DOD POLYGRAPH PROGRAMS

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP96M01138R001200020002-3
• Release Decision: RIFPUB
• Original Classification: K
• Document Page Count: 60
• Document Creation Date: December 21, 2016
• Document Release Date: June 3, 2008
• Sequence Number: 2
• Publication Date: January 1, 1982
• Content Type: REGULATION

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Department of Defense Directive
UBJECT: DoD Polygraph Program
eferences: (a) DoD Directive 5210.48, "Polygraph Examinations and
Examiners," October b, 1975 (hereby canceled)
(b) DoD 5025-M, "DoD Directives System Procedures,"
April 1981, authorized by DoD Directive 5025.1,
"Department of Defense Directives System,"
October 16, 1980
(c) DaD Directive 5400.11, "Department of Defense
Privacy Program," June 1982
(d) Title 10, United States Code, Sections 801-940,
Uniform Code of Military Justice, Article 31.b.
(e) Executive Order 12356, "National Security
Information," April 2, 1982
(f) DoD Regulation 5200.1-R, "Information Security
Program Regulation," August 1982, authorized by
DaD Directive 5200.1, "DoD Information Security
Program," June 7, 1982
(g) Public Law 88-290, 78 Stat. 168 (codified at 50
U.S.C. ?? 831-835 (1976))
REISSUANCE AND PURPOSE
1. This Directive reissues and updates reference (a);
stablishes policy governing the use of the polygraph within the
apartment of Defense, including the selection, training, and
upervision of polygraph examiners; the procurement and testing of
quipment; and the reporting of data related to polygraph activities.
2. This Directive authorizes the issuance of DoD 5210.48-R, "DoD
olygraph Program," consistent with reference (b).
AFPLIGABILITY AND SCOPE
1. This Directive applies to the Office of the Secretary of
efense, the Military Departments, the Organization of the Joint
hiefs of Staff, the Unified anJ Specified Commands, and the Defense
gencies (hereafter referred to as "DoD Components").
2. The provisions of this Directive apply to DoD polygraph
xaminatians that involve DoD contractor personnel and other persons
ho are affiliated with the Department of Defense.
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C. POLICY
1. Polygraph examinations shall be administered in the Department of
Defense only as authorized, and in the manner prescribed, by this Directive and
DoD 5214.48-R. DoD Components shall insure that, in implementing this
Directive and DoD 5210.48-R, adequate safeguards are provided for the pro-
tection of the rights and privacy of individuals considered for or subjected to
polygraph examination.
2. The polygraph shall be employed only when the person to be examined has
consented to the examination. This consent must be in writing unless the
examination is being administered for purposes described in paragraph C.ll.i.,
below.
3. The individual being considered for polygraph examination shall be
given timely notification of the date, time, and place of the examination as
well as his/her right to obtain and consult with legal counsel. Legal counsel
may be available for consultation during the polygraph examination.
4. Individuals to be examined in examinations other than those conducted
under the provisions of paragraph C.ll.e. and i. below, shall, prior to ad-
ministering of the polygraph examination, be advised of their privilege against
self-incrimination. The examinee may, upgn his or her own volition, or upon
advice of legal counsel, terminate the polygraph examination at any time.
5. No relevant question may be asked during the polygraph examination that
has not been reviewed with the examinee prior to the examination. Moreover,
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all questions asked concerning the matter at issue, other than technical ques-
tions necessary to the polygraph technique, must have a special relevance to
the subject of the inquiry. The probing of a person's thoughts or beliefs and
questions about conduct which have no security implication or are not directly
relevant to an investigation are prohibited. Examples of subject areas which
shall not be probed include:
a. Religious beliefs and affiliations;
b. Beliefs and opinions regarding racial matters;
c. Political beliefs and affiliations of a non-subversive nature;
d. Opinions regarding the constitutionality of legislative policies.
6. Where use of the polygraph is authorized pursuant to subparagraphs
ll.b., c, g, or h., belpw, technical questions utilized in such examinations
shall be constructed to avoid embarassing, degrading or unnecessarily instru-
sive questions. Additionally, except for polygraph examinations conducted
under the provisions of subparagraph C.12.a of this Directive all technical
questions to be used during such examinations must be reviewed with the exam-
inee before being posed to him or her for response.
7. Polygraph examinations shall be considered as supplementary to, not as
a substitute for, other forms of investigation that may be required under the
circumstances. Moreover, the result of an analysis of polygraph charts shall
be considered in the context of other investigative effort, and not as
conclusive in themselves of the matter under investigation.
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$. When a deceptive response is relied upon as the basis for nonselection
for assignment or ,employment; denial or revocation of clearance or reassignment
to a nonsensitive position; the examinee has the right to request a second
examination by the examining agency, utilizing the same or a different examiner.
9. When a polygraph has been established as a requirement for selection or
assignment to a position within the Department of Defense, as a condition of
access to classified information, or for use in investigation of unauthorized
disclosures, subsections C.ll.b., c., g., or h. and C.12. below, refusal to
take such an examination may result in adverse consequences after due consid-
eration of such factors as the individual's reasons for refusal; his or her
record of service and performance; any additional factors derived from a back-
ground investigation of the individual; the sensitivity of the particular
information to which he or she has or would gain access; and other relevant
factors, result in nonselection for assignment or employment; denial or revoca-
tion of clearance or reassignment to a nonsensitive position.
10. A refusal to consent to a polygraph examination shall be recorded only
in the investigative file concerning the person maintained by his or her parent
or sponsoring organization. Such refusal shall be afforded the full privacy
protection provided for in DoD Directive 5400.11 (reference (c)). A person's
supervisor, and in the case of a contractor employee, the person's employer,
shall not be informed of the refusal to take a polygraph, nor shall the per-
sonnel files be annotated, unless such refusal requires administrative action.
11. Polygraph examinations may be authorized only for the following
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a. To supplement the investigation of a crime involving an offense
punishable under fEderal law including the Uniform Code of Military Justice
(reference.(d)) by death or confinement for a term of 1 year or more.
b. To assist in determining the initial eligibility and aperiodically
thereafter to assist in determining the continued eligibility of DoD civilian,
military and contractor personnel for access to special access programs estab-
lisped under Executive Order 12356 (reference (e)) and DoD 5200.1-R (reference
(f)) and designated by the Deputy Under Secretary of Defense (Policy), DUSD(P);
or employment or assignment to cryptographic duties designated by the Director,
National Security Agency/Chief, Central Security Service, provided that the
scope of such examinations shall be limited to the counterintelligence areas
prescribed in Appendix B of 5210.48-R.
c. To supplement the investigation of an alleged unauthorized
disclosure of classified information;
d. To supplement the investigation of alleged acts of espionage,
sabotage, treason, subversion, sedition or terrorism.
e. To assist in determining the initial eligibility of foreign
nationals for access to classified information when pertinent background
information concerning such individuals cannot be obtained through ordinary
investigative channels, and aperiodically thereafter to ensure access to classi-
fied information is clearly consistent with the interests of national security.
