DEPARTMENT OF THE TREASURY 

PROCEDURES 

 FOR 

INTELLIGENCE ACTIVITIES 
PROCEDURES FOR INTELLIGENCE ACTIVITIES 

TABLE OF CONTENTS 

INTRODUCTION..................................................................................................................... - 4 - 

I. APPLICABILITY AND SCOPE .................................................................................. - 4 - 

A. INTELLIGENCE ACTIVITIES . ................................................................................... - 4 - 

B. COVERED INDIVIDUALS AND COMPONENTS . ................................................... - 4 - 

II. AUTHORIZED ACTIVITIES AND COORDINATION .......................................... - 4 - 

A. GENERAL . .................................................................................................................... - 4 - 

B. CONDUCT OF ACTIVITIES AND INDIRECT PARTICIPATION............................ - 5 - 

C. COUNTERINTELLIGENCE INQUIRIES . .................................................................. - 6 - 

D. SHARED REPOSITORIES ............................................................................................ - 7 - 

E. COORDINATION . ........................................................................................................ - 8 - 

III. COLLECTION OF U.S. PERSON INFORMATION (USPI) ................................... - 9 - 

A. INTENTIONAL COLLECTION OF USPI .................................................................... - 9 - 

B. INFORMATION AUTHORIZED BY STATUTE ...................................................... - 12 - 

C. INCIDENTALLY COLLECTED OR VOLUNTARILY PROVIDED USPI .............. - 12 - 

D. COLLECTION INVOLVING SPECIAL CIRCUMSTANCES .................................. - 12 - 

E. LEAST INTRUSIVE MEANS . ................................................................................... - 13 - 

F. AMOUNT OF INFORMATION COLLECTED.......................................................... - 13 - 

IV. COLLECTION TECHNIQUES ................................................................................. - 13 - 

A. GENERAL . .................................................................................................................. - 13 - 

B. AUTHORIZED TECHNIQUES ................................................................................... - 14 - 

C. EQUIPMENT MONITORING ..................................................................................... - 14 - 

D. CONSENSUAL PHYSICAL SEARCHES ................................................................. - 16 - 

E. OTHER TECHNIQUES .............................................................................................. - 16 - 

V. RETENTION OF USPI ............................................................................................... - 16 - 

A. APPLICABILITY ......................................................................................................... - 16 - 

B. EVALUATION OF INFORMATION ......................................................................... - 16 - 

C. DELETION OF INFORMATION ................................................................................ - 18 - 

D. SHARED REPOSITORIES .......................................................................................... - 18 - 
    

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E. INFORMATION DISSEMINATED BY ANOTHER IC ELEMENT ......................... - 18 - 

F. INFORMATION OBTAINED UNDER MEMORANDUM OF AGREEMENT ....... - 18 - 

G. PERMANENT RETENTION ....................................................................................... - 19 - 

H. SPECIAL REQUIREMENTS FOR “COVERED COMMUNICATIONS” ............... - 19 - 

I. ENHANCED SAFEGUARDS .................................................................................... - 20 - 

J. MAINTENANCE AND DISPOSITION OF INFORMATION ................................... - 21 - 

K. RETENTION FOR BACKUP PURPOSES ................................................................ - 21 - 

VI. DISSEMINATION OF USPI ..................................................................................... - 22 - 

A. APPLICABILITY AND SCOPE .................................................................................. - 22 - 

B. CONSISTENCY WITH OTHER LAWS .................................................................... - 22 - 

C. NOTICE TO COMPONENTS ..................................................................................... - 22 - 

D. CRITERIA FOR DISSEMINATION .......................................................................... - 22 - 

E. DISSEMINATIONS TO FOREIGN GOVERNMENTS OR ENTITIES ................... - 24 - 

F. DISSEMINATIONS OF LARGE AMOUNTS OF UNEVALUATED USPI ............ - 24 - 

G. CONTENT OF DISSEMINATIONS .......................................................................... - 24 - 

H. IMPROPER DISSEMINATION OF USPI .................................................................. - 24 - 

I. DISSEMINATION NOT CONFORMING TO THIS SECTION ............................... - 24 - 

VII. PARTICIPATION IN ORGANIZATIONS ............................................................. - 25 - 

A. APPLICABILITY ......................................................................................................... - 25 - 

B. GENERAL DISCLOSURE REQUIREMENT............................................................. - 25 - 

C. EXCLUSIONS .............................................................................................................. - 25 - 

D. APPROVAL OF UNDISCLOSED PARTICIPATION ............................................... - 26 - 

E. LIMITATIONS ON UNDISCLOSED PARTICIPATION ......................................... - 26 - 

F. MEANS OF DISCLOSURE ......................................................................................... - 27 - 

G. RECORDS ................................................................................................................... - 28 - 

VIII. SUPPORT TO INTELLIGENCE ACTIVITIES OF OTHER IC ELEMENTS AND 

SUPPORT TO LAW ENFORCEMENT AGENCIES ....................................................... - 28 - 

A. OTHER IC ELEMENTS .............................................................................................. - 28 - 

B. ASSISTANCE TO LAW ENFORCEMENT AGENCIES........................................... - 29 - 

IX. EMPLOYEE CONDUCT ........................................................................................... - 29 - 

A. GENERAL ................................................................................................................... - 29 - 
    

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B. FAMILIARITY WITH RESTRICTIONS ................................................................... - 29 - 

C. RESPONSIBILITIES OF THE ASSISTANT SECRETARY ...................................... - 30 - 

X. COMPLIANCE, OVERSIGHT, AND REPORTING .............................................. - 30 - 

A. GENERAL PROTECTIONS FOR USPI .................................................................... - 30 - 

B. COMPLIANCE AND OVERSIGHT ........................................................................... - 31 - 

C. QUESTIONABLE INTELLIGENCE ACTIVITIES ................................................... - 33 - 

D. REPORTING TO THE ATTORNEY GENERAL ....................................................... - 33 - 

XI. GENERAL PROVISIONS .......................................................................................... - 33 - 

A. ACTIVITIES CONDUCTED FOR ADMINISTRATIVE PURPOSES ..................... - 33 - 

B. DELEGATION ............................................................................................................ - 34 - 

C. INTERPRETATION..................................................................................................... - 34 - 

D. DEPARTURES ............................................................................................................. - 34 - 

E. AMENDMENTS .......................................................................................................... - 34 -

F. TRANSITION............................................................................................................... - 34 - 

G. EFFECT ........................................................................................................................ - 34 - 

XII. DEFINITIONS ............................................................................................................ - 35 - 

 
    

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INTRODUCTION 

These U.S. Department of the Treasury Procedures for Intelligence Activities (Procedures) are 

established under Section 2.3 of Executive Order (E.O.) 12333, as amended, and are intended to 

govern all intelligence activities conducted by any component of the U.S. Department of the 

Treasury (Treasury), including Treasury’s element of the Intelligence Community, the Office of 

Intelligence and Analysis (OIA). These Procedures ensure that Treasury’s intelligence activities 

are carried out in a manner consistent with the constitutional rights of U.S. persons and other 

protections provided under applicable law and policy. They govern how Treasury and OIA will 

fulfill their existing responsibilities, and do not confer any new authorities. 

I. APPLICABILITY AND SCOPE 

A. INTELLIGENCE ACTIVITIES. 

These Procedures apply to all intelligence activities conducted by OIA or any other 

Treasury component in the United States or abroad.1 These Procedures do not apply to 

non-intelligence activities that are governed by other executive orders, policies, or 

procedures and conducted by OIA. 

B. COVERED INDIVIDUALS AND COMPONENTS. 

1. The Secretary of the Treasury (Secretary), when acting in an intelligence capacity; 

2. The Assistant Secretary for Intelligence and Analysis (Assistant Secretary), who 

serves as the head of OIA; 

3. OIA; and 

4. Any other Treasury components or employees when they are performing intelligence 

activities authorized pursuant to E.O. 12333. 

II. AUTHORIZED ACTIVITIES AND COORDINATION 

A. GENERAL. 

OIA shall receive, analyze, collate, and disseminate intelligence and counterintelligence 

information related to the operations and responsibilities of the entire Department of the 

Treasury, including all Treasury components and bureaus; collect (overtly or through 

publicly available sources) foreign financial information and, in consultation with the 

Department of State, foreign economic information; collect (overtly or through publicly 

1

 In these Procedures, “OIA” refers both to the Office of Intelligence and Analysis and, as listed in Section 1.B, 

other Treasury components and individuals when they are performing intelligence activities. 
    

