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Instruction # IA-1000
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Department of Homeland Security
Office of Intelligence and Analysis
Instruction: IA-1000
Revision Number: 00
Issue Date: 01/19/2017
OFFICE OF INTELLIGENCE AND ANALYSIS
INTELLIGENCE OVERSIGHT PROGRAM
AND GUIDELINES
I. Purpose
This Instruction establishes the Intelligence Oversight Program for the Office of
Intelligence and Analysis (I&A) and implements the Intelligence Oversight Guidelines, as
required by Executive Order 12333, “United States Intelligence Activities,” as amended
July 30, 2008, for the collection, retention, and dissemination of information concerning
United States Persons.
II. Scope
This Instruction applies to all I&A employees, including detailees or other Government
personnel acting for I&A, and contractors supporting I&A (hereafter “I&A personnel”). It
supersedes the memorandum, “Interim Intelligence Oversight Procedures for the Office
of Intelligence & Analysis,” April 3, 2008.
III. References
A. Title 50, United States Code (U.S.C.), Section 3091, “General
congressional oversight provisions.”
B. Title 50, United States Code (U.S.C.), Section 3092, “Reporting of
intelligence activities other than covert actions.”
C. Executive Order 12333, “United States Intelligence Activities,” as
amended July 30, 2008.
D. Executive Order 13462, “President’s Intelligence Advisory Board and
Intelligence Oversight Board,” as amended November 2, 2009.
E. DHS Delegation 08503, “Delegation to the Under Secretary for
Intelligence and Analysis/Chief Intelligence Officer,” August 10, 2012.
F. DHS Directive 252-01, “Organization of the Department of Homeland
Security,” March 31, 2009.
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G. Department of Homeland Security Designation, “Designation of the Office
of the General Counsel to Submit Reports to the President's Intelligence
Oversight Board in Accordance with Executive Order 13462,”
August 25, 2015.
H. Memorandum from Charles E. Allen, Under Secretary for Intelligence and
Analysis, and Matthew L. Kronisch, Associate General Counsel
(Intelligence), “Interim Intelligence Oversight Procedures for the Office of
Intelligence & Analysis,” April 3, 2008.
I. Newly signed IO Guidelines, January 4, 2017 (Secretary Jeh Johnson),
and January 11, 2017 (Attorney General Loretta E. Lynch).
J. Intelligence Community Directive 102, “Process for Developing
Interpretive Principles and Proposing Amendments to Attorney General
Guidelines Governing the Collection, Retention, and Dissemination of
Information Regarding U.S. Persons,” November 19, 2007.
K. Intelligence Community Directive 107, “Civil Liberties and Privacy,”
August 31, 2012.
L. Intelligence Community Directive 112, “Congressional Notification,”
November 16, 2011.
M. Memorandum from James R. Clapper, Director of National Intelligence,
“Intelligence Community Reporting of Matters to the Intelligence Oversight
Board,” April 25, 2012.
N. Memorandum from James R. Clapper, Director of National Intelligence,
“Guidelines on Reporting Violations of Law or Executive Order,”
September 5, 2015.
O. Memorandum from Neal S. Wolin, Chairman, Intelligence Oversight
Board, “Intelligence Oversight Board’s Concept of Operations,”
June 2, 2015.
P. Memorandum of Understanding: Reporting of Information Concerning
Federal Crimes, August 22, 1995.
IV. Definitions
A. Questionable Activity: Any conduct related to an intelligence activity
reasonably believed to constitute a violation of any applicable law,
executive order, presidential or other directive, regulation, international or
domestic agreement or arrangement, or applicable national or
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departmental policy, including, but not limited to, the requirements of this
Instruction with respect to I&A personnel.
B. Intelligence Activities: All activities that elements of the Intelligence
Community are authorized to conduct pursuant to Executive Order 12333,
“United States Intelligence Activities,” as amended July 30, 2008.
V. Responsibilities
A. The Under Secretary for Intelligence and Analysis (USIA), as the Head
of I&A, either directly or through designated personnel:
1. Ensures that I&A personnel conduct their activities in a manner that
protects privacy, civil rights, and civil liberties; and complies with the
requirements of Executive Order 12333 and this Instruction.
2. Designates a senior staff member to serve as the I&A Intelligence
Oversight Officer in accordance with ICD 107, “Civil Liberties and Privacy.”
3. Coordinates with the Inspector General, the Associate General Counsel
for Intelligence, the Chief Privacy Officer, the Officer for Civil Rights and
Civil Liberties, and the Intelligence Oversight Officer, as appropriate, on
privacy, civil rights, and civil liberties matters relating to activities
conducted by I&A personnel, and ensures that those officials and any staff
reporting to those officials have access to any intelligence or information
they deem necessary to perform their official duties; and
4. Complies with the requirements for training, investigation, and reporting
set forth in the Office of Intelligence and Analysis Intelligence Oversight
Program (“I&A Intelligence Oversight Program”) (See Appendix A).
B. The Intelligence Oversight Officer:
1. Is responsible for matters involving the protection of civil liberties and
privacy as they relate to activities conducted by I&A personnel, including
by ensuring that the activities of I&A personnel comply with this
Instruction;
2. Complies with the requirements for training, investigation, and reporting
set forth in the I&A Intelligence Oversight Program; and
3. Executes and implements this Instruction.
C. All I&A personnel comply with the requirements of this Instruction.
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Instruction # IA-1000, Appendix A
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APPENDIX A
OFFICE OF INTELLIGENCE AND ANALYSIS
INTELLIGENCE OVERSIGHT PROGRAM
I. Purpose
This Appendix sets forth the Intelligence Oversight Program for the Office of Intelligence
and Analysis (I&A).
II. Responsibilities
A. The Under Secretary for Intelligence and Analysis (USIA), as the Head
of I&A, either directly or through designated personnel:
1. Reports through the Associate General Counsel for Intelligence to the
Attorney General possible violations of Federal criminal laws by I&A
personnel and of specified Federal criminal laws by any other person in a
manner consistent with the protection of intelligence sources and
methods;
2. Reports through the Associate General Counsel for Intelligence to the
Intelligence Oversight Board, consistent with Executive Order 13462,
“President’s Intelligence Advisory Board and Intelligence Oversight
Board,” as amended November 2, 2009, and providing copies of all such
reports to the Director of National Intelligence, concerning any intelligence
activities of I&A that the USIA has reason to believe may be unlawful or
contrary to executive order or presidential directive;
3. Reports through the Office of Legislative Affairs to the intelligence
committees of the Congress, among other things:
a. Any intelligence activities of I&A that the USIA believes to be a
violation of United States law, including any corrective action take or
planned in connection with such activity;
b. Any significant misconduct by an I&A employee or contractor
supporting I&A that is likely to seriously affect intelligence activities or
is otherwise of congressional concern, and
c. Any other serious violations of United States criminal law by an I&A
employee or contractor supporting I&A which, in the discretion of the
USIA, warrants congressional notification;
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4. Coordinates with the Inspector General, the Associate General Counsel
for Intelligence, the Chief Privacy Officer, the Officer for Civil Rights and
Civil Liberties, and the Intelligence Oversight Officer, as appropriate, on
privacy, civil rights, and civil liberties matters relating to activities
conducted by I&A personnel;
5. Ensures that the Inspector General, the Associate General Counsel for
Intelligence, the Chief Privacy Officer, the Officer for Civil Rights and Civil
Liberties, and the Intelligence Oversight Officer, and any staff reporting to
those officials, have access to any intelligence or information they deem
necessary to perform their official duties;
6. Affords any aggrieved individual the opportunity for complaint,
investigation, and redress of alleged violations of privacy, civil rights, or
civil liberties regarding I&A’s activities; and
7. Ensures that I&A personnel are properly trained in and comply with the
requirements of Executive Order 12333, “United States Intelligence
Activities,” as amended July 30, 2008, and this Instruction.
B. The Intelligence Oversight Officer:
1. Develops and conducts training on the I&A Intelligence Oversight
Guidelines;
2. Conducts, in coordination with the Associate General Counsel for
Intelligence, as appropriate, preliminary inquiries concerning questionable
activities;
3. Immediately reports the initiation of preliminary inquiries concerning
known or suspected violations of Federal criminal law to the Associate
General Counsel for Intelligence;
4. Reports the results of preliminary inquiries concerning all questionable
activities to the USIA and the Associate General Counsel for Intelligence
for referral, as appropriate, to the Inspector General, the Chief Security
Officer, the President’s Intelligence Oversight Board, and the Congress;
5. To the extent appropriate in light of their respective departmental
responsibilities, reports the results of preliminary inquiries to the Assistant
Secretary for Policy, the Chief Privacy Officer, and the Officer for Civil
Rights and Civil Liberties;
6. Informs the Chief Privacy Officer and the Officer for Civil Rights and Civil
Liberties of any departures by the USIA from the Department of Homeland
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Security I&A Intelligence Oversight Guidelines (“I&A Intelligence Oversight
Guidelines”) (See Appendix), as appropriate; and
C. All I&A personnel comply with the requirements of this Instruction.
III. Content and Procedures
A. Training: I&A personnel are required to attend training on the I&A
Intelligence Oversight Guidelines within thirty days of commencing
employment at I&A and at least once per calendar year thereafter.
B. Compliance Reviews: The Intelligence Oversight Officer conducts
periodic reviews to verify compliance with the I&A Intelligence Oversight
Guidelines. These compliance reviews include, but are not limited to,
unannounced reviews (i.e., “spot checks”), reviews of audit logs, records
reviews, and employee and contractor interviews. I&A personnel are
required to support any compliance reviews and evaluations to the
maximum extent possible.
C. Reporting Requirement: To ensure the integrity of the intelligence
profession, I&A personnel who become aware of an actual or potential
violation of Federal criminal law or questionable activity are required to
report the matter to the Intelligence Oversight Officer or the Associate
General Counsel for Intelligence immediately.
D. Prohibition on Retaliation: I&A personnel are prohibited from subjecting
other individuals who have reported a violation of Federal criminal law or
other questionable activity to any adverse action or other form of
personnel action as a reprisal based upon the reporting of the
questionable activity.
E. Access to Information: The Intelligence Oversight Officer and the
Associate General Counsel for Intelligence are authorized to have access
to any information or intelligence necessary to perform their duties
described herein.
