vii
TABLE OF CONTENTS
CHAPTER
1
2
TITLE
PAGE
DECLARATION
ii
DEDICATION
iii
ACKNOWLEDGEMENTS
iv
ABSTRACT
v
ABSTRAK
vi
TABLE OF CONTENTS
vii
LIST OF TABLES
xiii
LIST OF FIGURES
xviii
LIST OF TERMINOLOGY
xx
LIST OF APPENDICES
xxvi
INTRODUCTION
1
1.1
Overview
1
1.2
Background of the Research
2
1.3
Problem Statement
6
1.4
Research Questions
8
1.5
Research Objectives
8
1.6
Scope of the Research
9
1.7
Structure of the Dissertation
9
LITERATURE REVIEW
12
2.1
Overview
12
2.2
Overview of Polygraph
13
2.3
History of Polygraph
15
2.4
Theories of Polygraph Testing
23
viii
2.5
Polygraph Examination
26
2.6
State of Polygraph Research
31
2.7
Polygraph Policies / Questions Formulation /
Guidelines
2.8
Pre-Employment and Counterproductive
Behaviour Index
2.9
38
Pre-Employment Background Screening by
ASIS
38
2.10
Counterproductive Behaviour Index
39
2.11
Theoretical Framework of Polygraph Testing
42
2.12
Polygraph Pre-Employment Testing
Methodology
43
2.13
Integrity
43
2.14
Available Methodologies for Assessing
Integrity and Honesty
43
2.15
Pre-Employment Framework
47
2.16
Pre-Employment Screening
50
2.17
Counterproductive Behaviour
53
2.18
Profiling
55
2.19
Research Paradigms and Approaches
56
2.20
Multiple Perspectives Theory
61
2.21
Phased Development Research Methodology
62
2.22
The Chosen SDLC Methodology – Phased
2.23
3
35
Development Methodology
64
Summary
68
RESEARCH METHODOLOGY
69
3.1
Overview
69
3.2
Research Strategy
70
3.3
Research Design
74
3.3.1 Operational Research Framework
74
ix
3.4
Phased Development Research Methodology
76
3.4.1
The Chosen Phased Development Research
76
Methodology
3.5
Operational Research Framework
77
3.5.1
Phase 1- Planning (Initial Study & Planning,
77
Literature Review and Research Methodology)
3.6
Phase 2 - Phased Development Methodology –
80
Planning
3.7
Phase 2 - Phased Development Methodology Analysis
3.8
Phase 2 - Phased Development Methodology Design
3.9
83
87
Phase 2 - Phased Development Methodology Implementation
89
3.9.1 Preliminary Construction
89
3.9.2
90
Final Construction
3.9.3 System Test and Installation
90
3.10
93
Phase 2- Phased Development MethodologyVersion II – IV
4
3.10.1 Phased Development
95
3.11
Information System Development
96
3.12
Dissertation Completion
97
3.13
Summary
98
IMPLEMENTATION AND TESTING
99
4.1
Overview
99
4.2
Implementation of Operational Research
100
Framework of Phased Development Research
Methodology
4.3
Formulation on Adoption of Information
100
x
Technology for Counterproductive Behaviour Index
Profiling Through Polygraphic Method Profile Scores
and Multilingual Polygraphic Counterproductive
Behaviour Index Profile Questions
4.3.1
Formulation of Polygraphic Counterproductive
100
Behaviour Index Profile Scores
4.3.2
Formulation of Multilingual Polygraphic
110
Counterproductive Behaviour Index Profile
Questions
4.4
Evolution on Adoption of Information
4.5
Technology for Counterproductive Behaviour
115
Index Profiling Through Polygraphic Method
Framework and System
5
4.6
Data Collection & Analysis
122
4.6.1
Data Collection
122
4.6.2
Survey and Analysis
122
4.7
Lesson Learned
123
4.8
Summary
125
FINDINGS
126
5.1
Overview
126
5.2
The Findings
126
5.3
The Framework – Explained
126
5.4
Findings on the Questionnaires After The
141
5.5
Polygraph Testing
5.4.1 Results of the Questionnaires after Polygraph
142
Examination
5.4.2
Subject Descriptive Analysis
142
5.4.3
Level Analysis
148
5.4.4
Relationship Analysis
150
5.4.5
Inference Analysis
151
xi
6
5.4.5.1 Correlation
151
5.4.5.2 Difference
152
5.6
Polygraph Profiling
154
5.7
Summary
155
DISCUSSION
156
6.1
Overview
156
6.2
Contributions of the Research
162
6.2.1
Process Flow of Polygraph Testing Based on
162
Polygraph Policies
6.2.2 Theoretical Polygraph Testing Framework
162
6.2.3 Policies Gaps of Polygraph Policies
163
6.2.4 New Proposed Polygraph Pre-Employment Model
163
Policy Framework
6.2.5 New Polygraph Policy Transformation Framework
