________________________________________________________________________
TREATIES AND OTHER INTERNATIONAL ACTS SERIES 21-105
DEFENSE
Security of Information
Agreement Between the
UNITED STATES OF AMERICA
and CROATIA
Signed at Zagreb January 5, 2021
Entered into force January 5,
2021
NOTE BY THE DEPARTMENT OF STATE
Pursuant to Public Law 89—497, approved July 8, 1966
(80 Stat. 271; 1 U.S.C. 113)—
“. . .the Treaties and Other International Acts Series issued
under the authority of the Secretary of State shall be competent
evidence . . . of the treaties, international agreements other than
treaties, and proclamations by the President of such treaties and
international agreements other than treaties, as the case may be,
therein contained, in all the courts of law and equity and of maritime
jurisdiction, and in all the tribunals and public offices of the
United States, and of the several States, without any further proof
or authentication thereof.”
AGREEMENT
BETWEEN
THE GOVERNMENT OF THE UNITED STATES OF AMERICA
AND
THE GOVERNMENT OF THE REPUBLIC OF CROATIA
CONCERNING SECURITY MEASURES
FOR
THE PROTECTION
OF
CLASSIFIED INFORMATION
The Government
of
the United States
of
America (the "United States") and the Government
of
the
Republic
of
Croatia ("Croatia"), each a "Party," and collectively the "Parties";
Considering that the Parties cooperate
in
matters including, but not limited to, foreign
affairs,
defense, security, law enforcement, science, industry, and technology; and
Having a mutual interest
in
the protection
of
Classified Information exchanged in confidence
between the Parties;
Have agreed as follows:
ARTICLE 1 - DEFINITIONS
For the purpose
of
this Agreement:
I. Classified Information: Information provided by one Party to the other Party that is designated
as classified by the releasing Party for national security purposes and therefore requires protection
against unauthorized disclosure. The information may be in oral, visual, electronic, or
documentary form, or
in
the form
of
material, including equipment or technology.
2.
Classified Contract: A contract that requires, or will require, access to, or production of,
Classified Information by a Contractor or by its employees
in
the performance
of
the contract.
3.
Contractor: An individual or a legal entity, possessing the legal capacity to conclude contracts,
who is a party to a Classified Contract.
4.
Facility Security Clearance: A certification provided by the National Security Authority
of
a
Party, as designated
in
Article
4,
for a Contractor facility under the Party's jurisdiction that
indicates the facility is cleared to a specified level and also has suitable security safeguards
in
place
at a specified level to safeguard Classified Information. Such a certification shall signify that
Classified Information at the POV JERLJIVO / CONFIDENTIAL level or above shall be
protected
by the Contractor for which the Facility Security Clearance (FSC)
is
provided
in
accordance with
the provisions
of
this Agreement and that compliance shall be monitored and enforced by the
relevant National Security Authority.
An
FSC
is
not required for a Contractor to undertake
Contracts that only require the receipt or production
of
Classified Information at the
OGRANICENO (RESTRICTED) level.
5.
Personnel Security Clearance (PSC):
a.
A determination by the National Security Authority
of
a Party, as designated in Article 4,
that an individual who
is
employed by a government agency
of
that Party
or
a Contractor
under the jurisdiction
of
that Party
is
authorized to access Classified Information up to a
specified level.
b.
A determination by the National Security Authority
of
a Party, as designated
in
Article 4,
that an individual who is a citizen
of
one Party but is to be employed by the other Party or
by one
of
the other Party's Contractors is authorized access to Classified Information up to
a specified level.
6.
Need to Know: A determination made by an authorized holder
of
Classified Information that a
prospective recipient
of
Classified Information requires access to specific Classified Information
in
order to perform or assist
in
a lawful and authorized governmental function.
