘(12) If the export is “directly related to classified information, the export ofwhich has been previously authorized to the same recipient, and does not disclcme thedetaiis of design, productio~ or manufacture of any arms, ammunition, or implements ofwar on the US. Munitions List.

“(b) Plant visits. Except as restricted by the provisions of 126.1* of thissubchapter

“(l) No license shall be required for the oral and visual disclosure ofunclassified technical data during the coume of a plant visit by foreign nationals providedthe data (are) disclosed in connection with a classified plant visit or the visit has theapproval of a US. Government agency having authority for the classification ofinformation or material under Executive Order (12356), as amended, and other ap@icableExecutive Orders, and the requirements of section V, paragraph (41(d)) of the Indus~~Security Manual are met. (See Section III, paragraph 3-103d, of the DOD IndustrialSecurity Regulation (DOD 5220.22-R) of 22 May 1984 which is equivalent to the citationfrom the Defense Industrial Security Manual).

“(2) No license shall be required for the documentary disclosure of unclassifiedtechnical data during the course of a plant visit by for$~n nationals provided thedocument does not contain technical data as defined in 125.1 in excess of that released

Enclosure (2)

2

“.

OPNAVINST 5510.161

Z 9 JUL 1985

L. orally or visually during the visit) is within the terms of the approved visit request, andthe person in the United States assures that the technical data will not be used, adaptedfor use, or disclosed to others for the purpose of manufacture or production without theprior approval of the Department of State in accordance with Part 124 of thissubchapter.

“(3) No Department of State approval is required for the disclosure of oral andvisual classified information during the course of a plant visit by foreign nationalsprovided the visit has been approved by the cognizant U.S. Defense agency and therequirements of section Vj paragraph (41(d)) of the Defense Industrial Security Manu~are met. “(See Section III, paragraph 3-10ld. of the DOD Industrial Security Regulation(DOD 5220.22-R) of 22 May 1984 which is equivalent to the citation from the IndustrialSecuri~ Manual.)

4 “The burden for obtaining appropriate Us. Govern~@ approval for the publication oftechnical data falling within the definition in 125.1 , including such data as may bedeveloped under other than U.S. Government contract, is on the person or companyseeking publication.

5 “Not applicable to technical data relating to Category VI(d) and Category XVI.

6 “Classified information may also be transmitted in direct support of and within thetechnical and/or product limitation of such verified U.S. Government approved projectswithout prior Department of State approval provided the US. party so certifies andcomplies with the requirements of the Department of Defense Industrial Security Manualrelating to the transmission of such classified information (and any other requirements ofcognizant U.S. Government departments or agencies).

7 ‘rClassified information may also be exported to such certified American citizen. employees without prior Department of State approval provided the US. party complies

with the requirements of the Department of Defense Industrial Security Manual relatingto the transmission of such classified information (and any other requirements of

Y cognizant US. Government departments or agencies). Such technical data orinformation (classified or unclassified) shall not be released by ora~ visua~ ordocumentary means to any foreign person.

Enclosure (2)

OPNAVINST5510.16129 JUL 1985

* 126.1 Prohibited shipments to or from certain countrk%

“(a) Gm- It is the poficy of the United States to deny licenses and other approvalswith respect to defense articles and defense services destined for or originating incertain countries or areas. This policy also applies to exports to and imports from thesecountries or areas. This policy applies to Albania, Bulgaria, Cuba, Czechoslovakia, EastGermany, Estonia, Hungary, Kampuchea, Latvia, Lithuania, North Korea, OuterMongolia, Poland, Rumania, the Soviet Union and Vietnam. This policy also applies tocountries or areas with respect to which the United States maintains an arms embargo orwhenever an export would not otherwise be in furtherance of world peace and thesecurity and foreign policy of the United States. The exemptions provided in theregulations in this subchapter, except 123.17 of this subchapter, do not apply withrespect to exports to or originating in any of such proscribed countries or areas.

“(b) Shipments. A defense article licensed for export under this subchapter may not beshipped on a vessel, aircraft or other means of conveyance which is owned or operatedby, or leased to or from, any of the proscribed countries or areas.”

** 125.1 Exports subject to thisPart.

“(a) The export controls of this Part apply to the export of technical data and theexport of classified defense articles. Information which is in the “public domain” (see120.18) is not subject to the controls of this subchapter.

“(b) A license for the export of technical data and the exemptions in 125.4 may beused for foreign production purposes or for technical assistance unless the approval ofthe Department of State has been obtained. $~$h approval is generally provided onlypursuant to the procedures specif ied in Part 124 of this subchapter.

“(c) Technical data authorized for export may not be diverted or transferred from thecountry of ultimate end-use (as designated in the license or approval for export) ordisclosed to a national of another country without the prior written approval of theDepartment of State.

“(d) The export controls of this Part apply to the exports referred to in paragraph (a)

of this section regardless of whether the person who intends to export the technical dataproduces or manufactures defense articles if the technical data is determined by theOffice of Munitions Control to be subject to the controls of this subchapter.

—

“(e) The provisions of this subchapter do not apply to technical data related to articlesin Category VI(e) and Category XVI. The export of such data is controlled by theDepartment of Energy and the Nuclear Regulatory Commission pursuant to the AtomicEnergy Act of 1954, as amended, and the Nuclear Non-Proliferation Act of 1978.”

Enclosure (2)

4

-----

‘.

OPNAVI!UST 5510.161

z 8 JUL 1985

“Auos usc mq.nk .mfwtdbmmatofbfaulkclpfwlddtotbowpwfmnlafmstcmwt bndrbybtwrhoLhooffii@fMd*titi

(a)lhomdpkntdmoapatkanm●ut&podMannutibthd19d19-~$tboJbh ~

&+l*tludofclue8rtkfo la Wosuon.@arcllpmtcbYmau. acts)Afwr●&wfmbasbowI adm=tmd. *

~nclosure (2)

. .

OPNAVINST 5510.161

29 JUL 1985

478SS rdml W- / vol. ~ No. = / ~unday. D-ink & 1SS4 / RUINmtd Rquloftonc “” “

bbmmolr -M! boprovtdd mlthhw&noffbedati oftkdtcWomtbmr@Ir4rmcnt# ●pply-ay Uho ●

dIbc Wtwof Munhimmti 415%:’Amlrnd fa Y& agrmwnf tD hdudd (Wltb m eFNbwl Oy-) .

