U.S. Department of Homeland Security
United States Coast Guard
Coast Guard Intelligence
Oversight Manual
COMDTINST M3821.14A
April 2021
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NON-STANDARD DISTRIBUTION:
Commandant U.S. Coast Guard Stop 7301
United States Coast Guard 2703 Martin Luther King JR. Ave SE
Washington, DC 20593-7301
Staff Symbol: CG-094
Phone: (202) 372-2700
COMDTINST M3821.14A
12 APR 2021
COMMANDANT INSTRUCTION M3821.14A
Subj: COAST GUARD INTELLIGENCE OVERSIGHT
Ref: (a) Executive Order 12333, “United States Intelligence Activities,” December 4, 1981,
as amended
(b) Executive Order 13462, “President’s Intelligence Advisory Board and Intelligence
Oversight Board,” February 29, 2008, as amended
(c) Executive Order 13286, “Amendment of Executive Orders, and Other Actions, in
Connection With the Transfer of Certain Functions to the Secretary of Homeland
Security,” February 28, 2003
(d) Chairman, Intelligence Oversight Board memo of 27 May 2015, Subj: Intelligence
Oversight Board’s Concept of Operations
(e) Coast Guard Intelligence Activities, COMDTINST M3820.12 (series)
(f) Coast Guard Intelligence Manual (CGIM), COMDTINST M3800.6 (series)
(g) National Security Act of 1947, as amended (50 U.S.C. 3021 et seq.)
(h) Secretary of Homeland Security memo of 29 Sep 2008, Subj: Executive Order
13462: President’s Intelligence Advisory Board and Intelligence Oversight Board
Section 8(b)(ii)
(i) Intelligence Community Directive 112, Congressional Notification, 29 Jun 2017
(j) Assistant Commandant for Intelligence and Criminal Investigations memo of 19
Feb 2010, Subj: Policy Update – Reports to Executive and Legislative Branches
Re: Intelligence Oversight and Significant Activities
(k) Intelligence Community Directive 120, Intelligence Community Whistleblower
Protection, 29 April 2016
(l) Presidential Policy Directive (PPD)-19, Protecting Whistleblowers with Access to
Classified Information, 10 Oct 2012
(m) U.S Coast Guard Maritime Law Enforcement Manual (MLEM), COMDTINST
M16247.1 (series)
(n) Intelligence Community Directive 107, Civil Liberties, Privacy, and Transparency
(o) Administrative Investigations Manual, COMDTINST M5830.1 (series)
COMDTINST M3821.14A
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(p) Coast Guard Implementation of Presidential Policy Directive/PPD-28 – Policies
and Procedures, COMDTINST M3820.5 (series)
1. PURPOSE. Intelligence oversight is a term of art that is separate and distinct from programmatic
oversight. Programmatic oversight of both the Coast Guard’s National Intelligence Element (NIE)
and the Law Enforcement Intelligence Element (LEIE) is discussed in Reference (f) and other
applicable directives. This Manual establishes policies and procedures for the oversight of Coast
Guard intelligence activities and implements procedures for the conduct of intelligence oversight
as described in References (a) - (p). Specifically, this Manual:
a. Establishes policies, assigns responsibilities, and provides procedures for employee conduct
and identifying, investigating, and reporting questionable intelligence activities (QIAs) and
Significant or Highly Sensitive Matters (S/HSMs);
b. Establishes policies, assigns responsibilities, and identifies procedures for inspections (ad
hoc, informal, and formal), and program reviews; and
c. Prescribes the intelligence oversight responsibilities and functions, relationships, and
authorities of Coast Guard Intelligence Oversight Officials (IOOs), Coast Guard intelligence
element Commanders and Directors, and the Judge Advocate General (CG-094).
2. ACTION. All Coast Guard unit commanders, commanding officers, officers-in-charge,
Assistant Commandants, and Chiefs of headquarters staff elements will comply with the
provisions of this Manual. Internet release is authorized.
3. DIRECTIVES AFFECTED. The Oversight of Coast Guard Intelligence Activities,
COMDTINST 3821.14 is hereby cancelled. This Manual shall be read to align with References (a)
– (f). In any situation where there is a conflict, follow the provisions of References (a) – (f).
4. DISCUSSION. The Coast Guard Intelligence Program consists of two parts: the NIE and the
LEIE.
a. The NIE is part of the Intelligence Community (IC) and conducts “intelligence activities” as
described in References (a) and (d). Reference (c) designates the Commandant and the
Assistant Commandant for Intelligence (CG-2) as the Head of the Intelligence Community
(HICE) for the NIE.
b. The LEIE conducts collection, retention, and dissemination of information pursuant to Coast
Guard law enforcement and regulatory authority. Chapter 1, Paragraph A.4. of this Manual
discusses the narrow circumstances in which this Manual applies to members of the LEIE.
5. DISCLAIMER. This Manual is not a substitute for applicable legal requirements, nor is it itself a
rule. It is intended to provide operational guidance for Coast Guard personnel and is not intended,
nor does it impose, legally binding requirements on any party outside of the Coast Guard.
NOTE: Intelligence Community (IC) Inspectors General. Nothing in this Manual should be
construed as impinging upon the authorities or independence of the Inspector General of the
Department of Homeland Security (DHS IG), Intelligence Community Inspector General (ICIG),
or any other statutory IG, as provided by Title 5, U.S.C. Appendix, as amended, also known as (and
referred to
COMDTINST M3821.14A
3
in this issuance) as “the Inspector General Act of 1978.” This Manual tasks NIE Component
Commanders or Directors with oversight reporting to the Judge Advocate General (CG-094)
which, through assigned legal advisors, also conducts intelligence oversight inspections, and in
some cases, intelligence oversight investigations. While DHS IG, ICIG, and other IGs associated
with the IC may have designated intelligence oversight roles and may assist the Judge Advocate
General (CG-094) with NIE or joint IC investigations, they are not required to do so.
6. MAJOR CHANGES. Major changes in this update include: Requiring supervisors of NIE
Components without an assigned Legal Advisor to nominate an IOO for Judge Advocate General
(CG-094) approval; providing an explanation of Intelligence Community Directive (ICD) 120; and
providing implementing guidance for the requirements of ICD 120 in Enclosure (4) of this Manual.
7. IMPACT ASSESSMENT. This task will require NIE Components without an assigned Legal
Advisor to nominate an IOO for the Judge Advocate General (CG-094) approval. The IOO will
assist (in coordination with a legal advisor within the Office of Information and Intelligence Law
(CG-LII)) the NIE Component in the administration of intelligence oversight by monitoring the
accomplishment of the unit Intelligence Oversight responsibilities.
a. The Office of Information and Intelligence Law (CG-LII) will provide training for the IOO.
b. No additional funding will be required for this task.
8. ENVIRONMENTAL ASPECT AND IMPACT CONSIDERATIONS.
a. The development of this Manual and the general policies contained within it have been
thoroughly reviewed by the originating office in conjunction with the Office of Environmental
Management, Commandant (CG-47). This Manual is categorically excluded under current
Department of Homeland Security (DHS) categorical exclusion DHS (CATEX) A3 from
further environmental analysis, in accordance with the U.S. Coast Guard Environmental
Planning Policy, COMDTINST 5090.1 and the Environmental Planning (EP) Implementing
Procedures (IP).
b. This Manual will not have any of the following: significant cumulative impacts on the
human environment; substantial controversy or substantial change to existing
environmental conditions; or inconsistencies with any Federal, State, or local laws or
administrative determinations relating to the environment. All future specific actions
resulting from the general policies in this Manual must be individually evaluated for
compliance with the National Environmental Policy Act (NEPA) and Environmental
Effects Abroad of Major Federal Actions, Executive Order 12114, Department of
Homeland Security (DHS) NEPA policy, Coast Guard Environmental Planning Policy,
and compliance with all other environmental mandates.
9. DISTRIBUTION. No paper distribution will be made of this Manual. An electronic version
will be located on the following Commandant (CG-612) web sites. Internet:
https://www.dcms.uscg.mil/directives/ and CGPortal:
https://cgportal.uscg.mil/library/directives/SitePages/Home.aspx.
COMDTINST M3821.14A
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10. RECORDS MANAGEMENT CONSIDERATIONS. This Manual has been thoroughly reviewed
during the directives clearance process, and determined there are no further records scheduling
requirements in accordance with the Federal Records Act, 44 U.S.C. 3101 et seq., and 36 CFR
Chapter XII, Subchapter B. This policy does not have any significant or substantial change to
existing NARA records management requirements.
11. INTERNAL GUIDANCE. This issuance is published solely for internal Coast Guard
guidance. It is not intended to, does not, and may not be relied on to create any rights,
substantive or procedural, enforceable at law or in equity, by any party against the United
States, its departments, agencies, or entities, its officers, employees, or agents, or any other
person, nor does it place any limitation on otherwise lawful investigative and legal
prerogatives of the United States.
12. FORMS/REPORTS. None.
13. REQUEST FOR CHANGES. Units and individuals may recommend changes via the chain of
command to: HQS-DG-LST-CG-LI[email protected]. All changes to this Manual will be coordinated
by the Judge Advocate General (CG-094).
/ME
LISSA BERT/
Rear Admiral, U.S. Coast Guard
Judge Advocate General
COMDTINST M3821.14A
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RECORD OF CHANGES
CHANGE NUMBER DATE OF CHANGE DATE ENTERD ENTERED BY
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COMDTINST M3821.14A
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TABLE OF CONTENTS
CHAPTER 1. GENERAL ISSUANCE INFORMATION ................................................ 1-1
A. Applicability .......................................................................................................................... 1-1
B. Policy ..................................................................................................................................... 1-2
CHAPTER 2. RESPONSIBILITIES ................................................................................. 2-1
A. Introductory Paragraph ……………………………………………………………………..2-1
B. Judge Advocate General of the Coast Guard (CG-094) ........................................................ 2-1
C. Assistant Commandant for Intelligence (CG-2) .................................................................... 2-3
D. Office of Information and Intelligence Law (CG-LII) .......................................................... 2-3
E. Legal Advisors/IOO’s ............................................................................................................ 2-4
F. NIE Component Commanding Officers or Directors ............................................................ 2-4
CHAPTER 3. AUTHORITIES AND RELATIONSHIPS ......................................................... 3-1
A. Judge Advocate General of the Coast Guard (CG-094) ..................................................................... 3-1
CHAPTER 4. INTELLIGENCE OVERSIGHT PROCEDURES ........................................... 4-1
A. Intelligence Oversight .......................................................................................................................... 4-1
B. Identification, Reporting, and Investigation of Questionable Intelligence Activities ....................... 4-1
C. Reporting Parameters ............................................................................................................................ 4-2
D. Investigation .......................................................................................................................................... 4-2
E. Reporting Requirements ....................................................................................................................... 4-3
F. Reporting Timelines .............................................................................................................................. 4-6
G. Quarterly Reporting Format ................................................................................................................. 4-7
H. Intelligence Oversight Inspections ....................................................................................................... 4-8
I. Criteria and Details for Inspection Reports ......................................................................................... 4-9
J. ICD 120/Whistleblower Protections .................................................................................................. 4-10
CHAPTER 5. OVERSIGHT TRAINING FOR THE NIE AND OTHER PERSONNEL
COVERED BY CHAPTER 1, PARAGRAPH A OF THIS MANUAL ........................................ 5-1
A. Intelligence Oversight Training for Covered Personnel ..................................................................... 5-1
APPENDIX A. LIST OF ACRONYMS ............................................................................................ A-1
APPENDIX B. GLOSSARY ............................................................................................................... B-1
ENCLOSURE 1: Quarterly Intelligence Oversight Inspection Report...........................................1
ENCLOSURE 2: Formal Intelligence Oversight Inspection Report……………………………1
ENCLOSURE 3: Intelligence Oversight Assessment/Inspection Guide and Checklists……........1
COMDTINST M3821.14A
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ENCLOSURE 4: Enclosure to Coast Guard Intelligence Oversight, COMDTINST M3821.14A:
U.S Coast Guard Implementation of Intelligence Community Directive 120
Review Procedures ……………………………………………………………. 1
COMDTINST M3821.14A
1-1
CHAPTER 1: GENERAL ISSUANCE INFORMATION
A. Applicability.
1. This Manual applies to the NIE. The NIE consists of only (i) those members in billets
designated for national intelligence by the Assistant Commandant for Intelligence (CG-2)
and (ii) Coast Guard components with these members assigned (NIE Components). As IC
resources, the NIE must comply with the standards, direction, and guidelines of the IC as
established under References (a) and (g), and are subject to References (e), (f), and this
Manual.
1
2. This Manual applies to members in billets funded by National Intelligence Program (NIP)
funds. Billets funded with NIP funds are subject to intelligence oversight requirements.
3. Provisions of this Manual may also apply to any other U.S. Government or government
contractor personnel acting at the direction or on behalf of a member of the NIE under
authority of References (a), (e), and (f).
4. Portions of this Manual also apply to the Law Enforcement Intelligence Element (LEIE)
or any other Coast Guard Personnel to the extent those personnel:
a. Engage in activities that use intelligence sources and methods and are responsive to
national intelligence requirements (e.g., open source intelligence collection (OSINT)).
b. Engage in activities that rely in whole or in part on NIE funds or resources.
c. Engage in activities that rely exclusively on NIE legal authority to execute.
5. Nothing in this Manual will be construed to preclude, supersede, or limit the existing
authorities and policies governing the reporting of criminal or counterintelligence matters
to the Coast Guard Investigative Service (CGIS), the Coast Guard Counterintelligence
Service (CGCIS), or any other federal law enforcement or counterintelligence entity.
6. This Manual does not apply to the following:
a. Any other Coast Guard organizational entity including those tasked with law
enforcement, investigations, compliance, or other activity associated with the major
1
Paragraphs 1.1.(b) and (c) of Reference (a) provide that “(b) All means, consistent with applicable United States
law and this Order, and with full consideration of the rights of United States persons, shall be used to develop
intelligence information for the President and the National Security Council. A balanced approach between technical
collection efforts and other means should be maintained and encouraged. (c) Special emphasis should be given to
detecting and countering espionage and other threats and activities directed by foreign intelligence services against
the United States Government, or United States corporations, establishments, or persons.” With this language, the
President of the United States expanded the execution requirements under the National Intelligence Priorities
Framework for the purposes of intelligence collection and oversight to include NIE Components.
COMDTINST M3821.14A
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operational mission programs codified in the Homeland Security Act of 2002
2
and
not with national intelligence responsibilities;
b. CGIS, except as provided in Paragraph 1.A.4 above.
B. Policy.
1. Intelligence oversight requires ongoing and independent oversight of national intelligence and
national intelligence-related activities.
