POLYGRAPH PROGRAM

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP90-00530R000601590001-5
• Release Decision: RIFPUB
• Original Classification: K
• Document Page Count: 33
• Document Creation Date: December 27, 2016
• Document Release Date: January 2, 2013
• Sequence Number: 1
• Publication Date: January 1, 1985
• Content Type: MISC

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DEPARTMENT OF DEFENSE
POLYGRAPH PROGRAM
JANUARY 1985
OFFICE OF THE DEPUTY UNDER
SECRETARY OF DEFENSE POLICY
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POLICY
THE UNDER SECRETARY OF DEFENSE
WASHINGTON, D.C. 20301
FOREWORD
9 JAN 1985
This Regulation is issued under the authority of DoD Directive
5210.48, "DoD Polygraph Program," December 24, 1984. Its
purpose is to provide guidance and establish 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. It specifies the circumstances
under which the polygraph may or shall be used, prescribes
procedures for conducting polygraph examinations and establishes
standards for the selection, training and supervision of DoD
polygraph examiners.
This Regulation applies 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 collectively
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
Counterintelligence and
Investigative Programs
Room 3C260, The Pentagon
Washington, D.C. 20301-2200
DoD Components may obtain copies of this Regulation through
their own publication channels. Other federal agencies and
the public may obtain copies from the U.S. Department of
Commerce, National Technical Information Service, 5288 Port
Royal Road, Springfield, Virginia 22161.
� /
Richa swell
General bSA (Rt.)
Deputy
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DoD 5210.48-R
DOD POLYGRAPH PROGRAM
TABLE OF CONTENTS
FOREWORD
TABLE OF CONTENTS
REFERENCES
DEFINITIONS
CHAPTER 1 - AUTHORIZED USES OF POLYGRAPH EXAMINATIONS
A. Policy
B. Investigative Cases for Which the Polygraph May be Used
C. Investigative Cases for Which the Polygraph Shall be Used
D. Limitations
CHAPTER 2 - CONDUCT OF POLYGRAPH EXAMINATIONS
A. Procedures
B. Records Administration
C. Polygraph Instrument Procurement,
D. Polygraph Studies and Research
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CHAPTER 3 - SELECTION, TRAINING, AND SUPERVISION OF DoD
POLYGRAPH EXAMINERS
A. Selection
B. Training
C. Supervision of Polygraph Examiners
D. Limitations
CHAPTER 4 - PROGRAM MANAGEMENT
A. Implementation
B. Responsibilities
C. DoD Polygraph Committee
D. Information Requirements
E. Implementation Requirements
Appendices
A. Reporting Format
.B. Counterintelligence Scope
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DoD 5210.48-R
REFERENCES
(a) Title 10, United 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, 1982,
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) DoD Directive 5400.11, "Personal Privacy and Rights of Individuals
Regarding Their Personal Records," June 9, 1982.
(0 Manual for Courts-Martial, 1969 (revised edition), Chapter XXVII, Military
Rules of Evidence, Section III
(g) 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
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a
DEFINITIONS
1. Adverse Action. As defined in paragraph 1-301, DoD 5200.2-R (reference (d)),
if taken as a result of an unfavorable personnel security determination.
2. 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.
3. Cryptographic Information. All information significantly descriptive of
cryptographic techniques and processes or of cryptographic 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 classified
crypto-equipment, reveal weaknesses of associated equipment that would allow
recovery of plain text or of key, aid materially in the cryptanalysis of a
general or specific cryptosystem, or lead to the cryptanalysis of an individual
message, command, or authentication.)
4. Cryptologic Information. Information pertaining to the production of
signals intelligence and maintenance of communications security.
5. Foreign Intelligence. Information relating to the capabilities, intentions,
and activities of foreign powers, organizations, or persons.
6. Foreign Nationals. All persons not citizens of, not nationals of, nor
immigrant aliens to, the United States.
7. Polygraph Examination. Includes questioning and other processing of an
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.