Olsa t~@~-w-———~~~

m@LfwOds4M4pnyw*mmlfmwiqfbnnw● ~1●soic!mcrsgmcmwl!mmthfmm &Offk ofMuaItiow~mol IIImtithsof* lmpcndl~ 18dNf140 d b

~mfol ml kc than W dsp * *tb4 ●Xplr,uonda. of W&l Q#m4mcol.

h

~u~

bmdtrtobeappmvmla ffpmpondmurukturlrqhcm4eqfwm401,madtdrnlul●sblam 4yrwmmItB md

motain M?ldo inJ0rm41imr ad *UWL

Tbe lnfomuuml rwquimdb Spm3rmdmg U4A Tb fof0cm4tIomRquhd Bbouldhprvvi&d lmbnn, wlu&amas-C u poulbla W AUOS AMad h &xluded in botb mnufacturqf&m4e ~emmu and mdakal●4.imanm ~moenls am stared int 1243 Tb8 ●dditional clauses whichmust h mslcd in manultcmmjq kenw~eemenw omly●m opedfwd m# 124.10. ffth YJrmd Staw PWTYWievm U@ ● Cbuw or coloe mqubmdbform4tlon h oot mlevwtl or oecm4wb ● pmcubr qiwmont. * OK- ofMumItmns titm! EMy ●thorke d)rOmluiom of ttw Informmbn or CbuseTln hnmItM bum ●corrrpmybq rheqmrmenl hec ~ 124.12) rnrmt maw tlwRa*olw for my prwpmed Vw’btion InM mqulmd imf0rm4non or ct41em?0t4.

~~h-=

Tb mlowiq Inf-uar mwl behduded In d mwfaclwin# hamqmtmrmlt d wchdul ●uuw

u--mumemrentmrml de4dbs &a

OqMipmmt-d TechnologyimvolndYluy should b d.suib.d by mllitmy~cbturs. wntroct mumbm,Federal

-

-...

0PYA171YST 5510.161

z 9 JUL 1985

Fodorol h@or / Vol 49. No 2s6 / lltumrhy, Do=mber & lSM / Rule- ●nd Rqulstioms X

Yne fouowlrg maeowmte mmolbekrcbded both in rnormfaciudnaYiaoev

~-[s) -rbie @mnoert Obellmot-tm

bto f-. ●d OballMl be Ommded =oxknded. wkbow the tie? written●ppval of the Depankeot of5tate oftire us. GvmWoenl.-

fb] 7hi0 qmoment b eub~ * dUnikd $kki lowsmd re@eboosmlalinJ10 ●xpone and ro ●lldrmrlierrorive sue of tbe Us.Cova?rlnmt purouanltoWebfoweOodr@@ioM.”

[c]Ihe P@- tothis~1~ tboltbeob~stions eonklnad 10this agmemen! olmll 001 ofied tbe

Ejj:%L%%wR’=jA

dlectwel with tbe U.S.CovemmOO~-{(d) ~0 ‘abll,ty @ be Imcunod&YOC

●ributed 10 the US. Gov~ommeetioo whb ony podbleInfringemml of ~“valely owoed poterrlor pmpriekry tigh. ●ither ~tb mforeign. by moeon of fbe USGovmnmerrt”s●pprovalofhis~t: ‘-

(e] 7he todrnical &k or ddeneeaendtx ●xoorted horn tbe Uoikd Steteein funhera-ncvof tbk agrvememtand anydefense ●rticle whb my be Pmdumd07 mmukrumd fmQ O* kdurical*to or ddenee eowta mey oot betrwwkrod IOa porum tot WOmlnrVor toaoetimulofawmuntry ●uopl ●s 9pe4idlysutho-d in Me qeotom mdeoeb

@xNRrxWf&nobWwd.-(~ “All provielone In Uricagm=+ml

which refer to ha Unlkd stokeCOvemormt aod Itre fkpoetmmt ofSrak wiU emnelnbhdi~ onrbeportloe●fterk lermirmtiom8fb agmomenl.-

~1X.18 ~~~wh~~~

(a) C/ouue foroJ/monuf-lkase qr=mmw.= rouodw&uses muet h tided M@ h .manuhcturirq l&aee*f21 Wo ●Kpmt MIc!%z=otber

..l!xa?rka%abh*wtt

7wberoln mmerfad- or eok b

&rein keneed Wlrboelttbe Pdor,twhwhw●pproval of the us. Covonunmmother rmnefwe of Lb IicyfguedeOholl be fimked to @wmmoneourruiee wbemb msrmfoctomw ub k

beroby Yloeoeodd toprtvde Oofnleew+irq to procwrethe kneed *pumront mtc~ti:ddqtmy

~:g:ti=’

u ire cublicensrei mtder ~tttt-=~thro hrbe US. Cw~

?Mu e ●ither cbo~ for pokolh UtIldr tbe us covo~l JIR’eoydty-free l-me. a rborses f= dotemtlmhtheus. Govworoerrl bat ● #Itk.umddbdoeer oa.tiamh tbe Publlc domh. a Wbkfl tbe U.S.Covemmml bet squlrod m b -Utkdto K?Juim with! Metricl* ~tiwir uee md diedoeum ro otboro.”

(3) W UK U.S. Coveromml ieobhsated of becamee ob~akd tO POy to

ti koncor royahieo. frn. or titdI*~ for Ibe meeof tecbolal deth mpeknk wbkh om hvolvod 10tbemmufacrwc, oeo.or O& ofoay ltomreodorticle. ●y roydiee. frn or otborObawm In 00mwcth Wlrb frumbaeesofouchIiceneod ●rude fmm tkmmee - Meublicaweee wftb frmds derived _be US. CoverOpKlu-&y& ●A* lord Mmvur ammeotwouldbevebeenobfipkd 10~y thekvneor dimcuy.”

[41-u theus. Covoromonlk madetincid 0?Otk motibmiom tO 2b0

deei~ ●nd dcvalopmerit of ●y ficaidoIiir.Je.●y chsw for Wcbnhlcwictmra or know.bowrehtirq toUroItem in omm.ction with pwrhoee ofcuch wticlee from Ihoeee Woublwneeet wtlb -~~ybedd~

:$%%% &neofParo&be(.1 (II ●d (21ofUrkoectkm.emotbor~alties. km orotherchaws moybe●mecoedqainet U.S COVWUMM!funded pumhaeosof NdI ortkfe.

However. CJrwWe OW ~ M* f~nmonobie mproducuon.bondliq.molli~, or dmllm dminictmtJve mektideni LOUrefuroIebiIu of eucbdata.”

[S]mporlieslotbierml~e that ● umuel repd of da wother tmnefwe pursuant to thh

02agrvemmt of the U- orti~qwnttty. typo. US. doflu value,

c7sL27EL?:Lm-Depenmml d Skte.- mo dmlee -

!opod W~pUtyiO~kdb

provl etbeonmtefm.-~

-Ezi?%!!z!s!isi:”

fbd+m. Reperk AoU & deomod

Ell%wx’%%%ktbpUl; WUWm’-d ~ @-

-7 Znclosure (2)

. .

