r'

EXREG CONmOL NUMBER KCC CONTROL NUMBER

IG-10089-02 THAU ACTION

_D_ID_IR_ --'._''~·"--~ __ E_C_R_E_TAR __ I~_T_..../:lttw ___ "_l~/d.v_{o ___ __, D APPROVAL SUBJECT

EXREG SUSPENSE

KCC SUSPENSE

Quarterly Report to the Intelligence Oversight Board on NSA Activities-Fourth Quarter FY02 {U//FOUO)

~SIGNATURE

D INFORMATION ELEMENT SUSPENSE

DISTRIBUTION

SUMMARY

PURPOSE: (Uh'POUO) To forward to the Intelligence Oversight Board (IOB) of the President's Foreign Intelligence Advisory Board, via the Assistant to the Secretary of Defense for Intelligence Oversight (ATSD(IO)), NSA's quarterly report on its intelligence activities.

BACKGROUND: (U/fFOUO) Executive Order 12333 and Executive Order 12863 require Intelligence Community agency heads and Intelligence Community General Counsels and Inspectors General, respectively, to report to the IOB on a quarterly basis concerning intelligence activities that they have reason to believe may be unlawful or contrary to Executive Order or Presidential Directive. The enclosed memorandum covers all reportable activities known to the Inspector General and General Counsel. Per PIOB letter of 6 August 1982, Agency heads are responsible for reporting separately any additional reportable activities known to them, unless the President has specifically instructed that the Board is not to be informed. The Director's signature signifies that no other activities that require reporting are known to him.

RECOMMENDATION: (U/JtrOUO) Director sign the enclosed memorandum.

pproved for Release by SA on 12-22-2014, FOIA ase # 70809 Liti ation

./f ( b ) ( 3) - P. L . 8 6-3 6 .. ·· .. ·.: .. ·····: ........

.. ···•·· ....... .... ....... ···•·· . .

DECLASSIFY UPON REMOVAL OF THE ENCLOSuRE(S)

OFFICE

GC Robert Dei

.. ··•·· / / . .

cooi:lo1NATtOWAPPRO~AL -~· ... .

SECURE PHONE .. 6 FFICE

ORG.

NAME AND DATE

PHONE (Secure) DATE PREPARED

ECURE PHONE

Dll 963-3544 19 November 2002

FORM A6796 FEB 94 NSN: 7540·FM-001·5465

DERIVED FROM NSNCSSM 123-2 DATED: 24 February 1998 DECLASSIFY ON· XI

SECURITY CLASSIFICATION

DOCID: 4165264 ... TOP gEc&E·xa JOMlNT/!fMJEf'i'F lffi"l1IOLE7. Jf"OltN//Xl

NATIONAL SECURITY AGENCY CENTRAL SECURITY SERVICE

FORT GEORGE G. MEADE. MARYLAND 20755-6000

4 December 2002

MEMORANDUM FOR THE CHAIRMAN, INTELLIGENCE OVERSIGHT BOARD

THRU: Assistant to the Secretary of Defense (Intelligence Oversight)

SUBJECT: (U/IPOUO' Report to the Intelligence Oversight Board on NSA Activities - INFORMATION MEMORANDUM:

(U//:FOUOr Except as previously reported to you or the President, or otherwise stated in the enclosure, we have no reason to believe that any intelligence activities of the National Security Agency during the quarter ending 30 September 2002 were unlawful or contrary to Executive Order or Presidential Directive, and thus required to be reported pursuant to Section 1.7.(d) of Executive Order 12333.

(U/f.FOUO) The Inspector General and the General Counsel continue to exercise oversight of Agency activities by means of inspections, surveys, training, review of directives and guidelines, and advice and counsel. These activities and other data requested by the Board or member of the staff of the Assistant to the Secretary of Defense (Intelli e Oversight) re described in the enclosure.