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f. To resolve serious credible derogatory information, with the
consent of the examinee, developed in connection with a personnel security
investigation of DoD civilian, military or contractor personnel, that cannot be
resolved in any other manner.
g. To assist, in a limited number of cases where operational exigencies
require the immediate utilization of a person's services before the completion
of a background investigation in determining the interim eligibility of DoD
civilian, military and contractor pesonnel for access to Sensitive Compart-
mented Information (SCI). In this instance the scope of the polygraph examina-
tion shall be limited to the counterintelligence areas prescribed in Appendix B
of DoD 5210.48-R.
h. To assist, on an aperiodic basis, in determining the continuing
eligibility of DoD civilian, military and contractor personnel-for access to
SCI. Persons within agencies, components or programs, shall be selected for
such examinations on a strictly random basis. In this instance, the scope
of the polygraph examination shall be limited to the counterintelligence areas
prescribed in Appendix B of DoD 5210.48-R.
i. To determine the suitability, reliability, or credibility of per-
sonnel who are used as, proposed for use as, or who purport to be, agents,
sources, or operatives in foreign intelligence or counterintelligence activities.
j. When requested by the subject of a criminal, counterintelligence,
or personnel security investigation, as a means of exculpation, with respect to
allegations or evidence arising in the course of such investigation.
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k. To provide polygraph service or support to entities other than DoD
Components, provided the use of the polygraph in such instances is consistent
with this Directive and DaD 5210.48-R, and has been approved by the DUSD(P), or
designee, the Director, Security Plans and Programs, Office of the DUSD(P).
12. Polygraph examinations shall be required for:
a. DoD civilian, military, contractor and General Service Admini-
stration personnel to assist in determining their eligibility for initial or
continued employment, assignment, or detail for duty with the National Security
Agency in activities that require access to sensitive cryptologic information,
or to .spaces where sensitive cryptologic information is produced, processed, or
stored. In the case of military personnel being assigned or detailed for duty
with NSA, the scope of such examinations shall be limited to the counterintel-
ligence areas prescribed in Appendix B of DoD 5210.4$-R.
b. DoD civilian and military personnel to assist in determining their
eligibility for assignment or detail to the Central Intelligence Agency (CIA)
in positions where a polygraph examination is required by CIA.
c. DaD civilian, military and contractor personnel to assist in deter-
mining their eligibility for employment with or assignment to the Defense
Intelligence Agency (DIA) in positions that have been designated by the
Director, DIA, as critical intelligence positions, provided-that the scope of
such examinations shall be limited to the counterintelligence areas prescribed
in Appendix B of DoD 5210.48-R.
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D. RESPONSIBILITIES
1. The Under Secretary of Defense for Policy (USD(P)) shall have overall
responsibility for the DaD Polygraph Program.
2. The Deputy Under Secretary of Defense for Policy, USD(P)'s designee,
shall manage the DoD Polygraph Program, and shall:
a. Establish policies and procedures for the DoD Polygraph Program.
b. Coordinate with the Inspector General, Department of Defense, all
matters concerning use of the polygraph in connection with the investigation of
criminal offenses.
c. Issue and maintain DoD 5210.48-R consistent with the provisions of
DoD 5025.1-M (reference (b)).
d. Conduct an active oversight program to ensure compliance with the
requirements of the DaD Polygraph Program.
e. Authorize use of the polygraph within the Office of the Secretary
of Defense, the Organization of the Joint Chiefs of Staff, Defense Agencies
other than those identified in subsection D.3., below, and when use of the
polygraph is contemplated for more than one DoD Component.
3. The Secretaries of the Military Departments, the Director, National
Security Agency/Chief, Central Security Service (NSA/CSS); the Directors,
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Defense Intelligence Agency (DIA), Defense Investigative Service (DIS) and the
Inspector General,~Department of Defense (IG/DoD) shall:
a. Authorize use of polygraph examinations within their respective
areas of responsibility. In this regard, the authority of the Director, DIS
and IG/DoD is as follows:
(1) The Director, DIS may authorize use of the polygraph only with
respect to the following categories of personnel:
(a) Personnel of DIS.
(b) Foreign nationals and immigrant aliens (in the continental
United States) when polygraph examination is necessary to complete the overseas
portion of a personnel security investigation.
(c) DoD civilian, military and contractor personnel of DoD
Components to resolve credible derogatory information developed during the
course of a personnel security investigation undertaken to determine the
eligibility of such personnel for access to classified information other than
Sensitive Compartmented Information.
(d) DoD contractor personnel assigned to cryptographic duties,
provided that such examinations shall be limited to the counterintelligence
areas prescribed in Appendix B of DoD 521n.48-R. Such examinations shall be
in support of, and as requested by, the Director, National Security Agency/
Chief, Central Security Service.
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(2) The IG/DoD may authorize use of the polygraph only with re-
spect to the following categories of personnel:
(a) Personnel of IG/DoD.
(b) Other DoD civilian, military and contractor personnel when
such personnel are involved in a criminal or other case covered by this
Directive and DoD. 5210.48-R, being investigated by IG/DoD.
b. Delegate authority to authorize .polygraph examinations to no lower
level than the heads of security and investigative agencies, or their specific
designees. The number of persons delegated authority under this paragraph
shall be held to the minimum required to meet operational needs.
c. Submit to the DU$D(P) semiannual reports as of December 31 and June
30, before the 30th day of January and July respectively, on polygraph activ-
ities in the format provided in Appendix A of DoD 5210.48-R.
4. The Commanders of the U.S. Army Criminal Investigation Command and the
U.S. Army Intelligence and Security Command; the Heads of the U.S. Naval
Investigative Service, the U.S. Marine Corps Law Enforcement Section, and the
U.S. Air Force Office of Special Investigations; the U.S. Air Force Assistant
Chief of Staff, Intelligence; the Director, National Security Agency/Chief,
Central Security Service, and the Directors, Defense Intelligence Agency, and
Defense Investigative Service; and the Chief, Office of Investigations, IG/DoD,
are the only DoD officials whose activities are authorized to conduct polygraph
examinations, acquire or possess polygraph equipment, or to have polygraph
examiners.
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5. Heads of DoD Components that do not have a polygraph capability, or
their designees, may request polygraph support from activities identified in
subsection D.4. Such requests shall substantiate that the requested polygraph
examination is consistent with the provisions of this Directive and DoD
5210.48-R.
6. The Secretary of the Army, or designee, shall establish and manage
training programs for DoD polygraph examiners, except that the Director, NSA/
Chief, Central Security Service, may approve alternative courses for training
of NSA/CSS polygraph examiners. Any other training programs must be approved
by the DUSD(P).
E. APPEALS
Adverse actions taken as a consequence of procedures authorized by this
Directive and DoD 5210.48-R are appealable in accordance with applicable
personnel or security appeals procedures.
F. WAIVERS AND EXCEPTIONS
1. The DUSD(P), or designee, the Director, Security Plans and Programs,
Office of the DUSD(P), are the only officials authorized to approve waivers or
exceptions to the provisions of this Dire~~tive or DoD 5210.48-R.