F. Preliminary Inquiry: Upon notification of any potential violation of
Federal criminal law or questionable activity, the Intelligence Oversight
Officer, in consultation with the Associate General Counsel for
Intelligence, commences a preliminary inquiry.
1. If, during the inquiry, the Intelligence Oversight Officer determines there is
reason to suspect a violation of Federal criminal law, he or she
immediately provides notice to the Associate General Counsel for
Intelligence for referral, as appropriate, to the Inspector General, the Chief
Security Officer, the Attorney General, and/or the Congress.
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a. Upon provision of notice of a suspected violation of Federal criminal
law, the Intelligence Oversight Officer suspends the preliminary inquiry
except to the extent that the Associate General Counsel for
Intelligence requests his or her assistance.
b. Any actions taken by the Intelligence Oversight Officer concerning a
suspected violation of Federal criminal law are undertaken subject to
the guidance and direction of the Associate General Counsel for
Intelligence.
2. Notice of any preliminary inquiry into a questionable activity is provided to
the USIA and the Associate General Counsel for Intelligence for referral,
as appropriate, to the Inspector General and Chief Security Officer within
five business days of initiation of the inquiry unless the inquiry gives rise to
a reasonable belief that the questionable activity constitutes a violation of
Federal criminal law, in which case such notice is provided immediately.
3. Notice of any preliminary inquiry giving rise to a reasonable belief that an
individual has engaged in an intelligence activity that violates an
international obligation, arrangement, or agreement applicable to the
Department is also provided to the Assistant Secretary for Policy no later
than two working days from the date on which the reasonable belief is
formed.
4. Notice of any preliminary inquiry giving rise to a reasonable belief that an
individual has engaged in an intelligence activity that violates national or
departmental policy concerning privacy or civil rights or civil liberties is
provided to the Chief Privacy Officer, the Officer for Civil Rights and Civil
Liberties, and the Associate General Counsel for Intelligence no later than
two working days from the date on which the belief is formed.
G. Facilitation of External Reporting: The Intelligence Oversight Officer
facilitates the reporting of questionable activities to appropriate external
entities as set forth below.
1. Violations of Federal Criminal Law: The Intelligence Oversight Officer
reports possible violations of Federal criminal law to the Associate
General Counsel for Intelligence for reporting in accordance with the
processes and procedures established in the Memorandum of
Understanding: Reporting of Information Concerning Federal Crimes,
August 22, 1995, or any successor agreement.
2. Intelligence Oversight Violations: The Intelligence Oversight Officer
reports intelligence activities that are unlawful or contrary to executive
order or presidential directive to the Associate General Counsel for
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Intelligence for referral to the Intelligence Oversight Board and the Director
of National Intelligence.
a. Significant or highly sensitive matters are reported immediately to the
Associate General Counsel for Intelligence for expedited referral to the
Intelligence Oversight Board and the Director of National Intelligence.
b. All other I&A intelligence activities that are unlawful or contrary to
executive or presidential directive are reported to the Associate
General Counsel for Intelligence in a timely manner to facilitate
quarterly reporting to the Intelligence Oversight Board and the Director
of National Intelligence.
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Department of Homeland Security
Office of Intelligence and Analysis
Intelligence Oversight Guidelines
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Table of Contents
INTRODUCTION ............................................................................................................................... 1
1. GENERAL PROVISIONS ......................................................................................................... 2
1.1. AUTHORIZED INTELLIGENCE MISSIONS ...................................................................................... 3
1.1.1. National Missions .................................................................................................................................... 3
1.1.2. Departmental Missions ........................................................................................................................... 3
1.2. GENERAL PROTECTIONS FOR UNITED STATES PERSONS INFORMATION .................. 4
1.3. REQUIRED CONSULTATION ................................................................................................................. 5
2. GUIDELINES FOR COLLECTION, RETENTION, AND DISSEMINATION ....... 6
2.1. COLLECTION ................................................................................................................................................ 6
2.1.1. Collection Method (Overtly or through Publicly Available Sources) ............................................. 6
2.1.2. Collection Techniques (Least Intrusive Means) ................................................................................. 6
2.1.3. Collection of USPI .................................................................................................................................. 8
2.2. RETENTION .................................................................................................................................................. 9
2.2.1. Retention for Evaluation ...................................................................................................................... 10
2.2.2. Permanent Retention ............................................................................................................................ 10
2.2.3. Information Categories ......................................................................................................................... 11
2.2.4. Additional Requirements for Certain Communications ................................................................. 15
2.3. DISSEMINATION ....................................................................................................................................... 15
2.3.1. General Dissemination Requirements ............................................................................................... 15
2.3.2. Dissemination of Unevaluated Information within the Intelligence Community ...................... 16
2.3.3. Dissemination with Approval .............................................................................................................. 17
2.3.4. Additional Requirements for Foreign Disseminations .................................................................... 17
2.3.5. Anonymization Requirement............................................................................................................... 17
3. SPECIAL GUIDELINES FOR BULK DATA TRANSFERS ..........................................17
3.1. BULK DATA COLLECTION ................................................................................................................... 19
3.2. RETENTION OF BULK DATA COLLECTIONS .............................................................................. 21
3.3. BULK DATA DISSEMINATIONS .......................................................................................................... 22
4. GUIDELINES FOR OTHER ACTIVITIES ........................................................................23
4.1. PARTICIPATION IN ORGANIZATIONS WITHIN THE UNITED STATES .......................... 23
4.1.1. Conduct Rising to the Level of Participation ................................................................................... 23
4.1.2. Participation on Behalf of I&A ........................................................................................................... 24
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4.1.3. Participation in a Personal Capacity ................................................................................................... 26
4.2. ASSISTANCE TO LAW ENFORCEMENT AND OTHER CIVIL AUTHORITIES ................. 26
4.3. REQUESTS FOR ASSISTANCE .............................................................................................................. 27
4.4. SHARED REPOSITORIES ........................................................................................................................ 27
5. MISCELLANEOUS PROVISIONS .......................................................................................28
5.1. EFFECTIVE DATE ..................................................................................................................................... 28
5.2. INTERPRETATION ................................................................................................................................... 28
5.3. DEPARTURES .............................................................................................................................................. 28
5.4. AMENDMENTS ........................................................................................................................................... 29
5.5. DELEGATION ............................................................................................................................................. 30
GLOSSARY OF DEFINED TERMS ............................................................................. Glossary-1
APPROVAL ........................................................................................................................ Approval-1
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INTRODUCTION
The Department of Homeland Security Office of Intelligence and Analysis (I&A) is
committed to delivering timely, actionable, predictive intelligence to its Federal, State, local,
tribal, territorial, international, and private sector partners in support of the Department’s
national and homeland security missions. At the same time, these activities must be
conducted in a manner that is consistent with all applicable requirements of the law,
including the Constitution, and that appropriately protects individuals’ privacy, civil rights,
and civil liberties. Executive Order No. 12,333, updated most recently on July 30, 2008,
requires all Intelligence Community elements, including I&A, to develop guidelines governing
the collection, retention, and dissemination of information concerning United States Persons that are
approved by the Attorney General after consultation with the Director of National
Intelligence.
*
Separate provisions of the executive order require guidelines for other
intelligence activities that also must be approved by the Attorney General.
The guidelines set forth below fulfill these requirements. They have been approved by the
Attorney General after consultation with the Director of National Intelligence. Although
many of the provisions of Executive Order No. 12,333 only apply to United States Persons
Information (USPI), as a matter of policy, DHS extends some of the guidelines’ protections to
all persons. The guidelines supersede the Memorandum from Charles E. Allen, Under
Secretary for Intelligence and Analysis, and Matthew L. Kronisch, Associate General
Counsel (Intelligence), Interim Intelligence Oversight Guidelines for the Office of
Intelligence & Analysis (Apr. 3, 2008).
The guidelines are divided into five parts. Part One sets forth general provisions applicable
to all I&A employees (including detailees or other Government personnel acting for I&A)
and contractors supporting I&A (hereinafter “I&A personnel”) in the conduct of their
intelligence activities. Part Two establishes standard guidelines for the collection, retention,
and dissemination of intelligence and information for intelligence purposes, while Part Three
delineates separate, special guidelines for bulk data transfers containing USPI. Part Four
concerns certain other activities conducted by I&A personnel, and Part Five contains
miscellaneous provisions regarding the guidelines. A glossary of defined terms is attached to
the document.
These guidelines ensure that I&A executes its vital mission to protect the Homeland without
compromising the values essential to our national identity as a free people. They apply to all
*
Defined terms are italicized when first used.
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I&A personnel when engaging in intelligence activities on behalf of I&A. It is the
responsibility of all I&A personnel to follow them.
1. GENERAL PROVISIONS
The guidelines set forth below apply to all I&A personnel engaging in any activity for an
intelligence purpose, including, but not limited to, the collection, retention, and
dissemination of intelligence and information. An activity is for an intelligence purpose
where it is intended to inform the tactical, operational, or strategic decision making by
national or departmental officials for national security, homeland security, border security, or
law enforcement purposes. The guidelines do not apply to I&A personnel acquiring,
maintaining, reviewing, or transferring intelligence or information for non-intelligence
purposes, such as administrative purposes (e.g., information about systems administration,
the performance of contractors, public affairs, correspondence files, personnel and training
records, or training materials); internal or external oversight of I&A activities; crimes
reporting not constituting a dissemination as authorized under section 2.3; or the retention,
processing, or disclosure of information to members of the public pursuant to requests
made under Title 5, United States Code, Section 552, “Freedom of Information Act,” or
Title 5, United States Code, Section 552a, “Privacy Act of 1974,” or pursuant to civil or
criminal discovery requests.
I&A personnel must abide by all applicable provisions and observe all applicable
requirements and restrictions imposed by the Constitution, the provisions of Executive
Order No. 12,333, the laws of the United States, applicable directives, and these guidelines.
