[1]19908840
[2]104-10408-10078
[4]7 | 2025 RELEASE UNDER THE PRESIDENT JOHN F. KENNEDY ASSASSINATION RECORDS ACT OF 1992 hee ~
[6]son rmaven ne maaeuen, mem aania tS nr re Fre 0 rye
[7]WALTRA E. FAUNTROY, Udo STEWAR, | MCKINNEY, CON, oo x .
[8]YVONNE BRATHWAITE BUNKE,CALI. CHARLES 7-L0NE, NEBR. : . - :
[9]CHAMISTOPHER 3. HOOT, CONN, - ‘So SAWYER, MICH.
[10]fiero srrmMs no Select Committee an | Sesassinations
[11]RODENT W, KOGA, PA, . .
[12](202) 223-4028 G.&. Bonse of Representatives
[14]3331 HOUSE OFFICE BUILDING, ANNEX 2
[15]_ WASHINGTON, D.C. 20515
[17]FEB 211878
[19]_ Mee Patrick ‘Carpentier’.
[20]: Office of the Legislative counsel .
[21]’ Central Intelligence Agency
[23]-. Washington, - D.C." 20505 « oO
[25]_Dear “Mr. Carpentier:
[27]a “In ‘connection 1 \with ‘the investigation of. the House |
[28]: Select ‘Committee-on Assassinations into the death of Presi-”
[29]°. dent: John F. Kennedy, -I:am writing to request that by March
[30]1, 1978, the Central Intelligence Agency provide a statement
[31]explaining in detail the reasons for which a 201 file may be |
[32]opened. This statement should address the following possible ..
[33]criteria, individually or in any combination, as well as any
[34]other possible criteria not specifically listed:
[36]1.- Possible and actual sources of intelligence
[37]information; .
[39]2. Possible and actual intelligence agents, assets,
[40], or contract. employees;
[42]3. “Travelers, particularly travelers to communist
[43]or unfriendly countries;
[45]4. Individuals who defect or have attempted to
[46]defect to communist or unfriendly countries;
[48]5. U. Ss. servicemen or former U. S. servicemen who
[49]pose counterintelligence dangers by revealing,
[50]offering to reveal, or threatening to reveal
[51]military or intelligence secrets to communist or
[52]unfriendly countries;
[54]6. Individuals whose suspected counterintelligence
[55]activities precipitate changes in United States
[56]military or intelligence codes, methods, sources
[57]or procedures; .
[59]13-00000
[61]“Mr. ‘patrick Carpentier
[62]"Page Two
[64]> Tndividuals ‘wi who’ have been contacted by Communist
[65]-- "or unfriendly - intelligence organizations or in- :
[66]\, strumentalities thereof; me
[68]°-g.) Individuals ‘ ‘who have: “received money. or :other
[69]- ". items of value from commun: x unfriendly
[70]governments | OF Anstrumentalities thereo.
[74]possible and actual foreign ‘intelligence. agents,
[75]1 OF employees. _ eee
[77]Please address this statement . “to. the time. period 1958-
[79]: 1964 in particular,. and “indicate whether. there. were any. .
[80]+) Changes: in such:criteria’ ‘during: these; ars.” Finally, would
[81]“you please ‘specify in your’ response. under” which. ‘criteria, or
[83]'., combination: of. criteria, if-any;. the” opening of a.201. file .
[84]2 WAS considered: to be mandatory during, this. Period.
[86]sincerely,
[88]ft : Bo ne Chief counsel and Director
[92]13-00000
[94]p0/IsS 78-075.
[96]28 February 1978
[98]MEMORANDUM FOR: 0/SA/DO/O
[99]Attention: Mr. Shepanek
[101]FROM: William F. Donnelly
[102]Chief, Information Services Staff
[104]SUBJECT: House Select Committee on Assassinations
[105]Request for Information on 201 Criteria (S)
[107]REFERENCE: OLC 78-0070/19, 23 February 1978
[109]1. (S) With reference to the conversation of
[110]27 February between Mr. Shepanek and Mr. Cleffi of ISS,
[111]attached are copies of DOHB 70-1-1, 15 November 1974,
[112]and an earlier version, CSHB 43-1-1 dated 15 February 1960.
[113]A close study of the list of questions submitted by the ~
[114]HSCA Staff has led us to conclude that the most complete
[115]and effective way to respond would be by inviting the
[116]Staff to review our regulation governing the criteria for
[117]opening, maintaining, controlling and closing 201 files
[118]by the Operations Directorate. A careful reading of the
[119]regulation provides an answer to every question posed by
[120]the Staff.
[122]2. (S) The earlier version of the regulation is
[123]included to reflect the situation as it existed in the
[124]period of their primary concern (1958-1964). The later
[125]version provides an expansion, clarification and refinement
[126]of the earlier versions.
[128]Willis 4.
