RESTRICTIONS ON OPERATIONAL USE OF CERTAIN CATEGORIES OF INDIVIDUALS.
Agency: CIA
Originator: CIA
Document date: 9/4/73
Document type: PAPER - TEXTUAL DOCUMENT

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AGENCY

RECORD NUMBER

RECORD SERIES

AGENCY FILE NUMBER

Date: 02/14/05

JEK ASSASSINATION SYSTEM

IDENTIFICATION FORM

AGENCY INFORMATION

CIA

104-10118-10372

JFK

80T01357A

DOCUMENT INFORMATION

CIA

Released under the John

F. Kennedy

Assassination Records

Collection Act of 1992

$44 USC 2107 Notel.

Case#:NW 53294 Date:

16-14-2017

AGENCY ORIGINATOR

FROM

TO

TITLE

DATE:

PAGES

RESTRICTIONS ON OPERATIONAL USE OF CERTAIN CATEGORIES

OF INDIVIDUALS.

09/04/1973

33

SUBJECTS:

OPERATIONAL

DATE

DOCUMENT TYPE

CLASSIFICATION

PAPER

SECRET

RESTRICTIONS

CURRENT STATUS

RELEASED IN PART PUBLIC - RELEASED WITH DELETIONS

OF

LAST REVIEW

08/14/93

COMMENTS :

JERETTONS ST: 2 V2.00 1 02 17/22;750063 : 1993

[R] - ITEM IS RESTRICTED

104-10118-10372

The purpose ot this instruction is to set torn the proctoons and poney

restrictions (as distinguished from security restrictions) which currently per-

tain to the operational inse of various categories of individuals, together with

the special approval procedures to be followed in cortain cases. Where ap

¿ propriate, reference his been made to mother publication which provides

more detailed guidance than has been attempted in this instruction. The

specini approval procedures ser forth in this instruction do not supersede cr

alter in any way the requirements for covert appsoral contained in DOI

and DOI-F 10-5.

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DDO INSTRUCTION

NO. 50-10

REPRODUCTIONC

DOI 50-10

¡OPERATIONS-GENERAL

4 September 1973

RESTRICTIONS ON OPERATIONAL USE OF CERTAIN

CATEGORIES OF INDIVIDUALS

Rescission: CSI 50-10, 13 July 1970

1. CENERAL

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 restricions as

to their origias, 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. Govemmental 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, govemment, 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 individuais.

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 inse of various categories of individuals, together with

the special approval procedures to be followed in certain cases. Where ap

propriate, reference has been made ta other publication which provides

more detailed guidance than has been attempted in this instriction. The

special approval procedures ser forth in this instruction do not supersede or

alter in any way the requirements for covert approvaßi contained in DOI

and DOIF 10-5.

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DDO INSTRUCTION

NO. 50-10

DOI 50-10

OPERATIONS-GENERAL

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 "operationat 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-

inination of "operational use" which cannot be résolved 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 of 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-

meat 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. Operationil 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 of groups are of four types

and cover twenty five separate categories as outliner 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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OPERATIONS-GENERAL

4 September 1973

(c) Officials or employees of the International Association for Cultival

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): AN APPROVITE OF SAlADDO:

(a) Employees of other U.S. Coverment agencies;.

(b) DDO agents or assets in the United States; '

(c) Agents and human sources of foreign intelligence registered by

other U:S. agencies;

(a) 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-

in graph 7):w

(a) Publishers, producers, journalists or employees of public infor-

mation media,

(b) CARE employèes;

(c) Individuals engaged in public relations activities;

(d) Officials, representatives, or employees of Communist countries

in the United States;

assigned;

i o's plea at the or in arian alone!

(f) Staff members or officials of Red Cross societies;

(g) Officials of the Vatican State;

(b) U.S. Government-funded professors, lecturers, students or grantees;

(i) Members of educational or private voluntary organizations;

(i): Officials or employees of the African-American Institute;

(k) Volunteers to America.

(4) Operational Use Requires Approval by Chief of Aren Division (see

paragraph 8):

(a) Citizens or alien residents of the U.S. in denied areas;

(b) Non-US citizon delegates or emplovees of Unitod Nations or-

ganizations not assigned in the U:S,

(c) Members of the acadernic 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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DDO INSTRUCTION

NO. 50-10

DOI 50-10

OPERATIONS-GENERAL

4 September 1973

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 oi 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 avith former members or trainees of

ACTION is subject to the following:

(a) The spesific prior approval of the Deputy Du

or for Operations

must be obtained.

