## Page 1

AAA

1104-10439-101

1.:.

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

re: HCSA Request of 9 March, 1978, item #2:

"A statement, including any written regulations,

which establishes the criteria utilized by the

CIA in classilying its relationships with individuals

with whom it has had contact....

Attached are:

1.

DEFINITIONS OF:

2. Has 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)

---

## Page 2

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) Not knowing; unconscious; unaware.

2) Unintentional.

---

## Page 3

13-00000

S-E-C-R-E-T

HQ. INSTRUCTION SHEET 733

REd.

HR 20

REMOVE

мод.

111

125-

127

INSERT

EXPLAMATION

DATE

2/6/73

3/9/64

its:

HR 20

DATE

iii

2/23/73

125-

127

2/23/73

Paragraph 53 is revised

to redefine.catereries. of

contract personnel

Minor

revisions are made to up-

date the paragraph.

128

6/16/70

128 -

131

2/23/73

HN 20-

129

3/9/64

Former paragraph 54, Pro-

curement Contracts for the

Services of Individuals,

is renumbered 55 with no

change in text.

New paragraph 54, Agents,

is added to establish

authorities and responsi-

bilities for the manage-

ment of agents and to

clearly distinguish

between agents and contrast

personne

Rescinded.

Arrows in the page margin show the locations of the changes

described above.

DISTRIBUTION:

AB

, E2 IMPDET

S-E-C-R-E-T

CL BY: 002230

---

## Page 4

13-00000

ta

PERSONNEL

SECRET

HR 20

CONTENTS- Continued

Paragraph

Title

J. VOLUNTARY RETIREMENT

k. DISCONTINUED SERVICE BENEFITS

1.

Not used.

m.

INVOLUNTARY RETIREMENT

MANDATORY RETIREMENT FOR AGE

o. CONTRIBUTIONS TO THE FUND

p. PERIOD OF SERVICE FOR ANNUITIES

q.

COMPUTATION OF ANNUITIES

RECALL OF RETIRED PARTICIPANT

s. REEMPLOYMENT OF RETIRED PARTICIPANT

t. MONIES.

u. LIMITATION ON NUMBER OF RETIREMENTS

Page

118.10

118.10

118.10

118.11

118.11

118.13

118.16

118.19

118.19

118.19

118:20

SECTION VIII: MANAGEMENT OF NONSTAFF PERSONNEL

51.

52

53.

54.

55.

56-59.

PERSONNEL DETAILED TO OR FROM THE AGENCY

CONSULTANTS

CONTRACT PERSONNEL

AGENTS

PROCUREMENT CONTRACTS FOR THE SERVICES

INDIVIDUALS

Reserved

119

123

125

128

OF

130

60.

SECTION IX: RECORDS AND REPORTS

PERSONNEL RECORDS AND REPORTS

155

Figure

1.

4a.

6.

7.

8.

9.

10.

11.

12.

Title

DISTINGUISHED INTELLIGENCE CROSS

DISTINGUISHED INTELLIGENCE MEDAL

INTELLIGENCE STAR...

INTELLIGENCE MEDAL OF MERIT

CAREER INTELLIGENCE MEDAL

EXCEPTIONAL SERVICE MEDALLION

• RETIREMENT MEDALLION

Page

94.1

94.1

94.1

94.1

94.1

94.1

94.1

FORM 600, RECOMMENDATION FOR HONOR OR MERIT

AWARD

95

Reserved

OFFICIAL SEAL OF THE CENTRAL INTELLIGENCE AGENCY 100.2

AGENCY FLAG

100.2

AGENCY PLAQUE

100.2

TABLE OF PERMISSIBLE CHANGES IN ENROLLMENT OF

EMPLOYEES

106

Attachment

Title.

1.

BIOGRAPHIC DATA TO BE SUBMITTED BY AN EMPLOYEE

2.

UNDER COVER ON AN INTENDED SPOUSE

FORM 3154, SERVICE ABROAD AGREEMENT

Page

29

52.1

Revised: 23 February 1973. (733)

111

SECRET

E2 IMPDET

CL BY: 002230

---

## Page 5

13-00000

SECRET

PERSONNEL

HR 20-53

N*53. CONTRACT PERSONNEL. This paragraph sets forth policy, authorities,

and responsibilitles 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 FIR 20-54).

2. GENERAL. There are two categories of contract personnel: contract employees

and independent contractors.

(1) CONTRACT EMPLOYEES. Although they are not appointed employees,

contract employees are employees of the U.S. Government. They have all

the rights and privileges granted by law to U.S. Government employees

in accordance with their citizenship status as well as those rights and

privileges specified in their contracts. They work under supervised con-

ditions and are compensated on a salary basis. Contract employees are

grouped into three categories:

(a) Career Associate (Type C) Contract Employees: Contract employees

who perform duties, usually of a clandestine and operational nature,

on & 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 staii employee.

(b) Internal (Type I) Contract Employees: Contract employees, engaged

for a specific period of time, who normally work inside Agency instal-

lations. They are required to meet the same security approval criteria

as staff employees, but are permitted only such access to classified

information as is authorized in their security approval and is required

in the performance of their duties.

(c) External (Type E) Contract Employees: Contract employees, engaged

for a specific period of time, who normally work outside Agency in-

stallations. They are not required to meet the same security approval

criteria as staff employees and are not permitted the same access

to Agency installations as staff employees or internal contract em-

ployees. They are permitted only such access to classified information

as is authorized in their security approval and is required in the per-

formance of their duties.

(2) INDEPENDENT CONTRACTORS are not employees of the U.S. Government.

They are self-employed individuals who are engaged under contract to

provide specific services. They receive only the compensation and benefits

considered necessary to retain their services. In the Operations Directorate,

their duties are normally limited to historical research and analysis and

to the direction, utilization, spotting, or support of agents. They normally

do not carry out espionage or covert action tasks. (Care must be taken

to distinguish between independent contractors, defined herein, and agents,

POLICY

(1) Contract personnel may be engaged when.

(a) it is necessary to provide for operational or support needs which can-

not be met through the use of available staff personnel;

(b) services are required of particularly well-qualified individuals who

cannot meet all requirements for staff employment;

→ Revised: 23 February 1973 (733)

SECRET

E2 IMPDET

CL By: 002230

125

---

## Page 6

13-00000

SECRET

HR 20-53b(2)

PERSONNEL

126

(c) there is & requirement to meet operational needs without obligating

the Agency to long-term employment;

(d) the nature of the mission for which the individual is being engaged

precludes his being subject to administrative control or working spe-

cifically defined hours;

(e) the individual's primary employer or interest is not the Agency and

the services the Agency desires from him are supplementary to his

primary interest or vocation; or

(1) there is a long term requirement for personal services which, for op-

perational or security reasons, cannot be performed by Agency staff

personnel.

(2) The engaging of contract personnel is subject to the following restrictions:

(a) New contracts, contract renewals, and contract amendments for in-

dividuals under current or anticipated nonofficial cover, must have

prior approval of the appropriate component of the Operations Direc-

torate.

(b) Contract personnel may be engaged only for approved activitles for

which funds have been made available. Funds for these activities will

be budgeted annually and will not exceed limitations imposed by the

head of the component concerned.

• (c) Contract employees are subject to directorate manpower controls and

ceilings established by the Director of Central Intelligence during the

annual budgetary review cycle. Independent contractors are excluded

from ceiling controls.

