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The editors of the Foreign Relations series have complete access to all the retired records and papers of the Department of State: the central files of the Department; the special decentralized files (“lot files”) of the Department at the bureau, office, and division levels; the files of the Department's Executive Secretariat, which contain the records of international conferences and high-level official visits, correspondence with foreign leaders by the President and Secretary of State, and memoranda of conversations between the President and Secretary of State and foreign officials; and the files of overseas diplomatic posts. When this volume was being compiled, all Department of State records consulted were still under the custody of the Department, and the footnotes citing Department of State files suggest that the Department is the repository. By the time of publication, however, all the Department's indexed central (or decimal) files for these years were permanently transferred to the National Archives and Records Administration (Archives II) at College Park, Maryland. Many of the Department's decentralized office (or lot) files covering this period, which the National Archives deems worthy of permanent retention, will also be transferred from the Department's custody to Archives II over the next several years.

The editors of the Foreign Relations series also have full access to the papers of President Johnson and other White House foreign policy records. Presidential papers maintained and preserved at the Presidential libraries include some of the most significant foreign affairs-related documentation from the Department of State and other Federal agencies including the National Security Council, the Central Intelligence Agency, the Department of Defense, and the Joint Chiefs of Staff.

In preparing this volume, the editor made extensive use of Presidential papers and other White House records at the Lyndon B. Johnson Library. Numerous White House memoranda, including memoranda to the President, testify to President Johnson's concern with issues relating to China, especially China's nuclear development, the Chinese representation issue, and internal developments in China during the Cultural Revolution. The bulk of the foreign policy records at the Johnson Library are in the country files and other component parts of the National Security File. The China Country File includes records on issues concerning the China mainland and also on relations with the Chinese Nationalists on Taiwan. Material pertaining to the ambassadorial talks at Warsaw is in the Poland Country File.

The Department of State arranged for access to the audiotapes of President Johnson's telephone conversations, which are held at the Johnson Library. The first audiotapes became available to the editors in late [Page XVI]1994, after this volume was completed. Others became available after the declassification process was well underway. The editor did not consider that the small portion of material in those tapes pertaining to U.S. policy toward China justified delay in the publication of the volume. Information concerning a few conversations pertaining to China is included in the volume.

Second in importance only to the White House records at the Johnson Library were the records of the Department of State. The Department's central files contain the cable traffic recording U.S. diplomatic relations with the Republic of China on Taiwan and the ambassadorial talks at Warsaw, memoranda of diplomatic conversations, and memoranda proposing action or providing information. Some important documents are found only in Lot Files. The Conference Files maintained by the Executive Secretariat contain briefing materials as well as records of conversations. Documentation on initiatives that were not approved is often found only in desk or bureau files. The Rusk Files contain records of Secretary Rusk's telephone conversations.

The Central Intelligence Agency provides access to Department of State historians to high-level intelligence documents from those records in the custody of that Agency and at the Presidential Libraries. This access is arranged and facilitated by the History Staff of the Center for the Study of Intelligence, Central Intelligence Agency, pursuant to a May 1992 memorandum of understanding. Department of State and CIA historians continue to work out the procedural and scholarly aspects of identifying the key portions of the intelligence record.

The China volume has an important intelligence component, including finished intelligence and some covert operations. In CIA records, the files of the Directors of Central Intelligence, especially John McCone's, were especially useful. Retired files of the Department of State's Bureau of Intelligence and Research contained National Intelligence Estimates, and the INR Historical Files provided records of the meetings of the 303 Committee, the interdepartmental committee that reviewed and authorized covert operations, and related material.

The records of the Department of Defense (DOD) at the Washington National Records Center at Suitland, Maryland, particularly the records of the Secretary of Defense and the Assistant Secretary of Defense for International Security Affairs, provided important documents. The papers of W. Averell Harriman at the Library of Congress include some valuable material relating to China not available elsewhere. The papers of Maxwell D. Taylor at the National Defense University contain records of White House staff meetings for the early part of 1964.

All of this documentation has been made available for use in the Foreign Relations series thanks to the consent of the foregoing agencies, the [Page XVII]assistance of their staffs, and especially the cooperation and support of the National Archives and Records Administration.

