104-10439-10113 LoFs re: 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; 2. Hqs Regulations on 20-53 on 20-54 3. DOI 50-10 on 4. DOI (CSI) 10-5 on AGENT, ASSET, SOURCE, COLLABORATOR, WITTING & UNWITTING Management of Nonstaff Personnel 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. 5) One who acts for, or in the place of, another, by authority for him. ASSET: 2) That which is a resource; as, character is an asset. SOURCE: 2) The origin; the first or ultimate cause. 3) A person, book, document, etc. that supplies information. COLLABORATOR:  n. COLLABORATE: 1) To work or act jointly, esp. to share in literary, scientific, or other intellectual production. 2) To cooperate voluntarily as a nation with another or other nations in international political or economic adjustment. 3) 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. WITTING: Done with the knowledge of the doer, or knowingly; not unintentional. UNWITTING: 1) 2) Not knowing; unconscious; unaware. Unintentional.
13-00000 . d v “t ) os. , S-E-C-R-E-T : 4 : “HQ. INSTRUCTION SHEET 733 por, : d s : ‘THR 20 | lil 2/6/73 ii Paragraph 53 is revised i . : 125- | to redefine .pahemeuiiieaat PR ae 7 | 3/9/64 [ORL eAd ELS ARRGde Minor Vey é revisions are made to up- j date the paragraph. | || 128 | 6/16/70 Former paragraph 54, Pro- : . eurement Contracts for the { Services of Individuals, ; is renumbered 55 with no i change in text. t . | New paragraph 54, Agents. OE is added to establish i authorities and responsi- 0 | bilities for the manage- . | jment of agents and to 3/9/64 |Rescinded. a “ “ae : z ae j ‘ Letts ‘Arrows in the page margin’ show the locations of the changes | OF described above. 7 : DISTRIBUTION: AB oP po , . P ,E2 IMPDET _ S-E-C-R-E-T CL BY: 002230:
13-00000 a. a , ©) - CONTENTS—Continued S . Paragraph Title Page j. VOLUNTARY RETIREMENT .......0...0..0 00... eee ee dae 118.10 k. DISCONTINUED SERVICE BENEFITS Lek been eee eeeeee 118.10 1. Not used. m. INVOLUNTARY RETIREMENT ........... 0.0: cc cece eee 118.10 n. MANDATORY RETIREMENT FOR AGE .................. 118.11 o. CONTRIBUTIONS TO THE FUND .................. 0-005. 118.11 ' p. PERIOD OF SERVICE FOR ANNUITIGS ............ ec eae 118.18 q. COMPUTATION OF ANNUITIES .............. 02.0.0 c aan 118.16 r. RECALL OF RETIRED PARTICIPANT ...................5- 118.19 s. REEMPLOYMENT OF RETIRED PARTICIPANT scene ae 118.19 t MONTES .. 0.000 18 ee 118.19 u. LIMITATION ON NUMBER Or RETIREMENTS Lees 118:20 SECTION VIII: MANAGEMENT OF NONSTAFF PERSONNEL $1. - - 52. 53. 54. ; 55. PROCUREMENT CONTRACTS FOR THE SERVICES OF Hen, : . ENIDIVIDUALS 2266 ccc cee teens 130 CS 56-59. Reserved , SECTION IX: RECORDS AND REPORTS 60. PERSONNEL RECORDS AND REPORTS .................... 155 ij “> Figure Title Page (3 : 1 DISTINGUISHED INTELLIGENCE CROSS............0...... 4.1 2.° DISTINGUISHED INTELLIGENCE MEDAL .................. 94.1 3. INTELLIGENCE.STAR ........ tect t eee eee 94.1 4. INTELLIGENCE MEDAL OF MERIT ................0 0000505, $4.1. 4a. CAREER INTELLIGENCE MEDAL ......................000. 94.1 5. EXCEPTIONAL SERVICE MEDALLION ._................5... 94.1 6. ‘RETIREMENT MEDALLION .....0... 00.0 loc ee eee 94.1 4, FORM 600, RECOMMENDATION FOR HONOR OR MERIT a AWARD 2000 cc cence n cee eet ene neteees 95 | 8. Reserved — ‘ 9. ’ OFFICIAL SEAL OF THE CENTRAL INTELLIGENCE AGENCY. 100.2 | 10. AGENCY FLAG .._............. cee eee esc e ee ence eee eeeaneeee 100.2 } iL. - AGENCY PLAQUE Lc eee cae tee eee e tae cere eben ae eeeneee 100.2 42. TABLE OF PERMISSIBLE CHANGES IN ENROLLMENT OF | . _ EMPLOYEES ....... bed cbc b secede eect tteee tees 106 Attachment _ Title Page (( } .. 1, BIOGRAPHIC DATA TO BE SUBMITTED BY AN EMPLOYEE _ “se UNDER COVER ON AN INTENDED SPOUSE .............. 29 2. FORM 3154, SERVICE ABROAD AGREEMENT ............... 52.1 i Revised: 23 February 1973 (733) iii Sone aeaCRRaE pees aimee chm sae nate poneebenena tetany ine wep es _— : me * a i _ — me bes nl
13-00000 2 4 iene renee acme Ps SANA es net et ie ce cor Sa seareenenrmeapen rae ema, PERSONNEL | HR 20-53 p53. 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. re are two c ri of contract personnel: contract employees and independent contractors. (L) 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 1) 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 1 ndividuals 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 d6 ot carry out espionage or covert action tasks. (Care must be taken: to distinguish between independent contractors, defined herein, and 1 agents, defined in HR 20-54.) . POLICY me 8) Contract personnel may be engaged when. , ul (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 {B. 3 , L, cannot meet all requirements for staff employment; Revised: 23 February 1973 (733) . @ ImPbeT 125 _— SECRET | cl By: 002230 |
