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U.S. Department of Energy                            NOTICE      
     Washington, D.C.                                DOE N 472.2
                                        
                                                                 
                                                          3-17-99
                                                    Expires: 3-17-00

SUBJECT:  USE OF POLYGRAPH EXAMINATIONS


1. OBJECTIVES.  This Notice provides policy on the voluntary use of polygraph 
examinations by the Department of Energy (DOE), listing the circumstances under which 
these examinations may be used, establishing controls for their use and for the prevention
of unwarranted intrusion into the privacy of individuals, and defining the population subject
to the administration of polygraph examinations.  Detailed information on conducting
polygraph examinations and the training of polygraph examiners will be set out in separate
documents.  

DOE will conduct polygraph examinations for counterintelligence and national security
purposes only.

2. CANCELLATION.  None.

3. APPLICABILITY.  The provisions of this Notice apply to DOE employees, applicants for
DOE employment, and other individuals assigned or detailed to Federal positions at the
DOE.  

4. REQUIREMENTS.   

   a.  General Requirements.  DOE will administer polygraph examinations only to the
       following individuals:

       (1) an employee, or applicant for employment, in a position that includes
           counterintelligence activities or access to counterintelligence sources and
           methods;

       (2) an employee, or applicant for employment, in a position that includes
           participation in such intelligence activities or access to such intelligence
           information, sources or methods that warrants a polygraph examination.

       (3) an employee in, or an applicant for employment in, assignment to, or detail to, a
           position requiring access to information of potential interest to a foreign entity
           or government that is protected within special access programs (SAPs)
           designated by the Secretary of Energy.  This Notice does not apply to Special
           Access Programs that are intelligence-related and therefore subject to
           requirements promulgated by the Director of Central Intelligence; it applies only
           to non-intelligence SAPs;

       (4) an employee whose position falls, or an applicant for a position which would
           fall, under the provisions of the Personnel Security Assurance Program (PSAP),
           where the specific duties of the  position require access to information of
           potential interest to a foreign entity or government;

       (5) an employee whose position falls, or an applicant for a position which would
           fall, under the provisions of the Personnel Assurance Program (PAP), where the
           specific duties of the position require access to information of potential interest
           to a foreign entity or government;

       (6) an employee or applicant for employment participating in the Accelerated
           Access Authorization Program (AAAP); and

       (7) an employee who requests administration of a polygraph examination as a
           means of exculpation in the resolution of:

           (a) counterintelligence investigations or
           (b) personnel security issues.
   
   b.  Exceptions to General Requirements.

       (1) A Senate-confirmed Presidential appointee is exempt from the administration of
           a polygraph examination if the appointee has received a favorably adjudicated
           full-field FBI background investigation.

       (2) The Secretary of Energy may waive the requirements of this Notice for any
           individual in the interest of national security.

   c.  General Provisions for Polygraph Testing.  DOE will administer a polygraph
       examination only after the individual to be examined has voluntarily consented in
       writing after having been provided a copy of the "General Provisions for Polygraph
       Testing."  (See Attachment 1.)

   d.  Records Maintenance.  All polygraph examination reports generated under this Notice
       will be maintained in the records system of the Office of Counterintelligence, with the
       exception of  polygraph examination reports utilized in making personnel security
       determinations.  Polygraph examination records used for personnel security
       determinations will be maintained in DOE system-43.  Reports and records of
       polygraph examinations administered to employees in, or applicants for, positions
       identified in Paragraph 4a(2), above, may also be maintained in the records system of
       the Office of Intelligence. Information regarding an employee's refusal to take a
       polygraph examination shall be given the full privacy protection provided by law.

   e.  Standards for Selection and Training of Examiners.  Only DOE-certified examiners
       may administer polygraph examinations.
   
       (1)     Examiners must be experienced counterintelligence or criminal investigators
               with extensive additional training in using computerized instrumentation in 
               Psychophysiological Detection of Deception (PDD) and in psychology,
               physiology, interviewing, and interrogation.

       (2)     Examiners must have a favorably adjudicated Single-scope Background
               Investigation.

       (3)     Examiners must receive basic and/or advanced Forensic Psychophysiological
               Detection of Deception training from the Department of Defense Polygraph
               Institute.

       (4)     Examiners must be certified to conduct the Test for Espionage, Sabotage, and
               Terrorism; Counterintelligence Scope Polygraph tests; Zone Comparison Tests;
               Modified General Question Tests; Peak of Tension tests; and Relevant and
               Irrelevant and Directed Lie Control  tests.  Examiner proficiency is certified by
               the DOE PDD/Polygraph Program Quality Control Official.

