HIDTA Mgmt PG v 3.3 c (May, 2018) · NATIONAL HIDTA ASSISTANCE CENTER 11200 NW 20th Street, Suite...

NATIONAL HIDTA ASSISTANCE CENTER 11200 NW 20th Street, Suite 100 Miami, Florida 33172 Phone (305) 715 7600 Fax (305) 715 7615 www.nhac.org

HIDTA Management

Participant Guide v. 3.3

VOLUME II

Appendix A: Supplemental Materials

HIDTA Management A-1

Appendix A: Supplemental

Materials


A-2 HIDTA Management



Contents of Appendix A The following samples, templates, and supplemental documents are grouped according to the modules in which they were discussed.

Module 1 Speaker Bios for May, 2018 .............................................. A-5 Petitions for HIDTA Designation .................................... A-11 Sample Petition for Designating 3 New Counties ........... A-14

Module 2 ONDCP Policy Analyst Assignments .............................. A-53 Initiative Types and Subtypes .......................................... A-54 National Programs with HIDTA Initiatives ..................... A-56 Distribution of HIDTA Funds .......................................... A-59

Module 3 Executive Board Strategic Meeting – Sample Agenda .... A-61 Board Education – List of Suggested Topics ................... A-62 Orientation for New Board Members .............................. A-64 Monthly Report to Executive Board – Sample ................ A-66 Charter of Houston HIDTA ........................................... A-71 Local Policies and Procedures – Sample ......................... A-82 Memorandum of Understanding Among Participating Agencies ........................................................................... A-85 Executive Board Sample Problems / Proposed Solutions ........................................................ A-96

Module 4 Summary List of HDTA Director Responsibilities, Tasks, Limitations, and Authorities ................................. A-98 DHE Operational Plan – Sample ................................... A-101

Continued

The National HIDTA Assistance Center anticipates posting these and other sample documents on the HRMS (HIDTA Resource Management System) in the future.



Contents - continued

Module 5 HIDTA Award Balances Report (April, 2018) .............. A-111

Module 6 Safeguarding Sensitive but Classified Data ................... A-111 Executive Order 13526 ................................................. A-125 Executive Order 13556 ................................................. A-152 HIISSP .......................................................................... A-155 ISC Organizational Chart - Sample ............................... A-157 RIC Organizational Chart - Sample ............................... A-157

Module 7 WebPMP Data to Describe Initiatives ........................... A-159 Summary of Case Explorer Data Shared With WebPMP ............................................................... A-160 HIDTA Reporting Requirements (2019) ....................... A-161 Annual Budget Submission Checklist (2019) ................ A-184

HIDTA Management Training

Speakers’ Bios

New Orleans, LA

May 30-31, 2018

THOMAS H. CARR Executive Director

Washington/Baltimore HIDTA

Thomas H. Carr is the Executive Director of the Office of National Drug Control Policy’s (ONDCP) Washington/Baltimore High Intensity Drug Trafficking Area (HIDTA) Program, a position he has held since 1994. He also serves as Executive Director of the University of Baltimore’s Center for Drug Policy and Enforcement and the George Mason University HIDTA Program.

Mr. Carr has designed and implemented more than 150 drug task forces, 18 drug treatment/criminal justice task forces and five drug prevention programs during the last 24 years. He currently administers 34 drug task forces and a regional intelligence center that supports more than 200 federal, state and local law enforcement agencies in Maryland, Washington, D.C, Virginia, and West Virginia. As chairperson of the Performance Management Process Committee, Mr. Carr established metrics to measure the efficiency and effectiveness of drug control efforts in the fields of drug law enforcement, criminal intelligence, treatment, and prevention for the HIDTA Program. HIDTA’s Performance Management System electronically collects outcome performance data from 28 HIDTAs and shares this information with Congress on an annual basis. He was awarded the ONDCP Director’s Award for his work in performance management.

In response to the nation’s opioid epidemic, Mr. Carr is working with nine other HIDTAs and the Office of National Drug Control Policy on the Heroin Response Strategy (HRS). This strategy resulted in the creation of a public health-public safety partnership supported by the Centers for Disease Control and Prevention (CDC), and the hiring of 22 drug intelligence officers and 22 public health analysts. The HRS has led to the interdisciplinary sharing of opioid data between law enforcement and public health agencies.

Mr. Carr spearheaded the development of the ODMAP, a real-time overdose syndromic surveillance system used to identify spikes in fatal and non-fatal overdoses. In July 2017, Mr. Carr and the ODMAP development team received the Special Achievement in GIS award from Esri Corporation. In January 2018, ODMAP caught the attention of the National Security Council, which is now working with a Federal, interagency working group to implement ODMAP on a nationwide scale.

In September 2017, Mr. Carr received a $2 million grant award from ONDCP and the CDC that established a community-based research program focusing on opioid abuse and addition. The Center for Drug Policy and Enforcement used this grant to fund 13 incubator projects concentrating on various aspects of the opioid problem. Award recipients from 10 states received funds to foster their research.

Mr. Carr is the lead designer for HIDTA’s Case Explorer system. Case Explorer is not only a case management system, but also an event and target deconfliction system in use nationwide by law enforcement agencies at all levels of government.

In addition, Mr. Carr is an antiterrorism instructor for the U.S. Department of State’s Antiterrorism Assistance Program. He is the principle author of seven anti-terrorism courses dealing with terrorist financing, intermediate and advanced intelligence, task force management, and criminal investigation that are now delivered worldwide.

Prior to accepting his position with the Washington/Baltimore HIDTA, Mr. Carr was a Lt. Colonel with the Maryland State Police and retired as chief of the Bureau of Drug Enforcement. He graduated with honors from Towson University and was first in his class at the Maryland State Police Academy, class of 1971. He attended the FBI National Academy, the DEA Drug Commanders School and the Federal Executive Institute. He served as an adjunct instructor with the University of Maryland from 1993 to 1999. Mr. Carr and his family reside in Round Hill, Virginia.

SHANNON KELLY Deputy Director, National HIDTA Program

Office of National Drug Control Policy

Shannon Kelly has served in the Office of National Drug Control Policy’s (ONDCP) Programs Office since 2012 and has been the Deputy Director of the National HIDTA Program since December 2015. Prior to joining the National HIDTA Program, Ms. Kelly spent two years on assignment to the Office of the ONDCP Director, where she oversaw the Delivery Unit, a team charged with implementing the National Drug Control Strategy and monitoring the progress on more than 140 action items. Ms. Kelly previously worked as a policy analyst in ONDCP’s Office of Research and Data Analysis, where she oversaw numerous research projects and led interagency initiatives focused on emerging drug-related threats. Prior to joining ONDCP in 2007, Ms. Kelly spent eight years as an intelligence analyst and liaison officer with the Department of Justice’s National Drug Intelligence Center.

WILLIAM (BILL) MARTIN Executive Director

National HIDTA Assistance Center

William “Bill” Martin is the Director of the National HIDTA Assistance Center, a position he has held since 2002. The NHAC’s operations include an initiative responsible for providing HIDTA-specific training; an initiative that provides multi-media and technology support for the national program’s needs; an initiative responsible for ongoing desk audits of all state and local expenditures by all HIDTA fiduciaries; and three national coordination initiatives. The national initiatives are the National Emerging Threats Initiative, the Domestic Highway Enforcement Initiative, and the National Marijuana Initiative.

Director Martin is an ex-officio member of the HIDTA Directors Committee and a member of the Performance Management Committee, the Financial Managers Group, the Intelligence Committee, and the Training Coordinators Committee.

After thirty years of Law Enforcement Service, Director Martin is now enjoying his second career with the HIDTA Program. He retired as a Major for the Coral Gables Police Department, having spent the last half of his career in Criminal Investigations and Special Investigation. In his role with CGPD, he led a multi-agency money laundering task force and was a member of the South Florida HIDTA Executive Board.

Director Martin’s responsibilities included overseeing the implementation one of the first grants awarded to the South Florida HIDTA, which established the South Florida HIDTA Investigative Support Center and the first computer deconfliction system in the country.

MIKE MCDANIEL

Director Houston HIDTA

Michael McDaniel began his law enforcement career in 1983 as a police officer with the City of Houston Police Department after graduating from Baylor University in Waco, Texas. In 1987, he accepted a position as a Special Agent with the Drug Enforcement Administration (DEA) and was assigned to the Houston DEA office for twelve years working domestic and international drug investigations. In 1997, he was promoted to the Special Operations Division (SOD) in Lorton, Virginia as a Staff Coordinator in the Southwest Border Section. In 2000, McDaniel was transferred to a Group Supervisor position in the San Antonio, Texas DEA office where he supervised DEA’s San Antonio High Intensity Drug Trafficking Area (HIDTA) enforcement group. In 2007, he was promoted to the Resident Agent in Charge position of the Las Cruces, New Mexico Resident office where he was responsible for DEA enforcement operations in Southern New Mexico. In December 2008, McDaniel was promoted to an Assistant Special Agent in Charge (ASAC) position in the Houston DEA office. In September of 2011, Michael McDaniel retired from DEA to accept a position as the Houston HIDTA Director. HIDTA is a federally funded grant program operating under the direction of the Executive Office of the President, Office of National Drug Control Policy (ONDCP). This program uses federal funds to establish and maintain multiagency task forces to facilitate more comprehensive

PATRICIA (PATTY) PEREZ

Finance Unit National HIDTA Assistance Center

Patricia Perez has been with the NHAC since 1996. She started as an accountant and worked her way up to become Manager of the Finance Unit, a position she has held for 15 years. Patricia has a master’s in international business. She came to this country from Guatemala when she was 18, and is the mother of two daughters.

ROBERT “BOB” PERYAM

Director North Florida HIDTA

Bob Peryam assumed his current position as Director of the North Florida High Intensity Drug Trafficking Area (NFHIDTA), Jacksonville, Florida in January 2013.

Peryam’s qualifications include thirty-three years of law enforcement experience from Patrol Deputy in every division, to Investigations, Supervision, Management and Administration up to Sheriff of Monroe County, Florida. He is a Certified Instructor for the Florida Department of Law Enforcement and an accomplished public speaker at the executive level. His education includes a Bachelor of Arts in Criminal Justice Administration and Master of Science in Criminal Justice.

During Peryam’s career his professional training and accomplishments are as follows: FBI National Academy, 176th Session; Southern Police Institute; Command Officer Development Course; FBI Florida Executive Development Seminar; National Sheriff's Institute, 99th Class; Police Academy, Northern Michigan University, Class 1980; LEEDA, US Secret Service- Dignitary Protection School 2006-10; South Range Police Department, 1979-1980; Monroe County Sheriff's Office, 1981- 2013 - Road Patrol Deputy; Special Traffic Enforcement Deputy; Road Patrol Sergeant; Special Traffic Enforcement Sergeant; First Sergeant; Captain; District Commander; Major of Operations; Chief of Police under contract, City of Marathon, 1999-2008; Supervisor, Security Task Force, 1996 Atlanta Olympics and 2002 Salt Lake City Olympics; elected Sheriff of Monroe County, 2008 Honors and Affiliations Law Enforcement Officer of the Year, 1982; Leadership Monroe County Alumni, Leadership Florida Alumni, class 16; Florida Corrections Accreditation Commission; board member; appointed to the Florida Medical Examiner's Commission by Governor Crist, 2010; President's Volunteer Award presented by President George W. Bush; President's Volunteer Award presented by President Barack Obama.

Volunteer activities include the Marathon Masonic Lodge, Salvation Army Board of Directors, Rotary Club, Marathon Shrine Club and American Legion, Paul Harris Fellow, Robin Tanner Public Service, National Alliance on Mental Illness, Domestic Abuse of Monroe County, Toyz for Keyz Kidz, Substance Abuse to name a few, for which Peryam received numerous awards and recognition to including Community Service Person of the Year.

Currently, Peryam sits on the Domestic Highway Enforcement (DHE) board and is President of the National HIDTA Directors Association (NHDA).

MICHAEL (MIKE) SENA Executive Director

Northern California HIDTA Northern California Regional Intelligence Center

In 2006, Mike Sena was assigned by CA DOJ to the Northern California High Intensity Drug Trafficking Area (NCHIDTA) to develop the Northern California Regional Intelligence Center (NCRIC) as the HIDTA’s deputy director. In 2012, the NCHIDTA Executive Board appointed Director Sena to his current position as the executive director of both the NCHIDTA and the NCRIC.

Since 1993, Director Sena has had a diverse law enforcement career with the California Department of Alcoholic Beverage Control, the California Department of Justice (CADOJ), the San Mateo County Sheriff’s Office, and the San Mateo County District Attorney’s Office. His assignments have included the investigation of major drug trafficking organizations, violent gang organizations, career criminals, terrorist organizations, and organized crime groups.

The NCHIDTA supports narcotic intelligence initiatives, maintains a specialized investigative equipment pool, and provides regional narcotic and officer safety training. The NCHIDTA has an area of responsibility that covers 12 HIDTA designated counties.

The NCRIC is one of the 78 governor-designated and Department of Homeland Security (DHS) recognized fusion centers located in the United States and US Territories. The NCRIC is a multi-agency task force with more than 70 intelligence officers, intelligence analysts, critical infrastructure specialists, investigative equipment technicians, support staff, and private sector outreach officers that are assigned from federal, state, and local law enforcement, fire service, public health, and emergency management agencies.

Director Sena serves as the president of the National Fusion Center Association (NFCA), is a member of the Criminal Intelligence Coordinating Council (CICC), is a member of the Director of National Intelligence's (DNI) Homeland Security and Law Enforcement Partners Board, and is the chairman of the HIDTA Directors' Intelligence Committee. Director Sena holds a Bachelor’s Degree in Criminal Justice from California State University San Bernardino.

High Intensity Drug Trafficking Areas (HIDTA)

Process for Designation – An Overview

Background: High Intensity Drug Trafficking Areas (HIDTA) include specified regions in 49 states, the

District of Columbia, Puerto Rico, and the U.S. Virgin Islands. To join the HIDTA Program, new areas must

be designated by the Director of the Office of National Drug Control Policy (ONDCP).

Eligibility for Designation: To be considered for designation, evidence must be provided to demonstrate

the following:

The area is a significant center of illegal drug production, manufacturing, importation, or

distribution;

State, local, and tribal law enforcement agencies have committed resources to respond to the

drug trafficking problem in the area, thereby indicating a determination to respond aggressively

to the problem;

Drug‐related activities in the area are having a significant, harmful impact in the area and in

other areas of the United States; and

A significant increase in Federal resources is necessary to respond adequately to drug‐related

activities in the area.

Who May Seek Designation: Petitions must be submitted by a coalition of law enforcement agencies

from the geographic area seeking HIDTA designation.

Petitions for HIDTA Designation must:

Specify the geographic area for which HIDTA designation is being sought. (Areas typically are

designated by county and/or city.)

Include an assessment of the threat posed by illicit drugs in the area. (The assessment must

specifically address each of the four points listed in the Eligibility for Designation section

above.)

Include individual and separate submissions for each geographic area for which HIDTA

designation is sought. (For example, if designation is sought for multiple adjacent counties, a

separate petition must be submitted for each county.)

Receive the approval of the Executive Board of the regional HIDTA program to which, if the

petition is successful, the area would be added.

Who Determines Which Areas are Designated: ONDCP staff convenes a panel of independent law

enforcement experts, which includes a representative from the HIDTA Directors Committee, to review

petitions for HIDTA designation. The panel evaluates the petitions and recommends for designation

those submissions that meet the requirements listed in the Eligibility for Designation section above.

These recommendations are provided to the Director of ONDCP, who determines which petitions should

receive HIDTA designation.

After the ONDCP Director determines which areas should receive HIDTA designation, ONDCP consults

with Cabinet secretaries, the heads of national drug control agencies, and the governors of those states

with areas slated for designation. After that consultation is complete, ONDCP posts notice of the

designation in the Federal Register, notifies Congressional delegations, and publicly announces the

addition of new areas to the HIDTA Program.

When Are Areas Designated: Petitions for designation will be reviewed, at a minimum, annually in the

Spring. ONDCP will establish a deadline for submission of petitions, and will notify HIDTA directors at

least 60 days in advance.

Letters of Support: Letters of support from Members of Congress, governors, and others are not

required. Letters may be submitted in conjunction with petitions for designation; however, only the

petitions themselves are provided to the panel of independent law enforcement experts for review.

Funding for Newly Designated Areas: Areas that receive HIDTA designation often receive, but are not

guaranteed, additional funding. Funding determinations for newly designated areas are made separately

from the designation process itself, and are based upon availability and demonstrated need.

Additional Resources: Additional information about the designation process can be found in the ONDCP

Reauthorization Act of 2006 (Public Law 109‐469 [2006]) and in Federal Register Volume 72, Number

158 (August 2007). Inquiries also may be directed to ONDCP via e‐mail [email protected] .

April 18, 2018

High Intensity Drug Trafficking Areas (HIDTA)

Checklist for Petitions for Designation

Background: Petitions for HIDTA designation must be submitted to the Office of National Drug Control

Policy by a coalition of law enforcement agencies from the geographic area seeking designation.

Typically, representatives of this coalition work closely with the Director of the HIDTA that these areas, if

designated, would join.

To be considered for designation, petitions should meet all of the following criteria:

Be submitted at least 10 business days before the independent panel convenes.

Specify the geographic area for which HIDTA designation is being sought. (Areas typically are

designated by county and/or city.)

Include individual and separate submissions for each geographic area for which HIDTA

designation is sought. (For example, if designation is sought for multiple adjacent counties, a

separate petition must be submitted for each county.)

Include an assessment of the threat posed by illicit drugs in the area. Specifically, the

assessment must provide evidence that explicitly addresses each of the following four points:

- The area is a significant center of illegal drug production, manufacturing, importation, or

distribution;

- State, local, and tribal law enforcement agencies have committed resources to respond

to the drug trafficking problem in the area, thereby indicating a determination to

respond aggressively to the problem;

- Drug‐related activities in the area are having a significant, harmful impact in the area

and in other areas of the United States; and

- A significant increase in Federal resources is necessary to respond adequately to drug‐

related activities in the area.

Receive the approval of the Executive Board of the regional HIDTA program to which, if the

petition is successful, the area would be added. This approval should be indicated in writing by

including a letter with the petition signed by the chair of the Executive Board.

Be submitted to ONDCP via e‐mail to [email protected] .

Next Steps: Within 5 business days of submission, ONDCP will review and acknowledge receipt of the

petition. At this point, ONDCP will also alert the respective HIDTA if any parts of the petition are missing

or if any of the criteria stated above are not met. (Please note that incomplete petitions will not be

reviewed by the independent panel. If it is necessary to resubmit a petition, it must be received at least

10 business days before the independent panel convenes.) Prior to the convening of the independent

panel, the National HIDTA Director will send a letter to the HIDTA Director formally acknowledging

receipt of the complete petition.

April 18, 2018

App

endi

x A

: Sup

plem

enta

l Mat

eria

ls

Fin

anci

al M

anag

emen

t of H

IDT

A F

unds

A

-53

ON

DC

P P

olic

y A

nal

yst

Ass

ign

men

ts

As

of M

arch

26,

201

8, th

e as

sign

men

ts a

re li

sted

bel

ow.

Tri

bal i

ssue

s ar

e un

assi

gned

as

of th

is d

ate.

Michae

l Gottlie

b

Shan

non Kelly

Andrew Coffey

Jaym

e Delano

Richelle

Perazich

HIDTA

Assignmen

ts

HIDTA

Man

agemen

t an

d Oversight

Appalachia

Atlan

ta‐Carolin

as

Michigan

New

Englan

d

New

York‐New Jersey

Ohio

Liberty M

id‐Atlan

tic

Puerto Rico‐US/VI

Washington‐Baltimore

North Cen

tral

NHAC (national in

itiatives)

Haw

aii

Nevad

a

Northern California

Northwest

Orego

n‐Idah

o

Midwest

Rocky Mountain

HIDTA

security clearan

ces

Cen

tral Valley California

Houston

Los Angeles

SW Border ‐ Arizona

SW Border ‐ San

Diego

/Imperial

SW Border ‐ New

Mexico

SW Border ‐ South Texas

SW Border ‐ W

est Te

xas

Texoma

County designation process

Cen

tral Florida

Chicago

Gulf Coast

Indiana

North Florida

South Florida

NHAC (except national

initiatives)

Functional A

reas & Coordination Responsibilities

Liaison to

Director's

Office, Office of

Legal C

ounsel,

Office of

Legislative

Affairs

HIDTA

Heroin Response Strategy

National Emerging Th

reat

Initiative

National M

ariju

ana Initiative

National HIDTA

awards

conference

Nationa

l Northern Bo

rder

Coun

ternarcotic

s Strateg

y Liaison to ONDCP Office of Policy

and National Heroin

Coordination Group

PMP

Intelligence & in

form

ation

sharing

National Drug Co

ntrol

Strategy

Annual HIDTA

metham

phetamine

report to Congress

Liaison to ONDCP Office of

Intelligence

Domestic Highway

Enforcemen

t Initiative

Prevention/treatmen

t/drug

courts

HIDTA

training committee

Public Lan

ds Drug Control

Committee

National Sou

thwest B

orde

r Co

unternarcotic

s Strateg

y Liaison to ONDCP OPRB ‐

Public Hea

lth/Public Safety

and In

ternational Branches

HIDTA

budge

t / finan

cial

man

agem

ent

HIDTA

Program

Policy an

d Bu

dget Guida

nce

HIDTA

fiscal audits

Annual HIDTA

rep

ort to

Congress &

Congressional budget

justification

Liaison to ONDCP Finan

cial

Man

agemen

t Office (FMO)

and OPRB Budget Office


A-54 Financial Management of HIDTA Funds

Initiative Types and Subtypes

Initiative (subtype) Used for ….

Enforcement Initiative (Investigative)

typical law enforcement task force initiatives

Enforcement Initiative (Interdiction)

highway, airport, seaport, and other interdiction activities

Enforcement Initiative (Prosecution)

initiatives hiring only or predominately prosecutors

Enforcement Initiative (Fugitives)

initiatives focused only or predominately on fugitive apprehension

Intelligence and Information Sharing Initiative

Investigative Support Center initiatives

Management and Coordination management and coordination initiatives

Support Initiative (Investigative Support)

initiatives funding things such as crime and forensic labs

Support Initiative (Training)

initiatives focused solely or predominately on providing training with HIDTA funds

Support Initiative (Prevention)

initiatives focused solely or predominately on funding prevention initiatives

Support Initiative (Information Technology)

initiatives focused solely or predominately on HIDTA-funded IT support

Support Initiative (Treatment)

initiatives focused solely or predominately on HIDTA-funded treatment initiatives


Financial Management of HIDTA Funds A-55



National Programs with HIDTA Initiatives Three of the national drug law enforcement programs that support the President’s National Drug Control Strategy receive HIDTA funding through HIDTA initiatives. These are:

Domestic Highway Enforcement (DHE)

National Marijuana Initiative (NMI)

National Emerging Threats Initiative (NETI)

Administered by the National HIDTA Assistance Center (NHAC), these HIDTA initiatives are led by separate program coordinators and governed by committees that report to the HIDTA Directors Committee (HDC). The following discussion provides additional details about each of these HIDTA initiatives.

Domestic Highway Enforcement (DHE) Initiative The Domestic Highway Enforcement (DHE) Initiative aims to coordinate a nationwide highway enforcement strategy to reduce criminal activity and enhance public safety on the country’s major transportation corridors. In line with the National Drug Control Strategy’s objectives, DHE works to improve information sharing among the HIDTAs nationwide, as well as between the HIDTA Program and local law enforcement agencies who work to ensure the safety of America’s highways, in order to identify interior corridors of drug movement and deny drug traffickers the use of the U.S. highway system. Currently, there is are two Coordinators focused on the initiative’s strategy. The DHE strategy incorporates both regional and transportation corridor models to encourage the gathering, reporting, analysis and sharing of new and trend intelligence regarding criminal activity and threats to public safety. This establishes a valuable drug enforcement concept for the HIDTA Program, with broader public safety and security impact for federal, state, tribal and local partners.



The DHE strategy also incorporates a nationwide public transportation corridor information-sharing platform for police officers and analysts to communicate trends regarding criminal activity and threats to public safety along the nation’s highways with integration into other transportation modalities.

National Marijuana Initiative (NMI) The National Marijuana Initiative (NMI) mission statement is to improve the capabilities of the HIDTAs nationwide to carry out the National Drug Control Strategy objectives of disrupting domestic trafficking and production of, and reducing demand for, marijuana and its derivative products by:

enhancing information-sharing, enforcement, treatment and prevention activities and

educating and advising policy-makers on current research findings, law and public policy.

Currently, there is an NMI National Coordinator and one analyst and plans to add a Deputy Coordinator, specifically from one of the marijuana-impacted HIDTAs in the western United States. The NMI National Coordinator manages the analyst’s activities, and the two currently provide national coverage for the initiative’s mission. This initiative works to support the HIDTAs as they pursue the National Drug Control Strategy objectives of reducing domestic trafficking and production of marijuana by convening criminal justice, medical, and scientific experts who offer marijuana-related training, research findings, best practices, and emerging trends. This initiative also coordinates with public lands and law enforcement agencies to pursue enforcement of laws that impact public safety and environmental well-being.



National Emerging Threat Initiative (NETI) The National Emerging Threat Initiative (NETI) is a poly-drug national trends, intelligence and best practices sharing initiative designated to coordinate HIDTA emerging threat strategies in affected HIDTA areas and the United States. The initiative focuses on systemic approaches to addressing the illegal drug supply including the diverted use of legal drugs along with the collateral issues of each. Currently, there is a NETI National Coordinator and two Deputy Coordinators. The National Coordinator manages all Deputy Coordinators’ activities, and all coordinators provide national coverage for the initiative’s mission. The NETI mission statement is to provide support in the identification, coordination, and implementation of a HIDTA strategy for emerging drug-related threats affecting designated HIDTA areas and the United States. NETI accomplishes this by identifying emerging drug threats and their patterns, as well as addressing each threat through the use of best practices and promoting cooperation among public safety, public health, regulators, treatment, and prevention entities. This HIDTA initiative is focused on intelligence sharing and best practices which address emerging drug threats and their associated issues and problems of concern. NETI provides support in the identification, coordination, and implementation of a HIDTA strategy for emerging drug-related threats affecting designated HIDTA areas and in the United States.



Distribution of HIDTA Funds ONDCP distributes HIDTA funds by transfers to federal agencies or by grants to non-federal entities.

Federal agencies Federal agencies receive transfers of spending authority to their accounts at the United States Treasury. Their HIDTA funds are immediately available for obligation and use.

Non-federal entities Non-federal entities receive federal grant funds either directly with a prime grant from ONDCP, or through an appointed fiduciary agency (a prime grantee) serving as a bookkeeper and distributor of grant funds to other non-federal recipients. The fiduciary role A common example of the fiduciary role for a regional HIDTA is for the HIDTA Executive Board to appoint one large non-federal entity to receive a large grant amount that includes HIDTA funds it distributes to the small agencies within the HIDTA region. Individual resource recipient agencies expended their own funds for HIDTA purposes, then sought reimbursement from the fiduciary for authorized expenditures. The individual resource recipients operated with approved individual HIDTA budgets, and each maintained a reimbursable agreement with the designated fiduciary entity.

Distribution options changed When HIDTA implemented the regulations of the Uniform Guidance in 2016, the distribution channel directly from ONDCP remained the same, but new options became available for grantees serving as fiduciary to other agencies within the HIDTA. Essentially, each prime grantee has to decide which legal instrument best fits the nature of the relationship between the fiduciary (prime grantee serving as bookkeeper) and its fellow agency participants (resource recipients of HIDTA funds).



Prior to 2016, grantees serving as fiduciary executed reimbursable agreements with their fellow resource recipients (non-federal entities). With the Uniform Guidance regulations, grantees issue subawards and/or contracts as they deem appropriate.

After deciding the type of instrument Once the fiduciary makes the decision of subaward or contract for each fellow resource recipient – and notice the regulation requires the decision to be made by the fiduciary (the grantee) – the Uniform Guidance may or may not regulate the agreement. Subawards The Uniform Guidance provides regulation for subawards. In fact, subrecipients (those receiving subawards) follow the same regulations and requirements of grantees who issue the subawards, unless the Uniform Guidance states an exception. Contracts The Uniform Guidance does not apply to contracts; each contract’s terms of agreement direct its execution and termination.



Executive Board Strategic Meeting

Sample Agenda The executive board strategic meeting is a two-day facilitated meeting to develop teamwork among HIDTA executive board members. Attendance is not required, but is strongly encouraged. Ideally, plan the meeting for a Thursday – Friday, and arrange rates for weekend stay if desired. Also in this suggested plan, there is a registration fee of $100 per person to cover the incentive items for the workshop such as caps, pins, t-shirts, etc.

Wednesday PM: Arrival, reception (funded by registration fees)

Thursday AM: Golf or sightseeing 1:00 pm Ropes training 3:00 pm Invited speaker (e.g., Cyber Crime expert) 6:00 pm Cocktail reception (funded by registration fees) Dinner connected to local attractions (poolside, dude ranch, cookout, etc.)

Friday 8:30 am Director’s presentation of year’s accomplishments Facilitated learning / team discussions: Building effective teams Five most important tasks / issues Tree matrix Round table discussion of things good for the group Noon Lunch Board self-evaluation exercise (including action items) Meeting evaluation 3:00 pm Golf or departure



Board Education – List of Suggested Topics The following suggests topics for 15-20 minutes of presentation to the executive board. Depending on the depth of the presentation, some of these topics may be better suited to a longer presentation and facilitated discussion at an executive board strategic meeting (2-day, off-site).

Value of a board strategic meeting (2-day, off-site)

Inside look at our HIDTA’s operations (detailed knowledge to build enthusiasm)

Effective use of budget

Budget status (executive summary)

Creating annual operational goals

Strategic planning

Building high performance boards

Thinking “out of the box”

Holistic thinking (the sum equals more than the individual parts / working as a single team rather than as individual states or agencies)

Evaluating performance

HIDTA intelligence (share and interface current technologies; demonstrate capabilities and function of what is in place and how it is being used by task forces)

HIDTA staff (background, knowledge, skills, roles, and job descriptions)

Functions of committees

Developing by-laws

Developing goals (obtainable, measurable, etc.)

Key elements of a highly efficient board (include best practices of other HIDTA boards)

Meeting management (agenda, facilitator, ground rules, etc.)

IG Notes Appendix A provides a sample of by-laws and charter for a HIDTA Executive Board; see page A-71.



Board Education Topics (continued)

Relating the Threat Assessment, the Strategy, and the Budget

Differences between metro and rural law enforcement

Drug law enforcement (key features, concerns, operations, etc.)

HIDTA Program Policy

Impact of the Uniform Guidance on grantees, participating entities, and HIDTA staff

ONDCP update

Synopsis of most relevant monthly task force operations

Changes in trends and patterns of DTOs

Community perspective of the drug problem

New technologies

Wire intercept technology

Deconfliction update (procedures, operations)

Interaction between a) National Criminal Intelligence Sharing Plan, b) the HIDTA Intelligence Plan, and c) Intelligence-led policing

Cyber crime

The HIDTA Philosophy

Performance review and assessment (Performance Management Process, PMP Matrix project, and future implications)

Identifying HIDTA stakeholders

Review of HIDTA goals (what HIDTA is trying to accomplish)



Orientation for New Board Members Consider preparing an Orientation presentation or/and a Briefing Book for New Executive Board Members. Consider the topics listed below, and see a sample Agenda used by the Houston HIDTA to orient its new board members.

Overview of the HIDTA Program Describe the history and development of the HIDTA Program, its mission, and its relationship to ONDCP. Provide a map of the designated areas of the 29 HIDTAs. Describe at a high level how the HIDTA Program is funded.

Overview of the Local HIDTA Give specific details on the local HIDTA: the primary drug threats in the region, its mission and funding of initiatives. Be sure to provide current program documents such as your HIDTA’s Annual Report, Threat Assessment, Strategy, and Initiative Descriptions and Budget Proposals (IDBPs).

Role of the HIDTA Executive Board Be sure to explain the authority and duties of the Executive Board and the work assigned to its subcommittees. Distribute and explain the by-laws or charter of the HIDTA and provide copies of recent board meeting minutes. Clearly outline expectations of members, such as attendance and assignment on committees, and get confirmation of the new members’ commitment.

Role of the Chairman and HIDTA Director Allow the Chairman (or Vice-Chairman) and the HIDTA Director explain the responsibilities and duties of their positions, including the selection process of each. Explain the relationship between the director and the board, and how performance is evaluated.

1 ............... EXECUTIVE BOARD MEMBERSHIP LIST

2 ............................... EXECUTIVE BOARD DUTIES

3 .... EXECUTIVE BOARD POLICIES & PROCEDURES

4 ........................................................ CHARTER

5 .................................. INITIATIVE DESCRIPTIONS

6 .................................. ORGANIZATIONAL CHART

7 .................. HIDTA COUNTY MAPS & LPR MAP

8 ............................................. ANNUAL REPORT

9 ...................................... THREAT ASSESSMENT

10 .................................................... STRATEGY

TABLE OF

CONTENTS



Executive Board Report - Sample The following monthly report keeps the Atlanta/Carolinas HIDTA Executive Board informed of the activities, the financial status, and the staffing level of HIDTA initiatives.

Metro GADeKalb GATriangle NC

Triad NCAsheville NCPiedmont NCMidlands SC

DHEAll HIDTA



DHEAll HIDTA



DHEAll HIDTA

10167

1

1

Prosecutions

Mo YTD

13

1

Search Warrants

Court OrdersWire Taps

Convictions

Indictments

$17,981$1,533,781$68,872

$4,661,099$17,750,576$2,537,706$6,798,679

2015

48

Other

388122

15 25 572 3 5 263 243

52919 28

20 3 4 2 16 6

22 3 12234 1 16 16 35

11 2 4 7 5 12 35 8 6

257 173 79 60 129 8 11 5 0 0

Firearms Seized201513

T-llls & Pen Reg.Initiative

33 2 2 334 3 5 172015 Mo YTD 2015 Mo YTD Proj

$4,150

39.82805.34 22

$256,97618.04109.80 3 $100,926$1,178,6494.6026.07 139 $0

$143,500

$260,699

680.29 0 $59,742$1,282,671137.01 59.14 20.44

$90,560$452,532

66.34 $17,981$32,238

16.921035.18 104 $71,299$2,859,52524.94 43.94 $79,135$280,110

895.27 2015 Mo YTD 2015

$205,27042 $121,350$2,812,771YTD

149 254

Initiative Kg of Drugs Seized DU of Drugs Seized Assets Seized - Cash Value of Non-Cash Assets Seized2015

0 0 18 0 3 26263 3 2 0 0 843

Mo YTD

72

55834

2 78 82106

7 41

1 9215 3

3682

77 4 312025 11

9928

5541 171

210

1

2182 437113

9 8 8 3

10 711

111

59 10 5 1810

1

Atlanta-Carolinas HIDTA Monthly Report February 2016LAW ENFORCEMENT INITIATIVES

Initiative

2015 Mo YTD2015 Mo YTD Proj

DTO-MLO Cases Opened

DTOs-MLOs Dismantled/ Disrupted

Cases Designated RPOT/CPOT

Cases Qualified as OCDETF

Cases Designated PTO Arrests

Mo YTD2015Mo Proj 2015 Mo YTD Mo YTD

4995 10877 1 1

2Proj 2015 YTD 2015

8117

410.83 257 $1,768,031$1,821,279

Proj

3 1551

2015 Mo

235.03 6,343 $2,045$740,026

56 4 52 33

18.68

4197.81 152.3

1797

Leads/ReferralsMo YTD

25.52

445.3 06,910

28.74 $17,981

63.573.

