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C06236483 . ··::·: .·- ..

UNCLASS IFIED when blank- TOP SECRET When attached to Top . S ecr~t Docurrient: ". Whe.n~~e'ta.~h~·{frdfu .. cfo~~me.nt reg'rade .cov~r s heet as ~ppropriate.' Attach to eact'l CIA and. Non-CIA · co~l<:;teral T-9.p ~e·~ret ·do~.um~n.(Rl~intain:~4·:.·b.~Pci·~~·:~:f-.i.':,';''"'~~"~.>,;~·: ;-' .:\'4 •::~ .:: _ : ..

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CIA TOP sEcRET co'NTROL. N'u'MBER :·:: .

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OIG rs 2000-6207-IG . . ~ . : .... : ..

~ Office NU MBER ,.• . · ·.YEAR . . ·.

NON-CIA DOCU.MENJ' RECEIPT IMM/f?D/YYYY!

(~j/FE~Lb)1Tf~~ellig~nce Activity As~.e~sm.ent: ' C~mpliance wi:tfl Ex~cutiv~ o.~d~; .. , d.3~~: ' :~h·~·:u~e bfncoile·c~ion IFrom. 1995-2000 . · · ·(b)(1) · · · ·· . · ·: .. · · .. f • .. · : .. ~ · . .' · · --:'./.:>.: .:( .·~ · ··;(b)(1) .· · ··

·---- -- : (b)(3) NatSecAct · . · · ... ··· ·> :. · · · , ·· · . '· · · . . (b)(3) NatSecAct_ · CIA ORIGINATOR (Directorate, Office, Division, Branch) NON·CIA ORIGINATOR (Dept. ~ Agency) Control No., Copy No. . .DCI /OIG . . . ·:=··~; . · · · · · _.... ': .. ·_ . \'

···:. ·. . · .. ~ .

. : "·. ATTENTION:.Access to the attached docu~ent is restricted to 'only authoriz~d recipien~ o~ !op Secret cohtrol personnel. ·.-· · For Accountability purposes, all designated individuals are t~:sign and date this form. ·

REFERRED TO

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Approved for Release: 201 5/04/29 C06236483 ORVFROM:

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Approved for Release: 2015/04/29 C06236483 CIAIOIG ~UHvJ l'lc:Hucl..d'"\vl LOAN COPY

Cen(ral Intelligence Agency Inspector General

.

D.O f~OT COPY

INTELLIGENCE ·ACTIVITY ASSESSMENT

(UJ/FOUO) COMPLIANCE WITH EXECUTIVE ORDER 12333: THE USE OFI COLLECTION! jFROM 1995-2000

(b)(1) . (2000-6207-IG) (b)(1) (b)(3) NatSecAct (b)(3) NatSecAct

(b)( 1) · 7 August 2002 (b)(3) CIAAct

(b)(3) NatSecAct John L. Helgerson lnspe.ctor General

! I

Deputy Assistant Inspector General for Investigations

(b)(3) CIAAct .

Assistants:

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TABLE OF CONTENTS Page

(U) INTRODUCTION ·· · · · ······························ · ····· ···················~·····~··· · ·· 1 . .

(U) SUMMARY ... ·: .............. ~ .................................. _ ............................ 2

(U) SCOPE AND METHODOLOGY ...................... _ ..... ~ .. ·~··· .. ~···· .. ····· 4

(U//FOUO) EO 12333 IMPLEMENTING PROCEDURES AND THE COMPLIANCE PROCESS AT THE CIA ........................................... 5

(U//FOUO) RETENTION AND DISSEMINATION OF U.S. PERSON INFORMATION ~-................. ~ ............................................. (b)(1)

· · · . · (b)(3) NatSecA~t

-(U//FOUO) PARTICULAR CASES OFC__ _\ COLLECTION OUTSIDE TH_E UNITED STATeS ................... -... ; ........................... ( b)~ )

