11.00000
104-10051-10170
2025 RELEASE UNDER THE PRESIDENT JOHN F. KENNEDY ASSASSINATION RECORDS ACT OF 1992
SECRET
ANNEX B
THE 201 SYSTEM
DOHB 70-1-1
CHAPTER III
15 November 1974
Rescission: Annex B of Chapter III, CSHB 70-1-1, 27 October 1966
1. INTRODUCTION
The 201 system provides a method for identifying a person of specific in-
terest to the Operations Directorate and for controlling and filing all pertinent
information about that person. The system also provides a means for identifying
subjects of 201 files from various categories of information about them and for
producing lisits of 201 personalities according to those categories. Only a rela-
tively small number of personalities indexed are of sufficient interest to justify
opening a 201 dossier. These are normally subjects of extensive reporting and
CI investigation, prospective agents and sources, members of groups and organi-
zations of continuing target interest, or subjects on whom a volume of corre-
spondence has accumulated.
2. THE 201 SYSTEM
The principal features of the 201 system are:
a. The 201 Number: a unique number, i.e., 201-1234567, assigned to each
individual in the system to serve as identifying file number for reporting on that
individual.
b. The 201 Dossier: the official file containing the 201 opening form (Form
831) and all biographic reporting on and references to the individual, i.e., per-
sonal history, current status, and prospects.
c. The Master 201 Record: a machine record generated by the opening of
a 201 file. This record produces the master 201 reference for the Main Index and
stores the pertinent information which may later be retrieved for special listings.
d. Main Index Master 201 Reference: this reference, printed in reply to an
Index Search Request, is printed as illustrated below. When data are absent
within the record, succeeding data items or lines will be moved up and the ref-
erence consolidated.
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0002 CROIX, WILLIAM PENDLETON
☐ SEX M DOB 12 APR 26
CIT GERM
✓ POB GERM, BERLIN 5
OCC PHARMACIST
OCC CODE CHEM-
REF AACD-12345, 20 JUN 53
_SUBJECT RECENTLY ATTENDED THE SEVENTEENTH ANNUAL
CONFERENCE OF THE INTERNATIONAL ASSOCIATION OF CHEMISTS
AND PHARMACISTS HELD IN MUNICH, GERMANY FROM 22 THROUGH
29 OCTOBER.
201-0032671*
TYPE NAME T-
OI CODES AA XX
RCD DATE 53
30 NOV 70
Information About Subject
1. Sequence Number and Name
2. Sex and Date of Birth
3. Citizenship
4. Place of Birth
5. Occupation
6. Occupation Code
7. Text
Document Reference Data Group
8. 201 Number
9. Name Type Indicator
10. OI Codes
11. Record Date (year only)
12. Reference
ISC Control Information
13. Date of latest update of the record
14. STAR Index Record Number
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DOHB 70-1-1
CHAPTER III, ANNEX B
15 November 1974
e. OI Code: a two letter symbol used in conjunction with the 201 per-
sonality records in the 201 system to record the association of an individual
with organizations or activities of operational interest. OI codes cover intelli-
gence and security service affiliation, whether staff or agent, or known or
suspect, as well as activities of DDO interest. There are two categories of OI
codes for use by components:
(1) general OI codes (Attachment 4)
(2) OI codes assigned to a specific component for intelligence services
or other specific organizations.
À component may request an OI code be established by submitting a mem-
orandum to the DDO/RMO through the component Records Management
Officer.
A 201 personality may be assigned two OI codes. An OI code may be assigned
when the 201 Personality File Action Request (Form 831) is initiated (see
paragraph 3b below) by filling in Box 13 or a code may be assigned or added
at a later date by a Form 831 amendment.
The 201 system has the capability of producing machine listings of 201.
personalities by OL codes. For example, if an OI code has been opened for the
security service of a certain country a listing may be compiled of all members
of that service.
f. 201 Machine Lists: produced from the mechanized 201 Index, based on
names or other identifying information of personalities on whom 201 dossiers
exist.