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available sources), analyze, produce, and disseminate information, intelligence, and 

counterintelligence to support national and departmental missions; and conduct and 

participate in analytic or information exchanges with foreign partners and international 

organizations as set forth in E.O. 12333, and other applicable laws, executive orders, 

Presidential directives, and Intelligence Community Directives (ICDs). These activities 

include collecting new information and drawing on previously collected information, and 

are authorized as part of analytic activities or as part of counterintelligence inquiries. In 

accordance with E.O. 12333 and these Procedures, OIA may collect, retain, and 

disseminate the following types of information: 

1. Publicly available information and information collected with the consent of the 

person concerned; 

2. Information constituting foreign intelligence or counterintelligence, including such 

information concerning corporations or other commercial organizations; 

3. Information obtained in the course of a lawful foreign intelligence, 

counterintelligence, international drug, or international terrorism investigation; 

 

4. Information needed to protect the safety of any persons or organizations; including 

those who are targets, victims, or hostages of international terrorist organizations; 

5. Information needed to protect foreign intelligence or counterintelligence sources, 

methods, and activities from unauthorized disclosure and which is information 

concerning present or former OIA employees, present or former OIA contractors or 

their employees, or applicants for such employment or contracting; 

6. Information concerning persons who are reasonably believed to be potential sources 

or contacts for the purpose of determining their suitability or credibility; 

7. Information arising out of a lawful personnel, physical, or communications security 

investigation; 

8. Information acquired by overhead reconnaissance not directed at specific U.S. 

persons; 

9. Incidentally obtained information that may indicate involvement in activities that may 

violate federal, state, local, or foreign laws; and 

10. Information necessary for administrative purposes. 

B. CONDUCT OF ACTIVITIES AND INDIRECT PARTICIPATION. 

 

OIA must carry out all activities in all circumstances in accordance with the Constitution, 

the laws of the United States, appropriate authorities related to oversight, and applicable 
    

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Treasury policy. OIA may not investigate, or collect or retain information about, U.S. 

persons solely for the purpose of monitoring activities protected by the First Amendment 

or the lawful exercise of other rights secured by the Constitution or laws of the United 

States. Further, OIA may not participate in or request any person or entity to undertake 

any activities that are forbidden by E.O. 12333 or these Procedures. In accordance with 

the authorities and responsibilities described in these Procedures, OIA is not authorized 

to and will not engage in any intelligence activity, including dissemination of information 

to the White House, for the purpose of affecting the political process in the United States. 

Additional guidance regarding the application of this prohibition will be issued as 

necessary by Treasury after consultation with the Office of the Director of National 

Intelligence. Questions about whether a particular activity falls within this prohibition 

will be resolved in consultation with the Treasury’s Office of the General Counsel 

(OGC). 

C. COUNTERINTELLIGENCE INQUIRIES. 

1. Purpose. OIA may conduct a counterintelligence inquiry to determine the existence 

of clandestine relationships with foreign powers or organizations, or their agents; 

contacts with foreign intelligence services; or other hostile activities directed against 

Treasury facilities, property, personnel, programs, or contractors by foreign powers or 

organizations, or their agents. 

2. U.S. Person Information. As part of a counterintelligence inquiry, OIA may collect 

U.S. Person Information (USPI) provided that OIA does so in accordance with these 

Procedures and that any U.S. person about whom OIA is intentionally seeking 

information falls in one or more of the following categories: 

a. Dual-national visitors and assignees. A U.S. person who also holds citizenship in 

one or more foreign countries and who is or will be assigned to or visiting a 

Treasury facility or attending an event sponsored by Treasury or a Treasury 

contractor. This category includes U.S. persons who have formerly been such 

visitors or assignees. This category does not include current Treasury employees. 

b. Employees in contact with visitors and assignees. A Treasury employee in 

contact with a non-U.S. person or dual national who is or will be assigned to or 

visiting a Treasury facility or attending an event sponsored by Treasury or a 

Treasury contractor. This category includes a current or former Treasury 

employee who has previously had contact with such a visitor or assignee. 

c. Employees traveling to foreign countries. A Treasury employee traveling outside 

the United States and in contact with a non-U.S. person or dual national while 

outside the United States. 

d. Hostile activities. A Treasury employee or former employee, or any other U.S. 

person in contact with a Treasury employee or former employee, reasonably 
    

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believed to be engaged in international terrorism, unauthorized intelligence 

collection targeting the United States, or other hostile activities by foreign 

powers, organizations, or persons, or their agents. 

 

3. Approval and documentation. The Assistant Secretary, or a designee, will approve 

policy specifying: (i) the level of approval required to initiate and reauthorize a 

counterintelligence inquiry; (ii) the time period covered by such approvals; (iii) the 

documentation required for such approvals; and (iv) the documentation required for 

the use of techniques that may only be used in counterintelligence inquiries. 

D. SHARED REPOSITORIES. 

OIA may host or participate in a shared repository containing USPI only in accordance 

with these Procedures and other applicable laws and policies. Each participant in a 

shared repository must comply with all law, policies, and procedures applicable to the 

participant for the protection of USPI. Such participants may include Treasury entities 

other than OIA as well as entities outside Treasury when they participate in a shared 

repository hosted by OIA. 

1. OIA acting as host. OIA acting as a host of a shared repository may perform systems 

support functions or data-related tasks (e.g., tagging, processing, or marking 

information) for itself or others. Access to USPI solely for these purposes does not 

constitute collection, retention, or dissemination under these Procedures. When 

acting as a host, OIA must enable auditing of access to USPI in a shared repository to 

the extent practicable. 

2. OIA acting as participant. OIA acting as a participant in a shared repository must 

identify to the host any access and use limitations applicable to the USPI OIA 

provides. When OIA provides USPI to a shared repository and allows access to or 

use of the USPI by other participants, OIA has made a dissemination, which it may 

do only in accordance with section VI below or other applicable Attorney Generalapproved guidelines. This does not include access to or use of USPI by a host or 

another element of the Intelligence Community for systems support functions or datarelated tasks. 

3. Memoranda of Understanding. OIA will also comply with the terms of any 

authorized Memorandum of Understanding (MOU) that governs OIA’s access to 

shared repositories containing USPI unless OIA’s compliance with the terms of any 

such MOU would violate these Procedures or other Attorney General-approved 

guidelines. 
    

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E. COORDINATION. 

OIA will coordinate intelligence activities as follows: 

1. Counterintelligence activities in the United States. OIA must coordinate 

counterintelligence activities in the United States (including the collection of 

counterintelligence information and the collection of information for the purpose of 

determining the suitability or credibility of potential sources of counterintelligence 

information) with the Federal Bureau of Investigation (FBI). In addition, in 

consultation with OGC: 

a. As soon as an OIA counterintelligence inquiry (including those involving a 

computer intrusion) reveals a relationship with a foreign intelligence service, OIA 

must promptly inform the FBI. The FBI will determine whether it will assume 

responsibility for the matter and/or request that OIA assist the FBI in collecting 

additional information. 

b. Any indication that classified information may have been disclosed in an 

unauthorized manner that raises a counterintelligence concern, including 

disclosure to a foreign power or an agent of a foreign power, must be reported 

immediately to the FBI. The FBI must be consulted as to all subsequent actions 

relating to the unauthorized disclosure, and must have timely access to employees 

and records when it investigates the disclosure. 

c. The Secretary, or a designee, will promptly inform the Attorney General and the 

Director of National Intelligence (DNI) if Treasury engages in counterintelligence 

activities in the United States that should have been, but were not, coordinated 

with the FBI. The Secretary, or a designee, will inform the Attorney General 

through the FBI, and will also notify the Assistant Attorney General for National 

Security. 

2. Collection of foreign intelligence in the United States. Section 1.7(i) of E.O. 12333 

authorizes OIA to collect information, intelligence, and counterintelligence, and 

Section 1.9 of E.O. 12333 authorizes Treasury, including OIA, to collect foreign 

financial information and, in consultation with the Department of State, foreign 

economic information. Collection under these authorities is limited to that which is 

conducted overtly or through publicly available means. The Secretary, or a designee, 

will promptly inform the Attorney General and the DNI if Treasury engages in the 

clandestine collection of foreign intelligence in the United States, which is not 

authorized under these Procedures. The Secretary, or a designee, will inform the 

Attorney General through the FBI, and will also notify the Assistant Attorney General 

for National Security. 
    

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3. Compliance with agreements. Treasury will comply with all agreements and MOUs 

with the Department of Justice, including the FBI, governing the coordination of 

activities covered by this section. 

III.COLLECTION OF USPI 

A. INTENTIONAL COLLECTION OF USPI. 

OIA may intentionally collect USPI only (i) in accordance with these Procedures, with 

particular regard to the requirements and limitations in subsections III.D through III.F 

below; (ii) if the information sought is reasonably believed to be necessary for the 

performance of an authorized mission or function of OIA; and (iii) if the information falls 

in one or more of the following categories: 

1. Publicly available. The information is publicly available. 

2. Overt Collection. OIA also may intentionally collect USPI overtly in the following 

cases: 

a. Consent. The information concerns a U.S. person who has consented to the 

collection (e.g., information provided by individuals who consent to computer 

monitoring in accordance with these Procedures). 

b. Foreign intelligence. The information is reasonably believed to be significant 

foreign intelligence, the collection is not undertaken for the purpose of acquiring 

information about any U.S. person’s domestic activities (as that term is defined in 

section XII below), and the U.S. person is one of the following: 

i. An individual reasonably believed to be an officer or employee of, or 

otherwise acting on behalf of, a foreign power. 

ii. An organization or group reasonably believed to be owned or controlled 

directly or indirectly by a foreign power. 

iii. An individual, organization, or group reasonably believed to be engaged in 

or preparing for international terrorist or international narcotics activities. 

iv. An individual, organization, or group reasonably believed to be engaged in 

or preparing for, on behalf of a foreign power, cyber-enabled attacks on or 

intrusions into Treasury information systems; Treasury contractors’ 

information systems that impact Treasury personnel, property, or missions; 

or U.S. Government national security information systems. 
    

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v. An individual reasonably believed to be a prisoner of war or missing in 

action, or who is the target, hostage, or victim of an international terrorist 

organization. 

vi. A person reasonably believed to be acting on behalf of a foreign power, 

organization, or individual, and to be engaged in activities threatening the 

national security or economy of the United States. 

 

vii. Corporations or other commercial organizations reasonably believed to be 

acting for or on behalf of a foreign power, organization, or person engaged 

in clandestine intelligence activities, sabotage, assassinations, or 

international terrorist activities. 