3
2. Appropriate senior leaders and policymakers within the Executive Branch and congressional
intelligence committees must be notified of events that may erode public trust in the conduct of
Coast Guard national intelligence activities.
3. In addition to applicable Executive Orders, the following officials issue intelligence oversight
policy and guidance applicable to the NIE Components and the Judge Advocate General (CG-
094): Director of National Intelligence (DNI), the President’s Intelligence Oversight Board
(IOB), and the Department of Homeland Security (DHS)/Office of the General Counsel
(OGC).
4. Coast Guard intelligence oversight is conducted through five activities: (1) Training; (2)
Inspections; (3) Identification, Reporting, and Investigation of Questionable Activities;
(4) Periodic Reports; and (5) Executive and Congressional notifications.
5. An activity or conduct that qualifies as either a Questionable Intelligence Activity (QIA) or
Significant or Highly Sensitive Matters (S/HSMs) is reportable immediately to the Judge
Advocate General (CG-094). Use the reporting sequence provided in Chapter 4 of this
Manual. Do not wait for substantiation, completion of an investigation, formal adjudication, or
final resolution of the issue.
6. QIAs or S/HSMs reportable to the Judge Advocate General (CG-094) are not limited to those
that concern U.S. persons.
7. The legal advisor assigned to NIE Components acts as the IOO for the Component. NIE
Components or commands without a legal advisor that conduct national intelligence or national
intelligence-related activities will nominate an IOO to be designated by the Judge Advocate
General (CG-094) in accordance with Chapter 2.A.3 of this Manual.
2
6 U.S.C. 468
3
Memorandum dated 11 Sep 2015 from the Assistant Commandant for Intelligence (CG-2), Subj: National
Intelligence Program (NIP) Funding Uses, recognizes that unlike "intelligence," "intelligence-related activities" is not
defined in the National Security Act of 1947 or in any other statutory or case law. It also has not been defined by the
President or in Coast Guard policy. One member of the Executive Branch, the Department of Defense (DoD),
defines ‘intelligence related activities’ as: those activities outside the consolidated defense intelligence program that:
respond to operational commanders' tasking for time sensitive information on foreign entities; respond to national
intelligence community tasking of systems whose primary mission is support to operating forces; train personnel for
intelligence duties; provide an intelligence reserve; or are devoted to research and development of intelligence or
related activities.” citing (U) Dept. Of Defense, Joint Publication 2-01, Joint and National Intelligence Support to
Military Operations, GL-12 (2012)). The memo also notes that intelligence training and Coast Guard intelligence reserve
billets could be characterized as intelligence-related activities.
COMDTINST M3821.14A
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CHAPTER 2. RESPONSIBILITIES
A. The Judge Advocate General (CG-094) and Assistant Commandant for Intelligence (CG-2) share
oversight responsibilities. The Judge Advocate General (CG-094) is primarily responsible for
Executive Branch reporting, while the Assistant Commandant for Intelligence (CG-2), as Head of
the Intelligence Community Element (HICE), is responsible for Congressional Committee
reporting.
B. Judge Advocate General of the Coast Guard (CG-094). Under the authority, policy, and direction
of DNI, the IOB, and DHS/OGC, the Judge Advocate General (CG-094):
1. Conducts independent and unbiased oversight of the NIE, its national intelligence mission, and
its national-intelligence-related activities. In this capacity, the Judge Advocate General (CG-
094) inspects all national intelligence and national intelligence-related activities conducted by
the NIE and other personnel described in Chapter 1, Paragraph A of this Manual to ensure that
these activities comply with federal law, Executive Orders (EO), Presidential Directives, ICDs,
and other applicable policies.
2. Develops intelligence oversight policy and, through the Office of Intelligence and Information
Law (CG-LII) issues guidance to the NIE Components implementing intelligence oversight
aspects of References (a) and (b).
3. Must designate in writing an IOO for each NIE Component to ensure compliance with
References (a) - (l), (n), and this Manual. The IOO must have intelligence oversight as a
primary duty but may be assigned other primary or collateral duties. The IOO must regularly
communicate directly with the Office of Information and Intelligence Law (CG-LII) to ensure
the proper conduct of oversight functions. The Judge Advocate General (CG-094) will verify
the IOO has the skills, training, access and awareness to carry out that assignment prior to
appointing that individual.
4. In consultation with the Assistant Commandant for Intelligence (CG-2) and the NIE
Component, reviews any allegation questioning the legality or propriety of Coast Guard
national intelligence and national intelligence-related activities, or where a reasonable person
would believe that a national intelligence or national intelligence-related activity might be
contrary to federal law, EOs, Presidential Directives, ICDs, and other applicable policies.
5. Monitors and has the first right-of-refusal to conduct administrative investigations into national
intelligence and national intelligence-related activities and inspections of NIE Components;
evaluates the findings; and, if appropriate, recommends corrective action to Assistant
Commandant for Intelligence (CG-2) and the NIE Component concerned. In the event the
Judge Advocate General (CG-094) defers to the NIE Component concerned to conduct an
administrative investigation, that Component will evaluate the findings; and, if appropriate,
recommend corrective action.
6. May conduct independent administrative investigations of alleged violations of law, orders,
regulations, Directives, or policies as they relate to national intelligence or national intelligence-
related activities. The Judge Advocate General (CG-094) will coordinate with CGIS (and/or
CGCIS when there is a counterintelligence nexus) when conducting any administrative
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investigation that either:
a. Initially involves an allegation of potential criminal misconduct; or
b. Once commenced, uncovers evidence of potential criminal misconduct.
7. Receives, reviews, and assesses intelligence oversight reports from the NIE Components and
determines what action is required, including the fulfillment of reporting requirements.
8. The Judge Advocate General (CG-094) is the Coast Guard Senior Intelligence Oversight
Official (SIOO). In this capacity, the Judge Advocate General (CG-094) is the senior official
for (1) all matters associated with reports to the IOB required by References (b) and (i) (via
DHS/OGC, or directly, if so designated by DHS) and (2) for addressing IOB inquiries received
by Commandant (CG-2) or any NIE Component. Accordingly, the Judge Advocate General
(CG-094), in coordination as necessary with other IC member intelligence oversight entities,
will:
a. Report immediately any S/HSMs involving any NIE Component. The Judge Advocate
General (CG-094) will not delay reporting to DHS/OGC or the IOB any S/HSM pending
completion of an investigation, command inquiry, congressional reporting, or legal
proceeding.
b. At the end of each quarter, report any QIA, S/HSM, or intelligence oversight issues
reported within the quarter, including those reported previously that remain unresolved.
9. Assess and evaluate the effectiveness of NIE national intelligence and national intelligence-
related activities at the request of NIE senior leadership. Conduct staff assistance visits at the
request of NIE Components. Provide reports on areas of special interest to the requesting
official, the NIE Component head, and DHS/OGC.
10. Have access and authority to review, any financial audit of all funds generated by NIE
Component commercial activities, if any. Review and audit any funds expended by NIE
Components.
11. Review NIE Component support provided to the other Coast Guard organizational entities and
other U.S. Government federal departments and agencies, pursuant to Procedure 12 of
Reference (e), to ensure compliance with Coast Guard intelligence oversight policy.
12. Coordinate with DHS/OGC on other matters relating to intelligence oversight.
13. Provide feedback to the NIE Components regarding intelligence oversight trends and common
concerns.
14. Facilitate intelligence oversight training to NIE Components, LEIE personnel engaged in
national intelligence-related activities Referenced in Chapter 1, Paragraph A.4. of this Manual,
and upon request, to NIE personnel detailed to organizations outside the Coast Guard.
15. Inform the Coast Guard and/or the DHS Chief Privacy Officer, and the NIE Component
concerned when, in the course of carrying out the responsibilities in this issuance, privacy or
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civil liberties issues are identified.
4
C. Assistant Commandant for Intelligence (CG-2):
1. Promptly informs the Judge Advocate General (CG-094), as the SIOO, of potential areas of
concern requiring the Judge Advocate General (CG-094) attention, pursuant to the
responsibilities and functions prescribed in this Manual.
2. Provides subject-matter expertise, as required, to support the Judge Advocate General (CG-
094)/SIOO reporting, inspection, and investigative activities.
3. Receives and acts on substantive recommended actions associated with intelligence oversight
inspection reports.
4. Mandates training requirements for the NIE and other personnel described in paragraph 1.A of
this manual.
5. Makes the final determination that a reported S/HSM rises to the threshold described in
Reference (i) warranting reporting to congressional intelligence committees. Within 14 days of
final determination, written notification must be provided to congressional intelligence
committees containing:
a. A concise statement of the pertinent facts;
b. An explanation of the significance of the intelligence activity; and
c. The role of all departments and agencies involved in the intelligence activity.
D. Chief, Office of Information and Intelligence Law (CG-LII). Subject to Judge Advocate General
(CG-094) supervision:
1. As the Judge Advocate General (CG-094) representative, in coordination with the Office of
Intelligence Plans and Policy (CG-25) and with guidance from the Judge Advocate General
(CG-094), manages oversight and compliance with Coast Guard national intelligence policy for
all NIE Components and Coast Guard national intelligence activities.
2. Recommends mandated oversight training requirements for the NIE and other personnel
described in Chapter 1, Paragraph A of this manual. Certifies IOOs as intelligence oversight
trainers.
3. Appoints the inspectors for formal intelligence oversight inspections.
4. Verifies NIE Component nominees for the IOO position possess the skills, training, access, and
awareness to carry out that assignment.
4
Intelligence Community Directive 107, Civil Liberties, Privacy and Transparency establishes IC policy for
protecting civil liberties and privacy of U.S. persons. Civil liberties and privacy are inalienable rights guaranteed by
the U.S. Constitution (i.e., right to free speech, right to peacefully assemble, right to association, right to privacy,
right to be free from unreasonable searches, right to travel, etc.). Reference (f) prohibits reporting intelligence
information that solely describes activities protected by the U.S. Constitution.
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5. Schedules and conducts formal intelligence oversight inspections. If applicable, advises
Commandant (CG-2) of any substantive recommended actions.
E. Legal Advisors/IOO’s. Subject to Commandant’s (CG-LII) review:
1. Provide timely and accurate information to the Judge Advocate General (CG-094) on reports,
investigations, and corrective actions related to QIAs and S/HSMs.
2. Prepare and review quarterly intelligence oversight reports before the NIE Component
Commanding Officer or Director submits them to the Judge Advocate General (CG-094) thru
Commandant (CG-LII).
3. Coordinate with the Judge Advocate General (CG-094) on the issuance of local intelligence
oversight guidance to NIE Components.
4. Consult with the Judge Advocate General (CG-094) regarding any allegation questioning the
legality or propriety of NIE national intelligence and Coast Guard national intelligence-related
activities, or where a reasonable person would believe that the national intelligence or national
intelligence-related activity may be contrary to federal law, EOs, Presidential Directives, ICDs,
or other applicable policies.
5. Provide advice to the Judge Advocate General (CG-094) regarding the resolution of any
disagreement by an NIE Component pertaining to investigative authority or jurisdiction for
intelligence oversight investigations.
6. Review the results of all QIA and S/HSM investigations before the incident is closed and report
it in the NIE quarterly intelligence oversight report.
7. Provide and document mandated intelligence oversight training.
8. In coordination with Commandant (CG-2), ensure timely reporting to Congress and the public
on civil liberties, privacy, or transparency matters as may be required by federal laws, EOs,
Presidential Directives, Reference (i), or as otherwise requested by the Office of the Director of
National Intelligence (ODNI).
9. Provide guidance to NIE Components on proper implementation of federal law, EOs,
Presidential Directives, ICDs, and other applicable policies.
10. Facilitate reporting of potential QIAs.
11. If applicable, review intelligence products prepared by NIE Components for compliance with
intelligence oversight requirements prior to publication to the Intelligence Community.
12. Review requests by NIE personnel assigned to NIE Components (as opposed to intelligence
organizations outside the Coast Guard) for use of special collection techniques (i.e., Procedures
5 - 10 of Reference (e)).
F. NIE Component Commanding Officers or Directors. The NIE Components conducting national
intelligence or national intelligence-related activities will:
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1. Develop intelligence oversight implementation guidance in coordination with the legal
advisor/IOO.
2. Periodically review component-produced intelligence products for compliance with
intelligence oversight requirements in coordination with the legal advisor/IOO.
3. Administer, through the legal advisor/IOO, an intelligence oversight training program that is
tailored to mission requirements and provides initial and annual refresher intelligence oversight
training to all NIE personnel. Determine whether intelligence oversight training should be
required for non-NIE personnel of the NIE Component. At a minimum, intelligence oversight
training will include:
a. Familiarizing personnel with the authorities and restrictions established in References (a),
(e), applicable ICDs, and other policies governing applicable intelligence activities; and
b. Reporting responsibilities of NIE personnel and government contractor personnel
executing NIE contracts concerning possible QIAs and S/HSMs mandated in Chapter 4 of
this Manual and the protections outlined in Reference (k).
c. A dedicated process to provide the legal advisor/IOO, on a regular basis (sufficient to meet
intelligence oversight training requirements), a written summary of new and departing
personnel and reporting/departing dates.
4. In accordance with the procedures in Chapter 4 of this Manual, conduct periodic
comprehensive reviews of all national intelligence and national intelligence-related activities
under their authority, direction, and control to verify compliance with federal law, EOs,
Presidential Directives, ICDs, and other applicable policies; report significant findings to the
Judge Advocate General (CG-094) thru Commandant (CG-LII).
5. Report and investigate QIAs and S/HSMs in accordance with the procedures in Chapter 4 of
this Manual. Reporting will not be delayed or postponed pending an investigation, command
inquiry, or legal proceeding.
6. In accordance with References (k) and (l), take no adverse action against any personnel and or
contractor personnel because they intend to report, are reporting, or reported what they
reasonably believe is a QIA or S/HSM.
7. Provide the NIE Component legal advisor/IOO, Commandant (CG-LII), the Judge Advocate
General (CG-094), and any IG of competent jurisdiction with access to any employee(s) and to
all information necessary to perform their oversight responsibilities, including information
protected by special access programs, alternative compensatory control measures, or other
security compartmentalization.
8. If no legal advisor is assigned to the NIE Component, nominate an IOO who: (1) is of
appropriate grade and intelligence experience commensurate with his or her oversight
responsibilities; (2) who has access to all Component national intelligence and national
intelligence-related activities (including those protected by special access programs, alternative
compensatory control measures, and other security compartments); and (3) who has direct
access to the NIE Component to report on intelligence oversight compliance. The IOO assists,
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in coordination with a Commandant (CG-LII) legal advisor, the NIE Component in the
administration of intelligence oversight by monitoring the accomplishment of the
responsibilities in this Chapter.
