NATIONAL SECURITV AGENCY CENTRAL SECURITY SERVICE FORT GEORGE r3. MEADE, MARYLAND 2u755-5mm FOIA Case: 78942 21 March 2017 JASON LEOPOLD Dear Mr. Leopold: This responds to your Freedom of Information Act request of 28 July 2014 to the Office of Government Ethics for "any and all records that mentions or are part of an investigation into any current or former NSA employee or contractor." A copy of your request is enclosed. The DOE referred 5 NSA originated documents (12 pages] on 14 August 2014 for our review and direct response to you, This referral has been assigned case number 78942. The documents have been reviewed by this Agency as required by the FOIA and the documents are enclosed. Certain information, however. has been deleted from the enclosures. NSA is authorized by various statutes to protect certain information concerning its activities. We have determined that such information exists in this these documents, Accordingly, those portions are exempt from disclosure pursuant to the third exemption of the FOIA which provides for the withholding of information specifically protected from disclosure by statute. The specific statutes applicable in this case are Section 6, Public Law 86736 (50 U.S, Code 3605) and 5 U.S.C, 552(b)(6). Since these deletions may be construed as a partial denial of your request, you are hereby advised of this Agency's appeal procedures. You may appeal this decision. If you decide to appeal, you should do so in the manner outlined below. I The appeal request must be in writing and addressed to: Appeal Authority National Security Agency 9800 Savage Road STE 6932 Fort George G. Meade, MD 2075576932 I Docl?li?5i6?7i?2 Hill 09 FM OGE ULO On'r . 002 (3) P.L. 86-36 GSA Interauency Fleporl Control No oaea-er-an 5.1 ?tificatton of con?ict rot-?interest Referral For use in cases involvmg possible Violations at 18 203. 205. 207-209_By current orformer executive I lunch employees only. see reverse for summary of slatutorylregulatory background. Please relum directly to 8 prime of Government Ftlii. 'l New York Ave NW. Suite 500. Washington. DC 20005-3917 Phone Associate Director for Program Reviews (202)482-9270 (202l432-?J l5 Agency Flelerring the Case National Security Agency Case Referred to' DOJ. Public 1 Section. Diwsmn AttorneU for i Ian at) Elmore iv-os-eooa - El DOJ, other Agency Case or Referral Nun?ber Date of Referral to 000 Name of Employee Involved in Case [optional]: Agency. and Agency Conipuuiml'l ere helshe was Employed National Secunly Agency. Fort Meade, MD - 19 September 2005 PART I ETHIQS TRAINING YES UNCLEAR M. ls there any ewdanca the Indiwdual received ethics_'training" PART II INVOLVED IN THIS CASE Please check the appropriate box tonne stetute(s; involved in this case, then complete the re: of in information for the stature{s) Agency ContacliTeiepnone Number . 18 u.s.c. 203 (Compensation for Representation Affecting the Govornment) Federal entity belore which representation occured Compensatec representation on behalf ol . Were representational services rendered or to be rendered- by the employee Elor by another? 1B U.S.C. 205 (Representation Affecting'the Government) Federal entity before representation occurred Naval Postgraduate School. 8 Merchant Harm-- Atademy. Representation on behalf of Schep Air Engtneering. JLISqutIons. 8. CDXperts. Inc 13 use 207 (Post-Employment) . Federal entity before which representation occurred- Representation on behalf of? I Was the communicationirepresentation. El oral? :0 and/or written? Former employee termination somee belera January 1. 1991 Check subsections involvec aorta) El 207mm) Dammit") El aorta) Cl Former employee termination servtee on er afte'l January 1. 