 

viii. A person reasonably believed to possess significant foreign intelligence 

otherwise relating to the capabilities, intentions, or activities of foreign 

governments or elements thereof, foreign organizations, foreign persons, or 

international terrorists, which is relevant to the national security or foreign 

policy, or to the protection against threats to the economy, of the United 

States. 

c. Counterintelligence. The information is reasonably believed to be 

counterintelligence and the information is acquired as part of properly authorized 

and conducted analytic activities or a counterintelligence inquiry as described in 

these Procedures. 

d. Current, former, or potential sources of assistance to intelligence activities. The 

information is about those who are or have been sources of information or 

assistance, or are reasonably believed to be potential sources of information or 

assistance, to intelligence activities for the purpose of assessing their suitability or 

credibility. Information collected for this purpose is limited to publicly available 

sources, government records checks, and inquiries of Treasury employees. This 

category does not include investigations undertaken for personnel security 

purposes.

e. Protection of intelligence sources, methods, and activities. The information is 

about a person who has access to, had access to, or is otherwise in possession of 

information that reveals foreign intelligence or counterintelligence sources, 

methods, or activities, when such collection is reasonably believed necessary to 

protect against the unauthorized disclosure of such information; provided that the 

intentional collection of such information will be limited to U.S. persons who fall 

in one of the following categories: 

i. Present or former OIA employees; 

ii. Present or former OIA contractors and their employees; or 
    

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iii. Applicants seeking employment with OIA or an OIA contractor. 

Otherwise, OIA may not collect such information unless done as support to other 

agencies as described in section VIII below. 

 

f. Threats to safety. The information is needed to protect the safety of Treasury 

infrastructure, facilities, personnel, programs, contractors, or official visitors, 

including those who are targets, victims, or hostages of international terrorist 

activities. 

g. Physical security. The information arises out of a lawful physical security 

investigation. 

h. Personnel security investigations. The information arises out of a lawful 

personnel security investigation. Such USPI may include information contained 

in personnel files. 

i. Communications security. The information arises out of a lawful 

communications security investigation. 

 

j. Network security. The information is needed for network security, cyber security, 

and incident response, provided that it otherwise falls into one of the categories in 

subsections III.A.2.a through III.A.2.i above. Equipment monitoring must also 

comply with the requirements of subsection IV.C below. 

k. Supply chain protection. The information is needed for supply chain risk 

management efforts, provided that it otherwise falls into one of the categories in 

subsections III.A.2.a through III.A.2.i above. 

l. Other classified and unclassified sensitive information. The information is 

necessary to protect other classified and unclassified sensitive information, 

provided that it otherwise falls into one of the categories in subsections III.A.2.a 

through III.A.2.i above. 

m. Overhead reconnaissance. The information is acquired by overhead 

reconnaissance not directed at specific U.S. persons, provided the collection is 

authorized in writing by the Assistant Secretary or a designee. 

n. Other kinds of information. The information falls in a category other than one of 

the categories listed above, if approved in accordance with subsection XI.D 

below. 
    

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B. INFORMATION AUTHORIZED BY STATUTE. 

OIA is responsible by statute, 31 U.S.C. § 312(b)(2), for “the receipt, analysis, collation, 

and dissemination of intelligence and counterintelligence information related to the 

operations and responsibilities of the entire Department of the Treasury.” When OIA 

receives information from other Treasury components pursuant to this statute, OIA may 

receive the information without regard to its form or volume provided that: 

1. OIA’s receipt of the information is consistent with OIA’s national and departmental 

missions; 

2. The information is otherwise handled in accordance with these Procedures; and 

3. OIA has consulted with OGC. 

C. INCIDENTALLY COLLECTED OR VOLUNTARILY PROVIDED USPI. 

In the course of conducting lawfully authorized activities, OIA may incidentally collect 

USPI. Entities or individuals may also on their own initiative voluntarily provide 

information to OIA. All incidentally collected or voluntarily provided USPI is 

considered “collected” for purposes of these Procedures and may be temporarily retained, 

evaluated for permanent retention, and disseminated only in accordance with these 

Procedures. If an entity or individual is voluntarily providing on a recurring basis USPI 

that OIA could not collect using other provisions of this section, OIA should take 

appropriate steps to address such collection, consulting with OGC as necessary. 

D. COLLECTION INVOLVING SPECIAL CIRCUMSTANCES. 

Pursuant to guidance issued by OIA after consultation with OGC and privacy and civil 

liberties officials, OIA will consider whether collection opportunities require higher-level 

approval and enhanced safeguards because of the volume, proportion, or sensitivity of the 

USPI likely to be acquired. When such special circumstances exist, written authorization 

for the collection must come from the Assistant Secretary, or a designee, after 

consultation with OGC and OIA’s Civil Liberties and Privacy Protection Officer. If 

advance authorization is not possible, then as soon as practicable after collection begins, 

the Assistant Secretary, or a designee, must determine in writing, and in consultation with 

OGC and OIA’s Civil Liberties and Privacy Protection Officer, whether to authorize the 

continued retention of the information in accordance with these Procedures and whether 

enhanced safeguards would be appropriate. The determination will be based on the 

following: 

1. Proper collection. The information has been or will be properly collected in 

accordance with these Procedures; and 

 
    

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2. Reasonable under the circumstances. The collection activity is reasonable based on 

all the circumstances, including the value of the information; the impact and duration 

of the collection activity, and the resources utilized to conduct that collection activity; 

the collection methods used by OIA or others; the amount of USPI; the nature and 

sensitivity of the USPI; the potential for substantial harm, embarrassment, 

inconvenience, or unfairness to U.S. persons if the USPI is improperly used or 

disclosed; and the safeguards that will be applied to the information pursuant to these 

Procedures, including under subsection V.I below. 

OIA will provide a copy of all such written authorizations and determinations to OIA’s 

Civil Liberties and Privacy Protection Officer and OGC, and to other officials as needed. 

In addressing questions about the implementation of this provision, OIA will consult with 

OIA’s Civil Liberties and Privacy Protection Officer and OGC, and with other officials as 

needed. 

E. LEAST INTRUSIVE MEANS. 

OIA will use the least intrusive collection techniques feasible within the United States or 

against a U.S. person abroad. In making this determination, OIA should use the least 

intrusive technique—considering the privacy and civil liberties of U.S. persons and any 

potential damage to their reputation—that will also be operationally sound and effective. 

It is recognized that the choice is a matter of judgment, and this requirement is not 

intended to discourage OIA from seeking needed intelligence. 

F. AMOUNT OF INFORMATION COLLECTED. 

In collecting non-publicly available information concerning U.S. persons, OIA will, to 

the extent practicable, collect the smallest amount of information that meets the 

requirements of its intelligence mission. This requirement is in addition to the 

requirement to use the least intrusive collection techniques feasible set forth in subsection 

III.E above. 

IV.COLLECTION TECHNIQUES 

A. GENERAL. 

OIA may use the techniques authorized in this section to collect information. All 

activities must conform to the requirements of Section II above, including its 

coordination requirements, and all collection of USPI must conform to the requirements 

of Section III above. In accordance with Sections 1.7(i) and 1.9 of E.O. 12333, OIA may 

only collect information overtly or through publicly available sources. This limitation 

applies to any technique used, whether inside or outside the United States. OIA does not 

have authority to engage in electronic surveillance, unconsented physical searches, mail 

surveillance, or other techniques where a warrant would be required for law enforcement 

purposes. If OIA believes that there is a need to use such a technique, it should consult 
    

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with OGC and consider referring the matter to another IC element or law enforcement 

entity with the appropriate authority. 

B. AUTHORIZED TECHNIQUES. 

1. Analytic activities. To conduct authorized analytic activities, OIA may use the 

following techniques: 

a. Access and examine publicly available information, Treasury records, and records 

maintained by other federal, state, local, tribal, or foreign governmental entities or 

agencies to determine if the information meets the standard for collection. 

b. Collect publicly available information, including information from online services 

and resources. 

c. Collect Treasury records and obtain information from Treasury personnel. 

d. Collect records maintained by and information from other federal, state, local, 

tribal, or foreign governmental entities or agencies, consistent with applicable 

law, regulation, policy, or agreement. 

e. Interview or request information from members of the public and private entities 

who are not known to be a witness in, or a subject of, a law enforcement 

investigation or a counterintelligence inquiry. 

f. Conduct equipment monitoring in accordance with subsection IV.C below. 

2. Counterintelligence inquiries. As part of an authorized counterintelligence inquiry, 

OIA may use the following techniques: 

a. All techniques described in subsection IV.B.1 above. 

b. Witness interviews. 

c. Subject interviews. 

d. Assistance to law enforcement and other civil authorities in accordance with these 

Procedures. 

e. Consensual physical searches in accordance with subsection IV.D below. 

C. EQUIPMENT MONITORING. 

1. General. The Assistant Secretary will promulgate a policy to govern the monitoring 

of computer equipment and telephones by OIA for the purposes described herein. 
    

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Any such monitoring by OIA must be done in accordance with the policy, and be 

consistent with these Procedures, applicable law, and other Treasury policy. 

2. Treasury equipment. Any monitoring of Treasury equipment must be done with 

users’ consent and proper notification to users that their communications and 

activities will be monitored. The Treasury entity responsible for or operating the 

monitored equipment will require periodic acknowledgements by users that their use 

of the equipment constitutes consent to monitoring. (Such acknowledgements may be 

in electronic form.) In order to ensure that, in all circumstances, the means employed 

to obtain users’ consent and provide proper notice are sufficient, the Treasury entity 

may also: 

a. Place decals on devices being monitored and/or use electronic banner notices on 

device screens. 

b. Require user agreements acknowledging that monitoring may occur and the use 

that the Government may make of any information on or obtained from the 

equipment. 

c. Issue specific memoranda to users or standing operating procedures and 

instructions. 

d. Conduct workplace training that specifically addresses terms of monitoring. 

