POLYGRAPH AND PREPUBLICATION REVIEW POLICIES OF FEDERAL AGENCIES (GAO/NSIAD-84-134)

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP86B00338R000300390005-4
• Release Decision: RIPPUB
• Original Classification: K
• Document Page Count: 15
• Document Creation Date: December 21, 2016
• Document Release Date: August 28, 2008
• Sequence Number: 5
• Publication Date: June 11, 1984
• Content Type: LETTER

Approved For Release 2008/08/28: CIA-RDP86B00338R000306390005-4
N i / t c_c,~E L
UNITED STATES GENERAL ACCOUNTING OFFICE
WASHINGTON, D.G. 20548
NATIONAL SECURITY AND
INTERNATIONAL AFFAIRS DIVISION
The Honorable Jack Brooks
Chairman, Committee on Government
Operations
House of Representatives
Dear Mr. Chairman:
JUN 11 1984
Subject: Polygraph and Prepublication Review
Policies of Federal Agencies
(GAO/NSIAD-84-134)
The April 4, 1984, letter from you and the Chairman,
Committee on Post Office and Civil Service, requested that we
assist the committees in their on-going efforts examining the
effects of National Security Decision Directive -84 (NSDD-84).
(See encl. V.)
On April 23, 1984, you and Chairman Ford sent a question-
naire to those agencies and offices that handle classified
information. The major purpose of the questionnaire was to
determine the effect of the two provisions of NSDD-84 that
require (1) all individuals with sensitive compartmented inform-
ation (SCI) access to sign a nondisclosure agreement containing
a prepublication review requirement and (2) all agencies to
revise existing policies and regulations as necessary so that
employees could be required to submit to a polygraph examination
during the course of an investigation of an unauthorized
disclosure of classified information.
Most of the information you requested from the agencies is
included in summary form in enclosure I. It includes actual
figures as well as estimated figures where data were not readily
available. As agreed with your office, we did not verify the
information reported by the agencies, but we did request
clarification in many cases.
Agencies were asked to respond to the questionnaire within
15 days. By June 5, however, (six weeks after your request)
eight agencies and offices had not responded; therefore, data
pertaining to them is not included in the information contained
in this report. The eight are: the U.S. Arms Control and
(391509)
Approved For Release 2008/08/28: CIA-RDP86B00338R000300390005-4
 Approved For Release 2008/08/28: CIA-RDP86B00338R000300390005-4
B-215075
Disarmament Agency, Department of Energy, Environmental
Protection Agency, Interstate Commerce Commission, Department of
Justice, Office of Management and Budget, U.S. Trade Representa-
tive, and the Executive Office of the President. Forty-three
agencies responded to the questionnaire, including a partial
response of the Department of the Treasury. We counted the
Department of Defense, including the military services, as one
response. This report does not include data on the National
Security Agency and Central Intelligence Agency because of the
sensitivity of their operations.
The following sections summarize information relative to
prepublication review requirements, unauthorized disclosures of
classified information, and polygraph examinations.
Prepublication Review Requirements
Most agency employees who had access to sensitive compart-
mented information (SCI), already had signed nondisclosure
agreements (Form 4193 or a form similar thereto) with the pre-
publication review requirement before the President suspended
indefinitely that provision of NSDD-84 on February 15, 1984.
Twenty-three agencies reported that, as of December 31, 1983,
119,000 of their employees had SCI access and almost all had
signed the agreements which contain the lifetime prepublication
review requirement. An unknown number of former employees also
had signed the agreements. The Department of Defense estimated
that, of 156,000 military and civilian employees who had signed
agreements, about 45,000 were former employees and employees
reassigned to duties not requiring SCI access.
It is also possible that employees working on other than
SCI special access programs had signed agreements similar to
those used for SCI access. According to Executive Order 12356,
which took effect August 1, 1982, an agency head may create a
special access program when (1) normal management and
safeguarding procedures do not limit access sufficiently and (2)
the number of persons with access is limited to the minimum
necessary to meet the objective of providing extra protection of
the information. At the end of calendar year 1983, there were
about 100 non-SCI special access programs, compared to about 30
in 1979. Agencies reported that 27,500 government employees and
21,600 contractor employees were involved in non-SCI special
access programs. (See encl. II).