\

(U//POUO)- I concur in the report of the Inspector General and the General Counsel and hereby make it our combined report. . · ·

Encl: a/s

This Memorandum is Unclassified Upon Removal of Enclosure

~~j(~ MICHAEL V. HAYDEN

Lieutenant General, USAF Director, NSA/Chief, CSS

DERIVED FROM: NSiVCSSM 123-2 DATED: 24 FEB 98

· DECLASSIFY ON: Xl

'i'OP SECH:E'fttCOMIN'ffi'TALENT KEYIIOL:Et!NOFOltNt/XI

DOCJD: 4165264 ·, .

1 OP SECltETh'COlVItNTl'fALEM'f KEYHOLEHNOFOR:Nl!Xl

/ (b) (1) f (b) (3)-P. L . 86-36

f f (b) (3)-50 USC 302 4 ( i )

1. (U) INSPECTOR GENERAL ACTIVITIES j 1 I a. (C//SI) During this quarter, the Office of Inspector General (qtG) reviewed various intelligence activities of the National Security Agency /cf~ntfal Security Service (NSA/CSS) to determine whether they were conducted;}h a~cordance with applicable statutes, Executive Orders, Attorney General proceefilre4, and DoD and internal directives. With few exceptions, the issues presentecijyVer~ routine and indicated that the operating elements understand the restric~pns dh NSA/CSS activities. / /

..

b. (S//'fKJThe OIG received an email from the Inspectorf<i enereflJ .... -----.1 I l·i.n. .. which he said that an unidenti~efd employee who haq attended a town meeting all-·······.. r cr1leged!1that during the meeting, an NSA employee expresse..~ concern thatl linay h~ve been processing conununications signals in violation ofUS.?ID-18. It was further alleged that a high ranking official of NSA, the SIGINT Director;·w~s present and x;\1ot only failed to stop or investigate the violations, but also encouraged ·~i'm<::>re liberar interpretation of USSID-18. The OIG inquiry into this matter determine.dth(!_t tije allegations were not substantiated. Numerous interviews with persons preseriWat._the town meeting support the conclusion that no violation of USSID-18 was disc;Vtssed;·th,at the SICINT Director was not present at fhe meeting, and that no person v-{,a.s encour;;igect_to • violate, or give a new and lUlauthorized interpretation to USSlD-18. The 01,q:::::::>1 inquiry final report is attached as Enclosure A. .. ..... J/.......................... / (b)(3)-P.L. 86-36

c. (5/ /'fi<) The OIG receiv~9. .. <:l.requestfr<.irn ... th~- I~~pector General,1 r I ltb'<"onduct an inquiry into thel allegr improper destruction of Intelligence Oversight (IO) quarterly report files at fo determine whether the records were destroyed in accordance with applicable laws and regulations. Our inquiry concluded that no laws or regulations were violated in the matter, and that current quarterly report records-keeping practices atl pre consistent with those of other field sites. The OIG inquiry final report is attached as Enclosure B.

2. (U) GENERAL COUNSEL ACTIVITIES

a.-(C//SIT"fhe OGC reviewed various intelligence activities of the NSA/CSS to determine whether they were conducted in accordance with applicable statutes, Executive Orders, Attorney General procedures, and DoD and internal directives. The OGC advised Agency elements on a number of questions, including the collection and dissemination of communications of or concerning U.S. persons; the

ORV FM: NSAJCSSM 123-2 Dated: 24 Feb 98

DECLON:Xl TOP 5ECttE'ft/COMtNfl't'ALENT KEYHOLE/INOl'ORtW.f:Xl

1

DOCID: 4165264 -

TOP 6ECRJ:i'f'l.fC01H:INTITA.LEWF KEYHOlEllNOfORNl.fXl

reporting of possible violations of federal criminal law contained in SIGINT product; the testing of electronic equipment; and the applicability of the FISA. With few exceptions, the issues presented were routine and indicated that the operating elements understand the restrictions on NSA/CSS activities. The OGC did not file any reports with the Intelligence Oversight Board during this quarter.