27.51 65.95 24

24

Mo YTD

442417Total 32

198

691412128

112

$306,957$78,416

$492,959$384,182$19,880

$131,753$1,768,031$4,732,689$7,914,867

1954

$44,527$145,793

2

2 1 147

368126

Prosecution

110

32628

4671318

139

13198

Provided by Atlanta-Carolinas HIDTA

HIDTA

HIDTA Part.Non-PartTOTAL

ACTS - Number of People Trained

605 100Events 7018

Proj 2015 Mo3450

Conflicts 630 817 71103616

204

90

131

INTELLIGENCE AND SUPPORT INITATIVES

2015

Atlanta-Carolinas HIDTA Monthly Report February 2016

Conflicts

401

503 376411556 0

Proj

2626

201538

134714802865

143117260

186313

0 4

0

YTD

01836 78

1574

46

Proj 2015 Mo13

YTD

18

Proj

Mo YTD Proj 2015 Mo

479

Intelligence

Regular ISC CasesISC Telecom Cases

NC/SC CasesLeads

55 78 19 26

Investigative Admin/Management Analytical/Computer

YTD641

4

YTDMo

141

154177

4454

7

54

8 926 76

70Targets 11060 8184 897

Deconfliction


ATLANTA-CAROLINAS HIDTA MONTHLY REPORT

AS OF February 29, 2016

FEBRUARY 2016

GRANT YEAR 2015OPERATIONAL INITIATIVES

% = YTD BAL O/T PE PI MISC. WIRE/PENSBUDGET Mthly Exp. YTD BAL % EXPENDED MO YTD MO YTD MO YTD MO YTD MO YTD

METRO ATLANTA T.F. 2,807,566 400,098 843,213 1,776,274 30.03% 49,299 104,967 - - - - - - 120 63,395 DEKALB T.F. 276,156 63,062 175,336 100,820 63.49% 6,239 51,076 - - - - - - - - NC - ASHEVILLE - METRO ATL 52,647 1,601 10,366 45,154 19.69% 1,014 1,307 - - - - - - - - NC - ASHEVILLE 30,980 0 0 30,980 0.00% - - - - - - - - - - NC - PIEDMONT 82,813 10,000 27,045 53,021 32.66% - - - 10,000 - - - - - - NC - TRIAD 141,534 9,266 9,773 131,761 6.91% 3,661 3,661 - - - - - - - - TRIANGLE - NC 238,376 14,541 77,189 106,214 32.38% 8,409 56,057 - - - - - - - - MIDLANDS - S. CAROLINA 235,000 0 1,620 204,780 0.69% - - - - - - - - - - TOTAL GY15 GRANT 3,865,072 498,568 1,144,543 2,449,003 29.61% 68,623 217,068 0 10,000 0 0 0 0 120 63,395

SUPPORT INITIATIVESBUDGET Mthly Exp. YTD BAL % EXPENDED

ISC - INTELLIGENCE 1,065,994 127,980 297,658 701,601 27.92%MANAGEMENT/ADMIN. 696,850 69,663 182,936 490,818 26.25%SI - ACHIDTA INFRASTRUCTURE 125,000 17,295 22,295 1,685 17.84%NP - Drug Prevention-NC Asheville 10,000 0 0 10,000 0.00%PROSECUTION 473,559 32,750 79,926 393,633 16.88%TRAINING (ACTS) 257,391 24,942 54,658 195,299 21.24%TOTAL GY15 GRANT 2,628,794 272,630 637,474 1,793,036 24.25%

TOTAL GRANT YEAR 2015 6,493,866 771,198 1,782,016 4,242,039 27.44%

thenry:Balance includes encumbrances/obligat

atl-carolinas hidta: OVERTIME

atl-carolinas hidta:Purchase of Evidence atl-carolinas hidta:

Purchase of Information

atl-carolinas hidta:Purchase of Services, Misc; Calling Cards, Under- cover Phone lines, towing, etc.

atl-carolinas hidta:Wire Tap, Pen


Month:

Support Staff

Optimal*Current Month

Last Month Optimal

Current Month Last Month

14 11 12 16 15 161 1 Fed 2 2

10 11 St/Loc 4 50 0 Other 9 9

84 98 99 10 10 915 16 Fed 1 13 4 St/Loc 1 1

11 11 Other 8 71 1

15 15 Prosecution 4 4 43 3 1 1 1

11 11 31 30 301 1

16 165 5

10 101 1 170 241 239

17 16 175Federal 12 11

Local 5 5Transport 13 14

Group Federal 4 4State/Local 9 10

DHE State/Local 16 17 17Tech 4 4Misc. 1 1

NC Initiatiaves 80 7725 32 32

Fed 10 10St/Loc 20 20Other 2 2

25 28 26Fed 12 11St/Loc 15 15Other 1 0

25 10 9Fed 4 4St/Loc 5 4Other 1 1

25 10 10Fed 4 4St/Loc 5 5Other 1 1

SC Initiatiaves 22 2125 13 12

Fed 4 3St/Loc 8 8Other 1 1

25 9 9Fed 5 5St/Loc 4 4Other 0 0

Total 139 211 209

Current Month

*Optimal numbers for Operational Staff based on 10 employees per group, plus 4 employees belonging to tech and other administrative assignments.Last Updated: 7/25/2016 21:38

NC Triangle

NC Triad

NC Asheville

NC Piedmont

SC Midlands-Columbia

SC FLORENCE

Optimal Last MonthState/LocalOther Grand total

Metro Mgmt/AdminGroup 1

FederalState/Local

OtherGroup 2

Federal TrainingState/Local Total

OtherGroup 3

Federal

Airport LY Avg.

Atlanta-Carolinas HIDTA StaffingFebruary 2016

Operational Staff

Dekalb IntelFederal

State/LocalOther


Houston HIDTA EB Policy and Procedures Revised November 17, 2016 Page 1 of 4

COMPOSITION, POLICIES AND PROCEDURES OF THE HOUSTON HIDTA

EXECUTIVE BOARD AND DIRECTOR’S OFFICE HOUSTON HIDTA COUNTIES: Counties: Aransas, Austin, Brazoria, Brooks, Fort Bend, Galveston, Hardin, Harris, Jefferson, Jim Wells, Kenedy, Kleberg, Liberty, Montgomery, Nueces, Orange, Refugio, San Patricio, Walker and Victoria. EXECUTIVE BOARD: Executive Board Policy and Procedures: On January 9, 2003, the Executive Board empowered the Director to create and thereafter maintain an Executive Board Policies and Procedures. The Policies and Procedures will be maintained in hard copy and electronically at the Director’s Office. The Policies and Procedures will be a fluid document reflecting directives, ongoing changes and policies of the Houston HIDTA Executive Board within the framework of ONCDP Program Policy and Guidance. Election of Executive Board Chair/ Vice Chair Position On January 9, 2003, the Board voted unanimously to elect a Chair position by secret ballot. Once the agency affiliation of the new Chair is identified (i.e. Federal vs. State or Local), a secret ballot for the Vice-Chair will be cast for members of the alternate agency only. Thus, elections will always ensure that the Chairs are split between Federal agencies and State/Local agencies. If the Chair is vacated, then the Vice-Chair will automatically become the Chair. The above method will then be used to elect the vacant Vice-Chair. The winner will be elected by a 2/3 majority. The Chair will change each year from Federal to State/Local and vice versa. However, the vice Chair will not automatically assume the role of Chair. Each position will be reelected each year. Failure of Board members to Attend Executive Board Meetings If a Board member misses three consecutive meetings or demonstrates a pattern of non-attendance at the Executive Board meetings, the Director will notify the Executive Board Chair of that circumstance. The Chair will contact that Executive Board member to determine if the Board member wants to continue participating on the Houston HIDTA Executive Board. Authorized Attendees at Board Meetings Each agency’s representative to the Executive Board shall be the local head of the participating agency or a permanently-designated high ranking official of the agency who has the authority to commit the agency’s resources to HIDTA Initiatives and to make decisions on behalf of his or


her agency. Only an Executive Board Member or his or her designee will be seated at the Executive Board table in order to expedite official business, limited space and the functionality of the Board. Board Membership Composition Membership of the Houston HIDTA Executive Board is comprised of twenty (20) total agencies, consisting of 10 Federal and 10 state/local agencies. Passed on November 17, 2016.

FEDERAL STATE/LOCAL Bureau of Alcohol, Tobacco and Firearms Corpus Christi Police Department

Drug Enforcement Administration Fort Bend County Sheriff’s Office

Federal Bureau of Investigation Harris County District Attorney’s Office

Homeland Security Investigations Harris County Sheriff’s Office

Internal Revenue Service – Criminal Investigations Houston Police Department

U.S. Attorney’s Office, Eastern District of Texas Jefferson County Sheriff’s Office

U.S. Attorney’s Office, Southern District of Texas Montgomery County Sheriff’s Office

U.S. Marshals Service, Eastern District of Texas Pasadena Police Department

U.S. Marshals Service, Southern District of Texas Texas Department of Public Safety

U. S. Postal Inspection Service Victoria County Sheriff's Office Board Meeting Schedule The Executive Board will tentatively meet on the third Thursday of every odd-numbered month. DIRECTOR’S OFFICE: MOUs and MOAs Filing and Maintenance All HIDTA based Memoranda of Understanding and Agreements (MOUs/MOAs) shall be maintained at the HIDTA Director’s Office. Further, the Director will update Executive Board members when new MOUs/MOAs are signed. Passed unanimously on November 17, 2016. Monthly Statistics Each Initiative shall designate a point-of-contact (POC) to collect the monthly statistical report that reflects the output of the entire Initiative and that report is forwarded to the Director’s Office. The Director’s Office will maintain a list of all Initiative POCs. If an Initiative is comprised of various squads/sections the POC shall maintain individual squad/section submissions at the Initiative for Executive Board review.


Reprogramming 1. Reprogramming approval authority, inter and intra, is delegated from the Executive Board

to the HIDTA Director. Passed unanimously on November 30, 2001. 2. Reprogrammings between agencies/initiatives or reprogrammings that require significant

change in spending plan, the documentation will be generated by the Executive Board member representing that fiduciary or the Board member’s designee. The HIDTA Director has the approval authority to reprogram up to $100,000 in funds between agency budgets without Executive Board approval. Passed unanimously November 8, 2012.

3. Reprogrammings that are “final” (those reprogrammings that align the budget to the final expenditures) can be generated by the Financial manager to expedite the grant closure process. The HIDTA Director has the approval authority. Passed unanimously on November 17, 2005.

4. Reprogrammings that are needed between categories during the review process of reimbursement requests (i.e. transferring funds for Registration Fees from Travel to Services etc.) to allow for an expenditure that is in compliance with OMB Circulars can be generated by the Financial Manager to expedite the reimbursement process. The HIDTA Director has the approval authority. Passed unanimously November 17, 2005.

Leave Policy Annual leave and sick time policies for the HIDTA Director’s staff and HIDTA Contract employees will be established and monitored by the Houston HIDTA Director, subject to review by the Executive Board upon request. Houston HIDTA contract employees that work for employing entities that already maintain an established annual leave and sick time policy will adhere to those existing policies. Executive Board Policies: HIDTA Funded Personnel/Positions HIDTA Personnel/Position vacancies shall require Executive Board approval by a quorum of the majority vote prior to an agency initiating the process to rehire. Passed unanimously on May 20, 2014. Director/Deputy Director Dismissal Policy It shall be the policy of this Board to require a two thirds vote of the membership to remove the Director at any time (or while he/she is under contract with any fiduciary for the purpose of performing the requisite duties of that position). The Board may elect to not renew the Director’s contract by a two thirds vote of the entire membership of the Board. Passed unanimously on March 26, 2009. Cost of Living Adjustment (COLA) It shall be the policy of the Houston HIDTA to ensure that all HIDTA funded contract personnel positions receive cost of living allowances and grade increases commensurate with the policies


of the agency with which they are employed or whose policy is adhered to for their position. Passed unanimously on March 26, 2009. Payment of Compensatory Time It shall be the policy of the Houston HIDTA to not allow payment of compensatory overtime for any participating agency. Passed unanimously on July 15, 2010. Awards Initiative commanders are urged to submit their personnel for Executive Board performance awards and service recognition throughout the year. Those persons/groups/Initiatives that fall under the ONDCP annual award categories that are recognized by the Executive Board during the year will automatically be nominated for the related ONDCP award. All nominees for an annual ONDCP award will receive an Executive Board award. Passed unanimously on November 23, 2004.



Memorandum of Understanding – Sample The following document, dated October 10, 2017, was submitted by Washington/Baltimore HIDTA as a sample MOU with all participating agencies. It serves as the HIDTA’s charter and by-laws. The text was copied here and reformatted.

MEMORANDUM OF UNDERSTANDING ARTICLE 1: NAME OF ORGANIZATION

The name of this organization shall be the Washington/Baltimore High Intensity Drug Trafficking Area, hereinafter referred to as HIDTA or W/B HIDTA, which operates under the authority of the Office of National Drug Control Policy Reauthorization Act of 2006.

ARTICLE 2: WASHINGTON/BALTIMORE HIDTA REGION

The W/B HIDTA region shall consist of the following political jurisdictions: City of Baltimore, Anne Arundel, Baltimore, Carroll, Charles, Cecil, Dorchester, Frederick, Harford, Howard, Montgomery Prince George's, Washington, and Wicomico Counties in Maryland; the District of Columbia; Cities of Alexandria, Chesapeake, Hampton, Newport News, Norfolk, Petersburg, Portsmouth, Richmond, Roanoke, Virginia Beach and Arlington, Chesterfield, Fairfax, Frederick, Hanover, Henrico, Loudoun, Prince George, Prince William, and Roanoke Counties in Virginia; and Berkeley and Jefferson Counties in West Virginia.

ARTICLE 3: MISSION STATEMENT AND VISION STATEMENT

3.1 The mission of the W/B HIDTA is to improve interagency collaboration, promote the sharing of accurate and timely information and intelligence, and provide specialized training and other resources to W/B HIDTA participating law enforcement and treatment/criminal justice agencies that will enhance their ability to provide superior services and meet their operational objectives. Through its state-of-the-art Investigative Support Center (ISC), its highly trained and skilled professional staff will utilize the HIDTA Performance Management Process to improve the efficiency and effectiveness of HIDTA initiatives throughout the W/B HIDTA region, and when practical, in other areas of the country. The aim of the initiatives is to disrupt and dismantle drug trafficking organizations and money laundering operations, prosecute traffickers and seize their drugs and profits.



3.2 We envision that within the next five years the W/B HIDTA’s ISC will effectively

coordinate its intelligence collection efforts with those of the W/B HIDTA participating agencies to improve the effectiveness and efficiency of HIDTA initiatives. The ISC will integrate investigative and strategic intelligence in order to set performance targets for the W/B HIDTA initiatives and guide them through the strategic planning process. This will enable the W/B HIDTA to address identified drug threats in the region by disrupting and dismantling drug trafficking and money laundering organizations.

ARTICLE 4: THE EXECUTIVE BOARD

4.1 The policies procedures, and business affairs of the Washington/Baltimore HIDTA will be directed by an Executive Board.

4.2 The Executive Board membership shall consist of an equal number of federal law

enforcement leaders and state and local law enforcement leaders set-forth as the attesting signatures at the conclusion of this Memorandum of Understanding.

4.3 The Executive Board shall be comprised of no less than 12 voting members. With the

exception of one member from a U.S. Attorney’s Office and one member from a state or local prosecutorial office, only those agencies with a staff member assigned fulltime in a HIDTA may be a voting member of the Board.

4.4 Each agency’s representative to the Executive Board shall be the local head of the

participating agency or a permanently designated high-ranking official of the agency who has the authority to commit the agency’s resources to HIDTA initiatives and to make decisions on behalf of his or her agency.

4.5 The chairperson and vice-chairperson shall be elected by the Executive Board on an

annual basis. Elections shall take place in June, during the regularly scheduled meeting. The vice-chairperson shall assume the duties of the chairperson in the chairperson’s absence.

4.6 During the Executive Board meeting at which the annual election is held, the Vice-

Chairperson shall succeed the outgoing Chairperson. The annual election will then select the new Vice-Chairperson.

4.7 If the Chairperson resigns or becomes unable to serve for his or her full term in office

within two months of the annual election, no special election will be held. The Vice-Chairperson will act as Chairperson until the election is held.



4.8 In the event that the Chairperson resigns or becomes unable to fulfill the

Chairperson’s duties for a period greater than two months, a special election will be held to elect a new Chairperson from the same professional background as the current Chairperson.

4.9 If the Vice-Chairperson resigns or is unable to serve for the full length of his or her

term of office, a special election will be held to elect a new Vice-Chairperson from the same professional background as the current Vice-Chairperson.

4.10 During any Executive Board meeting at which a Chairperson’s or Vice-Chairperson’s

resignation or inability to continue in office is announced, a nominating committee made up of Board members from the same professional background as the outgoing Chairperson or Vice Chairperson will be appointed to develop a list of eligible candidates for the vacant position. A special session of the Executive Board will be called one month later to receive the nominating committee’s report and elect the new Chairperson or Vice Chairperson.

4.11 In the event that both the Chairperson and Vice-Chairperson resign or announce that

they cannot serve for the full length of their terms of office at the same meeting, the W/B HIDTA Director shall serve as Acting Chairperson until a new Chairperson and Vice-Chairperson can be elected using the procedure outlined above.

4.12 The Chairperson and Vice-Chairperson positions shall be rotated annually between a

representative of a federal agency and a representative of a state or local agency. 4.13 Any alteration in the membership structure of the Executive Board, including the

removal of an agency from membership on the Board, shall be accomplished by two-third vote of the Executive Board. Vacancies on the Executive Board shall be filled within 60 days of the vacancy.

4.14 Each member of the Executive Board shall have one vote. Each member may select

one designee or representative to vote in their absence. Prior to any meeting of the Executive Board, the selection of the designee or representative shall be forwarded to the Board in writing.

4.15 A majority of voting members shall be required at any meeting of the Executive

Board. 4.16 Voting requires the presence of an equal number of representatives for federal

agencies and representatives of state and local agencies. Where it is impractical for an equal number of representatives to attend a meeting of the Executive Board in person, the Executive Board may use a system of proxy votes or weighted votes to achieve the required voting balance. Unless otherwise specified, actions of the Executive Board shall require a simple majority vote of the members present at a meeting.



4.17 The regular meetings of the Executive Board shall be held at least quarterly at places

and times as determined by the Chairperson of the Executive Board, in consultation with the membership of the Executive Board. Minutes of each meeting must be prepared and provided to ONDCP on request. The minutes shall be retained for a minimum of three years or until the next on-site review is completed.

4.18 Special meetings of the Executive Board may be convened by the Chairperson when

the need arises, but shall not in any event be convened with less than three days oral or written notice to all Executive Board members.

4.19 Each Executive Board shall select an individual to serve as the HIDTA Director. That

individual will be an employee or contractor of a grantee and will be subject to all employment, contracting, and other conditions established by that grantee. The Executive Board shall notify the Director of ONDCP before the individual is retained. The Executive Board, in consultation with the grantee, may remove a HIDTA Director or significantly limit his or her authority. The Executive Board shall notify ONDCP prior to removing a HIDTA Director or significantly limiting his/her authority.

4.20 The Executive Board will carry out all duties as delineated in the HIDTA Program:

Program Policy and Budget Guidance.

ARTICLE 5: STANDING COMMITTEES 5.1 There shall be five permanent committees: Law Enforcement, Treatment/Criminal

Justice, Prevention, Intelligence and Information Sharing, and the Executive Budget Committee. Adhoc Committees may be formed on an as-needed basis to advise these Committees or the Executive Board.

5.2 The Law Enforcement Committee shall consist of members who represent the co-

located HIDTA areas. For purposes of this article, a member law enforcement agency is defined as an agency which has committed personnel to work in a co-located HIDTA law enforcement initiative on a full-time basis for no less than nine months in a calendar year. The HIDTA Director and his/her staff shall support the work of the Law Enforcement Committee. The Law Enforcement Committee conducts annual performance reviews of the law enforcement initiatives, oversees initiative expenditures, and recommends adjustments to existing initiatives and the formation of new initiatives based upon the threat.



5.3 The Treatment/Criminal Justice Committee shall consist of one member from each

agency receiving sub awards. The HIDTA Director and his/her staff shall support the work of the Treatment/Criminal Justice Committee. The Treatment Criminal Justice Committee conducts annual performance reviews of the treatment/criminal justice initiatives, oversees initiative expenditures, and recommends adjustments to existing initiatives and the formation of new initiatives based upon the threat.

5.4 The Prevention Committee shall consist of at least two members from the Law

Enforcement and Treatment/Criminal Justice Committee and any other persons deemed necessary. The HIDTA Director and his/her staff shall support the work of the Prevention Committee. The Prevention Committee conducts annual performance reviews of the prevention initiatives, oversees initiative expenditures, and recommends adjustments to existing initiatives and the formation of new initiatives based upon the threat.

5.5 The Intelligence and Information Sharing Committee shall consist of members from

the Law Enforcement Committee that represent the participating law enforcement agencies. The committee conducts an annual performance review of the Intelligence and Information Sharing initiatives, oversees initiative expenditures, and recommends adjustments to existing initiatives and the formation of new initiatives based upon the threat. The Intelligence and Information Sharing Committee will monitor the steps taken by each law enforcement initiative to share information regarding drug trafficking and drug production with other federal and state and local law enforcement agencies.

5.6 Information Sharing is considered one of the core functions of the HIDTA. The

Intelligence and Information Sharing Committee will also ensure that the activities of the ISC are in compliance with the 28 Code of Federal Regulations Part 23, Criminal Intelligence Systems Operating Procedures; and the HIDTA Program: Program Policy and Budget Guidance; which includes stipulating the core functions of the ISC: performing event and case/subject deconfliction, providing analytical case support, issuing drug threat assessments, and developing and disseminating intelligence products such as special assessments,

bulletins, and alerts. 5.7 The Executive Budget Committee Shall consist of members from the Executive

Board and shall be chaired by the vice-chair of the Executive Board. The Executive Budget Committee will be responsible for developing the annual HIDTA budget request and submitting it to the Executive Board.



ARTICLE 6: DUTIES OF THE DIRECTOR

6.1 The HIDTA Director is responsible to the Executive Board for ensuring that the policies of the Executive Board are properly carried out by the HIDTA Director, HIDTA staff and HIDTA participants and will periodically report to the Executive Board, through the Chairperson, on the status of such compliance.

6.2 The duties of the HIDTA Director include, but are not limited to, the following: 6.3 Hire personnel for administration of HIDTA; develop and implement personnel

policies; 6.4 Establish and maintain HIDTA-wide accounting system to ensure compliance with

Department of Justice audit procedures; 6.5 Establish and maintain for each component of HIDTA - law enforcement,

treatment/criminal justice, and prevention, a separate case/project tracking system; 6.6 Establish and maintain the HIDTA Investigative Support Center, in consultation with

the Executive Board: purchase hardware, obtain appropriate technical assistance, hire/obtain personnel to staff;

6.7 Establish and maintain administrative procedures for the HIDTA initiatives; 6.8 Establish and maintain HIDTA Initiative sites: lease space, purchase equipment,

acquire services, and establish administrative support; 6.9 Establish and maintain evaluation mechanisms for the HIDTA initiatives and

projects; 6.10 Prepare Annual Report, Threat Assessment, Strategy, and Annual Budget proposal, as

directed by the Executive Board and the Office of National Drug Control Policy; 6.11 Keep accurate and correct books of account showing in detail all financial

transactions relating to the W/B HIDTA, which books of account shall correctly show any receipts and also any costs, expenses, or charges paid, or to be paid, to the member agencies. Said books and records shall be open to inspection at all times during normal business hours by any representative of a member agency, or by any accountant or other person authorized by a member agency to inspect said books or records;



6.12 Arrange to have the books of account and other financial records of the W/B HIDTA

audited under the procedures in accordance with the provisions of the Single Audit Act (OMB) Circular for State and Local Government Entities, or (OMB) Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards 2 CFR Chapter 1, Chapter 11, Part 200, et al.

6.13 Establish an orientation process for new Executive Board members, new participating

agencies and new initiative supervisors that address the general requirements of the HIDTA Program.

6.14 Ensure that a representative of the Drug Enforcement Administration is included in

the Investigative Support Center; and 6.15 Perform any other duties as directed by the Executive Board or specified within the

HIDTA Program: Program Policy and Budget Guidance.

ARTICLE 7: ANNUAL REPORT, THREAT ASSESSMENT AND STRATEGY, BUDGET REQUEST

7.1 The HIDTA Initiatives for Law Enforcement, Treatment/Criminal Justice, Prevention, and Intelligence and Information Sharing shall submit to the HIDTA Director by March 1 of each year an annual progress report describing the status of the operational activities undertaken within that function during the prior calendar year. The annual progress report will be submitted via the HIDTA PMP Database and consist of the core tables, threat specific tables and descriptive data fields.

7.2 The HIDTA Director, following the receipt of the annual progress reports from the

HIDTA Initiatives, shall prepare and submit to the Executive Board by June of each year the Annual Report of the W/B HIDTA in time for revision and adoption prior to June 15 of each year and prior to the Executive Board's review and adoption of the Annual Budget proposal.

7.3 In addition to the Annual Report, the Executive Board shall review and approve the

annual Threat Assessment and Strategy prepared by the W/B HIDTA Director. The Board shall provide guidance to the W/B HIDTA Director for preparing the W/B HIDTA annual Threat Assessment and Strategy. The Board shall review and approve these documents for submission to ONDCP.

7.4 The HIDTA Director shall submit a status report on the budget to the Executive

Budget Committee in May of each year.



7.5 Following a review of the Director's status report, the Executive Budget Committee

shall establish a budget allocation for the Law Enforcement, Treatment/Criminal Justice, Prevention, and Intelligence and Information Sharing Committees, and for the administration of HIDTA.

7.6 Each Committee shall prepare and submit to the HIDTA Director by April 1 of each

year, budget priorities for new initiatives/projects, reallocation or continuation of funding for existing initiatives/projects. The HIDTA Director shall prepare a Management and Coordination Budget proposal.

7.7 The HIDTA Director shall review the Committees’ budget priorities, develop

necessary budgetary detail to the extent possible and consistent with the Committees' priorities and forward the budget to the Executive Budget Committee in May of each year.

7.8 The HIDTA Director, following review and comment by the Executive Budget

Committee, shall prepare and submit the Annual Budget request to the Executive Board in time for the Executive Board to review, revise and adopt prior to June 15 of each year.

7.9 Any reprogramming of budget money shall be in accordance with the Office of

National Drug Control Policy’s procedures relating to the reprogramming of grant monies.

ARTICLE 8: EQUITABLE SHARING OF ASSETS SEIZED

8.1 HIDTA investigations shall employ both civil and criminal statutes in the seizure and forfeiture of assets. Whenever possible, the assets which are seized pursuant to W/B HIDTA investigations shall be forfeited through federal asset seizure programs. It is agreed that a sharing of available assets will be divided on the basis of the participating agencies' respective contribution to the effort consistent with Federal law and applicable Department policy. The following formula, which is in accordance with Section X.F.2 of the Justice Department's Guide to Equitable Sharing, will be applied when the assets are forfeited through the federal asset forfeiture sharing programs.

8.2 It is understood that no more than 80% of the net proceeds of forfeited assets may be

available for equitable sharing under the prevailing Justice and Treasury Department guidelines.

8.3 In the case of assets which must be forfeited through state forfeiture procedures, the

jurisdiction which shall process the forfeiture will be chosen by the same principles of equitable sharing among investigative agencies reflected in the regulations related to sharing of federally forfeited assets.



ARTICLE 9: DATA REQUIREMENTS

9.1 The Performance Management Process (PMP) is a set of successive steps designed to assist in determining the efficiency and effectiveness of the National HIDTA Program and individual HIDTAs. The PMP requires the individual HIDTAs to quantify their threats using reliable data, establish performance expectations, develop initiatives to achieve the performance expectations, and report their outcomes. In order to support the planning, implementation, evaluation and reporting activities, the W/B HIDTA will establish adequate performance measurements that comply with the data required for the PMP database. It will be necessary to obtain data from the participating law enforcement, treatment/criminal justice supervision and prevention initiatives supported by the W/B HIDTA. All initiatives are required to enter the data on a quarterly basis.

9.2 It shall be the responsibility of all W/B HIDTA participating agencies to assist in

furnishing the data upon the request of the W/B HIDTA Director. It is agreed that the agencies shall make disclosure of their data in accordance with the appropriate federal, state and local laws, as well as in accordance with the published custodial agency rules and regulations relating to such data. In particular, it is understood that personal identifying information of those individuals who receive treatment services, criminal justice sanctions or who are the target/subject of a HIDTA law enforcement investigation shall be disclosed by agencies in strict compliance with the pertinent laws and agency regulations. It is anticipated that the participating agencies will provide the requested data in a timely fashion and without cost to the HIDTA.

ARTICLE 10: EVALUATION

10.1 The PMP data from each initiative will be reviewed by the Executive Board when completing the annual review of each initiative’s performance. The review will focus on each initiative’s ability to meet their performance expectations for the year.

10.2 The results of the year will be used to determine targets for the next budget cycle and

funding levels. Besides meeting performance expectations, law enforcement initiatives will be evaluated on their information sharing efforts and their use of event and case/subject deconfliction, as well as their compliance with reporting all laboratory seizure data to the National Clandestine Laboratory Database at the El Paso Intelligence Center.

10.3 The results of these reviews shall be provided in writing to the initiative supervisors.

Upon request, the results of the reviews shall be provided to the designated ONDCP policy analyst. The results of these annual reviews must be retained for three years or until the completion of an on-site review by ONDCP, whichever is later.



ARTICLE 11: AMENDING THE MEMORANDUM OF UNDERSTANDING

11.1 The Executive Board may amend any Article of this Memorandum of Understanding consistent with Federal law and Departmental policy by a majority vote of the members of the Executive Board.

ARTICLE 12: TERMINATION 12.1 Termination of Participation

Participation in the W/B HIDTA by a member or participating agency shall continue until termination in the manner hereafter provided. Participation may be terminated by voluntary withdrawal of the agency; the procedure for withdrawal is found in Section 12.2. Participation of a member or agency may be terminated for failure of that member or agency to attend or send a designee to two consecutive Executive Board meetings; termination of a member/agency for non-participation must be determined by a two-third vote of the Executive Board.

12.2 Effective Dates of Termination for an Agency Voluntary termination shall become effective 60 days following the giving of written notice of termination of participation by any member agency to the HIDTA Director. This 60-day period will provide for the timely transfer of assignments and the selection of replacement personnel.

12.3 Disposition of Assets Upon Termination by a Member or Participating Agency After termination of participation in the W/B HIDTA, an agency may continue to receive equitable sharing payments in accordance with Article 8. Disposition of Equipment Upon Withdrawal from, or Dissolution of the W/B HIDTA Upon a voluntary withdrawal or compulsory termination from the W/B HIDTA all equipment that has been provided to the agency/member by the HIDTA will remain with the HIDTA. Upon final dissolution of the W/B HIDTA, any equipment purchased or acquired by the W/B HIDTA during the period of its existence and still on hand shall be distributed to the member agencies in accordance with Office of National Drug Control Policy guidelines and/or any other applicable federal or state guidelines relating to the disposition of properties purchased with federal grant money.



ARTICLE 13: PRESS RELEASES

13.1 Media Cooperation The W/B HIDTA will cooperate with the media to assist them in obtaining information on matters of public interest. However, certain information must remain confidential in order to avoid interfering with a W/B HIDTA investigation or because it is legally privileged.

13.2 Press Information

All information released to the press regarding W/B HIDTA investigations/prosecutions and/or treatment and prevention initiatives will be coordinated with all agencies associated with the particular matter being discussed. Significant matters should be coordinated with the HIDTA Director's Office and in all instances attribution should be made to the HIDTA Program in any press releases concerning the activities of HIDTA initiatives/programs. All contacts with the press shall be in accordance with the press relations guidelines of the agency conducting the investigation. In the case of press releases relating to arrests and prosecutions, all contacts with the press will also be made in accordance with the rules of the courts and the prosecutor's office in which jurisdiction the case will be prosecuted.

Revised: October 10, 2017

App

endi

x A

: Sup

plem

enta

l Mat

eria

ls

H

IDT

A M

anag

emen

t

A-9

7

Exe

cuti

ve B

oar

d -

Sam

ple

Pro

ble

ms

and

Pro

po

sed

So

luti

on

s A

bbre

viat

ions

:

HD

H

IDT

A D

irect

or

E

B

HID

TA

Exe

cutiv

e B

oard

Sce

nar

io o

r P

rob

lem

S

ug

ges

tio

ns

for

So

luti

on

EB

(1)

We

seem

to h

ave

boar

d m

em

bers

vo

ting

in b

lock

s. I

n fa

ct,

we

have

tw

o or

thr

ee d

istin

ct v

otin

g bl

ocks

. O

ne b

lock

oc

curs

bec

ause

the

age

ncie

s ar

e ke

y pa

rtic

ipan

ts in

a la

rge,

hi

ghly

vis

ible

initi

ativ

e. A

noth

er v

otin

g bl

ock

occu

rs b

ecau

se

the

me

mbe

rs a

re c

hild

hood

frie

nds

fro

m a

loca

l cou

nty.

How

ca

n w

e br

eak

up t

his

ingr

aine

d al

legi

ance

am

ong

cer

tain

m

em

bers

?

E

B e

stab

lish

prio

ritie

s (5

at

mos

t)

In

tent

iona

l com

mitt

ee a

ssig

nmen

ts (

brea

k up

blo

cks)

EB

(2)

We

have

a c

oupl

e of

boa

rd m

em

bers

who

atte

nd th

e m

eetin

gs b

ut a

re n

ever

pre

pare

d. T

hey

don’

t re

ad m

ater

ial i

n ad

vanc

e as

req

uest

ed,

and

they

don

’t fu

lfill

com

mitm

ents

w

hen

part

icip

atin

g on

com

mitt

ees.

If t

hey

deliv

er a

ny p

art o

f w

hat

they

pro

mis

e, it

is p

repa

red

by a

low

er-r

anki

ng a

genc

y m

em

ber

wh

o do

esn’

t ha

ve th

e bi

g pi

ctur

e pe

rspe

ctiv

e. S

o,

we

was

te v

alua

ble

mee

ting

time

brin

ging

tho

se tw

o bo

ard

me

mbe

rs u

p-t

o-da

te in

su

mm

ariz

ing

repo

rts

for

the

m, o

r el

se

we

have

to s

uffe

r w

ith th

eir

unin

form

ed d

ecis

ions

. H

ow c

an

we

get t

hem

to d

o th

eir

job?

