~ ASD(M)

Transcription

1 ". :! 111 July 13, 1965 NUMBER 5210, ,, ASD(M) Department of Defense Drectve SUBJECT The Conduct of Polygraph Examnatons and the Selecton, Tranng and Supervson of DoD Polygraph Examners References: {a) (b) (c) (d) {e) PURPOSE Deputy Secretary of Defense Multple Addressee Memorandum concernng polygraph examna.. tons dated Aprl 2 7 a 1964, (hereby canceled). DoD Drectve , 11 DoD Cvlan Applcant and Employee Securty Program, 11 August 12, DoD Drectve , "Polcy oh nvestgaton and Clearance 0 DoD Personnel or Access to Classfed Defense nformatonj February 15, DoD Drectve , "Mltary Personnel Securty Program, 11 June 19, 1956 DoD Drectve , "ndustral Personnel Access Authorzaton Revew Regulaton, 11 July 28, 1960,. Ths Drectve (a) sets :forth the condtons under whch polygraph examnatons may be conducted wthn the Department of Defense, and {b) contans requrements for the selecton, tranng, and supervson 0 polygraph examners. CANCELLATON Reference (a) s hereby superseded and canceled. APPLCABLTY The provsons of ths Drectve apply to all components 0 the Department o: Defense. ;;o "O a 0. C [g_ -a :3... c: \!,.:,..5.!! u,. s;! :, s (0 u, a 51 Z' - 0 ::,! - / ' DECLASSFED Authorty/\JAD'13 b L.j.3

2 V. GENERAL POLCY t s the polcy of the Department of Defense that crmnal, and counterntellgence nvestgatons ncludng personnel securty nvestgatons, be orented to depend upon evdence secured through skllful, nvestgaton and nterrogaton rather than upon the possblty of self-dsclosure nduced by a polygraph examnaton. A. B,,.:..:.,"' l",,,,, t. '' ' ' The probng of a person's thoughts or belefs, and questons about conduct whch have no securty mplcaton, or are not drec.tly relevant to an nvestgaton, are prohbted. Examples of subject areas whch should not be probed nclude the followng: relgous belefs and afflatons, belefs and opnons regardng racal matters, poltcal belefs and afflatons of a nonsubversve nature, and opnons regardng the consttutonalty of legslatve polces, No polygraph examnaton shall be gven to personnel of the Department of Defense, or to personnel outsde the Department of Defense requrng access to classfed. <;l,efense nfrmaton, except as authorzed heren. v. c. Advel;'se acton shall not be taken aganst a person for refusal to take a polygraph examnaton or,. for unwllngness fo volunteer to take a polygraph examnaton, Moreover, nformaton concernng a person's refusal ether to submt to a polygraph examnaton or to volun"'. teer f.or a polygraph examnaton shall not be recorded n hs personnel fle and shall be gven the same protecton afforded by subsecton V. E., below. The contnuaton of an nvestgaton s, however, rot' consdered to be. an adverse acton and s :rot prohbtedby tls secto'n, CRM1NAL NVESTGATONS -,,{ ,. -,,,... t 1 f... l. J.. l {...,.f, f.! n a crmnal nvestgaton no polygraph examnaton shall be conducted unless the followng requrements are met: A. A determnaton shall be made {to be confrmed n wrtng) n accordance wth subsecton V. B, below, that:,.....,,.... ' ' 2 V,,!. \ '.,, DECLASSFED Authorty\JA/D.. 13 (; Lk3