(d) Contracts will, whenever possible, be written and signed. However,

when special security or operational factors prevent the execution of

a formal written contract, a memorandum in lieu of such a contract

may be prepared to document the commitments and obligations of the

Agency and the individual.

(d) Appropriate security or operational approvals will be obtained before

any contractual commitments are made to individuals and before any

disclosure to them of classified information.

(f) No commitments relating to the use of the services of an employee of

another Government agency will be made without prior approval of

the Operating Official or Head of Independent Office concerned and

the Director of Personnel.

(g) No commitments will be made to contract personnel that appointed

employment status will be offered at the conclusion of or during any

period of their contract service; without prior approval of the Director

of Personnel and the Director of Security. •

(h) Contract employees must meet Agency medical standards prior to the

approval and authentication of their contracts. A psychological assess

ment and psychiatric evaluation of those contract employees in whom

the Agency may have more than a short-term interest will be carried

out whenever feasible.

(i) Independent contractors are normally not required to meet Agency

medical standards; however, if their contract contains any provision

which obligates the Agency to provide medical or disability benefits

a satistactory medical examination is required, to include a psycho-

logical assessment and psychiatric evaluation, if necessary.

→Revised: 23 February 1973 (733)

SECRET

P.

---

## Page 7

13-00000

SECRET

SONNEL

PERSONNEL

HR 20-53c

obligating

; engaged

king spe-

ency and

Ty to his

1, for op-

incy staff

strictions:

as for in-

aust have

ons Direc-

ivities for

vities will

ed by the

strols and

luring the

• excluded

However,

ecution of

a contract

ons of the

ned before

before any

nployee of

pproval of

erned and

appointed

luring any

le Director

rior to the

ical assess-

s in whom

be carried

set Agency

y provision

sy benefits,

& psycho-

(j) Contract personnel candidates whose employment with the Agency

cannot be acknowledged must be provided adequate cover and an ap-

propriate cover legend. This requires that legal entitlements and other

contractual benefits be provided and tax liabilities satisfied in a

manner consistent with the character of the cover and cover legend.

(k) Although staff employees are expected to sever active connections with

the Agency upon retirement, there may be instances in which continua-

tion in service under contract after retirement is necessary or clearly

in the best interests of the Agency. The use of retired annuitants under

contract is governed by policies specified in HR 20-13.

(1) Not used.

(m) Contracts providing for basic compensation at a rate which, if pro-

jected on an annual basis, would exceed the maximum annual rate

for a GS-15, will not be executed without the approval of the Director

of Central Intelligence. All such requests will be forwarded through

the Director of Personnel for his recommendation.

c. RESPONSIBILITIES

(1) THE DIRECTOR OF. PERSONNEL will

(a) formulate contract personnel management policies and procedures and

provide guidance in improving the effectiveness and flexibility of the

program within the Agency;

(b) monitor contract personnel management to assure consistency among

the directorates while giving due regard to their differing needs;

(c) provide a repository for sensitive suitability information using the

guidelines for special files set forth in HR 20-60b(4);

(d) approve and authenticate contracts;

(e) monitor contract employee celling authorizations established by the

Director of Central Intelligence;

(f) maintain computer-based records on contract personnel and ensure

currency and accuracy of input and output data.

(2) THE DIRECTOR OF SECURITY will

(a) establish standards and procedures for granting security approvals

which meet the Agency's contract personnel requirements;

(b) grant security approvals for the use of contract personnel including

their access to classified information and Agency installations;

(c) ensure currency and adequacy of security approvals by making periodic

reviews and reevaluations;

(d) provide a repository for all security information pertaining to con-

tract personnel.

(3) THE CHIEF, CENTRAL COVER STAFF will

(a) provide cover and cover legends for contract personnel whose em-

ployment by the Agency cannot be publicly acknowledged;

(b) ensure currency of such cover and cover legends by making periodic

reviews and reevaluations;

(c) ensure that the methods of providing legal entitlements and con-

tractual benefits and satisfying tax liabilities are consistent with as-

signed cover and cover legends.

(4) THE DIRECTOR OF MEDICAL SERVICES will

(a) establish standards and procedures for medical and psychiatric evalua-

tlons and for psychological assessment of contract personnel;

1973 (733) -Revised: 23 February 1973 (733)

127

SECRET

E2 IMPDET

CL By: 002230

---

## Page 8

13-00000

SECRET

HR 20-54

PERSONNEL

r (b) make periodic reviews and medical reevaluations of contract personnel

when requested to do so.

(5) DEPUTY DIRECTORS AND HEADS OF INDEPENDENT OFFICES will en-

sure directorate uniformity of contract administration in matters such as

qualifications determination, compensation, allowances and other benefits,

personnel record keeping, systematic cost accounting, performance evalua-

tions, cover determination and training, terminations, and security and

medical approval processing requirements.

(6) THE DIRECTOR OF TRAINING will provide appropriate training courses

and facilities for contract personnel.

(7) THE DIRECTOR OF FINANCE will

(a) administer pay, leave, and allowance entitlements of contract person-

nel consistent with contract provisions and cover requirements;

(b) in coordination with the Covert Tax Board, administer a secure system

for the settlement of Federal income tax and social security tas ob-

ligations.

d. AUTHORITIES

(1) The Director of Personnel, his Deputy, and the Special Contracting Officer

(Chief, Contract Personnel Division) are, upon request of a Deputy Director,

an Operating Official, Head of Independent Office, or a duly appointed

contract approving officer, authorized to execute, amend, renew, and

terminate contracts with contract personnel.

(2) Deputy Directors and Heads of Independent Offices may designate Con-

tract Approving Officers to approve contracts when payment is to be

charged against funds under their control.

(3) Authority delegated to Chiefs of Station and Base under the provisions of

FR 20-31 is subject to the following limitations:

(a) All contracts executed in the field will be subject to review by the

Director of Personnel.

(b) Deputy Directors may limit the exercise of the authority granted to

eat do to i the ira all be sublet to revier by the

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 fleld

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 Genéral Counsel under such conditions as he may

prescribe.

• PROCEDUrEs. Requirements. and procedures concerning personnel record.

ersonnel actions, security approvals, cover, cover salary, medical evaluation

compensation, qualifications determination, training, and processing of con-

tracts, are set forth in HHB 20-12.

54. AGENTS. This paragraph sets forth policy, responsibilities, and authorities

concerning the engagement and the management of agents.

a, GENERAL. Agents are witting manpower assets, unique to the Operations

Directorate, who carry out espionage and covert action tasks on behalf of the

Agency. Agents are not employees of the U.S. Government. They are self-

time. Care must be taken to distinguish between agents, defined herein, and

independent contractors, defined in HR 20-53a (2).

128

Revised: 23 February 1973 (733)

SECRET

*PERSONNEL

b. POLICY

(1) Agents cannot

Government em

with normal per

(a) Initial appri

commitmen:

an agent.

(b) Agents will y

and a mani

and control

(1) No com

pensati

at a rati

maximi

This Hiri

does no

.. (2) No com

fits, wit

benefit

normal!

expensi

(3) NO COMI

will be

mitmer

Operat

Securit

(c) Engagemer!

controls.

(d) In general

ards. Howt

to provide

be carried

(e) Agents wh:

the United:

their assor

tax liabill!!

20-35.)

(f) The use of

will be go

(2) All commitme

Formal Agreer!