13-00000 ‘SECRET ‘HR 20-53b(2) | PERSONNEL , Ee r (ce) 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- elfically defined hours; | . oo, (e) the individual’s primary employer or interest is not the Agency and “y Mt he ‘ the services the Agency desires from him are supplementary to his he 7 primary interest or vocation; or ; _" (f) there is a long term requirement for personal services which, for op- oe a4 perational or security reasons, cannot be performed by Agency staff ee ' ‘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 Iimitations imposed by the head of the component concerned. a .(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 Meu 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. ! | 1 foe ; . | : ; (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 i approval and authentication of their contracts. A psychological assess-. : 4 ; ment and psychiatric evaluation of those contract employees in whom |. . Py the Agency may have more than a short-term interest will: be carried , out whenever feasible. : ; @ Independent contractors are normally not required to meet Agency 7 “Gg 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- L, ' logical assessment and psychiatric evaluation, if: necessary. 126 Ss | “Revised: 23 February 1973 ras) | SECRET
13-00000 rit ormers saeetewe me we wwe es ee ty a ee ; ; SECRET 3ONNEL | PERSONNEL HR 20-53c ybligating | [° (j) Contract personnel candidates. whose employment with the Agency { OO cannot be acknowledged must be provided adequate cover and an ap- - engaged | propriate cover legend. This requires that legal entitlements and other ‘ing Spe- : contractual benefits be provided and tax Mabilities 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 ency and the Agency upon retirement, there may be instances in which continua- ry to his ; ‘tion in service under contract after retirement is necessary or clearly in the best interests of the Agency. The use of retired annuitants under 2, for op- - contract is governed by policies specified In HR 20-13. mey staff , (1) Not used. (m) Contracts providing for basic compensation at a rate which, if pro- strictions: ¢  - jected on an annual basis,.would exceed the maximum annual rate ts for in- * for a GS-15, will not be executed without the approval of the Director of Central Intelligence. All such requests will be forwarded through aust have . . the Director of Personnel for his recommendation. yns Direc- | | ¢. RESPONSIBILITIES ivities for | (1) THE DIRECTOR OF PERSONNEL will ities will (a) formulate contract personnel management policies and procedures and — ed by the provide guidance in improving the effectiveness and flexibility of. the i ; _ program within the Agency; atrols and ' (b) monitor contract personnel management to assure consistency among luring the the directorates while giving due regard to. their. differing needs; 2 excluded | (c) provide a repository for sensitive suitability information ‘using . the | , ' guidelines for special files set forth in HR 20-80b(4); However, | ‘(d) approve and authenticate contracts; ecution of |. (e) monitor contract employee ceiling authorizations established by the a contract — Director of Central Intelligence; ons of the . (f) maintain computer-based .records..on contract personnel and ensure’ ; currency and accuracy of input and output data. ned before : (2) THE DIRECTOR. OF SECURITY will ; before any (a) establish standards and procedures. for granting security approvals which meet the Agency’s contract personnel requirements; nployee of | (b) grant security approvals for the use of contract personnel including pproval of their access to classified information and Agency installations; erned and ; (c) ensure currency and adequacy of security approvals by making periodic an reviews and reevaluations; appointed (d) provide a repository for all seeurity information ‘Pertaining to con- juring any ' tract personnel. xe Director (3) THE CHIEF, CENTRAL COVER STAFF will - . (a) provide cover and cover legends for contract personnel whose em-_ rior to the ployment by the Agency cannot be publicly acknowledged; ica) oe hom (b) ensure currency of such cover and cover legends by making periodic he carried reviews and reevaluations; (c) ensure that the methods of providing legal entitlements and con- tractual benefits and satisfying tax Habilities are consistent with | as- set Agency " signed cover and cover legends. y provision y benefits, (4) THE DIRECTOR OF MEDICAL SERVICES will @ psycho- (a) establish standards and procedures for medical and psychiatric evalua-. 4 tions and for psychological assessment of contract personnel; 1973 (733) “sRevised: 23 February 1973 (733) _ ‘aun et SECRET _ Cl -By: 002230 ee