3. Other equipment. OIA may monitor other equipment, not covered by subsection 

IV.C.2 above, or obtain the results of such monitoring, when such equipment is 

present on Treasury sites, locations, or facilities or is connected to Treasury systems. 

Any such monitoring requires the consent of the users subject to the monitoring and 

must comply with relevant statutory and constitutional provisions. Before the start of 

the monitoring and periodically thereafter, OGC must make a written finding that 

sufficient measures, including those required by subsection IV.C.2 above, establish 

that the individuals or entities subject to the monitoring have consented to it. In 

making this finding, OGC may rely on reasonable factual representations made by an 

outside entity as to the content of banners on the monitored equipment, the details of 

notices, signs, and user agreements, and similar matters relating to how the entity 

provides notice to and obtains consent from individuals or entities whose 

communications or information are monitored. 

4. Exclusion. This subsection does not limit Treasury’s ability to obtain from another 

government agency information the other agency has lawfully acquired under its 

electronic surveillance or other authorities. 
    

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D. CONSENSUAL PHYSICAL SEARCHES. 

OIA may conduct a consensual physical search of any office space, furniture, or personal 

items, including desks, filing cabinets, briefcases, and other storage containers, that (i) is 

within a Treasury facility and (ii) is used by a subject of a counterintelligence inquiry, 

provided that an inquiry is open pursuant to subsection II.C and: 

1. The subject of the inquiry is: 

a. A non-U.S. person; or 

b. A U.S. person who is a present or former employee of Treasury; or 

c. An applicant for employment with Treasury; 

2. The subject of the inquiry (or any other person whose office space, furniture, or 

personal items is being searched) has consented to the search, and OGC has 

determined that the appropriate consent has been lawfully obtained and that there is a 

reasonable basis to conclude that the search may return material or other information 

relevant to the underlying counterintelligence inquiry; and 

3. OIA has coordinated the search in accordance with subsection II.E above, as 

appropriate. 

E. OTHER TECHNIQUES. 

OIA may use any technique not specifically covered in this section with the written 

approval of the Assistant Secretary after consultation with OGC, provided that use of the 

technique is consistent with the limitations in subsection IV.A above and E.O. 12333. 

V. RETENTION OF USPI 

A. APPLICABILITY. 

This section governs OIA’s retention of non-publicly available USPI collected without 

the consent of the person whom the USPI concerns. Information that does not fall within 

the definition of collection because it was disseminated by another element of the IC is 

governed by subsections V.C through V.G below. 

B. EVALUATION OF INFORMATION. 

OIA will evaluate collected information that may contain USPI to determine whether it 

may be permanently retained under these Procedures, as follows: 
    

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1. Intentional collection of USPI. If OIA intentionally collects USPI, whether inside or 

outside the United States, OIA will evaluate the information promptly. If necessary, 

OIA may retain the information for evaluation for up to five years. The Assistant 

Secretary may approve an extended period in accordance with subsection V.B.5 

below. 

2. Incidental collection of USPI. If, as part of OIA’s lawfully authorized activities, OIA 

incidentally collects USPI, OIA may retain the incidentally collected USPI for 

evaluation for up to five years. The Assistant Secretary may approve an extended 

period in accordance with paragraph V.B.5 below. Intentionally collected USPI is 

subject to subsection V.B.1 above, and information obtained from a special 

circumstances collection is subject to subsection V.B.4 below, and not this paragraph. 

 

3. Voluntarily provided USPI. If OIA receives information that is voluntarily provided 

about a person reasonably believed to be a U.S. person, OIA will evaluate the 

information promptly. If necessary, OIA may retain the information for evaluation 

for up to five years. The Assistant Secretary may approve an extended period in 

accordance with subsection V.B.5 below. If OIA receives information that is 

voluntarily provided about a person reasonably believed to be a non-U.S. person, but 

the information may contain USPI, OIA may retain the information for evaluation for 

up to five years. 

4. Special circumstances. If OIA conducts a special circumstances collection pursuant 

to subsection III.D, OIA may retain the information for evaluation for up to five years 

or for such shorter time approved by the authorizing official. The Assistant Secretary 

may approve an extended period in accordance with subsection V.B.5 below. 

5. Extended retention. The Assistant Secretary may approve, either at the time of 

collection or thereafter, the further retention of specific information or categories of 

information subject to subsections V.B.1 through V.B.4 above for no more than five 

years beyond the time permitted in those subsections. The Assistant Secretary must 

document the following findings in writing: 

a. The extension is necessary to carry out an authorized mission of OIA; and 

b. OIA will retain and handle the information in a manner consistent with the 

protection of privacy and civil liberties. 

In making this finding, the Assistant Secretary must also consider the need for 

enhanced protections, such as those described in subsection V.I below, and consult 

with OGC and OIA’s Civil Liberties and Privacy Protection Officer. 

 

Any further extension of temporary retention beyond the time specified in this 

subsection requires an amendment to these Procedures. (See subsection XI.E below.) 
    

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6. Unintelligible information. For any information that is not in an intelligible form, the 

time periods identified above begin when the information is processed into 

intelligible form. Unintelligible information includes information that OIA cannot 

decrypt or understand in the original format. To the extent practicable, unintelligible 

information will be processed into an intelligible form. 

C. DELETION OF INFORMATION. 

Unless OIA determines that the information covered by subsections V.B.1 through V.B.5 

above meets the standards for permanent retention during the specified time period, all 

USPI (including any information that may contain USPI) must be deleted from OIA’s 

automated systems and all paper files destroyed by the end of the applicable retention 

period. 

D. SHARED REPOSITORIES. 

Retention time of USPI received by OIA through a shared repository maintained by an 

entity other than OIA shall be determined by the entity maintaining the shared repository. 

The retention periods provided for in this section will, however, apply to any data that 

OIA copies or extracts by any means from the shared repository. 

E. INFORMATION DISSEMINATED BY ANOTHER IC ELEMENT. 

If another element of the IC disseminates unevaluated information that may contain USPI 

to OIA, OIA may only retain the information and evaluate it for permanent retention 

under subsection V.G below for as long as the originating IC element may retain it, if that 

period is reported by the originating IC element or can be determined by technical 

reference, or otherwise for a reasonable period not to exceed 5 years. If the 

disseminating IC element has already determined that the information meets the 

disseminating IC element’s Attorney General-approved standards for permanent 

retention, then, as the recipient, OIA must only verify that the information is reasonably 

believed to be necessary for the performance of OIA’s authorized intelligence mission in 

order to retain the information permanently. 

F. INFORMATION OBTAINED UNDER MEMORANDUM OF AGREEMENT. 

The retention of information maintained by another entity and obtained or accessed by 

OIA pursuant to an MOU or other arrangement that is more restrictive than these 

Procedures is subject to the terms negotiated under that agreement or arrangement in 

addition to these Procedures. 
    

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G. PERMANENT RETENTION.2 

1. Retention standard. OIA may permanently retain USPI if the USPI is publicly 

available, collected with the consent of the U.S. person(s) whom the USPI concerns, 

or a specific determination is made that the USPI falls into one or more of the 

following categories: 

a. The information was lawfully collected or disseminated to OIA by another 

element of the IC, and determined at the time of collection or subsequently during 

temporary retention to meet the collection criteria described in subsection III.A.2 

above; 

b. The information was collected incidentally to authorized collection, or 

disseminated to OIA by another element of the IC, and is necessary to understand 

or assess the importance of foreign intelligence or counterintelligence, such as 

information about a U.S. person that provides important background or context 

for foreign intelligence or counterintelligence; 

c. The information is retained for purposes of oversight, accountability, or redress. 

OIA will promptly delete information that is retained under this paragraph beyond 

the period permitted by subsection V.B above once it no longer needs the 

information for purposes of oversight, accountability, or redress; 

d. The information is imagery collected for a non-intelligence purpose that contains 

foreign intelligence or counterintelligence information; or 

e. Retention of the information is required by law or by policy approved by the 

Attorney General, but only for so long as such retention is required by such law or 

policy. 

 

2. Retention of specific USPI. OIA will determine whether information that contains 

USPI meets the standard for permanent retention at the most specific level of 

information that is appropriate and practicable. 

H. SPECIAL REQUIREMENTS FOR “COVERED COMMUNICATIONS.” 

1. Definitions. For purposes of this subsection, as defined in Section 309(a)(1) of the 

Intelligence Authorization Act for Fiscal Year 2015 (codified at 50 U.S.C. § 1813) 

(Act), a “covered communication” is any nonpublic telephone or electronic 

communication acquired without the consent of a person who is a party to the 

2

 For purposes of these Procedures, “permanent retention” does not mean that the information is retained 

indefinitely, but rather that it is retained in accordance with Treasury’s applicable records retention policies. 
    

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communication, including communications in electronic storage, and “U.S. person” 

has the meaning given that term in 50 U.S.C. § 1801(i). 

2. Limitation on extended retention. If OIA acquires a covered communication as part 

of an intelligence collection activity not otherwise authorized by court order, 

subpoena, or similar legal process that is reasonably anticipated to result in the 

collection of such a communication to or from a U.S. person, OIA may only retain the 

covered communication for more than five years if: 

a. The communication satisfies the requirements of one or more of the categories 

identified in section 309(b)(3)(B) of the Act; and 

 

b. OIA complies with any applicable approval and congressional reporting 

requirements.3

 

3. Relationship to other provisions. Subsections V.B through V.G above do not apply to 

covered communications subject to this subsection V.H. 

