12 FAM 250
MISCELLANEOUS INVESTIGATIVE RESPONSIBILITIES
(CT:DS-262; 09-01-2016)
(Office of Origin: DS/DO/ICI)
12 FAM 251 POLYGRAPH POLICY
(CT:DS-262; 09-01-2016)
This policy controls the use of the polygraph to examine
Department employees (including: GS, FS, PSC,
LNA, and LES). The use of the polygraph to examine employees of contractors or "non-employees (i.e.,
applicants, prospective employees, or other-agency employees) is limited in
scope and also defined in this policy. This policy does not cover the use of
the polygraph to examine all other individuals not mentioned in this subchapter.
12 FAM 251.1 Definitions
(CT:DS-262; 09-01-2016)
a. Counterintelligence:
Information gathered and activities conducted to protect against espionage and
other intelligence activities, sabotage, or assassinations conducted by, or on
behalf of, foreign governments or elements thereof, foreign organizations, or
foreign persons, or international terrorist activities.
b. Polygraph examination:
Questioning and other processing of an examinee before the actual use of the
polygraph instrument; use of the polygraph instrument with respect to such
examinee; and any questioning or other processing involving the examinee after
use of the polygraph instrument. Specifically, examinations consist of three
phases:
(1) Pretest: The pretest
phase includes the examiner:
(a) Introducing the
process; advising the examinee that he or she may refuse to take the polygraph test, may ask to stop it at any time, and
may refuse to answer individual questions;
and documenting that the examinee has consented to take the examination by
completing 12 FAM Exhibit
251.1; and
(b) Informing the examinee
of the nature and characteristics of the polygraph instrument and
examination.
(2) In-test: The actual
administering of the examination and analysis of the charts; and
(3) Post-test: The interview of the examinee if the charts are
analyzed as deceptive or inconclusive.
c. Polygraph examination results: A
synopsis of the polygraph examination that normally includes a brief
identification of the examinee and
background information, the relevant questions asked, the examinee's answers, the examiner's opinions
concerning the indication of truthfulness or deception, and any admissions made
by the examinee during the examination.
d. 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.
e. Polygraph instrument: A
diagnostic instrument capable of measuring and recording, at a minimum, respiration, electro-dermal, blood
volume, and heart rate responses to verbal and/or visual stimuli.
f. Relevant question: A
polygraph question pertaining directly to the matter under investigation for
which the examinee is being tested.
g. Technical question: Refers
to any of the following:
(1) Comparison
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;
(2) 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 apparent
emotional impact on the examinee; and
(3) Symptomatic question: A
polygraph question designed to indicate the possible influence of an outside
issue that could be of concern to the examinee.
h. Unfavorable administrative action:
Includes a "Disciplinary or Adverse
Action" for Civil Service and "Disciplinary Action" for
Foreign Service as defined in 3 FAM 4500 and 3
FAM 4300, respectively, and/or denial,
revocation, or reduction of security clearance, but does not include actions
taken pursuant to 12 FAM 251.4-3(B) paragraph 1 and 12 FAM 251.4-4.
12 FAM 251.2 Authorities
12 FAM 251.2-1 Legal Authority
(CT:DS-262; 09-01-2016)
The use of polygraph examinations set forth in this subchapter is in furtherance of the
responsibilities of the Executive branch under the Constitution and laws of the
United States, including those contained in Title 5 of the U.S. Code, the
Foreign Service Act of 1980 (22 U.S.C. 3901 et
seq.), enabling legislation of the foreign affairs agencies,
implementing Executive Orders, regulations and directives, and the Employee
Polygraph Protection Act (29 U.S.C. 2001 et seq.).
12 FAM 251.2-2 Program
Administrative Authority
(CT:DS-262; 09-01-2016)
The Office of Investigations
and Counterintelligence (DS/DO/ICI) Counterterrorism Vetting Unit (CCV)
administers the polygraph program and is responsible for hiring polygraph
examiners, responding to requests for polygraph support, deploying polygraph
examiners, and maintaining relevant records. All requests to conduct a
polygraph examination must be submitted to, and coordinated through CCV.