(2) The examinee being informed of the nature and characteristics
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 Justice (reference (a));
(4) The examinee being informed of his or her right to obtain and
consult with legal counsel.
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(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 of
the charts.
c. Post-test. Interrogation of the examinee if the charts are analyzed
as deceptive or inconclusive.
8. Polygraph Examination Results. A synopsis of the polygraph examination
that 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.
9. 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.
10. 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.
11. Relevant Question. A polygraph question pertaining directly to the
matter under investigation for which the examinee is being tested.
12. Technical Questions. Refers to any of the following:
a. Control Question. A question used during polygraph examinations
which, although not relevant to the matter under investigation, is designed to
be used as a baseline against which responses relevant to the investigation
may be evaluated.
b. Irrelevant or 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.
c. Symptomatic Question. A polygraph question designed to indicate the
possible influence of an outside issue that could be of concern to the examinee.
13. Unfavorable Administrative Action. As defined in paragraph 1-323, DoD
5200.2-R (reference (d)).
14. Unfavorable Personnel Security Determination. As defined in paragraph
1-324, DoD 5200.2-R (reference (d)).
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CHAPTER 1
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 person 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, no unfavorable administrative action will be taken
solely on the basis of a polygraph examination chart that indicates deception,
except as provided in subsection A.6., below.
4. Applicants for employment, assignment, or detail to positions requiring
access to specifically designated information in special access programs;
assignment or detail to the Central Intelligence Agency; employment, assign-
ment, or detail to critical intelligence positions in the Defense Intelligence
Agency (DIA); or employment, assignment, or detail to the National Security
Agency (NSA); who refuse to take a polygraph examination shall not be selected
or assigned.
5. Persons who refuse to take a polygraph examination in connection with
determining their continued eligibility for access to specifically designated
information in special access programs, in accordance with paragraph B.2.a.,
below; or continued employment, assignment or detail to a critical intelligence
position in DIA, in accordance with paragraph C.3., below; to include incumbents
of positions subsequently determined to require polygraph examination as a con-
dition of access, employment, assignment, or detail; may be denied access,
employment, assignment, or detail, provided that, with the exception of NSA,
the DoD Component concerned shall ensure that such individual is retained in a
position of equal grade and pay that does not require polygraph examination,
or shall arrange like employment for the individual at another DoD Component
6. When deception is indicated by the examiner's interpretation of polygraph
charts in polygraph examinations conducted under the provisions of paragraph
B.2.a. and subsection C.3., below, an indepth interview of the subject will be
undertaken by the examiner immediately following the running of the chart, to
resolve any indication of deception. If the indication of deception cannot be
resolved through such means, the subject will be so advised and the results of
the examination forwarded to the requesting agency. If, after reviewing the
polygraph examination results, the requesting agency determines that they
raise significant question relevant to the subject's clearance or access
status, the subject shall be given an opportunity to undergo additional
examination by the examining agency, using the same or a different examiner.
If such additional examination is not sufficient to resolve the matter, a
comprehensive investigation of the subject shall be undertaken, utilizing the
results of the polygraph examination as an investigative lead. If such in-
vestigation develops no derogatory information upon which an unfavorable
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administrative action to the subject may be independently based, no such
action shall be permitted, unless approved by an authority designated in
subsection B.2. of Chapter 4 of this Regulation, in specific cases, based
upon his or her written finding that the information in question is of such
extreme sensitivity that access under the circumstances poses an unacceptable
risk to the national security. In such cases:
a. The determining authority shall notify the subject, in writing,
that, although the investigation which followed the indication of deception
during the polygraph examination did not in and of itself provide an
independent basis for denial of access, a determination to deny such access to
the subject had been made, based upon the finding of the determining authority
that access under the cirumstances poses an unacceptable risk to the national
security. The subject shall also be advised, in the case of a determination
made by a Component authority, that the determination may be appealed to the
Secretary of Defense. Determinations by the Secretary of Defense are conclusive.
b. Appeals must be filed by appellants within 60 days of notification
by the determining authority. The appeal may contain any information which
the appellant wishes the Secretary of Defense to consider in reaching a final
determination.
c. Copies of the determination as well as the determining authority's
notification to the subject may be retained only in the immediate office of
the determining authority and in the security office of the DoD Component
responsible for controlling access to the information in question. This pro-
vision does not preclude use of such records in the event of litigation.
d. No notification other than provided for in a. above, shall be
made.