OPNAVINST 5510.161

29 JUL $98S

47S,Shdordh@or /vol. 49. No. = /~W8d*y. bbor~ 1- /RulH ●nd ksubtlorr#

&?WyM%I%%%?tibfom@r ponyi4 s brxip #ovonmmttwith which LYNUnitvd Stotooboo●

Grwrsl Swurlty of Informxtia~1 or Otbvrforxlsnsovmomd0m4rtty ~.

f 144.?s ~ ~h-ti

{a) An ●ppfwtal b * ●pprovd dc mxnufmtdrtj I- or Wbalool

:%r”x%2sd’g%’oxplanalory I@tor. * arighxl IxtWrond wvm copYw of tbv Wvr ●d ●iJINmplw of rh pmpwvd OgmmmtXhdbesubmllwd to rho OfficB of MumttimControl Tbc ●pluuWy fottw *Umlaln

[1) A otalvmmt @~ tbv ●P@W8t-0Munltlons Coneol rx#stmtiom:uvobor.

J%%%%%50snmwo’

J!!XHX%X%2”&oqulpmmt or twtuvlcol dots ww~wmd. Ympmwd or d4vxlaPLl&dsupplmdtO Ybc US. %mnmcnwhether YYMqulpmmrl or todmivol dxtxww dmtvcd from wry bYdor otborpmpooal 10 tho U.S. CovvmmmL

[4) A Wtwnmrl giving the mlhraryWxurtty CtwsificonmofLb@qdpmmtor Ixchnioxl dxro.

[S] A orotamml YdvntYfyYrrsowypotmt•PPkOti~ whkb dIWkWS ●lly of ksubject mstkr of UM qutptttm ortwhnkol da!- owwvd by on kwvntlonucrvey ordvr iwwd by tYNU.& Moat●nd Tradrmmb ~.

(6] A malcmml of Lb@●dual moshmstod WIW of tbo @gromwnLIf tboV.IW oxwedI ~~. ● ●ddl!lonolmatcmsnt must bc made msmdins tbsP@yrrrvntOf PoIII1-! oontrlbutioru footor commmsiorw.pumuonl to Put iW dthisWbchsptw.

(b] ~? fOllOWt~ Ct@tCOWIIt4 wW1 b

msdc in k fvttw of trwumilta~[i] -U the ●gmvmont 4s●ppmwd by

YhrLkpmtrnml or slate. ouch ●pproval

will net ba canotrwd by (the o#mrrf)●s pwlln# on the Ya@ry Ofttw•~memml from th Mondpoinl of●nlllrust lswI or otbvr @iAf9Statumctnor wlfl /thr o@tmml)oormtrw YlmDxpxrtmmt’a c-al oxoorutlwti~ dthcr opprwol ordimppmwl of ●y of YYICbwlruoo tsnnior adltioru b4tW@Vtl tb OutiW 40 Lb

fXW&&Ill It b~i bven appmvodby tbrWpmtmwrlof S141c.”

(s] ‘l%. /oppliwnt) WIII fumhh tbaDvpmtmml of Slolc WIIYIw mpy ofYbc6@wd qmxmmt [or ammdnwnl]

Enclosure (2)

dtbinwdopliom tbvdotcti14bo~lfsdudodood xrlflldom4b4DmxnmxntofU44mmlndmr motln4tbioxYdxys prkrtoBvlrafawowdpruvti ioformlxttmrmt Ib4 oomtlxroOLbmofonybro@Ir@bbOrLbVtbOfsfp:::-’~ga

t.b WIimlrf WYlf~-g r~t -*@&m”othboxO~ndw~

t= ~lunlrnldnld-

bl%’w%%?i::?dr~tmlma ●ufbadsvbymvonxdauunwltYsL] ftwexpo4iofonclo4dfLxdtovb044dMx b fomf#rrpvrmtuforOffxbonprommwmlddofmu4 ●rtlcfoo. pmvidod tbok

OJ:la%=:tc:u%:rbx dcfmw wclw to bc produavd mfytotbopersam Intlw Unttod Stotaw4v= 4~nm of the US Covwarnvm ~

(b]Th* Uctmlcd Ma of us Ori@l*h Mwdintha klmisnMMuhtum -Ml dhdOW Yho detsifs of tba dc4

Pdvvo]opmwrL pmductioo or moo 4otro9of dcfmw oxtioim sod

(c] Tb4 mmrocr or pumbwo OArbvtwevn tbs PMVM lo rh Unhd Stvtoc

“li’’fYotHxRh4 Yocbnhl rhto tbo monufwtm of tba dcfoovo●lclc4 rvarrYmdby YbcmEoct =purohw Da? Oof)tOod

[21Rohlbitx tbc diwlooum Of tbs dJLXYe-onotJlw poroon ●apl dufy

Jqwl Ivd n&otNrxctm Wtthla b4wox oowl~ sod

{S) Pmhlblts h SC@9!tb Of OrIYr@#atbvdmxby onyk+afmmow

(4) Pmvtdo4 YYulmy Ouboowtrocubolw@xnfomt@ pvmorw In Ybo●pprovodooun~ for monufwtum af cquYpmeol

wntto LbvcaVtmcrw

E2a%’%%”s.kd(5) Rqulrvs k bog pcmoo,

bidudtrq mrbconti~ to dostmy wRtum to ttw pvmm In LbaUdrvdSIOI04otlof&t40bn4ald9vxmpartvdpurmlootYaYb4ODntmctOipurduvxordvr won fulfillmml of tbvlr tvrmw owd

(0] tiqulm dcuvo?yOfb dvfvxrm#~CtVl mmukctamd shod Ody to bP~@wUdldSU*Umsn~rr of rh4 US. Gov8mmonL ●wd