The Federal Emergency Management Agency told us that a
prepublication review requirement is part of the agreement that
individuals must sign for access to two of its special access
programs. (At the present time, however, those subject to this
provision may delete that section of the agreement pertinent to
prepublication review). We do not know how many more special
access programs may contain similar prepublication review
requirements.
Approved For Release 2008/08/28: CIA-RDP86B00338R000300390005-4
 Approved For Release 2008/08/28: CIA-RDP86B00338R000300390005-4
B-215075
Twelve agencies indicated that, regardless of whether they
have SCI access, employees must comply with prepublication
review requirements. In most cases, however, agencies
do not require employees to sign nondisclosure agreements as
part of these prepublication review requirements. Further, the
requirements imposed by these regulations do not apply to former
employees. (See encl. III.)
Unauthorized Disclosures of Classified Information
Four agencies (the Departments of Commerce, Defense, and
State, and the Nuclear Regulatory Commission) reported having 43
unauthorized disclosures of classified information during
calendar year 1983. One was made through a published writing or
speech (by a then-current employee of a contractor). None were
made by former employees through published writings or speeches.
Polygraph Examinations
Nine agencies told us that their employees were given
11,178 polygraph examinations in calendar year 1983, and four of
the nine employed a total of 131 polygraph operators (see encl.
IV). Of these agencies, the Department of Defense employed 123
polygraph operators and gave 10,502 examinations. Practically
all examinations given by the other agencies were given in
connection with criminal or specific-incident investigations.
The General Services Administration and Postal Service have
regulations that limit the voluntary use of the polygraph to
criminal investigations.
The number of pre-access screening examinations given by
the Department of Defense in 1981, 1982, and 1983 were as
follows:
Total number of polygraph
examinations
6,556
8,657
10,502
Examinations for pre-access
screening
45
1,176
3,105
The pre-access screening examinations given in 1983 include
about 3,000 examinations that are part of an Air Force program
testing the use of the polygraph.
When asked about plans to employ additional polygraph
operators, Defense stated that it plans to hire 50 additional
operators, and that these operators would permit an additional
10,000 screening type examinations annually.
3
Approved For Release 2008/08/28: CIA-RDP86B00338R000300390005-4
 Approved For Release 2008/08/28: CIA-RDP86B00338R000300390005-4
Although the Department of Justice did not respond in time for
inclusion of its data in this report, we understand that Justice
and the Department of the Treasury also use the polygraph for
pre-access screening.
The Federal Emergency Management Agency stated that,
although it did not employ polygraph operators or have a
contract for polygraph service, it had plans to institute
polygraph screening examinations in connection with two of its
non-SCI special access programs. However, the Agency said that
it was holding in abeyance a final decision on its plans,
pending resolution of the legal issues involving use of the
polygraph.
The Tennessee Valley Authority, which had been using the
polygraph in connection with criminal investigations, told us
that it was discontinuing all polygraph use.
Copies of this report are being sent to all agencies that
provided information and to other interested parties upon
request.
Sincerely yours,
.4 wok (2_(2*_vJ4401.
Frank C. Conahan
Director
Approved For Release 2008/08/28: CIA-RDP86B00338R000300390005-4
 ENCLOSUR0ApT proved For Release 2008/08/28: CIA-RDP86B00338R000300390005-4 URE I
Responses to Questions Of The
House Committee on Government Operations
And The
House Committee on Post Office and Civil Service
(All 51 executive branch agencies that handle
classified information were queried; however,
8 did not respond. The responses from the
remaining 43 are included below).
QUESTION 1
Approximately how many full- and part-time people were
employed by the federal government as of December 31, 1983?
RESPONSE
In the 43 agencies that responded, there were 5,025,580
federal civilian and military-personnel.
QUESTION 2
Approximately how many federal employees and contractor
employees had security clearances as of December 31, 1983?
RESPONSE
There were about 2.6 million federal and 1.3 million
contractor employees, of the 43 responding agencies, with
security clearances at the levels shown below.
Level of
Federal
Contractor
clearance
employees
employees
Top Secret
517,578
111,912
Secret
2,129,557
904,540
Confidential
33,286
304,852
Total
2,680,421
1,321,304
Of the total number of federal employees--5,025,580, about 10
percent had top secret clearances and 42 percent had secret
clearances.
