200000
104-10439-10113
1
re:
2025 RELEASE UNDER THE PRESIDENT JOHN F. KENNEDY ASSASSINATION RECORDS ACT OF 1992
HCSA Request of 9 March, 1978, item #2:
"A statement, including any written regulations,
which establishes the criteria utilized by the
CIA in classifying its relationships with individuals
with whom it has had contact...."
Attached are:
1. DEFINITIONS OF:
AGENT, ASSET, SOURCE, COLLABORATOR,
WITTING & UNWITTING
2.
Hqs Regulations on
Management of Nonstaff Personnel
20-53
on
20-54
3.
DOI 50-10
on
4.
DOI (CSI) 10-5
on
Contract Personnel to define
Contract Employees and
Independent Contractors and
Agents (& clearly distinguish between
agents and contract personnel)
Restrictions on Operational Use of
Certain Categories of Individuals
(a primer on do's & don'ts)
Covert Approvals and Related Matters
(processes required before an
individual may be used in any way)
13-00000
From Webster's New Collegiate Dictionary
AGENT:
1)
A power that acts; a moving force; as by some human AGENT.
2)
One who acts or performs an act or who has power to act;
as, a free moral AGENT.
3)
That which produces or will produce a certain effect;
an active cause; also, esp. chem., a substance or
element capable of producing a reaction.
4)
A means or instrument.
ASSET:
2)
SOURCE:
(5)
One who acts for, or in the place of, another, by
authority for him.
That which is a resource; as, character is an asset.
2) The origin; the first or ultimate cause.
3)
A person, book, document, etc. that supplies information.
COLLABORATOR:
COLLABORATE:
1)
WITTING:
2.)
3)
n.
To work or act jointly, esp. to share in
literary, scientific, or other intellectual production.
To cooperate voluntarily as a nation with another or
other nations in international political or economic
adjustment.
To comply with, cooperate with, or assist willingly
the conquerors occupying one's country; --usually
with an implication of traitorous dealing
in distinction from passive acquiescence; also,
sometimes to give to an enemy nation aid of nonmilitary
kind, as by radio propaganda in enemy service.
Done with the knowledge of the doer, or knowingly;
not unintentional.
UNWITTING: 1) Not knowing; unconscious; unaware.
2)
Unintentional.
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REMOVE
REG.
NOS.
PAGE
NOS.
DATE
REG.
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S-E-C-R-E-T
HQ. INSTRUCTION SHEET 733
HR 20 iii 2/6/73
HR 20
125-
127
3/9/64
128 6/16/70
HN 20-
129
3/9/64
INSERT
PAGE
NOS.
DATE
EXPLANATION
iii 2/23/73
125-
127 2/23/73
128-
131 2/23/73
Paragraph 53 is revised
to redefine categories of
Minor
contract personnel.
revisions are made to up-
date the paragraph.
Former paragraph 54, Pro-
curement Contracts for the
Services of Individuals,
is renumbered 55 with no
change in text.
New paragraph 54, Agents,
is added to establish
authorities and responsi-
bilities for the manage-
ment of agents and to
clearly distinguish
between agents and contra
personnel.
Rescinded.
Arrows in the page margin show the locations of the changes
described above.
DISTRIBUTION:
AB
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PERSONNEL
HR 20
CONTENTS-Continued
Paragraph
j. VOLUNTARY RETIREMENT
k. DISCONTINUED SERVICE BENEFITS
1. Not used.
m. INVOLUNTARY RETIREMENT
Title
Page
118.10
118.10
118.10
n. MANDATORY RETIREMENT FOR AGE
118.11
118.11
118.13
118.16
118.19
118.19
118.19
118:20
o. CONTRIBUTIONS TO THE FUND
p. PERIOD OF SERVICE FOR ANNUITIES
q. COMPUTATION OF ANNUITIES
r. RECALL OF RETIRED PARTICIPANT
s. REEMPLOYMENT OF RETIRED PARTICIPANT
t. MONIES
u. LIMITATION ON NUMBER OF RETIREMENTS
SECTION VIII: MANAGEMENT OF NONSTAFF PERSONNEL
51.
52
PERSONNEL DETAILED TO OR FROM THE AGENCY
CONSULTANTS
119
123
53.
CONTRACT PERSONNEL.
125
54.
AGENTS
128
55.
PROCUREMENT
CONTRACTS FOR THE SERVICES
OF
INDIVIDUALS
130
56-59.
Reserved
SECTION IX: RECORDS AND REPORTS
60.
PERSONNEL RECORDS AND REPORTS
155
Figure
Title
Page
1.
DISTINGUISHED INTELLIGENCE CROSS.
94.1
2.
DISTINGUISHED INTELLIGENCE MEDAL
94.1
3.
INTELLIGENCE STAR
.94.1
4.
INTELLIGENCE MEDAL OF MÉRIT
94.1
4a.
CAREER INTELLIGENCE MEDAL
94.1
5.
EXCEPTIONAL SERVICE MEDALLION
94.1
6.
RETIREMENT MEDALLION
94.1
7.
FORM 600, RECOMMENDATION FOR HONOR OR MERIT
AWARD
95
8.
Reserved
9.
10.
OFFICIAL SEAL OF THE CENTRAL INTELLIGENCE AGENCY 100.2
AGENCY FLAG
100.2
11.
AGENCY PLAQUE
100.2
12.
TABLE OF PERMISSIBLE CHANGES IN ENROLLMENT OF
EMPLOYEES
106
Attachment
Title.
Page
1.
2.
BIOGRAPHIC DATA TO BE SUBMITTED BY AN EMPLOYEE
UNDER COVER ON AN INTENDED SPOUSE
FORM 3154, SERVICE ABROAD AGREEMENT
29
52.1
Revised: 23 February 1973 (733)
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HR 20-53
53. CONTRACT PERSONNEL. This paragraph sets forth policy, authorities,
and responsibilities concerning the management of contract personnel. It does
not apply to consultants (see HR 20-52), to personal services acquired through
industrial or procurement contracts (see HR 20-55), to personnel employed by
proprietary projects (see HR 230-8), or to agents (see HR 20-54).
a. GENERAL. There are two categories of contract personnel: contract employees
and independent contractors.
(1) CONTRACT EMPLOYEES. Although they are not appointed employees,
contract employees are employees of the U.S. Government. They have all
the rights and privileges granted by law to U.S. Government employees
in accordance with their citizenship status as well as those rights and
privileges specified in their contracts. They work under supervised con-
ditions and are compensated on a salary basis. Contract employees are
grouped into three categories:
(a) Career Associate (Type C) Contract Employees: Contract employees
who perform duties, usually of a clandestine and operational nature,
on a career basis. They are normally required to demonstrate their
operational value to the Agency for not less than three years, in the
case of U.S. citizens, or not less than five years, in the case of foreign
nationals, to qualify for career associate status. When it is necessary
for a career associate to have the staff-type access to an Agency instal-
lation or classified information, he must meet the same security ap-
proval criteria as a staff employee.
(b) Internal (Type I) Contract Employees: Contract employees, engaged
for a specific period of time, who normally work inside Agency instal-
lations. They are required to meet the same security approval criteria
as staff employees, but are permitted only such access to classified
information as is authorized in their security approval and is required
in the performance of their duties.
(c) External (Type E) Contract Employees: Contract employees, engaged
for a specific period of time, who normally work outside Agency in-
stallations. They are not required to meet the same security approval
criteria as staff employees and are not permitted the same access
to Agency installations as staff employees or internal contract em-
ployees. They are permitted only such access to classified information
as is authorized in their security approval and is required in the per-
formance of their duties.
(2) INDEPENDENT CONTRACTORS are not employees of the U.S. Government..
They are self-employed individuals who are engaged under contract to
provide specific services. They receive only the compensation and benefits
considered necessary to retain their services. In the Operations Directorate,
their duties are normally limited to historical research and analysis and
to the direction, utilization, spotting, or support of agents. They normally
do not carry out espionage or covert action tasks. (Care must be taken.
to distinguish between independent contractors, defined herein, and agents,
defined in HR 20-54.)
b. POLICY
(1) Contract personnel may be engaged when.
