A REVIEW OF QUESTION FORMULATION IN POLYGRAPH LITERATURE OF POLYGRAPHIC METHOD FOR COUNTERPRODUCTIVE BEHAVIOUR INDEX PROFILING

Ahmad Zaki Abu Bakar a, Rose Alinda Alias b and Hashim Bin Hj Yusoff c,

Faculty of Computer Science and Information System Universiti Teknologi Malaysia, 81310 UTM Skudai, Johor Tel : , +60127081170 Fax : (607)-521-8174, E-mail: [email protected], [email protected], [email protected]

ABSTRACT

The research of Polygraphic Method for Counterproductive Behaviour Index Profiling is divided into four phases namely i. Question Formulation, ii. Polygraph Testing, iii. Polygraph Index Profiling, and iv. Historical Profile Repository. The most importance aspect for the success of this research is the question formulation phase. One of the most important aspects of polygraph testing is the formulation of questions. The Question Formulation phase which consist of the technical, organization and personal components play a very important role in the success of the research and the formulation of the framework. APA policies, guidelines, requirements and instrumentation play an important role. The types, needs and goal of the organization determine the attributes to be polygraphed or tested. The profile of the examiner, the examinee (subject), the interpreter, the human resource executive and the question formulation of multilingual Malaysian multiracial based play the dominant roles in the question formulation phase. High security risks and high integrity risks organizations require the appointments of personnel to important key positions to be conducted in a stringent manner with many levels of screening to determine the best person with the best integrity for the right job avoiding wrong hiring. The requirements of question formulation phase must be met with, to achieve the best result of the system.

Keywords Polygraph, Counterproductive Behaviour Index Profiling, Repositories, Question Formulation, American Polygraph Association (APA).

1.0 Introduction phase and a test data analysis phase. In the pre- What is a Polygraph? The term "polygraph" test, the polygraph examiner will complete literally means "many writing." (APA,1999). required paperwork and talk with the examinee The name refers to the manner in which selected about the test. During this period, the examiner physiological activities are simultaneously will discuss the questions to be asked and recorded. Polygraph examiners may use familiarize the examinee with the testing conventional instruments, sometimes referred to procedure. During the chart collection phase, the as analog instruments, or computerized examiner will administer and collect a number of polygraph instruments. polygraph charts.

It is important to understand what a polygraph Following this, the examiner will analyze the examination entails. A polygraph instrument will charts and render an opinion as to the collect physiological data from at least three truthfulness of the person taking the test. The systems in the human body. Convoluted rubber examiner, when appropriate, will offer the tubes that are placed over the examinee's chest examinee an opportunity to explain and abdominal area will record respiratory physiological responses in relation to one or activity. Two small metal plates, attached to the more questions asked during the test. It is fingers, will record sweat gland activity, and a important to note that a polygraph does not blood pressure cuff, or similar device will record include the analysis of physiology associated cardiovascular activity (Matte, 1996). with the voice. Instruments that claim to record voice stress are not polygraphs and have not A typical polygraph examination will include a been shown to have scientific support. period referred to as a pre-test, a chart collection