12 FAM 251.3 Application Scope:
Contractors and other Non-Employees
12 FAM 251.3-1 Contractors
(CT:DS-262; 09-01-2016)
Contractors and employees of contractors are covered by
the same policy and in the same manner as
Department employees, to the extent consistent with the Employee Polygraph
Protection Act (29 U.S.C. 2001 et seq.). That Act generally prohibits private
employers from requesting, directly or indirectly, that their employees submit
to polygraph examinations. Although the Act is, by its terms, not applicable
to the U.S. Government, the Department should avoid placing contract employees and their employers
at an unfair disadvantage. Therefore, requests to ask a Department contract
employee to take a polygraph examination generally will not be approved unless, in addition to
meeting the requirements of these provisions,
the request concerns a contract employee
who has access to Top Secret information (29 U.S.C. 2006(b)(2)(B)) or comes
under another exemption of the Employee Polygraph
Protection Act.
12 FAM 251.3-2 Non-Employees
(CT:DS-262; 09-01-2016)
The same provisions of this
FAM pertaining to employees also pertain to non-employees. The Department must
be involved in an investigation prior to offering non-employees polygraph
testing (12 FAM
251.4-3(A) through 12 FAM 251.4-3(D)).
12 FAM 251.4 Authorized Uses of
Polygraph Examinations
12 FAM 251.4-1 General
(CT:DS-262; 09-01-2016)
a. The Department may not
ask an individual if he or she is willing to take a polygraph examination, or
administer a polygraph examination on behalf of the Department, except in
accordance with these provisions.
b. A DSS special agent or
a Department of State Office of Inspector
General (OIG) investigator may ask a Department employee if he or she is
willing to submit to a polygraph
examination on a voluntary basis and may ask only for those purposes set forth in either 12 FAM 251.4-3 or 12 FAM 251.4-4.
c. A polygraph
examination of the personnel listed in 12 FAM 251 and 12 FAM 251.3 may be administered only if specifically
authorized by:
(1) The Secretary;
(2) The Deputy
Secretary;
(3) The Under Secretary
for Management (M);
(4) The Under Secretary
for Political Affairs (P);
(5) The Inspector
General (IG) for examinations under 12 FAM 251.4-3; or
(6) A person the Secretary
has designated in writing.
d. The authority to
designate an approving official may not be delegated.
e. In overseas cases,
once the proposed examinee agrees to undergo a polygraph examination, the chief
of mission (COM) must first approve and then request the appropriate Department
authorizations, as indicated above.
f. In certain
circumstances, COM approval may not be necessary if authorization has been
obtained from the Secretary, either of the Deputy Secretaries, or the Under
Secretary for Management (M) to administer the polygraph examination.
12 FAM 251.4-2 Supplementary
Nature of Polygraph Examinations
(CT:DS-262; 09-01-2016)
Except for examinations administered pursuant to 12 FAM
251.4-3(B) paragraph 1 and 12 FAM 251.4-4,
individuals must not be asked if they are
willing to take a polygraph examination until such time as all other reasonable
investigative steps have been taken. Polygraph examinations are considered supplementary to, not a
substitute for, other forms of investigation that may be required under the
circumstances.
12 FAM 251.4-3 Investigative
Cases
12 FAM 251.4-3(A) Criminal
Investigations
(CT:DS-262; 09-01-2016)
A polygraph examination may be authorized in a criminal
investigation when the following apply:
a. The crime involves an offense punishable under
Federal law by death or confinement for a term of one year or more;
b. Investigation by other means has been as thorough as
circumstances permit;
c. Development of information by means of a polygraph
examination is essential to the forward movement of
the investigation;
d. The individual being
considered for examination has been interviewed, and there is reasonable cause
to believe the individual has knowledge
of, or was involved in, the matter under investigation;
e. The case under investigation is sufficiently
important to merit the examination; and
f. The scope of the polygraph examination is limited
to the activities under investigation.
