Effective Use of Directed Lie Comparisons in Diagnostic and Screening Exams Texas DPS Polygraph Unit

Transcription

1 Effective Use of Directed Lie Comparisons in Diagnostic and Screening Exams Texas DPS Polygraph Unit Captain Walt Goodson Lieutenant Matt Hicks Lieutenant Matt Mull Lieutenant Dennis Westerman

2 Disclaimers 1. The following opinions are my own. They do not necessarily represent: The Texas Department of Public Safety The APA, AAPP, TALEPI, USAT 2. Always remember the confirmation bias is alive and well in all of us especially me Be skeptical and feel free to ask me why Be prepared for I don t know

3 Presentation Codes Evidence Based Backed up by empirical evidence from scientific studies Opinions and Anecdotal Evidence of Efficacy Never trust opinions Scripted Language You can read this word for word (Important language) Other Important Stuff If the slide title is color coded, everything on the slide follows the color code

4 DLC Course Outline (Basic Educational Objectives) Part 1 The Directed Lie Comparison Advantages/Disadvantages History and Research Practical and Effective Use Evaluation Considerations Part 2 The Utah Directed Lie Test Effective use of DLCs in diagnostic testing Part 3 The Directed Lie Screening Test (DLST) A standardized approach for using DLCs in screening (How it s administered at the Texas DPS)

5 DLC Course Outline (Advanced Educational Objectives) Part 4 What the DLST and DLC have taught us What the Texas DPS has learned from over 10K DLC exams Successive hurdles (or screens) approach How DLCs have showed us how to improve chart data and defend against countermeasures

6 Part 1 The Directed Lie Comparison

7 It s a basic survival instinct to fear change

8 Advantages of DL Comparisons Less manipulative, intrusive and confrontational (like the persuasive pre-test) = increased disclosure Better tolerated by intelligent examinees and Your current and future colleagues Easy to explain to lay people Less sensitive to examiner competence = consistency Have been shown to be as or more effective as PLCs CMs are easier to identify/less CMs than PLCs (Honts 2015) Work well on repeatedly tested individuals A great option for examinees refusing to answer PLCs Significantly improved chart data quality

9

10 Disadvantages of the DLCs (From what I have seen) They can be more difficult to set on low IQ individuals In diagnostic testing, they don t facilitate post-test confessions as well as PLCs (my opinion!) Examiners don t believe they work as well as PLCs They don t trust them They try to enhance them Legacy PLC examiners must gain confidence that less intrusive DLCs work. Examiners new to DLCs ask what to do when DLCs are not responsive. What do you do when DLCs don t work?

11 Find out why the examinee is lying to the relevant questions

12 Screening TES/DLST Where can DLCs be used? Utah Directed Lie Test Diagnostic Utah Directed Lie Test Federal Zone Comparison Test Directed Lie Comparison Test (AFMGQT V1 and V2) NCCA (2012) Concerns for false negative outcomes with Version 1 format Directed Lie Diagnostic Test (DLDT)

13 Techniques Ranked by Accuracy Technique Accuracy w/out Inconclusives ZCT Fed/Utah/ESS 92% 10% You-Phase Fed/ESS 92% 19% DLST/ESS 86% 9% AFMGQT/ESS 88% 17% CIT (GKT)/Lykken 80% 0% *Reid 83% 6% *RI Screening 83% 0% Inconclusive Rate American Polygraph Association (2011). Meta-analytic survey of criterion accuracy of validated polygraph techniques. Polygraph, 40(4), * Krapohl, D.J., Validated polygraph techniques, Polygraph, 35,3, (2006)

14 History and Evidence of DLC Efficacy Mid-1960s - Hitchcock developed the DLC and believed it offered: An improved way of dealing with the nuances of repeated and extended testing A less confrontational environment A way of ensuring that comparison questions were not related to the issue Hitchcock believed that examiners should be as truthful as possible to obtain quality results

15 History and Evidence of DLC Efficacy 1960s - Used in military intelligence exams during and since the Vietnam war Counterintelligence Screening Test used DLCs (Barland) Found DLCs effective in multi-issue testing 1982 (Fuse, unpublished paper) Introduced DLCs into polygraph literature (Honts & Raskin) Found DLCs more standardized and straightforward than PLCs. DLCs in criminal testing had an accuracy level of.92 and an inconclusive rate of.04 (Utah Directed Lie Test)

16 History and Evidence of DLC Efficacy (Raskin & Kircher) DLCs improved accuracy for truthful and deceptive subjects in computerized testing (Menges 2004 paper) Federal government began extensive use of the Test of Espionage and Sabotage (TES) (Reed) Supported DLCs in single issue testing 1995(a) & (b) - (DoDPI Research Staff) The TES (DLCs) had more correct decisions than PLCs or DLCs used in other screening formats They provide advantages in screening that are hard to ignore 1997 (Horowitz, et al) Supported DLCs in single issue testing (Utah Directed Lie Test)

17 History and Evidence of DLC Efficacy 1997 & (DoDPI Research Staff) The TES (using DLCs) had high levels of sensitivity and specificity (Honts & Raskin) Supported DLCs in criminal testing (Kircher, et al) Supported DLCs over PLCs (Alloway & Honts) Supported DLCs in the TES (Raskin & Honts) Developed a detailed description for the Utah DLT Determined the Utah DLT is as effective as the Utah PLT

18 History and Evidence of DLC Efficacy 2004 (Menges) DLCs are valuable in a variety of applications (Handler & Nelson) Developed a detailed description for the DLT 2010 (Kircher, et al) Utah DLT is as effective as the Utah PLT (Nelson & Handler, et al) Supported DLCs in the DLST 2011 (2) - (Nelson & Handler, et al) Supported DLCs in DLST (Honts & Reavy) DLCs work as well as PLCs and have may advantages Studied many aspects of DLCs CMs/algorithms/Pneumos