(a) it is necessary to provide for operational or support needs which can-
not be met through the use of available staff personnel;
(b) services are required of particularly well-qualified individuals who
cannot meet all requirements for staff employment;
Revised: 23 February 1973 (733)
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PERSONNEL P:
(c) there is a requirement to meet operational needs without obligating
the Agency to long-term employment;
(d) the nature of the mission for which the individual is being engaged
precludes his being subject to administrative control or working spe-
cifically defined hours;
(e) the individual's primary employer or interest is not the Agency and
the services the Agency desires from him are supplementary to his
primary interest or vocation; or
(f) there is a long term requirement for personal services which, for op-
perational or security reasons, cannot be performed by Agency staff
personnel.
(2) The engaging of contract personnel is subject to the following restrictions:
(a) New contracts, contract renewals, and contract amendments for in-
dividuals under current or anticipated nonofficial cover, must have
prior approval of the appropriate component of the Operations Direc-
torate.
(b) Contract personnel may be engaged only for approved activities for
which funds have been made available. Funds for these activities will
be budgeted annually and will not exceed limitations imposed by the
head of the component concerned.
(c) Contract employees are subject to directorate manpower controls and
ceilings established by the Director of Central Intelligence during the
annual budgetary review cycle. Independent contractors are excluded
from ceiling controls.
(d) Contracts will, whenever possible, be written and signed. However,
when special security or operational factors prevent the execution of
a formal written contract, a memorandum in lieu of such a contract
may be prepared to document the commitments and obligations of the
Agency and the individual.
(d) Appropriate security or operational approvals will be obtained before
any contractual commitments are made to individuals and before any
disclosure to them of classified information.
(f) No commitments relating to the use of the services of an employee of
another Government agency will be made without prior approval of
the Operating Official or Head of Independent Office concerned and
the Director of Personnel.
(g) No commitments will be made to contract personnel that appointed
employment status will be offered at the conclusion of or during any
period of their contract service, without prior approval of the Director
of Personnel and the Director of Security.
(h) Contract employees must meet Agency medical standards prior to the
approval and authentication of their contracts. A psychological assess-
ment and psychiatric evaluation of those contract employees in whom
the Agency may have more than a short-term interest will be carried
out whenever feasible.
(i) Independent contractors are normally not required to meet Agency
medical standards; however, if their contract contains any provision
which obligates the Agency to provide medical or disability benefits.
a satisfactory medical examination is required, to include a psycho-
logical assessment and psychiatric evaluation, if necessary.
→ Revised: 23 February 1973 (733)
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obligating r
; engaged
king spe-
ency and
.ry to his
1, for op-
ency staff
strictions:
ts for in-
aust have
ons Direc-
ivities for
.vities will
ed by the
atrols and
luring the
e excluded
However,
ecution of
a contract
ons of the
ned before
before any
nployee of
pproval of
erned and
appointed
luring any
le Director
rior to the
ical assess-
s in whom
be carried
eet Agency
y provision
y benefits,
a psycho-
:
HR 20-53c
(j) Contract personnel candidates whose employment with the Agency
cannot be acknowledged must be provided adequate cover and an ap-
propriate cover legend. This requires that legal entitlements and other
contractual benefits be provided and tax liabilities satisfied in a
manner consistent with the character of the cover and cover legend.
(k) Although staff employees are expected to sever active connections with
the Agency upon retirement, there may be instances in which continua-
tion in service under contract after retirement is necessary or clearly
in the best interests of the Agency. The use of retired annuitants under
contract is governed by policies specified in HR 20–13.
(1) Not used.
(m) Contracts providing for basic compensation at a rate which, if pro-
jected on an annual basis, would exceed the maximum annual rate
for a GS-15, will not be executed without the approval of the Director
of Central Intelligence. All such requests will be forwarded through
the Director of Personnel for his recommendation.
c. RESPONSIBILITIES
(1) THE DIRECTOR OF PERSONNEL will
(a) formulate contract personnel management policies and procedures and
provide guidance in improving the effectiveness and flexibility of the
program within the Agency;
(b) monitor contract personnel management to assure consistency among
the directorates while giving due regard to their differing needs;
(c) provide a repository for sensitive suitability information using the
guidelines for special files set forth in HR 20-60b(4);
(d) approve and authenticate contracts;
(e) monitor contract employee celling authorizations established by the
Director of Central Intelligence;
(f) maintain computer-based records on contract personnel and ensure
currency and accuracy of input and output data.
(2) THE DIRECTOR OF SECURITY will
(a) establish standards and procedures for granting security approvals
which meet the Agency's contract personnel requirements;
(b) grant security approvals for the use of contract personnel including
their access to classified information and Agency installations;
(c) ensure currency and adequacy of security approvals by making periodic
reviews and reevaluations;
(d) provide a repository for all security information pertaining to con-
tract personnel.
(3) THE CHIEF, CENTRAL COVER STAFF will
(a) provide cover and cover legends for contract personnel whose em-
ployment by the Agency cannot be publicly acknowledged;
(b) ensure currency of such cover and cover legends by making periodic
reviews and reevaluations;
(c) ensure that the methods of providing legal entitlements and con-
tractual benefits and satisfying tax liabilities are consistent with as-
I signed cover and cover legends.
(4) THE DIRECTOR OF MEDICAL SERVICES will
(a) establish standards and procedures for medical and psychiatric evalua-.
tions and for psychological assessment of contract personnel;
1973 (733) Revised: 23 February 1973 (733)
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PERSONNEL
(b) make periodic reviews and medical reevaluations of contract personnel
when requested to do so.
(5) DEPUTY DIRECTORS AND HEADS OF INDEPENDENT OFFICES will en-
sure directorate uniformity of contract administration in matters such as
qualifications determination, compensation, allowances and other benefits,
personnel record keeping, systematic cost accounting, performance evalua-
tions, cover determination and training, terminations, and security and
medical approval processing requirements.
(6) THE DIRECTOR OF TRAINING will provide appropriate training courses
and facilities for contract personnel.
(7) THE DIRECTOR OF FINANCE will
(a) administer pay, leave, and allowance entitlements of contract person-
nel consistent with contract provisions and cover requirements;
(b) in coordination with the Covert Tax Board, administer a secure system
for the settlement of Federal income tax and social security tax ob-
ligations.
d. AUTHORITIES
(1) The Director of Personnel, his Deputy, and the Special Contracting Officer
(Chief, Contract Personnel Division) are, upon request of a Deputy Director,
an Operating Official, Head of Independent Office, or a duly appointed
contract approving officer, authorized to execute, amend, renew, and
terminate contracts with contract personnel.
(2) Deputy Directors and Heads of Independent Offices may designate Con-
tract Approving Officers to approve contracts when payment is to be
charged against funds under their control.
(3) Authority delegated to Chiefs of Station and Base under the provisions of
FR 20-31 is subject to the following limitations:
(a) All contracts executed in the field will be subject to review by the
Director of Personnel.
(b) Deputy Directors may limit the exercise of the authority granted to
chiefs of field installations to any extent they deem desirable.
(c) Contracts prepared by headquarters will be amended only by, or with
the prior approval of, headquarters. Contracts executed in the field
may be amended in the field, but all such amendments must be for-
warded to headquarters.
(4). All contracts written under the authority of this regulation will be subject
to legal review by the General Counsel under such conditions as he may
prescribe.
e. PROCEDURES. Requirements and procedures concerning personnel records,
personnel actions, security approvals, cover, cover salary, medical evaluations,
compensation, qualifications determination, training, and processing of con-
tracts, are set forth in HHB 20–12.
54. AGENTS. This paragraph sets forth policy, responsibilities, and authorities
concerning the engagement and the management of agents.
a. GENERAL. Agents are witting manpower assets, unique to the Operations
Directorate, who carry out espionage and covert action tasks on behalf of the
Agency. Agents are not employees of the U.S. Government. They are self-
employed individuals whose services may be acquired or terminated at any
time. Care must be taken to distinguish between agents, defined herein, and
independent contractors, defined in HR 20–53a(2).
128
→ Revised: 23 February 1973 (733)
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PERSONNEL
b. POLICY
(1) Agents cannot
Government em
with normal per
(a) Initial appro
commitmen
an agent.