(d]%v mm in YJMLhdtodStstn~vtdw ~ Offics of Murrltioru Controlwith ● rnpy of ●mh oontmcl. purdos9odor or mhcomrocr for offohom~mml at tbc thnx II 19•~tod

tich Owb mtmct. pumbm Order uNkwtroct MI dwrty idmtuy 4b4orticf4tob4produmdswdBOMIdmlifytilkorL4QoumbCrorm4mptJonm3dWwbU+ltb4Yvckl@fdotxwo4Kd.d

fo]tJaxomnk40vdplmOxnttoWDoxettOwmM41bcroOvwQdopantbdr0Xp4rattoolfoffxbompmawawthtoOXWul_w 4b4@orhdofVoliduy of

lfttwt&kof dotofovokvdbmxmOlfh- pmcummml ●rm

=“04bww4womolptfmmth4roqulrxtovnt4pumumt to aa.4 or W*DsksnforWd to bltbonmtvmtvwcodtblc 40cLknbootmquYrod.Now4vcr.tbompcmw must ~pYy

wYtbttwotbw roqdmm4rl140ftbb

gls4#14 mm~w~pohlm~ou~

[a] a-d. ApmOoot4 (CAamtmcb) baWv9n us.pwwa4004Yom@nPMWWXforb wmvbowtrq ●ddhoibutlonofdekom uv4cJvo-wt bc●pprmd by !b4 Officx of MuwYumu@leDY bcfofv Lhy Vntvr blto Iomo.Such ~emvnu wifl h flmiwd toaclomlfiod dafmw tick md mmt-rob Wndltiamfor opvcYoldimtbutioo. md-trw ond moorUrm

&%Xmm2W’oK%5’p2-%’:X& Of tbv dvfmw 0J4kb (WQ

fii~uhdbtiakm -dwwwhousi~ md diotributiomqrvcmwrts hod amendmmu tiwmto)xYMllbc wbmittod to tbe Ofh ofMunftiom ti- far *pptOV61.WfO~OW@ iOfOmNtktl MIXCt b ioctudvdb ●u Such~~:

[1] A -W &Utpth oftbodxfxnxx ●ticivs irwolvvd. Thio shallhcYudc whvn appllablc tfw mllimryoomvnrlatum. tbc Fodvml SI+ mmbvr.momcpk data. ●d any conlml●umkrs undar whkh IYMdofmuv~fi~, W&: drwlopmf or pmourvd by

{2) A dttal%=wn! of YhaI-●nd oondttlonsunder which thv dvfmnorticlvt wUI bt •x~cd ●nd dntnbutod.

(S) TIM dumtirn Of Lb@~

(4) Sp4c4ficYdootibtion of YYmWLV w counlr4x9Yhol~mprtu 4b4dbtdbutlon tvmttoxy.Di4wkth ma4tk VpOdtkuy Ilmirvd 40Lb@-~ nta of Woh Countrioow toprtwte ●tltk vochiq 10praoumdefmm ●filclw pumuxnt to ● mmtmcrw4th ● govemmen! Wtihin Uxsdhtrfbuhon tcmtory. Conwqvmtly. mydxvistlon fmmthn eondmon mum bx

.-

..

OPNAVINST 5510.161

z $ JULMM

..-

fully ●xplained ●nd IUMlfied. Amontrmsfer ●d MM -Ifiitr IDS&U)wfll be mqulr?d 10lhe Nme cxlmrlmquked In Iicecielrq agretmenta *i Mao(b).

(c] RcquimdStotmrmtl. The

follo.i~ stilememle mud be Irrclrcdedh sII wamhous~ and dmtribrrtionagmemmlI:

(1] mu agmewnt shall -t enWTbrm f-. ●nd rney WI be cmmdd or●aknded, wlthorr! the prfa titlcn;P;rn;=~-Wti-l of Stale of

(z) l%lo agmenrmt b eubject to dUnited Wet laws ●nd re@ethnerelated to mporte ●nd to d●dminiotmilvc ●cis of Urel.fnited SteIeeCOvemmml pumuenl 10wch bus Awgulalioew.

(S] 7bt parties to tbie ~1v that the obligahoru mntdned tmflus ●gmemenl shall no! ●ffect Urc

KI%%%’%W2%%?!uw permecmay trsve indwiduelly orelectively with the US fkvcmment.”

(t] “No hsbihty wIII be lercwmd by or●ttributed IOtbe US Covmmrrec4in=nnection with wry podbletirmgmrenl of priwlely owned petenlor pmpnetacy @r@. either dcrmeoticorfoemgnby mason of the USCovmrnent’o ●pproval of this~menl.-

[5] “No *KpOrt. de. eeersfer. m 04herdiopoaitmnor the defmse ●ticlescmvemdby this tsMemem i~ ●uthorizedto ●y country outside the dwtributicmterritory withoul cheprior tittm●PPmv@lOfthe MIW of MumllioeuGnlml of the US. K)epnm4nl ofS44te-

(6) %e pefiles 10Ibis ~t~r thaI ●n ●Mud mPOfi Ord44 ocOIhcf tmnsfere pureuanl to Lhisagreemen( of the hceneed●ticke. byquantjty. typ. US dollar value. ●d

L(aPPllca.twl#mn#R),ekumhaser or reeipient shall be prmided

D4pwrment of Sl*te - l%h cfawe rauelspecify which WRY h obh~sted 10provide the ●nual wpofi. Such -Omy be submit[ed ●ither dme4y by IheIicmtsee or indndfy IIWW@I theIlcermor.mid Kuy rover C41endarorfkal yearn Repo* ohall be deeccrdpmprielsfy tnfonnallon by theKkpanmen! of Slale ●d will 001 be41scloeedto tmauthorid pemoew.(See~ t=.labll.

V] ‘U-M-l WI’C44 tOlnCOTQNlrdre following otslemenl ●s ● inl~l~vimon ofs antmcl. Iervoi- 0?oltcef●ppmptiale documen! whenwer the●fiir.ks avemd by thm •~nrent ●m-Id w otherdee traneferrsd:

m- ~llrn w 9.1* ~W-bbus-etmlymfca#ry cfrrhmoce dmtmefmma WWWdah w.nrrory)tky my norb medd.4ivmd 08mtmd ec~. uabe.hebrd4wmderimaeY*omrwy. Mb h tklr ect@rdkm w SkM iuocpmld *k ● hremedlalep m4 eekf ed4rem4 -tbt the* 9Ttlqn .ppmvd d tk us Wpsmmld tire-

.(d)hrrcuctittdbttrm. Raquata foe

●pgrryd of rmmhouohq aod

gr%%.rm?%l%?$origmsl letter md eeven copke of Ibektier ●d eeven copies of tbeagreement All be cubmll!cdOflia of Mrmi!ioa Cateof Tbe ktler*II mtaln

fl] A ~latemeot gMrrs lb ●ppllmrt”sMunitions @tml mg,stretim number.

(2) A ctstemmt Identifying Urelomvparry 10 the agreement.

(1) A slawnenl ldenll~ ~dJe=~ ro be dbleibutcd der

[4) A slalememl kienWrU ●y US.Covenunentarertmctwrderwhi~ Utequipmml may h4vc bem senerated.fmpmved. developed en mrpphtd10tbeUS. Government. ●d whelk the

zmz::t$:%f?%%:?(1] A slmemenl II@ MOclaeslfied

defense ●tiicleo or cksified Itchnlr.aldm ●e involved.