19 Differences between DLCs and PLCs Introductory statement of question types: (usually) Known Lie, Known Truth and Investigative Questions Setting of DLCs requires clear instructions May be scripted No foundation is necessary Other considerations The pneumograph channel may be effected by DLCs You can t massage DLCs to make them work better No inclusive or exclusive DLC (Time bars are optional) For examinee recognition only

20 What is a DLC? A DLC is a known lie that results from having a subject agree to lie to questions about something everyone has done The examinee must agree to committing the act The examinee must agree to lie to the question during the test For Example: In your entire life, did you ever make a mistake? In your entire life, did you ever tell even one lie? In your entire life, did you ever commit a traffic violation?

21 More DLC Examples In your entire life, did you ever lie to keep yourself out of trouble? In your entire life, did you ever say anything in anger that you later regretted? In your entire life, did you ever lie to a previous supervisor about anything? In your entire life, did you ever lie to a co-worker about anything? In your entire life, did you ever brag about yourself to impress others?

22 Personal Directed Lies Good In your entire life, did you ever lie to keep yourself out of trouble? (No) In your entire life, did you ever say anything in anger that you later regretted? (No) In your entire life, did you ever violate a traffic law? (No) In your entire life, did you ever make a mistake? (No) Note the time bars- They simply identify the question early on as one of those to which the examinee has been instructed to lie.

23 Trivial Directed Lies Bad Is there a curtain on the wall in front of you? (No) Are the lights on in this room? (No) Is Guam an Island? (No)

24 Best Type of Comparisons?

25 Rationale for DLCs (Deceptive) Same rational as PLCs For Deceptive subjects, the focus should be on the relevant questions they will answer deceptively. This is enforced after the number test when the examiner states the subject reacts very clearly when lying. Thus, the Deceptive should show larger physiological responses to the relevant questions than to the directed lie questions.

26 Rationale for DLCs (Truthful) Similar rational as PLCs For those being truthful in their responses to the relevant questions, their greatest concern should be about their responses to the DLCs. They know their responses to the relevant questions are truthful; therefore, they should be most concerned about responding appropriately to the DLCs.

27 Introduction Script You will be asked three types of questions on your test. The investigative questions the background investigators/police/etc. want to know about, known lie questions where I will have you lie to me, and known truth questions where I know you will be telling the truth. I will compare all of these questions to determine whether you are being truthful with me today regarding XX.

28 To pass this test you must do two things which are both equally important. The first is to be 100% honest to the investigative questions and the second is to correctly follow my instructions. If you tell the truth to the investigative questions and follow my instructions you will pass your test today. If you don t do both, you will not pass your exam

29 There are two ways the test can result either you pass, or you don t pass. When someone doesn t pass it s because they lie to one or more questions OR because they don t follow instructions. NOT PAYING ATTENTION during the exam can also cause a person to not pass the exam. So I will ask your cooperation right up front; please pay attention throughout the exam. Do you understand?

30 Acquaintance Testing (Known Solution Peak of Tension) I m now going to introduce to you the practice test which will serve several purposes: It will determine whether you respond physiologically when you lie. Ensure the instrument is working properly and adjusted to your physiology. Let you know how it feels to take the actual polygraph test with the sensors connected to you. Allow you to practice sitting still during the exam. And practice answering with a simple yes or no. Now please write the missing number on the blank line.

31 Work disciplinary action Military disciplinary action

32 Post Acquaintance Test Feedback Script Excellent! Despite some movements on your part, it was very easy to see where you lied on this practice test. You reacted strongly when you lied about the number 3. Even though lying about writing a number is insignificant, you still responded! Lying during the actual test will cause even greater responses, since lying on the test will be about more serious issues than just writing a number. This means the instrument and your body are functioning properly. Your body responds appropriately when you lie and this makes you a good candidate for the polygraph test. Remember to tell the truth and follow all my instructions including remaining still on the exam or you will not pass this exam.

33 Acquaintance Testing Research has shown that acquaintance tests combined with effective feedback increases polygraph decision accuracy. Bradley & Janisse (1981) Elaad & Kleiner (1986) Kircher, Packard, Bell & Bernhardt (2001) American Polygraph Association (By-laws) Each member shall conduct an acquaintance test for all evidentiary, paired-testing, initial community safety and initial investigative examinations.

34 Introducing the Directed Lie Questions (Follows introduction of the Relevant/Investigative Questions) I ll now discuss the known lie questions with you. These questions, like the number three question on the practice test, will show how your body responds when you tell a lie. These questions are important for two reasons: They ensure your body has the capability of responding when you tell a lie and so you pay attention throughout the exam. Do you understand these reasons? (Examinee should answer Yes )

35 Let me ask you the following question: In your entire life, did you ever lie to stay out of trouble? This of course is something everyone has done so it s reasonable to assume the answer to this question is yes? Correct? (Examinee should answer Yes ) Now let me ask you this question again and this time I want you to lie to me. In your entire life, did you ever lie to stay out of trouble? (Examinee should answer No )

36 Perfect! It is imperative you correctly follow these instructions so your body will respond appropriately during the exam. Answering any of these questions incorrectly will result in you not passing your exam.