I&A personnel are prohibited under all circumstances from requesting any other person to
engage in any conduct forbidden by these authorities. I&A personnel are prohibited under
all circumstances from engaging in any intelligence activities, including the dissemination of
information to the White House, for the purpose of affecting the political process in the
United States, for the sole purpose of monitoring activities protected by the First
Amendment or the lawful exercise of other rights secured by the Constitution or laws of the
United States, or for the purpose of retaliating against a whistleblower or suppressing or
burdening criticism or dissent. Further, as a matter of internal DHS policy, I&A personnel
are not permitted to engage in intelligence activities based solely on an individual’s or group’s
race, ethnicity, gender, religion, sexual orientation, gender identity, country of birth, or
nationality. The use of these characteristics, in combination with other information, is
permitted, where such use (1) is intended and reasonably believed to support one or more of
the national or departmental missions described below in Section 1.1 and (2) is narrowly
focused in support of that mission (or those missions). This does not otherwise limit the
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authorized collection, retention, or dissemination of biographic information of specific
individuals.
1.1. AUTHORIZED INTELLIGENCE MISSIONS
I&A personnel are authorized to engage in intelligence activities where they have a reasonable
belief that the activity supports one or more of the national or departmental missions listed
below. These missions reflect I&A’s range of authorities and responsibilities as an element
of the Intelligence Community and a component of the Department of Homeland Security,
and are not exclusive of one another—I&A activities can be in furtherance of both national
and departmental missions simultaneously.
1.1.1. National Missions
The intelligence activities of I&A personnel further a national mission where they assist the
President or other executive branch officials performing executive functions in the
development and conduct of foreign, defense, and economic policies or the protection of
the United States national interests from foreign security threats, or, as appropriate, where
they assist the Congress of the United States. Examples of foreign security threats include,
but are not limited to, the following:
a. International terrorism threats;
b. The proliferation of weapons of mass destruction;
c. Intelligence activities directed against the United States;
d. International criminal drug activities; and
e. Other hostile activities directed against the United States by foreign powers,
organizations, persons, and their agents.
1.1.2. Departmental Missions
The intelligence activities of I&A personnel further a departmental mission where they assist
the Department, other departments and agencies of the Federal Government, State and local
government agencies and authorities, the private sector, or other entities in identifying
protective and support measures regarding threats to homeland security, including, but not
limited to:
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a. Domestic terrorism threats;
b. Threats to critical infrastructure and key resources;
c. Significant threats to the Nation’s economic security, public health, or public
safety, including, but not limited to, local manifestations of national threats (e.g.,
local outbreaks of diseases reasonably likely to pose the risk of becoming a
national pandemic);
d. Major disasters and other catastrophic acts; and
e. Any other threat of such severity and magnitude that effective response would be
beyond the capabilities of any affected State and local governments, such that
Federal assistance would be necessary.
In addition, the intelligence activities of I&A personnel further a departmental mission
where they support the Secretary, the Deputy Secretary, the DHS Chief of Staff, or their
respective staff, Component Heads, or any other departmental officials, offices, or elements
in the execution of their lawful missions.
1.2. GENERAL PROTECTIONS FOR UNITED STATES PERSONS
INFORMATION
I&A personnel must take reasonable steps to determine whether intelligence or information
contains USPI at the point at which the intelligence or information is first obtained by I&A.
A person within the United States is presumed to be a United States Person unless specific
information to the contrary is obtained. A person outside the United States or whose
location is unknown is presumed not to be a United States Person unless specific
information to the contrary is obtained.
With respect to USPI, I&A personnel will only access and/or use USPI when they have
appropriate security clearances, accesses, and a mission requirement (consistent with the
missions set forth above at Section 1.1). Further, when retrieving information electronically,
I&A personnel will tailor their queries or other techniques to the extent practicable to
minimize the amount of USPI returned that is irrelevant to fulfilling the purpose of the
query. To facilitate compliance with these requirements, I&A will:
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a. Take reasonable steps to audit access to information systems containing USPI and
periodically audit queries or other search terms to assess compliance with these
guidelines;
b. As practicable, establish written procedures to document the basis for conducting
a query of unevaluated information that is intended to reveal USPI;
c. Take reasonable steps when developing and deploying information technology
systems containing USPI to ensure effective auditing and reporting as required by
these guidelines;
d. Establish documented procedures for retaining USPI and recording the reason
for retaining such information and the authority approving the retention;
e. Regularly train I&A personnel who access or use USPI on the civil rights, civil
liberties, and privacy protections that apply to such information; and
f. Periodically evaluate the adequacy of the temporary retention periods established
for evaluating USPI in Sections 2.2.1 and 3.2.
1.3. REQUIRED CONSULTATION
I&A personnel must consult with the Office of the General Counsel/Intelligence Law
Division prior to engaging in any intelligence activity under the following circumstances:
a. Where the activity contemplated represents a new or significantly revised I&A
intelligence initiative;
b. Where there is any reason to believe that the activity contemplated does not fall
within the scope of one or more of the national and departmental missions
described above in Section 1.1;
c. Before tasking a person or organization outside the Intelligence Community or
asking such a person or organization to collect intelligence or information on
behalf of I&A; or
d. Before making a request for assistance from another entity pursuant to Section
4.3 below.
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2. GUIDELINES FOR COLLECTION, RETENTION, AND
DISSEMINATION
This Part establishes the standard guidelines governing the collection, retention, and
dissemination of intelligence and information. It does not apply to bulk data transfers,
which are subject to the special guidelines set forth in Part Three. At all times, I&A
personnel must have a reasonable belief that any intelligence activity they engage in furthers
one or more of the national or departmental missions described above in Section 1.1 for the
activity to be authorized.
2.1. COLLECTION
I&A personnel may access intelligence or information where they have a reasonable belief
that viewing the intelligence or information would further one or more of the national or
departmental missions described above in Section 1.1. To proceed from access to collection
of the intelligence or information, I&A personnel must also satisfy the requirements and
abide by the restrictions described below. There are three categories of these requirements
and restrictions: (a) those pertaining to the method of collection (i.e., the requirement that
collection be overt or through publicly available sources); (b) those pertaining to collection
techniques (e.g., the requirement that collection be made through the least intrusive
collection techniques feasible); and (c) those pertaining to the collection of USPI. I&A
personnel must satisfy all three categories of requirements and restrictions for collection to
be authorized.
2.1.1. Collection Method (Overtly or through Publicly Available Sources)
In accordance with Section 1.7 of Executive Order 12,333, I&A personnel are only
authorized to (1) use overt collection methods or (2) to collect information from publicly
available sources.
2.1.2. Collection Techniques (Least Intrusive Means)
I&A personnel are required to use the least intrusive collection techniques feasible and
sufficient when collecting USPI or when collecting intelligence or information within the
United States. The collection of such intelligence or information from publicly available
sources or with the consent of the subject of the intelligence or information is generally less
intrusive than collection from a cooperating source. I&A personnel are required to consult
with the Office of the General Counsel/Intelligence Law Division prior to taking or
refraining from taking any action based upon implied consent to ensure that adequate notice
has been provided to the individual consenting to collection.
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I&A personnel are permitted to engage in physical surveillance, the use of mail covers, and the use
of monitoring devices only to the extent permitted by and consistent with Sections 2.1.2.2–
2.1.2.3 below. I&A personnel are not permitted to engage in electronic surveillance or
unconsented physical searches. Use of these techniques within the United States will be
coordinated with the Federal Bureau of Investigation, consistent with Executive Order No.
12,333 or applicable law or memorandum of understanding.
2.1.2.1.
Physical Surveillance
I&A personnel are permitted to engage in physical surveillance of former or current I&A
personnel or applicants to I&A for counterintelligence purposes subject to the following
requirements:
a. Any physical surveillance must be approved in writing by the Under Secretary for
Intelligence and Analysis (or his or her designee) in consultation with the Office
of the General Counsel/Intelligence Law Division;
b. The surveillance must be performed consistent with standard operating
procedures issued by the Under Secretary for Intelligence and Analysis after
review by (a) the Office of the General Counsel/Intelligence Law Division to
ensure that the procedures are consistent with any applicable legal requirements,
(b) the Intelligence Oversight Officer to ensure that the procedures are consistent
with these guidelines, and (c) the DHS Privacy Office and DHS Office for Civil
Rights and Civil Liberties to ensure that the procedures appropriately protect
individuals’ privacy, civil rights, and civil liberties. These procedures will identify
the standard that the Under Secretary for Intelligence and Analysis will use to
approve requests for physical surveillance;
c. On a DHS facility, any such surveillance must comport with the requirements for
overt collection, and such surveillance is prohibited in circumstances where the
target of the surveillance has a reasonable expectation of privacy;
d. While approvals may be renewed, no single approval shall be for a period in
excess of 72 hours; and
e. I&A personnel are not authorized to conduct physical surveillance outside of
DHS facilities, but may seek the assistance of a DHS law enforcement
component, or an element of the Intelligence Community explicitly authorized to
conduct counterintelligence activities pursuant to Executive Order No. 12,333, as
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appropriate, to conduct physical surveillance outside of DHS facilities consistent
with the assisting organization’s authorities.
2.1.2.2.
Mail Covers
I&A personnel may request mail covers for mail that is within the possession of the
Department of Homeland Security. For all other mail, I&A personnel may seek the
assistance of a DHS law enforcement component or the Federal Bureau of Investigation, as
appropriate, in requesting that the United States Postal Service perform a mail cover to the
extent permitted by and consistent with 39 C.F.R. § 233.3 (2016) (or any succeeding
regulation or equivalent authority). Any mail cover must be for counterintelligence purposes
and requires the approval of
the Office of the General Counsel/Intelligence Law Division.
I&A personnel are not otherwise permitted to engage in mail searches.
2.1.2.3.
Use of Monitoring Devices
I&A personnel are permitted to use monitoring devices only for counterintelligence
purposes and subject to the following requirements and restrictions.
The use of monitoring devices, excluding concealed monitoring devices, within the United States
or directed at United States Persons is permitted only where (1) the Under Secretary for
Intelligence and Analysis (or his or her designee) has determined that the monitoring is
necessary to the conduct of an authorized counterintelligence function and (2) the Office of
the General Counsel/Intelligence Law Division has determined that the monitoring would
occur under conditions where the targets of the monitoring would have no reasonable
expectation of privacy, the monitoring does not require trespass, the monitoring does not
constitute electronic surveillance, and the monitoring involves either overt collection or the
collection of publicly available information.