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DDO INSTRUCTION

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DOI. 50-10

OPERATIONS-GENERAL

4 September 1973

(b) If the individual is à 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. Goverament 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 probibi.

tion are teachers, research scholars, lecturers and students (including stu-

dent artists and student musicians) who have been selected to receive

scholarships of grants by the Board of Foreign Scholarships appoirited

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. Officiais or Employees of the International Association for Cultural Ereedom

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, ör Grantzes of the Ford, Rockefeller and Carregie

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 controiled: by any of these foundations. Additionally,-there will be

no operational use inade of the otticiais or employees of thesecorganiza=

tions. In general, however, there is to restrict

on:nonoperationas.con-

tacts or consultations with such individuals:

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DDO INSTRUCTIONO AR

NO. 50-10

DOI 50-10

OPERATIONS-GENERAL

4 September 1973

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 iheir

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 betiveen 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

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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DOI 50-10

OPERATIONS-GENERAL

4 September 1973

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 Uried States -for operational

purposes.

c. Agents and Human Sources of Foreign Intelligence Registered by Other

U.S. Agercies

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

transter 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 mattér:

d. Citizens (or Persons Documented as Citizens) of Australia, Canada, the

United Kingdon (including its Overseas Dependent Territories) and

New Zedland

(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 staif 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

the Director.

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DDO INSTRUCTION IT

NO. 50-10

DOI. 50-J.0

OPERATIONS-GENERAL

4 September 1.973

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 approva

of the national intelligence service concerned. These countries are par-

ticularly sensitive in cases involving the operational use of their citizens

whe 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

quited, approvals for the operational use of such

individuals will be

obtained from the appropriate national intelligence services by the Euro-

pear 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

oi any individual who falls into one et 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 expianation of the intended operational

use. (in connection with this paragrapn, 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 intormation 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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DDO INSTRUCTION E!

NO. 50-10

DOE 50-10

OPERATIONS-GENERAL

4 September 1973

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

ci 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.).

= 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, of 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, I!, 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 rsiations activities which in any way have

or saek 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 ¡elations

capacity of any individual who is engaged in public relations activities

and who is located in or operating into

United States.

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DOL 50-10

DDO INSTRUCTION

NO. 50-10

OPERATIONS-GENERAL

4 September 1973

d. Officiais,

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

reguired for operational contact in the United States with or operational

use of officials, representatives, or employees

of the USSR, its satellite

couatries, 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

concurence of the FBI will also be required in accordance with para-

graph ô.b, above..

RATIONS

e. Delegates or Employees of the United Stres

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 äs 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 up

be 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 concurtence of the FBI may also be required as outlined

in paragraph 6.b., above.

int!

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. Flow-

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. Guvernmant Funded Professors, Lecturers, Students or Grantees

U.S. or foreign professors, lecturers or students

other persons partici-

pating in U.S. Government-sponsored

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NO. 50-10

DOr. 50-10

¿ OPERATIONS-GENERAL

4. September 1973

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 I.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 or 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, DO policy reques

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-

bons 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 ere obliged to make in

their cover capacities will not involve operational matters tintil the approval

ot the Deputy Director for Operations has been secured

K. Volinteers to America

Operational use of or operational contact with members of Volunteers to

America while they.are. on assignment in the United States vill not be

made without the prior approval of the Deputy Drector for Operations

Volunteers to America are participants in programs

oreign countries in collaboration with the, Dentitment of State as a

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ET

DOI 50-10

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DDO INSTRUCTION

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OPERATIONS-GENERAL

4 September 1973

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 rame 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. AsTM

a Citers or Alien Residents of the U.S. Used in Denied Areas (see

DO] 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 leaming 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 finis

are noi 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

000/151

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SACHET.

ROS INSTRUCTOR EPROD CTIN

DOI 50-10

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 the academic community

and who is associated in any way with any U.S. or foreign college,

university of 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 lean. D DO

ing which is located either in the United States or abroad.

Il the individual is located in the United Statos, approval will be romaniel

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 io-

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 leaming is also con-

sidered sensitive. The operational use of such individuals also requires

the approval of the Chief of the fred 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 US. Government.

