DoD  5240. 1-R 
DEPARTMENT  OF  DEFENSE 
PROCEDURES  GOVERNING  THE 
ACTIVITIES  OF 
C    OOD  INTELLIGENCE  COMPONENTS  - 
THIAT  AFFECT  UNITED  STATES  PERSONS 
DECEMBER  1982 
<~ 
UNDER  SECRETARY  OF  DEFENSE  FOR  POLICY
DoD  5240, i-R 
FOREWORD 
This  DoD  regulation  sets  forth  procedures  governing  the  activities  of  DoD 
intelligence  components  that  affect  United  States  persons.   It  implements  DoD 
Directive  5240.1,  and  replaces  the  November  30,  1979  version  of  DoD  Regulation 
5240. 1-R.   It  is  applicable  to  all  DoD  intelligence  components. 
Executive  Order  12333,  "United  States  Intelligence  Activities,"  stipulates 
that  certain  activities  of  intelligence  components  that  affect  U.S.  persons  be 
governed  by  procedures  issued  by  the  agency  head  and  approved  by  the  Attorney 
General.   Specifically,  procedures  1  through  10,  as  well  as  Appendix  A,  herein, 
require  approval  by  the  Attorney  General.  Procedures  11  through  15,  while  not 
requiring  approval  by  the  Attorney  General,  contain  further  guidance  to  DoD 
Components  in  implementing  Executive  Order  12333  as  well  as  Executive  Order 
12334,  "President's  Intelligence  Oversight  Board". 
Accordingly,  by  this  memorandum,  these  procedures  are  approved  for  use 
within  the  Department  of  Defense.  Heads  of  DoD  components  shall  issue  such 
implementing  instructions  as  may  be  necessary  for  the  conduct  of  authorized 
functions  in  a  manner  consistent  with  the  procedures  set  forth  herein. 
This  regulation  is  effective  immediately. 
10/4/82 
12/7/82 
Attorney  General  of 
United  States 
Secretary  of  De'fense
TABLE  OF  CONTENTS 
DoD  5240. 1-R 
Foreword 
Table  of  Contents 
References 
PROCEDURE  1.  GENERAL  PROVISIONS 
A.  Applicability  and  Scope 
B.  Purpose 
C.  Interpretation  . 
D.  Exceptions  to  Policy. 
E.  Amendment  . 
PROCEDURE  2. 
A. 
B. 
C. 
D. 
E. 
PROCEDURE  3. 
A. 
B. 
COLLECTION  OF  INFORMATION  ABOUT 
UNITED  STATES  PERSONS    
Applicability  and  Scope  ..... 
Explanation  of  Undefined  Terms 
Types  of  Information  That  May  be  Collected  About 
United  States  Persons    ..... 
1.  Information  obtained  with  consent 
2.  Publicly-available  information  . 
3.  Foreign  intelligence    
4.  Counterintelligence  ... 
5.  Potential  sources  of  assistance 
to  intelligence  activities 
6.  Protection  of  intelligence 
sources  and  methods  . 
7.  Physical  security 
8.  Personnel  security 
9.  .  Communications  security 
10.  Narcotics  .    . 
11.  Threats  to  safety 
12.  Overhead  reconnaissance 
13.  Administrative  purposes 
General  Criteria  Governing  the  Means  Used  to 
Collect  Information  About  United  States  Persons 
1.  Means  of  collection  .    .    .    . 
2.  Least  intrusive  means. 
Special  Limitation  on  the  Collection  of 
Foreign  Intelligence  Within  the  United 
States    ........ 
RETENTION  OF  INFORMATION  ABOUT  UNITED 
STATES  PERSONS    
Applicability   .....•• 
Explanation  of  Undefined  Terms  .... 
Pa^e 
i 
ii 
vii 
1-1 
1-1 
1-1 
1-1 
1-2 
1-2 
2-1 
2-1 
2-1 
2-1 
2-1 
2-1 
2-1 
2-2 
2-2 
2-2 
2-3 
2-3 
2-3 
2-3 
2-3 
2-3 
2-3 
2-3 
2-3 
2-3 
2-4 
3-1 
3-1 
3-1 
ii
Criteria  for  Retention  ...    . 
1.  Retention  of  information  collected 
under  Procedure  2 
2.  Retention  of  information  acquired 
incidentally        . 
3.  Retention  of  information  relating  to 
functions  of  other  DoD  Components 
or  non-DoD  Agencies 
Temporary  retention 
Retention  of  other  information  . 
Access  and  Retention 
1.  Controls  on  access  to  retained 
information     .... 
Duration  of  retention 
Information  acquired  prior  to 
effective  date  . 
4. 
5. 
2. 
3. 
3-1 
3-1 
3-1 
3-2 
3-2 
3-2 
PROCEDURE  4.   DISSEMINATION  OF  INFORMATION  ABOUT 
UNITED  STATES  PERSONS 
A.  Applicability  and  Scope 
.  B.  Criteria  for  Dissemination 
C.  Other  Dissemination  . 
C 
PROCEDURE  5 
Part  1.  . 
A. 
B. 
ELECTRONIC  SURVEILLANCE    
Electronic  Surveillance  in  the  United 
States  for  Intelligence  Purposes 
Applicability  .....•< 
General  Rules  .        .        • 
1 .  Electronic  surveillance  pursuant 
to  the  Foreign  Intelligence  Surveillance 
Act  .     ...... 
2.  Authority  to  request  electronic 
surveillance   ..... 
3.  Electronic  surveillance  in 
emergency  situations 
Part  2.   Electronic  Surveillance  Outside  the 
United  States  for  Intelligence  Purposes  . 
A.  Applicability  ....•• 
B.  Explanation  of  Undefined  Terms 
C.  Procedures     .    .    •    ... 
D.  Electronic  Surveillance  in 
Emergency  Situations     .... 
E.  Officials  Authorized  to  Request  and 
Approve  Electronic  Surveillance  Outside 
the  United  States   ..... 
4-1 
4-1 
4-1 
4-1 
5-1 
5-1 
5-1 
5-1 
5-1 
5-1 
5-1 
5-2 
5-2 
5-2 
5-2 
5-3 
5-4 
^ 
m
J . 
Signals  Intelligence  Activities 
.-ipr.i  :a;i^:-y  ana  Sc:pe 
3.   Explanation  of  Undefined  Terms 
C.   Procedures     ..... 
1    Foreign  communications 
2.   Military  tactical  communications 
Part  4.   Technical  Surveillance  Countermeasures  ~'  .- 
A.  Applicability  and  Scope  . 
B.  Explanation  of  Undefined  Terms 
C.  Procedures     ..... 
Part  5. 
Part  6. 
Developing,  Testing  and  Calibration  of  Electronic 
Equipment    
A.  Applicability   ...... 
B.  Procedures     ...... 
1.  Signals  authorized  for  use 
2.  Restrictions    ..... 
Training  of  Personnel  in  the  Operation 
and  Use  of  Electronic  Communications 
and  Surveillance  Equipment 
A.  Applicability     .... 
B.  Procedures  .... 
1.  Training  guidance 
2.  Training  limitations  . 
3.  Retention  and  dissemination 
Part  7.   Conduct  of  Vulnerability  and  Hearability  Surveys 
A.  Applicability  and  Scope  . 
B.  Explanation  of  Undefined  Terms  | 
C.  Procedures     .    .    .    .; 
1.  Conduct  of  vulnerability  surveys 
2.  Conduct  of  hearability  surveys 
PROCEDURE  6.   CONCEALED  MONITORING     .    :. 
A.  Applicability  and  Scope  . 
B.  Explanation  of  Undefined  Terms 
C.  Procedures       
PROCEDURE  7.   PHYSICAL  SEARCHES   .... 
A.  Applicability  .     .... 
B.  Explanation  of  Undefined  Terms 
C.  Procedures   '   . 
1.  Unconsented  physical  searches  within 
the  United  States  .... 
2.  Unconsented  physical  searches  outside 
the  United  States  .... 
3~3 
5-5 
5-6 
5-6 
5-6 
5-*£- 
5-8 
5-8 
5-8 
5-9 
5-9 
5-9 
5-9 
5-10 
5-11 
5-11 
5-11 
5-11 
5-11 
5-12 
5-13 
5-13 
5-13 
5-13 
5-13 
5-13 
6-1 
6-1 
6-1 
6-2 
7-1 
7-1 
7-1 
7-1 
7-1 
7-1
PROCEDURE  8. 
SEARCHES  AND  EXAMINATION  OF  MAIL 
8-1 
A.  Applicability  ...... 
B.  Explanation  of  Undefined  Terms 
C.  Procedures     ...... 
1.  Searches  of  mail  within  United  States 
postal  channels     .... 
2.  Searches  of  mail  outside  United  States 
postal  channels     .... 
3.  Mail  Covers      
8-1 
8-1 
8-1 
8-1 
8-2 
8-2 
PROCEDURE  9, 
PHYSICAL  SURVEILLANCE 
9-1 
A.  Applicability     .         .         .         .         . 
B.  Procedures  ..... 
1.  Criteria  for  physical  surveillance 
in  the  United  States 
2.  Criteria  for  physical  surveillance 
outside  the  United  States 
3.  Required  approvals  for 
physical  surveillance 
PROCEDURE  10. 
UNDISCLOSED  PARTICIPATION  IN 
ORGANIZATIONS  . 
9-1 
9-1 
9-1 
9-1 
9-1 
10-1 
C 
A.   Applicability  .    .   .  .    .    .    .    .  10-1 
8.   Explanation  of  Undefined  Terms  .  10-1 
C.  Procedures  for  Undisclosed  Participation  10-2 
1.  Limitations  on  Undisclosed  Participation  .  10-2 
2.  Required  Approvals  *         ...  10-2 
D.  Disclosure  Requirement   .....  10-4 
PROCEDURE  11.  CONTRACTING  FOR  GOODS  AND  SERVICES  .    .    .  11-1 
A. 
B. 
C. 
PROCEDURE  12. 
Applicability  ...... 
Procedures     ...... 
1.  Contracts  with  academic  institutions 
2.  Contracts  with  commercial  organizations, 
private  institutions,  and  individuals 
Effect  of  Noncompliance  .... 
PROVISIONS  OF  ASSISTANCE  TO  LAW  ENFORCEMENT 
AUTHORITIES     
A.  Applicability  ..... 
B.  Procedures     ..... 
1.  Cooperation  with  law  enforcement 
authorities.    .... 
2.  Types  of  permissible  assistance 
11-1 
11-1 
11-1 
11-1 
11-1 
12-1 
12-1 
12-1 
12-1 
12-1 
V~.
PROCEDURE  13. 
EXPERIMENTATION  ON  HUMAN  SUBJECTS 
FOR  INTELLIGENCE  PURPOSES 
A.  Applicability 
B.  Explanation  of  Undefined  Terms 
C.  Procedures 
PROCEDURE  14.  EMPLOYEE  CONDUCT 
A.  Applicability 
B.  Procedures      . 
1.  Employee  responsibility 
2.  Familiarity  with  restrictions 
3.  Responsibilities  of  the  heads 
of  DoD  Components 
PROCEDURE  15.  IDENTIFYING,  INVESTIGATING,  AND  REPORTING 
QUESTIONABLE  ACTIVITIES  .... 
A.  Applicability   ..... 
B.  Explanation  of  Undefined  Terms  . 
C.  Procedures  ...... 
1..  Identification   .... 
2.  Investigation    .... 
3.  Reports     ..... 
13-1 
13-1 
13-1 
14-1 
14-1 
14-1 
14-1 
14-1 
14-1 
15-1 
15-1 
15-1 
15-1 
15-1 
15-2 
15-2 
Appendix  A  -  Definitions 
A-l
DoD  5240. 1-R 
REFERENCES 
.a;  Executive  Order  12333,  "United  States  Intelligence  Activities," 
December  4,  1981 
{b)  Public  Law  95-511,  Foreign  Intelligence  Surveillance  Act  of  19~S 
(c)  DoD  Directive  5200.29,  "DoD  Technical  Surveillance  Countermeasures  f'TSCM) 
Survey  Program,"  February  12,  1975 
(d)  Title' 18,  United  States  Code,  Chapters  105  and  119 
(e)  Public  Law  73-416,  "Communications  Act  of  1934,*'  Section  605 
(£)  Title  10,  United  States  Code,  Sections  801-840,  Uniform  Code  of  Military 
Justice 
(g)  Agreement  Between  the  Deputy  Secretarv  of  Defense  and  Attorney  General, 
April  5,  1979 
(h)  Executive  Order  12198,  "Prescribing  Amendments  to  the  Manual  for  Courts- 
Martial,  United  States,  1969,"  March  12,  1980 
(i)  DoD  Directive  5525.5,  "DoD  Cooperation  with  Civilian  Law  Enforcement 
Officials,"  March  22,  1982 
(j)  DoD  Directive  5000.11,  "Data  Elements  and  Data  Codes  Standardization 
Program,"  December  7,  1964 
(k)  DoD  Directive  5000.19,  "Policies  for  the  Management  and  Control  of 
Information  Requirements,"  March  12,  1976
DoD  524Q.1-R 
PROCEDURE  1.  GENERAL  PROVISIONS 
A.  APPLICABILITY  AND  SCOPE 
1.  These  procedures  apply  only  to  "DoD  intelligence  components,"  as  defined 
in  Appendix  A.  Procedures  2  through  4  provide  the  sole  authority  by  which  such 
components  may  collect,  retain  and  disseminate  information  concerning  United 
States  persons.  Procedures  5  through  10  set  forth  applicable  guidance  with 
respect  to  the  use  of  certain  collection  techniques  to  obtain  information  for 
foreign  intelligence  and  counterintelligence  purposes.  Authority  to  employ 
such  techniques  shall  be  limited  to  that  necessary  to  perform  functions  assigned 
the  DoD  intelligence  component  concerned.  Procedures  11  through  15  govern  other 
aspects  of  DoD  intelligence  activities,  including  the  oversight  of  such  activities. 
2.  The  functions  of  DoD  intelligence  components  not  specifically  addressed 
herein  shall  be  carried  out  in  accordance  with  applicable  policy  and  procedure. 
3.  These  procedures  do  not  apply  to  law  enforcement  activities s  including 
civil  disturbance  activities,  that  may  be  undertaken  by  DoD  intelligence  com- 
ponents. When  an  investigation  or  inquiry  undertaken  pursuant  to  these  pro- 
cedures establishes  reasonable  belief  that  a  crime  has  been  committed,  the  DoD 
intelligence  component  concerned  shall  refer  the  matter  to  the  appropriate  law 
enforcement  agency  in  accordance  with  procedures  12  and  IS  or,  if  the  DoD 
intelligence  component  is  otherwise  authorized  to  conduct  law  enforcement 
activities,  shall  continue  such  investigation  under  appropriate  law  enforcement 
procedures , 
4.  DoD  intelligence  components  shall  not  request  any  person  or  entity  to 
undertake  any  activity  forbidden  by  Executive  Order  12333  (reference  (a)). 
B.  PURPOSE 
The  purpose  of  these  procedures  is  to  enable  DoD  intelligence  components 
to  carry  out  effectively  their  authorized  functions  while  ensuring  their 
activities  that  affect  U.S.  persons  are  carried  out  in  a  manner  that  protects 
the  constitutional  rights  and  privacy  of  such  persons. 
C.  INTERPRETATION 
1.  These  procedures  shall  be  interpreted  in  accordance  with  their  stated 
purpose. 
2.  All  defined  terms  appear  in  Appendix  A.  Additional  terms,  not  other- 
wise defined,  are  explained  in  the  text  of  each  procedure,  as  appropriate. 
3.  All  questions  of  interpretation  shall  be  referred  to  the  legal  office 
responsible  for  advising  the  DoD  intelligence  component  concerned.  Questions 
that  cannot  be  resolved  in  this  manner  shall  be  referred  to  the  General  Counsel 
of  the  Military  Department  concerned,  or,  as  appropriate,  the  General  Counsel 
of  the  Department  of  Defense  for  resolution.