The following list identifies the particular files and collections used in the preparation of this volume. The declassification and transfer to the National Archives of these records in process. Many of the records are already available for public review at the National Archives. The declassification review of other records is going forward in accordance with the provisions of Executive Order 12958, under which all records over 25 years old, except file series exemptions requested by agencies and approved by the President, should be reviewed for declassification by 2000.

Unpublished Sources

  • Department of State
    • Central Files. See National Archives and Records Administration below.
    • Lot Files. These files are either transferred or in the process of being transferred to the National Archives and Records Administration at College Park Maryland, Record Group 59.
      • Bundy Files: Lot 85 D 240
        • Files of William P. Bundy, 1962–1970; largely covering the period when he was Assistant Secretary of State for Far Eastern Affairs, 1964–1969.
      • Conference Files: Lot 66 D 110
        • Records of official visits by heads of government and foreign ministers to the United States and international conferences attended by the President, the Secretary of State, and other U.S. officials, 1961–1964, maintained by the Executive Secretariat.
      • Conference Files: Lot 66 D 347
        • Records of official visits by heads of government and foreign ministers to the United States, and international conferences attended by the President, Vice President, or Secretary of State for 1965, maintained by the Executive Secretariat.
      • Conference Files: Lot 67 D 305
        • Records of international conferences attended by the President, Vice President, or Secretary of State from January to October 8, 1966, maintained by the Executive Secretariat.
      • Conference Files: Lot 67 D 586
        • Records of international conferences attended by the President, Vice President, or Secretary of State from October 1966, to May 10, 1967, maintained by the Executive Secretariat.
      • EA Files: Lot 73 D 8
        • Correspondence on East Asia Advisory Panel and China Advisory Panel Meetings for 1967–1968, maintained by the Bureau of East Asian and Pacific Affairs.
      • EA/ACA Files: Lot 71 D 144
        • Files of Paul H. Kreisberg, Officer in Charge of Mainland China Affairs, 1965–1970, maintained by the Office of Asian Communist Affairs, Bureau of East Asian and Pacific Affairs
      • EA/ACA Files: Lot 72 D 175
        • Subject Files: Administrative and economic files for 1962–1969, maintained by the Office of Asian Communist Affairs, Bureau of East Asian and Pacific Affairs.
      • EA/ROC Files: 71 D 517
        • Top Secret files relating to China for 1954–1964, maintained by the Office of Chinese Affairs and later by the Republic of China desk in the Office of East Asian Affairs.
      • EA/ROC Files: Lot 72 D 140
        • Top Secret files, including briefing materials and records of visits, for 1961–1968, maintained by the Office of Chinese Affairs, later by the Republic of China desk in the Office of East Asian Affairs, and later by the Office of Republic of China Affairs, Bureau of East Asian and Pacific Affairs.
      • EA/ROC Files: Lot 74 D 25
        • Political files for 1964–1972, maintained by the Republic of China desk in the Office of East Asian Affairs and later by the Office of Republic of China Affairs, Bureau of East Asian and Pacific Affairs.
      • EA/ROC Files: Lot 75 D 76
        • Political files for 1954–1973 and miscellaneous Top Secret files for 1955–1973, maintained by the Office of Chinese Affairs, later by the Republic of China desk in the Office of East Asian Affairs, and later by the Office of Republic of China Affairs, Bureau of East Asian and Pacific Affairs.
      • EA/ROC Files: Lot 79 D 120
        • Top Secret files for 1961–1972, maintained by the Republic of China desk in the office of East Asian Affairs, and later by the Office of Republic of China Affairs, Bureau of East Asian and Pacific Affairs.
      • FE/IRG Files: Lot 70 D 56
        • Files of the Far East Interdepartmental Regional Group from March 1966 through December 1968, maintained by the Special Assistant to the Assistant Secretary of State for East Asian and Pacific Affairs.
      • Geneva Talks Files: Lot 72 D 415