(0) The requirements of paragraph sa 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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SECRET

DIN

DDO INSTRUCTION

NO. 50-10

DOI 50-10

OPERATIONS-GENERAL

4 September 1973

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

9. INDIVIDUAL CHANGES OF STATUS OR _CATEG

When as 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 of 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

PReP

14

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SECY

REPRODUCTION

BITED

DOHB 70-1-1

CHAPTER III

15 November 1974

THE 201 SYSTEM

Rescission: Annes B of Chapter III, CSHB 70-1-I, 27 October 1966

I. INTRODUCTION

The 201 system provides a method for identifying a person of specific in-

terest to the Operations Directorate and for controlling and filing all pertinent

information about that person. The system also provides a means for identifying

subjects of 201 files from various categories of information about them and for

producing lisits of 201 personalities. according to those categories: Only a rela-.

tively small number of personalities indexed are of sufficient interest to justify

opening a 201 dossier. These are normally subjects of extensive reporting and

CI investigation, prospective agents and sources, members of groups and organi-

zations of continuing target interest, or subjects on whom a volume of corre-

spondence has accumulated:

2. THIE 201 SYSTEM

The principal features of the 201

system "are:

a. The 201 Number: a unique number, i.e., 201-1234567, assigned to each

individual in the system to serve as identifying file number for reporting on that

individual.

b. The 201 Dossier: the official file containing the 201 opening form (Form

S31) and all biographic reporting on and references to the individual, ie, per

sonal history, current status, and prospects.

c. The Master 201 Record: a machine record generated by the opening of

a 201 file. This record produces the master 201 reference for the Main Inder and :

stores the pertinent information which may later be retrieved for special listings.

Mein Inder Master 201 Reference: this reference, nuinted in reply to

dex Search Request, is printed as illustrated belowe When data are abse:

within the record, succeeding data items or l

erence consolidated:

REPRODUCI

espoil be moved up and the rer-

HIBITED

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SECRET

REPRODICTION

DOHB '70-1-1

CHAPTER ILI, ANNEX B

PROCEE

15 November 1974

4. CONTENTS OF THE DOSSIER

Information about a 201 personality should be filed or cross-referenced into

his dossier. When additional information is discovered on a 201 subject through

a name trace or other process, i.e., review of predecessor documents, it must

be consolidated into his personality dossier. See DOI 70-20 for consolidation

procedures.

Material which is filed in the dossier includes but is not limited to:

a. 201 Personality File Action Request (Form S31)...

b. Biographic information including photographs,

fingerprints, and

handwriting samples.

c. Personal Record Questionnaire Parts I and cil.

d. Operational and other security approvals.

e. Name chedi replies requests clearances, and approvals

f. Acknowledgement pe pseudonym

g. 201 personality assessments and evaluations.

h. Copy of contract and fermination papers.

i. Secrecy agreement.

j. Agent Duty Status Report.

k. Training and evaluation

?: 1. SOSWIRL report

m. Newspaper clippings.

n. Any information which helps provide a better understanding of the

subject and our interest in him; this may include operational reporting

5. MAINTENANCE OF 201 DOSSIERS

The 201 personality dossier contains, in document date order; papers which

have been made a part of the Central. Records System as ve

have not. Record documents may range from newspaper or magazine articles

on the subject to finance and other administrative papers,

2015 THE

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CRETE

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DOHB 70-1-J.

CHAPTER III, ANNEX. B

15 November 1974

a. Purging

Purging a 201 dossier is the responsibility of the desk officer. It requires

discrimination in recognizing operationally useful material, rather than the

simple distinction between official and unofficial papers; it will therefore take

place under the supervision of a Records Officer. Purging should be done

periodically. A 201 dossier being forwarded to Central Files for retention should

be purged. A 201 dossier should be purged of the following:

(2) Duplicate material, ie, exact copy fa document

(3) Name trace form (Form 362) unless it has been the basis for

the opening.

(3) All abstract

(4) All document restriction notices (Form 1884)

(5) The disseminated version of positive intelligence information it

a copy of the raw report is contained in the 201 file; the dissemination number

then must be transferred to the first page of the raw report.

(6) Routing slips, routing and record sheets (Form 610) and dispatch

cover sheets unless there are remarks such as coordinations or comments.

(7) Record copy documents which only repeat substantive information

contained in other documents in the file; authorization for destruction is

by. the Records Officer.

officer in the originating office or the Records Officer having jurisdiction

over the contends of the material must possess Top Secret classification

authority. If the document cannot be downgended the file should be retained

at the desk or the copy of the IS document should be removed, retainec

in a desk IS file or forwarded to the Top Secret Control Officer, and a

of the T3 document.

19) Deterred documents

b. Maintenance Procedure

(1) Ail material in a 201 dossien will be filed in document date order.