6.2.6
Polygraphic Counterproductive Behaviour Index
163
163
Profile Scores
6.2.7 Multilingual Test Questions for Question
164
Formulation Based on Multiple Perspectives
6.2.8 Framework on Adoption of Information Technology
164
for Counterproductive Behaviour Index Profiling
Through Polygraphic Method
6.2.9 Adoption of Information Technology for
165
Counterproductive Behaviour Index Profiling
Through Polygraphic Method System
6.2.10 Presentation of papers and participate in exhibitions,
workshops, seminars and conferences locally and
internationally on Adoption of Information
Technology for Counterproductive Behaviour Index
Profiling Through Polygraphic Method framework
and system
165
xii
7
6.2.11 Research website: www.polydetect.com.my
169
6.3
170
Summary
CONCLUSIONS, CONTRIBUTIONS AND
171
RECOMMENDATIONS
7.1
Overview
171
7.2
Contributions
171
7.3
Future Studies
175
7.4
Recommendations
175
7.5
Conclusion and Concluding Remarks
176
REFERENCES
Appendices A – L
179
196-254
xiii
LIST OF TABLES
TABLE NO.
TITLE
PAGE
2.1
Polygraph Development
16
2.2
Theories of Polygraph Testing
23
2.3
Membership Count of Polygraph Examiners Worldwide
29
2.4
State of Polygraph Research
31
2.5
American Polygraph Association – Polygraph Policies
35
2.6
Polygraph Question Formulation Guidelines
36
2.7
Polygraphic Counterproductive Behaviour Index
41
Profile Scores
2.8
Available Methodologies for Assessing Integrity and
45
Honesty
2.9
Basic Beliefs of Alternative Inquiry Paradigms
57
2.10
Characters of Pre Polygraph in Multiple Perspectives
62
2.11
Commonly Known Development Phases in SDLC
63
3.1
Comparison of Quantitative and Qualitative Modes
72
3.2
Phase 1 – Planning (Initial Study & Planning,
78
Literature Review and Research Methodology)
3.3
Phase 2: Phased Development Methodology: Planning
81
3.4
Phase 2: Phased Development Methodology: Analysis
85
3.5
Phase 2: Phased Development Methodology: Design
88
3.6
Phase 2: Phased Development Methodology:
91
Implementation
xiv
LIST OF TABLES
TABLE NO.
3.7
TITLE
Phase 2: Phased Development Methodology:
PAGE
94
Version 11 till IV
3.8
Information System Development
97
3.9
Dissertation Completion
97
4.1
Areas Covered on Adoption of Information Technology
101
For Counterproductive Behaviour Index Profiling Through
Polygraph Method And Test Questions Constructions
4.2
Polygraphic Counterproductive Behaviour Index
102
Profile Scores
4.3
Polygraphic Counterproductive Behaviour Overall
108
Concern Scores
4.4
Adaptation of Polygraphic Counterproductive Behaviour
109
Index Profile
4.5
Sample of Counterproductive Index Questions
111
4.6
Sample of Multilingual Questions on Adoption
112
of Information Technology for Counterproductive
Behaviour Index Profiling Through Polygraphic Method
4.7
Testing on Adoption of Information Technology For
119
Counterproductive Behaviour Index Profiling Through
Polygraphic Method System
4.8
Presentation in Seminars: Survey Analysis – Acceptance
122
of Framework and System
4.9
Analysis of Framework and System
124
xv
LIST OF TABLES
TABLE NO.
5.1
TITLE
Process Flow of Final Framework on Adoption of
PAGE
132
Information Technology for Counterproductive
Behaviour Index Profiling Through Polygraphic Method.
5.2
Respondents by Gender (Sex)
141
5.3
Respondents by Age Group
141
5.4
Respondents by Race
142
5.5
Respondents By Placed Principally Employed
142
5.6
Numbers and Percentages of Respondents Responding
143
Towards Every Items For Factors of Understanding of
Polygraph Based on Polygraph Examination Taken
5.7
Numbers And Percentages of Respondents Responding
144
to Every Item on Factors of Understanding of Polygraph
Based on Polygraph Examination Taken
5.8
Numbers and Percentages of Respondents Responding to
145
Every Item on Factors of Perception on The Application of
Polygraph
5.9
Numbers and Percentages of Respondents Responding
146
To Item of - Overall, How Would You Rate The
Polygraph As An Investigative Aid?