13-00000 a SECRET HR 20-54 7 _ PERSONNEL r (b) make periodic reviews and medical reevaluations of contract personne] 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. (1) 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. 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 - ' gharged against funds under their control. 3 = 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. - ; 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 eoncerning the engagement and the management of agents. GENERAL. Agents are wilting 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 a — Revised: 23 February 1973 (733) ‘SECRET Authority delegated to Chiefs of Station and Base under the provisions of . ” PERSONNEL p. POLICY _with normal pel (a) Initial appri/ ; commitmen: an agent. (b) Agents will = and a many} and controll (i) No com) pensati at a rat maximi This lr; does no - (2) No com fits, wit benefits normal| expens' (3) ‘No com will be- -mitmet' Operat Securit. (ec) Engagemer| controls. (da) 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 Agreet! (a) A Formal | ‘an author! tiated whi . -(b) A Memors| ment, sigt, ‘ (1) Agents cannot : ; &) Government em agent.. vs those cas¢ oo. an _ agents sii! | ( ‘ (e). An agent: randum i ' Revised: 23 Februs:
13-00000 - ns he if. oy 3) nd - gcvlet egarmarae ers ap eaautces id caebhaniesan anes PERSONNEL — L, SECRET HR 20-54b b. POLICY (1) Agents cannot claim rights and ‘privileges normally granted to US. Government employees; therefore, they will not be managed in accordance with normal personnel and administrative standards. (a) (b) Initial approval of the Counter Intelligence Staff is required before any commitments are made or any classified information is disclosed to. an agent. 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 (¢) (a) (e) (2) All commitments made or implied to agents will be recorded in either a 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 oo Security, and has been approved by the Director of Personnel. Engagement of agents will not ‘be subject to Agency personnel celling controls. 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. 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 BR 20-35.) The use of retired civilian annuitants of.the U.S. Government as agents will be governed by policy set forth in HR 20-13. Formal Agreement or a Memorandum of Oral Commitment. (a) (b) (c) 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. 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. An agent will never be given a copy of the Formal Agreement or " Memo- randum of Oral Commitment. _ Revised: 23 February .1973 (733) ag a . SECRET Cl By: 002230
13-00000 HR 20-55 SECRET PERSONNEL ree RESPONSIBILITIES AND AUTHORITIES co The Deputy Director for Operations is authorized to (ce) (2) (3) . 0d) (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 fleld units; 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; 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. (b) 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; © 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; . 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. (e) 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 CONTRACTS FOR THE _ SERVICES OF INDIVIDUALS | 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 {n 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 ‘pefore 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. 130 - “Revised: 23 February 1973. (733) -- SECRET . PERSONNEL (2) - (3) The Direct personnel | examine th) sonnel. If t rector of Py Office of La! tract requey are written! ER 45-2. | The approv; (a) for pro| dental «| reports, task Pel time (F (b) for proj requires testing, ; ‘follow-t tion—ri) above, ¢. RESTRICTIONS ) . @) Operating c through thi erly briefed Agency infc Operating ¢ the relatior affects the curity. clear Technical 1. . procuremen -employer-~e1 organizatia:: istrative au: . the Agency: cles, private 56-59. Reserved. | Revised: 23 Febru!