In the case of document attachments which luve been classified into a 201

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REPRODUCTION

DOHB 70-1-1

CHAPTER III, ANNEX B

PROHIBITE)

15 November 1914

dossier and separated from the basic document by the assignment of a slash

number, the attachment will be filed by the date of the basic document.

(2) Deferred documents will not be filed in a 201 dossier: If they are

to be retained in the dossier they should-be sent to IP/RMS for classification

into that 201.

(3) Field index cards (held by some desks) and area desk cards may

be retained in the 201 as part of a consolidation procedure. These cards

should be mounted on a full-size sheet of paper for filing in the 201.

(4) A 201 dossier previously opened on a person who becornes a staff

employee and which contains Record Copy documents, will be restricted.to

the ISG/DIP unless the desk retains the restriction. The dossier should be

closed if there are no Record Copy documents in it.

(5) A 201 opened in pseudonym should be consolidated into the true

name 201 if one exists or converted to the tric name:

(6) Fieid and duplicate (shadow) 201 files no longer of active interest

should be incorporated into the official 201 aften the duplicate matorial

has been purged by the desk officer and the remaining information classified

to that 201 by the Analysis Section (IP/AND

(T) Any document with a predecessor organization cover sheet or an

OPC (Office of Policy Coordination) cover sheet from the Archives and

Disposition Section (IP/ARD) must be returned to IP/ARD for processing

to the 201.

(8) Desk memoranda (with or without a document source number)

containing substantive or derogatory information on the subject of the 201

should be sent to.IP/AN to be classified officially into the 201 file.

(9) An attachment which should be separated from its basic document

for inclusion in a 201 personality dossier will be forwarded with the basie

document to IP/AN for processing into the 201.

(10) To retain the PsiL, RYBAT, or KAPOK sensitivity of a document

remaining in a 201 dossier being retired to Central Files, place that document

in an envelope sealed with black tape (see DOI 70-17). Any RYBAT, PoL;

or KAPOK document sent to Central Files not in a black-taped envelope will

automatically be handled as desensitized. A blue stuped envelope may con-

tain only one document and must be filec-ini chronblogical order within the

file. if there are numerous documents of this type the desk officer may black.

RE todicial somenis (on Do 7010).

263 1000

000b168

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REPRODUSTION

DOHB 70-1-1

CHAPTER ILI, ANNEX B

="15 November 1974

Black-taped dossiers or dossiers with black-taped documents will be

handled as restricted dossiers.

'Il) An inactive 201 dossier or an inactive volume. of a large 20J

dossier on permanent charge should be-returned to Central Files under :

Routing and Record Sheet with the notation shown below.

O UNCLASSIFIED

7 INTERNA

I CONFIDENTIAL "

ROUTING AND RECORD SHEET

.. INSATTAL CE DUCTIVE 202-DOSSLERS

TANSOM Na

I SECRET

nomo!

Kommon

IP/31les.

G0-52

hot to an are e c80) 5,

apter 'Illy hasex B.)

...'

o 201--

Restricted Dossier •

(Attach Pora 2021 to

Dossier

• Mon-Ragtricted Doasta

For Split Charge Dossiers:

All documenta potos to (aste)

cowarded to Il/f1les., All

(& SECRET

O CONFIDENTIAL

REPROGUCTION

SEORET

• UACLASSIFIED

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SECHET

PREP RO

DOHB 70-1-1

CHAPTER III, ANNEX B

15 November 1974

6. 201 DOSSIER CHARGES

A 201 dossier may be kept on permanent charge at the desk during any

period of active interest. If the dossier is transferred to another desk, the desk

officer who is transferring the dossier mast notify. Central Files of the transfer.

Central Files will then send the Notice of Transfer of Document or File Account-

ability (Form 2977) to the new action desk officer.

CONFIDENTIAL

(shon pillad in)

NOTICE OF TRANSFER OF DOCUMENT OR FILE ACCOUNTABILITY

below has been trensferred to you by:

Tate ta do it a pa countable ter the ca

/ 1120(6) cred

Accordingly le you have any questlana

Ext. 4352,.

austodian Please, contae: 12/1105,

this transfer.

SUBJECT Of REQUEST

DOC, DATE:

red. no.

OR TENA

8-29 2377 438

CONFIDENTIAL

CL BY: 0076221

The new action desk officer must then ful out a 201 Personality File Action

Request (Forn 813) to change the action desk designation to insure that the

201 personality will be included in the Headquarters and field machine listings

for his component.

