Case NO. F-2016-17168 Doc No. 006436400 Date: 11/02/2017 Department of State I . . earnsu EMBASSY. 3'4 I WASHINGTON. April 14, 1961. RELEASE IN FULL Sir, I have the honour to refer to-your Note of today's date regarding protection of classified information exchanged between our two Governments. The proposals made therein are acceptable to Her Majesty's Government in the United Kingdom. The types of information designated by my Government to which the arrangements would apply are ail information furnished by Her Majesty?s Government in the United Kingdom and classified "Confidential", "Secret" or "Top Secret". I avail myself of this opportunity to renew to you; Sir, the assurances of my highest consideration. The Honorable Dean Rusk, Department of State, Washington, D.C. UNCLASSIFIED US. Department of State Case No. F-2016-17168 Doc No. 006436400 Date: 11/02/2017 us. Department of State Case No. F-2016-17168 Doc No. 006436397 Date: 11/02/2017 Anhcx of General 'Eiccurlty Procedures RELEASE IN FULL 1.. Official informtion gran a security classification by either of our two or by agrcencot or our to; Governments and furnished by either Government to the othcr through channels will be assigned a. classification by authorities of the receiving Government which will assure a degree of protection equivalent to or. tweeter than that required by the Government furo tucking; the information. 2.. The recijzicnt Govern-mat will not use such informtion for other thru: the purposes for which it was fur?iohed and will not . disclose cuclr information to a. third without the. prior consent of the Government which furnished the infonration. 3. with reopcct to such information ftmxishcd in connection with contracts made by either its agencies, or privoto exttitieo or individuals 'mthin its territory with the otcer Govern- ment, its agencies, or private entities or individuals within its territory, the Cover-meat of the country in which performance tinder the contract is taking place will assure responsibility for was; tearing security Ramos for the protection of. cuchil?cfigiccfzinfor- motion in accordance with stewards and which are actua- that Government in the case of contractual arrangements involving information it originated of the ease security classification. Prior to the release of am; such information which is classified con?rm-mm or higher to any contractor or prospective contractor, the Government considcring release of the informtion will under- take to ensure that such contractor or prospective contractor and his facility have the capability to protect the classified infor? motion adequately, will grant an appropriate facility clearance to this effect, and will undertake, in accordance uith notional pros: - tico, to grant appropriate security clearances for all personnel whose duties mum require access to the classified information. UNCLASSIFIED US. Department of State Case No. Doc No. 006436397 Date: 11/92/2017 us. Department of State Case Ne. F-2016-17168 Doc No. 006436397 Date: 11/02/2017 A aha? h. She recipient Government will_clso: a. Insure that all persons having access to such classified information are inforccd of their responcibilitlcs to protect th? information in accordance wick applicable laws. Carry out security of facili?ies within its territory team are engaged. in contracts involving, such classiw fled inforcction. c. Assure that access to 93?th clecaified inforcation at faciliti cc ?ascribed in sutparngraph 13 hated to chase persons who require it for official purposes. In this connection, a request: for au?horizntion to irisit such ?a facility {than access to the classified ici?orzust?on 13' involved will be submitted to the appropriate department or agency of the unere the facility is locatcu by an agency designated for this purpose by the other Go?crc5cnt, an? the request will include a state? ment of the security clearance and official status of the visitor and of the necessity for the visit; authoriza- ?tiona for visits over extended p?ricds my be The to which the is sdbmittcd will be resyonsible for advising the contractor of the proposed visit and for hcuthorizing the visit to he madeCosta incurred in conducting accurity investigations or I, inspections required. hercundcr will not be subject to rci?mrsemcnt. 6. Classified informtion and material will be transferred only on o. bccis. 7. The Government which 15 the recipient of material produced . under contract in the territory of the other Government to protect classified infomction contained therein in the" same war as it protects its our; classified infatuation. UNCLASSIFIED US. Department of State Case No. F-2016-17168 Doc No. C06436397 Dgtc: 11/02/2017 C0 64 3 65 0 lflED US. Department of State Case No. F-2016-17168 Doc No. 006436501 .Date: 11/02/2017 RELEASEINFULL BESTCOPY um AVAILABLE -SECURITY PROCEDURES FOR INDUSTRIAL OPERATIONS BETWEEN THE MINISTRY OF DEFENCE OF THE UNITED KINGDOM AND THE DEPARTMENT OF DEFENSE OF THE UNITED STATES (INDUSTRIAL SECURITY ANNEX) 1. PURPOSE a. The following procedures have been developed to implement the provisions of the General Security Agreement between the Government of the United States and the Government of.the United Kingdom,'entered into on April 14, 1961, as amended. That agreement provides for the safeguarding of all classified information exchanged between the governments. This .Annex will apply to those cases in which contracts, subcontracts, precontract negotiations or other government approved arrangements involving classified information of either or both countries, hereinafter