3. (U) SIGINT ACTIVITIES ....... (b) (1)

a. (6//SI) Collection Against U.S. Person~/·· (b) (3)-P. L . 86-36 / (b) (3)-18 USC 798

... / (b) (3) -50 USC 302 4 ( i )

(1) (U) Intentional _ .......... .....

(S//51) During tis Juartt:;.r{the DIRNSA granted approval for consensual collection against ·p~~s-C:ms; DIRNSA-approved consensual collection against[JU.S.: .. p_erso9s\~~is .. rQ~_?nely terminated this quarter.

(S//SI) The At~p~~;··Geh'eral..gr·:~~~a ·au~ority to collect the cornmunicati9ns ofl lu..s .. ::p~rson$. __ durmgJ!Us quarter. However, collection )V~S suspended on one of"llieirldiy~~u~.i.~"due ... to his arrest in

I jfud subsequent extradition to the Unfred·State?..::~h:er~. he is now in detention. . ......... :::::::::,,:;;::::;;;;;;;:::;;:;;,," .. ..

('b.l,_(3)-P. L . 86-36 ······/ (b) ( 1 ) ···.

···........ (2) (U) Unintentional ( b) ( 3 ) - P · L · ···.

............... (S//SI//Nf) 1hls uarter, uninJ~ntiortalr~tri~val strate ·es usinK-fhe ·.... raw tr,aJfic files

resulted in · Cidents against U.S. persons. All incidents were reported to responsible oversight officials and corrective actions were taker(.

b. (U//FOUO) Dissemination of U.S. Identities

(1) (U) Intentional

(~//SI) In accordance with section 7 of USSID 1s,LJu.s. identities were disseminated. The following table shows the justification and the number of instances of dissemination: in the "Unmasked" column, the U5. identity was revealed in a serialized end product; in the "User Requested" column, a U.S. identity was released to a user at the user's request.

DRV FM: NSAICSSM 123-2 Dated: 24 Feb 98

DECL ON:Xl TOP S EC1l£.Tl'COA4IWFITALENF KE¥llOLEHP...T.(JFORNllX1

2

86-36

DOClD: 4165264

TOP SECRETNC01UINT/Tt\LENT KEYflOLEHNOfORt•lh'XI

JJs~iFICATION .·-·, Unmasked User Requested . : TOTAL :: :

7.2.c Necessary

7.2.c.l Foreign Official

7.2.c.3 International narcotics

7.2.c.4 Criminal activity

7.2.c.7 US. Government Official

TOTAL

........... ··;/'°'.( b) ( 1) (2) (U) Unintentional ............. ···· .·· ·· \t bl (3)-P . L . 86-36

(£//SI) During this quarter, OsIGINf·p;~-~:f"~cts were ~.9-nc·ei~d becaus~ they contained the identities of U.S. persons, orgailizatioµs/ or entities. · ·

... ···

4. (U) OTHER ACTIVITIES

(U) lntegrees in Analysis and Pros:tucti~n

... ·· .... ·· ,..··

. . .. ·····

uarter,

(U) Assistance to Law Enforcement

... ·· ... ··· .. ···

(5//SI//Hf) Th I lpro~ .. v-1....,.....e~s-u_p_p-or_t_t_o.--------------------------~

during the quarter. this support in_~!_µ,ded _____________________ __.

•'(t;· i··· ; · ~·;··

( b) ( 3) - P. L . 8 6-3 6

(b) (3)-P . L . 86-36 (b) (3)-18 USC 798 (b) (3)-50 USC 3024 (i)

DRV FM: NSAlCSSi\1123-2 Dated: 24 Feb 98

DECL ON:Xl TOP S£CRETllCOldINTITALENTK£¥HOLEllN0£010'ih'X1

3

DOCID: 4165264 . ......__

'fOP SECR.E'fHCOi'9flN'ff'f:ALEN'f KE¥IIOLD't'NOfORNHXI

(b ) (-3 - P . L . 86- 36 · (b ) d .. - 18 USC 798

(b)\(1'

~----------------------------(b_)_(~3 - 50 USC 3024(i)