3 7...,... r. :..., ,. --"., ''"'"'"..,,;J;fl!;t,;,1(: l','f 'l',l,c""""'"- ""!""'' ',...,-....,_,.,_...,.,..,...,-..,,,.,..,...,_,,_...,..,..,_...,...,.. :.;,,.,.,; -.,...,,.,,,.. Jul , \, 1. The nvestgaton by other means has been as thorough as crcumstances permt, the subject has been ntervewed, and consstent wth the crcumsta.nces of the case, th deve'lopment 0 addtonal nformaton by means of a polygraph examnaton s essental and tmely for the further conduct of tl?,e nvestgaton; 2. The alleged crme s an offense punshable under the Unted States Code or the Unform Code of Mltary Justce by death or confnement for a term of one year or more; 3. There s reasonable cause to beleve that the person to be examned has knowledge of, or was nvolved n, the matter under nvestgaton. B. The person to be examned has been advsed: 1.. That he has the opportunty to obtan and consult wth counsel of hs own choce. pror to the poly.. graph examnaton. 2. Of hs rghts, n accordance wth the provsons of ether {a) the self.. ncrmnaton clause of the Ffth Amendment to the Consttuton; or (b) Artcle 31 of the Unform Code of Mltary Justce, whchever s approprate. 3. That the polygraph examnaton wll be conducted only wth hs pror wrtten consent and that no adverse acton wll be taken aganst hm because 0 a xefusal to consent to take a polygraph examnaton. 4. Whether the area n whch the polygraph examna- ton s to be conducted contans a two.. way mrror or other devce whereby the examnee can be observed wthout hs knowledge; and whether the e,mn,naton wll be montored n whole or n part by any means. 0 Q. 25 l1. 0 a: ' 5 (0 (f) z; l er ::, )> o J. 1 J J l 1. : l. l!! ' ' ; t J : \ : 1:, (_/ 3 V. Ao 1 -,,.,,..,.,s,.;,,.-,...,.,,o,,.,. -.. ',,,.. V --,- -,-,.,.,,,.,.,,.,, "' ' c,, , ,,....,, """ DECLASSFED Authorty\/AJD"13 {; Lk 3

4 / V. COUNTERNTELLGENCE NVESTGATONS; NTELLGENCE OPERA TO NS; CRYPTOLOGC NFORMATON A, Cou1;_terntellgence nvestgatons,. Polygraph examnatons may be conducted as a part of a counterntellgence nvestgaton of Department of Defense personnel or as a part of a personnel securty nvestgaton of Department of Defense personnel or of personnel outsde the Department of Defense requrng access to classfed defense nformaton, provded the followng requrements are met:. 'rhe dete rrnnaton has been made ( to be confrmed n wrtng) n accordance wth subsecton V. B., below, that: a. The nvestgaton by other means has been as thorough as crcumstances permt, the subject, has been ntervewed, and further productve nvestgatve effort s not lkely wthout a poly... graph examnaton; and, '. :1 t! b, The purpose of the nvestgaton s to determne whether (1) to grant, deny, or wthdraw a secu... rty clearance hgher than Confdental; or, {2) n accordance wth references (b) and {d); ntal or contnued employment, or membershp n the Al'med Forces, s clearly consstent wth the nterests of the natonal securty; and c. The 'nformaton furnshed by the ndvdual cannot be checked through the use of other nvestgatve methods. 2. The person to be examned has been advsed_: a.. That he has the opportunty to obtan and consult wth counsel of hs own choce pror to the polygraph examnaton; b. Of hs rghts, n-accordance wth the provsons of ether { 1) the "sel.. ncrmnaton clause of the Ffth Amendment to the Consttuton; or {2) Artcle 31 of the Unform Code of Mltary Justce, whchever s approprate. ' '.,., 4,, DECLASSFED Authortyj\/AD] 3 6L+3

5 ,..6 t r,w 77TT Jul 13, ! t c, That the polygraph examnaton wll be con.. ducted only wth hs pror wrtten consent and that no adverse acton wll be taken aganst hm because of a refusal to c9nsent to take a polygraph examnaton. - \ ' d. Whether the area n whch the polygraph examnaton s to be conducted contans a two.. way mrror or other devce whereby the examnee can be observed wthout hs knowledge; and whether the examnaton wll be montored n whole or n part by any means. B. ntellgence Operatons. A polygraph examnaton may be authorzed n the case of an ndvdual who s a prncpal n an ntellgence actvty wth the specfc approval of, or by regulaton ssued by the Head of the DoD Component conductng the operaton, where nformaton cannot be checked through other nvestgatve methods; n such cases, the provsons of subsecton V, A. 1 above, are-not applcable. C. Cryptologc nformaton. Polygraph examnatons may be authorzed as an ad n determnng the elgblty of persons :for employment or access to senstve cryptologc nformaton by the Natonal Securty Agency pursuant to regulatons ssued by the Drector, NSA, wth the pror approval of the Secretary of Defense, and the provsons of subsecton V. A., above., are not applcable. V. CONDUCT OF EXAMNATONS,,,,: \ : /,.,.., \ /)!.'., -- ' A. Nothng n ths Drectve shall preclude the conduct of a polygraph examnaton n conjuncton wth a crmnal, countern.tellgence, or personnel securty nvestgaton, when the ndvdual under nvestgaton or assocated wth an nvestgaton voluntarly seeks a polygraph exarnnaton as a means of exculpaton. All such voluntary requests shall be revewed by an approprate supervsory offcal to determne the proprety of the request and to as sure complance wth all other requrements of ths Drectve applcable to examnatons. The conduct of such polygraph examnatons also shall be subject to all the requrements of ths Drectve for such examnatons. 5 V. A. z. c. ""'-,,..,-.,..., - -- "...., 'T"", H - -rn -.,, c , :" - DECLASSFED Authorty AJA/ 6'13 b L: 3