[130]William F. Donnelly
[132]SECRET
[135]13-00000°
[137]DOHB 70-1-1
[138]CHAPTER HI ~
[140]15 November 1974
[142]; ANNEX B
[143]THE 20] SYSTEM
[145]Rescission: Annex B of Chapter III, CSHB 70-1-I, 27 October 1966
[147]1. INTRODUCTION »
[149]The 201 system provides a method for identifying 2 person of specific in-
[150]terest to the Operations Directorate and for controlling and filing all pertinent
[151]information about that person. The system also provides a means for identifying
[152]subjects of 201 files from various categories of information-about them and for
[153]producing lisits of .201 personalities according to those categories. Only a rela-
[154]tively. small number of personalities indexed are of sufficient interest to justify
[155]opening a 201 dossier. These are normally subjects of extensive reporting and
[156]CI investigation, prospective agents and sources, members of. groups and organi-
[157]zations of continuing target interest, or subjects on whom a volume of corre-
[158]spondence has accumulated.
[160]2, THE 201 SYSTEM
[161]The principal features of the 201 system are: .
[163]a. The 201 Number: a unique number, i.e., 201-1234567, assigned to each
[164]individual in the system to serve as s identifying file number for reporting on that
[165]’ individual.
[167]b. The 201 Dossier: the official file containing the 201 opening form (Form
[168]831) and all biographic reporting on and references to the individual, ie., per-
[169]sonal history, current status, and prospects. .
[171]c. The Master 201 Record: a machine record generated by the opening of
[172]a 201 file. This record produces the master 20] reference for the Main Index and
[173]stores the pertinent information which may later be retrieved! for special listings.
[175]d. Main. Index Master 201 Reference: this reference, printed in reply to an
[176]Index Search Request, is printed as illustrated below. When data are absent
[177]within the record, succeeding data items or lines will be moved up and the ref-
[178]erence consolidated. ;
[181]13-00000
[183]DOHB 70-1-1
[184]CHAPTER III, ANNEX B
[186]15 November. 1974
[188]‘0002 CROIX, WILLIAM PENDLETON
[189]EX M DOB 12 APR 26
[190]Sat pace-12345 20 JUN 53
[191]REF ©
[192]ECT RECENTLY ATTENDED THE SEVENTEENTH ANNUAL
[193]CONFERENCE OF THE INTERNATIONAL ASSOCIATION OF ‘CHEMIS?S
[195]"AND PHARMACISTS HELD IN MUNICH, GERMANY PROM 22 THROUGH
[197]29 OCTOBER.
[199]or NOV 70 ae 89
[201]Information Azout Subject
[202]1. Sequence Number and Name
[203]2. Sex and Date of Birth . tla. ao
[204]3. Citizenship - oT
[205]. 4 Place of Birth
[206]5. Occupation
[207]6. Occupation Code
[208]T. Text
[209]. Document Reference Data Group
[210]it vi 8 201 Number. ,
[212]a)
[214]9. Name Type Indicator
[215]10. OI Codes
[217]Il.. Record Date (year only)
[218]12. Reference
[220]ISG Control Information: . /
[221]13. Date of latest update of the record
[222]14. STAR Index Record Number
[225]DOHB 70-1-1
[226]CHAPTER I, ANNEX B
[228]15 November 1974
[230]e. OI Code: a two letter symbol used in conjunction with the 201 per-
[231]sonality records in the 201 system to record the association of an individual
[232]with organizations or activities of operational interest. OJ codes cover intelli-
[233]gence and security service affiliation, whether staff or agent, or known or
[234]suspect, as well as activities of DDO interest. There are two categories: of OI
[235]codes for use by components: :
[237](1) general OI codes (Attachment 4)
[239](2) OI codes assigned to a specific component for intelligence s services
[240]or other specific organizations.
[242]A component may request an OI code be established by submitting a mem-
[243]orandum to the DDO/RMO. through the component Records Management
[244]Officer.
[246]A 20] personality may be assigned two OI codes. An OI code may be assigned
[248]when the 201 Personality File Action Request (Form 831) is initiated (see
[250]_ paragraph 3b below) by filling in Box 13 or a code may be assigned or added
[251]at a later date by a Form 831 amendment.
[253]The 201 system has the capability of producing machine listings of 201
[254]personalities by OI codes. For example, if an OI code has been opened for the
[255]security service of a certain country a listing may be compiled of all members ©
[256]of that service. —
[258]f. 201 Mazhine .Lists: produced from the mechanized 201 Index, based on
[259]names or other identifying information of personalities ori whom 201 dossiers
[260]“exist. .
[262]‘3. OPENING A 201 DOSSIER
[264]a. General
[266]The opening of a 201 dossier is the prerogative of an operational com-
[267]ponent, in coordination with the Information Services Group. An opening creates
[268]a master 201 record. Changes to the master record and the occasional closing
[269]of a 201 dossier are controlled jointly by the desks and ISG. 201 dossiers may be --
[270]opened on persons who meet the carding criteria described in Chapter II of this
[271]handbook, when there is a reasonable expectation that additional information
[272]will be acquired and filed in such a dossier. Generally dossiers are opened on ;
[273]persons about whom counterintelligence information is being reported, and per-
[274]sons of operational interest to the Operations Directorate, specifically those j
[275]persons for whom provisional operational. approvals and operational approvals
[276]are requested (see exception below). 201 files are not to be opened on staff‘
[277]4 employees, staff agents and most categories of contract employees. Files on
[279]PERE
[281]on
[283]ok te Gere) ete ws eee Seieahehan 2 meek ene on, e rN
[285]-
[287]3
[289]Sy eterna
[291]SBenr™
[293]<1 SL Ae ae meatier onsigespaed
[295]'
[296]t
[297]t
[299]13-00000
[301]i
[303]a ire
[305]Cs : DOHB 70-1-1
[306]a : . 7S CHAPTER III, ANNEX B
[308]15 November 1974
[310]persons who are only of local interest to a field station or Headquarters desk
[311]and on whom no DDO records correspondence exists are not a part of the DDO
[313]records systém and are to be maintained. by that unit. Some desks levy require- *
[315]ments.on ISG for automatic 201 openings on certain categories of persons whose
[316]names appear in incoming dispatches. These are listed in Attachment 2..201
[317]dossiers should be opened in the following categories:
[319]_(1) Subjects of provisional operational approval and. operational ap-
[320]proval requests. However, a file need not be opened when a POA is requested
[321]for persons being trained for a foreign liaison service and who are of opera-
[323]tional . interest for training purposes only.