I. ENHANCED SAFEGUARDS. 

1. Need for enhanced safeguards. Whenever there is a collection involving special 

circumstances under these Procedures, the Assistant Secretary, or a designee, in 

consultation with OGC and OIA’s Civil Liberties and Privacy Protection Officer, will 

assess whether there is a need for enhanced safeguards to protect USPI. This 

assessment will be made in writing and will consider: 

a. The intrusiveness of the methods used by OIA or others to acquire the USPI. 

b. The volume, proportion, and sensitivity of the USPI being retained. 

c. The potential for substantial harm, embarrassment, inconvenience, or unfairness 

to U.S. persons if the USPI is improperly used or disclosed. 

d. The uses of the information being retained and the types of queries or searches 

expected to be conducted. 

e. The length of time the information will be retained. 

3

 It is also possible that another element of the IC may disseminate a covered communication to OIA where OIA has 

reason to believe that the disseminating element has not made a determination that the information may be retained 

in excess of five years in accordance with its section 309 procedures. The provisions of this subsection also apply to 

such a communication, with the five-year period beginning at the time when the other IC element first collected the 

communication. 
    

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f. Practical and technical difficulties associated with implementing any special 

safeguards. 

g. Any legal or policy restrictions that apply to the data, including the Privacy Act of 

1974. 

h. Other factors as directed by the Assistant Secretary. 

2. Implementation of enhanced safeguards. If the Assistant Secretary, or a designee, 

determines that there is a need for enhanced safeguards, that official will consider, 

and identify in writing for implementation, any of the following protections as 

deemed appropriate: 

a. Procedures for review, approval, or auditing of any access or search. 

b. Procedures to restrict access or dissemination, including limiting the number of 

personnel with access or authority to search; establishing a requirement for 

higher-level approval before or after access or search; or requiring a legal review 

before or after USPI is unmasked or disseminated. 

c. Use of privacy-enhancing techniques, such as information masking that indicates 

the existence of USPI without providing the content of the information, until the 

appropriate approvals are granted. 

d. Access controls, including data segregation, attribute-based access, or other 

physical or logical access controls. 

e. The length of time the information will be retained. 

f. Additional training requirements. 

g. Additional protective retention measures.

J. MAINTENANCE AND DISPOSITION OF INFORMATION. 

The maintenance and disposition of USPI that is retained in the automated systems and 

all paper files of OIA will conform to this section and to OIA records management 

schedules approved by the Archivist of the United States for the files or records in which 

the information is retained. 

K. RETENTION FOR BACKUP PURPOSES. 

Notwithstanding the other provisions of this section (other than the requirements of 

subsection H with respect to “covered communications”), OIA may retain, process, and 

query information retained for backup purposes, provided that only personnel responsible 
    

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for maintaining and administering such information have access to it. If OIA uses 

information retained for backup purposes to restore lost, destroyed, or inaccessible 

information, the other provisions of this section will apply to such restored information. 

VI.DISSEMINATION OF USPI 

A. APPLICABILITY AND SCOPE. 

This section governs the dissemination of USPI outside OIA. Information may be 

disseminated under this section only if it was properly handled under these Procedures 

(e.g., properly collected and retained). Within OIA, access to USPI will be limited to 

those who need the information to perform an authorized function. This section applies 

to USPI in any form, including automated systems and all paper files and information 

OIA places in databases or on web sites or shared repositories accessible to other persons 

or organizations outside OIA. This section does not apply to information disseminated 

under other procedures approved by the Attorney General or a court order that otherwise 

imposes controls on such dissemination. 

B. CONSISTENCY WITH OTHER LAWS. 

All disseminations under this section must be permissible under the Privacy Act of 1974, 

5 U.S.C. § 552a, and other applicable laws, and permitted by any enhanced safeguards 

implemented pursuant to these Procedures. 

C. NOTICE TO COMPONENTS. 

Before disseminating information obtained from another component of the Treasury 

Department, OIA will notify the component. 

D. CRITERIA FOR DISSEMINATION. 

Information may be disseminated under this section only if it was properly handled under 

these Procedures. Access to USPI disseminated under this section will be limited to 

those who need the information to perform an authorized function. USPI may only be 

disseminated by employees of OIA who have received training on these Procedures and 

if the information falls in one or more of the following categories: 

1. Publicly available. The information is publicly available. 

2. Consent. The information concerns only U.S. persons who have consented to the 

dissemination. 

3. Dissemination to another IC element. The dissemination is to another appropriate 

element of the IC for the purpose of allowing the recipient to determine whether the 
    

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information is relevant to its responsibilities and can be retained by it in accordance 

with its procedures approved by the Attorney General. 

4. Dissemination to governmental entities. The dissemination is to an element of 

Treasury or to any part of a domestic or foreign government and the recipient is 

reasonably believed to have a need to receive such information for the performance of 

its lawful functions. For any dissemination under this paragraph that is not consistent 

with OIA’s mission, the Assistant Secretary, or a designee, in consultation with OGC, 

must approve the dissemination. 

5. Assistance to OIA. The dissemination is to a governmental entity, a non-U.S. entity, 

or an individual or entity not part of a government and is necessary for the limited 

purpose of assisting OIA to carry out an authorized function. For example, OIA may 

need assistance in decrypting, translating, or analyzing the information. For such a 

dissemination, OIA will inform the recipient that (i) it should use the information 

only for this limited purpose; (ii) it should properly safeguard the information; (iii) it 

should return or destroy the information when it has provided the requested 

assistance; and (iv) it should not disseminate the information further without the prior 

approval of OIA. For any dissemination of USPI to individuals or entities not part of 

a government under this paragraph, the Assistant Secretary, or a designee, will assess 

the risk associated with such dissemination (e.g., the risk of misuse or mishandling of 

the USPI) and whether any further restrictions or handling caveats are needed to 

protect the information, and shall document that decision in writing. 

6. Protective purposes. The dissemination is to a governmental entity, an international 

entity, or an individual or entity not part of a government, and is necessary to protect 

the safety or security of persons or property, or to protect against or prevent a crime 

or threat to the national security. For any dissemination of USPI to individuals or 

entities not part of a government under this paragraph, the Assistant Secretary or 

designee, in consultation with OGC, will assess the risk associated with such 

dissemination (e.g., the risk of misuse or mishandling of the USPI) and whether any 

further restrictions or handling caveats are needed to protect the information, and 

shall document that decision in writing. 

7. Required dissemination. The dissemination is required by statute; treaty; executive 

order; Presidential directive; National Security Council directive; policy, 

memorandum of understanding, or agreement approved by the Attorney General; or 

court order. 

8. Oversight. The dissemination is for oversight purposes. Such dissemination may be 

to an Executive Branch oversight office, such as the Intelligence Oversight Board or 

Treasury Office of the Inspector General, or to an appropriate congressional oversight 

committee in accordance with Treasury policy and guidance. 
    

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E. DISSEMINATIONS TO FOREIGN GOVERNMENTS OR ENTITIES. 

For any dissemination of USPI to a foreign government or entity, the Assistant Secretary 

or a designee, in consultation with OGC, must find that the disclosure is consistent with 

applicable international agreements, information sharing arrangements, and foreign 

disclosure policy and directives, including those requiring protection against the misuse 

or unauthorized dissemination of information and the analysis of potential harms to any 

individual. 

F. DISSEMINATIONS OF LARGE AMOUNTS OF UNEVALUATED USPI. 

If OIA wishes to disseminate a large amount of USPI under subsections VI.D.4 through 

VI.D.6 above that has not been evaluated to determine whether it meets the standard for 

permanent retention, the Assistant Secretary, or a designee, must approve the 

dissemination in writing, after consulting with OGC and OIA’s Civil Liberties and 

Privacy Protection Officer. The approving official must find that the dissemination 

complies with the other requirements of this section and that it is not reasonably 

practicable to accomplish the intended objective by disseminating a lesser amount of 

USPI. In addition, if the recipient is outside the federal government, the recipient must 

represent that it has appropriate protections in place, comparable to those required by 

these Procedures, to safeguard and monitor USPI and to comply with applicable laws; 

that it will use the information for lawful purposes; and that it will access and retain the 

information only for those purposes. 

G. CONTENT OF DISSEMINATIONS. 

OIA should not include USPI in a dissemination if the pertinent information can be 

understood or its importance assessed without the USPI. If a dissemination includes 

USPI, OIA will notify the recipient so the recipient can protect the USPI appropriately. 

H. IMPROPER DISSEMINATION OF USPI. 

OIA will develop policies to address the circumstance when USPI has been disseminated 

by OIA in error, and when OIA has disseminated information that it originally believed 

was not USPI but that it later learned was USPI. 

I. DISSEMINATION NOT CONFORMING TO THIS SECTION. 

Any proposed dissemination that does not conform to the requirements of this section 

must be approved by OGC, in consultation with the National Security Division of the 

Department of Justice. Such approval will be made in writing and based on a 

determination that the proposed dissemination complies with E.O. 12333 and other 

applicable laws, executive orders, Presidential directives, and ICDs. 
    

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VII. PARTICIPATION IN ORGANIZATIONS 

A. APPLICABILITY. 

This section applies to participation by OIA or anyone acting on behalf of OIA in any 

organization in the United States, or in any organization outside the United States that 

constitutes a U.S. person. It does not apply to participation in an organization solely for 

personal purposes (i.e., activities undertaken on the initiative and at the expense of a 

person solely for personal benefit). All participation remains subject to applicable 

Treasury policy. If there is any question about the nature of the participation or whether 

the person is acting on behalf of OIA, the participant should obtain appropriate guidance. 

B. GENERAL DISCLOSURE REQUIREMENT. 

OIA employees or anyone else acting on behalf of OIA may join, become a member of, 

or otherwise participate in an organization in the United States, or in any organization 

outside the United States that constitutes a U.S. person, if his or her affiliation with OIA 

is disclosed to an appropriate official of the organization in accordance with subsection F. 

Without such disclosure, the activity must be permitted by subsections VII.C or VII.D 

below. 