The use of concealed monitoring devices by I&A personnel is not authorized. I&A
personnel may seek the assistance of a DHS law enforcement component or the Federal
Bureau of Investigation, as appropriate, in requesting the use of concealed monitoring
devices consistent with the assisting organization’s authorities. Any such request requires
the approval of
the Office of the General Counsel/Intelligence Law Division.
2.1.3. Collection of USPI
In addition to the requirements and restrictions on collection listed above, I&A personnel
are subject to additional requirements and restrictions concerning the collection of USPI.
These rules vary for intentional collection of USPI, incidental collection of USPI, and USPI that
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is volunteered to I&A. Any collection within the United States will be coordinated with the
Federal Bureau of Investigation consistent with Executive Order No. 12,333 or applicable
law or memorandum of understanding. Any collection outside the United States will be
coordinated with the Central Intelligence Agency, as appropriate.
2.1.3.1.
Intentional Collection of USPI
I&A personnel may intentionally collect USPI where they have a reasonable belief that the
collection activity furthers one or more of the national or departmental missions listed above
in Section 1.1 and will result in the acquisition of USPI that falls within one or more of the
standard or supplemental information categories described below in Section 2.2.3.
2.1.3.2.
Incidental Collection of USPI
I&A personnel may incidentally collect USPI that could not be intentionally collected where
the following requirements are satisfied:
a) Collecting information about the target of the collection is consistent with all applicable
requirements of law and policy, including these guidelines;
b) The incidentally acquired information is not itself deliberately sought; and
c) It would create an unreasonable burden to collect the information about the target
without collecting the additional, non-targeted information.
2.1.3.3.
Volunteered USPI
I&A personnel may collect volunteered USPI that could not be intentionally or incidentally
collected where (a) the USPI is not received through the action or at the behest of I&A
personnel and (b) there is no mutual expectation between I&A and the provider of the
USPI, whether explicit or inferred based upon past practice, that such information is to be
provided on a regular or recurring basis.
2.2. RETENTION
The retention of intelligence or information, whether collected or otherwise obtained by
I&A, is permitted only to the extent there is a reasonable belief that retention furthers one or
more of the national or departmental missions listed above in Section 1.1 and the USPI falls
within one of two categories: (a) retention for evaluation or (b) permanent retention.
Retention in either of these categories is subject to requirements and restrictions, as set forth
below.
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2.2.1. Retention for Evaluation
As an initial matter, I&A personnel may temporarily retain USPI for the limited purpose of
evaluating whether the USPI qualifies for permanent retention by I&A. The evaluation
period cannot exceed 180 days from the date on which the USPI is collected unless the
USPI is not initially believed to be USPI, in which case the evaluation period commences
from the date on which the USPI is known or reasonably should have been known to
constitute USPI. I&A personnel must delete all USPI that does not qualify for permanent
retention pursuant to Section 2.2.2 below once the evaluation period expires or when it is
conclusively determined that the USPI does not qualify for permanent retention by I&A,
whichever occurs first. This section does not apply to bulk data transfers, which are subject
to the special guidelines set forth in Part Three.
These requirements notwithstanding, I&A personnel may temporarily retain USPI for
further evaluation for additional 180-day increments—but in any event no longer than five
years total—where (a) the Under Secretary for Intelligence and Analysis determines that
there is a significant likelihood based upon the content of the USPI and/or the
circumstances under which it was encountered that further evaluation will result in the
identification of intelligence or information that qualifies for permanent retention pursuant
to Section 2.2.2 below, (b) the Office of the General Counsel/Intelligence Law Division is
afforded an opportunity to consider in a timely manner whether further retention would
violate any applicable legal requirements, (c) the Intelligence Oversight Officer is afforded an
opportunity to consider in a timely manner whether further retention would be consistent
with these guidelines, and (d) the DHS Privacy Office and the DHS Office for Civil Rights
and Civil Liberties are afforded an opportunity to consider in a timely manner whether the
technical and policy safeguards under which the USPI would be retained are sufficient to
appropriately protect the privacy, civil rights, and civil liberties of the United States Persons
whose information is subject to evaluation.
2.2.2. Permanent Retention
I&A personnel may permanently retain USPI where the USPI furthers one or more of the
national or departmental missions listed above in Section 1.1 and falls within one or more of
the standard or supplemental information categories set forth in Section 2.2.3. I&A
personnel must record or denote the authorized national or departmental mission or
missions (of those listed above in Section 1.1) that would be furthered by permanent
retention and the standard or supplemental information category or categories of
information (of those listed in Section 2.2.3) that permit the permanent retention of the
USPI. Further, I&A personnel must identify and mark files reasonably believed to contain
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USPI and, to the greatest extent possible, mark specific files and documents containing
USPI in accordance with standards promulgated by the Director of National Intelligence
regardless of the format or location of the USPI or the method for storing such USPI.
Where I&A personnel conclude that permanently retained USPI no longer satisfies the
requirements for permanent retention set forth above, they will delete all forms of that USPI
regardless of format or location.
2.2.3. Information Categories
Standard information categories support I&A’s national missions under Section 1.1.1, while
supplemental information categories support I&A’s departmental missions under Section
1.1.2; like I&A’s missions, these standard and supplemental information categories are not
exclusive of one another.
I&A personnel may collect and retain USPI that falls within one or more of the following
standard or supplemental information categories so long as that collection or retention
comports with all other applicable provisions of these Guidelines.
2.2.3.1.
Standard Information Categories
a. Consent: The USPI of a United States Person who has consented to collection of
the information.
b. Publicly Available: The USPI is publicly available.
c. Foreign Intelligence: The USPI is reasonably believed to constitute foreign
intelligence where the USPI falls within one or more of the subcategories listed
below.
i. Foreign Intelligence (International Terrorism): The USPI is reasonably
believed to relate to the existence, organization, capabilities, plans, intentions,
means of finance or material support, or activities of groups or individuals
involved in international terrorism; to threats posed by such groups or
individuals to the United States, United States Persons, or United States
interests, or to those of other nations; or to communications between such
groups and other individuals reasonably believed to be assisting or associating
with them to such a degree that collection of USPI concerning such
associates would assist in understanding international terrorism.
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ii. Foreign Intelligence (International Narcotics Activities): The USPI is
reasonably believed to relate to activities outside the United States involving
the production, transfer, or distribution of significant quantities of narcotics
or other controlled substances in violation of Federal law, or activities within
the United States that are directly connected to such activities.
iii. Foreign Intelligence (Other): The USPI is reasonably believed to constitute
foreign intelligence even if that foreign intelligence does not pertain to
international terrorism or international narcotics activities as described above
under the following circumstances:
1. Where the USPI concerns an individual reasonably believed to be an
officer or employee, or otherwise acting for or on behalf of, a foreign
power;
2. Where the USPI concerns an organization or group reasonably believed to
be owned or controlled, directly or indirectly, by a foreign power;
3. Where the USPI concerns a corporation or other commercial organization
reasonably believed to be acting for or on behalf of a foreign power,
organization, or person engaged in clandestine intelligence activities,
sabotage, assassinations, or international terrorist activities;
4. Where the USPI concerns an individual, organization, or group reasonably
believed to be engaged in or preparing for—on behalf of a foreign
power—attacks on or intrusions into DHS information systems, any DHS
contractors’ information systems that impact DHS personnel, property, or
missions, or Federal Government national security systems; or
5. Where the USPI concerns an individual reasonably believed to be a
prisoner of war, missing in action, or (other than with respect to members
of the Armed Forces) engaged or involved in an armed conflict or
hostilities abroad, or who is the target, hostage, or victim of an
international terrorist organization.
d. Counterintelligence: The USPI is reasonably believed to relate to an individual,
organization, or group reasonably believed to be engaged in or preparing for
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espionage, other intelligence activities, sabotage, or assassination on behalf of a
foreign power, organization, or person, or the USPI is reasonably believed to
relate to a United States Person in contact with such an individual, organization,
or group, but only for the purpose of identifying that United States Person and
assessing any relationship between the United States Person and such individual,
organization, or group.
e. Investigative Information: The USPI is reasonably believed to have been
acquired in the course of a lawful foreign intelligence, counterintelligence,
international drug trafficking, or international terrorism investigation.
f. Threats to Safety: The USPI is reasonably believed to be necessary to protect
against a clear, imminent threat to the safety of any person or organization,
including those who are targets, victims, or hostages of international terrorist
organizations.
g. Protection of Intelligence Sources and Methods: The USPI is reasonably believed
to concern individuals who have access to, had access to, or are otherwise in
possession of information that reveals foreign intelligence or counterintelligence
sources or methods or activities, provided that such USPI is reasonably believed
to be necessary to protect against the unauthorized disclosure of such
information, and provided that, within the United States, I&A personnel are
required to limit the collection of USPI to persons who are (i) present or former
employees of I&A, (ii) present or former contractors of I&A or their present or
former employees, or (iii) applicants for such employment or contracting.
h. Current, Former, or Potential Sources of Assistance: The USPI is reasonably
believed to concern individuals who are or have been sources of information or
assistance or who are reasonably likely to be of value as sources of information or
assistance to the intelligence activities of I&A (or any other element of the
Intelligence Community for whom the source would be useful) for the purpose of
assessing their suitability or credibility, except that this category does not include
USPI arising in investigations undertaken for personnel security purposes. Any
such collection requires approval by the Under Secretary for Intelligence and
Analysis accompanied by notice to the Intelligence Oversight Officer and the
Associate General Counsel for Intelligence.
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i. Personnel, Physical, and Communications Security: The USPI is reasonably
believed to have been obtained pursuant to a lawful personnel, physical, or
communications security investigation.
j. Overhead Reconnaissance: The USPI is reasonably believed to have been
collected by overhead reconnaissance that was not directed at specific United
States Persons.
2.2.3.2.