37 There will also be a second known lie question on this test. Answer the following question truthfully as this again is something everyone has done. In your entire life, have you ever lied to someone in authority? (Examinee should answer Yes ) Now I will repeat the question and I want you to lie to me on this question. In your entire life, have you ever lied to someone in authority? (Examinee should answer No )

38 Do you understand my instructions on how to answer these known lie questions? (Examinee should answer Yes ) Great! I will make it very easy for you of follow these instructions by giving you a hint when you need to lie. The questions where you need to lie to me will be easy to recognize because they will all start with: In you entire life

39 DLC Warning! (For the best examiner in the room) You do not have to over sell DLCs! In the past we would set DLCs by having the examinee recall the specific lie as the examinee answered the DLCs. If you do, it will result in DLC Breathing which is not a diagnostic feature. The prior explanation is more than sufficient to cause cognitive dissonance/mental DLC gymnastics that will cause a salient response. BTW Who is the best examiner in this room?

40 Examinee was told to think about the situation he was lying about when answering the DLCs.

41 Examinee stated after this exam that the examiner told him that he needed to respond to the DLCs.

42 Same examinee tested the following day with instructions to make sure he is lying so that he will respond appropriately.

43 Test Data Analysis Score using ESS, Federal 3, Federal 7 position or Utah scoring. Score Left or Right to the stronger component. (When you can) No Split Opinions. An examinee is SR, NSR, or INC to the test, never to a single question. Research suggests that when a subject is deceptive on a polygraph test, it is not always to the question to which the subject scores the most deceptive Barland (1981) Barland, Honts, & Barger (1989) Correa & Adams (1981) Raskin, Kircher, Honts, & Horowits (1988)

44 Pneumograph Caution Horowitz, et al (1997) and Kircher, et al (2001) found the pneumos in DLC exams don t appear to have diagnostic value for truthful subjects (n-300) Discussed DLC Breathing as a factor Kircher & Raskin (2002) concurred these studies failed to find significant RLL differential. (computer measurements only) As a result, DLC pneumos historically have not been evaluated or only evaluated as a 0 or -1 only Multiple other DLC studies have not noted this issue Honts & Handler (2014) concluded pneumos in the above studies were diagnostic. (Computer & hand scoring) Honts & Reavy (2015) found DLC pneumos diagnostic However less diagnostic that EDA, vasomotor & cardio

45 Texas DPS Pneumo Recommendations (From anecdotal experience & scientific research) In the absence of DLC breathing, DLC pneumos appear to have the same diagnostic value as PLC pneumos Based on QC reviews of over 10K DLC Charts Use the pneumos as artifact detectors Don t worry about data loss as pneumos account for very little of the diagnostic value (19% in OSS-3) With ESS, most pneumos are not evaluated Most inter-rater disagreement comes from the pneumos Most humans are not good at comparing line lengths by sight The pneumo is the easiest channel to manipulate Recommendation Evaluate DLC Pneumos cautiously and conservatively

46 Part 2 The Utah Directed Lie Test

47 Learn: Basic Educational Objectives the history, use and utility of the Utah DLT. differences between the Utah approach and other ZCT formats the eight step Utah approach. Utah Test Data Analysis recommendations

48 I1 Introductory SR2 Sacrifice Relevant N1 Neutral C1 Comparison R1 Relevant N2 Neutral C2 Comparison R2 Relevant N3 Neutral C3 Comparison R3 Relevant The Format (3Q ZCT)

49 Four Question Version I1 Introductory SR2 Sacrifice Relevant N1 Neutral C1 Comparison R1 Relevant R2 Relevant C2 Comparison N3 Neutral (optional) If inserted, the examiner will skip over this Neutral Question during scoring. R3 Relevant R4 Relevant C3 Comparison N2 Neutral

50 The Utah Approach Developed by Dr. David Raskin in the 1970s First technique by a developer with a background in psychophysiology, psychometrics and decision theory First technique not named after the developer Most peer reviewed technique on earth Designed to improve decision accuracy in all polygraph exams Single Issue Multi-facet Multi-issue

51 Do DLCs work in real cases? The Texas DPS transitioned to DLCs in Stats (n-911) DI....59% INC % CM...3% Refusal....10% Confession. 43% 2014 Stats (n-580) DI.. 72% INC.. 2.2% CM % Refusal....12% Confession.43% Pre 2013 Mindset Start with PLCs and move to DLCs if necessary Current Mindset Start with DLCs and move to PLCs if necessary

52 Chart 1

53 Chart 2

54 Chart 3

55 No Deception Indicated (ESS) Examinee suspected of murdering his wife Did you kill Shawnna? Did you participate in killing your wife? Did you kill that woman at that residence? In your entire life, have you ever told even one lie? In your entire life, have you ever violated any law? In your entire life, have you ever done anything immoral, illegal or dishonest? Examiner Sub-totals +6, -1, -1 Grand Total +4 QC Sub-totals +5, -2, +1 Grand Total +4 Toxicology and further evidence later determined the cause of death resulted from a drug overdose.

56 Utah Pretest Goals The Utah DLT is an approach which differs slightly from other pretests The goal is to provide a non-threatening nonconfrontational environment that: Avoid complicating, or adding to, an examinee's authentic emotional reaction to the test questions Avoid causing confusion, or increasing cognitive demands, regarding the test stimulus Avoid altering the natural and authentic sensitization and habituation processes that occur in deceptive and truthful persons

57 Utah Pretest Goals Sensitize the deceptive to their deception Re-live the event (event specific exams) Build a response potential by allowing them to lie about the event through their free narrative Habituate the truthful to impact of being questioned during testing Desensitizing them to the relevant issue Answering questions without duress, disbelief, or harassment, will habituate truthful persons to the impact of questioning during testing

