1、Designation: E1954 05 (Reapproved 2011)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.2. Referenced Documents2.1 ASTM Standards:2E2035 Terminology Relating to Forensic Psychophysiology3. Terminology3.1 For full explanations of terminology relating to PDD,
4、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 requiring human interaction shall be standa
5、rdized 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 theirprogramming to one another, or arriv
6、al 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 documentationand data. Documentation of procedur
7、es 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 between pro-grammed deceptive and progra
8、mmed 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 level. Studies that are exploratory inna
9、turethat 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 boththe programming of the subjects
10、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 the manufacturer, model,types of reco
11、rding 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 human subject research review shall be
12、 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 population. With respect to subjects, the
13、report shall clearly articulate the proportions of the sample thatare suspects, witnesses, and victims.4.2.2 The qualifications of the polygraph testing and chartevaluating participants shall be identified in the report, includ-ing formal polygraph training, field experience, and anylicensing or cer
14、tification.1This practice is under the jurisdiction of ASTM Committee E52 on ForensicPsychophysiology and is the direct responsibility of Subcommittee E52.01 onResearch.Current edition approved March 1, 2011. Published March 2011. Originallyapproved in 1998. Last previous edition approved in 2005 as
15、 E1954 05. DOI:10.1520/E1954-05R11.2For referenced ASTM standards, visit the ASTM website, www.astm.org, orcontact ASTM Customer Service at serviceastm.org. For Annual Book of ASTMStandards volume information, refer to the standards Document Summary page onthe ASTM website.1Copyright ASTM Internatio
16、nal, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959, United States.4.2.3 Researchers shall report the degree to which poly-graph chart evaluators were kept unaware with regard toextrapolygraphic information. Specifically, they shall reportwhether the polygraph chart evaluators
17、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 of these factors in theirdecisions during field testing.4.2
18、.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-cally or electronically driven, and whether the instrumentation
19、is 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 for the nonstandardprocedures.4.2.6 Polygraph chart evaluators
20、 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 shall be satisfied orally and inwriting. This standard shall n
21、ot 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 withdraw from the study, this shall be reportedanywhere the result
22、s 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 requirements set forth in this standard indicate that theaverage deci
23、sion 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! 1 cI/dI!%/2 100 (1)where:cG = number of correct decisions with Guilty subjects,dG = total number of conclusive decisions with Guiltysubjects,cI =
24、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 those labeled Incomplete, Inconclusive, Indefinite, NoOpi
25、nion, 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 research articles meeting the mini-mum requirements set forth i
26、n this standard 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 formula:AA 5 $cG/dG! 1 cI/dI!%/2 100 (2)where:cG = number of c
27、orrect 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 also produce conclusive decisions inat least 80 % of th
28、e 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 a “succes-sive hurdles” approach to achieve the minim
29、um validity setforth in this standard.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 investigative applica-tions, shall be required to comply with the same standards ofvalidity and ut
30、ility 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 be eligible forestimating the validity and reliabil
31、ity 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 selection biashas been minimized or accounted for by t
32、he 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. Trialoutcomes, prosecutorial decisions, or eyewitness account
33、s 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 field. However, the underlying phenomena inpolygrap
34、hy 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 research tosupport its validity unless:5.6.1 The variant reduces the q
35、uality or quantity of datarequired in the validated technique for accurate decision-making.E1954 05 (2011)25.6.2 The variant includes components already known toreduce decision accuracy (that is, unreliable scoring features,surprise questions, permitting examinee movements, etc.).6. Utility6.1 The p
36、roportion 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 less than 0.80 for validated techniques. Ifa techni
37、que permits retesting when initial results are notconclusive, or when a “successive hurdles” approach is em-ployed, the final result after all testing is completed shall be theprevailing decision, and that result shall be used in thecomputation of utility.7. Keywords7.1 field; forensic psychophysiol
38、ogy; 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 standard. Users of this standard are expressly advised t
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