2. Notwithstanding subsection E., above, or any other provision of this
Directive, nothing in this Directive shall be deemed to limit or affect the
responsibility and powers of the Secretary of Defense to find that a person
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shall not be given or permitted continued access to sensitive classified
information, or a?signed to or continued assignment in sensitive national
security duties, if the national security so requires. This authority may
not be delegated and may be exercised only when it is determined that the
procedures prescribed in subsection E, above, are not appropriate. Such
determinations shall be conclusive. Procedures effecting personnel of the
National Security Agency must be consistent with Public Law 88-290 (reference
(g))?
H. INFORMATION REQUIREMENTS
The reporting requirement in paragraph D.3.c. has been assigned Report
Control Symbol DD-POL(SA)1361. For the purposes of this requirement, a poly-
graph. examination is considered to have occurred when at least one of the
testing phases defined in DoD 5210.4$-R has been initiated.
I. EFFECTIVE DATE AND IMPLEMENTATION
This Directive is effective immediately. Forward two copies of implement-
ing documents to the Under Secretary of Defense for Policy within 120 days.
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POLYGRAPH
PROGRAM
REGULATION
DEPARTMENT -0F DEFENSE
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This Regulation is issued under the authority of DoD Directive 5210.48,
"DoD Polygraph Program," 1982. It provides guidance and establishes controls
governing the use of the polygraph to ensure an equitable balance between the
need of the government to secure and verify investigative information and the
recognition and preservation of the rights of the individual.
The provisions of this Regulation apply only to the Office of the
Secretary of Defense (OSD), the Military Departments, the Organization of the
Joint Chiefs of Staff, the Unified and Specified Commands, and the Defense
Agencies (hereafter referred to as "DoD Components").
The provisions of this Regulation also apply when DoD polygraph
examinations involve contractor personnel and any other person affiliated with
the Department of Defense.
This Regulation is effective immediately and is mandatory for use by all
DoD Components.
Send recommended changes to this Regulation through channels to:
Director
Security Plans and Programs
Room 3C277, The Pentagon
Washington, D.C. 20301
DoD Components may obtain copies of this Regulation through their own
publication channels. Other federal agencies and the public may obtain copies
from the Director, U.S. Naval Publications and Forms Center, 5801 Tabor
Avenue, Philadelphia, Pa. 19120.
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~"'~ DoD 5210.4$-R
DoD POLYGRAPH PROGRAM
TABLE OF CONTENTS
CHAPTER 1 - GENERAL
page
A. Purpose
1-1
B. Definitions
CHAPTER 2 - AUTHORIZED USES OF POLYGRAPH EXAMINATIONS
1-1
A. Policy
2_1
B. Investigative Cases for Which the Polygraph May be Used
2-1
C. Investigative Cases for Which the Polygraph Shall be Used
2-5
D. Use of Polygraph Examination Results
2-5
CHAPTER 3 - CONDUCT OF POLYGRAPH EXAMINATIONS
A. Procedures
3-1
B. Records Administration
3-3
C. Polygraph Instrument Procurement, Maintenance, and Storage
3-4
D. Polygraph Studies and Research
3-5
CHAPTER 4 - SELECTION, TRAINING, AND SUPERVISION OF DoD
POLYGRAPH EXAMINERS
A. Selection
4-1
B. Training
4-1
C. Supervision of Polygraph Examiners
4-3
D. Limitations
CHAPTER 5 - PROGRAM MANAGEMENT
4-3
A. Implementation
5-1
B. Responsibilities
5-1
C. DoD Polygraph Committee
5-1
D. Information Requirements
5-2
E. Implementation Requirements
5-2
Appendix
A.
Reporting Format
A-1
B.
Counterintelligence Questions
B-1
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~ lloD 5Z1U.4t3-R
(a) Title 10, Uni~.ed States Code, Sections 801-940, Uniform Code of Military
Justice, Article 31.b.
(b) Executive Order 12356, "National Security Information," April 2, 1982
(c) DoD 5200.1-R, "Information Security Program Regulation," August, 19$2
authorized by DoD Directive 5200.1, "DoD Information Security Program,"
June 7, 1982
(d) DoD 5200.2-R, "DoD Personnel Security Program," December 1979, authorized
by DoD Directive 5200.2, "DoD Personnel Security Program," December 20
1979
(e) Manual for Courts-Martial, 1969 (revised edition), Chapter XXVII, Military
Rules of Evidence, Section III
(f) DoD 5400.7-R, "DoD Freedom of Information Act Program," December 1980,
authorized by DoD Directive 5400.7, "DoD Freedom of Information Act
Program," March 24, 1980
(g) DoD Directive 5400.11, "Personal Privacy and Rights of Individuals
Regarding Their Personal Records," June 9, 1982
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GENERAL
A. PURPOSE
This Regulation specifies the circumstances under which the polygraph may
or shall be used, prescribes the procedures to be followed in conducting poly-
graph examinations, and establishes standards for the selection, training, and
supervision of DoD polygraph examiners.
B. DEFINITIONS
1. Counterintelligence. Information gathered and activities conducted to
protect against espionage and other clandestine intelligence activities,
sabotage, international terrorist activities or assassinations conducted for
or on behalf of foreign powers, organizations, or persons.
2. Cryptographic Information. A11 information significantly descriptive
of cryptographic techniques and processes or of cyrptographic systems and
equipment, or their functions and capabilities, and all cryptomaterial.
("Significantly descriptive" means that the information could, if made known
to unauthorized persons, permit recovery of specific cryptographic features of
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classified crypto-equipment, reveal weaknesses of associated equipment that
would allow recovery of plain text or of key, aid materially in the crypt-
analysis of a general or specific cryptosystem, or lead to the cryptanalysis
of an individual message, command or authentication.)
3. Cryptologic Information. Information pertaining to the production of
signals intelligence and maintenance of communications security.
4. Foreign Intelligence. Information relating to the capabilities,
intentions, and activities of foreign powers, organizations, or persons.
5. Foreign Nationals. All persons not citizens of, not nationals of,
nor immigrant aliens to, the U.S.
6. Polygraph Examination. Includes questioning and other processing of
the examinee before the actual use of the polygraph instrument; the use of a
polygraph instrument with respect to such examinee; and any questioning or
other processing involving the examinee after the use of the polygraph.
Specifically, examinations consist of three phases:
a. Pretest. The pretest phase includes:
(1) The examiner being introduced and obtaining assurance that
the person to be examined has consented to take the examination;
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(2) The examinee being informed of the nature and character-
istics of the polygraph instrument and examination;
(3) The examinee being informed of his or her privilege against
self-incrimination in accordance with the Fifth Amendment to the Constitution,
or if the person to be examined is a member of the U.S. Armed Forces, in accord-
ance with Article 31.b. of the Uniform Code of Military Jutice (reference (a));
(4) The examinee being informed of his or her right to obtain and
consult with legal counsel; and
(5) The examiner reviewing with the examinee all questions to be
asked during the test.
b. In-test. The actual administering of the examination and analysis
c. Post-test. Interrogation of the examinee if the charts are analyzed
as deceptive or inconclusive.
