14 February 1996
"Date of Instruction - Spell Month Out Completely"
This headquarters operating instruction (HOI) describes policy, responsibilities, and procedures for the conduct of Intelligence Oversight (IO) functions. It applies to HQ NORAD and HQ USSPACECOM intelligence components, their military and civilian intelligence personnel who perform or support intelligence related activities, and governs all intelligence activities undertaken by such components. This HOI also applies to all units actively participating in a NORAD/USSPACECOM-assigned mission.
SUMMARY OF REVISIONS
This HOI updates NORAD/USSPACECOM HOI14-1.
1.1 Executive Order 12333, United States Intelligence Activities.
1.2 Department of Defense Directive 5240.1, DoD Intelligence Activities.
1.3 Department of Defense 5240.1-R, Procedures Governing the Activities of DoD Intelligence components that Affect United States Persons.
1.4 CJCSI, Oversight of Intelligence Activities.
2.General. Intelligence Oversight (IO) establishes directives about when and how information concerning US persons can be collected, retained, and disseminated. Each president since President Ford has promulgated an executive order concerning intelligence activities. Each executive order attempts to strike a balance between the rights of US persons and the government's legitimate need for essential information. Intelligence Oversight directives are designed to:
2.1 Protect an individual's constitutional rights and privacy; and
2.2 Allow collection of authorized information only by the least intrusive means and dissemination only for lawful government purposes.
3.Independent Oversight Offices. Oversight offices are established to ensure all US Government intelligence agencies comply with appropriate laws and regulations. The Assistant to the Secretary of Defense (Intelligence Oversight) ATSD(IO) is responsible for overseeing all DoD intelligence functions. The Joint Staff Inspector General (JS/IG) is responsible to ATSD(IO) for management of IO at all unified commands. Within NORAD/USSPACECOM, the IO responsibility is given to the Inspector General (IG).
4.1 Intelligence Component. Command staff or activity which has intelligence personnel assigned or which is engaged in intelligence or counterintelligence activities. For reporting purposes, commands listed in Attachment 1 shall be considered intelligence components.
4.2 Questionable Activities. Any conduct that constitutes, or is related to, an intelligence activity that may violate the law, executive order, presidential directive, reference 1.1 through 1.4, or other applicable DoD policies.
4.3 Violations. Actions not in compliance with the policies and procedures established by references 1.1 through 1.4 which could result in criminal or disciplinary sanctions or, in the cases of military personnel, punitive action under the Uniform Code of Military Justice.
4.4 U.S. Person. A U.S. citizen, a permanent resident alien, an unincorporated association substantially composed of U.S. citizens or permanent resident aliens or a corporation incorporated in the U.S. unless directed or controlled by foreign government(s).
5.1 NORAD/USSPACECOM Director of Intelligence will:
5.1.1. Appoint an IO POC.
5.1.2. Conduct an IO training program to familiarize intelligence personnel with applicable IO regulations and directives as well as individual reporting responsibilities.
5.1.3. Ensure intelligence-gathering activities are conducted in accordance with the references. Only intelligence activities within the assigned function of the intelligence component concerned and approved by proper authority will be undertaken. No person or entity will be requested to undertake unauthorized or unlawful activities.
5.1.4. Ensure IG access to all areas and information concerning intelligence activities in order to perform their oversight responsibilities.
5.1.5. Report questionable activities to the IG.
5.1.6. Ensure no adverse action is taken against any person because he/she reports questionable activities as directed under this instruction.
5.2 Intelligence personnel will:
5.2.1. Understand the purpose of the IO, the policies, and restrictions placed on intelligence activities as described in the references. Personnel shall have a knowledge of:
220.127.116.11. Collection, dissemination, and retention of information policies concerning US persons.
18.104.22.168. Individual reporting responsibilities. Individuals shall immediately notify the IO POC and IG of any questionable activity.
5.3 The NORAD/USSPACECOM Inspector General will:
5.3.1. Establish oversight procedures for NORAD/USSPACECOM intelligence activities. As part of this oversight, the IG will conduct quarterly inspections (which may be no-notice) using the inspection guide in Attachment 3 to:
22.214.171.124. Ensure procedures have been established and are utilized to familiarize intelligence personnel with IO guidance.