(0] A clalement identifying ●y pstmt●pphcarmn which dwl~ ●ny of ticsubject metier of tbe qulpment ornlated Iechmcaldata avemd by ●ntnvmtion eemcy order Issued by theUS. PaIemI●d Trademark Office.

(e] R4quimd Cfo.8e# Ttre followlngttatementt mice!be mede in the kt!er oftincmlttal

[1] W* ~ment h ●ppmwd bydre D4pwwnent of St,ete.ouch●pprovalw-Ill no! be ~Imed by (opphcmw)so

K;’%e%J2~~liL{~LYJY#;’other ●pphablr ctcwteo. nor will Itk~pltconf~ carslme Ibe Dep4remmt”o

X%%%’%%lh;:l%?’tmm or caditton~ btween Uw pertrm*tbea

[2] -IG320cf) Wffl not pennll&e pmpoeed ●gmemem (m mtcr Intof- unlll ithatbeen ●pproved by IheDeponmml of Slale-

[s) 7be /ap hrnnt) uffl fwenlsh*r&pemnaert o State with one wpy of

the signed agreemerd Ioe ●nendmmtetirelol wllhh ~ d4yB fcom the daleibal Ure ~ment b 6nAded. MulWill imfo’renfhe Deparirereold Wkrmlrralron not leer ttmn ~ days @orto ●xptcmtim. If ● decision h mede MI

m conclude the pmpc+eedagmemenr. me(opphcont) will 40 inform theDep4tlmeml WMdn ao dsye.-

●ART l15+fCWSES m MEXPORT OF TECHUICA1 DATA AMOUASSIFISD DEFEUSK ARTICLU

lS.4 Sumpliomdml a@*bllltym s FA*m@lemb plemewula4 &tltluelm mqlrtm9ent4

~ly: kchm M Amu &lJci CkwolAS msral 741 [22 Usc m] Eo llmeurn ml.nuss -

tlnl K.vorleeaFwodem[a] lb txport cmtmle of tk Pan

tpply to the ●xport of technial daIa andbe ●xpcm of r.laoslfied defense ●mclesInIonnahon which is In the “~ubltcdomain- (err t 1= 1S)h molsubpcl 10tbe -uolt of Ihm subchapter.

(b] A Iicmee for Ureex~ ofkchn:rxl ds!a ●nd the eaemptmns in# 12s4 mey not be rmedror formgn~uction pu~es m for techmrxl,awis!m= unlrss !he approval of theDepmtment of SIaIr has bem obtmredSuch ●pprovo! h genemll} providedady pumumt to the pme2dumcspecified m Psrt 124 of this mdrchapter

{c) Techn,al dtw suthonxed rorexpon may not be dwerwd oroamferred rrom the aruntry of uftlmatcend.uoe[es drclgnatcd m the hmnm ortoproval ror ●xporfl or dmclosed IO.utional of ●other cauntry without theprior w?it[en ●pproval of theIkpartment of Stale.

(d] llte ●xport amtmh of thic Parlspply to th ●xpmm ctreti m hpmgraph (a] Of ihm WCllOn rqde,t

of whethet ihe pemon who iertcndn10~PO~ lhr technial da!a pmduceI ormercufacturet delmse antcka if thekchnical dsia IS d~tcmrmerf b) thrOtTI@ of Munitions t2mtml to houbxt 10Uw wntmh of thoMrbchptor.

[*) The pmvlolom of thh o.bcfwpler& not ●pply to techmcal dam rdsled 10articles m GIegOV VII?] ●nd CSIeSOOXVf W ●pofi of ouchdate i--Imlkd by ttw Oeparunent of Sneeg}

9

,.. .

DEFINITIONS

OPNAVINST551OJ.61~ 8 ~~ 1985

L.

Controlling Navy Command. The Navy command which has possession of technical datasubject to this instruction and from which a qualified U. S. contractor requests such data.

Critical Technology. Technologies that consist of @) arrays of design and manufacturingknow-how (including technical data~x(b) keystone manufacturing, inspection and testequipment; (c) keystone materials ; and (d) goods accompanied by sophisticatedoperation, application or maintenance know-how that would make a significant contri-bution to the military potential of any country or combination of countries and that mayprove detrimental to the security of the United States (also referred to as militarilycritical technology).

Limited Rights. Limited Rights means rights to use, duplicate or disclose technical data,in whole or in part, by cr for the Government, with the express limitation that suchtechnical data shall not, without the written permission of the party furnishing suchtechnical data, be (1) released or disclosed in whole or in part outside the Government,(2) used in whole or in part by the Government for manufacture, or in the case ofcomputer software documentation, for reproduction of the computer software or (3) usedby a party other than the Government, except fo~

a. Emergency repair or overhaul work only, by or for the Government, where theitem or process concerned is not otherwise reasonably available to enable timelyperformance of the work, provided that the release or disclosure thereof outside theGovernment shall be made subject to a prohibition against further use, release ordisclosure; or

b. Release to a foreign government, as the interest of the United States mayrequire, only for information or evaluation within such government or for emergencyrepair or overhaul work by or for such government under the conditions of subparagrapha above.

Originating Navy Command. The Navy command that sponsored or originated the workthat generated the technical data or received the technical data on behalf of the DONand ~herefore has the responsibility for determining the distribution of a documentcontaining such technical data. In the case of joint sponsorship, the originating commandis determined by advance agreement.

●Keystone equipment (including manufacturing, inspection ortest equipment) is the equipment specifically necessary forthe effective application of a significant array of technicalinformation and know-how.

● ☛Keystone materials are materials specifically necessary forthe effective application of a significant array of technicalinformation and know-how.

Enclosure (3)

OPNAVIiWT 5510.16129 JUL 1985

Other Legitimate Business Purposes. Include:

a. Providing or seeking to provide equipment or technology to a foreign govermment with the approval of the U. S. Government, i.e., through a licensed direct foreignmilitary sale.

b. Bidding, or preparing to bid, on a sale of surplus property.

c. Selling or producing products for the commercial domestic marketplace or forthe commercial foreign marketplace, providing that any required export license isobtaine&

d. Engaging in scientific research in a professional capacity.

e. Acting as a subcontractor to a concern described in subparagraphs a through dabove, or

f. Selling technical data subject to this instruction in support of DOD contractorsor in support of the competitive process for DOD contractors, provided such sales arelimited solely to DOD contractors or potential DOD contractors who also are qualified U.S. contractors and provided such technical data are related to the purpose for which thequalified U. S. contractor is certified, or selling technical data to foreign contractors orgovernments overseas after receiving the required export license or approval by the U. S.Government.

