OFFICIAL USE DRAFT MATEFLIAL V5.1 SECURITY EXECUTIVE AGENT DIRECTIVE 900 2 USE or IN SUPPORT or SECURITY DETERMINATIONS 3 AND DETERMINATIONS or ELIGIBILITY TC) I-Iom A PosrrIoN 4 (VERSION 10/11/12) I 5 (EFFECTIVE(U) AUTHORITY: The National Security Act of 1947, as anIcnded;Ex'ecutive Order (E0) 9 13467, Reforming Processes Related to Saitobilityfor Cioverninent Etnploypient, Fitnessfor 10 CI'ont'roctor Ernployees, and Eligibility for Access to C'lossifieo' Notional 11 Information; E0 12968, Access to Classified as arnended; ED 12"3_3"3, United 12 moles Intelligence Activities, as amended; ED 13549, Clos.sified National Seeririty 13 Inform-ot'ion Progrornjor Stole, Locrtl, Tribal and Private Sector Entities;- Security Executive 14 Agent Directive 1, Security Exec-ativeslgent Authorities and Responsibilities;, EC) 13587 15 "StrItct'-oral Reforms To Improve the Networlcs and the Responsible 16 Slzoring and Safeguarding and other applicable provisions of law. 17 . 18 B. (U) PURPOSE: This Security Executive lligent establishes policy and 19 assigns responsibilities goveming the use ofpolygraplt examinations conducted by agencies 20 for personnel security vetting for initial or continued eligibility for access to classified 21 information or eligibility to hold a sensitive position. Polygraph examinations conducted for 22 any reason other than those stated above are not covered by this Directive. Nothing in this 23 Directiveshoulcl be construed to limit the legal authorities of the Director ot'l'~lational 24 Intelligence (DNI) or those authorities delegated to the heads of agencies by the DNI. 25 3: 26 C. "Any agency conducting polygraph examinations, seeking to obtain '27 the authorization to expand existing polygraph or intending to establish a new program for 23 personnel security vetting for initial or continued eligibility for access to classified. 29 inforrnatioII'or_ eligibility to hold a sensitive position. 30 - 31 D. (UHFOUO) DEFINITIONS: As it pertains to this document, the tbllowing definitions 32 apply: 33 1. "Agency"? Any "Executive agency" as cletined in Section 105 of Title 5, United States 34 Code, the "military departments," as defined in Section 102 of Title 5, United States 35 Code, and any other entity within the Executive Branch that comes into possession of 36 classified national security information or has positions designated as sensitive, except 37 such an entity headed by an officer who is not a covered indiviclual. 1 CIFFICIAL USE ONLY DRAFT PRE-DECISION MATERIAL V5.1 38 39 2. "Classified national security information" or"classif1ed information" means information 40 that has been determined, pursuant to EC) 13526, or a.ny predecessor order, to require 41 protection against unauthorized disclosure and is marked to indicat.e its classified status 42 when in documentary form. 43 44 3. "Covered Individual" means an individual seeking initial or continued access to classified 45 information or eligibility to hold a sensitive position with the exception of the President, 46 Vice President, Members ofCongress, Justices of the Supreme Court, and Federal Judges 47 appointed by the President as exempted by CPR 17.46. Covered individuals include 43 applicants, employees or contractors of federal, state, local, and tribal governments, and 49 private sector entities who are seeltirtg initial or continued access to classified 50 information. 51 - 52 4. "Personnel Security Vetting" means the investigation of an individual's character and 53 conduct, by one or more methods eonsiste_n,t_witl1 the 173.0. 12968, the results of which are 54 reviewed in accordance with the adj udicative gui_delines_in order to render a 55 determination of the individual's eligibility for initial or continued access to classified 56 information or eligibility to hold a sensitive positiotti? 57 . 58 5. "Sensitive Position" means any position so designated by the-head of an agency the 59 occupant of which could bring about, by virtue of the nature of the position, a material 60 adverse effect on the national security consistent with E0 10450 See"Polygraph examinations are one tool used with agency head discretion in the conduct of 65 investigations to determine'eligibi1i_ty for access to classified inforrnation or for a 66 sensitive position. Heads of agencies '1'nay authorize the use of the polygraph credibility 67 assessment technique for the purposes stated above in Section B- within their 68 organizations when deemed to be in the interest of national security. In the case of the 69 Department of Defense, agencyhead authority rests with the Secretary ofDefense or as 70 delegated. Determinations regarding polygraph use shall be limited to designated 71 positions that require eligibility for access to classified information andfor eligibility for a 72 sensitive position, or access to facilities whose unauthorized disclosure, manipulation, or 73 damage could either: 74 75 a. Reasonably be expected to jeopardize human life or safety, 76 77 b. Result in the loss of unique or uniquely productive intelligence sources or methods 73 vital to national security, or 79 80 c. Compromise technologies, operational plans, or security procedures vital to the 31 strategic advantage of the United States and its allies. 