13-00000 / oe | ggcrer | a) | PERSONNEL | Oo HR 20-55¢ (2) The Director of Personnel will ascertain whether any staff or nonstaff ; personnel are available to perform the needed services. If not, he will oh examine the feasibility of satisfying the requirement by hiring new per- . sonnel, If this latter course of action also proves impracticable, the Di- ‘ 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 - BR 45-2, (3) The approval of the Director of Personnel is not required ’ (a) for procurement contracts involving the services of individuals inci- 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. ce, 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) | Sino 181
13-00000 ’ 8 t ~ Le oe . | DOI 50-10 Sa -- DDO INSTRUCTION - OPERATIONS-GENERAL | : ~ .NO. 50-10 4 September 1973 - = RESTRICTIONS ON OPERATIONAL USE OF CERTAIN’ CATEGORIES OF INDIVIDUALS CP ~ Rescission: CSI 50-10, 13 July 1970 1. GENERAL | a a. Elemental in the conduct of clandestine operations is the use of human mo - --. 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 ~ a 7 .. " + Directorate. There are, however, certain sensitive categories of individuals "-* or groups whose operational use by the Operations Directorate is prohibited a SO "~~ or.in some way restricted for reasons not necessarily related to security oe 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 cy ; s+ organization, government, corporation, or official responsible for a. "scat ' - gategory 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 DO! bee and DOLF 105. catichek) | |
13-00000 ft se SECRET DOI 50-10 DDO INSTRUCTION OPERATIONS-GENERAL NO. 50-10 _ 4 September 1973 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- — -gurance 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. 8 _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|
13-00000 : - POT 50-10 mo PDO INSTRUCTION : OPERATIONS-GENERAL re NO. 50-10 . . 4 September 1973 - (c) Officials or employees of the| | | (d) Officials, employees, or grantees of the | ("i 7 _ (e) Employees of US,| | a (2) Operational Use Requires Special Extra-Agency Concurrence (see paragraph 6): An» AfPtovite oF safADoo., (a) Employees of, other U.S. Government agencies; (b) DDO agents or assets (d) (e) (£) (3) Operational Use Requires Special Approval by the DDO (see para- ‘Se | . graph 7): (b) (c) (4) (e) - (£) (g) a , _(k) _ (4) Operational Use Requires Approval by Chief of Area Division (see paragraph 8): (a) Citizens or alien residents | (b) Non-U.S. citizen delegates or employees] | (c) 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. SECRET -
13-00000 DOI 50-10 DDO INSTRUCTION OPERATIONS-GENERAL ' NO. 50-10 | 4 September 1973 5. OPERATIONAL USE PROHIBITED } : | ' a, Members and (1) It is Agency policy that members and| |will not be used in any capacity, with or without remuneration, by the Agency PO - or by organizations under its jurisdiction. (The term “members of [___| io eo be understood to — anyone employed by or associated (2) It is Agency policy that former members of 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 may be employed or used operationally by any elemént of the Agency only if a period of five full years has elapsed since his separation from (b) .An Agency-controlled organization may hire a former member of. " [-_____} but only for duties related to the overt-purposes of such mK. organization, if a period of at least twenty-four months has elapsed me ) a since his separation from , a (c) The employment or.use of a former member of | under wo the provisions of subparagraph (a) or (b) above must have the specific prior approval of the Deputy Director for Operations. | a . (3) Former |service included duty on over- seas are subject to the rules governing employment or use of former members of { subparagraph (2) above). Former who did not serve at any time as members of and whose , 0 ) service did not include duty or 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 | whose employment or use oo . ‘is. permitted by subparagraph (2) or (3) above may not be assigned . ) of _to or used in a country for which he had been trained or to which . ' he had been assigned while with (5) Information may be received by the Domestic Collection Division from private corporations and other organizations employing former personnel, notwithstanding the fact that the information may originate with former personnel. However, any direct brief- ing -or debriefing of or contact with former members oF trainees of is subject to the following: (a) The specific prior approval of the Deputy Director for Operations must be obtained. 4 SECRET