Potential DOD Contractor. An individual or organization outside the Department ofDefense declared eligible for DOD information services by a sponsoring DOD activity onthe basis of participation in one of the following programx

a. The Department of the Army Qualitative Requirements Information Program.

b. The Department of the Navy Industry Cooperative Research and DevelopmentProgram.

c. The Department of the Air Force Potential Contractor Program.

d. The DOD Scientific and Technical Information Program; or

-e. Any similar program in use by other DOD components.

Public Disclosure. Making technical data available without restricting its dissemination) or use. This is equivalent to foreign disclosure as no means to restrict access or further

dissemination is provided.

~ualified U. S. Contractor. A private individual or enterprise that has been certified bythe Defense Logistics Services Center (DLSC) to receive technical data subject to thisinstruction in accordance with the provisions of DOD Directive 5230.25 of 6 November

Enclosure (3)

2

d

-

OPNAVINST5510.161z $ JUL M5

1984 (NOTAL). The certification of a U*S. contractor is evidenced by the praentationby the U. S. contractor of a DD 2345 on which Block 7a has been checked and a certi-fication number entered, and on which Block 8 has been completed by a DLSC officiaL

Restricted R&hts Restricted Rights apply only to computer software, and include, as aminimum, the right tcx

a. Use computer software with the computer for which or with which it wasacquired, including use at any Government installation to which the computer may betransferred by the Government

. b. Use computer software with a backup computer if the computer for which orwith which it was acquired is inoperative;

c. Copy computer programs for safekeeping (archives) or backup purpose% and

d. Modify computer software, or combine it with other software, subject to theprovision that those portions of the derivative software incorporating restricted rightssoftware are subject to the same restricted rights.

And in addition, any other specific rights not inconsistent therewith listed ordescribed in a contract or described in a license or agreement made a part of a contract.

Technical Data with Military or Space Application or Technical Data. Any blueprintsdrawings, plans, instructions, computer software and documentation, or other technicalinformation that can be used or be adapted for use to designs engineer? produce?manufacture, operate, repair, overhaul or reproduce any military or space equipment ortechnology concerning such equipment.

United State% For the purpose of this instruction, the United States is the 50 States, theDistrict of Columbia, and the territories and possessions of the United States.

Unlimited Rights. Unlimited Rights means rights to use, duplicate or disclose technicaldata or computer software in whole or in part, in any manner and for any purposewhatsoever and to have or permit others to do so.

Enclosure (3)

3

OPNAVINST551OL61

~ @JUL 198s

Sample Denial Letter for FOIA Requests

Dear Mr. Jones:

Thank you for your recent letter seeking .

Your request has been considered carefully under the provisions of the Freedom ofInformation Act, M amended (5 US.C. 552), and the implementing Navy directive,Secretary of the Navy Instruction 5720.42C, Subj: Department of the Navy Freedom ofInformation Act Program.

Your request must be denied because the data you requested are unclassifiedtechnical data related to critical technologies with military and space applications whichmay not be exported lawfully without an approv~ authorization or license underExecutive Order 12470 or the Arms Export Control Act. Such data are protected frompublic disclosure pursuant to 10 UJ3.C. Section 140c and, thus, are exempt frommandatory disclosure under the FOI.A pursuant to the third exemption (5 U.S.C.552(b)(3)). The third exemption of the FOIA permits withholding from public disclosureinformation which is protected by statute.

Under the FOIA and the Navy% implementing regulation (32 C.F.R. Section 701.8)you may appeal this determination in writing to the designee of the Secretary of theNavy within 45 days”of the date of this letter. Your appeal should be sent, with a copy ofthis letter, to the General Counse~ Navy Department, Washington, D. C. 20360-5110. Itis recommended that you note “FREEDOIVIOF INFORMATION ACT APPEAL” on yourenvelope.

The official(s) responsible for the denial of your request (is) (are):

(Name(s),ctitle(s), activity(ies)

The data you requested may be, under some circumstances, provided to individualsor companies certified as Qualified U. S. Contractors by the Department of Defense.Attached for your information is a description of this program.

If you have any questions concerning this response, please contact 9telephone , who will be pleased to help you.

Sincerely,

Enclosure (4)

.

OPNAVINST5510.161

~ 9 JUL 1985

Information Sheet on Qualified U.S. Contractors,

By Department of Defense (DOD) Directive 5230.25 of 6 Nov 1984, a program wasestablished to allow a private individual or enterprise, called a Qualified U. S.Contractor, to obtain export - controlled technical data under certain conditions Thefollowing definition of “Qualified U.S. Contractor” is extracted from that directive:

Qualified U. S. Contractor”l A private individual or enterprise (hereinafterdescribed as a “U. S. contractor”) that, in accordance with procedures established by theUnder Secretary of Defense for Research and Engineering, certifies, as a condition ofobtaining export-controlled technical data subject to this Directive from the Departmentof Defense, thati

a. The individual who wiii act as recipient of the export-controlled technical dataon behalf of the U. S. contractor is a U. S. citizen or a person admitted lawfully into theUnited States for permanent residence and is located in the United States

b. Such data are needed to bid or perform on a contract with the Departmen ofJDefense, or other U. S. Government agency, or for other legitimate business purpose in

which the U. S. contractor is engaged, or plans to engage. The purpose for which thedata are needed shall be described sufficiently in such certification to permit anevaluation of whether subsequent requests for data are related properly to such businesspurpose.

c. The U. S. contractor acknowledges its responsibilities under U. S. export controllaws and regulations (including the obligation, under certain circumstances, to obtain anexport license prior to the release of technical data within the United States) and agreesthat it will not disseminate any export-controlled technical data subject to this Directivein a manner that would violate applicable export control laws and regulations.

d. The U. S. contractor also agrees that, unless dissemination is permitted by thisDirective, it wiil not provide access to export-controlled technical data subject to thisDirective to persons other than its employees or persons acting on its behalf, without thepermission of the DOD component that provided the technical data.

1 Canadian contractors may be qualified in accordance with this Directive for technicaldata that do not require a iicense for export to Canada under section 125.12 of the ITARand sections 379.4(d) and 379.5(e) of the EAR by submitting an equivalent certification tothe U. S. Department of Defense.

2 This does not require a contract with or a grant from the U. S. Government.

Enclosure (5)L.