82 2 DFFICHAL USE DRAFT PRE-DECISION V5.1 83 2. Clotmterintelligence Scope Polygraph (CSP) examinations supporting determinations for 34 initial or continued eligibility for access to classified information, access to facilities as S5 outlined in Section E.l, or eligibility to hold a sensitive position shall include 86 counterintelligence (Cl) topics concerning involvement in espionage, sabotage, terrorism, 87 unauthorized disclosure of classified information (to include the media), unauthorized or S3 unreported foreign contacts and deliberate damage to or malicious misuse of US. 89 government information or defense systems. 90 91 a. CSPs may be conducted subsequent to the initial polygraph examination in support of 92 reinvestigations or continuous evaluation and administered at periodic or aperiodic 93 intervals. 94 A - 95 b. approval is requit'ed prior to an agency adding the Expanded Scope Polygraph 96 (ESP) topics to a new or existing CSP program. ESP'eoverage shall include all CI 97 topics as well as the topics of criminal conduct, drug involve1nent'a_r1_d; falsification of 98 security questionnaires and forms. The ESP examination may also be'_r_'eferred to as a 99 Full Scope Polygraph (FSP) or an Expanded Scope Screening (HESS) examination. 1110 An FSP or ESS shall be conducted in accordance with the guidance for the ESP. 101 102 c. hlothing in this Directive prohibits currently authorized agencies Central 103 Intelligence Agency, Agency, Federal Bureau of Investigation and 104 the United States Secret Service)'3or tlroseautliorized in the future from conducting 105 ESP examinations for screening, personnel security vetting or H16 eligibility for access to classified iriforrnation or to hold a sensitive position. 107 108 d. Specific issue polygraph cxamination'S'_I11ay be conducted to resolve known or 109 developed information of adjudicative significance in personnel security or CI 110 inquiries and investigationsA3.-favorably completed and adjudicated polygraph examination conducted by an agency, 114 in accordance with this directive, shall be reciprocally accepted by all other agencies. 115 11.6 . . . 117 4. Heads agencies shall adhere to the following principles in 1 18 administering their polygraph programs: 119 I 120 a. Polygraph examination types and their completion dates shall be recorded in the 121 Scattered Castles or the Department ofDefe11se Joint Personnel Access System 122 databases. 123 124 b. A signed consent form explaining the purpose and uses of any information discovered as part of the examination shall be obtained prior to each polygraph session. 127 c. Refusal or failure, without reasonable cause, to undergo or cooperate during a 128 polygraph examination, or purposeful non--cooperation, including confinned 3 129 130 131 132 133 134 135 136 137 138 "139 140 141 142 143 144 145 146 147 148 149 150 151 152 153 154 155 156 157 158 159 160 161 162 163 164 165 166 167 163 169 170 171 172 173 174 OFFICIAL USE V5.1 polygraph countermeasure tactics shall result in a review of the individual's eligibility for access to classified information. access to facilities as outlined 111 Section E.1, or eligibility to hold a sensitive position. . Questions used in polygraph examinations, except for technical and d.iagnostic questions, shall be relevant to national security matters. Agencies authorized to conduct polygraph examinations shall act upon and share relevant reported information of a law enforcement, (C1) concern with appropriate law enforcement, security and C1 officials. All polygraph programs shall include standardizecl training_and educational certification of polygraph examiners to ensure consistency, fair, process, and reciprocity. All examiners shall receive initial training from the'National Center for Credibility Assessment (NCCA), undergo educational certification "processes and advanced or refresher polygraph training as defined by their agency and"__consistent with NCCA standards. 1 5. Polygraph programs shall undergo quality assurance a.udits on a biennial basisresponsible a. Establishing guidelines and minimum standards for polygraph programs and ensuring compliance with such; Establnishirig "the notification process for departments or agencies wishing to initiate a polygraph prograrn utilizing the CSP, and Establishing the approval process for departrnents or agencies to utilize the ESP as part of their polygraph program with the exception of these departments and agencies that already have an- established and approved ESP program, as listed in paragraph E.2.b. of -this policy. The recognizes NCCA as the office of primary responsibility for polygraph examiner education and training, continuing education certification, audits of agencies quality assurance programs against federal standards, and credibility research. . Heads of agencies shall: a. Notify of their intention to implement a polygraph program, andXor request approval to initiate use of the ESP. 4 OFFICIAL USE ONLY DRAFT PRE-DECISION V5.1 175 176 b. the provisions of this Directive within their respective organization as 177 applicable. 178 179 c. Ensure policies and procedures governing the collection ofpolygraplt derived and use of this information is in accordance with all applicable laws, 181 executive orders, a11d civil protections. 182 133 d. Institute the highest standards of polygraph program supervision, and quality control 184 consistent with NCCA guidelines. 185 186 e. Coordinate polygraph related research in collaboration with NCCA to enhance the 187 efl'ectivencss of the polygraph and other credibility prograrns(U) EFFECTIVE DATE: This Directive is assist. on 1119 date ofsignature. 192 . 7 1 1 19:1 194 195 James R. Clapper Date 196 5 tit-'ti TEITFIL I