COMNAVRESINTCOMINST 3820.1K04

5 May 1996

COMNAVRESINTCOM INSTRUCTION 3820.1K

Subj: POLICIES AND PROCEDURES GOVERNING OVERSIGHT OF INTELLIGENCE ACTIVITIES WHICH MAY AFFECT UNITED STATES PERSONS

Ref: (a) SECNAVINST 3820.3D

(b) COMNAVRESINTCOMINST 5040.1 (Series)

(c) COMNAVRESINTCOMINST 5040.2 (Series)

Encl: (1) COMNAVRESINTCOM Intelligence Oversight Brief

1. Purpose. To implement the direction contained in reference (a) pertaining to policies and procedures governing intelligence activities, to provide guidance as to those procedures and the Intelligence Oversight Program, and to assign responsibilities for Intelligence Oversight within the Naval Reserve Intelligence Program (NRIP).

2. Cancellation. COMNAVRESINTCOMINST 3820.1J.

3. Background. Reference (a) establishes policies governing the oversight of all Navy and Marine Corps intelligence activities, operations, and programs function in compliance with applicable U.S. law, statutes, directives and policies. It also delineates policy on the collection, retention, and dissemination of information concerning U.S. persons and the conduct of intelligence activities by Department of the Navy (DON) intelligence components, to include the Naval Reserve Intelligence personnel, to protect the constitutional rights and privacy of United States persons.

4. Discussion. Naval Reserve Intelligence personnel includes the following: (1) each unit in the Naval Reserve Intelligence Program (NRIP); (2) each member of those units; (3) each person assigned to a Naval Reserve Intelligence Support (NRCIS) billet; (4) all other 1635, 1637, 6455 or 7455 designated officers and all other Intelligence Specialists assigned to the Naval Reserve, and; (6) all active duty military and civilians assigned to the Naval Reserve Intelligence Command. Naval Reserve Intelligence personnel are not authorized to collect, retain or disseminate information concerning United States persons. United States persons are defined as any of the following: (1) U.S. citizens, (2) aliens known to be permanent residents of the U.S., (3) associations, or (4) corporations of U.S. persons. Corporations directed and controlled by a foreign government are not considered U.S. persons. Generally excluded from the restrictions on collection is information that is: (1) publicly available, (2) collected with consent, (3) concerned with financial responsibility, (4) obtained through lawful personnel investigation, or (5) necessary for administrative purposes. Intelligence components of the Department of Defense are not authorized to use such techniques as electronic surveillance, physical surveillance or monitoring devices except in accordance with reference (a). Without specific direction from higher authority, Intelligence Reserve personnel shall not use these techniques or join or otherwise participate in any organization that uses these techniques in the United States on behalf of the Naval Reserve without direction of the Commander, Naval Reserve Intelligence Command (COMNAVRESINTCOM). Intelligence Reserve personnel shall not sponsor, contract for, or conduct research on any person nor engage in, or conspire to engage in, assassination. Intelligence Reserve personnel shall not participate in, or request any person to undertake activities forbidden by this instruction or reference (a). Generally, Intelligence Reserve personnel will have no occasion to collect, retain or disseminate information concerning United States persons other than Intelligence Reserve personnel or persons applying to come into the Intelligence Reserve. Intelligence Reserve personnel are authorized to collect, retain or disseminate information concerning United States persons ONLY in accordance with procedures established by the Secretary of Defense and approved by the Attorney General.