7. Polygraph Examination Results. Refers to a synopis of the polygraph
.examination and normally includes a brief. identification and background
information, the relevant questions asked; the subject's answers, the
examiner's opinions concerning the indication of truthfulness or deception,
and any admissions made by the examinee during the examination.
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$. Polygraph Examination Technical Report. The complete detailed
technical report prepared by the polygraph examiner including pretest
preparations, the examiner's notes, examination charts, and other technical
details of the polygraph examination.
9. Polygraph Instrument. A diagnostic instrument capable of measuring
and recording, as a minimum, respiration, electrodermal, blood volume, and
heart rate responses to verbal and or visual stimuli.
10. Relevant Question. A polygraph question pertaining directly to the
matter under investigation for which the examinee is being tested.
11. Technical Questions. Refers to any of the following:
a. Irrelevant/Neutral Question. A polygraph question about which
the examinee normally would tell the truth. It does not pertain to the matter
under investigation and should have no apparant emotional impact to the
examinee.
b. Symptomatic Question. A polygraph question designed to indicate
the possible influence of an outside issue which could be of concern to the
.examinee.
c. Control Question. A question used during polygraph examinations
which, although not relevant to the matter under investigation, is designed to
be used to a baseline against which responses relevant to the investigation
may be evaluated.
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.- AUTHORIZED USES OF POLYGRAPH EXAMINATIONS
A. POLICY
1. The polygraph shall be employed within the Department of Defense only
when the person to be examined has consented to the examination. Except as
provided in this Regulation, this consent must be in writing.
2. The individual being considered for polygraph examination shall be
given timely notification of the date, time, and place of the examination as
well as their right to obtain and consult with legal counsel. Legal counsel
may be available for consultation during the polygraph examination.
3. Polygraph examinations shall be considered as supplementary to, not as
a substitute for, other forms of investigation that may be required under the
circumstances. Moreover, the results of an analysis of polygraph charts shall
be considered only in the context of other investigative effort, and not as
conclusive in themselves of the matter under investigation.
4. When a polygraph examination has been established as a requirement for
.selection or assignment to a position within the Department of Defense, as a
condition of access to classified information, or for use in investigation of
unauthorized disclosures, subsections B.2.a. and c., B.3.a., and C., below,
refusal to take such an examination may result in adverse consequences after
due consideration of such factors as the individual's reasons for refusal;
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his or her record of service and performance; any additional factors derived
from a background investigation of the individual; the sensitivity of the
particular information to which he or she has or would gain access; and other
relevant factors, result in nonselection for assignment or employment; denial
or revocation of clearance or reassignment to a nonsensitive position.
5. Polygraph examinations administered by DoD polygraph examiners shall
be conducted only as prescribed by this Regulation and shall be authorized for
use only in connection with the investigative cases specified in this Chapter.
B. INVESTIGATIVE CASES FOR WHICH THE POLYGRAPH MAY BE USED
1. Criminal Investigations. A polygraph examination may be be authorized
in a criminal investigation when:
a. The crime involves an offense punishable under federal law
including the Uniform Code of Military Justice (reference (a)) by death or
confinement for a term of 1 year or more;
b. Investigation by other means has been as thorough as circumstances
.permit;
c. The development of information by means of a polygraph examination
is essential to the conduct of the investigation; and
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d. The individual being considered for examination has been
interviewed and there is reasonable cause to believe that the individual has
knowledge of or was involved in the matter under investigation.
2. Personnel Security Investigations. A polygraph examination may be
authorized in connection with personnel security investigations as follows:
a. Access to Extremely Sensitive Classified Information. A polygraph
examination may be authorized to assist in determining the initial eligibility
and aperiodically thereafter to assist in determining the continued eligibility
of DoD civilian, military, and contractor personnel for access to special
access programs established pursuant to E.O. 1235b {reference (b)) and DoD
5200.1-R (reference (c)), or employment or assignment to cryptographic duties,
provided that:
(1) The Deputy Under Secretary of Defense for Policy (DUSD(P))
has for special access programs or the Director, National Security Agency/
Chief, Central Security Service (hereafter, NSA/CSS) has for cryptographic
duties, authorized use of the polygraph based on a determination that the
program or duties require need-to-know or access controls that are more
stringent than those normally required; and
(2) The scope of such examinations shall be limited to the counter-
intelligence areas prescribed in Appendix B of this Regulation.
b. Resolution of Certain Personnel Security Investigations
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(1) The use of the polygraph may be authorized in conjunction
with the personnel security investigation of foreign nationals who require
access to classified information when pertinent background information con-
cerning such individuals cannot be verified through routine investigative
methods.
(2) The polygraph, may be authorized for use on an aperiodic
basis for foreign nationals to ensure that continued access to classified
information is clearly consistent with the interests of national security.
(3) The use of the polygraph may be authorized for DoD civilian,
military, contractor, and other personnel to resolve credible derogatory
information developed in connection with a personnel security investigation
when such information causes substantial doubt whether access or continuation
of access to classified information is clearly consistent with the interests
of national security, and the adverse information cannot be resolved in any
other manner.
c. Access to Sensitive Compartmented Information (SCI)
(1) Exceptional Cases. The polygraph may be authorized for use
in .a limited number of cases where operational exigencies require the immediate
utilization of a person's services before the completion of a background in-
vestigation, in determining the interim eligibility of DoD civilian, military
and contractor personnel for access to Sensitive Compartmented Information
(SCI) provided that, as a minimum:
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(a) A determination has been made that it is necessary and
advisable in the national interest to authorize access;
(b) The individual being considered for access has been
interviewed in accordance with paragraph 2-306.c. of DoD 5200.2-R (reference
(d));
(c) A Special Background Investigation (SBI) has been
initiated; and
(d) The questions asked during the examination are limited
to the counterintelligence areas set forth in Appendix B of this Regulation.
(2) Reinvestigation. The polygraph, limited to the counter-
intelligence areas set forth in Appendix B of this Regulation, may be
authorized for use on an aperiodic basis for DoD civilian, military, con-
tractor, and other personnel who have access to SCI, to assist in determining
their eligibility for continued access to such information. Persons shall be
selected for such examinations on a strictly random basis.
(3) Authority. Authority to approve the use of the polygraph
under subparagraphs (1) and (2), above is limited to the DUSD(P) and the
Senior Officials of the Intelligence Community (SOICs) within the Department
of Defense.
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3. Counterintelligence Investigations
a. Unauthorized Disclosures. DoD civilian, military and contractor
personnel may be required to submit to a polygraph examination in connection
with the investigation of an unauthorized disclosure of classified information
provided that there is reasonable cause to believe that the individual has
knowledge of or was involved in the unauthorized disclosure. The adverse
consequences detailed in paragraph A. 4. of this Chapter may be applied in
the case of individuals who refuse to cooperate with polygraph examinations
administered under this provision.
b. Other Counterintelligence Investigations. A polygraph examina-
tion may be authorized for use in a counterintelligence investigation involving
alleged acts of espionage, sabotage, treason, terrorism, subversion, or
sedition, provided that:
1. Investigation by other means has been as thorough as
circumstances permit;
2. The development of information by means of a polygraph
examination is essential to the conduct of the investigation; and
3. The individual being considered for examination has been
interviewed and there is reasonable cause to believe that the individual has
knowledge of or was involved in the matter under investigation.