Approved For Release 2008/08/28: CIA-RDP86B00338R000300390005-4
 ENCLOSURE Approved For Release 2008/08/28: CIA-RDP86B00338R000300390005-4 JRE I
QUESTION 3
How many federal and contractor employees had access to
Sensitive Compartmented Information (SCI) as of December 31,
1983?
RESPONSE
There were a total of 118,899 federal employees and 11,041
contractor employees with SCI access.
QUESTION 4
Do agencies consider SCI to be a special access program?
Under what authority?
RESPONSE
- Eighteen agencies considered SCI to be a special access
program. They cited the following authorities:
--Executive Order 12356
--The Director of Central intelligence
--National Security Decision Directive -84
--Director of Central Intelligence Directive 1/14
QUESTION 5
How many agencies have special access programs as authorized
under Executive Order 12356 or similar programs under some other
authority?
RESPONSE
Six agencies had special access programs or participated in
such programs of other agencies.
QUESTION 6
How many agencies used the polygraph during calendar year
RESPONSE
Nine agencies used the polygraph or had their employees
take polygraph examinations administered by other agencies in
-calendar year 1983.
QUESTION 7
How many polygraph operators did agencies employ as of
December 31, 1983, and how many operators did they have under
contract?
Approved For Release 2008/08/28: CIA-RDP86B00338R000300390005-4
 ENCLOSUR"Approved For Release 2008/08/28: CIA-RDP86B00338R000300390005-4 URE I
RESPONSE
As of December 31, 1983, four agencies employed a total of
-131 polygraph operators, and had 2 under contract.
QUESTION 8
Do agencies expect to hire or contract for additional
polygraph operators? How many and why?
RESPONSE
The Department of Defense expects to hire an additional 50
examiners in order to conduct 10,000 more screening polygraph
examinations.
The Postal Service expects to hire 3 more polygraph
operators. This is to improve turnaround time on examinations
and reduce operator workload.-
QUESTION 9
How many polygraph machines did agencies own as of
December 31, 1983? How many did they procure during calendar
year 1983, and how many more do they expect to procure?
RESPONSE
Four agencies owned a total of 256 polygraph machines as of
December 31, 1983. They procured 2 of these during calendar
year 1983. They expect to procure 30 more polygraph machines in
the future.
QUESTION 10
Why were polygraph examinations of agency employees
conducted? How many of these examinations were conducted of
agency employees for calendar years 1979 through 1983? How many
were conducted by the agency and how many were conducted by
other agencies or by contractors?
RESPONSE
The following tabulation shows the number of polygraph
examinations given to employees of the nine agencies for various
reasons during calendar years 1979 through 1983:
Approved For Release 2008/08/28: CIA-RDP86B00338R000300390005-4
 ENCLOSURI Approved For Release 2008/08/28: CIA-RDP86B00338R000300390005-4
c,n%.i.vaJRE I
1979
1980
1981
1982
1983
Criminal or
Specific incident
investigations
Conducted by agency
6,697
7,256
6,909
7,802
7
657
Conducted by other agencies
or contractors
4
8
16
27
,
34
Pre-employment screening
Conducted by agency
13
18
13
28
16
Conducted by other agencies
or contractors
0
0
0
0
1
Pre-access screening
Conducted by agency
65
53
45
1,176
3
105
Conducted by other agencies
or contractors
0
0
0
0
,
3
Subsequent screening
Conducted by agency
0
0
0
0
0
Conducted by other agencies
or contractors
0
0
2
2
1
Other
Conducted by agency
242
271
302
298
361
Conducted by other agencies
or contractors
0
0
0
0
0
Total
7,021
7
606
7
287
9
333
11
,
,
,
,178
QUESTION 11
How many agencies require employees to submit to any
prepublication review procedure (other than to review official
statements on behalf of the agency)? How many employees do
these procedures cover?
RESPONSE
Twelve agencies required their employees to submit to
prepublication review. Prepublication review procedures cover
3,423,418 agency employees.
Approved For Release 2008/08/28: CIA-RDP86B00338R000300390005-4
 ENCLOSURE t - --- ' -URE I
Approved For Release 2008/08/28: CIA-RDP86B00338R000300390005-4
QUESTION 12
For each calendar year since 1979, how many books,
articles, speeches, and other materials were reviewed during the
prepublication review process?