5. Oversight

a. Reference (a) requires that Intelligence Reserve personnel report any conduct that constitutes or relates to any intelligence activity that violates those instructions, federal laws and regulations, any Executive Order, Presidential directive, or applicable Department of Defense or Department of the Navy policy. Any such activity is referred to as a "questionable activity". Such reports shall be forwarded to COMNAVRESINTCOM via the organizational chain of command and in accordance with reference (a). Advance notice of such matters should be given immediately and the subsequent detailed report should be prepared and transmitted as a matter of top priority. Reports of violations need not be forwarded through the organizational chain of command should the reporting individual feel that his or her position would be jeopardized. Accordingly, reports may be forwarded directly to the Naval Inspector General, the Judge Advocate General of the Navy, the General Counsel of the Navy, the Assistant to the Secretary of Defense (Intelligence Oversight) or the Intelligence Oversight Board (collectively "reporting agencies"). Reporting guidelines are fully explained in enclosure (3) of reference (a); if reporting procedures involve security considerations, guidelines in enclosure (3) must be followed. Explicit direction is given in enclosure (3) to avoid disclosure of classified information to non-security cleared and unauthorized persons.

b. Reference (a) requires positive measures to ensure that all Intelligence Reserve personnel are indoctrinated as to the requirements, sense and spirit of Intelligence Oversight as they apply to the operations and activities of the units to which they are assigned. These measures will take three forms: (1) all Intelligence Reserve personnel shall receive an Intelligence Oversight briefing initially upon joining the Reserve Intelligence Program; (2) refresher training will be conducted each fiscal year in the form of an all-hands briefing and (3) to maintain year-round

awareness of the policy, a paragraph summarizing the intent of this instruction will be included in each unit Plan of the Month (POM) on an ongoing basis.

c. To assist with Intelligence Oversight training, a 23-minute VCR tape that covers the subject matter is available, or enclosure (1), which contains an Intelligence Oversight brief, may be read to or by all Intelligence Reserve personnel. Amplification to this briefing is encouraged in order to ensure complete understanding by each person being briefed. In particular, the Commanding Officer of each NRIP unit shall review the operations and activities of the unit to alert unit personnel to those intelligence operations and activities which might give rise to questionable activities.

d. Compliance with, and the effectiveness of, the positive measures to familiarize Intelligence Reserve personnel with Intelligence Oversight policies will be determined every 18 months as part of the command triennial or Intelligence Oversight inspections as directed in reference (a) through (c).

6. Action

a. The COMNAVRESINTCOM Staff Intelligence Oversight Officer shall:

(1) As part of the triennial and Intelligence Oversight inspection procedures for Reserve Intelligence Areas (RIAs), review every 18 months compliance and effectiveness of Intelligence Oversight familiarization measures.

(2) Monitor inspections, reports and the procedures of NRIP units and RIACs to ensure compliance with the applicable references and this instruction, and prepare the reports to the Navy Inspector General required by reference (a).

(3) Investigate reports of questionable activities conducted by or on behalf of an Intelligence Reserve individual.

(4) In the event questionable activities were conducted by or on behalf of an Intelligence Reserve unit or person but were not reported, ascertain the reason for the failure to report such activities and recommend appropriate corrective action.

(5) Ensure that procedures exist for the familiarization of Intelligence Reserve personnel with the provisions of reference (a) and this instruction as they apply to the operations and activities of the units to which they are assigned.

(6) Ensure that procedures exist for the reporting of questionable activities and violations of applicable law, and that Intelligence Reserve personnel are aware of their responsibilities to report such activities.

(7) In instances where doubt exists, refer reports of questionable activities conducted by or on behalf of an Intelligence Reserve unit or person to the General Counsel of the Navy or the

Judge Advocate General for a determination as to whether such activities are legal and consistent with applicable policy.

(8) Transmit to the Naval Inspector General any information requested about operations of the Intelligence Reserve and reports of any intelligence activity of the Intelligence Reserve which comes to his attention and which is reasonably believed to be a violation of the U.S. Constitution, applicable laws and regulations, reference (a), any Presidential directive, or applicable Department of Defense or Department of the Navy policy. Any such activity is referred to as a "violation".

(9) Assist the Naval Inspector General as needed in the exercise of his Intelligence Oversight responsibilities.

b. Each Reserve Intelligence Area Commander shall:

(1) Ensure that personnel within the area do not commit any Intelligence Oversight violation.