6 , / ' B, Determnatons pursuant to subsecton V. A. and para graph V. A, 1., above, shall be made only by offcals n postons selected by the Head of the DoD Component concerned or hs desgnee for ths purpose. A lst of postons so selected shall be mantaned by the DoD component concerned. t s ntended that offcals selected to make determnatons n paragraphs V. A. and V.A. 1., shall have had broad experence n a poston of consderable responsblty, and shall be lmted to the mnmum possble number consstent wth operatonal necessty. C. Heads of DoD components, the Assstant Secretary of Defense (Admnstraton), and the Drector, Offce of ndustral Personnel Access Authorzaton Revew, OASD( M), who receve nvestgatve support ( ncludng the use of polygraph examnatons) from other DoD ele'rnents are authorzed to request that polygraph examnatons be conducted, and n such cases to the extent applcable shall provde t6 the supportng DoD component: 1. n the case o: examnatons conducted n connecton wth crrpnal nvestgatons, the nformaton sped.. fed n subsecton V. A., above. o,! z. n the case o:f the examnatons conducted n con.. necton wth personnel securty nvestgatons, the nformaton specfed n paragraph V. A. 1., above. D. J.nformaton obtaned n the course of a polygraph examnaton shall be strctly controlled.. Polygraph examnaton results may be permanently mantaned only n an approprate nvestgatve fle, at a sngle locaton determned by, and subject to the control of the Assstant Secretary of Defense (Admnstraton) or the Head of the DoD Component concerned, as approprate, or hs desgnee for the purpose, Addtonal copes the1 eo shall be 6 Vl. B. DECLASSFED AuthortyALAJD"7 3 {;;Lk3

7 Jul \; destroyed wthn three months 'after close 0 the nvestgaton whch ncluded the relevant polygraph examnaton. C ""' ( ',,,) 2. Polygraph examnaton results shall be aval able wthn the DoD component conductng the examnaton only to the chef of:tcal thereof, hs mmedate advsors, and offcals express'"'. ly charged wth responsblty for personnel securty, law enforcement, or the admnstraton of crmnal justce, 3. Polygraph examnaton results shall not be made avalable outsde the DoD component conductng the examnaton, except to: a. Offcals 0 the Offce of the Secretary of Defense or another DoD component, correspondng to those enumerated n paragraph 2., above, b. Other Federal offcals, charged wth ntellgence, c. d. securty, or law enforcement responsbltes wth a clea,r need to know; State law enforcement offcals where the results ndcate an alleged volaton of state law, or that a serous crme s lkely to be commtted; Legal counselfor the person examned, upon request therefor {subject to provsons or safe guardng classfed defense nformaton); e. Such other persona as the Head 0 the DoD Component concerned personally may deter... mne, 1 \ \J 7 V. D. z.,. ".,,.,.,,,..,,_,-, ,.,_,.,.,.. "'l-' "'.,,.,,._.,,,,,,,."v', o.- ',_,,,.,...,.,..._,,,,,,.,,,,,.,,.,.,,..,,,,.,, -.,... ', DECLASSFED AuthortyA;AJD"13 {;l}3