12 FAM 251.4-3(B) Personnel
Security Investigations
(CT:DS-262; 09-01-2016)
A polygraph examination may be authorized in connection
with a personnel security investigation as follows:
(1) Access to
specifically designated information in
Intelligence Community (IC) and Department-designated special access
programs. Polygraph examinations are authorized as an option to assist in
determining the initial eligibility (and periodically thereafter on a random
basis to assist in determining continued eligibility) of Department employees
and contractors who volunteer for assignment to positions in programs carried
out jointly with employees of the IC.
Such positions must require access to specifically designated classified
information protected within special access programs, which are established
pursuant to E.O. 13526, and which the Secretary, without delegation,
specifically designates under this subparagraph for the use of polygraph
examinations. Such specific classified
information designation must be
based upon the request of the Assistant Secretary for Diplomatic Security, who must certify in writing, or obtain the
certification of an appropriate official of the IC,
that unauthorized disclosure of the information in question could
reasonably be expected to:
(a) Jeopardize
human life or safety;
(b) Result in the
loss of unique or uniquely productive intelligence sources or methods vital to
U.S. security; or
(c) Compromise
technologies, plans, or procedures vital to the strategic advantage of the
United States.
(2) The scope of
any polygraph examination administered under this subparagraph must be limited to the counterintelligence
topics prescribed in 12 FAM Exhibit
251.4-3(C) and must be restricted to
the activities under investigation; and
(3) Resolution of
certain personnel security investigations: The use of the polygraph may be
authorized for Department employees and contractor personnel when credible
derogatory information is developed in connection with a personnel security
investigation for a Top Secret clearance of a Department employee, or a
contractor, causes substantial doubt about whether access or continuation of
access to classified information is clearly consistent with the interests of
national security, and all other reasonable efforts
to resolve the adverse information have been taken.
12 FAM 251.4-3(C) Counterintelligence
Investigations
(CT:DS-262; 09-01-2016)
a. A polygraph examination may be authorized for use in
connection with the investigation of an unauthorized disclosure of classified
information, or other counterintelligence investigation of Department employees
and contractor personnel, provided the following apply:
(1) Investigation by other means has been as thorough
as circumstances permit;
(2) Development of information by means of a polygraph
examination is essential to the forward movement of the investigation; and
(3) The individual being considered for examination
has been interviewed, and there is reasonable cause to believe the individual has knowledge of, or was involved in,
the matter under investigation.
b. The scope of a polygraph examination under this
subparagraph must be restricted to the
activities under investigation and relevant counterintelligence topics set
forth in 12
FAM Exhibit 251.4-3(C) of this regulation.
12 FAM 251.4-3(D) Exculpation
(CT:DS-262; 09-01-2016)
a. A polygraph
examination may be authorized for the purpose of exculpation. The request for such examination may be initiated by an
applicant, intern, employee, or contractor of a U.S. Government agency, who is
the subject of a criminal, personnel security, or counterintelligence
investigation. A DSS special agent or Department OIG investigator may also
advise the prospective examinee that he or she has the option of undergoing an exculpatory polygraph
examination, but may not obligate the Department to abide by the results of the
examination.
b. The scope of the polygraph examination under this
subparagraph is restricted to the
activities under investigation.
12 FAM 251.4-4 Voluntary Details
(CT:DS-262; 09-01-2016)
a. Polygraph examinations
are required for Department employees and contractors to assist in determining
their eligibility for initial or continued voluntary detail in positions within
the Intelligence Community (IC), which require successful completion of a
polygraph examination.
b. A polygraph
examination may be authorized for Department employees to assist in determining
their eligibility for initial or continued voluntary detail in positions at any
Federal agency not specified in 12 FAM 251.4-4 paragraph (a) for which the relevant agency
specifically requires successful completion of a polygraph examination.