OPNAVINST5510.16129 JUL W

e. To the best of its knowledge and belief~ the U. S. contractor knows of no personemployed by it, or acting on its behalf, who will have access to such data, who isdebarred, suspended or otherwise ineligible from performing on U. S. Governmentcontrac@ or has violated U. S. export control laws or a certification previously made tothe Depart ment of Defense under the provisions of this Directive.

f. The U. S. contractor itself is not debarred, suspended or otherwise determinedineligible by any agency of the U. S. Government to perform on U. S. Governmentcontracts, has not been convicted of export control law violations, and has not beendisqualified under the provisions of this Directive.

Private individuals or enterprises are certified as Qualified U. S. Contractors by theDefense Logistics Services Center (DLSC) in Battle Creek, Michigan. Persons orcompanies desiring certification as Qualified U. S. Contractors should submit to DLSC aDD Form 2345 (sample copy attached). Copies of these Forms may be obtained from theNavy Publications and Forms Center, 5801 Tabor Avenue, Philadelphia, Pennsylvania19120-5099. Questions about this program or DD Form 2345 maybe referred to DlJ3C.

—

Enclosure (5)

“.-

L

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OPNAVINST 5510.161

~ 9 JUL1985

.NAME of WBslotmymwsw II FSCWFSCNWCAGECOO{ ]e PHONE NO

I. OATA xEaFfEsfl

1. NAME b AOORESSSuwt C@. $f~~ ●tizw Cm)

PNONENoImnE ILoEsalFnoNofXELEVAESTUfsxfcssAm

JL EJECTED. Ooccnotmocf ●lIwb@ mwimmwo of 0000 S230.2S.

I

I-owlauI ?WEONAMf (L#t. fctU.A8adS8M@ b SIOMTURE

; Tllu

d DATESKNfO

D Form 2345, DEC M

Enclosure (6)

..

,.

OPNAVINST 5510.161

29 JUL 1985

lNSTRU~lONS FOR COMPLETION OF DDFORM 2345PRIVACY XT STATEMEN7

AtJTMORIW:

PRtNCSPAL WRPOSE:

QOtJTtNE USE:

pwaosuRg:—

10 uSC, SutIon 140c. ●s ●dded by PL 98-94. Section 1217, September 24. 1983, ●ndimphmemed by DoDD 5230 2S, ‘Wlthholdlng of Unclawflad Technlcd Data From publicD@osure.- November 6, 15W (32 CFR p~~ 2501

To identify mdwduds ●nd ●nterprises ●hgtbk to receive ●xport-controlled DoD technicaldata.

To auppon deciuom regarding ditbamlmti~ or withholding of ●xport-controlled DoDtechnical alma. Information provided on th!s form descrtb!ng your bus!nest may bepublished from t~m~ to t)me for tha hnefit of other ‘quahfwd U S. contractott “

Voluntary; however, failure to provid~ the information may result in ● denial of ●ccess to●xport.conwolled DoD techmcd data.

Mail the original, completed COPYof thit form ●nd ●ny ●ttachment to:

Commander, Defense Logistics Services CenterAlTN: DtiC-fBAFederal CenterBattle Creek, Michigan 49017-3064

SPECIFIC INS U~ONS

1. Mark only one box Mark “RESUBMISSION= only ifyour previous submlwon wm returned or rejected bythe DoD. Mark .REVISION- (of ● prevmusly ●cce tad

Rsubmission) to thow revised information, wc ●s●ddresses or busines~ description. Mark ‘S-YEARRENEWAL- m response to ● rerr~al notice from DoD.When ●ither the ‘REVISION” or ‘S-YEAR RENEWAL”box is marked, ●nter your current Ceruficatton, Numberin Block78.

2. ●. For ●n individual, show full rwme (Lxst. Frost.Middle Initial). For ●n ●nterprise, show full name ofcorporate pwent; or institution.

b. Enter themdlwr sddrew of the individual or7wtterprise making certI tcatlon. If ● P. O. SOZ IS u$acf

for mailmg purpo$es, include strwt address 8s well.

c. Exch corporate subsidiary or divismn that is toreceive ●xport-controlled DoD technical data must becwtified separatdy If not ●pplicable. so st4te.

d. Enter the Federal Supply Code for Manu.futurers (fSCM] or fdon.Msnufacturors (FSCIIJM) orCommercial ●nd Government Entity (CAGE) codeswiew to the indlvidud or w?terprwe making theCwtlftcation., If none, so State. If 8 sub~idtary ordivision is co~fied. enter that organmxtion’s c@e.

●. Show telephone number of the cwtifyng oKlcididentified in Blofk 6. Include the woa code.

3. Show the nam8, address, p@na number (including●rea code) ●nd title of the mdwidud who will receive●xport:controllod DoD technical data ●nd be~ble for Its further diswminatmrt

4. Describe the busine$s ●ctivity of the ●ntitidentifmd m Block 2 in wffic!ent detail for DO 8Components to d~termine whether the ●xport.corrtrdlad DoD techmcd datx which you mty requestfrom time to time ●re I●asonably related to your *tadbusinas ativity. For cxampie, stx~ Uut you design

and construct hqh-preswre, high-volume hydraulicPumpi for use in connection with ●rcraft controlsurfaces; do not state simply ‘hydraulic pumps. ”Provide concise statements within the space prowdad.

5 If certificatlom % ●d 5f cannot be made, provide(on ● sepmate sheet) ● deunption of ●ny ●tenuatingcwcumstances t~t may g)w DoD sufficimt reason tooccept your cemflcatmn.

6. If Block 2 identifies ●n individud, that individualmust sign, If Block Z identifies ●n institution or tcorporate ●ntity, ● person who can Iegdly obligate theenterpnsa to ●contrti must *gn.

7. Explanation of DoD Certification Action.

S. ACCEPTED. DoD has ●ssigned the individual oranterprisa Identlfiad m Block 2 ● Certification Numb4rwhich will identify the individual or ●nterpnsa ● a‘quallfied U.S. contractor” ●s defined in DoDDS230.25. The ●cceptance is valid for ● period of fiwyQars from the●cceptance date unla$s sooner revokedm ●ccordanm with DoDD S230.2S. If ●t ●ny time ●qualified U. S. contractor is unable to adhere to theconditions under tiich ● certification was ●ccepted byDoD, the contractors cwtiflcation i$ considwed to bevmd, ●nd the contractor will either submn ● revisedcctificstmn or surrender ●ll ●xport-controlled DoDtechnical data obtained under this ●greement to thecontrolling DoD officas specified on the documents.

b. RETURNED. Your submiwon did not conmin Winformation r*quir4d to process your cortif ication.Phase reviaw ●ny commonts provided with therxturrwd wbrnission ●nd resubmit in ●ccordance withrha ●pdica~e mstructmns.

c. REJE~ED Reasons for rejection include, forexample, debarment, s business ●cmvit tht doss notfall within tha scow of DoDD 5230.2~. w failure tomake ●ll of the required certiflmtion%

1

ASBREVtATIDNS: ‘DoD- IS Department of Defense ●nd ‘DoDD. IS Department of Defense Dlracuve

D Form 2MS Rewrsa. DEC U

Snclosure (6 )

“.