126.96.36.199. Evaluate personnel knowledge of IO regulations and directives. This can be done by asking randomly chosen personnel to explain their understanding of the IO program.
188.8.131.52. Determine if intelligence organizations are involved in any questionable activities.
184.108.40.206. Review classified and unclassified files to identify evidence of questionable activities concerning the retention of information. Electronic files may also reviewed.
220.127.116.11. Ensure procedures exist for reporting questionable activities and intelligence personnel are aware of their responsibilities.
18.104.22.168. Determine if all other NORAD/USSPACECOM offices being used for foreign intelligence or counterintelligence purposes are in compliance with the references.
5.3.2. Immediately investigate questionable activities and report findings to the JS/IG.
5.3.3 Ensure no adverse action has been taken against any person who reports questionable activities as directed in this instruction.
5.3.4. Using the message format provided in Attachment 2, submit quarterly reports of oversight activities, inspections and suggestions for program improvement to JS/IG. These reports are due to JS/IG NLT 10 January, 10 April, 10 July, and 10 October of each year.
5.3.5. Notify NORAD/USSPACECOM Judge Advocate of any questionable activities.
6. NORAD/USSPACECOM Judge Advocate. Provides interpretation of applicable laws, executive orders, and directives to determine the legality of intelligence activities. When notified of a questionable activity, JA will determine if the questionable activities are legal and consistent with policy set forth in the references.
RODNEY S. LUSEY
1. NORAD-USSPACECOM Intelligence Components
2. Quarterly Oversight Report Format
3. Intelligence Oversight Inspection Guide
NORAD-USSPACECOM INTELLIGENCE COMPONENTS
Intelligence components are based on intelligence related functions performed or personnel assigned.
NORAD-USSPACECOM J-2, Peterson AFB CO
Combined Intelligence Center (CIC), Bldg 920, Peterson AFB CO
Combined Intelligence Watch (CIW), Cheyenne Mountain Air Station CO
Missile Analysis Center (MAC), Offutt AFB NE
Joint Aerospace Reserve Program (JARP), Peterson AFB CO (Personnel assigned to J2, CIC, CIW, MAC or other intelligence activities.)
QUARTERLY OVERSIGHT REPORT FORMAT
FROM: HQ USSPACECOM PETERSON AFB CO//IGD//
TO: JOINT STAFF WASHINGTON DC//IG//
INFO: JOINT STAFF WASHINGTON DC//J2//
SUBJ: INTELLIGENCE OVERSIGHT REPORT, ___________ QTR FY _______/
1. VIOLATIONS REPORTED THIS PERIOD: _____
2. REVIEW OF INTELLIGENCE OVERSIGHT (IO) ACTIVITIES:
A. INITIAL IO TRAINING BY J2: _____
B. RECURRING IO TRAINING BY J2: _____
C. PERSONNEL INTERVIEWED BY IG: _____
D. FILES REVIEWED BY IG: _____
3. OTHER: (SUGGESTIONS FOR IMPROVEMENT, INITIATIVES, PROGRAM CHANGES, ETC.)
INTELLIGENCE OVERSIGHT INSPECTION GUIDE
1. Are the following publications on hand?
E.O. 12333 CJCSI 5902.01(replaces MCM 75-91)
DODD 5240.1 Unit OI
DODD 5240.1-R Continuity Book
2. Has a POC for intelligence oversight activities been appointed? Is the appointment in writing? Are visual aids posted identifying the POC?
3. Has a familiarization program been established to ensure personnel are familiar with the Intelligence Oversight program's intent and responsibilities?
3.1. Is training documented? How?
3.2. Is initial intelligence oversight training part of the in-processing checklist?
3.3. Have all personnel received training at designated intervals?
3.4. Does training include non-intelligence personnel who work within the facility (i.e. security, computer support, administrative, etc)?
3.5. How is the training accomplished?
4. Do personnel know who their Intel Oversight POC is?
5. Are personnel aware of who/what constitutes a U.S. person?
6. Are personnel aware of the obligation to report any questionable activity? Do they know who to report it to?
7. Do personnel know what constitutes appropriate/inappropriate activity?
8. Do personnel know where to find applicable directives/regulations?
9. Is Intelligence Oversight part of the unit self-inspection?
10. Is the organization in compliance? Is any unauthorized material pertaining to U.S. persons collected, analyzed, retained or disseminated?