[325](2) Persons for whom the field requests a 201 opening.
[327](3) MHFIXTURE personalities: bonafide diplomats of other than
[328]denied area countries, in close association with staff personnel.
[330]4) Subjects of a Personal Record Questionnaire Part I.
[332]( 5) Persons on whom a Main Index search reveals information: in five
[334]or more documents (see DOI 70-20).
[336](6) Subjects of Interagency Source Register memoranda from LSN/
[337]ISR (cpened only by IP/RMS).
[339]b. Requesting a 201 File Opening
[341]Headquarters desks may open a 201 file by filling out and submitting
[342]a 201 Personality File Action Request (Form 831) to the Records Main-
[343]tenance Section (IP/RMS). Form 831 is also used to create or amend the
[344]master 201 record and 201 machine listings and to register the assign-
[345]ment of a cryptonym to a 201 personality. Attachment 3 consists of sample
[346]201 Personality File Action Requests for opening and amending 201’s. A field
[347]station may request the opening of a 201. file by writing 201- in the Head-
[348]quarters file or cross-reference box on the dispatch form and/or after’ the
[350]subject’s name in the body of the dispatch. A telepouch request for a 201 opening ©
[352]is made by indicating 201- in the file number line. A cable request is made by
[353]placing 201- after the term “File” on the last line of the transmission. IP/AN
[354]will open 201 files as requested by dispatch or telepouch but it is the responsi-
[355]bility of the desk to respond to cable requests. Field stations are notified of
[356]201 openings through receipt of the field master 201 record.
[358]26
[360]_—“
[361]SECRET
[364]13-00000
[366]DOHB 70-1-1
[367]CHAPTER Ill, ANNEX 3B
[369]15 November 1974
[371]4. CONTENTS OF THE DOSSIER
[373]Information about a 201 personality should be filed or cross-referenced ‘into
[374]his dossiér. When additional information is discovered on a 20] subject through
[375]a name trace or other process, i.e, review of predecessor documents, it must
[376]be consolidated into his personality dossier. See DOI 70-20 for consolidation
[377]procedures.
[379]Material which is filed in the dossier includes but is not limited to:
[380]a. 201 Personality File Action Request. (Form 831).
[382]b. Biographic information including photographs, fingerprints, - and.
[383]handwriting samples.
[385]- _ @ Personal Record Questionnaire Parts I and II.
[386]d. Operational and other security approvals.: _
[387]e. Name check replies, requests, clearances, and approvals.
[388]f. Acknowledgement. of pseudonym.
[389]g 201 personality assessments and evaluations.
[390]h. Copy of contract and termination papers.
[391]i, Secrecy agreement. -
[392]j. Agent Duty Status Report.
[394]‘k. Training and evaluation.
[395]1. SCSWIRL report.
[396]m. Newspaper clippings.
[398]n. Any information which helps provide a better understanding of the
[399]subject and our interest in him; this may include operational reporting.
[401]5. MAINTENANCE OF 201 DOSSIERS
[403]The 201 personality ‘dossier contains, in document date order, papers which
[404]have been made a part of the Central Records System as well as those which
[405]have not. Record documents may range from newspaper or magazine articles
[406]on the subject to finance and other administrative papers.
[408]a Hea See
[412]|
[413]|
[414]5 ¢
[415]1 2
[416]1:
[418]i é
[419]f
[421]t
[423]BS
[428]13-00000
[430]DOHB 70-1-1
[431]CHAPTER III, ANNEX B
[433]15 November 1974
[437]a. "Purging
[439]Purging a 201 dossier is the responsibility of the desk officer. It requires
[440]-discrimination in recognizing operationally useful material, rather than the
[441]simple distinction between official and unofficial papers; it will therefore take
[442]place under the supervision of a Records Officer. Purging should be done
[443]periodically. A 201 dossier being forwarded to Central Files for retention should
[444]be purged. A 201 dossier should be purged of the following:
[446]’ (1) Duplicate material, Le., exact copy( 8) of a document.
[447]- (2) Name trace form (Form 362) unless 3 it has. been the basis for
[448]the opening. ;
[449]" (3) All abstract slips.
[450](4) All document restriction notices (Form 1884).
[452](5) The disseminated version of positive intelligence information if
[453]a copy of the raw réport is contained in the 201 file; the dissemination number
[454]then must be transferred to the first page of the raw report.