7. RESTRICIED DOSSIERS

a. Access to a sensitive 201 dossier may be restricted by holding the file as the

desk or placing. it on restriction in Central Tiles.

(1) The dossier may be restricted by checking Bor 2 on ine 201

Personality File Action Request (Form S31) when the file is openad.

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REPRODUCTION

DOHB 70-1-1

CHAPTER III, ANNEX B

15 Noverber 1974

(2) The dossier may be restricted by holding it on permanent charge

from Central Files. (Note: To maintain the restriction of a dossier being

retumed to Central Files for retention, a File Restriction Notice (Form

2021) must accompany the dossier:)

(3) The dossier may be restricted and held in Central Files by sub-

mitting a File Restriction Notice (Form 2021).

Da Sal

IP/PI

CC-52

IP/DCU

00-40

1U53 DT-6

FILE RESTRICTION NOTICE

TUBE ET-$

ACTION DESK:

2.

To restrict a file,

complete Section A (signature of R.0. not

necessary):.

To remove a restriction, complete Saction B.(2.0. signature

necessary).

SECTICH A

PESTRICE IO:

ROSERICIED BY

CONFONENT:

SECARON B

PENCIE RESTRICTICN (AUTHORIZED BX)

sugar or ros-country code nueber. See 6S 70-23)

TRADIT

Date:

Date:

2075 2021 °

CONFIDENTIAL

_R.O. No.

E.2, IMPDET C&. UY: C67222

b. Access to a restricted dossier located in Central Files is limited to the

personnel of the restricting desk or persons authorized by that desk. Any request

for the charge of a restricted dossier or any document within a restricted dossier

held in Central Files will be forwarded with the entire dossier and a multiple-

routed cover sheet to the restricting desk. This desk may then forward the file

to the requester or deny the request and return the dossier to Ceniral Files. The

desk will notify the requester of a denial.

c. Anyone requesting a restricted dossier, or a clocument within a restricted

dossier, permanently or temporarily charged to a desk, will be referred to that

desk by Contral Files.

REPRODUT®

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SECRET

REPRO

DOHS 70-1-1

CHAPTER III, ANNEX B

15 November 1974

8. REQUESTS FOR INFORMATION ON 201 PERSONALITIES

The Automated Index Section (IP/AIS) will provide the identity of the

subject of a 201 number unless the 201 file is restricted, in which case the

requester will ba referred. to the restricting desk.

IP/AIS will also provide the 201 number assigned to a name, unless the 201

file is resthicted, or state that there is no 201 number assigned. Requesters should

supply identifying information whenever available for each name submitted

Requests pertaining to five or fewer names or numbers may be made by

telephone by calling the IP/AIS red line extension; IP/AIS will provide the

information by return call-to che requester's extension as listed in the Badge

Table. Requests for more than five names or numbers must be listed and sent

by tube or courier to IP/AIS; IP/AIS will reply by retum mail

9. 201 DOSSIER CANCELLATION

number from machine lists. Any Record Copy document contained in the folder

will be reclassified to another appropriate file or sent to the Destruction Unit

10. 201 MACHINE LISTINGS

Machine listings provide field stations and Headquarters desks with names

and 201 numbers in the requester's particular geographic or functional area of

interest. If a component wishes to exclude a sensitive 201 personality from its

alphabetic, numerie, and cryptonym listings,

this. may be done when opening

the 201 or later by a 201 amendment. On the 201 Personality File Action Request

(Form 831) leave the country of location (Box 15) and interest desk (Box 16)

blank, use the non-country code 900 in the action box. (Box 14), and indicate

permanent charge to the responsible desk. The only listing which will include the

201 number is the IP/20i record for the Vital Records program. 201 listings are

categorized as standard or nonstandard and as scheduled or special.

a. Standard Listings

Issued semi-annually to Headguarters and the Fieid; based on a component's

interest as indicated in the

"Action Desk;

"Country of Location," and "Interest

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SECRET

DOX8 70-1-1

15 November 1974

Desk"' blocks on

the

201 Personality File Action Request (Form 831). The

standard listings available are:

(1) Alphabetical by sumame, leading to a 201 number;

(2) Alphabetical by given name, leading to a 201 number;

(3) Alphabetical by cryptonym, leading to a 201 number;

(4) Numerical, leading to a sugame;

• (5) Numerical, leading to a cryptonym.