DoD  5240. 1-R 
D.  EXCEPTIONS  TO  POLICY 
Requests  for  exception  to  the  policies  and  procedures  established  herein 
shall  be  made  in  writing  to  the  Deputy  Under  Secretary  of  Defense  (Policy;,  who 
shall  obtain  the  written  approval  of  the  Secretary  of  Defense  and,  if  required, 
the  Attorney  General  for  any  such  exception.. 
E.  AMENDMENT 
Requests  for  amendment  of  these  procedures  shall  be  made  to  the  Deputy 
Under  Secretary  of  Defense  (Policy),  who  shall  obtain  the  written  approval  of 
the  Secretary  of  Defense,  and,  if  required,  the  Attorney  General,  for  any  such 
amendment .
DoD  5240. 1-R 
PROCEDURE  2.   COLLECTION  OF 
INFORMATION'  ABOUT  UNITED  STATES  PERS:N5 
A.  APPLICABILITY  AND  SCOPE 
This  procedure  specifies  the  kinds  of  information  about  United  States 
persons  that  may  be  collected  by  DoD  intelligence  components  and  sets  forth 
general  criteria  governing  the  means  used  to  collect  such  information.  Addi- 
tional limitations  are  imposed  in  Procedures  5  through  10  on  the  use  of  specific 
collection  techniques. 
B.  EXPLANATION  OF  UNDEFINED  TERMS 
1.  Collection.   Information  shall  be  considered  as  "collected1'  only  when 
it  has  been  received  for  use  by  an  employee  of  a  DoD  intelligence  component  in 
the  course  of  his  official  duties.  Thus,  information  volunteered  to  a  DoD 
intelligence  component  by  a  cooperating  source  would  be  "collected"  under 
this  procedure  when  an  employee  of  such  component  officially  accepts,  in 
some  manner,  such  information  for  use  within  that  component.  Data  acquired  by 
electronic  means  is  "collected"  only  when  it  has  been  processed  into  intelligi- 
ble form. 
2.  Cooperating  sources  means  persons  or  organizations  that  knowingly 
and  voluntarily  provide  information  to  DoD  intelligence  components,  or  access 
to  information,  at  the  request  of  such  components  or  on  their  own  initiative. 
These  include  government  agencies,  law  enforcement  authorities,  credit  agen- 
cies, academic  institutions,  employers,  and  foreign  governments. 
3.  Domestic  activities  refers  to  activities  that  take  place  within  the 
United  States  that  do  not  involve  a  significant  connection  with  a  foreign 
power,  organization,  or  person. 
4.  Overt  means  refers  to  methods  of  collection  whereby  the  source  of 
the  information  being  collected  is  advised,  or  is  otherwise  aware,  that  he-  is 
providing  such  information  to  the  Department  of  Defense  or  a  component  there- 
of. 
C.  TYPES  OF  INFORMATION  THAT  MAY  BE  COLLECTED  ABOUT  UNITED  STATES  PERSONS 
Information  that  identifies  a  United  States  person  may  be  collected  by  a 
DoD  intelligence  component  only  if  it  is  necessary  to  the  conduct  of  a  func- 
tion assigned  the  collecting  component,  and  only  if  it  falls  within  one  of  the 
following  categories: 
1.  Information  obtained  with  consent.  Information  may  be  collected  about 
a  United  States  person  who  consents  to  such  collection*. 
2.  Publicly  available  information.  Information  may  be  collected  about  a 
United  States  person  if  it  is  publicly  available.
DoD  5240. 1-R 
3.  Foreign  intelligence.   Subject  to  the  special  limitation  contained  in 
section  E,  below,  information  may  be  collected  about  a  United  States  person  if 
che  information  constitutes  foreign  intelligence,  provided  the  intentional 
collection  of  foreign  intelligence  about  United  States-  persons  shall  be  limited 
■;o  parsons  who  are: 
a.  Individuals  reasonably  believed  to  be  officers  or  employees, 
or  otherwise  acting  for  or  on  behalf,  of  a  foreign  power; 
b.  An  organization  reasonably  believed  to  be  owned  or  controlled, 
directly  or  indirectly,  by  a  foreign  power; 
c.  Persons  or  organizations  reasonably  believed  to  be  engaged  or 
about  to  engage,  in  international  terrorist  or  international  narcotics  activ- 
ities; 
d.  Persons  who  are  reasonably  believed  to  be  prisoners  of  war; 
missing  in  action;  or  are  the  targets,  the  hostages,  or  victims  of  inter- 
national terrorist  organizations;  or 
e.  Corporations  or  other  commercial  organizations  believed  to  have 
some  relationship  with  foreign  powers,  organizations,  or  persons. 
4.  *  Counterintelligence .  Information  may  be  collected  about  a  United 
States  person  if  the  information  constitutes  counterintelligence,  provided  the 
intentional  collection  of  counterintelligence  about  United  States  persons  must 
be  limited  to: 
a.  Persons  who  are  reasonably  believed  to  be  engaged  in,  or  about 
to  engage  in,  intelligence  activities  on  behalf  of  a  foreign  power,  or  inter- 
national terrorist  activities. 
b.  Persons  in  contact  with  persons  described  in  paragraph  C.4.a., 
above,  for  the  purpose  of  identifying  such  person  and  assessing  their  relation- 
ship with  persons  described  in  paragraph  C.4.a.,  above. 
5.  Potential  sources  of  assistance  to  intelligence  activities.  Informa- 
tion may  be  collected  about  United  States  persons  reasonably  believed  to  be 
potential  sources  of  intelligence,  or  potential  sources  of  assistance  to 
intelligence  activities,  for  the  purpose  of  assessing  their  suitability  or 
credibility.  This  category  does  not  include  investigations  undertaken  for  per- 
sonnel security  purposes. 
6.  Protection  of  intelligence  sources  and  methods.  Information  may  be 
collected  about  a  United  States  person  who  has  access  to,  had  access  to,  or  is 
otherwise  in  possession  of,  information  which  reveals  foreign  intelligence  and 
counterintelligence  sources  or  methods,  when  collection  is  reasonably  believed 
necessary  to  protect  against  the  unauthorized  disclosure  of  such  information; 
provided  that  within  the  United  States,  intentional  collection  of  such  informa- 
tion shall  be  limited  to  persons  who  are: 
a.   Present  and  former  DoD  employees;
DoD  5240. 1-R 
b.  Present  or  former  employees  of  a  present  or  former  DoD  contractor; 
and 
r 
c.  Applicants  for  employment  at  DoD  or  at  a  contractor  of  DoD. 
7.  Physical  security.   Information  may  be  collected  about  a  United  States 
person  who  is  reasonably  believed  to  threaten  the  physical  security  of  DoD 
employees,  installations,  operations,  or  official  visitors.  Information  may 
also  be  collected  in  the  course  of  a  lawful  physical  security  investigation. 
8.  Personnel  security.  Information  may  be  collected  about  a  United 
States  person  that  arises  out  of  a  lawful  personnel  security  investigation. 
9.  Communications  security.  Information  may  be  collected  about  a  United 
States  person  that  arises  out  of  a  lawful  communications  security  investigation. 
10.  Narcotics .  Information  may  be  collected  about  a  United  States  person 
who  is  reasonably  believed  to  be  engaged  in  international  narcotics  activities. 
11.  Threats  to  safety.  Information  may  be  collected  about  a  United  States 
person  when  the  information  is  needed  to  protect  the  safety  of  any  person  or 
organization,  including  those  who  are  targets,  victims,  or  hostages  of  inter- 
national terrorist  organizations. 
12.  Overhead  reconnaissance.  Information  may  be  collected  from  overhead 
reconnaissance  not  directed  at  specific  United  States  persons. 
V_- 13.  Administrative  purposes.  Information  may  be  collected  about  a  United 
States  person  that  is  necessary  for  administrative  purposes. 
D.  GENERAL  CRITERIA  GOVERNING  THE  MEANS  USED  TO  COLLECT  INFORMATION  ABOUT 
UNITED  STATES  PERSONS 
1.  Means  of  collection.  DoD  intelligence  components  are  authorized  to 
collect  information  about  United  States  persons  by  any  lawful  means,  provided 
that  all  such  collection  activities  shall  be  carried  out  in  accordance  with 
E.O.  12333  (reference  (a)),  and  this  Regulation,  as  appropriate. 
2.  Least  intrusive  means.  The  collection  of  information  about  United 
States  persons  shall  be  accomplished  by  the  least  intrusive  means.  In  general, 
this  means  the  following: 
a.  To  the  extent  feasible,  such  information  shall  be  collected  from 
publicly  available  information  or  with  the  consent  of  the  person  concerned; 
b.  If  collection  from  these  sources  is  not  feasible  or  sufficient, 
such  information  may  be  collected  from  cooperating  sources; 
c.  If  collection  from  cooperating  sources  is  not  feasible  or 
sufficient,  such  information  may  be  collected,  as  appropriate,  using  other 
lawful  investigative  techniques  that  do  not  require  a  judicial  warrant  or  the 
ai  oval  of  the  Attorney  General;  then
DoD  5240. i-R 
d.   If  collection  through  use  of  these  techniques  is  not  feasible 
or  sufficient,  .approval  for  use  of  investigative  techniques  that  do  require  a 
judicial  warrant  or  the  approval  o:  tne  Attorney  General  may  be  sought. 
E .   SPECIAL  LIMITATION  ON  THE  COLLECTION  OF  FOREIGN  INTELLIGENCE  WITHIN  THE 
UNITED  STATES. 
Within  the  United  States,  foreign  intelligence  concerning  United  States  per- 
sons may  be  collected  only  by  overt  means  unless  all  the  following  conditions  are 
met: 
1.  The  foreign  intelligence  sought  is  significant  and  collection  is  not 
undertaken  for  the  purpose  of  acquiring  information  concerning  the  domestic 
activities  of  any  United  States  person; 
2.  Such  foreign  intelligence  cannot  be  reasonably  obtained  by  overt  means; 
3.  The  collection  of  such  foreign  intelligence  has  been  coordinated  with 
the  Federal  Bureau  of  Investigation  (FBI);  and 
4.  The  use  of  other  than  overt  means  has  been  approved  in  writing  by  the 
head  of  the  DoD  intelligence  component  concerned,  or  his  single  designee,  as 
being  consistent  with  these  procedures.  A  copy  of  any  approval  made  pursuant 
to  this  section  shall  be  provided  the  Deputy  Under  Secretary  of  Defense  (Policy) .
DoD  5240. 1-R 
procedure  3.  retention  of  intor-maiion 
.-*£■: ';:  unit::  57-.:is  pepsins 
This  procedure  .governs  :r.=  kinds  of  i.;f;  ration  about  :Jnit.?d  Scutes  per- 
sons that  may  knowingly  be  retained  by  a  DoD  intelligence  component  without 
the  consent  ot  the  person  whom  the  information  concerns.   It  does  not  apply 
when  the  information  in  question  is  retained  solely  for  administrative  pur- 
poses or  is  required  by  law  to  be  maintained. 
B.  EXPLANATION  OF  UNDEFINED  TERMS 
The  term  ''retention,"  as  used  in  this  procedure,  refers  only  to  the  main- 
tenance of  information  about  United  States  persons  which  can  be  retrieved  by 
reference  to  the  person's  name  or  other  identifying  data. 
C.  CRITERIA  FOR  RETENTION 
1.  Retention  of  information  collected  tinder  Procedure  2.   Information 
about  United  States  persons  may  be  retained  if  it  was  collected  pursuant  to- 
Procedure  2. 
2.  Retention  of  Information  Acquired  Incidentally.  Information  about 
United  States  persons  collected  incidentally  to  authorized  collection  may  be 
retained  if: 
a.  Such  information  could  have  been  collected  intentionally  under 
Procedure  2; 
b.  Such  information  is  necessary  to  understand  or  assess  foreign 
intelligence  or  counterintelligence; 
c.  The  information  is  foreign  intelligence  or  counterintelligence 
collected  from  electronic  surveillance  conducted  in  compliance  with  this 
Regulation;  or 
d.  Such  information  is  incidental  to  authorized  collection  and  may 
indicate  involvement  in  activities  that  may  violate  federal,  state,  local,  or 
foreign  law. 
3.  Retention  of  information  relating  to  functions  of  other  DoD  Com- 
ponents or  non-DoD  Agencies.  Information  about  United  States  persons  that 
pertains  solely  to  the  functions  of  other  DoD  Components  or  agencies  outside 
the  Department  of  Defense  shall  be  retained  only  as  necessary  to  transmit  or 
deliver  such  information  to  the  appropriate  recipients. 
4.  Temporary  retention.   Information  about  United  States  persons  may  be 
retained  temporarily,  for  a  period  not  to  exceed  90  days,  solely  for  the 
purpose  of  determining  whether  that  information  may  be  permanently  retained 
under  these  procedures.
DoD  52^0. 1-R 
5.   Retention  of  other  information.   Information  about  United  States  persons 
other  than  that  covered  by  subsections  C.I.  tn rough  * .  .  -above,  shall  be  retained 
only  for  purposes  of  reporting  such  collection  for  oversight  purposes  ana  for  any 
subsequent  proceedings  that  .Tiay  be  necessary. 
D.  ACCESS  AND  RETENTION 
1.  Controls  on  access  to  retained  information.  Access  within  a  DoD  in- 
telligence component  to  information  about  United  States  persons  retained  pursuant 
to  this  procedure  shall  be  limited  to  those  with  a  need  to  know. 
2.  Duration  of  retention.  Disposition  of  information  about  United  States 
persons  retained  in  the  files  of  DoD  intelligence  components  will  comply  with 
the  disposition  schedules  approved  by  the  Archivist  of  the  United  States  for 
the  files  or  records  in  which  the  information  is  retained. 
3.  Information  acquired  prior  to  effective  date.  Information  acquired 
prior  to  the  effective  date  of  this  procedure  may  be  retained  by  DoD  intelligence 
components  without  being  screened  for  compliance  with  this  procedure  or  Executive 
Order  12333  (reference  (a)),  so  long  as  retention  was  in  compliance  with 
applicable- law  and  previous  executive  orders.
DoD  5240. 1-R 
PROCEDURE  4.   DISSEMINATION  OF  INFORMATION 
ABOUT  UNITED  STATES  PERSONS 
-1- •   APPLICABILITY  AND  SCOPE 
This  procedure  governs  the  kinds  of  information  about  United  States  per- 
sons that  may  be  disseminated,  without  their  consent,  outside  the  DoD  intelli- 
gence component  that  collected  and  retained  the  information.   It  does  not  apply 
to  information  collected  solely  for  administrative  purposes;  or  disseminated 
pursuant  to  law;  or  pursuant  to  a  court  order  that  otherwise  imposes  controls 
upon  such  dissemination. 
B.  CRITERIA  FOR  DISSEMINATION 
Except  as  provided  in  section  C,  below,  information  about  United  States 
persons  that  identifies  those  persons  may  be  disseminated  without  the  consent 
of  those  persons  only  under  the  following  conditions: 
1.  The  information  was  collected  or  retained  or  both  under  Procedures 
2  and  3; 
2.  The  recipient  is  reasonably  believed  to  have  a  need  to  receive  such 
information  for  the  performance  of  a  lawful  governmental  function,  and  is  one 
of  the  following: 
a.  An  employee  of  the  Department  of  Defense,  or  an  employee  of  a 
contractor- of  the  Department  of  Defense,  and  has  a  need  for  such  information  in 
the  course  of  his  or  her  official  duties; 
b.  A  law  enforcement  entity  of  federal,  state,  or  local  government,  and 
the  information  may  indicate  involvement  in  activities  which  may  violate  laws 
which  the  recipient  is  responsible  to  enforce; 
c.  An  agency  within  the  intelligence  community;  provided  that  within 
the  intelligence  community,  information  other  than  information  derived  from 
signals  intelligence,  may  be  disseminated  to  each  appropriate  agency  for  the 
purpose  of  allowing  the  recipient  agency  to  determine  whether  the  information 
is  relevant  to  its  responsibilities  without  such  a  determination  being  required 
of  the  disseminating  DoD  intelligence  component; 
d.  An  agency  of  the  federal  government  authorized  to  receive  such 
information  in  the  performance  of  a  lawful  governmental  function;  or 
e.  A  foreign  government,  and  dissemination  is  undertaken  pursuant  to  an 
agreement  or  other  understanding  with  such  government.. 