C. EXCLUSIONS. 

The requirements of this section do not apply to: 

1. Volunteered information. OIA may accept information volunteered by a person who 

is already a member of an organization, including a person who is participating in an 

organization solely for personal purposes. If a person provides information in 

response to a request or tasking by OIA or another element of the IC, OIA may not 

treat that information as volunteered. 

2. Certain activities on the Internet or in other forums. An OIA employee or anyone 

acting on behalf of OIA may view, research, or collect publicly available information 

on the Internet or from forums that meet and communicate using technical means, 

provided that access to the website, service, or forum does not require a true name or 

affiliation, and there is no elicitation of information or effort to influence the 

organization or its members. 

3. Classes. Attendance by an OIA employee or anyone acting on behalf of OIA at 

commercial classes or training on non-intelligence skills, when under no direction or 

tasking to collect intelligence, and the true name and OIA affiliation is used. 

4. Publications. Obtaining publications of organizations whose membership is open to 

the general public. 
    

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5. Professional skills. Participation in educational or professional organizations to 

enhance professional skills, knowledge, or capabilities of employees, when under no 

direction or tasking to collect intelligence, and the true name and OIA affiliation is 

used. 

D. APPROVAL OF UNDISCLOSED PARTICIPATION. 

In accordance with any Treasury policy, and subject to the requirements in subsection 

VII.E below, an appropriate supervisory OIA official may approve the following kinds of 

undisclosed participation: 

1. Foreign establishments. Participation in an organization that is an official 

establishment of a foreign government. 

2. Seminars and similar events. Attendance at seminars, forums, conferences, 

exhibitions, trade fairs, workshops, symposiums, and similar meetings, regardless of 

whether they take place in person or through other means such as social networking 

sites, sponsored by organizations in which the participant is a member or has been 

invited to participate, or when the sponsoring organization does not require disclosure 

of the participants’ employment affiliations, to collect significant foreign intelligence 

that is generally made available to participants at such meetings, and does not involve 

the domestic activities of the organization or its members. 

3. Meetings open to the public. Participation in meetings that are open to the general 

public. For purposes of this subsection, a seminar or conference sponsored by a 

professional organization that is open to persons of a particular profession, whether or 

not they are members of the organization itself or have received a special invitation, 

will be considered a meeting open to the public. 

4. Other undisclosed participation. Undisclosed participation not falling under the 

categories provided above may be authorized by the Assistant Secretary, or a 

designee, after consultation with OGC and the National Security Division of the 

Department of Justice. 

E. LIMITATIONS ON UNDISCLOSED PARTICIPATION. 

All undisclosed participation must comply with the following requirements: 

1. Lawful purpose. The undisclosed participation must be essential to achieving a 

lawful foreign intelligence or counterintelligence purpose within the assigned mission 

of OIA, as determined in writing by the Assistant Secretary or a designee. The 

Assistant Secretary, or a designee, may make a general determination that 

undisclosed participation in a particular kind of organization or event in identified 

circumstances is essential to achieving a lawful foreign intelligence or 

counterintelligence purpose within the assigned mission of OIA. 
    

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2. Coordination. The undisclosed participation must be properly coordinated with 

appropriate agencies in accordance with these Procedures, Sections 1.3(b)(12), 

1.3(b)(20), 1.4(h), 1.5(g), and 1.5(h) of E.O. 12333, and any other applicable policies 

and agreements. 

3. Collection methods. Participation by OIA in an organization in the United States, or 

in an organization outside the United States that constitutes a U.S. person, is limited 

to overt collection methods or to collecting publicly available information. 

4. Compliance with E.O. 12333. All undisclosed participation must comply with the 

requirements of Section 2.9 of E.O. 12333, including its prohibition of participation 

undertaken for the purpose of influencing the activities of an organization or its 

members. 

5. Duration of undisclosed participation. Authorization to participate under this section 

will be limited to the duration of the intelligence activity it is supporting or 12 

months, whichever is shorter. An appropriate official must review and re-approve 

participation for more than 12 months on an annual basis in accordance with this 

section. 

 

F. MEANS OF DISCLOSURE. 

1. General. Unless the undisclosed participation is conducted in accordance with these 

Procedures, disclosure of the intelligence affiliation of an OIA employee (including 

anyone else acting on behalf of OIA) must be made to an executive officer of the 

organization in question, or to an official in charge of membership, attendance, or the 

records of the organization. Such disclosure must be sufficient to apprise the official 

of the fact of the person’s affiliation with OIA. 

2. Employee serving as an official of the organization. If the employee whose 

participation is at issue is an official of the organization, his or her knowledge alone 

does not meet the disclosure requirement unless that person is the senior official 

within the organization. Where the person is not the senior official in the 

organization, disclosure must be made to an additional official with actual or apparent 

authority to act on behalf of the organization who is not affiliated with the IC. 

3. Who may make disclosure. Disclosure may be made by OIA, by an authorized 

Treasury official, or by another IC element that is otherwise authorized to take such 

action on behalf of OIA. 
    

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G. RECORDS. 

OIA will identify a legal or oversight official to maintain a written record of: 

1. The date, time, and manner of any disclosure of intelligence affiliation required by 

this section, including the name and title of the person to whom the disclosure was 

made. 

2. Any failure to disclose intelligence affiliation required by this section, including the 

name and title of the person who should have made the disclosure and the 

circumstances of the failure. 

3. Any undisclosed participation conducted by an OIA employee while detailed or 

assigned to another IC element in accordance with these Procedures. 

VIII. SUPPORT TO INTELLIGENCE ACTIVITIES OF OTHER IC ELEMENTS AND 

 SUPPORT TO LAW ENFORCEMENT AGENCIES 

A. OTHER IC ELEMENTS. 

1. Collection. OIA is authorized, upon request, to support, assist, and cooperate with the 

foreign intelligence and counterintelligence collection activities of other IC elements. 

All collection activity must comply with all applicable U.S. laws and be conducted in 

accordance with these Procedures. 

 

2. Other assistance. OIA may provide, in accordance with OIA policy, technical, 

analytic, and research assistance to other IC elements. Analytic assistance may 

include the evaluation of information from other IC elements and the production of 

“finished” intelligence. Technical assistance means providing other IC elements 

support or assistance in the form of personnel, equipment, or both where the 

expertise, knowledge, abilities, capabilities, training, or associations of OIA or 

contractor personnel will facilitate the U.S. intelligence effort, and includes the 

provision of devices and training. 

All assistance must comply with all applicable U.S. laws and be conducted in 

accordance with these Procedures. 

3. Detailees and assignees. Unless otherwise provided, when intelligence personnel are 

detailed to another IC element, the receiving IC element’s procedures and authorities 

will govern. When intelligence personnel are assigned to another IC element, the 

assigning IC element’s procedures and authorities will govern. Individual detail or 

assignment agreements that depart from these general rules must clearly identify the 

governing procedures and authorities, be in writing, and be reviewed by legal and 

other appropriate officials. 
    

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B. ASSISTANCE TO LAW ENFORCEMENT AGENCIES. 

Consistent with E.O. 12333, applicable laws, other executive orders, Presidential 

directives, ICDs, and these Procedures, OIA is authorized to cooperate with law 

enforcement authorities as follows: 

1. To protect Treasury and Treasury contractor facilities, property, personnel, and 

information; 

2. Unless otherwise precluded by law or E.O. 12333, to participate in investigating or 

preventing clandestine intelligence activities by foreign powers, international 

narcotics activities, or international terrorist activities; 

3. To provide specialized equipment, technical knowledge, or assistance of expert 

personnel for use by any department or agency, or, when lives are endangered, to 

support state or local law enforcement agencies. Provision of the assistance of expert 

personnel shall be approved in each case by the Assistant Secretary and OGC in 

writing; 

4. To provide assistance to law enforcement agencies and security services of foreign 

governments or international organizations on a case-by-case basis decided in writing 

by the Assistant Secretary, in consultation with OGC; and 

5. To render any other assistance and cooperation not precluded by applicable law. 

Provision of assistance to law enforcement and civil authorities must be approved in each 

case by OGC in writing. 

IX.EMPLOYEE CONDUCT 

A. GENERAL. 

OIA employees shall conduct intelligence activities only in accordance with E.O. 12333, 

applicable laws, other executive orders, Presidential directives, ICDs, Treasury policy, 

and these Procedures. 

B. FAMILIARITY WITH RESTRICTIONS. 

1. OIA shall familiarize relevant employees with the provisions of E.O. 12333, these 

Procedures, and any instructions implementing these Procedures that apply to its 

activities. 

2. The Assistant Secretary shall ensure that training is conducted to achieve the requisite 

familiarity. The training required by this paragraph shall be in person whenever 

practicable and refreshed at least annually. 
    

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C. RESPONSIBILITIES OF THE ASSISTANT SECRETARY. 

The Assistant Secretary will: 

1. Ensure that no adverse action is taken against any employee for reporting activities 

pursuant to Section X. 

2. Impose such sanctions as may be appropriate under Treasury regulations, orders, and 

policies upon any employee who violates the provisions of these Procedures or any 

instructions, policies, or guidance promulgated thereunder. 

3. In any case involving a breach of security regulations and guidelines by either 

Treasury or non-Treasury employees, notify the appropriate investigative agency 

within Treasury. 

4. Ensure that, to the extent consistent with applicable law and privileges, legal, 

oversight, privacy, and civil liberties officials and the Inspector General have access 

to appropriate information concerning the intelligence activities of OIA necessary to 

perform their oversight responsibilities. 

5. Ensure that, to the extent consistent with applicable law and privileges, OIA 

employees cooperate fully with the Intelligence Oversight Board (IOB) and its 

representatives. 