8 vrrr. E. Polygraph examnatons wll not be gven to persons who are not n sound physcal or mental condton. Should the ex.amnel' or examnee have any doubt as to the physcal or mental ftness of the examnee, the matter wll be referred to the supervsory offcal for approprate acton. SELECTON, TRANNG, AND SUPERVSON OF DOD POLYGRAPH EXA.MNERS A. Selecton l. No canddate wll be selected for the poston 0 polygraph examner on 01 after September 1, 1965, unless the followng mnmum requrements are met: a. Unted States ctzen; b. At least 25 years of age;. c. Graduate of an accredted college (Baccalaureate degree), plus t9jears as an nvestgator wth a recognzed government agency; or have satsfactorly completed t:_y?:.!. _trap.ng at an accredted college {a mnmum of 60 semester hours, or an aavaced standng as a junor)t o:r the equvalent of two years of college, as defned by the Head of the DoD Component concerned, pl-.j_ye "years 1 nvestgatve experence; d. Successfully screened, on the bass of a 1?,c:1:ck.. ground nvestgaton, as beng a person of hgh mo:ra1 "cla:r"a cter and sound emotonal tempera... ment 0 \ :.. lr.. '!. ' ( '1 : '' t/.. z. ncumbents a. Persons now actng as polygraph examners may contnue n that capacty, provded the head of the nvestgatve agency concerned fnds that they meet all of the followng requrements: 8.0. r..., "1, tlr\.,.,..,.,,, '"' ">!",...,,.,,""'"'...-"""" "..,.,,..,' l' X"' ""'"'\f-1,""l'"""""t'«,,,,.,.,.,.._,,.,,,,.,,...,.,..,.-,-,,., r.,,.,.,,,..,1.,.,,,,..., -,-,,,,.,,1M a.,,...,,..,., -,.,....,...,.,,, -,.,.,.,...,_,,.,.,,...,_,.,.,.-",.,u0,.,,. ""'"" - r, -, ",., -.,., - -,..,.,,,,..,,..,-..,..,.-"'"""'"""'t'-"'.-,._,._...,_-""'<" l"f' r "F'-..,,.-,,..._,.,. DECLASSFED AuthortyAJA/.D ] 3 b q. 3

9 O ', :',- B. Tranng Jul 13, (1) Have the educaton and experence set forth n subparagraph Vl. A. 1. c. above, or eght years of comprehensve vest :;_ gatve experence. {2) Have been found to be of hgh moral character and sound emotonal tempera.. rnent, after completon of a satsfactory sc1 eenng ncludng a background nvest"' gaton ' (3) Have been an authorzed and practcng polygraph examner for at least sx months wthn t}:le past three years, and al' pro.. ' fcent n conductng such examnatons. 1. Tranng programs of polygraph examners shall be determned by the Secretares of the Mltary Departments consstent wth the objectves and requrements of ths Drectve. The Assstant Secretary of Defense (Manpower) wll be kept cur.. rently advsed of the content of such programs. 2. Tranng programs for DoD polygraph examners shall be de sgned to as sure that no per son shall be desgnated as a qualfed DoD polygraph examner wthout havng demonstrated an understandng of the followng: 1? g_ a S' C ::, Q. n>: a 0' Ol - ' :r: 0 5: 5' (0 ' u, a f z, - t 5' ::, )> g. <' m 1 ' t1! ' t l'!, ', a. nvestgatve technques. b. Methods of nterrogaton. c. The basc elements of psychology, normal, abnormal, and crmnal.,. d. Consttutonal and other legal consderatons. f1 /\ \j e. Physology. 9 VLU. A. 2. a. (1) DECLASSFED AuthortyAJAD] 3 bl.1:3

10 f, The functonng of the polygraph ncludng ts usefulness and lmtatons. g, Regulatons of the DoD concernng use of the polygraph, h. Txanng descrbed n subpa'ragraphs c,, d., and e., above, shall be conducted by appropr.. ate professonal medcal and legal personnel. ' ',! 3. Before beng certfed as a qualfed DoD polygraph examner by the head of the nvestgatve organzaton of whch the canddate s a part, each canddate shall serve an apprentceshp under a certfed examner. Such apprentceshp wll be for a perod of not less than sx months followng the basc tranng course, durng whch perod of tme the canddate shall be requred to demonstrate pro.. fcency n the use of the polygraph. 1' 4. Approprate provson wll be made by the Heads of the DoD Components to as sure that polygraph examners obtan sutable refresher tranng. C. 9upervson of Polygraph Examners,, ' ' 1. The conduct of each ndvdual polygraph examnaton shall be carefully supervsed pursuant to regu- latons ssued by the Head of the DoD Component concerned. 2. Each examner shall prepare a wrtten record of each polygraph examnaton conducted, contanng as a mnmum the nformaton shown n lnclosure Approprate supervsory offcals shall revew each record of a polygraph examnaton n the lght of pertnent nvestgatve nformaton. On the bass of such revew, the supervsory offcal shall determne whether t s approprate to request the ndvdual 10 Vlll. B. 2., f, DECLASSFED AuthortYAMJD 7 :3 0, Lk3