[456](8) Routing slips, routing and record sheets: (Form 610) and dispatch
[457]cover sheets unless there are remarks such as coordinations or comments.
[459](7) Record copy documents which only repeat substantive information
[460]contained in other documents in the file; authorization for destruction is
[461]by the Records Officer.
[463](8) Top Secret documents are not to be retained in a 201 dossier
[464]forwarded to Central Files; the document must be downgraded for retention
[465]in the 201 dossier. To downgrade a Top Secret document, an authorized
[466]officer in the originating office or the Records Officer having jurisdiction
[467]over the contents of the material must possess Top Secret classification
[468]authority. If the document cannot be downgraded the file should be retained
[469]at the desk or the copy of the TS document should be removed, retained
[470]a in a desk TS file or forwarded to the Top Secret Control Officer, and a
[471]“fe cross-reference sheet (Form 867) placed in the 20} file giving the location
[472]. . Of the TS document.
[474]' (9) Deferred documents (see 5b(2)).
[476]b. Maintenance Procedures . -
[478](1) All material in a 201 dossier will be filed in document date order.
[479]- 1: In the case of document attachments which have been classified ‘into a 201 .
[482]SHORT
[487]DOHB 70-1-1
[488]CHAPTER III, ANNEX B
[490]15 November 1974
[492]dossier and separated from.the basic document by the assignment of a slash
[494]‘number, the attachment will be filed by the date of the basic document.
[496](2) Deferred documents will not be filed in a 201 dossier. If they are
[497]to be retained in the dossier they should be sent to AP RMS for classification
[498]into that 201.
[500](3) Field index cards (held by some-desks) and area desk cards ‘may
[501]be retained in the 201 as part of a consolidation procedure. These cards
[503]should be mounted on a full-size sheet of paper for filing in the 201.
[505](4) A-201 dossier previously opened on a person who becomes a staff
[506]employee and which contains Record Copy documents will be restricted to
[508]‘the ISG/DIP unless the desk retains the restriction. The dossier should be
[510]closed if there are no Record Copy documents in it.
[512](5) ‘A 201 opened in pseudonym should be consolidated into the true
[513]name 201 if one exists or converted to the tue name.
[515](6) Field and duplicate (shadow) 201 files no longer of active interest
[516]should be incorporated into the official. 201 after the duplicate material
[517]has been purged by the desk officer and the remaining information classified .
[518]to that 201 by the Analysis Section (IP/AN).
[520](7) Any document with a predecessor organization cover sheet or an
[522]_ OPC (Office of Policy Coordination) cover sheet from the Archives and
[524]Disposition Section (IP/ARD) must be returned to IP/ARD for processing
[525]to the 201.
[527](8) Desk memoranda (with or without a document source number)
[528]containing substantive or derogatory information on the subject of the 201
[529]should be sent to IP/AN to be classified officially into the 201 file.
[531](9) An attachment which should be separated from its basic document
[532]for inclusion in a 201 personality dossier will be forwarded with the basic
[533]document to IP/AN for processing into the 201.
[535](10) To retain the P&L, RYBAT, or KAPOK sensitivity of a document
[536]remaining in a 201 dossier being retired to Central Files, place that document
[537]in an envelope sealed with black tape (see DOI 70-17). Any RYBAT, P&L,
[538]or KAPOK document sent to Central Files not in a black-taped envelope will
[540]‘automatically be handled as desensitized. A black-taped envelope may con- _
[542]tain only one document and must be filed in chronological order within the
[543]file. If there are numerous documents cf this type the desk officer may black-
[544]tape the entire dossier rather than individual documents (see DOI 70-10).
[548]SECRET
[551]13-00000
[553]SEGRE
[554]md - DOHB 70-1-1
[555]CUED Pm ns CHAPTER Il, ANNEX B
[556]ee pe 15 November “1974
[558]‘~)  Black-taped dossiers or dossiers with black- tmped documents will be
[559]. handled as restricted dossiers.
[561](iy). “An. inactive 901. dossier « or an. 1 inactive volume of a large 201
[562]. dossier on. permanent charge: should be -returned to- Central Files under a
[563]., Routing and Record Sheet with the notation shown below. .
[565]oo (Co) Restricted Doseter
[566]{attach Fora 2021 to
[567]Dosster)
[569]., @) secure OC) conetoerTm OO iy CO vraassiria L
[572]*.
[574]mt
[576]Ps
[578]“@
[582]Hy
[584]'
[586]o
[588]4
[590]w.
[593]13-00000
[595]DOHB 70-1-1
[596]CHAPTER III, ANNEX B
[598]15 November: 1974
[600]6. 201 DOSSIER CHARGES
[602]A 201 dossier may be kept on permanent charge at the desk during any
[603]period of active interest. If the dossier is transferred to another desk, the desk
[604]officer who is transferring the dossier must notify Central Files of the transfer.
[605]Central Files will then send the Notice of Transfer of Document or File: Account-
[606]ability (Form 2977) to the new action desk officer. °
[608]s
[610](when pliled te)
[612]NOTICE OF TRANSFER OF DOCUMENT OR FILE ACCOUNTABILITY
[616]Tals is to aotify you that accountability for the documeat(e) and/or file(s) cited
[617]below has been transferred to you by:
[619]Tone —— rn nee sere
[621]Accordingly, T's records now reflect you as the custodian. Please contact IP/FL les,
[623]- Exs. 4362, if you have any questions Tegarding this transfer.