7. Unfavorable administrative action shall not be taken against a person
for refdsal to take a polygraph examination in criminal or unauthorized
disclosure cases.
8. 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 authorized
in a criminal investigation when the following apply:
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.
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d. The person being considered for examination has been interviewed
and there is reasonable cause to believe that the person 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 Specifically Designated Information in Special Access
Programs. A polygraph examination may be authorized to assist in determining
the initial eligibility, and aperiodically thereafter, on a random basis, to
assist in determining the continued eligibility, of DoD civilian, military,
and contractor personnel for access to specifically designated classified
information protected within special access programs, established under
E.O. 12356 (reference b)) and DoD 5200.1-R (reference (c)). Any use of the
polygraph for such purpose shall have the prior approval of the Deputy Under
Secretary of Defense for Policy (DUSD(P)), and be based upon the request of
the head of the DoD Component concerned, who shall certify in writing that
unauthorized disclosure of the information in question could reasonably be
expected to: (1) jeopardize human life or safety; (2) result in the loss of
unique or uniquely productive intelligence sources or methods vital to U.S.
security; or (3) would compromise technologies, plans or procedures vital to
the strategic advantage of the United States. The scope of any polygraph
examination administered for such purpose shall be limited to the counter-
intelligence topics prescribed in Appendix B of this Regulation.
b. Resolution of Certain Personnel Security Investigations
(1) The use of the polygraph may be authorized to assist in
determining the initial eligibility of foreign nationals who require access
to classified information.
(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 when 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 SCI provided that, at a minimum the
following apply:
(a) A determination has been made that it is necessary and
advisable in the national interest to authorize access.
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(b) The person being considered for access has been
interviewed in accordance with paragraph 2-306.c. of DoD 5200.2-R (reference
(d));
initiated.
(c) A Special Background Investigation (SRI) has been
(d) The questions asked during the examination are limited
to the counterintelligence topics set forth in Appendix B of this Regulation.
(2) Authority. Authority to approve the use of the polygraph
under subparagraph B.2.c.(1) above is limited to the DUSD(P) and the Senior
Officials of the Intelligence Community (SOICs) within the Department of Defense.
3. Counterintelligence Investigations
a. Unauthorized Disclosures. DoD civilian, military, and contractor
personnel may be requested 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 person has knowledge
of or was involved in the unauthorized disclosure. No unfavorable administra-
tive actions may be taken when persons refuse to cooperate with polygraph
examinations administered under this provision.
b. Other Counterintelligence Investigations. A polygraph examination
may be authorized for use in a counterintelligence investigation involving
alleged acts of espionage, sabotage, or terrorism provided that the following
apply:
(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.
(3) The individual being considered for examination has been
interviewed and there is reasonable cause to believe that the person has
knowledge of or was involved in the matter under investigation.
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 his designee, the Director, Counterintelligence and Investi-
gative Programs, Office of the DUSD(P) (CI&IP, ODUSD(P)). It is not required
that consent be obtained in writing from persons 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
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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 poD Components must
receive the prior approval of the DUSD(P), or his designee, the Director,
CI&IP, 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)).
C. INVESTIGATIVE CASES FOR WHICH THE POLYGRAPH SHALL BE USED
1. Employment, Assignment, or Detail to NSA. Polygraph examination
shall be required for DoD civilian, military, contractor, and General Service
Administration (GSA) personnel to assist in determining 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 topics 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 DIA in positions that have been
designated in writing by the Director, DIA, as critical intelligence positions.
D. LIMITATIONS
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. 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. of Chapter 2 of this Regulation.