9. In consultation with the legal advisor/IOO, prepare an annual report to be furnished to
congressional intelligence committees certifying compliance or asserting non-compliance with
all application laws, EOs, directives, policies, and rules to satisfy the requirements of Section
3107 of Reference (g).
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CHAPTER 3: AUTHORITIES AND RELATIONSHIPS
Judge Advocate General of the Coast Guard (CG-094):
A. Pursuant to References (b), (e), and (h), the Judge Advocate General (CG-094) has complete and
unrestricted access to all information concerning NIE Component, national intelligence and
national intelligence-related activities regardless of classification or compartmentalization. This
includes national intelligence special access programs, from all NIE Components and personnel, in
carrying out assigned responsibilities and functions to ensure compliance with the provisions of
Reference (a). If applicable, access to information in IG files must be in accordance with the
Inspector General Act of 1978.
5
Access to classified information must be in accordance with the
requirements of applicable security policy. TJAG’s authority includes, but is not limited to:
1. Require responsible investigative officials of an NIE Component to report QIAs; S/HSMs;
allegations of improper or illegal national intelligence and national intelligence-related
activities by, or within, a NIE Component; or allegations regarding a national intelligence or
national intelligence-related activity that a reasonable person would believe may be contrary to
a federal law, EO, Presidential Directive, ICD, or NIE issuance.
2. Obtain information on the status, proceedings, and findings of NIE Component investigations
of national intelligence and intelligence-related activities.
B. Communicates immediately and directly with DHS/OGC and/or DNI OGC as circumstances
require. Communicates directly with Commandant (CG-2) as necessary, to carry out assigned
responsibilities and functions, and with NIE Component personnel through NIE Component legal
advisors who provide advice and counsel to their NIE Component.
C. Communicates, pursuant to DNI and DHS policy, with the IOB, the DNI OGC, and other
Executive Branch and Legislative Branch officials and representatives in carrying out assigned
responsibilities and functions. Ordinarily, communications with representatives of the Legislative
Branch will be coordinated through Commandant (CG-2), Intelligence Strategy and Engagement
Staff (CG-2X).
5
(Pub. L. 95–452, §1, Oct. 12, 1978, 92 Stat. 1101.)
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CHAPTER 4: INTELLIGENCE OVERSIGHT PROCEDURES
This Chapter provides the procedures by which the Judge Advocate General (CG-094), Commandant
(CG-LII) legal advisors, and NIE Components, administer the intelligence oversight program.
A. Intelligence Oversight.
1. Intelligence Oversight Program. The purpose of intelligence oversight is to ensure that all
intelligence activities are conducted in compliance with applicable U.S. law and IC policy.
Likewise, the primary objective of the Coast Guard Intelligence Oversight program is to ensure
that intelligence activities conducted by NIE Components and personnel comply with
mandated procedures and other applicable laws and directives, and do not infringe upon or
violate the rights of U.S. Persons. While oversight is primarily concerned with the rights of
U.S. Persons, the oversight program and this Manual apply to all Coast Guard intelligence
activities, whether they involve U.S. Persons or not.
6
The intelligence oversight program is
made up of five functional areas:
a. Identification, Reporting, and Investigation of Questionable Activities;
b. Congressional notifications;
c. Periodic Reports;
d. Inspections; and
e. Training.
B. Identification, Reporting, and Investigation of Questionable Intelligence Activities.
1. NIE personnel must immediately report any QIA or S/HSM they suspect to their chain of
command or supervisor. If it is not practical to report a QIA or S/HSM to the chain of
command or supervisor, reports may be made to the NIE Component legal advisor/IOO,
Commandant (CG-LII), the Judge Advocate General (CG-094), DHS/OGC, or the IC
Inspector General (IG).
2. NIE Component legal advisors/IOOs will act on behalf of the Judge Advocate General (CG-
094) and informally survey and inspect their respective Components to determine whether such
Components are involved in any QIA or S/HSM, or conduct intelligence or CI activities
without an assigned mission to do so. If a survey or inspection uncovers a potential QIA or
S/HSM or a potential unauthorized mission activity, the matter will be reported and
investigated in accordance with Chapters 4.B through 4.E of this Manual.
3. NIE Component legal advisors/IOOs will ensure personnel are effectively trained on
identifying a QIA or S/HSM and consistently comply with their intelligence oversight
6
References (a), (e), and (f) restrict the ability of NIE Components and personnel to collect and disseminate
information on U.S. Persons. For instance, Reference (e) imposes minimization requirements on Coast Guard NIE.
This limitation does not apply to LEIE personnel. However, both elements are required to conduct their activities in
a manner that does not violate or encroach upon the constitutional rights of U.S. Persons.
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responsibilities.
4. NIE Components responsible for drafting the performance requirements (i.e., statement of
work) for any contract under which contractor personnel will be conducting national
intelligence or national intelligence-related activities or funding contracts under NIE
authorities, will ensure that the contract requires contractor personnel to report any QIA or
S/HSM to appropriate government officials identified in the contract.
C. Reporting Parameters.
1. NIE Components will report the following matters to the Judge Advocate General (CG-094)
through their assigned IOO thru Commandant (CG-LII):
a. QIAs;
b. S/HSMs;
c. Any Coast Guard national intelligence or national intelligence-related activity that must be
reported to the U.S. Attorney General as required by law or other directive, including
possible violations of federal criminal laws by employees and specific federal criminal laws
by any other person as provided in procedures agreed upon by the Attorney General and
the DHS/OGC;
d. Violations of Reference (k);
e. Violations of Reference (n); and/or
f. Activities of Privacy and Civil Liberties Officers and/or such other civil liberties, privacy,
or transparency matters as required by federal laws, EOs, Presidential Directives, Reference
(i), or as otherwise requested by the Office of the Director of National Intelligence.
2. NIE Components will provide an email notification (unclassified, if possible) to the Judge
Advocate General (CG-094), Commandant (CG-2), and Commandant (CG-LII), with a copy to
Congressional & Governmental Affairs (CG-092), and Commandant (CG-2X) before
providing briefings to any congressional committee, member of Congress, or congressional
staff concerning national intelligence or national intelligence-related matters that meet the
reporting criteria for QIAs, S/HSMs, or possible violations of federal criminal laws by
employees and of specific federal criminal laws by any other person reported to the U.S.
Attorney General. Email notification should include details concerning expected attendees and
circumstances, purpose, and general nature of the briefing.
D. Investigation.
1. Each report of a QIA or S/HSM will be investigated to the extent necessary to determine the
facts and to assess whether the activity is legal and consistent with applicable policies.
Investigations will be convened as a Standard Investigation by the Component’s Commanding
Officer or Director and will be conducted in accordance with Reference (o). Investigations will
require a written report that includes a description of the incident and a determination of
whether the allegation was substantiated. Investigating officers will write the report in
investigative report format in accordance with Reference (o). The report will include findings
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of fact, opinions (to include an assessment of the cause), and recommendations (to include
recommended remedial action to prevent recurrence). Written reports are to be provided to
Commandant (CG-LII) upon finalization, which will provide the Judge Advocate General
(CG-094) with the report upon receipt.
2. All QIAs and S/HSMs will be referred to the corresponding NIE Component or the Judge
Advocate General (CG-094) for further investigation or other action under an appropriate
authority. All QIAs and S/HSMs referred to a NIE Component will be reviewed by the
corresponding NIE Component designated IOO to determine whether the activity is legal and
consistent with applicable policy. If the IOO is not also a legal advisor, the IOO should consult
the legal advisor named in the investigation convening order. Additionally, if the IOO with the
guidance of the legal advisor, determines that the activity may constitute a crime or indicate a
person may be acting for or on behalf of a foreign intelligence entity, the IOO must also report
the activity to the CGIS and/or the CGCIS in accordance with Coast Guard Investigative Roles
and Responsibilities, COMDTINST 5520.5F; Coast Guard Counterintelligence Program,
COMDTINST 3850.1; and Reference (f) as the circumstances dictate. The IOO should also
refer to Coast Guard Sensitive Compartmented Information Security Administration Manual,
CIM 5500.27, and follow appropriate notification procedures of actual or potential
security violations, compromises, or instances of unauthorized disclosure, or exposure of
SCI.
3. All QIAs and S/HSMs or other such incidents revealing the possible disclosure or potential
disclosure of classified information in an unauthorized manner to a foreign power or an agent
of a foreign power must be immediately reported to the Federal Bureau of Investigations (FBI),
in accordance with Section 811 of the Intelligence Authorization Act. The FBI will be
consulted with respect to all subsequent actions taken to determine the source of such loss or
comprise and will be given complete and timely access to all employees and records necessary
for purposes of investigative activities.
7
CGCIS bears the responsibility for ensuring timely
reporting to the FBI.
4. Investigations will be conducted in accordance with Reference (o). Officials responsible for
these investigations may obtain assistance from within the NIE Component concerned or from
other NIE Components to complete such investigations in a timely manner. Any disagreement
between NIE Components concerning investigative authority or jurisdiction will be raised
immediately to the Judge Advocate General (CG-094) for resolution.
5. Before closing an incident in an NIE quarterly intelligence oversight report, the Judge
Advocate General (CG-094) will review the results of all QIA and S/HSM investigations to
assess independently the effectiveness of the investigation in identifying the cause and
recommending action to prevent recurrence. Based on this review, The Judge Advocate
General (CG-094) may require that the investigating authority consider additional factors or
provide additional information. The Judge Advocate General (CG-094) may also initiate an
independent investigation.
E. Reporting Requirements.
7
50 U.S.C 3381(e) (Coordination of Counterintelligence Matters with Federal Bureau of Investigation)
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1. The Judge Advocate General (CG-094) is the Coast Guard senior official for all matters
associated with reports to the IOB IAW reference (e). As such, the Judge Advocate General
(CG-094) is responsible for the preparation of the quarterly intelligence oversight reports
submitted to the President’s Intelligence Oversight Board (PIOB) through DHS/OGC. These
reports are prepared by Commandant (CG-LII) and describes significant CG intelligence
oversight activities. The Judge Advocate General (CG-094) also responds to any requests from
the PIOB concerning CG intelligence.
2. References (i) and (j) require NIE Components, thru Commandant (CG-2), to keep the
congressional intelligence committees (i.e., House Permanent Select Committee on Intelligence
(HPSCI) and Senate Select Committee on Intelligence (SSCI)) and the Office of the Director of
National Intelligence (ODNI) “fully and currently informed” of the following intelligence
activities:
a. Significant anticipated intelligence activities, which include:
(1) Intelligence activities that entail, with reasonable foreseeability, significant risk of
exposure, compromise, and loss of human life;
(2) Intelligence activities that are expected to have a major impact on important foreign
policy or national security interests;
(3) An IC element's transfer, to a recipient outside that IC element, of defense articles,
personnel services, or "controlled equipment" valued in excess of $1 million as
provided in Section 505 of Reference (g);
(4) Extensive organizational changes within an IC element;
(5) Deployment of new collection techniques that represent a significant departure from
previous operations or activities or that result from evidence of significant foreign
developments;
(6) Significant activities undertaken pursuant to specific direction of the President or the
National Security Council (this is not applicable to covert action, which is covered by
Section 503 of Reference (g)); or
(7) Significant acquisition, reprogramming, or non-routine budgetary actions that are of
Congressional concern and that are not otherwise reportable under the NIP procedures
for reprogramming and transfers.
b. Significant intelligence failures: Intelligence failures that are extensive in scope,
continuing in nature, or likely to have a serious impact on U.S. national security interests,
and include:
(1) The loss or compromise of classified intelligence information on such a scale or over
such an extended period as to indicate a systemic loss or compromise of such
information that may pose a substantial risk to U.S. national security interests;
(2) A significant unauthorized disclosure of classified intelligence information that may
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pose a substantial risk to U.S. national security interests;
(3) A potentially pervasive failure, interruption, or compromise of a collection capability or
collection system; or
(4) A conclusion that an intelligence product is the result of foreign deception or denial
activity, or otherwise contains major errors in analysis, with a significant impact on
U.S. national security policies, programs, or activities.
c. Significant legal interpretations: IAW Reference (i) the Judge Advocate General (CG-
094) shall notify the Congressional intelligence committees, in writing, of any significant
legal interpretation of the U.S. Constitution or Federal law affecting intelligence activities
conducted by the NIE, no later than 30 days after the date of commencement of any
intelligence activity pursuant to such interpretation.
(1) Responsibility for determining whether a particular legal interpretation requires
notification to the Congressional intelligence committees rests with the Judge Advocate
General (CG-094).
(2) Each notification must include a summary of the significant legal interpretation and the
intelligence activity or activities conducted pursuant to such interpretation.
(3) The Judge Advocate General (CG-094) must also provide concurrent notification to the
ODNI of any notifications to Congress in this Chapter.
d. Other significant intelligence activities which include:
(1) Substantial changes in the capabilities or known vulnerabilities of intelligence
operations or intelligence systems or resources;
(2) Programmatic developments likely to be of Congressional interest, such as major cost
overruns or a major modification or termination of a significant contract;
(3) Developments that affect intelligence programs, projects, or activities that are likely to
be of Congressional concern because of their substantial impact on national security or
foreign policy;
(4) The loss of life in the performance of an intelligence activity;
(5) Significant developments in, or the resolution of, a matter previously reported under
these procedures;
(6) An intelligence activity believed to be in violation of U.S. law, including any corrective
action taken or planned in connection with such activity;
(7) Significant misconduct by an employee or contractor of an IC element that is likely to
seriously affect intelligence activities or otherwise is of concern to the Congressional
intelligence committees, including human rights violations;
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(8) Other serious violations of U.S. criminal law by an employee of an IC element or asset,
which in the discretion of the head of an IC element warrants notification to the
Congressional intelligence committees;
(9) Significant activities with foreign governments and CG-2X organizations;
(10) Those likely to have significant impacts on civil liberties or privacy interests of U.S.
persons.
e. The criteria described in the above paragraphs are not exhaustive. The absence of any of
these criteria must not be seen as determinative. Each potential determination must be
addressed on its particular merits. If it is unclear whether a notification is appropriate, NIE
Components should decide in favor of notification.
f. Reference (i) also requires NIE Components to furnish congressional intelligence
committees with any information, other than covert actions, within their custody or control
requested by the committees to carry out their responsibilities.
g. In accordance with Section 3107 of Reference (g), NIE Components will prepare an annual
report due on the 15
th
of December each year certifying compliance with all applicable
laws, EOs, directives, policies, and rules for the calendar year to be furnished to
congressional intelligence committees. If the NIE Component is unable to certify the
above, it will provide a statement of the reasons it is unable to provide such a certification
in sufficient detail.