X. COMPLIANCE, OVERSIGHT, AND REPORTING 

A. GENERAL PROTECTIONS FOR USPI. 

 

1. Responsibilities of OIA. For all USPI, OIA will: 

a. Limit access to and use of such information to those employees who have 

appropriate security clearances, accesses, and a mission requirement. 

b. When retrieving information electronically: 

i. Only use queries or other techniques that are intended to retrieve 

information relevant to the intelligence mission or other authorized 

purposes. 

ii. Tailor queries or other techniques to the greatest extent practicable to 

minimize the amount of USPI returned that is not pertinent to the 

intelligence mission and purpose of the query. 
    

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iii. Establish written procedures to document the basis for conducting queries of 

unevaluated information that are intended to reveal USPI. 

c. Take reasonable steps to audit access to information systems containing USPI and 

to audit queries or other search terms to assess compliance with these Procedures. 

d. In developing and deploying new information systems containing USPI, take 

reasonable steps to ensure effective auditing and reporting as required by these 

Procedures. 

e. Establish documented procedures for retaining data containing USPI, recording 

the reason for retaining the data, and identifying which officials have authority to 

approve the retention. 

f. Regularly train employees who access or use USPI on the civil liberties and 

privacy protections that apply to such information. 

g. Adhere to such other requirements as may be established by OIA. 

2. Marking electronic and paper files. OIA will use reasonable measures to design and 

develop information systems to identify and mark or tag files (including emails, 

attachments, automated systems, and all paper files) that are reasonably believed or 

known to contain USPI. Marking and tagging will occur regardless of the format or 

location of the information, or the method of storing it. When appropriate and 

reasonably possible, OIA will also mark files and documents containing USPI 

individually. In the case of certain electronic databases, if it is not reasonably 

possible to mark individual files containing USPI, OIA may use a banner informing 

users prior to access that they may encounter USPI. 

3. Reviews. Oversight personnel designated by the Assistant Secretary, or a designee, 

will periodically review OIA’s practices for protecting USPI in accordance with these 

Procedures. 

B. COMPLIANCE AND OVERSIGHT. 

E.O. 13462, as amended, established the IOB in order to enhance the security of the 

United States by assuring the legality of the activities of the IC. The Assistant Secretary, 

in consultation with OGC, will report intelligence activities they have reason to believe 

are unlawful, or contrary to Presidential order or directive, to the IOB to the extent 

required by Section 1.6(c) of E.O. 12333; E.O. 13462; and criteria issued by the IOB.4 

To the extent permitted by law and consistent with any applicable privileges, the 

Assistant Secretary will also provide the IOB with all information necessary to carry out 

4

 Available through the DNI’s publicly available website. 
    

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its responsibilities. The Assistant Secretary will provide a copy of all reports to the DNI. 

This section addresses OIA’s compliance and oversight responsibilities, and the 

requirements for reporting of questionable intelligence activities. To the extent consistent 

with applicable law and privileges, all OIA employees and contractors will cooperate 

fully with the IOB. 

1. OIA policies and guidance issued to implement these Procedures shall include 

appropriate measures to facilitate compliance and oversight. OIA information 

systems will, to the extent possible, facilitate auditing of access to and queries of 

information relevant to OIA’s intelligence activities. 

2. The Assistant Secretary or designee shall establish guidance for the implementation 

of these Procedures and for other issues as required, establish oversight mechanisms 

(such as periodic audit and review). 

3. The Assistant Secretary shall appoint a Civil Liberties and Privacy Protection Officer 

who shall be responsible for providing advice and assistance to the Assistant 

Secretary and other senior Treasury officials regarding privacy and civil liberties 

concerns in implementing these Procedures, and for implementing the oversight and 

compliance functions in these Procedures. 

4. As part of its independent responsibilities, the Office of the Inspector General shall 

conduct audits, inspections, and investigations of OIA programs to determine 

compliance with applicable statutes and regulations, including these Procedures. 

5. OGC shall be responsible for the interpretation of these Procedures, resolve any 

conflict regarding the application of different provisions of these Procedures, and 

serve as the primary point of contact with the Department of Justice and other U.S. 

Government entities regarding these Procedures. 

6. The heads of OIA offices shall implement these Procedures in coordination with the 

Assistant Secretary, or a designee, and provide training to employees who require 

access in the performance of their duties to information governed by these 

Procedures. 

7. OIA employees are responsible for becoming familiar with and complying with these 

Procedures and any implementing guidance, referring any questions concerning the 

interpretation of these Procedures to OGC, using the information that is subject to 

these Procedures for only lawful and authorized purposes, and reporting activities that 

may be unlawful or contrary to executive order or Presidential directive to the 

appropriate chain of command, OGC, or Treasury’s Office of the Inspector General. 
    

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C. QUESTIONABLE INTELLIGENCE ACTIVITIES. 

1. Definition. A questionable intelligence activity is an intelligence activity that may 

violate the law, E.O. 12333, any other executive order or Presidential directive, or 

applicable Treasury policy, including these Procedures. 

2. Identification. Each OIA employee must report any questionable intelligence activity 

to the Assistant Secretary, or a designee, and to an appropriate oversight official. 

3. Investigation. 

a. Each report of questionable intelligence activity will be investigated to the extent 

necessary to determine the facts and assess whether the activity is legal and 

consistent with applicable policy. 

b. Investigations will be conducted expeditiously. The officials responsible for these 

investigations may, in accordance with established procedures, obtain assistance 

from OIA, or from other Treasury components, as necessary to complete the 

investigations in a timely manner. 

c. Investigations will be conducted in accordance with Presidential Policy Directive 

19, Protecting Whistleblowers with Access to Classified Information, and other 

applicable law and Treasury policy. 

D. REPORTING TO THE ATTORNEY GENERAL. 

All reports made under subsections X.B or X.C above that involve a possible violation of 

federal criminal law will be sent to the Attorney General after consultation with OGC, in 

accordance with the procedures adopted under Section 1.6(b) of E.O. 12333. 

XI.GENERAL PROVISIONS 

A. ACTIVITIES CONDUCTED FOR ADMINISTRATIVE PURPOSES. 

OIA may collect USPI for administrative purposes. Information is collected for 

administrative purposes when it is necessary for the administration of OIA but is not 

collected directly for intelligence purposes. Information collected for administrative 

purposes includes: information about systems administration, contracting, public affairs 

and legislative matters, personnel training, security records and files, and training 

materials. Nothing in these Procedures prohibits the collection, retention, or 

dissemination of such information by OIA or another component authorized to engage in 

such functions. 

 
    

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B. DELEGATION. 

When these Procedures require a specific Treasury official to approve an activity or take 

some other action, only that official, or a more senior official, may take that action. 

When these Procedures permit an official to delegate responsibility for an action, the 

official may delegate the responsibility to one or more appropriate officials in accordance 

with Treasury policy, unless specifically limited to a single designee. 

C. INTERPRETATION. 

The Assistant Secretary, together with OGC, will consult with the Assistant Attorney 

General for National Security and the Office of the Director of National Intelligence 

(ODNI) regarding any novel or significant interpretations of these Procedures. 

D. DEPARTURES. 

The Assistant Secretary and the Assistant Attorney General for National Security, after 

consultation with OGC and ODNI, must approve in advance any departures from these 

Procedures. If there is not time for such approval and a departure from these Procedures 

is necessary because of the immediacy or gravity of a threat to the safety of persons or 

property or to the national security, the Assistant Secretary may approve a departure from 

these Procedures. OGC will be notified as soon as possible. The Assistant Secretary will 

provide prompt written notice of any such departures to the Assistant Attorney General 

for National Security and ODNI. All activities in all circumstances must be carried out in 

a manner consistent with the Constitution and laws of the United States. 

E. AMENDMENTS. 

Substantive amendments to these Procedures require the approval of the Secretary and 

the Attorney General, after consultation with the DNI. 

F. TRANSITION. 

OIA will implement these Procedures in accordance with guidance from the Assistant 

Secretary and will have 18 months from the effective date of these Procedures to 

implement the requirements of these Procedures. 

G. EFFECT. 

These Procedures are set forth solely for the purpose of internal Treasury guidance. They 

are not intended to, do not, and may not be relied upon 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 do they place any limitation on otherwise lawful investigative and litigative 

prerogatives of the United States. 
    

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XII. DEFINITIONS 

The following definitions apply to these Procedures: 

Collection. Information is “collected” when it is received by OIA, whether or not it is 

retained by OIA for intelligence or other purposes. Collected information includes 

information obtained or acquired by any means, including information that is volunteered 

to OIA. Collected information does not include (i) information that only momentarily 

passes through an OIA computer system; (ii) information on the Internet or in an 

electronic forum or repository outside OIA that is simply viewed or accessed by an OIA 

employee but is not copied, saved, supplemented, or used in some manner; (iii) 

information disseminated to OIA by other IC elements; or (iv) information that is 

maintained on behalf of another U.S. Government agency and to which OIA does not 

have access for intelligence purposes. 

Consent means agreeing to do or to allow something or giving permission for something 

to happen or to be done. Consent may be express or implied. Consent may be implied 

where legally adequate notice has been provided. Consent may also be implied where a 

legally adequate policy has been published or otherwise circulated. OGC will determine 

whether a notice or policy is adequate and lawful before OIA relies on implied consent to 

take or refrain from taking an action on the basis of the consent. 

Counterintelligence means information gathered and activities conducted to identify, 

deceive, exploit, disrupt, or protect against espionage, other intelligence activities, 

sabotage, or assassinations conducted for or on behalf of foreign powers, organizations, 

or persons, or their agents, or international terrorist organizations or activities. 

Dissemination means the transmission, communication, sharing, or passing of 

information outside OIA by any means, including oral, electronic, or physical means. It 

therefore includes providing any access to information in OIA’s custody to a person 

outside OIA. 