        • Files relating to the Sino-American ambassadorial talks at Geneva and Warsaw for 1955–1968, maintained by the Office of Chinese Affairs, later by the Office of East Asian Affairs, and later by the Office of Asian Communist Affairs.
      • INR/EAP Files: Lot 90 D 99
        • National Intelligence Estimates, Special National Intelligence Estimates, Telegrams, and Memos for 1952–1985, maintained by the Office of Research and Analysis for East Asia and the Pacific, Bureau of Intelligence and Research.
      • INR/EAP Files: Lot 90 D 110
        • National Intelligence Estimates, Special National Intelligence Estimates, Telegrams, and Memos for 1952–1985, maintained by the Office of Research and Analysis for East Asia and the Pacific, Bureau of Intelligence and Research.
      • INR/IL Historical Files
        • Intelligence files, including records of the 303 Committee, containing records from the 1950s through the 1970s, maintained by the Office of Intelligence Liaison, Bureau of Intelligence and Research.
      • Policy Guidelines: Lot 67 D 396
        • Master file of Guidelines for Policy and Operations papers, 1961–1966.
      • Rusk Files: Lot 72 D 192
        • Files of Secretary of State Dean Rusk, 1961–1969, including texts of speeches and public statements, miscellaneous correspondence files, White House correspondence, chronological files, and memoranda of telephone conversations.
      • S/P Files: Lot 70 D 199
        • Files of the Policy Planning Council for 1963–1964.
      • S/P Files: Lot 71 D 382
        • Top Secret files of the Policy Planning Council, 1964–1970.
      • S/P Files: Lot 72 D 139
        • Top Secret files of the Policy Planning Council, 1963–1971; country files, 1965–1969.
      • S/S–NSC Files: Lot 70 D 265
        • Master set of papers pertaining to National Security Council meetings, including policy papers, position papers, administrative documents, but not minutes of the meetings, for 1961–1966, maintained by the Executive Secretariat.
      • S/S–NSC Files: Lot 72 D 316
        • Master file of National Security Action Memoranda (NSAMs), 1961–1968, maintained by the Executive Secretariat.
      • Visit Files: Lot 67 D 587
        • Records of official visits by heads of government and foreign ministers to the United States from October 1966 to May 10, 1967, maintained by the Executive Secretariat.
      • Warsaw Talks Files: Lot 73 D 210
        • Files relating to the U.S.-China ambassadorial talks at Warsaw for 1958–1971, with some material concerning the 1955–1957 talks at Geneva, maintained by the Embassy at Warsaw and later by the Office of People's Republic of China and Mongolia Affairs.
      • Warsaw Talks Files: Lot 75 D 342
        • Files relating to the U.S.-China ambassadorial talks at Warsaw for 1961–1968, maintained by the Office of Office of Chinese Affairs, later by the Office of East Asian Affairs, later by the Office of Communist Affairs, and later by the Office of People's Republic of China and Mongolia Affairs.
  • National Archives and Records Administration, College Park, Maryland
    • RG 59, General Records of the Department of State
      • Subject-Numeric Indexed Central Files
        • AID (US) CHINAT, U.S. economic aid to the Republic of China
        • AID (US) 15 CHINAT, P.L. 480 assistance to the Republic of China
        • CSM 1 CHICOM, Chinese Communist doctrine, objectives
        • CSM 1–1, Communist schisms, deviation
        • DEF CHICOM, military affairs, People's Republic of China
        • DEF CHINAT, military affairs, Republic of China
        • DEF 1 CHINAT, defense policy, plans, readiness, Republic of China
        • DEF 1 CHINAT-US, defense policy, plans, readiness, Republic of China-U.S.
        • DEF 1–4 CHINAT, air defense, Republic of China
        • DEF 6 CHINAT, armed forces, Republic of China
        • DEF 6–5 CHINAT, paramilitary forces, Republic of China
        • DEF 12–1 CHICOM, nuclear testing, People's Republic of China
        • DEF 15 CHINAT, bases and installations, Republic of China
        • DEF 15 CHINAT-US, bases and installations, Republic of China-U.S.
        • DEF 15 HK, bases and installations, Hong Kong
        • DEF 15–3 CHINAT-US, status of forces, Republic of China-U.S.
        • DEF 19 US–CHINAT, U.S. military assistance to the Republic of China
        • DEF 19–8 US–CHINAT, U.S. provision of military equipment and supplies to the Republic of China