(b) Agents will
and a manij
and control
(1) No com
pensatio
at a rat
maximi
This Hr
does no
(2) No com
fits, wit
benefit:
normal
expens
(3) No com
will be
mitmei!
Operat
Securit
(c) Engagemer
controls.
(d) In general
ards. Howe
to provide
be carried
(e) Agents wh
the United:
their assoc
tax liabilit
20-35.)
(f) The use of.
will be go
(2) All commitme
Formal Agreer
(a) A Formal
an author
tiated wh
(b) A Memora
ment, sigr
agent. Use
those case
agent's si
(c). An agent
randum d
➡Revised: 23 Februa
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1
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1,
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if
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10
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d
1-
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18
is,
LS,
2-
es
PERSONNEL
b. POLICY
HR 20-54b
(1) Agents cannot claim rights and privileges normally granted to U.S.
Government employees; therefore, they will not be managed in accordance
with normal personnel and administrative standards.
(a) Initial approval of the Counter Intelligence Staff is required before any
commitments are made or any classified information is disclosed to
an agent.
(b) Agents will receive compensation, benefits, and emoluments in amounts
and a manner deemed best by the Operations Directorate to motivate
and control them, subject to the following limitations:
(1) No commitment may be made to an agent to provide gross com-
pensation (basic compensation, additional compensation, fees, etc.)
at a rate which, if projected on an annual basis, would exceed the
maximum rate for a GS-15, without prior approval of the Director.
This limitation applies only to payments made by the Agency. It
does not apply to bona fide cover income.
(2) No commitment may be made to an agent to provide special bene-
fits, without the prior approval of the Director of Personnel. Special
benefits are Agency obligations other than basic compensation,
normal overseas cost of living payments, and travel or operational
expenses.
(3) No commitment may be made to an agent that appointed status
will be offered at the conclusion of his service unless such com-
mitment has been recommended by the Deputy Director for
Operations or his designee, with the concurrence of the Director of
Security, and has been approved by the Director of Personnel.
(c) Engagement of agents will not be subject to Agency personnel ceiling
controls.
(d) In general, agents will not be required to meet Agency medical stand-
ards. However, if an agreement with an agent obligates the Agency
to provide medical or disability benefits, a medical examination will
be carried out, unless precluded by security considerations.
(e) Agents who are U.S. citizens, resident aliens, or foreign nationals in
the United States, must pay Federal tax on all income derived from
their association with the Agency. Procedures for satisfying Federal
tax liability will be determined by the Covert Tax Board. (See HR
20-35.)
(f) The use of retired civilian annuitants of the U.S. Government as agents
will be governed by policy set forth in HR 20-13.
(2) All commitments made or implied to agents will be recorded in either a
Formal Agreement or a Memorandum of Oral Commitment.
(a) A Formal Agreement is a written agreement, signed by the agent and
an authorized Agency representative. Formal Agreements will be nego-
tiated whenever operationally feasible.
(b) A Memorandum of Oral Commitment is a written record of an agree-
ment, signed by an authorized Agency representative but not by the
agent. Use of Memorandums of Oral Commitment will be limited to
those cases when it is in the Agency's best interest not to solicit an
agent's signature on a Formal Agreement.
ឌ ន ៈ ៦៩
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3
→ Revised: 23 February 1973 (733)
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(c) An agent will never be given a copy of the Formal Agreement or Memo-
randum of Oral Commitment.
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HR 20-55
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PERSONNEL
c. RESPONSIBILITIES AND AUTHORITIES
(1) The Deputy Director for Operations is authorized to
(a) formulate procedures for the engagement and management of agents
and to issue operating directives and special instructions, as necessary,
to control the use of agents by headquarters and field units;
(b) execute, amend, renew, and terminate Formal Agreements and Memo-
randums of Oral Commitment with agents; and to review Formal
Agreements and Memorandums of Oral Commitment executed in the
field;
(c) suspend procedures implied in this regulation upon his personal deter-
mination that operational and security aspects of an agent's manage-
ment are so sensitive as to require processing through special channels.
(2) The Director of Personnel is authorized to
(a) approve, after coordinating with affected Agency components, the
commitment to an agent that he will receive special benefits;
(b) approve the commitment to an agent that he will be offered appointed
status at the conclusion of his service, when such commitment has
been recommended by the Deputy Director for Operations or his des-
ignee, with the concurrence of the Director of Security; ·
(c) execute, amend, renew, and terminate Formal Agreements and Memo-
randums of Oral Commitment when requested to do so by the appro-
priate Operations Directorate approving officer. This authority may also
be exercised by the Deputy Director of Personnel and the Special Con-
tracting Officer, Office of Personnel.
(3) All Formal Agreements and Memorandums of Oral Commitment written
under the authority of this paragraph will be subject to legal review by
the General Counsel under such conditions as he may prescribe.
55. PROCUREMENT
INDIVIDUALS
CONTRACTS
FOR THE SERVICES OF
a. POLICY. Procurement contracts whose basic purpose is to obtain the services
of one or more individuals, negotiated with profit and nonprofit institutions,
associations, partnerships, proprietorships, and other organizations, are per-
mitted only when the particular services sought cannot be obtained in any
other practicable way.
b. PROCEDURES
(1) Except as provided in subparagraph b(3) below, all proposals for such
procurement contracts and their renewal must be justified in writing by
the component seeking the services and be submitted to the Director of
Personnel for his approval before commitments are made or negotiations
started. These proposals will describe in some detail the services to be ren-
dered, the qualifications required, the proposed duration of the task, and
the reason or reasons why a procurement contract is judged to be the
best method of acquiring the needed services.
(2) The Direct
personnel a
examine th
sonnel. If t
rector of P
Office of L
tract reque
are written
HR 45-2.
(3) The approv
(a) for pro
dental
reports,
task pe
time (F
(b) for pro
require
testing.
follow-
tion-r
above.
c. RESTRICTIONS
(1) Operating (
through the
erly briefed
Agency infc
Operating (
the relatior.
affects the
curity clear
(2) Technical 1.
procuremen
employer-ei
organization
istrative au
the Agency
cies, private
56-59. Reserved.
130
Revised: 23 February 1973. (733)
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HR 20-55c
(2) The Director of Personnel will ascertain whether any staff or nonstaff
personnel are available to perform the needed services. If not, he will
examine the feasibility of satisfying the requirement by hiring new per-
sonnel. If this latter course of action also proves impracticable, the D1-
rector of Personnel will approve the proposal and return it either to the
Office of Logistics or to the originator for subsequent submission of a con-
tract request to the appropriate procurement unit. Procurement contracts
are written under the authority of the Director of Logistics as stated in
HR 45-2.
(3) The approval of the Director of Personnel is not required
(a) for procurement contracts involving the services of individuals incl-
dental to research and development or the preparation of studies or
reports, where the fee reflects an end product (a report written, a
task performed, etc.) rather than a computation based mainly on
time (per hour, per man year);
་
(b) for procurement contracts involving the purchase of equipment which
requires the services of experts or technicians in delivery, installation,
testing, initial operation or maintenance, training, etc. However, any
follow-on contract for services only-such as maintenance or opera-
tion requires the Director of Personnel's prior approval as set forth
above.
c. RESTRICTIONS
(1) Operating Officials are responsible for monitoring all personnel acquired
through these procedures. They will ensure that such personnel are prop-
erly briefed and thoroughly understand any limitations on their access to
Agency information and buildings and other pertinent security restrictions.
Operating Officials are required to advise appropriate offices at any time
the relationship or use of such individuals is subject to a change. which
affects the terms of their contractual arrangements, their status, or se-
curity clearances.
(2) Technical representatives and other types of personnel engaged under
procurement contracts or other agreements which do not create a direct
employer-employee relationship are prohibited by law from holding formal
organizational positions or positions requiring the exercise of any admin-
istrative authority. They are also prohibited from formally representing
the Agency in meetings with representatives of other Government agen-
cies, private industry, or foreign governments or industries.
56-59. Reserved.
