1. The Department of Defense Intelligence Oversight Program
Instructor Notes:
For the next 60 minutes you will receive an orientation on the Department of Defense (DoD) Intelligence Oversight (IO) program.
You will not be experts on the topic by the end of the presentation.
You should, however, leave with an understanding of the fundamentals of IO and know where to find more information to further your understanding of this important subject.

2. Objectives Instructor Notes:
Know where to find the information that guides intelligence oversight. The key directives provide the rules to the program and understanding the rules is an essential aspect for an effective oversight program.
Understand how the oversight system fits together—which offices are involved at every level so you know where you fit into the system.
Know how the reporting process works, what is reportable through the oversight system, and how it needs to be addressed.
Know the general methodology used to conduct IO inspections. Think of the methodology described as an example; it can be tailored to the necessary requirements.

3. Agenda Intelligence Oversight (IO): Why We Have It
The DoD IO Community
Policies and Regulations
Reporting Questionable Intelligence Activities and Significant or Highly Sensitive Matters
Essentials for Successful Programs
Resources and Summary
Instructor Notes:
Today, we are going to discuss:
Background – why this system exists and what led up to it
How the intelligence community is put together
The issuances (directives/etc.) that guide IO – the policies and regulations
How to go about reporting questionable intelligence and significant or highly sensitive activities
Essentials for an effective oversight program
Resources to further your understanding of the IO program and the presentation in summation

4. Intelligence Oversight:
DoD SIOO
Intelligence Oversight:
Why We Have It
Instructor Notes:

5. History of Intelligence Oversight
Instructor Notes:
Soon after World War II, the United States intelligence community periodically conducted programs to surveil communications of U.S. persons. These programs were directed by the Executive branch. However, there were no regulations defining what acceptable surveillance was; civil liberties and privacy were infringed. Surveillance projects such as Project Shamrock targeted telegraphic wire cables coming into and going out of the United States. From August 1945 to May 1975, the National Security Agency (NSA) obtained copies of many international telegrams sent to, from, or through the United States from three telegraph companies. In addition, from the early 1960s until 1973, the NSA targeted the international communications of certain American citizens by placing their names on a "watch list." Intercepted messages were disseminated to other Federal agencies, and the Department of Defense. Warrants were not obtained.
During the Civil Rights and Vietnam Anti-War movements in the late 1960s and early 1970s, the United States witnessed significant civil demonstrations from protestors associated with these movements. Some federal authorities believed that these demonstrations were directed by foreign powers and were beyond the ability of civilian authorities to control. While military forces were deployed at times to assist in maintaining order, intelligence assets were improperly used to conduct surveillance and data collection of protesters exercising their constitutionally protected rights. Senator Frank Church and Representative Otis Pike conducted investigations into the government’s method of surveilling. President Gerald Ford, and subsequently President Jimmy Carter, issued an Executive Order (EO) to govern and restrain the activities of the intelligence community within certain parameters to preclude Congress from limiting the intelligence communities’ ability to carry out its mission on behalf of national security defense.
The EOs were meant to maintain the proper balance between the acquisition of essential information by the Intelligence Community, and the protection of individuals' constitutional and statutory rights.

6. Purpose
Enable DoD intelligence personnel to carry out their legitimate functions effectively while protecting the constitutional rights and privacy
of U.S. Persons.
Instructor Notes:
Notice we use the term “U.S. Person”. This is different than and encompasses more than just “U.S. citizens”. We’ll discuss this further in the next slide.
The second purpose of the IO program is to assure reporting of significant and highly sensitive events to senior government authorities. More on that later in the presentation.

7. U.S. Person Defined U.S. citizens Lawful Permanent Residents (LPR)
Certain unincorporated associations
Corporations incorporated in the U.S.
Instructor Notes:
U.S. citizens fall into one of the following descriptions:
Any person born in the U.S. or U.S. territories (Puerto Rico, Guam, Northern Mariana Islands, Virgin Islands, American Samoa, or Swain’s Island)
Foreign-born child younger than 18 who resides in the U.S. with their adoptive or birth parents, at least one of whom is a U.S. citizen by birth or naturalization (REF: Foreign Service Manual (FSM) Definition of U.S. Citizen)
Any person granted citizenship status by U.S. Citizenship and Immigration Services (USCIS)—formerly INS
Lawful Permanent Residents (LPR) are persons residing legally in the U.S. who have been issued a green card.
Unincorporated associations here mean those composed substantially (over 50%) of U.S. citizens and LPRs. Examples include local PTAs, Mothers for Peace, ACLU, Boy Scouts of America, Human Rights Watch, etc.
Corporations in the U.S. are defined as a U.S. person except those specifically known to be directed and controlled by a foreign government. Examples include Lockheed Martin, Microsoft, BAE (U.S.), Toyota USA, etc.