1991 Check subsections invo- 'an llama)? El El aerial l3 EDTIG) El 207m. It 20?th or 20111) Is checked. was behind-Ihe-acenea aid or advxce lnvolved7n Yes no CI 2mm 18 u.s.c. 208 (Acts Affecting a Personal Financial Interest] Does the case involve tne ?nancial interest? ol the employee? Eat the employee?s spouse? Minor Child" CI A firm which the-employee was negotiating for employment? Other? (Specify) I Was a waiver sought? Citrus No Was it granted" Dina-a No Was the employee requned to file a ?nancial diqblosure form? El Yes CI No Get: are tildes Form 450 Clothe (specie) il be. was tli beets for the interest disdosed on the ?nancial disclosure form" CI Yes Ebb 18 U.S.C. 209 (Supplementatlorj of Salary) Type of supplementation (meals. travel. casm BIC Value of supplementation 5 - Number of supplements Additional Statutes Involved in of Interest Referrals i Was 18 5 201 (brlbery/gratuity) involved? CI Yes KIM Was 5 Ilee. (Ethtes tn 501 {outside earned Involved? 2; No Was 5 App (Ethics in Govommenti'?iet) 1} lourelde employmeni] involved?3 a: No Was 18 USC 1001 [false statements) Jnvelved" Eton Dido Was 5 Add lElhics in Government Act} 5 101 at set: {Finano?al disclosure] involved? 'i .3 Em Other (listi l' If yes. eheok'urm 'l tnlved. . I IT August 2006 OGE Form 202 (6l02) 13.09 l-l\ 003 Statutory/Regulatory Background 28 8.0 535 reqmres every departm9nt or agency to report to the Attorney General any inmimnion. allegations. or complaints relating to Violations of title 18 of the United States Code invoivrng Government employees. Incl' tiinu .JUbSible violations of 15 5.0. 207 by former Government employees. The Director of the Office or Government Ethics II accordance With 5 8.0. App 402(c)(2). has promulgated regulations at 50 Ft. 2638.603 requiring agencies to concurrenily the Directorwhen any matter invoivmg a violation 0t 18 C. 203. 205, 207. 208, andlor 209 is referred to the Depart? em -l Justice pursuant to 28 535 Such notification may be accomplished by prowding a copy of the referral document or bi. sub ii.tting this optional form, unless such notification would otherWise be prohibited by law. OGE regulations also reqUIre that the dep. rimi ii? or agency subsequently notify the Director of the reierral's disposition. Including any disciplinary or corrective action taken by he :lupartrnent or agency 5 g; infom'ietinn relating to the dlSpOSillO? oi a reterr'al may be communicated to the Jim 1:1' in writing PART lli ADDITIONAL AGENCY COMMENTS :If any): The NSA OIG recently learned of the requu'ement to notily OGE of all conflict of inteir at It to the S. Attorney General We apologize for the delay in notification Information on the requirement wil b" added to our investigative manual to ensure that timely notificatIOns are made in the future The indiwdual allegedly involved in the criminal conduct outlined above reSigned from NSA employment in July 2006 The Public Integrity Section of the US Department of Justice (DOJ) and the US. Atkins-i 5 Office are curently in the process of presenting ewdence in the case to a Grand JUry. The criminal Investigation (by the NSA OIG under the direction of DOJ) is ongoing. OGE will be notified if the Grand Jury investigation lead:. to ndictment The DOJ pomt of contact on this case is Eileen Gleason. Trial Attorney. Public Integrity Section. Cnni-nei tliwsmn. DOJ. (202) 305-8294 PART lV DISPOSITION or REFERRAL ices use only): DOJ declined prosecution Ci DOJ initiated prosecution Resolution- Agency dismplinery or correcuve action, it any. OGE Form 202 (06102) DocIDessazmw IHII 13:09 r-u @001 - JNCLASSEW ?=13 HE. a COVER 3 (3) - P.L. 86?36 0 Dance. . . . 