NGAI 5401.2

ENCLOSURE 1

REFERENCES

(a) Title 50 US Code § 1801, “Foreign Intelligence Surveillance Act [FISA] of
1978,” as amended, 25 October 1978

(b) Executive Order 12333, "United States Intelligence Activities," as amended,
30 July 2008

(c) Intelligence Community Directive 112, “Congressional Notification,” 29 June
2017

(d) Intelligence Community Policy Guidance 107.1, “Requests for Identities of
U.S. Persons in Disseminated Intelligence Reports,” 11 January 2018

(e) Department of Defense (DoD) Manual 5240.01, “Procedures Governing the
Conduct of DoD Intelligence Activities,” 8 August 2016

(f) NGA Instruction (NGAI) 8040.2, Volume 1, “Records and Information
Lifecycle Management: Records Management Program,” 30 March 2016

(g) NGAI 8900.4, “The Intelligence Oversight Compliance and Awareness
Program,” 17 January 2018

(h) Memorandum for Chief Management Officer, DoD, Chief Office of Civil
Liberties, Privacy, and Transparency, Office of the Director of National
Intelligence, “Designation of NGA Senior Component Official for Privacy and
Component Chief Civil Liberties Officer,” 19 October 2018

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NGAI 5401.2

4. ADO Approval/Disapproval of Covered Request. ADO considers the facts and
circumstances of the Covered Request and approves or disapproves the disclosure of
USPI originally minimized in NGA intelligence products.

5. D/MOC Covered Request Dissemination. D/MOC provides the Requesting Entity with
the NGA response to the disclosure request.

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NGAI 5401.2

e. Creates and retains records of Covered Requests IAW Reference (f).

f. Compiles and provides to D/NGA the information necessary to fulfill the reporting
requirement to the SecDef, DNI, and congressional intelligence committees.

g. In the event that the Director's designee approves a Covered Request under
exigent circumstances, or where a delay could negatively impact intelligence activities,
ensures that the Requesting Entity provides a written basis for making the request within
five business days after such a disclosure.

4. General Counsel (GC).

a. Provides GC or, in the absence of the GC, delegee review of Covered Requests
when required by paragraph E.1.f. of Reference (d). GC delegation shall extend no
further than the Senior Associate GC.

b. Provides legal review of all other requests, and concurrence or non-concurrence
to recommendations made to the ADO, including the basis for the decision, as
determined by the GC.

5. Directorate Heads and Agency Element Leads.

a. Promptly provide all Covered Requests to the NGA D/MOC for processing.

b. Provide D/MOC with a recommendation of whether to grant the Covered Request.

c. Coordinate on the disclosure of USPI in the Covered Request.

6. Personnel Responsible for Minimization of USPI in an NGA Intelligence Product.

a. Assess the reasoning behind minimization in the subject intelligence product to
establish a basis for later revealing USPI.

b. Evaluate whether the justification provided in the Covered Request warrants
disclosure of USPI.

c. Provide a recommendation as to disclosure of USPI to Directorate Head or
Agency Element Lead.

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NGAI 5401.2

ENCLOSURE 2

RESPONSIBILITIES
1. Director, NGA (D/NGA).

a. Delegates authority to approve Covered Requests to the Associate Director for
Operations (ADO) IAW Reference (d).

b. Annually, by 1 March, submits a report on Covered Requests to the Director of
National Intelligence (DNI), the Secretary of Defense (SecDef) through the DoD Senior
Intelligence Oversight Official, and the congressional intelligence committees IAW
Reference (d).

c. In consultation with the DNI, submits reports within 14 days after the date of an
NGA Covered Request approval to the Chairmen and Ranking Members of the
congressional intelligence committees concerning certain Covered Requests made

during a period beginning on the date of a general election for President and ending on
the date on which such President is inaugurated IAW Reference (d).

d. Designates the Senior Component Official for Privacy (SCOP) as the NGA official
who facilitates the approval process for Covered Requests IAW Reference (h).

2. ADO.

a. Approves or disapproves Covered Requests.

b. In the event of exigent circumstances or when a delay could negatively impact
intelligence activities, approves the Covered Request based on the rationale provided
by the Requesting Entity. The rationale may be oral or written.