8. Background Executive Order 12333: Signed by President Reagan in 1981
Validated by subsequent administrations
Updated in 2008
Instructor Notes:
Intelligence oversight is grounded in Executive Order Know that an executive order has the administrative effect of a binding regulation on the entire executive branch of government. This is the DOD IO program’s original source document. It is from this document that DOD regulations and policy flow.
The initial IO Executive Order was issued by President Gerald Ford in 1975 and was reissued as EO by Ronald Reagan. It has been subsequently reaffirmed by every president since. The EO was last significantly changed in 2008 to bring it in line with establishment of the Director of National Intelligence and the post 9/11 environment.
EO is still the document that governs intelligence activities in the DoD and the Executive branch and other departments and agencies of the Executive Branch.

9. Intelligence Oversight in U.S.
Congressional Oversight
Other Government Agencies
President’s Intelligence Advisory Board and Intelligence Oversight Board
Instructor Notes:
First a few words about intelligence oversight inside the U.S. Government, but outside of the Department of Defense.
Without going into detail, know that:
The legislative branch has its own mechanisms to oversee intelligence activities through the Senate Select Committee on Intelligence and the House Permanent Select Committee on Intelligence Committee.
Within the Executive Branch, the ODNI have civil liberties protection programs which offer protections to U.S. Persons. The President’s Intelligence Advisory Board and its element; the Intelligence Oversight Board, comprised of prominent private citizens, keeps closely informed on intelligence oversight issues within the intelligence community.
The Judicial Branch is also involved—reviewing legislation and acting as final arbiter when violations are alleged.
Finally, the Press exerts an important oversight role in its reporting of violations, acting as the ultimate voice of consciousness and conscience of the American public in keeping the public informed.

10. The DoD Intelligence Oversight Community
DoD SIOO
The DoD Intelligence Oversight Community
Instructor Notes:
Specifically how is intelligence oversight conducted within the Department of Defense community?

11. Principal Clients OSD Joint Staff Services USD (I) U.S. Army
U.S. Navy and U.S. Marine Corps
U.S. Air Force
Instructor Notes:
Here are the principal clients for DoD SIOO.

12. Principal Clients, cont.
The National Guard
Army National Guard
Air National Guard
Agencies
National Security Agency
Defense Intelligence Agency
National Geospatial-Intelligence Agency
National Reconnaissance Office
Instructor Notes:
The National Guard organizations within the individual states are required to comply with IO regulations when operating under federal authority
The four principal intelligence agencies within DoD are NSA, DIA, NGA and NRO.

13. Principal Clients, cont.
Combatant Commands (COCOMS)
Instructor Notes:
Combatant Commands, both geographic and functional, to include:
NORTHCOM
SOUTHCOM
EUCOM
CENTCOM
PACOM
AFRICOM
JFCOM
SOCOM
STRATCOM
TRANSCOM

14. Shared Responsibility
Instructor Notes:
The implementation of intelligence oversight is a shared responsibility.
First Animation: The commander has ultimate responsibility for the program. He/she sets the moral tone for the command environment. Top command awareness and involvement is essential.
Second Animation: The command IG must be involved; IG must be aware of the IO program requirements and be sure there is a mechanism for program review.
Third Animation: The Command legal counsel (also known as the Judge Advocate General or Staff Judge Advocate or General Counsel) must be attuned to the IO program requirements and must be available for program guidance.
Fourth Animation: Intelligence personnel are the first line of defense.

15. Roles and Responsibilities
Directors or Commanders:
Ensure an active program
Designate appropriate officials
Ensure appropriate training
Provide protection from reprisal for reporting questionable activities
Correct substantiated allegations
Instructor Notes:
Commanders and Directors are responsible for everything their organizations do or fail to do. They are responsible for:
Ensuring there is an active program
Designating appropriate officials to carry out IO activities
Ensuring the appropriate training is being conducted
Providing protection from reprisal or adverse action against those reporting questionable intelligence activities
Investigating and correcting any substantiated allegations

16. Roles and Responsibilities, cont.
IGs conduct IO inspections to ensure:
Employees understand rules and responsibilities
Reporting procedures exist
Intelligence activities comply with policies and regulations
JAG/GC are consulted about legalities
Instructor Notes:
Inspectors General (IGs) are the eyes, ears, and conscience of the Commander.
IGs in the DoD assess and report on the effectiveness of the IO program.
IGs inspect to ensure:
Employees understand the rules and responsibilities of intelligence activities
Reporting procedures exist in a command and are available for all to learn
All intelligence activities comply with intelligence policies and regulations
Judge Advocate General (JAG) or General Counsel (GC) are informed and consulted about the legality of proposed activities
Command is informed and advised regarding the investigation into questionable intelligence activities
DoD SIOO or GC are notified about the intelligence activities observed
Notification timeline depends on the severity of the offense. Notification can occur either quarterly or immediately.

