Intelligence Oversight for - PowerPoint Presentation

Intelligence Oversight forJFHQ-KS LTC Charles Harriman(785) 274-1807Charles.r.harriman.mil@mail.mil KS-J2 Intelligence Oversight Monitors Maj John Lane(785) 861-3086John.w.lane34.mil@mail.mil MAJ Nathan Bukowski (785) 861-3072 Nathan.r.bukowski.mil@mail.mil

Agenda PurposeHistoryReferences ProceduresSpecial Focus AreasElements of a Good Program

To ensure the legality and propriety of all intelligence and intelligence-related activities Special emphasis on the protection of the Constitutional and privacy rights of US persons Purpose 3

History Executive Order 12333 Provides clear guidelines on how to perform intelligence activities consistent with the legal rights guaranteed to all US persons by the Constitution.

ReferencesDoD 5240.01R, Procedures Governing the Activities of DoD Intelligence Components that Affect United States Persons, 7 Dec 82EO 12333, AR 20-1/AFI 90-201, AR 1-201, CNGBI 2000.1, CNGBM 2000.01Army Army Regulation 381-10, US Army Intelligence Activities, 3 May 2012 Air ForceAir Force Instruction 14-104, Oversight of Intelligence Activities, 23 Apr 2012 KansasKSNG SOP 381-10, Intelligence Oversight, 6 Dec 2009 (Update in work)Kansas National Guard IO Checklist, 1 Oct 2013MAC LOI #2, IO

DoD 5240.1-R Procedures PROCEDURE 1 General Provisions PROCEDURE 2 Collection of Information about U.S Persons PROCEDURE 3 Retention of Information about U.S. Persons PROCEDURE 4 Dissemination of Information about U.S. PersonsPROCEDURE 5 Electronic Surveillance in the United States for Intelligence Purposes PROCEDURE 6 Concealed Monitoring PROCEDURE 7 Physical Searches PROCEDURE 8 Searches and Examination of Mail PROCEDURE 9 Physical Surveillance PROCEDURE 10 Undisclosed Participation in Organizations PROCEDURE 11 Contracting for Goods and Services PROCEDURE 12 Provision of Assistance to Law Enforcement AuthoritiesPROCEDURE 13 Experimentation on Human Subjects for Intelligence PurposesPROCEDURE 14 Employee Conduct PROCEDURE 15 Identifying, Investigating, and Reporting Questionable Activities

7Procedure 1 General Provisions: states the applicability of the regulation and the general principles governing intelligence and intelligence-related activities

8Procedure 1 IO applies to: all personnel assigned to DoD Intelligence Components regardless of MOS/AFSC Military, civilian, contractorsall personnel performing an intelligence or intelligence- related function regardless of MOS/AFSC

9Procedure 1 Intelligence components must:Not infringe on US persons’ Constitutional rights Protect privacy rights of US personsCollect, retain, and disseminate information based on a lawfully assigned mission and functionEmploy the least intrusive lawful techniquesComply with all regulatory requirements

A US person is defined as: - A US citizen born in the United States - A permanent resident alien in the US - A US corporation (except those directed or controlled by foreign governments) - An unincorporated association composed substantially of US citizens or permanent resident aliens What is a US Person? 10

Assumptions: - A person known to be in the US is presumed to be a US Person - A foreign national known to be in the US is presumed not to be a US Person - A person known to be outside of the US, is presumed not to be a US Person What is a US Person? 11

Title 10 and Title 32 Intelligence Component: subject to Intelligence Oversight rules Non-intelligence Personnel: subject to DoDD 5200.27, Acquisition of Information Concerning Persons and Organizations Not Affiliated with the Department of Defense State Active Duty All personnel subject to state law, to include privacy laws Applicability

Participating in special collection activities without President, Secretary of Defense or Secretary of the Army or Air Force approval Planning or carrying out assassinationsRequesting any other parties perform an act which is forbidden to the intelligence component Forbidden Activities

Procedure 2 Collection Specifies the kinds of information about US persons that may be collected and sets forth the general criteria governing the means used to collect such information