11 _,.,_,.71W/'t,lf'!l. \f )ll!1j,44,\ fl"'1""l!4y}... -Nl!af<.¼t,X,l(\11\\0> 'lm..,,...,.,,.,. / Jul 13, to undergo a repeat polygraph examnaton. Such a request should be made when t s consdered desrable by the supervsory offcal, rrespectve of whether the ndvdual examned has made sgnfcant admssons n co11.necton wth the nvestgaton, and rrespec... tve of whether results of the polygraph examna... ton dsclose unusual physologcal responses, The results of repeat polygraph examnatons shall also be revewed by approprate super.. vs ory personnel. ' 4. Determnatons wth respect to further nvest.. gaton of cases wheren a polygraph examnaton has been undertaken wll not be made by the poly.. graph examner but shall be determned by approprate supervsory offcals, n accordance wth regulatons of the DoD component concerned.,, ) l l l. l \ ' l t \.!1 l' lj!1.l1 j1 ".:, JX. \ STUDES OF POLYGRAPH. A,.,The provsons of Sectons V., V,, V., and VD. of ths Drectve shall not be applcable to the conduct of expermental polygraph examnatons of volunteer subjects n the course 0 research performed under the auspces of a research element of a Department of Defense component. The obtanng of specal r:neasure:tnents or other nformaton for research purposes only durng regular polygraph examnatons rnay be authorzed on a case by case bass wth the pror wrtten consent of the Assstant Secretary of Defense (Manpower). The use of DoD polygraph examne1 s s authorzed for research programs, B. The Assstant Secretary of Defense (Manpower) shall be kept fully and currently advsed of all studes regardng the use of the polygraph proposed to be undertaken by any component 0 the Department 0 Defense and shall be provded wth the followng data: J ;, '' (...,,,,,.,.. ',, \ ) 11 V. C. 4. DECLASSFED AuthortyAAD"13 (;,L}3

12 / r. dentty of agency or contractor selected to perform the work; z. Qualfcatons of the agency or contractor; 3, Estmated cost of the work;.' \,_,// :;o' ' a' 3 5' ' c' ::, Q, py ' - ( \1 4, A descrpton of the work and the purpose for under.. takng the work; 5, Date work to be ntated and the date work to be completed. C. The Assstant Secretary of.defense (Manpower) shall collect data to determne the effectveness of the polygraph and ssue such nstructons rega.rdng the use of the polygraph n the conduct of polygraph examnatons, ncludng the qualfcatons of polygraph examners, as may be consdered approprate, x..exceptons ndvdual exceptons to sectons V. and V., above, may be made for cause by the Assstant Secretary of Defense {Admnstraton) or the Bead of the DoD Component concerned. Wrtten notce of such exceptons, ncludng the bass therefor, shall be sent promptly to the Assstant Secretary of Defense (Manpower). Q X. EFFECTVE DATE AND MPLEMENTATON,,. t'!:, l,,,,,, l, ', t 1; /! A, Ths Drectve s effectve mmedately. B. Two (2) copes of proposed mplementng documents shall be forwarded to the ASD(M} wthn sxty (60) days for revew pror to publcaton.! 1! ( \ / 1', \ /! '.! lnclosure... l. Record of Polygraph Examnaton 12. '-4.,., of' Defense X. B. 1 (), (.,; ). ' ; '" 'fl..,. --'-''"' ""''"'"'_,_.,..,...,,.,.,,..w,,..,.,.e,,.,_..,...,,..,.,,.,,.,,,...,..,>l'"'x"' ",;,- DECLASSFED AuthortyJ\/A/D"13 bq.3

13 ( Reco_r_?- of Pol:xgraph xamnaton Jul 13, ,48 (ncl 1) Fle or Reference No. : Date of Report: E.xamnee: Name: Date of Brth: Place of Brth: Grade and Seral Number: Organzaton: (or other dentfyng data as approprate) Offcal authorzng examnaton: Name: Poston or ttle: fl,? a, "O 0. Cl. =1' ' o. 3: 5' c, ::, Q. - ""! () -- \._,.,.,_. Date and tme of examnaton: Duraton of examnaton: Place of examnaton: '. Background Data: (Ths paragraph wll state the purpose of the examnaton and a bref resume of the case.) The examnaton: (Ths paragraph wll gve a bref descrpton of the examnaton, and lst the relevant questons asked durng the examnaton and the examnee 1 s response.) Results of examnaton: (Ths paragraph wll nclude admssons made by the examnee 1 unusual physologcal responses, or a statement that there were no unusual physologcal responses, the degree of cooperaton of the examnee durng the test and a statement as to whether all parts 0 the examnaton were completed.) '! :,,: Sgnature of Examner Organzaton Sgnature of Revewng Offcer Poston and Organzaton A02330.,, DECLASSFED AuthortyJ\/AJt)] 3 hlt3