Requests for such polygraphs will be considered by the Under Secretary for
Management (M) on a case-by-case basis and will be administered only after
obtaining the approval of the Under Secretary.
c. The scope of any
polygraph examination administered for voluntary details under this section is
limited to the counterintelligence topics prescribed in 12 FAM Exhibit
251.4-3(C) of this policy.
d. Individuals listed
below who are requested to take a polygraph examination but refuse to do so must not be selected for or
assigned to the position for which they are being considered. Such refusal
must be without adverse consequences to
their previous position or status:
(1) Applicants
for employment or for voluntary detail to
positions requiring specifically designated information access in special access programs (SAP) designated by the Secretary under 12 FAM
251.4-3(B); and
(2) Applicants for voluntary detail to certain
positions in the IC or other Federal agency that
require the applicant to successfully complete a polygraph examination as
provided under 12 FAM 251.4-3(B).
e. Individuals who
are requested but refuse to take a
polygraph examination in connection with determining their continued
eligibility for access to specifically designated information in designated SAPs (12 FAM 251.4-3(B))
paragraph a, or continued voluntary detail to certain positions in the IC or other Federal agency requiring successful
completion of a counterintelligence polygraph examination, (12 FAM 251.4-4)
(including incumbents of positions subsequently determined to require polygraph
examination as a condition of access, voluntary assignment, or voluntary
detail), may be denied access or assignment or detail, provided the Department ensures the individual is retained in a position
of equal grade and pay that does not require a polygraph
examination.
12 FAM 251.4-5 Limitations
(CT:DS-262; 09-01-2016)
a. Any final administrative determination rendered in
cases in which a polygraph examination is conducted
will not be based solely on the results of an analysis of the polygraph charts,
except as provided in 12 FAM 251.5-4 or where the results are exculpatory. Responses to technical questions will have no
probative value.
b. The results of a polygraph examination and record of
results will be considered privileged
information and must not become part of an individual's personnel file. Such
results must be disseminated only in
accordance with 12 FAM 251.6-2
of this regulation. Results of an analysis so disseminated, other than results
exculpating the individual, may be used in subsequent investigations only as an
investigative lead.
c. No unfavorable administrative action may be based solely upon an individual's refusal to undergo a
polygraph, but actions may be taken pursuant to 12 FAM 251.4-4
paragraphs (d)-(e). Refusal to undergo a polygraph examination under these
provisions must in no manner affect other
personnel actions, including the individual's official
evaluation report, or eligibility for promotions, awards, or positions that
have not been determined to require a polygraph examination as a condition of
employment, assignment, detail, or access.
d. Information concerning an individual's refusal to undergo a polygraph
examination must, in all cases, be given
the full privacy protection provided by law and these provisions. Specifically, information
concerning an individual's refusal must not:
(1) Be recorded in the individual's
personnel file, but may be retained in the
polygraph unit's archives. Polygraph declinations (refusal to undergo a
polygraph examination) may be referenced in investigative reports produced by
DS; and
(2) Be communicated to an individual's supervisor, and in the case of a
contractor employee, his or her employer,
unless such action is necessary to support an action to be taken under the
provisions of 12
FAM 251.4-4 paragraphs (d)-(e). In criminal cases, the fact of refusal to
undergo a polygraph examination must not be communicated to persons other than
those directly involved in the administration, control, or conduct of the
investigation. Nothing in 12 FAM 251.4-5
paragraph (d) may be read to preclude the preparation of the report required in
12 FAM
251.5-6.
12 FAM 251.5 CONDUCTING POLYGRAPH
EXAMINATIONS
(CT:DS-262; 09-01-2016)
Only certified polygraph examiners employed by the
Department, or certified to administer polygraph examinations for other U.S.
Government offices, will conduct polygraph
examinations. Examiners must meet,
at a minimum, the requirements established by the Department of Defense (DoD)
in Chapter 3 of DoD regulation 5210.48 for the selection, training, and
supervision of polygraph examiners.
12 FAM 251.5-1 Examiner
Representation
(CT:DS-262; 09-01-2016)
Polygraph examiners, under
no circumstances, will allow themselves to be identified as other than
investigative personnel or take any measures that might create a clinical
appearance. The polygraph instrument will not be utilized as a psychological
prop in conducting interrogations.
12 FAM 251.5-2 Procedures
(CT:DS-262; 09-01-2016)
Polygraph examinations administered by Department
polygraph examiners or pursuant to Department authorization must be conducted only as prescribed by the
policy in this subchapter.