58 PREPARATION INTRODUCTION OVERVIEW Utah Pretest (Eight Steps) RIGHTS ADVISEMENT/CONSENT BIOGRAPHICAL DATA COLLECTION DISCUSSION OF ISSUE (Free Narrative) PDD EXPLANATION Acquaintance Test/QUESTION INTRODUCTION NOTE This should take at least an hour to complete

59 Preparation (Step 1) For Diagnostic Exams Formulate relevant test areas Plan a strategy for the comparisons Individualized CQs are more effective than standardized ones For Screening Exams Consult with hiring officials to determine behaviors which contribute to meaningful hiring decisions Predict job success Are memorable Not covered by other processes

60 Introduction (Step 2) Introduce yourself and give an overview of the entire PDD process Firm but friendly handshake and smile Initial pleasantries & icebreaking; build rapport Photo identification if the person has not already been verified by investigators

61 Introduction (Step 2) Get examinee in the talking mode; ask open ended questions ( Tell me about yourself. ) Ensure cell phones or other noise making devices are off Why are you here today? Have you ever taken a polygraph exam before?

62 Overview (Step 3) Explain the following: The process can last 2 to 3 hours Examinee will have a chance to tell their side of the story Questions will be formulated together Examinee will get to take a practice test to ensure they are a suitable test subject Examinee will know the results of the exam before they leave

63 Overview (Step 3) You have no reason not to believe examinee Point out any visible recording devices in the room Provide examinee with Introduction Script

64 Introduction Script You will be asked three types of questions on your test. The investigative questions the investigators/ police/etc. want to know about, known lie questions where I will have you lie to me, and known truth questions where I know you will be telling the truth. I will compare all of these questions to determine whether you are being truthful with me today regarding XX.

65 To pass this test you must do two things which are both equally important. The first is to be 100% honest to the investigative questions and the second is to correctly follow my instructions. If you tell the truth to the investigative questions and follow my instructions you will pass your test today. If you don t do both, you will not pass your exam

66 There are two ways the test can result either you pass, or you don t pass. When someone doesn t pass it s because they lie to one or more questions OR because they don t follow instructions. NOT PAYING ATTENTION during the exam can also cause a person to not pass the exam. So I will ask your cooperation right up front; please pay attention throughout the exam. Do you understand?

67 Consent (Step 4) Inform the examinee of all rights and obtain the necessary signatures Reiterate the exam is voluntary

68 Biographical Data Collection (Step 5) Should cover health, past polygraph history and any other relevant history It s the examiner s responsibility to determine if the examinee is both physically and mentally able to take the exam Refer to the APA Model Policy on Examinee Suitability Bio collection is more important with PLCs Tool for laying the foundation for the comparison questions which is not necessary with DLCs

69 Free Narrative (Step 6) Allow the examinee to tell their side of the story without interruption Follow up with clarifying questions but DO NOT sensitize the examinee by picking at them You may: Ask questions Challenge denials/small admissions once Probe (gently) for clarification as needed (TMMAT) Organize the information for the referring agent

70 Free Narrative (Step 6) The deceptive person must re-live the crime and the truthful person must be habituated to it. Therefore: Ask them what they know about the crime? Once they have told you all they know, tell them the case facts Walk them through the crime

71 Provide the Examinee with a Break Advantages to a scheduled break Improved data quality Less falling asleep Fewer complaints regarding prolonged interrogations Less likely you will be required to remove and replace the components

72 PDD Explanation (Step 7) Attach Components during PDD Instrument Explanation Attaching the sensors earlier allows them to stabilize, especially the electrodes for EDA (improved data quality) Saves time Emotion/Cognition/Behavioral Conditioning vs. FFF

73 PDD Explanation (Step 7) In my experience this is usually overdone The examinee didn t come for a physiology lesson Provide the examinee with a concise overview of: the instrument, components, what they measure (this can be done while attaching the instrument) and why the body has an automatic reaction when we lie. To verify the examinee understands you and is ready to move on, ask the following question: Based on what I described to you, do you now understand how polygraph works?

74 Known Solution Number Test (Preferred with DLCs) I m now going to introduce to you the practice test which will serve several purposes: It will determine whether you respond physiologically when you lie. Ensure the instrument is working properly and adjusted to your physiology. Let you know how it feels to take the actual polygraph test with the sensors connected to you. Allow you to practice sitting still during the exam. And practice answering with a simple yes or no. Now please write the missing number on the blank line.

75 Work disciplinary action Military disciplinary action

76 Post Acquaintance Test Feedback Script Excellent! Despite some movements on your part, it was very easy to see where you lied and where you told the truth on this practice test. You reacted strongly when you lied about the number 3. Even though lying about writing a number is insignificant, you still responded! Lying during the actual test will cause even greater responses, since lying on the test will be about more serious issues than just writing a number. This means the instrument and your body are functioning properly. Your body responds appropriately when you lie and this makes you a good candidate for the polygraph test. Remember to tell the truth, follow all my instructions and remain still or you will not pass this exam.

77 Acquaintance Test Reminders Other Acquaintance Test Formats also work Many Texas DPS Examiners use the Blind Acqt. They have higher confession rates??? Use caution if showing the charts? Always point out any movements on the exam Improves data quality Research has shown that acquaintance tests combined with effective feedback increases polygraph decision accuracy. Bradley and Janisse 1981 Elaad and Kleiner 1986 Kircher, Packard, Bell and Bernhardt 2001

78 Formulate & Review Test Questions Finalize the relevant and comparison questions you will ask during the exam This is usually done during the break Determine whether a three or four relevant question format will be used Three question is recommended Discuss and establish the operational definition of each relevant question is the same for the examiner and examinee The definition is more important than the verbiage

79 The Comparison Questions (Script for setting up screening DLCs) I ll now discuss the known lie questions with you. These questions, like the number three question on the practice test, will show how your body responds when you tell a lie. These questions are important for two reasons: They ensure your body has the capability of responding when you tell a lie and so you pay attention throughout the exam. Do you understand these reasons? (Examinee should answer Yes )

80 Let me ask you the following question: In your entire life, did you ever lie to stay out of trouble? This of course is something everyone has done so it s reasonable to assume the answer to this question is yes? Correct? (Examinee should answer Yes ) Now let me ask you this question again and this time I want you to lie to me. In your entire life, did you ever lie to stay out of trouble? (Examinee should answer No )

81 Perfect! It is imperative you correctly follow these instructions so your body will respond appropriately during the exam. Answering any of these questions incorrectly will result in you not passing your exam.