. (b)(3) NatSecAct '(U//FQUO) CASES WITH COMPLIANCE ISSUES ....... .-............... ______ g

. . . (b)(1) . (b)(3) NatSecAct

(U//FOUO) CASES WITH OTHER ISSUES ................................... , ~ ·

. . I . . (b)( 1 ) (U//FOUO) CASES IN WHICH\ COLLECTION WAS (b)(3) NatSecAct

· CONSIDERED BUT NOT UNDERTAKEN ...................................... 14 . (b)(1)

....--- ----- b)(3) NatSecAct (U//f.OUO) MONITORING j" '""'''~·-.......... 14

. ' . . . (b)(1)

. (U//FOUO) \ . \coLLECTION INSIDE THE UNITED (b)(3) NatSecAct

STA1rE:S .......................................................................................... 1LI

(b)(3) NatSecAct

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(b)( 1) (b)(3) NatSecAct

(U//FOUO) IMPEDIMENTS TO LEGITIMATE COLLECTION ........ 19

(U//FOUO) . LACK OF UNDERSTANDING OF THE EXECUTIVE ORDER AND .

(b)( 1) . PERCEPTION_ THATI jCoLLECTJON CANNOT BE DoNE OR 1s Too (b )(3) NatSecAct DIFFICULT .•••.••.• ; •••••••.•••••••••••••••.•••••••••.•••••••••••••••••.••.•••••••.•.•.•••••..•• 19

(U} TRAINING ·· · ·················.·········· · ··········· ········ ~ ················· .•••••• • 20

(Ui/FOUO) SUBSTANTIVE AND PROCEDURAL LIMITATIONS ............... 22

(U) TECHNOLOGY ......................... · .................. ~········"''"""" ' "' ' """". 22

(b)(1) (b)(3) NatSecAct

(U) TARGETING STANDARDS ....................................................... 23

(UHFOUOL_ ________________________ ~--~

(U) TIMELINESS, RENEWALS AND DURATION ...•.. .-......................... 24

(UHFOUO) APPLICATION OF FISA OVERSE~S ............................ 25

(U//FOUO) DIFFICULTY IN DETERMiNING U.S. PERSON STATUS ....... 26

(U//FOUO) COMPLIANCE PROCESS ............................................... 27

(U//FOUO) WHO IS RESPONSIBLE FOR COMPLIANCE? ................. 27

(U) INADEQUATE RECORDS ...... ~···· ............................................. 31

(U//FOUO) THE DEPARTMENT OF JUSTICE'S ROLE IN EO COMPLIANCE ............................................................................... 32

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EXHIBITS:

(b)(1)

A. (U) CIA's Attorney General-Approved Implementing Procedures

B. (U) Detailed Discussion of Retention and Dissemination C. (U) Cases Without Com liance Issues D. (U) Monitoring E. (U) Permitted A-=-c"""'av,_.a"Y"t-=-es-=-.~e---=a-.-e~..,.-do Special Collection in

the United States-FISA Requests, Assistance to Other Agencies, Testing and Training ! I

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OFFICE OF INSPECTOR GENERAL INVESTIGATIONS STAFF

INTELLIGENCE ACTIVITY ASS.ESSME.NT

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(U//FOUO) COMPLIANCE WITH EXECUTIVE ORDER 12333: THE USE OFI ICOLLECTIONI I FROM 1995-200C(b)(1)

. . (2000-6207-IG) (b)(3) NatSecAct

7·August ~002 (b)( 1)

~ ~ ~g~ NatSecAct (U) INTRODUCTION ~~~g~ NatSecAct (b)(3) NatSecAct

.------'-1_,_. isJ This Assessment examines whethe~ CIA's use ot l jcollecti~n I ] has complied with Executive Order EO 12333 and the A enc 's (b)(1) im lementin rocedures. (b)(3) NatSecAct

f---------- ---------.---- ---- - (b)(1) This Assessment (b)(3) NatSecAct

._e_x_a_m...,--in_e_s_h-ow_ w_e-:-:-11-le_g_a_l r-e-qu_i_re_m_e_n-ts-a-re-un_d_e-rs-to_o__,d, I I I l ~ue considered but not implemented because of real or perceiv~b)( 1 ) legal or bureaucratic issues, and h9w the compliance process is working ar(b)(3) NatSecAct whether it can be improved. It is intended to establish a baseline for future assessments. (b)(1)

t · (b)(3) NatSecAct . 2. ~The' time period addressed iri this Assessment e~ded before the