(Ti//Sl{}Hf) Inadvertent Retention of FISA-Derived Intercept

(TS//Sl//N-r') While cleaning out old files, analysts in a SID organization discovered several pieces of FISA-derivedl lintercept,,.datedhe.tw.~~n ............ . I !that hadbeentrrn:dvetteritlyfiled .. and .. retaifl.~d>·<b i ( 1 i The intercept was destroyed immediately. All division personnel w~o·handle (b l (

3 l - P · L ·

FISA-derived intercept have been reminded of the FISA minllr}j.zation procedures as outlined in USSID-18 and have been coun§.e.led.on the proper procedures for handling and disseminating! bn tercept and the restrictions against retaining such intercept. Procedures for handling this material within the division have been streamlined to minimize the possibility that such an incident will reoccur.

(U) Working Aids

(U) No new working aids were developed during the quarter.

(U) Databases

$//Si) Numerous branches in ....-~-- ........ ----------------.. onsistent with OGC uidance

to avoi "-Onl--inf-. _o_rm __ a_ti_o_n_t"""'h,....at-.. 1-. s-e-. s-se_n_t-ia_l_t_o_un_d_e_r-st_an_d__.in ""the intelli ence is indudedJ .

Offices of·P.r_!mary Interest .. ....._ ___ &...-_--.. _ ___.'-'--_......_ ______ ingr~i'ei'"to.elJ:sure that "t~ey are not .. coU¢ded

·•·•••••··········· ~;,,,/~>"' agams

(b) ( 1) (b)(3)-P . L . 86-36

DRV FM: NSAJCSSM 123-2 Dated: 24 Feb 98

DECLON:Xl TOP S£CRETllCOl'1fINTITA.LENF KEYJJOLE!+~l.()fORVJ./Xl

4

86-36

ooc+o: 4165264

DOCID: 4165264

SECKE'tY!flU/Xl NATIONAL SECURITY AGENCY CENTRAL SECURITY SERVICE

FORT GEORGE G. MEADE. MARYLAND 20755-6000

./.{b} .. ( 3) - P . L . 8 6 - 3 6 23 October 2002

MEMORAND~;~: INSP:::~~ALl----------1 I·/ 1

Tl:?YT~l ............................... $._UBJECT: Inquiry Into Alleged USSID 18 Violation Disclosed During a Town Meeting ( b)"-~..3l""l?..: L . 86- 36 ............................ a~ ICS/FFK) (b ) (3·) .. - 50 ... US.C 3024 (i) · ·

...... ·.. · .. ·························· .... (S/fFIC) This memorandum responds to your email message to Joel Brenner, our ................ Inspecior·G.~neral. dated 20 September 2002, retransmitting a message from your staff

"· .. · .. .dated 9 September. 2002, which we had not previously received. I .I 1 ·.. .... ·······.... l ·At~.~~_hed to the message· was ·a .. pne-page .. Summary ·of..~lleged Violation of USS ID 18/E.O. 1233-3/.~ ... .Jhe _./ Summ~iJ' .. states in relevant part~ ············... ....... ...(b) < 3) - P. L .

... ... "· ..... -Pisclosure of the alleged ,:j·olatiQI.1. occurred during a ~own

meeting at while ·cb.~ Director, SIG.INT/NSA served as guest speaker. During the town rneeting;··lt...was observed that

I Foicea .t:!S~~f ~ . 1~ .. ~~ .... •ssi:ed to th~has. p!~~ssing ) communications si 2Jlals tha ....... ... ( b ) ( 3) - P . L .

