Intelligence and State Surveillance in Modern Societies

An International Perspective

Frederic Lemieux

• Editore: Emerald Publishing Limited
• Anno: 2018
• ISBN:
  9781787691735
• Argomento: Social Sciences
• Categoria: Criminology

Often described as 'two solitudes', law enforcement and national security intelligence agencies engage in intensive collaboration to address both international and domestic threats. This situation has blurred the lines between interior and exterior security; common crime and crime against the state; civil liberties, privacy, and intrusive surveillance activities; strategic national security intelligence and operational military intelligence requirements.
National and local law enforcement agencies now conduct intelligence operations against international terrorist groups while national security intelligence organizations infiltrate organized crime and intercept citizens' communications on a daily basis. Other important trends are reshaping the state's surveillance and intelligence apparatus in modern societies, including the use of cyberspace for information collection, the expansion of surveillance technology penetrating citizens' everyday life, and the rise of the private sector as a primary surveillance facilitator or third party in national security intelligence collection and dissemination.
This book will be of interest to those seeking to understand the intelligence environment in modern times, providing a broad understanding of current and emerging issues related to intelligence activities and offers a unique way of thinking about contemporary challenges in this field.

Chapter 1

“Intelligence Knowledge” Management

Frederic Lemieux, Georgetown University, USA

An “intelligent” organizational structure can be defined as one that is able to detect signals and interpret messages from its environment. More specifically, an organization's intelligence quotient can be measured based on three main principles: (1) the ability to access and recognize information of use in its operation; (2) the ability to integrate and communicate information both internally and externally; and (3) the ability to analyze and understand signals from the environment in order to learn from them (Choo, 2002: 10). Furthermore, the creation of an “intelligent” organization requires an atmosphere which promotes learning and the design of information-processing practices and procedures which promote the production and use of knowledge. Lastly, an intelligent organization must generate insight into its activities by periodically evaluating its performances in order to make any necessary adjustments and alleviate the counterproductive effects of structural, cultural, individual, and technological dysfunctions.

The enhancement of intelligence and surveillance apparatuses adoption by modern states is based on the ability to develop better knowledge of the risks from the society. The latter is an endless source of information to guide governments and their institutions in achieving their operational and strategic goals (Choo, 2002). By establishing more gateways with the outside world and the various institutional players working in the area of security, intelligence tries to be better at understanding and weighting risks in carrying out their mission. However, it is imperative that the development of such interfaces be based on flexible knowledge management processes so they can adjust to the dynamism and the ability to produce new knowledge that reflects change in the society.

This chapter further articulates and applies key concepts of knowledge management theory to the intelligence and surveillance fields. According to Schultze and Stabell (2004), knowledge management can be understood through two main perspectives: (1) a functionalism perspective and (2) an interpretative perspective. In the former perspective, knowledge exists as an objective representation of the world and is waiting to be discovered by the human being. In the latter perspective, knowledge has no existence independent of human experience and social practices of knowing, which means that knowledge is both continuously shaping and being shaped by the social practices of communities. The main argument made in this chapter is to the effect that law enforcement and intelligence organizations primarily use intelligence to make sense of their environment, understand the nature of threats and vulnerabilities, and provide knowledge that aims to guide the decision-making process at both the strategic and operational levels. In other words, good intelligence practice enhances the production and improvement of practical knowledge. We argue that knowledge is not fixed to an objective reality, but is mostly defined by experts working in a specific field or community. In turn, that community defines the role these experts play in interpreting signals coming from the environment. Also, the chapter makes the point that the knowledge emanating from intelligence activity follows a developmental process due to accumulation and changes. The existence of communities of practice, common culture, and intelligence tools make knowledge less objective, more practical, and in constant evolution. Therefore, we take the knowledge management theory perspective that intelligence is interpretive.

This chapter is composed of four sections. The first section examines key theoretical framework and concepts such as social control theory and the use of secrecy by modern states through its intelligence and surveillance apparatuses. The second section presents a selective review of literature on national security intelligence and law enforcement intelligence. The third section addresses how the state attempts to develop knowledge on the risk generated or emanating from modern society. Finally, the fourth section examines how knowledge management applies to intelligence and surveillance agencies.