3. Director, Mission Oversight and Compliance (D/MOC)/SCOP.

a. Coordinates with stakeholders to ensure NGA processes responses to Covered
Requests in a timely, efficient, and compliant manner, with assistance from the General
Counsel (GC) and other officers as necessary.

b. Assigns responsibility to the Chief, MOC Privacy and Civil Liberties Division
(MOCP), to manage the Covered Request process, as shown in Appendix 1 of

Enclosure 3.

c. Ensures that requesting entities provide the information necessary to adequately
justify the Covered Request IAW Reference (d).

d. Ensures documentation for Covered Requests IAW Reference (d).

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NGAI 5401.2

f. Covered Requests containing the required information are forwarded to the
appropriate Directorate Head or Agency Element Lead for evaluation.

g. Personnel originally responsible for minimizing USP! in NGA-derived intelligence
reports or products IAW Reference (e) review each Covered Request and provide their
Directorate Head or Agency Element Lead with a recommendation as to whether a
request meets the standards for approval under applicable law and policy, including this
Instruction.

(1) Originator reviews the Covered Request justification.
(2) Originator develops approval recommendation.

(3) Directorate Head or Agency Element Lead submits approval/disapproval
recommendation to MOCP for processing.

h. Upon receipt of the Directorate Head’s or Agency Element Lead’s assessment,
Chief, MOCP, considers whether a Covered Request meets the standard for approval
under applicable law and policy, including this Instruction, and provides an assessment
to OGC.

i. Chief, MOCP, retains permanent records with respect to Covered Requests,
including the disposition of such requests, as required by Reference (f).

(1) Covered Request records shall be retained for not less than 5 years IAW
Reference (d).

(2) Such records include, with respect to approved and denied requests, the
name and title of the individual who approved or denied such requests.

j. Annually by 1 February, D/MOC compiles a report of Covered Requests and
forwards it to the D/NGA for submission IAW Reference (d).

2. MOCP Review and Evaluation. Chief, MOCP, reviews and evaluates disclosure of
USPI recommendations for compliance with Reference (d) prior to forwarding to GC for
legal review.
3. GC Review and Evaluation.
a. Reviews Covered Request documentation and recommendations to reveal USPI.
b. Provides concurrence or nonconcurrence with a recommendation to the ADO to
reveal USPI previously minimized in an NGA intelligence product based on compliance

with the standards for approval under applicable law and policy, including this
Instruction.

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National Geospatial-Intelligence Agency

INSTRUCTION

NUMBER 5401.2
7 June 2019

MOC
SUBJECT: Requests for US Person Identity Information in Intelligence Reports
References: See Enclosure 1.

1. PURPOSE. This Instruction establishes policy, assigns responsibilities, and provides
procedures for responding to requests from an entity other than NGA for the post-
publication release and dissemination of US person identity information originally
minimized in NGA-derived intelligence reports or products.

2. APPLICABILITY. This Instruction applies to all NGA civilian employees, military
service members, other Government agency personnel assigned to NGA, and
contractors, hereinafter referred to as personnel.

3. DEFINITIONS. See Glossary.
4. POLICY. It is NGA policy that:

a. The request for US Person Information (USPI) originally minimized in
disseminated NGA intelligence products is conducted in accordance with (IAW)
Reference (d).

b. This Instruction does not change minimization procedures established pursuant to
References (a), (b), (e), (g), or other provisions of law or the requirements established in
Reference (c).

5. RESPONSIBILITIES. See Enclosure 2.

6. EFFECTIVE DATE. This Instruction is effective on the date of signature. |

Ade

Robert D. Sharp
VADM, USN
Director

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Covered
Request

Exigent
Circumstances

Identity
Information

Originator

Requesting
Entity

US Person

US Person
Information
(USPI)

NGAI 5401.2

GLOSSARY

A request from a Requesting Entity for the post-publication release
and dissemination of previously minimized, nonpublic identity
information of a known unconsenting US person in NGA-derived
intelligence reports or products. (Reference (d))

Circumstances when there is a reasonable basis to believe there is
imminent danger to a person's life or physical safety or when there
are time-critical needs that pose significant risks to important US
interests. (Reference (d))

Information that identifies US persons by name or by individually
identifying titles or characteristics. (Reference (d))

Person who minimizes USPI in an NGA-derived intelligence report or
product. (Definition created by NGA for NGA purposes only)

An entity of the US Government, or a state, local, tribal, or territorial
government, that makes a request subject to this Instruction.
(Reference (d))