C.  OTHER  DISSEMINATION 
Any  dissemination  that  does  not  conform  to  the  conditions  set  forth  in  sec- 
tion B.,  above,  must  be  approved  by  the  legal  office  responsible  for  advising 
the  DoD  Component  concerned  after  consultation  with  the  Department  of  Justice 
and  General  Counsel  of  the  Department  of  Defense.   Such  approval  shall  be  based 
on  a  determination  that  the  proposed  dissemination  complies  with  applicable  laws, 
executive  orders,  and  regulations.
DoD  524C.1-R 
PROCEDURE  5.  ELECTRONIC  SURVEILLANCE 
PARI  I:   ELECTRONIC  SURVEILLANCE  IN  THE  UNITED  STATES  FOR  INTELLIGENCE 
PURPOSES 
A.  APPLICABILITY 
This  part  of  Procedure  5  implements  the  Foreign  Intelligence  Surveillance 
Act  of  1978  (reference  (b)),  and  applies  to  electronic  surveillance,  as  defined 
in  that  Act,  conducted  by  DoD  intelligence  components  within  the  United  States 
to  collect  ''foreign  intelligence  iniormation,"  as  defined  in  that  Act. 
B.  GENERAL  RULES 
1.  Electronic  surveillance  pursuant  to  the  Foreign  Intelligence  Surveil- 
lance Act.  A  DoD  intelligence  component  may  conduct  electronic  surveillance 
within  the  United  States  for  foreign  intelligence  and  counterintelligence  pur- 
poses only  pursuant  to  an  order  issued  by  a  judge  of  the  court  appointed  pursuant 
to  the  Foreign  Intelligence  Surveillance  Act  of  1978  (reference  (b)),  or  pursuant 
to  a  certification  of  the  Attorney  General  issued  under  the  authority  of  section 
102(a)  of  the  Act. 
2.  Authority  to  request  electronic  surveillance.  Authority  to  approve  the 
submission  of  applications  or  requests  for  electronic  surveillance  under  the 
Foreign  Intelligence  Surveillance  Act  of  1978  (reference  (b))  shall  be  limited 
to  the  Secretary  of  Defense,  the  Deputy  Secretary  of  Defense,  the  Secretary  or 
Under  Secretary  of  a  Military  Department,  and  the  Director  of  the  National 
Security  Agency.  Applications  for  court  orders  will  be  made  through  the 
Attorney  General  after  prior  clearance  by  the  General  Counsel,  DoD.  Requests 
for  Attorney  General  certification  shall  be  made  only  after  prior  clearance 
by  the  General  Counsel,  DoD. 
3.  Electronic  surveillance  in  emergency  situations. 
a.  A  DoD  intelligence  component  may  conduct  electronic  surveillance 
within  the  United  States  in  emergency  situations  under  an  approval  from  the 
Attorney  General  in  accordance  with  section  105(e)  of  reference  (b). 
b.  The  head  of  any  DoD  intelligence  component  may  request  that  the  DoD 
General  Counsel  seek  such  authority  directly  from  the  Attorney  General  in  an 
emergency,  if  it  is  not  feasible  to  submit  such  request  through  an  official 
designated  in  subsection  B-2.,  above,  provided  the  appropriate  offical  concerned 
shall  be  advised  of  such  requests  as  soon  as  possible  thereafter.
PROCEDURE  5.   ELECTRONIC  SURVEILLANCE,  continued 
PART  2:   ELECTRONIC  SURVEILLANCE  OUTSIDE  THE  UNITED  STATES  FOR  INTELLIGENCE 
PURPOSES 
A.  APPLICABILITY 
This  part  of  Procedure  5  applies  to  electronic  surveillance,  as  defined 
in  Appendix  A,   for  foreign  intelligence  and  counterintelligence  purposes 
directed  against  United  States  persons  who  are  outside  the  United  States, 
and  who,  under  the  circumstances,  have  a  reasonable  expectation  of  privacy. 
It  is  intended  to  be  applied  in  conjunction  with  the  regulation  of  electronic 
surveillance  "within  the  United  States"  under  Part  1  and  the  regulation  of. 
"signals  intelligence  activities"  under  Part  3,  so  that  the  intentional 
interception  for  foreign  intelligence  and  counterintelligence  purposes  of  all 
wire  or  radio  communications  of  persons  within  the  United  States  and  against 
United  States  persons  abroad  where  such  persons  enjoy  a  reasonable  expectation 
of  privacy  is  covered  by  one  of  the  three  parts.  In  addition,  this  part  governs 
the  use  of  electronic,  mechanical,  or  other  surveillance  devices  for  foreign 
intelligence  and  counterintelligence  purposes  against  a  United  States  person  ■ 
abroad  in  circumstances  where  such  person  has  a  reasonable  expectation  of 
privacy.  This  part  does  not  apply  to  the  electronic  surveillance  of  communi- 
cations of  other  than  United  States  persons  abroad  or  the  interception  of  the 
communications  of  United  States  persons  abroad  that  do  not  constitute  electronic 
surveillance. 
B.  EXPLANATION  OF  UNDEFINED  TERMS 
1.  Electronic  surveillance  is  "directed  against  a  United  States  person" 
when  the  surveillance  is  intentionally  targeted  against  or  designed  to  inter- 
cept the  communications  of  that  person.  Electronic  surveillance  directed 
against  persons  who  are  not  United  States  persons  that  results  in  the  inci- 
dental acquisition  of  the  communications  of  a  United  States  person  does  not 
thereby  become  electronic  surveillance  directed  against  a  United  States  per- 
son. 
2.  Electronic  surveillance  is  "outside  the  United  States"  if  the  person 
against  whom  the  electronic  surveillance  is  directed  is  physically  outside  the 
United  States,  regardless  of  the  location  at  which  surveillance  is  conducted. 
For  example,  the  interception  of  communications  that  originate  and  terminate 
outside  the  United  States  can  be  conducted  from  within  the  United  States  and 
still  fall  under  this  part  rather  than  Part  1. 
C.  PROCEDURES 
Except  as  provided  in  section  D.,  below,  DoD  intelligence  components  may 
conduct  electronic  surveillance  against  a  United  States  person  who  is  outside 
the  United  States  for  foreign  intelligence  and  counterintelligence  purposes  only 
if  the  surveillance  is  approved  by  the  Attorney  General.  Requests  for  approval 
will  be  forwarded  to  the  Attorney  General  by  an  official  designated  in  section 
E.I.,  below.   Each  request  shall  include: 
1.  An  identification  or  description  of  the  target.
DoD  52A0.1-R 
2.  A  statement  of  the  facts  supporting  a  finding  that: 
a.  There  is  probable  cause  to  believe  the  target  of  the  electron:.: 
surveillance  is  one  of  the  following: 
(1)  A  person  who,-  for  or  on  behalf  of  a  foreign  power  is  engaged 
in  clandestine  intelligence  activities  (including  covert  activities  intended  to 
affect  the  political  or  governmental  process),  sabotage,  or  international  terror- 
ist activities,  or  activities  in  preparation  for  international  terrorist  activi- 
ties; or  who  conspires  with,  or  knowingly  aids  and  abets  a  person  engaging  in 
such  activities; 
(2)  A  person  who  is  an  officer  or  employee  of  a  foreign  power; 
(3)  A  person  unlawfully  acting  for,  or  pursuant  to  the  direc- 
tion of,  a  foreign  power.  The  mere  fact  that  a  person's  activities  may  benefit 
or  further  the  aims  of  a  foreign  power  is  not  enough  to  bring  tnat  person  under 
this  subsection,  absent  evidence  that  the  person  is  taking  direction  from,  or 
acting  in  knowing  concert  with,  the  foreign  power; 
(4)  A  corporation  or  other  entity  that  is  owned  or  controlled 
directly  or  indirectly  by  a  foreign  power;  or 
•  (5)  A  person  in  contact  with,  or  acting  in  collaboration  with, 
an  intelligence  or  security  service  of  a  foreign  power  for  the  purpose  of  pro- 
viding access  to  information  or  material  classified  by  the  United  States  to 
which  such  person  has  access. 
b.  The  electronic,  surveillance  is  necessary  to  obtain  significant 
foreign  intelligence  or  counterintelligence. 
c.  The  significant  foreign  intelligence  or  counterintelligence  ex- 
pected to  be  obtained  from  the  electronic  surveillance  could  not  reasonably  be 
obtained  by  other  less  intrusive  collection  techniques. 
3.  A  description  of  the  significant  foreign  intelligence  or  counterintel- 
ligence expected  to  be  obtained  from  the  electronic  surveillance. 
4.  A  description  of  the  means  by  which  the  electronic  surveillance  will 
be  effected, 
5.  If  physical  trespass  is  required  to  effect  the  surveillance,  a 
statement  of  facts  supporting  a  finding  that  the  means  involve  the  least 
amount  of  intrusion  that  will  accomplish  the  objective. 
6.  N  A  statement  of  period  of  time,  not  to  exceed  90  days,  for  which  the 
electronic  surveillance  is  required. 
7.  A  description  of  the  expected  dissemination  of  the  product  of  the 
surveillance,  including  a  description  of  the  procedures  that  will  govern  the 
retention  and  dissemination  of  communications  of  or  concerning  United  States 
persons  other  than  those  targetted,  acquired  incidental  to  such  surveillance.
Dot)  5240. 1-R 
D.  ELECTRONIC  SURVEILLANCE  IN  EMERGENCY  SITUATIONS 
:n.: 
Notwithstanding  section  C,  above,  a  DoD  intelligence  component  ma-, 
surveillance  directed  at  a  United  States  person  who  is  outside  the  Initeo  -lutes 
in  emergency  situations  under  the  following  limitations: 
1.  Officials  designated  in  section  E.,  below,  may  authorize  electronic 
surveillance  directed  at  a  United  States  person  outside  the  United  States  m 
emergency  situations,  when  securing  the  prior  approval  of  the  Attorney  General 
is  not  practical  because: 
a.  The  time  required  would  cause  failure  or  delay  in  obtaining 
significant  foreign  intelligence  or  counterintelligence  and  such  failure  or 
delay  would  result  in  substantial  harm  to  the  national  security; 
b.  A  person's  life  or  physical  safety  is  reasonably  believed  to  be 
in  immediate  danger;  or 
c.  The  physical  security  of  a  defense  installation  or  government 
property  is  reasonably  believed  to  be  in  immediate  danger. 
2.  Except  for  actions  taken  under  paragraph  D.l.b.,  above,  any  official 
authorizing  such  emergency  surveillance  shall  find  that  one  of  the  criteria  con- 
tained in  paragraph  C.2.a.,  above,  is  met.  Such  officials  shall  notify  the  DoD 
General  Counsel  promptly  of  any  such  surveillance,  the  reason  for  authorizing 
such  surveillance  on  an  emergency  basis,  and  the  expected  results. 
3.  The  Attorney  General  shall  be  notified  by  the  General  Counsel,  DoD,  as 
soon  as  possible  of  the  surveillance,  the  circumstances  surrounding  its 
authorization,  and  the  results  thereof,  and  such  other  information  as  may  be 
required  to  authorize  continuation  of  such  surveillance. 
4.  Electronic  surveillance  authorized  pursuant  to  this  section  may  not 
continue  longer  than  the  time  required  for  a  decision  by  the  Attorney  General 
and  in  no  event  longer  than  72  hours. 
e.  officials  authorized  to  request  and  approve  electronic  surveillance 
OUTSIDE  THE  UNITED  STATES 
1.  The  following  off icials  may  request  approval  of  electronic  surveil- 
lance outside  the  United  States  under  section  C. ,  above,  and  approve  emergency 
surveillance  under  section  D.,  above: 
a.  The  Secretary  and  Deputy  Secretary  of  Defense. 
b.  The  Secretaries  and  Under  Secretaries  of  the  Military  Departments. 
c.  The  Director  and  Deputy  Director  of  the  National  Security  Agency/ 
Chief,  Central  Security  Service. 
2.  Authorization  for  emergency  electronic  surveillance  under  section  D. 
may  also  be  granted  by:
DoD  32-0. 1-R 
S  ID  i 
end  a  lis 
a.  Any  general  or  flag  officer  at  Che  overseas  location  in  question, 
.sibility  for  either  the  subject  of  the  surveillance,  or  respon- 
y  :"::■  the  protection  of  the  persons,  installations,  or  property  tnat  is 
•■sc; 
e  r  e  o  ! 
b.  The  Deputy  Director  for  Operations,  National  Security  Agency.
DoD  5240. i-R 
PROCEDURE  5.  ELECTRONIC  SURVEILLANCE,  continued 
PART  3:   SIGNALS  INTELLIGENCE  ACTIVITIES 
A.  APPLICABILITY  AND  SCOPE 
1.  This  procedure  governs  the  conduct  by  the  United  States  Signals  Intel- 
ligence System  of  signals  intelligence  activities  that  involve  the  collection, 
retention,  and  dissemination  of  foreign  communications  and  military  tactical 
communications.  Such'  activities  may  incidentally  involve  the  collection  of 
information  concerning  United  States  persons  without  their  consent,  or  may 
involve  communications  originated  or  intended  for  receipt  in  the  United  States, 
without  the  consent  of  a  party  thereto. 
2.  This  part  of  Procedure  5  shall  be  supplemented  by  a  classified  Annex 
promulgated  by  the  Director,  National  Security  Agency/Chief,  Central  Security 
Service,  which  shall  also  be  approved  by  the  Attorney  General.  That  regulation 
shall  provide  that  signals  intelligence  activities  which  constitute  electronic 
surveillance,  as  defined  in  Parts  1  and  2  of  this  procedure,  will  be  authorized 
in  accordance  with  those  parts.  Any  information  collected  incidentally  about 
United  States  persons  shall  be  subjected  to  minimization  procedures  approved  by 
the  Attorney  General. 
B.  EXPLANATION  OF  UNDEFINED  TERMS 
1.  Communications  concerning  a  United  States  person  are  those  in  which 
the  United  States  person  is  identified  in  the  communication.  A  United  States 
person  is  identified  when  the  person's  name,  unique  title,  address  or  other 
personal  identifier  is  revealed  in  the  communication  in  the  context  of  activi- 
ties conducted  by  that  person  or  activities  conducted  by  others  and  related  to 
that  person.  A  reference  to  a  product  by  brand  name  or  manufacturer's  name  or 
the  use  of  a  name  in  a  descriptive  sense,  as,  for  example,  "Monroe  Doctrine," 
is  not  an  identification  of  a  United  States  person. 
2.  Interception  means  the  acquisition  by  the  United  States  Signals. 
Intelligence  system  through  electronic  means  of  a  nonpublic  communication  to 
which  it  is  not  an  intended  party,  and  the  processing  of  the  contents  of  that 
communication  into  an  intelligible  form  but  not  including  the  display  of  sig- 
nals on  visual  display  devices  intended  to  permit  the  examination  of  the  tech- 
nical characteristics  of  the  signals  without  reference  to  the  information 
content  carried  by  the  signals. 
3.  Military  tactical  communications  means  United  States  and  allied 
military  exercise  communications  within  the  United  States  and  abroad  necessary 
for  the  production  of  simulated  foreign  intelligence  and  counterintelligence 
or  to  permit  an  analysis  of  communications  security. 