M

ake

sure

you

get

the

m m

ater

ials

in a

dvan

ce (

elec

tron

ic

and

pape

r bo

th)

C

hair

rem

inds

them

pub

licly

that

we

agre

ed.

Priv

atel

y co

nduc

t on

e-on

-one

rem

inde

r.

A

ssig

n w

ork

to th

e bo

ard

mem

bers

a)

mea

ning

ful w

ork

to g

et th

em in

volv

ed

b) m

eani

ngle

ss w

ork

to g

et th

em o

ut o

f you

r w

ay

App

endi

x A

: Sup

plem

enta

l Mat

eria

ls

A-9

8 F

inan

cial

Man

agem

ent o

f HID

TA

Fun

ds

Sce

nar

io o

r P

rob

lem

S

ug

ges

tio

ns

for

So

luti

on

EB

(3)

We

have

con

tinuo

us c

lash

es b

etw

een

vario

us b

oard

m

em

bers

. E

ven

new

boa

rd m

em

ber

s se

em to

com

e pr

epar

ed to

res

ume

the

war

. W

ho d

ecla

red

this

war

any

way

, an

d ho

w c

an w

e m

ake

peac

e?

M

ake

a lis

t of t

he 5

mos

t im

port

ant g

oals

for

the

HID

TA

to

pro

vide

focu

s

D

evel

op a

nd p

ract

ice

grou

p no

rms

R

efer

ee it

: pu

blic

ly

1-1

sess

ions

EB

(4)

The

re s

eem

to

be p

rivat

e co

nver

satio

ns t

hat

take

pla

ce

outs

ide

of o

ur b

oard

me

etin

gs.

Whe

n w

e ge

t to

the

mee

tings

, I’m

oft

en m

issi

ng c

ritic

al in

form

atio

n or

eve

n fu

ture

pl

ans

or p

rogr

am

cha

nges

tha

t ot

hers

see

m t

o kn

ow.

I h

ate

bein

g th

e la

st t

o kn

ow.

It m

akes

me

look

foo

lish

and

unin

form

ed.

It

dep

ends

:

If

com

mitt

ee is

doi

ng w

ork,

and

you

are

left

out,

then

join

th

e co

mm

ittee

. O

r, a

t the

boa

rd m

eetin

g, ju

st a

sk fo

r m

ore

info

rmat

ion.

If

park

ing

lot m

eetin

gs a

re o

ccur

ring,

then

rem

ind

them

of

the

grou

p no

rms.

E

xten

d th

e sc

hedu

led

time

for

a bo

ard

mee

ting.

Or,

de

fer

a di

scus

sion

item

if n

eede

d.

EB

(5)

I ha

ve a

pet

pee

ve w

ith b

oard

me

mbe

rs w

ho s

end

stan

d-in

su

bstit

utes

who

are

uni

nfor

med

. H

ow c

an w

e pr

even

t th

is?

A

dopt

an

atte

ndan

ce m

atrix

.

1-

1 co

nver

satio

n be

twee

n ch

air

and

boar

d m

embe

r.

A

dopt

a s

ubst

itutio

n po

licy:

a)

sub

stitu

tes

can’

t vo

te

b) d

esig

nate

a p

erm

anen

t su

b

EB

(6)

We

have

boa

rd m

em

bers

who

use

alte

rnat

es t

o po

litic

ally

m

anip

ulat

e th

e bo

ard’

s w

ork.

On

a ke

y m

eetin

g, fo

r ex

ampl

e,

the

exec

utiv

e bo

ard

me

mbe

r se

nds

an a

ltern

ate,

the

n w

hen

the

vote

doe

sn’t

go h

is w

ay,

he d

ispu

tes

the

outc

om

es s

ayin

g th

at h

e w

asn

’t pr

esen

t an

d di

dn’t

vote

.

N

eed

to h

ave

a po

licy

for

subs

titut

es:

a) s

ubs

don’

t vot

e b)

per

man

ent a

ltern

ates

can

vot

e



Summary List of HIDTA Director Responsibilities, Tasks, Limitations, Authorities This list was developed from review of HIDTA Program Policy and Budget Guidance, 2017. It provides an overview of the HIDTA Director’s responsibilities and role within the HIDTA.

Waivers and Extensions The HIDTA Director submits requests for policy waivers (Section 1.5) and grant extensions (Section 6.5).

Executive Board Membership Each HIDTA Director is a permanent, non-voting member of the HIDTA Executive Board. See Section 3.4.3.

Guidance from the Executive Board The HIDTA Director is provided guidance and oversight by his or her executive board. See Section 3.4.8.

Program Documents The HIDTA Director obtains and submits to the National HIDTA Assistance Center (NHAC) all official grant documents such as the SF-424 application and associated certifications, and the signed Grant Agreement. (Section 6.6)



Specific Responsibilities These are the responsibilities specifically listed in the HIDTA Program Policy. Liaison with ONDCP (Section 3.5.2) Coordinate the preparation of program documents and

submit to the HIDTA Executive Board for approval (Section 3.5.3)

Work with the grantees to ensure program policies, financial rules and regulations are followed. (Section 3.5.4).

Develop an orientation process for new executive board members, new participating agencies, and new initiative supervisors – an orientation appropriate for each role. (Section 3.5.9)

Retain minutes of each HIDTA Executive Board meeting for 3 or more years. (Section 3.4.9)

Approve reprogramming of HIDTA funds (Section 6.12) Ensure property management policies and requirements are

followed; the HIDTA Director must perform a physical inventory (sampling method) of equipment at least annually (Sections 3.5.5, 8.6, and 8.7)

Assist initiative commanders to establish suitable performance measures, and establish a process to verify performance data is valid (Section 3.5.6)

Develop and participate in the annual internal review of all initiatives; documenting the evaluation results, and maintaining the documentation for 3 or more years. (Section 3.5.7)

Continued on next page



Oversee and coordinate all initiatives; exercise direct

supervisory control only over: – The management and coordination initiative – The training and information technology activities – The information technology contracts (Section 3.5.8)

Develop a process for facilitating the coordination and flow of information between initiatives and agencies; conduct meetings at least semi-annually with initiative managers and supervisors (Section 3.5.8)

Provide day-to-day administrative, financial, and program management for the HIDTA (Section 3.5.1)

Work closely with agencies, if needed, to ensure agencies establish adequate procedures for handling funds and agencies develop and maintain a property management system to track and account for HIDTA-purchased equipment. (Section 8.3 and Section 8.6)

Develop a mechanism for sharing of HIDTA-purchased equipment among initiatives (Sections 8.2 and 8.3) and receive and review the purchasing agency’s documentation regarding the disposition of equipment purchased with HIDTA funds (Section 8.8).

Ensure that each law enforcement initiative is reporting meth lab seizure data to EPIC; send certification letter to ONDCP by September 15 each year. (Section 9.9)

Ensure that performance data are entered into the PMP database at least quarterly. (Section 10.6)



DHE Operational Plan - Sample The following document is a sample of operational plans used at North Florida HIDTA for a 2-day DHE operation. It has been reformatted for inclusion in this appendix.

OPERATION SAFE STREETS (Office of Sheriff, Jacksonville)

NORTH FLORIDA HIDTA MISSION STATEMENT

To measurably reduce drug trafficking, related money laundering and violent crime through a balanced partnership of federal, state, local, and tribal law enforcement leaders directing intelligence-driven initiatives that are performance-oriented and aimed at eliminating or reducing drug trafficking and its harmful consequences in North Florida and the United States.

OPERATION ROADBLOCK NORTH MISSION To conduct an intensified law enforcement operation upon the roadways in Jacksonville, Duval County, Florida. This operation will include local, state, and federal law enforcement agencies. The mission of this operation is directed to increase public safety to the citizens of the State of Florida by enforcement of all laws relative to motor vehicles and those violations which have a nexus to motor vehicles, the recovery of stolen property, the apprehension of fugitives, and the seizure of illegal contraband. OBJECTIVES To improve public safety to the citizens of Duval County and the State of Florida, by an intensified enforcement operation in an effort to reduce the amount of unlawful activity associated with motor vehicles and other public safety violations. TYPE OF OPERATION Intensified Traffic Law Enforcement Patrol, to include the Office of Sheriff – Jacksonville and the Florida Highway Patrol (FHP). PLAN OF ACTION The operation will commence on Wednesday, January 17, 2012 at 5:00 PM and conclude at 2:00 AM on Friday, January 19, 2012.



DHE

OPERATIONAL AGENDA OPERATION BRIEFING Wednesday, January 17, 2012 2:00 PM FHP Class Room Florida Highway Patrol Station, 7322 Normandy Blvd, Jacksonville FHP Detail Report In – Tuesday, January 16, 2012 5:00 PM DEBRIEFING Friday, January 19, 2012 2:00 AM - Field locations via squad supervisor ENFORCEMENT PATROL Enforcement patrol shall commence immediately after the briefing on Wednesday, January 17, 2012, and each day thereafter of the detail. Enforcement shall be taken on all violations observed by the officer, in the form of a written warning, correction notice, uniform traffic citation, notice to appear or an arrest. PATROL ZONE / AREA OF ASSIGNMENT Assignments will be made by squad supervisors. The assigned roads were selected based on patterns of violent crimes and drug activity. Supervisors are strongly encouraged to insure personnel work in their assigned area. COMMUNICATIONS State Law Enforcement Personnel (MAICOM radios) will operate on channel REC-21 (1st channel

selection JRCC group) Law Enforcement Officer calling JAX FHP dispatch - ID # to FHP Law Enforcement Officer calling HIDTA Support Center - ID # to HIDTA

JSO personnel will operate off of the appropriate Zone channel in which they are working. In the event of a tactical situation, FHP, DOT, and JSO can communicate via a patch system. FHP will utilize REC-21 on their state radios and JSO will use C-5.



K-9 FHP will have 13 K-9s available for use in the areas they are deployed. JSO personnel will request a K-9 via normal procedures if a FHP K-9 is not in the area. K-9 sniffs / walk-arounds – CAD case # with vehicle tag information Emergency care for K-9 Brentwood Animal Clinic - Jacksonville (northside) Contact FHP, Sergeant Fouraker, for contact information ARRESTS All arrests which require booking into the Duval County Jail must be completed & submitted via the

JSO computer program Copsmore. FHP arrests that involve weapons must be entered and submitted via FHP in-evidence after

submission to JSO property room. A copy of the S/O property form must be submitted to the Jacksonville FHP property room.

Arrests that involve guns shall be interviewed by an appropriate JSO detective.

All arrests will be delivered to the Duval County Pretrial Detention Facility (Jail), 500 East Forsyth Street, after appropriate interviews.

DETECTIVE INTERVIEWS Any officer / trooper making a firearms-related arrest will have the arrestee interviewed by a

VIOLENT CRIMES TASK FORCE DETECTIVE. Any officer / trooper who makes an arrest and the arrestee claims to have knowledge of a VIOLENT

CRIME will have him / her interviewed by a VIOLENT CRIME TASK FORCE DETECTIVE.

Any officer / trooper who makes a significant drug arrest or currency seizure will contact a JSO

NARCOTICS DETECTIVE for interviews. Cell number is (904) 759-5218. NOTE: All interviews will take place at:

Police Memorial Building Homicide Office 501 East Bay Street (unless other arrangements are made)



INTERVIEW / HISTORY CHECKS Routine driver license and person (s) check to be conducted by FHP dispatch on REC-21 or JSO

dispatch. Non routine / additional inquiry checks conducted by: Northeast Florida intelligence and information sharing initiative Level 1 Check Officer makes contact with person (s) No suspicious activity Limited interview / contact No additional inquiry by the HIDTA Support Center Level 2 Check Officer makes contact with person (s) Suspicious activity Officer requests additional inquiry by the HIDTA Support Center Level 3 Check Officer makes contact with person (s) Suspicious activity Search of vehicle or area K-9 walk / sniff Person (s) arrested ** Give tag number and get case number for logging. **

If additional inquiry checks are requested, allow time for analysts to conduct computer checks prior to releasing subject.

FIELD INTERVIEW / CONTACT All personnel (including FHP) will complete field interview cards on persons who have potential information for JSO follow-up. VEHICLE SEIZURES FHP - rotation wreckers will be utilized. Complete vehicle property / storage form with proper notation to hold vehicle. Jax FHP District will have vehicle moved to FHP storage facility after contact with GHQ. JSO personnel – If a vehicle is to be seized for forfeiture, JSO officers should make arrangement with JSO supervisor reference towing and storage of the vehicle.



ENFORCEMENT ACTIVITY INFORMATION Activity will be documented on a daily basis on the attached form, and submitted to the appropriate squad supervisor. The supervisor will submit the collected forms to the HIDTA Support Center at the conclusion of the detail. Telephone Number • HIDTA Support Center (Baypine Road) ............................................................(904) 256-5900

NEXTEL # (904) 545-8125 DIRECT CONNECT 158*28*18297

• Florida Highway Patrol (FHP) Office 7322 Normandy Blvd .............................................................(904) 695-4115 Jacksonville, Florida 32205 Dispatch 908 North Jefferson Street .....................................................(904) 301-3700 Jacksonville, Florida 32209 Fuel 838 Ellis Road .......................................................................(904) 360-5200 (entrance on south side of property – Grace Lane) Security guard answers phone at night • Office of Sheriff Property / Evidence Building 829 Hanes Street ....................................................................(904) 588-0005 Jacksonville, Florida 32202 Jail 500 East Forsyth Street .........................................................(904) 630-5747 Jacksonville, Florida 32202 • Shands of Jacksonville Medical Center

655 West 8th St Jacksonville, Florida 32206 ..................................................(904) 244-0411 • Brentwood Animal Clinic 4605 Brentwood Avenue. .....................................................(904) 354-0547 Jacksonville, Florida 32206 **(Contact Sgt. Fouraker for after hours contact information)** • Holiday Inn – Commonwealth 6802 Commonwealth Avenue................................................(904) 781-6000 Jacksonville, Florida 32254



ZONE ASSIGNMENTS Squad Supervisor _________________ Zone ___________________ Officer __________________ ___________________ Officer __________________ ___________________ Officer __________________ ___________________ Officer __________________ ___________________ Officer __________________ ___________________ Officer __________________ ___________________ Officer __________________ ___________________ Officer __________________ ___________________ Officer __________________ ___________________ Officer __________________ ___________________ Squad Supervisor ___________________ Zone ___________________ Officer ___________________ ___________________ Officer ___________________ ___________________ Officer ___________________ ___________________ Officer ___________________ ___________________ Officer ___________________ ___________________ Officer ___________________ ___________________ Officer ___________________ ___________________ Officer ___________________ ___________________ Officer ____________________ ___________________ Officer __________________ ___________________ Squad Supervisor ___________________ Zone ___________________ Officer ___________________ ___________________ Officer ___________________ ___________________ Officer ___________________ ___________________ Officer ___________________ ___________________ Officer ___________________ ___________________ Officer ___________________ ___________________ Officer ___________________ ___________________ Officer ___________________ ___________________ Officer ___________________ ___________________ Officer ___________________ ___________________



LIST OF HANDOUT MATERIALS Be sure you have one of each of the following handouts:

Jacksonville area map

Duval County Court information

4th Judicial Circuit Felony Filing information forms

Office of Sheriff – Jacksonville – Juvenile Justice Arrest Information

Office of Sheriff – Jacksonville – Firearm Evidence / Property Form

Area roadway information

North Florida HIDTA Activity Form

Sign In Roster

Office of Sheriff – Jacksonville – Detective on-call information



DRUG PRICES IN REGION From the Drug Enforcement Administration Miami Field Division Reported Drug Prices 4th Qtr, FY 2006

Heroin

City Kilogram Ounce Gram

Miami $55,000 $2,500 $125

Ft. Lauderdale $60,000 $2,200 $100

Ft. Myers/Naples $92,500 $3,900 $130

Gainesville $65,000 $2,500 $275

Jacksonville $75,000 $2,500 $150

Orlando $77,500 $2,380 $8

Port St. Lucie $77,500 $5,000 $112

Tampa $77,500 $3,900 $300

West Palm Beach $82,500 $2,500 $80

Cocaine

City Kilogram Ounce Gram

Miami $18,625 $950 $9

Ft. Lauderdale $22,750 $725 $35

Ft. Myers/Naples $20,500 $725 $70

Gainesville $22,000 $1,500 $100

Jacksonville $21,500 $850 $50

Orlando $21,25 $675 $75

Pensacola $24,000 $1,350 $95

Port St. Lucie $20,500 $950 $87

Tallahassee $21,500 $1,000 $50

Tampa $21,000 $750 $65

West Palm Beach $20,500 $515 $100

Bahamas $10,000 $550 $125

Crack Cocaine

City Kg Rock/Gram

Miami $650 $12 rock / $40 gr

Ft. Lauderdale $700 $12 rock / $40 gr

Ft. Myers/Naples $1,000 $20 rock / $175 gr

Gainesville $1,000 $20 rock / $175 gr

Jacksonville $750 $20 rock / $175 gr

Orlando $875 $15 rock / $100 gr

Pensacola $750 $20 rock / $175 gr

Tallahassee $900 $12 rock / $87 gr

Port St. Lucie $1,000 $20 rock / $175 gr

Tampa $1,050 $15 rock / $100 gr

West Palm Beach $700 $20 rock / $175 gr

GHB

City Wholesale Retail (dose)

Ft. Lauderdale $850 $10

Ft. Myers/Naples

$1,000 $15

Jacksonville N/A $10

Orlando $800 gallon $10

Port St. Lucie $N/A $10

Tallahassee $800 $10

Tampa $850 gallon $10



Marijuana

City Pound Ounce/Gram

Florida Keys $1,025 $100 / $7$350 / $20

Ft. Lauderdale $1,000 $100 / $7$350 / $20

Ft. Myers/Naples $4,000 $400 / $25

Gainesville $900 $80 / $5$350 / $20

Jacksonville $850 $75 / $5$350 / $20

Miami $925 $80 / $5

Orlando $700 $60 / $5

Pensacola $1,100 $80 / $5

Port St. Lucie $800 $125 / $7$500 / $25

Tallahassee $775 $100 / $7$400 / $20

Tampa $900 $125 / $7$350 / $20

West Palm Beach $1,000 $300 / $20$350 / $20

* Hydroponic

MDMA

City Wholesale Retail

Ft. Lauderdale $9 $25

Ft. Myers/Naples $9 $25

Gainesville $10 $17

Jacksonville $9 $17

Miami $7 $25

Orlando $6 $18

Pensacola $12 $27

Port St. Lucie N/A $17

Tallahassee $20 $25

Tampa $9 $17

West Palm Beach $7 $27

Methamphetamine

City Pound Ounce Gram

Miami $17,500 $1,050 $2,100

$75

Ft. Lauderdale $9,000 $2,300 $125

Ft. Myers/Naples

$10,000 $850 $40

Gainesville $7,000 $13,600

$1,100 $80

Jacksonville $9,000 $600 $1,350

$6

Orlando $9,500 $12,000

$1,275 $2,100

$75

Pensacola $17,000 $19,000

$1,100 $100

Port St. Lucie $6,750 $850 $

Tallahassee $13,000 $1,000 $

Tampa $9,000 $16,000

$900 $1,400

$

West Palm Beach

$12,500 $900 $

* Crystal

Oxycontin

City Dosage Unit

Ft. Lauderdale $30

Ft. Myers/Naples $35

Jacksonville $20 - $25 per 40 mg$45 - $55 per 80 mg

Miami $12 per 40 mg$25 per 80 mg

Orlando $.50 - $1 per mg

Port St. Lucie $27 per 40 mg

Tallahassee $100 per tablet

Tampa $25

West Palm Beach $15 per 40 mg27 per 80 mg



ACTIVITY REPORT

OPERATION ROADBLOC NORTH Officer Name/Squad Mooney FLORIDA HIGHWAY PATROL Date: 1/19/12 County DUVAL Road(s) I-95

# Traffic Stops 45 # Total Physical Arrest 7

# Searches 18 # Drug Arrests 4

# K-9 Sniffs 12 # Other Arrests 3

# Finds / Seizures 4 # Total Notice to Appear 16

# Drug NTA 12

# Other NTA 4

Types and Amounts of Drugs Seized (indicate drug, firearms, vehicles, and currency)

Type Amount Type Amount Example:

Marijuana 5 grams Marijuana 1 gram Marijuana

Marijuana 2 grams Cocaine 2 grams Cocaine

Currency

Weapons

# UTC 10 # WW 24 # CC 30 #CMV Stopped 13 # CMV UTC __________ # CMV Searched 1 # CMV Out of Service 4 Follow-up conducted by N/A Case referred to/from N/A

PLEASE RETURN COMPLETED FORM TO FHP SGT. FOURAKER OR FAX TO GEORGE DANDELAKE AT 904-346-5154.

Awarded Balance Awarded Balance Awarded Balance Total Awarded Total Balance

Chicago 5,746,100 0 0.0% 5,793,008 1,554,099 26.8% 6,102,400 4,718,239 77.3% 17,641,508 6,272,337 35.6%

Liberty Mid-Atlantic 4,799,989 0 0.0% 4,959,880 755,741 15.2% 4,992,235 4,425,018 88.6% 14,752,104 5,180,758 35.1%

Atlanta-Carolinas 6,493,866 4,409 0.1% 7,250,977 339,891 4.7% 7,544,284 7,110,601 94.3% 21,289,127 7,454,902 35.0%

Northern California 3,425,000 0 0.0% 3,425,000 600,899 17.5% 3,564,400 2,968,058 83.3% 10,414,400 3,568,957 34.3%

Puerto Rico - Virgin Islands 7,137,764 0 0.0% 7,361,330 1,458,244 19.8% 7,536,713 4,528,361 60.1% 22,035,807 5,986,605 27.2%

Nevada 3,209,156 0 0.0% 3,269,579 243,952 7.5% 3,239,134 2,234,381 69.0% 9,717,869 2,478,332 25.5%

SWB - West Texas 7,817,752 0 0.0% 7,806,258 435,546 5.6% 7,882,778 5,442,202 69.0% 23,506,788 5,877,748 25.0%

Hawaii 2,769,704 0 0.0% 2,842,908 0 0.0% 2,824,063 2,101,014 74.4% 8,436,675 2,101,014 24.9%

Michigan 3,245,947 0 0.0% 3,447,854 3,639 0.1% 3,555,147 2,359,154 66.4% 10,248,948 2,362,793 23.1%

New England 4,123,254 0 0.0% 4,329,415 225,539 5.2% 4,286,240 2,544,645 59.4% 12,738,909 2,770,184 21.7%

Houston 8,411,642 0 0.0% 8,499,628 210,479 2.5% 9,273,817 5,324,916 57.4% 26,185,087 5,535,395 21.1%

SWB - Arizona 11,510,518 0 0.0% 11,783,237 263,518 2.2% 11,736,523 7,100,940 60.5% 35,030,278 7,364,458 21.0%

South Florida 12,266,724 0 0.0% 12,042,815 46,797 0.4% 12,700,496 7,328,268 57.7% 37,010,035 7,375,066 19.9%

Texoma 3,088,430 0 0.0% 3,026,737 130,760 4.3% 2,938,220 1,604,521 54.6% 9,053,387 1,735,281 19.2%

Gulf Coast 6,854,471 0 0.0% 7,380,498 123,066 1.7% 7,402,337 3,999,148 54.0% 21,637,306 4,122,214 19.1%

Appalachia 7,868,878 0 0.0% 8,480,316 0 0.0% 8,145,674 4,642,015 57.0% 24,494,868 4,642,015 19.0%

Washington - Baltimore 15,499,101 0 0.0% 15,670,924 133,720 0.9% 15,906,348 8,754,669 55.0% 47,076,373 8,888,388 18.9%

Indiana 3,341,655 0 0.0% 3,926,483 6,064 0.2% 4,135,034 2,089,378 50.5% 11,403,172 2,095,442 18.4%

Central Valley - California 3,587,451 0 0.0% 3,494,235 302,123 8.6% 3,016,369 1,417,424 47.0% 10,098,055 1,719,548 17.0%

National HIDTA Assistance Center 3,535,342 32,293 0.9% 3,569,512 365,556 10.2% 3,497,917 1,361,890 38.9% 10,602,771 1,759,740 16.6%

Northwest 4,107,791 0 0.0% 4,010,592 45,388 1.1% 4,004,823 1,897,068 47.4% 12,123,206 1,942,457 16.0%

SWB - New Mexico 7,943,099 0 0.0% 7,932,517 0 0.0% 8,340,336 3,837,576 46.0% 24,215,952 3,837,577 15.8%

Los Angeles 10,879,228 0 0.0% 10,774,815 77,900 0.7% 10,808,989 4,948,790 45.8% 32,463,032 5,026,690 15.5%

Midwest 12,587,345 0 0.0% 12,509,833 149,614 1.2% 12,606,998 5,677,007 45.0% 37,704,176 5,826,621 15.5%

North Central 5,607,931 0 0.0% 6,568,071 675,612 10.3% 6,490,967 2,042,795 31.5% 18,666,969 2,718,407 14.6%

Oregon - Idaho 3,387,151 0 0.0% 3,453,600 350,344 10.1% 3,440,000 1,048,777 30.5% 10,280,751 1,399,121 13.6%

Ohio 3,537,871 0 0.0% 4,282,470 66,253 1.5% 4,343,707 1,259,583 29.0% 12,164,048 1,325,836 10.9%

SWB - South Texas 7,656,782 0 0.0% 8,271,858 178,956 2.2% 8,344,503 2,306,794 27.6% 24,273,143 2,485,750 10.2%

SWB HIDTA San Diego Imperial Valley 10,534,944 0 0.0% 10,712,811 1,058,253 9.9% 10,876,148 1,970,536 18.1% 32,123,903 3,028,790 9.4%

New York - New Jersey 13,389,513 0 0.0% 13,667,046 346,640 2.5% 14,062,586 3,053,907 21.7% 41,119,145 3,400,547 8.3%

Rocky Mountain 9,787,716 0 0.0% 9,925,039 433,496 4.4% 9,794,326 1,850,620 18.9% 29,507,081 2,284,115 7.7%

North Florida 3,221,000 0 0.0% 3,275,158 0 0.0% 3,350,150 701,037 20.9% 9,846,308 701,037 7.1%

Central Florida 3,405,088 0 0.0% 3,439,616 41,127 1.2% 3,543,437 515,231 14.5% 10,388,141 556,358 5.4%

Total 220,778,203 36,702 0.0% 227,184,020 10,623,215 4.7% 230,287,099 113,164,565 49.1% 678,249,322 123,824,483 18.3%

Summary of Remaining DPM Balances as of April 30, 2018

HIDTAFY 2015

% RemainingFY 2016

% RemainingFY 2017

% RemainingFY 2015 through 2017

% Remaining

Department of Homeland Security Management Directive System

MD Number: 11042.1

SAFEGUARDING SENSITIVE BUT UNCLASSIFIED

(FOR OFFICIAL USE ONLY) INFORMATION

1.6.2005

1. Purpose

This directive establishes Department of Homeland Security (DHS) policy regarding the identification and safeguarding of sensitive but unclassified information originated within DHS. It also applies to other sensitive but unclassified information received by DHS from other government and non-governmental activities.

2. Scope

This directive is applicable to all DHS Headquarters, components, organizational elements, detailees, contractors, consultants, and others to whom access to information covered by this directive is granted.

3. Authorities

Homeland Security Act of 2002.

4. Definitions

Access: The ability or opportunity to gain knowledge of information.

For Official Use Only (FOUO): The term used within DHS to identify unclassified information of a sensitive nature, not otherwise categorized by statute or regulation, the unauthorized disclosure of which could adversely impact a person's privacy or welfare, the conduct of Federal programs, or other programs or operations essential to the national interest. Information impacting the National Security of the United States and classified Confidential, Secret, or Top Secret under Executive Order 12958, "Classified National Security Information," as amended, or its predecessor or successor orders, is not to be considered FOUO. FOUO is not to be considered classified information.

Need-to-know: The determination made by an authorized holder of information that a prospective recipient requires access to specific information in order to

MD 11042.1

----------- - --- ----------.-----------

perform or assist in a lawful and authorized governmental function, i.e., access is required for the performance of official duties.

Organizational Element: As used in this directive, organizational element is as defined in DHS MD Number 0010.1, Management Directive System and DHS Announcements.

Protected Critical Infrastructure Information (PCII): Critical infrastructure information (CII) is defined in 6 U.S.C. 131(3) (Section 212(3) of the Homeland Security Act). Critical infrastructure information means information not customarily in the public domain and related to the security of critical infrastructure or protected systems. Protected Critical Infrastructure Information is a subset of CII that is voluntarily submitted to the Federal Government and for which protection is requested under the PCII program by the requestor.

Sensitive Security Information (SSI): Sensitive security information (SSI) is defined in 49 C.F.R. Part 1520. SSI is a specific category of information that requires protection against disclosure. 49 U.S.C. 40119 limits the disclosure of information obtained or developed in carrying out certain security or research and development activities to the extent that it has been determined that disclosure of the information would be an unwarranted invasion of personal privacy; reveal a trade secret or privileged or confidential commercial or financial information; or be detrimental to the safety of passengers in transportation.

5. Responsibilities

A. The DHS Office of Security will:

1. Be responsible for practical application of all aspects of the program to protect FOUO.

2. Promulgate Department-wide policy guidance.

3. Develop and implement an education and awareness program for the safeguarding of FOUO and other sensitive but unclassified information.

B. Heads of DHS Organizational Elements will:

1. Ensure compliance with the standards for safeguarding FOUO and other sensitive but unclassified information as cited in this directive.

2. Designate an official to serve as a Security Officer or Security Liaison.

C. The organizational element's Security Officer/Security Liaison will:

2 MD 11042.1

Be responsible for implementation and oversight of the FOUO information protection program and will serve as liaison between the DHS Office of Security and other organizational security officers.

D. DHS employees, detailees, contractors, consultants and others to whom access is granted will:

1. Be aware of and comply with the safeguarding requirements for FOUO information as outlined in this directive.

2. Participate in formal classroom or computer based training sessions presented to communicate the requirements for safeguarding FOUO and other sensitive but unclassified information.

3. Be aware that divulging information without proper authority could result in administrative or disciplinary action.

E. Contractors and Consultants shall:

Execute a DHS Form 11000-6, Sensitive But Unclassified Information NonDisclosure Agreement (NDA), as a condition of access to such information. Other individuals not assigned to or contractually obligated to DHS, but to whom access to information will be granted, may be requested to execute an NDA as determined by the applicable program manager. Execution of the NDA shall be effective upon publication of this directive and not applied retroactively.

F. Supervisors and managers will:

1. Ensure that an adequate level of education and awareness is established and maintained that serves to emphasize safeguarding and prevent unauthorized disclosure of FOUO information.

2. Take appropriate corrective actions, to include administrative or disciplinary action as appropriate, when violations occur.

6. Policy and Procedures

A. General

1. The Computer Security Act of 1987, Public Law 100-235, defines "sensitive information" as "any information, the loss, misuse, or unauthorized access to or modification of which could adversely affect the national interest or the conduct of Federal programs, or the privacy to which individuals are entitled under Section 552a of Title 5, United States Code (the Privacy Act) but which has not been specifically authorized under criteria established by an executive

3 MD 11042.1

order or an act of Congress to be kept secret in the interest of national defense or foreign policy." However, with the exception of certain types of information protected by statute, specific, standard criteria and terminology defining the types of information warranting designation as "sensitive information" does not exist within the Federal government. Such designations are left to the discretion of each individual agency.

2. Within the "sensitive but unclassified" arena, in addition to the various categories of information specifically described and protected by statute or regulation, e.g., Tax Return Information, Privacy Act Information, Sensitive Security Information (SSI), Critical Infrastructure Information (CII), Grand Jury Information, etc. There are numerous additional caveats used by various agencies to identify unclassified information as sensitive, e.g., For Official Use Only; Law Enforcement Sensitive; Official Use Only; Limited Official Use; etc. Regardless of the caveat used to identify it, however, the reason for the designation does not change. Information is designated as sensitive to control and restrict access to certain information, the release of which could cause harm to a person's privacy or welfare, adversely impact economic or industrial institutions, or compromise programs or operations essential to the safeguarding of our national interests.

3. Information shall not be designated as FOUO in order to conceal government negligence, ineptitude, illegalities, or other disreputable circumstances embarrassing to a government agency.

4. Information designated as FOUO is not automatically exempt from disclosure under the provisions of the Freedom of Information Act, 5 U.S.C. 552, (FOIA). Information requested by the public under a FOIA request must still be reviewed on a case-by-case basis.

B. For Official Use Only

Within DHS, the caveat "FOR OFFICIAL USE ONLY" will be used to identify sensitive but unclassified information within the DHS community that is not otherwise specifically described and governed by statute or regulation. The use of these and other approved caveats will be governed by the statutes and regulations issued for the applicable category of information.

C. Information Designated as FOUO

1. The following types of information will be treated as FOUO information. Where information cited below also meets the standards for designation pursuant to other existing statutes or regulations, the applicable statutory or regulatory guidance will take precedence. For example, should information meet the standards for designation as Sensitive Security Information (SSI), then SSI guidance for marking, handling, and safeguarding will take precedence.

4 MD 11042.1

(a) Information of the type that may be exempt from disclosure per 5 U.S.C. 552, Freedom of Information Act, and its amendments. Designation of information as FOUO does not imply that the information is already exempt from disclosure under FOIA. Requests under FOIA, for information designated as FOUO, will be reviewed and processed in the same manner as any other FOIA request.

(b) Information exempt from disclosure per 5 U.S.C. 552a, Privacy Act.

(c) Information within the international and domestic banking and financial communities protected by statute, treaty, or other agreements.

(d) Other international and domestic information protected by statute, treaty, regulation or other agreements.

(e) Information that could be sold for profit.

(f) Information that could result in physical risk to personnel.

(g) DHS information technology (IT) internal systems data revealing infrastructure used for servers, desktops, and networks; applications name, version and release; switching, router, and gateway information; interconnections and access methods; mission or business use/need. Examples of information are systems inventories and enterprise architecture models. Information pertaining to national security systems and eligible for classification under Executive Order 12958, as amended, will be classified as appropriate.

(h) Systems security data revealing the security posture of the system. For example, threat assessments, system security plans, contingency plans, risk management plans, Business Impact Analysis studies, and Certification and Accreditation documentation.

(i) Reviews or reports illustrating or disclosing facility infrastructure or security vulnerabilities, whether to persons, systems, or facilities, not otherwise eligible for classification under Executive Order 12958, as amended.

(j) Information that could constitute an indicator of U.S. government intentions, capabilities, operations, or activities or otherwise threaten operations security.

(k) Developing or current technology, the release of which could hinder the objectives of DHS, compromise a technological advantage or countermeasure, cause a denial of service, or provide an adversary with

5 MD 11042.1

sufficient information to clone, counterfeit, or circumvent a process or system.