5.10
Numbers and Percentages of Respondents Responding
147
To Percentages Level Towards How Accurate Polygraph
Examination Results
5.11
Numbers and Percentages of Respondents Giving Views
on Application of Polygraph
147
xvi
LIST OF TABLES
TABLE NO
5.12
TITLE
Numbers and Percentages of Respondents Responding
PAGE
148
To How Well Informed Would You Say You Are About
Polygraph
5.13
Understanding Level Analysis of Polygraph Based on
149
Polygraph Examination Taken
5.14
Perception Level Analysis on The Application of Polygraph
149
5.15
Usefulness Level Analysis With Personal Experience
150
5.16
Relationship Analysis of Respondents Perception
150
Towards Application Polygraph With Agreeing
To Polygraph Examination
5.17
Correlation Analysis on Understanding of Polygraph
151
Based on Polygraph Examination Taken With
Perception on The Application Of Polygraph
5.18
T-Test Analysis on The Difference of Respondent’s
152
Experience Towards Polygraph Examination In
Relation to Sex
5.19
T-Test Analysis on The Difference of Respondent
153
Perception Towards Application of Polygraph In
Relation To Sex
5.20
T-Test Analysis on The Difference of Respondent
153
Experience Towards Polygraph Examination In
Relation To Age.
5.21
T-Test Analysis on The Difference of Respondent
Perception Towards Application of Polygraph In
Relation To Age.
154
xvii
LIST OF TABLES
TABLE NO.
TITLE
PAGE
5.22
Profiling of ACA Personnel
154
5.23
Profiling of Master’s Project
155
5.24
Profiling of PhD’s Project
155
6.1
Deliverables of the Research
157
6.2
Summary of participations in Exhibitions,
165
Workshops, Seminars and Conferences
6.3
Participations in Exhibitions, Workshops,
166
Seminars and Conferences
6.4
Awards Received for Presentation in Exhibitions,
Workshops, Seminars and Conferences on PolyDetectTM.
168
xviii
LIST OF FIGURES
FIGURE NO.
TITLE
PAGE
2.1
Holy Quran Surah 36 Yaseen Verse 65
15
2.2
American Polygraph Association- Polygraph Policies
37
2.3
Polygraphic Counterproductive Behaviour Index Profile
40
2.4
Available Methodologies for Assessing Integrity and Honesty
44
2.5
ASIS – Pre-Employment Framework
48
2.6
Pre-Employment Framework Through Polygraph Method
49
3.1
Operational Research Framework
75
3.2
Phase 2: Phased Research Development Methodology:
96
Implementation
4.1
Sample Multilingual Questions in English
113
4.2
Sample Multilingual Questions in Bahasa Malaysia
113
4.3
Sample Multilingual Questions in Mandarin
114
4.4
Sample Multilingual Questions in Tamil
114
4.5(a)
Evolution on Adoption of Information Technology for
117
Counterproductive Behaviour Index Profiling Framework and
System.
4.5(b)
Version 1.0 Framework
117
4.5(c)
Version 2.0 Framework
117
4.5(d)
Version 3.0 Framework
118
4.5(e)
Version 4.0 Framework
118
4.6
Confirmation of Question Formulation by Linguist
119
4.7
Letter on Testing From Polygraph Science Academy
120
4.8
Letter on Testing From Anti-Corruption Agency
121
xix
LIST OF FIGURES
FIGURE NO.
5.1
TITLE
PAGE
Adoption of Information Technology for Counterproductive
127
Behaviour Index Profiling through Polygraphic Method
Framework
5.2
Phase I – Pre Polygraph
128
5.3
Phase II –Polygraph Testing
129
5.4
Phase III- Polygraph Index Profiling
130
5.5
Phase IV – Historical Index Management
131
5.6
Polygraph Testing in Session
137
5.7
Snapshot of Polygraph Tracing
137
5.8
Version 4.0 Beta II of PolyDetectTM
138
TM
5.8(a)
Front page of the Web Portal: PolyDetect
139
5.8(b)
Entry Into The System
139
5.8(c)
Screen Shots on Adoption of Information Technology for
140
Counterproductive Behaviour Index Profiling through
Polygraphic Method System Version Beta II
6.1
Theoretical Polygraph Testing Framework.
158
6.2
Policies gaps of polygraph policies.