4.  United  States  person.  For  purposes  of  signals  intelligence  activities 
only,  the  following  guidelines  will  apply  in  determining  whether  a  person  is  a 
United  States  person:
DoD  5240.1-8 
a.  A  person  known  to  be  currently  in  the  United  States  will  be  Created 
as  a  United  States  person  unless  the  nature  of  the  person's  communications  or 
other  available  information  concerning  the  person  gives  rise  to  a  reasonable 
belief  that  such  person  is  not  a  United  States  citi2en  or  permanent  resident 
alien. 
b.  A  person  known  to  be  currently  outside  the  United  States,  or  whose 
location  is  not  known,  will  not  be  treated  as  a  United  States  person  unless  the 
nature  of  the  person's  communications  or  other  available  information  concerning 
the  person  give  rise  to  a  reasonable  belief  that  such  person  is  a  United  States 
citizen  or  permanent  resident  alien. 
c.  A  person  known  to  be  an  alien  admitted  for  permanent  residence  may 
be  assumed  to  have  lost  status  as  a  United  States  person  if  the  person  leaves 
the  United  States  and  it  is  known  that  the  person  is  not  in  compliance  with  the 
administrative  formalities  provided  by  law  that  enable  such  persons  to  reenter 
the  United  States  without  regard  to  the  provisions  of  law  that  would  otherwise 
restrict  an  alien's  entry  into  the  United  States.  The  failure  to  follow  the 
statutory  procedures  provides  a  reasonable  basis  to  conclude  that  such  alien 
has  abandoned  any  intention  of  maintaining  status  as  a  permanent  resident  alien. 
d.  An  unincorporated  association  whose  headquarters  are  located  out- 
side the  United  States  may  be  presumed  not  to  be  a  United  States  person  unless 
the  collecting  agency  has  information  indicating  that  a  substantial  number  of 
members  are  citizens  of  the  United  States  or  aliens  lawfully  admitted  for  per- 
manent residence. 
5.  United  States  Signals  Intelligence  System  means  the  unified  organi- 
zation for  signals  intelligence  activities  under  the  direction  of  the  Director, 
National  Security  Agency/Chief,  Central  Security  Service,  comprised  of  the 
National  Security  Agency,  the  Central  Security  Service,  the  components  of  the 
military  services  authorized  to  conduct  signals  intelligence  and  such  other 
entities  (other  than  the  Federal  Bureau  of  Investigation)  as  are  authorized 
by  the  National  Security  Council  or  the  Secretary. of  Defense  to  conduct  signals 
intelligence.  FBI  activities  are  governed  by  procedures  promulgated  by  the 
Attorney  General. 
C,  PROCEDURES 
1.  Foreign  communications.  The  United  States  Signals  Intelligence 
System  may  collect,  process,  retain,  and  disseminate  foreign  communications 
that  are  also  communications  of  or  concerning  United  States  persons,  but  only 
in  accordance  with  the  classified  annex  to  this  procedure. 
2.  Military  tactical  communications.  The  United  States  Signals  Intelli- 
gence System  may  collect,  process,  retain,  and  disseminate  military  tactical 
communications  that  are  also  communications  of  or  concerning  United  States 
persons  but  only  in  accordance  with  the  classified  annex  to  this -procedure. 
a.  Collection.  Collection  efforts  will  be  conducted  in  the  same  man- 
ner as  in  the  case  of  signals  intelligence  for  foreign  intelligence' purposes 
and  must  be  designed  in  such  a  manner  as  to  avoid  to  the  extent  feasible  the 
intercept  of  communications  not  related  to  military  exercises.
DoD"  5240.1 -R 
b.  Retention  and  processing.  Military  tactical  communications  may  be 
retained  and  processed  without  deletion  of  references  to  United  States  persons 
who  are  participants  m.  or  are  otherwise  mentioned  in  exercise-related  com- 
munications, provided  that  the  communications  of  United  States  persons  not 
participating  in  tne  exercise  that  are  inadvertently  intercepted  during  the 
exercise  shall  be  destroyed  as  soon  as  feasible. 
c.  Dissemination.  Dissemination  of  military  tactical  communications 
and  exercise  reports  or  information  files  derived  from  such  communications  shall 
be  limited  to  those  authorities  and  persons  participating  in  or  conducting 
reviews  and  critiques  of  such  exercise. 
/
DoD  52^0. i-R 
PROCEDURE  5.  ELECTRONIC  SURVEILLANCE,  continued 
PART^:   TECHNICAL  SURVEILLANCE  COUNTERMEASURES 
A.  APPLICABILITY  .AND  SCOPE 
This  part  of  Procedure  5  applies  to  the  use  of  electronic  equipment  to  deter- 
mine the  existence  and  capability  of  electronic  surveillance  equipment  being  used 
by  persons  not  authorized  to  conduct  electronic  surveillance.   It  implements 
section  105(f)(2)  of  the  Foreign  Intelligence  Surveillance  Act  (reference  (b)). 
B.  EXPLANATION  OF  UNDEFINED  TERMS 
The  term  technical  surveillance  countermeasures  refers  to  activities 
authorized  pursuant  to  DoD  Directive  5200.29  (reference  (c)),  and,  as  used  in 
this  procedure,  refers  to  the  use  of  electronic  surveillance  equipment,  or 
electronic  or  mechanical  devices,  solely  for  determining  the  existence  and 
capability  of  electronic  surveillance  equipment  being  used  by  persons  not 
authorized  to  conduct  electronic  surveillance,  or  for  determining  the  suscept- 
ibility of  electronic  equipment  to  unlawful  electronic  surveillance. 
C.  PROCEDURES 
A  DoD  intelligence  component  may  use  technical  surveillance  countermeasures 
that  involve  the  incidental  acquisition  of  the  nonpublic  communications  of  United 
States  persons  without  their  consent,  provided: 
1.  The  use  of  such  countermeasures  has  been  authorized  or  consented  to  by 
the  official  in  charge  of  the  facility,  organization,  or  installation  where  the 
countermeasures  are  to  be  undertaken; 
2.  The  use  of  such  countermeasures  is  limited  in  extent  and  duration  to 
that  necessary  to  determine  the  existence  and  capability  of  such  equipment;  and 
3.  Access  to  the  content  of  communications  acquired  during  the  use  of 
countermeasures  is  limited  to  persons  involved  directly  in  conducting  such 
measures,  and  any  content  acquired  is  destroyed  as  soon  as  practical  or  upon 
completion  of  the  particular  use.  However,  if  the  content  is  acquired  within 
the  United  States,  only  information  which  is  necessary  to  protect  against 
unauthorized  electronic  surveillance,  or  to  enforce  Chapter  119  of  title  18, 
United  States  Code  (reference  (d))  and  Section  605  of  the  Communication  Act  of 
1934  (reference  (e'J),  may  be  retained  and  disseminated  only  for  these  purposes. 
If  acquired  outside  the  United  States,  information  which  indicates  a  violation 
of  federal  law,  including  the  Uniform  Code  of  Military  Justice  (reference  (f)), 
or  a  clear  and  imminent  threat  to  life  or  property,  may  also  be  disseminated 
to  appropriate  law  enforcement  authorities.  A  record  of  the  types  of  communica- 
tions and  information  subject  to  acquisition  by  the  illegal  electronic  surveil- 
lance equipment  may  be  retained.
DoD  5240. 1-R 
PROCEDURE  5-   ELECTRONIC  SURVEILLANCE,  continued 
?A?.T  5:   DEVELOPING.  TESTING.  ANT;  ZAIIBRATION  OF  ELECTRONIC  EQUIPMENT 
A .  APPLICABILITY 
This  part  of  Procedure  5  applies  to  developing,  testing,  or  calibrating 
electronic  equipment  that  can  intercept  or  process  communications  and  non- 
communications signals.   It  also  includes  research  and  development  that  needs 
electronic  communications  as  a  signal  source. 
B.  PROCEDURES 
1.  Signals  authorized  for  use. 
a.  The  following  may  be  used  without  restriction: 
(1)  Laboratory-generated  signals. 
(2)  Communications  signals  with  the  consent  of  the  communicator. 
(3)  Communications  in  the  commercial  or  public  service  broadcast 
bands . 
(4)  Communications  transmitted  between  terminals  located  outside 
of  the  United  States  not  used  by  any  known  United  States  person. 
(5)  Noncommunications  signals  (including  telemetry,  and  radar). 
b.  .  Communications  subject  to  lawful  electronic  surveillance  under  the 
provisions  of  Parts  1,  2,  or  3  of  this  procedure  may  be  used  subject  to  the 
minimization  procedures  applicable  to  such  surveillance. 
c.  Any  of  the  following  may  be  used  subject  to  the  restrictions  of 
subsection  8.2.,  below. 
(1)  Communications  over  official  government  communications  circuits 
with  consent  from  an  appropriate  official  of  the  controlling  agency. 
(2)  Communications  in  the  citizens  and  amateur-radio  bands. 
d.  Other  signals  may  be  used  only  when  it  is  determined  that  it  is  not 
practical  to  use  the  signals  described  above  and  it  is  not  reasonable  to  obtain 
the  consent  of  persons  incidentally  subjected  to  the  surveillance.  The  restric- 
tions of  subsection  B.2.,  below,  will  apply  in  such  cases.  The  Attorney  General 
must  approve  use  of  signals  pursuant  to  this  subsection  for  the  purpose  of 
development,  testing,  or  calibration  when  the  period  of  use  exceeds  90  days. 
When  Attorney  General  approval  is  required,  the  DoD  intelligence  component 
shall  submit  a  test  proposal  to  the  General  Counsel,  DoD,  or  the  NSA  General 
Counsel  for  transmission  to  the  Attorney  General  for  approval.  The  test  pro- 
posal shall  state  the  requirement  for  a  period  beyond  90  days,  the  nature  of 
the  activity,  the  organization  that  will  conduct  the  activity,  and  the  proposed 
disposition  of  any  signals  or  communications  acquired  during  the  activity.
)oD  5~-»0 .  i-R 
2.   Restrictions . 
For  signals  ic;cr".:-f:  ir.  paragraph  2.'..:.  jr.:  :..  i::ve,  ~.:.r  :...-:ng 
restrictions  apply: 
a.  The  surveillance  snail  be  limited  in  scope  and  duration  to  c:\ai 
necessary  for  the  purposes  referred  to  m  section  A.,  above. 
b.  No  particular  United  States  person  shall  be  targeted  intentionally 
without  consent. 
c.  The  content  of  any  communication  shall: 
(1)  Be  retained  only  when  actually  needed  for  the  purposes 
referred  to  in  section  A.  above, 
(2)  Be  disseminated  only  to  persons  conducting  the  activity, 
and 
(3)  Be  destroyed  immediately  upon  completion  of  the  activity. 
d.  The  technical  parameters  of  a  communication  (such  as  frequency, 
modulation,  bearing,  signal  strength,  and  time  of  activity)  may  be  retained  and 
used  for  the  purposes  outlined  in  section  A.,  above,  or  for  collection  avoidance 
purposes.  Such  parameters  may  be  disseminated  to  other  DoD  intelligence  com* 
poneuts  and  other  entities  authorized  to  conduct  electronic  surveillance  or 
related  development,  testing,  and  calibration  of  electronic  equipment  provided 
such  dissemination  and  use  are  limited  to  the  purposes  outlined  in  section  A. 
or  collection  avoidance  purposes.  No  content  of  any  communication  may  be  re- 
tained or  used  other  than  as  provided  in  paragraph  B.2.c,  above.
DoD  5240.1-R 
PROCEDURE  5.   ELECTRONIC  SURVEILLANCE,  continued 
PART  o.   TRAINING  OF  PERSONNEL  IN  THE  OPERATION  AND  USE  OF  ELECTRONIC 
COMMUNICATIONS  AND  SURVEILLANCE  EQUIPMENT 
A .  APPLICABILITY 
This  part  of  Procedure  5  applies  to  the  training  of  personnel  by  DoD  intel- 
ligence components  in  the  operation  and  use  of  electronic  communications  and 
surveillance  equipment.   It  does  not  apply  to  the  interception  of  communications 
with  the  consent  of  one  of  the  parties  to  the  communication  or  to  the  training 
of  intelligence  personnel  by  nonintelligence  components. 
B.  PROCEDURES 
1.  Training  guidance.  The  training  of.  personnel  by  DoD  intelligence  com- 
ponents in  the  operation  and  use  of  electronic  communications  and  surveillance 
equipment  shall  include  guidance  concerning  the  requirements  and  restrictions 
of  the  Foreign  Intelligence  Surveillance  Act  of  1978  (reference  (b)),  and  E.O. 
12333  (reference  (a)),  with  respect  to  the  unauthorized  acquisition  and  use  of 
the  content  of  communications  of  United  States  persons. 
2.  Training  limitations 
a.  Except  as  permitted  by  paragraph.  B.2.b.  and  c,  below,  the  use  of 
electronic  communications  and  surveillance  equipment  for  training  purposes  is 
permitted,  subject  to  the  following  limitations: 
(1)  To  the  maximum  extent  practical,  use  of  such  equipment  for 
training  purposes  shall  be  directed  against  communications  which  are  subject 
to  lawful  electronic  surveillance  for  foreign  intelligence  and  counterintel- 
ligence purposes  under  Parts  1,2,  and  3  of  this  procedure. 
(2)  The  contents  of  private  communications  of  nonconsenting  United 
States  persons  may  not  be  acquired  aurally  unless  the  person  is  an  authorized 
target  of  electronic  surveillance. 
(3)  The  electronic  surveillance  will  be  limited  in  extent  and 
duration  to  that  necessary  to  train  personnel  in  the  use  of  the  equipment. 
b.  Public  broadcasts,  distress  signals,  or  official  U.S.  Government 
communications  may  be  monitored,  provided  that  when  government  agency  communica- 
tions are  monitored,  the  consent  of  an  appropriate  official  is  obtained. 
c.  Minimal  acquisition  of  information  is  permitted  as  required  for 
calibration  purposes. 
3.  Retention  and  dissemination.   Information  collected  during  training 
that  involves  communications  described  in  subparagraph  B.2.a.(l),  above,  shall 
be  retained  and  disseminated  in  accordance  with  minimization  procedures  applic- 
able to  that  electronic  surveillance.   Information  collected  during  training 
that  does  not  involve  communications  described  in  subparagraph  B.2.a.(l),  above, 
or  that  is  acquired  inadvertently,  shall  be  destroyed  as  soon  as  practical  or 
upon  completion  of  the  training  and  may  not  be  disseminated  for  any  purpose. 
This  limitation  does  not  apply  to  distress  signals.
JJUi-F    ~/4m" 
PROCEDURE  5.   ELECTRONIC  SURVEILLANCE,  continued 
PART  ~:   CONDUCT  Or  VULNERABILITY  AND  HEARABILITY  SURVEYS 
A.  APPLICABILITY  AND  SCOPE 
This  part  of  Procedure  5  applies  to  the  conduct  of  vulnerability  surveys 
and  hearability  surveys  by  DoD  intelligence  components. 
B.  EXPLANATION  OF  UNDEFINED  TERMS 
1.  The  term  vulnerability  survey  refers  to  the  acquisition  of  radio  fre- 
quency propagation  and  its  subsequent  analysis  to  determine  empirically  the 
vulnerability  of  the  transmission  media  to  interception  by  foreign  intelligence 
services. 
2.  The  term  hearability  survey  refers  to  monitoring  radio  communications 
to  determine  whether  a  particular  radio  signal  can  be  received  at  one  or  more 
locations  and,  if  reception  is  possible,  to  determine  the  quality  of  reception 
over  time. 
C.  PROCEDURES 
1.  Conduct  of  vulnerability  .surveys .  Nonconsensual  surveys  may  be  conducted 
to  determine  the  potential  vulnerability  to  intelligence  services  of  a  foreign 
power  of  transmission  facilities  of  communications  common  carriers,  other  private 
commercial  entities,  and  entities  of  the  federal  government,  subject  of  the  fol- 
lowing limitations: 
a.  No  vulnerability  survey  may  be  conducted  without  the  prior  written 
approval  of  the  Director,  National  Security  Agency,  or  his  designee. 
b.  No  transmission  may  be  acquired  aurally. 
c.  No  content  of  any  transmission  may  be  acquired  by  any  means. 
d.  No  transmissions  may  be  recorded. 
e.  No  report  or  log  may  identify  any  United  States  person  or  entity 
except  to  the  extent  of  identifying  transmission  facilities  that  are  vulnerable 
to  surveillance  by  foreign  powers.  If  the  identities  of  the  users  of  such 
facilities  are  not  identical  with  the  identities  of  the  owners  of  the  facilities, 
the  identity  of  such  users  may  be  obtained  but  not  from  the  content  of  the  trans- 
missions themselves,  and  may  be  included  in  such  report  or  log.  Reports  may  be 
disseminated.  Logs  may  be  disseminated  only  if  required  to  verify  results  con- 
tained in  reports. 