3. OPENING A 201 DOSSIER
a. General
The opening of a 201 dossier is the prerogative of an operational com-
ponent, in coordination with the Information Services Group. An opening creates
a master 201 record. Changes to the master record and the occasional closing
of a 201 dossier are controlled jointly by the desks and ISG. 201 dossiers
may be
opened on persons who meet the carding criteria described in Chapter II of this
handbook, when there is a reasonable expectation that additional information
will be acquired and filed in such a dossier. Generally dossiers are opened on
persons about whom counterintelligence information is being reported, and per-
sons of operational interest to the Operations Directorate, specifically those
persons for whom provisional operational approvals and operational approvals
are requested (see exception below). 201 files are not to be opened on staff
employees, staff agents and most categories of contract employees. Files on
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DOHB 70-1-1
CHAPTER III, ANNEX B
15 November 1974
persons who are only of local interest to a field station or Headquarters desk
and on whom no DDO records correspondence exists are not a part of the DDO
records system and are to be maintained by that unit. Some desks levy require-
ments on ISG for automatic 201 openings on certain categories of persons whose
names appear in incoming dispatches. These are listed in Attachment 2. 201
dossiers should be opened in the following categories:
(1) Subjects of provisional operational approval and operational ap-
proval requests. However, a file need not be opened when a POA is requested
for persons being trained for a foreign liaison service and who are of opera-
tional interest for training purposes only.
(2) Persons for whom the field requests a 201 opening.
(3) MHFIXTURE personalities: bonafide diplomats of other than
denied area countries, in close association with staff personnel.
(4) Subjects of a Personal Record Questionnaire Part I.
(5) Persons on whom a Main Index search reveals info
or more documents (see-DOI 70-20). -
five
(6) Subjects of Interagency Source Register memoranda from LSN/
ISR (opened only by IP/RMS).
b. Requesting a 201 File Opening
Headquarters desks may open a 201 file by filling out and submitting
a 201 Personality File Action Request (Form 831) to the Records Main-
tenance Section (IP/RMS). Form 831 is also used to create or amend the
master 201 record and 201 machine listings and to register the assign-
ment of a cryptonym to a 201 personality. Attachment 3 consists of sample
201 Personality File Action Requests for opening and amending 201's. A field
station may request the opening of a 201 file by writing 201- in the Head-
quarters file or cross-reference box on the dispatch form and/or after the
subject's name in the body of the dispatch. A telepouch request for a 201 opening
is made by indicating 201- in the file number line. A cable request is made by
placing 201- after the term "File" on the last line of the transmission. IP/AN
will open 201 files as requested by dispatch or telepouch but it is the responsi-
bility of the desk to respond to cable requests. Field stations are notified of
201 openings through receipt of the field master 201 record.
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CHAPTER III, ANNEX B
15 November 1974
4. CONTENTS OF THE DOSSIER
Information about a 201 personality should be filed or cross-referenced into
his dossier. When additional information is discovered on a 201 subject through
a name trace or other process, i.e., review of predecessor documents, it must
be consolidated into his personality dossier. See DOI 70-20 for consolidation
procedures.
Material which is filed in the dossier includes but is not limited to:
a. 201 Personality File Action Request (Form 831).
b. Biographic information including photographs, fingerprints, and
handwriting samples.
c. Personal Record Questionnaire Parts I and II.
d. Operational and other security approvals.
e. Name check replies, requests, clearances, and approvals.
f. Acknowledgement of pseudonym.
A
g. 201 personality assessments and evaluations.
h. Copy of contract and termination papers.
i. Secrecy agreement.
j. Agent Duty Status Report.
k. Training and evaluation.
1. SGSWIRL report.
m. Newspaper clippings.
n. Any information which helps provide a better understanding of the
subject and our interest in him; this may include operational reporting.
5. MAINTENANCE OF 201 DOSSIERS
The 201 personality dossier contains, in document date order, papers which
have been made a part of the Central Records System as well as those which
have not. Record documents may range from newspaper or magazine articles
on the subject to finance and other administrative papers.