RESPONSE
The following tabulations show the types and quantities of
information reviewed during calendar years 1979 through 1983.
Separate tabulations are shown for the Department'of Defense
(DOD) and the other respondents because DOD combined books and
articles and because the Department of the Army responded in
number of pages reviewed for 1982 and 1983.
The Department of Defense
1979
1980
1981
1982
1983
Books/Articles
2,994
3,133
2,784
6,457
10,088
Speeches
1,320
1,360
871
2,237
2,020
Other
4,816
4,344
5,178
4,713
5,102
No. of pages--Army
92,918
77,404
Other 11 Respondents
1979
1980
1981
1982
1983
Books
18
22
19
17
34
Articles
4,754
4,774
4,814
5,363
5,461
Speeches
11
50
43
352
365
Other
5,013
5,018
5,009
5,371
5,294
QUESTION 13
What was the average number of working days that elapsed
-from the date of receipt of a request for prepublication review
of a document to the date that the requestor was informed of the
final results?
RESPONSE
The 12 agencies reported the following range of time (in
days) for the prepublication review process:
5
Approved For Release 2008/08/28: CIA-RDP86B00338R000300390005-4
 ENCLOSURE Approved For Release 2008/08/28: CIA-RDP86B00338R000300390005-4 IRE I
Number of days
Books
2
to
20
Articles
1
to
11
Speeches
2
to
10
Others
4
to
8
QUESTION 14
During calendar year 1983, approximately how many employees
were assigned and how many working days were used for
prepublication reviews?
RESPONSE
Responding agencies assigned a total of about 211 full-time
employees and used 5,268 working days for prepublication
reviews.
QUESTION 15
How many unauthorized disclosures of classified information
were there during calendar year 1983? How many of these were
not reported to the Department of Justice?
RESPONSE
Four agencies reported 43 unauthorized disclosures of
classified information. Of these, 34 were not reported to the
Department of Justice.
QUESTION 16
How many unauthorized disclosures of classified information
were made through books, articles, or speeches, written by
then-current employees or former employees during calendar year
1983?
RESPONSE
One of the 43 identified in question 15 was made through a
speech or publication by a then-current employee of a
contractor.
Approved For Release 2008/08/28: CIA-RDP86B00338R000300390005-4
 Approved For Release 2008/08/28: CIA-RDP86B00338R000300390005-4
Number of agency employees
Level of Clearance:
Agency employees:
Top secret
Secret
Confidential
Contractor employees:
Top secret
Secret
Confidential
SCI access:
Agency employees
Contractor employees
Employees assigned to
non-SCI special access programs:
Agency employees
Contractor employees
Employees with Clearances, SCI Access,and Non-SCI Access
TOTAL
DEFENSE
STATE
TREASURY
5,025,580
3,317,086
24,016
124,287
517,578
480,360
13,938
6,871
2,129,557
2,066,643
733
2,993
33,286
28,160
0
274
111,912
111,000
0
183
904,540
900,000
0
0
304,852
304,800
0
0
118,899
111,167
4,350
1,733
11,041
10,808
200
2
27,530
26,559
0
0
21,587
21,250
0
0
INTERIOR
NASA
74,482
22,000
596
523
1,658
15,706
104
719
0
0
3
0
0
0
229
280
0
29
0
0
0
0
Approved For Release 2008/08/28: CIA-RDP86B00338R000300390005-4
FEMA
OTHER
AGENCIES
2,357
1,461,352
1,726
13,564
572
41,252
0
4,029
400
329
250
4,287
0
52
199
941
1
1
904
67
337
0
 Approved For Release 2008/08/28: CIA-RDP86B00338R000300390005-4
Agencies Involved in Prepublication Review
M
z
.
r
Defense
State
NASA
TVA
USIA
AID
SEC
Fed.
