Pursuant to the authority assigned in DoD Directive 5100.36, "DoD Technical Information," December 31, 1962, and DoD Instruction 5129.43, "Assignment of Functions for the Defense Scientific and Technical Information Program," January 22, 1963, this part establishes a certification procedure whereby U.S. Government or U.S. Government-sponsored research and development activities can be registered for access to scientific and technical information under cognizance of the Department of Defense and establishes forms to be used for the purpose. § 157.2 Applicability and scope.

(a) This part applies to all Department of Defense components and to those designated representatives of other U.S. Government agencies who approve applications for access to DoD scientific and technical reports and information.

(b) When properly executed, the DoD forms established by this part will be used by dissemination activities as their authority to disseminate scientific and technical information as defined in § 157.3(a). The access afforded through use of these forms does not override special considerations or approvals that affect the flow of controlled information as defined herein.

(c) This part does not apply to primary distribution of scientific and technical information or to inter-library loan within DoD.

fense. The related bibliographies, indexes, announcements and state-of-the art studies are also included. The words "technical information" in this part shall refer to Scientific and Technical

Information.

(b) Dissemination activity. A DoD activity or DoD sponsored activity, such as the Defense Documentation Center for Scientific and Technical Information, DoD Instruction 5100.38, "Defense Documentation Center for Scientific and Technical Information (DDC)," March 29, 1965, an information analysis center, DoD Instruction 5100.45, "Centers for Analysis of Scientific and Technical Information," July 28, 1964, a major technical library, DoD Instruction 5129.43, "Assignment of Functions for the Defense Scientific and Technical Information Program," January 22, 1963, or any secondary distribution or release activity which provides technical information to eligible users beyond the local unit.

(c) Eligible user. Any U.S. Government office, U.S. Government contractor, U.S. Government subcontractor, U.S. Government grantee, DoD potential contractor, or other U.S. entity whose eligibility and need to receive DoD technical information has been certified.

(d) Controlled information. A generic term which includes all information which is subject to some official restriction on its unlimited dissemination. This includes information subject to protection (1) by security regulations, DoD Instruction 5210.47, "Security Classification of Official Information," December 31, 1964, and DoD Directive 5200.1, "Safeguarding Official Information in the Interests of the Defense of the United States," July 8, 1957, (2) for proprietary, ethical, privileged or certain administrative reasons, DoD Directive 5200.20, "Distribution Statements (Other Than Security) on Technical Documents," March 29, 1965, (3) against unauthorized disclosure of certain official information, DoD Directive 5200.6, "Policy Governing the Custody, Use, and Preservation of DoD Official Information Which Requires Protection in the Public Interest," March 22, 1957, and (4) for reasons requiring special access controls as may be provided by other existing DoD directives and instructions. § 157.4 Policy.

(a) The Department of Defense will disseminate its technical information in support of its R.D.T. & E. programs and

in support of similar programs within other U.S. Government agencies. This dissemination will be made to organizations whose official U.S. Government connections are certified and whose requests are within the scope of their certified field-of-interest requirements and facility clearances.

(b) A uniform certification procedure will be used for the effective control of the flow of technical information.

(c) Certification shall be according to subject fields and groups of interest and recorded on DD Form 1540. Such certification is a warranty that the user's official responsibilities require access to technical information which can be described by one or another of the prescribed fields or groups.

§ 157.5 Responsibilities.

Agency

(a) The Defense Supply (DSA), through its Defense Documentation Center for Scientific and Technical Information (DDC), DoD Instruction 5100.38, "Defense Documentation Center for Scientific and Technical Information (DDC)," March 29, 1965, the Defense Contract Administration Services Regions, and its Industrial Security program, is assigned responsibility for operation and maintenance of the certification procedures and for maintenance of DD Forms 1540 and 1541.2 DSA will:

(1) Develop and distribute such instructions and procedural guidance as may be necessary for use by DoD components, U.S. Government contractors and subcontractors, DoD potential contractors, and other U.S. Government offices to maintain the most effective use of the certification procedures within the terms of this Part and existing security regulations, DoD Instruction 5210.47, "Security Classification of Official Information," December 31, 1964, and DoD Directive 5200.1, "Safeguarding Official Information in the Interests of the Defense of the U.S.," July 8, 1957.

