NI 8900.4, Intelligence Oversight (U)
1. Reference.
a. Primary. NIMA PD 8900, Policy Directive for Collection, Exploitation, and Dissemination of Information, 12 September 1997.
b. Secondary
(1) Executive Order 12333, United States Intelligence Activities
(2) DOD Directive 5240.1, DOD Intelligence Activities, 25 April 1988
(3) DOD 5240.1-R, Procedures Governing the Activities of DOD Intelligence Components That Affect United States Persons, December 1982.
(4) NI 1455.1, NIMA Instruction for Employee Adverse Action and Discipline, to be published.
2. Purpose. Establish the responsibilities and procedures for identifying and reporting questionable intelligence activities, specifically collection, retention, and dissemination of information concerning U.S. persons, and other prohibited activities
3. Policy.
a. NIMA will conduct intelligence activities in accordance with applicable law and regulations, employing only those collection techniques necessary to perform its mission. NIMA will not collect, retain, or disseminate information about U.S. citizens unless explicitly authorized and then will limit collection to the least intrusive means available. Violators of applicable law, authorities, and regulations are subject to appropriate administrative action as defined in NI 1455.1 (reference 1.b.(4)). NIMA may refer cases to appropriate law enforcement agencies for prosecution and imposition of civil or criminal penalties.
(1) NIMA employees will conduct intelligence activities only in accordance with applicable law, authorities, and regulations.
(2) No NIMA employee will request any other person or entity to undertake any unauthorized intelligence activity.
b. NIMA employees will immediately report any questionable activity or violation to an intelligence oversight officer (IOO), the Office of General Counsel (GC), the Office of Inspector General (IG), or the Assistant to the Secretary of Defense for Intelligence Oversight (ATSD (IO)).
c. No disciplinary or adverse action will be taken against any employee for reporting a questionable activity or apparent violation of applicable law, authorities, or regulations. NI 1455.1 (reference 1.b.(4)) defines in detail the range of disciplinary actions and penalties NIMA may invoke for reprisal against reporting employees.
d. NIMA will ensure employees have a basic understanding of how to recognize and report questionable and illegal intelligence activities. This will consist of an initial block of instruction provided to all new employees as they commence their duties and annual refresher training to maintain employees' level of knowledge about the NIMA intelligence oversight (IO) program.
e. ATSD (IO) and NIMA will conduct periodic inspections of Agency intelligence activities. Offices will provide oversight inspectors access to all information concerning intelligence activities, regardless of area, classification, or program. Employees will fully cooperate with inspection activities.
4. Applicability and Scope. This instruction applies to all NIMA employees. It describes all aspects of intelligence oversight, with emphasis on the process and criteria used in periodic inspections.
5. Definition. Additional key terms are defined in Executive Order 12333, DOD Directive 5240.1, and DOD 5240.1-R (references 1.b.(1), (2), and (3), respectively).
a. Employee. A person employed by, assigned to, or acting for an Agency within the Intelligence Community (including DOD cadre, CIA-affiliated, and military personnel; contractors; assignees; detailees; and foreign nationals).
b. Intelligence activities. The collection, production, and dissemination of foreign intelligence and counterintelligence by intelligence components.
c. Questionable intelligence activities. Any conduct that constitutes, or is related to, an intelligence activity that may violate the law, any Executive Order (E.O.) or Presidential Directive including E.O. 12333 (reference 1.b.(1)), or applicable DOD policy.
6. Responsibility.
a. The Director has overall responsibility for NIMA IO activities.
b. Office of General Counsel (GC).
(1) Implements and maintains the IO program throughout the Agency.
(2) Interprets applicable law, authorities, and regulations.
(3) Coordinates requests for exceptions or amendments to any authority or procedure.
(4) Establishes and maintains a network of intelligence oversight officers (IOOs).
(5) In coordination with the Office of Inspector General (IG), establishes effective procedures for the reporting of questionable activities and ensures that all employees are aware of their IO reporting responsibility.