Revised: 23 February 1973 (733)
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DOI 50-10
DDO INSTRUCTION
NO. 50-10
OPERATIONS-GENERAL
4 September 1973
RESTRICTIONS ON OPERATIONAL USE OF CERTAIN
CATEGORIES OF INDIVIDUALS
Rescission: CSI 50-10, 13 July 1970
1. GENERAL
a. Elemental in the conduct of clandestine operations is the use of human
agents to accomplish the missions of the Operations Directorate. In gen-
eral, it is DDO policy to select agent assets with primary regard to the
agents' abilities, target access, and security, and with few restrictions as
to their origins, professions or status as members of particular groups. The
basic rule is that any consenting adult may be used by the Operations
Directorate. There are, however, certain sensitive categories of individuals
or groups whose operational use by the Operations Directorate is prohibited
or in some way restricted for reasons not necessarily related to security.
considerations.
b. These prohibitions or restrictions stem from one of the following:
(1) The Agency has been directed by U.S. Governmental authority to
restrict or avoid the operational use of a particular category of in-
dividuals.
(2) The Agency has entered into a special restrictive agreement with an
organization, government, corporation, or official responsible for a
category of individuals.
(3) The Director or the Deputy Director for Operations has imposed
restrictions on the operational use of a certain category of individuals
due to the extreme risk or sensitivity of such exploitation.
2. PURPOSE
The purpose of this instruction is to set forth the prohibitions and policy
restrictions (as distinguished from security restrictions) which currently per-
tain to the operational use of various categories of individuals, together with
the special approval procedures to be followed in certain cases. Where ap-
propriate, reference has been made to another publication which provides
more detailed guidance than has been attempted in this instruction. The
special approval procedures set forth in this instruction do not supersede or
alter in any way the requirements for covert approvals contained in DOI
and DOI-F 10-5. (attached)
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3. DEFINITIONS
Within the context of this instruction, the definitions listed below will apply.
Special note must be taken of the fact that the key term “operational use"
employed throughout this instruction has been defined in the most succinct
manner consistent with clarity. It has not been feasible, however, to cover in
a definition the entire scope of possible variations in operational circumstances
which may be encountered in DDO activities. The definition of “operational
use" is intended to provide guidance for the majority of cases, and must be
employed with responsible operational judgment. Issues involving a deter-
mination of “operational use” which cannot be resolved with reasonable as-
surance by the responsible operating components will be referred to the
Deputy Director for Operations for decision.
a. Operational Use
Operational use is interpreted to mean the recruitment, utilization, or train-
ing of any individual or group for DDO purposes on either a witting or
unwitting basis by or on the behalf of an element of the Operations Direc-
torate. Utilization is made of an individual or group whenever that in-
dividual or group, responding to the direction or solicitation of a DDO.
element, provides information, performs services, provides cover, or supplies
financial, material, or other support necessary for the accomplishment of
DDO operational objectives either directly or indirectly, to or for an ele-
ment of the Operations Directorate.
b. DDO Element
Any person or group who or which is responsible to, owned or controlled
either directly or indirectly by the Operations Directorate. Included under
this definition are employees or members of Agency proprietary mech-
anisms.
c. Operational Contact
Any association having as its purpose the initiation or furtherance of DDO
operations.
4. RESTRICTIONS ON OPERATIONAL USE
a. Restrictions on the operational use of individuals or groups are of four types
and cover twenty five separate categories as outlined below and as described
in greater detail in paragraphs 5 through 8 of this instruction:
(1) Operational Use is Prohibited (see paragraph 5):
(a) Members and trainees of ACTION;
(b) Fulbright grantees;
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(c) Officials or employees of the International Association for Cultural
Freedom;
(d) Officials, employees, or grantees of the Ford, Rockefeller and
Carnegie Foundations;
(e) Employees of U.S. private detective investigative agencies.
(2) Operational Use Requires Special Extra-Agency Concurrence (see
paragraph 6): AND APPROVAL OF SA/ADDO,
(a) Employees of other U.S. Government agencies;
(b) DDO agents or assets in the United States;
(c) Agents and human sources of foreign intelligence registered by
other U.S. agencies;
(d) Citizens (or persons documented as citizens) of Australia, Canada,
the United Kingdom (including its overseas dependent territories)
and New Zealand;
(e) Citizens of Norway, West Germany and The Netherlands;
(f) Merchant seamen on ships of certain countries.
(3) Operational Use Requires Special Approval by the DDO (see para-
graph 7):
(a) Publishers, producers, journalists or employees of public infor-
mation media;
(b) CARE employees;
(c) Individuals engaged in public relations activities;
(d) Official, representatives, or employees of Communist countries.
in the United States;
(e) Foreign delegates or employees of the United Nations assigned
in the U.S. and U.S. citizen delegates or employees wherever
assigned;
(f) Staff members or officials of Red Cross societies;
(g) Officials of the Vatican State;
(h) U.S. Government-funded professors, lecturers, students or grantees;
(i) Members of educational or private voluntary organizations;
(j) Officials or employees of the African-American Institute;
(k) Volunteers to America.
(4) Operational Use Requires Approval by Chief of Area Division (see
paragraph 8):
(a) Citizens or alien residents of the U.S. in denied areas;
(b) Non-U.S. citizen delegates or employees of United Nations or
ganizations not assigned in the U.S.;
(c) Members of the academic community.
b. Operational use of an individual who comes under more than one type of
restriction will be controlled by the highest type of restriction applicable
in his particular case.
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5. OPERATIONAL USE PROHIBITED
a. Members and Trainees of ACTION
(1) It is Agency policy that members and trainees of ACTION will not be
used in any capacity, with or without remuneration, by the Agency
or by organizations under its jurisdiction. (The term “members of AC-
TION" will be understood to mean anyone employed by or associated
with ACTION except trainees.)
(2) It is Agency policy that former members of ACTION may be em-
ployed or used by the Agency or by organizations under its jurisdiction
only in accordance with the following:
(a) Except as stated in (b) below, a former member of ACTION
may be employed or used operationally by any element of the
Agency only if a period of five full years has elapsed since his
separation from ACTION.
(b) An Agency-controlled organization may hire a former member of
ACTION, but only for duties related to the overt purposes of such
organization, if a period of at least twenty-four months has elapsed
since his separation from ACTION.
(c) The employment or use of a former member of ACTION under
the provisions of subparagraph (a) or (b) above must have the
specific prior approval of the Deputy Director for Operations.
(3) Former trainees whose ACTION service included duty or training over-
seas are subject to the rules governing employment or use of former
members of ACTION (subparagraph (2) above). Former trainees who
did not serve at any time as members of ACTION and whose ACTION
service did not include duty or training overseas may be employed or
used operationally by DDO elements provided the specific prior ap-
proval of the Deputy Director for Operations is obtained.
(4) A former member or trainee of ACTION whose employment or use
is permitted by subparagraph (2) or (3) above may not be assigned
to or used in a country for which he had been trained or to which
he had been assigned while with ACTION.
(5) Information may be received by the Domestic Collection Division
from private corporations and other organizations employing former
ACTION personnel, notwithstanding the fact that the information may
originate with former ACTION personnel. However, any direct brief-
ing or debriefing of or contact with former members or trainees of
ACTION is subject to the following:
(a) The specific prior approval of the Deputy Director for Operations.
must be obtained.
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(b) If the individual is a former member of ACTION, or a former
trainee whose ACTION service included duty or training over-
seas, five years must have elapsed since his separation from
ACTION.
