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2025 RELEASE UNDER THE PRESIDENT JOHN F. KENNEDY ASSASSINATION RECORDS ACT OF 1992

SECRET

DOHB 70-1-1

CHAPTER III

15 November 1974

ANNEX B

THE 201 SYSTEM

I, 27 October 1966

The 201 system prowd

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 volumne of corre-

spondence has accumulated.

2. THE 201 SYSTEM

The principal features of the 201 system are:

a. The 201 Number: a unique number, i.e., 201-1234587, assigned to each

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

individual.

b. The 201 Dossier: the official file

do the individual, i.e., per-

d. Main Index Master 201 Reference: this reference, printed in reply to an

Index Search Request, is printed as illustrated below. When data are absent

within the record, succeeding data items or lines will be moved up and the ref.

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DOHB 70-1-1

CHAPTER III, ANNEX B

15 November 1974

0002

CROIX,

WILLIAM PENDLETOL

SEX M DOB 12 APR 26.

BERLIN S

PHARMACIST

OCC CODE.

201-0Q32671*-

ТУРЕ МАЕ

OI CODES NA

RCO DATE 53

NOV 70

00833555

Information About Subject

1. Sequence Number and Name

2. Sex and Date of Birth

3. Citizenship

4. Place of Birth

5. Occupation

6. Occupation Code

7. Text

10. 01 Codes

11. Record Date (year only)

12. Reference

ISG Control Information

13. Date of latest update of the record

14. STAR Index Record Number

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DOHB 70-1-1

CHAPTER III, ANNEX B

15 November 1974

e. Ol Code: a two letter symbol used in

somality records in the 202 system to re

son with the 201 per-

ociation of an individual

with organizations or activities of ope

interest. OI codes cover intelli-

gence and security service affilia

agent, or known or

suspect, as well as activities anD

nterest. Ther

re two categories of Of

codes for use by components

(1) general Of ogdes (Attachin

(2) 01 codes assigned Da see

itic component for intelligence services

or other specific organizationg

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 to OI codes. An OI code may be assigned

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

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

at a later date by a Form 831 amendment.

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

personalities by 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

ponent, in coordination pa

a master 201 record Changes to

1

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DOHB 70-1-1

CHAPTER III, ANNEX B

15 November 1974

persons sho are only of local interest to a field station or Fleadquarters desk

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

need not be opened when a POA is requested

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

tional interest for training purposes only.

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

(3) MHFIXTURE personalities: bonafide diplomats

of other than

denied area countries, in close association with staff personnel.

(4) Subjects of a Personal Record Questionnaire Part I.

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

or more documents (see DOI 70-20).

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

ISR (opened only by IP/RMS).

b. Requesting a 201 File Opening

Headquarters desks may open a

filling out and submitting

a 201 Personality File Action Reques

831) to the Records fain-

831 is also used to create or amend the

machine listings and to register the assign-

201 Personality F

dedon Requett

station may request the gene fild 201 file by writing 201 in the Head-

box on the dispatch form and/or after the

subject's name in the body'of the dispatch. A telepouch request for a 201 opening

is made by indicating 201- in the file number line. A cable request is made by

placing 201- after the term "File" on the last line of the transmission. IP/AN

will open 201 files as requested by dispatch or telepouch but it is the responsi-

bility of the desk to respond to cable requests. Field stations are notified of

201 openings through receipt of the field master 201 record.

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DOHB 70-1-1

CHAPTER III, ANNEX B

15 November 1974

4. CONTENTS OF THE DOSSIER

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

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

decessor documents, it must

be consolidated into his personality

be one tract or ole proves, ley rene all or 70.20 for consolidation

procedures.

Material which is filed

a. 201 Pers

prefer our is not limited to:

guest (Form 831).

b. Biographic infoun

handwriting samples.

cluding photographs, fingerprints, and

?

c. Personal Record Questionnaire Parts I and II.

d. Operational and other security approvals.

e. Name check replies, requests, clearances, and approvals.

f. Acknowledgement of pseudonym.

g. 201 personality assessments and evaluations.

h. Copy of contract and termination papers.

i. Secrecy agreement.

j. Agent Duty Status Report.

"k. Training and evaluation.

this may include operational reporting

J. MAINTENANCE OF 201 DOSSIERS

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

have been made a part of the Central Records System as well as those which

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

on the subject to finance and other administrative papers.

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DOHB 70-1-1

CHAPTER III, ANNEX B

15 November 1974

a. Purging

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

362) unless it has been the basis for

the opening.

