Karen Young

1111212008

Ethics and
Introduction
Karen Yeung SWIF;;

eooe

• Elhic~ Iscan Integral paM of what we!Je every de)!", .. ASC~Q/~B requires \rainingJj1 ethlos and' elhlea I be haYio-r,
• fJ. Iaile ra tGiry is buill, o nits repu trust.

l!I UOIT~nd

• As,govemme-nl employees, we ,a(e.l\eld Ie a ,Higher slal"ldard,ooltJ in (')tJr I:rerson a I,am! in 0 urp,(ilfa sslena i behavior,

Topics of Dlseussion
• Why musl we Wlta!Js:c11l1cs: 1I¢l1~1S '';01"9 1
WI'I,aI,j$Otirp[dijue't

f

r

The EII1I.. 1 C""Unuum Res.ponslbililias Th·.·Sm.n·8)'1

Whol [s'F"'uo, Whoi:!l ,~~
W1>o1,ls'Sdo"ll~cF",ud U; e con.,.i'I~·.qUen(:e!S o_f :jJ netblca! b-eha,_,lof Persart"'iiIV6fS-iJ5; Pro1'65sionilii BenavJo~ wlja1. 818' ffr!P'Et.BchB.brs' ti'ff8n~~ fora ,gp\"tBflim B ['L[

emplO)'o. How "''" ell1loal p,.01ltos

b e assu ,ad

What is Ethics
'. A manner. cust0m, haliill, Way of life; or conduct thai emphasfzes a pefs0n's naturat sense 'pf ri'ght and
proper based 011 current

SWIFS Etl;)Ics Policy
• The E:lallas County $0.IJtl:iwestem .Instllllle 61 F I;)rensic oSde~ ees fum lis I Is miss ion by 0 ~erati n 9 in 'callipli$J'fce'With Ihe ~ ighes t elh ieaIsla ndards, Inte g~ily is til 9} come rs I<'>ne f ail l!speGts (if i":Iepa i1mEifll "' ·operalions All staff rnemaers are required 10 adhere to lJills g!.lldlng phil(il$o,phy and (let in' a manner Ihal displays COmpli a n ee will;! elhiG:al pri n cljiileS if! Ih.e! r perso na I i!'lne p ~Qf!?ssie nat co nd ~t;.L:'

oomrrlunity standards, • A proeess tiy wh}¢h an individl:Jal .cal;) ra!iQ)'ially and lo'gJc<Jllydel>id~ wMaris right in a given siluaaon ..·
• How YOll live your life,

!

Irs wh,at yo.ur mama tau.ght jl0iill!!

Ethles and Data kit~grity

Karen Young

1111212008

What is our' product
• 0Uf pcoduGI Is data. or an ed"'G>'Itedani:! standardized intefpretaliolil of a set of observations • The data Is as gOl:)d as it is defensible
• whe Ilid the work? How were the~ trained? How 15 the wern documerited? How was the work verified? Can an

Ethical Continuum

Situation

'€lioic.es
~nd Declslons

Reaeuon

lildepertclent auditor gc bael< and ~econstmct the work thatwas done from lhe available i:lac~mentaUon?
• Can the aale be presenle-d In aicourt of lew?

T.•ese choices ore ~.. ,<I "n ollrpefSon,j •• IhM BICa pmducf afour lIpl:uingil'.lgT ~n~irnnme7u" a"ul ll'"aililhg-

1""