If contact with a former ACTION member or a former trainee whose
ACTION service included duty or training overseas should be un-
avoidable during the required five year waiting period, the Deputy
Director for Operations may request an exception from the Director
of Central Intelligence. Among the possible reasons for such unavoid-
able contact would be the designation of a former member or trainee
as the liaison officer to the Domestic Collection Division.
b. Fulbright Grantees
DDO policy prohibits the operational use of individuals who are receiving
` U.S. Government support under certain provisions (see below) of the
Mutual Educational and Cultural Exchange Act of 1961, as amended,
commonly known as the Fulbright-Hays Act. Falling under this prohibi-
tion are teachers, research scholars, lecturers and students (including stu-
dent artists and student musicians) who have been selected to receive
scholarships or grants by the Board of Foreign Scholarships appointed
by the President of the United States. Operational use of such individuals
is prohibited only during the period when they are participating in the
educational and cultural exchange program. This prohibition specifically
does not apply to the several other categories of grantees supported by
other provisions of the Fulbright-Hays Act such as artists, athletes, leaders,
specialists or participants at international trade fairs or expositions who
do not come under the aegis of the President's Board of Foreign Scholar-
ships (see 7.j., below)..
c. Officials or Employees of the International Association for Cultural Freedom
DDO policy prohibits the operational use of the officials or employees
of the International Association for Cultural Freedom. Contacts with such
individuals which DDO officers are obliged to make in their cover ca-
pacities must be limited to their cover assignments.
d. Officials, Employees, or Grantees of the Ford, Rockefeller and Carnegie
Foundations
DDO policy prohibits the operational use of grantees of the Ford Founda-
tion, the Rockefeller Foundation or the Carnegie Foundation or of other
persons actively participating in programs which are wholly sponsored
and controlled by any of these foundations. Additionally, there will be
no operational use made of the officials or employees of these organiza-
tions. In general, however, there is no restriction on nonoperational con-
tacts or consultations with such individuals.
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e. Employees of U.S. Private Detective Investigative Agencies
DDO policy prohibits the operational use either in the United States
or overseas of the employees of any U.S.-owned or -controlled private
detective investigative agency. This policy does not apply to operational
use of employees of organizations which are engaged strictly in commercial
or credit investigations.
6. EXTRA-AGENCY CONCURRENCE REQUIRED
a. Employees of Other U.S. Government Agencies
Approval for the operational use of staff or contract (including foreign)
employees of other U.S. Government agencies will be granted only in
cases where the employee's parent agency in Washington has been notified
of and has approved of the intended operational use in accordance with
the provisions of DOI 10-5.
. b. DDO Agents or Assets in the United States
In accordance with the agreement existing between the Federal Bureau
of Investigation and this Agency, the restrictions listed below apply to
the operational activity of the Operations Directorate conducted in the
United States. Coordination with the FBI of appropriate information on
DDO operational activities in the United States is the responsibility of
the Chief, Liaison Group, Operations Staff.
+
(1) All investigations by this Agency of foreign officials in the United
"States require the prior concurrence of the FBI. In this context, the
term "investigation" means systematic and direct inquiries or pro-
cedures (such as physical or technical surveillances or neighborhood
inquiries) aimed at developing information concerning an individual's
activities or background; "investigation" does not include the ac-
ceptance or the development of information through social contacts
or contacts normally made by Agency officials in discharging their
cover functions.
(2) Any approach in the United States by a DDO element for recruit-
ment of any foreign official or of any visitor from a Communist country
requires the prior concurrence of the FBI.
(3) Any planned meeting in the United States for assessment and social
development between a DDO element and a foreign official of known
or presumed interest to the FBI or between a DDO element and an
official or visitor from a Communist country requires that prior noti-
fication be provided to the FBI.
(4) Whenever domestic DDO operations involve matters pertaining to
the national security of the United States, appropriate identification
of persons engaged in the operations in the United States will be
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provided to the FBI. In accordance with this policy, the following
categories of DDO assets will be identified to the FBI: DDO per-
sonnel, agents of the Operations Directorate who are either U.S. citizens
or alien residents, and foreign agents of the Operations Directorate
recruited abroad who come to the United States for operational
purposes.
c. Agents and Human Sources of Foreign Intelligence Registered by Other
U.S. Agencies
The Interagency Source Register (ISR) has been established at head-
quarters to provide for United States Intelligence Board (USIB) agencies
a centralized record of agents and human sources of foreign intelligence.
A principal purpose of the ISR is to register primacy of interest and
prevent multiple recruitment or unintentional duplicate operational use
of such agents and human sources. It is USIB policy that no individual
registered in the ISR by one USIB agency will be used for operational pur-
poses by any other USIB agency without the specific prior approval of the
agency having primacy of interest. If a DDO element desires to arrange the
transfer or joint operational use of a registered individual, the ISR will con-
tact the agency having primacy of interest to determine whether there is a
willingness to discuss this matter.
d. Citizens (or Persons Documented as Citizens) of Australia, Canada, the
United Kingdom (including its Overseas Dependent Territories) and
New Zealand
(1) The operational use of citizens of the above-named countries (includ-
ing the overseas dependencies of the United Kingdom) is restricted
by agreements with the intelligence or security authorities of such
countries, which require the prior approval of the appropriate liaison
authority. Such approval will be obtained at the earliest feasible stage ·
of development through the European Division (in the case of citizens
of Canada or the United Kingdom), or through the East Asia Division
(in the case of Australian or New Zealand citizens).¨¨
(2) The above restriction also governs the use of false documentation
representing DDO staff or agent personnel as citizens of the above-
named countries. Approval for the use of such documentation will
be sought through the same channels as stated in subparagraph (1)
above.
(3) Authority to make operational use of the persons or documentation
described in the above subparagraphs without obtaining the prior
approval of the liaison authority concerned may be granted only
by the Deputy Director for Operations or by the Director.
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e. Citizens of Norway, West Germany and The Netherlands
The operational use of any citizen of Norway, West Germany or The
Netherlands is, under certain conditions, contingent on prior approval
of the national intelligence service concerned. These countries are par-
ticularly sensitive in cases involving the operational use of their citizens
who are merchant seamen and who are serving on ships carrying their
flags. Each case involving the proposed operational use of a citizen of
one of these countries will be reviewed by the Chief of the European
Division in the light of the agreements existing between this Agency and
the national intelligence service concerned. After weighing all of the
equities, the Chief of the European Division will decide whether approval
is required from the national intelligence service concerned. When re-
quired, approvals for the operational use of such individuals will be
obtained from the appropriate national intelligence services by the Euro-
pean Division.
f. Merchant Seamen on Ships of Certain Countries
The operational use of merchant seamen, regardless of their citizenship,
who are serving on ships carrying the flags of Australia, Canada, the
United Kingdom (or its overseas dependencies), New Zealand, Norway,
West Germany or The Netherlands is, under certain conditions, subject
to provisions of the agreements existing between this Agency and the
national intelligence service concerned. Each case involving the proposed.
operational use of such a merchant seaman will be reviewed by the Chief
of the European Division or the Chief of the East Asia Division, as ap-
propriate, in the light of the pertinent interservice agreements. After
weighing all of the equities, the Chief of the European Division or the
Chief of the East Asia Division will determine the course of action to
be taken with regard to the national intelligence service concerned.
7. APPROVAL BY THE DDO REQUIRED
Approval by the Deputy Director for Operations for the operational use
of
any individual who falls into one of the categories described in this para-
graph will be requested by memorandum. The individual's covert approval
status will be described in the memorandum to the Deputy Director for
Operations, together with a concise explanation of the intended operational
use. (In connection with this paragraph, contacts by the Domestic Collection
Division with individuals or firms do not require approval by the Deputy
Director for Operations provided they constitute merely briefing or de-
briefing for the purpose of obtaining information acquired by an individual
or representative of a firm in the course of his normal activities. If, however,
in any case the contact is on behalf of another element of the Operations
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Directorate or another agency; or if an individual or firm will be requested
to perform an operational task or to deviate from his or its normal pattern
of activity; or if the activity, even though consistent with the individual's
or firm's normal pattern of activity, will take place because requested or
funded by the Domestic Collection Division; that case will be subject to
the requirement for approval by the Deputy Director for Operations.)
a. Publishers, Producers, Journalists, or Employees of Public Information
Media (see DOI 240-6)
(1) Operational use of publishers or producers of public information media
requires prior approval by the Deputy Director for Operations whenever
there is danger that such activity might serve in any way to influence
U.S. public opinion. Such activities include but are not limited to the
publishing of books, newspapers, or magazines, the making of films,
the production of TV or radio programs or the issuance in the United
States of any public opinion influencing information media. The op-
erational use abroad of publishers or producers of public information
media for non-U.S. audiences does not require approval by the Deputy
Director for Operations even though such activities may have some
unintended and unsolicited fallout in the United States.
