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Cen(ral Intelligence Agency
Inspector General

D.Of~OT COPY

.

INTELLIGENCE ·A CTIVITY ASSESSMENT

(UJ/FOUO) COMPLIANCE WITH EXECUTIVE ORDER 12333: THE
COLLECTION!
jFROM 1995-2000
USE OFI
(b)(1)
. (2000-6207-IG) (b)( 1)
(b)( 3) NatSecAct

(b)(3) NatSecAct

(b)( 1)

· 7 August 2002

(b)(3) CIAAct
(b)(3) NatSecAct
Assistants:

John L. Helgerson
lnspe.c tor General

!
I

Deputy Assistant Inspector
General for Investigations

(b)(3) CIAAct .

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(b)(3) CIAAct

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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)
·

·

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.·

(b) (3)

OFC__

N atSecA~t

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

(b)(3) NatSecAct

'(U//FQUO) CASES WITH COMPLIANCE ISSUES ....... .-...............______g

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(U//FOUO) CASES WITH OTHER ISSUES

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(U//FOUO) CASES IN WHICH\
COLLECTION WAS
· CONSIDERED BUT NOT UNDERTAKEN ...................................... 14
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(U//f.OUO) MONITORING
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(b)(1)
(b)(3) NatSecAct

. (U//FOUO) \ .
\coLLECTION INSIDE THE UNITED
STA1rE:S .......................................................................................... 1LI

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(b)( 1)
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(U//FOUO) IMPEDIMENTS TO LEGITIMATE COLLECTION ........ 19
(U//FOUO) . LACK OF UNDERSTANDING OF THE EXECUTIVE ORDER AND
(b )( 1)
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(b )(3) NatSecAct

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1s

PERCEPTION_ THATI
jCoLLECTJON CANNOT BE DoNE OR
Too
DIFFICULT.•••.••.• ;•••••••.•••••••••••••••.•••••••••.•••••••••••••••••.••.•••••••.•.•.•••••..•• 19

(U} TRAINING ····················.······························~················· .•••••• • 20
(Ui/FOUO) SUBSTANTIVE AND PROCEDURAL LIMITATIONS............... 22

(U) TECHNOLOGY .........................·.................. ~········"''"""" ' "' ' """". 22
(U) TARGETING STANDARDS....................................................... 23
(b)(1)
(b)(3) NatSecAct

(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:
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
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o Special Collection in
the United States-FISA Requests, Assistance to Other
Agencies, Testing and Training !
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(b)(1)
(b )(3) NatSecAct

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

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OFFICE OF INSPECTOR GENERAL
INVESTIGATIONS STAFF

INTELLIGENCE ACTIVITY ASS.ESSME.NT
.

.

(U//FOUO) COMPLIANCE WITH EXECUTIVE ORDER 12333: THE
USE OF I
ICOLLECTIONI
I FROM 1995-200C(b)(1)
.
.
(2000-6207-IG)
(b)(3) NatSecAct
7 ·August ~002

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(U) INTRODUCTION

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

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

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f - - - - - - - - --

- - - - - - - - - . - - -- - - -- - (b)(1)
This Assessment
(b)(3) NatSecAct
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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) Nat SecAct
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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(U) SUMMARY

3. ~The Agency's use ofl
collection!
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
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regard to terrorist activities.
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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)
(b) ( 1)
attorneys provide.advice and assistance to Agency officers in interpreting the EO
(b )(3) NatSecAct 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
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./l3 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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(U) SCOPE AND METHODOLOGY
.

.

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 ·
(b )(3) CIAAct

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1 Focus groups of DO officers were asked for their views

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

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

15. (~) Although the Assessment team was u.nab.le to review every
regu lated activity, the team m_ade every reasonable effort to follow up on cases
· a e documentation or
_ th at were identif
interview leads.

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

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 (H PSCI) to
obtain information relevant to the Assessment.

NatSecAct

·

_(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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CINOIG
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18. ~ The FISA was passed. in ·1978 and requires that the federal
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, FB I,
. State.Department, DoJ and NSA, reviews and approves requests for standing and ad hoc FISA
collection.

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(b)( l )
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(b)(3) NatSecAct .