1 2. Literature Search Method polygraph examination in which case certain This paper reviews Polygraph Journals research biological groups may be at higher risk for articles published from January 1972 to polygraph errors. December 2007 which is related to polygraph and polygraph issues related to professional In truth, however, the polygraph does nothing ethics, polygraph examiner, technique, policies more than record a subject’s physiological and issues related to formulation phase of the arousal when asked a question during the research on polygraphic method for examination. The control question polygraph counterproductive behaviour index profiling. technique relies on an evaluation as to which question type (between a relevant and control Polygraph Journals entitled POLYGRAPH is a question) elicited the greatest amount of arousal. quarterly journal featuring articles on the detection of deception, forensic According to control question theory, the psychophysiology, techniques, history, subject’s relative responsivity, whether it is psychology, physiology, instrumentation, affected by a chemical agent, physiological legislation, legal notes, training and articles conditioning, or biological differences, should summarizing recent cases. Abstracts, not affect the accuracy of the technique bibliographies and book reviews are featured. whatsoever. That is, as long as a subject is The Polygraph Journals are published quarterly physiologically capable of exhibiting relative from 1972 till now. differences in arousal states between relevant and control questions, the technique should 3. Polygraph Technique achieve accurate results. There are of course, The polygraph technique represents a situations and conditions in which subject fails to psychological procedure whereby a subject’s exhibit significant differences in arousal states truthfulness in inferred by recording and between relevant and control questions, but this evaluating autonomic responsivity to relevant results in an inconclusive, not an erroneous questions (related to the issue under finding. investigation) and control questions (a question similar in nature to the issue under investigation, The polygraph is currently the most accurate however, one to which the subject, in all method available for truth verification. The probability, is lying to or has doubt about the American Polygraph Association has a complete accuracy of his answer (Reid & Inbau, compendium of research studies available on the 1 1977). validity and reliability of polygraph testing . The 80 research projects listed, published since 1980, Research that utilized field procedures and involve 6380 polygraph examinations or sets of experienced examiners has consistently charts from examinations. Researchers demonstrated that subjects who are telling the conducted 12 studies of the validity of field truth to relevant questions focus their emotional examinations, following 2174 field responses to control questions, whereas subjects examinations, providing an average accuracy of who are lying to relevant questions focus their 98%. Researchers conducted II studies involving emotional responses away from control the reliability of independent analyses of 1609 questions and to the relevant questions (Capps, sets of charts from field examinations confirmed 1991). While this predicted response by independent evidence, providing an average discrimination occurs well above chance levels, accuracy of 92%. Researchers conducted 41 there are some subjects whose response studies involving the accuracy of 1787 discrimination is opposite to that which is laboratory simulations of polygraph predicted and who, consequently, produce examinations, producing an average accuracy of misleading polygraph charts. 80%. Researchers conducted 16 studies involving the reliability of independent analyses Unfortunately, many non-professionals, as well of 810 sets of charts from laboratory simulations, as educated PhD’s perceive the polygraph as a producing an average accuracy of 81% (APA, lie detector. That is why they believe that the 2000; BPS, 2004). technique is designed to identify specific “lie The research on Polygraphic Method for responses” which are unique to the guilty Counterproductive behaviour index profiling is subjects. From this perspective, it would appear to develop a polygraphic counterproductive plausible result in misleading responses during a behaviour index profiling for human resource

2 executive to decide for pre empolyment selection, to develop polygraphic repository for counterproductive behaviour index profiling system and to develop Multilingual Polygraph Test Questions based on Malaysian enviroment (Yusof, A Bakar & Alias, 2007). 10 major areas of counterproductive behaviours are covered namely alcohol use, computer abuse, credibility, customer service, fundamental data, illegal drug use, sexual harassment, theft propensity, work attitude, and work history.

Currently, various tools including Polygraph Testing have been utilized by many organizations all over the world to assist them in the pre-employment selection process to detect possible counterproductive behaviours in short- listed candidates. The test is to avoid making the 4. Components of Question Formulation mistake of employing unworthy candidates for The most crucial of this research is the question high security risks and high integrity based formulation phase. The question formulation positions. The Polygraph system is basically a phase includes: psycho-physiological detector that collects 1. Technical response data from normally three parts of the i. American Polygraph Association (APA) human anatomy of the subject when asked policy, requirements, guidelines and strategic polygraph test questions. The polygraph instrumentations. tests will result in the generation of polygraph charts that are basically cardiovascular American Polygraph Association (Electrocardiogram - ECG), respiratory The American Polygraph Association (APA) is (breathing) and electro-dermal (skin resistance) the leading professional polygraph organization waveforms patterns. in the world, representing more then 3,200 experienced polygraph examiners in private Due to its complexity, the human resource business, law enforcement and government. personnel are unable to interpret the polygraph Professional APA polygraph examiners results and require the expertise of certified administer hundreds of thousands of polygraph Polygraph Examiners. Unfortunately, there are exams each year worldwide. The APA not many qualified and certified Polygraph establishes standards of ethical practices, examiners in Malaysia. Hence, there is a need for techniques, instrumentation and research, as well a computer assisted software application that can as provides advanced training and continuing assist human resource personnel in interpreting education programs. the Polygraph results, detect counterproductive behaviours and the profiling of candidates for a APA examiners are highly qualified pre-employment selection process. professionals who are motivated to help protect the public by verifying the truth, while following This research is meant to develop a framework the highest standards of moral, ethical, and as well as a software application to assist the professional conduct. APA examiners pledge to human resource department in human personnel follow all the rules and regulations for polygraph selection. Namely, the phases are: methodologies that are accepted and used in the 1. Question Formulation field today. The APA governs the conduct of its 2. Polygraph Testing members by requiring adherence to a Code of 3. Polygraph Index Profiling Ethics and a set of Standards and Principles of 4. Historical Profile Repository Practice.