13-00000 S re a DOI 50-10 ’ . . DDO INSTRUCTION 7 OPERATIONS-GENERAL NO. 50-10 an 4 September 1973 (b) If the individual is a former member of[ _| or a former | | service included. duty or training over- seas, five years must have elapsed since his separation from © 7, _I€ contact with a former | member or a former - | 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-_ C _ able contact would be the designation of a former member or as the liaison officer to the Domestic Collection Division. b. DDO policy prohibits the operational use of individuals who are receiving under certain. provisions (see. below) of the — | as. amended, commonly known as the| | Falling under this prohibi- tion are| i © SY “who have been selected to receive eal | 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 | program. This prohibition specifically ~ does not apply to the several other categories of supported by other provisions of the! Isuch as| ee ____ | who . do not come under the aegis of the] “ ot .(see 7.j., below).. , ; ce. Officials or Employees of the DDO policy prohibits the operational use of the officials or employees: . _of the| Contacts with such © So 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 | DDO policy prohibits the operational use of grantees of the | or of other persons actively participating in programs which are wholly sponsored: and .controlled by any of these [__] Additionally, there will be _ho 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. .
13-00000 te . @ Employees of US. | -b. DDO Agents or Assets in the operational activity of the Operations Directorate conducted in DDO policy prohibits the operational use either in the United States DOI 50-10 DDO INSTRUCTION. _ OPERATIONS-GENERAL NO. 50-10 ; 4 September 1973 | - or overseas of the employees of any U.S.-owned or -controlled | | This policy does not apply to operational use of employees of organizations which are engaged strictly in commercial or | 6. EXTRA-AGENCY CONCURRENCE REQUIRED a. Employees of Other U.S. Government Agencies Approval for the operational use of staff or contract: 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. with the agreement existing between the and .this. Agency, the restrictions listed below apply to ‘Coordination with of appropriate information on DDO operational activities in is the responsibility of the Chief; Liaison Group, Operations Staff. ' ) All investigations by this Agency of | require the-prior concurrence of[ _| 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| requires the prior concurrence of| | (3) Any planned meeting in the United States for assessment and social development between a of known or presumed interest to. or between al requires that prior noti- fication be provided to (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 6
13-00000 t ' f : ; . ~™ ( a , DOL 50-10 ae DDO INSTRUCTION OPERATIONS-GENERAL 7 NO. 50-10 . — 4 September 1973 provided to In accordance with this policy, the following categories of DDO assets will be identified to eA and Human Sources of Foreign Intelligence| | oF i: has been established at head- C : quarters to provide for United States Intelligence Board (USIB) agencies oo "a centralized record of ‘A principal purpose o e@ is to register primacy of interest and _ prevent multiple | | It is USIB policy that no individual registered in thd [by one USIB agency will be used for operational pur- poses by any without the specific-prior approval of the. If a DDO element desires to arrange the — Cc; \ , | will con- an + tact the to determine whether there is a willingness to discuss this matter. d. Citizens (or Persons Documented as Citizens) ofl oO | ; (1) The operational use of citizens of the above-named | C . L, So is restricted. "by agreements with the | which require the prior approval of the appropriate = authority. Such approval will be obtained at the earliest feasible stage - of development through thel ' (2) The above restriction also governs the use of | representing DDO staff or agent personnel as | Approval for the use of. suc | will , be sought through the same channels as stated in subparagraph (1) above. . (3) Authority to make operational use of the persons or | described in the above subparagraphs without obtaining the prior approval of the authority concerned may be granted only ‘by the Deputy Director for Operations or by the Director.