11 September 2001 terrorist attacks in the United States (U.S.). The findings and suggestions for management consideration contained in this Assessment are based on EO 12333 and relevant law as it existed at the time the activities reviewed were conducted. Any changes to rules governing intelligence collection directed at international terrorist activities should.be taken into con!?ideration in evaluating appropriate responses to thi"s Assessment.


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3. ~The Agency's use of l I collection! I b~th within and outside of the U.S., is g~nerally in compliance with EO ·12333. Although the Agency conducts a significant number of e'lectronic surveillance and unconsented physical sear~h operations overseas, these activities have been directed rimaril at ind' · : persons. These techniques

In some of the cases involving L,....,-.::. ~. ""p=e=rs=o:-=n::;:-s', trr:. -=e'"ln=<f=-or=m=-=a::f;-::lo-=n-;th;:-:a~t--:-:w-:-:::a:-:s-:::a:-::::c=q-:-:-ui~re=-::d was valuable, particularly with ·

regard to terrorist activities. ·

4. ~ A.gency officers. are sensitive t~ the ru.les regarding targeting U.S. persons and take the EO seriously. No evidence was found that any CIA officer intentionally disregarded the requirements of EO 12333 or the Agency's implementing procedu.res. Agericy officers understand that in order to conduct

I bollection directed at U.S. persons, they must consult with legal personnel and seek the necessary approvals. Office of General Counsel (OGC) attorneys provide. advice and assistance to Agency officers in interpreting the EO and its ·implementing procedures. Agency -officers think highly of the guidance . and support they receiv~ from these OGC attorneys.

5. ~ There has also been some inadvertent, and probably unavoidable, collection against U.S. persons abroad. In these cases, the Agency directed technical conection at foreign targets and later discovered that some of th~m were U.S. persons. Collection was usually terminated and there was no further processing o.fthe information acquired. (b)(3) NatSecAct

(b )(3) NatSecAct . . 6. ~ A few. cases were found to raise compliance and

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other issues. The Agency did not always con$ult with the Department of Justice (DoJ) early in the process or seek Attorney General (AG) approval in cases where it would have been prudent to do so. In some of these cases, inform::~tion of intelligence value obtained from! pollection may not have been (b)(1) A t disseminated in accordance with EO requirements. Failure to obtain req\P./l3J NatSec c approvals or prudential review by DoJ before proceeding with! ~ollection increases the risk that the activity may violate individual constitutional -rights, the Foreign Intelligence Surveillance Act (FISA) , EO 12333, Agency regulations or policies and that any evidence of criminal activity that may result from the collection may later be determined to be inadmissible in court.

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. 11. ~ In the following discussion, this Assessment identifies thor:s=-e-----, issues that pose the greatest potential for Agency mistakes in the use ot'--1 -----' collection and suggests ways to limit this potential. These suggestions call for:

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12. (U) The Investigations Staff assembled a team of ten Office of Inspector General (OIG) officers, including investigators, legal counsel, support

. personnel, and a senior DO consultant to conduct this Assessment. . . .

13. (U/iFOUO) A thorough search of Agency records was initiated. A formal request for all relevant documents was sent to all Agency com onents

. and each was asked to est cal noint for this investiaa ·

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I, 1 Focus groups of DO officers were asked for their views

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regarding compliance issues. In additio·n. the Assessment team traveled to a .. (' h

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15. (~) Although the Assessment team was u.nab.le to review every regulated activity, the team m_ade every reasonable effort to follow up on cases

_ that were identif - · a e documentation or interview leads.