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CHAPTER III, ANNEX B
15 November 1974
a. Purging
Purging a 201 dossier is the responsibility of the desk officer. It requires
discrimination in recognizing operationally useful material, rather than the
simple distinction between official and unofficial papers; it will therefore take
place under the supervision of a Records Officer. Purging should be done
periodically. A 201 dossier being forwarded to Central Files for retention should
be purged. A 201 dossier should be purged of the following:
(1) Duplicate material, i.e., exact copy(s) of a document.
(2) Name trace form (Form 362) unless it has been the basis for
the opening.
(3) All abstract slips.
(4) All document restriction notices (Form 1884).
(5) The disseminated version of positive intelligence information if
a copy of the raw report is contained in the 201 file; the dissemination number
then must be transferred to the first page of the raw report..
(6) Routing slips, routing and record sheets (Form 610) and dispatch
cover sheets unless there are remarks such as coordinations or comments.
(7) Record copy-doeuments which only repeat-substantive information
contained in other documents in the file; authorization for destruction is
by the Records Officer.
(8) Top Secret documents are not to be retained in a 201 dossier
forwarded to Central Files; the document must be downgraded for retention
in the 201 dossier. To downgrade a Top Secret document, an authorized
officer in the originating office or the Records Officer having jurisdiction
over the contents of the material must possess Top Secret classification
authority. If the document cannot be downgraded the file should be retained
at the desk or the copy of the TS document should be removed, retained
in a desk TS file or forwarded to the Top Secret Control Officer, and a
cross-reference sheet (Form 867) placed in the 201 file giving the location
of the TS document.
(9) Deferred documents (see 5b(2)).
b. Maintenance Procedures
(1) All material in a 201 dossier will be filed in document date order.
In the case of document attachments which have been classified into a 201
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CHAPTER III, ANNEX B
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dossier and separated from the basic document by the assignment of a slash
number, the attachment will be filed by the date of the basic document.
(2) Deferred documents will not be filed in a 201 dossier. If they are
to be retained in the dossier they should be sent to IP/RMS for classification
into that 201.
(3) Field index cards (held by some desks) and area desk cards may
be retained in the 201 as part of a consolidation procedure. These cards
should be mounted on a full-size sheet of paper for filing in the 201..
(4) A 201 dossier previously opened on a person who becomes a staff
employee and which contains Record Copy documents will be restricted to
the ISG/DIP unless the desk retains the restriction. The dossier should be
closed if there are no Record Copy documents in it.
(5) A 201 opened in pseudonym should be consolidated into the true
name 201 if one exists or converted to the true name.
(6) Field and duplicate (shadow) 201 files no longer of active interest
should be incorporated into the official 201 after the duplicate material
has been purged by the desk officer and the remaining information classified
to that 201 by the Analysis Section (IP/AN).
(7) Any document with a predecessor-organization cover sheet or an
OPC (Office of Policy Coordination) cover sheet from the Archives and
Disposition Section (IP/ARD) must be returned to IP/ARD for processing
to the 201.
(8) Desk memoranda (with or without a document source number)
containing substantive or derogatory information on the subject of the 201
should be sent to. IP/AN to be classified officially into the 201 file.
(9) An attachment which should be separated from its basic document
for inclusion in a 201 personality dossier will be forwarded with the basic
document to IP/AN for processing into the 201.
(10) To retain the P&L, RYBAT, or KAPOK sensitivity of a document
remaining in a 201 dossier being retired to Central Files, place that document
in an envelope sealed with black tape (see DOI 70-17). Any RYBAT, P&L,
or KAPOK document sent to Central Files not in a black-taped envelope will
automatically be handled as desensitized. A black-taped envelope may con-
tain only one document and must be filed in chronological order within the
file. If there are numerous documents of this type the desk officer may black-
tape the entire dossier rather than individual documents (see DOI 70-10).
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CHAPTER III, ANNEX B
15 November 1974
Black-taped dossiers or dossiers with black-taped documents will be
handled as restricted dossiers.
...
(11) An inactive 201 dossier or an inactive volume of a large 201
.dossier on permanent charge should be returned to Central Files under a
Routing and Record Sheet with the notation shown below..