. . 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 )
(b)(3) NatSecAct

23. 1

(b)( I )
(b)(3)

24.
(b)( I )
(b)( 3) NatSecAct

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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

I

('8{

. 25.
Information about a U.S. person derived from
'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
(b)(1)
assess the·information. (See E:xhipit A for retention and dissemination rules.)
(b)(3) CIAAct
(b )(3) NatSecAct This Assessment found that Agency components might not be applying these
rules properly because of a general and widespread lack of understanding of the
rul es. Moreover, based upon inteNiews of!
retention and
dissemination rules are not applied consistently. (See Exhibit B for detailed
comments on retention and dissemination.)

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(b)( 1)

~---I

(b)(3) CIAAct
(b)(3) NatSecAct

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

(U//FOUO) PARTICULAR CASES OF I
\COLLECTION
OUTSIDE THE UNITED STATES

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

· (U//FOUQ) CASES WITH COMPLIANCE ISSUES ·
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(U//FOUO) CASES WITH OTHER ISSUES
(b)( 1)
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{U//FOUO) CASES IN WHICH /
>=] COLLECTION WAS
CONSIDERED BUT NOT UNDERTAKEN · , .

~

station~ occasion~lly

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

I

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

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

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(U//FOUO) IMPEDIMENTS.TO LEGITIMATE COLLEC.TION
(U//FOUO) LACK OF UNDERSTANDING OF THE EXECUTIVE ORDER AND
PERCEPTION THA ~
DIFFICULT .

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

!COLLECTION CANNOTBE DONE OR IS Too

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

.

_60~

Most Agency officers know that there must be good reas~n to · ·
.
·
direct C J collection 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!
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, cou ld
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

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61. 1

. . . 62 }r, A
(b)( 1 )
b
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(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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(b)(3) NatSecAct

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

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{U) TRAINING
(b)( 1)
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(b)(3) NatSecAct

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(UI/FOUO) SUBSTANTIVE AND PROCEDURAL LtMITATION~b)( 1)
.(b)(3) CIAAct

(U) TECHNOLOGY·

. (b)(3) NatSecAct

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EO 12333 has ke_Q_t U_Q_ with chab..a._es_ln__tar.hn.olruw I

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(b)( 1)

~K~ N~Se~ct S~~~~~~~~~~~~~~~~~~~~~~~~~~
(b)( 1)
(b)(3) NatSecAct

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

(U) TIMELINESS, RENEWALS AND DURATION

79. 1

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(b)(S )

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

(SJ .

88.
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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. (b)(3) N at~ecAct

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person. l

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90. 1

(b)(3) NatSecAct

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

(U/!FOUO) COMPqANCE PROCESS
(U//FOUO) WHO IS RESPONSIBLE FOR COMPLIANCE?

(b)( 1)
(b)(3) CIAAct

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(b)(3) CIAAct

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(b)(3 ) CIAAct

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(U) INADEQUATE RECORDS
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~----------------------------------------------~

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

110. I

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

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

\

(b)(3) CIAAct

(b)(3) CIAAct

ohn L. Helger$on
Inspecto r General

1h~7Dat!

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(b)( 1)
(b)(3) NatSecAct
· 1.

EXHIBIT 8- DETAILED DISCUSSION OF
RETENTION AND DISSEMINATION

'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 perm iss ive, so long
as there is intelligence value to the' information.

(b)( 1)
(b)(3) N atSecAc~

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

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Retention and
L-d:;:-is-=-s=-e-=m-:-:i-=na
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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 fou nd tha1(b) (1)
there is a widespread lack of understanding of the rules. Based on interviews(b)(3) CIAAct
!officers, retention and disseminati0l(b)(3) NatSecAct
with l
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. !

(b)(3) CIAAct

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INevertheless,

consulting with management or
'-:1e
- g- a--:-l-o-=-=
ffi:c-er_s_r-em-a;in-s . th
.,.,._e_p_r..-tm_a_ry_jmethod for determining the appropriate ·
retention rules.
·
~------------------------------------------~

5.
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(b)(3) NatSecAct

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EXHIBIT C- CASES WITHOUT COMPLIANCE ISSUES
(b)( 1)
(b)(3) NatSecAct

(b)(3) CIAAct

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EXHIBIT D- MONITORING

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(U//FOUO)

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ASSISTANCE TO OTHER AGENCIE~ IN THE UNITED_STATES

~

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8. ~ Rules: Under EO 12333, CIA may provide specialized equipment
and technical knowledge to another US. Gove rn ment aqency conducting lawful
electronic surveillance in the United States. I _ _____ _____ _ _ ___ _ _ _ _

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(U//FOUO)

TESTING AND TRAINING IN THE UNITED STATES

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Approved for Release: 2015/04/29 C06236483

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