Resources: American Academy of Forensic Sciences (AAFS) Code of Ethics and Conduct; International Association for Identification; American Society of Crime Laboratory Directors; Proposed Code of Conduct AAFS; American Academy of Forensic Sciences (AAFS)

American Academy of Forensic Science - Article II. Code of Ethics and Conduct

Section 1 — The Code

As a means to promote the highest quality of professional and personal conduct of its members and affiliates, the following constitutes the Code of Ethics and Conduct which is endorsed and adhered to by all members and affiliates of the American Academy of Forensic Sciences:

1. Every member and affiliate of the American Academy of Forensic Sciences shall refrain from exercising professional or personal conduct adverse to the best interests and purposes of the Academy.
2. Every member and affiliate of the AAFS shall refrain from providing any material misrepresentation of education, training, experience or area of expertise. Misrepresentation of one or more criteria for membership or affiliation with the AAFS shall constitute a violation of this section of the code.
3. Every member and affiliate of the AAFS shall refrain from providing any material misrepresentation of data upon which an expert opinion or conclusion is based.
4. Every member and affiliate of the AAFS shall refrain from issuing public statements that appear to represent the position of the Academy without specific authority first obtained from the Board of Directors.

Section 2 — Member and Affiliate Liability

Any member or affiliate of the American Academy of Forensic Sciences who has violated any of the provisions of the Code of Ethics (Article II, Section 1) may be liable to censure, suspension or expulsion by action of the Board of Directors, as provided in Section 5h. below.

Section 3 — Investigative Body

There shall be constituted a standing Ethics Committee (see Article V for composition), the primary function of which shall be:

1. To order or conduct investigations and, as necessary, to serve as a hearing body concerning conduct of individual members or affiliates which may constitute a violation of the provisions of Article II, Section 2.
2. To act as an advisory body, rendering opinions on the ramifications of contemplated actions by individual members or affiliates in terms of the provisions of Article II.

Section 4 — Investigation Initiating Action

The following are the principal forms by which the Ethics Committee may initiate investigative proceedings:

1. A member or affiliate of the Academy may submit a formal written complaint or allegation of violation(s) concerning a member or affiliate to the Secretary of the Academy (see section 5, Rules and Procedures, below) or to the Chair of the Ethics Committee.
2. The Ethics Committee may institute an inquiry based on any evidence brought to its attention which, in its opinion, indicates the need for further query or action under the provisions of these Bylaws. Appropriate to this form of action, Section Officers, upon receipt of a complaint or allegation concerning the professional or personal conduct of a member or affiliate of their sections, may refer the complaint or allegation to the Ethics Committee in writing, accompanied by a recommendation, if any, concerning the need for further investigation. However, such recommendations shall not be binding on the Ethics Committee.

Section 5 — Rules and Procedures

The following procedures shall apply to any written complaint(s) or allegation(s) of unethical or wrongful conduct against a member or affiliate of the Academy, whether initiated by a member or affiliate or resulting from an inquiry originated by the Ethics Committee:

1. Written complaints or allegations against a member or affiliate delivered to the Academy Secretary shall be transmitted promptly to the Chair of the Ethics Committee.
2. The Ethics Committee shall determine whether the complaint(s) or allegation(s) fall(s) within its jurisdiction and whether there is probable cause to believe that the complaint(s) or allegation(s) may be well founded.
3. If the Ethics Committee, in its preliminary determination, finds that it does not have jurisdiction or that there is a lack of probable cause to believe that the complaint(s) or allegation(s) may be well founded, it shall dismiss the complaint(s) or allegation(s). It shall issue a report of such determination to the Board of Directors, setting forth the basic facts but omitting the names of the parties, and stating the reasons for its decision to dismiss. Notice of the filing of the complaint or allegation shall also be given to the accused.
4. If the Ethics Committee finds that it has jurisdiction and that there is probable cause to believe that the complaint(s) or allegation(s) may be well founded, it shall give notice of the filing of a complaint(s) or allegation(s) to the accused and, in accordance with Rules and Regulations formulated by the Ethics Committee and approved by the Board of Directors, shall assemble such written data from both the accused and the accuser(s) which shall permit the Ethics Committee to determine whether the complaint(s) or allegation(s) requires further investigation.
5. The Ethics Committee may appoint an Academy Fellow or Fellows to investigate the complaint(s) or allegation(s) and, if necessary, to present the charge(s) on behalf of the Academy to the Committee.
6. If, as a result of an investigation, the Ethics Committee decides to dismiss the charge(s) without a formal hearing, it may do so. It shall notify the accused and the accuser(s) of its decision and shall issue a report to the Board of Directors setting forth the basic facts but omitting the names of the parties and stating the reason(s) for its decision.
7. If the Ethics Committee decides to formally hear the charge(s), it shall give both the accused and the accuser(s) a reasonable opportunity to be heard and to confront each other. It shall then make a decision and notify both parties of its decision. The Ethics Committee shall then make a report to the Board of Directors on its decision, including reasons and any recommendation for further action.
8. Following receipt of a report of the Ethics Committee and upon a vote of three-fourths (3/4) of the members of the Board of Directors present and voting, the party accused of unethical or wrongful conduct may be censured, suspended or expelled. No member of the Board of Directors who is the subject of a pending accusation under the provisions of this Article shall sit in deliberation on any matter concerning ethics. Suspension of the accused shall be qualified by the permissible method of reinstatement.
9. The accused has the right to appeal from the action of the Board of Directors to the membership of the Academy. In effecting an appeal, the appellant must file a brief written notice of the appeal, together with any written statement he or she may wish to submit in his or her behalf, with the Academy Secretary not less than one hundred twenty (120) days prior to the next Annual Meeting of the Academy. The Secretary shall immediately advise each member of the Board of Directors of the appeal and shall forward to each a copy of the supporting papers submitted by the appellant.
10. The Board of Directors shall then prepare a written statement of the reasons for its actions and file the same with the Academy Secretary not less than forty (40) days prior to the next Annual Meeting.
11. Within twenty (20) days thereafter, the Academy Secretary shall mail to each voting member of the Academy a copy of the appellant's notice of appeal and supporting statement, if any, and a copy of the Board of Directors' statement.
12. A vote of three-fourths (3/4) of the members present and voting at the Academy's annual business meeting shall be required to overrule the action of the Board of Directors in regard to censure, suspension or expulsion of a member or affiliate.
13. The Ethics Committee shall formulate internal Rules and Procedures designed to facilitate the expeditious, fair, discreet and impartial handling of all complaints or matters brought before it. The Rules and Procedures, and any subsequent deletions, additions or amendments thereto, shall be subject to the approval of the Board of Directors.

Section 6 — Suspension of Members and Affiliates

Members or affiliates who have been suspended may apply for reinstatement once the period of suspension is completed. A suspended member or affiliate shall not be required to pay dues during the period of suspension. If reinstated, the required dues payment shall be the annual dues less the prorated amount for the period of suspension.

International Association for Identification

As a member of the International Association for Identification, and being actively engaged in the profession of Scientific Identification and Investigation, I dedicate myself to the efficient and scientific administration thereof in the interest of Justice and the betterment of Law Enforcement:

• To cooperate with others of the profession, promote improvement through research, and disseminate such advancement in my effort to make more effective the analysis of the expert.
• To employ my technical knowledge factually, with zeal and determination, to protect the ethical standards of the profession of Scientific Identification and Investigation.

I humbly accept my responsibility to Public Trust and seek Divine guidance that I may keep inviolate the Profession of Law Enforcement.

American Society of Crime Laboratory Directors (ASCLD)

The entire ASCLD Code of Ethics is available at www.ascld.org.

Section 2 - Code

As members of the American Society of Crime Laboratory Directors, we will strive to foster an atmosphere within our laboratories which will actively encourage our employees to understand and follow ethical practices. Further, we shall endeavor to discharge our responsibilities toward the public, our employers, our employees and the profession of forensic science in accordance with the following ASCLD Code of Conduct.

1. 2.1   No member of ASCLD shall engage in any conduct that is harmful to the profession of forensic science including, but not limited to, any illegal activity, any technical misrepresentation or distortion, or any scholarly falsification.
2. 2.2   No member of ASCLD shall use their position to impose undue pressure on an employee to take technical shortcuts or arrive at a conclusion that is not supported by scientific data.
3. 2.3   No member of ASCLD shall discriminate against any current or prospective employee in his or her organization based on race, color, religion, national origin, sex, age or disability.
4. 2.4   No member of ASCLD shall engage in any conduct that is detrimental to the purpose of ASCLD as outlined in Article II of the Bylaws.
5. 2.5   No member of ASCLD shall misrepresent his or her expertise or credentials in any professional capacity.
6. 2.6   No member of ASCLD shall offer opinions or conclusions in testimony which are untrue or are not supported by scientific data.
7. 2.7   No member of ASCLD shall misrepresent his or her position or authority in any professional capacity.
8. 2.8   No member of ASCLD shall make written or oral statements which imply that the member is speaking on behalf of ASCLD or the Board of Directors without the permission of the President.
9. 2.9   No individual may gain membership in ASCLD nor shall he/she retain membership if they have been convicted of a felony offense.
10. 2.10  All members shall report, to the extent permitted by law, to the Board of Directors any potential ethics violation committed by another member of ASCLD.