☐ UNCLASSIFIED
INTERNAL
USE ONLY
☐ CONFIDENTIAL
ROUTING AND RECORD SHEET
☑ SECRET
SUBJECT: (Optional)
TRANSMITTAL OF INACTIVE 201 DOSSIERS
FROM
EXTENSION PO
10, (or dignation
building)
DATE
OFFICER'S
INITIALS
RECEIVED
FORWARDED
1.
IP/Files
GC-52
2
7.
a
10.
31.
12.
13.
14.
13.
DATE
COMMENTS (Number each comment to show from where
To whom Draw line weruh commEAR)
(For guidance see CSB 70-1-1,
Chapter III, Annex B.)
Volume(s) #
of 201-
volume(s)
☐ Restricted Dossier
(Attach Form 2021 to
Dossier)
☐ Non-Restricted Dossier
For Split Charge Dossiers:
All documents prior to
(date)
forwarded to IP/Files. All
documents after
(date)
retained at
desk.
CL. BY: 07823
FORM
610E
✓ SECRET ☐ CONFIDENTIAL
INTERNAL
☐ USE ONLY
☐ UNCLASSIFIED
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CHAPTER III, ANNEX B
15 November 1974
6. 201 DOSSIER CHARGES
A 201 dossier may be kept on permanent charge at the desk during any
period of active interest. If the dossier is transferred to another desk, the desk
officer who is transferring the dossier must notify Central Files of the transfer.
Central Files will then send the Notice of Transfer of Document or File Account-
ability (Form 2977) to the new action desk officer.
TO: NAME
CONFIDENTIAL
(when Filled In)
NOTICE OF TRANSFER OF DOCUMENT OR FILE ACCOUNTABILITY
BADGE
COMPONENT
ROOM
TUDE
EXT.
This is to notify you that accountability for the document(s) and/or file(s) cited
below has been transferred to you by:
DANE
BADGE
COMPONENT
37.
Accordingly, IP's records now reflect you as the custodian. Please contact IP/Files,
Ext. 4362, if you have any questions regarding this transfer.
SUBJECT OF REQUEST
1-73
PORN 2977 USE PREVIDOS EDITIONS
FILE NO.
DOC. SYMBOL & NUMBER DOC. DATE
DATE
OF
TRANSFER
"CHARGE
PERM
REG. NO.
OR TEMP
CONFIDENTIAL
CL. BY, 007622
The new action desk officer must then fill out a 201 Personality File Action
Request (Form 813) to change the action desk designation to insure that the
201 personality will be included in the Headquarters and field machine listings
for his component.
7. RESTRICTED DOSSIERS
a. Access to a sensitive 201 dossier may be restricted by holding the file at the
desk or placing it on restriction in Central Files.
(1) The dossier may be restricted by checking Box 2 on the 201
Personality File Action Request (Form 831) when the file is opened.
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CHAPTER III, ANNEX B
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(2) The dossier may be restricted by holding it on permanent charge
from Central Files. (Note: To maintain the restriction of a dossier being
returned to Central Files for retention, a File Restriction Notice (Form
2021) must accompany the dossier.)
(3) The dossier may be restricted and held in Central Files by sub-
mitting a File Restriction Notice (Form 2021).
то
IP/FI
GC-52 TUBE DT-6
IP/DCU
GC-40 TUBE HT-4
ACTION DESK: 1.
2.
SECTION A
SECTION B
CONFIDENTIAL
(When Filled In)
DATE
INITIALS
FILE RESTRICTION NOTICE
To restrict a file, complete Section A (signature of R.O. not
necessary).
To remove a restriction, complete Section B (R.O. signature
necessary).
FILE NUMBER
·RESTRICT TO: (Use country or non-country code number. See CSI 70-28).
RESTRICTED BY:
COMPONENT:
(NAME)
Date:
REMOVE RESTRICTION (AUTHORIZED BY).
COMPONENT:
FORM
2873 2021 TIONA
DRE PREVIOUS
R.O. No.
