This English translation is provided for convenience. If it differs from the Ukrainian version, the Ukrainian version prevails.
| Kyiv | No. 10 |
Registered with the Ministry of Justice of Ukraine
on 9 November 2021 under No. 1470/37092
On Approval of the Procedure for Conducting Psychophysiological Interviews Using a Polygraph in the Work of the Economic Security Bureau of Ukraine
In accordance with Article 24 of the Law of Ukraine “On the Economic Security Bureau of Ukraine”, for the purpose of organising and conducting psychophysiological interviews using a polygraph and defining the main areas, principles and conditions for the use of polygraphs at the Economic Security Bureau of Ukraine,
I HEREBY ORDER:
1. To approve the attached Procedure for Conducting Psychophysiological Interviews Using a Polygraph in the Work of the Economic Security Bureau of Ukraine.
2. This Order shall enter into force on the day of its official publication.
3. I reserve control over the implementation of this Order.
| Director | Vadym MELNYK |
| AGREED: | |
| Ukrainian Parliament Commissioner for Human Rights | Liudmyla DENISOVA |
APPROVED
by Order of the Economic Security Bureau of Ukraine
of 26 October 2021 No. 10
PROCEDURE
for Conducting Psychophysiological Interviews Using a Polygraph in the Work of the Economic Security Bureau of Ukraine
I. General Provisions
1. This Procedure defines the main principles, areas, conditions and organisation of psychophysiological interviews using a polygraph (hereinafter – the interview) at the ESBU.
2. The terms used in this Procedure have the following meanings:
report on the results of a psychophysiological interview using a polygraph – a document setting out the polygraph examiner’s written probabilistic and indicative conclusions, based on the results of the interview, on questions about the facts, events and phenomena that make up the purpose and objectives of the interview;
initiator – the ESBU Director, his deputies, the heads of the ESBU territorial directorates, the head of the ESBU internal control unit, a competition commission holding a competition for the relevant position, as well as an ESBU employee regarding whom documented doubts have been raised about the truthfulness of the information he or she provided (provided there is a written statement of voluntary consent to an interview to refute such doubts);
interview materials – the interview assignment, the documents provided by the initiator, the list of questions, polygrams, the statement of voluntary consent to the interview, audio and/or video recordings, and the report on the interview results;
polygraph – a technical multichannel recorder (including a channel for detecting countermeasures) of the interview subject’s psychophysiological reactions, which makes it possible to detect and record the interview subject’s psychophysiological reactions to certain stimuli (irritants) by converting his or her psychophysiological activity indicators from analogue signals into digital signals, which are displayed as curves on polygrams;
interview – an interview, harmless to human life and health, using a computerised technical device designed to record psychophysiological reactions, during which the dynamics of these reactions of the interview subject in response to psychological stimuli presented in the form of answer options, objects, diagrams, photographs, etc. are analysed;
polygraph examiner – an employee of an ESBU structural unit who is tasked with conducting psychophysiological interviews using a polygraph (during the initial stage of the ESBU’s formation – an appropriate specialist engaged in accordance with the law), who is proficient in the state language, holds a “Bachelor’s” or “Master’s” degree and has completed postgraduate education under polygraph examiner training programmes;
interview subject – an ESBU employee or a person applying for appointment to a position at the ESBU who has no medical contraindications to the interview and who is specified in the interview assignment;
deliberate countermeasures – any physical or behavioural technique used by the person being interviewed with the intention of preventing the polygraph examiner from obtaining an objective result of the psychophysiological interview using a polygraph.
3. Persons applying for appointment to positions at the ESBU undergo an interview before entering service at the ESBU. ESBU employees may, if necessary, undergo an interview by decision of the ESBU Director.
The results of the interview are not grounds for a decision to refuse a person a position; they are used only as information of a probabilistic nature that assists in assessing that person.
4. The grounds for conducting an interview are:
an assignment to conduct a psychophysiological interview using a polygraph (hereinafter – the assignment) in accordance with the areas defined in Section III of this Procedure;
a statement by an ESBU employee or a person applying for appointment to a position at the ESBU giving consent to a psychophysiological interview using a polygraph (hereinafter – the statement), in accordance with Annex 1 to this Procedure.