(2) Approval by the Deputy Director for Operations is also required prior
to the operational use of journalists, newspaper, TV, radio, or news
service correspondents or stringers, and employees of news media
including TV and radio stations, whenever the individual is a U.S.
citizen or when the news medium involved is under U.S. ownership
or control.
b. CARE Employees
It is DDO policy to avoid operational use of employees of the CARE
organization including indigenous employees. Exceptional individual cases
involving priority operational objectives will be considered on their merits.
Prior approval by the Deputy Director for Operations will be required
in all cases.
c. Individuals Engaged in Public Relations Activities (see DOI 50-18)
Individuals engaged in public relations activities which in any way have
or seek to have an influence on public opinions in the United States are
considered to be in a separate sensitive category. In view of the peculiar
aspects of public relations activity, including the special requirements of
the Foreign Agents Registration Act, approval by the Deputy Director
for Operations is required prior to the operational use in a public relations
capacity of any individual who is engaged in public relations activities
I and who is located in or operating into the United States.
9.
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d. Officials, Representatives, or Employees of Communist Countries in the
United States (see DOI 60-11)
Prior approval of the Director or the Deputy Director for Operations is
required for operational contact in the United States with or operational
use of officials, representatives, or employees of the USSR, its satellite
countries, Communist China, or any other country under Communist
control. If, while in the United States, such individual is to be investigated,
approached for recruitment, or contacted for operational purposes, the prior
concurrence of the FBI will also be required in accordance with para-
graph 6.b., above.
NATIONS
e. Delegates or Employees of the United States
It is DDO policy that the operational use of delegates or employees of
the United Nations, including those of its various main organs and of
its related intergovernmental agencies, is of such sensitivity as to require
special consideration by the Deputy Director for Operations. In especially
worthwhile cases wherein operational use of a particular UN individual
is deemed essential for the accomplishment of the DDO mission, approval
may be obtained. In each case involving a non-U.S. citizen assigned in
the U.S. or a U.S. citizen wherever assigned, the prior approval of the
Deputy Director for Operations will be required. (See paragraph 8.b.
regarding use of non-U.S. citizen delegates or employees not assigned
in the U.S.) If, while in the United States, the UN individual is to be
investigated, approached for recruitment, or contacted for operational pur-
poses, the prior concurrence of the FBI may also be required as outlined
in paragraph 6.b., above.
f. Staff Members or Officials of Red Cross Societies
The operational use of staff members or officials of the International Red
· Cross or its affiliated national Red Cross, Red Crescent, or other equivalent
societies requires special consideration and prior approval by the Deputy
Director for Operations. DDO elements should make every effort to avoid
the operational use of staff members or officials of Red Cross societies. How-
ever, when especially high priority objectives are at stake and alternative
agent assets are not available, approval for the use of such individuals may
be granted by the Deputy Director for Operations.
g. Officials of the Vatican State
Operational contact with officials of the Vatican State will be made only
with the prior approval of the Deputy Director for Operations. Operational
use of Vatican officials will be contingent on prior approval by the Deputy
Director for Operations.
h. U.S. Government Funded Professors, Lecturers, Students or Grantees
U.S. or foreign professors, lecturers or students and other persons partici-
pating in U.S. Government-sponsored academic, cultural, athletic or other
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exchange programs (except certain Fulbright grantees—see paragraph 5.b.,
above) are considered to be in a separate sensitive category. Operational
use of such individuals while they are actively participating in an exchange
program funded by the U.S. Government requires special consideration
and approval by the Deputy Director for Operations prior to such use. In
certain especially worthwhile cases wherein the operational use of a par-
ticular U.S.. Government supported exchangee is considered essential to
the accomplishment of the DDO mission, the Deputy Director for Opera-
tions may grant approval. Memoranda requesting such approval will be
forwarded through the Chief, Foreign Resources Division. In such cases the
Deputy Director for Operations will determine whether or not to seek the
concurrence of the U.S. Government sponsor.
i. Members of Educational or Private Voluntary Organizations
(1) It is U.S. Government policy that no federal agency shall provide any
covert financial assistance or support, direct or indirect, to any of the
nation's educational or private voluntary organizations. This policy
applies to all foreign as well as domestic activities of such organiza-
tions. In compliance with the above proscription, DDO policy requires
the most careful scrutiny of all cases involving operational contact with
U.S. educational or private voluntary organizations including trade and
professional organizations. The operational use of any employee, staff
member or official of such an organization requires prior approval by
the Deputy Director for Operations. The Deputy Director for Opera-
tions will determine whether or not to seek extra-Agency approval for
the conduct of such operations.
(2) Operational use including covert funding abroad of foreign-based
international voluntary organizations and the personnel thereof is per-
mitted even if the organization is also funded by U.S. private voluntary
organizations.
j. Officials or Employees of the African-American Institute
Operational use of the officials or employees of the African-American
Institute requires prior approval of the Deputy Director for Operations.
Contacts with such individuals which DDO officers are obliged to make in
their cover capacities will not involve operational matters until the approval
of the Deputy Director for Operations has been secured.
k. Volunteers to America
Operational use of or operational contact with members of Volunteers to
America while they are on assignment in the United States will not be
made without the prior approval of the Deputy Director for Operations.
Volunteers to America are participants in programs established by various
foreign countries in collaboration with the Department of State as a
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counterpart to the U.S. Peace Corps. Such volunteers are sent to the U.S.
for a period of service in schools and community development programs.
The name of the organization may vary by country.
8. OPERATIONAL USE REQUIRES APPROVAL BY CHIEF OF AREA
DIVISION
Operational use of any individual in the categories listed in this paragraph
is considered of such sensitivity as to require special consideration and ap-
proval by the appropriate Area Division Chief. This authority may not be
delegated. The request for approval will be by memorandum in which the
individual's covert approval status will be described, together with a concise
explanation of the intended operational use.
a. Citizens or Alien Residents of the U.S. Used in Denied Areas (see
DOI 50-19)
The operational use in denied areas of U.S. citizens, or of aliens who have
been admitted for permanent residence or have resided for a prolonged
period in the U.S., requires the prior approval of the Chief of the Area
Division under whose jurisdiction the intended use is to take place.
b. Non-U.S. Citizen Delegates or Employees of the United Nations not As-
signed in the U.S.
The operational use of non-U.S. citizen delegates or employees of the
United Nations who are not assigned in the U.S. requires the prior ap-
proval of the Chief of the Area Division under whose jurisdiction the in-
tended use is to take place.
c.. Members of the Academic Community
(1) Within the context of this instruction a member of the academic com-
munity is defined as: any student, faculty member, administrative
officer or staff official of a college, university or similar institution of
higher learning including their associated research centers. Persons
associated with institutions such as police or military training centers
(except the four college-level military service academies) or under-
going specialized technical training with business or commercial firms
are not considered to be members of the academic community.
(2) Operational use of members of the academic community, especially
those cases wherein an individual is to be made witting of Agency
interest, will be on a highly selective basis. Each case will be examined
to ascertain its essentiality to the DDO mission in terms of the price
of possible disclosure, and to ensure that proper security procedures
can be observed. When it has been determined that the operational
use of a member of the academic community as defined above is
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operationally feasible and without suitable alternative, prior approval
in the following cases will be obtained as indicated below:
(a) Any U.S. citizen who is a member of the academic community
and who is associated in any way with any U.S. or foreign college,
university or similar institution of higher learning;
(b) Any non-U.S. citizen who is a member of the academic community
and who is associated in any way with any U.S.-owned or U.S.-
affiliated college, university or similar institution of higher learn DDO
ing which is located either in the United States or abroad.
c. Opfernal
If the individual is located in the United States, approval will be re-
quested by memorandum to the Chief, Foreign Resources Division.
The memorandum will include a statement that the individual is, or
is not, a DCD asset or contact, and in the event he is will include
the concurrence of the Chief, Domestic Collection Division. If the in-
dividual is located outside the United States, approval will be requested
by memorandum to the Chief of the Area Division who has jurisdiction
over the area concerned. Operational use of foreign members of the
academic community who are not associated in any way with U.S.-
owned or U.S.-affiliated institutions of higher learning is also con-
sidered sensitive. The operational use of such individuals also requires
the approval of the Chief of the Area Division. In any case involving
a well known person or having special security implications, the
Division Chief to whom the request is referred under the above pro-
visions will consult with the DDO and obtain the latter's approval.