Date:
CONFIDENTIAL
8-2, IMPOET CL BY: 067622
(13)
b. Access to a restricted dossier located in Central Files is limited to the
personnel of the restricting desk or persons authorized by that desk. Any request
for the charge of a restricted dossier or any document within a restricted dossier
held in Central Files will be forwarded with the entire dossier and a multiple-
routed cover sheet to the restricting desk. This desk may then forward the file
to the requester or deny the request and return the dossier to Central Files. The
desk will notify the requester of a denial.
c. Anyone requesting a restricted dossier, or a document within a restricted
dossier, permanently or temporarily charged to a desk, will be referred to that
desk by Central Files.
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CHAPTER III, ANNEX B
15 November 1974
8. REQUESTS FOR INFORMATION ON 201 PERSONALITIES
The Automated Index Section (IP/AIS) will provide the identity of the
subject of a 201 number unless the 201 file is restricted, in which case the
requester will be referred to the restricting desk.
IP/AIS will also provide the 201 number assigned to a name, unless the 201
file is restricted, or state that there is no 201 number assigned. Requesters should
supply identifying information whenever available for each name submitted.
Requests pertaining to five or fewer names or numbers may be made by
telephone by calling the IP/AIS red line extension; IP/AIS will provide the
information by return call to the requester's extension as listed in the Badge
Table. Requests for more than five names or numbers must be listed and sent
by tube or courier to IP/AIS; IP/AIS will reply by return mail.
9. 201 DOSSIER CANCELLATION
A 201 file may be authorized for cancellation by a Records Officer, after
appropriate coordination. The file should be forwarded to IP/RMS which will
destroy the folder and the cards leading to it and will remove the name and
number from machine lists. Any Record Copy document contained in the folder
will be reclassified to another appropriate file or sent to the Destruction Unit
(IP/DU) as directed by the desk Records Officer.
10. 201 MACHINE LISTINGS
Machine listings provide field stations and Headquarters desks with names
and 201 numbers in the requester's particular geographic or functional area of
interest. If a component wishes to exclude a sensitive 201 personality from its
alphabetic, numeric, and cryptonym listings, this may be done when opening
the 201 or later by a 201 amendment. On the 201 Personality File Action Request
(Form 831) leave the country of location (Box 15) and interest desk (Box 16)
blank, use the non-country code 900 in the action box (Box 14), and indicate
permanent charge to the responsible desk. The only listing which will include the
201 number is the IP/201 record for the Vital Records program. 201 listings are
categorized as standard or nonstandard and as scheduled or special.
a. Standard Listings
Issued semi-annually to Headquarters and the field; based on a component's
interest as indicated in the "Action Desk," "Country of Location," and "Interest
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DOHB 70-1-1
CHAPTER III, ANNEX B
15 November 1974
Desk" blocks on the 201 Personality File Action Request (Form 831). The
standard listings available are:
i
(1) Alphabetical by surname, leading to a 201 number;
(2) Alphabetical by given name, leading to a 201 number;
(3) Alphabetical by cryptonym, leading to a 201 number;
(4) Numerical, leading to a surname;
(5) Numerical, leading to a cryptonym.
FUL A CHINA
201 SURNAME ALPHA LIST
SECRET/ORGANIZATION INTERNAL USE ONLY
03 SICT
1973
NAME
TYPE
NAME
CITEN, SHOU 1. /7115/1343/9030/
CHEN, SHOU 1/7115/1343/0001/
CHER. SHOU 1. /7115/1343/0001/
CHE, SHOU-JFN /6774/1108/0038
CHEN, SHOU MET.
CHEN, STUNING 17109/1343/690
CHER SHE SITH /7115/1109/001
CHAK SHCU-120
CHFFY SHOTSENG 7115/1109/1
CHEN, SHCU 12E 70701/134371897.