Reserve
0
Overseas
M
Private
Investment H
H
Corp. H
No. of employees covered by
agency directive
Quantity of material reviewed in
All
All
All
All
All
All
All
All
All
1983: Books
10,088a
10
15
0
5
1
2
1
0
Articles
269
4,500
600
24
15
7
45
1
Speeches
2,020
14
0
280
33
30
8
0
0
Other
5,102b
0
5,000
0
0
60
36
0
0
No. of pa
ges 77,404
Books
6,457a
1
15
0
1
0
0
0
Articles
202
4,500
600
15
35
10
0
Speeches
2,237
8
0
280
25
30
9
0
Other
4,713
0
5,000
0
0
101
27
0
No. of pag
es 92,918b
No. of employees assigned to
prepublication review
80
86
0
40
2
1
1
1
No. of working days used for
prepublication review
4,459
205
100
55
8
5
10
Average no. of working days used
for each type of material:
Books
17.8
20
10
0
10
2
20
10
0 z
Articles
10.7
10
10
3
2
3
10
3
1
Speeches
5.3
5
10
3
2
3
5
0
0 0
Other
5.2
0
10
0
0
4
8
0
0 c
aDefense's response combined books and articles
bThe Department of the Army responded in number of pages reviewed.
H
H
H
Note: Three agencies-the Department of Education, Peace Corps and the Federal Emergency Management Agency-reported
having prepublication review requirements but did not report any activity.
Approved For Release 2008/08/28: CIA-RDP86B00338R000300390005-4
 Approved For Release 2008/08/28: CIA-RDP86B00338R000300390005-4
Agencies using polygraph
1983
1982
Types of examinations:
Criminal or specific
incident 1983
1982
1981
Pre-access screening 1983
1982
1981
Agency polygraph operators 1983
1982
Agency polygraph machines:
owned as of December 31, 1983
purchased In 1983
Polygraph Use by Nine Agencies
Dept.
Dept.
Tenn.
Dept.
Fed.
Dept.
Dept.
General
of
of
Valley
of
Res.
of
Postal
of
Services
TOTAL
Defense
Trans.
Auth.
Labor
System
State
Service
'come
Admin.
9
yes
yes
yes
yes
yes
yes
yes
yes
yes
Be
yes
yes
yes
no
no
no
yes
no
yes
7691
7028
6
14
7
2
5
623
2 4
7829
7155
14
7
5
0
0
645
0 3
6925
6196
6
3
2
0
5
711
1 1
3108
3105
0
0
0
0
2
0
1 0
1176
1176
0
0
0
0
0
0
0 0
45
45
0
0
0
0
0
0
0 0
131
123
0
0
2
0
0
6
0 0
194
112
0
0
0
0
0
6
0 0
256
238
0
0
2
0
0
16
0 0
2
2
0
0
0
0
0
0
0 0
Agency plans:
1. The Department of Defense anticipates hiring 50 additional polygraph operators to permit 10,000 screening type examinations.
2. The Postal Service expects to hire 3 additional operators.
3. The Federal Emergency Management Agency plans to Institute polygraph examinations In the future, but the final decision is pending
until legal Issues Involving the use of the polygraph are resolved.
4. The Tennessee Valley Authority does not anticipate using the polygraph In the future.
alncludes the Departments of Justice and Treasury, as reported to us last year. Current Information concerning polygraph use by these
agencies was not received In time for inclusion In the chart.
Approved For Release 2008/08/28: CIA-RDP86B00338R000300390005-4
 ENCLOSURE Approved For Release 2008/08/28: CIA-RDP86B00338R0003003900054 CLOSURE V
OI.Je1w yr
-
JAN 99DOR,1 . GNMIMMMUM
&UM L O&/a1L $A.
9001 NO" P A
a1w coi AL 1rL
CAA9A00 COI&I . I
CLAW auN9. mA
9WOR K INRA. M
MOURN A wAA111A. GA&
VIM MM .,.
ft" a"
9.9AIw I. RUL..t
9A.n 1O.1a 1wa
,011 HAMS. "a-
ML Ao4.Le 0ua1A. .
9oS_T S. u. al. w. .
WMARA sum car.
9&MSS w Iar9a noa
w0 LN"Ift C w
A. MINNOW &T.
000{JMAO 100016. .T.
JOHN a YRATLa.9a.
axROITRM
9911 MIA
Conwess of the iinited Atatts
mt of Rqw W
COMMITTEE ON GOVERNMENT OPERATIONS
2117 RA?uiM Nowt OMct sua.aMs.
WMM*STON. D.C. 20111
April 4, 1984
The Honorable Charles A. Bowsher
Comptroller General
General Accounting Office
Washington, D.C. 20548
Dear General:
mow"--w
P
111 Neine....
1M^. wat+e.- aa.