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..
4. Foreign intelligence and Counterintelligence Operations. Polygraph
examination may be. authorized to determine the suitability, reliability, or
credibility of personnel who are used as, proposed for use as, or who purport
to be, agents, sources, or operatives in foreign intelligence or counterin-
telligence activities. Such examinations shall be conducted in accordance
with regulations issued by the heads of the DoD Components with prior approval
of the DUSD(P) or designee, the Director, Security Plans and Programs, Office
of the DUSD(P) (SP&P, ODUSD(P)). It is not required that consent be obtained
in writing from individuals who are to be examined under the provisions of
this subsection.
5. Exculpation. The use of the polygraph may be authorized for the
purpose of exculpation, provided that the request for such examination was
initiated by the subject of a criminal, personnel security, or counterintel-
ligence investigation and administering of the examination is considered to
be essential to a just and equitable resolution of the matter under investi-
gation.
6. Use of the Polygraph Outside the Department of Defense. The providing
of polygraph service or support to entities other than DoD Components must
receive the prior approval of the DUSD(P), or designee, the Director, SP&P,
ODUSD(P). Prior approval is not required, however, when DoD personnel are
examined in connection with a criminal investigation conducted by a non-DoD
law enforcement entity or when non-DoD personnel are subject to the Uniform
Code of Military Justice (reference (a)).
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C. INVESTIGATIVE CASES FOR WHICH THE POLYGRAPH SHALL BE USED
1. Employment, Assignment, or Detail to the National Security Agency.
Polygraph examination shall be required for DoD civilian, military, con-
tractor, and General Service Administration personnel to assist in determin-
ing their eligibility for initial or continued employment, assignment, or
detail for duty with NSA in activities that require access to sensitive
cryptologic information, or to spaces where sensitive cryptologic information
is produced, processed, or stored. In the case of military personnel being
assigned or detailed for duty with NSA, the scope of such examinations shall
be limited to the counterintelligence areas prescribed in Appendix B of this
Regulation.
2. Assignment or Detail for Duty with the Central Intelligence Agency (CIA).
Polygraph examinations shall be required for DoD civilian and military person-
nel to assist in determining their eligibility for assignment or detail to CIA
in positions where CIA requires a polygraph examination.
3. Employment or Assignment to Critical Intelligence Positions. Poly-
graph examinations, limited to the counterintelligence areas set forth in
Appendix B of this Regulation shall be required to assist in determining the
eligibility of DoD civilian, military, and contractor personnel for initial or
continued employment or assignment to the Defense Intelligence Agency (DIA) in
positions that have been designated in writing by the Director, DIA, as
critical intelligence positions.
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D. USE OF POLYGRAPH EXAMINATION RESULTS
1. Any final administrative determination rendered in cases in which
polygraph examination is taken shall not be based solely on the results of an
analysis of the polygraph charts. However, the results of an analysis of the
polygraph charts may be considered to have probative value in administrative
determinations. Responses to technical questions have no probative value with
respect to the issue under investigation.
2. When a deceptive response is relied upon as the basis for nonselection
for assignment or employment; denial or revocation of clearance or reassignment
to a nonsensitive position; the examinee has the right to request a second
examination by the examining agency, utilizing the same or a different examiner.
3. The results of a polygraph examination and record of results shall be
considered privileged information and shall be disseminated only in accordance
with subsection B.2., Chapter 3, of this Regulation. Information concerning a
person's refusal to consent to a polygraph examination shall be recorded only
in the investigative file concerning the person maintained by his or her parent
or sponsoring organization. Such refusal shall be afforded the full privacy
protection provided by DoD Directive 5400.11 (reference (g)). A person's
supervisor, and in the case of a contractor employee the person's emploper,
shall not be informed of the refusal to take a polygraph, nor shall the per-
sonnel files be annotated, unless such refusal requires administrative action.
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.,,,,,
CONDUCT OF POLYGRAPH EXAMINATIONS
A. PROCEDURES
1. General. Polygraph examinations may be conducted only by polygraph
examiners certified in accordance with and under circumstances and procedures
detailed in this Regulation or by intern examiners under the close super-
vision of a DoD-certified examiner.
2. Pretest. Before administering .a polygraph examination, the polygraph
a. Obtain assurance from the individual to be examined of his or her
voluntary consent to the examination. In criminal, employment screening,
personnel security, and counterintelligence investigations, the consent must
be in writing and shall be included and maintained in the polygraph examination
technical report.
b. Ensure that the individual to be examined has not been subjected to
prolonged interrogation immediately prior to the polygraph examination.
c. Interview the individual to be examined. During this interview,
as a minimum, the examinee shall be:
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~... ~.
(1) Informed of the characteristics and nature of the polygraph
instrument and examination, including an explanation of the physical operation
of the instrument, the procedures to be followed during the examination, and
all questions to be asked during the examination.
(2) Told if the polygraph examination area contains a two-way
mirror, camera, or other device through which the examinee can be observed
and if other devices, such as those used in conversation monitoring or record-
ing, will be used simultaneously with the polygraph.
(1) He or she is privileged against self-incrimination under the
Fifth Amendment to the Constitution or, if the person to be examined is a
member of the U.S. Armed Forces, under Article 31.b., Uniform Code of Military
Justice (reference (a)) and the Manual for Courts-Martial, United States, 1969
(revised edition), Chapter XXVII, Military Rules of Evidence, Section III
(reference (e)); (The requirement to advise of privilege against self-incrimina-
tion does not apply to examinations conducted under the provisions of para-
graph B.2.b(1) and (2) and B.4. Chapter 2 of this Regulation) and
(2) He or she has the right to obtain and consult with legal
counsel and that legal counsel may be available for consultation during the
polygraph examination. The examinee shall also be advised that he or she
may terminate the examination at his or her own volition, or upon advice of
counsel, during any phase of the examination.
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3. Questions asked during Polygra h Examination
a. All questions asked concerning the matter at issue, except for
technical questions necessary to the polygraph technique, during a polygraph
examination must be of special relevance to the subject matter of the particu-
lar investigation. Questions probing a person's thoughts or beliefs that are
not related directly to the investigation are prohibited. Subject matters
that should not be probed include religious and racial beliefs and affiliations,
political beliefs and affiliations of a nonsubversive nature and opinions re-
garding the constitutionality of legislative policies.
b. Where use of the polygraph is authorized pursuant to subparagraphs
B.2.a. and c. and C., Chapter 2 of this Regulation, technical questions utilized
in such examinations shall be constructed to avoid embarassing, degrading or
unneccesarily intrusive questions. Additionally, except for polygraph examina-
tions conducted under the provisions of paragraph C.1, Chapter 2 of this Regula-
tion, all technical questions to be used during such examinations must be reviewed
with the examinee before being posed to him or her for response.
c. No relevant question may be asked during the polygraph examination
that has not been reviewed with the examinee prior to the examination.
d. Standard question topics to be asked in connection with the use
of the polygraph for employment screening or assignment purposes, or any
modification or change to these question topics, must be approved by the
DUSD(P), or designee, the Director, SP&P, ODUSD(P), before implementation.