       (5)     Examiners must undergo a minimum of 40 hours training annually within the
               discipline of Forensic Psychophysiological Detection of Deception.  The
               following provide acceptable curricula meeting this requirement:

           (a) American Polygraph Association,
           (b) American Association of Police Polygraphists, and
           (c) Department of Defense Polygraph Institute.
           
   f.  Implementation.  Upon approval of this Notice, its provisions will apply immediately
       to the use of polygraph in the AAAP and for exculpation.  Other uses of polygraph
       examination provided for in this Notice will be implemented upon approval of
       designated positions by the Secretary.

5. RESPONSIBILITIES.
   
   a.  The Secretary approves the positions identified pursuant to Paragraphs 4a(1)-(5) for
       polygraph examination.

   b.  The Director of Counterintelligence.

       (1) Identifies positions described in Paragraph 4a(1) that warrant polygraph
           examination and forwards the identification of those positions to the Secretary
           for approval.

       (2) Approves the use of polygraph examination for circumstances described in
           Paragraph 4a(7)(a).

       (3) Reviews submissions from the Director, Office of Intelligence; the Executive
           Secretary, Special Access Program Oversight Committee; the Deputy Assistant
           Secretary for Military Applications and Stockpile Management; and the Director
           Office of Safeguards and Security, to determine which positions involving
           Office of Intelligence personnel,  non-intelligence SAPs, PAP, and PSAP,
           respectively, should be designated positions for purposes of this Notice, based
           on the position requiring access to information of potential interest to a foreign
           entity or government.  As part of the counterintelligence review of these
           positions, the Director of Counterintelligence may amend the listings to either
           add or delete positions.  All such amendments will be noted on the
           documentation forwarding these positions to the Secretary.
       
       (4) Forwards the positions identified pursuant to Paragraphs 4a(1) - (5) to the
           Secretary for approval.

   c.  The Director of the Office of Intelligence identifies positions described in Paragraph
       4a(2) that warrant polygraph examination and submits identified positions to the
       Director of Counterintelligence for review and concurrence.

   d.  The Executive Secretary of the Special Access Program Oversight Committee.

       (1) In coordination with the sponsoring Government Program Executive Agent or
           Manager identifies positions described in Paragraph 4a(3) that warrant
           polygraph examination.

       (2) Submits identified positions to the Director of Counterintelligence for review
           and concurrence.   
       
   e.  The Director of Security Affairs is responsible for the administration of this Notice.

       (1)     In consultation with the Director of Counterintelligence, establishes policies and
               procedures for the use of polygraph within the Department.

       (2)     Coordinates with the Director of Counterintelligence all matters of
               counterintelligence concern related to the use of the polygraph in safeguards and
               security programs.

       (3)     Establishes and maintains a polygraph examination capability for the
               Department through the DOE Accelerated Access Authorization Test Center.

       (4)     In consultation with the Director of Counterintelligence, promulgates guidance
               on technical aspects of using polygraphs and on the qualification, selection,
               training, and certification of polygraph examiners.  The guidance shall reflect
               the Government's objective of ensuring protection for the subject of an
               examination and the accuracy of polygraph results.

       (5)       Approves the use of polygraphs for circumstances described in Paragraph
               4a(7)(b).

       (6)     Retains responsibility for administering the AAAP, including the standard use
              of a counterintelligence scope polygraph examination for each program
              participant.

   f.   The Director of Safeguards and Security.

       (1)  In consultation with the responsible operations office manager and program
            office, identifies positions described in Paragraph 4a(4) that warrant polygraph
            examination.

       (2)  Forwards the listing of identified positions to the Director of
            Counterintelligence for review and concurrence.

   g.   The Deputy Assistant Secretary for Military Application and Stockpile Management. 

       (1)  Based on recommendations from the Office of Weapons Surety PAP Manager,
            identifies positions described in Paragraph 4a(5) that warrant polygraph
            examination.

       (2)  Forwards the listing of identified positions to the Director of
            Counterintelligence for review and concurrence.

6.   CONTACT.  For information concerning this Notice, call the Office of Security Affairs,
     (202) 586-6591.

          

BILL RICHARDSON
Secretary of Energy
                                                     GENERAL PROVISIONS FOR POLYGRAPH TESTING

1.   DOE will administer a polygraph examination only after the individual to be examined has
     voluntarily consented in writing after having been provided a copy of these "GENERAL
     PROVISIONS FOR POLYGRAPH TESTING."

2.   An individual shall be notified, as far in advance as possible, of the date, time, and place of
     the polygraph examination and his or her right to obtain and consult with legal counsel or to
     secure other professional assistance prior to the examination.

3.   An individual to be examined shall be advised of his or her privilege against self-
     incrimination before administration of the polygraph examination.