F. Reporting Timelines. The NIE Components will report:
1. All S/HSMs immediately to the Judge Advocate General (CG-094) through assigned IOO.
Such reports may be made by any secure means. Oral reports will be documented with a
written report as soon as possible thereafter. Initial reports will be supplemented as additional
information becomes available. Supplemental reports will be identified in such a manner that
they can be accurately related to the relevant initial reports.
2. Quarterly Reports: Quarterly reporting periods are based on the calendar year. The first report
for each calendar year will cover January 1 through March 31. Succeeding reports will follow
at 3-month intervals. Quarterly reports are due by the 7th day of the month following the end of
the quarter to Commandant (CG-LII). Commandant (CG-LII) will then provide the reports to
the Judge Advocate General (CG-094) by the 15th day of the month, unless other arrangements
have been approved by the Judge Advocate General (CG-094). Quarterly reports will describe
all QIAs, S/HSMs, and possible violations of federal criminal laws by employees and of
specific federal criminal laws by any other person as provided in procedures agreed upon by
the Attorney General and the head of the department, that were identified during the quarter.
Quarterly reports are required even if no QIA or S/HSM occurred during the reporting period.
3. Biennial (Formal) Reports: The Judge Advocate General (CG-094) will conduct biennial
formal inspections in a 24-month cycle that ensures each NIE Component is inspected no later
than 24 months after the previous biennial inspection. There is no requirement to inspect all
NIE Components in a single calendar year; rather, the cycle is flexible.
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4. Unscheduled Reports: Reports may also be made immediately following informal or ad-hoc
inspections or inspections performed in response to a specific incident.
G. Quarterly Reporting Format.
1. NIE Components will submit quarterly reports to Commandant (CG-LII) for the Judge
Advocate General (CG-094) using the format in Enclosure (1), or a format approved by the
Judge Advocate General (CG-094). The body of the report will be in signed copy. Biennial
reports will be submitted to NIE Component Commanding Officers or Directors using the
format in Enclosure (2) or in a format approved by the Judge Advocate General (CG-094). The
body of the report will be in a signed copy.
2. The NIE Components will assign a sequential case number for each QIA and S/HSM that
identifies the NIE Component and calendar year; add a suffix (either “Q” or “S” to indicate a
QIA or S/HSM). For example: “CGCG-2017-04-Q” would indicate the fourth incident
reported by CGCG in calendar year 2017 that is also a QIA. Use this number each time the
incident is mentioned in initial reports and in updates and closeout reports.
3. The NIE Components will organize each quarterly report under the major headings of
“Summary of Investigation,” “Previously Reported Incidents,” and “Training Statistics.”
a. The Section under “Summary of Investigation” will list all QIAs and S/HSMs reported
during the quarter. If there are no new incidents the report will state that fact, will omit the
subparagraphs below and resume with Paragraph 4.G.3.b (below) of this Manual (i.e.,
“Previously Reported Incidents”). This Section will include:
(1) A narrative describing the incident;
(2) A statement describing when the incident occurred, when it was initially reported
within the NIE Component, and when it was reported to the Judge Advocate General
(CG-094); if applicable, explain any delay in reporting;
(3) An explanation of why the incident is considered a QIA or S/HSM, if so reported. For
each QIA, identify the specific law, EO, Presidential Directive, ICD, or other
applicable policy that was violated. For each S/HSM, explain why the incident could
impugn the reputation of the Intelligence Community or otherwise call into question
the propriety of intelligence activities;
(4) An analysis of how or why the incident occurred, identifying the root cause;
(5) The remedial action taken or planned to prevent recurrence of the incident. Include a
description of actions taken if the incident concerns information (including U.S.
Persons information) improperly acquired, handled, used, disseminated, or destroyed;
(6) Any additional information required to provide complete and accurate reports to the
Judge Advocate General (CG-094), DHS, the IOB, DNI, or to provide context about
the incident; and/or
(7) An indication of whether the incident is open or closed. If open, provide the status of
the ongoing investigation. If closed, indicate whether any allegations were substantiated
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or not substantiated.
b. The section under “Previously Reported Incidents” will list QIAs, S/HSMs, violations of
Reference (k), and violations of Reference (n). This Section will include matters still under
investigation as well as those resolved and closed during the quarter, with the same
information in Paragraphs 4.H.3.a. (1) through (7) of this manual.
c. The Section under “Training Statistics” will include the following:
(1) State how many training sessions were held this quarter and how many
individuals received initial training and refresher training
(2) If LEIE personnel are in a mixed NIE Component, state whether the NIE Component or
IOO train LEIE personnel. (e.g., training LEIE supervisors of NIE personnel); and
(3) State the number of personnel receiving initial and refresher intelligence oversight
training this quarter, and the number that are current (i.e., up to date) for both trained.
H. Intelligence Oversight Inspections:
1. The Judge Advocate General (CG-094) shall ensure authorized persons conduct regular
inspections of CG NIP-funded and NIE Components to ensure compliance with applicable
statutes and EOs, governing the conduct of intelligence activities, and the provisions of
References (a) and (e). These inspections must not interfere with oversight inspections
conducted by other authorized entities, including the IG, DHS/OGC, Community Management
Staff, other IC elements, and the IOB. In addition to the timelines below, formal, and/or
informal inspections may be conducted on an as needed or ad hoc basis.
2. Informal Oversight Inspection. Supervisors (i.e., Commanding Officers or Directors) of Coast
Guard NIE Components must conduct informal oversight inspections on at least a semi-annual
basis using the format in Enclosure (3) as a guide.
3. Formal Oversight Inspection. The Judge Advocate General (CG-094) must ensure the conduct
of formal oversight inspections of all CG NIE Components on at least a biennial basis.
a. Formal oversight inspections must be conducted by personnel designated by the Judge
Advocate General (CG-094), such as the IOO responsible for advising the CG NIE
component concerned, or staff elements of Commandant (CG-2) with oversight expertise.
In addition to the areas outlined in Enclosure (2), formal oversight inspections may cover
other areas necessary to ensure compliance with References (a) and (e) and this Manual.
b. Upon completion of a formal oversight inspection, the senior inspecting official must
debrief the supervisor of the CG NIE component. The senior inspecting official must
summarize key findings, soliciting comments and questions, and, where appropriate,
recommend changes to the component’s oversight program. The senior inspecting official
must complete a report of inspection for review by the supervisor. The supervisor must
have ten days to provide written comments on the inspection to the senior inspecting
official. Upon receipt of the supervisor’s comments, if any, the senior inspecting official
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must forward a final report within ten days to Commandant (CG-LII), with copies to the
inspected component.
I. Criteria and Details for Inspection Reports:
Reports will have paragraphs titled:
1. Executive Summary. Using the format in Enclosure (2), provide basic information about the
NIE component:
a. Authority to conduct and purpose of inspection;
b. Identify the inspectors and roles (e.g., lead and supporting inspectors);
c. Current and last biennial formal intelligence oversight inspection date(s) for the NIE
component;
d. General summary, including:
(1) Number of NIE and LEIE personnel (if applicable);
(2) Geographic location(s) of all assigned NIE personnel;
(3) Number of personnel interviewed and an assessment of their general awareness of
intelligence oversight thresholds, and whistleblower protections; and
(4) Descriptions of the demonstrations and tools/procedures that were provided to
inspectors.
e. Summary of any unique alignment with respect to intelligence oversight (e.g., Coast Guard
Cryptologic Group and National Security Agency policy; Intelligence Coordination Center
Geospatial Intelligence (GEOINT) and National Geospatial-Intelligence Agency policy)
2. Inspection Results. Required subparagraphs are:
a. Summary: Briefly describe results of the inspection to include whether component is or is
not substantially compliant with the requirements of this Manual.
b. Training Policies and Administration: Describe how training is administered for initial and
refresher training. Also, describe unit(s), which the IO is responsible for training and how
training is administered to detached units, if applicable.
c. Operations and Procedures for Collection, Retention, and Dissemination of U.S. Persons
Information:
(1) Discuss how the NIE component’s operations implement procedures for the collection,
retention, and dissemination (i.e., Procedures 2, 3, and 4 of Reference (e)) of U.S.
Persons information. Include specific information explaining how and where it
maintains records containing U.S. Persons.
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(2) Discuss how the NIE component implements intelligence oversight requirements for
other intelligence activities (i.e., Procedures 5 - 12 of Reference (e));
d. Oversight and Reporting of QIAs and S/HSMs: No specific content is required – look to
the applicable checklists for topics and metrics under each subparagraph.
e. Privacy Compliance: Include an Enclosure to the report that reviews the applicable privacy
documents required for the NIE Component, including Privacy Threshold Analyses,
Privacy Impact Assessments, and System of Record Notices;
3. Best Practices. Describe best practices implemented by the NIE Component that may be
considered by other NIE Components to improve intelligence oversight and/or intelligence
activities.
4. Major Issue(s) and Minor Issue(s). Describe major/minor issues raised by the NIE Component
or discovered by the inspectors during the inspection. Include recommendations to correct or
mitigate concerns related to such issues.
5. Other Recommendations. Based on the objective findings in Paragraph 2 of Section 2, state if
any suggested changes or modifications to any inspection topic in subparagraphs (a) through
(d). If applicable, state whether any previous recommendations have been addressed and if not,
the reason.
6. Overall Assessment. State an overall conclusion that applies the criteria drawn from the
interviews/demonstrations and checklists.
7. Review Period. Provide the NIE Component Commanding Officer/Commander/Director ten
(10) business days to correct or discuss any facts, findings, or recommendations. State that once
the period has expired without review and/or suggested command edits, the Report will be
placed in final form and signed. Provide guidance on the procedure to request an extension of
the review period if needed.
8. Checklists. Inspectors will utilize the checklists in Enclosure (3) in pertinent part, depending on
the component mission, to develop Paragraphs to include in the report(s).
J. ICD 120/Whistleblower Protections:
1. Whistleblowing is “the act of reporting waste, fraud, abuse and corruption in a lawful manner
to those who can correct the wrongdoing.”
8
IC whistleblowers are those employees or
contractors working in any of the 17 elements of the IC who reasonably believe there has been
a violation of law, rule, or regulation, gross mismanagement, waste of resources, abuse of
authority, or a substantial danger to public health and safety. The essential distinction between
whistleblowers generally and those in the IC (or those who otherwise have security clearances)
is the concern for protecting classified information that may be involved in an IC-related
incident or complaint. The IC has recognized that whistleblowing can save taxpayers’ dollars,
ensure an ethical and safe working environment, and enable timely responses for corrective
action. First signed in 2014, and updated on April 29, 2016, ICD-120, Intelligence Community
8
Congressional Research Service Report, R45345, “Intelligence Community Whistleblower Protections,” updated 23
Sept 2019.
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Whistleblower Protection (Enclosure (4)), provides implementing guidance for Reference (l).
ICD-120 provisions include the following:
a. Protections against reprisal involving a personnel action against the IC employee making a
protected disclosure.
b. Protections from reprisal for a protected disclosure that could affect an IC whistleblower’s
eligibility for access to classified information.
c. A requirement for each IC element to have a review process to permit appeals for any
decision involving a security clearance revoked allegedly in retribution for making a lawful
disclosure. The provision allows the whistleblower to maintain his or her employment
status while a decision is pending.
d. Provision for an employee alleging a reprisal who has exhausted the internal agency review
process to request an external review panel chaired by the IGIC.
e. A requirement for IC-wide communications and training concerning whistleblower
protections.
2. Whistleblowing protections for employees and contractors in the IC are extended only to those
who make a lawful disclosure. They do not cover disclosures that do not conform to statutes
and directives prescribing reporting procedures intended to protect classified information, such
as leaking information to the media or a foreign government. IC whistleblowing does not
include a difference of opinion over policy, strategy, analysis, or priorities for intelligence
funding or collection unless there is a reasonable concern over legality or constitutionality.
Whistleblowing protections also do not protect against legitimate adverse personnel or security
clearance eligibility decisions if the agency can demonstrate that it would have taken the same
action in the absence of a protected disclosure.
3. In accordance with Reference (k), “each IC element is required to have a process for employees
to seek review of personnel actions alleged to be in violation of Section A, of Reference (k).
The Inspector General of the Covered Agency will conduct a review of the alleged reprisal
actions as part of this process. Such review process must provide for the protection of national
security information and intelligence sources and methods.” The U.S. Coast Guard ICD 120
review process is contained in Enclosure (4) of this Manual.
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CHAPTER 5: OVERSIGHT TRAINING FOR THE NIE AND OTHER PERSONNEL
COVERED BY CHAPTER 1, PARAGRAPH A OF THIS MANUAL
A. Intelligence Oversight Training for Covered Personnel.
1. Procedure 14 of Reference (e) requires Commandant (CG-2) to ensure that CGI personnel are
thoroughly familiar with Reference (a), and the provisions of References (e) and (f), and
regularly trained and exercised in the application of those rules to the conduct of intelligence
activities, with particular emphasis placed on Procedures 1 - 4, Procedure 14, and Procedure 15.
Completion of all training must be documented in the Component’s intelligence oversight
records. Training records must be retained in a master file until the individual permanently
departs the Component. Training activity must be reflected in quarterly Intelligence Oversight
reports.
2. Initial Intelligence Oversight Training. All NIE personnel must receive initial intelligence
oversight training within 30 days of their arrival at first assignment at an NIE Component,
subject to deviation as determined by IOO/legal adviser. Thereafter, personnel must receive
refresher training for subsequent tours. Initial training must consist of in-person training of
appropriate length conducted by an instructor who has been designated in writing by the Judge
Advocate General (CG-094). Training must provide instruction concerning References (a), (e)-
(g), (k) and this Manual. Additional specialized training may be required by the Judge
Advocate General (CG-094) and/or Commandant. “In-person” training includes any live
training conducted by electronic means (e.g., telephone or videoconference).
3. NIE personnel may meet the initial intelligence oversight training requirement by
completing intelligence oversight training from a variety of sources, to include the Intelligence
Officer Course (IOC), Intelligence Specialist “A” School, and National Intelligence University.
In addition to the requirements in this Manual, CG NIE personnel who are assigned to detached
duty billets with IC partners must also satisfy the oversight training requirements of the partner
component.
4. Annual Refresher Oversight Training. The training described in Paragraph 1 of this Chapter
must be completed by each member of the NIE annually. This annual refresher training must
occur not more than 12 months from the date of initial training or prior refresher training. The
training may be led by an instructor who has been designated in writing by the Judge Advocate
General (CG-094), or may be written training of appropriate length consisting of reviewing
References (a), (e) - (g), (k), and this Manual with an instructor who has been designated in
writing by the Judge Advocate General (CG-094) readily available (e.g., telephone or e-mail) to
answer questions, or via completion of the most current “Intelligence Oversight Training
Course” (presently, “COURSE DIA-CMP-2100”) available in the Advanced Global
Intelligence Learning Environment (AGILE). Commandant (CG-LII) may approve
modification to the above requirements.