Existing Conceptual Approaches

Social control theory provides a rich conceptual framework that allows an in-depth scrutiny of how the state, through different processes and institutions, surveils and monitors the population with the objective of influencing individual and social groups that may oppose specific governmental policies and regulations and the maintenance of the status quo or attempt to provoke changes. One aim of social control is to maintain conformity to a particular value system and enforce a set of rules that governs a given society. The state, through several institutional apparatuses, can establish and enforce formal control measures, such as codes and laws, shared by the members of a dominant social group. Employing the lens of social control theory, several scholars in criminology, law, sociology, and political science have studied the surveillance of the population by a state (Boersma, Brakel, Fonio, & Wagenaa, 2014).

According to the sociologist Bernard (1939), the methods of social control can be categorized into two groups: constructive and exploitative. Constructive methods of social control refer to custom, law, education, social reform, and religious beliefs, which seek to establish and promote accepted social norms. Exploitative methods of social control refer to punishment, reprisals, intimidation, censorship, and repression, which aim at exercising a certain level of coercion to deter deviance from social norms (see also Innes, 2003).

As most of the government operations in these domains are deemed classified, studying intelligence and surveillance activities can be a challenging task. However, many secret processes in this realm can be uncovered to a certain extent, sometimes with the aid of the state. For instance, Brodeur (2010) discussed two forms of secrecy: (1) radical secrecy, in which a very limited number of persons are “in the know” and (2) the chilling effect of secrecy, in which the state deliberately exposes excerpts of classified information in order to influence public opinion or intimidate an adversary. In his recent book, Marx (2016) explores a different facet of social control exercised by the state through its formal and informal intelligence apparatus. Marx does not inquire if surveillance is good or bad but instead explores key questions related to surveillance structure, processes, data storage, and goals of collecting information on people. He examines also the role of private and public entities in the surveillance process as well as their interaction with the notions of secrecy, confidentiality, anonymity, accountability, (dis)trust, power, and democratic values. The author concludes that surveillance of our society can be both positive and negative depending on the context and comportment of those who spy on other people's lives.

Surveillance activities can also be exposed to the general public in the form of information leaks, as we saw in 2013 in the Edward Snowden case where millions of pages of documents related to the bulk data collection conducted by the National Security Agency were released to journalists and, ultimately, the public. Additionally, intelligence activities can be exposed when an operation goes wrong and attracts the attention of the mass media and oversight committees. A good example of such a situation is the case of false allegations made by the USIC during the period preceding the Second Gulf War that Iraq was in possession of weapons of mass destruction (WMD). It has been established that intelligence assessments were misleading and analysts were pressured by the White House to provide plausible evidence that would support an invasion of Iraq (Operation Iraqi Freedom—Seliktar, 2008). The absence of WMD in Iraq led to a political and media storm, revealing how the state exploited its intelligence apparatus to achieve political goals and shape foreign policy.

Intelligence and surveillance activities, and the exposure of them, are not happening uniquely at the national security level (high policing). These activities and exposure opportunities also occur in the context of covert law enforcement operations (low policing). In the particular case of Operation Fast and Furious, also known as the Gunwalking Scandal, the US Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF) was caught in a series of controversial operations between 2006 and 2011 in which the agency allowed federal licensed firearms dealers to sell weapons to illegal buyers in the hope that the firearms could be traced back to Mexican cartels. Not only did the operation fail to lead to any arrest of high-profile Mexican cartel members, but it also directly contributed to the violence in Mexico (including the murder of a US federal agent) by supplying thousands of weapons to organized crime. Again, this case led to a political and media uproar revealing specifically how the ATF was conducting intelligence and surveillance of gun smuggling between Mexico and the United States and the specific methods employed in the operation.

Though the above examples provide a wealth of information on surveillance practices and strategies employed by the state, relying on information that emerges from such controversies, operational failures, and intentional or accidental leaks poses serious limitations. First, a systematic examination of scandal or abuse situations alone subsequently defines the core of intelligence and surveillance activities as fundamentally deviant or illegal, which may not necessarily be the case. Second, solely analyzing situations where states' intelligence and surveillance operations are exposed may lead to the perception that all other operations that remain undisclosed share the same similarities, thereby demonstrating an empirical bias in the research and conclusions. By studying only what is visible or revealed in terms of intelligence and surveillance programs, researchers may be guilty of bias sample in subject data and faulty generalization in conclusions. Third, taking a critical perspective of states' surveillance suggests a research focus on power relations and societal antagonism between political ideologies.