"FOT A CHINA'

291 SUMME ALPMA L'S:

SECRET/DIGAYIZATION INTERNAL USE UNLY

BE CITE

CHtHT

DIPT

BUS?-

20T

01-1

CHIN, AYOY

PP.O%.

WITH.

MANCHURIA, FORT ARTH

LIDENISO PRO

KONIGTING PFOY

CHINA XIAN TANG IS

CHIN. PFILIU

CHIN KARAGTU

CHINT

H9140..4124611)

MAGING DEGU:

pify

CH: 10

CEO:

CHIN?

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CHIN

SALK

159

НʼАдІ

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REPRODUCTION

•DOHB 70-1-1

PROSCUE

CHAPTER III, ANNEX B

15 November 1974

All standard. listings are cumulative; previous editions must be destroyed

upon receipt of current editions. These listings are by their very nature extremely

sensitive compilations of infonnation and must be given every possible safeguard.

b. Non-Standerd Listings

Based on one or more of the following selection criteria:

(1) County of location

(2) OI codes (organization and/or intelligence affiliation)

(3) Citizenship

(1) Year of birth (plus oi minus a given number of years).

(J) Occupation.

These selection criteria may be used singly or in combinations For example,

a user could obtain a list of all 201 personalities who have been assigned the

01 code of XX or codes of XX, XY, or XZ A 201 personality list could also be

produced of all persons who were born in Cermany between the years 1915

and 1920, with the occupation computer specialist, who are now citizens of the

United States, located in Mexico, and who had been assigned the Ol code AA.

Note however that the listing would contain only those personalities with an

OI code AA. Those personalities with an Ol"code other. than AA and those

with no Ol code would be excluded. The requester could however ask that

persons who have not been assigned an Ol code also be included. Note also

that when retrieving lists based on occupation, the listing will be only as specific

as the occupation code (Attachment. 1). The occupation code for a courier

covers only a documented courier. Some occupation codes cover more than one

occupation. For example, the occupation code CRA covers those who practice

some trade ur manual occupation, i.e., carpenters, bricklayers, painters, machanics

and electricians. If a list is requested for electricians, all others in this category

will be included in the printout. These non-standard listings may be soried

(arranged) according to any, but not more than three, of the following keywords:

(a) Sumame.

(ly) Given name

(e) Date of birth

(c.) Cittenship

(9) Or code

(g) Location

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DOHB. 70-1-1

PROMBINED

CHAPTER ILI, ANNEX B

15 November 1974

Sorts can be made within sorts. For example, 201 personalities may be sorted

alphabetically by. surname within OI codes for given countries of location.

Because two OI codes may be listed for each personality, those names with two

Ol. codes would be listed twice. :

c. Scheduled Listings.

пот!

Standard and non-standard listings printed semiannually.

d. Special Listings

RE

Unscheduled, usually non-standard, listings produced on a one time basis

in response to special operational requirements.

e. Request for Listings

All requests for standard or non-standard_alphabetical and numerical 201

listings for Headquarters and the field, for changes in periodic listings; and for

information on the 201 machine list system should be made to the component

Records Management Officer.

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REPROD

DOHB 70-1-1

CHAPTER III, ANNEX B

Attachment 2.

15 November 1974

AUTOMATIC 201 DOSSIER OPENINGS

Note: 201 files will be opened automasically by P/AN on the following cate

gories of people.

1. Arab Republic of Egypt (ARE) -

a. Diplomats with rank of third secretary or above.

b: Military attaches and assistant military attaches.

c. Intelligence officers of the Gederal Intelligence Department (CTD).

(Prior to opening of an ARE 201 file, check with NE/E

of: name and additional biographic data.)-

For correct spelling

2. British Commonwealt

?. All positively identified members of MI-5 and MI-6, the British Intelligence

Services.

b. All positively identified members of the Irish Military Intelligence Service

(IMIS).

c. Canadian Communist Party officials on national or provincial levels and

officials of the Canadian Communist Party front organizations. Do not open

unless there is at least a date of birth given.

d. All members of the Security Service of the Royal Canadian Mounted

Police (RCMP-SS)

3. Cuba

Intelligence service employees (DSE, DGI).

• israel.

i. All Israeli diplomats: C/NS/ISR should be indicated as the originating

office with CI/SP always indicated as the secondary office of interest.

Li. Military attaches.

a. Assistant military attacnes.