159
6.3
New Proposed Polygraph Pre-Employment Model Policy
160
Framework.
6.4
New Polygraph Policy Transformation Framework.
161
6.5
Research website: www.polydetect.com.my
169
7.1(a)
Certificate of Award – Best Paper Award
173
7.1(b)
Certificate of Award – Bronze Medal
173
7.1(c)
Certificate of Award – Gold Medal
174
xx
LIST OF TERMINOLOGY
Analogue Studies
Laboratory studies of polygraph testing that simulate
actual field examinations. The goal of Analogue
Studies is to test the validity of various polygraph
techniques under controlled conditions.
APA
The American Polygraph Association.
Base Rate
The number of guilty or innocent subjects measured
as a percentage of the total sample.
Cardiograph
The sensor component in polygraph instruments that
records blood pressure, blood volume, and heart rate.
Cardiosphygmograph
A component of a polygraph set designed to
mechanically record in ink on paper, a subject’s
relative blood pressure and pulse rate variations.
Chart
The graphic recorded representations of a person’s
psychopysiological responses to a set of carefully
controlled stimuli presented to him in the form of a
valid and reliable question structure.
Control Question
A question relative to a similar but unrelated offense
utilized in general question tests and designed in such
a manner that the examinee will probably lie in
responding to it. Results are utilized by the examiners
overall chart interpretation.
Data Analysis
The method by which the physiological data produced
from the administration of the psychological structure
test is analysed and evaluated for a conclusion of truth
or deception.
Deception Response
Deviations from the norm in the tracings of any of the
components of a polygraph instrument which are the
result of emotions produced in the examinee as the
xxi
result of a question may possibly be interpreted by the
examiner as a deception response. Consideration
must be given to the overall chart interpretation with
emphasis on the nature and position of the question as
well as in the manner which the question was
presented.
Dicrotic Notch:
A characteristic found in the cardio tracing resulting
from a slight change of blood pressure caused by the
closing of the semi-lunar valve in the heart. Also is
referred to as an aortic regurgitation. Present in the
descending leg of the cardio tracing.
Electrodermal Response
A measure of physiological arousal determined by the
(EDR):
skin's resistance or conductivity to electricity
measured by Galvanic Skin Response.
Event-Specific Polygraph
A polygraph examination conducted in response to a
known incident, involving reasonable cause to suspect
a particular individual or set of individuals.
Examination
A term used by examiner to describe the entire
polygraph testing situation to include, the pre-test,
test, post-test interviews.
Examination Room
A special sound proofed, air-conditioned room
complete with sound equipment and apparatus used in
administering polygraph tests.
Examinee
An individual who has volunteered for and undergoes
a polygraph examination.
Examiner
An individual who, by virtue of his education, training
and experience, is capable of conducting a valid and
reliable polygraph examination for the purpose of
determining whether or not an examinee honestly
believes that his own statements and answers
concerning a questioned issue are in fact truthful.
xxii
Exploratory Test
A non-specific control question test that contains
relevant questions that deal with multiple issues.
False Negative
An erroneous decision that an examinee is not being
deceptive when the examinee is actually being
deceptive.
False Positive
An erroneous decision that an examinee is being
deceptive when the examinee is actually being
truthful.
Galvanic Skin Response
A measure of physiological arousal determined by the
(GSR)
amount of decrease in the skin's resistance to
electricity purportedly due to an increase in sweat
gland activity.
Galvanograph
A component of a polygraph designed to record the
phenomenon of psychogalvanic skin reflex or
electrodermal response. It is the record able changes
of body tissue polarization, sweat gland activity or
circulatory variations which occur as a result of work,
emotion or a combination of either. In polygraph,
these changes are recorded on a polygraph chart.
Ground Truth
The establishment of actual guilt or innocence based
on a factor other than the polygraph exam (i.e.
confession or judicial verdict).
Human Capital
The stock of knowledge, skills, and abilities imbedded
in an individuals that results from natural endowment
and subsequent and investment in education, training,
and experience; an economic asset.
Inconclusive result
This is the examiner's required diagnostic opinion
when an examinee's polygraph record shows
responses
that
are
insufficient
to
determine
truthfulness or deception.
In-Test Phase
Portion of polygraph examination involving the
xxiii
collection of the physiological data recorded on the
polygraph charts in response to questions asked by
the examiner.
Irelevant/Neutral/
A question which does not pertain to the case for
Comparison Question:
which a subject being tested on a polygraph. It is
designed to elicit a minimum emotional response and
to act as a criterion for establishing a norm in the
subject. Also known as non-pertinent or irrelevant
question.