13-00000 aan oY ‘SECRET DOI 50-10. DDO INSTRUCTION | _ OPERATIONS-GENERAL NO. 50-10 4 September 1973 The operational use of any is, under certain conditions, contingent on prior approval of the national intelligence service concerned. These are par- ticularly sensitive in cases involving the operational use o: who are | |and who are serving| | | Each case involving the proposed operational use of one of these[ _|will be reviewed by the Chief of the] | 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 th¢__———_—|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 Division. | The operational use_of regardless of who are servin [ 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. of the ivision. or the Chief of the Division, as ap- propriate, in the light of the pertinent interservice agreements. After. weighing all of the equities; the Chief of the [____Pivision or the _ Chief of. the Division will determine the course of action to be taken with regard to the national intelligence s service concerned. cA APPROVAL. BY THE DDO REQUIRED © ~ Approval by the Deputy Director for Operations for the. “operational use 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 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: _ operational use of such a will be reviewed by the Chief . of any individual who falls into one of the categories described in this para- use. (In connection with this paragraph, contacts by the Domestic Collection —
13-00000 Hr SECRET a) Ko So oe DOI 50-10 “ ' DDO INSTRUCTION | OPERATIONS-GENERAL NO. 50-10 ; ; 4 September 1973 a, 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 CF . funded by the Domestic Collection Division; that case will be subject to “ the requirement for approval by the Deputy Director for Operations.) a. | | | (see DOI 240-6). (1) Operational use of| ‘Se requires prior approval by the Deputy Director for Operations whenever ' there is danger that such activity might serve in any way to __| . Such activities include but are not limited to. the | The op- erational use abroad of | Oés Hot require approval by épu — '_ Director for Operations even though such activities may have some — . | ‘ynintended and unsolicited fallout| (2) Approval by the Deputy Director for Operations is also required prior to the operational use of oe ; ! whenever the individual is a U.S. ; —_ citizen or when the| involved. is under‘U.S. ownership - ‘or control, — , a C) DT b Employees — oe _ . It.is DDO policy to avoid operational use of. employees | of the [| 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 ©. Individuals Engaged in| (see DOI 50-18) _ Individuals engaged inl | which in any way have or seek to have an | are considered to be in a separate sensitive category. In view of the peculiar . aspects of | | activity, including the special requirements of the | | Act, approval by the Deputy Director for Operations is required prior to the operational use in a| . capacity of any individual who is engaged in | activities ‘and who is located in or operating into the. United ‘States. SECRET _
13-00000 -} SECRET oo} DOI 50-10 DDO INSTRUCTION OPERATIONS-GENERAL | NO. 50-10 4 September. 1973 d.| | |(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 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[ _| will also be required in accordance with para- graph 6.b., above. It is DDO policy that the operational use of | | including those of its various ‘main | 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 individual _ is deemed essential for the accomplishment of the DDO mission, approval f. Staff Members or Officials of 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-US. citizen not assigned in the U.S.) If, while in the United States, the! | individual is to be investigated, approached for. recruitment, or contacted for operational pur- poses, the prior concurrence of[ _|may also ‘be required as outlined in paragraph 6.b., above. The operational use of staff members or officials of the g- | or other equivalent 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 o IHow-. 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 Deput Director for Operations. Officials of | . Operational contact with officials of | lwill be made only with the prior approval of the Deputy Director for Operations. Operational use of officials will be contingent on prior approval by the Deputy Director for Operations. 0 SECRET