(3) All abstract slips.

(4) All document restriction notices (Form 1884).

(5) The disseminated version of positive intelligence information if

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

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

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

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

(7) Record copy documents which only repeat substantive information

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

by the Records Officer.

(8) Top Secret documents are

retained in a 201 dossier

I must be downgraded for retention

cross-reference sheet (Form 867) placed in the 201 file giving the location

of the IS document.

(9) Deferred documents (see 5b(2)).

b. Maintenance Procedures

(1) All material in a 201 dossier will be filed in document date order

In the case of document attachments which have been classified into a 30.

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DOHB 70-1-1

CHAPTER III, ANNEX B

15 November 1974

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

7

should be mounted i all size sheet of paper te bling in the 201.

employee and isi pratio

• d person who becomes a staff

#ited Copy documents will be restricted to

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

closed if there are no Record Copy documents in it.

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

name 201 if one exists or converted to the true name.

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

should be incorporated into the official 201 after the duplicate material

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

to that 201 by the Analysis Section (IP/AN).

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

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

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

(8) Desk memoranda

containing substantives

should be sent tate/

(9) An attachment whic

at me sonarated fron its basic document

for inclusion in a 201 persai

1dosster will be forwarded with the basic

document to IP/AN for processing into the 201.

(10) To retain the P&L, RYBAT, or KAPOK sensitivity of a document

in an envelope sealed with black tape (see DOI 70-17). Any RYBAT, P&L,

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

tape the entire dossier rather than inclividual docunients (see DOI 70-10).

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C

C

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DOHB 70-1-1

CHAPTER III, ANNEX B

15 November 1974

Black-taped dossiers

or

handled as restricted dossiers.

dossiers with black-taped documents will be

(11) An inactive 201 dossier or an

dossier on permanent charge should beliftive volume of a large 201

Routing and Record Sheet with,

meg to Central Files under a

'TRANSMI

PAFIDENTIAL

NO ECORD SHATT

TIVE 201 DOSSIERS

DATE

IXT SECRET

P/P1les

C-52

(For guidance see CSEE 70-1-1,

Chapter III, AaDox B.)

Tolumo(8) +_0_701ue(s)

of 201-_

Restricted Dossier

(Attach Pora 2021 to

Dosaler)

Non-Restricted Dosslor

(date)

a IP/P11a8. AlL

(dato).

BIDE

(X] SECRET

deas.

INTER.YAL

USE OLY

CL 87, 007077

O UNGLASSIFIED

• COMFIDENTIAL

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DOHB 70-1-1

CHAPTER III, ANNEX B

15 November 1974

6. 201 DOSSIER CHARGES

A 201 dossier may be kept on permanent chi

eat the desk during any

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

NOTICE OF TRANSFER OF DOCUMENT OR FILE ACCOUNTABILITY

TO:

HAMI

COMPOMKAT

This 1s to notify you that accountability for the document(s) and/or file(s) cited

below bas deen transferred to you by:

MAUR

DADET

Accordingly,

CONSOREAT

Ip's records now reflect you as the custodian.

Ext. 4362, 1f you have any questions regarding this transfer.

Please contact IP/Files,

SUBJECT OF AFOURST

DOC. DATE

DATE

TRANSFER

10792977 una rearroos carteone

COMFIDENTIAL

CL 87: 007677

The new action desk officer must then

Request (Form 813) to change the actic

for his component.

a 201 Personality File Action

designation to insure that the

Iquarters and field machine listing

lay be restricted by holding the file at the

(1) The dossier may be restricted by checking Box 2 on the 201

Personality File Action Request (Form 831) when the file is opened.

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DOHB 70-1-1

CHAPTER III, ANNEX B

15 November 1974

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

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

returned to Central Files for rétention, a File Restriction Notice (Form

021) must accompany the dossie

(3) The dossier may ben 57R (0

and held in Central Files by sub-

-IDENTIAL

• Pillad ins

IP/FI

GC -52

TUBE DT-6

FILE RESTRICTION NOTICE

IP/ DCU

GC -40

TUBE ET-1,

ACTION DESK:

1.

To restrict a file, complete Section A (signature of R.O. not

pecessary).

2.

To remove a restriction, complete Section B (R.O. signature

necessary).

Titt nuvoen

SECIMION A

RESTRICT TO: (Use country of non-country code number. See CSI 70-28).