AUS citizen, an alien known by the intelligence element concerned to
be a permanent resident alien, an unincorporated association
substantially composed of US citizens or permanent resident aliens,
or a corporation incorporated in the United States, except for a
corporation directed and controlled by a foreign government or
governments. (Reference (b))

Information that is reasonably likely to identify one or more specific
US persons. USPI may be either a single item of information or
information that, when combined with other information, is
reasonably likely to identify one or more specific US persons.
Determining whether information is reasonably likely to identify one
or more specific US persons in a particular context may require a
case-by-case assessment by a trained intelligence professional.
USPI is not limited to any single category of information or
technology. Depending on the context, examples of USP! 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. (Reference (e))

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NGAI 5401.2

APPENDIX 1

Request to Reveal USPI Process

Requesting Entity submits request to
NGA to reveal USPI contained in an
intelligence product

Request forwarded to MOC for
compliance evaluation IAW Intelligence
Community Policy Guidance 107.1

Request staffed to Originating Element for
review and recommendation

MOC Privacy and Civil Liberties Division
review and evaluation

OGC review and concurrence or
nonconcurrence with recommendation
for disclosure of USPI

Associate Director for Operations
decision to disclose USPI

MOC provides Requesting Entity with
NGA response to USPI disclosure
request.

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NGAI 5401.2

ENCLOSURE 3

PROCEDURES
1. Covered Requests Submitted to NGA.

a. Directorate Heads or Agency Element Leads forward all Covered Requests to the
Chief, MOCP, as shown in Appendix 1 to Enclosure 3.

b. Chief, MOCP, ensures that Covered Requests contain the following written
documentation:

(1) The name or title of the individual who is making an official request on behalf
of the Requesting Entity.

(2) Information that uniquely identifies the specific NGA-disseminated intelligence
report containing the requested USPI.

(3) The name or title of each individual who will receive the US person identity
information at the time of release.

(4) A fact-based justification describing why each identified individual requires
such USPI to carry out his or her duties.

c. Chief, MOCP, returns Covered Requests that do not contain the information
required in paragraph 1.b. to the Requesting Entity for correction and resubmission.

d. For Covered Requests made during a period beginning on the date of a general
election for President and ending on the date on which such President is inaugurated,
Chief, MOCP, will ensure that the written documentation described in paragraph 1.b.
includes:

(1) Whether the individual making the request has knowledge or belief that any
US person identity information sought by the request is for an individual who is a
member of the transition team as identified by the President-elect or Vice President-
elect.

(2) Whether or not there is reasonable belief that the US person identity
information sought by the request is an individual who is a member of the transition
team as identified by the President-elect or Vice President-elect.

e. Chief, MOCP, forwards Covered Requests that were not originated and minimized

by NGA to the originating Intelligence Community element for further action and direct
response to the Requesting Entity.

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NGAI 5401.2

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NGAI 5401.2

TABLE OF CONTENTS
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ENCLOSURE 1: REFERENCES.

ENCLOSURE 2: RESPONSIBILITIES .
Director, NGA .
Associate Director for Operation:
Director, Mission Oversight and Compliance/Senior Component Official for Privacy
General Counsel ...........:.ccccccscseesseeeneeseeeeeseeeeeeeeees
Directorate Heads and Agency Element Leads
Personnel

NNN®O2OD

ENCLOSURE 3: PROCEDUREG.........
Covered Requests Submitted to NG.
Mission Oversight and Compliance Privacy and Civil Liberties Division Review and
Evaluation
General Counsel Review and Evaluation............cc:ccscecseseeseteeeeees
Associate Director for Operations Approval/Disapproval of Covered Request
Director, Mission Oversight and Compliance/Senior Component Official for Privacy

Covered Request Dissemination ............c.ccccccccsesssseseeseeseeeeeeceeceeseeeeeeeeeeeeeeeeeeeeeeeeaneanens 10
APPENDIX 1: PROCESS FLOW DIAGRAM... .ccsscscsesessessesestesesteseseeneneseeneneeneneeneneenens 11
GLOSSARY 0. eeececcecesescseeecseeeeaeeecseseescescsceassecesesessscsesassanasasseceseneesecseneceesessenenaenenaeates 12

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Enclosures
1. References
2. Responsibilities
3. Procedures
Glossary

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NGAI 5401.2