COMDTINST M3821.14A
5-2
5. Corrective Intelligence Oversight Training. Corrective training must be conducted for
personnel who exhibit deficiency in knowledge or understanding of References (a), (e) - (g),
(k), and this Manual or to address specific oversight concerns. Such deficiencies may be
identified as the result of QIAs or by other means. Corrective training must consist of in-
person, verbal, or written training sufficient to correct the deficiency administered by an
instructor designated in writing by the Judge Advocate General (CG-094).
Appendix A to COMDTINST M3821.14A
A-1
ACRONYMS
AGILE Advanced Global Intelligence Learning Environment
CE Categorically Excluded
CGCIS Coast Guard Counterintelligence Service
CGIS Coast Guard Investigative Service
CG-2 Assistant Commandant to Intelligence
CG-25 Office of Intelligence Plans and Policy
CG-2X Intelligence Strategy and Engagement Staff
CGI Coast Guard Intelligence
CGIE Coast Guard Intelligence Enterprise
CG-LII Office of Information and Intelligence Law
DHS Department of Homeland Security
DHS IG Department of Homeland Security Inspector General
DHS/OGC Department of Homeland Security Office of General Counsel
DNI Director of National Intelligence
EO Executive Order
HPSCI House Permanent Select Committee on Intelligence
HSM Highly Sensitive Matters
IC Intelligence Community
ICD Intelligence Community Directives
ICIG Intelligence Community Inspector General
IG Inspector General
IOB [President’s] Intelligence Oversight Board
IOC Intelligence Officers Course
Appendix A to COMDTINST M3821.14A
A-2
IOO Intelligence Oversight Official
GEOINT Geospatial Intelligence
LEIE Law Enforcement Intelligence Element
NARA National Archives and Records Administration
NEPA National Environmental Policy Act
NIE Coast Guard National Intelligence Element
NIP National Intelligence Program
OCDNI Office of the Director of National Intelligence
OGC Office of the General Counsel
OSINT Open Source Intelligence
PPD Presidential Policy Directive
PIOB Presidents Intelligence oversight Board
QIA Questionable Intelligence Activity
S/HSM Significant or Highly Sensitive Matter
SIOO Senior Intelligence Oversight Official
SSCI Senate Select Committee on Intelligence
Appendix B to COMDTINST M3821.14A
B-1
GLOSSARY
Executive Order (EO): A presidential policy Directive that implements or interprets a federal statute,
a constitutional provision, or a treaty.
Intelligence Community (IC): The IC is a federation of executive branch agencies and organizations
that work together and separately to conduct intelligence activities necessary for the conduct of foreign
relations and the protection of the national security of the United States.
Law Enforcement Intelligence Element (LEIE): CGI personnel that plan, direct, collect,
report, process, exploit, analyze, produce, and disseminate information pursuant to Coast Guard
enforcement or regulatory authorities.
Minimization: Coast Guard NIE access to unevaluated, raw, or un-minimized signals intelligence,
including signals intelligence collected in bulk, is limited to those personnel assigned cryptologic
responsibilities and subject to NSA/CSS policies. Coast Guard NIE does receive from other IC
elements signals intelligence information that has been evaluated, minimized, or otherwise included in
finished intelligence products subject to – among other requirements – the provisions of Presidential
Policy Directive (PPD)-28.
9
National Intelligence: Foreign intelligence and counterintelligence.
National Intelligence Component: Any organizational part of the Coast Guard
National Intelligence Element.
National Intelligence Element (NIE): The Coast Guard NIE consists of ONLY those U.S.
Coast Guard intelligence elements and persons designated by the Assistant Commandant for
Intelligence (CG-2) as Intelligence Community resources as established under the National
Security Act of 1947 (50 U.S.C. 401a) and are subject to EO 12333, United States Intelligence
Activities (as amended).
National Intelligence Personnel: Those Coast Guard military and civilian personnel, including
contractors or other IC personnel, who are part of the Coast Guard
National Intelligence Element.
Oversight: Regulatory supervision and/or watchful and responsible care.
Permanent Resident Alien: A foreign national lawfully admitted to the United States for
permanent residence.
9
Such PPD-28 provisions include those in Section 1, such as (i) the United States shall not collect signals
intelligence for the purpose of suppressing or burdening criticism or dissent, or for disadvantaging persons based on
their ethnicity, race, gender, sexual orientation, or religion; (ii) signals intelligence shall be collected exclusively
where there is a foreign intelligence or counterintelligence purpose to support national or departmental missions and
not for any other purposes; (iii) it is not an authorized foreign intelligence or counterintelligence purpose to collect
foreign private commercial information or trade secrets to afford a competitive advantage to U.S. companies and
U.S. business sectors commercially; and (iv) signals intelligence activities shall be as tailored as feasible. If Coast
Guard suspects that signals intelligence disseminated to it may have been collected or disseminated in a manner
inconsistent with PPD-28, it shall so notify appropriate officials at the IC element that disseminated the SIGINT.
See Reference (o).
Appendix B to COMDTINST M3821.14A
B-2
Questionable Intelligence Activity: Any conduct that constitutes, or is related to, an
intelligence activity that may violate the law, any executive order or presidential Directive,
including EO 12333, United States Intelligence Activities (as amended), or this Manual. It also
includes a violation of any federal criminal law by a person assigned to CGI.
Significant or Highly Sensitive Matter: An intelligence or intelligence-related activity or serious
criminal activity by CG NIE Component personnel that could impugn the reputation or integrity of the
NIE Component or the Intelligence Community, or otherwise call into question the propriety of an
intelligence activity.
Servicing Legal Office: The staff of the Legal Officer or office of the Judge Advocate General
(CG-094) responsible for providing legal advice to the Coast Guard component concerned.
Supervisor: The commanding officer, director, division/branch chief, or other person directly
responsible for the management and operation of a Coast Guard NIE Component.
U.S. Person (USPER): A U.S. citizen; an individual known by the NIE Component concerned to be a
permanent resident alien, an unincorporated association substantially composed of U.S. citizens or
permanent resident aliens; and a corporation incorporated in the United States, except for a corporation
directed and controlled by a foreign government or governments. A corporation or corporate subsidiary
incorporated abroad, even if partially or wholly owned by a corporation incorporated in the United
States, is not a USPER. A person or organization in the United States is presumed to be a USPER,
unless specific information to the contrary is obtained. Conversely, a person or organization outside the
United States, or whose location is not known to be in the United States, is presumed to be a non-
USPER, unless specific information to the contrary is obtained.
Enclosure (1) to COMDTINST M3821.14A
1
Commandant Unit Street Address
United States Coast Guard Mail Stop XXXX
City, State Zip Code
Staff Symbol: CG-XXXX
Phone: (xxx) xxx-xxxx
Fax: (xxx) xxx-xxxx
Email: officialemail@uscg.mil
SSIC
dd Mmm yyyy
SAMPLE MEMORANDUM
From: Reply to
Attn of:
To:
Subj: (U) [UNIT] QUARTERLY INTELLIGENCE OVERSIGHT INSPECTION REPORT
[DATE]
Ref:
(a) (U) Oversight of Coast Guard Intelligence Activities, COMDTINST 3821.14A
(b) (U) Coast Guard Intelligence Activities, COMDTINST M3820.12 (series)
(c) (U) Executive Order 12333, United States Intelligence Activities, 4 Dec 1981 (as
amended)
(d) (U) Intelligence Community Directive Number 112, Congressional Notification,
dated 29 Jun 2017
(e) (U) Unit’s Oversight Instruction
(f) (U) Other applicable Unit regulations
1. (U//FOUO) In accordance with references (a) through (f), the Coast Guard [UNIT]
Intelligence Oversight Official (IOO), [NAME OF IOO], conducted an informal intelligence
oversight inspection of the [UNIT] for the ______ quarter of 2020 (include dates of quarter in
parenthesis i.e., 01 January through 31 March, 2020 for 1
st
quarter of 2020).
2. (U//FOUO) Summary of Investigation. During this quarter, [Unit] personnel reported __
potential Questionable Intelligence Activities (QIAs) or Significant or Highly Sensitive Matters
(S/HSMs) in accordance with Procedure 15 of Reference (a). OR During this quarter, no
Questionable Intelligence Activities (QIAs) or Significant or Highly Sensitive Matters (S/HSMs)
were detected.
a. (U//FOUO) If an incident was discovered, describe the incident, when it occurred, when
was it discovered, how was it discovered, when was it reported, when was the investigation
launched, status of that investigation.
b. (U//FOUO) Include remedial or corrective actions taken or planned to prevent future
occurrence of the incident.
Enclosure (1) to COMDTINST M3821.14A
2
3. (U//FOUO) Previously reported Incidents. Describe QIAs and S/HSMs still under
investigation as well as those resolved and closed during the quarter.
4. (U//FOUO) Training Statistics.
a. (U//FOUO) State how many training sessions were held this quarter and how many
individuals received initial training and refresher training. i.e., ___ new arrivals at [UNIT]
received initial training during the ____ initial training sessions that were held this quarter. ____
individuals received the annual refresher training through [method of training: online/computer-
based training, in-person refresher training sessions].
b. If LEIE personnel are in a mixed NIE Component, state whether the NIE Component or
IOO train LEIE personnel. (e.g., training LEIE supervisors of NIE personnel).
c. (U//FOUO) State the total number of personnel in the unit and of that number how many
are current (i.e., up-to-date) for both trainings. Provide figure as a percentage and in real
numbers. i.e., ________% ([total number up to date on training] of [total number of personnel])
of [UNIT] personnel are current for initial and annual refresher training in the ______quarter of
20__.
#
Copy:
Enclosure (2) to COMDTINST M3821.14A
1
Commandant Unit Street Address
United States Coast Guard Mail Stop XXXX
City, State Zip Code
Staff Symbol: CG-XXXX
Phone: (xxx) xxx-xxxx
Fax: (xxx) xxx-xxxx
Email: officialemail@uscg.mil
SSIC
dd Mmm yyyy
SAMPLE MEMORANDUM
From: Reply to
Attn of:
To:
Subj: [UNIT] FORMAL INTELLIGENCE OVERSIGHT INSPECTION [DATE]
Ref: (a) (U) Oversight of Coast Guard Intelligence Activities, COMDTINST 3821.14A
(b) (U) Coast Guard Intelligence Activities, COMDTINST M3820.12 (series)
(c) (U) Executive Order 12333, United States Intelligence Activities, (as amended by)
(d) (U) Executive Order 13516 of 2 Nov 2009 Amending Executive Order 13462.
1. Executive Summary.
a. Authority to Conduct and purpose of Inspections.
b. Identity of the inspectors and roles (e.g., lead and supporting inspectors);
c. Current and last biennial formal intelligence oversight inspections date(s).
d. General Summary to include;
(1) Number of NIE personnel (include LEIE personnel if applicable).
(2) Geographic locations of component.
(3) Number of persons interviewed and an assessment of their general awareness of
intelligence oversight thresholds, and whistleblower protections.
(4) Descriptions of the demonstrations of tools/procedures that were provided to
inspectors.
e. Summary of any unique alignment with respect to intelligence oversight (e.g., CGCG and
NSA policy; ICC-GEOINT and NGA policy.
2. Inspection Results.
Enclosure (2) to COMDTINST M3821.14A
2
a. Summary. Briefly describe results of the inspection to include whether component is or is
not substantially compliant with the requirements of reference (a).
b. Training Policies and Administration. Describe how training is administered for initial
and refresher training. Also describe unit(s) which the IO is responsible for training and
how training is administered to detached units if applicable.
c. Operations and procedures for collection, retention, and dissemination of USPERs
information.
(1) Discuss how the NIE component’s operations implement procedures for the
collection, retention, and dissemination (i.e., Procedures 2, 3, and 4 of reference (c))
of USPERs information; to include specific information concerning how records
containing USPER information are maintained.
(2) Discuss how the NIE component implements intelligence oversight requirements for
other intelligence activities (i.e., Procedures 5 - 12 of reference (c)).
d. Oversight and Reporting of QIAs and S/HSMs. No specific content is required; look to
the applicable checklists for topics and metrics under each subparagraph.
e. Privacy Compliance. Include an enclosure to the report that reviews the applicable
privacy documents required for the NIE component, including Privacy Threshold
Analyses, Privacy Impact Assessments, and System of Record Notices.
f. Application of IO to LEIE Members. Ensure assessments account for activities of LEIE
personnel to the extent they:
(1) Perform OSINT activities.
(2) Use any other national intelligence community intelligence sources or methods.
(3) Engage in activities funded in whole or in part by NIE funds (e.g., National
Intelligence Program (NIP) funds).
(4) Otherwise engage in activities that rely exclusively on NIE legal authorities to
execute.
3. Best Practices. Describe best practices implemented by the NIE component that may be
considered by other NIE components to improve CG intelligence oversight and/or
intelligence activities.
4. Major Issue(s) and Minor Issue(s). Describe major/minor issues raised by the NIE
component or discovered by the inspectors during the course of the inspection. Include
recommendations to correct or mitigate concerns related to such issues.
5. Other Recommendations. Based on the objective findings in section 2, state any suggested
changes or modifications to any inspection topic in subparagraphs (a) through (d). If
Enclosure (2) to COMDTINST M3821.14A
3
applicable, state whether any previous recommendations have been addressed and if not, the
reason.
6. Overall Assessment. State an overall conclusion that applies the criteria drawn from the
interviews/demonstrations and checklists.
#
Encl: (1) IO Checklist
Copy: CG-LII
COMDT (CG-094)
Enclosure (2) to COMDTINST M3821.14A
This page intentionally left blank.
4
Enclosure (3) to COMDTINST M3821.14A
1
UNITED STATES COAST GUARD
INTELLIGENCE OVERSIGHT
ASSESSMENT/INSPECTION GUIDE & CHECKLISTS
MARCH 2021
Enclosure (3) to COMDTINST M3821.14A
2
ADMINISTRATIVE INFORMATION
Unit: _______________________________________________
Date of Assessment / Inspection: __________________________________________
Type of Assessment / Inspection: Biennial (Formal) Other (Spot, Ad Hoc):___________________
Title Name/Rank Phone E-Mail
Commanding Officer
(CO)/Director
Intelligence Oversight
Officer (IOO)
Alternate IOO
Command Legal Advisor
or Staff Judge Advocate
(SJA) (if not the IOO)
Senior Inspector
Inspector
Other (Observer, Intern)
Unit Mission:
_______________________________________________________________________________________
_______________________________________________________________________________________
_______________________________________________________________________________________
ASSESSMENT
Fa
il Pass w/Minimal Deficiencies Pass w/Improvement Observations Pass
/s/ Dated: _____________________
Senior Inspector
NOTE: Assessments are based on the judgment of the Senior Inspector considering the Observations and
Comments, neither of which are weighted. An Inspector may issue one of four Assessments based on the
Observations and their Comments in the applicable checklists below: Fail - significant, systemic and/or obvious
deficiencies or shortcomings which have created more than one activity that met the threshold for and was reported
as a Questionable Activity; Pass w/Minimal Deficiencies – more than one deficiency which if not corrected could
be the basis for a Fail in the future, or a single activity that met the threshold for and was reported as a
Questionable Activity; Pass w/Improvement Observations - Pass with no deficiencies but with observations and
their comments that could range from minor record-keeping for training or other administrative matters, or
indications that training and awareness need improvement to ambiguous or unclear policy that in the future could
result in a deficiency; and Pass – Zero deficiencies; if Improvement Observations and Comments were noted, they
were minor in nature.