referred to as classified contracts, are placed or entered into by or on behalf of the Government of the United Kingdom (UK) in the United States (USbehalf of the Government of the United States This Annex will not apply in the case of contracts that will involve access to information that would not be releasable under applicable national disclosure policies? Firms which are under the ownership, control, or influence of.a third party country are not eligible to be awarded.cIassified contracts. Requests for exception to this requirement may be considered on a case-by-case basis by the releasing government. Such requests should identify the source, the extent and other pertinent particulars of the foreign ownership, control, or. influence. UK . UNCLASSIFIED US. Department of State Case No. F-2016-17168 Doc No. 006436501 Date: 11/02/2017 6 4 3 6 5 0 1150 us. Department of State Case No. F-2016-17168 Doc No. 006436501 Date: 11/02/2017 C. For the purpose of this Annex clasSified information is that official information which has been determined to require, in the interests of national security of the owning or releasing government, protection against unauthorized disclosure and which has so been designated by appropriate security authority- This embraces classified information in any form, be it oral, visual or in the form of material. Material may be any document, product or substance on, or in which, information may be recorded or embodied. Material shall encompass everything regardless gf?its-physical character or makeup including documents, writing, hardware, equipment, machinery, apparatus, devices, models, photographs, recordings, reproductions, notes, sketches, plans, prototypes, designs, configurations, maps and letters, as well as all other products, substances or materials from which information can be derived. 2. GENERAL Upon receipt of classified information furnished under this Annex, the receiving government1 shall undertake to afford the information with substantially the same degree of security 1 a. The term "government" as used in this Annex for the United States refers to the Department of Defense; Department of Defense agencies: the Departments of the Army, Navy, and Air Force; and the National Aeronautics and Space Administration. b. .The term "government" as used in this Annex for the United Kingdom refers to the Ministry of Defence (including the Central Staffs, the Navy, Arm and Air Force Departments and the Procurement Executive). 2 UNCLASSIFIED Us. Department of State Case No. F-2016-17168 Doc-No. 006436501 Date: 11/02/2017 lilED US. Department of State Case No. F-2016-17168 Doc No. 006436501 Date: 11/02/2017 protection as afforded it by the releasing government. The receiving government shall be responsible for information so received while it is within its territorial jurisdiction and while it is possessed by or furnished to persons authorized to visit abroad pursuant to this arrangement. The United States Defense Investigative Service (DIS) and the Directorate of MOD Security (D MOD Sy) of the UK Ministry of Defence will assume responsibility for administering security measures for a classified contract awarded to industry for performance in their reSpective countries under the same Standards and requirements as govern the protection of their own classified contracts. InsEection. The designated government agency shall ensure that necessary industrial security inspections are made of each contractor facility engaged in the performanCe of, or in negotiations for, a classified Contract. - b. Security Costs. Costs incurred in conducting security investigations or inspections shall be borne by the government rendering the service. Costs inburred by either of the two governments through implementation of other security measures, including costs incurred through the use of the diplomatic courier service or any other authorized official cdurier service, will not be reimbursed. There shall be provisions in classified contracts for security costs to be incurred under the contract, such as Special costs for packing, transport and the like, which shall be borne by the party for whom the service is required under the contract. If, subsequent to the date of contract, the security classification or security requirements under the contract UK UNCLASSIFIED US. Department of State Case NO. F-2016-17168 Doc No. C06436501 Date: 11/02/2017 l?lED US. Department of State Case No. F-2016-17168 DOC NO. C06436501 Date: 11/02/2017 UK are changed, and the security costs or time required for delivery under the contract are thereby increased or decreased, the contract price, delivery schedule, or both, and any other provisions of the contract that may be affected shall be subject to an equitable adjustment by reason of such increased or decreased costs. Such equitable adjustments shall be accomplished under the appropriate provisions in the contract governing changes. C. Security Clearances. Clearances of contractor?facilities and individuals that will poSsess or be authorized access to classified information shall be processed according to the pertinent regulations of the country having responSibility for administering security measures for the classified contract. d. Orientation. The designated government agency shall ensure that contractors or subcontractors having access to the classified information are furnished instructions setting forth their responsibility to protect the information in accordance with applicable laws and regulations. e. Transmission. Transmission of classified information