Selective Literature on State Intelligence and Surveillance

This section presents a review of the most recognized books on criminal intelligence, national security intelligence, and state surveillance. Most books in the field emphasize an historical perspective of the foundation of state surveillance or focus on the activities conducted by select state intelligence agencies (Western Europe, United States, etc.). This review of literature is not exhaustive, but includes the work of leading authors in the field. The review is divided into two content areas: national security intelligence and law enforcement intelligence.

National Security Intelligence

The work of Johnson (2016) offers a collective approach to review of research in the field that explores different facets of national security intelligence, including major theories in the field, the functioning of intelligence agencies and intelligence communities, and the production and dissemination of intelligence in a globalized world. His work also addresses the delicate balance between secrecy and public accountability, as well as ethical dilemmas posed by covert operations conducted by intelligence agencies. The overall contribution of Johnson is to illustrate, through several dimensions, how intelligence and surveillance functions conducted by states are affected by historical changes and political contexts. For instance, how wars and major global changes can reshape the mission and structure of intelligence and surveillance agencies.

Johnson and Wirtz (2014) further generated a significant, in-depth examination of the clandestine nature of intelligence and state surveillance. In addition to defining the contours of intelligence missions, the author discusses the ethical challenges posed by the existence of hidden government agencies within democratic and open societies. Johnson also explores difficult and controversial issues such as mistakes made by intelligence agencies in not foreseeing world events, the intelligence community being crippled by defectors that leak secrets to foreign nations, and operations involving illegal surveillance activities on citizens that resulted in scandal.

The work of Lowenthal (2014) examines how the United States' intelligence community's history, structure, procedures, and functions affect policy decisions. The author scrutinizes emerging issues facing the intelligence community such as the NSA surveillance programs, the use of unmanned aircraft vehicles (UAVs), the impact of social media, the effects of leaks on collection, and enhanced Congressional oversight. The author also addresses oversight mechanisms such as the Foreign Intelligence Surveillance Act Court (FISA), Office of Management and Budget (OMB), and the Government Accountability Office (GAO). Boersma et al. (2014) explores the different histories of state surveillance in Europe. Their work places an emphasis on the influence of surveillance in shaping the relationship between the state and its citizens in several European countries. By adopting a multifaceted historical perspective and approach, their work helps to understand modern trends in state surveillance activities. More precisely, the authors examine surveillance activity through the issue of intrusion into citizens' privacy and focuses on the identification card systems and surveillance apparatuses in postauthoritarian societies.

Following a similar approach, Gill and Phythian's work (2013) examines how abuse of power allegations have been made against the domestic security intelligence agencies in the United Kingdom, such as police special branches and MI5. Specifically, Gill places an emphasis on improper surveillance of trade unionists and peace activists, campaigns of misinformation against elected politicians, and even the assassination of people believed to be engaged in political violence. Gill outlines a framework for the comparative analysis of surveillance agencies by integrating foreign material and using social science concepts of information, power, and law. This framework provides foundation that helps to conceptualize the intelligence activities through several theoretical paradigms (e.g., positivism, postmodernism, and critical realism).

The work of Davis, McGarrity, and Williams (2014) examines surveillance and intelligence through the lens of counterterrorism and constitutional law. Their work addresses the growth and diversification of mechanisms of mass surveillance, the challenges that technological developments pose for constitutionalism, new actors in the surveillance state (e.g., private sector and communities), the use of surveillance material as evidence in court, and the effectiveness of constitutional and other forms of review of surveillance powers.

The work of ethicist Cohen (2010) provides an analysis of a unique bill and initiative that was put before the US Congress on multiple occasions: Total Information Awareness (TIA) program. TIA was “a global system of mass, warrantless, government surveillance” which, according to the author, could have imperiled privacy and other civil liberties essential to sustain democracy (Cohen, 2010: 3). The author describes how the program aimed to unilaterally and totally control information flow that resulted from complex, constant interaction between technological, political, legal, corporate, economic, and social factors, including research and development of advanced, digital technologies; an unremitting “war on terror”; relaxed surveillance laws; and government alliances with information technology companies. The author explains factors contributing to this intrusive trend and identifies avenues for positive change that present alternative to state mass surveillance.