4? ?006. . 70- 1 - (31' 0? um? . . Fax Number. Phone-firm (ion) From- 53: Mat-{R Ccckau? a? EggmL of {-J?uesdzl 9 ?Eco? danci? l, 1 Message- thr?foa?bh??wrgre?iglfiherMus q_ Poo-5M 5' EEK 263?.903) 12? Jaw 4255M 06-2 Fem? 202-, sci-"WW (I: 03, 14M x: Doc ID: 6564751 r_ d?i . P.L. 86?36 I. INCLASSIFIEDIW LAW ENFORCEMENT SENSITIVE OFFICE OF THE INSPECTOR GEN I NATIONAL SECURITY AGENCY CENTRAL SECURITY SERVICE ll June 2007 in "ll A. Christopher. Assocrate Drrector, Program Rem-w ll S. -_3f?ee?of Government E?ncs SUBJECT Iciiron ofcon?rct of Interest Referral Dear MI. . . . I us? 010? IV-0530038ugust 2006 'and pursua?rgo 5 FR. 9 2638 603. the his ??85 Of?cejof the Generll (GIG) Submittedan 005 Form 202, Notu?c aims of (?on?rct of {mm [defer-ml, ?rming OGE of an ongoing! con?m uf mtmesirnvest I _u Iimr mvulvmg NSA employee, Number the tune. the US (Ar:ch Case ntegnly Secuon; Cnmmai and 111?: United States Attorney?s Of?ce. BalrImm-r MD. were In the evidence In the case to a Grepd Jury Thu. memom?ndum .11 you of the'catse?s. disposition. I 0n "3 l" 'bl'ual'Y 2007I chargmgihrm mm Is affecting a person 208(a) aqd 216(.. 1(2) On 06 April 2007. II guilty to a ode-count Information cial Interest, In of IS ?6 as sentenced to {gun years probauom Intlu home detentron, and.50 hours of oommumty some: to; the felony offense He w.I- Ilsn ?ned $100,000. If you have any questrons or reqmre adurnonal it UH not hesnate to oontac't. Assistant Inspector General zoo lnsraoctor General For and Special Inquiries I UNCLASSIFIEDIW LAW ENFORCEMENT SENSITIVE II, mm '90 Doc ID: 6564751 100 1% :33 g. T0 Fa! NI thber Phone Nun 1 - Froln o1 Messgge UNCLAE COVER SHEL .33- . WK 29o? 411.3. 04? iaatmicr 2?3 8 (2.023 Ll ?32 (327:0 E) (3) - P.L. 86-36 8-H.ch He ?t3, a? a? laws; a? SCFIC .2639. 663', (6-H I EWHLH M: 3:19?:ka mg?mk .5: H. Ll) Doc lupin-r $50 er sen?pa?amo 15:56 Don P_g2 Inturegoncv Report 013E Use Only Donirol No: Notification of Conflict of Interest Referral For use in canes involving possible violations of 18 US 13. 203. 205. 207-209 by current orionner executive branch emplovaes only; see reverse for summary of atammireguiatory background. Please return directly to: US. Of?ce of Govemment cures. 1201 New York Ave. NW. Suite 500. Washington, 00200053917. Phone: Director for Program Reviews (202)432-9270. FAX: (202) 482-9238. Agency Referring the Case Agency Case or Referral Number case Referred to: 00.1, Public lnlegrity Section. Criminal Division 11011 I 3 rl Itan 99 a 0.3. Attorney for (district) Baltimore 8 '8 '86? N. 065 DDJ. other Date of Referral to DOJ Name of Employee ire-owed In Case (optional), Agoocv, and Agency C?mlponenf where ?Erma was Employed. 16 September 2009 National Sactn??y Agency. Fort Meade. MD . PART I ETHICS TRAINING . Is there any evidence the individual received ethics training? IZIVES DoncLEAn PART II INVOLVED IN THIS CASE Please check the appropriate box for the crawlers) immived in this case. than complete the rest of the informati?n for the statutefs). 18 u.s.c. 993 (Compensation for Representation Affecting the Government) Federal entity betcha which representation oocun?ed: Compensated representation on battalion Wm representational services rendered orto be rendered?l by the employee Elor by another? 18 mac. 5 205 [Representation Affecting the Government) Federal entity bafofa Mitch representation occurred: Representation on behalf of: 18 IJ.S.C. 207 (Post-Employment) Federal entity before which representation occurred: Representation qn?behail? of: . Was the ?oral? Elundiur mitten? Farmer employee lamination service beiom January 1. 