ARTICLE
2-LIMITATIONS
ON
THE
SCOPE
OF
THE
AGREEMENT
This Agreement shall not apply to Classified Information within the scope
of
the terms
of
another
agreement or arrangement between the Parties or agencies thereof providing for the protection
of
a particular item or category
of
Classified Information exchanged between the Parties or agencies
thereof, except to the extent that such other agreement or arrangement expressly makes this
Agreement's terms applicable. This Agreement also shall not apply to the exchange
of
Restricted
Data, as defined
in
the U.S. Atomic Energy Act
of
1954, as amended (the "AEA"), or to Formerly
Restricted Data, which
is
data removed from the Restricted Data category
in
accordance with the
AEA but still considered to be defense information
by
the United States.
ARTICLE
3 -
COMMITMENT
TO
THE
PROTECTION
OF
CLASSIFIED
INFORMATION
I. Each Party shall protect Classified Information
of
the other Party according to the terms set forth
herein.
2.
Classified Information shall be protected by the recipient Party in a manner that is at least
equivalent to the protection afforded to Classified Information by the releasing Party.
3. Each Party shall promptly notify the other
of
any changes to its laws and regulations that would
affect the protection
of
Classified Information under this Agreement. The obligations
in
this
Agreement shall not be affected by such changes
in
domestic law.
In
such cases, the Parties shall
consult regarding possible amendments to this Agreement or other measures that may be
appropriate to maintain protection
of
Classified Information exchanged under this Agreement.
ARTICLE 4 - NATIONAL SECURITY AUTHORITIES
I.
The Parties shall inform each other
of
the National Security Authorities responsible for
implementation
of
this Agreement and any subsequent changes to these Authorities.
2.
For the purpose
of
this Agreement, the National Security Authorities shall be:
a.
for Croatia: Director, Office
of
the National Security Council (UVNS)
b.
for the United States: Assistant Director, International Engagement Directorate, Defense
Technology Security Administration, Office
of
the Under Secretary
of
Defense for Policy, U.S.
Department
of
Defense.
3. The Parties may conclude supplemental implementing arrangements to this Agreement where
additional technical security measures may be required to protect Classified Information
transferred to the recipient Party through foreign military sales or cooperative programs for co-
production
or
co-development
of
defense articles or services. Such implementing arrangements
may include Special Security Agreements or Industrial Security Agreements.
ARTICLE 5 - DESIGNATION OF CLASSIFIED INFORMATION
I. Classified Information shall be designated, and stamped or marked where possible, by the
releasing Party as classified at one
of
the following national security classification levels. For
purposes
of
ensuring equivalent treatment, the Parties agree that the following security
classification levels are equivalent:
CROATIA
VRLOTAJNO
TAJNO
UNITED STATES
TOP SECRET
SECRET
POVJERLJIVO
CONFIDENTIAL
OGRANICENO
(RESTRICTED)
No equivalent (see paragraph 2)
2.
During the implementation
of
this Agreement,
if
Croatia provides Classified Information
designated as OGRANICENO (RESTRICTED), the United States shall handle it
in
accordance
with the Appendix to this Agreement.
3.
Classified Information shall be designated, and stamped or marked where possible, with the
name
of
the releasing Party.
ARTICLE
6-
RESPONSIBILITY
FOR
CLASSIFIED
INFORMATION
The recipient Party shall be responsible for the protection
of
all Classified Information
of
the
releasing Party in a manner that is at least equivalent to the protection afforded
to
Classified
Information by the releasing Party while the Classified Information
is
under its control. While in
transit, the releasing Party shall be responsible for all Classified Information until custody
of
the
Classified Information is formally transferred
to the recipient Party.
ARTICLE
7 -
PROTECTION
OF
CLASSIFIED
INFORMATION
I.
No
individual shall be entitled to have access to Classified Information solely by virtue
of
rank,
position, appointment,
or
PSC. Access to such information shall be granted only to individuals
who have a Need to Know and who have been granted the requisite PSC in accordance with the
prescribed standards
of
the recipient Party.
2. Except as otherwise provided
in
this Agreement, the recipient Party shall not release Classified
Information
of
the releasing Party to any third party, including any third-party government,
individual, firm, institution, organization, or other entity, without the prior written consent
of
the
releasing Party.
3.
