Espionage and Other Compromises of National Security November 02, 2009 Case Summaries from 1975 to 2008 Defense Personnel Security Research Center Monterey, California ii ESPIONAGE And Other Compromises of National Security Case Summaries from 1975 to 2008 Since its first publication in 1985 as Recent Espionage Cases, this product has offered the security educator easy-to-find factual information about espionage-related cases for use in briefings, newsletters, and other educational media. This new edition, issued by the Defense Personnel Security Research Center (PERSEREC), supplements the collection of case summaries with 20 new entries, and updates and expands previous accounts for which we now have more complete information. With this July 2009 edition, we have changed the title to Espionage and Other Compromises of National Security: Case Summaries from 1975 to 2008 in order to more accurately reflect the range and type of events summarized here. Purpose: Education and Awareness The principal objective of this publication is the enhancement of security awareness among cleared employees and military service members by showing that espionage and similar prosecutable offenses involve real people in workplace situations like their own, and that loyal and conscientious employees continue to be the target of attempts by agents of foreign intelligence services to recruit them as sources of sensitive defense and intelligence information. The reader will recognize that these case summaries bear little resemblance to the glamorized fictional accounts of spy novels; rather, they often tell mundane tales of human folly resulting in tragic personal consequences. Many of the disasters described in these summaries might have been avoided if concerned coworkers, recognizing danger signs and personal vulnerabilities, had been willing to intervene. Other lessons that can be shared with employee audiences are that most offenders were trusted insiders, not foreign agents; even "friendly" countries have been the recipients of stolen US classified information; and these damaging betrayals can occur in either government or contractor organizations. In addition to serving the needs of the security educator, this publication through several editions since 1985 has been consistently in high demand as a reference source for security managers and policymakers and used in the training of counterintelligence and security professionals in government and industry. We hope that this latest release, Espionage and Other Compromises of National Security, will continue to meet these various needs. Rationale for Including Cases The principal criterion for including an espionage case summary in this volume is that it involves the theft or compromise, or threat of compromise, of US national defense information. Normally this is interpreted as US classified information, but as a legal concept this may include controlled or critical technologies that have defense application. Every effort has been made to include at least every case, reported in the public media and in open-source government publications, in which a US citizen has been indicted or charged with espionage under the espionage code (generally, several sections of USC Title 18). However, there are a number of cases in this collection that have not been prosecuted under the espionage code. In these events, an insider or private sector business figure, under suspicion of espionage, was tried and often convicted of a lesser offense such as illegal export of militarily critical technology or for the unauthorized removal of classified documents to an unsecure location. These borderline cases should be discussed with cleared employees by security educators since they stand as examples of what can go wrong when sound personnel security policies and practices are not followed. iii While our major concern, and by far the cause of the greater number of cases, is insider betrayal, a few summaries included here result from the apprehension of foreign operatives. These agents of adversarial intelligence services have targeted US information or assets or have attempted to enlist the cooperation of a US citizen having legitimate access to classified information. Foreign agent cases are important for their educational value since they highlight the targeting of potentially vulnerable insiders and confirm the persistence of foreign services to infiltrate US government organizations and to recruit cleared employees for illegal activities. Admittedly, many foreign agent operations go unreported in the press. Many agents having diplomatic immunity have been sent home as personae non gratae (“PNGed”) “for engaging in activities incompatible with their diplomatic status.” To assist the security educator in identifying foreign agent cases, we have marked these with an asterisk in each listing. The year 1975 was selected as the starting point for these case summaries as it marked the end of a 10-year period of relative quiet in the active prosecution of espionage cases. According to news reports, the government decided to resume aggressive prosecution of arrested spies in the mid- 1970s. Within each year of the decade that followed, the number of cases brought to court had risen to nearly a dozen. The high frequency of prosecutions in the 1980s and 1990s argued for changing the title of this publication since these cases, however instructive, are no longer recent. The collection now includes 141 case summaries in which US information or assets have been targeted. New cases will be added in future updates. We have also attempted to provide assistance to the user by including three listings of cases in the introduction: (1) alphabetical by name of offender, (2) chronological by date of arrest or first public disclosure, and (3) by targeted or affected organization. Thus, the security educator can find a particular summary by referencing the name of the culprit, the most recent case events, or those cases involving a particular targeted organization. Each case summary identifies one or more offenders who were implicated in an effort to illegally provide US classified or other sensitive national defense information to a foreign interest or in an activity that seriously compromised national security information. Each summary is identified by the name of a person who was officially named or indicted on at least one count of espionage or espionage-related offenses. The authors offer selected citations at the end of case summaries should a reader wish to refer to original sources for more information. Further Analysis of Espionage Data Espionage and Other Compromises of National Security is closely related to PERSEREC’s long- standing study of espionage as one manifestation of betrayal of trust among members of the government and contractor workforce. Espionage is a rare crime; however, it is one that when undetected can have devastating consequences for national security. Security educators, who might be interested in a more detailed overview of espionage as a phenomenon in terms of frequency distributions on several key variables, can find this in a PERSEREC technical report, Changes in Espionage by Americans, 1947-2007. This and earlier reports on espionage trends can also be found on the PERSEREC website under Selected Reports. The 2007 report on espionage changes shows the number of espionage offenders who fall into various categories such as personal attributes, motivation, modus operandi, and consequences for the offender. iv Distribution and Access to this Product Consistent with our interest in developing innovative products to support security education, PERSEREC will continue to update and publish these case summaries in electronic format on the PERSEREC website (http://www.dhra.mil/perserec) to allow for easy downloading and printing should hard copy be desired for training or awareness programs. No permission is required; however, we like to hear how this product is being used and for what purpose. As always, we are interested in comments and feedback from the security community on how to make it more useful as a reference source and as an educational tool. Please forward your comments and questions to [email protected]. These case summaries or the public media articles on which they are based do not necessarily reflect the views of the Department of Defense, nor does this publication constitute an endorsement or confirmation of these facts by the Department of Defense. v vi Table of Contents Introduction iii Table of Contents vii Case Summaries by Name of Principal Offender ix Case Summaries by Year of Arrest or First Public Disclosure of xi Involvement in Espionage Espionage Case Summaries by Targeted or Victimized Organization xiii Case Summaries 1-64 NOTE: In each of the following case listings, in cases marked with an asterisk (*), the offender was a foreign agent rather than a volunteer or recruited insider. Names followed by a referral in parenthesis to another case, indicates that the individual was identified as a coconspirator, collaborator, or foreign operative in the case referenced. vii viii Case Summaries by Name of Principal Offender Abu-Jihaad, Hassan 1 Gonzales, Rene (see Gerardo Hernandez)* 21 Allen, Michael Hahn 1 Graf, Ronald Dean (see King) 29 Alonso, Alejandro 1 Gregory, Jeffery Eugene 17 Ames, Aldrich Hazen 2 Groat, Douglas Frederick 17 Ames, Maria Del Rosario Casas (see Ames) 2 Guerrero, Antonio 18 Anderson, Ryan Gibson 3 Anzalone, Charles Lee Francis 3 Haeger, John Joseph (see Schoof)