5. Interviews are conducted by polygraph examiners. ESBU structural units report to the ESBU Director on matters of organising work with the polygraph and using the interview results.
6. The polygraph examiner conducts interviews in compliance with the requirements of the Constitution of Ukraine, the 1950 Convention for the Protection of Human Rights and Fundamental Freedoms, other international treaties of Ukraine that the Verkhovna Rada of Ukraine has consented to be binding, the Laws of Ukraine “On the Economic Security Bureau of Ukraine”, “On Civil Service”, “On Prevention of Corruption”, “On State Secrets”, “On Government Cleansing”, “On Information”, “On Personal Data Protection” and other regulatory acts.
7. The interview is conducted in accordance with the assignment received from the initiator, except where the initiator is the interview subject.
The form of the assignment for a psychophysiological interview of an ESBU employee using a polygraph is given in Annex 2 to these Regulations.
The form of the assignment for a psychophysiological interview of a candidate for a position using a polygraph is given in Annex 3 to these Regulations.
The form of the assignment for a psychophysiological interview of an ESBU employee using a polygraph is given in Annex 4 to these Regulations.
8. The initiator prepares and signs the assignment and then submits it to the ESBU Director for approval.
Where the initiator is the interview subject, the assignment is prepared, signed and submitted to the ESBU Director for approval by the polygraph examiner who will conduct the interview. In that case, the polygraph examiner does not agree the list of questions (psychological stimuli) with the initiator.
The approved assignment is forwarded to the ESBU unit that conducts the interview.
An assignment issued by the ESBU Director is not subject to approval.
9. If, during a competition for vacant positions of persons holding ESBU special ranks, doubts arise as to the reliability of the information provided by the person concerned, verification of the reliability of that information is included in the assignment.
10. After receiving the assignment, the polygraph examiner draws up a list of questions (psychological stimuli) for the interview, which must be agreed with the initiator.
11. To conduct the interview, the polygraph examiner uses a polygraph that meets the requirements of DSTU 8692:2016.
The polygraph examiner is prohibited from using a polygraph that does not meet these requirements.
II. Basic Principles of the Interview
1. The interview has its own specific features depending on its area and objectives, and requires compliance with universally binding principles, namely: voluntariness, lawfulness, impartiality, comprehensiveness and full safeguarding of the rights and freedoms of the individual and citizen.
2. Under the principle of voluntariness, the polygraph examiner begins the interview only after obtaining the voluntary consent of the interview subject, provided that the person has no medical contraindications to the interview and none of the other reasons specified in paragraph 3 of Section IV of this Procedure applies.
3. Under the principle of lawfulness, the interview is conducted only on the basis of a relevant assignment and within the defined range of questions, of which the polygraph examiner informs the interview subject.
4. The principle of impartiality requires the polygraph examiner to treat the interview subject impartially.
5. The principle of comprehensiveness requires the polygraph examiner to use all the available methodological means applied during the interview to ensure that the conclusions of the interview are fully and comprehensively substantiated.
6. The principle of full safeguarding of the rights and freedoms of the individual and citizen is the fundamental one. The person must know why he or she is being interviewed and has the right to refuse the interview at any stage.
III. Areas Covered by the Interview
1. Persons applying for appointment to positions at the ESBU undergo an interview to obtain tentative and indicative information on whether the following circumstances exist, including in the past:
the commission of unlawful acts by the interview subject;
acting as a covert agent of another state’s special service;
holding citizenship of another state, or a document issued by the competent authorities of another state stating that the interview subject will acquire its citizenship if he or she renounces Ukrainian citizenship;
disclosure of data that constitute confidential, secret or official information;
the reliability of information about which doubts arose during a competition for vacant positions that carry ESBU special ranks;
alcohol abuse, or the use of narcotic and/or psychotropic substances without a doctor’s prescription;
hidden motives for joining the ESBU.
2. ESBU employees undergo an interview to obtain the tentative and indicative information specified in paragraph 1 of this Section, as well as information on the performance of their official duties.
IV. General Conditions for Conducting the Interview
1. To ensure the objectivity of the interview results, conditions must be met regarding:
the state of the room in which the interview will be held;
the proper physical and mental condition of the interview subject.