12 FAM 251.5-2(A) Prior to
Examination
(CT:DS-262; 09-01-2016)
The following series of
actions take place before polygraph examinations are conducted under 12 FAM
251.4-3(A) through 12 FAM 251.4-3(D) or 12 FAM 251.4-4:
(1) When an
individual is asked by a DSS special agent or OIG
investigator whether he or she is willing to take a polygraph
examination, he or she must be advised of
the consequences, or lack thereof, of his or her refusal to be so examined;
(2) The
individual must also be advised of the
scope such examination would assume and how to obtain a copy of this polygraph policy;
(3) If the individual
indicates that he or she is willing to submit to a polygraph examination, DS
must obtain high-level authorization to administer the polygraph examination,
as set forth in 12 FAM 251.4-1; and
(4) The examinee must
receive timely notification of the date, time, and place of the
examination, as well as his or her right to obtain and consult with legal
counsel. The examinees legal counsel may
be available for consultation during the polygraph examination.
12 FAM 251.5-2(B) Examinee
Fitness
(CT:DS-262; 09-01-2016)
a. In all cases,
the examiner must decline to conduct an examination or must discontinue testing
if he or she doubts the examinee is physically or mentally fit to be tested.
In these instances, the examiner will discontinue
the examination or postpone it until
appropriate medical, psychological, or technical authorities have declared the
individual fit for testing.
b. Should the
examiner or examinee have any doubt as to the physical or mental fitness of the
examinee, the matter will be referred to medical authorities. An examiner will
not attempt to make a psychological or physical diagnosis of an examinee.
c. Polygraph examinations must not be conducted, if in the opinion of the
polygraph examiner, any of the following conditions inhibit the examinee's ability to respond. The provisions
of 12 FAM
251.5-2(B) will be followed if any of
the following are apparent:
(1) The examinee
is mentally or physically fatigued;
(2) The examinee
is unduly emotionally upset, intoxicated, or rendered unfit to undergo an
examination because of excessive use of sedatives, stimulants, or
tranquilizers;
(3) The examinee
is known to be addicted to narcotics;
(4) The examinee
is known to have a mental disorder;
(5) 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; or
(6) The examinee has
been subjected to prolonged interrogation immediately before the polygraph
examination.
12 FAM 251.5-2(C) Pretest
(CT:DS-262; 09-01-2016)
Before administering a polygraph examination, the
polygraph examiner will:
(1) Obtain assurance from the individual to be examined of his or her
voluntary consent to the examination. The polygraph
examination may begin only after the proposed examinee signs the consent form
in 12
FAM Exhibit 251.1. The consent form must be included and maintained in the
polygraph examination technical report; and
(2) Interview the individual
to be examined. During this interview, at a minimum, the examinee must be informed of the following:
(a) 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;
(b) If the
polygraph examination area contains a one-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;
(c) 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;
(d) He or she may refuse to answer a question or may
discontinue an answer at any time. The examinee also must be advised that he or she may interrupt or
terminate the examination at his or her own volition, or upon advice of
counsel, during any phase of the examination; and
(e) The examinee may
request his or her union representative to be present during the examination.
No union representative can serve in both capacities as legal counsel and union
representative. The union representative must declare at the outset of the
polygraph examination his or her stated capacity to preclude conflict of
interest or possible obstruction of justice matters from arising.
12 FAM 251.5-2(D) Questions
Asked During Polygraph Examinations
(CT:DS-262; 09-01-2016)
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 particular investigation. Questions
probing an examinee's thoughts, beliefs,
or lifestyle 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 12 FAM 251.4-1, 12 FAM 251.4-3, and 12 FAM 251.4-4,
technical questions utilized in such examinations must be constructed to avoid
embarrassing, degrading, or unnecessarily intrusive questions. Additionally,
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.
d. Any
modification or change to the standard question topics of 12 FAM Exhibit
251.4-3(C) must be approved by the
Secretary before implementation. 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 the substance of the
question topic remains unchanged.