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....
The requirement for prior approval does not apply when it is necessary to
modify the phrasing of an approved question topic to clarify a response given
by the examinee, provided that the substance of the question topic remains
unchanged.
4. Examinee Fitness. In all cases, the examiner shall have the authority
to decline to conduct an examination or to discontinue testing, when he or she
doubts that the examinee is physically or mentally fit to be tested. In these
instances, the examination shall be discontinued or postponed until appropriate
medical, psychological, or technical authorities have declared the individual
fit for testing.
B. RECORDS ADMINISTRATION
1. Storage and Retention
a. Polygraph examination technical reports may be filed with other
materials relating to the investigation in which the examination was authorized
and shall be:
(1) Retained by the examining agency in accordance with records
.retention procedures established by the Archivist of the United States.
(2) Removed before granting persons outside the examining agency
access to the related materials.
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b. Polygraph examination results may be filed with other materials
relating to the investigation in which the examination was authorized.
Additionally:
(1) Non-record copies of polygraph examination results shall be
destroyed within 3 months from the date of completion of the investigation in
which polygraph examination was authorized.
(2) Record copies shall be retained in accordance with records
retention procedures established by the Archivist of the United States.
2. Dissemination
a. Except as required by law, polygraph examination technical
reports shall not be disseminated outside the Department of Defense.
Normally, these reports are exempted from release under the provisions of
Exemption 7 of the Freedom of Information Act (see DoD 5400.7-R (reference
(f))?
b. Results of polygraph examinations may be made available:
(1) Within the Department of Defense, to officials responsible for
personnel security, intelligence, counterintelligence, law enforcement, and
the administration of criminal justice. (When a polygraph examination is con-
ducted in connection with a personnel security investigation, a copy of the
polygraph examination results shall be provided to the Defense Investigative
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Service for inclusion in the individual's personnel security investigative
file. This copy and the copy maintained by the examining agency are the only
authrrized record copies).
(2) To appropriate law enforcement officials outside the Depart-
went of Defense when the examination has been conducted in connection with the
investigation of a criminal offense, or reveals criminal activity on the part
of the individual examined.
The DoD Component authorizing disclosure must comply with DoD Directive
5400.11 (reference (g)).
(3) To the examinee or his or her legal counsel, upon request,
subject to the provisions for safeguarding of classified defense information
(DaD 5200.1-R, reference (b)).
(4) To DaD Component members of the National Foreign Intelligence
Board (NFIB) and other NFIB member agencies provided there is an official need
for the material and the third agency limitation will be applied.
(5) To the National Archives and Records Service, General Service
Administration, upon retirement of the file.
C. POLYGRAPH INSTRUMENT PROCUREMENT, MAINTENANCE, AND STORAGE
1. Issue. Polygraph instruments are items of issue within the Department
of Defense. Spare parts and expendable supplies are to be requisitioned
through authorized procurement channels.
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2. Authorized Items. The use of equipment known as lie detecting or
polygraph recording instruments for operational purposes by DoD Components is
restricted to items procured in accordance with subsection C.1., above. All
DoD polygraph instruments will measure and record, as a minimum, respiration,
electrodermal response, blood volume, and heart rate. Except as provided in
this Regulation, the use of other equipment is prohibited.
3. Maintenance. DoD Component investigative agencies shall establish
procedures, to include schedules for and techniques to be used in calibration
and maintenance, to ensure proper and accurate operation of polygraph
instruments.
4. Storage. Polygraph instruments shall be stored in secure locations to
prevent damage or misuse by unauthorized persons. A notation shall be made in
examination records of the serial number of the instrument used.
D. POLYGRAPH STUDIES AND RESEARCH
1. The Heads of DoD Components may, by issuance of regulations, authorize
the acquisition and use of experimental equipment to conduct research to deter-
mine the operational characteristics and reliability of the equipment.
2. The heads of DoD security and investigation activities may request the
procurement of newly developed polygraph instruments provided that:
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a. The DUSD(P) is notified in advance of the procurement; and
b. The equipment has been tested under subsection D.1. above, and
(1) Is electromechanically suitable.
(2) Produces reliable operational results.
(3) Instructional material relating to the equipment will be made
available for inclusion in DoD service school curricula with the least possible
expense and delay.
3. The DUSD(P), or designee, the Director, SP&P, ODUSD(P), may authorize
the conduce of studies or research involving the use of the polygraph.
DoD Components desiring to conduct a polygraph-related study or
research shall submit a request to the DUSD(P) that shall include:
a. Identity and qualifications of the agency or contractor who will
conduct the study or research.
b. Estimated cost of the study or research.
c. Purpose of the study or research.
d. The dates the study or research is to begin and end.
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4. DoD Components shall advise the DUSD(P) of the results and recommend-
ations of all studies undertaken with regard to the use of the polygraph.
5. Routine statistics or analysis of the contents of the polygraph
materials or reports does not constitute research for the purpose of this
Regulation.
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SELECTION, TRAINING, .AND SUPERVISION OF DOD POLYGRAPH
EXAMINERS
A. SELECTION
1. General. Candidates selected for the position of polygraph
examiner shall meet the following minimum requirements:
a. U.S. citzenship;
b. Twenty-five years of age;
c. Graduation from an accredited 4-year college (or equivalent)
plus 2 years as an investigator with a recognized U.S. Government or other
law enforcement agency;
d. Determined to be of high moral character and sound emotional
temperament, based on a background investigation;
e. Completed a DoD-approved course of instruction;
f. Judged suitable for the position after taking a polygraph
examination to ensure that he or she fully realizes the impact of such an
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examination on individuals. This examination shall be given before the
beginning of the course of instruction.
2. Incumbents. Individuals who do not meet the educational require-
ments set forth in paragraph A.l.c., who were previously certified as poly-
graph examiners by the heads of DoD Component investigative agencies, may
continue in this capacity.
B. TRAINING
1. General.
a. Under the policy guidance of the DUSD(P), the Secretary of
the Army shall establish and manage training programs for DoD polygraph
examiners, and shall ensure that such training programs are conducted by
qualified professional, medical or legal personnel.
b. The Director, NSC/Chief, CSS may approve alternative courses
for training of NSA/CSS polygraph examiners and shall provide timely advice
of such approvals to the DUSD(P).
c. Use of any other training programs must be approved by the
DUSD(P) .
d. DoD polygraph training programs shall be designed to ensure
that no person shall be certified as a qualified polygraph examiners without
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?-
successfully completing as approved course of instruction and demonstrating
the appropriate application of the following:
tion;
(1)
Investigative techniques to include methods of interroga-
psychology.