[627]1553 S977 ore ceceseus sorerens
[629]The new action desk officer-must then fill out a 201 Personality File Action
[630]Request (Form 813) to change the action desk designation to insure that the
[632]201 personality will be included in the Headquarters and field machine’ listings
[633]for his component.
[637]7, RESTRICTED DOSSIERS
[639]a. Access to a sensitive 20] dossier may be restricted by holding the fileatthe = -.
[640]desk or placing it on restriction in Central Files.
[642]we pa
[643]7
[645]it ikerei acta ited Westie ay tsi
[647](1) The dossier may be restricted by checking: Box 2 on the 201
[648]Personality File Action Request (Form 831) when the file is opened.
[650]oe
[658]Sehr
[661]13-00000 -
[663]OA RTT Were ee Or FBTR TINE se IPP ET,
[665]; DOHB 70-1-1
[666]es * CHAPTER Ill, ANNEX B
[668]15 November 1974
[670](2) The dossier may be restricted by holding it on permanent charge
[671]from Central Files. (Note: To maintain the restriction of a dossier being
[672]returned to Central Files for retention, a File Restriction Notice’ (Form
[673]2021) must accompany the dossier.)
[675]- (3) The dossier may be restricted and held in Central Files sy, sub-
[676]* mitting a File Restriction Notice (Form 2021):
[678]COME DEH
[679](Thee Filled ta)
[681]FILE RESTRICTION NOTICE . -
[683]. To restrict « file, complete ‘Bection A (signature of B.0. not
[684]pecesssry).
[685]« To remove a restriction, couplete Section B (na oO. _stenature
[687]necessary).
[689]SECTION B
[691]Pree
[694]_. b, Access to a restricted dossier located in Central Files is limited to the
[695]personnel of the restricting desk or persons authorized by that desk. Any request
[696]for the charge of a restricted dossier or any document within a restricted dossier
[697]held in Central Files will be forwarded with the entire dossier and a multiple-
[699]routed cover sheet to the restricting desk. This desk may then forward the file -
[700]to the requester or-deny the request and retum the dossier to Central Files. The -
[702]desk will notify the requester of a denial.
[704]c. Anyone requesting a restricted dossier, or a document within a restricted
[706]dossier, permanently or temporarily charged to a desk, will be referred to that -
[708]desk by Central Files.
[712].
[713].
[714]BS
[715]ne 2
[718]DOHB 70-1-1
[719]CHAPTER ILI, ANNEX B
[721]15 November 1974
[723]8. REQUESTS FOR INFORMATION OW’ 20L PERSONALITIES
[725]The Automated Index Section (1P/AIS) will provide the identity of the
[726]subject of a 201 number unless the 201 file is restricted, in which case the
[727]requester will be referred to the restricting desk. , ‘
[729] IP/AIS will also provide the 201 number assigned to a name, unless the 201
[730]file is restricted, or state that there is no 201 number assigned, Requesters should
[731]supply identifying information whenever available for each name submitted.
[733]‘Requests pertaining to five or fewer names or numbers may be made by
[734]telephone by calling the IP/AIS red.line extension; IP/AIS will provide the
[735]information by return call to the requester’s extension as listed ‘in the Badge
[736]Table. Requests for more than five names or numbers must be listed and sent
[737]by tube or courier to IP/AIS; IP/AIS will reply by return mail.
[739]9. 201 DOSSIER CANCELLATION
[741]A 201 file may be authorized for cancellation by a Records Officer, after
[742]appropriate coordination. The file should be forwarded to IP/RMS which will .
[743]destroy the folder and the cards leading to it and will remove the. name and
[744]number from machine lists. Any Record Copy document contained -in the folder
[745]will be reclassified to another appropriate file or sent to the Destruction Unit
[746](IP/DU) as directed by the desk Records Officer. _
[748]10. 201 MACHINE LISTINGS.
[750]Machine listings provide field stations and Headquarters desks with names
[751]and 201 numbers in the requester’s particular geographic or functional area of .
[752]interest. If a component wishes to exclude a sensitive 201 personality from its
[753]alghabetic, numeric, and cryptonym listings, this may be done when opening ~ °
[754]the 201 or later by a 201 amendment. On the 201 Personality File Action Request
[755](Form 831) leave the country of location (Box'15) and interest desk (Box 16)
[756]blank, use the non-country code 900 in the action box (Box 14), and indicate
[757]permanent charge to the responsible desk. The only listing which will include the
[758]201 number is the IP/201 record for the Vital Records program. 201 listings are
[759]categorized as standard or nonstandard and as scheduled or special.