4.   An individual being examined may terminate the polygraph examination at any time.

5.   Examinations are conducted by means of calibrated, computerized polygraph systems.  The
     procedure is recorded on audio and videotape.  Before the examination, the individual will
     be informed of 

          the use of these recording devices and 

          the characteristics and nature of the polygraph instrument and examination.

     The individual will also receive an explanation of the physical operation of the instrument
     and the procedures to be followed during the examination.
     
6.   Questions asked during the polygraph examination are limited to either the matter at issue
     (exculpation) or to a counterintelligence-scope examination.  DOE prohibits questions that
     probe a person's thoughts or beliefs and that ask about conduct that has no security
     implication or is not directly relevant to an investigation.

7.   The test procedures for a counterintelligence-scope polygraph examination are set forth in
     the procedures in the Federal Psychophysiological Detection of Deception Examiner
     Handbook (Limited Distribution), prepared and issued by the Department of Defense
     Polygraph Institute (DODPI).  A Counterintelligence Scope Polygraph Examination is
     limited to questions pertaining to the examinee's involvement in espionage, sabotage,
     terrorism, unauthorized disclosure of classified information, and unauthorized foreign
     contacts as delineated in the DODPI Polygraph Examiner's Handbook.  Involvement would
     include any direct or indirect, as well as unreported, knowledge of such acts by others.  The
     exact wording of these questions is determined during each pretest interview; that is, the
     final wording of these questions is dependent upon input from, and understanding by, the
     examinee during the pretest interview.

8.   The general areas of all questions to be asked during the examination are reviewed with the
     individual before the examination. 

9.   For purposes of interim access authorization, polygraph examinations supplement other
     forms of investigation.  Use of the polygraph is not a substitute for any required
     investigation.

10.  Effects of  "deception," "no opinion," or "inconclusive opinion."  If the results of an
     individual's polygraph examination are interpreted to reflect "deception," "no opinion," or
     "inconclusive opinion," DOE officials may take the following actions:  (NOTE: No adverse
     personnel action will be taken against a Federal employee solely on the basis of the
     aforementioned interpretations.)

     (a)  The individual will be denied access to the information that justified the conduct of
          the examination. 

     (b)  The matter will be referred to the Federal Bureau of Investigation as mandated by
          section 145.d of the Atomic Energy Act of 1954, as amended, if the case involves a
          question of loyalty.

     (c)  For the Office of Counterintelligence:
     
          (1)  An applicant will not be selected for the position; or,

          (2)  An incumbent will be removed from access to information regarding
               counterintelligence activities, sources and methods and may be reassigned or
               have current duties realigned by the supervisor.  If these actions are not feasible,
               the supervisor must contact the appropriate servicing personnel office for
               guidance.

     (d)  For the Office of Intelligence:

          (1)  An applicant will not be selected for the position; or,

          (2)  An incumbent will be removed from participation in the activities and denied
               access to the intelligence information, sources and methods that formed the
               basis for identifying the position for a polygraph examination.  Such incumbent
               may be reassigned or have current duties realigned by the supervisor.  If these
               actions are not feasible, the supervisor must contact the appropriate servicing
               personnel office for guidance.
               
     (e)  For DOE access authorization and the PSAP, an individual applying for or holding
          DOE access authorization (to include PSAP approval) may be processed under the
          provisions of Title 10, Code of Federal Regulations, Part 710.

     (f)  For another agency assignee or detailee to the DOE, the individual will be removed
          from access to information that justified the conduct of the examination and returned
          to the agency of origin.

11.  Effect of Declination to Submit to Polygraph Examination.  An individual's personnel file
     shall not reflect his or her declination to submit to a polygraph examination or his or her
     termination of a polygraph examination prior to its completion.

     (a)  Applicants.  Declination to take a polygraph examination shall prevent an applicant
          from being selected or assigned to designated positions in non-intelligence special
          access programs, PAP, or PSAP.

     (b)  Office of Counterintelligence.  

          (1)  Declination to submit to a polygraph examination will prevent selection of the
               individual for employment, assignment, or detail to the Office of
               Counterintelligence.  If the applicant is currently employed by the DOE, this
               declination will not affect his or her current employment status.

          (2)  For incumbents in positions designated as requiring a polygraph> pursuant to this
               Notice who decline to submit to a polygraph examination, they will be
               precluded from access to information regarding counterintelligence activities,
               sources and methods.  The supervisor may reassign an employee or realign the
               employee's current duties.  If these actions are not feasible, the supervisor must
               contact the appropriate servicing personnel office for guidance.

     (c)  Office of Intelligence.

          (1)  Declination to submit to a polygraph examination will prevent selection of the
               individual for employment in, or assignment or detail to, the position designated
               as requiring a polygraphexamination.  If the applicant is currently employed by
               DOE, this declination will not affect his or her current employment status.