Law Enforcement Intelligence

The use of intelligence and surveillance activities by law enforcement has not been studied as much as in the field of national security. One of the main reasons for this is that the concept of intelligence is often associated with a prerogative of the state and is a highly politicized function directed at uncovering threats and vulnerabilities that could undermine political legitimacy as well as state sovereignty. Nevertheless, since the mid-1990s, police experts and scholars have scrutinized the function of intelligence in law enforcement. Numerous publications serve as best practice guides and technical reports regarding the implementation and use of intelligence by law enforcement (Harris, Maxfield, & Hollady, 1976; Peterson, 2005; Peterson, Morehouse, & Wright, 2001).

However, the work of scholars such as Ratcliffe (2016) examines the concepts, processes, and practice of intelligence-led policing. Ratcliffe's work focuses primarily on criminal intelligence and crime analysis and addresses the evolving theoretical and empirical dynamics of this field. His work scrutinizes several case studies of police intelligence operations and discusses emerging strategies in intelligence-led policing including predictive policing.

The work of Lemieux (2006) examines the implementation of intelligence-led policing models in several countries and at different levels (local, national, and international). By adopting a comparative approach, the author examines different configurations of the intelligence cycle, analysis activities, and various regulations that enable or restrict police surveillance. The author also discusses the relationship between an agency's status within the community and its organizational configuration and how this relationship impacts the agency's ability to conduct intelligence or surveillance operations. Finally, the author addresses how cultural differences, political contexts, and legal frameworks affect the implementation of the intelligence-led policing.

The work of Fijnaut and Marx (1995) provides a comparative perspective on the concept of police surveillance and, more precisely, on undercover operations. The authors examine the historical development of covert policing in Europe and its spread to the United States. The authors specifically analyze in detail the use of police covert tactics in France, Germany, the Netherlands, Belgium, the United Kingdom, Iceland, Sweden, Canada, and the United States.

The work of Lyon, Ball, and Haggerty (2012) provides a hybrid approach to discussing intelligence activities by including surveillance from both the national security and law enforcement perspectives. The authors explore the empirical, theoretical, and ethical issues around surveillance and its use in daily life. Their work proposes a multidisciplinary and international approach in looking at issues related to surveillance and population control; policing; intelligence and war; production and consumption; new media; security; identification; and regulation and resistance.

The work of Ericson and Haggerty (1997: 6) assert that the “police have become information brokers to institutions such as insurance companies and health and welfare organizations that operate based on knowledge of risk.” According to the authors, numerous government institutions and private organizations are now part of a “risk society” where knowledge is used to better understand threats and vulnerabilities. The authors explore police involvement in risk mitigation through the use of surveillance technologies and the collection of data among other things. They also examine how police organizations have been affected by new communications and technologies in order to meet external demands for knowledge of risk. Ericson and Haggerty's contribution is particularly interesting because it broadens the discussion about the purposes of intelligence and state surveillance in modern society. Their work points out the necessity to better understand how knowledge seems to be a central element to more effectively manage observed and expected risks in modern society. In the next section, using the Ericson and Haggerty's risk society perspective, we will explore how knowledge management represents a key conceptual approach to comprehend the roles of intelligence and state surveillance in modern society.

Risk Management and Intelligence Knowledge

A critical role of the modern state is to provide security at several levels (Rotberg, 2010: 3) that include (1) prevention of external attacks and any loss of territory, ...

Indice dei contenuti

• Cover
• Title
• Copyright
• Table of Contents
• Dedication
• List of Figures
• List of Tables
• Foreword
• Acknowledgment
• Nature and Structure of Intelligence: An Introduction
• Chapter 1 Intelligence Knowledge Management
• Chapter 2 National Security Intelligence in the Five Eyes Countries
• Chapter 3 Toward a Convergence? Militarization of Intelligence and State Surveillance
• Chapter 4 Criminal Intelligence
• Chapter 5 Intelligence-Led Policing Model: Global Diffusion and Cultural Distinction
• Chapter 6 Cyber Threats, Intelligence Operations, and Mass Surveillance
• Chapter 7 Intelligence and Surveillance Technologies
• Chapter 8 The Rise of the Private Intelligence Sector
• Chapter 9 Ethical Challenges in Intelligence Operations
• References
• Index