2. Other government agencies and international organizations may use different terminology to identify sensitive information, such as "Limited Official Use (LOU)," and "Official Use Only (OUO)." In most instances the safeguarding requirements for this type of information are equivalent to FOUO. However, other agencies and international organizations may have additional requirements concerning the safeguarding of sensitive information. Follow the safeguarding guidance provided by the other agency or organization. Should there be no such guidance, the information will be safeguarded in accordance with the requirements for FOUO as provided in this manual. Should the additional guidance be less restrictive than in this directive, the information will be safeguarded in accordance with this directive.

D. Designation Authority

Any DHS employee, detailee, or contractor can designate information falling within one or more of the categories cited in section 6, paragraph C, as FOUO. Officials occupying supervisory or managerial positions are authorized to designate other information, not listed above and originating under their jurisdiction, as FOUO.

E. Duration of Designation

Information designated as FOUO will retain its designation until determined otherwise by the originator or a supervisory or management official having program management responsibility over the originator and/or the information.

F. Marking

1. Information designated as FOUO will be sufficiently marked so that persons having access to it are aware of its sensitivity and protection requirements. The lack of FOUO markings on materials does not relieve the holder from safeguarding responsibilities. Where the FOUO marking is not present on materials known by the holder to be FOUO, the holder of the material will protect it as FOUO. Other sensitive information protected by statute or regulation, e.g., PCII and SSI, etc., will be marked in accordance with the applicable guidance for that type of information. Information marked in accordance with the guidance provided for the type of information need not be additionally marked FOUO.

(a) Prominently mark the bottom of the front cover, first page, title page, back cover and each individual page containing FOUO information with the caveat "FOR OFFICIAL USE ONLY."

6 MD 11042.1

(b) Materials containing specific types of FOUO may be further marked with the applicable caveat, e.g., "LAW ENFORCEMENT SENSITIVE," in order to alert the reader of the type of information conveyed. Where the sensitivity of the information warrants additional access and dissemination restrictions, the originator may cite additional access and dissemination restrictions. For example:

WARNING: This document is FOR OFFICIAL USE ONL Y (FOUO). It is to be controlled, stored, handled, transmitted, distributed, and disposed of in accordance with DHS policy relating to FOUO information. This information shall not be distributed beyond the original addressees without prior authorization of the originator.

(c) Materials being transmitted to recipients outside of DHS, for example, other federal agencies, state or local officials, etc. who may not be aware of what the FOUO caveat represents, shall include the following additional notice:

WARNING: This document is FOR OFFICIAL USE ONL Y (FOUO). It contains information that may be exempt from public release under the Freedom of Information Act (5 U.S.G. 552). It is to be controlled, stored, handled, transmitted, distributed, and disposed of in accordance with DHS policy relating to FOUO information and is not to be released to the public or other personnel who do not have a valid "need-to-know" without prior approval of an authorized DHS official.

(d) Computer storage media, i.e., disks, tapes, removable drives, etc., containing FOUO information will be marked "FOR OFFICIAL USE ONLY."

(e) Portions of a classified document, i.e., subjects, titles, paragraphs, and subparagraphs that contain only FOUO information will be marked with the abbreviation (FOUO).

(f) Individual portion markings on a document that contains no other designation are not required.

(g) Designator or originator information and markings, downgrading instructions, and date/event markings are not required.

G. General Handling Procedures

Although FOUO is the DHS standard caveat for identifying sensitive unclassified information, some types of FOUO information may be more sensitive than others

7 MD 11042.1

and thus warrant additional safeguarding measures beyond the minimum requirements established in this manual. For example, certain types of information may be considered extremely sensitive based on the repercussions that could result should the information be released or compromised. Such repercussions could be the loss of life or compromise of an informant or operation. Additional control requirements may be added as necessary to afford appropriate protection to the information. DHS employees, contractors, and detailees must use sound judgment coupled with an evaluation of the risks, vulnerabilities, and the potential damage to personnel or property as the basis for determining the need for safeguards in excess of the minimum requirements and protect the information accordingly.

1. When removed from an authorized storage location (see section 6.1) and persons without a need-to-know are present, or where casual observation would reveal FOUO information to unauthorized persons, a "FOR OFFICIAL USE ONLY" cover sheet (Enclosure 1) will be used to prevent unauthorized or inadvertent disclosure.

2. When forwarding FOUO information, a FOUO cover sheet should be placed on top of the transmittal letter, memorandum or document.

3. When receiving FOUO equivalent information from another government agency, handle in accordance with the guidance provided by the other government agency. Where no guidance is provided, handle in accordance with the requirements of this directive.

H. Dissemination and Access

1. FOUO information will not be disseminated in any manner - orally, visually, or electronically - to unauthorized personnel.

2. Access to FOUO information is based on "need-to-know" as determined by the holder of the information. Where there is uncertainty as to a person's need-to-know, the holder of the information will request dissemination instructions from their next-level supervisor or the information's originator.

3. The holder of the information will comply with any access and dissemination restrictions.

4. A security clearance is not required for access to FOUO information.

5. When discussing or transferring FOUO information to another individual(s), ensure that the individual with whom the discussion is to be held or the information is to be transferred has a valid need-to-know, and that precautions are taken to prevent unauthorized individuals from overhearing the conversation, observing the materials, or otherwise obtaining the information.

8 MD 11042.1

6. FOUO information may be shared with other agencies, federal, state, tribal, or local government and law enforcement officials, provided a specific need-to-know has been established and the information is shared in furtherance of a coordinated and official governmental activity. Where FOUO information is requested by an official of another agency and there is no coordinated or other official governmental activity, a written request will be made from the requesting agency to the applicable DHS program office providing the name(s) of personnel for whom access is requested, the specific information to which access is requested, and basis for need-to-know. The DHS program office shall then determine if it is appropriate to release the information to the other agency official. (see section 6.F for marking requirements)

7. Other sensitive information protected by statute or regulation, i.e., Privacy Act, CII, SSI, Grand Jury, etc., will be controlled and disseminated in accordance with the applicable guidance for that type of information.

8. If the information requested or to be discussed belongs to another agency or organization, comply with that agency's policy concerning third party discussion and dissemination.

9. When discussing FOUO information over a telephone, the use of a STU III (Secure Telephone Unit), or Secure Telephone Equipment (STE), is encouraged, but not required.

I. Storage

1. When unattended, FOUO materials will, at a minimum, be stored in a locked file cabinet, locked desk drawer, a locked overhead storage compartment such as a systems furniture credenza, or similar locked compartment. Materials can also be stored in a room or area that has sufficient physical access control measures to afford adequate protection and prevent unauthorized access by members of the public, visitors, or other persons without a need-to-know, such as a locked room, or an area where access is controlled by a guard, cipher lock, or card reader.

2. FOUO information will not be stored in the same container used for the storage of classified information unless there is a correlation between the information. When FOUO materials are stored in the same container used for the storage of classified materials, they will be segregated from the classified materials to the extent possible, i.e. separate folders, separate drawers, etc.

3. IT systems that store FOUO information will be certified and accredited for operation in accordance with federal and DHS standards. Consult the DHS Information Technology Security Program Handbook for Sensitive Systems, Publication 4300A, for more detailed information.

9 MD 11042.1

4. Laptop computers and other media containing FOUO information will be stored and protected to prevent loss, theft, unauthorized access and unauthorized disclosure. Storage and control will be in accordance with DHS Information Technology Security Program Handbook for Sensitive Systems, Publication 4300A.

J. Transmission

1. Transmission of hard copy FOUO within the U.S. and its Territories:

(a) Material will be placed in a single opaque envelope or container and sufficiently sealed to prevent inadvertent opening and to show evidence of tampering. The envelope or container will bear the complete name and address of the sender and addressee, to include program office and the name of the intended recipient (if known).

(b) FOUO materials may be mailed by U.S. Postal Service First Class Mail or an accountable commercial delivery service such as Federal Express or United Parcel Service.

(c) FOUO materials may be entered into an inter-office mail system provided it is afforded sufficient protection to prevent unauthorized access, e.g., sealed envelope.

2. Transmission to Overseas Offices: When an overseas office is serviced by a military postal facility, i.e., APO/FPO, FOUO may be transmitted directly to the office. Where the overseas office is not serviced by a military postal facility, the materials will be sent through the Department of State, Diplomatic Courier.

3. Electronic Transmission.

(a) Transmittal via Fax. Unless otherwise restricted by the originator, FOUO information may be sent via nonsecure fax. However, the use of a secure fax machine is highly encouraged. Where a nonsecure fax is used, the sender will coordinate with the recipient to ensure that the materials faxed will not be left unattended or subjected to possible unauthorized disclosure on the receiving end. The holder of the material will comply with any access, dissemination, and transmittal restrictions cited on the material or verbally communicated by the originator.

(b) Transmittal via E-Mail

(i) FOUO information transmitted via email should be protected by encryption or transmitted within secure communications systems. When this is impractical or unavailable, FOUO may be transmitted over regular email channels. For added security, when

10 MD 11042.1

transmitting FOUO over a regular email channel, the information can be included as a password protected attachment with the password provided under separate cover. Recipients of FOUO information will comply with any email restrictions imposed by the originator.

(ii) Per DHS MD 4300, DHS Sensitive Systems Handbook, due to inherent vulnerabilities, FOUO information shall not be sent to personal email accounts.

(c) DHS Internet/Intranet

(i) FOUO information will not be posted on a DHS or any other internet (public) website.

(ii) FOUO information may be posted on the DHS intranet or other government controlled or sponsored protected encrypted data networks, such as the Homeland Security Information Network (HSIN). However, the official authorized to post the information should be aware that access to the information is open to all personnel who have been granted access to that particular intranet site. The official must determine the nature of the information is such that need-to-know applies to all personnel; the benefits of posting the information outweigh the risk of potential compromise; the information posted is prominently marked as FOR OFFICIAL USE ONLY; and information posted does not violate any provisions of the Privacy Act.

K. Destruction

1. FOUO material will be destroyed when no longer needed. Destruction may be accomplished by:

(a) "Hard Copy" materials will be destroyed by shredding, burning, pulping, pulverizing, such as to assure destruction beyond recognition and reconstruction. After destruction, materials may be disposed of with normal waste.

(b) Electronic storage media shall be sanitized appropriately by overwriting or degaussing. Contact local IT security personnel for additional guidance.

(c) Paper products containing FOUO information will not be disposed of in regular trash or recycling receptacles unless the materials have first been destroyed as specified above.

11 MD 11042.l

L. Incident Reporting

1. The loss, compromise, suspected compromise, or unauthorized disclosure of FOUO information will be reported. Incidents involving FOUO in DHS IT systems will be reported to the organizational element Computer Security Incident Response Center in accordance with IT incident reporting requirements.

2. Suspicious or inappropriate requests for information by any means, e.g., email or verbal, shall be report to the DHS Office of Security.

3. Employees or contractors who observe or become aware of the loss, compromise, suspected compromise, or unauthorized disclosure of FOUO information will report it immediately, but not later than the next duty day, to the originator and the local Security Official.

4. Additional notifications to appropriate DHS management personnel will be made without delay when the disclosure or compromise could result in physical harm to an individual(s) or the compromise of a planned or on-going operation.

5. At the request of the originator, an inquiry will be conducted by the local security official or other designee to determine the cause and affect of the incident and the appropriateness of administrative or disciplinary action against the offender.

Dated:--k-l+-\ ~~~_5 __

12 MD 11042.1

Department of Homeland Security

FOR OFFICIAL USE ONLY

THE ATTACHED MATERIALS CONTAIN DEPARTMENT OF HOMELAND SECURITY INFORMATION THAT IS "FOR OFFICIAL USE ONLY," OR OTHER TYPES OF SENSITIVE BUT UNCLASSIFIED INFORMATION REQUIRING PROTECTION

AGAINST UNAUTHORIZED DISCLOSURE. THE ATTACHED MATERIALS WILL BE HANDLED AND SAFEGUARDED IN ACCORDANCE WITH DHS MANAGEMENT

DIRECTIVES GOVERNING PROTECTION AND DISSEMINATION OF SUCH INFORMATION.

AT A MINIMUM, THE ATTACHED MATERIALS WILL BE DISSEMINATED ONLY ON A "NEED-TO-KNOW" BASIS AND WHEN UNATTENDED, WILL BE STORED IN A

LOCKED CONTAINER OR AREA OFFERING SUFFICIENT PROTECTION AGAINST THEFT, COMPROMISE, INADVERTENT ACCESS AND UNAUTHORIZED

DISCLOSURE.

13 MD 11042.1

Tuesday,

January 5, 2010

Part VII

The President Executive Order 13526—Classified National Security Information Memorandum of December 29, 2009— Implementation of the Executive Order ‘‘Classified National Security Information’’ Order of December 29, 2009—Original Classification Authority

VerDate Nov<24>2008 17:28 Jan 04, 2010 Jkt 220001 PO 00000 Frm 00001 Fmt 4717 Sfmt 4717 E:\FR\FM\05JAE0.SGM 05JAE0srob

inso

n on

DS

KH

WC

L6B

1PR

OD

with

MIS

CE

LLA

NE

OU

S


inso

n on

DS

KH

WC

L6B

1PR

OD

with

MIS

CE

LLA

NE

OU

S

Presidential Documents

707

Federal Register

Vol. 75, No. 2

Tuesday, January 5, 2010

Title 3—

The President

Executive Order 13526 of December 29, 2009

Classified National Security Information

This order prescribes a uniform system for classifying, safeguarding, and declassifying national security information, including information relating to defense against transnational terrorism. Our democratic principles require that the American people be informed of the activities of their Government. Also, our Nation’s progress depends on the free flow of information both within the Government and to the American people. Nevertheless, throughout our history, the national defense has required that certain information be maintained in confidence in order to protect our citizens, our democratic institutions, our homeland security, and our interactions with foreign nations. Protecting information critical to our Nation’s security and demonstrating our commitment to open Government through accurate and accountable application of classification standards and routine, secure, and effective declassification are equally important priorities.

NOW, THEREFORE, I, BARACK OBAMA, by the authority vested in me as President by the Constitution and the laws of the United States of America, it is hereby ordered as follows:

PART 1—ORIGINAL CLASSIFICATION

Section 1.1. Classification Standards. (a) Information may be originally classi-fied under the terms of this order only if all of the following conditions are met:

(1) an original classification authority is classifying the information;

(2) the information is owned by, produced by or for, or is under the control of the United States Government;

(3) the information falls within one or more of the categories of information listed in section 1.4 of this order; and

(4) the original classification authority determines that the unauthorized disclosure of the information reasonably could be expected to result in damage to the national security, which includes defense against transnational terrorism, and the original classification authority is able to identify or describe the damage. (b) If there is significant doubt about the need to classify information,

it shall not be classified. This provision does not: (1) amplify or modify the substantive criteria or procedures for classifica-tion; or

(2) create any substantive or procedural rights subject to judicial review. (c) Classified information shall not be declassified automatically as a result

of any unauthorized disclosure of identical or similar information.

(d) The unauthorized disclosure of foreign government information is pre-sumed to cause damage to the national security. Sec. 1.2. Classification Levels. (a) Information may be classified at one of the following three levels:

(1) ‘‘Top Secret’’ shall be applied to information, the unauthorized disclo-sure of which reasonably could be expected to cause exceptionally grave damage to the national security that the original classification authority is able to identify or describe.

(2) ‘‘Secret’’ shall be applied to information, the unauthorized disclosure of which reasonably could be expected to cause serious damage to the


inso

n on

DS

KH

WC

L6B

1PR

OD

with

MIS

CE

LLA

NE

OU

S

708 Federal Register / Vol. 75, No. 2 / Tuesday, January 5, 2010 / Presidential Documents

national security that the original classification authority is able to identify or describe.

(3) ‘‘Confidential’’ shall be applied to information, the unauthorized disclo-sure of which reasonably could be expected to cause damage to the national security that the original classification authority is able to identify or describe. (b) Except as otherwise provided by statute, no other terms shall be

used to identify United States classified information.

(c) If there is significant doubt about the appropriate level of classification, it shall be classified at the lower level. Sec. 1.3. Classification Authority. (a) The authority to classify information originally may be exercised only by:

(1) the President and the Vice President;

(2) agency heads and officials designated by the President; and

(3) United States Government officials delegated this authority pursuant to paragraph (c) of this section. (b) Officials authorized to classify information at a specified level are

also authorized to classify information at a lower level.

(c) Delegation of original classification authority. (1) Delegations of original classification authority shall be limited to the minimum required to administer this order. Agency heads are responsible for ensuring that designated subordinate officials have a demonstrable and continuing need to exercise this authority.

(2) ‘‘Top Secret’’ original classification authority may be delegated only by the President, the Vice President, or an agency head or official des-ignated pursuant to paragraph (a)(2) of this section.

(3) ‘‘Secret’’ or ‘‘Confidential’’ original classification authority may be delegated only by the President, the Vice President, an agency head or official designated pursuant to paragraph (a)(2) of this section, or the senior agency official designated under section 5.4(d) of this order, pro-vided that official has been delegated ‘‘Top Secret’’ original classification authority by the agency head.

(4) Each delegation of original classification authority shall be in writing and the authority shall not be redelegated except as provided in this order. Each delegation shall identify the official by name or position.

(5) Delegations of original classification authority shall be reported or made available by name or position to the Director of the Information Security Oversight Office. (d) All original classification authorities must receive training in proper

classification (including the avoidance of over-classification) and declassifica-tion as provided in this order and its implementing directives at least once a calendar year. Such training must include instruction on the proper safeguarding of classified information and on the sanctions in section 5.5 of this order that may be brought against an individual who fails to classify information properly or protect classified information from unauthorized disclosure. Original classification authorities who do not receive such manda-tory training at least once within a calendar year shall have their classification authority suspended by the agency head or the senior agency official des-ignated under section 5.4(d) of this order until such training has taken place. A waiver may be granted by the agency head, the deputy agency head, or the senior agency official if an individual is unable to receive such training due to unavoidable circumstances. Whenever a waiver is grant-ed, the individual shall receive such training as soon as practicable.

(e) Exceptional cases. When an employee, government contractor, licensee, certificate holder, or grantee of an agency who does not have original classi-fication authority originates information believed by that person to require classification, the information shall be protected in a manner consistent


inso

n on

DS

KH

WC

L6B

1PR

OD

with

MIS

CE

LLA

NE

OU

S


with this order and its implementing directives. The information shall be transmitted promptly as provided under this order or its implementing direc-tives to the agency that has appropriate subject matter interest and classifica-tion authority with respect to this information. That agency shall decide within 30 days whether to classify this information. Sec. 1.4. Classification Categories. Information shall not be considered for classification unless its unauthorized disclosure could reasonably be expected to cause identifiable or describable damage to the national security in accord-ance with section 1.2 of this order, and it pertains to one or more of the following:

(a) military plans, weapons systems, or operations;

(b) foreign government information;

(c) intelligence activities (including covert action), intelligence sources or methods, or cryptology;

(d) foreign relations or foreign activities of the United States, including confidential sources;

(e) scientific, technological, or economic matters relating to the national security;

(f) United States Government programs for safeguarding nuclear materials or facilities;

(g) vulnerabilities or capabilities of systems, installations, infrastructures, projects, plans, or protection services relating to the national security; or (h) the development, production, or use of weapons of mass destruction. Sec. 1.5. Duration of Classification. (a) At the time of original classification, the original classification authority shall establish a specific date or event for declassification based on the duration of the national security sensitivity of the information. Upon reaching the date or event, the information shall be automatically declassified. Except for information that should clearly and demonstrably be expected to reveal the identity of a confidential human source or a human intelligence source or key design concepts of weapons of mass destruction, the date or event shall not exceed the time frame established in paragraph (b) of this section.

(b) If the original classification authority cannot determine an earlier spe-cific date or event for declassification, information shall be marked for declassification 10 years from the date of the original decision, unless the original classification authority otherwise determines that the sensitivity of the information requires that it be marked for declassification for up to 25 years from the date of the original decision.

(c) An original classification authority may extend the duration of classi-fication up to 25 years from the date of origin of the document, change the level of classification, or reclassify specific information only when the standards and procedures for classifying information under this order are followed.

(d) No information may remain classified indefinitely. Information marked for an indefinite duration of classification under predecessor orders, for example, marked as ‘‘Originating Agency’s Determination Required,’’ or clas-sified information that contains incomplete declassification instructions or lacks declassification instructions shall be declassified in accordance with part 3 of this order. Sec. 1.6. Identification and Markings. (a) At the time of original classification, the following shall be indicated in a manner that is immediately apparent:

(1) one of the three classification levels defined in section 1.2 of this order;

(2) the identity, by name and position, or by personal identifier, of the original classification authority;

(3) the agency and office of origin, if not otherwise evident;

(4) declassification instructions, which shall indicate one of the following:


inso

n on

DS

KH

WC

L6B

1PR

OD

with

MIS

CE

LLA

NE

OU

S


(A) the date or event for declassification, as prescribed in section 1.5(a);

(B) the date that is 10 years from the date of original classification, as prescribed in section 1.5(b);

(C) the date that is up to 25 years from the date of original classification, as prescribed in section 1.5(b); or

(D) in the case of information that should clearly and demonstrably be expected to reveal the identity of a confidential human source or a human intelligence source or key design concepts of weapons of mass destruction, the marking prescribed in implementing directives issued pur-suant to this order; and

(5) a concise reason for classification that, at a minimum, cites the applica-ble classification categories in section 1.4 of this order. (b) Specific information required in paragraph (a) of this section may

be excluded if it would reveal additional classified information.

(c) With respect to each classified document, the agency originating the document shall, by marking or other means, indicate which portions are classified, with the applicable classification level, and which portions are unclassified. In accordance with standards prescribed in directives issued under this order, the Director of the Information Security Oversight Office may grant and revoke temporary waivers of this requirement. The Director shall revoke any waiver upon a finding of abuse.

(d) Markings or other indicia implementing the provisions of this order, including abbreviations and requirements to safeguard classified working papers, shall conform to the standards prescribed in implementing directives issued pursuant to this order.

(e) Foreign government information shall retain its original classification markings or shall be assigned a U.S. classification that provides a degree of protection at least equivalent to that required by the entity that furnished the information. Foreign government information retaining its original classi-fication markings need not be assigned a U.S. classification marking provided that the responsible agency determines that the foreign government markings are adequate to meet the purposes served by U.S. classification markings.

(f) Information assigned a level of classification under this or predecessor orders shall be considered as classified at that level of classification despite the omission of other required markings. Whenever such information is used in the derivative classification process or is reviewed for possible declassification, holders of such information shall coordinate with an appro-priate classification authority for the application of omitted markings.

(g) The classification authority shall, whenever practicable, use a classified addendum whenever classified information constitutes a small portion of an otherwise unclassified document or prepare a product to allow for dissemi-nation at the lowest level of classification possible or in unclassified form.

(h) Prior to public release, all declassified records shall be appropriately marked to reflect their declassification. Sec. 1.7. Classification Prohibitions and Limitations. (a) In no case shall information be classified, continue to be maintained as classified, or fail to be declassified in order to:

(1) conceal violations of law, inefficiency, or administrative error;

(2) prevent embarrassment to a person, organization, or agency;

(3) restrain competition; or

(4) prevent or delay the release of information that does not require protection in the interest of the national security. (b) Basic scientific research information not clearly related to the national

security shall not be classified.

(c) Information may not be reclassified after declassification and release to the public under proper authority unless:


inso

n on

DS

KH

WC

L6B

1PR

OD

with

MIS

CE

LLA

NE

OU

S


(1) the reclassification is personally approved in writing by the agency head based on a document-by-document determination by the agency that reclassification is required to prevent significant and demonstrable damage to the national security;

(2) the information may be reasonably recovered without bringing undue attention to the information;

(3) the reclassification action is reported promptly to the Assistant to the President for National Security Affairs (National Security Advisor) and the Director of the Information Security Oversight Office; and

(4) for documents in the physical and legal custody of the National Ar-chives and Records Administration (National Archives) that have been available for public use, the agency head has, after making the determina-tions required by this paragraph, notified the Archivist of the United States (Archivist), who shall suspend public access pending approval of the reclassification action by the Director of the Information Security Oversight Office. Any such decision by the Director may be appealed by the agency head to the President through the National Security Advisor. Public access shall remain suspended pending a prompt decision on the appeal. (d) Information that has not previously been disclosed to the public under

proper authority may be classified or reclassified after an agency has received a request for it under the Freedom of Information Act (5 U.S.C. 552), the Presidential Records Act, 44 U.S.C. 2204(c)(1), the Privacy Act of 1974 (5 U.S.C. 552a), or the mandatory review provisions of section 3.5 of this order only if such classification meets the requirements of this order and is accomplished on a document-by-document basis with the personal partici-pation or under the direction of the agency head, the deputy agency head, or the senior agency official designated under section 5.4 of this order. The requirements in this paragraph also apply to those situations in which information has been declassified in accordance with a specific date or event determined by an original classification authority in accordance with section 1.5 of this order.

(e) Compilations of items of information that are individually unclassified may be classified if the compiled information reveals an additional associa-tion or relationship that:

(1) meets the standards for classification under this order; and

(2) is not otherwise revealed in the individual items of information. Sec. 1.8. Classification Challenges. (a) Authorized holders of information who, in good faith, believe that its classification status is improper are encouraged and expected to challenge the classification status of the informa-tion in accordance with agency procedures established under paragraph (b) of this section.

(b) In accordance with implementing directives issued pursuant to this order, an agency head or senior agency official shall establish procedures under which authorized holders of information, including authorized holders outside the classifying agency, are encouraged and expected to challenge the classification of information that they believe is improperly classified or unclassified. These procedures shall ensure that:

(1) individuals are not subject to retribution for bringing such actions;

(2) an opportunity is provided for review by an impartial official or panel; and

(3) individuals are advised of their right to appeal agency decisions to the Interagency Security Classification Appeals Panel (Panel) established by section 5.3 of this order. (c) Documents required to be submitted for prepublication review or other

administrative process pursuant to an approved nondisclosure agreement are not covered by this section.


inso

n on

DS

KH

WC

L6B

1PR

OD

with

MIS

CE

LLA

NE

OU

S


Sec. 1.9. Fundamental Classification Guidance Review. (a) Agency heads shall complete on a periodic basis a comprehensive review of the agency’s classification guidance, particularly classification guides, to ensure the guid-ance reflects current circumstances and to identify classified information that no longer requires protection and can be declassified. The initial funda-mental classification guidance review shall be completed within 2 years of the effective date of this order.

(b) The classification guidance review shall include an evaluation of classi-fied information to determine if it meets the standards for classification under section 1.4 of this order, taking into account an up-to-date assessment of likely damage as described under section 1.2 of this order.

(c) The classification guidance review shall include original classification authorities and agency subject matter experts to ensure a broad range of perspectives.

(d) Agency heads shall provide a report summarizing the results of the classification guidance review to the Director of the Information Security Oversight Office and shall release an unclassified version of this report to the public. PART 2—DERIVATIVE CLASSIFICATION

Sec. 2.1. Use of Derivative Classification. (a) Persons who reproduce, extract, or summarize classified information, or who apply classification markings derived from source material or as directed by a classification guide, need not possess original classification authority.

(b) Persons who apply derivative classification markings shall: (1) be identified by name and position, or by personal identifier, in a manner that is immediately apparent for each derivative classification action;

(2) observe and respect original classification decisions; and

(3) carry forward to any newly created documents the pertinent classifica-tion markings. For information derivatively classified based on multiple sources, the derivative classifier shall carry forward:

(A) the date or event for declassification that corresponds to the longest period of classification among the sources, or the marking established pursuant to section 1.6(a)(4)(D) of this order; and

(B) a listing of the source materials. (c) Derivative classifiers shall, whenever practicable, use a classified adden-

dum whenever classified information constitutes a small portion of an other-wise unclassified document or prepare a product to allow for dissemination at the lowest level of classification possible or in unclassified form.

(d) Persons who apply derivative classification markings shall receive training in the proper application of the derivative classification principles of the order, with an emphasis on avoiding over-classification, at least once every 2 years. Derivative classifiers who do not receive such training at least once every 2 years shall have their authority to apply derivative classi-fication markings suspended until they have received such training. A waiver may be granted by the agency head, the deputy agency head, or the senior agency official if an individual is unable to receive such training due to unavoidable circumstances. Whenever a waiver is granted, the individual shall receive such training as soon as practicable. Sec. 2.2. Classification Guides. (a) Agencies with original classification au-thority shall prepare classification guides to facilitate the proper and uniform derivative classification of information. These guides shall conform to stand-ards contained in directives issued under this order.

(b) Each guide shall be approved personally and in writing by an official who:

(1) has program or supervisory responsibility over the information or is the senior agency official; and


inso

n on

DS

KH

WC

L6B

1PR

OD

with

MIS

CE

LLA

NE

OU

S


(2) is authorized to classify information originally at the highest level of classification prescribed in the guide. (c) Agencies shall establish procedures to ensure that classification guides

are reviewed and updated as provided in directives issued under this order.

(d) Agencies shall incorporate original classification decisions into classi-fication guides on a timely basis and in accordance with directives issued under this order.

(e) Agencies may incorporate exemptions from automatic declassification approved pursuant to section 3.3(j) of this order into classification guides, provided that the Panel is notified of the intent to take such action for specific information in advance of approval and the information remains in active use.

(f) The duration of classification of a document classified by a derivative classifier using a classification guide shall not exceed 25 years from the date of the origin of the document, except for:

(1) information that should clearly and demonstrably be expected to reveal the identity of a confidential human source or a human intelligence source or key design concepts of weapons of mass destruction; and

(2) specific information incorporated into classification guides in accord-ance with section 2.2(e) of this order.

PART 3—DECLASSIFICATION AND DOWNGRADING

Sec. 3.1. Authority for Declassification. (a) Information shall be declassified as soon as it no longer meets the standards for classification under this order.

(b) Information shall be declassified or downgraded by: (1) the official who authorized the original classification, if that official is still serving in the same position and has original classification authority;

(2) the originator’s current successor in function, if that individual has original classification authority;

(3) a supervisory official of either the originator or his or her successor in function, if the supervisory official has original classification authority; or (4) officials delegated declassification authority in writing by the agency head or the senior agency official of the originating agency. (c) The Director of National Intelligence (or, if delegated by the Director

of National Intelligence, the Principal Deputy Director of National Intel-ligence) may, with respect to the Intelligence Community, after consultation with the head of the originating Intelligence Community element or depart-ment, declassify, downgrade, or direct the declassification or downgrading of information or intelligence relating to intelligence sources, methods, or activities.

(d) It is presumed that information that continues to meet the classification requirements under this order requires continued protection. In some excep-tional cases, however, the need to protect such information may be out-weighed by the public interest in disclosure of the information, and in these cases the information should be declassified. When such questions arise, they shall be referred to the agency head or the senior agency official. That official will determine, as an exercise of discretion, whether the public interest in disclosure outweighs the damage to the national security that might reasonably be expected from disclosure. This provision does not:

(1) amplify or modify the substantive criteria or procedures for classifica-tion; or

(2) create any substantive or procedural rights subject to judicial review. (e) If the Director of the Information Security Oversight Office determines

that information is classified in violation of this order, the Director may require the information to be declassified by the agency that originated the classification. Any such decision by the Director may be appealed to the President through the National Security Advisor. The information shall remain classified pending a prompt decision on the appeal.


inso

n on

DS

KH

WC

L6B

1PR

OD

with

MIS

CE

LLA

NE

OU

S


(f) The provisions of this section shall also apply to agencies that, under the terms of this order, do not have original classification authority, but had such authority under predecessor orders.

(g) No information may be excluded from declassification under section 3.3 of this order based solely on the type of document or record in which it is found. Rather, the classified information must be considered on the basis of its content.

(h) Classified nonrecord materials, including artifacts, shall be declassified as soon as they no longer meet the standards for classification under this order.

(i) When making decisions under sections 3.3, 3.4, and 3.5 of this order, agencies shall consider the final decisions of the Panel. Sec. 3.2. Transferred Records.

(a) In the case of classified records transferred in conjunction with a transfer of functions, and not merely for storage purposes, the receiving agency shall be deemed to be the originating agency for purposes of this order.

(b) In the case of classified records that are not officially transferred as described in paragraph (a) of this section, but that originated in an agency that has ceased to exist and for which there is no successor agency, each agency in possession of such records shall be deemed to be the origi-nating agency for purposes of this order. Such records may be declassified or downgraded by the agency in possession of the records after consultation with any other agency that has an interest in the subject matter of the records.

(c) Classified records accessioned into the National Archives shall be declassified or downgraded by the Archivist in accordance with this order, the directives issued pursuant to this order, agency declassification guides, and any existing procedural agreement between the Archivist and the relevant agency head.

(d) The originating agency shall take all reasonable steps to declassify classified information contained in records determined to have permanent historical value before they are accessioned into the National Archives. However, the Archivist may require that classified records be accessioned into the National Archives when necessary to comply with the provisions of the Federal Records Act. This provision does not apply to records trans-ferred to the Archivist pursuant to section 2203 of title 44, United States Code, or records for which the National Archives serves as the custodian of the records of an agency or organization that has gone out of existence.

(e) To the extent practicable, agencies shall adopt a system of records management that will facilitate the public release of documents at the time such documents are declassified pursuant to the provisions for automatic declassification in section 3.3 of this order. Sec. 3.3 Automatic Declassification.

(a) Subject to paragraphs (b)–(d) and (g)–(j) of this section, all classified records that (1) are more than 25 years old and (2) have been determined to have permanent historical value under title 44, United States Code, shall be automatically declassified whether or not the records have been reviewed. All classified records shall be automatically declassified on December 31 of the year that is 25 years from the date of origin, except as provided in paragraphs (b)–(d) and (g)–(j) of this section. If the date of origin of an individual record cannot be readily determined, the date of original classification shall be used instead.

(b) An agency head may exempt from automatic declassification under paragraph (a) of this section specific information, the release of which should clearly and demonstrably be expected to:

(1) reveal the identity of a confidential human source, a human intelligence source, a relationship with an intelligence or security service of a foreign


inso

n on

DS

KH

WC

L6B

1PR

OD

with

MIS

CE

LLA

NE

OU

S


government or international organization, or a nonhuman intelligence source; or impair the effectiveness of an intelligence method currently in use, available for use, or under development;

(2) reveal information that would assist in the development, production, or use of weapons of mass destruction;

(3) reveal information that would impair U.S. cryptologic systems or activi-ties;

(4) reveal information that would impair the application of state-of-the- art technology within a U.S. weapon system;

(5) reveal formally named or numbered U.S. military war plans that remain in effect, or reveal operational or tactical elements of prior plans that are contained in such active plans;

(6) reveal information, including foreign government information, that would cause serious harm to relations between the United States and a foreign government, or to ongoing diplomatic activities of the United States;

(7) reveal information that would impair the current ability of United States Government officials to protect the President, Vice President, and other protectees for whom protection services, in the interest of the national security, are authorized;

(8) reveal information that would seriously impair current national security emergency preparedness plans or reveal current vulnerabilities of systems, installations, or infrastructures relating to the national security; or

(9) violate a statute, treaty, or international agreement that does not permit the automatic or unilateral declassification of information at 25 years. (c)(1) An agency head shall notify the Panel of any specific file series

of records for which a review or assessment has determined that the informa-tion within that file series almost invariably falls within one or more of the exemption categories listed in paragraph (b) of this section and that the agency proposes to exempt from automatic declassification at 25 years.