(2)
The basic elements of normal, abnormal, and criminal
(3)
Constitutional and other legal considerations;
(4)
The basic elements of physiology;
(5)
The functioning of the polygraph, including its capabilities
and limitations;
(6) DoD policies and procedures concerning the use of the
polygraph;
(7) Polygraph techniques;
(8) Question formulation and chart interpretation.
2. Probationary Period.
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Before being certified as a qualified DoD polygraph examiner by the
head of the DoD Component concerned, each candidate shall serve a probationary
period under a certified examiner. This probationary period shall be no more
than 1 year nor less than 6 months following completion of the basic polygraph
examiner training course. During this time the candidate shall be required to
demonstrate proficiency in the use of the polygraph by conducting at least 25
polygraphic examinations under the supervision of a certified polygraph
examiner. Heads of DoD Components shall ensure that polygraph examiners
obtain refresher training at least every 2 years.
C. SUPERVISION OF POLYGRAPH EXAMINERS
Heads of DoD Components that have a polygraph capability shall establish
procedures for the close supervision of polygraph examiners, and provide for
professional and technical review of individual examiner techniques to ensure
maintenance of proficiency standards. These procedures shall include the
following:
1. Certified examiners shall exercise their technical skills regularly
and conduct a minimum of 18 polygraph examinations semiannually. Civilian and
military polygraph specialists who direct and instruct examiners and are res-
ponsible for the proficiency of examiners may be exempted from this requirement
by~the head of the DoD Component, or designee.
2. Examiners who fail to satisfy current proficiency standards shall
have their certificates immediately suspended or revoked.
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3. Certifications suspended for failure to meet minimum requirements
may be reissued after suitable refresher training or after the examiner has
satisfactorily demonstrated an acceptable standard of proficiency, as deter-
mined by the head of the DoD Component, or designee.
4. A certified polygraph supervisory official shall review the record of
polygraph examination in conjunction with other pertinent investigative
information and determine whether it is appropriate to request the individual
to undergo a second polygraph examination. Such a request may be made when
considered appropriate, regardless of whether the individual examined has made
significant admissions in connection with the investigation and regardless of
whether the results of the examination indicate unusual physiological responses.
The investigative agency may comment, as appropriate, on the polygraph examina-
tion technical report.
S. Determinations with respect to further investigation of cases wherein
a polygraph examination has been undertaken shall not be made solely by the
polygraph examiner.
6. When the results of an initial polygraph examination have been inter-
preted as "inconclusive," immediate subsequent examination may be made by the
original examiner (normally within 30 days) without obtaining additional
approval from the official who initially approved the polygraph examination.
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D. LIMITATIONS
1. Individuals certified as DoD polygraph examiners shall not perform
polygraph examinations nor participate in polygraph-related activities in con-
nection with nonduty-hour employment with any private or commercial polygraph
firm or agency without the approval of the Head of the DoD Component concerned.
The provisions of this paragraph do not apply to DoD polygraph examiners of the
reserve components except while such examiners are on temporary or extended
active duty.
2. Polygraph examiners shall aot participate in any public demonstra-
tions of the polygraph technique that includes a mock test in which there is
an attempt to interpret the results of the test. This does not preclude a
public demonstration of the mechanical operations of the instrument or a
demonstration to show the physiological changes that take place during
emotional stimulation, provided no attempt is made to interpret the changes
and no unfounded claims of application or reliability are made. Only poly-
graph examiners certified under the provision of this Regulation may be used
as instructors, lecturers, or demonstrators of the polygraph.
3. Under no circumstances shall polygraph examiners allow themselves to
be identified as other than investigative personnel or take any measures which
might create a clinical appearance.
4. The polygraph instrument shall not be utilized as a psychological prop
in conducting interrogations.
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5. Persons who are not in sound physical or mental condition will not be
subject to polygraph examination. Should the examiner or examinee have any
doubt as to the physical or mental fitness of the examinee, the matter shall
be referred to medical authorities. An examiner shall not attempt to make a
psychological or physical diagnosis of an examinee.
6. Polygraph examinations shall not be conducted if, in the opinion of
the polygraph examiner, any of the following conditions inhibit the individual's
ability to respond. If any of these conditions should become apparent, the
provisions of paragraph A.4., Chapter 3 of this Regulation, should be followed:
a. It is apparent that the examinee is mentally or physically fatigued.
b. The examinee is unduly emotionally upset, intoxicated, or rendered
unfit to undergo an examination because of excessive use of a sedative,
stimulants or tranquilizers.
e. The examinee is experiencing physical discomfort of significant
magnitude or appears to possess physical disabilities or defects which, in
themselves, might cause an abnormal response.
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PROGRAM MANAGEMENT
A. IMPLEMENTATION
To ensure uniform implementation of the DoD Polygraph Program throughout
the Department of Defense, program responsibility shall be centralized to the
extent possible.
B. RESPONSIBILITIES
1. The DUSD(P), as the designee of the Under Secretary of Defense for
Policy, shall provide guidance, oversight, and approval for policy and proce-
dures governing polygraph program matters within the Department of Defense.
The DUSD(P) shall coordinate with the Inspector General, Department of Defense
all matters, concerning use of the polygraph in connection with the investi-
gation of criminal offenses.
2. The DUSD(P) or designee, the Director, SPFxP, ODUSD(P), are the only
DoD officials authorized to approve waivers or exceptions to the provisions of
this Regulation.
3. Heads of DoD Components authorized to approve the use of the polygraph
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a. The DoD Polygraph Program is administered within their area of
responsibility in'a manner consistent with this Regulation.
b. A single authority within the Component is assigned respon-
sibility for administering the program.
c. Information and recommendations concerning any aspect of the
program are provided to the DUSD(P) upon request.
C. DoD POLYGRAPH COMMITTEE
There shall be established a DoD Polygraph Committee.
The Committee shall be chaired by the Director, 5P&P, ODUSD(P), and
shall be comprised of policy and polygraph technical representatives of the
Secretaries of the Military Departments; the Director, NSA/Chief, CSS;
Directors, DIA, DIS, the Inspector General, DoD; and the Defense Legal
Service Agency.
Representatives of other DoD Components may be invited to meet with the
Committee on matters of particular interest to those Components. The Committee
shall meet at the call of the chair or at the request of a member agency, and
shall serve as a forum for the review and discussion of problems or issues
impacting on the DoD Polygraph Program.
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D. INFORMATION REQUIREMENTS
The Secretaries of the Military Departments, the Director, NSA/Chief, CSS;
the Directors, DIA, DIS; and the Inspector General, DoD shall submit to the
DUSD(P) semiannually as of December 31, and June 30, a report of polygraph
activities in the format prescribed by Appendix A of this Regulation. This
reporting requirement has been assigned Report Control Symbol DD-POL(SA)1361.
For the purposes of this reporting requirement, a polygraph examination is
considered to have taken place when at least one of the phases described in
subsection B.6., Chapter 1 of this Regulation has been initiated.
E. IMPLEMENTATION REQUIREMENTS
DoD Components shall forward two copies of implementing documents to the
DUSD(P). These implementing documents shall list those officials within the
Component who have been delegated polygraph authority under the provisions of
subsection E.3.b. of DoD Directive 5210.48.