2. The interview is held in a specially equipped room, or an existing office room is adapted for it; the room must meet the following requirements:
floor area – more than 12 square metres;
wall height – at least 2.5 metres;
an upholstered armchair with armrests for the interview subject;
the walls of the room must be a neutral pastel colour and free of distracting details;
protection from external factors (bright light, noise, vibration, any interference and other factors) that may affect the objectivity of the interview;
technical protection of the room in accordance with the legal requirements on the technical protection of premises where restricted-access information is processed (if necessary);
the air temperature and humidity in the room must comply with established standards;
the place where the interview is held must be safe for the life and health of the interview subject;
a toilet nearby.
3. The interview is postponed to a date set by the head of the ESBU structural unit responsible for conducting interviews (hereinafter – the head of the relevant ESBU structural unit) if the interview subject has:
an acute illness;
an exacerbation of a chronic illness;
pain syndrome;
an infectious disease;
a disease accompanied by cardiovascular or respiratory failure;
any other condition that rules out conducting the interview.
4. A medical certificate is mandatory to confirm that the interview subject has any of the conditions specified in paragraph 3 of this Section.
5. An interview is not conducted with an interview subject who is pregnant, as confirmed by an appropriate medical certificate, except on the initiative of the interview subject herself.
6. The interview is conducted by another polygraph examiner if:
the interview subject is a close person of the polygraph examiner;
the polygraph examiner has an actual or potential conflict of interest.
7. Persons who have had access to information about the fact, procedure and results of the interview ensure its confidentiality.
8. The polygraph examiner is prohibited from using his or her knowledge and official position to violate the rights and freedoms of the individual and citizen. The examiner ensures that the interests, rights and freedoms of the interview subject take priority.
9. The polygraph examiner must do everything possible to prevent possible negative consequences of his or her professional activity and must not allow any actions that threaten personal inviolability, damage business reputation or degrade a person’s honour and dignity.
10. The polygraph examiner is strictly prohibited from passing the results of the examinations conducted to any parties other than the initiators of the specific interview, and is also prohibited from disseminating any information that became known to him or her during the interview.
11. The work of polygraph examiners is supervised by the head or deputy head of the relevant ESBU structural unit.
12. If anyone interferes with the polygraph examiner’s activities, the examiner must immediately notify the ESBU management and stop the psychophysiological interview using a polygraph.
V. Interview Procedure
1. The initiator gives the polygraph examiner the interview assignment, except where the initiator is the interview subject.
2. Having received the assignment from the initiator or prepared it independently (where the initiator is the interview subject), the polygraph examiner first studies the available materials, then sets the date, time and place of the interview and informs the initiator of these details.
3. The initiator (except where the initiator is the interview subject), while maintaining confidentiality, provides organisational and informational support for the interview at all stages, including the arrival of the interview subject at the set time and place for the interview.
4. Before and during the interview, the polygraph examiner ascertains and monitors the physical and mental condition of the interview subject.
If it is established that the interview subject is in at least one of the conditions specified in paragraph 3 of Section IV of this Procedure, the polygraph examiner has the right to stop and postpone the interview at any stage.
If signs of deliberate countermeasures against the interview are detected, the polygraph examiner stops the interview and reports to the ESBU Director, and the interview is postponed to another date.
The polygraph examiner informs the interview subject of the date of the next interview.
If signs of countermeasures are detected again, the polygraph examiner informs the head of the relevant ESBU structural unit that the interview cannot be conducted, for subsequent reporting to the ESBU Director and an appropriate decision.
5. Having verified that the interview subject’s consent to the interview is voluntary, the polygraph examiner asks him or her to complete the statement (Annex 1 to these Regulations). The interview subject completes the statement in his or her own hand. The interview is not conducted if the person refuses to sign the statement.
The polygraph examiner explains to the interview subject that the polygraph does not harm human life, health or the environment.
After the interview, the interview subject fills in the relevant fields of the statement (Annex 1 to this Procedure) regarding the presence and/or absence of complaints and remarks.
6. During the interview, the interview subject has the right to refuse further participation in it at any moment, in which case the polygraph examiner draws up a note in free form recording the person’s refusal of the interview.
