An Introduction to Ethics in Environmental Monitoring. Timothy W. Fitzpatrick FDEP Bureau of Laboratories

Transcription

1 An Introduction to Ethics in Environmental Monitoring Timothy W. Fitzpatrick FDEP Bureau of Laboratories

2 Why Ethics Awareness Training? Ethical lapses can and do occur - even with trained scientific staff Ethics violations can take subtle forms Ramifications of ethical lapses can have far reaching consequences Awareness is the key to prevention Required by NELAC for laboratorians

3 Ethical Lapses Case #1 Fact or Fiction? A State Biologist and graduate of the Duke Wetlands Center engineers and executes a sample collection scheme to demonstrate that agricultural BMPs are more effective at reducing P loading than they really are. The biologist pockets kick-backs from the farm owner.

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5 Ethical Lapses Case #2 Fact or Fiction A contractor, hired by the sugar industry to measure P inputs to the Everglades, falsifies data in an attempt to sustain agriculture and limit further commercial and residential development in sensitive South Florida wetland areas.

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7 Ethical Lapses Case #3 Fact or Fiction? Staff with an State agency working in the Everglades devise a scheme to falsify the collection of samples designed to measure pesticide releases from the Everglades Agricultural Area.

8 Fact Environmental Fraud Was Committed

9 Ethical Lapses Case #4 Fact or Fiction EPA laboratory employees engineer a plan to manipulate data produced in a regional laboratory.

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11 Nation/world business Cloning fraud rocks stem cell research December 24, this Print this BY PAUL ELIAS AND MALCOLM RITTER ASSOCIATED PRESS Cold Fusion -- The Sun in a bottle Scientific fraud found at Bell Labs Star researcher fired for falsifying data Drug companies discredit negative studies and blacklist honest researchers Stem Cell Fraud Worries U.S. Scientists By Rick Weiss Washington Post Staff Writer Saturday, December 24, 2005; Page A02 Case of scientific fraud at the Norwegian Radium hospital Studies on the effect of NSAIDS against oral cancer fabricated The findings, in effect, dismiss as fiction results from more than a dozen papers that had been promoted as major breakthroughs in physics, including claims last fall that Bell Labs had created molecular-scale transistors. Falsifying data is main problem in US research fraud review Scientific Fraud & Corruption on Both sides of Atlantic: Merck / Proctor & Gamble (Misleading data analysis alleged regarding Vioxx and Actonel clinical trials)

12 Motivations for Committing Fraud Personal Gain Monetary, Professional, Higher Causes, etc. Cover Mistakes, Misfeasance or Malfeasance Laziness Stupidity or Ignorance Lack of Understanding or Training Save Time or Other Resources (e.g., Make QC Pass, Increase Productivity, Decrease Turnaround, Save $$$)

13 What Constitutes Fraud? A deliberate deception practiced to secure unfair or unlawful gain Lab Fraud Defined by EPA OIG: The deliberate falsification of analytical and quality assurance results where failed method and contractual requirements are made to appear acceptable. Deliberate Misrepresentation of Information Procedural Fraud (Deviations, Shortcuts) Measurement Fraud (Altering Data) Not all ethical lapses constitute fraud

14 Examples of Environmental Fraud Deliberately Improper Sample Collection or Preservation Activities Documentation Misrepresentation (or failure to document non-conformance) Time Traveling Field or Laboratory dry labbing Sample Switching Peak Shaving, Juicing, Pulling, etc.

15 Ethical Assessment What would you do? You just returned late in the day from a field visit to a particularly remote site. You re hot, hungry, thirsty and tired, but hey, your vacation starts tomorrow. You still have to pack the samples up for shipment to the laboratory and while getting the custody information together, you realize you forgot to record the ph, a critical parameter for calculating un-ionized ammonia. Without that data, the samples are rendered virtually worthless and the program manager is already ticked off at you. You re pretty sure the ph was about 7.43 (more or less). Your sweaty hand quivers over the blank field sheet.

16 Ethical Assessment What would you do? You re completing you last year s income tax return and remember that you dropped your old fishing waders in the Goodwill box last year (you couldn t fit them in your trashcan). You don t have a receipt for the donation but you know that it s not necessary to itemize or have receipts for donations valued at less than $500. By quick calculation, you realize you can drop an entire tax bracket if you value your donation at $92 or more.

17 What Action Do You Take? You discover that a sample receipt clerk, who works for you, has been documenting the preservation of incoming samples without actually performing the check. You find that a calculation error in a spreadsheet used for the past several years - has resulted in the generation of erroneous data used to make environmental decisions.

18 Management Responsibilities Have a Code of Ethics Ensure Employees Read the Code of Ethics Set the Example in Your Personal and Professional Conduct Institute Policies and Protocols to Detect Fraud and Ethical Lapses Institute Zero Tolerance Policies

19 Prevent Ethical Lapses Start with Assessing Your Own Behavior Conduct Awareness Training Program Contractors and Laboratories Conduct Audits Internal and External Physical and Data PE Samples Perform Ongoing Data Assessment Let your employees know the value of the work they perform Be aware of the consequences

20 What Charges Can Be Filed for Environmental Fraud? Mail Fraud Wire Fraud (fax) Defrauding the US Making False Statements Concealing Material Facts Obstruction Theft of Public Money

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22 Consequences of Fraud Organization Loss of Credibility and Data Defensibility Long Term Damage to Organization and Employees Financial Damage Employees Professional Kiss of Death (Remember Cold Fusion?) Termination, Layoffs and Re-assignments Civil Charges (Fines, Penalties, Restitution) Criminal Charges (Incarceration, Fines)

23 Closing Thoughts Most employees have high ethical standards. Nevertheless, unethical behavior, often in subtle forms, is more prevalent than we d like to believe behavior leading to the collapse of Enron, WorldCom and Arthur- Andersen are a few high-profile examples of gross ethical failures. It is our responsibility to set the tone and ethical standards for professional conduct. Employee training, awareness and monitoring are key to preventing ethical lapses in our organizations.