1、Designation: E1954 05 (Reapproved 2017)Standard Practice forConduct of Research in Psychophysiological Detection ofDeception (Polygraph)1This standard is issued under the fixed designation E1954; the number immediately following the designation indicates the year oforiginal adoption or, in the case
2、of revision, the year of last revision. A number in parentheses indicates the year of last reapproval. Asuperscript epsilon () indicates an editorial change since the last revision or reapproval.1. Scope1.1 This practice establishes essential and recommendedelements in the design, conduct, and repor
3、ting of research onpsychophysiological detection of deception (polygraph)(PDD). Analog and field research are addressed separately.1.2 This international standard was developed in accor-dance with internationally recognized principles on standard-ization established in the Decision on Principles for
4、 theDevelopment of International Standards, Guides and Recom-mendations issued by the World Trade Organization TechnicalBarriers to Trade (TBT) Committee.2. Referenced Documents2.1 ASTM Standards:2E2035 Terminology Relating to Forensic Psychophysiology3. Terminology3.1 DefinitionsFor full explanatio
5、ns of terminology relat-ing to PDD, refer to Terminology E2035.4. Summary of Practice4.1 Laboratory Research:4.1.1 Unless subjects must be individually trained or con-ditioned to achieve some criterion, subject manipulation pro-cedures shall require minimal human interaction. Those por-tions requiri
6、ng human interaction shall be standardized to theextent possible.4.1.2 All procedures shall be described and reported insufficient detail that others can replicate them. This shallinclude logistical factors that may introduce systematic error,such as when subject handling allows them to reveal their
7、programming to one another, or arrival times cue testingexaminers regarding programming. All research-related mate-rials shall be retained by the researcher for at least five yearsfrom date of publication. Reasonable accommodation shall bemade to other researchers for access to research documentatio
8、nand data. Documentation of procedures shall include, but notbe limited to, copies of subject instructions, test questions,testing technique, question sequence, description of circum-stances and facilities, raw data, and any tape recordingspresented.4.1.3 So far as possible, the only difference betw
9、een pro-grammed deceptive and programmed nondeceptive subjectsshould be their participation in the act to which deceptionoccurs during the PDD testing.4.1.4 Non-exploratory studies shall test a sufficient numberof subjects to obtain a statistical power of 0.80 or higher usinga 0.05 significance leve
10、l. Studies that are exploratory innaturethat do not obtain this power levelshall be clearlyidentified as exploratory studies.4.1.5 To the extent possible, when conducting validity andreliability studies, participants performing the testing andevaluating the physiological data shall be unaware as to
11、boththe programming of the subjects and the base rates of decep-tion. The degree of knowledge of the participants shall bedetailed in the report.4.1.6 All instrumentation shall be fully reported, includingany modification of standard equipment. When using fieldinstruments, researchers shall report t
12、he manufacturer, model,types of recording channels, whether the channels are mechani-cally or electronically driven, and whether the instrumentationis computerized.4.1.7 Statements of generalization shall be limited to thatwhich the data, procedures, and statistical methodology cansupport.4.1.8 A hu
13、man subject research review shall be performedby a recognized independent entity for all studies involving theparticipation of subjects.4.2 Field Research:4.2.1 The process for selecting cases shall be thoroughlyreported, including at least the source, method, exclusionarycriteria, and subject popul
14、ation. With respect to subjects, thereport shall clearly articulate the proportions of the sample thatare suspects, witnesses, and victims.1This practice is under the jurisdiction of ASTM Committee E52 on ForensicPsychophysiology and is the direct responsibility of Subcommittee E52.01 onResearch.Cur
15、rent edition approved Oct. 1, 2017. Published October 2017. Originallyapproved in 1998. Last previous edition approved in 2011 as E1954 05 (2011).DOI: 10.1520/E1954-05R17.2For referenced ASTM standards, visit the ASTM website, www.astm.org, orcontact ASTM Customer Service at serviceastm.org. For Ann
16、ual Book of ASTMStandards volume information, refer to the standards Document Summary page onthe ASTM website.Copyright ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United StatesThis international standard was developed in accordance with internationally
17、recognized principles on standardization established in the Decision on Principles for theDevelopment of International Standards, Guides and Recommendations issued by the World Trade Organization Technical Barriers to Trade (TBT) Committee.14.2.2 The qualifications of the polygraph testing and chart
18、evaluating participants shall be identified in the report, includ-ing formal polygraph training, field experience, and anylicensing or certification.4.2.3 Researchers shall report the degree to which poly-graph chart evaluators were kept unaware with regard toextrapolygraphic information. Specifical
19、ly, they shall reportwhether the polygraph chart evaluators were aware of baserates, case facts, the study hypothesis, subject verbal behavior,subject gestures, or other extrapolygraphic details. Moreover,researchers shall report whether examiners who participated inthe research normally include any
20、 of these factors in theirdecisions during field testing.4.2.4 All instrumentation shall be fully reported, includingany modification of standard equipment. When using fieldinstruments, researchers shall report the manufacturer, model,types of recording channels, whether the channels are mechani-cal
21、ly or electronically driven, and whether the instrumentationis computerized.4.2.5 Statements of generalization shall be limited to thosewhich the data, procedures, and statistical methodology cansupport. Departures from conventional field practice shall bedocumented in detail, with an explanation fo
22、r the nonstandardprocedures.4.2.6 Polygraph chart evaluators shall be informed of thepurpose and protocol of the study in advance, so that they areable to provide informed consent for their participation unlesssuch knowledge would influence the performance of the chartevaluators. This requirement sh