In order to become an APA member, examiners must adhere to strict guidelines and educational requirements that include hundreds of hours

3 (320) of coursework at an APA approved school reported wrongdoing and screening for, or (10 weeks), as well as an internship. As in many periodic testing of employees. Post respected professions, APA members must conviction sex offender testing involves acquire annual continuing education and training various applications, some of which are in order to maintain membership. Each APA similar to pre-conviction testing and others accredited school is inspected regularly and that are dramatically different. rigorously to ensure that the curriculums attain the highest standards by teaching the most IV. Model Policy for Paired Testing. current, fundamental polygraph techniques. The paired-testing method is useful in Through strict adherence to training and reducing the incidence of perjury; affording education standards, APA examiners are able to advantages to the party who offers attain accuracy rates exceeding 90 percent. truthfulness; and moderating the time and expense of legal proceedings that rely heavily ii. Polygraph Policies on the testimonial evidence of the parties I. Model Policy on Polygraph. involved. For the paired-testing method to be It is the purpose of this policy to provide effective, certain conditions must be met, investigative officers and others with general including the type of testimony, number of knowledge of, guidance and procedures for testifiers, use of validated testing methods, the use of polygraph examinations. The and the competency of the polygraph polygraph examination is a valuable examiners. The purpose of this model policy investigative aid as used in conjunction with, is to inform the judicial system, examiners, but not as a substitute for, a thorough attorneys, and the public of the paired-testing investigation. The polygraph may be protocol and how and when it is best used. employed, consistent with this policy, to verify, corroborate or refute statements; There are four policies stipulated by APA on obtain additional investigative leads; narrow polygraph. Model Policy on Polygraph and or focus criminal investigations; serve to Model Policy for Law Enforcement Pre screen candidates for positions with this or Employment Polygraph Screening other criminal justice agencies; and assist in Examinations are being utilized for the the conduct of internal police investigations, research. The guidelines and instrumentation among other authorized purposes. approved by APA are being utilized for the research.

II. Model Policy for Law Enforcement Pre II. Organization Employment Polygraph Screening a. Types of organization and goals. It Examinations. It is pre-employment polygraph examination depends whether the organization is of national security, high security risks and for law enforcement officers are unique in its process. It is a searching process to confirm high integrity organization. an applicant’s background information and/or to uncover information that would disqualify III. Personal

the applicant. As with any polygraph a. Subject profile analysis. This includes examination, law enforcement pre- race, gender, and biographical data. b. Examiner profile analysis. The integrity, employment polygraph examinations do not take the place of an investigation. Instead, the qualification of the examiner. pre-employment polygraph is used to Currently in the U.S., there are 29 states enhance the background process. A thorough and 3 counties which have laws requiring background investigation should always be licensure or certification for polygraph conducted in conjunction with the pre- examiners. Most laws require formal instruction, an internship training period employment polygraph examination. and successful completion of a licensing examination (APA, 2000). For example, III. Model Policy for Post Conviction Sex the following are basic requirements for Offender Testing (PCSOT). PCSOT differs from pre-conviction testing. licensure in one state: Historically, pre-conviction polygraph testing A person is qualified to receive a license has primarily been used in investigation of as an examiner:

4 (i) who establishes that he or she is a 6. Illegal Drug Use - Does he currently use person of good moral character; and, illegal drugs? (ii) who has passed an examination 7. Sexual Harassment - Is he causing problems conducted by the Licensing to opposite sex through remarks, jokes or Committee, or under its supervision. offensive behaviours? to determine his or her competency to 8. Theft Propensity- Will he steals from the obtain a license to practice as an company? examiner and 9. Work Attitudes - Will he get along with his (iii) who has conferred upon him or her an supervisors and co-workers? academic degree, at the baccalaureate 10. Work History - Is he being truthful about past level, from an accredited collect or jobs and reasons for leaving? university; and, (iv) who has satisfactorily completed 6 Effect of Race and Cross-Culture, months of study in the detection of Demographic Variables. deception, as prescribed by rule. Further research on effect of race and cross- c. Interpreter profile. The interpreter culture on polygraph were done: must be of high integrity, sound qualification and having multilingual Effect of Race: capabilities. Research on Exploration into the Effect of d. Human resource executive profile. He Race on Polygraph Scores and Decisions done must be of high integrity and having by Krapohl and Gary (2004) clearly indicated qualified qualification for the post. that there was virtually no evidence reported of such effect in polygraphy. (Krapohl & Gary. Jr. 5. Question Formulation 2004). Question formulation is the key component to a successful polygraph examination. Principles of Research on The Influence of Race and test questions construction or formulation are Gender on Specific Issue Polygraph clearly noted by both researcher/polygraph Examinations done by: examiners below: Buckley and Senses (1991) indicated that Test questions are like tools. The Examiner after analyzing the frequency of truthful and needs to use the proper tools to get the task deceptive opinions from specific issue accomplished in the most efficient manner. examinations, it was found that there were no Using the wrong tools may cause diagnostic statistical differences in polygraph results errors, inconclusive results or strong criticism between whites and minorities. There was, from other professionals (Thompson, 2000). however, a significant difference within gender where females were more likely to be reported as One of the clinical aspects of polygraph telling the truth during a specific issue polygraph testing is the formulation of questions. (Ansley, examination. Nonetheless, the fact that women 1998) were reported truthful more often than men is in line with the trend of statistics which show that Areas Covered in Polygraph Pre Employment women probably commit far less crimes than Testing and Test Question Constructions in men and are convicted of crimes than men and the Research. are convicted of crimes much less often than 1. Alcohol Use - Will drinking interfere with men (Buckley and Senses, 1991). his work or attendance? 2. Computer Abuse - Is he using the computer Research on The Influence of Race and that is unrelated to work activities? Gender on Pre employment Polygraph 3. Credibility - Is he trying to beat the test by Examinations Results done by Buckley and deliberately lying? Senses (1991) indicated that after analyzing the 4. Customer Service - Will he encourage your rates of meeting or not meeting standards as customer to return or drive them away? reported from pre employment examinations, it 5. Fundamental Data -Is he hiding recent was found that there were no statistical criminal behaviour, debts problems or differences in polygraph results between whites absenteeism? and minorities. There was, however, a significant difference within gender where females were