[761]a. Standard Listings
[763]Issued semi-annually to Headquarters and the field; based on a component's -
[764]interest as indicated in the “Action Desk,” “Country of Location,” and “Interest
[768]SECRET
[771]13-00000
[773]DOHB 70-1-1
[774]CHAPTER III, ANNEX B
[776]Wel tie I, . 15 November 1974
[780]| . . Desk” blocks on the-.201: Personality File Action Request (Form 831).’ The
[782]wee cs oo eee
[784]QECAAT/ORGANILATION INTEANAL USE ONLY
[786]ote standard listings availableare: 1... om re | |
[787]_ HY Ahatbatical by & surname, Ieadiig to « $i pumber, | 7
[788](2). Alphabetical by given name, leading to a 201 number; |” Bae 2 | =
[789](3) Alphabetiéal by eryptonym, Ieading to 201 number; “’" "| an
[790](4) Numerical, leading to a surname; : - : - 7 a a : ce ;
[791](5) Numerical, leading to a cryptonym, mt 4 |
[793]CTY
[794]201 SUQNANE ALPHA
[796]CAE Me RUAKGTUNG
[798]1934134379007 arauLi4
[799]BOUT /71R5713eR/00017 .
[800]“Ser te CTULSSUES‘COOLS 6A 2egantt
[802]Cute
[805]SHOUSSFE 26774/1100700868 90° - CHIN, ANOY . gus? Cconr
[806]SwoU “et G4JAHL9 CHIN, FURIEN, PROV. CHIR?
[807]Sree EG 7710073 303/690 “ 2U0CTOS - Etta, PaNCIUaIA, POAT ARTH . enat
[808]Sw Site STLES@RLOSZOOe «=A LZNOVZ2 CHM) WUnAN cnat
[809]‘StCu-TAD renasas) = CHI : Ofer econ
[810]CHIE, SHES ISENG FTLESZENOOSE ca + Cl, Canter EKGR ChAT
[812]CHEN, SHCU TER /O7OU733437100T. |
[813]Curb, Stempev el sT Vass tioasens
[814]Carers, SeTatovy
[815]curd, Seatagon ry
[816]We Sott=Cuhs /911597229976930
[817]“gem Cowen FTES SAVANE cuin? an2essa
[818]Tsea Cvat = 0797395
[821]CHE, See Cressy STLLSZZ°NS72707 §©=68 Crac2z .. CHEN ve IL ty CHIN? 200223
[822]i=) stp Fee a aqeast?
[824]Cui, Utaentee vRo cueee
[825]CHIN. FERSER ceor?
[826]PAOF CHIN?
[830]Code, So war: TALS 72ARS739R E97 OOSULLE = CNT Me RadKETUNG "Mawr Onrenzt
[831]CHF, SF MELAS PTTASZISTOITS 10 Culm eu teN - CHIN? OOserse .
[832]Eto SieI=VSIUH JTANS/ZIAS7P © RIPEROT «Citi, SWANGTUNG . ced-? oneases
[834]Cris, Shy mSUN fTURS7 209976193 ~ GSMavtG §=6CHINSPOCENCY CHIN? O1TTA22
[836]cur SHu-eUA - OMatzs . Olpr CCoM. o2z3tet -
[837]Cwreds Sere £7b.5/29e979030F a GOFEAla CHIN, HOPES: : DIPr CHAT. aeselse
[839]Cure, Sis KOCE sTRUSZ2ENS72t1O 2MAVZI CHEN FANG: CHENG OROR CHIN? 0179073 .
[840]Gti, SHU Las . “a : cum an > CCON 0221972 .
[842]Coeete S199 Liane /TLLS/U0477009 crsc7t | Cutan a vo . Oter Culnt azz3t6z
[843]“Geter, Gen LET. PALS S2STOF205 07 25NNNI0- CHIN. FERCSHUN te. CHEN? 9179624
[844]Crees Srateg tyg s¥10a728737010 | OUR29 «CHIN, KLaNSsY , mita €C79 . ongasan
[845]few, ShURTIN - a ZOSESZO"- Corin, HSCAT=NSIEN, BLANCSY Car = 0494447
[846]Cote, Shu aN sTaLasapesvosees 8549R30.- CHtwCnéncual Cana CHIN? 0174625
[848]CL. SHu-Pag £71052297O702027 - USHECIG * Chin, KWANGTING PaGy. +. Gat? 0052636 .
[849]oe SHUSTER JPULSFZASRIATII/ OA tonecze © CHEN, RwancTUNG . cetn? 9603119
[851]Cire y, Somswseay /TEESSESISFOSL 27IAN2T «Cath. FURIE PCOY Gute? o1o}zag?) -. .
[853]CHEN, BUTE STEESIAESFE TESS ZIDECIT © Cele, Sranenas GEOR CHINT -O7a 3816"
[855]Cif, SHU TEM NSF v 2tearId = Cite Crane Siu . OOL3est
[856]CRM, Site HIG £928 970867/6639 ClPCTS «CHIN, HANG fnte . CHIN? . 0153929
[857]SHE EL ATULS F295 0273997 wenanit = Cris . Fie COON” OFEPeAz
[859]Cur, Su EU STERSZNGHTZOIITS «=A OzFEnoe . . . Onstize .
[860]=¥AU FTELSSZESS/LOIL CIROVOG «= CHIE, ReencTuNe CcnN? 0093196 .