and material shall be made only through repreSentatives designated by each of the governments. This procedure is commonly known as transmission through government?to?government channels. As an exception, the US may transmit classified material directly to a firm located in the US which is under the ownership, control, or influence of a UK entity, and the UK may transmit such information directly to a firm in the UK which is under the ownership, control, or influence of?a US entity provided such firms have -been granted a reciprocal security clearance UNCLASSIFIED US. Department of State Case No. F-2016-17168 Doc No. 006436501 Date: 11/02/2017 c0 64 3 65 0 13IED US. Department. of State Case No. F-2016-17168 Doc No. 006436501 Date: 11/02/2017 under Appendix of this Annex and the information is determined to be releasable under the national disclosure policy of the releasing government. (1) For each classified contract, the contractor shall be informed of the channels of transmission to be used. (2) Material shall be prepared for transmission in accordance with the regulations of the country from which the material is to be dispatched. f. Public Release of Information. Public release by a contractor or subcontractor of any information pertaining to a classified contract shall in the US be governed by the Department of Defense Industrial Security Manual 5220.22-M, and in the UK by "Security in Industry". In the case of a UK facility with a US classified contract, initial prior review and approval shall be governed by "Security in Industry" with final approval by the appropriate US authority. In the case of a US facility with a UK classified contract, initial prior review and approval shall be governed by the with final approval by MOD Sy. g. lMa?dng.The responsible agency of the sending government shall mark classified information with its appropriate classi fication marking and the name of the country of origin prior to transmittal to the receiving government. Upon receipt, the information shall be assigned an equivalent classification and so marked by the recipient government agency as follows: UNCLASSIFIED US. Department of State Case No. F-2016-17168 Doc No. 006436501 Date: 11/02/2017 C0 64 3 63 US Department of State Case No. F-2016-17166 Doc No. 006436396 Date:V11/02/2017 ?pril 11}, 1961 RELEASE IN FULL Excellency: I have the honor to refer to meat discussions between regresentcititvas of our ma?ective Govewmnt-a concerning the desira-.: - 31? exteszims 'bo all cMsu?ied inromatiou'?tcham'e? 136121122611 our no Gavermezata the we primiples which our have agreed to agply in eafeguw?ing classified infometion catered by the .?iecux?ity amemnt by the Parties to the fair-ti: Atlantic Treaty, caviar-ates). by the Hort-?1 3&leth cbuncil on January 1950, and the Basic Principles and Minimum Standm-da of Security, sipproved by tizr: Council on limb 2, 19551131530 nocuizant tum tine Seanrity Agreezamt between the {united States and United Kingdom Chiefs of Star: approved in titgust 19148. I Recognizing that Elie Honorable Sir Herold Canola, 6.0.24.6? British Ambassador; UNCLASSIFIED US. Department of State Case No. F-2016-17168 006 No. 006436396 Date: 11/02/2017 C0 6 4 3 63 9 6rlED Department of State Case No. 0-2016-17160 Doc No. C06436396 Date: 11/02/2017 :32. Itecogmzing that ymtectico of all" classified infofrration com- xmnicotad direct?y or indirectly between our governments is essential. to the national cafety and security of both our countries, I have the honor to suggest the following mtuel understanding for the protection of such intonation, namely, that the recipient: 8.. b. C. (1. Will not release the infomation to a third without the approval of'tho releasing Government. will undertake to afford. the intonation out: otattialla the some of protection ai?for?ea it By the releasing m1 not use the infatuation for other than the given. 0 will zeayect yrivato rights, such as patents, copyrights, or trade which are involved in the Mei-ration. Nothing the arrangement proposed in this note oholl be,held to impair existing amemnts and mm? for safeguarding classified military information or to 9.9pr to ini?omation for which special provision has been made, ouch so atomic energy information which the Imterl States designates as Restricted Data. Subject to this qualification, the armugcmt- proposed in this note wold apply to all information furnished by the United- States Government. 1 1 UNCLASSIFIED US. Department of State Case No. F-2016-17168 Doc NO. C06436396 Date: 11/02/2017 US. Department of State Case No. F-2016-17168 Doc No. C06436396 Date: 11/02/2017 .30' and claseu?ied "Confidential", "Secret?, or ?E?op Secret" and to. information designated by Her biaJesty?n Government in the United. Kingdom ea coming within the pull-?ew of this arrangement. The details regarding channels of comaication and the awn- catiotz of 636 foregoing principles mule be the subject of technical armaments between appropriate agencies of our respective. Govern- meats. If the foregoing its acceptable to your Govermtsent, I propose that thie note and your reply to that effect, (ieaiwtimg the types of information your Coma-meat wishes covered, $111.11]. be regarded. as placm' on ascord the textual underetandiag 52291266. betzreen the Governments on?thieDnizattesh' which shall. become e?eceiva as frog the date of your Rely. Accept; mommy, the renewed eammee'of my highest cone- 1' emu-anon. For the Secretary of State: Ivan B. White UNCLASSIFIED US. Department of State Case No. F-2016-17168 Doc No. 006436396 Date: 11/02/2017