1. Identificd intelligence déficers.

CAP R6IS

ARUCTION

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SECRET

CLANDESTINE SERVICES

HANDBOOK NO. 47-171

170-4-1

CSS 43-1-1

CHAPTER MU

15 February 1960

ANNEX B

PERSONALATIES - 201 AND IDN NUMBERS

1. A relatively small proportion of the total number of personall

ties indexed by the CS are of active operational interestat any given

point in time. These are normally subjects of extensive reporting and

CI investigation, prospective agents and sources, aid members of

groups and organizationg oi condinuing target interest Bach of these

personalities is assigned either a 201 number or an IDN number.

2. The 201 number serves a dual purpose. It brings the files on

these personalities into the CS records System. A single number,

e.g., 201-123456, is assigned to each person, and a dossier controllad

by this number is established which contains, or has cross referenced

to it, all of the reporting on the incaviduat's personal history, current

statue and prospects. Once the 201 number is assigned, it is used in

future reporting on the individual both as a file number and in place of

other identifying data, Uprig-date machine listings are published

periodically to help held stations and neadquarters desks keep book

on those 201 personalities falling in their particular geographic or

functional area of intereste

It has become apparent that the 201 machine listings should in

clade the identities of persons of operational interest because or thet

connection with a target group or organization eyen though there may

not be sufficient information or specitic intereat to garrant opening

a file. ros pampla: A considerable number of stadions are concerned

with the accivitias of Cuban exiles. Coverage of their movercents

inctions and objectives can be assisted by furnishing all participating

stations up-to-date listings containing information under the control

GM3.

ADIN

B 100

B B CBAT

06H6 22.

0000 76

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REPROCROTION

DOHB 70-1-1

"CHAPTER III, ANNEX B

Attachment 2

PROHIBIED

15 November 1974

5. North Vietnam

All diplomats and NFLSV (PRG) officials stationed abroad

6. USSR

a. All Soviets assigned PCS to an official representational installation, ie,

embassy, consulate, commercial representation, national airline (Aeroflot)

office, news media office.

b. All Soviets assigned PCS to the United Nations in New York, Paris, Geneva,

and Vienna.

c. Audio technicians, äfter coordination with SE desk concerned.

a. students iho will be studying abroad for a fill academic year at institutions

of higher learning.

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CLANDESTINE SERVICES

HANDBOOK NO. AJ-14t

70-1-1

CSHB 49-11

CHAPTER III, ANNEX B

15 February 1960

of the Cuban desk on the

dramatis personae. In addition to 201 per-

sonalities, such lists should contain the names and identifying data

of persons who should be kept track of, although they may only be of

tangential interest or on whom there may be little or no data other

than that given in the listing itself.

4. To accommodate this type of requizement in the 201 systema,

identifiable personalities concerning whom enough information is not

yet available to require the opening of a file may be assigned numbers

of the following type but in the same series:

10A-133953

These are relabeled

Proto it a tre is opened.

IDN numbers are car-

ried with 201 numbers in appropriate genera, or speciat ustings.

where they are identified by the letter "I" in the "Type of Name": col-

umn. IDN numbers are not CS file nurbers.

5. All 201 code numbers are assigned by RID at headquarters,

either upon receipt of Form 831, or of a field dispatch. It a dispatch

is written about a personality not yet in the system, a 201 number for

it may be requested simply by writing under headquarters file number

in the dispatch form as follows:

Dispaich Symbol and No

XYZA-12345

Headquarters File No.

201

6, IN numbers are assigned by RID at headquarters upon the

equest of stations or desks which are developing speciai idantification

programs within the 201 system. The field receives current notifica

tion of new 201 openings and IDN numbers through the Field index Card

Service.

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CLANDESTINE SERVICES

HANDEOOK NO. 13-1-1

7ü-1-1

CSHS 13-1-1

CHAPTER IT, ANNEX B

15 February 1960

рівіши

%. Stations or branches often are concerned with personalities

not of general Cs concern. files on these may be kept in any desired

order. Should such personalities become of generz? CS interest,

they must be brought into the 201 system.

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DOHB 70-1-1

CHAPTER III, ANNEX B

15 November 1974

CROIX, WELLIAM PENDLETON

SEX * DOB 12 APR 26

GERy,.