[862]No Swivovice v Osaoni? Cutn? 107306 cu -
[863]Cable See ve 7721972694799007 Aszune Cutme Girsnzy . CHin
[864]Cutres SIMMVEN PTELSSZ57O(R892S ermectia «CHIN, ene YANG NSLEN, IN ARMY .CNAT) | 60349824 va
[865], Leer, ten UTEFHID «= CHEN. Cute bane ant CEAY At tata ens
[866]: Feit, Keeyovee 2tareee Cite. SeanmHaL | ‘Cuiny onsauin ** :
[867]: Feeds See ea FTES LS IOS ALI? vo -OaShPZe | CHES, Seeciwan. Cuta? otsersa” Taw
[868]T/ORGAMC LATION INTERNAL USE OILY rn. Pace | 1SO 7
[870]EL svener Cy ay 05407) : . ‘s , ‘Ss
[875]13-00000
[877]a eee
[879]Boy oo DOHB 70-1-1 -
[880]ne CHAPTER Il, ANNEX B
[882]15 November 1974
[884]All standard. listings are cumulative; previous editions must. be destroyed ;
[885]upon receipt of current editions. These listings are by their very nature extremely
[886]sensitive compilations of information and must be given every possible safeguard.
[888]b. Non-Standard Listings
[890]"Based on one or more of the following selection criteria: _
[892]’ (1) Country of location
[893](2) OI codes (organization and/or intelligence affiliation)
[894](3) Citizenship :
[895](4) Year of birth (plus or minus a given number of years)
[896](5) Occupation. a
[898]These selection criteria may be used singly or in combinations. For example,
[899]a user could obtain a list of all 201 personalities who have been assigned the
[900]OI code of XX or codes of XX, XY, or XZ. A 201 personality list could also be
[901]produced of all persons who were born in Germany between the years 1915
[902]and 1920, with the occupation computer specialist, who are now citizens ‘of the
[903]United States, located in Mexico, and who had been assigned the OI code AA.
[904]Note however that the listing would contain only those personalities with an
[905]OI code AA: Those personalities with an OL code other than AA. and those
[906]with no OI code would be: excluded. The requester could however ask that |
[907]persons who have not been assigned an OI code also be included. Note also
[908]that when retrieving. lists based on occupation, the listing will be only as specific
[909]as the occupation code (Attachment L).. The occupation code for a courier
[910]covers only.a documented courier. Some occupation codes cover more than one. -
[911]occupation. For example, the occupation code CRAF covers those who practice
[912]some trade or manual occupation, i.e., carpenters, bricklayers, painters, mechanics — -
[913]and electricians. If a list is requested for electricians, all others in this category.
[914]will be included in the printout. These non-standard listings may be sorted
[916]__ (arranged) according to any, but not more than three, of the following keywords:
[918](a) Sumame
[920](b) Given name
[922](c) Date’ of birth
[923](d) Country of birth
[924](e) Citizenship
[926](f) OL code
[928](g) Location
[933]13-00000
[935]DOHB 70-1-1.
[936]CHAPTER Ii, “ANNEX B_
[938]15 November 1974
[940]*Sorts-can:be made within ‘sorts. For exariple, 201 personalities may be sorted -
[941]“+ alphabetically. by surname within OJ codes” for given- countries of -location.- -
[943]Because two OI codes may be: listed: for each personality, those names with two
[944]OI codes would be listed twice,
[946]" o Scheduled ‘Listings
[947]Standard and non-standard listings printed semiannually.
[949]. d. Special Listings
[951]-. Unscheduled, usually non-standard, listings produced on a one time basis ,
[952]mm response to special operational requirements.
[954]e, Request for Listings
[956]All requests for standard or non-standard alphabetical and numerical 201 _
[958]listings for Headquarters and the field, for changes in periodic listings, and for
[960]information on the 201 machine list system should be made:to the component
[961]Records ‘Management Officer.
[966]t
[967]a
[973]al
[974]AF
[975]of
[976]ms
[978]DOHB 70-1-1
[979]CHAPTER II, ANNEX B
[980]Attachment 2
[982]15 November 1974
[984]AUTOMATIC. 201 DOSSIER OPENINGS
[986]Note: 201 files will be.opened automatically by IP/AN on the following cate-
[987]gories of people. ;
[989]1. Arab Republic of Egt aypt (ARE)
[990]a Diplomats with rank of third secretary or a above.
[992]be Military attaches and assistant military attaches.
[994]Cc. Intelligence officers of the General Intelligence Department (GID).
[996](Prior to opening of anCARE}201 file, check with (NE/E for correct spelling
[997]of name and additional biographic data.)
[999]2.CBritish Commonwealth
[1001]a. All positively identified members of MI-5 § MIS pnd MI-6,'the British British Intelligence ©
[1002]Services. ~
[1004]b. All ae identified members of the[ Irish] Military Intelligence Service
[1006]-G ‘Communist Party officials on national or provincial Jevels and.
[1007]officials of the(Canadian Communist Party front organizations. Do not open
[1008]unless there is at least a date of birth given.
[1010]d. All raembers of the Security Service of the/ Royal Canadian Mounted
[1012]Police (RCMP-SS).
[1014]3. Cuba
[1015]Intelligence service employees (DSE, DGI).
[1017]a. All Israeli diplomats. C/NE/ISR ‘should be indicated as the originating
[1018]office with C1/SP always indizated as the secondary office of interest.
[1020]\s. Military attaches.
[1021]c. Assistant military attaches.
[1023]d. Identified intelligence officers.
[1026]SECRET
[1029]ee EER ennenseemstieetaineierernedtinemonnmetereticemern aes econo cneaae: Techie lianionesiemtdlibehonmtaneteennr ams riemeeemeeeneneme are rat a ee a .
