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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

d for identifying a person of specific in-

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

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

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

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

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

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

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

spondence has accumulated.

2. THE 201 SYSTEM

The principal features of the 201 system are:

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

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

individual.

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

831) and all biographic sponting on and referent

do the individual, i.e., per-

sonal history, current sites, and prospecte

a 201 file. This record produc

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

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-

erence consolidated.

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DOHB 70-1-1

CHAPTER III, ANNEX B

15 November 1974

CROIX,

WILLIAM PENDLETO!

SEX M DOB

12 APR 26

CIT

REF

GERM

SUBJECT

AACD-23345 39

CONFERENCE ON

AND

BERLIN

PHARMACISP

OCC CODE CHEM

THE SEVENTEENIN ANNUAL

INTERNATIQNAT ASSOCIATTON OF

CHEMISES

ELD IN

201-00326714.

TYPE NAME

OI CODES

AA

RCD DATE 53

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

Document Reference Dare Coup MiN

8. 202 NumbeD Ep Little

9. Name Type

10. 01 Codes

PROHIBITED

11. Record Date (year only)

12. Reference

ISG Control Information

13. Date of latest update of the record

14. STAR Index Record Number

24

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DOHB 70-1-1

CHAPTER III, ANNEX B

15 November 1974

*e. Ol Code: a two letter symbol used in a

sonality records in the 201 system to recora

sion with the 201 per

ssociation of an individua

gence and security service affiliatio

suspect, as well as activities a amo mether starget

agent, or known

or

codes tor use by components

interest, Pregare two categories of Of

(a) general Of ogdes (Auge)

(2) 01 codes assigned a specific component for intelligence services

or other specific organizations

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

orandum to the DDO/RMO through the component Records Management

Officer.

A 201 personality may be assigned two Ol 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

prerogative of an operational com-

record and the occasional closing

the desks and ISG. 201 dossiers may be

opened on persons whormeet tige

criteria described in Chapter II of this

handbook, when there is a seasonable expectation that additional information

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

persons about whom counterintelligence information is being reported, and per-

sons of operational interest to the Operations Directorate, specifically those

persoris for whom provisional operational approvals and operational approvals.

are requested (see exception belov). 201 files are not to be opened on staff

employees, staff agents and

most categories of contract. employees.

Files on

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DOHB 70-1-1

CHAPTER III, ANNEX B

15 November 1974

certain categories of persons whose

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

proval requests. Honeyer

for persons being trainedor 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) MFFIXTURE 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 Index 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 201

filling out and submitting

a 201 Personality File Action Request

831) to the Records Main-

tenance Section (IP/RMS) For

831 is also used to create or amend the

master 201 record

mese of а стурозу

machine listings and to register the assign-

201 Personality P

3 201 persomality. Ettachment 3 consists of sample

gator may ref at the a box on i dis writing on in the Flead.

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

26

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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 disco

ered on a 201 subject through

a name trace or other process, i.e., review

decessor documents, it must

be consolidated

into his personality

Rebor 7020 for consolidation

procedures.

Material which is filed

a. 201 Pentar

agality

File

b. Bographic information

We dossier

includ

S out is not limited to:

P( Form 831).

duding photographs, fingerprints, and

handwriting samples.

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.

n. Any information shich

A BITED

provide a better understanding of the

subject and our interest in high, this may include operational reporting

5. MAINTENANCE OF 201 DOSSIERS

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

have been made a part of the Central Records System as 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

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

(1) Duplicato material, in erada gaby (s) of a document.

1 362) 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 rernarks 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.

za material *

authority. If the document canno

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

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

of the TS 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 201

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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

to be retained in the dossier they should be sent,

7

be retained in the 39 Las

(4) A 201 dossier pres

a person who becomes a staff

employee and which cont

as Re

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

a document source number)

containing substantive a te

information on the subject of the 201

should be sent t

lassified afficially into the 201 file.

(9) An attachm

De separated from its basic document

for inclusion in a 801 per

dossier will be forwarded with the basic

document to IP/AN for progessing into the 201.

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

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

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

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

automatically be handled as desensitized. A black-taped envelope may con-

tain only one document and must be filed in chronological order within the

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

tape the entire dossier rather than individual documents (see DOI 70-10).

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DOHB 70-1-1

CHAPTER III, ANNEX B

15 November 1974

?

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

handled as restricted dossiers.

(11) An inactive 201 dossier or an

dossier on permanent charge should e

Routing and Record Sheet with the notatio

dive volume of a large 201

ned to Central Files under a

shown below..:

SARFIDENTIAI

IX7 SECRET

AND RECORD SHEET

SUMECTI

TRANSMI

oute

IP/PIles

CC-52

(For guidance see CSEB 70-1-1,

Chapter III, Annex B.)

of 201-_

Restricted Dossier

(Attack Poro 2021 to

Dossier)

Non-Restricted Dossier

[XT SECRET

Taste)

P/Piles. Ai

(date).

desk.

L 87: 009672

• UNCLASSIFIED

• CONFIDENTIAL

• ME ONLY

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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 char

eat the desk during any

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

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

DRU

FIDENTIAL

wren ridded in

NOTICE OF TRANSFER OF DOCUMENT OR FILE ACCOUNTABILITY

TO: NAME

COMPONENT

TUDE

below has been transferred to you by:

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

BADGE

Accordingly,

Ext. 4362,

Ip's records now reflect you as the custodian.

1I you have any questions regarding this transfer.

Please contact IP/Files,

SUBJECT OF AROUEST

PILE nO.

DOC. STUDOL a HUMPIN

DOC. DATE

DATE

TRANSEEN

OR TEMA

аго: но.