82 There will also be a second known lie question on this test. Answer the following question truthfully as this again is something everyone has done. In your entire life, have you ever lied to someone in authority? (Examinee should answer Yes ) Now I will repeat the question and I want you to lie to me on this question. In your entire life, have you ever lied to someone in authority? (Examinee should answer No )

83 Do you understand my instructions on how to answer these known lie questions? (Examinee should answer Yes ) Great! I will make it very easy for you of follow these instructions by providing you with a hint when you need to lie. The questions where you need to lie to me will be easy to recognize because they will all start with: In your entire life

84 Questions Review Sacrifice Relevant Question - Non Accusatory Regarding XX, do you intend to answer each question truthfully? Relevant Questions - clear, concise, direct Comparison Questions - DLCs Neutral Questions - allow orienting response/use to reestablish baseline Introductory Question - helps assure no un-reviewed questions asked & dissipate general nervous tension Do you understand I will only ask you the questions we discussed?

85 Utah Approach Exam Formats Three Question - can be used for single issue or multi-facet testing Single issue test: Three presentations of the same question reworded slightly each time Multi-facet test Two presentations of primary relevant, with a secondary relevant (evidence connecting, secondary involvement or guilty knowledge) as the third relevant question Three separate relevant questions regarding the same issue

86 The Format (3Q ZCT) I1 Introductory SR2 Sacrifice Relevant N1 Neutral C1 Comparison R1 Relevant N2 Neutral C2 Comparison R2 Relevant N3 Neutral C3 Comparison R3 Relevant

87 Three Question Version I1 Do you understand I will only ask you the questions we discussed? SR2 Regarding whether you shook Ellyanna, do you intend to answer each question truthfully? N1 Before 2014, did you ever drink a soda? C1 In your entire life, did you ever tell a single lie? R1 Did you shake Ellyanna? N2 Before 2014, did you ever eat a home cooked meal? C2 In your entire life, did you ever make a single mistake? R2 Did you shake Ellyanna at your apartment? N3 Before 2014 did you ever watch a movie? C3 In your entire life, did you ever tell a lie to your Mom? R3 Did you shake Ellyanna at any time?

88 Chart 1

89 Chart 2

90 Chart 3

91 Results ESS Scoring -5, +4, -5 Grand Total -6 Deception Indicated The examiner obtained a confession to shaking his one month daughter until the she began having seizures. The examinee also confessed to failing to seek medical attention for his daughter.

92 Exam Formats (continued) Four Question - can be used for multi-facet testing. Similar to AFMGQT V2 (Relevant questions are bracketed by two CQs) Multi-facet test. One to four presentations of a primary relevant question with the remainder of relevant questions being secondary relevant questions (evidence connecting, secondary involvement or guilty knowledge) NOTE: Accuracy has been shown to be higher for Single Issue Tests and the majority of research supporting the Utah involved Single-Issue Tests.

93 Four Question Version I1 Introductory SR2 Sacrifice Relevant N1 Neutral C1 Comparison R1 Relevant R2 Relevant C2 Comparison N3 Neutral (optional) If inserted, the examiner will skip over this Neutral Question during scoring. R3 Relevant R4 Relevant C3 Comparison N2 Neutral

94 In-Test Operation Give concise behavior instructions Question presentation (3/5 Rule) If after three charts the numerical evaluation results are inconclusive, conduct an additional two charts then total all scores for the entire series Rotate each neutral, comparison and relevant question Use question pacing of 25 to 30 seconds

95 Question Rotation-3 Question Version 1st Chart I1,SR2,N1,C1,R1,N2,C2,R2,N3,C3,R3 2nd Chart I1,SR2,N2,C3,R2,N3,C1,R3,N1,C2,R1 3 rd Chart I1,SR2,N3,C2,R3,N1,C3,R1,N2,C1,R2 Additional charts as needed. 4th Chart I1,SR2,N1,C1,R1,N2,C2,R2,N3,C3,R3 5th Chart I1,SR2,N2,C3,R2,N3,C1,R3,N1,C2,R1

96 Question Rotation - 4 Question Version 1st Chart- I1,SR2,N1,C1,R1,R2,C2,N3(optional),R3,R4,C3,N2 2nd Chart- I1,SR2,N2,C2,R1,R2,C3,N3(optional),R3,R4,C1,N1 3rd Chart- I1,SR2,N1,C3,R1,R2,C1,N3 (optional),r3,r4,c2,n2 4th Chart- I1,SR2,N1,C1,R1,R2,C2,N3(optional),R3,R4,C3,N2 5th Chart- I1,SR2,N2,C2,R1,R2,C3,N3(optional),R3,R4,C1,N1