2.  Conduct  of  hearability  surveys.  The  Director,  National  Security  Agency, 
may  conduct,  or  may  authorize  the  conduct  by  other  agencies,  of  hearability 
surveys  of  telecommunications  that  are  transmitted  in  the  United  States. 
5-13
"Do'D  5240.'  1-R" 
a.  Collection.  When  practicable,  consent  will  be  secured  from  the  owner 
,:r  user  -:  tr.e  facility  against  vhich  the  hearability  survey  is  to  be  conducted 
;;r:cr  ";  :.:•=  :;nur.encrnier.t  ;:  th=  survey. 
b.  Processing  and  Storage.   Information  collected  during  a  hearability 
survey  must  be  processed  and  stored  as  follows: 
(.1)  The  content  of  communications  may  not  be  recorded  or  included 
in  any  report. 
(2)  No  microwave  transmission  may  be  demultiplexed  or  demodulated 
for  any  purpose. 
(3)  No  report  or  log  may  identify  any  person  or  entity  except  to 
the  extent  of  identifying  the  transmission  facility  that  can  be  intercepted 
from  the  intercept  site.   If  the  identities  of  the  users  of  such  facilities  are 
not  identical  with  the  identities  of  the  owners  of  the  facilities,  and  their 
ld?ntitias  are  relevant  to  the  purpose  for  which  the  hearability  survey  has  been 
conducted,  the  identity  of  such  users  may  be  obtained  provided  suchidentities  may 
not  bo  obtained  from  the  contents  of  the  transmissions  themselves. 
c.  Dissemination.  Reports  may  be  disseminated  only  within  the  U.S. 
Government.  Logs  may  not  be  disseminated  unless  required  to  verify  results 
contained  in  reports. 
5-14
DoD '  b'ZW.  1-K 
PROCEDURE  6.   CONCEALED  MONITORING 
A.  ■ APPLICABILITY  AND  SCOPE 
1.  This  procedure  applies  to  concealed  monitoring  only  for  foreign  intel- 
ligence and  counterintelligence  purposes  conducted  by  a  DoD  intelligence  com- 
ponent within  the  United  States  or  directed  against  a  United  States  person  who 
is  outside  the  United  States  where  the  subject  of  such  monitoring  does  not  have 
a  reasonable  expectation  of  privacy,  as  explained  in  section  B.,  below,  and  no 
warrant  would  be  required  if  undertaken  for  law  enforcement  purposes. 
2.  Concealed  monitoring  in  the  United  States  for  foreign  intelligence  and 
counterintelligence  purposes  where  the  subject  of  such  monitoring  has  a  reason- 
able expectation  of  privacy  and  a  warrant  would  be  required  for  law  enforcement 
purposes  shall  be  treated  as  "electronic  surveillance  within  the  United  States" 
under  Part  1  of  Procedure  5,  and  processed  pursuant  to  that  procedure. 
3.  Concealed  monitoring  for  foreign  intelligence  and  counterintelligence 
purposes  of  a  United  States  person  abroad  where  the  subject  of  such  monitoring 
has  a  reasonable  expectation  of  privacy  and  a  warrant  would  be  required  for  law 
enforcement  purposes  shall  be  treated  as  "electronic  surveillance  outside  the 
United  States"  under  Part  2  of  Procedure  5,  and  processed  pursuant  to  that 
procedure. 
4.  Concealed  monitoring  for  foreign  intelligence  and  counterintelligence 
purposes  when  the  monitoring  is  a  signals  intelligence  activity  shall  be  con- 
ducted pursuant  to  Part  3  of  Procedure  5. 
B.  EXPLANATION  OF  UNDEFINED  TERMS 
1.  Concealed  monitoring  means  targetting  by  electronic,  optical,  or  mechan- 
ical devices  a  particular  person  or  a  group  of  persons  without  their  consent  in 
a  surreptitious  and  continuous  manner.  Monitoring  is  surreptitious  when  it  is  - 
targeted  in  a  manner  designed  to  keep  the  subject  of  the  monitoring  unaware  of 
it.1  Monitoring  is  continuous  if  it  is  conducted  without  interruption  for  a 
substantial  period  of  time. 
2.  Monitoring  is  within  the  United  States  if  the  monitoring  device,  or  the 
target  of  the  monitoring,  is  located  within  the  United  States. 
3.  Whether  concealed  monitoring  is  to  occur  where  the  subject  has  a  reason- 
able expectation  of  privacy  is  a  determination  which  depends  upon  the  circum- 
stances of  a  particular  case,  and  shall  be  made  only  after  consultation  with 
the  legal  office  responsible  for  advising  the  DoD  intelligence  component  con- 
cerned. Reasonable  expectation  of  privacy  is  the  extent  to  which  a  reasonable 
person  in  the  particular  circumstances  involved  is  entitled  to  believe  his  or 
her  actions  are  not  subject  to  monitoring  by  electronic,  optical,  or  mechanical 
devices.  For  example,  there  are  ordinarily  reasonable  expectations  of  privacy  in 
work  spaces  if  a  person's  actions  and  papers  are  not  subject  to  ready  observation 
by  others  under  normal  working  conditions.  Conversely,  a  person  walking  out  of 
his  or  her  residence  into  a  public  street  ordinarily  would  not  have  a  reasonable 
expectation  that  he  or  she  is  not  being  observed  or  even  photographed;  however, 
such  a  person  ordinarily  would  have  an  expectation  of  privacy  within  his  or  her 
residence. 
6-1
,  C.   PROCEDURES 
1-   Limitations  on  use  of  concealed  monitoring.   Use  of  concealed  tig  moor- 
ing under  circumstances  when  the  subject  of  such  monitoring  has  ac  reasonable 
expectation  of  privacy  is  subject  to  the  following  limitations: 
a.  Within  the  United  States,  a  DoD  intelligence  component  may  conduct 
concealed  monitoring  only  on  an  installation  or  facility  owned  or  leased  by 
DoD,  or  otherwise  in  the  course  x>f  an  investigation  conducted  pursuant  to  the 
Agreement  Between  the  Secretary  of  Defense  and  the  Attorney  General  (reference 
(g)). 
b.  Outside  the  United  States,  such  monitoring  may  be  conducted  on 
installations  and  facilities  owned  or  leased  by  the  Department  of  Defense. 
Monitoring  outside  such  facilities  shall  be  conducted  after  coordination  with 
appropriate  host  country  officials,  if  such  coordination  is  required  by  the 
governing  Status  of  Forces  Agreement,  and  with  the  Central  Intelligence  Agency. 
2«  Required  determination.  Concealed  monitoring  conducted  under  subsection 
C.I.,  requires  approval  by  an  official  designated  in  subsection  C.3.,  below, 
based  on  a  determination  that  such  monitoring  is  necessary  to  the  conduct  of 
assigned  foreign  intelligence  or  counterintelligence  functions,  and  does  not 
constitute  electronic  surveillance  under  Parts  1  or  2  of  Procedure  5. 
3.  Officials  authorized  to  approve  concealed  monitoring.  Officials 
authorized  to  approve  concealed  monitoring  under  this  procedure  include  the 
Deputy  Under  Secretary  of  Defense  (Policy);  the  Director,  Defense  Intelligence 
Agency;  the  Director,  National  Security  Agency;  the  Assistant  Chief  of  Staff 
for  Intelligence,  Department  of  Army;  the  Director,  Naval' Intelligence;  the 
Director  of  Intelligence,  U.S.  Marine  Corps;  the  Assistant  Chief  of  Staff, 
Intelligence,  U.S.  Air  Force;  the  Commanding  General,  Army  Intelligence  and 
Security  Command;  the  Director,  Naval  Investigative  Service;  and  the  Commanding 
Officer,  Air  Force  Office  of  Special  Investigations.
PROCEDURE  7.  PHYSICAL  SEARCHES 
A.  APPLICABILITY 
'  This  procedure  applies  to  unconsented  physical  searches  of  any  person  or 
property  within  the  United  States  and  to  physical  searches  of  the  person  or 
property  of  a  United  States  person  outside  the  United  States  by  DoD  intelli- 
gence components  for  foreign  intelligence  or  counterintelligence  purposes. 
DoD  intelligence  components  may  provide  assistance  to  the  Federal  Bureau  of 
Investigation  and  other  law  enforcement  authorities  in  accordance  with  Proce- 
dure 12. 
B.  EXPLANATION  OF  UNDEFINED  TERMS 
Physical  search  means  any  intrusion  upon  a  person  or  a  person's  property 
or  possessions  to  obtain  items  of  property  or  information.  The  term  does  not 
include  examination  of  areas  that  are  in  plain  view  and  visible  to  the  unaided 
eye  if  no  physical  trespass  is  undertaken,  and  does  not  include  examinations 
of  abandoned  property  left  in  a  public  place.  The  term  also  does  not  include 
any  intrusion  authorized  as  necessary  to  accomplish  lawful  electronic  surveil- 
lance conducted  pursuant  to  Parts  1  and  2  of  Procedure  5. 
C.  PROCEDURES 
1.  Unconsented  physical  searches  within  the  United  States. 
a.  Searches  of  active  duty  military  personnel  for  counterintelligence 
purposes .  The  counterintelligence  elements  of  the  Military  Departments  are 
authorized  to  conduct  unconsented  physical  searches  in  the  United  States  for 
counterintelligence  purposes  of  the  person  or  property  of  active  duty  military 
personnel,  when  authorized  by  a  military  commander  empowered  to  approve  physical 
searches  for  law  enforcement  purposes  pursuant  to  rule  315(d)  of  the  Manual  for 
Courts  Martial,  Executive  Order  12198  (reference  (h)),  based  upon  a  finding  of 
probable  cause  to  believe  such  persons  are  acting  as  agents  of  foreign  powers. 
For  purposes  of  this  section,  the  term  "agent  of  a  foreign  power"  refers  to  an 
individual  who  meets  the  criteria  set  forth  in  subparagraph  C.2.b.(2),  below. 
b.  Other  unconsented  physical  searches.  Except  as  permitted  by  section 
A.,  above,  DoD  intelligence  components  may  not  conduct  unconsented  physical 
searches  of  persons  and  property  within  the  United  States  for  foreign  intelli- 
gence or  counterintelligence  purposes.  DoD  intelligence  components  may,  however, 
request  the  FBI  to  conduct  such  searches.  All  such  requests,  shall  be  in  writ- 
ing; shall  contain  the  information  required  in  subparagraph  C.2.b.(l)  through  (6), 
below;  and  be  approved  by  an  official  designated  in  paragraph  C.2.C.,  below.  A 
copy  of  each  such  request  shall  be  furnished  the  General  Counsel,  DoD. 
2.  Unconsented  physical  searches  outside  the  United  States. 
a.  Searches  of  active  duty  military  personnel  for  counterintelligence 
purposes .  The  counterintelligence  elements  of  the  Military  Departments  may 
conduct  unconsented .physical  searches  of  the  person  or  property  of  active  duty 
military  personnel  outside  the  United  States  for  counterintelligence  purposes 
7-1
when  authorized  by  a  military  commander  empowered  to  approve  physical  searches 
for  law  enforcement  purposes  pursuant  to  rule  315(d)  of  the  Manual  for  Courts 
Martial,  Executive  Order  12198  (reference  (hj),  based  upon  a  finding  of  probable 
cause  to  believe  such  persons  are  acting  as  agents  of  foreign  powers.   For  pur- 
poses of  this  section,  the  term  "agent  of  a  foreign  power"  refers  to  an  individual 
who  meets  the  criteria  set  forth  in  subparagraph  C.2.B.(2),  below. 
b.  Other  unconsented  physical  searches.  DoD  intelligence  components 
may  conduct  other  unconsented  physical  searches  for  foreign  intelligence  and 
counterintelligence  purposes  of  the  person  or  property  of  United  States  persons 
outside  the  United  States  only  pursuant  to  the  approval  of  the  Attorney  General. 
Requests  for  such  approval  will  be  forwarded  by  a  senior  official  designated 
in  paragraph  C.2.C.,  below,  to  the  Attorney  General  and  shall  include: 
(1)  An  identification  of  the  person  or  description  of  the  property 
to  be  searched. 
(2)  A  statement  of  facts  supporting  a  finding  that  there  is  probable 
cause  to  believe  the  subject  of  the  search  is: 
(a)  A  person  who,  for  or  on  behalf  of  a  foreign  power,  is 
engaged  in  clandestine  intelligence  activities  (including  covert  activities 
intended  to  affect  the  political  or  governmental  process),  sabotage,  or  inter- 
national terrorist  activities,  activities  in  preparation  for  international  ter- 
rorist activities,  or  who  conspires  with,  or  knowingly  aids  and  abets  a  person 
engaging  in  such  activities; 
(b)  A  person  who  is  an  officer  or  employee  of  a  foreign  power; 
(c)  A  person  unlawfully  acting  for,  or  pursuant  to  the  direc- 
tion of,  a  foreign  power-  The  mere  fact  that  a  person's  activities  may  benefit 
or  further  the  aims  of  a  foreign  power  does  not  justify  an  unconsented  physical 
search  without  evidence  that  the  person  is  taking  direction  from,  or  acting  in 
knowing  concert  with,  the  foreign  power; 
(d)  A  corporation  or  other  entity  that  is  owned  or  controlled 
directly  or  indirectly  by  a  foreign  power;  or 
(e)  A  person  in  contact  with,  or  acting  in  collaboration  with, 
an  intelligence  or  security  service  of  a  foreign  power  for  the  purpose  of  pro- 
viding access  to  information  or  material  classified  by  the  United  States  to 
which  such  person  has  access. 
(3)  A  statement  of  facts  supporting  a  finding  that  the  search  is 
necessary  to  obtain  significant  foreign  intelligence  or  counterintelligence. 
(A)  A  statement  of  facts  supporting  a  finding  that  the  significant 
foreign  intelligence  or  counterintelligence  expected  to  be  obtained  could  not  be 
obtained  by  less  intrusive  means. 
(5)  A  description  of  the  significant  foreign  intelligence  or 
counterintelligence  expected  to  be  obtained  from  the  search. 
7-2
■'-  '"' i^OX*"*1'^'**^  W  •'  *-   .». 
(6)  A  description  of  the  extent  of  the  search  and  a  statement  of 
facts  supporting  a  finding  that  the  search  will  involve  the  least  amount  of 
physical  intrusion  that  will  accomplish  the  objective  sought. 
(7)  A  description  of  the  expected  dissemination  of  the  product  of 
the  search,  including  a  description  of  the  procedures  that  will  govern  the 
retention  and  dissemination  of  information  about  United  States  persons  acquired 
incidental  to  the  search. 
c.  Requests  for  approval  of  unconsented  physical  searches  under 
paragraph  C.2.b.  .nust  be  made  by: 
(1)  The  Secretary  or  the  Deputy  Secretary  of  Defense; 
(2)  The  Secretary  or  the  Under  Secretary  of  a  Military  Department; 
(3)  The  Director,  National  Security  Agency;  or 
(4)  The  Director,  Defense  Intelligence  Agency. 
7-3.
DoD  5240/1 -a' 
PROCEDURE  8.   SEARCHES  AND  EXAMINATION 
OF  MAIL 
A.   APPLICABILITY 
This  procedure  applies  to  the  opening  of  mail  in  United  States  postai 
channels,  and  the  use  of  mail  covers  with  respect  to  such  mail,  for  foreign 
intelligence  and  counterintelligence  purposes.   It  also  applies  to  the  opening 
of  mail  to  or  from  United  States  persons  where  such  activity  is  conducted  out- 
side the  Jnited  States  and  such  mail  is  not  in  United  States  postal  channels. 