12 FAM 251.5-3 Indication of
Deception
(CT:DS-262; 09-01-2016)
a. When the examiner's interpretation
of polygraph charts in polygraph examinations indicates
deception, an in-depth interview of the examinee
will be undertaken by the examiner and/or investigator immediately
following the running of the chart, to resolve any indication of deception.
b. If the
indication of deception is not resolved
through such means, the examinee will be
so advised. If after reviewing the polygraph examination results, they raise
significant questions of deception, additional investigation may be undertaken
and the examinee must be given an
opportunity to undergo additional examination using the same or a different
examiner.
c. If the examination
renders inconclusive results, additional polygraph testing conducted by CCV may
occur. If, after completing additional polygraph testing, the issue remains
unresolved, the examination will undergo a technical quality assurance (QA)
review. If the QA affirms the examiner's Inconclusive call, the examination
will be deemed No opinion. If the QA conflicts with the examiner's
Inconclusive call, remedial action, including collecting additional polygraph
charts, is necessary.
d. When no deception is
detected on the part of the examinee, the examination will undergo a QA
review. Upon completion of the QA review, CCV will notify the examinee and the
examinee's security officer of the final results. Additional polygraph testing
will occur if the QAs review conflicts with the examiner's No deception
call.
12 FAM 251.5-4 Steps to Resolve
Additional Questions
(CT:DS-262; 09-01-2016)
In the case of polygraph examinations conducted under the
provisions of 12 FAM
251.4-3(B), if such additional examination is not sufficient to resolve
significant questions relevant to the examinees clearance
or access status, a comprehensive investigation of the examinee must be undertaken, utilizing the
results of the polygraph examination as an investigative lead. If such
investigation develops no derogatory information upon which an unfavorable
administrative action to the examinee may
be independently based, no Department official may take such action unless
approved by the Secretary 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:
(1) The Secretary must notify
the examinee in writing that although the
investigation that 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 examinee has been made based
upon a finding by the Secretary that access under the
circumstances poses an unacceptable risk to national security. After receiving
such notice, the examinee may request the
Secretary to reconsider his or her determination if he or she believes that such
reconsideration is warranted;
(2) Copies of the determination as well as the
Secretary's notification to the examinee must be
retained only by the Secretary's office and Bureau of Diplomatic Security(DS).
This provision does not preclude use of such records in the event of litigation
or to inform individuals of the examinee's clearance level;
(3) No notification other than provided for in 12 FAM 251.5-4
paragraphs (1)-(2) must be made; and
(4) No unfavorable action will be taken by the
Department solely on the basis of a polygraph examination chart that indicates deception,
except as provided in 12 FAM 251.5-3.
12 FAM 251.5-5 Review
Determination for Second Polygraph Examination
(CT:DS-262; 09-01-2016)
a. A certified
polygraph supervisory official employed by CCV
will review the record of polygraph examination in conjunction with
other pertinent investigative information to determine whether it is
appropriate to request the examinee undergo a second polygraph examination.
Such a request may be made by the investigating
agent or authority when considered appropriate, regardless of whether
the examinee has made significant
admissions in connection with the investigation, and regardless of whether the
results of the examination indicate unusual physiological responses.
b. The polygraph examiner or investigating agent/authority
will make the determination to further investigate
cases that have included a
polygraph examination.
12 FAM 251.5-6 Quarterly
Reporting of Polygraph Examinations
(CT:DS-262; 09-01-2016)
DS/DO/ICI will provide
quarterly reports on the administration of polygraph examinations under this
regulation to the Principal Deputy Assistant Secretary for Diplomatic Security
and Director of the Diplomatic Security Service (DS/DSS). The reports must
include:
(1) The types of
examinations;
(2) The number of
examinations conducted;
(3) The pertinent
locations of examinations;
(4) A statistical
tabulation of examination results; and
(5) A summary of the
significant cases developed from the examinations.