BERLIS

CI: GERM

THARMACTO

REE

2155-12345,

20 JUN 53

CODE CHEM

SUEJECT RECENTLY ATTENDED THE SEVENTECNTI ANNUAL

CONFEFENCS OF THE

ANO

INTERNATIONAL ASSOCIATION OF

CHEMISTS

FEARMACISIS HELD IN MUNICH,

GERMANY FROM 22. THROUGH

HOV 70

00933555

201-0032671

TYPE NAME

OI CODES A

RCO DATE 53

Information About Subject

1. Sequence Number and Name

2. Sex and Date of Birth

3. Citizenship

4. Place of Birth

5. Occupatica

6. Occupation Code

7. Text

Document Reference Date Croup

8: 201 Number

9. Name Type Indicator

10. 01 Codes

11. Record Date (year only)

•12. Reference

ISG Control Irformation

13." Diate of latest update of the record

11. STAR indes Record Number

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DOHB 70-1-1

CHAPTER III, ANNEX B

15 November 1974

c. Ol Code: a to letter symbol used in conjunction with the 201 per-

sonality records in the 201 system to record the association of an individual

with organizations or activities of operational interest. OI codes cover intelli-

gence and security service affiliation,

whether staff or agent, or known or

suspect, as well as activities of DDO interest. There are two categories of OI

codes for use by components:

(1) general Ol codes (Attachment 4)

(2; Ol codes assigned to a specific component for intelligence services

or other specific organizations.

À component may request an OI code be established by submitting a mem-

orandum to the DDO/RMO through the component Records. Management

Officer.

A 201 personality may be assigned two OI codes. Ari Of code may be assigned

when the 201 Personality File Action Request (Form 831) is initiated (see

paragraph 3b below.) by filling in Box 13 or a code may be assigned or added

atoa later date by a Form 831 amendment.

The 201 system has the capability of producing machine listings of 201

personalities by OI codes. For example, if an OI code has been opened for the

security service. of a certain country a listing may be compiled of all members

of that service.

f. 201 Machine Lists: produced from the mechanized 201 Index, based on

names or other identifying information of personalities on whom 201 dossiers

exist.

3. OPENING A 201 DOSSIER

a. General

The opening of a 201 dossier is the precogative of an operational com-

ponent, in coordination with the Information Services Group. An opening creätes

a master 201 record. Changes to the master record and the occasional closing

of a 201 dossier are controlled jointly by the desks and ISG. 201 dossiers may be

opened on persons who meet the carding criteria described in Chapter IT of this

handbook when there is a reasonable. expectation that additional information

will be acquired and filed in such a dossier. Conerally dossiers are opened on

bersons about whor counterintelligence information is boing reported, and ner:

sons of operational interest to the Operations Directorate, specifically miese

persons for whom provisional operational approvals and operational approvals

are requested (see diception below.). 201 files are not to be opened on staft

employees, staff agents and most categories on contract employees. Files oa

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DOHB 70-1-1

PROMEN

(CHAPTER III, ANNEX B

15 November 1974

persons who are only of local interest to a field station or Headquarters desk

and on whom no DDO records correspondence exists are not a part of the DDO

records system and are to be maintained by that unit. Some desks levy require-

ments on ISG for automatic 201 openings on certain categories of persons whose

names appear in incoming dispatches. These are listed in Attachment 2: 201

dossiers should be opened in the following categories:

(1) Subjects of provisional operational approval and operational ap-

proval requests. However, a file need not be opened when a POA is requested

for persons being trained for a foreign liaison service and who are of opera-

tondi interest for training purposes only

(2) Persons for whom the field requests a 201 opening.

(3) NETIXTURE personalities: bonafide diplomats of other than

denied area countries, in close association with staff personnel.

(4) Subjects of a Personal Record Questionnaire Part I

(5) Persons on whom a Main Inder search reveals information in five

or more documents (see DOI 70-20).

(6) Subjects: of Interagency Source Register memoranda from LSN/

b. Requesting a 201 File Opening

Headquarters desks may open a 201 file by filling out and submitting

a 201 Personality File Action Request (Form 831) to the Records Main-

tenance Section (IP/RMS). Form 831 is also used to create or amend the

master

20i record and 201 machine listings and to register the assign-

ment of a cryptonym to a 201 personality. Attachmeni 3 consists of sample

201 Personality File Action Requests for opening-and amending 201's. A field

station may request the opening of a 201 files

quarters file or cross-reference box.on

the

dispatch form and/or after the

subjac's name in the body of the alike

A telepouch request for a 201 opening

is inade by indicating 201- in tha

number line A onble request is mice by

placing 201- atter the termy

On the last Time of che transmission TPLAN

will open 201 files as recy

by dispatch or telepouch but it is the responsi-

bility of the des! to respos

to cable requests. Field stations are notified of

201 openings through receipt uf

Field master 201 record.

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