3. Except as provided in subsections A.5., B.2.b.(1) and (2), B.2.c.,
8.4., and C. 1., 2., and 3. of this Chapter, no unfavorable administrative
actions may be taken when persons refuse to undergo polygraph examination in
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connection with the proyisions of this Regulation. Refusal to undergo
polygraph examination under these provisions shall in no manner effect the
person's eligibility for positions that have not been determined to require
polygraph examination as a condition of employment, assignment, detail or
access.
4. Information concerning a person's refusal to undergo polygraph
examination shall, in all cases, be given the full privacy protection provided
by DoD Directive 5400.11 (reference (e)). Specifically, information
concerning a person's refusal shall not be:
a. Recorded in the person's personnel file, investigative file, or
any other file. As an exception, in criminal cases, a refusal may be recorded
in the polygraph examination technical report maintained in the headquarters
of the Component investigative agency having jurisdiction for the purposes of
administration, control and conduct of criminal investigations.
b. Communicated to a person's supervisor, and in the case of a
contractor employee, a person's employer, unless such action is necessary in
support of action to be taken under the provisions of subsection AS. of this
Chapter. In criminal cases, the fact of refusal to undergo polygraph
examination shall not be communicated to persons other than those directly
involved in the administration, control or conduct of criminal
investigations.
c. Permitted to effect the person's official evaluation report or
eligibility, for promotion or awards.
5. As an exception to 4. above, DoD Components authorized to conduct
polygraph examinations shall provide information concerning refusal to undergo
Polygraph examination offered in connection with the DoD Polygraph Test Program
to the Director, Counterintelligence and Investigative Programs, ODUSD(P), for
inclusion in the report of results of the test program that is to be made to
Congress. The Component Test Program Project Director shall retain a copy of
data submitted in connection with the test program and shall destroy such
information upon notification from the ODUSD(P) Test Program Project Director.
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CHAPTER 2
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
examiner shall:
a. Obtain assurance from the person 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 person to be examined has not been subjected to
prolonged interrogation immediately before the polygraph examination.
c. Interview the person to be examined. During this interview,
as a minimum, the examinee-shall be informed of the following:
(1) 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) 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 recording,
will be used simultaneously with the polygraph.
(3) That 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, (reference (0).
The requirement to advise of privilege against self-incrimination does not
apply to examinations conducted under the provisions of subparagraphs
B.2.b(1) and (2) and section B.4. of Chapter 1 of this Regulation.
(4) That 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 also shall 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 Polygraph 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 lawful nature, and opinions regarding
the constitutionality of legislative policies.
b. When use of the polygraph is authorized pursuant to subparagraphs
B.2.a. and c., and subsection B.3 and C.3, of Chapter 1 of this Regulation,
technical questions utilized in such examinations shall be constructed to
avoid embarassing, degrading or unneccesarily intrusive questions. Additionally,
except for polygraph examinations conducted under the provisions of subsection
C.1. of Chapter 1 of this Regulation, 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 before the examination.
A
dt
wl
re
rc
Fr
d. Standard question topics to be asked in connection with the use pe
of the polygraph for employment screening or assignment purposes, or any th
modification or change to these question topics, must be approved by the du
DUSD(P), or his designee, the 'Director, CUIP, ODUSD(P), before implementation. pc
The requirement for prior approval does not apply when it is necessary to Se
modify the phrasing of an approved question topic to clarify a response given Th
by the examinee, provided that the substance of the question topic remains au
unchanged.