•B.  EXPLANATION  OF  UNDEFINED  TERMS 
1.  Mail  within  United  States  postal  channels  includes: 
a.  Mail  while  in  transit  within,  among,  and  between  the  United 
States,  its  territories  and  possessions  (including  mail  of  foreign  origin 
which  is  passed  by  a  foreign  postal  administration  to  the  United  States  Postal 
Service  for  forwarding  to  a  foreign  postal  administration  under  a  postal  treaty 
or  convention,  and  mail  temporarily  in  the  hands  of  the  United  States  Customs- 
Service  or  the  Department  of  Agriculture),  Army-Air  Force  (APO)  and  Navy  (FPO) 
post  offices,  and  mail  for  delivery  to  the  United  Nations,  N.Y.;  and 
b.  International  mail  en  route  to  an  addressee  in  the  United  States 
or  its  possessions  after  passage  to  United  States  Postal  Service  from  a  foreign 
postal  administration  or  en  route  to  an  addressee  abroad  before  passage  to  a 
foreign  postal  administration. 
As  a  rule,  mail  shall  be  considered  in  such  postal  channels  until  the 
moment  it  is  delivered  manually  in  the  United  States  to  the  specific  addressee 
named  on  the  envelope,  or  his  authorized  agent. 
2.  To  examine  mail  means  to  employ  a  mail  cover  with  respect  to  such 
mail . 
3.  Mail  cover  means  the  process  by  which  a  record  is  made  of  any  data 
appearing  on  the  outside  cover  of  any  class  of  mail  matter  as  permitted  by 
law,  other  than  that  necessary  for  the  delivery  of  mail  or  administration  of 
the  postal  service. 
C.  PROCEDURES 
1.  Searches  of  mail  within  United  States  postal  channels. 
a.  Applicable  postal  regulations  do  not  permit  DoD  intelligence  com- 
ponents to  detain  or  open  first  class  mail  within  United  States  postal  channels 
for  foreign  intelligence  and  counterintelligence  purposes,  or  to  request  such 
action  by  the  U.S.  Postal  Service. 
b.  DoD  intelligence  components  may  request  appropriate  U.S.  postal 
authorities  to  inspect,  or  authorize  the  inspection,  of  the  contents  of  second, 
third,  or  fourth  class  mail  in  United  States  postal  channels,  for  such  purposes, 
ft-i
DoD  5 240.1 -R 
in  accordance  with  applicable  postal  regulations.   Such  components  may  also  re- 
quest appropriate  U.S.  postal  authorities  to  detain,  or  permit  the  detention  of, 
mail  that  may  become  subject  to  search  under  this  section,  in  accordance  with 
applicable  postal  regulations. 
2.  Searches  of  mail  outside  United  States  postal  channels. 
a.  DoD  intelligence  components  are  authorized  to  open  mail  to  or  from 
a  United  States  person  that  is  found  outside  United  States  postal  channels  only 
pursuant  to  the  approval  of  the  Attorney  General.  Requests  for  such  approval 
shall  be  treated  as  a  request  for  an  unconsented  physical  search  under  paragraph 
C.2.b.  of  Procedure  7. 
b.  Heads  of  DoD  intelligence  components  may  authorize  the  opening 
of  mail  outside  U.S.  postal  channels  when  both  the  sender  and  intended  recipient 
are  other  than  United  States  persons  if  such  searches  are  otherwise  lawful  and 
consistent  with  any  Status  of  Forces  Agreement  that  may  be  in  effect. 
3.  Mail  covers 
a.  DoD  intelligence  components  may.  request  U.S.  postal  authorities 
to  examine  mail  in  U.S.  postal  channels-,  for  counterintelligence  purposes,  in 
accordance  with  applicable  postal  regulations. 
b.  DoD  intelligence  components  may  also  request  mail  covers  with 
respect  to  mail  to  or  from  a  United  States  person  that  is  outside  U.S.  postal 
)        channels,  in  accordance  with  appropriate  law  and.  procedure  of  the  host  govern- 
ment, and  any  Status  of  Forces  Agreement  that  may  be  in  effect. 
/ 
ft-i
PROCEDURE  9.  21HS1  CM   SUftViLLANCE 
A    •■^-/•CABILITY 
'.>:•;  otocadura  applies  or.i/  to  r.'ie  physical  sUiVciilaiice  of  Unic^d  St^t^s 
f  .  s,v»=s  by  DoD  intelligence  co>aporients  for  foreign  intelligence  and  counter- 
ing.■  ligence  purposes.  This  procedure  ioes  not  apply  to  physical  surveillance 
conducted  as  part  of  a  training  exercise  when  the  subjects  are  participants  in 
the  exercise. 
3.  EXPLANATION  OF  UNDEFINED  TERMS 
The  term  physical  surveillance  means  a  systematic  and  deliberate  observa- 
tion of  a  person  by  any  means  on  a -continuing  basis »  or  the  acquisition  of  a 
-loupublic  communication  by  a  person  not  a  party  thereto  or  visibly  present 
Ui'mt^L  through  any  means  not  involving  electronic  surveillance. 
PROCEDURES 
1.  Criteria  for  physical  surveillance  in  the  United  States.  Within  the 
United  States,'  DoD  intelligence  components  may  conduct  unconsented  physical 
surveillances  for  foreign  intelligence  and  counterintelligence  purposes  against 
United  States  persons  who  are  present  or  former  employees  of  the  intelligence 
component  concerned;  present  or  former  contractors  of  such  components  or  their 
present  or  former  employees;  applicants  for  such  employment  or  contracting;  or 
military  persons  employed  by  a  nonintelligence  element  of  a  Military  Service. 
Any  physical  surveillance  within  the  United  States  that  occurs  outside  a  DoD 
installation  shall  be  coordinated  with  the  FBI  and  other  lav;  enforcement 
agencies  as  may  be  appropriate. 
"'-•  Criteria  for  physical  surveillance  outside  the  United  States.  Outside 
I he  United  States,  DoD  intelligence  components  may  conduct  unconsented  physical 
siivve.il  lance  0f  United  States  persons  in  one  of  the  categories  identified  in 
subsection  C.I.,  above.  In  addition,  such  components  may  conduct  physical  sur- 
veillance of  other  United  States  persons  in  the  course  of  a  lawful  foreign  in- 
telligence or  counterintelligence  investigation,  provided  (a)  such  surveillance 
it?  consistent  with  the  laws  and  policy  of  the  host  government  and  does  not  violate 
any  Status  of  Forces. Agreement  that  may  be  in  effect;  and  (b)  that  physical  sur- 
veillance of  a  United  States  person  abroad  to  collect  foreign  intelligence  may  be 
authorized  only  to  obtain  significant  information  that  cannot  be  obtained  by  other 
n:eans. 
3.  Required  approvals  for  physical  surveillance. 
a.  Persons  within  DoD  investigative  jurisdiction.  Physical  surveil- 
lances within  the  United  States  or  which  involve  United  States  persons  within 
DoD  investigative  jurisdiction  overseas  may  be  approved  by  the  head  of  the  DoD 
intelligence  component  concerned  or  by  designated  senior  officials  of  such  coa- 
poueuts  in  accordance  with  this  procedure. 
b.  Persons  outside  DoD  investigative  jurisdiction.  Outside  the 
United  States,  physical  surveillances  of  United  States  persons  who  are  not 
within  the  investigative  jurisdiction  of  the  DoD  intelligence  component  concerned 
will  hi:   forwarded  through  appropriate  channels  to  the  Deputy  Under  Secretary  of 
Defense  (Policy)  for  approval.  Such  requests  shsll  indicata  coordination  with 
the  Central  Intelligence  Agency. 
9-1
DoD  5240. 1-R 
PROCEDURE  10.   UNDISCLOSED  PARTICIPATION 
IN  ORGANIZATIONS 
APPLICABILITY 
This  procedure  applies  to  participation  by  employees  of  DoD  intelligence 
components  in  any  organization  within  the  United  States,  or  any  organization 
outside  the  United  States  that  constitutes  a  United  States  person,  when  such 
participation  is  on  behalf  of  any  entity  of  the  intelligence  community.  These 
procedures  do  not  apply  to  participation  in  organizations  for  solely  personal 
purposes. 
B.  EXPLANATION  OF  UNDEFINED  TERMS 
1.  Domestic  activities  refers  to  activities  that  take  place  within  the 
United  States  that  do  not  involve  a  significant  connection  with  a  foreign  power, 
organization  or  person. 
2.  The  term  organization  includes  corporations  and  other  commercial 
organizations,  academic  institutions,  clubs,  professional  societies,  associa- 
tions, and  any  other  group  whose  existence  is  formalized  in  some  manner  or 
otherwise  functions  on  a  continuing  basis. 
3.  An  organization  within  the  United  States  means  all  organizations  physi- 
cally located  within  the  geographical  boundaries  of  the  United  States  whether  or 
not  they  constitute  a  United  States  persons.  Thus,  a  branch,  subsidiary,  or 
office  of  an  organization  within  the  United  States,  which  is  physically  located 
outside  the  United  States,  is  not  considered  as  an  organization  within  the 
United  States. 
4.  Participation  refers  to  any  action  undertaken  within  the  structure 
or  framework  of  the  organization  involved.  Such  actions  include  serving  as  a 
representative  or  agent  of  the  organization.;  acquiring  membership;  attending 
meetings  not  open  to  the  public,  including  social  functions  for  the  organiza- 
tion as  a  whole;  carrying  out  the  work  or  functions  of  the  organization;  and 
contributing  funds  to  the  organization  other  than  in  payment  for  goods  or 
services.  Actions  taken  outside  the  organizational  framework,  however,  do  not 
constitute  participation.  Thus,  attendance  at  meetings  or  social  gatherings 
which  involve  organization  members  but  are  not  functions  or  activities  of  the 
the  organization  itself  does  not  constitute  participation. 
5.  Participation • is  on  behalf  of  an  agency  within  the  intelligence 
community  when  an  employee  is  tasked  or  requested  to  take  action  within  an 
organization  for  the  benefit  of  such  agency.  Such  employee  may  already  be  a 
member  of  the  organization  or  may  be  asked  to  join.  Actions  undertaken  for  the 
benefit  of  an  intelligence  agency  include  collecting  information,  identifying 
potential  sources  or  contacts,  or  establishing  and  maintaining  cover.  If  a 
cooperating  source  furnishes  information  to  an  intelligence  agency  which  he  or 
she  obtained  by  participation  within  an  organization,  but  was  not  given  prior 
direction  or  tasking  by  the  intelligence  agency  to  collect  such  information, 
then  such  participation  was  not  on  behalf  of  such  agency. 
6.  Participation  is  solely  for  personal  purposes,  if  undertaken  at  the 
initiative  and  expense  of  the  employee  for  the  employee's  benefit.
C.   PROCEDURES  FOR  UNDISCLOSED  PARTICIPATION 
Except  as  permitted  herein,  employees  of  DoD  intelligence  components  may 
participate  on  behalf  of  such  components  in  organizations  within  the  United 
States,  or  in  organizations  outside  the  United  States  that  constitute  United 
States  persons,  only  if  their  affiliation  with  the  intelligence  component  con- 
cerned is  disclosed  to  an  appropriate  official  of  the  organization  in  accordance 
with  section  D. ,  above.   Participation  without  such  disclosure  is  permitted  only  if 
it  is  consistent  with  the  limitations  set  forth  in  subsection  C.I.,  below,  and 
has  been  approved  in  accordance  with  subsection  C.2.,  below. 
1.  Limitations  on  undisclosed  participation. 
a.  Lawful  purpose.  No  undisclosed  participation  shall  be  per- 
mitted under  this  procedure  unless  it  is  essential  to  achieving  a  lawful 
foreign  intelligence  or  counterintelligence  purpose  within  the  assigned  mission 
of  the  collecting  DoD  intelligence  component. 
b.  Limitations  on  use  of  undisclosed  participation  for  foreign 
intelligence  purposes  within  the  United  States.  Undisclosed  participation  may 
not  be  authorized  within  the  United  States  for  the  purpose  of  collecting 
foreign  intelligence  from  or  about  a  United  States  person,  nor  to  collect 
information  necessary  to  assess  United  States  persons  as  potential  sources  of 
assistance  to  foreign  intelligence  activities.  This  does  not  preclude  the 
collection  of  information  about  such  persons,  volunteered  by  cooperating 
sources  participating  in  organizations  to  which  such  persons  belong,  however, 
if  otherwise  permitted  by  Procedure  2. 
c.  Duration  of  Participation.  Authorization  to  participate  under 
paragraph  C.2.a.  and  b.  shall  be  limited  to  the  period  covered  by  such  par- 
ticipation which  shall  be  no  longer  than  12  months.  Participation  which  lasts 
longer  than  12  months  shall  be  i:eapproved  by  the  appropriate  official  on  an 
annual  basis  in  accordance  with  this  procedure. 
d.  Participation  for  the  purpose  of  influencing  the  activities  of 
the  organization  or  its  members.  No  participation  under  this  procedure  shall  be 
authorized  for  the  purpose  of  influencing  the  activities  of  the  organization  in 
question,  or  its  Members,  unless  such  participation  is  undertaken  on  behalf  of 
the  FBI  in  the  course  of  a  lawful  investigation,  or  the  organization  concerned 
is  composed  primarily  of  individuals  who  are  not  United  States  persons  and  is 
reasonably  believed  to  be  acting  on  behalf  of  a  foreign  power.  Any  DoD  intel- 
ligence component  that  desires  to  undertake  participation  for  such  purpose  shall 
forward  its  request  to  the  Deputy  Under  Secretary  of  Defense  (Policy)  setting 
forth  the  relevant  facts  justifying  such  participation  and  explaining  the  nature 
of  its  contemplated  activity.  Such  participation  may  be  approved  by  the  DUSD(P) 
with  the  concurrence  of  the  General  Counsel,  DoD. 
2.  Required  Approvals 
a.  Undisclosed  participation  that  may  be  approved  within  the  DoD 
intelligence  component.  Undisclosed  participation  on  behalf  of  a  DoD  intelli- 
gence component  may  be  authorized  within  such  component  under  the  following 
circumstances : 
10-2
U6D  524U7i-Kr 
(1)  Participation  in  meetings  open  to  the  public.  For  purposes 
of  this  section,  a  seminar  or  conference  sponsored  by  a  professional  organiza- 
tion that  is  open  to  persons  of  a  particular  profession  whether  or  not  they  are 
members  of  the  organization  itself  or  have  received  a  special  invitation,  shall 
be  considered  a  meeting  open  to  the  public. 
(2)  Participation  in  organizations  that  permit  other  persons 
acknowledged  to  the  organization  to  be  employees  of  the  U.S.  Government  to 
participate. 
(3)  Participation  in  educational  or  professional  organizations 
for  the  purpose  of  enhancing  the  professional  skills,  knowledge,  or  capabilities 
of  employees. 
(4)  Participation  in  seminars,  forums,  conferences,  exhibitions, 
trade  fairs,  workshops,  symposiums,  and  similar  types  of  meetings,  sponsored  by 
organizations  in  which  the  employee  is  a  member,  has  been  invited  to  participate, 
or  when  the  sponsoring  organization  does  not  require  disclosure  of  the  partici- 
pants' employment  affiliations,  for  the  purpose  of  collecting  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. 
b.  Participation  that  may  be  approved  by  senior  intelligence  officials. 