(2) The notification shall include:

(A) a description of the file series;

(B) an explanation of why the information within the file series is almost invariably exempt from automatic declassification and why the information must remain classified for a longer period of time; and

(C) except when the information within the file series almost invariably identifies a confidential human source or a human intelligence source or key design concepts of weapons of mass destruction, a specific date or event for declassification of the information, not to exceed December 31 of the year that is 50 years from the date of origin of the records.

(3) The Panel may direct the agency not to exempt a designated file series or to declassify the information within that series at an earlier date than recommended. The agency head may appeal such a decision to the President through the National Security Advisor.

(4) File series exemptions approved by the President prior to December 31, 2008, shall remain valid without any additional agency action pending Panel review by the later of December 31, 2010, or December 31 of the year that is 10 years from the date of previous approval. (d) The following provisions shall apply to the onset of automatic declas-

sification: (1) Classified records within an integral file block, as defined in this order, that are otherwise subject to automatic declassification under this section shall not be automatically declassified until December 31 of the year that is 25 years from the date of the most recent record within the file block.


inso

n on

DS

KH

WC

L6B

1PR

OD

with

MIS

CE

LLA

NE

OU

S


(2) After consultation with the Director of the National Declassification Center (the Center) established by section 3.7 of this order and before the records are subject to automatic declassification, an agency head or senior agency official may delay automatic declassification for up to five additional years for classified information contained in media that make a review for possible declassification exemptions more difficult or costly.

(3) Other than for records that are properly exempted from automatic declassification, records containing classified information that originated with other agencies or the disclosure of which would affect the interests or activities of other agencies with respect to the classified information and could reasonably be expected to fall under one or more of the exemp-tions in paragraph (b) of this section shall be identified prior to the onset of automatic declassification for later referral to those agencies.

(A) The information of concern shall be referred by the Center established by section 3.7 of this order, or by the centralized facilities referred to in section 3.7(e) of this order, in a prioritized and scheduled manner determined by the Center.

(B) If an agency fails to provide a final determination on a referral made by the Center within 1 year of referral, or by the centralized facilities referred to in section 3.7(e) of this order within 3 years of referral, its equities in the referred records shall be automatically declassified.

(C) If any disagreement arises between affected agencies and the Center regarding the referral review period, the Director of the Information Secu-rity Oversight Office shall determine the appropriate period of review of referred records.

(D) Referrals identified prior to the establishment of the Center by section 3.7 of this order shall be subject to automatic declassification only in accordance with subparagraphs (d)(3)(A)–(C) of this section.

(4) After consultation with the Director of the Information Security Over-sight Office, an agency head may delay automatic declassification for up to 3 years from the date of discovery of classified records that were inadvertently not reviewed prior to the effective date of automatic declas-sification. (e) Information exempted from automatic declassification under this section

shall remain subject to the mandatory and systematic declassification review provisions of this order.

(f) The Secretary of State shall determine when the United States should commence negotiations with the appropriate officials of a foreign government or international organization of governments to modify any treaty or inter-national agreement that requires the classification of information contained in records affected by this section for a period longer than 25 years from the date of its creation, unless the treaty or international agreement pertains to information that may otherwise remain classified beyond 25 years under this section.

(g) The Secretary of Energy shall determine when information concerning foreign nuclear programs that was removed from the Restricted Data category in order to carry out provisions of the National Security Act of 1947, as amended, may be declassified. Unless otherwise determined, such informa-tion shall be declassified when comparable information concerning the United States nuclear program is declassified.

(h) Not later than 3 years from the effective date of this order, all records exempted from automatic declassification under paragraphs (b) and (c) of this section shall be automatically declassified on December 31 of a year that is no more than 50 years from the date of origin, subject to the following:

(1) Records that contain information the release of which should clearly and demonstrably be expected to reveal the following are exempt from automatic declassification at 50 years:


inso

n on

DS

KH

WC

L6B

1PR

OD

with

MIS

CE

LLA

NE

OU

S


(A) the identity of a confidential human source or a human intelligence source; or

(B) key design concepts of weapons of mass destruction.

(2) In extraordinary cases, agency heads may, within 5 years of the onset of automatic declassification, propose to exempt additional specific infor-mation from declassification at 50 years.

(3) Records exempted from automatic declassification under this paragraph shall be automatically declassified on December 31 of a year that is no more than 75 years from the date of origin unless an agency head, within 5 years of that date, proposes to exempt specific information from declas-sification at 75 years and the proposal is formally approved by the Panel. (i) Specific records exempted from automatic declassification prior to the

establishment of the Center described in section 3.7 of this order shall be subject to the provisions of paragraph (h) of this section in a scheduled and prioritized manner determined by the Center.

(j) At least 1 year before information is subject to automatic declassification under this section, an agency head or senior agency official shall notify the Director of the Information Security Oversight Office, serving as Executive Secretary of the Panel, of any specific information that the agency proposes to exempt from automatic declassification under paragraphs (b) and (h) of this section.

(1) The notification shall include:

(A) a detailed description of the information, either by reference to information in specific records or in the form of a declassification guide;

(B) an explanation of why the information should be exempt from automatic declassification and must remain classified for a longer period of time; and

(C) a specific date or a specific and independently verifiable event for automatic declassification of specific records that contain the informa-tion proposed for exemption.

(2) The Panel may direct the agency not to exempt the information or to declassify it at an earlier date than recommended. An agency head may appeal such a decision to the President through the National Security Advisor. The information will remain classified while such an appeal is pending. (k) For information in a file series of records determined not to have

permanent historical value, the duration of classification beyond 25 years shall be the same as the disposition (destruction) date of those records in each Agency Records Control Schedule or General Records Schedule, although the duration of classification shall be extended if the record has been retained for business reasons beyond the scheduled disposition date. Sec. 3.4. Systematic Declassification Review.

(a) Each agency that has originated classified information under this order or its predecessors shall establish and conduct a program for systematic declassification review for records of permanent historical value exempted from automatic declassification under section 3.3 of this order. Agencies shall prioritize their review of such records in accordance with priorities established by the Center.

(b) The Archivist shall conduct a systematic declassification review pro-gram for classified records:

(1) accessioned into the National Archives; (2) transferred to the Archivist pursuant to 44 U.S.C. 2203; and (3) for which the National Archives serves as the custodian for an agency or organization that has gone out of existence.

Sec. 3.5. Mandatory Declassification Review. (a) Except as provided in paragraph (b) of this section, all information

classified under this order or predecessor orders shall be subject to a review for declassification by the originating agency if:


inso

n on

DS

KH

WC

L6B

1PR

OD

with

MIS

CE

LLA

NE

OU

S


(1) the request for a review describes the document or material containing the information with sufficient specificity to enable the agency to locate it with a reasonable amount of effort;

(2) the document or material containing the information responsive to the request is not contained within an operational file exempted from search and review, publication, and disclosure under 5 U.S.C. 552 in accordance with law; and

(3) the information is not the subject of pending litigation. (b) Information originated by the incumbent President or the incumbent

Vice President; the incumbent President’s White House Staff or the incumbent Vice President’s Staff; committees, commissions, or boards appointed by the incumbent President; or other entities within the Executive Office of the President that solely advise and assist the incumbent President is exempt-ed from the provisions of paragraph (a) of this section. However, the Archivist shall have the authority to review, downgrade, and declassify papers or records of former Presidents and Vice Presidents under the control of the Archivist pursuant to 44 U.S.C. 2107, 2111, 2111 note, or 2203. Review procedures developed by the Archivist shall provide for consultation with agencies having primary subject matter interest and shall be consistent with the provisions of applicable laws or lawful agreements that pertain to the respective Presidential papers or records. Agencies with primary subject matter interest shall be notified promptly of the Archivist’s decision. Any final decision by the Archivist may be appealed by the requester or an agency to the Panel. The information shall remain classified pending a prompt decision on the appeal.

(c) Agencies conducting a mandatory review for declassification shall de-classify information that no longer meets the standards for classification under this order. They shall release this information unless withholding is otherwise authorized and warranted under applicable law.

(d) If an agency has reviewed the requested information for declassification within the past 2 years, the agency need not conduct another review and may instead inform the requester of this fact and the prior review decision and advise the requester of appeal rights provided under subsection (e) of this section.

(e) In accordance with directives issued pursuant to this order, agency heads shall develop procedures to process requests for the mandatory review of classified information. These procedures shall apply to information classi-fied under this or predecessor orders. They also shall provide a means for administratively appealing a denial of a mandatory review request, and for notifying the requester of the right to appeal a final agency decision to the Panel.

(f) After consultation with affected agencies, the Secretary of Defense shall develop special procedures for the review of cryptologic information; the Director of National Intelligence shall develop special procedures for the review of information pertaining to intelligence sources, methods, and activities; and the Archivist shall develop special procedures for the review of information accessioned into the National Archives.

(g) Documents required to be submitted for prepublication review or other administrative process pursuant to an approved nondisclosure agreement are not covered by this section.

(h) This section shall not apply to any request for a review made to an element of the Intelligence Community that is made by a person other than an individual as that term is defined by 5 U.S.C. 552a(a)(2), or by a foreign government entity or any representative thereof. Sec. 3.6. Processing Requests and Reviews. Notwithstanding section 4.1(i) of this order, in response to a request for information under the Freedom of Information Act, the Presidential Records Act, the Privacy Act of 1974, or the mandatory review provisions of this order:


inso

n on

DS

KH

WC

L6B

1PR

OD

with

MIS

CE

LLA

NE

OU

S


(a) An agency may refuse to confirm or deny the existence or nonexistence of requested records whenever the fact of their existence or nonexistence is itself classified under this order or its predecessors.

(b) When an agency receives any request for documents in its custody that contain classified information that originated with other agencies or the disclosure of which would affect the interests or activities of other agencies with respect to the classified information, or identifies such docu-ments in the process of implementing sections 3.3 or 3.4 of this order, it shall refer copies of any request and the pertinent documents to the originating agency for processing and may, after consultation with the origi-nating agency, inform any requester of the referral unless such association is itself classified under this order or its predecessors. In cases in which the originating agency determines in writing that a response under paragraph (a) of this section is required, the referring agency shall respond to the requester in accordance with that paragraph.

(c) Agencies may extend the classification of information in records deter-mined not to have permanent historical value or nonrecord materials, includ-ing artifacts, beyond the time frames established in sections 1.5(b) and 2.2(f) of this order, provided:

(1) the specific information has been approved pursuant to section 3.3(j) of this order for exemption from automatic declassification; and

(2) the extension does not exceed the date established in section 3.3(j) of this order.

Sec. 3.7. National Declassification Center. (a) There is established within the National Archives a National Declassification Center to streamline declas-sification processes, facilitate quality-assurance measures, and implement standardized training regarding the declassification of records determined to have permanent historical value. There shall be a Director of the Center who shall be appointed or removed by the Archivist in consultation with the Secretaries of State, Defense, Energy, and Homeland Security, the Attor-ney General, and the Director of National Intelligence.

(b) Under the administration of the Director, the Center shall coordinate: (1) timely and appropriate processing of referrals in accordance with sec-tion 3.3(d)(3) of this order for accessioned Federal records and transferred presidential records.

(2) general interagency declassification activities necessary to fulfill the requirements of sections 3.3 and 3.4 of this order;

(3) the exchange among agencies of detailed declassification guidance to enable the referral of records in accordance with section 3.3(d)(3) of this order;

(4) the development of effective, transparent, and standard declassification work processes, training, and quality assurance measures;

(5) the development of solutions to declassification challenges posed by electronic records, special media, and emerging technologies;

(6) the linkage and effective utilization of existing agency databases and the use of new technologies to document and make public declassification review decisions and support declassification activities under the purview of the Center; and

(7) storage and related services, on a reimbursable basis, for Federal records containing classified national security information. (c) Agency heads shall fully cooperate with the Archivist in the activities

of the Center and shall: (1) provide the Director with adequate and current declassification guid-ance to enable the referral of records in accordance with section 3.3(d)(3) of this order; and

(2) upon request of the Archivist, assign agency personnel to the Center who shall be delegated authority by the agency head to review and exempt


inso

n on

DS

KH

WC

L6B

1PR

OD

with

MIS

CE

LLA

NE

OU

S


or declassify information originated by their agency contained in records accessioned into the National Archives, after consultation with subject- matter experts as necessary. (d) The Archivist, in consultation with representatives of the participants

in the Center and after input from the general public, shall develop priorities for declassification activities under the purview of the Center that take into account the degree of researcher interest and the likelihood of declas-sification.

(e) Agency heads may establish such centralized facilities and internal operations to conduct internal declassification reviews as appropriate to achieve optimized records management and declassification business proc-esses. Once established, all referral processing of accessioned records shall take place at the Center, and such agency facilities and operations shall be coordinated with the Center to ensure the maximum degree of consistency in policies and procedures that relate to records determined to have perma-nent historical value.

(f) Agency heads may exempt from automatic declassification or continue the classification of their own originally classified information under section 3.3(a) of this order except that in the case of the Director of National Intelligence, the Director shall also retain such authority with respect to the Intelligence Community.

(g) The Archivist shall, in consultation with the Secretaries of State, De-fense, Energy, and Homeland Security, the Attorney General, the Director of National Intelligence, the Director of the Central Intelligence Agency, and the Director of the Information Security Oversight Office, provide the National Security Advisor with a detailed concept of operations for the Center and a proposed implementing directive under section 5.1 of this order that reflects the coordinated views of the aforementioned agencies. PART 4—SAFEGUARDING

Sec. 4.1. General Restrictions on Access. (a) A person may have access to classified information provided that: (1) a favorable determination of eligibility for access has been made by an agency head or the agency head’s designee;

(2) the person has signed an approved nondisclosure agreement; and

(3) the person has a need-to-know the information. (b) Every person who has met the standards for access to classified informa-

tion in paragraph (a) of this section shall receive contemporaneous training on the proper safeguarding of classified information and on the criminal, civil, and administrative sanctions that may be imposed on an individual who fails to protect classified information from unauthorized disclosure.

(c) An official or employee leaving agency service may not remove classi-fied information from the agency’s control or direct that information be declassified in order to remove it from agency control.

(d) Classified information may not be removed from official premises without proper authorization.

(e) Persons authorized to disseminate classified information outside the executive branch shall ensure the protection of the information in a manner equivalent to that provided within the executive branch.

(f) Consistent with law, executive orders, directives, and regulations, an agency head or senior agency official or, with respect to the Intelligence Community, the Director of National Intelligence, shall establish uniform procedures to ensure that automated information systems, including networks and telecommunications systems, that collect, create, communicate, compute, disseminate, process, or store classified information:

(1) prevent access by unauthorized persons;

(2) ensure the integrity of the information; and


inso

n on

DS

KH

WC

L6B

1PR

OD

with

MIS

CE

LLA

NE

OU

S


(3) to the maximum extent practicable, use:

(A) common information technology standards, protocols, and interfaces that maximize the availability of, and access to, the information in a form and manner that facilitates its authorized use; and

(B) standardized electronic formats to maximize the accessibility of infor-mation to persons who meet the criteria set forth in section 4.1(a) of this order. (g) Consistent with law, executive orders, directives, and regulations, each

agency head or senior agency official, or with respect to the Intelligence Community, the Director of National Intelligence, shall establish controls to ensure that classified information is used, processed, stored, reproduced, transmitted, and destroyed under conditions that provide adequate protection and prevent access by unauthorized persons.

(h) Consistent with directives issued pursuant to this order, an agency shall safeguard foreign government information under standards that provide a degree of protection at least equivalent to that required by the government or international organization of governments that furnished the information. When adequate to achieve equivalency, these standards may be less restrictive than the safeguarding standards that ordinarily apply to U.S. ‘‘Confidential’’ information, including modified handling and transmission and allowing access to individuals with a need-to-know who have not otherwise been cleared for access to classified information or executed an approved non-disclosure agreement.

(i)(1) Classified information originating in one agency may be disseminated to another agency or U.S. entity by any agency to which it has been made available without the consent of the originating agency, as long as the criteria for access under section 4.1(a) of this order are met, unless the originating agency has determined that prior authorization is required for such dissemination and has marked or indicated such requirement on the medium containing the classified information in accordance with imple-menting directives issued pursuant to this order.

(2) Classified information originating in one agency may be disseminated by any other agency to which it has been made available to a foreign government in accordance with statute, this order, directives implementing this order, direction of the President, or with the consent of the originating agency. For the purposes of this section, ‘‘foreign government’’ includes any element of a foreign government, or an international organization of governments, or any element thereof.

(3) Documents created prior to the effective date of this order shall not be disseminated outside any other agency to which they have been made available without the consent of the originating agency. An agency head or senior agency official may waive this requirement for specific informa-tion that originated within that agency.

(4) For purposes of this section, the Department of Defense shall be consid-ered one agency, except that any dissemination of information regarding intelligence sources, methods, or activities shall be consistent with direc-tives issued pursuant tosection 6.2(b) of this order.

(5) Prior consent of the originating agency is not required when referring records for declassification review that contain information originating in more than one agency.

Sec. 4.2 Distribution Controls. (a) The head of each agency shall establish procedures in accordance

with applicable law and consistent with directives issued pursuant to this order to ensure that classified information is accessible to the maximum extent possible by individuals who meet the criteria set forth in section 4.1(a) of this order.

(b) In an emergency, when necessary to respond to an imminent threat to life or in defense of the homeland, the agency head or any designee


inso

n on

DS

KH

WC

L6B

1PR

OD

with

MIS

CE

LLA

NE

OU

S


may authorize the disclosure of classified information (including information marked pursuant to section 4.1(i)(1) of this order) to an individual or individ-uals who are otherwise not eligible for access. Such actions shall be taken only in accordance with directives implementing this order and any proce-dure issued by agencies governing the classified information, which shall be designed to minimize the classified information that is disclosed under these circumstances and the number of individuals who receive it. Informa-tion disclosed under this provision or implementing directives and proce-dures shall not be deemed declassified as a result of such disclosure or subsequent use by a recipient. Such disclosures shall be reported promptly to the originator of the classified information. For purposes of this section, the Director of National Intelligence may issue an implementing directive governing the emergency disclosure of classified intelligence information.

(c) Each agency shall update, at least annually, the automatic, routine, or recurring distribution mechanism for classified information that it distrib-utes. Recipients shall cooperate fully with distributors who are updating distribution lists and shall notify distributors whenever a relevant change in status occurs. Sec. 4.3. Special Access Programs. (a) Establishment of special access pro-grams. Unless otherwise authorized by the President, only the Secretaries of State, Defense, Energy, and Homeland Security, the Attorney General, and the Director of National Intelligence, or the principal deputy of each, may create a special access program. For special access programs pertaining to intelligence sources, methods, and activities (but not including military operational, strategic, and tactical programs), this function shall be exercised by the Director of National Intelligence. These officials shall keep the number of these programs at an absolute minimum, and shall establish them only when the program is required by statute or upon a specific finding that:

(1) the vulnerability of, or threat to, specific information is exceptional; and

(2) the normal criteria for determining eligibility for access applicable to information classified at the same level are not deemed sufficient to protect the information from unauthorized disclosure. (b) Requirements and limitations. (1) Special access programs shall be limited to programs in which the number of persons who ordinarily will have access will be reasonably small and commensurate with the objective of providing enhanced protec-tion for the information involved.

(2) Each agency head shall establish and maintain a system of accounting for special access programs consistent with directives issued pursuant to this order.

(3) Special access programs shall be subject to the oversight program established under section 5.4(d) of this order. In addition, the Director of the Information Security Oversight Office shall be afforded access to these programs, in accordance with the security requirements of each program, in order to perform the functions assigned to the Information Security Oversight Office under this order. An agency head may limit access to a special access program to the Director of the Information Security Oversight Office and no more than one other employee of the Information Security Oversight Office or, for special access programs that are extraordinarily sensitive and vulnerable, to the Director only.

(4) The agency head or principal deputy shall review annually each special access program to determine whether it continues to meet the requirements of this order.

(5) Upon request, an agency head shall brief the National Security Advisor, or a designee, on any or all of the agency’s special access programs.

(6) For the purposes of this section, the term ‘‘agency head’’ refers only to the Secretaries of State, Defense, Energy, and Homeland Security, the


inso

n on

DS

KH

WC

L6B

1PR

OD

with

MIS

CE

LLA

NE

OU

S


Attorney General, and the Director of National Intelligence, or the principal deputy of each. (c) Nothing in this order shall supersede any requirement made by or

under 10 U.S.C. 119. Sec. 4.4. Access by Historical Researchers and Certain Former Government Personnel.

(a) The requirement in section 4.1(a)(3) of this order that access to classified information may be granted only to individuals who have a need-to-know the information may be waived for persons who:

(1) are engaged in historical research projects;

(2) previously have occupied senior policy-making positions to which they were appointed or designated by the President or the Vice President; or

(3) served as President or Vice President. (b) Waivers under this section may be granted only if the agency head

or senior agency official of the originating agency: (1) determines in writing that access is consistent with the interest of the national security;

(2) takes appropriate steps to protect classified information from unauthor-ized disclosure or compromise, and ensures that the information is safe-guarded in a manner consistent with this order; and

(3) limits the access granted to former Presidential appointees or designees and Vice Presidential appointees or designees to items that the person originated, reviewed, signed, or received while serving as a Presidential or Vice Presidential appointee or designee.

PART 5—IMPLEMENTATION AND REVIEW

Sec. 5.1. Program Direction. (a) The Director of the Information Security Oversight Office, under the direction of the Archivist and in consultation with the National Security Advisor, shall issue such directives as are nec-essary to implement this order. These directives shall be binding on the agencies. Directives issued by the Director of the Information Security Over-sight Office shall establish standards for:

(1) classification, declassification, and marking principles; (2) safeguarding classified information, which shall pertain to the handling, storage, distribution, transmittal, and destruction of and accounting for classified information;

(3) agency security education and training programs;

(4) agency self-inspection programs; and

(5) classification and declassification guides. (b) The Archivist shall delegate the implementation and monitoring func-

tions of this program to the Director of the Information Security Oversight Office.

(c) The Director of National Intelligence, after consultation with the heads of affected agencies and the Director of the Information Security Oversight Office, may issue directives to implement this order with respect to the protection of intelligence sources, methods, and activities. Such directives shall be consistent with this order and directives issued under paragraph (a) of this section. Sec. 5.2. Information Security Oversight Office. (a) There is established within the National Archives an Information Security Oversight Office. The Archivist shall appoint the Director of the Information Security Oversight Office, sub-ject to the approval of the President.

(b) Under the direction of the Archivist, acting in consultation with the National Security Advisor, the Director of the Information Security Oversight Office shall:

(1) develop directives for the implementation of this order;


inso

n on

DS

KH

WC

L6B

1PR

OD

with

MIS

CE

LLA

NE

OU

S


(2) oversee agency actions to ensure compliance with this order and its implementing directives;

(3) review and approve agency implementing regulations prior to their issuance to ensure their consistency with this order and directives issued under section 5.1(a) of this order;

(4) have the authority to conduct on-site reviews of each agency’s program established under this order, and to require of each agency those reports and information and other cooperation that may be necessary to fulfill its responsibilities. If granting access to specific categories of classified information would pose an exceptional national security risk, the affected agency head or the senior agency official shall submit a written justification recommending the denial of access to the President through the National Security Advisor within 60 days of the request for access. Access shall be denied pending the response;

(5) review requests for original classification authority from agencies or officials not granted original classification authority and, if deemed appro-priate, recommend Presidential approval through the National Security Advisor;

(6) consider and take action on complaints and suggestions from persons within or outside the Government with respect to the administration of the program established under this order;

(7) have the authority to prescribe, after consultation with affected agencies, standardization of forms or procedures that will promote the implementa-tion of the program established under this order;

(8) report at least annually to the President on the implementation of this order; and

(9) convene and chair interagency meetings to discuss matters pertaining to the program established by this order.

Sec. 5.3. Interagency Security Classification Appeals Panel. (a) Establishment and administration. (1) There is established an Interagency Security Classification Appeals Panel. The Departments of State, Defense, and Justice, the National Ar-chives, the Office of the Director of National Intelligence, and the National Security Advisor shall each be represented by a senior-level representative who is a full-time or permanent part-time Federal officer or employee designated to serve as a member of the Panel by the respective agency head. The President shall designate a Chair from among the members of the Panel.

(2) Additionally, the Director of the Central Intelligence Agency may ap-point a temporary representative who meets the criteria in paragraph (a)(1) of this section to participate as a voting member in all Panel delibera-tions and associated support activities concerning classified information originated by the Central Intelligence Agency.

(3) A vacancy on the Panel shall be filled as quickly as possible as provided in paragraph (a)(1) of this section.

(4) The Director of the Information Security Oversight Office shall serve as the Executive Secretary of the Panel. The staff of the Information Security Oversight Office shall provide program and administrative support for the Panel.

(5) The members and staff of the Panel shall be required to meet eligibility for access standards in order to fulfill the Panel’s functions.

(6) The Panel shall meet at the call of the Chair. The Chair shall schedule meetings as may be necessary for the Panel to fulfill its functions in a timely manner.

(7) The Information Security Oversight Office shall include in its reports to the President a summary of the Panel’s activities.


inso

n on

DS

KH

WC

L6B

1PR

OD

with

MIS

CE

LLA

NE

OU

S


(b) Functions. The Panel shall: (1) decide on appeals by persons who have filed classification challenges under section 1.8 of this order;

(2) approve, deny, or amend agency exemptions from automatic declas-sification as provided in section 3.3 of this order;

(3) decide on appeals by persons or entities who have filed requests for mandatory declassification review under section 3.5 of this order; and

(4) appropriately inform senior agency officials and the public of final Panel decisions on appeals under sections 1.8 and 3.5 of this order. (c) Rules and procedures. The Panel shall issue bylaws, which shall be

published in the Federal Register. The bylaws shall establish the rules and procedures that the Panel will follow in accepting, considering, and issuing decisions on appeals. The rules and procedures of the Panel shall provide that the Panel will consider appeals only on actions in which:

(1) the appellant has exhausted his or her administrative remedies within the responsible agency;

(2) there is no current action pending on the issue within the Federal courts; and

(3) the information has not been the subject of review by the Federal courts or the Panel within the past 2 years. (d) Agency heads shall cooperate fully with the Panel so that it can

fulfill its functions in a timely and fully informed manner. The Panel shall report to the President through the National Security Advisor any instance in which it believes that an agency head is not cooperating fully with the Panel.

(e) The Panel is established for the sole purpose of advising and assisting the President in the discharge of his constitutional and discretionary authority to protect the national security of the United States. Panel decisions are committed to the discretion of the Panel, unless changed by the President.

(f) An agency head may appeal a decision of the Panel to the President through the National Security Advisor. The information shall remain classi-fied pending a decision on the appeal. Sec. 5.4. General Responsibilities. Heads of agencies that originate or handle classified information shall:

(a) demonstrate personal commitment and commit senior management to the successful implementation of the program established under this order;

(b) commit necessary resources to the effective implementation of the program established under this order;

(c) ensure that agency records systems are designed and maintained to optimize the appropriate sharing and safeguarding of classified information, and to facilitate its declassification under the terms of this order when it no longer meets the standards for continued classification; and

(d) designate a senior agency official to direct and administer the program, whose responsibilities shall include:

(1) overseeing the agency’s program established under this order, provided an agency head may designate a separate official to oversee special access programs authorized under this order. This official shall provide a full accounting of the agency’s special access programs at least annually;

(2) promulgating implementing regulations, which shall be published in the Federal Register to the extent that they affect members of the public;

(3) establishing and maintaining security education and training programs;

(4) establishing and maintaining an ongoing self-inspection program, which shall include the regular reviews of representative samples of the agency’s


inso

n on

DS

KH

WC

L6B

1PR

OD

with

MIS

CE

LLA

NE

OU

S


original and derivative classification actions, and shall authorize appro-priate agency officials to correct misclassification actions not covered by sections 1.7(c) and 1.7(d) of this order; and reporting annually to the Director of the Information Security Oversight Office on the agency’s self- inspection program;

(5) establishing procedures consistent with directives issued pursuant to this order to prevent unnecessary access to classified information, including procedures that:

(A) require that a need for access to classified information be established before initiating administrative clearance procedures; and

(B) ensure that the number of persons granted access to classified infor-mation meets the mission needs of the agency while also satisfying oper-ational and security requirements and needs;

(6) developing special contingency plans for the safeguarding of classified information used in or near hostile or potentially hostile areas;

(7) ensuring that the performance contract or other system used to rate civilian or military personnel performance includes the designation and management of classified information as a critical element or item to be evaluated in the rating of:

(A) original classification authorities;

(B) security managers or security specialists; and

(C) all other personnel whose duties significantly involve the creation or handling of classified information, including personnel who regularly apply derivative classification markings;

(8) accounting for the costs associated with the implementation of this order, which shall be reported to the Director of the Information Security Oversight Office for publication;

(9) assigning in a prompt manner agency personnel to respond to any request, appeal, challenge, complaint, or suggestion arising out of this order that pertains to classified information that originated in a component of the agency that no longer exists and for which there is no clear successor in function; and

(10) establishing a secure capability to receive information, allegations, or complaints regarding over-classification or incorrect classification within the agency and to provide guidance to personnel on proper classification as needed.

Sec. 5.5. Sanctions. (a) If the Director of the Information Security Oversight Office finds that a violation of this order or its implementing directives has occurred, the Director shall make a report to the head of the agency or to the senior agency official so that corrective steps, if appropriate, may be taken.

(b) Officers and employees of the United States Government, and its contractors, licensees, certificate holders, and grantees shall be subject to appropriate sanctions if they knowingly, willfully, or negligently:

(1) disclose to unauthorized persons information properly classified under this order or predecessor orders;

(2) classify or continue the classification of information in violation of this order or any implementing directive;

(3) create or continue a special access program contrary to the requirements of this order; or

(4) contravene any other provision of this order or its implementing direc-tives. (c) Sanctions may include reprimand, suspension without pay, removal,

termination of classification authority, loss or denial of access to classified information, or other sanctions in accordance with applicable law and agency regulation.


inso

n on

DS

KH

WC

L6B

1PR

OD

with

MIS

CE

LLA

NE

OU

S


(d) The agency head, senior agency official, or other supervisory official shall, at a minimum, promptly remove the classification authority of any individual who demonstrates reckless disregard or a pattern of error in applying the classification standards of this order.

(e) The agency head or senior agency official shall: (1) take appropriate and prompt corrective action when a violation or infraction under paragraph (b) of this section occurs; and

(2) notify the Director of the Information Security Oversight Office when a violation under paragraph (b)(1), (2), or (3) of this section occurs.

PART 6—GENERAL PROVISIONS

Sec. 6.1. Definitions. For purposes of this order: (a) ‘‘Access’’ means the ability or opportunity to gain knowledge of classi-

fied information.

(b) ‘‘Agency’’ means any ‘‘Executive agency,’’ as defined in 5 U.S.C. 105; any ‘‘Military department’’ as defined in 5 U.S.C. 102; and any other entity within the executive branch that comes into the possession of classified information.

(c) ‘‘Authorized holder’’ of classified information means anyone who satis-fies the conditions for access stated in section 4.1(a) of this order.

(d) ‘‘Automated information system’’ means an assembly of computer hard-ware, software, or firmware configured to collect, create, communicate, com-pute, disseminate, process, store, or control data or information.

(e) ‘‘Automatic declassification’’ means the declassification of information based solely upon:

(1) the occurrence of a specific date or event as determined by the original classification authority; or

(2) the expiration of a maximum time frame for duration of classification established under this order. (f) ‘‘Classification’’ means the act or process by which information is

determined to be classified information.

(g) ‘‘Classification guidance’’ means any instruction or source that pre-scribes the classification of specific information.

(h) ‘‘Classification guide’’ means a documentary form of classification guidance issued by an original classification authority that identifies the elements of information regarding a specific subject that must be classified and establishes the level and duration of classification for each such element.

(i) ‘‘Classified national security information’’ or ‘‘classified information’’ means information that has been determined pursuant to this order or any predecessor order to require protection against unauthorized disclosure and is marked to indicate its classified status when in documentary form.

(j) ‘‘Compilation’’ means an aggregation of preexisting unclassified items of information.

(k) ‘‘Confidential source’’ means any individual or organization that has provided, or that may reasonably be expected to provide, information to the United States on matters pertaining to the national security with the expectation that the information or relationship, or both, are to be held in confidence.

(l) ‘‘Damage to the national security’’ means harm to the national defense or foreign relations of the United States from the unauthorized disclosure of information, taking into consideration such aspects of the information as the sensitivity, value, utility, and provenance of that information.

(m) ‘‘Declassification’’ means the authorized change in the status of infor-mation from classified information to unclassified information.

(n) ‘‘Declassification guide’’ means written instructions issued by a declas-sification authority that describes the elements of information regarding


inso

n on

DS

KH

WC

L6B

1PR

OD

with

MIS

CE

LLA

NE

OU

S


a specific subject that may be declassified and the elements that must remain classified.

(o) ‘‘Derivative classification’’ means the incorporating, paraphrasing, re-stating, or generating in new form information that is already classified, and marking the newly developed material consistent with the classification markings that apply to the source information. Derivative classification in-cludes the classification of information based on classification guidance. The duplication or reproduction of existing classified information is not derivative classification.

(p) ‘‘Document’’ means any recorded information, regardless of the nature of the medium or the method or circumstances of recording.

(q) ‘‘Downgrading’’ means a determination by a declassification authority that information classified and safeguarded at a specified level shall be classified and safeguarded at a lower level.

(r) ‘‘File series’’ means file units or documents arranged according to a filing system or kept together because they relate to a particular subject or function, result from the same activity, document a specific kind of transaction, take a particular physical form, or have some other relationship arising out of their creation, receipt, or use, such as restrictions on access or use.

(s) ‘‘Foreign government information’’ means: (1) information provided to the United States Government by a foreign government or governments, an international organization of governments, or any element thereof, with the expectation that the information, the source of the information, or both, are to be held in confidence;

(2) information produced by the United States Government pursuant to or as a result of a joint arrangement with a foreign government or govern-ments, or an international organization of governments, or any element thereof, requiring that the information, the arrangement, or both, are to be held in confidence; or

(3) information received and treated as ‘‘foreign government information’’ under the terms of a predecessor order. (t) ‘‘Information’’ means any knowledge that can be communicated or

documentary material, regardless of its physical form or characteristics, that is owned by, is produced by or for, or is under the control of the United States Government.

(u) ‘‘Infraction’’ means any knowing, willful, or negligent action contrary to the requirements of this order or its implementing directives that does not constitute a ‘‘violation,’’ as defined below.

(v) ‘‘Integral file block’’ means a distinct component of a file series, as defined in this section, that should be maintained as a separate unit in order to ensure the integrity of the records. An integral file block may consist of a set of records covering either a specific topic or a range of time, such as a Presidential administration or a 5-year retirement schedule within a specific file series that is retired from active use as a group. For purposes of automatic declassification, integral file blocks shall contain only records dated within 10 years of the oldest record in the file block.

(w) ‘‘Integrity’’ means the state that exists when information is unchanged from its source and has not been accidentally or intentionally modified, altered, or destroyed.