Enclosure (3) to COMDTINST M3821.14A
3
IOO PREPARATIONS
1.
When scheduled, immediately inform your chain of command of the Assessment/Inspection.
Your chain of command should not be
surprised to see visitors in the unit.
2.
Work with the Senior Inspector and establish an agenda/calendar of events at least two weeks
b
efore the visit.
3.
Be present for the Assessment/Inspection. As primary IOO, you should host the
Asse
ssment/Inspection. Do not
delegate this responsibility to an alternate IOO.
4.
Ensure your IO program is well-advertised (e.g., web link, Plan of the Month, smart cards,
posters) and members know how to access policy and guidance.
5.
Prepare unit personnel and ensure they can answer basic Intelligence Oversight
Program (IOP)
que
stions. These could include Questionable Activity reporting channels and thresholds,
definitions of U.S. Persons, retention and dissemination limits, and where references and
instructions are located.
6.
The first event should be a brief meeting with the Commanding Officer/Director and in your
discretion, department heads or supervisors such as collection managers. In some commands,
the senior Command Judge Advocate (CJA)/Staff Judge Advocate (SJA) that provides general
legal advice may wish to be present to observe. You should prepare these senior leaders to
discuss their commitment to Intelligence Oversight. After the Command and Intelligen
ce
Oversight Brief which follows the meeting, the Senior Inspector will deliver an update on
r
ecent Intelligence Oversight issues and policy to the same senior leader audience.
7.
Prepare a Command and Intelligence Oversight brief for the Inspection team and have it reviewed
b
y your Commanding Officer or Director before the Assessment/Inspection. This should not
exceed an hour and will include the agenda and explain the unit mission, authorities, and current
operations. Also include a summary of Questionable Activity reporting methods and channels,
planned and past intrusive collection activity (such as electronic surveillance, concealed
monitoring, physical surveillance, undisclosed participation and mail cover). Brief any joint
operations with other intelligence community (IC) members as well as assistance to L
aw
E
nforcement. The brief should also update the status of any Questionable Activity investigations,
formal or otherwise since the last Assessment/Inspection.
8.
If not already in place, prepare an IO continuity binder or electronic folder. This may be organized
t
opically to suit your particular command and should contain previous inspection results as well as
the necessary Executive Orders, Intelligence Community Directives, and statutes and policy yo
u
f
ind essential in your IOO position. If applicable, have Questionable Activity reports and related
investigations in the binder/folder. Include memoranda or documentation of corrections made t
o
address any deficiencies/observations noted in previous Assessments/Inspections.
9.
If your command is subject to other IC member policy (such as the Coast Guard Cryptologic
Group (CGCG) and the National Security Agency (NSA)), be prepared to explain how your policy
is consistent with that policy and its impact, if any, on your IOP.
10.
Prepare unit training records and, if applicable, records of intrusive procedures and assistance to
law enforcement for review.
11.
Complete the Assessment/Inspection per the agenda.
12.
Set up the in-person “Out Brief” by the Senior Inspector with you and your Commanding
Of
ficer/Director.
13.
When the written Assessment/Inspection Report is drafted, collaborate with the Senior Inspector
and be prepared to offer edits and facts for clarity. Depending on your command, be prepared t
o
dr
aft certain portions of the Report, such as manning and training statistics.
Enclosure (3) to COMDTINST M3821.14A
4
INTELLIGENCE OVERSIGHT INSPECTION CHECKLIST
COMMAND INSPECTION HISTORY AND CORRECTIONS
Criteria
Text, Yes or No
(Y/N), or Date
Observations/Comments
1.*
10
Are Intelligence Oversight training and internal
compliance (periodic, spot, or ad hoc) inspections
included in the unit’s overall policy and mission
plans?
1.a. When was the last internal periodic, spot, or ad
hoc Intelligence Oversight inspection conducted
by the unit IOO and/or, if applicable,
participated in or was the subject of any joint or
external inspection or investigation
(Department of Homeland Security (DHS)
Inspector General (IG), Director of National
Intelligence (DNI) IG) with or by any other IC
member IG?
1.b. Are inspection reports and investigation
reports identified in paragraph 1.a. in the IOO
records?
1.c. Were deficiencies and/or recommended
actions noted?
1.d. Were all deficiencies and/or recommended
actions acted on?
1.e. Were corrective actions taken?
1.f. If in paragraph 1.a., the unit participated in or
was the subject of any joint or external
inspection or investigation with or by another
IC member, did the IOO have adequate access
to records and other information to assist?
1.g. When was the last biennial Intelligence
Oversight
inspection conducted?
1.h. Is the last Biennial Intelligence Oversight
inspection report in the IOO records?
1.i.* Were deficiencies and/or recommended
actions noted?
1.j.* Were all deficiencies and/or recommended
actions acted on?
1.k.* Were corrective actions taken? If so, what
were those actions?
10
Throughout this checklist, a “*” after a line item number indicates the line item may also apply to Law
Enforcement Intelligence Element (LEIE) personnel. See checklist section 13.
Enclosure (3) to COMDTINST M3821.14A
5
INTELLIGENCE OVERSIGHT OFFICERS
Criteria
Text, Y/N,
or Date
Comments
2. If the command has a legal advisor permanently assigned, is
that legal advisor the primary IOO with sole responsibility
for the IOP?
2.a. Is IOP management a primary duty or one of multiple
collateral duties of the assigned legal advisor?
2.b. Are the IOOs’ duties detailed in a civilian or military
billet assignment form?
2.c. What other primary duties does the assigned legal
advisor have?
2.d. Are there any IOOs that are not the assigned legal
advisor? If so, are they designated in writing by the
command and do the records indicate they are certified by
CG-LII?
2.e. If because of its physical location, mission or by policy
of another IC member or functional manager, the
command must comply with another IC member’s IOP
policy for training and or/Questionable Intelligence
Activity (QIA) standards, does the primary IOO have
access those records?
2.f. Does the command use alternate IOOs in either the main
command structure or lower echelon commands? If so, how
are they trained and what process exists to ensure
transparency and access by the primary IOO?
2.g. Are primary and alternate IOO civilian level or military
ranks commensurate with their
responsibilities and the
overall size of the unit?
2.h. Have primary or alternate IOOs received any in-residence
Coast Guard intelligence officer training or have they
completed a degree program such as that offered by the
National Intelligence University?
2.i. Where in the command organization chart is the primary
IOO and who is their immediate supervisor?
2.j. Does the primary or alternate IOO have unfettered access
to: (i) procedures, programs, files, networks, databases,
reporting, and data necessary for the conduct of thorough
and comprehensive oversight (including information
protected by special access programs, alternative
compensatory control measures, and other security
compartments); and (ii) access and transparency to any
activity (particularly assistance to law enforcement or any
joint operation with another IC member) or, operational
proposal before it is tasked or executed?
2k. Is the primary or alternate IOO in the release chain for the
command’s unit intelligence reporting, messages
,
and
products prior to dissemination? If not, does the primary or
alternate IOO have access to draft and finished reports,
messages, and products?
Enclosure (3) to COMDTINST M3821.14A
6
INTELLIGENCE OVERSIGHT POLICY
Criteria
Text, Y/N,
or Date
Comments
3. Does the IOO have a policy to maintain an Intelligence
Oversight binder for their
use (online or hard copy)?
3.a. Does the IOO have the following Intelligence Oversight
essential policy documents available for IOO reference or
by unit members on request
?
•
Executive Order 12333, as amended
•
Current Coast Guard policy (COMDINST 3820.12): IC
member Procedures as required by Executive Order
12333 (Intelligence Activities Manual)
•
Current Coast Guard policy (COMDINST 3821.14A):
Intelligence Oversight
•
Current Coast Guard policy: Memorandum or
SOP re: QIA reporting consistent with or
attaching latest IOB CONOPS and its attached
Criteria on Thresholds for Reporting Intelligence
Oversight Matters
•
Policy, guidelines to determine which members
(military, civilians, contractors) are subject to the IOP
and require training.
•
Policy or an SOP to implement the IOP for remotely
located or detached duty personnel
•
Intelligence Community Direction 107, Civil
Liberties, Privacy, and Transparency
•
Intelligence Community Directive 206, Sourcing
Requirements for Disseminated Analytic Products
•
Intelligence Community Directive 120, Intelligence
Community Whistleblower Protection
•
Presidential Policy Directive 19 (PPD-19), Protecting
Whistleblowers with Access to Classified Information
• Coast Guard policy (ALCOAST Commandant Notice
052/20) Open Source Interim Policy
3.b. Is there policy to account for a mixed unit or mixed work
centers, e.g., members in a Law Enforcement or Regulatory-
coded billet supervising members with IC duties; and how is
it determined which are subject to the IOP? Or in the
alternative, is the IOO policy to train all members?
3.c.* Is there policy to protect whistleblowers that do not
violate the law who in good faith report a QIA in accordance
with Coast Guard Oversight policy and/or directly to another
entity that is authorized by law or Executive Branch policy
to receive a QIA?
Enclosure (3) to COMDTINST M3821.14A
7
INTELLIGENCE OVERSIGHT TRAINING & STATISTICS
Criteria
Text, Y/N,
or Date
Comments
4.* Does the element have an Intelligence Oversight
training
program with personnel receiving both initial and
refresher
training? (COMDTINST 3821.14A Sec. 5.A.).
4.a.* How is training delivered?
4.b.* Is training tailored to the unit mission and how is it
accomplished?
4.c.* Does the IOO have a method or system to evaluate (i) the
effectiveness of the training and (ii) retention / awareness of
the key issues?
4.d.* Based on questionnaires, random interviews and
observations, do element personnel in general retain key
issues from training sufficient to identify and report possible
questionable activity?
4.e.* How are training records maintained: spreadsheet,
online, learning management, or other?
4.f.* Are the training records current and past records
archived for the minimum retention period (COMDTINST
3821.14A Sec. 5.A.1.)
4.g. Are contractors receiving Intelligence Oversight
training?
4.h.* Are joint duty and/or detailed personnel receiving
Intelligence Oversight training?
4.g.* In some elements, personnel at all levels, including senior
leadership, may have reported from either the LEIE or from a
command or activity other than the Coast Guard Intelligence
Program. What is the general level of Intelligence Oversight
understanding and for senior leadership, do they fully support
all aspects of Intelligence Oversight training?
4.j. Do all incoming personnel receive Intelligence Oversight
training within 30 days of arrival? (COMDTINST
3821.14A Sec. 5.A.1.)
4.k.* Does the element provide the IOO with a weekly
consolidated list of assigned personnel, or in the alternative
is the IOO required to reconcile their records on an ad hoc
basis?
Enclosure (3) to COMDTINST M3821.14A
8
TRAINING STATISTICS
Type
Military
Civilians
Contractors/Joint
Duty/Detailees
Initial - First 30 days
Example: 47/50 or 94%
Refresher Training*
Both Initial and
Refresher
REPORTING AND MITIGATING QUESTIONABLE INTELLIGENCE ACTIVITY (QIA)
Criteria
Text, Y/N,
or Date
Comments
5.* Does the element have a local or internal set of procedures
to report QIA? (COMDTINST 3821.14A Sec. 4.B.)
5a.* Do element personnel generally understand the reportable
thresholds for reporting QIAs, e.g., violation of law, policy,
or executive order? (COMDTINST 3821.14A Sec. 4.)
5.b.* Are element personnel reporting QIA immediately upon
discovery? (COMDTINST 3821.14A Sec. 4.B.)
5.c. Are Procedure 15 (QIA) written reports (COMDTINST
3821.14A Sec. 4.C.) provided to CG-LII upon completion
o
f investigation?
5.d.* Are personnel aware that Procedure 15 reports may be
made directly to CG-LII in the event the element IOO is
absent, or if under the circumstances, it is not possible to
follow the chain of command?
5.e.* When the circumstances justify it, is the element
conducting either an Administrative Investigation or
Preliminary Inquiry of QIA reports? (COMDTINST
3821.14A Sec. 4.C.)
5.f.* For both Administrative Investigations and Preliminary
Inquiry of QIA reports, are they thorough, fully documented
and if necessary under the circumstances, conducted by a
person not assigned to the element? (COMDTINST
3821.14A Sec. 4.C.)
5.g. What is the history of element mitigation of QIA reports
such as training, and is updated local policy in place to
ensure QIAs do not recur? (COMDTINST 3821.14A Sec.
4.G.(7).)
5.h. When and if an element received Recommended Actions
either at a Biennial (Formal) Inspection report, and/or thru
the Judge Advocate General, does the IOO maintain a
record documenting element action on the Recommende
d
A
ctions? (COMDTINST 3821.14A Sec. 4.G.3.f.)
5.i.* What matters or incidents did the element consider
reporting as QIA(s), but were determined by the element to
not reach the thresholds of the Intelligence Oversight Boar
d
C
oncept of Operations (CONOPs)?
Enclosure (3) to COMDTINST M3821.14A
9
COLLECTION/ DISSEMINATION / RETENTION OF
U.S. PERSON (USPER)/PERSONAL IDENTIFIABLE INFORMATION (PII)
Criteria
Text, Y/N
or Date
Comments
6.* Does the mission of the element involve the collection,
retention, or dissemination of information on U.S. Persons for
intelligence purposes?
6.a. Does the element’s collection of U.S. Person information
meet one of the (10) ten categories in Executive Order 12333,
or section 2.3 of COMDTINST 3820.12 Procedure 2?
6.b. What is the element policy for collection, including but not
limited to, any Memoranda of Agreement/Understanding,
Proper Use Memoranda, or Information Sharing Agreements?
6.c. What is the element policy for dissemination, including but
not limited to, any Memoranda of Agreement/ Understanding,
Proper Use Memoranda, or Information Sharing Agreements?
6.d. What is the element policy for retention, including but not
limited to, any Memoranda of Agreement/Understanding,
Proper Use Memoranda, or Information Sharing Agreements?