Domestic activities means activities that take place in the United States and do not 

involve a significant connection with either an agent of a foreign power or a foreign 

power, organization, or person. 

Electronic surveillance means acquisition of a nonpublic communication by electronic 

means without the consent of a person who is a party to an electronic communication or, 

in the case of a non-electronic communication, without the consent of a person who is 

visibly present at the place of communication, but not including the use of radio 

direction-finding equipment solely to determine the location of a transmitter. 

Employee, when referring to any Treasury employee, means any person employed by 

Treasury; any person employed by another agency and working under the direction and 
    

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control of Treasury; or an employee of a Treasury contractor or subcontractor. A source 

is not an employee. 

Foreign economic information means information relating to foreign economic resources, 

activities, and policies, including the production and consumption of goods and services, 

labor, finance, taxation, trade, other aspects of foreign economies, and the foreign aspects 

of the international economic system. 

Foreign financial information means information relating to the monetary support and 

resources of foreign governments or elements thereof, foreign organizations, foreign 

persons, or international terrorists. 

Foreign intelligence means information relating to the capabilities, intentions, or 

activities of foreign governments or elements thereof, foreign organizations, foreign 

persons, or international terrorists. Foreign intelligence includes foreign financial 

information and foreign economic information. 

Foreign power means: 

a. A foreign government or any component thereof, whether or not recognized by 

the United States; 

b. A faction of a foreign nation or nations, not substantially composed of U.S. 

persons; 

c. An entity that is openly acknowledged by a foreign government or governments 

to be directed and controlled by such foreign government or governments; 

d. A group engaged in international terrorism or activities in preparation therefor; 

e. A foreign-based political organization, not substantially composed of U.S. 

persons; 

f. An entity that is directed and controlled by a foreign government or governments; 

or 

g. An entity not substantially composed of U.S. persons that is engaged in the 

international proliferation of weapons of mass destruction. 

Host of a shared repository means an entity responsible for developing and maintaining a 

shared repository. A host may or may not have access to information in the repository 

for intelligence or other operational purposes. A host may be a governmental or privatesector entity. 
    

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Incidental collection of USPI means collection of USPI that is not deliberately sought by 

OIA, but that is nonetheless collected. Collection of USPI that is not deliberately sought 

is considered incidental regardless of whether it is expected or reasonably anticipated to 

occur. 

Intelligence includes foreign intelligence (including foreign financial intelligence and 

foreign economic intelligence) and counterintelligence. 

Intelligence activities means all activities that elements of the IC are authorized to 

conduct under E.O. 12333. 

Intelligence Community (IC), elements of the IC, and IC elements mean those agencies 

and elements described in Section 3.5(h) of E.O. 12333. 

Intentional collection of USPI means collection of USPI that is deliberately sought by 

OIA. 

International terrorism and international terrorist activities means activities that (1) 

involve violent acts or acts dangerous to human life that violate domestic criminal law or 

would violate such law if committed in the United States or a state, local, or tribal 

jurisdiction; (2) appear to be intended to intimidate or coerce a civilian population; to 

influence the policy of a government by intimidation or coercion; or to affect the conduct 

of a government by assassination or kidnapping; and (3) occur totally outside the United 

States, or transcend national boundaries in terms of the means by which they are 

accomplished, the persons they appear intended to coerce or intimidate, or the locale in 

which their perpetrators operate or seek asylum. 

 

Join means to become a member of, or become associated with, an organization, with or 

without the payment of dues or membership fees. 

Organization, for purposes of section VII and for purposes of the definitions of 

“organization in the United States,” “participation,” “participation on behalf of OIA,” 

“participation undertaken for the purpose of influencing the activities of an organization,” 

and “undisclosed participation,” means an association of two or more individuals formed 

for any lawful purpose whose existence is formalized in some manner. The term includes 

social, political, fraternal, professional, business, academic, ethnic-affinity, and religious 

organizations. The term includes organizations that meet and communicate primarily on 

the Internet or through the use of other technologies. It does not include a loose group of 

friends, social contacts, or business associates who may share common interests but 

whose association lacks any formal structure. For example, the Rotary Club is an 

organization; a group of friends who play poker or meet at a gym for athletics every 

weekend is not. 

Organization in the United States means an organization physically located in the United 

States, whether or not it constitutes a U.S. person. Thus, a branch, subsidiary, or office of 
    

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an organization in the United States that is physically located outside the United States is 

not an organization in the United States. Conversely, a branch, subsidiary, or office of a 

foreign organization, or one substantially made up of foreign persons, that is physically 

located in the United States is an organization in the United States. An organization in 

the United States also means an organization that primarily meets and communicates on 

the Internet or through the use of other technologies and is substantially composed of 

persons who are located in the United States. 

Overt collection means either (i) collection that is openly acknowledged by or is readily 

attributable to the U.S. Government, or (ii) collection where no steps are taken to conceal 

the U.S. Government collection activity and the role of the U.S. Government would be 

acknowledged in response to an express inquiry. Acknowledgment may include advising 

of U.S. Government affiliation (confirming the collector’s affiliation with an intelligence 

element is not required, so long as U.S. Government affiliation is acknowledged) or 

advising of a general collection activity applicable to that individual (rather than advising 

of specific acquisition methods, sites, or processes being used, or other details about the 

collection). 

 

For example, in accordance with its established procedures, OIA might monitor 

Government-furnished equipment based on notice to the individuals from whom the 

information is collected, but OIA would not need to provide the details of the monitoring, 

or acknowledge which specific users it had chosen to monitor. 

Participation means taking part in an organization’s activities and interacting with its 

members within the structure or framework of the organization. Such actions include, 

but are not limited to, joining or acquiring membership; attending or taking part in 

organizational meetings, academic activities, seminars, trade fairs, workshops, 

conferences, exhibitions, symposiums, social functions, or forums for Internet or other 

communications; carrying out the work or functions of the organization; serving as a 

representative or agent of the organization; and contributing funds to the organization 

other than in payment for goods or services. Participation does not include occasional 

passive attendance at forums that are open to the public, including non-members. In 

addition, participation does not include taking part in events outside the organizational 

structure or framework, such as infrequent attendance at meetings or occasional social 

gatherings that involve the organization’s members, but that are not functions or activities 

conducted on behalf of the organization itself. 

Participation on behalf of OIA means when an OIA employee or other person is tasked or 

asked to participate in an organization for the benefit of OIA. Such a person may already 

be a member of the organization or may be asked to join. Actions undertaken for the 

benefit of OIA may include collecting information, identifying potential sources or 

contacts, or establishing or maintaining cover. 

Participation undertaken for the purpose of influencing the activities of an organization 

means any action taken with the intention of causing a significant effect on the 
    

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organization’s agenda, course of business, core activities, or future direction. Simply 

voting or expressing an opinion on these matters as a member will generally not fall 

within this definition. 

Publicly available means information that has been published or broadcast for public 

consumption, is available on request to the public, is accessible on-line or otherwise to 

the public, is available to the public by subscription or purchase, could be seen or heard 

by any casual observer, is made available at a meeting open to the public, or is obtained 

by visiting any place or attending any event that is open to the public. 

Retention means the maintenance of information in either hard copy or electronic format 

regardless of how the information was collected or how it was disseminated to OIA by 

another element of the IC. 

Shared repository means a database, environment, or other repository maintained for the 

use of more than one entity. A database, environment, or other repository that a 

contractor or other entity maintains for the use of only OIA, or those acting on its behalf, 

is not a shared repository. 

Undisclosed participation means participation by an OIA employee or other person acting 

on behalf of OIA in any organization in the United States, or any organization outside the 

United States that is a U.S. person, if the person’s intelligence affiliation with OIA is not 

disclosed to an appropriate official of the organization. 

U.S. person means any of the following: 

 

a. A U.S. citizen, including persons with dual U.S./foreign citizenship; 

b. An alien known by OIA to be a permanent resident alien; 

c. An unincorporated association substantially composed of U.S. citizens or 

permanent resident aliens; or 

d. A corporation incorporated in the United States (including subsidiaries of foreign 

corporations separately 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 U.S. 

person. 

In applying paragraph c, if a group or organization in the United States that is affiliated 

with a foreign-based international organization operates directly under the control of the 

international organization and has no independent programs or activities in the United 

States, the membership of the entire international organization will be considered in 

determining whether it is substantially composed of U.S. persons. If, however, the U.S.-
    

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based group or organization has programs or activities separate from, or in addition to, 

those directed by the international organization, only its membership in the United States 

will be considered in determining whether it is substantially composed of U.S. persons. 

Unless specific information to the contrary is obtained, a person or organization in the 

United States is presumed to be a U.S. person and 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-U.S. person. 

U.S. person information (USPI) is information that is reasonably likely to identify one or 

more specific U.S. persons. USPI may be either a single item of information or 

information that, when combined with other available information, is reasonably likely to 

identify one or more specific U.S. persons. Determining whether information is 

reasonably likely to identify one or more specific U.S. persons requires a case-by-case 

assessment by a trained intelligence professional. It is not limited to any single category 

of information or technology. 

Depending on the context, examples of USPI may include names or unique titles; 

government-associated personal or corporate identification numbers; unique biometric 

records; financial information; and street address, telephone number, and Internet 

Protocol address information. 

 

USPI does not include a reference to a product by brand or manufacturer’s name or the 

use of a name in a descriptive sense, as, for example, “Ford Mustang” or “Boeing 787.” 

Imagery from overhead reconnaissance or information about conveyances, such as 

vehicles, aircraft, or vessels, should not be considered USPI without linkage to additional 

identifying information that ties the information to a specific U.S. person. 

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