The recipient Party shall not use
or
permit the use
of
Classified Information
of
the releasing
Party for any other purpose than that for which it was provided without the prior written consent
of
the releasing Party.
4. The recipient Party shall respect any private rights that are associated with Classified
Information
of
the releasing Party, including those rights with respect to patents, copyrights,
or
trade secrets, and shall not release, use, exchange, or disclose such Classified Information in a
manner inconsistent with those rights without the prior written authorization
of
the owner
of
those
rights.
5.
The recipient Party shall ensure that each facility
or
establishment that handles Classified
Information covered by this Agreement maintains a list
of
individuals at the facility
or
establishment who are authorized to have access to such information.
6. Each Party shall develop accountability and control procedures to manage the dissemination of,
and access to, Classified Information.
7. Each Party shall comply with any and all limitations on use, disclosure, release, and access to
Classified Information as may be specified by the releasing Party when it discloses such Classified
Information.
If
a Party is unable to comply with the specified limitations, that Party shall
immediately consult with the other Party and shall undertake all lawful measures to prevent
or
minimize any such use, disclosure, release,
or
access.
ARTICLE
8 -
PERSONNEL
SECURITY
CLEARANCES
I.
The Parties shall ensure that
all
individuals
who
in
the conduct
of
their official duties require
access or whose duties or functions
may
afford access
to
Classified Information pursuant
to
this
Agreement receive
an
appropriate
PSC
before they
are
granted access
to
such information.
2.
The Party granting the
PSC
shall conduct
an
appropriate investigation
in
sufficient detail
to
determine
an
individual's suitability
for
access
to
Classified Information. The determination
to
grant a
PSC
will
be
made
in
accordance with the national laws
and
regulations
of
the granting
Party.
3.
Before
an
official or representative
of
one Party releases Classified Information
to
an
official or
representative
of
the other Party, the recipient Party shall provide
to
the releasing Party
an
assurance that the official or representative
has
the necessary
PSC
level and a Need
to
Know
and
that the Classified Information will
be
protected
by
the recipient Party
in
accordance with this
Agreement.
ARTICLE
9 -
RELEASE
OF
CLASSIFIED
INFORMATION
TO
CONTRACTORS
I.
Classified Information received
by
a recipient Party
may
be
provided by the recipient Party
to
a
Contractor or prospective Contractor whose duties require access
to
such information with the
prior written consent
of
the releasing Party. Prior
to
releasing
any
Classified Information
to
a
Contractor or prospective Contractor, the recipient Party shall:
a.
Confirm that
such
Contractor
or
prospective Contractor
and
the Contractor's facility
have
the capability
to
safeguard the information
in
accordance with the terms
of
this Agreement;
b.
Confirm that
such
Contractor or prospective Contractor
and
the Contractor's facility
have
been
granted appropriate
PSCs
and
FSCs,
as
applicable;
c.
Confirm that the Contractor or prospective Contractor
has
procedures
in
place
to
ensure
that
all
individuals having access
to
the information
are
informed
of
their responsibilities
to
protect
the information
in
accordance with applicable
laws
and
regulations;
d.
Carry out periodic security inspections
of
cleared facilities
to
ensure that the information
is
protected
as
required
by
this Agreement;
and
e.
Confirm that the Contractor
or
prospective Contractor
has
procedures
in
place
to
ensure
that access
to
the information
is
limited
to
those individuals who
have
a Need
to
Know.
ARTICLE
10
-
CLASSIFIED
CONTRACTS
I.
When
a Party proposes
to
place,
or
authorizes a Contractor
in
its
country
to
place, a Classified
Contract that
is
classified at the POVJERLJIVO / CONFIDENTIAL level or above, with a
Contractor
in
the country
of
the other Party, the Party that
is
to
place or authorize the Contractor
to place such Classified Contract shall request an assurance that an FSC has been issued from the
National Security Authority
of
the other Party. The National Security Authority
of
the requested
Party shall monitor and take all appropriate steps to ensure the security conduct by the Contractor
will be
in
accordance with applicable laws and regulations.
2.