6.e. Do IOOs and unit personnel understand that element
collection, retention and dissemination policy, including
Memoranda of Agreement/Understanding, Proper Use
Memoranda, or Information Sharing Agreements do are not
the baseline authority to conduct intelligence activities?
6.f.* Does element collection, retention, and dissemination
policy require compliance with Executive Order 12333 and
C
OMDTINST 3820.12 Procedure 2?
6.g. What is the element policy to ensure the recipient of
disseminated USPERS information and/or PII is entitled to
receive it?
6.h. Does the unit conduct periodic review of intelligence files
and databases in order to determine if retention of USPERS
information continues to be necessary to an authorized
function of the element?
6.i. What method is used to conduct the periodic file review for
USPERS information?
6.j.* What systems, files, databases or datasets does the
element maintain that contain USPERS information or PII?
6.k.* Are the systems, files, databases or datasets described in
4.j. of this document systems of records required to be
compliant with the Privacy Act, and if so what is the
documentation?
6.l. Does the element possess and use any operational
audio/video/tracking equipment including digital cameras,
video and voice recorders, and if so what is the process to
ensure data management of USPERS and/or PII is consistent
with COMDTINST 3820.12 Procedures 5, 6, and 9?
6.m. Does the periodic review described in paragraph 6.h of this
document include operational audio/video/tracking equipment
including digital cameras, video and voice recorders?
Enclosure (3) to COMDTINST M3821.14A
10
6.n. Are reviews of systems, files, databases or datasets
conducted on a regular basis to ensure that USPERS
information and/or PII has not been retained longer than may
be authorized or necessary? (COMDTINST 3820.1
2
P
rocedure 3?
6.o. When were the last reviews of systems, files, databases or
datasets conducted and what is the documentation of the
reviews?
INTRUSIVE PROCEDURES (SPECIALIZED COLLECTION TECHNIQUES)
Criteria
Text, Y/N,
or Date
Comments
7. Does the element employ special collection techniques as
specified in Procedure 5 through 10?
7.a. Is the element employing special collection techniques
consistent with its mission and authorities?
7.b. If the element has the mission and authority to employ
special collection techniques, has each been approved at the
l
evel required in COMDTINST 3821.14A or at the level
delegated in writing by proper authority?
7.c. Have requests for the use of special collection techniques
been reviewed and approved by the legal authority required
in
COMDTINST 3821.14A Sec. 2.D.
7.d. Do operational personnel and supervisors understand and
practice the “least intrusive means of collection” test before
r
equesting approval for special collection techniques?
7.e. If a special collection technique has been authorized for
a certain period of time, has the element stayed within
the approved limit?
7.f. If any specialized collection techniques generate
intelligence information reports (IIRs) or any other
disseminated product, are they reviewed by the IOO prior t
o
p
ublication?
7.g Has the unit requested any Procedure 10? (if so, the
Inspector must review all associated documents and records)
Note: the inspector will review documentation (including Operational Orders (OPORDs), CONOPs,
Briefs/Debriefs, Requests, After Action Reports, and Investigations, if applicable) for all special collection
techniques that are both currently being active and those that have been active in the last two years.
Enclosure (3) to COMDTINST M3821.14A
11
ASSISTANCE TO LAW ENFORCEMENT / SPECIALIZED EQUIPMENT & EXPERT PERSONNEL
Criteria
Text, Y/N,
or Date
Comments
8 . Has the element assisted law enforcement as described in
Procedure 12?
8.a If the element assisted law enforcement via Procedure 12
was that assistance consistent with the element’s mission and
authorities?
8.b If the element has assisted law enforcement via Procedure
12, has each activity been approved at the level required in
COMDTINST 3820.12 or if applicable, at the level delegated
in writing by proper authority?
8.c. Have requests for assistance to law enforcement via
Procedure 12 been reviewed and approved by the legal
authority required in
COMDTINST 3821.14A Sec. 2.A.11.
8.d. What is the element’s policy for determining whether or
not: (i) equipment is “specialized;” (ii) personnel are
“expert;” or (iii) information or capabilities are “technical
knowledge” within the meaning of section 2.6 of Executive
Order 12333?
8.e. If the element has assisted law enforcement via Procedure
12 and it was authorized for a certain period of time, was the
assistance completed within the approved period?
8.f. If the element provided specialized equipment via
Procedure 12, what were the sources and uses of appropriated
funds (both National Intelligence Program (NIP) an
d
O
perating Expense (OE)) to execute the Procedure 12?
8.g. If the element provided expert personnel via Procedure 12,
what were the sources and uses of appropriated funds (both
National Intelligence Program (NIP) and Operating Expense
(OE)) to execute the Procedure 12?
8.h. If the element provided technical knowledge via Procedure
12, what were the sources and uses of appropriated funds
(both National Intelligence Program (NIP) and Operating
Expense (OE)) to execute the Procedure 12?
8.i. What training or briefs/debriefs/temporary additional duty
endorsements are provided to element expert personnel
detached for Procedure 12 duty?
8.j. In the event element member(s) are detached for temporary
duty outside the element and it is determined that the
member(s) are not “expert personnel,” and therefore the duty
is not a Procedure 12, what training or briefs/debriefs/
temporary additional duty endorsements are provided to those
members?
Enclosure (3) to COMDTINST M3821.14A
12
8.k. In the event element member(s) were detached for
temporary duty outside the element and it is determined that
the member(s) are not “expert personnel,” and therefore the
duty is not a Procedure 12 of COMDTINST 3821.12, what
were the sources and uses of appropriated funds (bot
h
N
ational Intelligence Program (NIP) and Operating Expense
(OE)) to carry out this temporary duty?
8.l. Note: the inspector will review documentation (including OPORDs, CONOPs, Briefs/Debriefs, Requests, After
Action Reports, and Investigations if applicable) for Procedure 12 assistance to law enforcement that are
underway and those that have been completed in the last two years.
ELEMENTS WITH OPEN SOURCE INTELLIGENCE (OSINT), OPERATIONAL USE OF SOCIAL
MEDIA (OSM), AND/OR MANAGED ATTRIBUTION (MA) MISSIONS
Criteria
Text, Y/N,
or Date
Comments
9.* Does the element have an authorized mission, authority, and
program to conduct OSINT, OSM, and/or MA to collect
foreign intelligence and/or counterintelligence?
9.a.* List and provide documentation of each OSINT/OSM/
MA tool used by this element, including: Memoranda of
Agreement, licensee and user agreement, purchase
information, sponsor or provider, and relevant element
policy.
9.b.* What training is required for each OSINT/OSM/MA tool?
Is training required before access is granted?
9.c.* List and verify which element members, including
contractors and joint duty/detailees, are authorized to
conduct OSINT/OSM/MA.
9.d.* Discuss the element procedures for
periodic review of all
OSINT/OSM/MA operations including auditing, compliance,
and oversight by (if applicable) a provider or other IC member
providing these capabilities.
9.e.* Does the element maintain copies of IC, DHS, and/or
Coast Guard management and policy directives for
OSINT/OSM/MA?
9.f.* Is the element compliant with applicable of IC, DHS,
and/or Coast Guard policies in paragraph 9.d of this
document?
9.g.* Discuss and review any user agreements and licensing
agreements for those element personnel engaged in
OSNT/OSM/MA.
9.h.* Does the IOO have access to all agreements, records,
fiscal and audit data, exception reports, and technical
user/licensee data for OSINT/OSM/MA from the element,
providers, and (if applicable) IC members providing these
capabilities?
Enclosure (3) to COMDTINST M3821.14A
13
9.i.* Is clear element policy in place barring members from
engaging in programs other than those approved for
OSINT/OSM/MA and is that policy enforced?
9.j.* What CG-2 element is the OSINT/OSM/MA program
manager and is that element managing the programs in this
element?
9.k.* If the element collects, retains, and disseminates OSINT/
OSM/MA USPERS/PII information, has the element
documented that activity sufficiently for review in paragraph
6?
9.l.* If the element collects, retains and disseminates
OSINT/OSM/MA USPERS/PII information, has the element
practiced proper masking/minimization requirements?
9.m.* Has the element completed appropriate
research/collection plans for OSINT collection and were
t
hese plans reviewed/approved by legal and the supervisor of
the intelligence component?
9.n.* Was the appropriate Risk Management Assessment
completed for each research/collection plan described in
9.k.of this document?
Note: the inspector will review documentation (including OPORDSs CONOPs, Briefs/Debriefs, Requests, After
Action Reports, Licensing and User Agreements and Investigations if applicable) for OSINT/OSM/MA
applicable from the outset of these programs to the present day.
ELEMENTS WITH A COUNTERINTELLIGENCE (CI) MISSION
Criteria
Text, Y/N,
or Date
Comments
10. Does the element have an authorized mission, authority and
program to conduct CI to collect foreign intelligence and/or
CI?
10.a. List and provide documentation of each technical or
software tool (or equipment) used by this element for CI,
including: Memoranda of Agreement, licensee and user
agreement, purchase information, sponsor or provider, an
d
r
elevant element policy.
10.b. What training is required for each tool or equipment used
by this element for CI? Is that training required before access
is granted?
10.c. Explain the relationship of the Coast Guard CI program
with the National Counterintelligence Executive (NCIX)
program, including training standards, technical capabilities,
and, if applicable, certifications or qualifications granted.
10.d. List and verify which element members, including
contractors and joint duty/detailees, are authorized to
conduct CI.
Enclosure (3) to COMDTINST M3821.14A
14
10.e. Discuss the element procedures for
periodic review of all
CI operations including auditing, compliance, and oversight by
(if applicable) a provider or other IC member providing these
capabilities.
10.f. Does the element maintain copies of applicable IC/ NCIX,
DHS, and/or Coast Guard management and policy directives
for CI?
10.g. Is the element compliant with applicable IC/ NCIX, DHS,
and/or Coast Guard policies in paragraph 10.d. of this
document?
10.f. Does the element conduct CI to support CG Force
Protection? If so, what is the scope and authority based on
Executive Order(s), DHS, and Coast Guard policy?
10.f. Does the element conduct CI to support Law
Enforcement? If so, what is the scope of the support and
under what authority are they doing so based on Executive
Order(s), DHS, and Coast Guard policy?
10.g. Does the IOO have access to all agreements, records,
fiscal and audit data, exception reports, and technical
user/licensee data for CI from the element, providers, and (if
applicable) IC members providing these capabilities?
10.h. Is clear element policy in place barring members from
engaging in programs other than those approved for CI and is
that policy enforced?
10.i What CG-2 element is the CI program manager and is that
element managing the programs in this element?
10.j If the element collects, retains and disseminates CI
USPERS/PII information, has the element documented that
activity sufficiently for review in paragraph 6?
Note: the inspector will review documentation (including OPORDs, CONOPs, Briefs/Debriefs, Requests, After
Action Reports, Licensing and User Agreements and Investigations if applicable) for CI from the outset of
these programs to the present day.
ELEMENTS WITH A HUMAN INTELLIGENCE (HUMINT) MISSION
Criteria
Text, Y/N,
or Date
Comments
11.* Does the element have an authorized mission, authority
and program to conduct HUMINT? If yes, complete section
11 below:
11.a. * List and provide documentation of each technical or
software tool (or equipment) used by this element for
HUMINT, including: Memoranda of Agreement, licensee
and user agreement, purchase information, sponsor or
provider, and relevant element policy.
11.b.* What training is required for each tool or equipment
used by this element for HUMINT collection and is that
training required before access is granted?
Enclosure (3) to COMDTINST M3821.14A
15
11.c.* Does the Coast Guard HUMINT program conduct
activities and/or train its personnel based on Department of
Defense (DoD) or Defense Intelligence Agency (DIA
)
p
olicies or directives, including, but not limited to, the
documents listed in section 11.c.(1)-(17), below?
If so, explain the activities, standards, and the basis for their
application to the Coast Guard HUMINT program, including
training standards, technical capabilities, and (if applicable)
certifications or qualifications granted.
11.c.(1).* DoD 5240.1-R, Procedures Governing the Activities
of DoD Intelligence Components that Affect U.S. Persons, 8
Aug 2016
11.c.(2).* DoDD 3115.09, DoD Intelligence Interrogations,
Detainee Debriefings, and Tactical Questioning,
Incorporating
Change 1, 15 Nov 2013
11.c.(3).* DoDD S-5200.37, Management and Execution of
Defense Human Intelligence (U), 9 Feb 2009, Incorporating
Change 2, Effective 18 Nov 2013
11.c.(4).* DoDI S-5200.42, Defense Human Intelligence
(HUMINT) and Related Intelligence Activities (U),
8 Dec
2009;
Change 2, 16 Oct 2013
11.c.(5).* DoDI S-5205.01, (U) DoD Foreign Military
Intelligence
Collection Activities (FORMICA), 9 Mar 2015
11.c.(6).* DoDI S-3325.07, Guidance for the Conduct of DoD
Human Source Validation (U), 22 Jun 2009
11.c.(7).* DoDD S-3325.09 - Defense Clandestine Source
Operations (Ch 2), 15 Jul 2014
11.c.(8).* DoDI S-3325.10 - HUMINT Activities in Cyberspace
- 6 Jun 2013
11.c.(9).* Army Regulation (AR) 381-10, U.S. Army Intelligence
Activities, 3 May 2007
11.c.(10).* AR 381-100 (S), Army Human Intelligence
Collection Programs (U), 15 May 1988
11.c.(11).* Dept. of the Army, Deputy Chief of Staff (DCS), G-2
Memorandum (S//NF), Interim Policy Guidance
for the
Conduct of Oversight of Army Human Intelligence
(HUMINT) Sour
ce Operations (U), 13 Jun 2011
11.c.(12).* AR 381-102 (S), U.S. Army Cover Support Program
(U), 10 Jan 1991
11.c.(13).* AR 381-141 (C), Intelligence Contingency Funds
(ICF) (U), 16 Jan 2004
11.c.(14).* Defense Human Intelligence Enterprise-manual
(DHE-M) Vol.I 3301.001 (S//NF), Collection
Requirements,
Reporting, and Evaluation Procedures (U),
Incorporating
Change 2, 1 Feb 2012
Enclosure (3) to COMDTINST M3821.14A
16
11.c.(15).* DHE-M Vol. II 3301.002 (S//NF), Collection
Operations (U), 23 Nov 2010
11.c.(16).* Dept. of the Army (DA) Pamphlet 381-15 (S//NF),
Foreign Military
intelligence Collection Activities Program
(U), 8 Aug 2013
11.c.(17).* DA Field Manual (FM) 2-22.3, (U) Human
Intelligence Collector
Operations, 6 Sep 2006
11.d.*Are operational proposals (OP) or concepts of operations
(CONOPS) required to be submitted for review
and approval
before any HUMINT collection
activity is conducted?