17. Roles and Responsibilities, cont.
JAGs and GCs are responsible for:
Initial legal review of intelligence activities plans
Continued monitoring of intelligence activities’ legality
Instructor Notes:
IO officers are generally not qualified or empowered to render legal opinions. The command’s legal advisor (whether Judge Advocate General or Staff Judge Advocate or General Counsel) should review the plans AND the continuing conduct of command intelligence activities for legality.

18. Roles and Responsibilities, cont.
Intelligence personnel are the first line of defense. They must:
Know the standards and comply
Report any:
Questionable intelligence activities
Significant or highly sensitive intelligence-related matters
Instructor Notes:
Military intelligence professionals (employees) are the first line of defense.
They must know the standards and how to comply with them.
They should be first person to raise awareness of any inappropriate practices or suggestions.
They are the basis of the reporting chain. Whether that reporting chain runs through command channels, through an independent IG’s office or a Judge Advocate General, or straight and directly to OSD, it doesn’t matter as long as it is reported.
The issue is policing the intelligence community, getting issues on the table for resolution so that when questions are asked, we do not put at risk the very precious assets that we have been given to prosecute the nation’s business because of misconduct.

19. Roles and Responsibilities, cont.
The DoD SIOO conducts inspections at select locations and is responsible for:
Monitoring inquiries
Reviewing findings
Informing and advising appropriate OSD officials
Reporting to Executive Branch and Congress
Instructor Notes:
At the OSD level, the DoD SIOO conducts IO inspections at select locations and is responsible for:
Monitoring inquiries into questionable intelligence activities
Reviewing inquiry findings for completion to ensure that all the appropriate questions have been asked and answered
Informing and advising the appropriate OSD officials
Reporting to the Executive Branch (President’s Intelligence Oversight Board) and Congress
Reporting timeline depends on the severity of the offense. Serious offenses are reported immediately. Generally, however, reports are provided to the President’s Intelligence Oversight Board quarterly and to Congress annually.
IO policies and regulations were briefly mentioned in the history and background presented earlier. Now, we will take a closer look at these documents.

20. Intelligence Oversight Policies and Regulations
DoD SIOO
Intelligence Oversight Policies and Regulations
Instructor Notes:

21. Key Orders, Directives, and Regulations
Executive Order 12333
DoD Directive
DoD R
Supplemented by DTM
Instructor Notes:
These are the primary documents guiding intelligence oversight activities:
EO is the foundation document and is implemented as a matter of policy by DoD Directive
DoD R prescribes the regulations that guide IO. It is currently supplemented by DTM

22. DoD Baseline Documents: 5240.01 and 5240.1-R
Establishes oversight policy R
Establishes the rules for conducting intelligence activities
Instructor Notes:
Let’s take a closer look at the baseline documents that establish oversight policy:
DoD establishes the broad responsibilities across the department’s officials and offices.
DoD R establishes the procedures for conducting intelligence activities in accordance with EO
DoD regulation was signed not only by the Secretary of Defense and approved, but it was reviewed and approved by the Attorney General as well as required by EO12333.
The Attorney General ensures that there is appropriate legal basis for the department’s policies for conduct and intelligence.
These documents guide the conduct of intelligence operations but do not provide the authority to conduct them.

23. Mission-Specific Policies and Regulations
Joint Staff Regulations CJCSI B
Combatant Command Policies and Regulations
Service and Agency Regulations AR
SECNAV Instruction E
SECNAV Instruction
MCO
Air Force Instruction
DIA Regulation 68-4
NGA Instruction NI R5
NSA Internal Guidance
Instructor Notes:
In addition to the department-level directives, every service, the Joint Staff, and every agency have implemented policies specific to their mission.
You need to be familiar with the department-level regulations and any other governing regulations, depending on where you fit in.
The next group of slides will discuss the procedures outlined in DoD regulation R.

24. Training Continues in Part 2
Instructor Notes:
In addition to the department-level directives, every service, the Joint Staff, and every agency have implemented policies specific to their mission.
You need to be familiar with the department-level regulations and any other governing regulations, depending on where you fit in.
The next group of slides will discuss the procedures outlined in DoD regulation R.