Collecting or Receiving? Collecting: Information is considered collected when:Received for use by an employee of an intelligence component in course of his/her official duties ANDAffirmative action is taken that shows intent to use or retain that information* Informal files will not be kept to bypass this procedureReceiving: Intelligence personnel may receive information from anyone, anytime to determine its intelligence value and whether it can be collected, retained or disseminated

US Persons Information Retain and/or disseminate if you have legal authority to do so If not, redact or purge Criminal Intelligence Pass to appropriate law enforcement agency Incidentally Collected Information

Collection of US Persons InformationMission and AuthorityNecessityApproved Category of InformationLeast Intrusive Means 17

Necessity (NGB-J2) Can you disregard the information or substitute the words “U.S. Person” and still complete the mission? Additional Approval Authority is dependent on the Special Technique employed. It may include (AR 381-10 Ch. 5 thru 11&13): DCS G-2 MACOM Commander Commander, 650th MI Group US Attorney General Supreme Allied Commander Europe Army G-2X Secretary (or Under Secretary) of the Army SECDEF or Deputy SECDEF Special Techniques (AR 381-10 Ch. 5 thru 11&13) : Electronic Surveillance Concealed Monitoring Physical Searches Mail Searches and Examination Physical Surveillance Undisclosed Participation in Organizations Contracting for Goods and Services Experimentation on Human Subjects for Intelligence Purposes Continuum of Intrusiveness (AR 381-10, Ch 2-3.) : Publicly Available or with Consent From Cooperating Sources Lawful means not requiring a Warrant or Attorney General approval Lawful means requiring a Warrant or Attorney General approval Authorized Categories (AR 381-10, Ch 2-2.) : Consensual Publicly Available Foreign Intelligence Counterintelligence Potential sources of assistance Protecting intelligence sources and methods Physical Security Personnel Security Communications Security Narcotics Threats to Safety Overhead reconnaissance Administrative Purposes U.S. Persons (AR 381-10, Glossary, Section II) : A U.S. citizen An alien known by the intelligence component to be a permanent resident alien A corporation incorporated in the U.S. that is not directed or controlled by a foreign government A corporation incorporated abroad is NOT a U.S. person even if partially or wholly owned by a corporation incorporated in the U.S. Presumptions (AR 381-10, Ch 1-8.) : A person or organization outside the United States is presumed not to be a U.S. person, unless the intelligence component obtains specific information to the contrary. An alien in the United States is presumed not to be a U.S. person, unless the intelligence component obtains specific information to the contrary. Mission (AR 381-10, Ch 1-5.d.) : There must be a link between the U.S. person information to be collected and the element’s assigned mission and function. State J2 Missions (JFHQ-State Implementation Guidance (Draft) dated 01 AUG 2011, Ch 2) : Monitoring worldwide threat trends, events, and enemy Tactics, Techniques, and Procedures (TTPs) Support to NG troops deployed in support of State Partnership Program (SPP) missions Monitor threats to the homeland Evaluate terrorist TTPs Identify vulnerabilities to key infrastructure which might be targeted by terrorist groups Monitor for Indications and Warnings of Chemical, Biological, Radiological, Nuclear, and High Yield Explosive (CBRNE) weapons Lead and manage intelligence process during Domestic Support to Civil Authorities (DSCA) missions Mission and Authority? U.S. Person? Authorized Category? Revise Least Intrusive Means? Special Collection Techniques? Additional Approval? Necessary? NO NO NO YES YES YES YES YES GO STOP NO NO YES YES YES NO GO GO NO Intelligence Oversight Process START STOP STOP STOP Blue Text = Most applicable to State J2 Missions

