DIAR  60-20 
November  30,  1979 
NUMBER    5240.1 
USD(P) 
References: 
(a) 
(b) 
(c) 
(d) 
A.     PURPOSE 
Department  of  Defense  Directive 
SUBJECT     Activities  of  DoD  Intelligence  Components  that 
Affect  U.S.  Persons 
Executive  Order  12036,  "United  States  Intelli- 
gence Activities,"  January  24,  1978 
Foreign  Intelligence  Surveillance  Act  of  1978, 
Public  Law  No.  95-511 
Presidential  Di recti ve/NSC-9,  March  30,  1977 
DoD  Directive  5025.1,  "Department  of  Defense 
Directives  System,"  November  18,  1977 
1.  This  Directive  implements  references  (a)  and  (b).  It 
provides  the  authority  under  which  DoD  intelligence  components 
may  collect,  store,  or  disseminate  information  concerning  U.S. 
persons. 
2.  Procedures  previously  approved  by  the  Attorney  General 
for  use  by  DoD  intelligence  components  are  hereby  superseded, 
except  those  procedures  approved  under  reference  (c). 
3.  This  Directive  authorizes  the  publication  of  DoD  5240.1 -R 
and  DoD  TS-5240.1-1-R,  in  accordance  with  reference  (d). 
B.  APPLICABILITY  AND  SCOPE 
1.  The  provisions  of  this  Directive  apply  to  the  Office  of 
the  Secretary  of  Defense,  the  Military  Departments,  the  Organi- 
zation of  the  Joint  Chiefs  of  Staff,  the  Unified  and  Specified 
Commands,  and  the  Defense  Agencies  (hereafter  referred  to  as  "DoD 
Components"). 
2.  Its  provisions  encompass  all  intelligence  components  within 
DoD  Components,  and  govern  all  activities  undertaken  by  such  com- 
ponents that  involve  the  collection,  storage,  and  dissemination  of 
information  concerning  U.S.  persons. 
3.  This  Directive  does  not  apply  to  law  enforcement  activities 
carried  out  by  such  intelligence  components. 
C.  DEFINITIONS 
Terms  used  in  this  Directive  are  defined  as  follows 
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1.  Intelligence.  Foreign  intelligence  and  counterintelligence. 
2.  Foreign  intelligence.  Information  relating  to  the  capabilities, 
intentions,  and  activities  of  foreign  powers,  organizations,  or  persons, 
but  not  including  counterintelligence  except  for  information  on  inter- 
national terrorist  activities. 
3.  Counter i ntel 1 i gence .  Information  gathered  and  activities  con- 
ducted to  protect  against  espionage  and  other  clandestine  intelligence 
activities,  sabotage,  international  terrorist  activities,  or  assassina- 
tions conducted  for  or  on  behalf  of  foreign  powers,  organizations,  or 
persons,  but  not  including  personnel,  physical,  document,  or  communica- 
tions security  programs. 
4.  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. 
d.  The  Assistant  Chief  of  Staff  for  Intelligence,  Army 
General  Staff. 
e.  The  Office  of  Naval  Intelligence. 
f.  The  Assistant  Chief  of  Staff  for  Intelligence,  Air  Staff. 
g.  The  Army  Intelligence  and  Security  Command, 
h.  The  Naval  Intelligence  Command. 
i.  The  Air  Force  Intelligence  Service. 
j.  The  counterintelligence  elements  of  the  Naval  Investigative 
Service, 
k.  The  counterintelligence  elements  of  the  Air  Force  Office  of 
Special  Investigations. 
1.  The  650th  Military  Intelligence  Group,  SHAPE, 
m.  The  intelligence  units  of  the  Military  Departments  that 
support  Unified  or  Specified  Commands. 
5.  United  States  person.  A  citizen  of  the  United  States,  an  alien 
lawfully  admitted  for  a  permanent  residence,  an  unincorporated  associa- 
tion organized  in  the  United  States  or  substantially  composed  of  U.S. 
citizens  or  aliens  admitted  for  permanent  residence,  or  a  corporation 
incorporated  in  the  United  States. 
D.  POLICY 
1.  It  is  the  policy  of  the  Department  of  Defense  that  DoD  intelli- 
gence activities  that  involve  U.S.  persons  take  account  of  the  paramount 
importance  of  the  protection  of  the  constitutional  rights  and  privacy  of 
the  American  people.  In  approving  activities  under  the  procedures  issued 
to  implement  this  Directive,  responsible  officials  shall  ensure  that 
information  concerning  U.S.  persons  is  gathered  by  the  least  intrusive 
means  possible. 