T1A011A9 . I'OMOL a09
MIMMW 9.OftM M
VIA WALL A0188. 009
wa ",. aAw . i M
VA"mommoa now" 11V
wM w. MJ-
b" swank
JOINS.1A.r- alM~
TOY NIML RA
&~ A r 111CAAa t CAIw
LOAM S. COrIAI 19AAr
9AM 90101=M a1a
1
A.19Oln--s4w4
In January, H.R. 4681, the Federal Polygraph Limitation and Anti-
Censorship Act of 1984, was introduced and referred to the Post Office and
Civil Service Committee where it is now under active consideration. This
bill is a comprehensive response to the Administration's polygraph and
censorship policies, both the National Security Directive 84, issued by the
President, and those designed and implemented independently at the agency level.
Recently, the President announced his intention to suspend the polygraph
and prepublication censorship portions. of his National Security Directive
through this session of Congress. The effects, however, of this suspensiolr-
on the polygraph and censorship policies which were not contained in the
President's Directive are not clear. In order that this legislation be
properly evaluated, it Is necessary that Congress be fully apprised of the
effects, if any, the suspension of the President's National Security
Directive 84 has on the current polygraph and prepublication censorship
policies In effect at the agencies of the Federal Government and on any
proposed changes in those policies contemplated at this time.
To this end we request that the General Accounting Office update
its survey of the Federal agencies conducted In preparation for hearings
held last October by the Government Operations committee on these issues.
Along with this update, it is requested that the GAO also make broader
inquiry into the current use of polygraphs and prepublication censorship
requirements by the agencies, any proposed changes in those policies and
their likely effects, and the effect, if any, the President's suspension of
his N50 84 has on those current or proposed policies.
It is important that this investigation be given prompt attention.
Congressional moritoriums on proposed changes to the Department of Defense's
polygraph regulations and certain prepublication censorship requirements
will expire on April 15. It is, therefore, hoped that you will find it
possible to devote maximum staff resources in this effort. Thank you very
much for your attention to this request. With every good wish, we are
HICLIA T. FORD, CK_&TWn\ JPAIC BROOKS, Chairman
Committee on the Post Office and Committee on Government Operations
Civil Service
Approved For Release 2008/08/28: CIA-RDP86B00338R000300390005-4
 tl ri / \
Approved For Release 2008/08/28: CIA-RDP86B00338R000300390005-4
itral Intelligence Agency i V
VYmwomnc20505
19 JAN 1984
OLL 84-0041
Mr. James M. Frey
Assistant Director for Legislative Reference
Office of Management and Budget
Washington, D.C. 20503
Dear Mr. Frey:
This is in response to a request by the Office of
Management and Budget for the views of the Central Intelligence
Agency (CIA) on S. 779 as amended and passed by the Senate
Judiciary Committee. The CIA strongly supports enactment of
this legislation.
S. 779 was introduced last March as the "Intelligence
Personnel Protection Act." The bill sought to amend
section 1114 of title 18, United States Code, to make it a
federal crime to kill or attempt to kill any officer or
employee of a department or agency within the Intelligence
Community while engaged in, or on account of, the performance
of his official duties. Section 1114 currently protects a long
list of federal officers and employees. During consideration
by the judiciary Committee, the bill was amended to add United
States probation or pretrial services officers. The CIA
certainly has no objection to this addition.
S. 779 was subsequently passed by the Senate as amended and
reported out of Senate Judiciary. We feel that this
legislation embodies reasonable and necessary amendments to
section 1114 to protect our Intelligence Community officers and
employees and we hope it will receive prompt and serious
consideration by the House.
Thank you for the opportunity to comment upon this
legislation as amended. Given our interest, we would
appreciate being kept informed as to the development of an
Administration position on this legislation.
Sincerely,
Deputy Director, Office of Legislative Liaison
DISTRIBUTION:
Original - Addressee
1 - OLL Chrono
1 - LEG File: Intelligence Personnel Protection Act
1 - LEG File: Views Letters 98th
vl - KAD Signer
1 - n/rff T.
Approved For Release 2008/08/28: CIA-RDP86B00338R000300390005-4
STAT