(a) A Forma

an author.

tlated whi

• (b) A Memors

ment, sigr

agent. Ust

those castl

agent's sil

(c). An agent:

randum o

→ Revised: 23 Februa:

---

## Page 9

13-00000

SECRET

HR 20-546

r,

d

d

h

id

it

sy

LS.

es

.

he

II-

nd

3)

PERSONNEL

b. POLICY

(1) Agents cannot claim rights and privileges normally granted to U.s.

Government employees; therefore, they will not be managed in accordance

with normal personnel and administrative standards.

(a) Initial approval of the Counter Intelligence Staff is required before any

commitments are made or any classified information is disclosed to

an agent.

(b) Agents will receive compensation, benefits, and emoluments in amounts

and a manner deemed best by the Operations Directorate to motivate

and control them, subject to the following limitations:

(1) No commitment may be made to an agent to provide gross com-

pensation (basic compensation, additional compensation, fees, etc.)

at a rate which, if projected on an annual basis, would exceed the

maximum rate for a GS-15, without prior approval of the Director.

This limitation applies only to payments made by the Agency, It

does not apply to bona fide cover income.

(2) No commitment may be made to an agent to provide special bene-

fits, without the prior approval of the Director of Personnel. Special

benefits are Agency obligations other than basic compensation,

normal overseas cost of living payments, and travel or operational

expenses.

(3) No commitment may be made to an agent that appointed status

will be offered at the conclusion of his service unless such com-'

mitment has been recommended by the Deputy Director for

Operations or his designee, with the concurrence of the Director of

Security, and has been approved by the Director of Personnel.

(c) Engagement of agents will not be subject to Agency personnel ceiling

controls.

(d) In general, agents will not be required to meet Agency medical stand-.

ards. However, if an agreement with

an agent obligates the Agency

to provide medical or disability benefits, a medical examination will

be carried out, unless precluded by security considerations.

(e) Agents who are U.S. citizens, resident aliens, or foreign nationals in

the United States, must pay Federal tax on all income derived from

their association with the Agency, Procedures for satisfying Federal

tax liability will be determined by the Covert Tax Board. (See HR

20-35.)

(f) The use of retired civilian annuitants of the U.S. Government as agents

will be governed by policy set forth in HR 20-13.

(2) All commitments made or implied to agents will be recorded in either a

Formal Agreement or a Memorandum of Oral Commitment.

(a) A Formal Agreement is a written agreement, signed by the agent and

an authorized Agency representative. Formal Agreements will be nego-

tiated whenever operationally feasible.

(b) A Memorandum of Oral Commitment is a written record of an agree-

ment, signed by an authorized Agency representative but not by the

agent. Use of Memorandums of Oral Commitment will be limited to

those cases when it is in the Agency's best interest not to solicit an

agent's signature on a Formal Agreement.

(c) An agent will never be given a copy of the Formal Agreement or Mema

randum of Oral Commitment.

→ Revised: 23 February 1973 (733)

129

SECRET

E2 UMPDET

CL By: 002230

---

## Page 10

13-00000

SECRET

HR 20-55

PERSONNEL

rc. RESPONSIBILITIES AND AUTHORITIES

(1) The Deputy Director for Operations is authorized to

(a) formulate procedures for the engagement and management of agents

and to issue operating directives and special instructions, as necessary,

to control the use of agents by headquarters and fleld units;

(b) execute, amend, renew, and terminate Formal Agreements and Memo-

randums of Oral Commitment with agents; and to review Formal

Agreements and Memorandums of Oral Commitment executed in the

field;

(c) suspend procedures implied in this regulation upon his personal deter-

mination that operational and security aspects of an agent's manage-

ment are so sensitive as to require processing through special channels.

(2) The Director of Personnel is authorized to

(a) approve, after coordinating with affected Agency components, the

commitment to an agent that he will receive special benefits;

(b) approve the commitment to an agent that he will be offered appointed

status at the conclusion of his service, when such commitment has

been recommended by the Deputy Director for Operations or his des-

ignee, with the concurrence of the Director of Security;

(c) execute, amend, renew, and terminate Formal Agreements and Memo-

randums of Oral Commitment when requested to do so by the appro-

priate Operations Directorate approving officer. This authority may also

be exercised by the Deputy Director of Personnel and the Special Con-

tracting Officer; Office of Personnel.

(3) All Formal Agreements and Memorandums of Oral Commitment written

under the authority of this paragraph will be subject to legal review by

the General Counsel under such conditions as he may prescribe.

55. PROCUREMENT 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 in subparagraph b(3) below, all proposals for such

procurement contracts and their renewal must be justified in writing by

the component seeking the services and be submitted to the Director of

Personnel for his approval before commitments are made or negotiations

started. These proposals will describe in some detail the services to be ren-

dered, the qualifications required, the proposed duration of the task, and

the reason or reasons why a procurement contract is judged to !

best method of acquiring the needed services.

130

Revised: 23 February 1973. (733)

SECRET

PERSONNEL

(2) The Directs

personnel &

examine th

sonnel. If t

rector of P

Office of In

tract reques

are written

HR: 45-2.

• (3) The approvi

(a) for pro

dental

reports,:

task pe

time (r)

(b) for pro

requires

testing.

follow-y

tion—r

above.

c. RESTRICTIONS

(1) Operating ‹

through thi

erly briefed!

Agency infc

Operating &

the relatior

affects the

curity clear

(2) Technical 1

• procuremen

employer-eJ

organizatio

istrative au

the Agency:

cies, private!

56-59. Reserved.

Revised: 23 Februl

---

## Page 11

13-00000

SECRET

PERSONNEL

HR 20-55c

(2) The Director of Personnel will ascertain whether any staff or nonstaff

personnel are avallable to perform the needed services. If not, he will

examine the feasibility of satisfying the requirement by hiring new per-

sonnel. If this latter course of action also proves impracticable, the 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 & con-

tract request to the appropriate procurement unit. Procurement contracts

are written under the authority of the Director of Logistics as stated in

HR 45-2.

(3) The approval of the Director of Personnel is not required

(a) for procurement contracts involving the services of individuals 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.

c. RESTRICTIONS

(1) Operating Officials are responsible for monitoring all personnel acquired

through these procedures. They will ensure that such personnel are prop-

erly briefed and thoroughly understand any limitations on their access to

Agency information and buildings and other pertinent security restrictions.

Operating Officials are required to advise appropriate offices at any time

the relationship or use of such individuals is subject to a change. which

affects the terms of their contractual arrangements, their status, or se-

curity clearances.

(2) Technical representatives and other types of personnel engaged under

procurement contracts or other agreements which do not create a direct

employer-employee relationship are prohibited by law from holding formal

organizational positions or positions requiring the exercise of any admin-

Istrative authority. They are also prohibited from formally representing

the Agency in meetings with representatives of other Government agen-

cies, private industry, or foreign governments or industries.

56-59. Reserved.

Revised: 23 February 1973 (733)

SECRET

E2 IMPDET

CL

By: 002230

131

---

## Page 12

13-00000

SECRET

DDO INSTRUCTION

NO. 50-10

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. GENERAL

a. Elemental in the conduct of clandestine operations is the use of human

agents to accomplish the missions of the Operations Directorate. In gen-

eral, it is DDO policy to select agent assets with primary regard to the

agents' abilities, target access, and security, and with few restrictions as

to their origins, professions or status as members of particular groups. The

basic rule is that any consenting adult may be used by the Operations

• Directorate. There are, however, certain sensitive categories of individuals

or groups whose operational use by the Operations Directorate is prohibited

or in some way restricted for reasons not necessarily related to security

considerations.

b. These prohibitions or restrictions stem from one of the following:

(1) The Agency has been directed by U.S. Governmental authority to

restrict or avoid the operational use of a particular category of in.

dividuals.