(2) Receive all completed forms, review or screen them for completeness and irregularities, and maintain at DDC the central authority file of eligible

users.

1 Filed as part of original document.

2 DD Form 1541 may be obtained by request through the regular supply channels of the Military Services and from the Defense Documentation Center of the Defense Supply Agency.

(3) Provide the central file with a DD Form 1541 to certify the security classification of information for which an applicant contractor facility is cleared to receive and store DoD classified materials.

(4) Report immediately to the central file any change affecting the facility clearance through submission of a revised DD Form 1541.

(5) Expeditiously notify affected dissemination activities of each new eligible user, along with conditions and scope of coverage, and of any subsequent changes thereto. The central file will also answer specific inquiries from dissemination activities for certification data.

(6) Release information products from DDC to eligible users as follows:

(i) Unclassified technical information in all subject fields-of-interest listed on DD Form 1540 subject to any approvals that may be required for controlled information.

(ii) Classified technical information in those subject fields-of-interest authorized on DD Form 1540 and in accordance with any approvals that may be required for controlled information.

(7) Refer certification matters to the Director of Technical Information, Office of the Director of Defense Research and Engineering, in instances where approval or decision of that office is required.

(8) Revise and maintain the Industrial Security Manual and related security procedures in conformance with this Part.

(b) Each DoD component conducting, administering, or sponsoring R.D.T. & E. work will:

(1) In advance of requesting reports or information from dissemination activities, submit to DDC an approved DD Form 1540 with only Part I and Part III of the form completed.

(2) Review, approve, modify, or disapprove DD Form 1540 submitted by non-DoD activities or organizations under its cognizance. Personnel selected to authorize DD Form 1540 shall have the technical competence and familiarity with contractor or grantee programs necessary to judge the subject fields-ofinterest of the applicant.

(3) Instruct and assist, wherever necessary, its sponsored activities in filling out and submitting DD Form 1540.

(4) Promptly report to DDC any changes in the status of previous certification resulting from such events as

change in mission of the DoD component, contract termination, and contract or grant revision.

(5) Designate an office at each appropriate level of the organization with responsibility for:

(i) Promulgation and maintenance of procedures which are responsive to this part and applicable security regulations.

(ii) Review of special cases, such as referral of questions on DD Form 1540 data from DDC, and appropriate modification and resubmittal.

(c) Each dissemination activity will, within the scope of its mission, and upon receipt of an eligible user certification from DDC, make its technical information available to that eligible user in accordance with the terms of the certification and the applicable security and distribution controls.

§ 157.6 Agencies outside DoD.

(a) Components of those Executive Branch Agencies (non-DoD) who participate in the Industrial Security program of DoD and who are in need of technical information, or whose contractors or grantees need such information, will follow the procedures prescribed for DoD components in § 157.5(b).

(b) Components of those Executive Branch Agencies (non-DoD) who do not

participate in the Industrial Security program of DoD and who are in need of technical information, or whose contractors or grantees need such information, shall make specific arrangements with DSA for certification of DD Form 1540 and DD Form 1541.

(c) Components of the Legislative and Judicial Branches, their contractors, and their grantees in need of unclassified information may process the portion of DD Form 1540 indicated for unclassified information and submit it directly to the Defense Documentation Center. Certification for classified information, if needed, must be approved by the Director of Technical Information, O.D.D.R. & E., DoD Instruction 5100.38, "Defense Documentation Center for Scientific and Technical Information (DDC)," March 29, 1965. In these cases, submission of the completed DD Form 1540 must be accompanied by DD Form 1541.

§ 157.7 Cancellations.

Before 1 January 1966, all existing certifications on DDC Form 20 (Registration Application) and DDC Form 62 (Facility Clearance Register) will be converted to the new forms, DD Form 1540 and DD Form 1541, and DDC Forms 20 and 62 will be canceled on that date.

Small volume of work.

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