Supplemental Information Categories
a. Critical Infrastructure and Key Resources: The USPI is reasonably believed to
relate to threats to or the vulnerabilities of the critical infrastructure or key
resources of the United States, including, but not limited to, cyber security threats
or weapons of mass destruction.
b. Border Security: The USPI is reasonably believed to relate to threats to the safety
or integrity of the United States borders, including, but not limited to,
information about individuals engaging in activities that violate or are intended to
violate immigration or customs laws or regulations.
c. Domestic Terrorism: The USPI is reasonably believed to relate to the existence,
organization, capabilities, plans, intentions, means of finance or material support,
or activities of domestic groups or individuals involved in domestic terrorism; to
threats posed by such groups or individuals to the United States, United States
Persons, or United States interests; or to communications between such groups or
individuals reasonably believed to be assisting or associating with them to such a
degree that retention of USPI concerning such associates would assist in
understanding domestic terrorist groups or individuals involved in domestic
terrorism.
d. Vulnerabilities The USPI is reasonably believed to relate to vulnerabilities to
international or domestic terrorism or other threats to homeland security.
e. Departmental Investigative Information: The USPI is reasonably believed to
have been acquired in or relevant to the course of a lawful departmental
investigation or enforcement action.
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f. Major Disasters: The USPI is reasonably believed to be necessary to understand,
prevent, preempt, deter, or respond to major natural or manmade disasters or
other catastrophic acts.
g. Protected Individuals, Groups, and Events: The USPI is reasonably believed to
relate to threats to individuals, groups, property, or events protected by the
Department of Homeland Security, including Components within the
Department.
h. Other Threats to Homeland Security: The USPI is reasonably believed to relate
to any other threat of such severity and magnitude that Federal assistance is
needed to supplement State and local efforts or capabilities to save lives and to
protect property and public health and safety, or to lessen or avert the threat of a
catastrophe in any part of the United States, including, but not limited to,
significant threats to the Nation’s economic security, public health, or public
safety.
2.2.4. Additional Requirements for Certain Communications
In addition to complying with the requirements for evaluation or permanent retention as
described above in Sections 2.2.1–2.2.2, I&A personnel may retain telephonic or electronic
communications subject to Section 309 of the Intelligence Authorization Act for Fiscal Year
2015 for more than five years only where they comply with the requirements of Section
309(b)(3)(B) of that Act.
2.3. DISSEMINATION
Like collection and retention, the dissemination of intelligence or information is permitted
only to the extent there is a reasonable belief that dissemination furthers one or more of the
national or departmental missions listed above in Section 1.1. The dissemination of USPI is
subject to additional requirements and restrictions. These requirements and restrictions vary
according to whether the dissemination is to another element of the Intelligence Community
or outside the Intelligence Community.
2.3.1. General Dissemination Requirements
I&A personnel may disseminate USPI where all three of the following requirements are met:
a. The USPI is permanently retainable by I&A pursuant to Section 2.2.2 above;
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b. The recipient is one of the following:
i. A Federal, State, local, tribal, or territorial government entity (not including
an element of the Intelligence Community) with law enforcement,
counterterrorism, or national or homeland security-related functions;
ii. An element of the Intelligence Community, and the USPI relates to a
standard information category identified in Section 2.2.3.1 above, or, where
the USPI relates only to a supplemental information category identified in
Section 2.2.3.2 above, I&A personnel have confirmed the recipient’s authority
to receive the USPI;
iii. A foreign government, international, or multinational entity;
iv. Another element or office of the Department; or
v. A private sector entity or individual with responsibilities relating to homeland
security; and
c. There is a reasonable belief that dissemination would assist the recipient of the
USPI in fulfilling one or more of the recipient’s lawful intelligence,
counterterrorism, law enforcement, or other homeland security-related functions.
2.3.2. Dissemination of Unevaluated Information within the Intelligence
Community
Notwithstanding the general dissemination requirements of Section 2.3.1 above, and in
accordance with E.O. 12,333 Section 2.3, I&A personnel may disseminate USPI to other
appropriate elements of the Intelligence Community for purposes of allowing the recipient
Intelligence Community element to determine whether the information is relevant to its
responsibilities and can be retained by it. This dissemination is permitted both where the
USPI is being temporarily retained by I&A for evaluation to determine whether it may be
permanently retained by I&A in accordance with Sections 2.2.2 and 2.2.3.1 above (in which
case neither the 180 day cap on evaluation nor the conclusive determination deletion
requirement of Section 2.2.1 will apply to other elements of the Intelligence Community), or
where the I&A personnel choose to disseminate the unevaluated USPI in accordance with
the bulk data procedures set forth in Section 3.3 below.
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2.3.3. Dissemination with Approval
The requirements set forth above in Sections 2.3.1–2.3.2 notwithstanding, I&A personnel
may disseminate USPI outside I&A where such dissemination is approved by the Under
Secretary for Intelligence and Analysis in consultation with the Associate General Counsel
for Intelligence, the Chief Privacy Officer, the Officer for Civil Rights and Civil Liberties,
the Intelligence Oversight Officer, and the Assistant Attorney General for National Security.
Approval will only be granted where dissemination is permitted by and consistent with
applicable law and policy and is done in a manner that appropriately protects the privacy,
civil rights, and civil liberties of the United States Persons whose information would be
disseminated.
2.3.4. Additional Requirements for Foreign Disseminations
In addition to the general requirements for dissemination described above, the dissemination
of USPI to foreign governments or international or multinational entities is permissible only
where the Under Secretary for Intelligence and Analysis or his or her designee determines
that dissemination (disclosure or release) of the USPI is consistent with any applicable
international agreements and foreign disclosure and release policies and directives, including
any policies and directives requiring analysis of harm to any individual.
2.3.5. Anonymization Requirement
Prior to disseminating USPI pursuant to either Section 2.3.1 or Section 2.3.3, I&A personnel
must evaluate whether the USPI would materially assist the intended recipient in using or
understanding the disseminated intelligence or information. Where including the USPI
would not materially assist the intended recipient in this manner, I&A personnel must
replace it with a generic marking identifying the individual as a United States Person (e.g.,
“U.S. Person,” “USPER,” etc.). Where USPI is included, notice of that information must be
provided through an advisory indicating that USPI is contained within the record or
document being disseminated and by highlighting the USPI in a manner that clearly
identifies it as such. These requirements do not apply to the dissemination of (1) publicly
available information; (2) USPI disseminated with the consent of the person concerned; or
(3) intelligence products or reports originating from other Intelligence Community elements
provided those products or reports are not materially authored or altered by I&A personnel.
3. SPECIAL GUIDELINES FOR BULK DATA TRANSFERS
This Part establishes special guidelines applicable to bulk data transfers reasonably likely to
contain USPI. It applies only to bulk data transfers to or from I&A and is an alternative to
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the collection, retention, or dissemination standard procedures set forth above. Except as
otherwise specified, bulk data transfers conducted under this Part are not subject to
collection, retention, and dissemination requirements described in Part 2. This Part does not
apply to bulk data transfers that are not reasonably likely to contain USPI, or to bulk data
transfers (or segregable portions of bulk data transfers) that can be permanently retained by
I&A upon receipt consistent with Section 2.2.2 above. Except as provided in the last
paragraph of Section 3.2 below, these requirements also do not apply to bulk data collection of
volunteered information. I&A may engage in the bulk data collection of volunteered
information subject to the same standard requirements and restrictions governing the
collection of volunteered information as set forth above at Section 2.1.3.3. Finally, the
guidelines do not apply to bulk data transfers consisting exclusively of publicly available
information, information whose use or dissemination is governed by court order or other
procedures approved by the Attorney General, or information contained in intelligence
products or reports obtained by I&A personnel in the ordinary course of their official duties.
Where USPI in a bulk data transfer is identified and segregated from the remainder of the
information, the requirements and restrictions provided below apply only to the USPI, not
the remainder of the information.
As with all of its intelligence activities, I&A is authorized to engage in bulk data transfers
only where it is reasonable to believe that a transfer to or from I&A would further one or
more of the national or departmental missions listed above in Section 1.1, and all bulk data
collection must be overt or through publicly available sources consistent with the
requirements of Section 2.1.1 above. Further, any bulk data transfers to or from I&A must
be permitted by and consistent with any applicable departmental policies or procedures.
Generally, the Department encourages the use of alternatives to bulk data transfers, such as
the provision of account access, the provision of specific records in response to requests for
information, or the comparison of data within DHS-controlled environments, where those
alternatives adequately support the information needs of the requestor. Accordingly, all bulk
data transfers reasonably likely to contain USPI must be approved by the Under Secretary
for Intelligence and Analysis after providing an opportunity for timely consideration by (a)
the Office of the General Counsel to ensure that any such transfers are consistent with any
applicable legal requirements, (b) the Intelligence Oversight Officer to ensure that any such
transfers are consistent with these guidelines, and (c) the DHS Privacy Office and DHS
Office for Civil Rights and Civil Liberties to ensure that any such transfers are conducted in
a manner that appropriately protects individuals’ privacy, civil rights, and civil liberties.
The
Under Secretary for Intelligence and Analysis, working with the Office of the General
Counsel/Intelligence Law Division, the DHS Privacy Office, the DHS Office for Civil
Rights and Civil Liberties, and the Intelligence Oversight Officer, will review I&A bulk data
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collections not previously determined to contain USPI every three years to assess whether
this determination remains accurate.
3.1. BULK DATA COLLECTION
With the exception of volunteered information, I&A may engage in a bulk data collection
containing USPI only where two requirements are met. First, prior to engaging in the bulk
data collection, the Under Secretary for Intelligence and Analysis must make the following
determinations in writing:
a. A determination that bulk data collection is the only practicable means of
identifying or using the information in the collection that will support an
authorized I&A mission (of the list set forth above in Section 1.1);
b. A determination that, to the greatest extent practicable, only those data elements
that are reasonably likely to support an authorized I&A mission (of the list set
forth above in Section 1.1) are collected; and
c. A determination that the bulk data collection is reasonable in light of the totality
of the circumstances, including, but not limited to, the following:
i. The expected contribution of the bulk data collection to a national or
departmental mission;
ii. The methods and means by which the information was acquired and/or
aggregated by the data provider;
iii. The volume, proportion, nature, and sensitivity of the personally identifiable
information collected; and
iv. The safeguards to be applied to the collected information.