The National Security Authority
of
a Party negotiating a Classified Contract to be performed
in
the country
of
the other Party shall incorporate
in
the Classified Contract, request for proposal, or
subcontract document appropriate security clauses and other relevant provisions, including costs
for security. This includes provisions requiring any Contractors to include appropriate security
clauses in their subcontract documents.
ARTICLE
11-
RESPONSIBILITY
FOR
FACILITIES
Each Party shall be responsible for the security
of
all government and private facilities and
establishments where it stores Classified Information
of
the other Party and shall ensure that such
facilities or establishments have qualified and appropriately cleared individuals appointed with the
responsibility and authority for the control and protection
of
such information.
ARTICLE
12
-
STORAGE
OF
CLASSIFIED
INFORMATION
Classified Information exchanged between the Parties shall be stored
in
a manner that ensures
access only by those individuals who have been authorized access.
ARTICLE
13
-
TRANSMISSION
I. Classified Information shall be transmitted between the Parties through government-to-
government channels or other channels mutually approved in advance
in
writing.
2.
The minimum requirements for the security
of
Classified Information during transmission shall
be
as
follows:
a.
Documents or other media:
(
1)
Documents or other media containing Classified Information shall be transmitted
in
double, sealed envelopes. The inner envelope shall indicate only the classification
of
the
documents or other media and the organizational address
of
the intended recipient. The outer
envelope shall indicate the organizational address
of
the intended recipient, the organizational
address
of
the sender, and the document control number,
if
applicable.
(2) No indication
of
the classification
of
the enclosed documents or other media shall be
made on the outer envelope. The double sealed envelope shall be transmitted according to the
prescribed procedures
of
the Parties.
(3) Receipts shall be prepared by the recipient for packages containing documents or
other media containing Classified Information that are transmitted between the Parties, and such
receipts shall be signed by the final recipient and returned to the sender.
b.
Material:
(I)
Material, including equipment, that contains Classified Information shall be
transported
in
sealed, covered vehicles, or shall otherwise be securely packaged or protected
in
order to prevent identification
of
its shape, size, or contents, and kept under continuous control to
prevent access by unauthorized persons.
(2) Material, including equipment, that contains Classified Information that must be
stored temporarily awaiting shipment shall be placed
in
protected storage areas. Such areas shall
be protected by intrusion detection equipment or guards with requisite PSCs who shall maintain
continuous surveillance
of
those areas. Only authorized personnel with the requisite PSC shall
have access to the protected storage areas.
(3) Receipts shall be obtained whenever material that contains Classified Information,
including equipment, changes hands during transit, and a receipt for such material shall
be signed
by the final recipient and returned to the sender.
c.
Electronic transmissions:
(I)
Classified Information that is classified at the POVJERLJIVO / CONFIDENTIAL
level or above that is to be transferred electronically shall be transmitted using secure means that
have been approved by each Party's National Security Authority.
ARTICLE
14-
VISITS
TO
FACILITIES
AND
ESTABLISHMENTS
OF
THE
PARTIES
I. Visits by representatives
of
one Party to facilities and establishments
of
the other Party that
require access to Classified Information, or visits for which a PSC is required to permit access,
shall be limited to those necessary for official purposes. Authorization shall only be granted to
representatives who possess a valid PSC.
2.
Authorization to visit such facilities and establishments shall be granted only by the Party
in
whose territory the facility or establishment to be visited is located. The visited Party,
or
its
designated officials, shall
be responsible for advising the facility
or
establishment
of
the proposed
visit, and the scope and highest level
of
Classified Information that may be furnished to the visitor.
3.
Requests for visits by representatives
of
the Parties shall be submitted by the Embassy
of
the
Republic
of
Croatia
in
Washington, D.C.,
in
the case
of
Croatian visitors, and by the Embassy
of
the United States
in
Zagreb
in
the case
of
U.S. visitors.
ARTICLE
15
- SECURITY VISITS
Implementation
of
security requirements set out
in
this Agreement may be verified through
reciprocal visits by security personnel
of
the Parties. The security representatives
of
each Party,
after prior consultation, shall be permitted to visit the other Party to discuss and observe the
implementing procedures
of
the other Party
in
the interest
of
achieving reasonable comparability
of
security
systems.