• 79 2377 use

CONFIDENTIAL

CL BY, 007622

The new action desk officer must then filla

for his component.

lesk or placing it on restriador ac

a. Access to a sensitive 20300402)

tay 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 dossier being

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

021) must accompany the dossier

-IDENTIAI

nen raried la

70

IP/FI

GC-52

TUBE DT-6

IP/DCU

GC-40

TUBE ET-4

ACTION DESK:

2.

FILE RESTRICTION MOTICE

To restrict a file, complete Section A (signature of R.O. nöt

necessary).

To remove

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

necessary).

TILE NUMEEN

SECTION A

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

RESTRICTED BY:

TRADIT

COMPONENT:

Date:

SECTION A

REMOVE RESTRICTION (AUTHORIZED BY)

COMPONENT:

1O7Y 2021 109683000

CONFIDENTIAL

Date:

R.O. No.

E-2, IMPOET CL. BY, CC722

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

personnel of the restricting desk or persons eate

wized by that desk. Any request

for the charge of a restricted dossier oscans

anurent within a restricted dossie

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

dossier, permanently or te

desk by Central Files.

charged 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

subject of a 201 number unless then 20l file

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 return 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

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," anc "Interest

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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:

T:..

:*(1) Alphabetical by surnan

facing to a 201 number;

FUT A CHINA

MATE

MAME

17109

11343/690

A 242540241302430876

vI4 44113/2589453924

YIY

{.806'9:

r1.1!!,

r. 1 ..

SY: 19119/2576139421

SECRET/OR

RA/MOLYR

CHIN, KHANGTUNG

CHIN, A408

DIPT

DUS?

OAJANIA

CC042

MANGELA, PORT ARTH

CHIN

DIPT

ENGR

CHIN, LIANISE PRO

PROF

CHIN?

KHANGIUNG

_MIH,*AM TAMO TS

TSEA

*1AC.22

CHINAKMNNGTUNG

CHI•SUKIFA

CHIN.

SHANGRUNG

CHIN, FOOCHEN

CHIN,

MOPES

C'ISN, FANG CHIFMG

CHINT

CHINT

DIPT

CHIM?

RODUCTION

OZFERON.

PRORIBUTE

16047

NO MSIEN, MILN

ARMY

INT

cr.nu

FEROCTO DIX TETERNAL USE NEY

26.8

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155

nill

1ATL

-Tel

CHIN

CEY

CHIN

0144758

TANY

PANT

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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

Based o one or more of taste/purn i ery possible safeguard.

(1) Country offloca

(2) Ol codes (&

(gence affiliation)

(3) Citizenship

(4). Year of birth (pl

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

OI 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. 1920, 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

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

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

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

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

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

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

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

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

and electricians. If a list is requested for electricians, nata

ers in this category

will be included in the printout. These

(arranged) according to any, but not

(a) Surname

(b) Given name

RER age ot a rooms be bored.

•(c) Date of birth

(d) Country of birth

PROHIBITED

(e) Citizenship

(f) OI code

(g) Location

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DOH 70-1-1

CHAPTER III, ANNEX B

15 November 1974

personality, those names with two

• Scheduled Listing,

..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

Records Management Officer.

REPRODUCTION

should be made to the component

PROHIBITED

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DOHB 70-1-1

CHAPTER III, ANNEX B

Attachment 2

15 November 1974

AUTOMATIC 201 DOSSIER OPENINGS

gories of people.

1. Arab Republic of EspARE)

b. Military attaches and assistaht 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!

2. All positively identified members of MI-S and MI-, the British Intelligence

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

((IMIS)

c. (Canadian Communist Party officials

al or provincial levels and

officials of the Canadian Cammunist

unless there is at leasta date of bith given,

Font organizations. Do not open

d. All members [of:

Police (RCMÈJSS).*

3. Cuba

Inteiligence service employees (DSE, DGI).

Israel

a. All (Israel) diplomats. C/NE/Sly should be indicated as the originating

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

I. 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 Vietnam

All diplomats and NFLSY.

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

and Vienna.

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

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CLANDESTINE SERVICES

HANDBOOK NO. 12-1-1

70-1-1

CSHB 43-1-7

CHAPTER IT

15 February 1960

-!?.

""i?:

ANNEX

REFROM TION®

- 201 AND IN NUMBERS

ties indexed by the CS are of active operational interest at any given

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

Cl investigation, prospective agents and sources, and members of

groups and organizations of continuing target interest. Each of these

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

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

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

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

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

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

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

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

other identifying data. Up-to-date machine listings are published

functional area ot inte

..a file. For osample: A considerable number of stations are concerned

with the activities of Cuban exiles. Coverage of their movements,

factions and objectives can be assisted by furnishing all participating

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

43

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CLANDESTINE SERVICES

HANDBOOK NO. 43-1-7

70-1-1

CSHB-43-1-1

CHAPTER III, ANNEX B

15 February 1960

of the Cuban desk on the dramatis personae. In addition to 201 per-

sonalities, such lists should contain the names and identifying data

of the following type but in the same series:

IDN-123457

These are relabeled "201" if a file is opened. IDN numbers are car-

ried with 201 numbers in appropriate general or special listings,

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

umn. IDN numbers are not CS file numbers.

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

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

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

it may be requested simply by writing under headquarters file number

in the dispatch form as follows:

Dispatch Sym

a No.

IZA

- 7434

aguarters File/No.

3. IN numbers agained by RID at headquarters upon the

request of stations or desks which are developing special identification

programs within the 201 system. The field receives current notifica-

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

Service.

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CLANDESTINE SERVICES

HANDBOOK NO. 43-1-1

70-1-1

CSHB 13-1-3

CHAPTER III, ANNEX B

15 February 1960

REPRODUCTION-

PROMIBITED

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