(2) The Agency has entered into a special restrictive agreement with an

organization, government, corporation, or official responsible for a

category of individuals.

(3) The Director or the Deputy Director for Operations has imposed

restrictions on the operational use of a certain category of individuals

due to the extreme risk or sensitivity of such exploitation.

2. PURPOSE

The purpose of this instruction is to set forth the prohibitions and policy

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

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

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

propriate, reference has been made to another publication which provides

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

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

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

and DOI-F 10-5. (attached)

1

SECRET

E-2 IMPDET

---

## Page 13

13-00000

SECRET

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 "operational use"

employed throughout this instruction has been defined in the most succinct

manner consistent with clarity. It has not been feasible, however, to cover in

a definition the entire scope of possible variations in operational circumstances

which may be encountered in DDO activities. The definition of "operational

use" is intended to provide guidance for the majority of cases, and must be.

employed with responsible operational judgment. Issues involving a deter-

mination of "operational use" which cannot be resolved with reasonable as-

surance by the responsible operating components will be referred to the

Deputy Director for Operations for decision.

a. Operational Use

Operational use is interpreted to mean the recruitment, utilization, or train-

ing of any individual or group for DDO purposes on either a witting or

unwitting basis by or on the behalf of an element of the Operations Direc-

torate. Utilization is made of an individual or group whenever that in-

dividual or group, responding to the direction or solicitation of a DDO.

element, provides information, performs services, provides cover, or supplies

financial, material, or other support necessary for the accomplishment of

DDO operational objectives either directly or indirectly, to or for an ele-

ment of the Operations Directorate.

b. DDO Element

Any person or group who or which is responsible to, owned or controlled

either directly or indirectly by the Operations Directorate. Included under

this definition are employees or members of Agency proprietary mech-

anisms.

c. Operational Contact

Any association having as its purpose the initiation or furtherance of DDO

operations.

4. RESTRICTIONS ON OPERATIONAL USE

a. Restrictions on the operational use of individuals or groups are.of four types

and cover twenty five separate categories as outlined below and as described

in greater detail in paragraphs 5 through 8 of this instruction:

(1) Operational Use is Prohibited (see paragraph 5):

(a) Members and trainees of ACTION;

(b) Fulbright grantees;

SECRET

---

## Page 14

13-00000

SECRET

DDO INSTRUCTION

NO. 50-10

DOI 50-10

OPERATIONS-GENERAL

4 September 1973

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

Freedom;

(d) Officials, employees, or grantees of the Ford, Rockefeller and

Carnegie Foundations;

(e) Employees of U.S. private detective investigative agencies.

(2) Operational Use Requires Special Extra-Agency Concurrence (see

paragraph 6: AND APPROVATE

OF SAlADDO,

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

(b) DDO agents

or assets in the United States; *

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

other U.S. agencies;

(d) Citizens (or persons documented as citizens) of Australia, Canada;

the United Kingdom (including its overseas dependent territories)

and New Zealand;

(e) Citizens of Norway, West Germany and The Netherlands;

(f) Merchant seamen on ships of certain countries.

(3) Operational Use Requires Special Approval by the DDO (see para-

graph 7):

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

mation media;

(b) CARE employees;

d) Officials, representatives, or employees of Communist countrie

in the United States;

(e) Foreign delegates or employees of the United Nations assigned

in the U.S. and U.S. citizen delegates or employees wherever

assigned;

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

(g) Officials of the Vatican State;

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

(i) Members of educational or private voluntary organizations;

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

(k) Volunteers to America.

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

paragraph 8):

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

(b) Non-U.S. citizen delegates or employees of United Nations or-

ganizations not assigned in the U.S.; :

(c) Members of the academic community.

b. Operational use of an individual who comes under more than one type of

restriction will be controlled by the highest type of restriction applicable

in his particular case.

.3

SECRET

---

## Page 15

13-00000

SECRET

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 of the

Agency only if a period of five full years has elapsed since his

separation from ACTION.

(b) An Agency-controlled organization may hire a former member of

ACTION, but only for duties related to the overt purposes of such

organization, if a period of at least twenty-four months has elapsed

since his separation from ACTION.

(c) The employment or use of a former member of ACTION under

the provisions of subparagraph (a) or (b) above must have the

specific prior approval of the Deputy Director for Operations.

(3) Former trainees whose ACTION service included duty or training over-

seas are subject to the rules governing employment or use of former

members of ACTION (subparagraph (2) above). Former trainees who

did not serve at any time as members of ACTION and whose ACTION

service did not include duty or training overseas may be employed or

used operationally by DDO elements provided the specific prior ap-

(4) A former member or trainee of ACTION whose employment or use

is permitted by subparagraph (2) or (3) above may not be assigned

to or used in a country for which he had been trained or to which

he had been assigned while with ACTION.

(5) Information may be received by the Domestic Collection Division

from private corporations and other organizations employing former

ACTION personnel, notwithstanding the fact that the information may

originate with former ACTION personnel. However, any direct brief-

ing or debriefing of or contact with former members or trainees of

ACTION is subject to the following:

(a) The specific prior approval of the Deputy Director for Operations

must be obtained.

SECRET

---

## Page 16

13-00000

SECRET

C

DDO INSTRUCTION

NO. 50-10

DOI 50-10

OPERATIONS-GENERAL

4 September 1973

(b) If the individual is a former member of ACTION, or a former

trainee whose ACTION service included duty or training over-

seas, five years must have elapsed since his separation from

ACTION.

If contact with a former ACTION member or a former trainee whose

ACTION service included duty or training overseas should be un-

avoidable during the required five year waiting period, the Deputy

Director for Operations may request an exception from the Director

of Central Intelligence. Among the possible reasons for such unavoid-

able contact would be the designation of a former member or trainee

as the liaison officer to the Domestic Collection Division.

b. Fulbright Grantees

DDO policy prohibits the operational use of individuals who are receiving

U.S. Government support under certain provisions (see below) of the

Mutual Educational and Cultural Exchange Act of 1961, as amended,

commonly known as the Fulbright-Hays Act. Falling under this prohibi-

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

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

scholarships or grants by the Board of Foreign Scholarships appointed

by the President of the United States. Operational use of such individuals

is prohibited only during the period when they are participating in the

educational and cultural exchange program. This prohibition specifically.

does not apply to the several other categories of grantees supported by

other provisions of the Fulbright-Hays Act such as artists, athletes, leaders,

specialists or participants at international trade fairs or expositions who

do not come under the aegis of the President's Board of Foreign Scholar-

ships (see 7.j., below).

c. Officials or Employees of the International Association for Cultural Freedom

DDO policy prohibits the operational use of the officials or employees

of the International Association for Cultural Freedom. Contacts with such

individuals which DDO officers are obliged to make in their cover ca-

pacities must be limited to their cover assignments.

d. Officials, Employees, or Grantees of the Ford, Rockefeller and Carnegie.