Second, any bulk data collection containing USPI will be subject to terms and conditions
issued by the Under Secretary for Intelligence and Analysis. Prior to issuance, these terms
and conditions will be submitted for timely consideration by (a) the Office of the General
Counsel to ensure that the terms and conditions are consistent with any applicable legal
requirements, (b) the Intelligence Oversight Officer to ensure that the terms and conditions
are consistent with these guidelines, and (c) the DHS Privacy Office and DHS Office for
Civil Rights and Civil Liberties to ensure that the terms and conditions appropriately
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protects individuals’ privacy, civil rights, and civil liberties. These terms and conditions must
include the following protections for USPI:
a. A requirement that any I&A personnel provided access to the bulk data collection
receive training in the use of that information to ensure they understand the
safeguards applicable to the information and any other requirements involved in
accessing and using the information;
b. A requirement that the bulk data collection be received, stored, and used in a
secure manner that appropriately protects intelligence sources and methods and
related sensitivities consistent with all applicable legal and policy requirements;
c. A defined period of time during which the bulk data collection will be retained for
evaluation pursuant to Section 3.2 below; and
d. A description of the means and methods by which the bulk data collection will be
evaluated.
These terms and conditions must also include any other safeguards for USPI that are
appropriate under the circumstances. Examples include the following:
a. Procedures for the review, approval, or enhanced auditing of any access to or
searches conducted in the bulk data collection;
b. Procedures to restrict access to or dissemination from the bulk data collection;
c. Procedures to mask any personally identifiable information within the bulk data
collection;
d. Physical or logical access controls for the bulk data collection, including data
segregation or policy-, attribute-, or role-based access;
e. A requirement that I&A use reasonable measures to identify and mark USPI
within the data transferred in bulk to the extent appropriate;
f. Reporting metrics on the use and disposition of personally identifiable
information within the bulk data collection to the extent appropriate;
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g. Appropriate procedures to address the correction of any erroneous or outdated
data and, where appropriate, individual redress;
h. Appropriate conditions on third-party dissemination;
i. Regular reporting, or reviews by the Office of the General Counsel/Intelligence
Law Division, the DHS Privacy Office, the DHS Office for Civil Rights and Civil
Liberties, and the Intelligence Oversight Officer regarding the use of the bulk
data, including the application of any advanced analytic tools to the data, any
sharing of the data with third parties, and whether there continues to be a need
for retention of the data in bulk; and
j. Limitations on the amount of time personally identifiable information within the
bulk data collection is subject to access and use by I&A personnel.
These terms and conditions may be memorialized in an agreement with the data provider or
internally by I&A. If the terms and conditions are developed internally, I&A must make
reasonable efforts to provide the data provider with notice of the internal terms and
conditions. Generally, they should be developed and executed prior to collection, but they
must be developed and executed before the data collected is made available for any analytic
or other intelligence uses.
3.2. RETENTION OF BULK DATA COLLECTIONS
I&A retains bulk data collections, including any USPI within the collections, for the limited
purpose of evaluating whether records within the collections constituting or containing
USPI qualify for permanent I&A retention under the standard requirements and restrictions
applicable to permanent retentions as set forth in Section 2.2.2 above. This evaluation must
be performed within a defined evaluation period, which commences when the bulk data
collection is first made available for evaluation following any necessary formatting, testing,
and loading. Records that are determined to neither constitute nor contain USPI and
records constituting or containing USPI that qualify for permanent retention pursuant to
Section 2.2.2 above may be retained beyond the evaluation period. All other records,
including, but not limited to, paper and electronic copies, must be deleted once the
evaluation period expires.
The evaluation period for each bulk data collection is memorialized in the terms and
conditions governing that bulk data collection as required by Section 3.1 above. As an initial
matter, the evaluation period may not exceed five years. I&A may, however, extend the
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evaluation period in one-year increments where (a) the Under Secretary for Intelligence and
Analysis determines that there is a significant likelihood that further evaluation of the bulk
data collection will identify intelligence or information that that qualifies for permanent
retention pursuant to Section 2.2.2 above, (b) the Office of the General Counsel/Intelligence
Law Division concludes in a timely manner that further retention would not violate any
applicable legal requirements, (c) the Intelligence Oversight Officer concludes in a timely
manner that further retention would be consistent with these guidelines, and (d) the DHS
Privacy Office and the DHS Office for Civil Rights and Civil Liberties conclude in a timely
manner that that the technical and policy safeguards under which the USPI would be
retained are sufficient to appropriately protect the privacy, civil rights, and civil liberties of
the United States Persons whose information is subject to evaluation. The maximum
evaluation period for a bulk data collection, including any extensions granted by the Under
Secretary for Intelligence and Analysis, is ten years.
Bulk data collections that are volunteered to I&A or collected without preexisting terms and
conditions are subject to the standard requirements and restrictions governing retention for
evaluation as set forth above at Section 2.2.1 unless I&A executes terms and conditions as
described above in Section 3.1. Further, any retention of telephonic or electronic
communications subject to Section 309 of the Intelligence Authorization Act of 2015 will be
retained for no more than five years unless further retention satisfies the requirements of
Section 309(b)(3)(B) of that Act.
3.3. BULK DATA DISSEMINATIONS
I&A may engage in a bulk data dissemination of unevaluated information reasonably likely to
contain USPI to another element of the Intelligence Community in one of two ways, as
directed by the Undersecretary for Intelligence and Analysis or his designee following
consideration by (a) the Office of the General Counsel/Intelligence Law Division to ensure
that the protections are consistent with any applicable legal requirements, (b) the Intelligence
Oversight Officer to ensure that the protections are consistent with these guidelines, and (c)
the DHS Privacy Office and DHS Office for Civil Rights and Civil Liberties to ensure that
the protections appropriately safeguard individuals’ privacy, civil rights, and civil liberties.
Under the first, the recipient agrees to provide protections to the data that are comparable to
those provided by I&A. For example, the recipient Intelligence Community element’s
application of its own Attorney General-approved procedures to the bulk data may
constitute comparable protection. Under the second, I&A will negotiate alternative
protections, memorialized in written terms and conditions between the recipient element
head (or his or her designee) and the Under Secretary for Intelligence and Analysis.
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I&A may only engage in a bulk data dissemination reasonably likely to contain USPI to an
entity outside the Intelligence Community pursuant to written terms and conditions
established between the Under Secretary for Intelligence and Analysis and an authorized
representative of the recipient of the dissemination. All bulk data disseminations to foreign
governments or international or multinational entities are subject to the requirements and
restrictions set forth above in Section 2.3.4.
The Under Secretary for Intelligence and Analysis must consult with the Office of the
General Counsel/Intelligence Law Division, the Privacy Office, the Office for Civil Rights
and Civil Liberties, and the Intelligence Oversight Officer before agreeing to terms and
conditions with either an Intelligence Community element or an external entity. Moreover,
the terms and conditions must include the protections required in the second paragraph of
Section 3.1. Generally, they must be developed and executed prior to dissemination. I&A
may, however, engage in bulk data dissemination where the Under Secretary for Intelligence
and Analysis determines that there are exigent circumstances (as described below in Section
5.3) requiring the dissemination. Where an emergency dissemination of that nature occurs,
the terms and conditions governing the bulk data dissemination will be established as soon
as possible, but in any event before any further bulk data dissemination unrelated to the
exigent circumstances occurs.
4. GUIDELINES FOR OTHER ACTIVITIES
This Part establishes guidelines for the conduct of certain other activities by I&A personnel
as described below.
4.1. PARTICIPATION IN ORGANIZATIONS WITHIN THE UNITED
STATES
I&A personnel may only participate in organizations within the United States or
organizations outside the United States that are United States Persons to the extent
permitted by and consistent with the requirements set forth below.
4.1.1. Conduct Rising to the Level of Participation
I&A personnel participate in an organization when they take part in an organization’s
activities and interact with its members within the structure or framework of the
organization. Such actions include, but are not limited to, the following:
a. Joining or acquiring membership;
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b. Attending or taking part in organizational meetings, academic activities, seminars,
trade fairs, workshops, conferences, exhibitions, symposia, social functions, or
fora for communication through the use of technology;
c. Carrying out the work or functions of the organization;
d. Serving as a representative of the organization; or
e. Contributing funds to the organization other than in payment for goods or
services.
Participation does not include occasional passive attendance at events that are open to the
public, including non-members; however, it does include attending or taking part in any
meetings or activities—even passively—of an organization that is closed to the public (i.e.,
meetings or activities exclusive to members and/or invited guests). Participation also does
not include taking part in events outside the organizational structure or framework of an
organization, such as infrequent attendance at meetings or occasional social gatherings that
involve the organization’s members, but that are not functions or activities conducted on
behalf of the organization itself.
4.1.2. Participation on Behalf of I&A
Subject to the exceptions set forth below, I&A personnel are authorized to participate in an
organization in the United States or organization outside the United States that is a United
States Person on behalf of I&A only where two requirements are met. First, I&A personnel
or personnel from another Intelligence Community element—not necessarily the actual
participant—must disclose to an executive officer of the organization or an official in charge
of membership, attendance, or the records of the organization that the participant is
affiliated with I&A. If the disclosure is made to an official who is also acting on behalf of
I&A, the disclosure requirement is not satisfied unless that official is the most senior official
within the organization.
Second, the participation must be approved by the Under Secretary for Intelligence and
Analysis in consultation with the Associate General Counsel for Intelligence. The approval
by the Under Secretary for Intelligence and Analysis is valid for the duration of the
participation or twelve months, whichever is shorter. Re-approval is required for any further
participation.
These requirements do not apply under the following circumstances:
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a. Where the employee or contractor is participating in, but not eliciting information
from, a group on a social media or Internet platform, provided that the group’s
activities are publicly available;
b. Where the employee or contractor is attending a commercial class or training on
behalf of I&A, provided that the employee or contractor is not tasked or directed
to collect intelligence and the true name and I&A affiliation of the employee or
contractor is used;
c. Where the employee or contractor is only obtaining the publication of an
organization whose membership is open to the general public;
d. Where the employee or contractor is participating in an educational or
professional organization to enhance the employee’s or contractor’s professional
skills, knowledge, or capabilities;
e. Where the employee or contractor is participating in an organization that is an
official establishment of a foreign government; or
f. Where the employee or contractor is participating in a seminar, forum,
conference, exhibition, trade fair, workshop, symposium, or similar meeting,
whether in person or through social media, provided that (i) the meeting is
sponsored by an organization in which the employee or contractor is a member or
for which the employee or contractor has been invited to participate; and (ii) the
purpose of participation is to collect significant foreign intelligence that is
generally made available to participants at such meetings and does not involve the
domestic activities of the organization or its members.