CHEN, SHOW/115/1108/495
CHE SCH
CHEN, SHRI-GA
CHIN SHU-CHIN/7115/29
LIEN SHY CIPIAN 7115/3219/1
CHEN, SHU-CHUAN 7115/299
CHEN, SHU C/7115/2PR5/
CHEN SHU FEN
CHER, SPI HAD /7115/2285/3185/
CHF", „SH' HSIANS /7115/2579/74
CEY, SUSING 7115/295/7
CHEN, SHU HSUN 77115/2295/8133"
CHI SHU-HUA
CHEN SHII-1 27115/225/5030/
CHEN, SHU KVET /7115/2885/2710
CHEN; SHU LAY
CHER, SHP LIANG 77115/0547/009
CHER. SIHI LIN 77315/2579/2651/
CHEN SHU-LINS /7109/2973/010
CINE, SHUI-IN
CHEP, SHU /7115/2823/0589/
CHEP SHU-30/7115/?579/02027
CHEN, SHU-SE/7115/2895/2773/
CHEN, SUU-SAN /7115/2579/091'
CHEN, SHU-TE 77115/2495/1795/
CHF, SHU 1EH /×75/
DOB
DA/NU/YR
17JULI4
BIRTHPLACE
OCC. CIT.
201
CTRY CITY
01-1 01-2. ACT. LOC. INT.
SLAY CIBY CIRY"
CHIN KWANGTUNG
CHIHT
0165401
24JAMII
905-
- CHIN. AHOY
DIPT
BUSP CCOMP
0230859
0178653
0043751
04JAN19
210CT08
CHIN, FUKIEN, PROV.
CHIN, MANCINIPIA, PORT ARTH
12NOV22 CHIN, HUMAN
1PMAR45
CHIN,
QIPT
CAL
CUINE CANTON
ENGR
02SEP26 CHEN, LACKI PRO
12 JAN
FERIEN
CHIN?
CHAT 0179620
CHAT 0069786
CON 0925300
CAAB 32.65.5
CHIN? - 0130415
-CGGPY...0091833
0234629
CHIN HK
CHIN CHIN
CHIN
CHIN HK
CHIN CUBA
DITH CHIN
CHIN
CHI
CHIK
MALT
HK...
-CHIN TAIN
CHIN
09 JUN99
CHIN, CANTON
PROF CHIN? .00502A9
CHIN
USA
190EC19
02JJL30
CHTN. KANGTHING PROV
CHAT?
19
CHIN, KHANGTUNG PROV.
CHINMAN TANG TS
ARMY
CHAT
0352638
0329328
CHIN MWAL
CH147 0125438
CHIB TAIN
CHIM
. אוו
NDV30
CIRC22:
B
TSEA
...
CHIN.PFILIU
CHAT 0797335
CHIN? 0209223
04AR577
OFJUL14
10
CHIN,KANGTUNG
CHIN, FUKIEN
CHIN?
CHIK?
0179621
CHIK их
CHIN
CHIN ЕТИ
CHEM CHIN
0015759
CHEN
23FEROT CHIN. KHANGTUNG
CC347
0073195
CITIN
OSHAYLE
CHIN, FOCCHEW
CHIN?
0179622
30M4326
DIPT CCGM
0223161
"
CHIN
CHIN CEY'
CHIN
0&FEBL6
2740V23
CHIN, HOPE
01PT CHAT
CHIN, FANG CHENG
PROF CHIN?
R
CHIN
CIRCZE
CHEN
25MDV20.
CHIN, FENGSHUN
01JUL29
CHIN, KIANGSU
A
20SE 20
CHEN; NSTA-HSIEN, KIANGSU
150PR30
CHIN.CHANGHAI
CMMO
1 DEC19
CHIM, KWANGELING PROV.
.
10DEC26
CHEN, KHANGTUNG
27JAN25
CHI, FUXIEN PROV
21DEC37
CHIN, SHANGHAI
GEOL
v
27MA 20
CHIN, CHANG SHU
0830155
0179673
CCOM 0221972
DIPT CHIN? 0223162
CHIN? 0179624
MILA CCM 0854450
CHAT 0096947
CHIN? 0179625
CNAT? 0052638
CHINH 0005119
CHIN? 0103249
CHIN? 0763916
0013991
CHEIS USA
CHIN CHIN
CHEA CHIN
CHIM
CHIR Talu
CHEN
CHIN LACS
CHEY USA
TAIW
CHIN CHIN
CHEN HMAI
CHSM
CHIN CHIN
CHIN BUCH
CHIN
CHIN SHOP BUNG #115/0867/6839
CHI, SHE 120 /7115/25/2737/
CHERT, SL T20/7115/0647/0337/
CHEN, SHU-YAU /7115/2695/1031
CHEN, SHU-YIN
CIPC75
REMARIT
A
OZFERO6
CHIN,HANG CHICK
CIEN
11406 CHIN, KWANGTUNG
FIN
CHIN?