Authority and MissionMission (AR 381-10, Ch 1-5.d.): There must be a link between the U.S. person information to be collected and the element’s assigned mission and function. State J2 Missions (JFHQ-State Implementation Guidance (Draft) dated 01 AUG 2011, Ch 2) : Monitoring worldwide threat trends, events, and enemy Tactics, Techniques, and Procedures (TTPs) Support to NG troops deployed in support of State Partnership Program (SPP) missions Monitor threats to the homeland Evaluate terrorist TTPs Identify vulnerabilities to key infrastructure which might be targeted by terrorist groups Monitor for Indications and Warnings of Chemical, Biological, Radiological, Nuclear, and High Yield Explosive (CBRNE) weapons Lead and manage intelligence process during Domestic Support to Civil Authorities (DSCA) missions PLAN

Is it Necessary?Required to complete the National Guard’s mission? Does the activity specifically support the CCIRs and PIRs?Is it necessary to make a decision or to determine a course of action? Can you disregard the information or substitute the words “U.S. Person” and still complete the mission?

DoD 5240.1-R Authorized Categories Collection of Information about US Persons Information obtained with consent Publicly available information Foreign intelligence Counterintelligence Potential sources of assistance to intelligence activities Protection of intelligence sources and methods Physical security Personnel security Communications security Narcotics Threats to safety Overhead reconnaissance Administrative information

DoD 5200.27 Authorized CategoriesProtection of DoD Functions and Property Personnel SecurityOperations Related to Civil Disturbance

Methods of collection should be from the least to the most intrusive means:Collect first from publicly available sources or with US person’s consentCollect from cooperating sourcesLawful means which do not require a warrantLawful means which do require a warrantMost intrusiveMeans Methods of CollectionLeast intrusiveMeans

Retention Governs the kinds of information about US persons that may knowingly be retained by a DoD intelligence component without the consent of the person about whom the information concerns The term “retention” refers to data that can be retrieved by reference to the person’s name or other identifying data, such as their social security number. Procedure 3

Information collected IAW Procedure 2 or collected incidentally but could have been collected IAW Procedure 2 Information necessary to accomplish assigned mission and functionTemporary retention (up to 90 days) to determine if information is eligible for retention or in order to transmit the information to another agency with primary jurisdiction What Information May be Retained

Information must have controlled access and limited to need-to-know Retained files must be reviewed annually; all unnecessary information will be destroyed Does NOT apply when information is retained for administrative purposes or is required by law to be maintainedAccess and Retention

Dissemination Governs the kinds of information about US persons that may be disseminated without their consent outside of the DoD intelligence component that collected the information Procedure 4

Must have been lawfully collected under Procedure 2 Recipient must be reasonably believed to have a need to receive information for a lawful governmental function and be a:DoD employee or contractor Federal, state or local law enforcement entityAgency within the intelligence communityAgency of the federal governmentInformation provided to a foreign government pursuant to an agreement or other understanding Dissemination of US Persons Information

Provision of Assistance to Law Enforcement Authorities Describes types of permissible assistance to law enforcement authorities and sets forth procedures for providing this assistance.Assistance to Law Enforcement Authorities For investigating or preventingClandestine intelligence activities by foreign powersInternational narcotics activitiesInternational terrorist activitiesProtecting DoD employees, information, property, and facilitiesPreventing, detecting, or investigating other violations of law Procedure 12

Permissible Types of AssistanceIncidentally acquired information believed to indicate a violation of federal, state, tribal, or local law Personnel or specialized equipment and facilities may be provided to Federal law enforcement authoritiesLives are endangered Consistent with DoDD 5525.5, DoD Cooperation with Civilian Law Enforcement Officials Approved by NGB/J2 and the NGB/JAProcedure 12 Memorandum

Employee Conduct Sets forth the responsibilities of employees of DoD intelligence components to conduct themselves IAW applicable executive orders, laws, regulations/instructions and other applicable policy National Guard intelligence components must:Conduct intelligence activities IAW all relevant executive orders, regulations, policies and lawsBe familiar with Procedures 1-4 and Procedures 14-15 of DoD 5240.1-R and any other procedures employed by the intelligence component Report questionable intelligence activities and federal crimes Procedure 14

