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 exculpatoryResponses 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 examinee’s 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 QA’s 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 examinee’s 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 post’s Human Resources Office and all relevant hiring agencies are aware of the polygraph examination requirementPost 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)

CONSENT TO INTERVIEW WITH POLYGRAPH Form

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.