97 1st Chart- Question Rotation - 4 Question Version - without additional Neutral Question I1,SR2,N1,C1,R1,R2,C2,R3,R4,C3,N2 2nd Chart- I1,SR2,N2,C2,R4,R3,C3,R2,R1,C1,N1 3rd Chart- I1,SR2,N1,C3,R3,R2,C1,R1,R4,C2,N2 4th Chart- I1,SR2,N1,C1,R1,R2,C2,R3,R4,C3,N2 5th Chart- I1,SR2,N2,C2,R1,R2,C3,R3,R4,C1,N1

98 Between Chart Stimulation Ensures investigative/relevant questions are clear Ensures known lie/comparison questions remain salient Between chart stimulation resulted in reduction of false negatives (54%), modest reduction of false positives (3%) and decrease in inconclusive results (42%) Honts (1999) Offe, Offe (2007) and Honts, Reavy (2015) could not replicate these findings. Honts, Reavy (2015) concluded between chart stimulation did not have a negative effect

99 Between Chart Stimulation Example Examiner: OK Roy, did you have any problems with any of the questions on your test? Roy: No. Examiner: Did anything come to mind when I asked you the investigative questions? Roy: No. Examiner: Do you remember the known lie questions in which you need to lie? Roy: Yes. Examiner: Remember the importance of paying attention to all the questions as the question order may change. Roy: OK

100 Test Data Analysis The UTAH DLT is valid using ESS, Utah and Federal 7 position scoring ESS is recommended Use appropriate cut scores based on the type of scoring system utilized For the Three-Question Version the relevant question is normally compared to the preceding comparison question for evaluation. If the preceding comparison question is distorted by an artifact, the examiner may use the closest artifact-free comparison question for evaluation It is not recommended to use any comparison other than the closest or second closest

101 The Format (3Q ZCT) I1 Introductory SR2 Sacrifice Relevant N1 Neutral C1 Comparison R1 Relevant N2 Neutral C2 Comparison R2 Relevant N3 Neutral C3 Comparison R3 Relevant

102 Test Data Analysis (MGQT) For the Four-Question Version the examiner compares the relevant question to the two bracketing comparison questions, component by component. Physiological tracings that are affected by artifacts are excluded from evaluation The examiner will skip over any Neutral Question inserted to re-establish tracing stability

103 Four Question Version I1 Introductory SR2 Sacrifice Relevant N1 Neutral C1 Comparison R1 Relevant R2 Relevant C2 Comparison N3 Neutral (optional) If inserted, the examiner will skip over this Neutral Question during scoring. R3 Relevant R4 Relevant C3 Comparison N2 Neutral

104 Test Data Analysis Single Event Multi-Facet Three Question Single Event Single/Multi-facet (Utah or Federal 7) NDI = +6 or more grand total (Fed: & + in all sub-totals) DI = -6 or less grand total (Fed: or -3 in any sub-total) INC = +5 to -5 Single Event Single/Multi-facet (ESS two stage) NDI = +2 or more grand total DI = -4 or less grand total or (-7 or less sub-total) INC = anything else

105 Test Data Analysis Multiple Event Multi-Facet Four Question Multiple Event/Facet (Utah or Federal 7) NDI = +3 or greater in all sub-totals DI = -3 or less in any sub-total INC = anything else A study (in press) shows grand totals increase the accuracy of Multi-Facet Four Question MGQTs (ESS +5 NDI -4 DI Alpha.05) Multiple Event/Facet (ESS) NDI = +1 or greater in all sub-totals DI = -3 or less in any sub-total INC = anything else

106 Chart Evaluation Notes No specific response onset windows Reactions should generally start between question onset and five (5) seconds after the answer Use good judgment regarding reactions which start too early or late EDA and PLE should have smaller latencies Reactions that begin in the response onset window can generally be scored for up to 20 seconds

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108 Part 3 The Directed Screening Test (DLST)

109 Learn: Educational Objectives the goals of applicant screening. the advantages and utility of the DLST. accuracy of the DLST. a very brief history of the DLST. a standardized approach to administering the DLST. (How it s used at the Texas DPS) A scripted method with test data analysis recommendations

110 Why do we screen applicants? Disclosure (applicants tell our examiners much more than they tell background investigators) Deterrence (the polygraph keeps unsuitable applicants from applying) Detection (We identify those who lie to us) So which of these is going to make you successful? INFORMATION!

111 Why else do we screen applicants?

112 Advantages of the DLST Highly Standardized Easy Technique to Learn and Administer More Accurate than Other Screening Techniques Have shown increased sensitivity to deception Have shown increased specificity to truthfulness Decreased Inconclusive Exams Focuses on Only Two Questions at a Time Takes less time to administer than the MGQT Increased Inter-rater Reliability (inter-examiner consistency) compared to other screening methods

113 DLST A screening exam derived from the counterintelligence screening test used by US Army Intelligence beginning in 1971 and the Test for Espionage and Sabotage (TES) used extensively by the US govt. beginning in 1993 Recommended for the following uses National Security Law Enforcement Pre-employment Post-Conviction Sex Offender Testing Blaylock, B., Nelson, R. and Handler, M. A Focused Polygraph Technique for Law Enforcement Screening & PCSOT, Polygraph, volume 37, number 2. (2008)

114 DLST Procedure 1 chart 2 NQs 1 Sacrifice Relevant (not scored) 2 RQs presented 3 times each 3 artifact free (interpretable) presentations are required for each RQ 2 DLCs presented 2 times each

115 DLST Question Sequence Presentation 2 X N1 N2 SR 1C1 1R1 1R2 1C2 2R1 2R2 2C1 3R1 3R2 2C2 XX Question intervals from stimulus onset to stimulus onset should not be less than 20 seconds. Presentation 1 Presentation 3