IO Training RequirementsArmy Guardsmen subject to AR 381-10:Initial training within 30 days of assignment/ employment Refresher training as part of the routine command training programTraining tailored to unit missionAir Guardsmen subject to AFI 14-104Initial training within 45 days of assignment/arrival to unitAnnual refresher trainingPre-deployment if training will expire during deployment**Effective 1 Oct 10: standardized Air Force training Located on ADLS and AFISRA website

Identifying, Investigating, and Reporting Questionable Intelligence Activities and Other Intelligence-related Matters Provides for the identification, investigation and reporting of questionable activities The term “questionable activity” refers to any conduct related to an intelligence activity or personnel that may violate the law, any Executive Order or applicable DoD policy, regulation or instructionProcedure 15

Improper collection, retention, or dissemination of US persons information, such as: Incorporating US persons information into an intelligence product without determining if identifying the person is appropriateCollecting US persons information for force protection purposes without determining if the intelligence function related to it is authorized Misrepresentation, such as:Using the status as an intelligence member to gain access for non-mission-related purposesClaiming to be conducting a highly classified activity or an investigation, for personal gain, unauthorized access, or to impress or intimidate othersQuestionable intelligence activity constituting a crime, such as:Stealing a source’s paymentsUsing intelligence funds for personal gainMisconduct in the performance of intelligence duties, such as: Falsifying investigative reports or personnel security investigation interviewsExamples of Questionable Activity

You are required to report questionable intelligence activities Report questionable activities through your chain of command to unit/staff IG, JA, IO Monitor, Senior Intelligence Officer or to higher levels (NGB, ATSD(IO)) Whistle blowers are protected from retribution or adverse actionReporting Questionable Activities

Special Collection TechniquesElectronic and communications surveillance (Procedure 5) Concealed monitoring (Procedure 6)Physical searches (Procedure 7)Examination of US mail (Procedure 8)Physical surveillance (Procedure 9)Undisclosed participation in an organization (Procedure 10)Undisclosed contracting for goods and services for intelligence purposes (Procedure 11)Any other activity that could be perceived by the general public as covert surveillance and reconnaissance(NGB policy)

Necessity (NGB-J2) Can you disregard the information or substitute the words “U.S. Person” and still complete the mission? Additional Approval Authority is dependent on the Special Technique employed. It may include (AR 381-10 Ch. 5 thru 11&13): DCS G-2 MACOM Commander Commander, 650th MI Group US Attorney General Supreme Allied Commander Europe Army G-2X Secretary (or Under Secretary) of the Army SECDEF or Deputy SECDEF Special Techniques (AR 381-10 Ch. 5 thru 11&13) : Electronic Surveillance Concealed Monitoring Physical Searches Mail Searches and Examination Physical Surveillance Undisclosed Participation in Organizations Contracting for Goods and Services Experimentation on Human Subjects for Intelligence Purposes Continuum of Intrusiveness (AR 381-10, Ch 2-3.) : Publicly Available or with Consent From Cooperating Sources Lawful means not requiring a Warrant or Attorney General approval Lawful means requiring a Warrant or Attorney General approval Authorized Categories (AR 381-10, Ch 2-2.) : Consensual Publicly Available Foreign Intelligence Counterintelligence Potential sources of assistance Protecting intelligence sources and methods Physical Security Personnel Security Communications Security Narcotics Threats to Safety Overhead reconnaissance Administrative Purposes U.S. Persons (AR 381-10, Glossary, Section II) : A U.S. citizen An alien known by the intelligence component to be a permanent resident alien A corporation incorporated in the U.S. that is not directed or controlled by a foreign government A corporation incorporated abroad is NOT a U.S. person even if partially or wholly owned by a corporation incorporated in the U.S. Presumptions (AR 381-10, Ch 1-8.) : A person or organization outside the United States is presumed not to be a U.S. person, unless the intelligence component obtains specific information to the contrary. An alien in the United States is presumed not to be a U.S. person, unless the intelligence component obtains specific information to the contrary. Mission (AR 381-10, Ch 1-5.d.) : There must be a link between the U.S. person information to be collected and the element’s assigned mission and function. State J2 Missions (JFHQ-State Implementation Guidance (Draft) dated 01 AUG 2011, Ch 2) : Monitoring worldwide threat trends, events, and enemy Tactics, Techniques, and Procedures (TTPs) Support to NG troops deployed in support of State Partnership Program (SPP) missions Monitor threats to the homeland Evaluate terrorist TTPs Identify vulnerabilities to key infrastructure which might be targeted by terrorist groups Monitor for Indications and Warnings of Chemical, Biological, Radiological, Nuclear, and High Yield Explosive (CBRNE) weapons Lead and manage intelligence process during Domestic Support to Civil Authorities (DSCA) missions Mission and Authority? U.S. Person? Authorized Category? Revise Least Intrusive Means? Special Collection Techniques? Additional Approval? Necessary? NO NO NO YES YES YES YES YES GO STOP NO NO YES YES YES NO GO GO NO Intelligence Oversight Process START STOP STOP STOP Blue Text = Most applicable to State J2 Missions