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16. ~ The team interviewed officials outside-the A ency, including re resentatives from

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1n mon1tonng comp 1ance with EO 12333 technical collection requirements. The · tean: also met with the staffs of the Senate Select" Committee on Intelligence (SSCI) and House Permanent Select Committee on Intelligence (HPSCI) to obtain information relevant to the Assessment.

_(U//FOUO} EO 12333 IMPLEMENTING PROCEDURES AND THE COMPLIANCE PROCESS AT THE CIA

17. · ~ EO 12333, which was signed by President Reagan in 1981 , governs the conduct of intelli_gence activities by CIA and other agencies within

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(b) ( 1) 18. ~ The FISA was passed. in ·1978 and requires that the federal (b)(3) NatSecAct government obtain a FISA Court order before conducting electronic surveillance

directed at a ents of a.forei n owe·r in the United States. In 1994, the

FISA was amended to require a FISA warrant for unconsented physical searches directed at agents of a foreign power in the United States. The FISA contains criminal penalties covering intentional violations.

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3 1$}. The. IRP, comprising representatives from the National Security Council (NSC), CIA, FBI, . State.Department, DoJ and NSA, reviews and approves requests for standing and ad hoc FISA collection.

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. . 22. ~ U.S. persons are defined as Citizens, lawful permanent residents,4

corporations incorporated in the United States, and certain associations. A person or organization outside the United States may be presumed not to be a U.S. erson, unless s ecific information to the contra is obtained. . _ _______ (b)( l )

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4 (U) Lawful permanent resid~nts were formerly called -permanent resident aliens.

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(U//FOUO) RETENTION AND DISSEMINATION OF U.S. PERSON INFORMATION .. (b)(1)

· (b)(3) NatSecAct

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. 25. ('8{ Information about a U.S. person derived from I 'collection must be processed in accordance with EO 12333 procedures. The rules regarding retention and dissemination of information derived from such collection are permissive, so long as there is intelligence value to the information. For example, information that is foreign intelligence, counterintellig.ence, concerns a person engaged in international terrorist or narcotics activities, or is about potential sources or.contacts can be retained and disseminated along with the identity of the U.S. person so long as the identity is necessary to understand or assess the· information. (See E:xhipit A for retention and dissemination rules.) This Assessment found that Agency components might not be applying these rules properly because of a general and widespread lack of understanding of the rules. Moreover, based upon inteNiews of! I retention and dissemination rules are not applied consistently. (See Exhibit B for detailed comments on retention and dissemination.)

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(b) ( 1) (b)(3) NatSecAct (U//FOUO) PARTICULAR CASES OFI \COLLECTION

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{U//FOUO) CASES IN WHICH/ >=] COLLECTION WAS CONSIDERED BUT NOT UNDERTAKEN · , .

42. ~ Headquarters and field station~ occasion~lly considered, but ·did not undertake, electroniq suNeillance directed at U.S. persons abroad because of real or erceived le al and olic concerns.

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(U//FOUO) IMPEDIMENTS.TO LEGITIMATE COLLEC.TION

(U//FOUO) LACK OF UNDERSTANDING OF THE EXECUTIVE ORDER AND

PERCEPTION THA ~ !COLLECTION CANNOTBE DONE OR IS Too DIFFICULT .


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(b)(3) NatSecAct _60~ Most Agency officers know that there must be good reas~n to · · . ·

directCJcollection at a U.S. person and that appropriate approvals need~~~g~ NatSecAct be obtained. Most offic~rs interviewed, however, including managers in the fi~ru and at Headquarters, do not understand the specific requfrements of i I collection! I including the standards for targeting and when collection (b)(1) directed at a U.S. person is justified. Many do not distinguish or understand the(b)(3) NatSecAct different legal standards that apply to technical and human collection. Moreover, . few managers or other officers, whether in the field or at Headquarters, could state the appropriate procedures for retaining or disseminating U.S. person· information that is obtained incidentally in the course of collection against forei£(b)(1) targets. · · (b)(3) NatSecAct