116 Most screening techniques are not standardized (The DLST is) Acquaintance Test? CQs are left to discretion of examiner How to lay foundation/set CQs is up to examiner RQ explanations are up to examiner Time spent in pre-test is up to examiner The DLST has a standardized pre-test, Acqt. Test, RQs and CQs that improve reliability

117 Standardized Presentation Examiner Examiner or Computer Examiner Examiner or Computer Examiner Build Rapport Verify ID Introduction Consent & Bio Forms In-depth Background Interview Restroom Break Examiner and Instrument Introduction Physiology Explanation ACQT Description & Administration ACQT Feedback Question Review and Description Behavior Instructions Test Administration Test Data Analysis Post-test Interview/Closing

118 Standardized Presentation Examiner Examiner or Computer Examiner Examiner or Computer Examiner Build Rapport Verify ID Introduction Consent & Bio Forms In-depth Background Interview Restroom Break Examiner and Instrument Introduction Physiology Explanation ACQT Description & Administration ACQT Feedback Question Review and Description Behavior Instructions Test Administration Test Data Analysis Post-test Interview/Closing

119 Don t start the exam without Rapport and Influence Authority - We feel duty or obligation to people in positions of authority so be that authority. Liking - We're more influenced by people we like so be likeable. Reciprocity - As humans, we generally aim to return favors, pay back debts. Unsolicited cokes/coffee/candy = confessions Commitment (and Consistency) - We have a deep desire to be consistent. Get a promise to be truthful. Social Proof People seek out "safety in numbers." Our agency hires imperfect people but not LIARS! Scarcity Rare things are more attractive. Don t waste the chance of a lifetime by not being truthful. Cialdini, R. B. (2001). Influence: Science and practice (4th ed.). Boston: Allyn & Bacon

120 Standardized Presentation Examiner Examiner or Computer Examiner Examiner or Computer Examiner Build Rapport Verify ID Introduction Consent & Bio Forms In-depth Background Interview Restroom Break Examiner and Instrument Introduction Physiology Explanation ACQT Description & Administration ACQT Feedback Question Review and Description Behavior Instructions Test Administration Test Data Analysis Post-test Interview/Closing

121 Introduction Verifications Cell phones are off Examinee is not armed Examinee is fed, watered and had a potty break Examinee knows exam could take several hours Provide examinee an overview (review app, practice exam, regular exam 3 to 7 charts, results) Tell the examinee they will know the results of the exam before they leave Inform examinee your department is not looking for perfect people but will not hire dishonest ones

122 Introduction Script You will be asked three types of questions on your test. The investigative questions the background investigators want to know about, known lie questions where I will have you lie to me, and known truth questions where I know you will be telling the truth. I will compare all of these questions to determine whether you are being truthful with me today regarding your application forms.

123 To pass this test you must do two things which are both equally important. The first is to be 100% honest to the investigative questions related to your application and the second is to correctly follow my instructions at all times as all of our applicants must demonstrate they can perform under stress. If you tell the truth to the investigative questions and follow my instructions you will pass your test today. If you don t do both, you will not pass your exam

124 There are two ways the test can result either you pass, or you don t pass. When someone doesn t pass it s because they lie to one or more questions OR because they don t follow instructions. NOT PAYING ATTENTION during the exam can also cause a person to not pass the exam. So I will ask your cooperation right up front; please pay attention throughout the exam. Do you understand?

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126 Standardized Presentation Examiner Examiner or Computer Examiner Examiner or Computer Examiner Build Rapport Verify ID Introduction Consent & Bio Forms In-depth Background Interview Restroom Break Examiner and Instrument Introduction Physiology Explanation ACQT Description & Administration ACQT Feedback Question Review and Description Behavior Instructions Test Administration Test Data Analysis Post-test Interview/Closing

127 Consent Form Have the applicant read the consent form and tell them this is the first test to see if they can follow basic instructions under stress. Enjoy a cup of coffee or check your messages because the real work of the examiner is about to begin.

128 Standardized Presentation Examiner Examiner or Computer Examiner Examiner or Computer Examiner Build Rapport Verify ID Introduction Consent & Bio Forms In-depth Background Interview Restroom Break Examiner and Instrument Introduction Physiology Explanation ACQT Description & Administration ACQT Feedback Question Review and Description Behavior Instructions Test Administration Test Data Analysis Post-test Interview/Closing

129 A Semi-Structured Interview Script is Recommended We use standardized question sheets Tell me about your employment history. How many times have you been written up or received some type of disciplinary action at work? (assumptive question) If no confront (Really you have never been written up?) confrontation question. How many times have you been fired from a job? Why? Give me your background regarding your law enforcement history. Tell where else you have applied? (assumptive) Why were you not hired by that agency? Tell me about the times you misused of information. Tell me about the times you used seized property for personal reasons. Tell me about the times you lost your temper and mistreated a prisoner.

130 Standardized Presentation Examiner Examiner or Computer Examiner Examiner or Computer Examiner Build Rapport Verify ID Introduction Consent & Bio Forms In-depth Background Interview Restroom Break Examiner and Instrument Introduction Physiology Explanation ACQT Description & Administration ACQT Feedback Question Review and Description Behavior Instructions Test Administration Test Data Analysis Post-test Interview/Closing

131 Standardized Presentation Examiner Examiner or Computer Examiner Examiner or Computer Examiner Build Rapport Verify ID Introduction Consent & Bio Forms In-depth Background Interview Restroom Break Examiner and Instrument Introduction Physiology Explanation ACQT Description & Administration ACQT Feedback Question Review and Description Behavior Instructions Test Administration Test Data Analysis Post-test Interview/Closing

132 Examiner and Instrument Introduction Physiology Explanation In my experience this is usually overdone The examinee didn t come for a physiology lesson Provide the examinee with a concise overview of: the instrument, components, what they measure (this can be done while attaching the instrument) and why the body has an automatic reaction when we lie. To verify the examinee understands you and is ready to move on, ask the following question: Based on what I described to you, do you now understand how polygraph works?