Foundations

DDO policy prohibits the operational use of grantees of the Ford Founda-

tion, the Rockefeller Foundation or the Carnegie Foundation or of other

persons actively participating in programs which are wholly sponsored

and controlled by any of these foundations. Additionally, there will be

no operational use made of the officials or employees of these organiza-

tions. In general, however, there is no restriction on nonoperational con-

tacts or consultations with such individuals.

5

SECRET

---

## Page 17

13-00000

SECRET

DDO INSTRUCTION

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 their

cover functions.

(2) Any approach in the United States by a DDO element for recruit-

•ment of any foreign official or of any visitor from a Communist country

requires the prior concurrence of the FBI.

(3) Any planned meeting in the United States for assessment and social

development between a DDO element and a foreign official of known

fication be provided to the FBI.

(4)

Whenever domestic DDO operations involve matters pertaining to

the national security of the United States, appropriate identification

of persons engaged in the operations in the United States will be

SECRET

---

## Page 18

13-00000

SECRET

DDO INSTRUCTION

NO. 50-10

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 United States for operational

¡ Agents and Human Sources of Foreign Intelligence Registered by Other

U.S. Agencies

The Interagency Source Register (ISR) has been established at head-

quarters to provide for United States Intelligence Board (USIB) agencies

a centralized record of agents and human sources of foreign intelligence.

A principal purpose of the ISR is to register primacy of interest and

prevent multiple recruitment or unintentional duplicate operational use

of such agents and human sources. It is USIB policy that no individual

registered in the ISR by one USIB agency will be used for operational pur-

poses by any other USIB agency without the specific prior approval of the

agency having primacy of interest. If a DDO element desires to arrange the

transfer or joint operational use of a registered individual, the ISR will con-

tact the agency having primacy of interest to determine whether there is a

willingness to discuss this matter.

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

United Kingdom (including its Overseas Dependent Territories) and

New Zealand

(1) The operational use of citizens of the above-named countries (includ-

ing the overseas dependencies of the United Kingdom) is restricted

by agreements with the intelligence or security authorities of such

countries, which require the prior approval of the appropriate liaison

authority. Such approval will be obtained at the earliest feasible stage

of development through the European Division (in the case of citizens

of Canada or the United Kingdom), or through the East Asia Division

(in the case of Australian or New Zealand citizens).

(2) The above restriction also governs the use of false. documentation

representing DDO staff or agent personnel as citizens of the above-

named countries. Approval for the use of such documentation will

be sought through the same channels as stated in subparagraph (1)

above.

(3) Authority to make operational use of the persons or documentation

described in the above subparagraphs without obtaining the prior

approval of the liaison authority concerned may be granted only

by the Deputy Director for Operations or by the Director.

SECRET

---

## Page 19

13-00000

SECRET

DOI 50-10

DDO INSTRUCTION

NO. 50-10

OPERATIONS-GENERAL

4 September 1973

e. Citizens of Norway, West Germany and The Netherlands

The operational use of any citizen of Norway, West Germany or The

Netherlands is, under certain conditions, contingent on prior approval

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

ticularly sensitive in cases involving the operational use of their citizens

who are merchant seamen and who are serving on ships carrying their

flags. Each case involving the proposed operational use of a citizen of

one of these countries will be reviewed by the Chief of the European

Division in the light of the agreements existing between this Agency and

the national intelligence service concerned. After weighing all of the

equities, the Chief of the European Division will decide whether approval

is required from the national intelligence service concerned. When re-

quired, approvals for the operational use of such individuals will be

obtained from the appropriate national intelligence services by the Euro-

pean Division.

f. Merchant Seamen on Ships of Certain Countries

The operational use of merchant seamen, regardless of their citizenship,

who are serving on ships carrying the flags of Australia, Canada, the.

United Kingdom (or its overseas dependencies), New Zealand, Norway,

West Germany or The Netherlands is, under certain conditions, subject

to provisions of the agreements existing between this Agency and the

national intelligence service concerned. Each case involving the proposed

operational use of such a merchant seaman will be reviewed by the Chief

of the European Division or the Chief of the East Asia Division, as ap-

propriate, in the light of the pertinent interservice agreements. After

weighing all of the equities, the Chief of the European Division or the

Chief of the East Asia Division will determine the course of action to

be taken with regard to the national intelligence service concerned.

7. APPROVAL. BY THE DDO REQUIRED

Approval by the Deputy Director for Operations for the operational use

of any individual who falls into one of the categories described in this para-

graph will be requested by memorandum. The individual's covert approval

status will be described in the memorandum to the Deputy Director for

Operations, together with a concise explanation of the intended operational

use. (In connection with this paragraph, contacts by the Domestic Collection

Division with individuals or firms do not require approval by the Deputy

Director for Operations provided they constitute merely briefing or de-

briefing for the purpose of obtaining information acquired by an individual

or representative of a firm in the course of his normal activities. If, however;

in any case the contact is on behalf of another element of the Operations

8

SECRET

---

## Page 20

13-00000

SECRET

DDO INSTRUCTION

NO. 50-10

DOI 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

of activity; or if the activity, even though consistent with the individual's

or firm's normal pattern of activity, will take place because requested or

funded by the Domestic Collection

Division; that case will be subject to

the requirement for approval by the Deputy Director for Operations.)

a. Publishers, Producers, Journalists, or Employees of Public Information

Media (see DOI 240-6)

(1) Operational use of publishers or producers of public information media

requires prior approval by the Deputy Director for Operations whenever

there is danger that such activity might serve in any way to influence

U.S. public opinion. Such activities include but are not limited to the

publishing of books, newspapers, or magazines, the making of films,

the production of TV or radio programs or the issuance in the United

States of any public opinion influencing information media. The op-

erational use abroad of publishers or producers of public information

media for non-U.S. audiences does not require approval by the Deputy

Director for Operations even though such activities may have some

unintended and unsolicited fallout in the United States.

(2) Approval by the Deputy Director for Operations is also required prior

to the operational use of journalists, newspaper, TV, radio, or news

service correspondents or stringers, and employees of news media

including TV and radio stations, whenever the individual is a U.S.

citizen or when the news medium involved is under U.S. ownership

or control.

b. CARE Employees

It is DDO policy to avoid operational use of employees of the CARE

organization including indigenous employees. Exceptional individual cases

involving priority operational objectives will be considered on their merits.

Prior approval by the Deputy Director for Operations will be required

in all cases.

c. Individuals Engaged in Public Relations Activities (see DOI 50-18)

Individuals engaged in public relations activities which in any way have

or seek to have an influence on public opinions in the United States are

considered to be in a separate sensitive category. In view of the peculiar

aspects of public relations activity, including the special requirements of

the Foreign Agents Registration Act, approval by the Deputy Director

for Operations is required prior to the operational use in a public relations

capacity of any individual who is engaged in public relations activities

and who is located in or operating into the United States.

9

SECRET

---

## Page 21

13-00000

SECRET

DOI 50-10

DDO INSTRUCTION

NO. 50-10

OPERATIONS-GENERAL

4 September. 1973

d. Officials, Representatives, or Employees of Communist Countries in the

United States (see DOI 60-11)

Prior approval of the Director or the Deputy Director for Operations is

required for operational contact in the United States with or operational

use of officials, representatives, or employees of the USSR, its satellite

countries, Communist China, or any other country under Communist

control. If, while in the United States, such individual is to be investigated,

approached for recruitment, or contacted for operational purposes, the prior

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

graph 6.b., above.