7. With the written consent of the interview subject, audio and video recordings may be made during the interview; they form part of the interview materials.
8. An interview may not last more than two hours without a break, and no more than five hours in total in one day. The examination is not conducted at night (from 22:00 to 6:00).
9. The interview is conducted in the state language.
VI. Documenting the Interview Materials
1. Interview assignments are registered in a special logbook.
2. After the interview, the polygraph examiner prepares a report on the results of the psychophysiological interview using a polygraph in the form given in Annex 5 to this Procedure (hereinafter – the report).
The report must contain the following information:
the start and end time of the interview;
the series, number and date of issue of the document certifying that the polygraph examiner has completed the relevant training, and the name of the postgraduate education institution that issued it;
the position, name of the structural unit, surname, first name and patronymic (if any) of the initiator;
the name, model and serial number of the polygraph used and the number of channels recording the interview subject’s psychophysiological indicators;
the place of the interview and its address;
the surname, first name and patronymic (if any) of the interview subject;
the grounds for the interview;
the purpose of the interview;
the questions checked in accordance with the assignment;
a description of the interview subject’s psychophysiological reactions to each of the stimuli;
the polygraph examiner’s conclusions;
a list of the documents attached to the report;
the position, name of the structural unit, surname, first name and patronymic (if any) of the polygraph examiner who conducted the interview;
the date of the interview.
3. The report must state that the conclusions are probabilistic and indicative. The results of a psychophysiological interview using a polygraph cannot serve as grounds for initiating criminal proceedings, disciplinary proceedings or proceedings in an administrative offence case.
4. During the interview, the polygraph examiner is prohibited from inquiring into circumstances unrelated to the questions being checked under the assignment.
5. No personal data of the interview subject are entered in the report other than identification details (surname, first name and patronymic (if any)) and information relating to the circumstances that were checked.
6. Completed reports are registered in the log of interview result reports kept by the polygraph examiner in the ESBU structural unit.
VII. Storage and Use of the Interview Results
1. After the interview, the report is handed directly to the initiator.
2. The interview materials are to be destroyed 14 days after the results of the competition for the relevant position are announced.
If the interview was conducted with respect to an ESBU employee, the interview materials are to be destroyed 7 days after the interview.
A person has the right to review the information about himself or herself.
VIII. Specifics of Conducting Interviews During the Initial Stage of the ESBU’s Formation
1. During the initial stage of the ESBU’s formation, interviews are conducted taking into account the specifics set out in this Section.
2. Where an appropriate polygraph examiner is engaged to conduct the interview, the assignment is approved by the ESBU Director.
The list of questions for the interview is drawn up by the ESBU and provided to the relevant polygraph examiner.
4. The relevant polygraph examiners who have had access to information about the fact, procedure and results of the interview ensure its confidentiality in accordance with the law.
| Director | Vadym MELNYK |
Annex 1
to the Procedure for Conducting Psychophysiological Interviews Using a Polygraph in the Work of the Economic Security Bureau of Ukraine
(paragraph 4 of Section I)
STATEMENT
of consent to a psychophysiological interview using a polygraph
| I, ___________________________________________________________________________________ (surname, first name, patronymic (patronymic)) _____________________________________________________________________________________, voluntarily consent to an interview using a polygraph regarding the circumstances related to __________________________________________________________________________ _____________________________________________________________________________________ _____________________________________________________________________________________. Before signing this consent, I was made familiar with the purpose and basic rules of the interview. It has been explained to me that: 1) the use of a polygraph does not harm life, health or the environment and makes it possible to analyse (assess) the dynamics of the interviewed person’s psychophysiological reactions in response to psychological stimuli presented as answer options, objects, diagrams, photos, etc.; 2) the interview using a polygraph will be conducted only after I give my written consent, and refusal to take part in the interview will not entail any discrimination or violation of my lawful rights and freedoms; 3) the interview using a polygraph is conducted for the auxiliary purpose of clarifying the circumstances of the event being checked; 4) before the start of the interview, I have been made familiar with the content of the questions that will be put to me; 5) the questions may not concern private or family life, or restrict freedom of thought and speech, the free expression of one’s views and beliefs, or freedom of worldview and religion; 6) I have the right at any moment to refuse further participation in the interview or to refuse to answer any question, and this will not indicate concealment or unreliability of the information I provide; 7) based on the results of the interview, a report will be drawn up, which will be passed to the initiator of the interview; 8) the results of a psychophysiological interview using a polygraph cannot serve as grounds for initiating criminal proceedings, disciplinary proceedings or proceedings in an administrative