The
host
Party
shall
assist
the
visiting security representatives
in
determining
whether Classified Information
received
from
the
other Party
is
being
adequately protected.
ARTICLE
16
-
SECURITY
ST
AND
ARDS
On
request, each Party
shall
provide
the
other
Party
with
information about
its
security standards,
practices,
and
procedures
for
safeguarding
of
Classified Information.
ARTICLE
17-REPRODUCTION
OF
CLASSIFIED
INFORMATION
When
Classified Information
is
reproduced,
all
of
the
original security markings thereon shall also
be
reproduced, stamped, or
marked
on
each
reproduction
of
such
information.
Such
reproductions
shall
be
subject
to
the
same
controls
as
the original information.
The
number
of
reproductions
shall
be
limited to
the
minimum
number
required
for
official purposes.
ARTICLE
18
-
DESTRUCTION
OF
CLASSIFIED
INFORMATION
I.
Documents
and
other
media
containing Classified Information
shall
be
destroyed
by
burning,
shredding, pulping, or other
means
that prevent reconstruction
of
the Classified Information
contained therein.
2.
Material, including equipment, containing Classified Information shall
be
destroyed through
means
that render
it
no
longer
recognizable
so
as
to
preclude reconstruction
of
the Classified
Information
in
whole
or
in
part.
ARTICLE
19
-
DOWNGRADING
AND
DECLASSIFICATION
I.
The
Parties agree that Classified Information should
be
downgraded
in
classification
as
soon
as
the
information ceases
to
require
that higher
degree
of
protection or should
be
declassified
as
soon
as
the information
no
longer requires protection against unauthorized disclosure.
2.
The
releasing Party
has
complete discretion concerning downgrading or declassification
of
its
Classified Information.
The
recipient Party
shall
not
downgrade
the security classification or
declassify Classified Information
received
from
the
releasing Party, notwithstanding any apparent
declassification instructions
on
the
document,
without
the
prior written consent
of
the releasing
Party.
ARTICLE
20
- LOSS
OR
COMPROMISE
The
recipient Party
shall
inform
the
releasing Party immediately
upon
discovery
of
all
losses or
compromises,
as
well
as
possible losses or compromises,
of
Classified Information
of
the releasing
Party.
In
the
event
of
an
actual
or
possible
loss
or compromise
of
such
information, the recipient
Party
shall
initiate
an
investigation immediately
to
determine
the
circumstances
of
the actual or
possible
loss
or compromise.
The
results of
the
investigation
and
information regarding measures
taken
to
prevent recurrence
shall
be
provided
to
the
releasing
Party.
ARTICLE
21
-
DISPUTES
Disagreements between the Parties arising under or relating
to
this Agreement shall
be
settled
solely through consultations
between
the
Parties
and
shall not
be
referred to a national court,
an
international tribunal, or
any
other person
or
entity
for
settlement.
ARTICLE
22
-
COSTS
Each
Party shall
be
responsible
for
bearing
its
own
costs incurred
in
implementing this Agreement.
All
obligations
of
the Parties under this Agreement shall
be
subject
to
the availability
of
funds.
ARTICLE
23
-
FINAL
PROVISIONS
1.
This Agreement shall enter
into
force
on
the
date
of
the
last signature
by
the Parties.
2.
Either Party
may
terminate this Agreement
by
notifying the other Party
in
writing through
diplomatic channels ninety
days
in
advance
of
its
intention
to
terminate
the
Agreement.
3.
Notwithstanding
the
termination
of
this Agreement,
all
Classified Information exchanged or
otherwise provided pursuant
to
this Agreement shall continue
to
be
protected
in
accordance with
the
provisions set
forth
herein.
IN
WITNESS
WHEREOF,
the
undersigned, being
duly
authorized thereto
by
their respective
Governments, have signed this Agreement.
