Overview
Certain federal clearances, particularly for Sensitive Compartmented Information (SCI) and Special Access Programs (SAP), require a polygraph examination in addition to a Single Scope Background Investigation. Typically, polygraph exams are not necessary for a collateral security clearance. The Office of Personnel Management (OPM) handles most federal background checks but does not conduct polygraph exams. These exams are usually administered by Intelligence Community agencies responsible for SCI and/or SAP eligibility.
Reasons for a Polygraph
Some federal law enforcement positions require polygraph exams to determine employment suitability, regardless of the security clearance level. In the Department of Defense (DoD), polygraphs can resolve serious, credible derogatory information when other investigative methods fail. This includes exculpatory exams requested by the subject of an investigation to ensure a fair resolution.
Types of Polygraph Exams
Polygraph exams for security clearances and employment screening can be conducted primarily in Washington, D.C., but also in other locations. There are two main types of exams:
- Counterintelligence (CI) Exam:
- Espionage
- Sabotage
- Terrorist activities
- Deliberate damage to U.S. Government Information Systems
- Intentional compromise of U.S. Government Classified Information
- Secret contact with a foreign national or representative
- Lifestyle Exam:
- Involvement in serious crimes
- Personal involvement with illegal drugs in the last seven years
- Deliberate falsification of security forms
A Full Scope exam includes both CI and Lifestyle questions.
Exemptions and Guidelines
Medical fitness policies for polygraph exams vary by agency. Generally, people who are ill (e.g., sinus infection, common cold) or pregnant women are not tested. Most prescribed medications, including blood pressure medication, do not prevent testing. Thomas P. Mauriello, Chief of the DoD Polygraph Division, recommends the following:
- Avoid asking others about their polygraph experiences.
- Do not overthink potential questions.
- Ignore anti-polygraph websites.
- Avoid speculating on the questions.
- Be punctual.
- Disregard anyone who claims sexual behavior is a standard question.
- Ensure a good night’s sleep before the test.
- Maintain normal routines (e.g., drinking coffee, eating breakfast).
- Take prescribed medications as directed.
- Discuss any concerns with your examiner.
- Thoroughly complete your security forms (SF86).
Exam Phases
Pre-Test Phase
- Introduction and consent form signing.
- Explanation of rights against self-incrimination and the right to consult an attorney.
- Description of the polygraph instrument and its components:
- Pneumograph tubes around the chest and stomach to measure respiration.
- Finger cuffs to measure electrodermal activity.
- Blood pressure cuff to measure blood flow and heart rate.
- Sensor pad on the chair seat to detect movement.
Questions are reviewed before the test begins, and you can discuss any concerns with the examiner. You can only answer “yes” or “no” to the questions. The test is voluntary and can be terminated at any time.
In-Test Phase
You will be asked relevant and non-relevant questions while connected to the monitoring equipment, and the examiner will analyze the chart. This phase lasts about five to six minutes and is repeated three to six times.
Post-Test Phase
If the test results are inconclusive or indicate deception, you may be questioned further. Problematic questions can be rephrased before repeating the In-Test phase. The examiner will make a preliminary decision, but it will be reviewed for quality control and validated by another examiner. If you don’t successfully complete an exam, you may be asked to return for another test.
Importance of Polygraph Examinations
Despite challenges to their accuracy, polygraph examinations are valuable in the security vetting process. The 1997 Report of the Commission on Protecting and Reducing Government Secrecy noted that polygraphs often lead to voluntary admissions of previously undisclosed misconduct. Once such admissions are made, the actual test results become secondary. According to a 1993 NSA letter, over 95% of disqualifying information is derived from voluntary admissions during the polygraph process.
Proponents argue that polygraph exams:
- Provide crucial information that may not be obtainable through other methods.
- Serve as a deterrent, preventing undesirable candidates from applying and discouraging misconduct among employees.
- Are cost-effective for gathering information and deterring espionage.
This guide aims to help you understand and prepare for a security clearance polygraph examination, ensuring you are well-informed and ready for the process.