In addition to the notice and approval requirements described above, I&A personnel may
participate in social media platforms on behalf of I&A only to the extent permitted by and
consistent with applicable departmental and I&A policies and guidelines. I&A personnel are
prohibited from participating in an organization on behalf of I&A for the purpose of
influencing the activities of an organization or its members except where (a) the participation
is undertaken on behalf of the Federal Bureau of Investigation in the course of a lawful
investigation or (b) the organization is composed primarily of individuals who are not United
States Persons and is reasonably believed to be acting on behalf of a foreign power. Finally,
I&A personnel participating in an organization on behalf of I&A are permitted to collect
intelligence or information for intelligence purposes only to the extent permitted by and
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consistent with Section 2.1 above, including, but not limited to, the requirement that any
such collection be conducted overtly or through publicly available sources.
4.1.3. Participation in a Personal Capacity
The requirements and restrictions described above in Section 4.1.2 apply to I&A personnel
participating in an organization on behalf of I&A. I&A personnel are permitted to
participate in organizations in a personal capacity (i.e., on their own initiative and expense
solely for personal benefit) without restriction provided that they do not, in their official
capacities, collect, retain, or disseminate any intelligence or information provided or
maintained by the organization or its members. This rule against the use of personal
membership for an official purpose in no way restricts I&A personnel who are participating
in an organization in an exclusively personal capacity from reporting actual or suspected
violations of law, threats to national or homeland security, or foreign intelligence or
counterintelligence to appropriate Federal, State, and local law enforcement, homeland
security, or intelligence authorities in their personal capacities.
4.2. ASSISTANCE TO LAW ENFORCEMENT AND OTHER CIVIL
AUTHORITIES
In addition to accessing intelligence and information held by, collecting intelligence and
information from, and disseminating intelligence and information to law enforcement and
other civil authorities as described in Part Two of these guidelines, I&A personnel are
authorized to assist law enforcement and other civil authorities as follows:
a. By cooperating with appropriate law enforcement agencies for the purpose of
protecting the employees, information, property, and facilities of any element of
the Intelligence Community;
b. Unless otherwise precluded by law or Executive Order No. 12,333, “United States
Intelligence Activities,” as amended July 30, 2008, by participating in law
enforcement activities to investigate or prevent clandestine intelligence activities
by foreign powers, or to investigate or prevent international terrorist or
international narcotics activities, provided that such participation is approved in
each case by the Office of the General Counsel/Intelligence Law Division;
c. By providing specialized equipment, technical knowledge, or assistance of expert
personnel for use by any Federal department or agency or, when lives are
endangered, to support State, local, tribal, or territorial law enforcement agencies
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provided that such assistance is approved in each case by the Office of the
General Counsel/Intelligence Law Division; or
d. As otherwise required or authorized by law.
4.3. REQUESTS FOR ASSISTANCE
I&A personnel are authorized to request assistance in the accessing, collection, retention,
analysis, production, or dissemination of intelligence or information, including USPI, and
including through the use of techniques or methods not authorized for I&A personnel, by
any entity where they have a reasonable belief that the assistance requested would support
one or more of the national or departmental missions listed above in Section 1.1 and the
assistance requested is permitted by and consistent with applicable law and policy governing
the activities of the recipient of the request, including, to the extent applicable, the recipient’s
own intelligence oversight guidelines approved by the Attorney General. I&A personnel
must consult with the Office of the General Counsel/Intelligence Law Division prior to
making a request for assistance pursuant to this section.
4.4. SHARED REPOSITORIES
Neither I&A’s hosting another entity’s intelligence or information in a shared repository, nor
providing system administrative or technical support functions to a shared repository
constitute the collection, retention, or dissemination by I&A of the intelligence or
information held in that repository. As a result, these guidelines do not apply to I&A
personnel who are engaging solely in such activities. Each participant in a shared repository
hosted by I&A must inform I&A that its participation complies with all applicable law,
policies, and procedures. To the extent practicable, I&A should enable audit of access to
USPI in any shared repository that it hosts.
If I&A personnel participate in a shared repository, including a shared repository hosted by
I&A, for operational or analytic intelligence purposes (i.e., for purposes beyond those
described above), then their participation must be in accordance with these guidelines and in
accordance with any more restrictive rules required by the host of the shared repository.
With respect to information or intelligence provided by I&A, however, I&A may allow the
host or another Intelligence Community element to provide system administrative or
technical support functions without complying with the requirements of Parts Two and
Three.
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5. MISCELLANEOUS PROVISIONS
This Part sets forth the administrative and other miscellaneous provisions facilitating the
execution and implementation of these guidelines.
5.1. EFFECTIVE DATE
These guidelines are effective as of the date of approval by the Secretary of Homeland
Security and the Attorney General.
5.2. INTERPRETATION
Questions regarding the interpretation of these guidelines should be referred to the Office of
the General Counsel/Intelligence Law Division. Questions regarding the execution or
implementation of the guidelines should be referred to the Intelligence Oversight Officer.
The Under Secretary for Intelligence and Analysis, acting through the Office of the General
Counsel/Intelligence Law Division, will consult with the Department of Justice’s National
Security Division and the Office of the Director of National Intelligence’s Office of the
General Counsel regarding novel or significant interpretations of these guidelines, as
appropriate.
5.3. DEPARTURES
Subject to the exception for exigent circumstances listed below, departures from these
guidelines are permitted only where and to the extent authorized in advance by both the
Under Secretary for Intelligence and Analysis and the Assistant Attorney General for
National Security after consultation with the Director of National Intelligence. Notice of
any departures must be provided to the Associate General Counsel for Intelligence and to
the Intelligence Oversight Officer for referral to the DHS Chief Privacy Officer where the
departure implicates individuals’ privacy and/or DHS Officer for Civil Rights and Civil
Liberties where the departure implicates individuals’ civil rights or civil liberties. Any
activities constituting a departure from these guidelines must be carried out in accordance
with the Constitution and the laws of the United States under all circumstances.
The requirement for authorization from the Assistant Attorney General for National
Security set forth above does not apply to departures from these guidelines in exigent
circumstances where the Under Secretary for Intelligence and Analysis or a delegee
determines that, due to the immediacy or gravity of a threat to the safety of persons or
property or to the national security, such authorization cannot be obtained in advance (i.e., a
clear, imminent threat of such severity exists that the failure to depart from the provisions of
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these guidelines would be reasonably likely to endanger the safety of persons or property or
the national or homeland security and the departure contemplated would be reasonably likely
to prevent, preempt, deter, or respond to the threat). Any departures from these guidelines
pursuant to this exception must be reported to the Associate General Counsel for
Intelligence for further referral to the Assistant Attorney General for National Security and
Director of National Intelligence and the Intelligence Oversight Officer for further referral
to the DHS Chief Privacy Officer where the departure implicates individuals’ privacy and/or
the DHS Officer for Civil Rights and Civil Liberties where the departure implicates
individuals’ civil rights or civil liberties. This notice must be provided as soon as is
practicable, but in any event no later than three working days from the authorization for
departure.
5.4. AMENDMENTS
Subject to the exception for supplemental information categories listed below, amendments
to these guidelines are permitted only where and to the extent authorized in advance by both
the Secretary of Homeland Security and the Attorney General, after consulting with the
Director of National Intelligence.
The Under Secretary for Intelligence and Analysis is authorized to add other supplemental
information categories to the list provided above in Section 2.2.3.2 subject to the following
requirements and restrictions. First, to add a supplemental information category, the Under
Secretary for Intelligence and Analysis must determine that the proposed category is
narrowly tailored to support an authorized departmental mission as described above in
Section 1.1. This determination is subject to review for legal sufficiency by the General
Counsel, who must certify that the proposed category is legally sufficient for the proposed
category to be added.
Second, the Under Secretary for Intelligence and Analysis must provide notice to the
Assistant Attorney General for National Security and the Director of National Intelligence
of his or her intent to add a supplemental information category to the list provided above in
Section 2.2.3.2. Notice must be provided as soon as is practicable, but in any event no later
than thirty days prior to addition of the category. If the Assistant Attorney General for
National Security or the Director of National Intelligence object to the addition of the
proposed category within thirty days of receipt of notice from the Under Secretary for
Intelligence and Analysis that he or she intends to add the proposed category, the proposed
category will not be added unless and until the objecting party and the Under Secretary for
Intelligence and Analysis resolve the objection. If the Assistant Attorney General for
National Security and the Director of National Intelligence affirmatively indicate their
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approval of the proposed category or fail to object to the category within thirty days of
receipt of notice from the Under Secretary for Intelligence and Analysis, the category will be
added to the list provided above. Any supplemental information category added pursuant to
this section must be memorialized via amendment to these guidelines, with notice of the
additional category provided to the Associate General Counsel for Intelligence, the Chief
Privacy Officer, the Officer for Civil Rights and Civil Liberties, and the Intelligence
Oversight Officer.
5.5. DELEGATION
Where these guidelines require a specific official to approve an activity or take some other
action, only that official or a more senior official is permitted to take that action.
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GLOSSARY-1
UNCLASSIFIED
GLOSSARY OF DEFINED TERMS
A.
Access
: The act of viewing or examining information or intelligence without
collecting that information or intelligence.
B.
Bulk Data Collection
: Collection via bulk data transfer.
C.
Bulk Data Dissemination
: Dissemination via bulk data transfer.
D.
Bulk Data Transfer
: The transfer of large quantities of data that, due to technical or
operational considerations, is acquired without the use of discriminants (e.g., specific
identifiers, selection terms, etc.). As a matter of DHS policy, bulk data transfer also
includes the collection or dissemination of large quantities of data, a significant
portion of which is not reasonably likely to have any ultimate intelligence or
operational value to the recipient, but which is provided for the recipient to identify
information of intelligence or operational value within it. Bulk data transfer does not
include the transfer of records responsive to specific identifiers (e.g., name, date of
birth, social security number, etc.) but it does include the transfer of records
identified through the application of search terms where the transfer would include a
significant number of records that, while responsive to the applied search terms, is
not reasonably likely to have any ultimate intelligence or operational value to the
recipient (e.g., records responsive to demographic profiles such as age, citizenship, or
gender).
E.