Done
in
duplicate
at
Zagreb this
5th
day
of
January
2021,
in
the
English language.
FOR
THE
GOVERNMENT
OF
FOR
THE
G~~MENT
OF
THE
UNITED
STATES
OF
AMERICA:
THE
REPUBGCROATlk
~#t/12-
APPENDIX
PROCEDURES FOR PROTECTING REPUBLIC OF CROATIA OGRANICENO
(RESTRICTED) CLASSIFIED INFORMATION PROVIDED TO THE UNITED
STATES
I. Upon receipt, Croatian Classified Information provided to the United States and designated as
"OGRANICENO (RESTRICTED)" shall be protected by the United States
in
accordance with the
following procedures.
2.
Information designated as "OGRANICENO (RESTRICTED)" shall be stored
in
locked containers
or closed areas that prevent access by unauthorized personnel.
3. "OGRANICENO (RESTRICTED)" Classified Information shall not be disclosed to unauthorized
persons or entities without the prior written approval
of
the originator or the National Security
Authority
of
the Republic
of
Croatia, except as required by U.S. law, including the Freedom
of
Information Act.
4. "OGRANICENO (RESTRICTED)" Classified Information shall, as applicable, be stored,
processed, or transmitted electronically using government- or Contractor-accredited systems. In
particular, before any system
is
used to store, process, or transmit "OGRANICENO (RESTRICTED)"
Classified Information, it must receive security approval, known as Accreditation. An Accreditation
is a formal statement by the appropriate accrediting authority confirming that the use
of
a system
meets the appropriate security requirements and does not present an unacceptable risk. Security
Standard Operating Procedures are technical procedures to implement security policies and
requirements unique to a specific facility to protect automated information systems processing
Classified Information. For stand-alone automated information systems such as desktop and laptop
computers utilized
in
U.S. Government establishments, the system registration document together
with the Security Standard Operating Procedures shall fulfill the role
of
the required Accreditation.
For Contractors, guidance on the use
of
communications and information systems shall be
incorporated into the Restricted Conditions Requirements Clause
in
the Contract.
5.
"OGRANICENO (RESTRICTED)" Classified Information shall be transmitted by first class mail
within the United States
in
one sealed envelope. Transmission outside the United States shall be
in
double, sealed envelopes, with the inner envelope marked "Republic
of
Croatia OGRANICENO
(RESTRICTED)." Transmission outside the United States shall be by traceable means such as
commercial courier or other means agreed upon by the Parties
in
writing.
6.
U.S. documents that contain Croatian "OGRANICENO (RESTRICTED)" Classified Information
shall bear on the cover and the first page the marking "Republic
of
Croatia OGRANICENO
(RESTRICTED)." The portion
of
the documents containing Croatian "OGRANICENO" Classified
Information also shall be identified with the marking "Republic
of
Croatia OGRANICENO
(RESTRICTED)."
7.
"OGRANICENO (RESTRICTED)" Classified Information
may
be
transmitted or accessed
electronically via a public network
like
the
Internet using government or commercial encryption
devices mutually accepted
by
the
Parties. Telephone conversations, video conferencing, or facsimile
transmissions containing
"OGRANICENO
(RESTRICTED)" Classified Information
may
be
conducted
if
an
encryption system
is
not
available
and
subject
to
the
approval
of
the releasing Party's
National Security Authority.
8.
An
FSC
and
PSC
are
not
required
for
a Contractor
to
undertake contracts that require only the receipt
or production
of
Classified Information
at
the
"OGRANICENO (RESTRICTED)" level.
9.
Access
to
such
"OGRANICENO (RESTRICTED)" Classified Information shall be
granted
only to
those individuals
who
have a
Need
to
Know.
A
U.S.
PSC
is
not
required
to
access "OGRANICENO
(RESTRICTED)" information. However,
for
individuals requiring access
to
"OGRANICENO
(RESTRICTED)" information
who
do
not
have
a preexisting
PSC,
a security briefing concerning the
handling
of
"OGRANICENO (RESTRICTED)" information shall
be
provided
by
the individual
releasing the information.