RESTRICTED BY:

COMPONENT:

Date:

SECTIN E

REMOVE RESTRICTION (AUTEORIZED BY)

COMPONENT:

2079 2026 239949900

Date:

COMFIDENTIAL

R.O. No..

E-2, IMPOET CL BY, CC7A27

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

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

hold in cared are tried deser a l he entire disor estiod dipie

routed cover sheet to the resticting lesk. This del may then forward the fil

o the requester or deny the

dossier, permanently or temp

desk by Central Files.

dossier, or a document within a restricted

Saharged to a desk, will be referred to that

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DOHB 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

7

'Requests pertaining to

fewer names or numbers may be made by

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

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

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

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

9. 201 DOSSIER CANCELLATION

A 201 file may be authorized for cancellation by a Records Officer, after

appropriate coordination. The file should be forwarded to IP/RMS which will

destroy the folder and the cards leading to it and will remove the name and

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

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

(IP/DU) as directed by the desk Records Officer.

10. 201 MACHINE LISTINGS

Machine listings provide field stations and Headquarters desks with names

and 201 numbers in the requester's particulars

agraphic or functional area of

interest. If a component wishes to exclyde

agitive 201 personality from its

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

(Form 831) leave thecau

and interest desk (Box 16)

blank, use the non-co

a. Standard Listings

Issued semi-annually to Headquarters and the field; based on a component's

interest as indicated in the "Action Desk," "Country of Location," and "Interest

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FOR A CHINA

CHEY,

DOHB 70-1-1

CHAPTER III, ANNEX B

15 November 1974

Desk" blocks on the 201 Personality File Action Request (Form 831). The

standard listings available are:

- (1) Alphabetical by surnam

lead

ng to a 201 number

(2) Alphabetical by given pare

(3) Alphabetical on typ

leading to a 201 number;

to a cryptonyn

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Rot ear

DOHB 70-1-1

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 information and must be give

b. Non-Standard Listings

(1) Country of flocat

(2) 01 codes

ADITED

agence. affiliation)

(3) Citizenship

(4). Year of birth (plustor

minus a given number of years)

• (5) Occupation.

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

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

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

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

and. I920, with the occupation computer specialist, who are now citizens of the

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

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

O1 code AA. Those personalities with an OI 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 moré than one

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

some trade or manual occupation, i.e., carpenters; bricklayers painters, mechanics

will electricians i a list is request ease electricians att

ers in this category

will be included in the printout. These nomstandard

(arranged) according to any, but not

listings may be sorted

(a) Surname

(b) Given name

PEP MIU

three of the following keywords:

"(c) Date of birth

(d) Country of birth

PROHIBITED

(e) Citizenship

(f) OI code

(g) Location

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DOHB 70-1-1

CHAPTER III, ANNEX B

15 November 1974

Sorts can-be made within sorts. For

personality, those names with two

c. Schedied it RUMiDilED/

listings printed semiannually.

..d. Special Listings

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

in response to special operational requirements.

e. Request for Listings

All requests for standard or non-standard alphabetical and numerical 201

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

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

Records Management Officer.

REPRODUCTION

PROHIBITED

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DOHB 70-1-1

CHAPTER III, ANNEX B

Attachment 2

15 November 1974

AUTOMATIC 201 DOSSIER OPENINGS

on the following cate-

gories of people.

1. Arab Republic of Egyp

a. Diplomats with rank of this Ds

b. Military attaches and assist

RCHIBITED

above.

nt military attaches

c. Intelligence officers of the General Intelligence Department (GID))

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

of name and additional biographic data.)

2. British Commonwealth)

a. All positively identified members of MI-5) and (MI-6) the British Intelligence

Services.

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

(IMIS).

c. Canadian) Communist Party officials

officials of the Canadian Communist

al or provincial levels and

organizations. Do not open

unless there is at leasta date gabirt

given

d. All members of

the Security Service o

Royal Canadian Mounted)

"Police (RCMPS)

3. Cuba

Intelligence service employees (DSE, DGI).

" Israel'

a. All Israeli diplomats. C/NE/ISR should be indicated as

the originating

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

l. Military attaches.

c. Assistant military attaches.

il. Identified intelligence officers.

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DOHB 70-1-1

CHAPTER III, ANNEX B

Attachment 2

15 November 1974

5. North Vietnain

c. Audio technicians, after coordination with SE desk concerned:

d. Students who will be studying abroad for a full academic year at institutions

of higher learning.

REPRODUCTION

PROMIBITED

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