23、all be satisfied orally and inwriting. This practice shall not preclude the use of historicaldata. Researchers shall not change the purpose or procedures ofthe study without advising evaluators in advance, and allowingthem to reconfirm their agreement to participate in the study. Ifevaluators withdr
24、aw from the study, this shall be reportedanywhere the results of the study are published or presented.5. Validity5.1 Evidentiary PDD ExaminationsAn evidentiary PDDtesting technique shall be considered sufficiently valid if themajority of three or more research articles meeting the mini-mum requireme
25、nts set forth in this practice indicate that theaverage decision accuracy for deceptive and nondeceptivecases is 90 % or greater.5.1.1 Average accuracy shall be calculated using the follow-ing formula:AA 5 $cG/dG!1cI/dI!%/2100 (1)where:cG = number of correct decisions with Guilty subjects,dG = total
26、 number of conclusive decisions with Guiltysubjects,cI = number of correct decisions with Innocent subjects,anddI = total number of conclusive decisions with Innocentsubjects.5.1.2 The method must also produce conclusive decisions inat least 80 % of the cases. Decisions not considered conclusiveare
27、those labeled Incomplete, Inconclusive, Indefinite, NoOpinion, Terminated, or others that are not opinions regardingthe veracity of a subjects statements.5.2 Investigative PDD ExaminationsAn investigativePDD testing method shall be considered sufficiently valid if themajority of three or more resear
28、ch articles meeting the mini-mum requirements set forth in this practice indicate that theaverage decision accuracy for deceptive and nondeceptivecases is 80 % or greater in the discrimination between decep-tive and truthful cases.5.2.1 Average accuracy shall be calculated using the follow-ing formu
29、la:AA 5 $cG/dG!1cI/dI!%/2100 (2)where:cG = number of correct decisions with Guilty subjects,dG = total number of conclusive decisions with Guiltysubjects,cI = number of correct decisions with Innocent subjects,anddI = total number of conclusive decisions with Innocentsubjects.5.2.2 The method must a
30、lso produce conclusive decisions inat least 80 % of the cases. Decisions not considered conclusiveare those labeled Incomplete, Inconclusive, Indefinite, NoOpinion, Terminated, or others that are not opinions regardingthe veracity of a subjects statements.5.2.3 Investigative PDD examinations may use
31、 a “succes-sive hurdles” approach to achieve the minimum validity setforth in this practice.5.3 Other psychophysiological technology used for the pur-pose of verifying the veracity of statements made by individu-als in the field, for either evidentiary or investigativeapplications, shall be required
32、 to comply with the samestandards of validity and utility set forth above.5.4 All polygraph accuracy studies published in peer-reviewed journals shall be considered adequate for estimatingthe validity and reliability of a polygraph testing and analysistechnique.5.5 Research failing to meet 5.4 shall
33、 be eligible forestimating the validity and reliability of a polygraph testing andanalysis technique if the following conditions are satisfied:5.5.1 The samples are representative of the population andpurpose for which the technique is normally used.5.5.2 In field research, the potential for case se
34、lection biashas been minimized or accounted for by the methodology.5.5.3 The scoring method is cross-validated with a sampledifferent from that used to develop the scoring method.5.5.4 In field accuracy research, ground truth must beestablished by confessions or reliable forensic evidence. Trialoutc
35、omes, prosecutorial decisions, or eyewitness accounts arenot sufficiently reliable criteria for this purpose.5.5.5 The research effort results in a university-grade report.5.6 There are acknowledged differences in schools ofthought in polygraphy that have given rise to variations intechniques in the
36、 field. However, the underlying phenomena inE1954 05 (2017)2polygraphy are sufficiently robust as to tolerate minor varia-tions of procedures without jeopardizing decision accuracy.Therefore, a variant of a validated technique shall be consid-ered sufficiently valid and shall not require separate re
37、search tosupport its validity unless:5.6.1 The variant reduces the quality or quantity of datarequired in the validated technique for accurate decision-making.5.6.2 The variant includes components already known toreduce decision accuracy (that is, unreliable scoring features,surprise questions, perm
38、itting examinee movements, etc.).6. Utility6.1 The proportion of results that are conclusive shall beconsidered a measure of utility, and shall be calculated bydividing the number of results that are conclusive by the totalnumber of observations. The utility value obtained by thismethod shall not be
39、 less than 0.80 for validated techniques. Ifa technique permits retesting when initial results are notconclusive, or when a “successive hurdles” approach isemployed, the final result after all testing is completed shall bethe prevailing decision, and that result shall be used in thecomputation of ut
40、ility.7. Keywords7.1 field; forensic psychophysiology; laboratory; PDD;polygraph; psychophysiological detection of deception; re-search; standards; validationASTM International takes no position respecting the validity of any patent rights asserted in connection with any item mentionedin this standa
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43、technical committee, which you may attend. If you feel that your comments have not received a fair hearing you shouldmake your views known to the ASTM Committee on Standards, at the address shown below.This standard is copyrighted by ASTM International, 100 Barr Harbor Drive, PO Box C700, West Consh
44、ohocken, PA 19428-2959,United States. Individual reprints (single or multiple copies) of this standard may be obtained by contacting ASTM at the aboveaddress or at 610-832-9585 (phone), 610-832-9555 (fax), or serviceastm.org (e-mail); or through the ASTM website(www.astm.org). Permission rights to photocopy the standard may also be secured from the Copyright Clearance Center, 222Rosewood Drive, Danvers, MA 01923, Tel: (978) 646-2600; http:/ 05 (2017)3
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