NATIONS

e. Delegates or Employees of the United States

It is DDO policy that the operational use of delegates or employees of

the United Nations, including those of its various main organs and of

its related intergovernmental agencies, is of such sensitivity as to require

special consideration by the Deputy Director for Operations. In especially

worthwhile cases wherein operational use of a particular UN individual

is deemed essential for the accomplishment of the DDO mission, approval

may be obtained. In each case involving a non-U.S. citizen assigned in

the U.S. or a U.S. citizen wherever assigned, the prior approval of the

Deputy Director for Operations will be required. (See paragraph 8.b.

regarding use of non-U.S. citizen delegates or employees not assigned

in the U.S.) If, while in the United States, the UN individual is to be

investigated, approached for recruitment, or contacted for operational pur-

poses, the prior concurrence of the FBI may also be required as outlined

in paragraph B.b., above.

f. Staff Members or Officials of Red Cross Societies

The operational use of staff members or officials of the International Red

Cross or its affiliated national Red Cross, Red Crescent, or other equivalent

societies requires special consideration and prior approval by the Deputy

Director for Operations. DDO elements should make every effort to avoid

the operational use of staff members or officials of Red Cross societies. How-

ever, when especially high priority objectives are at stake and alternative

agent assets are not available, approval for the use of such individuals may

be granted by the Deputy Director for Operations.

g. Officials of the Vatican State

Operational contact with officials of the Vatican State will be made only

with the prior approval of the Deputy Director for Operations. Operational

use of Vatican officials will be contingent on prior approval by the Deputy

Director for Operations.

b. U.S. Government Funded Professors, Lecturers, Students or Grantees

U.S. or foreign professors, lecturers or students and other persons partici-

pating in U.S. Government-sponsored academic, cultural, athletic or other

10

SECRET

---

## Page 22

13-00000

SECRET

DOI 50-10

DO INSTRUCTION

NO. 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 U.S. Government requires special consideration

and approval by the Deputy Director for Operations prior to such use. In

certain especially worthwhile cases wherein the operational use of a par-

ticular U.S. Government supported exchangee is considered essential to

the accomplishment of the DDO mission, the Deputy Director for Opera-

tions may grant approval. Memoranda requesting such approval will be

forwarded through the Chief, Foreign Resources Division. In such cases the

Deputy Director for Operations will determine whether or not to seek the

concurrence of the U.S. Government sponsor.

i. Members of Educational or Private Voluntary Organizations

(1) It is U.S. Government policy that no federal agency shall provide any

covert financial assistance or support, direct or indirect, to any of the

nation's educational or private voluntary organizations. This policy

applies to all foreign as well as domestic activities of such organiza-

tions. In compliance with the above proscription, DDO policy requires

the most careful scrutiny of all cases involving operational contact with

U.S. educational or private voluntary organizations including trade and

professional organizations. The operational use of any employee, staff

member or official of such an organization requires prior approval by

the Deputy Director for Operations. The Deputy Director for Opera-

tions will determine whether or not to seek extra-Agency approval for

the conduct of such operations.

organizations.

Contacts with such individuals which DDO officers are obliged to make in

their cover capacities will not involve operational matters until the approval

of the Deputy Director for Operations has been secured.

k. Volunteers to America

Operational use of or operational contact with members of Volunteers to

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

made without the prior approval of the Deputy Director for Operations.

Volunteers to America are participants in programs established by various

foreign countries in collaboration with the Department of State as a

11

SECRET

---

## Page 23

13-00000

SECRET

DDO INSTRUCTION

NO. 50-10

DOI 50-10

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 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

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

DO1 50-19)

• The operational use in denied areas of U:S. citizens, or of aliens who have

been admitted for permanent residence or have resided for a prolonged

period in the U.S., requires the prior approval of the Chief of the Area

Division under whose jurisdiction the intended use is to take place.

b. Non-U.S. Citizen Delegates or Employees of the United Nations not As-

signed in the U.S.

The operational use of non-U.S. citizen delegates or employees of the

United Nations who are not assigned in the U.S. requires the prior ap-

proval of the Chief of the Area Division under whose jurisdiction the in-

tended use is to take place.

c. Members of the Academic Community

(1) Within the context of this instruction a member of the academic com-

munity is defined as: any student, faculty member, administrative

officer or staff official of a college, university or similar institution of

higher learning including their associated research centers. Persons

associated with institutions such as police or military training centers

(except the four college-level military service academies) or under-

going specialized technical training with business or commercial firms

are not considered to be members of the academic community.

(2) Operational use of members of the academic community, especially

those cases wherein an individual is to be made witting of Agency

interest, will be on a highly selective basis. Each case will be examined

to ascertain its essentiality to the DDO mission in terms of the price

of possible disclosure, and to ensure that proper security procedures

can be observed. When it has been determined that the operational

use of a member of the academic community as defined above is

19

SECRET

• 1..

---

## Page 24

13-00000

SECRET

DOI 50-10

DDO INSTRUCTION

NO. 50-10

OPERATIONS-GENERAL

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 or similar institution of higher learning;

(b) Any non-U.S. citizen who is a member of the academic community

and who is associated in any way with any U.S.-owned or U.S.-

affiliated college, university or similar institution of higher learn DD O

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

If the individual is located in the United States, approval will be re-Offal

quested by memorandum to the Chief, Foreign Resources Division.

The memorandum will include a statement that the individual is, or

is not, a DCD asset or contact, and in the event he is will include

the concurrence of the Chief, Domestic Collection Division. If the in-

dividual is located outside the United States, approval will be requested

by memorandum to the Chief of the Area Division who has jurisdiction

over the area concerned. Operational use of foreign members of the

academic community who are not associated in any way with U.S.-

owned or U.S.-affiliated institutions of higher learning is also. con-

sidered sensitive. The operational use of such individuals also requires

the approval of the Chief of the Area Division. In any case involving

a well known person or having special security implications, the

Division Chief to whom the request is referred under the above pro-

visions will consult with the DDO and obtain the latter's approval.

(3) The provisions of paragraph (2) do not apply to Domestic Collection

Division contacts with members of the academic community, but such

contacts are subject to the following requirements:

(a) If a member of the academic community would be asked to per-

form an operational task or to alter his normal pattern of activity

in order to serve Agency purposes, prior approval of the Chief,

Domestic Collection Division is required. Additionally, if such an

individual wil be in a foreign area, the concurrence of the Chief

of the Area Division concerned will be obtained.

(b) Prior concurrence will be obtained from the appropriate Area

Division Chief if an individual is to be utilized in a politically

sensitive area where his presence or activities could potentially

embarrass the interests of the U.S. Government.

(c) The requirements of paragraph 8.a. apply if a citizen or alien

resident of the United States would be used in a denied area.

(4) At the end of each calendar year, Chiefs of Divisions will submit a

report to the Deputy Director for Operations (via Chief, Foreign

Resources Division) on the number of individuals recruited from the

13

SECRET

---

## Page 25

13-00000

SECRET

DOI 50-10

DDO INSTRUCTION

NO. 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 CATEGORY

When an individual undergoes a change of status which places him in one of

the restricted categories described above, or transfers him from one category

to another, his operational use or continued operational use is contingent upon

approval or reapproval as prescribed for his new status.