[1032]. ene ; FAY
[1034]. ' DOHB 70-1-1 | &
[1035]CHAPTER III, ANNEX B
[1036]Attachment 2
[1038]15 November 1974
[1040]$s, North- Vietnam
[1041]All diplomats and ‘NFLSV (FRC) offi cials stationed abroad.
[1043]6. USSR
[1045]a. All Soviets assigned PCS to an official representational installation, ‘Le,
[1046]embassy, consulate, commercial representation, national airline (Aeroflot)
[1047]office, news media office.
[1049]b. All Soviets assigned.PCS to the United Nations in New York, Paris, Gener,
[1050]and Vienna. ;
[1052]c. Audio technicians, after coordination with SE desk concerned: -
[1054]d. Students who will be. studying abroad for a full academic year at institutions
[1055]of higher learning. -
[1060]13-00000
[1062]oe ee yO-1-/
[1063]Wo Ngee _ CSHB 444-4
[1064]QgSeTE AT , CHAPTER II |
[1065]CLANDESTINE SERVICES ee
[1066]«HANDBOOK NO. 40-k-1 ~ . 15 February 1960
[1067]. aly . . : 7 “ac r © J . ~ _ ot . . . 7 _ . , betes = o- .
[1068]PERS: . ry wots Sete t aa . ANNEX B rr a Scere
[1069]0 /PERSONALITIES - 201 AND IDN NUMBERS 3.
[1070]ww r aA A relatively ‘small ‘proportion of the total number o °
[1072]i . . son fe Gy te.
[1073]jer 2 The “901 number. serves 5 a-dual pur
[1074]Jad ; ” these personalities into the CS.records 5
[1075]oe e.g., 201-123456, is assigned to each
[1076]‘ by this number is established which Contains, or has cross referenced
[1077]- -to it, all of the reporting on the individual’s personal history, current
[1078]. status.and prospects. Once the 201 number is assigned, it is used in
[1079]. .. futyre reporting on the individyal both as a file number and in place of
[1080]— other identifying data. Up-to-date machine listings are published ..
[1081]periodically to help field stations and headquarters desks keep book
[1082]on those 201 personalities falling 3 in their Particular geographic or
[1083]a “functional area of interfst. © + °
[1085]Ger
[1087]ase. tt brings the files on
[1088]ystem. A single number,
[1089]person, and a dossier controlled
[1093]_ 3. It has become apparent that the 201 machine listings should in-
[1094]clude the identities of persons of operational interest because of their
[1095]connection with d target group or organization even though there may
[1096]not be sufficiesxt information or specific interest to warrant opening
[1098]ve a file. For oka ample: A considerable number of stations are concerned
[1100]Lo oo 4 of
[1101]_ _ 43 Gime His ale
[1102]sioner oe Owe, gorlele
[1104]1 Dad Lo -.
[1106]13-00000
[1108]“Vw
[1110]- ¥  BRCRES -
[1111]ae _ | Jo-t-1
[1113]TOUR . CHAPTER I, ANNEX B
[1114]- CLANDESTINE SERVICES wha
[1115]' HANDBOOK NO. 43-t-t . 15 5 Febreary 1960
[1119]of the Cuban desk on the dramatis personae. In addition to 201 per-
[1120]sonalities, such lists should contain the names id identifying data. |
[1121]of persons who. should be kept track of, althoug they may only be of
[1122]‘tangential interest or on whom there may be ttle: or no-data other -
[1123]than that given in the listing itself>
[1125]4. To accommodate this type of req Jement in the 201 system,
[1126]identifiable personalities concerning whgym enough information is not
[1127]yet available to require the opening of gd file may be assigned mumbers
[1129]‘5. All 201.code numbgrs are assigned by RID at headquarters, ;
[1130]either upon receipt of Form 831, or of a field dispatch. Ifa digpatch
[1131]is written about a pergonality not yet in the system, a 201 number for
[1132]' it may’be requested Simply by writing under headquarters file number
[1133]in the dispatch form as follows: .
[1135]‘ Dispatch: Symbol and No.
[1136]XYZA -12345
[1138]"-Hesdquartere File No.
[1141]2 --- Se = .
[1145]6. IDN numbers are assigned by RID at headquarters upon the -
[1146]request of stations or desks which are developing special identification
[1147]programs within the 201 system. The field receives current notifica-
[1148]tion of new 201 openings and IDN numbers through the Field Index Card .
[1149]Service...
[1151]44
[1153]13-00000
[1155]_
[1158]: Sand
[1159]vt
[1160]4
[1162]{pores om ee me ee cee an ET ene ee meee em memperes Heme me: ret =
[1163]8,
[1165]oo  go-t=t
[1166]— . CSHB 45 3.4
[1167]re oo CHAPTER Il, ANNEX.B
[1168]CLANDESTINE SERVICES ee
[1169]HANDBOOK NO. 43-4-1- 15 February 19
[1171]7. Stations or branches often are concerned with pepdonalities
[1173]- not of general CS concern. Files on these may be kept in any desired
[1175]. order. Should such personalities become of genergi-CS interest,
[1176]they must be brought into the 201 system. -. a - op
[1178]45
[1179]| _ SSSREZa