Special Focus Areas Defense Support to Civil Authorities Joint Intelligence Preparation of the Environment Incident Awareness and Assessment Force Protection Counter Drug The Internet

Defense Support to Civil AuthoritiesCounterdrug and Civil Support Teams (CST) do not have an intelligence mission Law enforcement provides criminal threat support (Procedure 12) 39

Joint Intelligence Preparation of the Operational Environment Purpose: to assist the commander in gaining situational awareness vs. intelligenceLimit collection to information needed to accomplish missionLeast intrusive meansRedact unnecessary U.S. persons information40

Incident Awareness and Assessment (IAA) Definition: The use of DoD intelligence, surveillance and reconnaissance (ISR) intelligence capabilities for domestic non-intelligence activities approved by the Secretary of Defense. Examples: search and rescue (SAR), damage assessment and situational awareness * Domestic imagery rules always apply to the collection, retention and dissemination of domestic imagery

A law enforcement responsibility J2 focus is transnational terrorist and opposing military force threat J2 and J34 must work closely together Intelligence and Force Protection must be handled separately through their respective channels, but can work together Force Protection

Intelligence v. Force Protection Security DOMESTIC THREATMilitary IntelligenceFOREIGN THREAT Governing Regulation:DoD Directive 5200.27Governing Regulation:DoD Directive 5240.1R Cross Talk J34/ATFP J2/Intelligence These functions should work together, but must act independently Intelligence components have an obligation to pass threat information to: Organization/commander responsible for protecting threatened persons, facilities or activities (Provost Marshall/ATFP/J34, etc) Appropriate LE organization

Force Protection Products When the FPA briefs the information, it is an FP assessment briefing – no J2 logos, no presentation as an intelligence briefing, nothing that will give the customer the impression that this is an MI product.It is not your MOS that is the determining factor but your duty status.Intelligence personnel can be assigned to the J34 to perform an FP function FP products are NOT intelligence products!

Counterdrug MissionCriminal Analyst MissionCurrent mission authorizes NG criminal analysts to assist local and federal law enforcement agencies in identifying drug dealers and sources of supply, collecting and organizing criminal records, and assisting officers with case management

Internet MI personnel must have an official mission before collecting, retaining, or disseminating even publicly available US persons information posted on the Internet.Certain Internet-based activities are restricted by the rules requiring disclosure of an individual's intelligence organization affiliation.Also applies to information on SIPRNET and JWICS.

Characteristics of an Effective IO Program Command emphasis   Designate IO Monitor and Alternate in writing Conduct initial, refresher and deployment trainingTailor training to the specific mission of your organizationMaintain training records Maintain copies of pertinent EO, directives and regulations/instructionsUse a variety of training and awareness tools47

48Questions? LTC Charles Harriman(785) 274-1846Charles.harriman@us.army.mil Maj John Lane(785) 861-3086John.w.lane34.mil@mail.milMAJ Nathan Bukowski (785) 861-3072Nathan.r.bukowski.mil@mail.milNGB-J2 Intel Oversight Monitors