Undisclosed  participation  may  be  authorized  by  the  Deputy  Under  Secretary  of 
Defense  (Policy);  the  Director,  Defense  Intelligence  Agency;  the  Assistant 
Chief  of  Staff  for  Intelligence,  Department  of  Army;  the  Commanding  General, 
U.S.  Army  Intelligence  and  Security  Command;  the  Director  of  Naval  Intelligence; 
the  Director  of  Intelligence,  U.S.  Marine  Corps;'  the  Assistant  Chief  of  Staff, 
Intelligence,  United  States  Air  Force;  the  Director,  Naval  Investigative  Service; 
the  Commanding  Officer,  Air  Force  Office  of  Special  Investigations;  or  their 
single  designees,  for  the  following  purposes: 
(1)  To  collect  significant  foreign  intelligence  outside  the 
United  States,  or  from  or  about  other  than  United  States  persons  within  the 
United  States,  provided  no  information  involving  the  domestic  activities  of  the 
organization  or  its  members  may  be  collected. 
(2)  For  counterintelligence  purposes,  at  the  written  request 
of  the  Federal  Bureau  of  Investigation. 
(3)  To  collect  significant  counterintelligence  about  other 
than  United  States  persons,  or  about  United  States  persons  who  are  within  the 
investigative  jurisdiction  of  the  Department  of  Defense,  provided  any  such 
participation  that  occurs  within  the  United  States  shall  be  coordinated  with 
the  Federal  Bureau  of  Investigation. 
(4)  To  collect  information  necessary  to  identify  and  assess 
other  than  United  States  persons  as  potential  sources  of  assistance  for  foreign 
intelligence  and  counterintelligence  activities. 
(5)  To  collect  information  necessary  to  identify  United  States 
persons  as  potential  sources  of  assistance  to  foreign  intelligence  and  counter- 
intelligence activities. 
10-3
DoD  5240. 1-R 
(6)  To  develop  or  maintain  cover  necessary  for  the  security  of 
foreign  intelligence  or  counterintelligence  activities. 
{!)     Outside  the  United  States,  to  assess  United  States  persons 
as  pc^ritial  sources  ■-£  assistance  to  foreign  intelligence  and  counterintelli- 
gence activities. 
D.  DISCLOSURE  REQUIREMENT 
1.  Disclosure  of  the  intelligence  affiliation  of  an  employee  of  a  DoD 
ini-.elligence  component  shall  be  made  to  an  executive  officer  of  the  organiza- 
tion in  question,  or  to  an  official  in  charge  of  membership,  attendance  or  the 
records  of  the  organization  concerned. 
1.     Disclosure  may  be  made  by  the  DoD  intelligence  component  involved,  an 
authorized  DoD  official,  or  by  another  component  of  the  Intelligence  Community 
that  is  otherwise  authorized  to  take  such  action  on  behalf  of  the  DoD  intelli- 
gence component  concerned. 
J-O   L.
DoD  5240. 1-R 
PROCEDURE   11.      CONTRACTING  FOR  GOODS  AND  SERVICES 
A.  APPLICABILITY 
This  procedure  applies  to  contracting  or  other  arrangements  with  United 
States  persons  for  the  procurement  of  goods  and  services  by  DoD  intelligence 
components  within  the  United  States.  This  procedure  does  not  apply  to  con- 
tracting with  government  entities,  or  to  the  enrollment  of  individual  students 
in  academic  institutions.  The  latter  situation  is  governed  by  Procedure  10. 
B.  PROCEDURES 
1.  Contracts  with  academic  institutions.  DoD  intelligence  components 
may  enter  into  a  contract  for  goods  or  services  with  an  academic  institution 
only  if  prior  to  the  making  of  the  contract,  the  intelligence  component  has 
disclosed  to  appropriate  officials  of  the  academic  institution  the  fact  of 
sponsorship  by  a  DoD  intelligence  component. 
2.  Contracts  with  commercial  organizations,  private  institutions,  and 
individuals .  Contracting  by  or  for  a  DoD  intelligence  component  with  commercial 
organizations,  private  institutions,  or  private  individuals  within  the  United 
States  may  be  done  without  revealing  the  sponsorship  of  the  intelligence  com- 
ponent if: 
a.  The  contract  is  for  published  material  available  to  the  general 
public  or  for  routine  goods  or  services  necessary  for  the  support  of  approved 
activities,  such  as  credit  cards,  car  rentals,  travel,  lodging,  meals,  rental 
of  office  space  or  apartments,  and  other  items  incident  to  approved  activities; 
or 
b.  There  is  a  written  determination  by  the  Secretary  or  the  Under 
Secretary  of  a  Military  Department,  the  Director  of  the  National  Security  Agency, 
the  Director  of  the  Defense  Intelligence  Agency,  or  the  Deputy  Under  Secretary  of 
Defense  (Policy)  that  the  sponsorship  of  a  DoD  intelligence  component  must  be 
concealed  to  protect  the  activities  of  the  DoD  intelligence  component  concerned. 
C.  EFFECT  OF  NONCOMPLIANCE 
No  contract  shall  be  void  or  voidable  for  failure  to  comply  with  this 
procedure.  ~- 
ii-i
UOU     _><i-*u  .  i  -:\ 
PROCEDURE  12.  PROVISION  OF  ASSISTANCE  TO  LAW  ENFORCEMENT  AUTHORITIES 
A.  APPLICABILITY 
This  procedure  applies  to  the  provision  of  assistance  by  DoD  intelligence 
components  to  Law  enforcement  authorities.   It  incorporates  the  specific  limita- 
tions on  such  assistance  contained  in  E.O.  12333  (reference  (aj),  together  with 
the  general  limitations  and  approval  requirements  of  DoD  Directive  5525.5 
(reference  (i)). 
B.  PROCEDURES 
i.  Cooperation  with  law  enforcement  authorities.  Consistent  with  the 
limitations  contained  in  DoD  Directive  5525.5  (reference  (i)),  and  subsection 
B.2.,  below,  DoD  intelligence  components  are  authorized  to  cooperate  with  law- 
enforcement  authorities  for  the  purpose  of: 
a.   Investigating  or  preventing  clandestine  intelligence  activities 
by  foreign  powers,  international  narcotics  activities,  or  international  terrorist 
activities; 
and 
law. 
b.  Protecting  DoD  employees,  information,  property,  and  facilities; 
c.  Preventing,  detecting,  or  investigating  other  violations  of 
1:    Types  of  permissible  assistance.  DoD  intelligence  components  may 
provide  the  following  types  of  assistance  to  law  enforcement  authorities: 
a.  Incidentally-acquired  information  reasonably  believed  to  indicate 
a  violation  of  federal  law  shall  be  provided  in  accordance  with  the  procedures 
adopted  pursuant  to  section  1.7  (a)  of  E.O.  12333  (reference  (a)); 
b.  Incidentially-acquired  information  reasonably  believed  to  indicate 
a  violation  of  state,  local,  or  foreign  law  may  be  provided  in  accordance  with 
procedures  adopted  by  the  heads  of  DoD  Components; 
c.  Specialized  equipment  and  facilities  may  be  provided  to  federal 
law  enforcement  authorities,  and,  when  lives  are  endangered,  to  state  and  local 
law  enforcement  authorities,  provided  such  assistance  is  consistent  with,  and 
has  been  approved  by  an  official  authorized 'pursuant  to,  enclosure  3  of  DoD 
Directive  5525.5  (reference  (i));  and 
d.  Personnel  who  are  employees  of  DoD  intelligence  components  may 
be  assigned  to  assist  federal  law  enforcement  authorities,  and,  when  lives  are 
endangered,  state  and  local  law  enforcement  authorities,  provided  such  use  is 
consistent  with,  and  has  been  approved  by  an  official  authorized  pursuant  to, 
enclosure  4  of  DoD  Directive  5525.5  (reference  (i)).  Such  official  shall  ensure 
that  the  General  Counsel  of  the  providing  DoD  Component  concurs  in  such  use.
e.   Assistance  may  be  rendered  to  law  enforcement  agencies  and 
■security  services  of  foreign  governments  or  international  organizations  in 
accordance  with  established  policy  and  applicable  Status  of  Forces  Agreements; 
orovided,  that  DoD  intelligence  components  may  not  request  or  participate  in 
activities  of  -such  agencies  undertaken  against  United  States  persons  that  would 
not  be  permitted  such  components  under  these  procedures.
U\JU       -/  t.~t  w  ■ 
PROCEDURE  13.  EXPERIMENTATION  ON  HUMAN  SUBJECTS  FOR  INTELLIGENCE  PURPOSES 
A.  APPLICABILITY 
This  procedure  applies  to  experimentation  on  human  subjects  if  such  experi- 
mentation is  conducted  by  or  on  behalf  of  a  DoD  intelligence  component.  This 
procedure  does  not  apply  to  experimentation  on  animal  subjects. 
B.  EXPLANATION  OF  UNDEFINED  TERMS 
1.  Experimentation  in  this  context  means  any  research  or  testing  activ- 
ity involving  human  subjects  that  may  expose  such  subjects  to  the  possibility 
of  permanent  or  temporary  injury  (including  physical  or  psychological  damage 
and  damage  to  the  reputation  of  such  persons)  beyond  the  risks  of  injury  to 
which  such  subjects  are  ordinarily  exposed  in  their  daily  lives. 
2.  Experimentation  is  conducted  on  behalf  of  a  DoD  intelligence  com- 
ponent if  it  is  conducted  under  contract  to  that  component  or  to  another  DoD 
component  for  the  benefit  of  the  intelligence  component  or  at  the  request  of 
such  a  component  regardless  of  the  existence  of  a  contractual  relationship. 
3.  Human  subjects  in  this  context  includes  any  person  whether  or  not 
such  person  is  a  United  States  person. 
C.  PROCEDURES 
1.  Experimentation  on  human  subjects  conducted  by  or  on  behalf  of  a  DoD 
intelligence  component  may  be  undertaken  only  with  the  informed  consent  of  the 
subject,  in  accordance  with  guidelines  issued  by  the  Department  of  Health  and 
Human  Services,  setting  out  conditions  that  safeguard  the  welfare  of  such  sub- 
jects. 
2.  DoD  intelligence  components  may  not  engage  in  or  contract  for  experi- 
mentation on  human  subjects  without  approval  of  the  Secretary  or  Deputy  Secre- 
tary of  Defense,  or  the  Secretary  or  Under  Secretary  of  a  Military  Department, 
as  appropriate.
DoD  5240. 1-R 
PROCEDURE  14.   EMPLOYEE  CONDUCT 
A.   APPLICABILITY 
This  procedure  sets  forth  the  responsibilities  of  employees  of  DoD  intel- 
ligence components  to  conduct  themselves  in  accordance  with  this  Regulation  and 
other  applicable  policy.   It  also  provides  that  DoD  intelligence  components  shall 
ensure,  as  appropriate,  that  these  policies  and  guidelines  are  made  known  to  their 
employees. 
B.   PROCEDURES 
1.  Employee  responsibilities.  Employees  shall  conduct  intelligence 
activities  only  pursuant  to,  and  in  accordance  with,  Executive  Order  12333 
(reference  (a))  and  this  Regulation.   In  conducting  such  activities,  employees 
shall  not  exceed  the  authorities  granted  the  employing  DoD  intelligence  component 
by  law;  Executive  Order,  including  E.O.  12333  (reference  (a)),  and  applicable 
DoD  directives. 
2-  Familiarity  with  restrictions. 
a.  Each  DoD  intelligence  component  shall  familiarize  its  personnel 
with  the  provisions  of  E.O.  12333  (reference  (a)),  this  Regulation,  and  any 
instructions  implementing  this  Regulation  which  apply  to  the  operations  and 
activities  of  such  component.  At  a  minimum,  such  familiarization  shall  contain: 
(1)  Applicable  portions  of  Procedures  1  through  4; 
(2)  A  summary  of  other  procedures  that  pertains  to  collection 
techniques  which  are,  or  may  be,  employed  by  the  DoD  intelligence  component 
concerned;  and 
(3)  A  statement  of  individual  employee  reporting  responsibility 
under  Procedure  15. 
b.  The  Assistant  to  the  Secretary  of  Defense  (Intelligence  Oversight) 
(ATSD(IO))  and  each  Inspector  General  responsible  for  a  DoD  intelligence  com- 
ponent shall  ensure,  as  part  of  their  inspections,  that  procedures  are  in  effect 
which  will  achieve  the  objectives  set  forth  in  paragraph  B.2.a.,  above. 
3.  Responsibilities  of  the  heads  of  DoD  Components.  The  heads  of  DoD 
Components  that  constitute,  or  contain,  DoD  intelligence  components  shall: 
a.  Ensure  that  all  proposals  for  intelligence  activities  which  may 
be  unlawful,  in  whole  or  in  part,  or  may  be  contrary  to  applicable  Executive 
Branch  or  DoD  policy  are  referred  to  the  General  Counsel  responsible  for  such 
component . 
b.  Ensure  that  no  adverse  action  is  taken  against  any  employee 
because  the  employee  reports  activities  pursuant  to  Procedure  15. 
c.  Impose  such  sanctions  as  may  be  appropriate  upon  any  employee 
who  violates  the  provisions  of  this  Regulation  or  any  instruction  promulgated 
thereunder. 
14-1
UUU      J£.*\)  .    i.  ~W 
d.  In  any  case  involving  serious  or  continuing  breaches  of  security 
by  either  DoD  or  non-DoD  employees,  recommend  to  the  Secretary  of  Defense 
appropriate  investigative  actions. 
e.  Ensure  that  the  General  Counsel  and  Inspector  General  with  respon- 
sibility for  the  component,  as  well  as  the'  General  Counsel,  DoD,   and  the  ATSDl.IO. 
have  access  to  all  information  concerning  the  intelligence  activities  of  that 
component  necessary  to  perform  their  oversight  responsibilities. 
f.  Ensure  that  employees  cooperate  fully  with  the  Intelligence  Oversight 
Board  and  its  representativ »s . 
14-2
DdU"3ZW. 
PROCEDURE  15    IDENTIFYING,  LNVESTIGAIING , 
AND  REPORT  IN-;  QUESTIONABLE  ACTIVITIES 
.■•'LIABILITY 
i'his  procedure  provides  for  the  identification,  investigation,  and  reporting 
■•;  ■.  -inist  ionable  intelligence  activities. 
3.   J.XPLANATION  OF  UNDEFINED  TERMS 
i   The  term  "questionable  activity,"  as  used  herein,  refers  to  any  conduct 
cua*  institutes,  or  is  related  to,  an  intelligence  activity  that  may  violate  the 
l*.w,  *r.y  Executive  Order  or  Presidential  directive,  including  E.O.  12333  (refer- 
•=ce  (a)),  or  applicable  DoD  policy,  including  this  Regulation. 
The  terms  "General  Counsel"  and  "Inspector  General,"  as  used  herein, 
..'=:,  unless  otherwise  specified,  to  any  General  Counsel  or  Inspector  General 
.■'-' th  responsibility  for  one  or  more  DoD  intelligence  components.  Unless  other- 
wise indicated,  the  term  "Inspector  General"  shall  also  include  the  ATSD(IO). 
:-.   rcpCEDURES 
Identification. 
a.  Each  employee  shall  report  any  questionable  activity  to  the 
"ji'isri  Counsel  or  Inspector  General  for  the  DoD  intelligence  component  con- 
ey en-*.*     or  to  the  General  Counsel,  DoD,  or  ATSD(IO). 
b.  Inspectors  General,  as  part  of  their  inspection  of  DoD  intelligence 
JuipoGcuts,  and  General  Counsels,  as  part  of  their  oversight  responsibilities 
nail  seek  to  determine  if  such  coaspononts  are  involved  in  any  questionable 
jcf.v/ities.  If  such  activities  have  been  or  are  being  undertaken,  the  matter 
shall  be  investigated  under  subsection  C.2.,  below.  If  such  activities  have 
b*;an  undertaken  but  were  not  reported,  the  Inspector  General  shall  also  ascer- 
tain the  reason  for  such  failure  and  recommend  appropriate  corrective  action. 
c.  Inspectors  General,  as  part  of  their  oversight  responsibilities, 
shall,  as  appropriate,  ascertain  whether  any1  organizations,  staffs,  or  offices 
within  their  respective  jurisdictions  but  not  otherwise  specifically  identified 
as  DoD  intelligence  components,  are  being  used  for  foreign  intelligence  or 
counterintelligence  purposes  to  which  Part  2  of  E.O.  12333  (reference  (a))v 
applies,  and,  if  so,  shall  ensure  the  activities  of  such  components  are  in 
:o<«pliance  with  this  Regulation  and  applicable  DoD  policy. 
d.  Inspectors  General,  as  part  of  their  inspection  of  DoD  intelligence 
components,  shall  ensure  that  procedures  exist  within  such  components  for  the 
report  ;.-ig  of  questionable  activities,  and  that  employees  of  such  components  are 
.iware  rf  their  responsibilities  to  report  such  activities.