I Ian.~ ~casiona y nee e to excee t e two- our maximum; timeline allowed ... under. USSID 18. Reportedly. the Director, SIGINT responded that USSID f8 .. autP._orizes two hours - or the time necessary to determine the nature and amount-of. foreign intelligence included in the communications. ......... ·

·····

~he g~st of the allegation is (I) that lt.'.was~Pr..c:>_~essi_~~'(;·om~µ,~_ications" sign~Is in violauon of USSID 18 and (2) that ~ranking offic1alof..NS.A. the.S.IGINT Dtrector, not only failed to stop or investigate the violations (your Summary.mentions,,) communications in the plural, thus suggesting more than one violation).~. buf<fil~d 1

> _ _

86-36

86- 36

.. l"be . . fUSSID 8" ...... (bi (3) P . L . 86 36 encouraged a more 1 raJ mterpretauon o I . ............ (b ) (3) - 50 usc 3024 (i)

"(}'.).)' :t 3 )"= P.·: L ..... 8 6::-;3 .. ~ ..... · . ,... .

··········· ·····

..... ... . (SilrKJ linfer·that this is .ttI~. same issue you.raised when Mr. Brenner and ....... 1 lour Inspections ctiiet" .. 'vi'S.i.ted·youl I Yo~ then advised

them of an unspecified violation at c:Jbut provided no details.

(SlffiC) We have not been made privy to the identity of the person who witnessed lhese events or made this allegation. We have therefore not been able to interview your source of information, assuming .it is not one of the persons mentioned in the Summary.

(Sf{fttj ~ou .. sen\Me .. Brennera . .funher .. fmai1 .. messag~:=~~tj,ng that the "referenced meeting took plac~ in) l whcfstiJLworks

1at ifie <

3) - P · L ·

..... ·· .. 1 fiay have knowledge of the facts." Fortunately.I fis now

( b ) (1) -(b ) (3) - P .L. 86- 36 (b ) (3) .-50 USC 3024 (i)

1 £1!:CRET/FFIU/Xl

,.,lis dOCUiliehl Is eli!Sslfted ~ECRf:T'J/TK due to dre c:QA1piJ;ti&A a( ethep11u ix: ttnclwsifitd infoi lilAtion.

86-36

DOCID: 4165264

SECRET/ffK//Xl

.. ·....-Hb) ( l l _........-" \(bl (3l-P. L . 86-36

_ _.......- (k> (3l -50 USC 302 4 ( i ) ... ·

.. ··•·· ... ·

employed here at NSA.W: .. andl lwas availabJe··b·;··~ecure telephone,\ and we were able_.t.Q.intervievrboth of them immediately. Let _me· share wich you what they 'say about

.... ·················· "these allegations. · ,........... ·· ' · ..._ 1~'.i:;:}: : (3}~J?.. .. . L... 86- 36 _.......-

·\:~'\"::.:·· .... · ... · ....... :·:-._-................ (5/ffK)I ~oJd us: "f.itst~ I would like to state for the record myourrage \...._ "\~::-.. [her -it~_Ji_cs] at the suggestion that,J·witnessed a violation of USSID 18 atQand\did

\,_ "<::-.. not report'it .. . Jf I were witnes~.-t6 such a violation, then I certainly would not lry to t~port \..._ "-.<:--. such an infracttoll·inqi_rec~J.y-'\~ia an informal question at a town meeting." A~corditig to

·\.._ "·f ···... lhe questi9n"'she .. ?.sked was directed co what would happen i the terms of\ \ us·s.i;D 18 unduly _pr6ved consirainir.tg. She added that in her opinion s in fact

\.__ extre~ely rig0,ro6s in its effons to en.sure--tb..~t USSID 18 and the -......... I l·are upheld." .... · ... -... .... .... .... .... ......__ _____ _,

\ (SltHc,j ]said that_ her question to DIRNSAwasi~sJ>ired, in pan, b~ \, comments made by NSA Deputy Director, Mr. Wilham Black, dumfgl J "I I We viewed a co,_p_y_o"""'f,....,ch,....e _ __,

videotape of !v1r. Black's address during which he commented on the challenges of doing business in the worJd of new technology using documents and authorities written in an .. analog world." He stated, "If a policy is in your way, it is incumbent upon you to let us know , .... hat they are." He couJd not reasonably be understood to have "encouraged a more liberal incerpretation of USS.ID 18." .......................... ······xP-'l-·{l. l

........... .......... / (b.) (3}"~P._L . 86- 36

't~t"l~') = =:~; ~~(;,30~ ~tour soUl'i:=::~:L ~~e stated that she was pt;ci~n/:t'~:I t~:: trsq 302 4 1

i

1

\ ·.. ~Ting and 1~~":i~~~t she has no ~u;:::~~s!;:~~Z~b 1~lo1at~~~~:~ employee. _...