0153929
CCOM 0767442
CHIR
CHIN
CHIN UK
"
05APR17
CHIN,PEIPING
CHER. SHI YIN /7115/2895/5301/
CHI SIRI YIN /7115/2570169721
[ $91-7')
15JUN06
CHIN, FARD CHEN KW
CCAY?
CHIN7
CHIN?
07CCT30
1714h39
CHIN, HENG YANG HSIEN, HUN
CHIN. CHITXIANG.
ARMY
CNAT
0134329
0003176
0107336
01796.26
0367529
CHED
CHIN
CHTM CHIN
CHIN
און
CHIN
CHEM TAIW
INT
5604
0313620
)-7
CHIN, SHU 77115/2570/38627
045+P2P
21APH 21 CHEN, SHANGHAI
CHIN, SCHMAN
CHIA
01144030
CHI?
0144750
CHIN DFMX
CITEN
CHIMI TAIN
SECRET/ORGANIZATION INTERNAL USE ONLY
EZ IMPFT CL BY 05497)
PAGE
130
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CHAPTER III, ANNEX B
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All standard listings are cumulative; previous editions must be destroyed
upon receipt of current editions. These listings are by their very nature extremely
sensitive compilations of information and must be given every possible safeguard.
b. Non-Standard Listings
Based on one or more of the following selection criteria:
(1) Country of location
(2) OI codes (organization and/or intelligence affiliation)
(3) Citizenship
✓ (4) Year of birth (plus or minus a given number of years)
(5) Occupation.
These selection criteria may be used singly or in combinations. For example,
a user could obtain a list of all 201 personalities who have been assigned the
Of code of XX or codes of XX, XY, or XZ. A 201 personality list could also be
produced of all persons who were born in Germany between the years 1915
and 1920, with the occupation.computer specialist, who are now citizens of the
United States, located in Mexico, and who had been assigned the OI code AA.
Note however that the listing would contain only those personalities with an
OI code AA. Those personalities with an of code other than AA and those
'with no OI code would be excluded. The requester could however ask that
persons who have not been assigned an OI code also be included. Note also
that when retrieving lists based on occupation, the listing will be only as specific
as the occupation code (Attachment 1). The occupation code for a courier
covers only a documented courier. Some occupation codes cover more than one
occupation. For example, the occupation code CRAF covers those who practice
some trade or manual occupation, i.e., carpenters; bricklayers, painters, mechanics
and electricians. If a list is requested for electricians, all others in this category
will be included in the printout. These non-standard listings may be sorted
(arranged) according to any, but not more than three, of the following keywords:
(a) Surname
(b) Given name
(c) Date of birth
(d) Country of birth
(e) Citizenship
(f) OI code
(g) Location
at 199
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Sorts can be made within sorts. For example, 201 personalities may be sorted
alphabetically by surname within OI codes for given countries of location.
Because two OI codes may be listed for each personality, those names with two
OI codes would be listed twice.
c. Scheduled Listings
Standard and non-standard listings printed semiannually.
d. Special Listings
Unscheduled, usually non-standard, listings produced on a one time basis
in response to special operational requirements.
e. Request for Listings
All requests for standard or non-standard alphabetical and numerical 201
listings for Headquarters and the field, for changes in periodic listings, and for
information on the 201 machine list system should be made to the component
Records Management Officer.
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CHAPTER III, ANNEX B
Attachment 2
15 November 1974
C
AUTOMATIC 201 DOSSIER OPENINGS
Note: 201 files will be opened automatically by IP/AN on the following cate-
gories of people.
1. Arab Republic of Egypt (ARE)
a. Diplomats with rank of third secretary or above.
b. Military attaches and assistant military attaches.
c. Intelligence officers of the General Intelligence Department (GID).
(Prior to opening of an ARE 201 file, check with NE/E for correct spelling
of name and additional biographic data.)