133 Standardized Presentation Examiner Examiner or Computer Examiner Examiner or Computer Examiner Build Rapport Verify ID Introduction Consent & Bio Forms In-depth Background Interview Restroom Break Examiner and Instrument Introduction Physiology Explanation ACQT Description & Administration ACQT Feedback Question Review and Description Behavior Instructions Test Administration Test Data Analysis Post-test Interview/Closing

134 Acquaintance Testing (Known Solution Peak of Tension) I m now going to introduce to you the practice test which will serve several purposes: It will determine whether you respond physiologically when you lie. Ensure the instrument is working properly and adjusted to your physiology. Let you know how it feels to take the actual polygraph test with the sensors connected to you. Allow you to practice sitting still during the exam. And practice answering with a simple yes or no. Now please write the missing number on the blank line.

135 Work disciplinary action Military disciplinary action

136 Standardized Presentation Examiner Examiner or Computer Examiner Examiner or Computer Examiner Build Rapport Verify ID Introduction Consent & Bio Forms In-depth Background Interview Restroom Break Examiner and Instrument Introduction Physiology Explanation ACQT Description & Administration ACQT Feedback Question Review and Description Behavior Instructions Test Administration Test Data Analysis Post-test Interview/Closing

137 Post Acquaintance Test Feedback Script Excellent! Despite some movements on your part, it was very easy to see where you lied on this practice test. You reacted strongly when you lied about the number 3. Even though lying about writing a number is insignificant, you still responded! Lying during the actual test will cause even greater responses, since lying on the test will be about more serious issues than just writing a number. This means the instrument and your body are functioning properly. Your body responds appropriately when you lie and this makes you a good candidate for the polygraph test. Remember to tell the truth and follow all my instructions including remaining still on the exam or you will not pass this exam.

138 Standardized Presentation Examiner Examiner or Computer Examiner Examiner or Computer Examiner Build Rapport Verify ID Introduction Consent & Bio Forms In-depth Background Interview Restroom Break Examiner and Instrument Introduction Physiology Explanation ACQT Description & Administration ACQT Feedback Question Review and Description Behavior Instructions Test Administration Test Data Analysis Post-test Interview/Closing

139 The Relevant Questions Prior to the screening process: Standardize all of the investigation targets Standardize all RQs including the RQs for any breakdown examinations Standardize an operational definition of each RQ Prior to chart collection: Review the operational definition of each RQ with the examinee

140 Texas DPS DLST RQs Sub-test A R1 - Are you now withholding any information about your involvement in a crime against a person? R2 - Are you now withholding any information about your involvement in a crime against property? Sub-test B R3 - Are you now withholding any information about your involvement with illegal drugs? R4 - Are you now withholding any information regarding any prior work related disciplinary action?

141 Sub Test A R1 N1 N2 SR 1C1 1R1 1R2 1C2 2R1 2R2 2C1 3R1 3R2 2C2 R1 - Are you now withholding any information about your involvement in a crime against a person? Notice the way this question is worded. It does not include instances you have already told me. It does not include what you know about other people, or what you have seen. It does not include crimes you committed prior to becoming an adult. I m more interested in knowing whether you are now concealing information from me related to crimes against a person you committed as an adult. Specifically this exam covers the following:

142 R1 - Are you now withholding any information about your involvement in a crime against a person? Breakdown Exam 1 R1 Harm of another person Murder Kidnapping Physical Assault Bribery Perjury Robbery Breakdown Exam 1 R2 Sex Crimes Child Molestation Child Pornography Sexual Assault Indecent Exposure in Public Incestuous Act Prostitution Obscene Materials on an Employer s Computer Domestic Violence Terroristic Threat Evading Arrest Physical Assault with a Weapon Illegal Gambling Excessive Use of Force Organized Criminal Activity Withholding Arrest Information Criminal Gang Activity False Report to any Peace Officer Impersonating the Police/Gov. Official Unlawful Possession of Weapon

143 Crimes Against Persons Op Sheet Are you now withholding any information about your involvement in a crime against a person? Murder Kidnapping Physical Assault Bribery Perjury Robbery Domestic Violence Terroristic Threat Evading Arrest Physical Assault with a Weapon Illegal Gambling Excessive Use of Force Organized Criminal Activity Withholding Arrest Information Criminal Gang Activity False Report to any Peace Officer Impersonating the Police/Gov. Official Unlawful Possession of Weapon Child Molestation Child Pornography Sexual Assault Indecent Exposure in Public Incestuous Act Prostitution Obscene Materials on an Employer s Computer

144 Sub Test A R2 N1 N2 SR 1C1 1R1 1R2 1C2 2R1 3R2 2C1 3R1 3R2 2C2 R2 - Are you now withholding any information about your involvement in a crime against a property? Notice the way this question is worded. It does not include instances you have already told me. It does not include what you know about other people, or what you have seen. It does not include property crimes, you committed prior to becoming an adult. I m more interested in knowing whether you are now concealing information from me related to property crimes you committed as an adult. Specifically this exam covers the following:

145 R2 - Are you now withholding any information about your involvement in a crime against a property? Breakdown Exam 2 R1 Theft of Property Theft Employment Theft Burglary Insurance Fraud Identity Theft Forgery Theft of Vehicle Breakdown Exam 2 R2 Damage of Property Vandalism Criminal Mischief Hit and Run Accidents Arson