\ \... fS#B{l In the interest of copducting a thorough inveli~tion, we contacted -..._ I )who was present at the/ meetmg. She told us that the

-......_ Director, NSA was at the meetino, but that the NSA SIG)N'r Director, was no~J I , ··1 ldid not remembe~ ..., lquest.iQI_l:. ~j{e added, however, th,it said she

certainly would have remembered if someone at the ijieeting··hadd.i~~~-()sed .~{possible USSID 18 violation. _.../ ..... :::::::>·~~·J::>l (3l - P . L . 86- 36

(~.tffK) \Ve also contacted several .... ~p~9.yee~f"\v·h·~--~:··atten~e~ ... lh~ meeting. Those who remembered question recalled it asl "·I represented it to us. None of those persons too her comments as a disclosure of a USSID 18 violation.

(U) We therefore find the allegation unsubstantiated.

(Sla:K)-Our office takes such allegations very seriously. Indeed, we encourage and to some degree depend on volunteered information to supplement the information we develop through our own initiative, and we are grateful for your assistance in bringing this particular allegation to our attention, regardless of the fact that we find it

2 S~CRET/fFIU/Xl

DOC! p .: 4165264 .-

SECR:E'ffffKi/Xl

unsubstantiated. We share your deep concern that SIGINT activities must be conducted both efficiently and in strict confonnity with the nation's laws and Constitution; and further, that we must remain constantly vigilant in this area. Early in Mr. Brenner's tenure, our Director, Lt. Gen. Michael V. Hayden, gave him the opportunity to make this point to the entire NSA workforce, using the Agency's internal television network, and he did so on 22 July 2002 (hrto://www.n.nsa/IG/briefings.html).

(U) Thank you again for bringing this matter to our attention .

.___________.I Senior Assistant Inspector General

for Investigations ·

. 3 SE€RE'f/ffK//X1

( b) ( 3) - P. L . 8 6-3 6

DOCID : 4165264

• '

. ., , -~ .

....... ~ ""(_ ·.,

DOCID.: 4165264

SEC:R£'f'iffKllX 1 NATIONAL SECURITY AGENCY CENTRAL SECURITY SERVICE

FORT GEORGE G. MEADE. MARYLAND 20755-6000

23 October 2002

MEMORANDUM FOR INSP~Q.QR ... G.:ENERALf .................................................................................. .e· {b-JOt-P · L . 86- 36

I !······························································

' SUBJECT: Inquiry Into the Destruction.of Intelligence Oversight (IO) Quanerly Report

(QR) Files (U) - INFORMATION MEMORANDUM

(:31/TK) This memorandum responds to your request 'that the NSNCSS Office of Inspector General (OIG) conduct an inquiry into the destruction of Intelligence Oversight (10) Quanerly Report (QR) files atl J. You recommended that the OIG conduct an inquiry to detennine whether the records were ... _destroyed in accordance with applicable laws and regulations. and to determine t~e circumst~nc::s surrounding the change in policy no longer requiring the retention otQR files and documentation.