        • FT CHICOM-1 US, general policy on the question of trade with the People's Republic of China
        • FT CHICOM-US, question of trade with the People's Republic of China
        • ORG 1 OSD-STATE, State-Defense coordination
        • ORG 3–2, chiefs of mission and principal officers
        • ORG 7 FE, travel by officials of the Bureau of Far Eastern Affairs
        • ORG 7 S, travel by the Secretary of State
        • POL CAN–CHICOM, political affairs and relations, Canada and the People's Republic of China
        • POL CHICOM, political developments, People's Republic of China
        • POL CHICOM-JAPAN, political affairs and relations, People's Republic of China and Japan
        • POL CHICOM-US, political affairs and relations, People's Republic of China and the United States
        • POL CHICOM-USSR, political affairs and relations, People's Republic of China and the U.S.S.R.
        • POL CHICOM-CHINAT, political affairs and relations, People's Republic of China and Republic of China
        • POL CHINAT, political developments, Republic of China
        • POL CHINAT-CHICOM, political affairs and relations, Republic of China and People's Republic of China
        • POL CHINAT-FR, political affairs and relations, Republic of China and France
        • POL CHINAT-US, political affairs and relations, Republic of China and the United States
        • POL HK, political affairs and relations, Hong Kong
        • POL HK-US, political affairs and relations, Hong Kong and the United States
        • POL MONG–US, political affairs and relations, Mongolia and the United States
        • POL 1 ASIA SE–US, U.S. general policy toward Southeast Asia
        • POL 1 CHICOM, U.S. general policy toward the People's Republic of China
        • POL 1 CHICOM-FR, general policy, People's Republic of China and France
        • POL 1 CHICOM-US, U.S. general policy toward the People's Republic of China
        • POL 1 CHINAT-FR, Republic of China general policy toward France
        • POL 1 CHINAT-US, U.S. general policy toward the Republic of China
        • POL 1 CHINAT-VIET S, Republic of China general policy toward South Vietnam
        • POL 1–3 CHICOM, general policy evaluation, People's Republic of China
        • POL 2 CHICOM, general reports and statistics, People's Republic of China
        • POL 2 CHINAT, general reports and statistics, Republic of China
        • POL 2 US, general reports and statistics, United States
        • POL 7 CHINAT, travel and visits by high-level Republic of China officials
        • POL 7 JAPAN, visits of Japanese leaders
        • POL 7 ROM, travel and visits by high-level Romanian officials
        • POL 7 US/BUNDY, travel by McGeorge Bundy
        • POL 7 US/GOLDBERG, travel by Arthur Goldberg
        • POL 7 USSR, travel and visits by high-level Soviet officials
        • POL 13–2 CHICOM, People's Republic of China students and youth groups
        • POL 15–1 CHINAT, Republic of China head of state
        • POL 15–1 CHICOM, People's Republic of China head of state
        • POL 15–1 US/JOHNSON, President Johnson's meetings and correspondence with heads of state
        • POL 16 CHICOM, independence and recognition, People's Republic of China
        • POL 16 CHINAT, independence and recognition, Republic of China
        • POL 16 MONG, question of recognition of Mongolia
        • POL 17 CHICOM-FR, diplomatic and consular representation, People's Republic of China and France
        • POL 17 CHINAT-FR, diplomatic and consular representation, Republic of China and France
        • POL 17 CHINAT-US, Republic of China diplomatic and consular representation in the United States
        • POL 17 CHINAT-CONGO, diplomatic and consular representation, Republic of China-Congo
        • POL 17 FR–CHICOM, French diplomatic and consular representation in the People's Republic of China
        • POL 17 ROM–POL, Romanian diplomatic and consular representation in Poland
        • POL 19 TIBET, political issues concerning Tibet
        • POL 19 TIBET/UN, the Tibet issue in the United Nations
        • POL 19 TIBET/US, U.S. policy with respect to Tibet
        • POL 23–8 HK, demonstrations, riots, protests, Hong Kong
        • POL 23–10 COMBLOC, travel controls, Communist Bloc countries
        • POL 27 CHICOM-CHINAT, military operations, People's Republic of China-Republic of China
        • POL 27 VIET S, military operations, South Vietnam