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Nov  30,  79 
5240.1 
2.  E.O.  12036  (reference  (a))  requires  that  the  Department  of 
Defense  promulgate  procedures  to  carry  out  certain  kinds  of  intelligence 
activities  and  to  govern  use  of  certain  information-gathering  techniques. 
Procedures  that  require  approval  by  the  Attorney  General  have  been 
submitted  and  approved  in  accordance  with  reference  (a).  These  pro- 
cedures, along  with  additional  implementing  procedures  that  do  not 
require  Attorney  General  approval,  are  contained  in  DoD  5240.1 -R  and 
DoD  TS-5240.1-1-R,  the  issuance  of  which  is  authorized  by  this  Directive. 
3.  The  procedures  in  these  DoD  regulations  contain  restrictions  and 
prohibitions  on  actions  by  or  on  behalf  of  DoD  intelligence  components. 
These  restrictions  and  prohibitions  are  to  be  interpreted  strictly.  No 
intelligence  component  may  request  or  encourage,  directly  or  indirectly, 
any  person,  organization,  or  government  agency  to  undertake  activities 
restricted  or  prohibited  by  these  procedures. 
4.  Violations  of  references  (a)  or  (b),  of  this  Directive,  or  of  the 
regulations  issued  by  this  Directive,  whether  intentional  or  uninten- 
tional, shall  be  reported  promptly  to  an  inspector  general  or  general 
counsel,  who  has  responsibility  for  the  DoD  intelligence  component  where 
the  violation  occurred,  or  to  the  Inspector  General  for  Defense  Intelli- 
gence. Prompt  reporting  will  help  curb  errors,  correct  misinterpretations 
of  the  governing  directives,  eliminate  or  prevent  activities  that  are 
illegal,  and  strengthen  any  oversight  within  the  DoD  system. 
5.  The  procedures  contained  in  DoD  5240. 1-R  and  DoD  TS-5240.1-1-R 
do  not  authorize  ewery   DoD  intelligence  comporient  to  engage  in  every 
intelligence  activity  regulated  therein.  Authority  to  employ  such  pro- 
cedures shall  be  limited  to  those  necessary  to  perform  the  mission 
assigned  to  each  component. 
E.  RESPONSIBILITIES 
1.  Heads  of  DoD  intelligence  components  shall  ensure  that  the  require- 
ments of  this  Directive  and  of  the  regulations  issued  thereunder  are 
followed. 
2.  The  Inspector  General  for  Defense  Intelligence  shall: 
a.  Provide  a  central  focal  point  for  contact  with  and  reporting 
to  the  Intelligence  Oversight  Board. 
b.  Forward  reports  by  general  counsels  and  inspectors  general 
to  the  Intelligence  Oversight  Board  with  appropriate  information  or 
comments. 
3.  The  General  Counsel  of  the  Department  of  Defense  (GC(DoD))  shall: 
a.  Provide  a  central  focal  point  for  contact  with  and  reporting 
to  the  Attorney  General . 
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DIAR  60-20 
b.  Forward  requests  for  Attorney  General  approval  to  the 
Attorney  General. 
c.  Interpret  this  Directive  and  the  DoD  regulations  issued 
thereunder,  E.O.  12036  (reference  (a)),  and  the  Foreign  Intelligence 
Surveillance  Act  (reference  (b)). 
d.  Consult  with  the  Attorney  General  when  significant  new  legal 
issues  are  involved. 
4.  The  general  counsel  and  inspector  general  with  responsibilities 
for  each  intelligence  component  shall: 
a.  Monitor  the  oversight  system  to  detect  and  prevent  violations 
of  Executive  Order  12036  (reference  (a)),  this  Directive,  and  the  regu- 
lations issued  thereunder. 
b.  Forward  reports  of  activities  that  raise  questions  of 
illegality  or  impropriety  to  the  Inspector  General  for  Defense  Intelli- 
gence, and  provide  other  reports  or  information  that  the  Inspector 
General  for  Defense  Intelligence  requires. 
5.  Heads  of  DoD  Components  shall  ensure  that  the  provisions  of  this 
Directive  and  the  DoD  regulations  issued  pursuant  thereto  are  implemented 
within  their  respective  organizations. 
F.   EFFECTIVE  DATE  AND  IMPLEMENTATION 
This  Directive  is  effective  immediately.  Forward  one  copy  of  the 
implementing  documents  to  the  General  Counsel,  DoD,  and  the  Deputy  Under 
Secretary  of  Defense  (Policy  Review)  within  120  days. 
'  V 
W,   Graham  Claytor,  Jr. 
Deputy  Secretary  of  Defense 
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