offence case; 9) interviews using a polygraph are not conducted with persons under the age of 18; 10) an interview using a polygraph is not conducted if the polygraph examiner is directly subordinate to the person who is the interview subject; 11) an interview using a polygraph is not conducted if the interview subject is a close person of the polygraph examiner; 12) an interview using a polygraph is not conducted if there is a conflict of interest. I hereby state that I am not in any of the following conditions: the acute phase of somatic or mental illnesses; acute pain syndrome; diseases accompanied by pronounced cardiovascular or respiratory failure; injuries, anatomical defects or frostbite of the fingers, amputation of the upper limbs; congenital or acquired dementia of moderate or severe degree; pregnancy; regular use of potent drugs or psychotropic substances affecting the functioning of the central nervous, cardiovascular or respiratory system. I consent to undergoing an interview using a polygraph and am ready to comply with the rules for its use, as I am interested in the interview methodology being observed to ensure the reliability of its results. I make my decision to be interviewed using a polygraph voluntarily, without coercion and without any pressure. I understand the content of the above provisions. | |
| _____________________ (person’s signature) | |
| The safety of the polygraph for human life, health and the environment has been explained to me _____________________ (person’s signature) I do not object to audio and video recording during the interview: ______________ (person’s signature) Statement received, interview procedure and rights explained by: Polygraph examiner ________________________________________________________________ (position, name of unit, rank, surname, first name, patronymic (if any)) “___” ___________ 20__ I certify that after the psychophysiological interview using a polygraph I have and/or do not have complaints and remarks: ________________________________________________ _____________________________________________________________________________________.____________ (person’s signature) Polygraph examiner ________________________________________________________________ (position, name of unit, rank, surname, first name, patronymic (if any)) “___” ___________ 20__ | |
Annex 2
to the Procedure for Conducting Psychophysiological Interviews Using a Polygraph in the Work of the Economic Security Bureau of Ukraine
(paragraph 7 of Section I)
I APPROVE
Director of the Economic Security Bureau of Ukraine
________ _________________
(signature) (first name and surname)
___ ___________ 20__
ASSIGNMENT
for a psychophysiological interview of an ESBU employee using a polygraph
| I request a psychophysiological interview using a polygraph of _____________________________________________________________________________________ (surname, first name, patronymic (if any), year of birth, rank and position) in connection with the conduct of ________________________________________________________________ The grounds for the interview are __________________________________________________ _____________________________________________________________________________________ (information requiring additional verification) _____________________________________________________________________________________. Place of work and position of the interviewee _______________________________________________________ Circumstances of the case _____________________________________________________________________ _____________________________________________________________________________________. Content of the available operational materials ____________________________________________ _____________________________________________________________________________________. Purpose of the interview (underline as appropriate): narrowing the circle of suspects and persons possibly involved in the event being checked; identifying whether the interviewee may have been involved in planning, preparing or committing an offence; assessing the truthfulness of statements given by the person; obtaining indicative information about the preparation or commission of offences and about lines of evidence gathering; obtaining probabilistic and indicative information about the mechanism and method of committing an offence; determining operational and investigative hypotheses and carrying out priority operational and search measures to detect, solve and stop offences. The necessary materials are attached. Please send the report on the results of the interview to _________________________ _____________________________________________________________________________________. (name of the structural unit) Head of the structural unit of the Economic Security Bureau of Ukraine or of its territorial body | ||
| “___” ____________ 20__ | _______________ (signature) | _____________________________ (first name and surname) |
Annex 3
to the Procedure for Conducting Psychophysiological Interviews Using a Polygraph in the Work of the Economic Security Bureau of Ukraine
(paragraph 7 of Section I)
I APPROVE
Director of the Economic Security Bureau of Ukraine
________ _________________
(signature) (first name and surname)
___ ___________ 20__
ASSIGNMENT
for a psychophysiological interview of a candidate for a position using a polygraph