4. Examinee Fitness. In all cases, the examiner shall have the authority of
to decline to conduct an examination or to discontinue testing when he or she in
doubts that the examinee is physically or mentally fit to be tested. In these of
instances, the examination shall be discontinued or postponed until appropriate
medical, psychological, or technical authorities have declared the individual
fit for testing. Di
B. RECORDS ADMINISTRATION
su
1. Storage and Retention (D
a. Polygraph examination technical reports may be filed with other
materials relating to the investigation in which the examination was authorized Bo
and shall be: fo
(1) Retained by the examining agency in accordance with records
retention procedures established by the Archivist of the United States. of
(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 the following apply:
(1) Nonrecord copies of polygraph examination results shall be
destroyed within 3 months from the date of completion of the investigation in
which the 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 (g).
b. Results of polygraph examinations may be made available to the
following:
(1) Within the Department of Defense, 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
Service for inclusion in the person's personnel security investigative file.
This copy and the copy maintained by the examining agency are the only
authorized record copies).
(2) Appropriate law enforcement officials outside the Department
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.
(3) The DoD Component authorizing disclosure must comply with DoD
Directive 5400.11 (reference (e)).
(4) The examinee or his or her legal counsel, upon request,
subject to the provisions for safeguarding of classified defense information
(DoD 5200.1-R, reference (c)).
(5) DoD 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.
of the file.
(6) The National Archives and Records Service, GSA upon retirement
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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.
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, at 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 that 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 the
following apply:
a. The DUSD(P) is notified in advance of the procurement.
b. The equipment has been tested under subsection D.1., above, and
the following apply.
(1) Equipment is electromechanically suitable.
(2) Equipment 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 his designee, the Director, CI&IP, ODUSD(P), may authorize
the conduct 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.
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ations
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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.
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.
S. Routine statistics or analysis of the contents of the polygraph
materials or reports do not constitute research for the purpose of this
Regulation.
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CHAPTER 3
SELECTION, TRAINING, AND SUPERVISION OF POD POLYGRAPH EXAMINERS
A. SELECTION
1. General. Candidates selected for the position of polygraph
examiner shall meet the following minimum requirements:
a. Be a U.S. citizen.
b. Be twenty-five years of age;
c. Have graduated 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. Be of high moral character and sound emotional temperament, based
on a background investigation.
e. Have completed a DoD-approved course of instruction;
f. Be judged suitable for the position after taking a polygraph
examination to ensure that he or she fully realizes the impact of such an
examination on persons. This examination shall be given before the beginning
of the course of instruction.
2. Incumbents. Persons who do not meet the educational requirements set
forth in paragraph A.1.c., above, who previously were certified as polygraph
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 shall be approved by the DUSD(P).
d. DoD polygraph training programs shall be designed to ensure that
DO person be certified as a qualified polygraph examiner without successfully
completing an approved course of instruction and demonstrating the appropriate
application of the following:
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(1) Investigative techniques, including methods of interrogation.
(2) The basic elements of normal, abnormal, and criminal psychology.
(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.
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 re-
sponsible for the proficiency of examiners may be exempted from this requirement
by the head of the DoD Component concerned or his designee.
2. Examiners who fail to satisfy current proficiency standards shall
have their certificates immediately suspended or revoked.
3. Certifications suspended for failure to meet minimum requirements
may be reissued after suitable refresher training or after the examiner has
demonstrated satisfactorily an acceptable standard of proficiency, as deter-
mined by the head of the DoD Component concerned or his designee.
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4. A certified Polygraph supervisory official shall review the record
of polygraph examination in conjunction with other pertinent investigative
information to determine whether it is appropriate to request the examinee
to undergo a second polygraph examination. Such a request may be made when
considered appropriate, regardless of whether the person 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.
5. 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.
D. LIMITATIONS
I. Persons certified as DoD polygraph examiners shall not perform polygraph
examinations nor participate in polygraph-related activities in connection 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 subsection 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 not 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 that
might create a clinical appearance.
4. The polygraph instrument shall not be utilized as a psychological prop
in conducting interrogations.
5. Persons who are not in sound physical or mental condition will not be
subjected to a 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.