(3) The provisions of paragraph (2) do not apply to Domestic Collection
Division contacts with members of the academic community, but such
contacts are subject to the following requirements:
(a) If a member of the academic community would be asked to per-
form an operational task or to alter his normal pattern of activity
in order to serve Agency purposes, prior approval of the Chief,
Domestic Collection Division is required. Additionally, if such an
individual will be in a foreign area, the concurrence of the Chief
of the Area Division concerned will be obtained.
(b) Prior concurrence will be obtained from the appropriate Area
Division Chief if an individual is to be utilized in a politically
sensitive area where his presence or activities could potentially
embarrass the interests of the U.S. Government.
(c) The requirements of paragraph 8.a. apply if a citizen or alien
resident of the United States would be used in a denied area.
(4) At the end of each calendar year, Chiefs of Divisions will submit a
report to the Deputy Director for Operations (via Chief, Foreign
Resources Division) on the number of individuals recruited from the
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academic community during that year. This audit will permit the DDO *
to keep abreast of major quantitative changes in the number of po-
tentially sensitive operational cases in each Division.
(5) It should be noted that the provisions of this paragraph do not apply
to DDO employees who wish to study or teach privately. Approval for
such activity will be obtained in accordance with the provisions of
HR 10-7.
9. INDIVIDUAL CHANGES OF STATUS OR CATEGORY
When an individual undergoes a change of status which places him in one of
the restricted categories described above, or transfers him from one category
to another, his operational use or continued operational use is contingent upon
approval or reapproval as prescribed for his new status.
10. INTERPRETATION OR MODIFICATION OF RESTRICTIONS
Certain of the policy restrictions described in this instruction are subject to
interpretation, extension or modification by the Deputy Director for Opera-
tions depending on the conditions and the atmosphere for DDO operations
at any particular time. Especially when dealing on the edges of policy rulings
and within the guidelines set forth herein, particular heed should be paid to
the price of disclosure, including careful consideration of the sensitivities of
the individuals involved. When there is any doubt concerning the application
of these restrictions, guidance should be obtained from the Deputy Director
for Operations.
William E. Nelson
Deputy Director for Operations
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CLANDESTINE SERVICES
INSTRUCTION NO. 10-5
SECRET
CSI NO. 10-5
SECURITY
Revised 17 July 1958
COVERT APPROVALS AND RELATED MATTERS
Reference: CSI-F No. 10-5, 17 July 1958
Rescission: CSI No. 10-5, 31 January 1955
PURPOSE
GENERAL.
CONTENTS
Page
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INVESTIGATIONS.
OPERATIONAL APPROVALS
COVERT SECURITY APPROVALS
AND PROPRIETARY
APPROVALS.
3
EMPLOYEES AND OFFICIALS
OF FOREIGN SERVICES. .
NOTIFICATION OF TERMINA-
TION OR DISCONTINUANCE
OF COVERT SECURITY AP-
PROVALS OR PROPRIETARY
APPROVALS.
Page
.. 5'
COVERT SECURITY APPROVALS
SPECIAL SERVICES
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FOR LIAISON WITH UNITED -
DOUBLE AGENTS.
STATES OFFICIALS
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DEFECTION AND RECRUIT-
MENT IN PLACE
SERVANTS OF AGENCY:
EMPLOYEES
1. PURPOSE
This instruction describes the functions of headquarters components with
regard to covert approvals and related matters which are the subject of
CSI-F No. 10-5.
2. GENERAL
a. The Chief, Counter Intelligence Staff, is delegated authority to act for the
Deputy Director (Plans) in the exercise of all functions which are the lat-
ter's responsibility with regard to the granting of Operational Approvals
and Provisional Operational Approvals..
b. The Director of Security has designated the Deputy Director for Investiga-
tions and Operational Support, Office of Security, to represent him in dis-
charging the functions which are reserved to him with regard to the granting
of Covert Security Approvals, Provisional Covert Security Approvals,
Proprietary Approvals, and Provisional Proprietary Approvals.
c. It is the basic intent of both components that sensitive operational data
shall remain within the custody and knowledge of the Clandestine Services,
and that sensitive security investigative data shall remain in the custody
´and knowledge of the Office of Security. It is recognized, however, that
such data may be necessary for proper performance by either component
and, consequently, where necessary, it shall be made available or shall be
discussed to the extent necessary.
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CLANDESTINE SERVICES
INSTRUCTION NO. 10-5
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CSI NO. 10-5
SECURITY
Revised 17 July 1958
3. INVESTIGATIONS
The function of performing all investigations in the United States in connec-
tion with approval matters, except for the check of certain Agency records,
is reserved to the Office of Security.
4. OPERATIONAL APPROVALS
a. The assembly and analysis of all file material (including the files of the
Records Integration Division) in the Clandestine Services will be accom-
plished by professional personnel of the interested operating divisions
under the technical supervision of the Counter Intelligence Staff and sub-
ject to spot check by the Counter Intelligence Staff. Certification will be
made in each case by a responsible official of the requesting division that
the material furnished is complete and accurate.
b. The requesting division will assemble any biographical data; information
of investigative or security significance (such as additional names the
subject may have used); information relating to character, reputation,
politics, or other activities, favorable and unfavorable information or
comments; background information; PRQ Part I or its equivalent (in du-
plicate); and field traces. Any information previously furnished by the
subject concerning himself (such as a personal history statement, records
of activities or employments, memberships in organizations, etc.) will
be furnished verbatim. All pertinent information thus produced--includ-
ing that resulting from technical interrogations, personal observation,
field investigations, etc.--will be furnished to the Counter Intelligence
Staff for necessary transmission to the Office of Security. It is also nec-
essary to forward PRQ Part II to the Counter Intelligence Staff before
an Operational Approval will be issued. The Counter Intelligence Staff
will not forward PRQ Part II to the Office of Security. In rare, compli-
cated, or sensitive cases the Office of Security, in coordination with the
Counter Intelligence Staff, may wish actually to review the material of
the Records Integration Division. A brief practical statement of the scope,
nature, and geographical area of the proposed usage of the subject will
be furnished to the Office of Security along with the other data.
c. The requester should also furnish to the Counter Intelligence Staff for
transmission to the Office of Security any suggestions regarding the in-
vestigation to be conducted and any particular points to be emphasized in
the investigation, such as special skills, abilities, and weaknesses of the
subject. The requester should also indicate what would be the most
plausible type of cover (i. e., general Government or commercial) to be
employed in the conduct of the investigation and whether the subject has
been briefed as to the fact of a pending investigation and, if not, why this
is not feasible.
d. Following appropriate investigation and analysis of a case, the Office of
Security will forward its recommendation to the Counter Intelligence
Staff, with the investigative data enclosed. Upon receipt of this material
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INSTRUCTION NO. 10-5
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Revised 17 July 1958
the Chief, Counter Intelligence Staff, or his designee, will, if the Office of
Security does not recommend against the use of the individual, determine
whether an Operational Approval should be granted and will notify the Of-
fice of Security of its decision. However, in the event the Office of Secu-
rity recommends against the use of an individual and the Clandestine
Services still desires, on a calculated risk basis, to use the individual,
the Counter Intelligence Staff will inform the Office of Security of this
fact. In this event, the Counter Intelligence Staff and the Security Support
Division will endeavor to arrive at an agreed position and, to this end,
the former will hold the granting of the Operational Approval in abeyance
until five days have elapsed after the Office of Security has been advised
of this intention. The Counter Intelligence Staff will notify the Office of
Security whenever it has:
(1) Granted an Operational Approval or a Provisional Operational Approval.
(2) Cancelled an Operational Approval.
e. In Operational Approval cases the Office of Security will forward investi-
gative reports, name check results, etc., to the Counter Intelligence Staff.