        • POL 27–7 CHICOM-US, U.S. prisoners of war, hostages, civilian internees in the People's Republic of China
        • POL 29 CHINAT, political prisoners, Republic of China
        • POL 30–2 TIBET, Tibetan exile political activities
        • POL 31–1 CHICOM-US, air disputes and violations, People's Republic of China and the United States
        • POL 32–1 CHICOM-USSR, territory and boundary disputes, violations, incidents, People's Republic of China and the U.S.S.R.
        • SP 1 US, U.S. general policy on space
        • STR 13–3, strategic trade controls on trade with the People's Republic of China
        • UN 3 GA, United Nations General Assembly
        • UN 6 CHICOM, Chinese representation question in the United Nations
  • Lyndon B. Johnson Library, Austin, Texas
    • Papers of President Lyndon B. Johnson
      • National Security File
        • Agency File: Central Intelligence Agency, United Nations
        • McGeorge Bundy Files
        • Country File: China, France, Poland, United Nations, U.S.S.R.
        • Head of State Correspondence File: China
        • International Meetings and Travel File
        • Robert W. Komer Files
        • Memos to the President: McGeorge Bundy, Walt W. Rostow
        • Name File: Jenkins Memos, Jorden Memos, Senator Mansfield, Moyers Memos, Thomson Memos
        • National Security Council Meetings File
        • Walt W. Rostow Files
        • Special Head of State Correspondence File: China, Tibet
      • White House Central File
        • Confidential File
        • Subject File: Nuclear Testing, China
        • Intelligence File
      • Special Files
        • Tom Johnson's Notes of Meeting
        • Meeting Notes File
        • Office of the President File
        • President's Daily Diary
        • Recordings and Transcripts of Telephone Conversations and Meetings
  • Other Personal Papers
    • George Ball Papers
    • Dean Rusk Papers, Personal Appointment Books
  • Central Intelligence Agency, Langley, Virginia
    • ODDI Registry of National Intelliegnce Estimates and Special National Intelligence Estimates, Job 79–R01012A
    • DCI Files, Job 80–B01285A
      • Files of Directors of Central Intelligence John A. McCone (1961–1965), William F. Raborn (1965–1966), and Richard M. Helms (1966–1973.)
    • DCI Executive Registry, Job 80–B01676R
  • Library of Congress, Manuscript Division, Washington, D.C
    • Harriman Papers
      • Papers of W. Averell Harriman, Special Files: Public Service, Kennedy and Johnson Administrations, 1958–1971.
  • National Defense University, Washington, D.C.
    • Taylor Papers
      • Papers of Maxwell D. Taylor, Military Adviser to the President, 1961–1962, and Chairman of the Joint Chiefs of Staff, 1962–1964.
  • Washington National Records Center, Suitland, Maryland
    • Record Group 330, Records of the Office of the Secretary of Defense
      • OASD/ISA Files: FRC 68 A 306
        • Files of the Assistant Secretary of Defense for International Security Affairs, 1964.
      • OASD/ISA Files: FRC 70 A 3717
        • Files of the Assistant Secretary of Defense for International Security Affairs, 1965.
      • OASD/ISA Files: FRC 70 A 5127
        • Top Secret files of the Assistant Secretary of Defense for International Security Affairs, 1965.
      • OASD/ISA Files: FRC 70 A 6648
        • Files of the Assistant Secretary of Defense for International Security Affairs, 1966.
      • OSD Files: FRC 69 A 7425
        • Top Secret files of the Secretary of Defense, Deputy Assistant Secretary of Defense, and Special Assistants, 1964.
      • OSD Files: FRC 70 A 1265
        • Top Secret files of the Secretary of Defense, Deputy Assistant Secretary of Defense, and Special Assistants, 1965.
      • OSD Files: FRC 70 A 1266
        • Secret files of the Secretary of Defense, Deputy Assistant Secretary of Defense, and Special Assistants, 1965.
      • OSD Files: FRC 70 A 4443
        • Files of the Secretary of Defense, Deputy Assistant Secretary of Defense, and Special Assistants, 1966.
      • OSD Files: FRC 72 A 2468
        • Files of the Secretary of Defense, Deputy Assistant Secretary of Defense, and Special Assistants, 1967.
      • OSD Files: FRC 73 A 1250
        • Files of the Secretary of Defense, Deputy Assistant Secretary of Defense, and Special Assistants, 1968.
      • OSD Files: FRC 91–0017
        • Top Secret files of the Secretary of Defense, Deputy Assistant Secretary of Defense, and Special Assistants, 1949–1969.