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APPENDIX A
1.
Period ending , 19
2.
Date
report submitted: , 19
3.
Name
of reporting activity:
4.
Use
of the polygraph in criminal investigations:
Type
Competitive
Excepted
Military
Contractors
Foreign
Foreign
Other
Tdtal
of
Civilian
Civilian
Civilian
Military
(Specify)
Case
Service
Service
Crimes
Against
Persons
Crimes
~
Against
_
Property
Crimes
Involving
Fraud
Crimes
Involving
drugs
that
-
(Specify)
otal
-~
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Pretest
Dece lion I
dicated (DI
No Dece lion Indicated (NDI)
Poat-test
Incon
Not
Information
Admission or
Confession
DI
Confirmed
DI
Unconfirmed
NDI
Confirmed
NDI
Unconfirmed
Admission or
Confession
clusive
Completed
Developed
Requiring
Additional
Investigation
i
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5. Use of the polygraph in personnel security investigatoins:
Type
ompetitive
Excepted
Military
Contractors
Foreign
Foreign ~
Other
Total
of
ivilian
Civilian
Civilian
Military
(Specify)
Case
ervice
Service
Assignment
"~
Detail-CIA
..
Assignment
---
Detail-NSA
'Access to
Crypto-
graphic
(Initial)
Access to
Special
Access
Program
(Initial)
'Access to
--
Special
Access
Program
(Aperiodic
Foreign
!iational
(Initial)
i
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5. (Continued)
ype
Competitive
Excepted
Military
Contractors
Foreign
Foreign
Other
Total
of
Civilian
Civilian
Civilian
~Iilitary
(Specify)
Case
Service
Service
Foreign
National
(Aperiodic)
___
Resolve
- - -
Credible
Derog
--- _ _
_____
Access to
- -
SCI
(Initial)
_
Aceas to
_ _
____ F__
__ -
_-
SCI
(Aperiodic)
-
_____.___._
C r i t i ca l
Intelligence
Position
(Initial)
- -_- -
__.__-- .-_.. ___
Critical.
Intelligence
, ~ ~
,Position
~
i
(Aperiodic)
~
_-
__
j
Total
~. __
i
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retest
dmission or
onfession
Deception I~
DI
Confirmed
aiCatea (DI)
DI
Unconfirmed
No Deception Indicated (NDI)
NDI
Confirmed
NDI
Unconfirmed
Post-test
Admission or
Confession
Incon
elusive
Not Information
Completed Developed
Requiring
Additional
Investigation
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 f
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6. llse of the polygraph in counterintelligence investigations:
~rype
~o f
Case
Competitive
Civilian
Service
Excepted
Civiliaa
Service
Military
Foreign
Civilian
Foreign
Military
Other I Total
(Specify)
,unau~norxzed
--
Discloaure
Espionage
.~
Sabotage
Treason
-_-.
Subversion
Sedition
Cerrorism
ather
(Specify)
total
'retest
Dece tiara I
ndi
t
d DI
c
a
e
)
No
Dece tion
In
dicated (NDI
Po
st-test
Incon
N
t
admission or
:
f
DI
DI
NDI
NDI
,
Admission or
elusive
o
Completed
Inf
Dev
ormation
elo
d
on
ession
Confirmed
Unconfirmed
Confirmed
Unconfirmed
Confession
;
pe
R
~
i
e
u
ring
Additional
'
~
In~estigatian
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7. Use of the polygraph for 'the purpose of exculpation:
I
Type
Competitive
Excepted
Military
~ Contractors
Foreign
_
Foreign
Other
Total
of
Case
Civilian
Service
Civilian
Service
Civilian
Military
(Specify)
Crimes
__~ _
-
Against
Persons
IC rimes
~.___ -
---
Against
Property
Crimes
:Involving
Fraud
Crimes
~ ~~
involving
Sex
`
Crimes
involving
Drugs
Unauthorized
Disclosure
i
Espionage
sabotage
____
treason
_ _
_ -
subversion
_._
_
__ ~
~ i
i
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I
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7. Continued
Type
of
Case
Competitive
Civilian
Service
Excepted
Civilian
Service
Military ~
Contractors
Foreign
Civilian
Foreign
Military
Other
(Specify)
Total
Se ition
^~
Terrorism
- -
Other
(Specify)
-
-~_ ._...
---
-
Tota 1
__
Pretest
Dece tion Indicated (DI)
No Dec
e~ on
Indicated (NDI)
Post-test
Incon ~
Not
Information
Admission or
Confession
DI
Confirmed
DI
Unconfirmed
_
NDI
Confirmed
NDI
Unconfirmed
Admission or
Confession
elusive
Completed
Developed
Requiring
Additional
Investigation
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8. Use of the polygraph in intelligence or counterintelligence operations:
'Type
of
Case
Intelligence
peration
ounter-
intelligence
peration
retest
dmission or
onfession
Competitive
Civilian
Service
Excepted
Civilian
Service
Dece tion Indicated DI
DI DI
Confirmed Unconfirmed
Military
N Deception Indicated (NDI)
Foreign
Civilian
Foreign
Military
Post-test Incon
Admission or elusive
Confession
Other
(Specify)
~~lo t
Completed
Information
Developed
Requiring
Additional
Investigation
I
w --.
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9. National Security Agency reporting format:
SCREENING POLYGRAPH EXAMINATOIN
Applicants for Excepted Service Employment
General Service Administration Employees
Employees of Contractors and Consultants
Aliens
Federal Protective Service Police Applicants
Special Projects
Others: (Specify)
CC SS EXAMINATIONS
Excepted Service Position Occupants
Military Assignees
Employees of Contractors and Consultants
Special Projects
Others: (Specify)
INVESTIGATIVE EXAMINATIONS
Personnel Security
Counterintelligence
Subtotal
Totals
10. Status of Polygraph examiners:
SUBSTANTIVE NO SUBSTANTIVE
CASES INFORMATION INFORMATION
CONDUCTED PROVIDED PROVIDED
a. Number of certified .examiners at the beginning
of the reporting period.
b. Number of certificates suspended
(Failure to meet standards and criteria).
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c. New certifications
d. Certifications renewed.
e. New students (Trainees).
f. Number of students completing training.
g. Number of examiners completing refresher training
h. Number of certified examiners at the end of the
reporting period. ?
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APPENDIX B
COUNTERINTELLIGENCE SCOPE
When the scope of a polygraph examination authorized under this Regulation
is limited to counterintelligence areas, questions posed in the course of
such examinations shall be limited to those necessary to determine:
WHETHER THE EXAMINEE HAS:
1. Ever engaged in espionage or sabotage against the United States.
2. Knowledge of anyone who is engaged in espionage or sabotage against
the United States.
3. Ever been approached to give or sell any classified materials to
unauthorized persons.
4. Ever given or sold any classified materials to unauthorized
persons.
S. Knowledge of anyone who has given or sold classified materials to
unauthorized persons.
6. Any unauthorized contact with representatives of a foreign
government.
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