10. INTERPRETATION OR MODIFICATION OF RESTRICTIONS

Certain of the policy restrictions described in this instruction are subject to

interpretation, extension or modification by the Deputy Director for Opera-

tions depending on the conditions and the atmosphere for DDO operations

at any particular time. Especially when dealing on the edges of policy rulings

and within the guidelines set forth herein, particular heed should be paid to

the price of disclosure, including careful consideration of the sensitivities of

the individuals involved. When there is any doubt concerning the application

of these restrictions, guidance should be obtained from the Deputy Director

for Operations.

William E. Nelson

Deputy Director for Operations

14

SECRET

---

## Page 26

13-00000

SECRET

CLANDESTINE SERVICES

INSTRUCTION NO. 10-5

CSI NO. 10-5

SECURITY

Revised 17 July 1958

COVERT APPROVALS AND RELATED MATTERS

Reference: CSI-F No. 10-5, 17 July 1958

Rescission: CSI No. 10-5, 31 January 1955

CONTENTS

Page

PURPOSE

1

GENERAL.

1

INVESTIGATIONS:

...

2

OPERATIONAL APPROVALS... 2

COVERT SECURITY APPROVALS

AND PROPRIETARY

APPROVALS..

• 3

COVERT SECURITY APPROVALS

FOR LIAISON WITH UNITED

STATES OFFICIALS ...

••••• 5

SERVANTS OF AGENCY

EMPLOYEES

•.:.• 5.

Page

EMPLOYEES AND OFFICIALS

OF FOREIGN SERVICES . . . . • 5

NOTIFICATION OF TERMINA-

TION OR DISCONTINUANCE

OF COVERT SECURITY AP-

PROVALS OR PROPRIETARY

APPROVALS.

SPECIAL SERVICES

6

DOUBLE AGENTS..

.... 6

DEFECTION AND RECRUIT-

MENT IN PLACE

: 8

1. PURPOSE

This instruction describes the functions of headquarters components with

regard to covert approvals and related matters which are the subject of

CSI-F No. 10-5.

2. GENERAL

a. The Chief, Counter Intelligence Staff, is delegated authority to act for the

Deputy Director (Plans) in the exercise of all functions which are the lat-

ter's responsibility with regard to the granting of Operational Approvals

and Provisional Operational Approvals. :

b. The Director of Security has designated the Deputy Director for Investiga-

tions and Operational Support, Office of Security, to represent him in dis-

charging the functions which are reserved to him with regard to the granting

of Covert Security Approvals, Provisional Covert Security Approvals,

Proprietary Approvals, and Provisional Proprietary Approvals.

c. It is the basic intent of both components that sensitive operational data

shall remain within the custody and knowledge of the Clandestine Services,

and that sensitive security investigative data shall remain in the custody

and knowledge of the Office of Security. It is recognized, however, that

such data may be necessary for proper performance by either component

and, consequently, where necessary, it shall be made available or shall be

discussed to the extent necessary.

1

SECRET

---

## Page 27

13-00000

SECRET

CLANDESTINE SERVICES

INSTRUCTION NO. 10-5

CSI NO. 10-5

SECURITY

Revised 17 July 1958

3. INVESTIGATIONS

The function of performing all investigations in the United States in connec

tion with approval matters, except for the check of certain Agency records,

is reserved to the Office of Security.

4. OPERATIONAL APPROVALS

a. The assembly and analysis of all file material (including the files of the

Records Integration Division) in the Clandestine Services will be accom-

plished by professional personnel of the interested operating divisions

under the technical supervision of the Counter Intelligence Staff and sub-

jectto spot check by the Counter Intelligence Staff. Certification will be

made in each case by a responsible official of the requesting division that

the material furnished is complete and accurate.

b. The requesting division will assemble any biographical data; information

of investigative.or security significance (such as additional names the

subject may have used); information relating to character, reputation,

politics, or other activities, favorable and unfavorable information or

comments; background information; PRQ Part I or its equivalent (in du-

plicate); and field traces. Any information previously furnished by the

subject concerning himself (such as a personal history statement, records

of activities or employments, memberships in organizations, etc.) will

be furnished verbatim. All pertinent information thus produced--includ-

ing that resulting from technical interrogations, personal observation,

field investigations; etc.--will be furnished to the Counter Intelligence

Staff for necessary transmission to the Office of Security. It is also nec-

essary to forward PRQ Part II to the Counter Intelligence Staff before

an Operational Approval will be issued. The Counter Intelligence Staff

will not forward PRQ Part Il to the Office of Secúrity. In rare, compli-

cated, or sensitive cases the Office of Security, in coordination with the

Counter Intelligence Staff, may wish actually to review the material of

the Records Integration Division. A brief practical statement of the scope,.

nature, and geographical area of the proposed usage of the subject will

be furnished to the Office of Security along with the other data.

C. The requester should also furnish to the Counter Intelligence Staff for

transmission to the Office of Security any suggestions regarding the in-

vestigation to be conducted and any particular points to be emphasized in

the investigation, such as special skills, abilities, and weaknesses of the

subject. The requester should also indicate what would be the most

plausible type of cover (i. e., general Government or commercial) to be

employed in the conduct of the investigation and whether the subject has

been briefed as to the fact of a pending investigation and, if not, why this

is not feasible.

d. Following appropriate investigation and analysis of a case, the Office of

Security will forward its recommendation to the Counter Intelligence

Staff, with the investigative data enclosed. Upon receipt of this material

SECRET

---

## Page 28

13-00000

SECRET

CSI NO. 10-5

CLANDESTINE SERVICES

INSTRUCTION NO. 10-5

SECURITY

Revised 17 July 1958

the Chief, Counter Intelligence Staff, or his designee, will, if the Office of

Security does not recommend against the use of the individual, determine

whether an Operational Approval should be granted and will notify the Of-

fice of Security of its decision. However, in the event the Office of Secu-

rity recommends against the use of an individual and the Clandestine

Services still desires, on a calculated risk basis, to use the individual,

the Counter Intelligence Staff will inform the Office of Security of this

fact. In this event, the Counter Intelligence Staff and the Security Support

Division will endeavor to arrive at an agreed position and, to this end,

the former will hold the granting of the Operational Approval in abeyance

until five days have elapsed after the Office of Security has been advised

of this intention. The Counter Intelligence Staff will notify the Office of

Security whenever it has:

(1) Granted an Operational Approval or a Provisional Operational Approval.

(2) Cancelled an Operational Approval.

e. In Operational Approval cases the Office of Security will forward investi-

gative reports, name check results, etc., to the Counter Intelligence Staff.

In extremely sensitive cases, however, particularly those in which the

security or good of the Agency as a whole is involved, the Office of Secu-

rity will not be obliged to furnish all investigative material. In such cases

the Office of Security will inform the Counter Intelligence Staff that such

material has been withheld and will, upon request, discuss the matter with

the Chief, Counter Intelligence Staff, or other appropriate official of the

Clandestine Services.

f. A Provisional Operational Approval may also be requested where circum-

stances warrant. A search of the indices of the Agency, including those

of the Office of Security, is a minimum requirement for issuance of a Pro-

visional Operational Approval.

g. Whenever interest in an individual under consideration for either an Oper-.

ational Approval or a Provisional Operational Approval is terminated for

any reason, the requester, in order to prevent needless processing, will

notify the Counter Intelligence Staff promptly so that the latter may in turn

advise the Office of Security.