(x) ‘‘Intelligence’’ includes foreign intelligence and counterintelligence as defined by Executive Order 12333 of December 4, 1981, as amended, or by a successor order.

(y) ‘‘Intelligence activities’’ means all activities that elements of the Intel-ligence Community are authorized to conduct pursuant to law or Executive Order 12333, as amended, or a successor order.


inso

n on

DS

KH

WC

L6B

1PR

OD

with

MIS

CE

LLA

NE

OU

S


(z) ‘‘Intelligence Community’’ means an element or agency of the U.S. Government identified in or designated pursuant to section 3(4) of the Na-tional Security Act of 1947, as amended, or section 3.5(h) of Executive Order 12333, as amended.

(aa) ‘‘Mandatory declassification review’’ means the review for declassifica-tion of classified information in response to a request for declassification that meets the requirements under section 3.5 of this order.

(bb) ‘‘Multiple sources’’ means two or more source documents, classifica-tion guides, or a combination of both.

(cc) ‘‘National security’’ means the national defense or foreign relations of the United States.

(dd) ‘‘Need-to-know’’ means a determination within the executive branch in accordance with directives issued pursuant to this order that a prospective recipient requires access to specific classified information in order to perform or assist in a lawful and authorized governmental function.

(ee) ‘‘Network’’ means a system of two or more computers that can ex-change data or information.

(ff) ‘‘Original classification’’ means an initial determination that informa-tion requires, in the interest of the national security, protection against unauthorized disclosure.

(gg) ‘‘Original classification authority’’ means an individual authorized in writing, either by the President, the Vice President, or by agency heads or other officials designated by the President, to classify information in the first instance.

(hh) ‘‘Records’’ means the records of an agency and Presidential papers or Presidential records, as those terms are defined in title 44, United States Code, including those created or maintained by a government contractor, licensee, certificate holder, or grantee that are subject to the sponsoring agency’s control under the terms of the contract, license, certificate, or grant.

(ii) ‘‘Records having permanent historical value’’ means Presidential papers or Presidential records and the records of an agency that the Archivist has determined should be maintained permanently in accordance with title 44, United States Code.

(jj) ‘‘Records management’’ means the planning, controlling, directing, orga-nizing, training, promoting, and other managerial activities involved with respect to records creation, records maintenance and use, and records disposi-tion in order to achieve adequate and proper documentation of the policies and transactions of the Federal Government and effective and economical management of agency operations.

(kk) ‘‘Safeguarding’’ means measures and controls that are prescribed to protect classified information.

(ll) ‘‘Self-inspection’’ means the internal review and evaluation of indi-vidual agency activities and the agency as a whole with respect to the implementation of the program established under this order and its imple-menting directives.

(mm) ‘‘Senior agency official’’ means the official designated by the agency head under section 5.4(d) of this order to direct and administer the agency’s program under which information is classified, safeguarded, and declassified.

(nn) ‘‘Source document’’ means an existing document that contains classi-fied information that is incorporated, paraphrased, restated, or generated in new form into a new document.

(oo) ‘‘Special access program’’ means a program established for a specific class of classified information that imposes safeguarding and access require-ments that exceed those normally required for information at the same classification level.


inso

n on

DS

KH

WC

L6B

1PR

OD

with

MIS

CE

LLA

NE

OU

S


(pp) ‘‘Systematic declassification review’’ means the review for declassifica-tion of classified information contained in records that have been determined by the Archivist to have permanent historical value in accordance with title 44, United States Code.

(qq) ‘‘Telecommunications’’ means the preparation, transmission, or com-munication of information by electronic means.

(rr) ‘‘Unauthorized disclosure’’ means a communication or physical transfer of classified information to an unauthorized recipient.

(ss) ‘‘U.S. entity’’ includes: (1) State, local, or tribal governments;

(2) State, local, and tribal law enforcement and firefighting entities;

(3) public health and medical entities;

(4) regional, state, local, and tribal emergency management entities, includ-ing State Adjutants General and other appropriate public safety entities; or

(5) private sector entities serving as part of the nation’s Critical Infrastruc-ture/Key Resources. (tt) ‘‘Violation’’ means: (1) any knowing, willful, or negligent action that could reasonably be expected to result in an unauthorized disclosure of classified information;

(2) any knowing, willful, or negligent action to classify or continue the classification of information contrary to the requirements of this order or its implementing directives; or

(3) any knowing, willful, or negligent action to create or continue a special access program contrary to the requirements of this order. (uu) ‘‘Weapons of mass destruction’’ means any weapon of mass destruction

as defined in 50 U.S.C. 1801(p). Sec. 6.2. General Provisions. (a) Nothing in this order shall supersede any requirement made by or under the Atomic Energy Act of 1954, as amended, or the National Security Act of 1947, as amended. ‘‘Restricted Data’’ and ‘‘Formerly Restricted Data’’ shall be handled, protected, classified, down-graded, and declassified in conformity with the provisions of the Atomic Energy Act of 1954, as amended, and regulations issued under that Act.

(b) The Director of National Intelligence may, with respect to the Intel-ligence Community and after consultation with the heads of affected depart-ments and agencies, issue such policy directives and guidelines as the Director of National Intelligence deems necessary to implement this order with respect to the classification and declassification of all intelligence and intelligence-related information, and for access to and dissemination of all intelligence and intelligence-related information, both in its final form and in the form when initially gathered. Procedures or other guidance issued by Intelligence Community element heads shall be in accordance with such policy directives or guidelines issued by the Director of National Intelligence. Any such policy directives or guidelines issued by the Director of National Intelligence shall be in accordance with directives issued by the Director of the Information Security Oversight Office under section 5.1(a) of this order.

(c) The Attorney General, upon request by the head of an agency or the Director of the Information Security Oversight Office, shall render an interpretation of this order with respect to any question arising in the course of its administration.

(d) Nothing in this order limits the protection afforded any information by other provisions of law, including the Constitution, Freedom of Informa-tion Act exemptions, the Privacy Act of 1974, and the National Security Act of 1947, as amended. This order is not intended to and does not create any right or benefit, substantive or procedural, enforceable at law


inso

n on

DS

KH

WC

L6B

1PR

OD

with

MIS

CE

LLA

NE

OU

S


by a party against the United States, its departments, agencies, or entities, its officers, employees, or agents, or any other person. The foregoing is in addition to the specific provisos set forth in sections 1.1(b), 3.1(c) and 5.3(e) of this order.

(e) Nothing in this order shall be construed to obligate action or otherwise affect functions by the Director of the Office of Management and Budget relating to budgetary, administrative, or legislative proposals.

(f) This order shall be implemented subject to the availability of appropria-tions.

(g) Executive Order 12958 of April 17, 1995, and amendments thereto, including Executive Order 13292 of March 25, 2003, are hereby revoked as of the effective date of this order. Sec. 6.3. Effective Date. This order is effective 180 days from the date of this order, except for sections 1.7, 3.3, and 3.7, which are effective immediately.

Sec. 6.4. Publication. The Archivist of the United States shall publish this Executive Order in the Federal Register.

THE WHITE HOUSE, December 29, 2010.

[FR Doc. E9–31418

Filed 1–4–10; 11:15 am]

Billing code 7515–01–P

VerDate Nov<24>2008 17:28 Jan 04, 2010 Jkt 220001 PO 00000 Frm 00027 Fmt 4705 Sfmt 4790 E:\FR\FM\05JAE0.SGM 05JAE0 OB

#1.E

PS

</G

PH

>

srob

inso

n on

DS

KH

WC

L6B

1PR

OD

with

MIS

CE

LLA

NE

OU

S

Presidential Documents

68675

Federal Register

Vol. 75, No. 216

Tuesday, November 9, 2010

Title 3—

The President

Executive Order 13556 of November 4, 2010

Controlled Unclassified Information

By the authority vested in me as President by the Constitution and the laws of the United States of America, it is hereby ordered as follows:

Section 1. Purpose. This order establishes an open and uniform program for managing information that requires safeguarding or dissemination controls pursuant to and consistent with law, regulations, and Government-wide policies, excluding information that is classified under Executive Order 13526 of December 29, 2009, or the Atomic Energy Act, as amended.

At present, executive departments and agencies (agencies) employ ad hoc, agency-specific policies, procedures, and markings to safeguard and control this information, such as information that involves privacy, security, propri-etary business interests, and law enforcement investigations. This inefficient, confusing patchwork has resulted in inconsistent marking and safeguarding of documents, led to unclear or unnecessarily restrictive dissemination poli-cies, and created impediments to authorized information sharing. The fact that these agency-specific policies are often hidden from public view has only aggravated these issues.

To address these problems, this order establishes a program for managing this information, hereinafter described as Controlled Unclassified Informa-tion, that emphasizes the openness and uniformity of Government-wide practice.

Sec. 2. Controlled Unclassified Information (CUI). (a) The CUI categories and subcategories shall serve as exclusive designa-

tions for identifying unclassified information throughout the executive branch that requires safeguarding or dissemination controls, pursuant to and con-sistent with applicable law, regulations, and Government-wide policies.

(b) The mere fact that information is designated as CUI shall not have a bearing on determinations pursuant to any law requiring the disclosure of information or permitting disclosure as a matter of discretion, including disclosures to the legislative or judicial branches.

(c) The National Archives and Records Administration shall serve as the Executive Agent to implement this order and oversee agency actions to ensure compliance with this order. Sec. 3. Review of Current Designations.

(a) Each agency head shall, within 180 days of the date of this order: (1) review all categories, subcategories, and markings used by the agency to designate unclassified information for safeguarding or dissemination controls; and

(2) submit to the Executive Agent a catalogue of proposed categories and subcategories of CUI, and proposed associated markings for information designated as CUI under section 2(a) of this order. This submission shall provide definitions for each proposed category and subcategory and iden-tify the basis in law, regulation, or Government-wide policy for safe-guarding or dissemination controls. (b) If there is significant doubt about whether information should be

designated as CUI, it shall not be so designated. Sec. 4. Development of CUI Categories and Policies.

VerDate Mar<15>2010 03:33 Nov 06, 2010 Jkt 223001 PO 00000 Frm 00001 Fmt 4705 Sfmt 4790 E:\FR\FM\09NOE0.SGM 09NOE0rfre

deric

k on

DS

KD

9S0Y

B1P

RO

D w

ith N

OT

ICE

S

68676 Federal Register / Vol. 75, No. 216 / Tuesday, November 9, 2010 / Presidential Documents

(a) On the basis of the submissions under section 3 of this order or future proposals, and in consultation with affected agencies, the Executive Agent shall, in a timely manner, approve categories and subcategories of CUI and associated markings to be applied uniformly throughout the execu-tive branch and to become effective upon publication in the registry estab-lished under subsection (d) of this section. No unclassified information meeting the requirements of section 2(a) of this order shall be disapproved for inclusion as CUI, but the Executive Agent may resolve conflicts among categories and subcategories of CUI to achieve uniformity and may determine the markings to be used.

(b) The Executive Agent, in consultation with affected agencies, shall develop and issue such directives as are necessary to implement this order. Such directives shall be made available to the public and shall provide policies and procedures concerning marking, safeguarding, dissemination, and decontrol of CUI that, to the extent practicable and permitted by law, regulation, and Government-wide policies, shall remain consistent across categories and subcategories of CUI and throughout the executive branch. In developing such directives, appropriate consideration should be given to the report of the interagency Task Force on Controlled Unclassified Infor-mation published in August 2009. The Executive Agent shall issue initial directives for the implementation of this order within 180 days of the date of this order.

(c) The Executive Agent shall convene and chair interagency meetings to discuss matters pertaining to the program established by this order.

(d) Within 1 year of the date of this order, the Executive Agent shall establish and maintain a public CUI registry reflecting authorized CUI cat-egories and subcategories, associated markings, and applicable safeguarding, dissemination, and decontrol procedures.

(e) If the Executive Agent and an agency cannot reach agreement on an issue related to the implementation of this order, that issue may be appealed to the President through the Director of the Office of Management and Budget.

(f) In performing its functions under this order, the Executive Agent, in accordance with applicable law, shall consult with representatives of the public and State, local, tribal, and private sector partners on matters related to approving categories and subcategories of CUI and developing implementing directives issued by the Executive Agent pursuant to this order. Sec. 5. Implementation.

(a) Within 180 days of the issuance of initial policies and procedures by the Executive Agent in accordance with section 4(b) of this order, each agency that originates or handles CUI shall provide the Executive Agent with a proposed plan for compliance with the requirements of this order, including the establishment of interim target dates.

(b) After a review of agency plans, and in consultation with affected agencies and the Office of Management and Budget, the Executive Agent shall establish deadlines for phased implementation by agencies.

(c) In each of the first 5 years following the date of this order and biennially thereafter, the Executive Agent shall publish a report on the status of agency implementation of this order. Sec. 6. General Provisions.

(a) This order shall be implemented in a manner consistent with: (1) applicable law, including protections of confidentiality and privacy rights;

(2) the statutory authority of the heads of agencies, including authorities related to the protection of information provided by the private sector to the Federal Government; and

VerDate Mar<15>2010 03:33 Nov 06, 2010 Jkt 223001 PO 00000 Frm 00002 Fmt 4705 Sfmt 4790 E:\FR\FM\09NOE0.SGM 09NOE0rfre

deric

k on

DS

KD

9S0Y

B1P

RO

D w

ith N

OT

ICE

S

68677 Federal Register / Vol. 75, No. 216 / Tuesday, November 9, 2010 / Presidential Documents

(3) applicable Government-wide standards and guidelines issued by the National Institute of Standards and Technology, and applicable policies established by the Office of Management and Budget. (b) The Director of National Intelligence (Director), with respect to the

Intelligence Community and after consultation with the heads of affected agencies, may issue such policy directives and guidelines as the Director deems necessary to implement this order with respect to intelligence and intelligence-related information. Procedures or other guidance issued by Intel-ligence Community element heads shall be in accordance with such policy directives or guidelines issued by the Director. Any such policy directives or guidelines issued by the Director shall be in accordance with this order and directives issued by the Executive Agent.

(c) This order shall not be construed to impair or otherwise affect the functions of the Director of the Office of Management and Budget relating to budgetary, administrative, and legislative proposals.

(d) This order is not intended to, and does not, create any right or benefit, 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.

(e) This order shall be implemented subject to the availability of appropria-tions.

(f) The Attorney General, upon request by the head of an agency or the Executive Agent, shall render an interpretation of this order with respect to any question arising in the course of its administration.

(g) The Presidential Memorandum of May 7, 2008, entitled ‘‘Designation and Sharing of Controlled Unclassified Information (CUI)’’ is hereby re-scinded.

THE WHITE HOUSE, November 4, 2010.

[FR Doc. 2010–28360

Filed 11–8–10; 8:45 am]

Billing code 3195–W1–P

VerDate Mar<15>2010 03:33 Nov 06, 2010 Jkt 223001 PO 00000 Frm 00003 Fmt 4705 Sfmt 4790 E:\FR\FM\09NOE0.SGM 09NOE0 OB

#1.E

PS

</G

PH

>

rfre

deric

k on

DS

KD

9S0Y

B1P

RO

D w

ith N

OT

ICE

S

High Intensity Drug Trafficking Area

Intelligence and Information Sharing Strategic Plan

(HIISSP)

Purpose

The purpose of the HIDTA Intelligence and Information Sharing Strategic Plan is to provide strategic guidance for HIDTA-funded Intelligence & Information-sharing initiatives to assist HIDTA initiatives, participating law enforcement agencies, and, upon request, other law enforcement agencies to identify, dismantle and disrupt drug trafficking, money laundering and other criminal organizations.

Vision

Within three years, all HIDTA Investigative Support Centers will support intelligence-driven investigations, routinely collecting, analyzing and sharing information and intelligence among HIDTAs, their participating agencies and other law enforcement entities.

HIISSP Goals and Objectives

1. Advance the development and sharing of information and intelligence among and between HIDTAs and other intelligence and information-sharing entities.

• Execute required information and intelligence sharing agreements among all HIDTAs • Share information about DTO and MLO elements operating in multiple states or HIDTA

regions with law enforcement in those regions • Provide case support to HIDTA law enforcement initiatives • Provide analytical services to HIDTA initiatives and participating agencies • Provide event and case deconfliction services to all HIDTA initiatives, participating

agencies, and other law enforcement agencies operating within the HIDTA regions • Develop and disseminate intelligence products such as special assessments, bulletins and

alerts. • Publish individual strategic annual drug threat assessments for each HIDTA region. • Publish information-sharing and intelligence “best practices” on the HIDTA Resource

Management System • Develop partnerships with federal, state, local and tribal law enforcement entities to share

information and intelligence pertaining to drug trafficking, money laundering and criminal activities.

2. Implement secure information technology (IT) architectures for use in HIDTAs to support the HIISSP and link HIDTA ISCs.

• Identify existing and emerging technologies to support information and intelligence sharing among HIDTAs

• Maintain a subcommittee of HIDTA information technology professionals tasked to provide recommendations to the HIDTA Intelligence Committee.

3. Maintain performance measures to gauge the efficiency and effectiveness of HIDTA intelligence and information-sharing initiatives.

• Periodically review PMP measurements relating to intelligence and information sharing to ensure continued relevancy and HIDTA-wide reporting consistency.

App

endi

x A

: Sup

plem

enta

l Mat

eria

ls

A-1

58

HID

TA

Man

agem

ent

ISC

Org

aniz

atio

nal

Ch

art

– S

amp

le

App

endi

x A

: Sup

plem

enta

l Mat

eria

ls

H

IDT

A M

anag

emen

t A

-159

Org

aniz

atio

nal

Ch

art

for

Reg

ion

al In

telli

gen

ce C

ente

r -

Sam

ple

App

endi

x A

: Sup

plem

enta

l Mat

eria

ls

A-1

60

HID

TA

Man

agem

ent

Web

PM

P D

ata

to D

escr

ibe

Init

iati

ves

Init

iati

ve T

ype

Info

rmat

ion

Req

uir

ed:

En

forc

eme

nt

Inte

llig

ence

S

up

po

rt

Man

agem

en

t &

C

oo

rdin

atio

n

Init

iati

ve d

escr

ipti

on (

new

or

cont

inue

d;

coll

ated

wit

h ot

her

initi

ativ

es, c

ollo

cate

d m

embe

rs, f

ull-

tim

e st

affi

ng, m

ulti

ple

unit

s, e

tc.)

Par

tici

pant

s (a

genc

ies,

pos

itio

ns, t

itle

s, c

ount

s of

ful

l-ti

me

and

part

-tim

e, c

ount

s of

HID

TA

-fu

nded

pos

itio

ns)

Bud

get (

curr

ent y

ear

budg

et r

eque

st, p

revi

ous

thre

e ye

ars’

bud

gets

, rem

aini

ng b

udge

t fun

ds)

Act

ivit

ies

or s

ervi

ces

plan

ned

for

init

iati

ve

Inve

stig

ativ

e fo

cus,

pr

osec

utio

n su

ppor

t se

rvic

es

Typ

es o

f pr

oduc

ts,

serv

ices

pro

vide

d

Use

of

inte

llig

ence

and

info

rmat

ion

shar

ing

init

iati

ve s

ervi

ces

(pro

vidi

ng in

form

atio

n an

d re

ceiv

ing

inte

llig

ence

ser

vice

s an

d pr

oduc

ts)

Exp

ecte

d ou

tput

s an

d ou

tcom

es *

*

D

TO

s/M

LO

s to

di

srup

t/di

sman

tle

C

ases

pro

vide

d in

vest

igat

ive

supp

ort

P

rose

cuti

on s

uppo

rt

acti

viti

es

F

ugit

ive

arre

sts

C

ases

pro

vide

d in

vest

igat

ive

supp

ort

N

umbe

r of

de

conf

lict

ions

(e

vent

and

cas

e)

T

rain

ing

prov

ided

(s

tude

nts,

hou

rs)

P

erso

ns r

ecei

ving

dr

ug tr

eatm

ent (

if

appl

icab

le)

** E

xpec

ted

valu

es a

re a

lso

reco

rded

at t

he H

IDT

A le

vel:

Exp

ecte

d ov

eral

l ret

urn

on in

vest

men

t (R

OI)

for

dru

g an

d as

set s

eizu

res

E

xpec

ted

num

ber

of a

genc

ies

usin

g th

e re

gion

al H

IDT

A’s

dec

onfl

icti

on s

ervi

ces.

App

endi

x A

: Sup

plem

enta

l Mat

eria

ls

H

IDT

A M

anag

emen

t A

-161

Su

mm

ary

of

Cas

e E

xplo

rer

Dat

a S

har

ed w

ith

Web

PM

P

The

tabl

e be

low

sum

mar

izes

whe

re C

ase

Exp

lore

r da

ta c

an b

e us

ed w

ithi

n W

ebP

MP

.

D

ata

stor

ed a

s …

. C

an b

e us

ed in

Web

PM

P …

.

C

G

E

PU

LL

ED

by

Web

PM

P

En

forc

eme

nt

tab

at …

In

telli

gen

ce ta

b at

…

B

y W

ebP

MP

use

rs’ a

ctio

n:

A

rres

ts

Oth

er O

utpu

ts

Oth

er O

utpu

ts*

F

irear

m s

eizu

res

Oth

er O

utpu

ts

Oth

er O

utpu

ts*

R

efre

sh o

n de

man

d: d

econ

flict

ions

, new

cas

es, a

naly

tical

/cas

e su

ppor

t, le

ads

refe

rred

Act

iviti

es

Ser

vice

s, I

ntel

ligen

ce

Ser

vice

s *

N

A

New

cas

es

Act

iviti

es

Ser

vice

s, I

ntel

ligen

ce

Ser

vice

s *

P

US

HE

D f

rom

Cas

e E

xplo

rer

– by

CE

use

rs’ a

ctio

n.

S

eizu

res

(dru

gs a

nd a

sset

s)

Sei

zure

s

NA

N

A

DT

O/M

LO d

etai

led

data

(if

suffi

cien

t mem

bers

/lead

ers)

D

TO

* T

his

occu

rs r

arel

y.



HIDTA Reporting Requirements (For CY 2017) The following 20 pages provide instructions for the program reporting documents being submitted to ONDCP by June 15, 2018. The documents submitted will request a budget for program year 2019, and report on the HIDTA’s performance for program year 2017.

Annual Reporting Requirements High Intensity Drug Trafficking Areas (HIDTA) Program

Issued October 2017 (For CY 2019 Budget Submissions)

1

TABLE OF CONTENTS

Overview ..................................................................................................................................... 2

Annual Report ............................................................................................................................. 4

Threat Assessment ..................................................................................................................... 9

Strategy .................................................................................................................................... 12

Initiative Description and Budget Proposal ................................................................................ 18

Appendices ............................................................................................................................... 19

I. Methamphetamine Certification Letter Template ........................................................ 19 II. Program Requirement Waiver Request Template ...................................................... 20 III. Example Performance Target Tables ...................................................................... 21

2

OVERVIEW

In order to fulfill statutory requirements, each HIDTA Executive Board is required to submit an annual budget package to the Office of National Drug Control Policy (ONDCP), and to prepare budgets to fund the initiatives that address drug trafficking threats in calendar year (CY) 2019. The annual budget package includes the following documents:

Annual Report – Reports the HIDTA initiatives’ accomplishments for calendar year (CY) 2017.

Threat Assessment – Describes the drug trafficking activities in the HIDTA region in CY 2018.

Strategy – Details the HIDTA Executive Board’s CY 2019 strategy to address the drug trafficking activities described in the Threat Assessment.

Initiative Description and Budget Proposals (IDBPs) – Details the required funds for each initiative proposed to implement the Strategy in CY 2019, and establishes performance targets.

Budget – Itemizes the funds requested for each CY 2019 initiative proposed in the strategy. (Budgets must be submitted via the HIDTA Financial Management System (FMS) and must contain detail in either the line items or comments sections to sufficiently explain the requested funding).

Annual Budget Submission Checklist – Itemizes the requirements found in HIDTA Program Policy and Budget Guidance (PPBG), and enables the HIDTA to affirm compliance as part of the budget submission.

Methamphetamine Certification – Per the HIDTA’s authorizing statute, the HIDTA

Director must affirm that all participating law enforcement agencies are providing seizure statistics to EPIC (see Appendix I for required formatting).

Policy Waivers – Describes the situation, identifies the relevant policy requirement(s), and requests a waiver (see Appendix II for required formatting).

Each of the required documents must be submitted to [email protected] and the HIDTA’s designated policy analyst by June 15, 2018. Upon confirmation by ONDCP that the documents have been reviewed and accepted as final, each HIDTA must email its annual threat assessment to the El Paso Intelligence Center (EPIC) at [email protected].

Several of the required documents include data from the Performance Management Process (PMP) database. Cut-off dates for changes to expected and actual values in the PMP database are as follows:

3

Performance data must be entered in the PMP database at least on a quarterly basis.

For CY 2017, reporting of accomplishments must be finalized in PMP no later than April 30, 2018. The PMP administrator will lock the database on May 1, 2018. Any corrections thereafter must be authorized by ONDCP.

Expected values for CY 2018 may not be changed in PMP after April 1, 2018 without prior authorization from ONDCP.

Each of the following sections of this document are provided to guide HIDTA Executive Boards in the preparation of each document, and to ensure compliance with ONDCP requirements. Questions related to the preparation of each document, and/or the requirements should be directed to the HIDTA’s ONDCP Policy Analyst.

4

ANNUAL REPORT (CY 2017)

HIDTA Annual Reports detail the accomplishments of the HIDTA from the previous year (January 1, 2017-December 31, 2017). Specifically, the annual report highlights a HIDTA’s

efforts to fully implement the Executive Board’s strategy, including performance results from the Performance Management Process (PMP).

Required Content:

Cover Page

The cover page includes, at a minimum, the HIDTA’s logo, the document title, and the date of publication.

Executive Summary

The Executive Summary presents a brief, concise summary of the accomplishments contained in the full body of the Annual Report.

Table of Contents

The table of contents contains, at a minimum, top-level section headings and corresponding page numbers.

Introduction

The introduction identifies the calendar year period covered by the report and the funding received for that year. It states the purpose of this report and, in doing so, explains the purpose of the HIDTA Program as embodied in the activities of the HIDTA initiatives. The section introduces the reader to the HIDTA Program Mission Statement1 and the individual HIDTA Program’s Vision and Mission statements. This section contains a map showing the boundaries

of the HIDTA region. Any geographic areas that will be discussed individually later in the report should also be identified.

HIDTA Threat Assessment and Strategy Summary

The Threat Assessment and Strategy Summary section very briefly summarizes the identified drug trafficking threats to the HIDTA region during the reporting period, and briefly and concisely describes the key points of the Executive Board’s Strategy implemented to address the threat.

HIDTA Accomplishments

This section presents the HIDTA’s accomplishments in addressing the drug trafficking threat during the reporting period. The narrative should incorporate charts, graphs, tables, or other

1 The mission of the HIDTA Program is to disrupt the market for illegal drugs in the United States by assisting Federal, state, local, and tribal law enforcement entities participating in the HIDTA Program to dismantle and disrupt drug trafficking organizations, with particular emphasis on drug trafficking regions that have harmful effects on other parts of the United States.

5

visual tools to accurately portray the success HIDTA initiatives had in dismantling and disrupting drug trafficking and money laundering organizations, and improving the efficiency and effectiveness of the HIDTA program. The HIDTA Executive Board should consider featuring specific accomplishments of enforcement, intelligence and information sharing, and support initiatives that made notable contributions during the reporting period. In addition to describing the information contained in the required Core Tables, the narrative in the Annual Report should include a description of the significant impacts of the HIDTA’s initiatives’ that are not adequately captured in the required Core Tables. For example, the far-reaching impact of the dismantlement of a major drug trafficking organization (DTO) is not demonstrated in the Core Tables. However, it may represent a significant impact that should be noted. HIDTAs may also include summaries of their activities and accomplishments in prevention (and treatment) initiatives, if applicable.

Goal 1 Performance Measures

This Annual Report section is dedicated to reporting whether the Goal 1 annual performance targets were accomplished.2 Following each Core Table that includes a performance target, the report narrative must specifically explain any significant variance (i.e., plus/minus 15 percent) from the target.3 The required core tables for Goal 1 include the following:

Core Table 1 — DTOs and money laundering organizations (MLOs) Disrupted and

Dismantled as Percent of “Expected” — Displays the number of drug trafficking and money laundering organizations that were expected to be disrupted or dismantled and the number that were actually disrupted or dismantled during the program year. There is a specific performance target in the Strategy related to this table, and the extent to which the HIDTA initiatives met this target is highlighted in the green cells of the table. The table does not separately calculate the percentage of disruptions or dismantlements that were reported because there is no separate performance target for dismantling a DTO or MLO vs. disrupting a DTO or MLO. Information in this Table is presented for the most recent 3 program years.

Core Table 2 — DTOs and MLOs Disrupted and Dismantled as Percent of all

DTOs/MLOs Open — Table 2 presents: (1) the number of organizations identified, (2) the total number of organizations that were under investigation, according to their operational scope, (3) the total number of organizations that were disrupted and dismantled, according to their operational scope, and (4) the total percent of organizations under investigation that were disrupted or dismantled, according to their

2 Goal 1: Disrupt the market for illegal drugs by dismantling or disrupting drug trafficking and/or money laundering organizations. 3 Accomplishments are reported in PMP for each measure by initiative separately throughout the calendar year. Numbers reported in the tables included in a HIDTA’s Annual Report represent the sum of these accomplishments for each specific measure for all initiatives combined.

6

operational scope. This table does not contain a performance target: it is a workload table.

Core Table 3 — CPOT, RPOT, OCDETF, and PTO Designated DTOs Disrupted and

Dismantled for Year — Table 3 presents the number of DTOs/MLOs related to priority targets (CPOTs, RPOTs, OCDETF, and DEA PTOs) under investigation that were: (1) designated in the report year, (2) under investigation that year regardless of when they were designated, and (3) disrupted or dismantled that year. The table also calculates and displays the percent of each type of priority target under investigation that was disrupted or dismantled that year. This table does not contain a performance target. It is a descriptive table that provides context to the types of organizations disrupted or dismantled by HIDTA initiatives.

Core Table 4 — Quantity and Wholesale Value of Drugs Removed from the

Marketplace for Year — Table 4 displays (1) the quantities of illegal drugs seized during the specified year, (2) the estimated wholesale value of those drugs, and (3) the percent each drug represents of the total wholesale value of all seizures. There is no specific performance target in the Strategy related to this table. The information is provided to account for drugs removed during CY 2016.

Core Table 5 — Return on Investment (ROI) for HIDTA Activities —Table 5 reports the expected and actual ROI for (1) drugs removed from the marketplace, (2) cash and assets seized, and (3) the total for those two activities. There are specific performance targets in the Strategy for each of these ROI figures, and the extent to which the HIDTA initiatives met these targets is highlighted in the green cells of the table. The table also displays the data used to calculate the various ROI figures. Information in this table is presented for the three most recent program years.

Core Table 6 — Clandestine Methamphetamine Laboratories Dismantled —Table 6 displays the number of dismantled clandestine methamphetamine laboratories and calculates the estimated value for those dismantled laboratories. The estimated value is based on a single production cycle for each laboratory using the average wholesale price of an ounce of methamphetamine in the HIDTA region. There is no specific performance target in the Strategy related to this table. The information is provided to indicate the extent to which the HIDTA initiatives identified and dismantled methamphetamine laboratories operating in their areas.

Goal 2 Performance Measures

This Annual Report section is dedicated to reporting whether the Goal 24 annual performance targets set were accomplished. Following each of the Core Tables that includes a performance target, the report narrative must specifically explain any significant variance (i.e., plus/minus 15 percent) from the target. The required core tables for Goal 2 include the following:

4 Goal 2: Improve the efficiency and effectiveness of HIDTA initiatives.

7

Core Table 7 — Training Funded and Supported for the Year — Table 7 reports (1) the

number of students the HIDTA initiatives expected to train, (2) the number of students they actually trained, (3) the number of training hours provided, and (4) the percent of the expected number of students that were actually trained. The table also displays the results of surveys sent 6 months following the training asking the students whether the course improved their job-related knowledge, skills, and abilities and whether the student had applied the course material since completing the training course. This table refers to ALL trainings conducted by HIDTA staff and other sources and is required for all HIDTA areas. There is a program-wide performance target of 85 percent positive responses established for these surveys, and the extent to which the targets were met is highlighted in the table.

Core Table 8 — Deconflictions Processed — Table 8 reports (1) the number of agencies participating in deconfliction, (2) the number of event deconflictions processed, (3) the number of Case/Subject/Target elements processed, (4) the number of DTOs/MLOs deconflicted, and (5) the percent of DTOs/MLOs deconflicted. There is no HIDTA-specific performance target in the Strategy related to this table; however, there is a program-wide performance expectation that 100% of all newly-identified DTOs/MLOs will be deconflicted in the year they are identified. .

Core Table 9 — Cases Provided Analytical Support — Table 9 is a core table that shows (1) the number of cases for which the HIDTA expects to provide analytical support, (2) the number of cases that actually received analytical support, and (3) the percentage of cases actually supported vs. the expected number. There is a specific performance target in the Strategy related to this table, and the extent to which the targets were met is highlighted in the green cells of the table.

Core Table 10 — Case Agent Satisfaction with Case Support Provided for Year — Table 10 shows (1) the results of surveys sent to case agents inquiring about the accuracy and usefulness of the intelligence analysis services and products they were provided. Unlike most other performance measures in PMP, HIDTA initiatives do not set unique performance targets for case agent satisfaction with case support. Instead, there is a program-wide performance target for this measure: ONDCP expects that 85 percent of the respondents to follow-up surveys will report the case support was very useful or useful, and the extent to which the targets were met is highlighted in the green cells of the table.

Core Table 11 — Law Enforcement Executives’ Assessment of Strategic Intelligence

Products Produced for Year — Table 11 shows the results of surveys sent to the HIDTA Executive Board and other law enforcement executives inquiring about usefulness and effectiveness of the strategic intelligence products developed by the HIDTA. Unlike most other performance measures in PMP, HIDTA initiatives do not set unique performance targets regarding satisfaction with its strategic intelligence products. Instead, there is a

8

program-wide performance target for this measure: ONDCP expects that 85 percent of the respondents to follow-up surveys will report the products very useful or useful, and the extent to which the targets were met is highlighted in the green cells of the table.

Other optional tables may be added to the Annual Report to illustrate threat-specific or need-specific measures. HIDTA Executive Boards are encouraged to include additional tables or other visuals that enhance their message. Optional threat-specific and need-specific tables may include efforts to disrupt and dismantle firearms trafficking organizations, marijuana eradication, fugitive apprehension, treatment or prevention outcomes, or other related activities.

Conclusion

Using the information contained in the previous sections, this section summarizes the accomplishments and success of the HIDTA, and provides a frank assessment of whether the HIDTA’s 2017 strategy produced the desired outcomes. This section of the Annual Report enables the HIDTA Executive Board to explain its outcomes by interpreting the data contained in the performance tables for a diverse audience of partners and stakeholders.