1991. Check subsections involved: Danna) El domain) annexe} El zone) CI Farmer ornpiuyree termination service on or allot January 1. 1991. Check subsections involved. El terrain)? El 201(c)(2) [1 zone) El 201(0) 121 207m) [3207 If 207le or 207m is checked, was behindthe?soenes aid or advice involved? 16 Stilts {Acts Affecting a Personal Financial lntereot) Does the coco mil?:- the ?nancial of the employee? Clot the employee's spouse? Minor child? A firm with which employan was negotiating employment? El Omar? tsn?utvi Was a waivurccught? Elven No Was it granted? B'?ac Was the employee required to ?ia fmancial disoheura form? Yon IE No liyes, chock form involved: 12151: are Door: Form 450 El Other (specify) iiso, was the ba'al? further interest cleansed on the ?nancial disclosure form? [Wes Elite [3 18 209 (Supplementation of Salary) Type of supptam??l??on (meals. travel. sh. etc): Value of supplementation: Number or Supplements: Additional Statutes Involved in Conflict of Interest Referrals Were 13 use. am (bi-Brewigratvity) involved? CIch No Was 5 us C. App. (Ethics In Government Act) 5 501 (outside earned lncorm) involved? DYes Ed No 5 App. (Ethics In Govemmont Act) 5 502 (outside employment) involved? El Yes No was 13 USE. 5 root (false statements) Involved? El Yes are: Was 5 U50. App. (Ethics in Govomment Act) 101 stood. (Financial disclosure) involved? CI Yes no Other (list), I . Agency ContactiToiephono Number Date as September 2010 05?. Fun-n 292 ([1104) (3) - P.L. 86-36 Doc ID: 6564750 . 1'3: 56 Dr'? P. [33 Statutory/Regulatory Background 28 U.S.C. 535 requires every department or agency to report to the Attorney General any information. allegations. 0r complaints relating to violations oftlite 18 ofthe United States Code involving Government employees. including possible violations of 18 U.B.C. 207 by formerGovemtnent employees. The Director ofthe Of?ce of Government Ethics (OGE). in accordance with 5 U.S.C. App. 15 402(c)(2), has promulgated regulations at SG.F.R. 2638.603 requiring agencies to concurrently notifythe Directorwhen any matter involving a violation of 18 U.S.O. 203. 205. 207. 208. andlor209 is referred to the Department of Justice pursuant to 28 USD. 535- Such noti?cation may be accomplished by protruding a copy of the referral document or by submitting this optional form. unless suoh noti?cation would otherwise be prohibited by law. OGE regulations also require thattite departmenth agency subsequently notify the Director of the referrals disposition. including any disciplinary or corrective action taken by the department or agency. 5 C.F.R. 2638.603lc). Inton'natlon relating to the deposition of a referral may be communicated to the Director in writing. PART ADDITIONAL AGENCY COMMENTS (if any): The Individual allegedly involved in the criminal conduct outlined above resigned from NSA employment in August 2009. The criminal investigation (by the NSA OIG under the direction of DOJ) is ongoing. The US. Attorney's Of?ce (USAO) plans on presenting evidence in the case to a Grand Jory in the near future. OGE will be noti?ed if a Grand Jury investigation leads to indictment. The USAO point of contact on this case is Jonathan Biron. Assistant United States Attorney. USAO (Baltimore), (410) 209-4920. PART IV DISPOSITION OF REFERRAL (OGE use only}: [j DOJ declined prosecution. DOJ initiated prosecution. Agency disciplinary or corrective action, if any: OGE Form 202 (11/04) Doc ID: 6564750 -- 15:55 Dr? 81 DATE (95 TO - P.L. 86?36 FAXNUMBER (9?13 491??123?' I I I- DESCRIPTION NUMBER OF 3 (3 ?kgL MESSAGE PWSM L, 5' CFK 2635'. 