MFRC

Ethical Continuum

Ethical Continuum
• Ra1tonalized Shift • -Every

Left

thes~ standards a-long the

~~~:::F~C;~ :,'I~lll!
comprornlse-In ~

Ethical Conttnuum

Common Rationalizations
• The Ends Juslify The Maens If.lt Is Nece.s•• ry II Is
Elhical Parml,sib Proper

Ethical Continuum

Everyone Is Doing It It n-ex It 1 0", Not Pe rsona Ily Gain 1""O)illol II COf]1ing
I Can Stul Se Objective

If Ills togal and le, II Is

Utile Wh ife Lies Figh1in9 Fire Wilh Fire • It Does Not HUi!, Anyone

• •

Ethics and Data Integrity

2

Karea Young

11112/2008

Ethical Continuum

Ethical Continuum

Pet$.onaJ

Standard

Ethical Continuum

Ethical Continuum


Ethical Continuum

c

Ethi,cal Continuum

Ethics and Data Integrity

3

Karen Young

1111212008

Ethical Continuum
• Martin's Law of Compounding
Errors "NO major eatastrspbleevent is the result 0f a sin§le error. II is the culmin'atiqn of many smaller, less noticeable errors,

Ethical Continuum
We do not

immedfatel¥ go from acceptable
benavjer to ,unallceptal;lJe behavl~r In a 1i!rngle 9Ct .•,.

Ethical Continuum

The Slippery Slope
• The case c:lf David Harding

. .. but rather In a series >0f slight shifts in our persenalstandards and the subsequenl.ratlonallzaliofl of them. The final, €a1aslr<ilphie slopped at any of Inp-se steps,

!

evem

small inlerV"eniil§

can be

MFRC

I rem SWIFS

SWIFSc.c.atlE:.molovee VIl1lOn fo Resnonaibilities of EHO~ & ~ ..db~~
• All e.Jl1ployees share respcnslblllty fOf enslolring Institutional fnleglity and maintaining an ~thical work environmeJ1l o It is the"responsfblli\y of each employee 10 fmmedlately advise a supervlser or manajlem.snt member ohuspecleo' unethical <!cUvlties or silu~tions. • The ael of advising a supervisor of a susl5scteo situation does not hnp1v thai the sltuatioh 1. unethical--anl)' ihat the. situaUOD mOl)' have Ihe a(lpe<!rance of bei ng ~nathi a net req u ires supervisory j~vestlg aUon

SWIFS Em~10yee Respenslbillties " contililued
.• It Is not me responsibility of nonsupervisor;y statUo InVestigate suspected II\Slances Cif unethical behavior. Employees acUng in good-fa1tli"compllance with Ihe Elnies Program.are expressly R(Olected from ret~llati&ri er retribution, and all suoli reports will be acted upon responsibl~ by supervisors and manallement. [,"" SWIF$ Code or Elhie. & CO""'", I. V.rsion 1. 0

o

tar

4

Karen Young

Llil2120Q8

SWIFS Emp'loyee Responsibilities
). ~Tr:Pn~o:!:l~~T::n~~~d~~ppqrt'eO'Hork~rs
, As I!pP'loprtatel afietllJ;;ll JO resolve-Issues
;aPC6sr to tie in-consfsfenl
[~recl

The Smell Test
to;

111~HhEJoresponsibl1i1)1'

Qf tturEmp:loyee

~o.:.,'~~;tl~":.~:ung ",1(111110 slarr
,;

wlik;h wUh departmental

OOInmunTca1icll ecee rip! rl!50tvtdne

With

EllhicaJcor.aJm

!!I rawara {]tany 'co.rld"lict ItioCOni15hlnl 8,p;:'l,f{mClnl p03k[os-orQ1herwlsII'HOf151B-:an
Code Qf'E1hlR.",C~L VllrllM 1.&

,~~~rr.r.::;'~~B~~~Jl~ or
or aoy'mombar manag.un.cl"ll if

(~SWIFS

What is fraud?


I,'

(N0t the legal definition)
1. deceit, trickery, sharp practice, or breach ot conffdence, perpell'8ted f(iJrprofit or Ie gain som,e unfair or dish(iJnesl advantage. tnl;kery: mall frau,d,; election frauds.

What is Scientific Fraud?
• Sclent'"c 1"'"0 Is the doliberate falsification 01 8nalytical and qualify assurance ,,,§uUs,,where lall"",",or omitted prOoesse. are made'lo appea, acceptable. • Thera are" number ollallotaloly.practlces wl1ich ma ~ c,oru;Ulutefra"d, • Fabrieatlng data- dry-I~bbing. not performing the auldpsy (ErCimann) • Misrepresentlng Qualit~ conltol samples 'Calibralifl!l equipment uSIng other than accepted procedures • Modifying samples 10 ruter eharaoleristics' • Manlptilaijng anal,ytical results • 5\:1"',sllhJtlllls,a mpl es, files, or ds 18 • Falsifyirt9 records 01 snalyUcal equipment readl" s

2. a pariieular Instance of such decalt 'Or
3. any deception, trickery, st humbug: Tliat diet book Is a fraud and a westeot'

time.

Jr:i;u1.~ ~Ij'_~ th::joltM~(1{ InC".. 'l"t ocr. 2006. <Oj~t,h;lJ)IHY~Ca'm

l.ti. FbJ~om

HcXJSf:j

What are the Consequences
• Confusion

Personal vs Professional Behavior
• How can your personallifa affect ,yeur p raress 101:1 a 1 life 'I • Your personal ethics do not chan!)!; when you come to work.
• What yeLl do outside ef work is lake", as a direct indicatisn of how you will behave

• Loss ,of rer:>utation
• Loss of business • Loss df money • l-oss of employment • Loss 0f family • Loss of freedom