Appendices

Three appendices must be attached to the Annual Report when it is submitted to ONDCP:

HIDTA Profile — The HIDTA profile must include, at a minimum, the organizational chart of the HIDTA; a table listing the composition of the Executive Board showing local, state, tribal and Federal affiliation, the year the HIDTA was founded, the HIDTA’s fiduciaries,

the number of designated counties, the total number of initiatives, the total number of task forces, and the number of HIDTA funded prosecutors; and a list of all participating agencies.

List of Tables and Charts — This section lists Table and Chart titles and page numbers for the reader’s convenience.

Notes/Sources — This section cites the sources of essential information referenced in this report. If other documents were used to prepare the Annual Report, they can either be attached to the document sent to ONDCP or be listed along with the URL of the website where they can be found. All notes/sources should follow an approved style guide (e.g., APA, MLA, Chicago Manual).

HIDTAs may include additional appendices at their discretion.

9

THREAT ASSESSMENT (CY 2018)

Annual threat assessments fulfill statutory and programmatic requirements as part of each yearly budget submission to ONDCP. Per these requirements, annual threat assessments must inform HIDTA strategies to ensure resources address the most serious drug trafficking threats in the designated area.

Required Content:

Cover Page

The cover page includes, at a minimum, the HIDTA’s logo, document title, date of publication,

and appropriate NSI classification banner (overall classification marking).

Table of Contents


Scope

The scope describes the threat assessment’s purpose, introduces the specific topics addressed

within the document, and identifies the intended audience. Additionally, the scope states that the threat assessment fulfills annual grant requirements issued by ONDCP.

Executive Summary

The executive summary presents brief, concise descriptions of the primary drug trafficking threats in the designated area, and conveys the key findings of the threat assessment.

The HIDTA Region

The regional description provides a concise overview of the key features and distinguishing characteristics of the designated area pertaining to drug trafficking, including (but not limited to) population, demographics, geography, crime statistics and trends, and key transportation nodes or corridors. The section also includes a brief description of the HIDTA, its initiatives, and the number of participating law enforcement agencies (all levels). Finally, the section contains a map of the HIDTA region that clearly displays each HIDTA designated county, major highways, major cities, and tribal lands.

Drug Threats

This section introduces and describes significant drug trafficking trends and patterns in the designated area, and identifies the most serious drug threats as determined by the HIDTA. At a minimum, the section must contain information on the availability, use, price, and transportation for the following major drug types: cocaine, heroin, marijuana, and methamphetamine. It is recommended that HIDTAs order the drug types from the highest threat to lowest threat as determined by the HIDTA. HIDTAs may include other drugs using the same format, or include other threat-specific sections (e.g., marijuana production, clandestine methamphetamine labs).

10

Additionally, HIDTAs should include any applicable intelligence gaps related specifically to drug threats, along with source considerations (see Threat Assessment Formatting Handbook for additional guidance).

Drug Trafficking Organizations

This section introduces and describes the threats posed by DTOs in the designated area, and identifies the most significant DTO threats as determined by the HIDTA. The section also includes three subsections, one each for the international, multi-state/regional, and local DTOs operating in the designated area. Within each of these subsections, HIDTAs must discuss, at minimum, the general affiliations and membership characteristics, and the activities and methods of DTOs.5 HIDTAs should include any applicable intelligence gaps related specifically to DTO threats, and source considerations (see Threat Assessment Formatting Handbook for additional guidance). Each of the international, multi-state/regional, and local DTO sections must be accompanied by a summary table containing PMP data for each of the sub-categories (see Threat Assessment Formatting Handbook for additional guidance). HIDTAs may include other DTO-related information at their discretion.

Money Laundering Organizations6

This section identifies and describes the threat posed by MLOs and other illicit financial activity in the designated area. Following an overview of the MLO threat, the section addresses general affiliations and memberships of MLOs, their activities and methods, source considerations, and any applicable intelligence gaps (see Threat Assessment Formatting Handbook for additional guidance). A table must be included displaying, at minimum, the total number of international, multi-state/regional, and local MLOs identified by the HIDTA at the time of writing (see Threat

Assessment Formatting Handbook for additional guidance).

Outlook

The outlook provides senior leaders with a 12-month drug trafficking forecast to guide the development of the Executive Board’s strategy. The section should be based on the key

findings of the assessment, and where possible, present the likelihood and degree to which drug and drug trafficking threats described in the threat assessment may change over the next calendar year. If not addressed elsewhere, emerging threats should be identified and described in the outlook.

Appendices

The following appendices are required:

5 In general, affiliations may include cartel or gang associations commonly observed among DTOs operating in the designated area. Membership characteristics are the typical traits or attributes of DTO members in the region, such as ethnicities, nationalities, age classes, etc. Activities and methods employed by DTOs may include (but are not limited to) observed uses of new technologies or communication techniques, packaging or concealment methods, preferences for specific transportation corridors in the region, or use of violence or intimidation. 6 This section should only be included if the HIDTA has an MLO threat distinct and separate from the DTO threat discussed in the previous section.

11

Methodology—Details on the methods and processes applied in developing the threat assessment. Relevant details may include the timeline, key participants, brief descriptions of surveys, interviews, or workshops, the use of PMP data, and other information pertaining to source materials used in writing the assessment (e.g., specific reports, databases). Known limitations of the source materials should also be addressed, such as delayed reporting by government agencies, incomplete datasets, etc.

Notes/Sources—Includes source materials or endnotes in accordance with a recognized style manual (e.g., APA, MLA, Chicago).

HIDTAs may include additional appendices at their discretion.

NOTE: Refer to the Threat Assessment Formatting Handbook for information on fulfilling the requirements listed above.

12

STRATEGY (CY 2019)

The Strategy embodies the spirit of the HIDTA Program by demonstrating how Federal, state, local, and tribal agencies have shaped their drug control efforts to reduce drug trafficking, eliminate unnecessary duplicative efforts, maximize resources, and improve information and intelligence sharing under the regional HIDTA. The Strategy should clearly and concisely convey the drug trafficking threats (referring to the most recent annual threat assessment), the HIDTA Executive Board’s strategic priorities to address those threats in the coming year, the expected performance targets, and why the chosen course of action is the best approach for addressing drug trafficking threats in the designated area. Required Contents:

Cover Page

The cover page includes, at a minimum, the HIDTA’s logo, document title, and date of publication.

Executive Summary

The Executive Summary should be a succinct synopsis of the entire document. It should include a brief description of the threat, identify the HIDTA’s needs in order to address the threat, and

highlight the key steps the Executive Board plans to take to coordinate the HIDTA’s counter-drug resources most effectively.

Table of Contents


Introduction

The introduction should succinctly state the Executive Board’s strategic priorities based on the

most recent annual threat assessment, how the strategy will address these priorities, how the strategy fulfills the two shared goals of the HIDTA Program, and why the particular approach outlined in the rest of the document was deemed the best approach to address drug threats in the designated area. Additionally, the introduction includes the HIDTA’s own vision and mission,

and the Executive Board’s oversight of the HIDTA’s initiatives and activities, including the process used to develop the strategy and set performance targets.

Concept of the Strategy

This section explains the Strategy to address the HIDTA region’s drug threats and meet the

HIDTA’s goals. The Executive Board must identify and describe its priorities for the coming year. For each threat identified in the Threat Assessment, an explanation must be provided in the Strategy regarding the way each particular threat will be addressed or the reason why it will not be addressed. (For instance, the threat presented by cocaine in the inner-city will continue to be addressed by XYZ initiative; or prescription drugs are an issue in the HIDTA’s area of

13

responsibility (AOR) that is already being appropriately addressed by a DEA Diversion Unit; therefore, there is no need for a HIDTA initiative to specifically target prescription drugs). Finally, the section should include an overview of how the Executive Board plans to ensure coordination of the initiatives to avoid duplication and maximize the investment of limited resources.

Goal 1 Performance Targets

All HIDTAs must establish performance targets (i.e., the “expected” numbers) in their Strategies

for each of the required core performance measures. ONDCP has identified four performance measures for HIDTA Goal 17 for required reporting by all HIDTAs, and the Strategy must propose specific quantitative targets8 for each of these measures. Specific targets for each measure are negotiated between each HIDTA and ONDCP, and must be presented in a table format (see Appendix III).9 Mandatory Goal 1 performance targets include:

Number of DTOs and MLOs Expected to be Disrupted or Dismantled — Each HIDTA must state the specific number of DTOs and MLOs it expects to disrupt or dismantle in the upcoming program year. This target should be the total for both types of organizations. HIDTAs are not required to specify separate performance targets for DTOs and for MLOs nor to propose separate performance targets for dismantling vs. disrupting DTOs or MLOs, or specific targets by operational scope (i.e., international, multi-state, and local) or priority designation (i.e., CPOT, RPOT, OCDETF, or PTO) of the organizations expected to be disrupted or dismantled. The HIDTA’s results for this

performance measure will be reported in Core Table 1 when the Annual Report is prepared.

Return on Investment (ROI) Expected for Drugs Removed from the Marketplace (Drug

ROI) — The Drug ROI is calculated by dividing (1) the wholesale value of the drugs removed from the marketplace by (2) the HIDTA’s Investigative Budget (i.e., the HIDTA’s budget less funding for Treatment, Prevention, and Research and Development initiatives). HIDTA Strategies must state a specific dollar value they expect to realize for each dollar invested in the HIDTA Investigative Budget in the upcoming program year. The drug ROI may be stated in whole dollars (e.g., $4.00) or in dollars and cents (e.g., $4.10.) The HIDTA’s results for this performance measure will be reported in Core Table

5 when the Annual Report is prepared.

Return on Investment (ROI) Expected for Cash and Assets Seized (Cash/Asset ROI) — The cash/asset ROI is calculated by dividing (1) the value of cash and other assets

7 HIDTA Goal 1: Disrupt the market for illegal drugs by dismantling or disrupting drug trafficking and/or money laundering organizations. 8 Targets are set in PMP for each measure by initiative separately and become part of each IDBP. Targets included in the Strategy represent the sum of the targets set for each measure for all initiatives combined. 9 There are exceptions to the requirement for HIDTA-specific performance targets. ONDCP has established identical program wide performance targets for all HIDTAs for responses to the surveys concerning analytical support services and strategic intelligence products (85 percent positive responses), for case/subject/target deconflictions (100 percent of DTOs/MLOs under investigation), and for the 6-month follow-up surveys of students whose training was supported by the HIDTA.

14

seized from drug traffickers by (2) the HIDTA’s Investigative Budget. HIDTA Strategies

must state a specific dollar value they expect to realize for each dollar invested in the HIDTA Investigative Budget in the upcoming program year. The cash/asset ROI may be stated in whole dollars (e.g., $4.00) or in dollars and cents (e.g., $4.10.) The HIDTA’s

results for this performance measure will be reported in Core Table 5 when the Annual Report is prepared.

Total Return on Investment Expected (Total ROI) — The total ROI is calculated by adding the Drug ROI and the Cash/Asset ROI. HIDTA Strategies must state a specific dollar value they expect to realize for each dollar invested in the HIDTA Investigative Budget in the upcoming program year. The total ROI may be stated in whole dollars (e.g., $4.00) or in dollars and cents (e.g., $4.10.) The HIDTA’s results for this

performance measure will be reported in Core Table 5 when the Annual Report is prepared.

Other Threat-Specific Targets — If the Executive Board chooses to include any non-mandatory performance measures, those measures should be clearly stated in the Strategy and quantitative performance targets established for each. Threat-Specific targets may include, but are not limited to, the number of fugitives to be apprehended and prosecution-related measures such as the number of persons to be indicted, tried, and/or convicted. Prevention- and treatment-related performance measures may include, but are not limited to, reducing recidivism rates among offenders with substance use disorders, treating a specific number of offenders, or having a specific number of offenders successfully complete a substance use disorder treatment program. Any non-mandatory performance targets will be reported in threat-specific tables when the Annual Report is prepared.

In addition to presenting the performance targets, this section provides a list of the initiatives that have responsibility for achieving the performance targets for Goal 1. Next to the name of each initiative, the threats it is responsible for addressing should be specified. HIDTA Goal 1 includes enforcement initiatives and prevention and treatment activities of support initiatives. Initiatives addressing prevention and treatment should be included in this section.

Goal 2 Performance Targets

This section presents the performance targets for Goal 2.10 This section briefly describes the conditions that justify budgetary and/or resource allocations dealing with intelligence and information sharing, training, and other support provided to the initiatives that seek to improve their efficiency. It should briefly discuss regional needs in the context of what the HIDTA intends to address in the next program year. The discussion also may touch on conditions that are worthy of addressing, but for which funding is insufficient at the time to correct.

10 HIDTA Goal 2: Improve the efficiency and effectiveness of HIDTA initiatives

15

Seven performance measures have been designated for mandatory reporting by all HIDTAs, and HIDTAs must establish specific performance targets for each in their Strategies. The same considerations described above for setting Goal 1 performance targets should be used when setting performance targets for Goal 2, i.e., goals should be ambitious, but reasonable and should consider past performance, likely available resources, and changing drug trafficking conditions. HIDTAs are required to propose specific performance targets for only four of these measures. The measures, which do not require the HIDTAs to propose specific performance targets, are (a) Case Agent Satisfaction with Case Support Received, (b) Law Enforcement Executives’

Assessments of Strategic Intelligence Products, and (c) the extent to which HIDTA-funded training improved their job-related KSAs and information from the training was applied. These use surveys to ascertain the satisfaction with intelligence and information sharing products of the HIDTA, and have identical program-wide performance targets (85% positive responses) for all HIDTAs. (See the descriptions of tables 7, 10, and 11 for the Annual Report.) Core Performance Tables have been created to compare these targets with what the HIDTA actually accomplished during the year. As with Goal 1 measures, only the targets themselves are reported in the Strategy. Each HIDTA has the option to create additional threat-specific or need-specific performance targets, as deemed appropriate. The same table requirements for presentation of the assigned targets for Goal 1 applies to Goal 2 (see Appendix III). The mandatory Goal 2 performance targets include:

Training Funded and Supported — HIDTA Strategies must project the number of students expected to be trained for each of the four HIDTA training categories (Enforcement, Analytical, Management, and Demand Reduction). In addition, HIDTAs are required to send follow-up surveys to each student 6 months after the training has been completed. The surveys ask (1) whether the training improved the knowledge, skills, and abilities of the student and (2) whether the student has applied the course material on the job since the training was completed. All HIDTAs are expected to achieve at least an 85 percent positive response rate to these questions. This performance measure will be reported in Core Table 7 when the Annual Report is prepared.

Number of Cases Expected to be Provided Analytical Support — HIDTA Strategies must

project the number of cases expected to receive analytical support by the ISC or an analyst imbedded in an enforcement initiative. This performance measure will be reported in Core Table 9 when the Annual Report is prepared.

Other Threat-Specific Targets — If the Executive Board chooses to include any non-

mandatory performance measures, those measures should be clearly stated in the Strategy and quantitative performance targets established for each. Any non-mandatory performance targets will be reported in threat-specific tables when the Annual Report is prepared.

16

As with Goal 1, this section should provide a list of the initiatives that have responsibility for achieving the performance targets for Goal 2. The two types of initiatives that address Goal 2 are Intelligence and Information Sharing Initiatives and Support Initiatives.

Prevention Efforts

Describe the HIDTA’s prevention activities and the threat(s) they address. List the initiatives that will engage in prevention activities in CY 2017 and outline their expected accomplishments. Treatment initiatives must be included by the Washington/Baltimore HIDTA and the Northwest HIDTA).

Conclusion (or Summary)

The conclusion provides a brief summary of the strategy, emphasizing the goals of the HIDTA for CY 2019. If applicable, HIDTAs are advised to note any additional factors or considerations that could negatively impact the implementation of the strategy, also noting steps taken by the Executive Board to address potential concerns.

Appendices

The following appendices are required:

Notes/Sources — Includes source materials or endnotes in accordance with a recognized style manual (e.g., APA, MLA, Chicago).

List of HIDTA Initiatives — Per the PPBG, a HIDTA’s strategy must be accompanied by

brief descriptions of each initiative.

Annual Designation Review — Per the PPBG, a HIDTA’s strategy must affirm that the

executive board, as part of the annual threat assessment and strategy development process, has conducted a review of each HIDTA designated county and that designated counties continue to meet the statutory criteria for inclusion in the program.

HIDTAs may include additional appendices at their discretion. Additional Considerations:

Establishing Performance Goals

All HIDTAs must establish performance targets (i.e., the “expected” numbers) in their Strategies

for each of the required core performance measures. Executive Boards may establish additional threat-specific performance measures and targets to address particular problems identified by the Board. Each performance target must be explicitly stated as a specific number; e.g., “The

HIDTA expects to disrupt or dismantle 50 drug trafficking and money laundering organizations in 2017.” The proposed target should not be a derivative of another number (e.g., “The HIDTA will

disrupt or dismantle 50 percent of the drug trafficking and money laundering organizations identified in 2018.”)

17

The performance targets established should be ambitious but reasonable. When setting performance targets in the Strategy, Executive Boards should consider past performance, likely available resources (additional or reduced base funding from ONDCP, unexpended HIDTA funds from prior years, and contributions of staffing and other resources by participating agencies), and changing drug trafficking conditions. HIDTAs should not establish performance targets in their Strategies that anticipate the receipt of supplemental or “discretionary” funding

from ONDCP. If discretionary funds are received later in the year, an adjustment to the annual performance targets may be necessary.

The required performance targets for Goal 1 and Goal 2 must be presented in a table format (see Appendix III). In addition to presenting each target, HIDTAs must include a brief statement explaining the target.

Document Layout

Executive Boards may choose to combine the Threat Assessment and the Strategy into one document at their discretion. In such cases, all requirements still apply, but HIDTAs may choose to have one cover page, one table of contents, one set of appendices, etc.

18

INITIATIVE DESCRIPTION AND BUDGET PROPOSAL (CY 2019)

The Initiative Descriptions and Budget Proposals (IDBPs) are completed using the PMP database that enables the Executive Boards to generate the appropriate document for each type of initiative:

Enforcement initiatives (i.e., investigative, interdiction, prosecution, and fugitive capture efforts);

Intelligence and information sharing initiatives (i.e., tactical/operational/strategic intelligence analysis, deconfliction services, information dissemination, and other analytical support to HIDTA initiatives and participating agencies);

Support initiatives (i.e., initiatives beyond the direct enforcement, and intelligence initiatives, such as crime/forensic labs, technical support, training, treatment, prevention, and information technology); and

Management and coordination initiatives (i.e., that fund the basic overhead, e.g., salaries for the Director and other administrative staff).

The IDBPs are generated using information and data entered into the PMP database. The IDBPs should be updated to include an accurate description of the drug problems that the initiative will be facing for the current year. HIDTAs must notify their ONDCP assigned analyst once their IDBPs have been completed in PMP.

19

Appendix I: Methamphetamine Certification Letter Template

Date: _______________

To: Michael K. Gottlieb, National HIDTA Director

Programs Office

Office of National Drug Control Policy

Subject: Reporting of Methamphetamine Laboratory Seizures to EPIC

As required by Section 301(o)(3) of the Office of National Drug Control Policy

Reauthorization Act of 2006, PL 109-469, this is to certify that all law enforcement

entities participating in the _____________________ HIDTA are providing

methamphetamine laboratory seizure data to the national clandestine laboratory

database/National Seizure System at the El Paso Intelligence Center.

_________________________

HIDTA Director

_________________________

HIDTA

20

Appendix II: Program Requirement Waiver Request Template

Date:

HIDTA:

Program Year:

Initiative Name:

1. Policy requirement for which waiver is requested (Refer to the specific section of the

HIDTA Program Policy and Budget Guidance):

2. Justification: (1) explain why the policy requirement cannot be met; and (2) describe the

impact on the HIDTA if the waiver is not granted.

Signature of Executive Board Chair: _______________________________________

Date Executive Board Approval Obtained: __________________________________

ONDCP Action:

Approved ______________ Disapproved ____________

Reason for Disapproval: __________________________________________________

____________________________________ _______________

Michael K. Gottlieb, National HIDTA Director Date

Programs Office

ONDCP

21

Appendix III: Example Performance Target Tables In the annual strategy, HIDTAs must present specific performance targets for Goal 1 and Goal 2 of the HIDTA Program. HIDTAs first propose quantitative targets for each of these measures, and negotiate final targets with ONDCP prior to finalizing the strategy. By setting firm targets, HIDTAs are able to measure their overall performance and report achievements in the annual report. HIDTAs should use a table format to present performance targets for Goal 1 and Goal 2 (see example below). The table should identify the performance measure (e.g., Number of DTOs and MLOs Expected to be Disrupted or Dismantled), the CY 2019 quantitative target, and the three year average. In addition, HIDTAs should briefly explain each target, and if applicable, why the target varies more than 15 percent from the 3-year average. Example Table:

Goal 1 Performance Measures 2019 Target 3-Year Average Number of DTOs and MLOs Expected to be

Disrupted or Dismantled (Insert) (Insert)

(Briefly explain the 2019 target and how this target supports the Executive Board’s strategic

priorities)

Return on Investment (ROI) Expected for

Drugs Removed from the Marketplace (Drug

ROI)

(Insert) (Insert)


priorities)

Return on Investment (ROI) Expected for Cash and Assets Seized (Cash/Asset ROI) (Insert) (Insert)


priorities)

Total Return on Investment Expected (Total

ROI) (Insert) (Insert)


priorities)

HID

TA A

nnua

l Bud

get P

re-S

ubm

issi

on C

heck

list (

FY20

19)

De

scrip

tion

an

d In

stru

ctio

ns

Purp

ose

Thi

s ch

eckl

ist p

rovi

des

each

HID

TA

with

the

req

uire

men

ts p

erta

inin

g t

o an

nual

bud

get

sub

mis

sion

s fo

und

in t

he P

rog

ram

Pol

icy

and

Bud

get

G

uida

nce

(PP

BG

), a

nd e

nsur

es c

ompl

ianc

e in

sev

eral

key

are

as. B

y co

mpl

etin

g th

e ch

eckl

ist H

IDT

As

will

hav

e th

e op

port

unity

to

ass

ess

thei

r ow

n co

mpl

ianc

e w

ith t

he P

PB

G, a

nd e

xped

ite O

ND

CP

's a

ppro

val o

f the

ann

ual b

udg

et s

ubm

issi

on.

Proc

ess

The

che

cklis

t is

stru

ctur

ed to

pro

vide

HID

TA

s w

ith a

ref

eren

ce to

the

rel

evan

t se

ctio

ns o

f the

PP

BG

. The

pro

cess

of c

ompl

etin

g th

e ch

eckl

ist

enab

les

each

HID

TA

to d

eter

min

e co

mpl

ianc

e in

adv

ance

of t

he a

nnua

l bud

get

sub

mis

sion

, an

d re

duce

s th

e ov

eral

l wor

kloa

d on

HID

TA

pers

onne

l . T

his

chec

klis

t als

o re

plac

es t

he p

eer

revi

ew p

roce

ss, a

nd s

trea

mlin

es t

he a

nnua

l per

form

ance

aud

its b

y pr

ovid

ing

a b

asel

ine

for

dete

rmin

ing

com

plia

nce.

The

che

cklis

t is

divi

ded

into

eig

ht s

ub-s

ectio

ns (

see

tabs

bel

ow):

Bud

get

Sub

mis

sion

, Bud

get

Pre

para

tion,

Exe

cutiv

eB

oard

, H

IDT

A D

irect

or,

Initi

ativ

es, P

MP

, P

rope

rty

Man

agem

ent,

and

Tra

inin

g. E

ach

sect

ion

shou

ld b

e co

mpl

eted

by

the

HID

TA

Dire

ctor

or

thei

r de

sig

nee,

and

ap

prov

ed b

y th

e D

irect

or p

rior

to s

ubm

issi

on t

o O

ND

CP

. In

orde

r to

com

plet

e th

e ch

eckl

ist H

IDT

As

shou

ld f

ollo

w t

hese

ste

ps:

Ste

p 1

–R

evie

w t

he c

heck

list

Ste

p 2

–P

rovi

de a

"Y

es"

or "

No"

ans

wer

to

each

que

stio

nS

tep

3 --

If a

pplic

able

,in

dica

te t

he n

umbe

r of

wai

vers

req

uest

ed fo

r in

divi

dual

che

cklis

t ite

ms

Ste

p 3

–If

app

licab

le,

prov

ide

com

men

ts in

the

app

ropr

iate

col

um

n

S

tep

4 –

Ret

urn

the

com

plet

ed c

heck

list t

o O

ND

CP

alo

ng w

ith t

he a

nnua

l bud

get

sub

mis

sion

(du

e Ju

ne 1

5, 2

018)

Que

stio

ns

Ple

ase

dire

ct q

uest

ions

reg

ardi

ng th

e ch

eckl

ist o

r co

mpl

etin

g th

e an

nual

bud

get

sub

mis

sion

to

your

ON

DC

P P

olic

y A

naly

st.

Annual Budget Su

bmission Checklist (2019)

Shee

t: Instructions

Page 1 of 12

PPBG

Question

Answ

er

(Y/N

)

Number

of

Waive

rs

HIDTA

Comments

2.1.

6T

he E

xecu

tive

Boa

rd h

as r

evie

wed

the

desi

gnat

ed a

reas

to e

nsur

e th

at e

ach

area

con

tinue

s to

mee

t the

sta

tuto

ry

requ

irem

ents

for

desi

gnat

ion,

and

the

stra

tegy

affi

rms

the

revi

ew h

as b

een

cond

ucte

d

2.1.

6T

he E

xecu

tive

Boa

rd h

as s

ubm

itted

pet

ition

s to

ON

DC

P r

eque

stin

g th

e re

mov

al o

f des

igna

ted

area

s th

at n

o lo

nger

m

eet t

he r

equi

rem

ents

for

desi

gnat

ion

3.4.

3T

he s

trat

egy

cert

ifies

that

the

Exe

cutiv

e B

oard

com

plie

s w

ith th

e m

embe

rshi

p an

d vo

ting

requ

irem

ents

9.3

The

ann

ual r

epor

t ful

ly c

ompl

ies

with

the

HID

TA

Ann

ual R

epor

ting

Req

uire

men

ts

9.4

The

thre

at a

sses

smen

t ful

ly c

ompl

ies

with

the

HID

TA

Ann

ual R

epor

ting

Req

uire

men

ts

9.5

The

str

ateg

y fu

lly c

ompl

ies

with

the

HID

TA

Ann

ual R

epor

ting

Req

uire

men

ts

9.6

The

IDB

Ps

for

each

initi

ativ

e in

clud

e an

up-

to-d

ate

desc

riptio

n o

f the

initi

ativ

e, a

long

with

its

uniq

ue m

issi

on a

nd

goal

s

9.6

The

IDB

Ps

for

each

initi

ativ

e in

clud

e an

nual

fund

ing

need

s

9.6

The

IDB

Ps

for

each

initi

ativ

e in

clud

e sp

ecifi

c qu

antit

ativ

e pe

rfor

man

ce ta

rget

s

9.9

The

Dire

ctor

has

cer

tifie

d in

writ

ing

to O

ND

CP

that

all

law

enf

orce

men

t ent

ities

par

ticip

atin

g in

the

HID

TA

are

pr

ovid

ing

met

ham

phet

amin

e la

bora

tory

sei

zure

dat

a to

the

natio

nal

cla

ndes

tine

labo

rato

ry d

atab

ase/

Nat

iona

l S

eizu

re S

yste

m a

t EP

IC

10.8

The

ann

ual r

epor

t inc

lude

s ex

plan

atio

ns fo

r va

rianc

e fr

om p

erfo

rman

ce ta

rget

s

Budge

t Su

bmission

Annual Budget Su


Shee

t 1. B

udget Su

bmission

Page 2 of 12

PPBG

Question

Answ

er

(Y/N

)

Number

of

Waive

rs

HIDTA

Comments

6.3

Are

HID

TA

fund

s on

ly u

sed

to s

uppl

emen

t exi

stin

g ac

tiviti

es?

6.3

Do

HID

TA

fund

s re

plac

e (s

uppl

ant)

fund

s th

at h

ave

been

app

ropr

iate

d fo

r th

e sa

me

purp

ose?

6.11

Wer

e H

IDT

A fu

nds

used

for

clot

hing

or

clot

hing

allo

wan

ces?

6.11

Wer

e H

IDT

A fu

nds

used

for

food

and

bev

erag

e ite

ms?

6.11

Wer

e H

IDT

A fu

nds

used

for

pers

onal

hyg

iene

or

med

icat

ion

item

s?

6.11

Wer

e H

IDT

A fu

nds

used

for

prom

otio

nal o

r re

pres

enta

tion

item

s?

6.11

Wer

e H

IDT

A fu

nds

used

to p

urch

ase

gifts

?

6.11

Wer

e H

IDT

A fu

nds

used

to p

urch

ase

real

pro

pert

y?

6.11

Wer

e H

IDT

A fu

nds

used

to p

urch

ase

wea

pons

or

hols

ters

?

6.11

Wer

e H

IDT

A fu

nds

used

to p

urch

ase

amm

uniti

on?

6.11

Wer

e H

IDT

A fu

nds

used

to p

urch

ase

stan

dard

issu

e de

part

men

t-ty

pe e

quip

men

t and

uni

form

s in

clud

ing

raid

/tact

ical

gea

r?

6.11

Wer

e H

IDT

A fu

nds

used

to p

urch

ase

prof

essi

onal

ass

ocia

tion

or b

ar d

ues?

6.10

.3W

ere

all t

rave

l exp

ense

s in

curr

ed b

y a

Fed

eral

par

ticip

ant a

nd f

unde

d by

a H

IDT

A a

war

d co

mpl

iant

with

the

trav

el

requ

irem

ents

of t

he F

eder

al a

genc

y re

ceiv

ing

the

HID

TA

aw

ard?

6.10

.4W

ere

HID

TA

fund

s us

ed fo

r fo

reig

n tr

avel

cos

ts b

y no

n-F

eder

al p

artic

ipan

ts?

6.10

.5W

ere

HID

TA

fund

s us

ed to

pay

trav

el c

osts

for

OC

DE

TF

cas

es?

6.17

.8H

ave

all g

rant

ees

disc

lose

d in

writ

ing

any

pote

ntia

l con

flict

s of

inte

rest

to O

ND

CP

or

the

pass

-thr

ough

ent

ity?

6.17

.9H

ave

all g

rant

ees

or a

pplic

ants

dis

clos

ed, i

n a

timel

y m

anne

r, in

writ

ing

to O

ND

CP

all

viol

atio

ns o

f Fed

eral

crim

inal

la

w in

volv

ing

frau

d, b

riber

y or

gra

tuity

vio

latio

ns p

oten

tially

affe

ctin

g th

e F

eder

al a

war

d?

6.9.

1A

re in

divi

dual

s in

HID

TA

-fun

ded

posi

tions

com

pens

ated

with

bot

h H

IDT

A fu

nds

and

othe

r fu

nds

to p

erfo

rm

iden

tical

dut

ies?

6.9.

1.1.

1D

o th

e H

IDT

A D

irect

or a

nd D

eput

y D

irect

or w

ork

full-

time

for

the

HID

TA

pro

gram

exc

lusi

vely

with

no

othe

r fu

ll-tim

e em

ploy

men

t?

Budge

t Preparation

Annual Budget Su


Shee

t 2. B

udget Preparation

Page 3 of 12

PPBG

Question

Answ

er

(Y/N

)

Number

of

Waive

rs

HIDTA

Comments

Budge

t Preparation

6.9.

1.1.

1D

oes

com

pens

atio

n fo

r H

IDT

A D

irect

or e

xcee

d re

imbu

rsem

ent i

n am

ount

s ex

ceed

ing

GS

15,

Ste

p 5

(incl

udin

g lo

calit

y ad

just

men

t)?

6.9.

1.1.

1D

oes

com

pens

atio

n fo

r th

e H

IDT

A D

eput

y D

irect

or(s

) ex

ceed

rei

mbu

rsem

ent i

n am

ount

s ex

ceed

ing

GS

14,

Ste

p 5

(incl

udin

g lo

calit

y ad

just

men

t)?

6.9.

1.1.

1D

o fr

inge

pac

kage

s, o

r co

mpe

nsat

ion

in li

eu o

f frin

ge p

acka

ges

for

the

Dire

ctor

and

Dep

uty

Dire

ctor

(s)

exce

ed 3

0 pe

rcen

t of t

he s

alar

y fo

r th

at p

ositi

on?

6.9.

1.1.

2D

o al

l oth

er H

IDT

A fu

nded

pos

ition

s di

rect

ly a

nd e

xclu

sive

ly s

uppo

rt th

e H

IDT

A’s

ope

ratio

n?

6.9.

1.2

Has

eac

h ag

ency

that

use

s H

IDT

A fu

nds

to s

uppo

rt p

ositi

ons

with

in th

at a

genc

y su

bmitt

ed a

n an

nual

cer

tific

atio

n to

the

HID

TA

Dire

ctor

on

agen

cy le

tterh

ead?

6.9.

1.2

Is th

e an

nual

cer

tific

atio

n m

aint

aine

d at

the

HID

TA

Dire

ctor

's o

ffice

?

6.9.

1.5

Are

HID

TA

fund

s ar

e us

ed to

sup

port

all

or p

art o

f the

sal

ary

of a

sta

te o

r lo

cal l

aw e

nfor

cem

ent o

ffice

r, a

pr

osec

utor

, or

pros

ecut

oria

l sup

port

sta

ff?

6.9.

1.6

Wer

e an

y re

loca

tion

cost

s re

imbu

rsed

for

empl

oyee

s?

6.9.

2.1

Wer

e ov

ertim

e re

imbu

rsem

ents

pai

d on

ly fo

r ov

ertim

e pe

rfor

med

in s

uppo

rt o

f HID

TA

-des

igna

ted

Enf

orce

men

t or

Inte

llige

nce

and

Info

rmat

ion

Sha

ring

initi

ativ

es?

6.9.

2.2

Wer

e H

IDT

A fu

nds

used

to p

ay o

vert

ime

rela

ted

to tr

aini

ng a

ttend

ance

, fin

anci

al m

anag

emen

t, dr

ug tr

eatm

ent,

drug

dem

and

redu

ctio

n or

pre

vent

ion,

or

non-

inve

stig

ativ

e-re

late

d ad

min

istr

ativ

e w

ork?

6.9.

2.3

Wer

e H

IDT

A fu

nds

used

to s

uppo

rt O

CD

ET

F in

vest

igat

ions

?

6.9.

2.5

Hav

e th

e pa

rtic

ipat

ing

agen

cies

or

initi

ativ

e su

perv

isor

s of

the

pers

onne

l rec

eivi

ng

HID

TA

-fun

ded

over

time

ensu

red

over

time

is tr

acke

d, th

e m

axim

um a

llow

able

am

ount

s ar

e no

t exc

eede

d, th

e ov

ertim

e is

for

HID

TA

initi

ativ

e-re

late

d ac

tiviti

es, a

nd th

e in

divi

dual

doe

s no

t rec

eive

ove

rtim

e co

mpe

nsa

tion

from

ano

ther

fund

ing

sour

ce fo

r th

e sa

me

hour

s w

orke

d?

6.9.