2. British Commonwealth
a. All positively identified members of MI-5 and MI-6, the British Intelligence
Services....
b. All positively identified members of the Irish Military Intelligenee Service
(IMIS).
c. Canadian Communist Party officials on national or provincial levels and
officials of the Canadian Communist Party front organizations. Do not open
unless there is at least a date of birth given.
d. All members of the Security Service of the Royal Canadian Mounted
Police (RCMP-SS).
3. Cuba
Intelligence service employees (DSE, DGI).
4. Israel
a. All Israeli diplomats. C/NE/ISR should be indicated as the originating
office with CI/SP always indicated as the secondary office of interest.
b. Military attaches.
c. Assistant military attaches.
d. Identified intelligence officers.
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5. North Vietnam
All diplomats and NFLSV (PRG) officials stationed abroad.
6. USSR
a. All Soviets assigned PCS to an official representational installation, i.e.,
embassy, consulate, commercial representation, national airline (Aeroflot)
office, news media office.
b. All Soviets assigned PCS to the United Nations in New York, Paris, Geneva,
and Vienna.
c. Audio technicians, after coordination with SE desk concerned.
"
d. Students who will be studying abroad for a full academic year at institutions
of higher learning.
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ANNEX B
PERSONALITIES
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70-1-1
CSHB 43-11
CHAPTER II.
15 February 1960
201 AND IDN NUMBERS
1. A relatively small proportion of the total number of personali-
ties indexed by the CS are of active operational interest at any given
point in time. These are normally subjects of extensive reporting and
CI investigation, prospective agents and sources, and members of
groups and organizations of continuing target interest. Each of these
personalities is assigned either a 201 number or an IDN number.
2. The 201 number serves a dual purpose. It brings the files on
these personalities into the CS records system. A single mumber,
e.g., 201-123456, is assigned to each person, and a dossier controlled
by this number is established which contains, or has cross referenced
to it, all of the reporting on the individual's personal history, current
status and prospects. Once the 201 number is assigned, it is used in
☐ future reporting on the individual both as a file number and in place of
other identifying data. Up-to-date machine listings are published
periodically to help field stations and headquarters desks keep book
on those 201 personalities falling in their particular geographic or
-functional area of interest.
:
3. It has become apparent that the 201 machine listings should in-
clude the identities of persons of operational interest because of their
connection with a target group or organization even though there may
not be sufficient information or specific interest to warrant opening
ta file. For example: A considerable number of stations are concerned
with the activities of Cuban exiles. Coverage of their movements,:
factions and objectives can be assisted by furnishing all participating
stations up-to-date listings containing information under the control
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15 February 1960
of the Cuban desk on the dramatis personae. In addition to 201 per-
sonalities, such lists should.contain the names and identifying data
of persons who should be kept track of, although they may only be of
tangential interest or on whom there may be little or no data other
than that given in the listing itself.
4. To accommodate this type of requirement in the 201 system,
identifiable personalities concerning whom enough information is not
yet available to require the opening of a file may be assigned numbers
of the following type but in the same series:
IDN-1/23457
These are relabeled "201" if a file is opened. IDN numbers are car-
ried with 201 numbers in appropriate general or special listings,
where they are identified by the letter "I" in the "Type of Name” col-
umn. IDN numbers are not CS file numbers.
abers are not, és file numbe
5. All 201 code numbers are assigned by RID at headquarters,
either upon receipt of Form 831, or of a field dispatch. If a dispatch
is written about a personality not yet in the system, a 201 number for
it may be requested simply by writing under headquarters file number
in the dispatch form as follows:
Dispatch Symbol and No.
XYZA-12345
Headquarters File No.
201-
6. IDN numbers are assigned by RID at headquarters upon the
request of stations or desks which are developing special identification
programs within the 201 system. The field receives current notifica-
tion of new 201 openings and IDN numbers through the Field Index Card
Service.
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15 February 1960
7. Stations or branches often are concerned with personalities
not of general CS concern. Files on these may be kept in any desired
order. Should such personalities become of general CS interest,
they must be brought into the 201 system.
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