12 FAM 251.6 Records Administration
12 FAM 251.6-1 Storage and
Retention
(CT:DS-262; 09-01-2016)
a. DS/DO/ICI CCV will
file polygraph examination technical reports with other materials related to the investigation in which the
examination was authorized and:
(1) Retain in
accordance with records retention procedures established by the Archivist of
the United States; and
(2) Remove before
granting persons outside the examining agency access to the related materials, except in response to a Freedom of Information Act
(FOIA) request, in which case all materials in investigative files, including
polygraph examination technical reports, will be reviewed to determine whether
or not the information is exempt from disclosure under FOIA.
b. File polygraph
examination results with other materials relating to the investigation in which
the examination was authorized:
(1) Destroy all non-record
copies of polygraph examination results within three months from the date of
completion of the investigation in which the polygraph examination was
authorized; and
(2) Retain record
copies in accordance with records retention procedure established by the
Archivist of the United States.
12 FAM 251.6-2 Dissemination
(CT:DS-262; 09-01-2016)
a. Dissemination of polygraph
examination technical reports outside the Department is prohibited, except as required by law or otherwise
authorized by these provisions. Communication of these reports to any person
is prohibited, in accordance with the Privacy Act (5 U.S.C. 552a), except as otherwise provided in these regulations.
b. Results of polygraph examinations may be made
available to the following:
(1) Within the
Department, officials responsible for personnel security, counterintelligence,
and law enforcement;
(2) Outside agencies when the examination was conducted by
the Department at their request;
(3) The examinee
or his or her legal counsel, upon request, subject to the provisions in 12 FAM
500 for safeguarding of classified information to the extent applicable; and
(4) Applicants for
detail under 12 FAM 251.4-4, to the Department security officer responsible for
the detail.
c. DS/DO/ICI CCV will
clearly mark all released reports to be destroyed 60 days after receipt, with
the exception of those released to the Archivist of the United States.
12 FAM 251.7 Polygraph Examinations
For Locally Employed Staff (LE Staff)
(CT:DS-262; 09-01-2016)
a. The Under Secretary
for Management (M), and in some cases the Secretary, has approved the use of
polygraph examinations during the hiring and re-vetting process for Locally
Employed (LE) Staff occupying certain positions at specific posts, when
traditional investigative procedures cannot be accomplished due to life-safety
concerns to U.S. citizens and LE Staff.
b. Posts without the
current approval of either M or the Secretary, but with similar life-safety
concerns, may request approval to conduct pre-employment and re-vetting
polygraph examinations for LE Staff occupying specifically identified
positions, as defined in 3 FAM 7120, such as, but not limited to, positions in the front office,
regional security office (RSO), Protocol Office, Political Section, and the
General Services Operations (GSO) section.
c. Posts seeking to
conduct polygraph examinations as part of their LE Staff hiring and re-vetting
process must obtain the following approvals prior to providing a request cable
to DS/DO/ICI CCV:
(1) COM;
(2) Emergency Action
Committee (EAC), and/or
(3) Counterintelligence
Working Group (CIWG).
d. The regional security
officer (RSO) will ensure the posts Human
Resources Office and all relevant hiring agencies are aware of the
polygraph examination requirement. Post will coordinate with the Office of the Legal Advisor (L) to ensure that the
implementation and use of a polygraph examination
during the hiring and re-vetting process is consistent with host country law.
12 FAM 251.7-1 U.S. Citizens
Applying For Locally Recruited Positions
(CT:DS-262; 09-01-2016)
In 2005, the Department
approved conducting polygraph examinations of U.S. legal residents who apply
for certain locally recruited positions. Any U.S. citizen, dual-national
citizen, or U.S. lawful permanent resident (green card holder) who applies for
a locally recruited position at a post where polygraph examinations are
authorized will comply with 12 FAM 251.7.
12 FAM 251.7-2 Third Country
Nationals
(CT:DS-262; 09-01-2016)
Third country nationals who
apply for a locally recruited position at
a post where polygraph examinations are
authorized are subject to 12 FAM 251.7.
12 FAM 252 THROUGH 259 UNASSIGNED
12 FAM Exhibit 251.1
Form: Consent To Interview With Polygraph
(CT:DS-262; 09-01-2016)
12 FAM Exhibit 251.4-3(C)
Counterintelligence Scope
(TL:DS-39; 8-15-94)
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.
5. Knowledge of anyone who has given or sold
classified materials to unauthorized persons.
6. Any unauthorized contact with representatives of a
foreign government.