13-00000 C a a a | a DOI 50-10 : — _ DDO INSTRUCTION -- OPERATIONS-GENERAL ‘ NO. 50-10 4 September 1973 | (except certain | - see paragyaph 5b, above) are considered to be in a separate sensitive category. Operational use of such individuals while they are actively participating in an | requires special consideration Cc: 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 | | 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 CO . . forwarded through the Chief, Foreign Resources Division. In such cases the Na Deputy Director for Operations will determine whether or not to seek the oo "concurrence of the i. Members of | 7 (1) It is U.S. Government policy that no federal agency shall provide any. [This policy applies to all foreign as well as domestic activities of such organiza- rc. 7 Co _. tions. In compliance with the above proscription, DDO. policy requires _ the most careful scrutiny of all cases involving operational contact with 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. © a (2) Operational use including covert funding abroad of| ; So land the personnel thereof is per- mitted even if the organization is also funded by, Officials or Employees of | | . © a ‘Operational use of the officials or employees of ; 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. Operational use of ‘or operational contact with members of Cd while they are on assignment in the United States will not be made without the prior approval of the Deputy Director for Operations. are participants in programs established by various foreign countries in collaboration with the Department of State as a
13-00000 DOI 50-10 . D DDO INSTRUCTION | | OPERATIONS-GENERAL an NO. 50-10 - 4 September 1973 Such volunteers are sent to the U.S. for a period of | | _ 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. ( see _ DOI 50-19) ‘The operational use in F ' been admitted for permanent residence or have resided for a prolonged ' period in the U.S., requirés the prior approval of the Chief of the Area- ' Division under whose jurisdiction the intended use is to take place. “The operational use of | | 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. " . @. Members of | | a Within the context of this instruction a member of | is defined as: Persons - associated wi are not considered to be members of (2) Operational use of members of | 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 | | as defined above is 10 4a SECRET
13-00000 e ne | | a DOI 50-10 a | DDO INSTRUCTION - OPERATIONS-GENERAL: .* NO. 50-10. ; 4 September. 1973. % « ..--, : 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 and who is associated in any way with any ~ Se or (b) ‘Any non-U.S. citizen who is a member of | and who is associated in any way with any | in the United States pr abroad. © C | - If the individual is located in the United Statés, approval will be. re- —! quested by memorandum to the Chief, Foreign Resourcés Division. a 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 - an over the area concerned.) Operational use of | cn | | who are not associated in any way with] | C ., | is also ton-. _ sidered sensitive., The operational use of such individuals also requires ‘the approval of the Chief of the Area Division fin 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 @) Fe Division contacts with members of but such contacts. are subject to the following requirements: (a) If a member of 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, So : ; ‘Domestic Collection Division is required. Additionally, if such an ne . individual will be in a foreign area, the concurrence of the Chief — of the Area Division concerned will be obtained. o - (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. _ (ce) 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
13-00000 . DOI 50-10 DDO INSTRUCTION OPERATIONS-GENERAL NO. 50-10 , 4 September 1973. | 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 ta . . | 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 of for. Operations. . William E. Nelson Deputy Director for Operations 14 SECRET.