(6) In coordination with IG, establishes effective procedures for familiarizing all employees with the IO purpose, policy, and procedures.
(7) Ensures that initial and annual refresher training is completed by all employees.
(8) Develops appropriate IO training materials and instruction guides and ensures the IOOs are trained to fulfill their IO responsibilities.
(9) Maintains a record of IO training.
(10) In coordination with IG, reports quarterly to the ATSD (IO) as required in DOD 5240.1-R (reference 1.b.(3)).
c. Office of Inspector General (IG).
(1) Assists in the development of reporting and training procedures.
(2) Investigates reports of questionable activities or violations of applicable law, authorities, and regulations, including the failure to report questionable activities or violations, and recommends appropriate corrective action to the Director.
(3) Conducts periodic inspections of the Agency IO program.
d. Mission Support Office, Security Services Division (MSS) receives reports of questionable activities or violations involving counterintelligence matters and investigates as appropriate. MSS forwards all reports to GC.
e. Procurement and Contracts Office (PC).
(1) Ensures that contractors are informed of and comply with applicable law, authorities, and regulations when their performance under contract may involve activities subject to this instruction.
(2) Reports to GC any questionable activities or violations identified by contractors.
(3) Includes appropriate IO warnings and protective provisions in all solicitations and contracts.
f. Directorates.
(1) Ensure that all intelligence activities within their assigned functions have been approved by proper authority and are conducted in accordance with applicable law, authorities, and regulations. Procurement packages submitted to PC must identify those items that may reasonably involve such intelligence activities.
(2) Seek immediate legal review prior to any intelligence activities that, in whole or in part, raise issues of legality, consistency, or propriety.
(3) Consistent with NI 1455.1 (reference 1.b.(4)), impose appropriate sanctions against any employee who
(a) Violates applicable IO law, authorities, and regulations.
(b) Takes any reprisal action against any other employee for reporting a questionable activity or violation of authorities.
(4) Ensure Directorate employees are aware of the requirement to be familiar with applicable law, authorities, and regulations, with special emphasis on the restrictions that apply to their particular operations and activities. Directorates must ensure that employees are aware of their responsibilities to report questionable activities and violations.
(5) Facilitate GC, IG, and ATSD(IO) access to all areas, personnel, and information in order to perform their respective IO responsibilities, and ensure full cooperation of employees.
(6) Appoint IOOs for the Directorate, and, as appropriate, subordinate Offices and units, and forward memorandums of appointment to GC.
g. Intelligence oversight officers (IOO).
(1) Serve as custodians of IO materials for their respective organization or group of employees.
(2) In support of GC, facilitate IO training and familiarization for their applicable groups.
(3) Provide information regarding IO responsibilities to any employee and refer the employee to GC if additional information is required.
(4) Receive and forward to GC any employee report of questionable activities or violations of applicable law, authorities, or regulations.
(5) Report to GC any training conducted.
h. Employees.
(1) Attend IO training annually with the intent to understand the policies and responsibilities of intelligence components regarding the collection, retention, and dissemination of information concerning U.S. persons.
(2) Refer to GC all proposals for, or questions about, intelligence activities that may be contrary to applicable law, authorities, or regulations.
(3) Immediately report to any IOO (or to GC, IG, or ATSD (IO)) any questionable activity or violation of applicable law, authorities, or regulations.
7. Procedure.
a. Reporting. Employees discovering a questionable intelligence activity must contact any IOO, GC, or IG by the most expedient means available. Additionally, direct contact with the staff of ATSD (IO) is authorized. IOOs report to GC any reported questionable activity. GC then notifies IG, the Director, and the ATSD (IO), as appropriate.
b. Training. GC develops and delivers the necessary training vehicle to ensure initial and annual refresher training for all employees. IOOs ensure personnel attend either annual group employee training or individual employee training. IOOs forward a record of training completion to GC as required.
c. Program status updates. In coordination with IG, GC reports quarterly to the ATSD (IO) and the Director on general performance of the Agency in intelligence oversight.
UNCLASSIFIED
NI 8900.4, 7 September 1999