A Proposed Code of Conduct, American Academy of Forensic Sciences, Jurisprudence Section, Code of Professionalism

Preamble

This Code of Professionalism was proposed by the Jurisprudence Section of the American Academy of Forensic Sciences to provide guidance to its members in the performance of their professional relationships with forensic experts. The goal of the Code is to assist members in achieving the highest quality of professional conduct and to promote the cooperation between lawyers and forensic scientists which is essential to protect the legal interests of the public they serve.

In order to meet the public's need for legal services, lawyers and the quality of the service they provide must command the respect of the public as well as the other participants in the legal process. The fundamental principles set out in this Code are to provide an ethical framework for the Jurisprudence Section's members, although each lawyer must decide for himself the extent to which his conduct should rise above these minimum standards. The desire for the respect and confidence of the members of the society in which he serves and of the members of his profession should motivate him to maintain the highest possible degree of ethical conduct.

Lawyer professionalism includes accepting responsibility for one's own professional conduct as well as that of others in the profession and includes a desire to uphold professional standards and foster peer regulations to ensure each member is competent and public spirited. Professionalism also includes reinforcing and communicating the ideals of professionalism among our membership and eliminating abrasive or abusive conduct with others, particularly our colleagues in the forensic sciences. Such behavior does not serve justice, but tends to delay and sometimes deny justice.

Compliance with the rules depends primarily upon voluntary compliance, secondary upon reinforcement by peer pressure and public opinion, and finally, when necessary, by enforcement by the Court's inherent powers and ethics rules already in existence. The Academy, of course, may still sanction its members who are in violation of its Code of Ethics contained in the By-laws. Also, each state where the attorney is individually licensed may sanction the attorney for any violations of his state's Codes or Rules of Professional Conduct.

Terminology

1. "Belief" or "Believes" denotes that the person involved actually believed the fact in question to be true. A person's belief may be inferred from circumstances.
2. "Expert" denotes a person who possesses special skill, training and knowledge in a vocation or occupation.
3. "Knowingly," "Known," or "Knows" denotes actual knowledge of the fact in question. A person's knowledge may be inferred from circumstances.
4. "Reasonable" or "Reasonably," when used in relation to conduct by a lawyer, denotes the conduct of a reasonably prudent and competent lawyer.
5. "Reasonable belief" or "Reasonably believes," when used in reference to a lawyer, denotes that the lawyer believes the matter in question and that the circumstances are such that the belief is reasonable.

Rules

1. I shall treat all expert witnesses with professional courtesy and will acknowledge their obligations to their codes of ethics or conduct, and will not ask them to breach their legitimate confidential relationships with their clients or patients.
2. I shall verify the credentials of any expert witnesses I use.
3. I shall not knowingly proffer an expert witness with fraudulent credentials.
4. I shall report fraudulent experts to the appropriate authorities.
5. I shall not pay an excessive fee for the purpose of influencing an expert's testimony or fix the amount of fee contingent upon the content of his testimony or the outcome of the case. I will communicate to the expert that he is being paid for his time and his expertise, not the nature of his opinion.
6. I shall refrain from making any material misrepresentation of the education, training, experience or expertise of the expert witness. I shall not misrepresent nor mischaracterize an expert witness's credentials, qualifications, data, findings or opinion. I will not withhold nor suppress any relevant facts, evidence, documents or other material at my disposal that may be relevant to the expert's opinion.
7. I shall not request nor require an expert to express an opinion on matters outside his field of expertise or within his field of qualifications to which he has not given formal consideration.
8. I shall not attempt to prevent opposing counsel from communicating with my expert witness, nor will I instruct my expert witness to not communicate with opposing counsel about the subject of a lawsuit unless such contact is otherwise prohibited or regulated by law and the parties' attorneys have consented.
9. Any and all demonstrative evidence shall not be intentionally altered or distorted with a view to misleading the court or jury.
10. I shall keep all consulting and testifying experts reasonably informed of the status of the matter in which they are engaged and promptly comply with reasonable legally permissible requests for information.
11. I shall compensate the expert for the total amount of the undisputed portion of the fee agreed upon between the expert and the client or attorney representing the client.

(Source: Carol Henderson, Director, National Clearinghouse for Science, Technology and the Law. Copyright 2000. Used with permission.)

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