NDI:
Common usage abbreviation for “Non Deception
Indicated.”
Neutral Question (also
A question of a non-stimulating nature or a question
known as an Irrelevant
that is not related to the issue that generated the test.
Question)
Plethysmograph
A device used for finding variations in size of a
segment of the body due to variations in the amount
of blood passing through or contained in that segment.
Pneumograph
A mechanical or electronic device that records
thoracic and/or abdominal breathing patterns.
Pneumograph
A
component
of
a
polygraph
designed
to
mechanically record in ink, on a chart the
inhalation/exhalation cycles of a person’s breathing
pattern
Polygram
Is derived from the Greek word “polys” meaning
many and “gramma” a writing. A parameter is a
pattern or tracing resulting from the action of one
component of the polygraph. A completed chart
reflecting all three parameters is a polygram.
Polygraph
The term literally means "many writings," which
refers to the manner in which selected physiological
activities are simultaneously recorded. Polygraphs
xxiv
records respiration, cardiovascular activity and
electro dermal activity of an examinee while an
examiner questions the examinee. The instrument
itself is a combination of several recording devices
routinely used in the medical and scientific
community.
Polygraph
Is derived from the Greek word “polygs” meaning
many and “graphes”, to write. A generic term
generally used to refer to the polygraph instrument or
the polygraph technique
Polygraph Examination
The entire environment within which a qualified
polygraphist renders an expert opinion as to the
veracity of an examinee’s statements concerning the
primary issue of the matter under investigation.
Polygraph Instruments
A commercial trade name for the Keeler instrument,
General usage term for the several scientific detection
of deception instruments. For the purpose of this
research study, LX 3000SW*C Lafayette polygraph
instrument with ASUS L8400 850 MHZ notebook
computer was utilized.
Polygraphist
An individual who, by virtue of his education, training
and experience, is capable of conducting a valid and
reliable polygraph examination for the purpose of
determining whether or not an examinee honestly
believes that his own statements and answers
concerning a questioned issue are in fact truthful.
Post-Test Interview
The interview following the conclusion of the psycho
physiological veracity examination or "in-test phase".
The examinee has the opportunity to discuss the test
with the examiner and ask questions during the PostTest Interview.
xxv
Pre-Test Interview
The first phase of the examination that precedes the
collection of the physiological data recorded on the
polygraph charts, comprising the acquisition of
examinee
background
data,
refinement
and
finalization of the test question formulation, and
explanation of the examination procedure.
Psychological Set
The theory which holds that a person’s fear, anxiety
and apprehensions will be directed toward the
situation which presents the greatest immediate threat
to his self-preservation or general well-being,
generally to the exclusion of all other less threatening
circumstances within his environment.
Question Test
A valid and reliable question structure employed by a
qualified examiner for the purpose of verifying an
examinee’s
statements
or
answers
during
the
polygraph examination.
Relevant Question
A test question related to the issue that generated the
test.
Relevant Question
A question pertaining directly to the matter under
investigation for which a subject is being tested on a
polygraph. Also known as crucial, pertinent or
material questions.
Sacrifice Relevant
A question used in the zone comparison test designed
Question
for an intended to dissipate initial tension anticipated
by an examinee in response to the target issue.
Specific Human Capital
Human capital that is of value to a single employer.
Symptomatic Questions
A question designed to determine the existence of an
outside issue which might interfere with the successful
conduct of the examination.
xxvi
LIST OF APPENDICES
APPENDIX
A
TITLE
American Polygraph Association
PAGE
196
– Polygraph Policy
B
American Polygraph Association
201
– Model Policy for Law Enforcement Pre- Employment
Polygraph Screening Examinations
C
American Polygraph Association
205
– Model Policy for Post-Conviction Sex Offender Testing
D
American Polygraph Association
206
– Model Policy for Paired Testing
E
New Proposed Pre-Employment Polygraph Policy
208
(Polygraph Policy Modified)
F
Question Formulation - Norman Ansley
216
G
General Principles of Polygraph Test Question
220
Construction
– Bill H. Thompson
H
History of Biographical Data for Honesty Assessment,
228
History of Disguised Purpose Tests for Honesty
Assessment and History of Clear-Purpose Honesty Test
I
Questionnaires Item After Polygraph Examination
230
J
Polygraph Pre-Employment Testing Methodology
233
K
Polygraphic Counterproductive Behaviour Index Questions
244
L
Best Paper Award - Paper
254