at work. • When te slifying, prol;llams in your personal life may bring your testimony inlo .questlori .


Ethics ami Data Integrity

5

Karen Young

11/12/2008

What are impeachable offenses
• MY felal'lY

What is Conflict of Interest
• A confllct of interest is a situation

• Theft • Acts of Moral Turpitude n. 9ross violation sf s.t"l"jdard s of moral conilu&t, vilen~ss. An act InvoiYIng rnoral lurpitudE! is considered intentionally evil, making the act a crkne. The existence of mora 11U~iIUde.. 00 11 Iilrlng, a mare se!iero;! criminal cliarge or penalty for' a criminal
defendant
Trle Paopl~ l..aw eJetJanulY. byGora[(113!ld Ka,tht:B§o Jill! Pv~U>l>er I". C<>mfflu"lcaIIOllS F

in which serneene in a RC:J:sitiol'l of trust, such as a lawyer, insurance aEJius·te~, politician·, executive or a director of a c0fporatien or a medical research sGientist0r
phYSician, tilas,c0mpelin@ professional or personal inteFestS.
From Wikiiledla, the.tree encyclopedia

Conflict of Interest
• fA canfllct 0f interest rnayextst
even if no uAethieal results from it
Of

improper act

'l--.-'.

How can ethical practices be assured
Have a documented q~ality and ethics pw§ram and follow it

• aM, sews,

• A conflict of interest can createan appearance 0f impropriety that can undermine confidence in the person, profess.ion, sr court

peer review, Irlternal and external Proficiency testiAg

• Train to the doct!lmentation

• RectilrClkeeping
• Corrective Actions • Expect excellence - in ¥.ourseJf and

~yslem.
From Wiklpedi., the free encyclQpedia

in others

Scenario 1
• ylou observe a firearms examiner testifyil'lg in court. The tes,timony is In r,egards to a homicide case where Ihe IilliJYsical e<iridene6 is a
fired o.uflet ans a firearm.

Scenario 1 - cont,
• The EXaminer gives her findIngs:
• ··Noid·e·n!lli~a1ion ellml~atio~ could ~e or made with res~ect to Peoples Exhibil#1, the fi red bullet Havi09 been fired fra m Peoples Exhibit #2, the firearm."' • The Stale'& AttorneY the" asks If the,

nredbulle.t &\luld have beam rlreiJ in thaI firearm.
.. The Examiner repUes: "Yes, l~ probably

was:

Ethics and Data Integrity

6

Karen Y01'lTIg

11/12/2008

Scenario 1 - cent,
• What is the problem? Does this pass the Smell Test? Eli!;j·his t raise enol:J!1}1i question thai yOu weuld De likely to discuss i!wiih co-workers or family? • The testimony contradicted the report, • 'faslimol'lY is not aesurate
• Jury has been mislead

Scenario 1 - eont,
What .are your choices? Do n_othin!iJ AJel't the media Talk 10 the witness Ball yQur supervisor Talk to the prosecutor Talk to the Jucl€je
Talk 10 the defense

Scenario 2

Scenario 2
a routine

• You are analyzing

sample run and you netlce tha't your "blank' isn't really "blank". The laboratory policy is that a passing blank must be arlalyzeicf
befers samples areanelyzad. blartk.atter the

Is there a pml:Jlem? Does this pass the Smell Test?

• You run another

samples are completed and melude this blank as {he pass'ing batch blank.

Scenario 3
l(0U notice that one of YOI:J( coworkers/sul!>ordilmtes is spendihg a tot of time 01'1 the Rhone. • This morning, it sounded liKe he was talkllilg to a bookie . •

Scenario 3
• l'iloes tnis pass the smell test? • If not, what is the problem? • What should you do?


Ethics and Data Integrity 7

... ,
Karen Young
1111212008

Scenario 4
• An ME issues the death certitleale with a COD of Alh6r6scle~oliG Cardiqvaseular Disease, Manner: Natural. • Tox results Game back later with a high leve.1of coealne. .. The ME does not amend the

Scenario 5
• A Field agent is werking a ease in the field aAd removes Ihe gul'l under life viBtim's arm and gives it 10 Ihe poliee.

• He th_eil realizes he forgot to take an 'as is' photo of the body, so he takes tMe :pfiloto now .

report,

Scenario 7
• A fieltl a,ger:1tcoU-ected evidence in UJe fiel<!l, Game back and wrote her ~eport Jistin~ all the evidence slie
bmught in, • Later, anolher evidence field -agenl is in 'the • An autopsy tech is cleal'1ing up the mOJgue the end .ef tlie ,day an,d fines an unlabelled tube of blood.

at

same v:ernicle and finds some
in the back seat of the

ear.

References
• 'EOthics in the POFensiG Sciences:
Value Based Decisien Making presented lily Dan B. Gunnell • ASCLO/LAB 2008 Manual • ASCLD Guideline for Forensie LaboralQry Management Pracflees.

1994.
• SWIFS C'0de of Ethics & Conduct,

Versic;m1.0

Ethics and Data Integrity

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