          (2)  For incumbents in positions designated as requiring a polygraph pursuant to this
               Notice who decline to submit to a polygraph examination, they will be
               precluded from participation in the activities and denied access to the
               intelligence information, sources and methods that formed the basis for
               identifying the position for a polygraph examination.  Such incumbent may be
               reassigned or have current duties realigned by the supervisor.  If these actions
               are not feasible, the supervisor must contact the appropriate servicing personnel
               office for guidance.          

     (d)       Continued Eligibility.  Individuals who decline to take a polygraph examination in
               connection with determining their continued eligibility for access to a non-intelligence
               SAP, or in connection with remaining in a PAP or PSAP position, will be denied
               access to the information that justified the conduct of the examination.
     
     (e)  Exculpation.  Adverse action shall not be taken against a person for declination to take
          a polygraph examination in these cases.  Such declination shall not be recorded in the
          individual's personnel file, personnel security file, or any investigative file.

     (f)       Accelerated Access Authorization Program (AAAP).  Individuals who volunteer for
               the AAAP and subsequently decline to undergo the polygraph examination element of
               the AAAP will be removed from the AAAP process.  The individual will continue to
               be processed for access authorization under DOE O 472.1B, PERSONNEL
               SECURITY ACTIVITIES and the reason for this course of action will be noted in the
               individual's personnel security file.

12.   All testing will comply with standards prepared and agreed to by the Director of
      Counterintelligence and the Director of Security Affairs.                  

13.   A quality assurance program will be established and maintained by the Directors of Security
      Affairs and Counterintelligence to monitor accuracy, compliance with directives, fairness,
      effectiveness, and efficiency in the use and administration of all polygraph examinations.

                            REFERENCES

1.    Title 42, United States Code, 2011, et seq., "Atomic Energy Act of 1954, as amended,"
      which provides statutory authority for establishing and implementing a Department of
      Energy (DOE) security program for controlling access to Restricted Data and special nuclear
      materials.

2.    Title 5, United States Code Annotated, Appendix 2, "Inspector General Act of 1978," which
      provides the investigative authority of Inspectors General.

3.    Title 29, United States Code Annotated, Chapter 22, "Employee Polygraph Protection Act."

4.    Presidential Decision Directive-61, of 2-11-98, "U.S. Department of Energy
      Counterintelligence Program," which states that the DOE will develop and implement
      specific measures consistent with Executive Orders 12958 and 12968 for reducing the threat
      to classified and sensitive information at DOE and its field activities, expressly including the
      use of polygraph.

5.    Title 10, Code of Federal Regulations, Part 710, "Criteria and Procedures for Determining
      Eligibility for Access to Classified Matter or Special Nuclear Material," which establishes
      procedures for determining an individual's eligibility for a DOE access authorization
      (Subpart A) or for occupying a DOE Personnel Security Assurance Program designated
      position (Subpart B).

6.    Title 10, Code of Federal Regulations, Part 711, "Personnel Assurance Program," which
      establishes procedures for determining an individual's eligibility to occupy a Personnel
      Assurance Program designated position.

7.    Presidential Memorandum to the Heads of Departments and Agencies, "Use of the
      Polygraph in the Executive Branch," Lyndon B. Johnson.

8.    Executive Order 10450, "Security Requirements for Government Employees," of 4-27-53,
      as amended, which establishes the requirements for determining that all Federal employees
      are loyal, reliable, trustworthy, and of good conduct and character.

9.    Executive Order 12958, "Classified National Security Information," of 4-17-95, which
      prescribes a uniform system for classifying, protecting, and declassifying national security
      information.

10.   Executive Order 12968, "Access to Classified Information," of 8-2-95, which establishes a
      uniform Federal personnel security program for employees who will be considered for initial
      or continuing access to classified information. 



11.   Department of Energy Delegation Order No. 0204-154, of 1-23-96, which authorizes the
      Director of Security Affairs to make determinations of eligibility (in accordance with section
      4.2[a] of Executive Order 12958), prescribe such regulations or Orders as deemed necessary
      to protect Restricted Data, and make determinations pursuant to section 145b of the Atomic
      Energy Act of 1954, as amended.

12.   DOE O 452.2A, "SAFETY OF NUCLEAR EXPLOSIVE OPERATIONS," of 1-17-97,
      which sets out the requirements and responsibilities for ensuring the safety of the
      Department of Energy's nuclear explosive operations.

13.   DOE O 472.1B, "PERSONNEL SECURITY ACTIVITIES," of 3-24-97, which sets out the
      procedures for making access authorization eligibility determinations and PSAP eligibility
      determinations.

14.   DOE O 5670.3, "COUNTERINTELLIGENCE PROGRAM," of 9-4-92, which sets out the
      requirements for the Counterintelligence Program in the DOE..




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