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6. Polygraph examinations shall not be conducted if, in the opinion of
the polygraph examiner, any of the following conditions inhibit the person's
ability to respond. The provisions of subsection A.4., of Chapter 2 of this
Regulation, shall be followed if any of the following are apparent:
a. 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 sedatives,
stimulants, or tranquilizers.
c. The examinee is known to be addicted to narcotics.
d. The examinee is known to have a mental disorder.
e. The examinee is experiencing physical discomfort of significant
magnitude or appears to possess physical disabilities or defects that in
themselves, might cause an abnormal response.
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CHAPTER 4
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) shall provide guidance, oversight, and approval for policy
and procedures governing polygraph program matters within the Department of
Defense. The DUSD(P) shall coordinate with the IG, DoD, on all matters
concerning use of the polygraph in connection with the investigation of
criminal offenses.
2. Exceptions under the provisions of subsection A.6., of Chapter 1 of
this Regulation shall be personally approved by one of the Secretaries of the
Military Departments or the Director, NSA, for their respective Components, or
the Secretary or Deputy Secretary of Defense for other DoD Components.
3. Except as provided in subsection B.2., above, the DUSD(P), or his
designee, the Director, CI&IP, ODUSD(P), are the only DoD officials authorized
to approve waivers or exceptions to the provisions of this Regulation.
4. Heads of DoD Components authorized to approve tfie use of the polygraph
shall ensure that:
a. The DoD Polygraph Program is administered within their area of
responsibility in a manner consistent with this Regulation.
b. A single authority within each DoD 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.
1. There shall be a DoD Polygraph Committee established. This Committee
shall be chaired by the Director, CI&IP, ODUSD(P), and shall be comprised of
policy and polygraph technical representatives of the IG, DoD; Secretaries
of the Military Departments; the Directors of the NSA/Chief, CSS, DIA, DIS;
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
tlfshall 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
1. The IG, DoD, Secretaries of the Military Departments, the Directors,
of NSA/Chief, CSS, DIA, and DIS, 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.
2. This reporting requirement has been assigned Reports 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 the definition section of this Regulation has been initiated.
E. IMPLEMENTATION REQUIREMENTS
DoD Components shall forward two copies of implementing documents to the
Deputy Under Secretary of Defense for Policy. These implementing documents
shall list by title those officials within each DoD Component who have been
delegated polygraph authority under the provisions of paragraph E.2.b. of
DoD Directive 5210.48.
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Period ending . 19_
2. Date mport submitted. 19_
3. Name of reporting activity:
4. Use of the polygraph in criminal investigations:
11,1'
APPENDIX A
REPORTING FORMAT
TIP'
of
Case
Competitive
Civilian
Service
Excepted
Civilian
Service
'
Military
Contractors
Foreign
Civilian
Foreign
Military
-
Other
ISpecifyl
Total
Crimes
ARNIM
Persons
Crimes
,
-
Against
Property
Crimes
involving
Fraud ,
Crimes
involving
Csugs
�
Other
iSP�dlYi
,
Total
,
Deception indicated
(DI)
No Deception
indicated INN
Post-test
Admission Of
Confession
inConclusive
_
Not
Completed
-
Information
Developed
Requiring
Additional
investigation
Pretest
Admission or
Confession
DI
Confirmed
DI .
Unconfirmed
NOI
Confirmed
NIC!
Unetafinned
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S. Use of the polygraph for personnel security purposes:
WA.
of
Casa
Competidve
Civilian
SINViCe
Excepted
Military
Contractors
,
Foreign
Civilian
Foreign
Military
Other
ISPeahl
Total
Civilian.
Service
SPecial
Access
.
'
Peogram
Applicants
,
Number of
Applicants
Refusing
,
.
Number of
Applicants
Denied
EmpioymeM/
Assignment
SPecilli
Access
Prolliam
incumbents
Number of
Incumbents
Refusing
Number of
Incumbents
Denied
v.
Access
Number of
Incumbents
Transfened/
Reassigned
.
I
8.(COflIMUSd)
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i�
�
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'NIA
of
Cass
Competitive
Civilian
Service
Excepted
Civilian
Service
Military
�
Contractors
Foreign
Civilian
� Foreign
Military
Other
ispacifyl
Total
Critical
Intelligence
Positions
.