13-00000 | |)" SECRET 4 cst NO. [0-5 CLANDESTINE SERVICES . 2 0 ggcuRITY INSTRUCTION NO. 10-5 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 CONTENTS . Page Page PURPOSE ......000008 seeee L EMPLOYEES AND OFFICIALS GENERAL... 2: eeceee eovceeall OF FOREIGN SERVICES.....5 INVESTIGATIONS. ‘w.e 2 NOTIFICATION OF TERMINA- OPERATIONAL APPROVALS. a’) TION OR DISCONTINUANCE _ COVERT SECURITY APPROVALS OF COVERT SECURITY AP- AND PROPRIETARY : PROVALS OR PROPRIETARY APPROVALS. 2.0.0... ee 3 . APPROVALS. ......005 teen & COVERT SECURITY. APPROVALS SPECIAL SERVICES .......65 6 FOR LIAISON WITH UNITED - DOUBLE AGENTS.......-6.0- 6 ’ STATES OFFICIALS . ...0.06 5 DEFECTION AND RECRUIT- . SERVANTS OF AGENCY — |. MENT IN PLACE ....-:++ 6 EMPLOYEES ......00006058 00 60 L. 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 ee 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. es . ; The Director of Security has designated the Deputy Director for Investiga- _ tlons.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. _¢. 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 o or shall. be discussed to the extent necessary. SECRET |
13-00000 * ft. m SECRET } | CSI NO. 10-5 | CLANDESTINE SERVICES Oo SECURITY INSTRUCTION NO. 10-5 : 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 . Sy made in each case by a responsible official of the requesting division that a ae 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 NS af of activities or employments, memberships in organizations, etc.) will = 9° ° be furnished verbatim. All pertinent information thus produced--includ- oe a ing that. resulting from technical interrogations, personal observation, s . V | 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- ot - cated, or sensitive cases the Office of Security, in coordination with: the Co a - Counter Intelligence Staff, may wish actually to. review the material of SO , 4) 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 oo i _ employed in the conduct of the investigation and whether the subject has ._ ae 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 SECRET
13-00000 , / ‘ a re - as CSI NO. 10-5 CLANDESTINE SERVICES , SECURITY INSTRUCTION NO. 10-5 . 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 (i a 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 C , Security whenever it has: le , _(1) Granted an Operational Approval or a Provisional Operational scprovii, (2) Cancelled an Operational Approval. 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- 4 . rity will not be obliged to furnish all investigative material. In such cases a oo . the Office of Security will inform the Counter Intelligence Staff that such material has been withheld and will, upon request, discugs 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 ot of the Office of Security, is a minimum requirement for issuance of a Pro- vet ; _ visional Operational Approval. ; g. Whenever interest in an individual under consideration for either an n 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 bidgraphic 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 . “SECRET
13-00000 -?¢ j SECRET ) CSI NO. 10-5 CLANDESTINE SERVICES oe SECURITY INSTRUCTION NO. 10-5 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 (i. 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 J Records Integration Division will be searched by representatives of the Office of Security. Ali 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. - ¢, 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- ‘mation in cases where Covert Security Approvals or Proprietary Ap- provals are granted. -@) 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, 0 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. -@. A Covert Security Approval or 4 Proprietary Approval may be preceded by a Provisional Covert Security Approval ora Provisional Proprietary Approval. sam SEE, wees mes be ects
13-00000 , ns ig on un LU an - SECRET a : | 7  GSINO. 10-5 CLANDESTINE SERVICES SECURITY INSTRUCTION NO. 10-5 19 September 1963 f. Unless otherwise designated by the Office of Security, investigative data - an ; ‘ : 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- rs mo proval of the Office of Security. The need-to-know principle will be applied ‘ey ; 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. Cc. 6, COVERT SECURITY APPROVALS FOR LIAISON WITH UNITED STATES OFFICIALS Requests for Covert Security Approvals for Liaison with U. 8, 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 eee 7 .. Gases of civilian employees of United States Government agencies the name, e Jos : ae 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. — ‘ a SERVANTS OF AGENCY EMPLOYEES 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. © : Requests to headquarters for appropriate checks on domestic personnel em- ' 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 5 OF FOREIGN SERVICES. an ‘Requests for searches of the indices of ‘other United States agencies or the pon . Office of Security, or investigation of employees or officials of foreign. 5 ‘SECRET |
13-00000 10 - fo gEcRET ae CSI NO. 10-5 CLANDESTINE SERVICES : |. SECURITY INSTRUCTION NO. 10-5 _ 19 September 1963 ra 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 reguits of field traces, all available biographical information, and a state- ment as to the service which the subject represents. - NOTIFICATION OF TERMINATION OR DISCONTINUANCE OF COVERT SECURITY APPROVALS OR PROPRIE TARY 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 il. 12. on whom a Covert Security Approval or Proprietary Approval has been re- quested or granted. | 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. D. 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) te be employed during the inquiry and any other information which . would provide guidance as to the conduct of the investigation. ; s 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. "43. 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. : Richard Helms Deputy I Director (Plans) . SECRET