61. 1

(b)(1) . . . 62 }r, A b f . I d' . d . t t . .- 't (b)(1) (b)(3) NatSecAct . ~~ num er o reasons. me u mg ma e ua e ra1n1n , were c1 ec me lack of understanding. A senion pfficer (b)(3) NatSecAct

says that, with the influx of new case o 1cers, t ere may e '-a---;-la-c.-k-of.,-e_x_p_e--,-rie_n_c__,e in dealing with EO issues. While ! pfficers are often(b)(1)

better at identifying potential issues, many of them, including managers, were (b)(3) NatSecAct also unfamiliar with the standards for targetin~ and dissemination. Officers in

I jcollection operations generally seem· to be· more knowledgeable of EO 12333 issues.

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. 70. ~ Agency_ officers expressed a rang~ of QQinions aboutw.heth8L EO 12333 has ke_Q_t U_Q_ with chab..a._es_ln__tar.hn.olruw I

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{U!/FOUO) DIFFJCUL TY IN DETERMINING U.S. PERSON STATUS

88. (SJ . Many field officers explain that it is very difficult to determine if a U.S. person may be the subject of technical Gollection. They state that it is not always apparent prior to initiating collection that an individual may be a U.S.

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(U//FOUO) THE DEPARTMENT OF JUSTICE'S ROLE IN EO COMPLIANCE


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EXHIBIT 8- DETAILED DISCUSSION OF RETENTION AND DISSEMINATION

· 1. 'tsL Rules: Information about a U.S. person · '---~---:-----=---.__jl including information about a U.S. person who is a party to or subject of a conversation that is acquired through electronic surveillance, which is obtained in the course of targeting a U.S. person or a foreign target, must be processed in accordance with EO 12333 procedures. Under these procedures, U.S. person information may be retained or disseminated within the Agency or to recipients outside the Agency "if the identity of the U.S. person and all personally identifiable information are deleted." The identity of the. U.S. person may also be retained and disseminated along with the information, however, if the identity is necessary or reasonably believed to become necessary, to understand or assess the information and the information constitutes foreign intelligence or counterintelligence, is about a person engaged in international terrorist or narcotics activities, pertains to potential sources or contacts, or fafls within one of several other categories of information specified in the procedures. For these reasons,· the rules ·regard~_g retention and disseminationC · !pre permissive, so long as there is intelligence value to the' information.

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L-d:;:-is-=-s=-e-=m-:-:i-=-na-::-;t:-;-:io:-:n- o-;f....,..in-::rfc-:-or-m-:-a:-;-to-:-io_n_m_u_s't -a.-ls-o·b-e--,.-ln-s-.t~nc.,.t-a~ccordance" with "any special minimization procedures approved by the Attorney General (AG). " If information about a U.S. person does not qualify f9r retention .or dissemination, it must be destroyed. ·

3. ·~ ·Agency activities: Agency components may not be applying these retention and dissemination rules properly. This assessment found tha1(b)(1) there is a widespread lack of understanding of the rules. Based on interviews(b)(3) CIAAct with l !officers, retention and disseminati0l(b)(3) NatSecAct rules are not being applied consistently.

· 4. ~Few officers, whether in the field or at Headquarters, could (b)(1). accurately state the aoorooriate orocedures for retain ing or disseminating U.S. (b)(3) NatSecAct person information. !

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I Nevertheless, consulting with management or '-:1-eg-a--:-l -o-=-=ffi:-c-er_s_r-em-a;-in-s...,.,.th_e_p_r..-tm_a_ry_jmethod for determining the appropriate ·

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(U//FOUO) ASSISTANCE TO OTHER AGENCIE~ IN THE UNITED_STATES

8. ~ Rules: Under EO 12333, CIA may provide specialized equipment and technical knowledge to another US. Government aqency conducting lawful electronic surveillance in the United States. I r--"'-'="-='--=.:..=-.;::o=.:._..:..=.:.:c:.=..:...:..::...:::......:..:....:...~-=-.:...=::...=.=::..::..:....L__ _ _____ _____ _ _ ___ _ _ _ _

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