603, aban 0 GE. 6202. . Yaw, Doc ID: 6 2634749 I UNLDASSIFIEDIW NATIONAL SECURITY AGENCY I FORT GEORGE MEADE MARYLAND 20755?6000 Serial: (3) P.L. 86-36 28July2005 (6) MEMORANDUM FOR BRUCE SWARTZ, DEPUTY ASSISTANT ATTORNEY GENERAL, DEPARTMENT OF JUSTICE, CRIMINAL DIVISION SUBJECT: (U) Report of Possible Violation. 91? Federal Law INFORMATION MEMORANDUM 0 (HM: In accordance with the Memorandum of Understanding between the United StateS:Attorney General and the Director of the'National Security Agency (N SA), dated 22 August 1995, the following information?is provided about an NSA employe?who may have violated 18 U.S.C. 203 and 205: (Ume The NSA Infnegm: Gama (1G1 recently; mm; tiate'd an alle ation that NSA em lo ee of I I may have violated 18 U.S.C. 203 and 205. dhe preponderance ofevldence supports the conclusion that inappropriately represented his part-time contracl'dr-emnlover. E, at a business meeting between ENSE and two NSA employees. waIs hired as a part- time employee by ENSE and averages approximately?_10 hours of w'prk per week for ENSE. His main duties at EN SE are business development and recruitment. According to the SA IG, the business meeting took place On 2 September 2004 and lasted for approximately one hour during which time anpth'er ENSE representative, a non-NSA employee, discussed a technical pro use] for database support to NSA. In Short, the IG investigation established that cted as a representative of EN SE in a business meeting with other Agency employees where the Agency had an interest. - Should you need any additional information. pleaSe contact me at I 0 ca ofAsS?ciate General Counsel (Administrative-law) i I. o" - (3) P.L. 86-36 Doc ID: 6?64749 t' . IE1)me -'cl Copy Furnished: Of?ce 9f Government Ethics 1201 New York Ave., NW Suite 500 Washington, DC 20005-3917 (3) - P.L. 86-36 UN .- Doc ID: 6?64748 UN CLASSIFIEDIWW NATIONAL AGENCY FORT GEORGE MEADE. MARYLAND 20755-6000 Serial: ADMIN-22205 27 December 2005 MEMORANDUM FOR BRUCE C. SWARTZ, DEPUTY ASSISTANT ATTORNEY GENERAL, DEPARTMENT OF JUSTICE, CRIMINAL DIVISION SUBJECT: (U) Report of Possible Violation of Federal Law INFORMATION (3) - P.L. 86-36 MEMORANDUM (6) (LIME-OED) In accordance with the Memorandum of Understanding between the United-States Attorney General and the Director of the National Security Agency (NSA), dated 22 August 1995, the following information is provided about two SA af?liates whom may have violated 18 U.S.C. 205 as well as various sections of 5 CFR 2635'. . . . The SA Inspector General (IG) substantiated allegations that former SA emplovee and contractor,L I of I and c,ontractor, - of - . I violated several government regulations and policies to so an con no son rector business. The preponderance of: the evidence also supports the conclusion that, while he was an Agency employee, misused Agency resources in 1 'n sts. Furthermore, in their capaci as iqrporate of?cials,. and . owingly misused Government information systems to solic'it busmess for in violation- of 5 C.F.R. (14). According'jto the I their actions also promoted on imfair bompetitive advantage for 11d violated the performahoe and integrity standards of the Federal Acquisition Regulation (FAR), sp?bparts ringworm), and 3.1014. (U/m Finally, the'preponderan?e of the evidence so ports the conclusionjthat, while he was'a government employee, nappropriately represented ATP before the-Government. These actions vio ated 5 CFR 2635.101, 5 CFR 2695.301, 5 CFR possibly 18 205. (UHF-0H3) Should you needoany additional information, please contact Attorney . ,1 Of?ce of Associate General Counsel .: . (Administrative Law) 0 .. .I n'n'n'I-I-I-I-ltoultl (3) - P.L. 86?36 Doc ID: 6?64748 UNCLASSIFIEDHW Copy Furnished: - -- ?wrf-ZT20005?3917 SA OIG (Investigations) UNCLASSIFIEDIIW