5 more likely to be reported as meeting standards influenced by the examined demographic following a pre employment examination than variables or individual differences (Reed, 1999). men. Because there results were favourable to the female, again it was determined that the All these research done clearly indicate that there polygraph technique did not have an adverse is no effect of race, cross-culture and impact on female subjects (Buckley and Senses, demographic variables in the question 1991). formulation. Research on The Influence of Race and Gender on Blind Polygraph Charts Analyses 6. Discussion done by Buckley and Senses (1991) was to The technical, organization and personal identify whether or not there were intrinsic components are the major contributor the success differences between the accuracy of the of question formulation of the research. APA polygraph technique as a function of the policies, guidelines, requirements and subject’s race or gender. Utilizing nine instrumentation play an important role in the examiners who blindly evaluated 40 sets of research. The types, needs and goals of the polygraph charts, neither the subject’s race nor organization determine the attributes to be gender significantly affected the examiners’ polygraphed or tested. The profile of the accuracy of diagnosing truth or deception from examiner, the examinee (subject), the interpreter polygraph charts (Buckley and Senses, 1991). and human resource executive play the dominant roles in the question formulation phase. The Effect on Cross-Culture question formulation must be multilingual based Research on A Literature Review of Cross- on the Malaysian multiracial society. Cultural Factors Affecting Polygraph Testing by Doll, Law and Piotrowski (2003), Russell, The ethical issues, the right of privacy of the Lewicka and Nitt (1989) and Ekman and Friesen employee versus the right of the employer to (1986) which involved 29 countries including screen out persons likely to steal or engage Singapore, Indonesia (Sumatra) indicated that counterproductivity behaviour are to be the use of question as to whether or not there is a considered. The polygraph examiner must be range of emotions common to all cultures. There ethical, professional, educated and of high is a common agreement (facial expression) to integrity. Polygraph examiners are expected to happiness, fear, surprise, sadness, disgust and administer ethical examinations to ensure that anger. Fear is associated with deception or those people whom they are testing are polygraph (Doll, Law and Piotrowski, 2003). guaranteed all the basic freedoms to them.

Effect on Demographic Variables 7. Conclusion Research on Effect of Demographic Variables on The literature cited in the technical, organization Psychophysiological Detection of Deception and personal components of the question Examination Outcome Accuracies done by Reed formulation phase showed clear path to the (1999) was designed to access whether or not success of this research. Issue of how to detect demographic variables and individual job applicants who are faking (a phenomenon known as social desirability) to a potential new differences, specifically, residence (urban/rural), employer about counterproductive behavior income level (less or more than $20,000), (negative characteristics) can be dealt with gender, age, education, and role (innocent or polygraph method. Paper and pen or guilty) affected the outcome accuracies of pencil/online tests, for example are relatively Modified General Question Technique (MGQT) easy to fake because the applicant can go back and Zone Comparison Test (ZCT) and review their answers to make them consistent thereby avoiding detection of psychophysiological detection of deception inconsistencies often revealed using common (PDD) examinations. Results suggest that these investigative techniques. High security risks and PDD techniques are relatively robust with high integrity risks organizations require the respect to the examined demographic variables. appointments of personnel to important key In general, there were no significant results. The positions in the organization and cannot afford to accuracies of the tested PDD techniques were not make mistake in hiring.

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