(2) Conduct Intelligence Oversight inspections every 18 months of assigned units and persons within the RIAC's area of responsibility (except the IVTU which is included above). The inspection schedule will be furnished to the units and to Deputy COMNAVRESINTCOM by 15 June for the next fiscal year. This schedule will be combined with the triennial inspection schedule report required by reference (b). Unless untrue, the following statement shall be inserted in each inspection report:

"Within the past fiscal year, all (unit name) personnel have been briefed with respect to Intelligence Oversight in accordance with COMNAVRESINTCOMINST 3820.1K. Further, the Intelligence Oversight provisions are summarized in the unit Plan of the Month. No questionable activities, as defined in that instruction, were identified as having been conducted by or on behalf of the Intelligence Reserve."

Should the RIAC be unable to make the foregoing statement, he or she shall specify in detail the reasons. A copy of each unit triennial and Intelligence Oversight inspection report shall be promptly forwarded to COMNAVRESINTCOM. A copy of each inspection report shall also be retained by the RIAC for a period of three years or until after the next triennial inspection which ever comes first.

(3) Conduct an Intelligence Oversight briefing of all personnel joining the Naval Reserve Intelligence Program.

(4) Conduct, once per fiscal year, an Intelligence Oversight refresher briefing for all Program Office and IVTU personnel and Intelligence Reserve personnel not in NRIP billets

(NRCIS and others) in the RIAC's area of responsibility. These briefings will be documented as set forth in subparagraph 6.c.(3)(a).

c. The Commanding Officer of each NRIP unit shall:

(1) Ensure that his or her unit does not commit any Intelligence Oversight violation.

(2) Report to the COMNAVRESINTCOM Intelligence Oversight Officer or the Naval Inspector General, as appropriate, any questionable activities conducted by or on behalf of the unit or unit personnel.

(3) Assign an officer with Intelligence Oversight duties and cause that officer to:

(a) Conduct an Intelligence Oversight refresher briefing once each fiscal year. Document each briefing on NAVRES Form 3500/2 to ensure all-hands participation. Retain the documentation in a single location for review by inspecting officers every 18 months.

(b) Publish in each unit Plan of the Month the following summary:

"Intelligence oversight policy specifies that Intelligence Reserve personnel will not collect, retain or disseminate information concerning US persons other than Intelligence Reserve personnel or persons applying to join the Naval Reserve Intelligence Program except under provisions contained in SECNAVINST 3820.3D. Violations or suspected violations of US constitutional law, Executive Order, Presidential directive or applicable Department of Defense or Department of the Navy shall be reported to COMNAVRESINTCOM."

(c) Make a copy of this instruction accessible to each member of the unit and establish such internal procedures as are necessary to emphasize the fact that each member of the unit has a right of unimpeded access to the reporting agencies.

(4) Ensure that no adverse action is taken against any member of the unit because that member reports activities pursuant to this instruction.

(5) Impose such sanctions as may be appropriate upon any unit member who commits a violation.

(6) Ensure that the reporting agencies have access to all information concerning the intelligence activities of the unit necessary to the performance of their Intelligence Oversight responsibilities, and that unit members cooperate fully with such officials.

d. All Reserve Intelligence personnel shall:

(1) Conduct intelligence activities only pursuant to, and in accordance with, this instruction and reference (a).

(2) Report any violations.

(3) Report to appropriate authority including the General Counsel of the Navy or the Judge Advocate General of the Navy facts or circumstances which appear to indicate that a member of

a unit may hav e violated an applicable law in conducting questionable activities by or on behalf of the unit.

(4) Provide to the unit Intelligence Oversight Officer all information necessary to permit that officer to perform his or her duties in accordance with this instruction.

7. Report and Form

a. Reports required by this instruction are excempt from reports control under SECNAVINST 5214.2A.

b. NAVPERS 3500/2 (Report of Training) is available through normal supply channels per NAVSUP P2002.

B. A. BLACK

Distribution: (refer to COMNAVRESINTCOMINST 5216.1J)

Lists I through V

COMNAVRESFOR (IG)

COMNAVAIRESFOR (N2)

NAVINSGEN

JAG (Code 13)

ONI (ONI-OCA)