| I request a psychophysiological interview of a candidate for the position of _____________________________________________________________________________________ using a polygraph _____________________________________________________________ (surname, first name, patronymic (if any)) in connection with ____________________________________________________________________________. The grounds for the interview are __________________________________________________ _____________________________________________________________________________________ (information requiring additional verification) _____________________________________________________________________________________. Please examine the following questions (underline as appropriate): personal details that are concealed or distorted; alcohol or drug addiction; manifestations of deviant behaviour and their specifics; conflict areas of the personality; hidden motives for joining (transferring to, being reinstated in) the service (work) or training; a criminal past and links with the criminal world; the truthfulness of information provided by the person during internal investigations and checks; intentions or preparations by employees to commit corrupt or other unlawful acts; the existence of danger or unlawful encroachments related to the performance of official duties, in order to determine the necessary measures to protect the employee; possible disclosure by the employee of information containing state secrets, official or confidential information. The necessary information materials are attached. Please send the report on the results of the interview to _________________________ _____________________________________________________________________________________. (name of the structural unit) Head of the structural unit of the Economic Security Bureau of Ukraine or of its territorial body | ||
| “___” ___________ 20__ | ___________________ (signature) | ____________________________ (first name and surname) |
Annex 4
to the Procedure for Conducting Psychophysiological Interviews Using a Polygraph in the Work of the Economic Security Bureau of Ukraine
(paragraph 7 of Section I)
ASSIGNMENT
for a psychophysiological interview of an ESBU employee using a polygraph
| I request an interview using a polygraph of _____________________________________________________________________________________ _____________________________________________________________________________________ (surname, first name, patronymic (if any), year of birth, rank and position) Purpose of the interview: _____________________________________________________________________ _____________________________________________________________________________________ _____________________________________________________________________________________ _____________________________________________________________________________________ _____________________________________________________________________________________ Tentative list of questions: _____________________________________________________________________________________ _____________________________________________________________________________________ _____________________________________________________________________________________ _____________________________________________________________________________________ _____________________________________________________________________________________ _____________________________________________________________________________________ | ||
| Director | ______________ (signature) | ___________________________ (first name and surname) |
| ___ ___________ 20__ | ||
Annex 5
to the Procedure for Conducting Psychophysiological Interviews Using a Polygraph in the Work of the Economic Security Bureau of Ukraine
(paragraph 2 of Section VI)
REPORT
on the results of a psychophysiological interview using a polygraph
| Interview started at ____ h _____ min Interview ended at _____ h _____ min I, _______________________________________________________________________________ (position, name of unit, rank, surname, first name, patronymic (if any) of the polygraph examiner) _____________________________________________________________________________________, _____________________________________________________________________________________ (series, number and date of issue of the document certifying that the polygraph examiner has completed the relevant training) in accordance with the assignment dated ______________ from the initiator – ______________________________________ _____________________________________________________________________________________ using the polygraph _____________________________________________________________, (name, model and serial number of the polygraph) in the premises at _________________________________________________________________________ (place of the interview, address) have interviewed _________________________________________________________________ (surname, first name, patronymic (if any)) Grounds for the psychophysiological interview using a polygraph ____________ _____________________________________________________________________________________. Purpose of the interview and main test blocks ______________________________________ _____________________________________________________________________________________. (issues to be resolved) _____________________________________________________________________________________. Questions checked: ______________________________________________________________ _____________________________________________________________________________________ _____________________________________________________________________________________. Description of the psychophysiological reactions obtained ______________________________________________ _____________________________________________________________________________________. Conclusions: ____________________________________________________________________________ _____________________________________________________________________________________ _____________________________________________________________________________________. The conclusions are probabilistic and indicative. Additional information obtained during the interview ____________________ _____________________________________________________________________________________ (description of the interviewee’s behaviour) _____________________________________________________________________________________. Attached to the report: __________________________________________________________________ (list of documents attached to the report) Polygraph examiner ______________________ (signature) “___” ___________ 20__ I have read the report __________________________ (signature of the person interviewed) |
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