Interim
Access to
SCI
'
Assignment/
Detail to
CIA
.
Assignment/
Detail to
NSA
'
.
Foreign
National
Initial
.
Foreign
National
Aperiodic
Resolve
Credible
Derog
Total
Pretest
Admission or
Confession
Deception indicated
Mil
No Demmelon Indicated INDII
Post-test
inconclusive
Not
Information
Developed
Requiring
Addttlonel
investigation
-
DI
Confirmed
Dl
Unconfirmed
NW
Confirmed
NOI
Unconfirmed
Admission or
Confession
Completed
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h�C
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6. Use of the polygraph in counterinteibgence investigations:
IVO*
of
Case
Competitive
Civilian
Service
Excepted
Civilian
Service
Military
Contractors
Foreign
Civilian
Foreign
Military
Other
(Specify)
Total
Unauthorized
(*closure
,
.
.
EliPionsille
-
Sabotage
'
Treason
SUbversion
4
-
Sedition
. -
, ,
Terrorism
4
Other
ISP�cifY)
_.
Total
Pretest
Admission or
Confession
Deception Indicated IDII
No Deception Indicated IN011
Post-test
Admission or
Confession
inconclusive
Not
Completed
Information
Developed
Requiring
Additional
Investigation
DI
Confirmed
DI
Unconfirmed
NOI
Confirmed
NDI
Unconfirmed
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'UMW"
.4. �
7. Use of the polygraph for the purpose of exculpation:
14.014
1VP�
of
Case
Competitive
Civilian
Service
Excepted
Civilian
Service
,
Military
Contractors
Foreign
Civilian
Foreign
Military
Other
(Specify)
Total
Crimes
Against
Persons
.
Crimes
AVMg
Property
Crimes
I-
Fraud
Crimes
kwolving
Sex
Crimes
Waiving
Drugs
Unauthorized
Disclosure
'
,
Es*mega
Sabotsgb
Treason
,
Subversion
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7. (Continued)
1VPIt
of
Cm
Competitive
Civilian
Service
Excepted
Civilian
Service
Military
,
Contraction'
Foreign
Civilian
Foreign
Military
Other
(SWAY)
Total
Sedidon
Terrorism
.-
Personnel
Security
(Specify)
,
_
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8. Use of the polygraph in intelligence or counterintelligence operations: �
R., � '"-
'
1VP�
of
Case
Competitive
Civilian
Service
Excepted
Civilian
Service
Military
Contractors
Foreign
Civilian
Foreign
Military
Other
(Specify)
'
Total
InteNigence
Operation
_
-
Counter-
intelligence
Operation
Total
,
Pretest
Admission or
Confession
Deception Indicated (DI)
No Deception Indicated INN
Post-test
,
Inconclusive
Not
Completed
Information
Developed
Requiring
Additional
Inveetigadon
Di
Confirmed
DI
Unconfirmed
_
NDI
Confirmed
NDI
Unconfirmed
Admission or
Confession
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9. National Security Agency reporting format:
Screening Polygraph Examination
Applicants for Excepted Service Employment
General Service Administradon Employees
Employees of Contractor* and Consultants
Mens
Federal Protective Service Police Applicants
Jo Special Projects
Other: ISpecifyl
Subtotal
Sensitive Access Examinations
Excepted Service Position Occupants
Military Assignees
Employees of Contractors and Consultants
Special holism
Other: (Specify)
Investigative Examinations
Personnel Security
Counterintelligence
Subtotal
Subtotal
Totals
Substantive No Substantive
Cases information information
Conducted Provided Provided
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c("1-',4;''';P"frilitgr ;
9. (Continued)
Status of Polygraph examiners:
a. Number of certified examiners at the beginning
of the reporting period.
b. Number of certificates suspended
(Failure to meet standards and criteria).
,4)
C. New certifications
d. Certifications renewed
a. 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
Substantive
Information
Provided
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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:
I. 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.
B-1
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