OPNAVINST5510016129 JUL 1985

Sample Denial Letter to Qualified U. S. Contractors(Requests Unrelated to Certification)

Dear Mr. Greem

Thank you for your recent letter for controlled unclassified technical data as aQualified U. S. Contractor. Unfortunately, your request must be denied pursuant to 10U. S.C. 140c as implemented by DOD Directive 5230.25.

Your request has been considered carefully and from the information available tous, we believe that the technical data you requested are unrelated to the purpose forwhich you have been certified as a Qualified U. S. Contractor. Please provide us withadditional information sufficient to explain the intended use of the requested data.

You may request a new certification commensurate with the intended use of therequested data from the Defense Logistics Services Center, Attn: DLSC-F, FederalCenter, Battle Creek, Michigan, 49016-3412, or you may appeal this denial to theDirector, Security Policy Division (Op-009P), Office of the Chief of Naval Operation%Washington, D. C. 20350-2000.

If you elect to appe~ the appeal must be received by the Director, Security PolicyDivision (Op-009P) within 45 days from the date of this letter. It is recommended thatthe letter of appeal and the envelope bear the notation, ‘tUnclassified Technical DataRequest Appeal~’i A copy of this letter should be included with

If you have any questions concerning this response,telephone , who will be pleased to help you.

your appeal.

please contact

Sincerely,

copy to:

CNO (Op-009P)

Enclosure (7)

.—

*

, OPNAVINST 5510.161

Z 9 JUL 1985.-— NOTICE TO ACCOMPANY THE DBSEMINATION OF EXPOMT-CONTROLLED

TECHNICAL DATA

1. Export of information contained herein, which includes, in some circumstances,release to foreign nationals within the United States, without first obtaining approval orlicense from the Department of State for items controlled by the International Traffic inArms Regulations (ITAK), or the Department of Commerce for items controlled by theExport Administration liegulations (EAK), may constitute a violation of law.

2. Under 22 U.S.C 2778, the penalty for unlawful export of items or informationcontrolled under the ITAR is up to two years imprisonment, a fine of $100,000, or both.Under 50 U.S.C., Appendix 2410, the penalty for unlawful export of items or informationcontrolled under the EAR is a fine of up to $1,000,000, or five times the value of theexports, whichever is greater; or for an individual, imprisonment of up to 10 years, a fineof up to $250,000, or both.

3. In accordance with your certification that establishes you as a “qualified U. S.contractor,” unauthorized dissemination of this ififormation is prohibited and may resultin your disqualif icat ion as a qualified U. S. contractor, and may be considered in deter-mining your eligibility for future contracts with the Department of Defense. A qualifiedU. S. contractor desiring to disseminate technical data received from a Navy command ina manner not expressly permitted, shall seek authority to do so from the originator of thetechnical data. If the originator cannot be determined, the qualified U. S. contractorshall request this authority from the Chief of Naval Operations (Op-009P)~ Washington~1). C. 20350-2000. Unauthorized dissemination of technical data by a qualified U. S.contractor can take place by the publishing of articles in open literature, publishing

\ advertising or promotional materials, utilizing the technical data in conductingeducational and training courses, and by similar means whereby persons or entities notauthorized by the Department of the Navy to have access to the technical data canobtain such access.

4. The U. S.contributory patent

5. The U. S.

Government assumes no liability for direct patent infringement orinfringement or misuse of technical data.

Government does not warrant the adequacy, accuracy, currency orcompleteness of the technical data.

6. ‘l’he U. S. Government assumes no liability for loss, damage or injury resultingfrom manufacture or use for any purpose of any product, article, system, or materialinvolving reliance upon any or all technical data furnished in response to the request fortechnical data.

7. If the technical data furnished by the Government will be used for commercialmanufacturing or other profit potential, a license for such use may be necessary. Anypayments made in support of the request for data do not include or involve any licenserights.

8. A copy of this notice shall be provided with any partialof these data that are provided to qualified U. S. contractors.

or complete reproduction

Enclosure (8)

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*OPNAVINST5510.161

z 9JUL1985Sample Denial Letter to Qualified U.S. Contractors

(Requests Unrelated to DOD Support) -

Dear Mr. Smith:

Thank you for your recent letter for controlled unclassified technical data as aQualified U. S. Contractor. Unfortunately, your request must be denied pursuant to 10U. S.C. 140c as implemented by DOD Directive 5230.25.

Your request has been considered carefully and from the information available tous, we have determined that the significance of the requested data for military purposesis such that its release for purposes other than direct support of Department of theNavy-approved activities may jeopardize an important technicai or operational militaryadvantage of the United States

You may appeal this denial of your request to

Director, Security Policy Division (Op-009P)Office of the Chief of Naval OperationsWashington, D. C. 20350-2000

The appeal must be received in that office within 45 days from the date of thisletter. It is recommended that the letter of appeal and the envelope bear the notation,“Unclassified Technical Data Request AppeaL” A copy of this letter should accompanyyour appeaL

If you have any questions concerning this response, please contact *telephone , who wiIl be pleased to help you.

Sincerely,

copy to:CNO (Op-009P)

Enclosure (9) ,

.

,.

); “.

A OPNAVINST5510~61z 9 JUL MS

‘L

Sample Denial Letter to Persons not Qualified U.S. Contractors

Dear Mr. Brown:

Thank you for your recent letter seeking . Unfortunately,your request must be denied because the requested information is controlled pursuant to10 U.S. C. 140c as implemented by DOD Directive 5230.25.

Private individuals or enterprises can, in certain cases and if certified as QualifiedU. S. Contractors by the Department of Defense, receive controlled unclassifiedtechnical data when such data relate to a legitimate business purpose for which thecertification is granted. Attached for your information is a sheet which describes theQualified U.S. Contractor certification process (see enclosure (5) for Information Sheet).

You may appeal this denial of your request to

Director, Security Policy Division (Op-009P)Office of the Chief of Naval OperationsWashington, D. C. 20350-2000

The appeal must be received in that office within 45 days from the date of thisletter. It is recommended that the letter of appeal and the envelope bear the notation,“Unclassified Technical Data &quest Appealn. A copy of this letter should accompanyyour appeal.

If you have any questions concerning this response, please contact 9telephone , who will be pleased to help you.

Sincerely,

copy twCNO (@-009P)

Enclosure (10)