Collection
: Obtaining or acquiring information from outside the Intelligence
Community (including from the Office of the Secretary and other Components) by
any means, including, but not limited to, information that is volunteered, and
regardless of whether the information is temporarily or permanently retained.
Information that only momentarily passes through an I&A computer system is not
collected. Collection is distinct from access to information in that collection requires
that the information be copied, saved, or used in some manner, including, but not
limited to, information that is copied or saved in the form of summaries, reports, or
notes, whereas information that is accessed is merely viewed or examined, but is not
collected even if it is transmitted on an I&A information technology system.
F.
Concealed Monitoring
: The use of hidden electronic, optical, or mechanical
devices to monitor a particular person or a group of persons without their consent in
a surreptitious manner over a period of time, in circumstances in which such a person
or group of persons has no reasonable expectation of privacy. Monitoring is
surreptitious when it is conducted in a manner designed to keep the subject of the
monitoring unaware of the monitoring.
UNCLASSIFIED
GLOSSARY-2
UNCLASSIFIED
G.
Consent
: An agreement within a specific time frame and context by a person or
organization to permit a particular action affecting the person or organization.
Consent is obtained in written or electronic form if possible, but it can be oral if
obtaining consent in written or electronic form is not possible unless a specific form
of consent is required by law or these guidelines. Consent can be implied where there
is adequate notice that a certain act (e.g., entering a Federal building or facility or
using a Government telephone) constitutes consent to an accompanying action (e.g.,
inspecting a briefcase or monitoring communications). Consent may also be implied
where adequate policy has been published or otherwise articulated. The Office of the
General Counsel/Intelligence Law Division will determine whether a notice or policy
is adequate and lawful, before I&A takes or refrains from taking action on the basis
of implied consent.
H.
Counterintelligence
: Information gathered and activities conducted to identify,
deceive, exploit, disrupt, or protect against espionage, other intelligence activities,
sabotage, or assassinations conducted for or on behalf of foreign powers,
organizations, or persons, or their agents, or international terrorist organizations or
activities.
I.
Critical Infrastructure
: Systems and assets, whether physical or virtual, so vital to
the United States that the incapacity or destruction of such systems and assets would
have a debilitating impact on the Nation’s economic security, public health, public
safety, or any combination of those matters.
J.
Deletion
: The removal from any files or records, whether electronic or paper copy,
maintained or used for intelligence purposes.
K.
Dissemination
: The transmission, communication, sharing, or passing of
intelligence or information outside I&A by any means, including oral, electronic, or
physical means. Dissemination therefore includes providing any access to
information retained by I&A to persons outside I&A.
L.
Domestic Terrorism
: Terrorism that is not international terrorism.
M.
Electronic Surveillance
: The acquisition of a non-public communication by
electronic means without the consent of a person who is a party to an electronic
communication or, in the case of a non-electronic communication, without the
consent of a person who is visibly present at the place of communication, but not
including the use of radio-finding equipment solely to determine the location of a
transmitter.
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GLOSSARY-3
UNCLASSIFIED
N.
Foreign Intelligence
: Information relating to the capabilities, intentions, or
activities of foreign governments or elements thereof, foreign organizations, foreign
persons, or international terrorists.
O.
Foreign Power
: (1) A foreign government or any component thereof, whether or
not recognized by the United States; (2) a faction of a foreign nation or nations not
substantially composed of United States persons; (3) an entity that is openly
acknowledged by a foreign government or governments to be directed and controlled
by such foreign government or governments; (4) a group engaged in international
terrorism or activities in preparation therefor; (5) a foreign-based political
organization not substantially composed of United States persons; (6) an entity that is
directed and controlled by a foreign government or governments; or (7) an entity not
substantially composed of United States persons that is engaged in the international
proliferation of weapons of mass destruction.
P.
I&A Personnel
: All I&A employees, including detailees or other Government
personnel acting for I&A, and contractors supporting I&A.
Q.
Incidental Collection of USPI:
Collection of USPI that is not deliberately sought
by I&A, but that is nonetheless collected. Collection of USPI that is not deliberately
sought is considered incidental regardless of whether it is expected or reasonably
anticipated to occur.
R.
Intelligence Activities
: All activities that elements of the Intelligence Community
are authorized to conduct pursuant to Executive Order No. 12,333, “United States
Intelligence Activities,” as amended July 30, 2008.
S.
Intelligence Community
: The United States Intelligence Community as defined at
Title 50, United States Code, Section 3003, “Definitions,” and Section 3.5(h) of
Executive Order No. 12,333, “United States Intelligence Activities,” as amended July
30, 2008.
T.
International Terrorism
: Activities that (1) involve violent acts or acts dangerous to
human life that violate domestic criminal law or would violate such law if committed
in the United States or a State, local, or tribal jurisdiction; (2) appear to be intended to
intimidate or coerce a civilian population, to influence the policy of a government by
intimidation or coercion, or to affect the conduct of a government by assassination or
kidnapping; and (3) occur totally outside the United States, or transcend national
boundaries in terms of the means by which they are accomplished, the persons they
appear intended to coerce or intimidate, or the locale in which their perpetrators
operate or seek asylum.
UNCLASSIFIED
GLOSSARY-4
UNCLASSIFIED
U.
Key Resources
: Publicly or privately controlled resources essential to the minimal
operations of the economy and government.
V.
Mail Cover
: The non-consensual recording of any data appearing on the outside
cover of any sealed or unsealed mail matter. In this context, a “recording” means a
transcription, photograph, photocopy, or other facsimile of the image of the outside
cover, envelope, or wrappers of mail matter. It does not include the opening or
examination of mail matter.
W.
Major Disaster
: Any natural catastrophe (including any hurricane, tornado, storm,
high water, wind-driven water, tidal wave, tsunami, earthquake, volcanic eruption,
landslide, mudslide, snowstorm, or drought) or, regardless of any cause, any fire,
flood, or explosion in any part of the United States, which, in the determination of
the President, causes damage of sufficient severity and magnitude to warrant major
disaster assistance under Title 42, United States Code, Chapter 68, “Disaster Relief,”
to supplement the efforts and available resources of States, local governments, and
disaster relief organizations in alleviating the damage, loss, hardship, or suffering
caused thereby.
X.
Overt Collection
: Collection that is openly acknowledged by or readily attributable
to the United States Government or that would be acknowledged in response to an
express inquiry. Acknowledgment may include advising of United States Government
affiliation (confirming the collector’s affiliation with an intelligence element is not
required, so long as United States Government affiliation is acknowledged) or
advising of a general collection activity applicable to that individual (rather than
advising of specific acquisition methods, sites, or processes being used, or other
details about the collection). For example, I&A might conduct physical surveillance at
a DHS facility based on notice to I&A employees, but it would not need to notify a
particular employee that he or she was the subject of the surveillance.
Collection conducted under circumstances where, although there has been no express
inquiry, it would be misleading not to disclose affiliation with the United States
Government (e.g., collection through observation or elicitation at an event designed
for or mostly attended by a private sector audience) is only overt where the collector
affirmatively discloses his or her affiliation with the United States Government
.
Y.
Physical Surveillance
: The deliberate observation of an individual to track his or
her movement or other physical activities while they are occurring under
circumstances in which a person has no reasonable expectation of privacy.
Z.
Publicly Available Information
: Information that has been published or broadcast
for public consumption, is available on request to the public, is accessible on-line or
otherwise to the public, is available to the public by subscription or purchase, could
be seen or heard by any casual observer, is made available at a meeting open to the
UNCLASSIFIED
GLOSSARY-5
UNCLASSIFIED
public, or is obtained by visiting any place or attending any event open to the public.
Social media sites, Internet sites, chat rooms, bulletin boards, and other electronic
and other fora, or portions of the same, belonging to individuals or groups that limit
access by use of criteria that cannot generally be satisfied by members of the public
are not publicly available sources.
AA.
Reasonable Belief
: A belief based on facts and circumstances such that a
reasonable person would hold that belief. A reasonable belief must rest on facts and
circumstances that can be articulated; “hunches” or intuitions are not sufficient. A
reasonable belief can be based on experience, training, and knowledge as applied to
particular facts and circumstances, and a trained and experienced intelligence
professional can hold a reasonable belief that is sufficient to satisfy these criteria
when someone lacking such training or experience would not hold such a belief.
BB.
Retention
: The maintenance or storage of intelligence or information. Intelligence
or information that is accessed (e.g., intelligence or information on the Internet or
accessible through a shared repository), but is not saved or memorialized in some
manner (including in the form of summaries, reports, or notes), is not retained.
CC.
Shared Repository
: A database, environment, or other repository maintained for
the use of more than one entity. A database, environment, or other repository that a
contractor or other entity maintains solely for the use of I&A, or those acting on its
behalf, is not a shared repository.
DD.
Terrorism
: Any activity that (1) involves an act that (a) is dangerous to human life or
potentially destructive of critical infrastructure or key resources; and (b) is a violation
of the criminal laws of the United States or of any State or other subdivision of the
United States; and (2) appears to be intended (a) to intimidate or coerce a civilian
population; (b) to influence the policy of a government by intimidation or coercion;
or (c) to affect the conduct of a government by mass destruction, assassination, or
kidnapping.
EE.
United States Person
: (1) A United States citizen, (2) an alien known by I&A to be
a permanent resident alien (i.e., lawful permanent resident), (3) an unincorporated
association substantially composed of United States citizens or permanent resident
aliens, or (4) a corporation incorporated in the United States, except for a corporation
directed and controlled by a foreign government or governments. In determining
whether an unincorporated association affiliated with a foreign-based international
organization is substantially composed of United States citizens or permanent
resident aliens, the membership of the entire international organization is considered
if the association operates directly under the control of the international organization
and has no independent program or activities in the United States, but only the
UNCLASSIFIED
GLOSSARY-6
UNCLASSIFIED
membership of the organization within the United States is considered if the
organization within the United States conducts programs or engages in activities
separate from or in addition to those directed by the international affiliate.
FF.
United States Persons Information (USPI)
: Information that is reasonably likely
to identify one or more specific United States Persons. USPI may be either a single
item of information or information that, when combined with other available
information, is reasonably likely to identify one or more specific United States
Persons. Determining whether information is reasonably likely to identify one or
more specific United States Persons requires a case-by-case assessment by a trained
intelligence professional. It is not limited to any single category of information or
technology.