DoD  5240. 1-K 
2.   Investigation. 
a.  Each  reoc-rt  of  a  cues tior.able  activity  sr.a-_  -r  ir.vsstigate'-  to  the 
extent  necessary  to  determine  the  facts  and  assess  wnether  tne  activity  is  iegai 
and  is  consistent  with  applicable  policy. 
b.  When  appropriate,  questionable  activities  reported  to  a  General 
Counsel  shall  be  referred  to  the  corresponding  Inspector  General  for  investi- 
gation, and  if  reported  to  an  Inspector  General,  shall  be  referred  to  the 
corresponding  General  Counsel  to  determine  whether  the  activity  is  legal  and 
consistent  with  applicable  policy.  Reports  made  to  the  DoD  General  Counsel  or 
the  ATSD(IO)  may  be  referred,  after  consultation  between  these  officials,  to  the 
appropriate  Inspector  General  and  General  Counsel  for  investigation  and  evaluation. 
c.  Investigations  shall  be  conducted  expeditiously.   The  officials 
responsible  for  these  investigations  may,  in  accordance  with  established  pro- 
cedures, obtain  assistance  from  within  the  component  concerned,  or  from  other 
DoD  Components,  when  necessary,  to  complete  such  investigations  in  a  timely 
manner. 
d.  To  complete  such  investigations,  General  Counsels  and  Inspectors 
General  shall  have  access  to  all  relevant  information  regardless  of  classifica- 
tion or  compartmentation. 
3.  Reports ♦ 
a.  Each  General  Counsel  and  Inspector  General  shall  report  immediately 
to  the  General  Counsel,  DoD,  and  the  ATSD(IO)  questionable  activities  of  a 
serious  nature*. 
b.  Each  General  Counsel  and  Inspector  General  shall  submit  to  the 
ATSD(IO)  a  quarterly  report  describing  those  activities  that  come  to  their 
attention  during  the  quarter  reasonably  believed  to  be  illegal  or  contrary  to 
Executive  Order  or  Presidential  directive,  or  applicable  DoD  policy;  and  actions 
taken  with  respect  to  such  activities.  The  reports  shall  also  include  signifi- 
cant oversight  activities  undertaken  during  the  quarter  and  any  suggestions  for 
improvements  in  the  oversight  system.  Separate,  joint,  or  consolidated  reports 
may  be  submitted.  These  reports  should  be  prepared  in  accordance  with  DoD 
Directive  5000.11  (reference  (j)). 
c.  All  reports  made  pursuant  to  paragraph  C.3.a.  and  b...  above,  which 
involve  a  possible  violation  of.  federal  criminal  law  shall  be  considered  by  the 
General  Counsel  concerned  in  accordance  with  the  procedures  adopted  pursuant  to 
section  1.7(a)  of  E.O.  12333  (reference  (a)). 
d.  The  General  Counsel,  DoD,  and  the  ATSD(IO)  may  review  the  findings 
of  other  General  Counsels  and  Inspector  Generals  with  respect  to  questionable 
activities . 
e.  The  ATSD(IO)  and  the  General  Counsel,  DoD,  shall  report  in  a  timely 
manner  to  the  White  House  Intelligence  Oversight  Board  all  activities  that  come 
to  their  attention  that  are  reasonably  believed  to  be  illegal  or  contrary  to 
Executive  Order  or  Presidential  directive.   They  will  also  advise  appropriate 
officials  of  the  Office  of  the  Secretary  of  Defense  of  such  activities.
DoD  5240. 1-R 
f.    These  reporting  requirements  are  exempt  from  formal  approval  and 
licensing  in  accordance  with  subsection  VII. G.  of  enclosure  3  to  DoD  Directive 
5000.19  (reference  (k)).
APPENDIX  A 
DEFINITIONS 
1.  Administrative  purposes.   Information  is  collected  for  "administrative 
purposes'*  when  it  is  necessary  for  the  administration  of  the  component  concerned 
but.  is  not  collected  directly  in  performance  of  the  intelligence  activities 
assigned  such  component.  Examples  include  information  relating  to  the  past 
performance  of  potential  contractors;  information  to  enable  such  components  to 
discharge  their  public  affairs  and  legislative  duties,  including  the  maintenance 
of  correspondence  files;  the  maintenance  of  employee  personnel  and  training 
records;  and  training  materials  or  documents  produced  at  training  facilities. 
2.  Available  publicly.   Information  that  has  been  published  or  broadcast 
for  general  public  consumption,  is  available  on  request  to  a  member  of  the 
general  public,  could  lawfully  be  seen  or  heard  by  any  casual  observer,  or  is 
made  available  at  a  meeting  open  to  the  general  public.  In  this  context,  the 
"general  public"  also  means  general  availability  to  persons  in  a  military  com- 
munity even  though  the  military  community  is  not  open  to  the  civilian  general 
public. 
3.  Communications  security.  Protective  measures  taken  to  deny  unauthor- 
ized persons  information  derived  from  telecommunications  of  the  U.S.  Government 
related  to  national  security  and  to  ensure  the  authenticity  of  such  telecom- 
munications . 
4.  Consent.  The  agreement  by  a  person  or  organization  to  permit  DoD 
intelligence  components  to  take  particular  actions  that  affect  the  person  or 
organization.  Consent  may  be  oral  or  written  unless  a  specific  form  of  con- 
sent is  required  by  a  particular  procedure.  Consent  may  be  implied  if  adequate 
notice  is  provided  that  a  particular  action  (such  as  entering  a  building)  car- 
ries with  it  the  presumption  of  consent  to  an  accompanying  action  (such  as 
search  of  briefcases).   (Questions  regarding  what  is  adequate  notice  in  parti- 
cular circumstances  should  be  referred  to  the  legal  office  responsible  for 
advising  the  DoD  intelligence  component  concerned.) 
5.  Counterintelligence .  Information  gathered  and  activities  conducted 
to  protect  against  espionage,  other  intelligence  activities,  sabotage,  or 
assassinations  conducted  for  or  on  behalf  of  foreign  powers,  organizations,  or 
persons,  or  international  terrorist  activities,  but  not  including  personnel, 
physical,  document,  or  communications  security  programs. 
6.  Counterintelligence  investigation.  Includes  inquiries  and  other 
activities  undertaken  to  determine  whether  a  particular  United  States  person 
is  acting  for,  or  on  behalf  of,  a  foreign  power  for  purposes  of  conducting 
espionage  and  other  intelligence  activities,  sabotage,  assassinations,  inter- 
national terrorist  activities,  and  actions  to  neutralize  such  acts. 
7.  DoD  Component.   Includes  the  Office  of  tne  Secretary  of  Defense,  each 
of  the  Military  Departments,  the  Organization  of  the  Joint  Chiefs  of  Staff,  the 
Unified  and  Specified  Commands,  and  the  Defense  Agencies. 
A-l
DoD  5240. 1-R 
8.  DoD  intelligence  components.  Include  the  following  organizations: 
a.  The  National  Security  Agency/ Central  Security  Service. 
b.  The  Defense  Intelligence  Agency. 
c.  The  offices  within  the  Department  of  Defense  for  the  collection 
of  specialized  national  foreign  intelligence  through  reconnaissance  programs. 
Staff. 
d.  The  Assistant  Chief  of  Staff  for  Intelligence,  Army  General 
e.  The  Office  of  Naval  Intelligence. 
f.  The  Assistant  Chief  of  Staff,  Intelligence,  U.S.  Air  Force. 
g.  The  Army  Intelligence  and  Security  Command, 
h.  The  Naval  Intelligence  Command. 
i.  The  Naval  Security  Group  Command. 
j.  The  Director  cf  Intelligence,  U.S.  Marine  Corps. 
k.  The  Air  Force  Intelligence  Service. 
1.  The  Electronic  Security  Command,  U.S.  Air  Force. 
m.  The  counterintelligence  elements  of  the  Naval  Investigative 
Service. 
n.  The  counterintelligence  elements  of  the  Air  Force  Office  of 
Special  Investigations. 
o.  The  650th  Military  Intelligence  Group,  SHAPE.  ■ 
p.  Other  organisations,  staffs,  and  offices,  when  used  for  foreign 
intelligence  or  counterintelligence  activities  to  which  part  2  of  E.O.  12333 
(reference  (a)),  applies,  provided  that  the  heads  of  such  organizations,  staffs, 
and  offices  shall  not  be  considered  as  heads  of  DoD  intelligence  components  for 
purposes  of  this  Regulation. 
9.  Electronic  surveillance .  Acquisition  of  a  nonpublic  communication  by 
electronic  means  without  the  consent  of  a  person  who  is  a  party  to  an  electronic 
communication  or,  in  the  case  of  a  nonelectronic  communication,  without  the  con- 
sent of  a  person  who  is  visibly  present  at  the  place  of  communication,  but  not 
including  the  use  of  radio  direction  finding  equipment  solely  to  determine  the 
location  of  a  transmitter.   (Electronic  surveillance  within  the  United  States 
is  subject  to  the  definitions  in  the  Foreign  Intelligence  Surveillance  Act  of 
1978  (reference  (b)).) 
10.   Employee.  A  person  employed  by,  assigned  to,  or  acting  for  an  agency 
within  the  intelligence  community,  including  contractors  and  persons  otherwise 
acting  at  the  direction  of  such  an  agency.
DoD  5240. 1-R 
11.  Foreign  intelligence.   Information  relating  to  the  capabilities, 
intentions,  and  activities  ■::  :: reign  power:.  :  rganizatuns  .  Dr  persons,  but 
r.ot  ncl-icins  ci-ntennteiligence  extent  for  infor-at  ::■:-.  :n  international  ter- 
rorist activities  . 
12.  Foreign  oower.   Anv  foreign  government  (regardless  of  whether  recog- 
nized by  the  United  States),  foreign-based  political  party  (or  faction  thereof), 
foreign' military  force,  foreign-based  terrorist  group,  or  any  organization  com- 
posed, in  major  part,  of  any  such  entity  or  entities. 
13.  Intelligence  activities.  Refers  to  all  activities  that  DoD  intelli- 
gence components  are  authorized  to  undertake  pursuant  to  Executive  Order  12333 
(reference  (a)). 
14.  Intelligence  community  and  an  agency  of  or  within  the  intelligence 
community.  Refers  to  the  following  organizations: 
a.  The  Central  Intelligence  Agency  (CIA). 
b.  The  National  Security  Agency  (NSA) . 
c .  The  Defense  Intelligence  Agency  (DIA) . 
d.  The  Offices  within  the  Department  of  Defense  for  the  collection 
of  specialized  national  foreign  intelligence  through  reconnaissance  programs. 
e.  The  Bureau  of  Intelligence  and  Research  of  the  Department  of 
State. 
f.  The  intelligence  elements  of  the  Army,  Navy,  Air  Force  and 
Marine  Corps,  the  Federal  Bureau  of  Investigation  (FBI),  the  Department  of  the 
Treasury,  and  the  Department  of  Energy. 
g.  The  staff  elements  of  the  Office  of  the  Director  of  Central 
Intelligence. 
15.  International  Narcotics  Activities.  Refers  to  activities  outside  the 
United  States  to  produce,  transfer  or  sell  narcotics  or  other  substances  con- 
trolled in  accordance  with  title  21,  United  States  Code,  Sections  811  and  812. 
16.  International  Terrorist  Activities.  Activities  undertaken  by  or  in 
support  of  terrorists  or  terrorist  organizations  that  occur  totally  outside 
the  United  States,  or  that  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  the  perpetrators  operate  or  seek  asylum. 
.17.  Lawful  investigation.  An  investigation  qualifies  as  a  lawful  investi- 
gation if  the  subject  of  the  investigation  is  within  DoD  investigative  jurisdic- 
tion; if  it  is  conducted  by  a  DoD  Component  that  has  authorization  to  conduct 
the  particular  type  of  investigation  c.oncerned  (for  example,  counterintelligence, 
personnel  security,  physical  security,  communications  security);  and  if  the 
investigation  is  conducted  in  accordance  with  applicable  law  and  policy,  includ- 
ing E.O.  12333  and  this  Regulation. 
A-3
DoD  5240. 1-R 
^8   Personnel  Securitv.  Measures  designed  to  insure  that  persons  employed, 
o-  b^ne  considered  for  employment,  in  sensitive  positions  of  trust  are  suitable 
r'    such  emolovment  with  respect  to  loyalty,  character,  emotional  stability,  and 
reliability* and  that  such  employment  is  clearly  consistent  witn  the  interests 
of  th*  national  securitv.   It  includes  measures  designed  to  ensure  that  persons 
granted  access  to  classified  information  remain  suitable  for  such  access  and  that 
access  is  consistent  with  the  interests  of  national  security. 
19.   Personnel  security  investigation: 
a   An  inquiry  into  the  activities  of  a  person  granted  access  to  in- 
telligence  or  other  classified  information;  or  a  person  who  is  being  considered 
for  access  to  intelligence  or  other  classified  information,  including  persons 
who  are  granted  or  may  be  granted  access  to  facilities  of  DoD  intelligence  com- 
ponents; or  a  person  to  be  assigned  or  retained  in  a  position  with  sensitive 
duties.  The  investigation  is  designed  to  develop  information  pertaining  to  the 
suitability,  eligibility,  and  trustworthiness  of  the  individual  with  respect  to 
loyalty,  character,  emotional  stability  and  reliability. 
b.  Inquiries  and  other  activities  directed  against  DoD  employees  or 
members  of  a  Military  Service  to  determine  the  facts  of  possible  voluntary  or 
involuntary  compromise  of  classified  information  by  them. 
c.  The  collection  of  information  about  or  from  military  personnel 
in  the  course  of  tactical  training  exercises  for  security  training  purposes. 
r      20.  Physical  security.  The  physical  measures  taken  to  prevent  unauthor- 
&ed  access  to,  and  prevent  the  damage  or  loss  of,  equipment,  facilities, 
8  materiel  and  documents;  and  measures  undertaken  to  protect  DoD  personnel  from 
*  physical  threats  to  their  safety. 
21.  Physical  securitv  investigation.  All  inquiries,  inspections,  or 
surveys  of  the  effectiveness  of  controls  and  procedures  designed  to  provide 
physical  security;  and  all  inquiries  and  other  actions  undertaken  to  obtain 
information  pertaining  to  physical  threats  td  DoD  personnel  or  property. 
I  22.  Reasonable  belief.  A  reasonable  belief  arises  when  the  facts  and 
circumstances  are  such  that  a  reasonable  person  would  hold  the  belief.  Reason- 
able belief  must  rest  on  facts  and  circumstances  that  can  be  articulated; 
^hunches"  or  intuitions  are  not  sufficient.  Reasonable  belief  can  be  based 
on  experience,  training,  and  knowledge  in  foreign  intelligence  or  counterintel- 
ligence work  applied  to  facts  and  circumstances  at  hand,  so  that  a  trained  and 
?  experienced  "reasonable  person"  might  hold  a  reasonable  belief  sufficient  to 
satisfy  this  criterion  when  someone  unfamiliar  with  foreign  intelligence  or 
counterintelligence  work  might  not. 
23.  Signals  intelligence.  A  category  of  intelligence  including  communi- 
cations intelligence,  electronic  intelligence,  and  foreign  instrumentation 
signals  intelligence,  either  individually  or  in  combination. 
24.  United  States.  When  used  to  describe  a  place,  the  term  shall  include 
k.-  territories  under  the  sovereignty  of  the  United  States. 
A-4