In extremely sensitive cases, however, particularly those in which the
security or good of the Agency as a whole is involved, the Office of Secu-
rity will not be obliged to furnish all investigative material. In such cases
the Office of Security will inform the Counter Intelligence Staff that such
material has been withheld and will, upon request, discuss the matter with
the Chief, Counter Intelligence Staff, or other appropriate official of the
Clandestine Services.
f. A Provisional Operational Approval may also be requested where circum-
stances warrant. A search of the indices of the Agency, including those
of the Office of Security, is a minimum requirement for issuance of a Pro-
visional Operational Approval.
g. Whenever interest in an individual under consideration for either an Oper-
ational Approval or a Provisional Operational Approval is terminated for
any reason, the requester, in order to prevent needless processing, will
notify the Counter Intelligence Staff promptly so that the latter may in turn
advise the Office of Security.
5. COVERT SECURITY APPROVALS AND PROPRIETARY APPROVALS
a. All background material will be assembled by the interested divisions and
will include any biographic data; information of an investigative or secu-
rity significance; information-relating to character, reputation, politics,
past employment, residences, and other activities; favorable and unfavor-
able information; PRQ Part I or its equivalent (in duplicate); and field.
traces. This material is forwarded directly to the Office of Security in
its original form. (Traces need not be obtained from the Records Inte-
gration Division; see paragraph 5.b., below.) A brief practical statement
of the scope, nature, and geographical area of use of the subject will also
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SECRET
CLANDESTINE SERVICES
INSTRUCTION NO. 10-5
CSI NO. 10-5
SECURITY
Revised 17 July 1958
be furnished to the Office of Security. The requester should also furnish
to the Office of Security any suggestions regarding the investigation to be
conducted and any particular points to be emphasized in the investigation,
such as, special skills, abilities, and weaknesses of the subject. The re-
quester should also indicate what would be the most plausible type of cover
(1. e., Government or commercial) to be employed in the conduct of the
investigation and whether the subject has been briefed as to the fact of a
pending investigation and, if not, why this is not feasible.
b. In Covert Security Approval or Proprietary Approval cases, the files of the
Records Integration Division will be searched by representatives of the
Office of Security. All files of the Records Integration Division, except
those portions containing specific sensitive operational data, will be made
available to the representatives of the Office of Security. In those in-
stances where a document of interest contains sensitive operational data,
designated professional personnel within the operating division will re-
view that portion of the information and furnish therefrom to the repre-
sentatives of the Office of Security all information of the nature described
in paragraph 5.a., above. The Office of Security will conduct appropriate
investigation in each case and will issue or deny Covert Security Approvals
and Proprietary Approvals, and Provisional Covert Security Approvals and
Provisional Proprietary Approvals.
c. The Office of Security will retain the investigative files in Covert Security
Approval cases or Proprietary Approval cases, but will:
(1) Make available to the Counter Intelligence Staff any significant infor-
3 mation in cases where Covert Security Approvals or Proprietary Ap-
provals are granted.
(2) Immediately call to the attention of the Counter Intelligence Staff any
new evidence in Covert Security Approval or Proprietary Approval
cases that reflects the subject's connection with a foreign government,
the Communist Party, or any front organization of the Communist
Party.
d. Where the Office of Security issues or denies a Covert Security Approval
or a Proprietary Approval, formal notification will be directed to the re-
quester. In the case of disapproval one copy of the security disapproval
will be forwarded to the Counter Intelligence Staff. Where a Covert Se-
curity Approval or Proprietary Approval is denied and the Clandestine
Services still desires to use the subject on a calculated risk basis, the Of-
fice of Security will, upon request, furnish to the Counter Intelligence Staff a
summary of the investigative data. Thereafter, the Counter Intelligence
Staff, the requester, and the Security Support Division will attempt to reach
an agreed position.
e. A Covert Security Approval or a Proprietary Approval may be preceded
by a Provisional Covert Security Approval or a Provisional Proprietary
Approval.
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CLANDESTINE SERVICES
INSTRUCTION NO. 10-5
CSI NO. 10-5
SECURITY
19 September 1963
f. Unless otherwise designated by the Office of Security, investigative data
in either Operational Approval or Covert Security Approval cases involving
aliens may be shown to proper offices of the division and may, if deemed
necessary by the division, be forwarded to the field. The dispatch or cable
in such cases will be coordinated with the Counter Intelligence Staff and
the Office of Security. No investigative data will be transmitted or dis-
closed to other than Agency staff officials without the specific prior ap-
proval of the Office of Security. The need-to-know principle will be applied
strictly in such cases. No investigative data regarding United States cit-
izens will be transmitted to the field without the specific prior approval of
the Counter Intelligence Staff and the Director of Security and subsequent
to such approval without coordination with the Office of Security on the dis-
patch or cable involved.
6. COVERT SECURITY APPROVALS FOR LIAISON WITH UNITED STATES
OFFICIALS
Requests for Covert Security Approvals for Liaison with U. S. officials, wheth-
er such officials are in the United States or abroad, will be transmitted directly
to the Office of Security. Each request shall be specifically indicated as a re-
quest for a Covert Security Approval for Liaison. The request shall be accom-
panied by all available biographic information, to include wherever possible in
cases of civilian employees of United States Government agencies the name,
date and place of birth, the employing agency, and the position and assignment
of the person involved. In cases involving military personnel the minimum bio-
graphic information required shall consist of the name, date and place of birth,
rank and serial number, and the parent service. In each case the details of the
liaison with the individual must be set forth.
7. SERVANTS OF AGENCY EMPLOYEES
Requests to headquarters for appropriate checks on domestic personnel em-
ployed in the homes of Agency employees overseas shall be forwarded by the
requester to the Office of Security accompanied by all available biographical
information and the results of overseas investigations.
8. EMPLOYEES OF OTHER U.S. GOVERNMENT AGENCIES
Proper clearance of staff or contract employees (including indigenous em-
ployees) of other U.S. Government agencies for operational use includes
notification to and approval by the employee's parent agency in Washington.
Requests for clearance will be forwarded to the Chief, Counter Intelligence
Staff, Attention: CI/Liaison. Clearance will not be given until the approval
of the parent agency has been obtained. If, after such approval is obtained,
it is decided that the employee will not be used as requested, or upon termi-
nation of use, CI/Liaison will be notified so that the employee's parent agency
may be advised.
9. EMPLOYEES AND OFFICIALS OF FOREIGN SERVICES.
Requests for searches of the indices of other United States agencies or the
Office of Security, or investigation of employees or officials of foreign
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13-00000
SECRET
CLANDESTINE SERVICES
INSTRUCTION NO. 10-5
CSI NO. 10-5
SECURITY
19 September 1963
intelligence services with whom Agency employees maintain liaison, shall be
forwarded by the requester to the Counter Intelligence Staff for processing to
the Office of Security. Such requests shall be transmitted with complete
results of field traces, all available biographical information, and a state-
ment as to the service which the subject represents.
10. NOTIFICATION OF TERMINATION OR DISCONTINUANCE OF COVERT
SECURITY APPROVALS OR PROPRIETARY APPROVALS
The Office of Security shall be promptly advised by the requester of the dis-
continuance of interest in or termination of employment or use of a person
on whom a Covert Security Approval or Proprietary Approval has been re-
quested or granted.
11. SPECIAL SERVICES
a. Requests for Covert Name Checks and Special Inquiries will be transmitted
to the Office of Security through the Counter Intelligence Staff. Each re-
quest shall indicate the reason for the inquiry, shall specify the exact ac-
tion required, and shall contain all available background and/or biographical
information concerning the subject.
b. In the case of Special Inquiries, the request should also indicate what would
be the most plausible type of cover (i. e., general Government or com-
mercial) to be employed during the inquiry and any other information which
would provide guidance as to the conduct of the investigation.
12. DOUBLE AGENTS
The operational decision authorizing the doubling of an agent of a foreign
power will be coordinated with the Counter Intelligence Staff even though no
Operational Approval or Provisional Operational Approval is required.
13. DEFECTION AND RECRUITMENT IN PLACE
No attempt to defect or recruit in place (a) a member of the Communist Party
or (b) a government official of a denied area country shall be made in the
United States without prior coordination with the Counter Intelligence Staff
which will immediately inform the Director of Security and such other United
States agencies as may be appropriate.
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Richard Helms
Deputy Director (Plans)