5. COVERT SECURITY APPROVALS AND PROPRIETARY APPROVALS

a. All background material will be assembled by the interested divisions and

will include any biographic data; information of an investigative or secu-

rity significance; information-relating to character, reputation, politics,

past employment, residences, and other activities; favorable and unfavor-

able information; PRQ Part I or its equivalent (In duplicate); and field

traces. This material is forwarded directly to the Office of Security in

its original form. (Traces need not be obtained from the Records Inte-

gration Division; see paragraph 5.b., below.) A brief practical statement

of the scope, nature, and geographical area of use of the subject will also

SECRET

---

## Page 29

13-00000

SECRET

CLANDESTINE SERVICES

INSTRUCTION NO. 10-5

CSI NO. 10-5

SECURITY

Revised 17 July 1958

be furnished to the Office of Security. The requester should also furnish

to the Office of Security any suggestions regarding the investigation to be

conducted and any particular points to be emphasized in the investigation,

such as, special skills, abilities, and weaknesses of the subject. The re-

quester should also indicate what would be the most plausible type of cover

(1. e., Government or commercial) to be employed in the conduct.of the

Investigation and whether the subject has been briefed as to the fact of a

pending investigation and, i not, why this is not feasible.

b. In Covert Security Approval or Proprietary Approval cases, the files of the

(Recoras Integration Division will be searched by representatives of the

Office of Security. All files of the Records Integration Division, excepi

those portions containing specific sensitive operational data, will be made

available to the representatives of the Office of Security. In those in-

stances where a document of interest contains sensitive operational data,

designated professional personnel within the operating division will re-

view that portion of the information and furnish therefrom to the repre-

sentatives of the Office of Security all information of the nature described

in paragraph 5.a., above. The Office of Security will conduct appropriate

investigation in each case and will issue or deny Covert Security Approvals

and Proprietary Approvals, and Provisional Covert Security Approvals and

Provisional Proprietary Approvals.

c. The Office of Security will retain the investigative files in Covert Security

Approval cases of 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.

(2) Immediately call to the attention of the Counter Intelligence Staff any

new evidence in Covert Security Approval or Proprietary Approval

cases that reflects the subject's connection with a foreign government,

the Communist Party, of any front organization of the Communist

Party.

d. Where the Office of Security issues or dentes a Covert Security Approval

or a Proprietary Approval, formal notification will be directed to the re-

quester. In the case of disapproval one copy of the security disapproval

will be forwarded to the Counter Intelligence Staff. Where a Covert Se-

curity Approval or Proprietary Approval is denied and the Clandestine

Services still desires to use the subject on a calculated risk basis, the Of-

fice of Security will; upon request, furnish to the Counter Intelligence Staff a

summary of the investigative data. Thereafter, the Counter Intelligence

Staff, the requester, and the Security Support Division will attempt to reach

an agreed position.

e. A Covert Security Approval or a Proprietary Approval may be preceded

by a Provisional Covert Security Approval or a Provisional Proprietary

Approval.

SECRET

---

## Page 30

13-00000

SECRET

CSI NO. 10-5

SECURITY

19 September 1963

CLANDESTINE SERVICES

INSTRUCTION NO. 10-5

1. Unless otherwise designated by the Office of Security, investigative data

in either Operational Approval or Covert Security Approval cases involving

aliens may be shown to proper offices of the division and may, if deemed

necessary by the division, be forwarded to the field. The dispatch or cable

in such cases will be coordinated with the Counter Intelligence Staff and

the Office of Security. No investigative data will be transmitted or dis-

closed to other than Agency staff officials without the specific prior ap-

proval of the Office of Security. The need-to-know principle will be applied

strictly in such cases. No investigative data regarding United States cit-

izens will be transmitted to the field without the specific prior approval of

the Counter Intelligence Staff and the Director of Security and subsequent

to such approval without coordination with the Office of Security on the dis-

patch or cable involved.

6. COVERT SECURITY APPROVALS FOR LIAISON WITH UNITED STATES

OFFICIALS

Requests for Covert Security Approvals for Liaison with U. S. officials, wheth-

er such officials are in the United States or abroad, will be transmitted directly

to the Office of Security. Each request shall be specifically indicated as a re-

quest for a Covert Security Approval for Liaison. The request shall be accom-

panied by all available biographic information, to include wherever possible in

cases of civilian employees of United States Government agencies the name,

date and place of birth, the employing agency, and the position and assignment

of the person involved. In cases involving military personnel the minimum bio-

graphic information required shall consist of the name, date and place of birth,

rank and serial number, and the parent service. In each case the detalls of the

liaison with the individual must be set forth.

7. SERVANTS OF AGENCY EMPLOYEES

Requests to headquarters for appropriate checks on domestic personnel em-

ployed in the homes of Agency employees overseas shall be forwarded by the

requester to the Office of Security accompanied by all available biographical

information and the results of overseas investigations.

8. EMPLOYEES OF OTHER U.S. GOVERNMENT AGENCIES

Proper clearance of staff or contract employees (Including indigenous em-

ployees) of other U.S. Government agencies for operational use includes

notification to and approval by the employee's parent agency in Washington.

Requests for clearance will be forwarded to the Chief, Counter Intelligence

Staff, Attention: CI/Liaison. Clearance will not be given until the approval

of the parent agency has been obtained. If, after such approval is obtained,

it is decided that the employee will not be used as requested, or upon termi-

nation of use, CI/ Liaison will be notified so that the employee's parent agency

may be advised.

EMPLOYEES AND OFFICIALS OF FOREIGN SERVICES.

Requests for searches of the indices of other United States agencies or the

Office of Security, or investigation of employees or officials of foreign

5

SECRET

---

## Page 31

13-00000

SECRET

CLANDESTINE SERVICES

INSTRUCTION NO. 10-5

CSI NO. 10-5

SECURITY

19 September 1963

intelligence services with whom Agency employees maintain liaison, shall be

forwarded by the requester to the Counter Intelligence Staff for processing to

the Office of Security. Such requests shall be transmitted with complete

results of field traces, all available biographical information, and a state-

ment as to the service which the subject represents.

10. NOTIFICATION OF TERMINATION OR DISCONTINUANCE OF COVERT

SECURITY APPROVALS OR PROPRIETARY APPROVALS

The Office of Security shall be promptly advised by the requester of the dis-

continuance of interest in or termination of employment or use of a person

on whom a Covert Security Approval or Proprietary Approval has been re-

quested or granted.

11. SPECIAL SERVICES

a. Requests for Covert Name Checks and Special Inquiries will be transmitted

to the Office of Security through the Counter Intelligence Staff. Each re-

quest shall indicate the reason for the inquiry, shall specify the exact ac-

tion required, and shall contain all available background and/or biographical

information concerning the subject.

b. In the case of Special Inquiries, the request should also indicate what would

be the most plausible type of cover (i. e., general Government or. com-

mercial) to be employed during the inquiry and any other information which

would provide guidance as to the conduct of the investigation.

12. DOUBLE AGENTS

The operational decision authorizing the doubling of an agent of a foreign

power will be coordinated with the Counter Intelligence Staff even though no

Operational Approval or Provisional Operational Approval is required.:

13. DEFECTION AND RECRUITMENT IN PLACE

No attempt to defect or recruit in place (a) a member of the Communist Party

or (b) a government official of a denied area country shall be made in the

United States without prior coordination with the Counter Intelligence Staff

which will immediately inform the Director of Security and such other United

States agencies as may be appropriate.

Richard Helms

Deputy Director (Plans)

SECRET

---