(S/ffl() We conducted a thorough ·inquiry in the matter, including)nter\'iews of the current and former Intelligence Oversight (10) officers. Operations Cbi.efs and other individuals knowledgeable of the QR records retention policies and practice~ a~ I We also queried the NSA Office of General Counsel regarding legal advice, if any. which may have been rendered toLJ·in .th.~ .J:Datter. Fi~we conducted addition.al quepes to detennine if the practices c~rrently empk»yedat.L_Jare<:.onsistent with those at other field sites. We concluded that th~t no la~s or rjgfil.~Qfilswere.:Y.i.9.1.~~~J~ the m~te~. and that the current QR records-keepmg practices aq_______pre--cons1st.ent~1.th· the~,~-..Or 9Jher field sites. . ................ ::;;;.·:·;:::;:;::;::::::;;;;;·::;~!!!; !/0=?. l ( 3 l - p . L . a 6-3 6

.. ..... ········ .... ··· .... .. ..... ___ (S_(ffK) The inq1,1Jry .. r.ev.eaJed·1hafihe.'"10:9mcer·ad· ·· ............... ./ · ··I ___ ___.~nilatefally .. detennineqJ9.purgethe .. QR files of g9curiients rel.atfog to the inadvertent coliectj_Qn.ofU:S~ .. person communicatio9s.thai· you had rc;vicwed during the I ~oirifinspection. The IO officer ~.tated' ihat when he r;viewed the files after the Inspection, he found miscellaneou.~ .. doeuments going back .. ·~at ]east ten years" that related to inadvertent collectio1Js .. of U.S. person communic~tions, even though the intercepts themselves w~reimmediatcly destroyed upon,..recognition .

..... ··· .•. ···

(S/[TK)"The IO officer stated that he was 9o(~rected or advised by anyone from ..__.........,,......PfNSA Headquarters to destroy the doc_µments; rather he made the decision based on his experience and knowledge of QR re;ofds-keeping practices and regulations. The IO officer's statement is supported by ~.itness testimony and other.evidence collected during our inquiry. The NSA Office .. of General Counsel had no record or recollection of advice to the IO officer or toc=Jin this matter. Nor do the IO officers we interviewed.

l S:ECRE"f'//'f'K//X l

Titis eeettmenr il elitssificd SECR£T/fFK dtte te the co~pilatieft ef ethc1 w isc unclassified htfos n1adon.

DOCl D: 4165264

SECRETJ/1107.(1

(Sf~ As you are aware. there are no requirements under Executive Order 12333 and USSID 18 to retain documentation relating to inadvertent collections of U.S. person communications that have been destroyed upon recognition; nor do they exist under the NSA OIG Procedures for the E.O. 12333 Quanerly Reponing, or under the

C]intemal Execmive Order 12333 Quarterly Reporting Procedures.

(~/~To th~ corifrary •. w~ found that the NSA s'ignals Intelligence Directorate Office of Compli:mce (SID QC) suppo"rted the I.9 officer's actions, after the fact. advising that when U.S. person communication.s are destroyed upon recognition. a record should not be created to document the incident. This advice is consisten.t with applicable law and policy. .... .. ···

....... ::.:~::::;? (b ) ( 3 ) -P . L .

(Strr~ \Ve contacted several field sites to determine the practic:e·s"f~;: ... :.::::::./ maint.:!ining QR files. All the sites reported that they maintained QRs electron°ically. A few also maintained hard copies of QRs and back up documentation of potential violations of E.O. 12333 and USS ID I..~ that were reported to the NSA Office of General Counsel and the !\SA OIG. i';one·ofthe sites reta~ned documentation, either electronically or on paper~ .. ·of inadvertent collection of U.S. person communications when the intercepts were destroyed. Accordingly, we find the current practice followed at I ~o be consistent with the practice followed at other field sites.

-(S/FTK)"During the Joint IO·Reinspection at Din September 2002, team members reviewed the IO QR.fifes. both hard copy and electronic. They found that the files contained copies of the"<jRs and back-up documentation relating to reportable violations from 1997... Based on our inquiry, we consider the current records re!ention practices at Oto be in accordance with applicable law and NSA regulations.

(S/FFK) Thank you for brim~:ing this matter to our attention. If you have any questions, please contact me orl lat 963-0921 (S).

············-.. ···· ....... .

···········-... ····· ···•·

86-36

.. ··············· (b) (3) - P . L . 86-36 . ·····.

Senior eneral

Investigations

2 SEQRET/FFIU/Xl