11.d.* Discuss the element procedures for
periodic review of all
HUMINT operations including auditing, compliance, and
oversight by (if applicable) a provider or other IC member
(including DoD or DIA).
11..e* Does the element maintain copies of applicable IC, DoD
and DIA, DHS, and/or Coast Guard management and policy
directives for HUMINT?
11.f.* Is the element compliant with applicable IC/NCIX, DHS,
and/or Coast Guard policies in paragraph 10.f. of this
document?
11.g.* Does the element conduct HUMINT to support CG
Force Protection? If so, what is the scope and authority based
on Executive Order(s), DHS, and Coast Guard policy?
11.h. Does the element conduct HUMINT to support Law
Enforcement? If so, what is the scope and authority based on
Executive Order(s), DHS, and Coast Guard policy?
11.h.* Does the IOO have access to all agreements, records,
fiscal and audit data, exception reports, and technical
user/licensee data from providers of HUMINT collection
tools used by the element, and (if applicable) IC members
providing these capabilities?
11.i.* Is clear element policy in place barring members from
engaging in programs other than those approved for
HUMINT collection and is that policy enforced?
11.j. What CG-2 element is the HUMINT program manager and
is that element managing the programs in this element?
11.k.* If the element collects, retains, and disseminates
HUMINT containing USPERS/PII information, has the
element documented that activity sufficiently for review in
paragraph 6?
Note: the inspector will review documentation (including OPORDs, CONOPs, Briefs/Debriefs, Requests, After
Action Reports, Licensing and User Agreements and Investigations if applicable) for HUMINT from the outset
of these programs to the present day.
Enclosure (3) to COMDTINST M3821.14A
17
ELEMENTS WITH A SIGNALS INTELLIGENCE (SIGINT) MISSION
Criteria
Text, Y/N,
or Date
Comments
12. What is the source of the unit’s authority to engage in a
SIGINT
mission?
12.a. Does the unit provide detached duty or permanent change of
station (PCS) SIGINT personnel to perform duty
with a
National Security Agency (NSA) element other than the
Coast Guard Cryptologic Group (CGCG)? If so, describe the
unit(s) and the mission. Review an unclassified organization
chart that includes manning at these locations.
12.b. Does the unit conduct a Coast Guard SIGINT mission, as
approved by the Director of NSA, under delegated SIGINT
Operational
Tasking Authority (SOTA)? If so, provide and
discuss the scope of the delegation under applicable U.S.
SIGINT Directives (USSIDs).
12.c. If the unit is currently conducting a SIGINT mission,
is its
authority to do so specified in valid authority
documentation
on file (e.g., USSID/Site Profile, Mission
Delegation Form
(MDF), and Staff Processing Form? Review and discuss this
documentation.
12.d. Explain the relationship of the Coast Guard Cryptologic
Group with the Central Security Service (CSS) and cite
whether CSS (and or another CSS member) specifies training
standards, technical capabilities and, if applicable,
certifications or qualifications are granted.
12.e. Is the element commander and senior staff knowledgeable
of and
fulfilling their Intelligence Oversight responsibilities in
accordance with (IAW) USSID 2500, 2500 SP A, and USSID
19 (Oversight and Compliance Policy)?
12.f. Does the element have a primary and alternate IOO at all
locations? If not, explain who or what entity conducts
intelligence oversight at these locations.
12.g. Are the IOOs actively involved in and do they have the
requisite access, including JWICS and NSANet for
awareness of the element’s SIGINT mission?
12.h. Are the primary and alternate IOOs appointed in a signed
appointment from the element commander or is their position
based on element policy?
12.i. Have the IOOs completed Intelligence Oversight Officer
(OVSC2201) training? (Note: This requirement is in addition
to NSA/CSS Intelligence Oversight Training (OVSC1000),
Oversight of Signals Intelligence Authorities (OVSC1100),
and Legal Compliance and Minimization Procedures
(OVSC1800) courses that are required for all members.)
12.k. Does the senior IOO interface regularly with all element
locations (including site visits to element locations
performing Coast Guard SIGINT missions) and does the
element provide adequate funding for this travel?
Enclosure (3) to COMDTINST M3821.14A
18
12.l. Does the senior IOO maintain a turnover or “smart book”
with references and/or copies of required USSIDs and CSS
policy and records to assist in transitions to a new IOO?
12.m. Are there written standard operating procedures (SOPs)
or instruction on file which together with the “smart book”
states the role and mission of the IOO and ensures access to
element records and personnel?
12.n. Has the IOO submitted an IOO Verification Form or
accepted the
Intelligence Oversight lien to the NSA/CSS SID
Oversight an
d Compliance Office (P7)?
12.o. Has the unit submitted any SIGINT related incident
reports in the past year? If yes, please complete section
12.o.(1)-(4) below:
12.o.(1). Were the reports submitted immediately upon
recognition pursuant to DoDD 5148.13 and USSID 19?
12.o.(2). Was the commander aware of these reports and
were
they involved in mitigation procedures?
12.o.(3). Was a summary of the incident(s) included in the
Quarterly Intelligence Oversight Report?
12.o.(4). Has the unit failed to report any SIGINT-related
Intelligence Oversight matters?
12.p. Has the unit submitted quarterly Intelligence
Oversight
reports to the Judge Advocate General (and any other
required
offices)? If yes, complete section 12.p.(1)-(4) below:
12.p.(1). Were these reports submitted jointly with the P7
office?
12.p.(2). Were these reports signed by the element commander?
12.p.(3). Does the IOO brief the element commander in person
before the reports are signed?
12.p.(4). What is the required P7 retention period for the
reports and is the element compliant with the retention
requirement?
12.q. Do SIGINT personnel have access either to
current paper
copies, links to on-line versions, or readily
accessible files on
their computers of the following
documentation? If yes,
complete section 12.q.(1)-(8) below:
(Note to inspector: Only the NSA/CSS SID Policy Office
may
post USSIDs on-line.)
12.q.(1). USSID 2500 (U//FOUO) (U.S. Coast Guard –
SIGINT
Activities), 05 April, 2019 (U) (or most recent update)
12.q.(2). USSID 2500, Site Profile A (U//FOUO) (Coast Guard
Cryptologic Unit Texas), 03 May 2018
12.q.(3). USSID 18 (U)(Legal Compliance and U.S. Persons
Minimization Procedures) , 25 Jan 2011
Enclosure (3) to COMDTINST M3821.14A
19
12.q.(4). USSID 19 (U)(NSA/CSS Signals Intelligence
Directorate – Oversight and Compliance Policy) ,
13 Nov
2012
12.q.(5). COMDINST SM3230.2 Tactical Cryptology Manual
18 Mar 2014
12.q.(6). NSA/CSS Policy 1-23 (Procedures Governing
NSA/CSS Activities that Affect U.S. Persons), 30 Jul 2012
12.q.(7). COMDINST M3812.14,
Oversight of Coast Guard
Intelligence Activities, 28 Aug 2003
12.q.(8). Presidential Policy Directive 28 (PDD-28), Signals
Intelligence Activities, 17 Jan 2014
12.r. If able to access an NSANet or JWICs workstation,
have
all personnel conducting, supervising, or managing
SIGINT
operations received the following required on-line
Intelligence Ove
rsight training listed in 12.r.(1)-(3) below?
12.r.(1). OVSC1000, NSA/CSS Intelligence Oversight
Training
12.r.(2). OVSC1100, Oversight of Signals Intelligence
Authorities
12.r.(3). OVSC1800, Legal Compliance and Minimization
Procedures
12.s. Do authorized personnel currently access raw SIGINT
databases? If yes, complete 12.s.(1)-(4) below?
12.s.(1). Does P7 require the element to have qualified primary
and alternate
auditors assigned and available to review this
access?
12.s.(2). Have auditors received OVSC3101 on-line training
(this is in addition to OVSC1000, OVSC1100, and
OVSC1800)?
12.s.(3). Are auditors able to describe and demonstrate their
responsibilities IAW USSID 6?
12.s.(4). Are procedures in place to terminate a person’s
database access when such access is no longer required?
12.t. Discuss unit tasking and interview the element operations
officer. Review and discuss the sequence of events and steps
in the approval process for element missions and complete
12.t.(1)-(3) below:
12.t.(1). What reviews are conducted for the possibility of
collections against USPERS prior
to tasking?
12.t.(2). What reviews are conducted for collections in another
country’s territory prior
to tasking?
12.t.(3). Does the unit issue SIGINT post-mission reports or
products and if so are they reviewed by the IOO for content
before release?
Note: the inspector may review documentation (including OPORDs, CONOPs, Briefs/Debriefs, Requests, After
Action Reports, Licensing and User Agreements and Investigations if applicable) for SIGINT from the outset
of these programs to the present day.
Enclosure (3) to COMDTINST M3821.14A
20
OVERSIGHT OF LEIE PERSONNEL ACTIVITY
Criteria
Text, Y/N,
or Date
Comments
13. Are LEIE personnel engaging in activities that trigger
intelligence oversight requirements?
13.a. Are there members of the LEIE performing OSINT
activities?
13.b. If yes, have the provisions of paragraphs 1, 3, 4, 5, 6, and
9 of this Checklist that are marked with an asterisk (*) next
to the line item been applied to these LEIE members to the
extent of their OSINT activities?
13.c. Are there members of the LEIE using any other national
intelligence community intelligence sources and methods?
13.d. If “yes,” have the provisions of paragraphs 1, 3, 4, 5, and 6
of this Checklist that are marked with an asterisk (*) next to
the line item been applied to these LEIE members to the
extent of their use of these resources?
13.e. Are there members of the LEIE engaged in activities
funded in whole or in part by NIE funds (e.g., National
Intelligence Program (NIP) funds)?
13.f. If yes, have the provisions of paragraphs 1, 3, 4, 5, and 6 of
this Checklist that are marked with an asterisk (*) next to the
line item been applied to these LEIE members to the extent
of their participation in these functions?
13.g. Are there members of the LEIE otherwise engaged in
activities that rely exclusively on NIE legal authorities to
execute?
13.h. If “yes,” have the provisions of paragraphs 1, 3, 4, 5, 6,
and 11 of this Checklist that are marked with an asterisk (*)
next to the line item been applied to these LEIE members the
extent of their participation in these functions?
Note: Per COMDTINST 3820.12, only members of the NIE are authorized to engage in National Intelligence
Activities. Commands must obtain a waiver from CG-2 before LEIE personnel conduct activities solely for the
purpose of satisfying national intelligence requirements.
Enclosure (4) to COMDTINST M3821.14A
1
ENCLOSURE TO COAST GUARD INTELLIGENCE OVERSIGHT, COMDTINST
M3821.14A: U.S. COAST GUARD IMPLEMENTATION OF INTELLIGENCE
COMMUNITY DIRECTIVE 120 REVIEW PROCEDURES
In accordance with Intelligence Community Directive 120, Intelligence Community
Whistleblower Protection, 29 April 2016 (ICD 120), “each IC element is required to have a
process for employees to seek review of personnel actions alleged to be in violation of Section
A, of Presidential Policy Directive 19 (PPD19), Protecting Whistleblowers with Access to
Classified Information 10 Oct 2012. The Inspector General (IG) of the Covered Agency will
conduct a review of the alleged reprisal actions as part of this process. Such review process must
provide for the protection of national security information and intelligence sources and
methods.” The U.S. Coast Guard ICD 120 review process is as follows:
A. Filing of a complaint. An employee in, or applicant for, a position in the Coast Guard
Intelligence Enterprise (CGI) may seek review of a personnel action made against them
which they allege to be in violation of ICD 120 or PPD19 by filing a complaint with
Commandant (CG-LII), or the Department of Homeland Security (DHS) IG (via the DHS
IG hotline or email address below).
B. Investigation. Within 5 working days of receiving a complaint alleging a personnel
action in violation of ICD 120 or PPD19, Commandant (CG-LII) shall notify
Commandant (CG-2) and TJAG and provide a copy of the written complaint to the DHS
IG, ensuring that classified materials are submitted through appropriate channels.
Working with Commandant (CG-2), Commandant (CG-LII) will ensure the appointment
of a Preliminary Inquiry Officer (PIO) to investigate all complaints. The investigation
shall be conducted in accordance with Coast Guard Administrative Investigations
Manual, COMDTINST M5830.1A, dtd 7 Sep 2007, unless criminal misconduct is
alleged or discovered. In cases involving allegations of criminal misconduct, Coast Guard
Investigative Service (CGIS) and Coast Guard Counterintelligence Service (CGCIS) will
be notified of the investigation.
C. Determination. Upon completion of the investigation, Commandant (CG-LII) shall
provide a recommendation containing the findings to Commandant (CG-2) and
Commandant (CG-094) for review. If Commandant (CG-2) and Commandant (CG-094)
concur with Commandant (CG-LII)’s recommendation, Commandant (CG-094) shall
forward the completed investigation to the DHS IG with a memorandum describing all
actions taken and a statement concerning whether the matter is closed.
D. Relief. If Commandant (CG-2) and Commandant (CG-094) concur that reasonable
grounds exist to believe that a personnel action occurred, exists, or has been taken, in
violation of ICD 120 or PPD19, Commandant (CG-2) shall recommend that the
component rescind the improper action and/or take specific corrective action to return the
employee, as nearly as practicable and reasonable, to the position such employee would
have held had the reprisal not occurred.
Enclosure (4) to COMDTINST M3821.14A
2
E. Nondisclosure Agreements. The following statement applies to non-disclosure policies,
forms, or agreements of the federal government with current or former employees:
“These provisions are consistent with and do not supersede, conflict with, or otherwise
alter the employee obligations, rights, or liabilities created by existing statute or
Executive Order relating to (1) classified information, (2) communications to Congress,
(3) the reporting to an Inspector General of a violation of any law, rule, or regulation, or
mismanagement, a gross waste of funds, an abuse of authority, or a substantial and
specific danger to public health or safety, or (4) any other whistleblower protection. The
definitions, requirements, obligations, rights, sanctions, and liabilities created by
controlling Executive Orders and statutory provisions are controlling.”
DHS Office of the Inspector General Reporting Information
Online: Allegation Form (Recommended)
https://www.oig.dhs.gov/hotline
Call: 1-800-323-8603 toll free
TTY: 1-844-889-4357 toll free
Fax: 202-254-4297
U.S. Mail:
DHS Office of Inspector General/MAIL STOP 0305
Attn: Office of Investigations - Hotline
245 Murray Lane SW
Washington, D.C. 20528-0305
CG-LII Contact information
Call: 202-372-2950
U.S Mail:
COMMANDANT (CG-LII)
ATTN: Office of Information and Intelligence Law
US COAST GUARD STOP 7213
2703 MARTIN LUTHER KING JR AVE SE
WASHINGTON DC 20593-7213