3.2

Wer

e ve

hicl

es le

ased

or

purc

hase

d w

ith H

IDT

A fu

nds

used

for

purp

oses

oth

er th

an o

ffici

al H

IDT

A-r

elat

ed b

usin

ess

in a

ccor

danc

e w

ith p

aren

t age

ncy

regu

latio

ns?

6.9.

3.3

Wer

e H

IDT

A fu

nds

used

to p

urch

ase

or le

ase

vehi

cles

, airc

raft,

or

wat

ercr

aft f

or a

ssig

nmen

t to

Fed

eral

age

ncy

pers

onne

l, an

d sh

all n

ot b

e us

ed fo

r fu

el, r

epai

r, a

nd m

aint

ena

nce

for

vehi

cles

pur

chas

ed, l

ease

d, o

r ot

herw

ise

acqu

ired

by F

eder

al a

genc

ies?

6.9.

5W

ere

HID

TA

fund

s us

ed fo

r sa

larie

s of

atto

rney

s, p

aral

egal

s, o

r ot

her

staf

f inv

olve

d in

pro

secu

ting

crim

inal

of

fend

ers

or p

rovi

ding

oth

er le

gal a

ssis

tanc

e?

9.7

Hav

e bu

dget

s be

en p

repa

red

for

each

initi

ativ

e by

aw

ard

reci

pien

t?

Annual Budget Su


Shee

t 2. B

udget Preparation

Page 4 of 12

PPBG

Question

Answ

er

(Y/N

)

Number

of

Waive

rs

HIDTA

Comments

3.4.1

The Executive Board apportions an

equal number of vo

tes betwee

n rep

resentatives of participating Federal agencies and

representatives of participating state, lo

cal, an

d tribal agencies, o

r uses a system

of proxy or weigh

ted votes to achieve the

required

voting balan

ce

3.4.1

If applicab

le, p

roxy/w

eigh

ted vote procedures are included

in the HIDTA

's written

standard operating procedures (SOPs)

3.4.11

The Executive Board reviewed

and approved the threat assessm

ent, strategy, annual rep

ort, and ID

BPs prior to submission

to ONDCP

3.4.12


the HIDTA

's in

itiatives for compliance with HIDTA

Program

req

uirem

ents

3.4.12


the HIDTA

's in

itiatives for effective im

plemen

tation of the strategy

3.4.12


the initiatives' achievemen

t of negotiated

perform

ance targets

3.4.12

The Executive Board has reviewed

whether each in

itiative is sufficiently productive to warrant continued

HIDTA

Program

funding

3.4.12

The Executive Board terminated

or revised in

itiatives that are no lo

nger productive, no lo

nger ad

dress an id

entified

threat,

or do not comply with HIDTA

Program

req

uirem

ents

3.4.12

The findings of the an

nual in

itiative reviews documen

ts and records retained

for a period of 3 yea

rs

3.4.3

All vo

ting mem

bers on the Executive Board (except for one mem

ber from a U.S. A

ttorney's Office an

d one mem

ber from a

state/local p

rosecutorial office) have a full‐time staff mem

ber assigned

to a HIDTA

initiative

3.4.3

Each agency’s rep

resentative to the Executive Board is the local h

ead of the participating agen

cy or a perman

ently‐

designated

, high‐ran

king official o

f the agen

cy who has the au

thority to commit the agen

cy’s resources to HIDTA

initiatives

and to m

ake decisions on beh

alf of his/her agency

3.4.3

The HIDTA

Director a non‐voting mem

ber of the Executive Board

3.4.4

A rep

resentative of a Federal agency holds a Chairm

an/Vice Chairm

an position on the Executive Board

3.4.4

A rep

resentative of a state, lo

cal, or tribal agency holds a Chairm

an/Vice Chairm

an position on the Executive Board

3.4.4.1

The agen

cy rep

resented by the Chairm

an/Vice Chairm

an has not held these positions for more than

2 yea

rs (consecutively)

Executive

Board

Annual Budget Su


Shee

t 3. Executive Board

Page 5 of 12

PPBG

Question

Answ

er

(Y/N

)

Number

of

Waive

rs

HIDTA

Comments

Executive

Board

3.4.6

The Executive Board has estab

lished

written

SOPs (or other administrative, finan

cial, o

r operational guidelines) to ensure

compliance with Fed

eral grant regu

lations, HIDTA

program

req

uirem

ents, and to provide gu

idan

ce regarding the operation

of HIDTA

activities

3.4.6

The Executive Board's SOPs consisten

t with the established

policies of participating agen

cies

3.4.9

The Executive Board m

eets at least quarterly

3.4.9

The Executive Board's m

eeting minutes from the previous calendar yea

r bee

n submitted to ONDCP

3.4.9

The HIDTA

Director has retained

the Executive Board m

eeting minutes from the past 3 yea

rs

Annual Budget Su


Shee

t 3. Executive Board

Page 6 of 12

PPBG

Question

Answ

er

(Y/N

)

Number

of

Waive

rs

HIDTA

Comments

3.5.8

The Director convenes in

itiative supervisors at least semi‐an

nually to facilitate coordination and communication betwee

n

participating agen

cies and in

itiatives

3.6

The HIDTA

has a m

anagem

ent an

d coordination in

itiative staffed

by, at minim

um, the HIDTA

Director an

d a finan

cial officer

3.6

The total salaries an

d fringe ben

efits for man

agem

ent an

d coordination in

itiative positions do not exceed

20 percent of the

HIDTA

program

funds aw

arded

to the HIDTA

HIDTA

Director

Annual Budget Su


Shee

t 4. H

IDTA

Director

Page 7 of 12

PPBG

Question

Answ

er

(Y/N

)

Number

of

Waive

rs

HIDTA

Comments

4.1

All of the HIDTA

's enforcem

ent initiatives are multi‐agen

cy efforts comprised of Federal, state, local, an

d tribal law

enforcem

ent personnel who are assigned

full‐time, collo

cated, and commingled

4.1

Waivers have bee

n submitted to ONDCP for initiatives that do not mee

t the full‐time, collo

cation, and commingling

requirem

ent(s)

5.2

The Executive Board sponsors at least one Intelligence and In

form

ation Sharing Initiative (Investigative Su

pport Cen

ter)

consisting of commingled

participan

ts from Fed

eral and state/local/tribal agencies

5.2

The ISC M

anager has bee

n approved by the Executive Board

5.2

The ISC and ancillary in

telligence and in

form

ation sharing initiatives comply with applicab

le Fed

eral, state, local, an

d tribal

regu

lations, in

cluding 28 CFR

Part 23, “Criminal In

telligence Systems Operating Policies"

5.2

The ISC has updated

its Watch Cen

ter 311 point of contact in

form

ation and provided

the updated

inform

ation to the NHAC

for posting on HRMS

5.4

The ISC is sponsored and supervised by at least one participating law enforcem

ent agen

cy

5.4

The ISC M

anager is a curren

t or past sw

orn Fed

eral, state, local, or tribal law enforcem

ent officer or curren

t or past law

enforcem

ent intelligence analyst

5.5

All HIDTA

initiatives use the HIDTA

’s ISC and/or an

cillary in

telligence and in

form

ation sharing initiative for even

t an

d

case/subject/target deconfliction of all enforcem

ent/operational activities

5.5

The HIDTA

Director an

d ISC M

anager have en

sured that deconfliction activities are tracked consisten

t with PMP guidelines

and definitions

5.8

The Executive Board has m

ade available appropriate training for personnel assigned

to the ISC and ancillary in

telligence and

inform

ation sharing initiatives, and for participating agen

cies

5.3.3

The Executive Board has provided

a copy of all d

rug threat assessmen

ts produced for the region to ONDCP and the El Paso

Intelligence Cen

ter (EPIC)

5.3.6

The HIDTA

has adopted at least one of the three nationally recogn

ized

deconfliction systems (Case Explorer, SAFETn

et, o

r

RISSafe/Intel)

5.3.6

The HIDTA

provides around‐the‐clock (24/7) even

t deconfliction services with an im

med

iate response cap

ability to all law

enforcem

ent in the HIDTA

region

5.3.9

All initiatives an

d participating agen

cies receive relevan

t inform

ation and in

telligence products in a tim

ely fashion

5.3.9


lished

guidelines for disseminating inform

ation directly to other HIDTA

s an

d law enforcem

ent

agen

cies that m

ay ben

efit from the inform

ation

Initiative

s

Annual Budget Su


Shee

t 5. Initiatives

Page 8 of 12

PPBG

Question

Answ

er

(Y/N

)

Number

of

Waive

rs

HIDTA

Comments

Initiative

s

5.6.2

All crim

inal in

telligence m

aterials produced by the HIDTA

's ISC or an

cillary in

telligence and in

form

ation sharing initiative(s)

with a nexus to ongo

ing cases conducted

by the HIDTA

's in

itiatives have bee

n disseminated

to the agen

cy or agen

cies

having the investigative/operational in

terest

5.7.1

All personnel with a req

uirem

ent to access national security in

form

ation or secure areas of the ISC have sufficient security

clea

rance to allo

w such access

5.7.2

All intelligence and in

form

ation sharing facilities mee

t the security req

uirem

ents of the sponsoring agen

cy, in accord with

the level o

f inform

ation collected

or stored at the facility

5.7.3

The HIDTA

's safeguarding an

d han

dlin

g of classified

inform

ation complies with Executive Order 12968

5.7.3

Inform

ation systems security policies have bee

n estab

lished

that m

eet or exceed

the minim

um security req

uirem

ents of

the participating agen

cies

Annual Budget Su


Shee

t 5. Initiatives

Page 9 of 12

PPBG

Question

Answ

er

(Y/N

)

Number

of

Waive

rs

HIDTA

Comments

3.5.6

PMP data are en

tered on a quarterly basis, at minim

um

3.5.6

PMP training/refresher training is provided

annually

10.7

At least one curren

t HIDTA

staff m

ember has successfully completed the HIDTA

PMP certification course

10.5

The Executive Board has ensured that each HIDTA

initiative has estab

lished

perform

ance targets

PMP

Annual Budget Su


Shee

t 6. P

MP

Page 10 of 12

PPBG

Question

Answ

er

(Y/N

)

Number

of

Waive

rs

HIDTA

Comments

8.2

Each HIDTA

grantee or resource recipient that acquires or holds HIDTA

‐purchased

equipmen

t has a property m

anagem

ent

system

(s) to ensure adeq

uate safegu

ards to prevent loss, d

amage, or theft of the property

8.2

Each HIDTA

grantee that acquires or holds HIDTA

‐purchased

equipmen

t maintains a tracking system

(s) to account for all

HIDTA

‐purchased

equipmen

t, veh

icles, and other item

s valued

at $5,000 or more at the time of purchase

8.6

All eq

uipmen

t purchased

with HIDTA

funds have clea

r markings and a unique iden

tifier that links the eq

uipmen

t to the

HIDTA

’s in

ventory tracking system

(s)

8.7

All gran

tees that use HIDTA

funds to purchase eq

uipmen

t maintain a curren

t inventory of HIDTA

‐purchased

equipmen

t an

d

provide that in

ventory to the HIDTA

Director on req

uest

8.8

Grantees notify the HIDTA

Director prior to disposing of HIDTA

‐purchased

equipmen

t

8.11

Grantees have developed

adeq

uate maintenan

ce procedures to kee

p equipmen

t in good condition

Property Man

agement

Annual Budget Su


Shee

t 7. P

roperty M

anagem

ent

Page 11 of 12

PPBG

Question

Answ

er

(Y/N

)

Number

of

Waive

rs

HIDTA

Comments

7.1

HIDTA

‐sponsored and facilitated training has bee

n rep

orted

in PMP

7.2.1


lished

a training initiative as part of the an

nual strategy

7.2.1

The Executive Board has designated

a Training Coordinator

7.3

HIDTA

funded

training is directly related to drug en

forcem

ent or other HIDTA

initiative‐related

duties of the individuals

receiving training

Training

Annual Budget Su


Shee

t 8. Training

Page 12 of 12

Appendix B: Additional Resources

HIDTA Management B-1



B-2 HIDTA Management



Intelligence Resources Many of the following resources are from GIST, the Global Information Sharing Toolkit.

Management and Leadership

National Criminal Intelligence Sharing Plan v. 2.0 Downloadable document dated Oct, 2013. https://it.ojp.gov/gist/150/National-Criminal-Intelligence-Sharing-Plan-Version-2-0

Law Enforcement Analytic Standards, 2nd Edition Downloadable document published April, 2012. https://it.ojp.gov/documents/d/Law%20Enforcement%20Analytic%20Standards%2004202_combined_compliant.pdf

Developing policy for use of social media in investigations Downloadable document last updated on March 4, 2013. https://it.ojp.gov/GIST/132/Developing-a-Policy-on-the-Use-of-Social-Media-in-Intelligence-and-Investigative-Activities--Guidance-and-Recommendations-

Checklist for the development, review, and dissemination of analytic products Downloadable 2-page document dated Nov. 22, 2013. https://it.ojp.gov/GIST/133/Checklist-for-the-Development--Review--and-Dissemination-of-Analytic-Products-and-Resources

Establishing a privacy officer function Downloadable document dated June 17, 2014 that defines the role of a Privacy Officer, with suggestions for implementing the role. https://it.ojp.gov/gist/165/Establishing-a-Privacy-Officer-Function-Within-a-Justice-or-Public-Safety-Entity--Recommended-Responsibilities-and-Training



Developing Competencies

Analyst tools Downloadable document published Nov, 2007 https://it.ojp.gov/gist/88/Analyst-Toolbox

Core competencies Downloadable document published June, 2010 https://it.ojp.gov/documents/d/common%20competencies%20state%20local%20and%20Tribal%20intelligence%20analysts.pdf

Certification standards Downloadable document dated January, 2010 https://it.ojp.gov/documents/d/Law%20Enforcement%20Analyst%20certification.pdf

Minimum standards for intermediate-level training Downloadable document last revised on Jan. 24, 2014 https://it.ojp.gov/GIST/151/Minimum-Standards-for-Intermediate-Level-Analytic-Training-Courses

Using real-time and open source resources Downloadable document dated July 10, 2017 describes the lawful and appropriate use of open source information, with a focus on social media. https://it.ojp.gov/GIST/1200/Real-Time-and-Open-Source-Analysis--ROSA--Resource-Guide



Event Deconfliction

Event deconfliction unified message Two-page downloadable document dated July 14, 2015 is a call to action for event deconfliction. https://it.ojp.gov/gist/149/Event-Deconfliction-Unified-Message

Event deconfliction video An 11-minute video explains event deconfliction and the tools available in various jurisdictions throughout the United States. https://www.ncirc.gov/deconfliction/



Grants Management

Official Sources for Regulations

Final Rule File download: .pdf File format - full document (103 pages in the .pdf file) www.gpo.gov/fdsys/pkg/FR-2013-12-26/pdf/2013-30465.pdf Online version: eCFR - provides online access but not the official, legal version http://www.ecfr.gov/cgi-bin/text-idx?tpl=/ecfrbrowse/Title02/2cfr200_main_02.tpl

Technical corrections December 19, 2014 http://www.gpo.gov/fdsys/pkg/FR-2014-12-19/pdf/2014-28697.pdf July 22, 2015 https://www.gpo.gov/fdsys/pkg/FR-2015-07-22/pdf/2015-17753.pdf September 10, 2015 https://www.federalregister.gov/articles/2015/09/10/2015-22074/universal-identifier-and-system-of-award-management-corrections

OMB Regulations OMB regulations are available for download at the Federal Register website. https://www.federalregister.gov/documents/2013/12/26/2013-30465/uniform-administrative-requirements-cost-principles-and-audit-requirements-for-federal-awards.



Locating final rules and proposed rules: www.regulations.gov Use Advance Search.

Keywords: “Uniform Administrative Requirements” Agency: OMB Document types Notice, Rule Sort by: Newer – Older

Training by CFO, Online, Free

Grants resources – overview of many materials https://cfo.gov/grants/grants-resources/

Grants resources – main site for grantee access https://cfo.gov//grants/#RUUG

Frequently asked questions FAQs as of July, 2017 https://cfo.gov//wp-content/uploads/2017/08/July2017-UniformGuidanceFrequentlyAskedQuestions.pdf

Classes, presentations, and more OMB Uniform Guidance Training Series, featuring Victoria Collins, Sr. Policy Analyst, OMB https://cfo.gov/2015/07/07/draft-omb-uniform-guidance-training-series/ Grants 101 Module 1 – Laws, Regulations, and Guidance Module 2 – Financial Assistance Mechanisms Module 3 – Uniform Guidance Administrative Requirements Module 4 – Cost Principles Module 5 – Risk Management and Single Audit https://cfo.gov/grants/training/

Search for the latest news; see what’s on the horizon with this search engine.

COFAR Disbanded; now CFO “OMB M‐17‐26, Reducing Burden for Federal Agencies by Rescinding and Modifying, rescinded the COFAR. The group’s policy priorities will now be considered part of the President’s Management Agenda and in the CFO Council. …. The Financial Assistance Committee for E‐Government (FACE), will remain operational.” Source: https://cfo.gov/grants/grants-resources/ obtained on 2/13/18.

Warning: Pay close attention to the dates of training materials; consider the evolution of the Uniform Guidance through subsequent technical corrections.



Grants 101 – the Federal Grant Lifecycle http://www.grants.gov/web/grants/learn-grants.html Glossary of Grant Terminology http://www.grants.gov/web/grants/learn-grants/grant-terminology.html

Regulations, Statutes, etc.

31 U.S.C. …. http://www.gpo.gov/fdsys/granule/USCODE-2010-title31/USCODE-2010-title31-subtitleV-chap63-sec6301/content-detail.html

CFDA – Catalog of Federal Domestic Assistance Programs HIDTA is 95.001. To read HIDTA’s entry in the catalog, go to www.CFDA.gov

Federal Audit Clearinghouse (FAC) https://harvester.census.gov/facweb/default.aspx List of many online resources for auditing and accounting published data https://harvester.census.gov/facweb/Resources.aspx

Tracking federal spending www.grants.gov – lists available grants, i.e., grant applications being accepted for these … USA Spending provides a search tool, download capability into Excel, and data dictionary to see the data elements. www.usaspending.gov

Appendix C: Glossary

HIDTA Management C-1

Appendix C:Glossary


C-2 HIDTA Management



Glossary

A Advance HIDTA funds drawn from the Payment Management System (PMS) and

posted in FMS.net for approved and budgeted purposes before the expenditure occurs. See the Uniform Guidance, Section ___.306(b)(1) regarding how far in advance of the expenditure funds can be drawn. Program Policy requires supporting documentation and receipts to submitted within 21 days after receiving the funds draw-down from PMS. See HIDTA Program Policy and Budget Guidance (2017), Section 6.17.2.

allowable An expenditure that complies with the cost principles, policies, and guidelines that apply to HIDTA grants; also known as allowable cost.

analytical support Services an analyst provides to support an investigation; i.e., Association/Link/Network Analysis, Commodity Flow Analysis, Crime-Pattern Analysis, Financial Analysis, Flow Analysis, Geo-Spatial Analysis, or Telephone Toll Analysis. Source: PMP

appropriations The Congressional act of setting aside money for a designated purpose.

award Federal financial assistance that a non-Federal entity receives directly from a Federal awarding agency or indirectly from a pass-through entity, and receives or administers in the form of grants. Source: PP

award letter The official letter informing the grantee that an award has been made. Enclosed with the award letter is the Grant Agreement and a detailed budget to represent the approved uses for the awarded funds.

award period The period of time during which awarded HIDTA funds must be spent – always a two-year period, unless an extension is obtained. Also known as the funding period, project period, and period of performance.

award recipient The entity to which ONDCP distributes HIDTA funds; award recipients can be federal and non-federal entities. The Uniform Guidance refers to non-federal award recipients as recipients; they are also called prime grantees. Compare with sub-recipient.



B baseline The starting point against which performance or accomplishments can be

measured. It provides a historical perspective on the performance that permits analysis of trends over time. The baseline year for the HIDTA PMP is 2004. Once a baseline is set, it should NOT change. Source: PMP.

budget The requested / approved plan for using awarded HIDTA funds with line item detail within each account. An individual budget shows a resource recipient’s portion of an initiative’s funding. An initiative budget represents the aggregate of all individual budgets for one initiative. Collectively, the aggregate of all initiative budgets represents the HIDTA budget.

C case support Case support is the assignment of an analyst(s) to provide analytical

support for an investigation. Source: PMP

chart of accounts A standard set of accounts and sub-accounts for classifying HIDTA expenditures. Examples include salaries, overtime, fringe benefits, equipment, supplies, and others.

closeout The formal process that officially terminates the HIDTA grant. The process requires actions by the NHAC, the HIDTA Financial Manager, the Financial Management Office at ONDCP, the HIDTA Director, the ONCP policy analyst, and as well as the grantee. Steps are performed in FMS.net and the Payment Management System (to file a final FFR).

current budget The approved budget; it is computed as the initial award +/- changes from approved reprogramming entries.

D

deconfliction The process of determining if law enforcement agencies are investigating the same person, crime, or organization and/or ensuring that planned events do not overlap and conflict with one another. See Performance Management Process User Guide, for various types of deconfliction services.



disbursement A distribution of grant funds, either by reimbursement or by advance. Details of the expenditure are recorded as a disbursement request in FMS.net, but the actual funds disbursement, or draw-down, occurs from the Payment Management System.

dismantle To destroy an organization’s leadership, financial base and supply network such that the organization is incapable of operating and/or reconstituting itself. For HIDTA reporting purposes, a dismantlement of a DTO/MLO does not require that all fugitives have been apprehended, that all cases have been adjudicated, or that all appeals by those charged have been exhausted. See the Performance Management Process User Guide, January, 2017, for the official definition of this term.

disrupt To impede normal and effective operation of a DTO. Disruption is indicated by changes in organizational leadership and/or changes in methods of financing, transportation, distribution, communications, or drug production. See the Performance Management Process User Guide, January, 2017, for the official definition of this term.

draw-down The receipt of grant funds via electronic funds transfer to the grantee’s bank account; the request is received and processed via the Payment Management System (PMS).

Drug Trafficking Organization (DTO)

An organization consisting of five or more persons that (1) has a clearly defined chain-of-command and (2) whose principal activity is to generate income or acquire assets through a continuing series of illegal drug production, manufacturing, importation, transportation, or distribution activities. Source: Performance Management Process User Guide, January, 2017.

E efficiency In PMP reporting, a calculation based on inputs used per unit of output,

e.g., cases reviewed per prosecutor, drugs seized per dollars expended on enforcement and intelligence. Source: Performance Management Process User Guide, January, 2017

encumbrance A reserve of appropriated funds set aside funds so that overspending does not occur. The approval of purchase orders and contracts cause encumbrances to be recorded.



expenditures An outlay of HIDTA Program funds. Source: HIDTA Program Policy and Budget Guidance, 2017.

extension A change in the performance period to allow a longer period of time over which grant money can be spent. Source: HIDTA Program Policy and Budget Guidance, 2017.

F federal awarding agency

ONDCP is the federal awarding agency for the HIDTA Program. See the Uniform Guidance, Section 200.37 for the official definition of this term.

Federal Financial Report (FFR)

A set of online financial reports which must be filed by HIDTA granteeswithin 30 days of the end of each fiscal quarter. The FFR consists of two separate reports: Federal Cash Transaction Report (1 per grantee) and the Financial Status Report (1 per grant). Collectively, these reports provide the current status of all grant funds awarded to the grantee.

fiduciary A role a HIDTA grantee may perform as a service to the HIDTA to distribute funds to other non-federal entities participating in the HIDTA. See HIDTA Program Policy and Budget Guidance, v. 2017, for the official definition of this term.

financial manager A position at the regional HIDTA responsible for oversight of the HIDTA’s budget and accounting duties. Participating agencies may also have a position with a similar title, performing the same duties for their organization or for a group of grants.

fiscal officer A generic position title for the person responsible for signing contracts and agreements that obligate the organization.

funding period The period of time during which HIDTA funds must be expended. Also known as the award period.

G grant An award of financial assistance by the federal government to an eligible

agency or legal entity. The term grant only applies to funds awarded to non-federal entities; federal agencies receive transfers of spending authority.



grantee The government, institution of higher education, or other entity to which a HIDTA Program grant is awarded and which is accountable for the use of the funds provided. The grantee is the entire legal entity (e.g., city government) even if only a particular component of the entity (e.g., the police department) is designated in the grant award document. Grantees sometimes act as a fiduciary for other participants in a HIDTA.

H

HHS U.S. Department of Health and Human Services which provides the online Payment Management System (PMS) to HIDTA and other grantees receiving federal financial assistance.

HIDTA High Intensity Drug Trafficking Area. The term may refer to the national program, a geographic area of designated counties, or a physical office building from which operations are managed.

I initiative Activities that implement portions of a HIDTA’s Strategy as opposed to

an organization of activities/investigative efforts. Source: HIDTA Program Policy and Budget Guidance, 2017.

initiative commander or supervisor

A person appointed to lead a HIDTA initiative. Source: HIDTA Program Policy and Budget Guidance, 2017.

initiative description and budget proposal (IDBP)

An output document of WebPMP software; this document is submitted to ONDCP as part of a HIDTA’s budget package. The IDBP describes the initiative with details of its mission statement, participating agencies and assigned personnel from each agency, and its performance goals for the program year.

intelligence Information compiled and analyzed to determine its meaning and relevance for efforts to anticipate, prevent, impede, or monitor criminal activity. Source: HIDTA Program Policy and Budget Guidance, 2017.



intelligence products Reports or documents that contain assessments, forecasts, associations, links, and other outputs from the analytic process that are for use by law enforcement agencies for prevention of crimes, apprehension of offenders, and prosecution. Source: Performance Management Process User Guide, January, 2017.

interdiction The process of interrupting the flow of drugs or money, either while in route to the United States or from point-to-point within the United States.

investigative budget This includes all funds budgeted by the HIDTA for activities other than treatment, prevention, and research and development. Discretionary funds added to the HIDTA budget during the grant year will be classified accordingly.

Investigative Support Center (ISC)

The minimum required component for a HIDTA’s intelligence and information sharing initiative; the ISC is staffed primarily by representatives of participating agencies who have direct on-site access to their agencies’ information databases, i.e., co-mingled, multi-agency participation. The ISC typically provides analytical services, develops the drug threat assessments, provides intelligence products, disseminates information among all HIDTA participants, and provides deconfliction services.

M Memorandum of Agreement (MOA)

The MOA between ONDCP and a Federal agency is the equivalent of the Grant Letter provided to the state or local grant recipient. Source: HIDTA Program Policy and Budget Guidance, 2017.

modification Any approved reprogramming transaction that changes the award amount, and new award documents must be executed to reflect the modified amount.



N NHAC National HIDTA Assistance Center. This center provides accounting

assistance and training services to HIDTA Program participants. Source: HIDTA Program Policy and Budget Guidance, 2017.

non-federal entity A state, local government, Indian tribe, institution of higher education (IHE), or nonprofit organization that carries out a Federal award as a recipient or subrecipient. Source: HIDTA Program Policy and Budget Guidance, 2017.

O obligation When used in connection with a non-Federal entity's utilization of funds

under a Federal award, obligations means orders placed for property and services, contracts, and subawards made, as well as similar transactions during a given period that require payment by the non-Federal entity during the same or a future period. Source: HIDTA Program Policy and Budget Guidance, 2017.

OCDETF OCDETF refers to the designation given to a DTO or MLO by the Organized Crime Drug Enforcement Task Force Regional Coordination Committee. An OCDETF case number must be assigned by the OCDETF Regional Coordination Committee before a case is reported in PMP as an OCDETF case. Source: Performance Management Process User Guide, January, 2017.

Office of National Drug Control Policy (ONDCP)

ONDCP is the office established within the Executive Office of the President of the United States to develop and coordinate the Nation’s anti-drug policy. ONDCP also administers the HIDTA Program. Source: HIDTA Program Policy and Budget Guidance, 2017.

outcome An outcome is the consequence or change resulting from an activity. For example, the dismantlement of a DTO/MLO results in a reduction in the unknown number of DTOs operating in an area. A seizure of drugs results in a reduction in the unknown amount of drugs available in the area. A student trained means a more skilled and knowledgeable investigator, and the degree to which the student’s knowledge is applied can be used as an outcome measure. Source: Performance Management Process User Guide, January, 2017.



P parent agency The employer of personnel assigned to a HIDTA initiative. Source:

HIDTA Program Policy and Budget Guidance, 2017.

participating agency A Federal, state, or local agency or other entity that takes part in a HIDTA initiative by providing staff or in-kind resources. Source: HIDTA Program Policy and Budget Guidance, 2017.

pass-through entity A non-Federal entity that provides a sub-award to a sub-recipient to carry out part of a Federal program. Source: HIDTA Program Policy and Budget Guidance, 2017.

Payment Management System (PMS)

A web-based program that disburses grant funds to grantees and allows grantees to report quarterly financial status of their grants. PMS is managed by the Program Support Center within the HHS. Visit https://pms.psc.gov for more information. See HIDTA Program Policy and Budget Guidance, v. 2017, for the official definition of this term.

PE/PI/PS Purchase of evidence; purchase of information; or purchase of services.

Performance Management Committee (PMC)

The Performance Management Committee is the group of HIDTA Directors that make recommendations to ONDCP about the structure and content of the Performance Management Process database and related procedures. Source: Performance Management Process User Guide, January, 2017.

Performance Management Process (PMP)

A set of successive steps designed to assist in determining the efficiency and effectiveness of the National HIDTA Program and individual HIDTAs. The PMP requires the individual HIDTAs to quantify their threats using reliable data, establish performance targets, develop initiatives to achieve the performance targets, and report their outcomes. Source: Performance Management Process User Guide, January, 2017.

performance measure In the performance management process (PMP), an outcome or efficiency measure used to report performance. See the Performance Management Process User Guide, January, 2017, for the official definition of this term.



pre-encumbrance Amount formally planned or expected to be spent, but for which there is no legal obligation yet. A requisition is a typical pre-encumbrance transaction, but the classification depends on the procurement codes of the agency making the purchase. At HIDTA, an Executive Board-approved spending plan is a pre-encumbrance, but the annual HIDTA budget is not a pre-encumbrance. See spending plan.

prime grant A grant issued directly from ONDCP to a non-federal entity. Compare with subaward.

program year The calendar year for which the HIDTA award provides funding; the program year always begins on January 1 of the calendar year.

R reimbursable agreement An official agreement between two HIDTA participating agencies in

which one agency agrees to pay a second agency for goods acquired or services provided. Source: HIDTA Program Policy and Budget Guidance, 2017.

reimbursement The payback of money for HIDTA costs incurred.

reprogramming The shifting of budget amounts between previously approved activities or cost categories. Source: HIDTA Program Policy and Budget Guidance, 2017.

resource recipient A participating agency receiving any amount HIDTA Program funds.

return on investment (ROI)

For the purpose of PMP, ROI is the ratio between the national average wholesale value of the four most common drug categories (cocaine, heroin, marijuana, and methamphetamine) seized, the value of cash seized in dollars, and the market value of non-cash assets seized and the amount of HIDTA funds budgeted for all activities except treatment, prevention, and research and development. Source: Performance Management Process User Guide, October, 2017.



S SF-424 Standard Form 424: Application for Federal Assistance.

Single Audit Report The output of a Single Audit performed annually for all non-federal entities that expend $750,000 or more in federal grant funds. The Single Audit allows 1 audit to review all federal assistance programs, rather than requiring individual audits of the recipient’s grants. See also HIDTA Program Policy and Budget Guidance, 2017, Section 6.18.2, and the Uniform Guidance, Part 200, Sections 200.501 and 200.512 for additional information

spending plan A detailed plan of how the remaining balances of HIDTA awards will be spent. Executive boards may request initiative commanders to submit spending plans for the remainder of the program year, to review remaining balances for projected surpluses – for the purpose of re-allocating the budget surplus to higher priority needs.

strategic intelligence An assessment of targeted crime patterns, crime trends, criminal organizations, and/or unlawful commodity transactions for purpose of planning, decision-making, and resource allocation; the focused examination of unique, pervasive, and/or complex crime problems. Source: Performance Management Process User Guide, January, 2017.

strategic planning The process of identifying why an organization exists (mission), what the agency will become if it achieves its mission (vision), and the concrete steps it will take to get there (goals, targets).

sub-award An award provided by a pass-through entity to a subrecipient for the subrecipient to carry out part of a Federal award received by the pass-through entity. Source: HIDTA Program Policy and Budget Guidance, 2017.

subrecipient A non-federal entity that receives a sub-award from a pass-through entity to carry out part of a Federal program. Source: HIDTA Program Policy and Budget Guidance, 2017.

supplant The use of HIDTA or other federal funds by a state or local agency in lieu of state or local funds that have been, or would have been provided, for the same purpose. Source: HIDTA Program Policy and Budget Guidance, 2017.



supplemental funds/budgets

In some years, ONDCP makes these funds available in addition to the individual HIDTA’s annual funding. When awarded, these funds must be tracked separately for each targeted program, with separately reported performance measurements in PMP. Recently targeted programs include Domestic Highway Enforcement (DHE), National Marijuana Initiative (NMI), Prescription Drug Project (PDP), and others.

T tactical intelligence Evaluated information regarding a specific criminal event that can be

used immediately by operational units to further a criminal investigation, plan tactical operations, and provide for officer safety. Source: Performance Management Process User Guide, January, 2017.

task force A group of law enforcement and investigative people who work together to carry out an initiative. Task force members remain employees of their respective agencies. Source: HIDTA Program Policy and Budget Guidance, 2017.

threat The threat is the capability and intent of an individual or group or an existing or impending condition that potentially can do or cause harm. Source: Performance Management Process User Guide, January, 2017.

threat-specific measure A threat specific measure is a measure that addresses expected and actual outputs and outcomes for an activity that is not generally funded by all HIDTAs (e.g. fugitive initiatives) and is not one of the core measures for the HIDTA Program. Source: Performance Management Process User Guide, January, 2017.

W Watch Center A component of the intelligence and information sharing initiative that

provides non-intelligence response services such as event deconfliction and tactical support.

WebPMP A software program developed by Washington/Baltimore HIDTA for the purpose of recording data for HIDTA’s performance management process (PMP). The term WebPMP distinguishes the software from the process itself, PMP.

Suggestion Form

HIDTA Management

Suggestions from the Reader

We want to hear from you. In the space below, please list your suggestions for improvement of the training program and the training materials. Fax this form to:

Vikki Wells Training Manager National HIDTA Assistance Center Fax: (305) 715-7615

Participant Guide

Page Suggestion or Correction Needed

Handouts, Slides, CD, and other Classroom Materials

Item Suggestion or Correction Needed

Suggestion Form

HIDTA Management

Best Practices to Share With Others

Topic Best Practice

Other Materials or Training Needed

Describe the materials or additional training needed.

HIDTA Mgmt PG v 3.3 c (May, 2018) · NATIONAL HIDTA ASSISTANCE CENTER 11200 NW 20th Street, Suite...

Documents

Transcript of HIDTA Mgmt PG v 3.3 c (May, 2018) · NATIONAL HIDTA ASSISTANCE CENTER 11200 NW 20th Street, Suite...