Forensic Engineering 09

Forensic Engineering

Think and Listen like a Lawyer!

Think and Talk like an Engineer!

Johann F. Szautner, P.E.,P.L.S.

Introduction

Purpose of this presentation Objective:

Excel in the subspecialty of Forensic Engineering.

Outcome:Learn how to perform forensic investigations, issue reports and provide expert testimony during depositions and trials.

Topics

• Basic Definitions• Laws & Standards• The Legal System• Qualifications of a FE• The Investigation• Failure Analysis• Report Preparation• Testimony

Find the Core

Forensic Engineering?

• From Latin: forensis meaning belonging to the “forum” or market place, “public”.– Belonging to courts of law– Pertaining to or fitted for legal or

public argumentation

• Forensic Engineering – Engineering concerned with assisting the Legal System with Fact Finding.

Forensic Engineering Definition

Fact Finding

Scientific Methodology of Analysis and Synthesis.

Fact Finding Definitions

• Accident: A hazard exists and a person or persons unaware of the hazard.

• Failure: An unacceptable difference between expected and observed performance.

• Risk: Existence probability of hazards

• Safety: Summation of acceptable Risks

Hazard Identification

• Mechanical Energy• Electrical Energy• Chemical Energy• Kinetic Energy• Potential Energy

• Thermal Energy• Acoustic Energy• Radiant Energy• Environmental

Hazards• Biological Hazards

Failure Causes:

• Human factors (including both 'ethical' failure and accidents)

• Design flaws (many of which are also the result of unethical practices)

• Materials failures • Extreme conditions or

environments, and, most commonly and importantly

• Combinations of these reasons

Human Factors

• Insufficient knowledge …………………………………… 36% • Underestimation of influence …………………………..16%• Ignorance, carelessness, negligence ……………….14%• Forgetfulness, error

………………………………………….13% • Relying upon others without sufficient control ….9% • Objectively unknown situation …………………………..7% • Imprecise definition of responsibilities ………………1%• Choice of bad quality

………………………………………….1% • Other ..........................................................3%

Laws & Codes

King Hammurabi1795-1750 B.C.

Expert Witness Testimony

1. Must be beyond the ken of the average juror.

2. The field testified to must be at a state of the art to make testimony sufficiently reliable.

3. Witness must have sufficient expertise to offer intended testimony.

Federal Rule 702

Experts are qualified to

testify by their “knowledge,” “skill,” “experience,” “training,” or “education.”

Federal Rule 703

1. Expert’s opinion derived from personal observations, or

2. Evidence admitted at Trial, or3. Data relied upon, which is the type

normally relied upon by experts in the field.

Freye Test

Specific science used by expert must have “general acceptance” in the “relevant scientific community”.

Daubert Principles

Scientific evidence is admissible if it is:

•Relevant•Reliable

Technical CompetencyEvaluation of Scientific Validity ( Daubert )

• A. Whether Principle has been tested

• B. Whether Principle has been published in peer-reviewed publication

• C. Error rate associated with Principle

• D. Whether Principle has achieved “General Acceptance”

Qualifications

• Profession • Education• Training• Employment• Experience• Certifications• Licenses

• Specialties• Present Title• Practical

Experience• Number of

Investigations• Lecturing or

Teaching

Expert Reality Check:• Use only tested & proven theories• Specify the known or potential error

rate• Produce peer-review literature• Produce references to demonstrate

general acceptance of theory• Demonstrate that theory existed prior

to litigation• Do not develop novel theories to

support conclusions for specific litigation

No Junk Science !!!

The Investigative Process

Engagement & Definition of Investigation Objectives

Collection of Background Information and Documents

Preliminary Site Visit

Formation of Investigation Plan and Project Team

Formulate Initial Failure Hypothesis

Comprehensive Document Study

Site Investigation, Field Testing and Sample Collection

Engineering Analysis, & Code CheckLaboratory Testing

Revision of Failure Hypothesis

Revision of Investigative PlanFinal Conclusions

Final Report

What?

When?

Where?

How?

Why?

How could it have been prevented?

Who could be responsible?

Investigation Procedure• Documentary Information:

Make broad search & collect information pertaining to conditions before, during or after the incident.

• Physical Evidence: Obtain and preserve physical items as

early as possible. When physical items cannot be preserved in their found state, document it.

• Photographic Documentation: Document the scene of incident and

condition of items involved. If items involved are disassembled or subject to destructive testing, document each step.

Investigation Procedure

Things are not always

what they appear to be!

Admissible Data

• Consumer surveys• Field agent reports• Government –

approved documents

• Scientific studies• Trade publications• Inspection of scene

• Tests on products at issue

• Opinions of experts in same field

• Reports and testimony of experts in same case

• Interviews

Preventive & Corrective Actions

Hazard Elimination Hierarchy

• Eliminate the Defect / Hazard• Design & Install Safety devices• Provide Warning Devices• Provide Safety Training &

Personal Protection

Analyze Cause & Effect = Root Cause

Report Preparation

1. Introduction2. Scope of Investigation3. Data Available4. References5. Discussion & Opinions6. Conclusion

Report Preparation

ASTM Designation E 1020-96 “Standard Practice for Reporting Incidents”

Conclusion = Burden of Proof

• Civil case doctrine Conclusion must be reached based

on opinions with a “preponderance of the evidence,” “more likely than not,” or more than 50% likely.

• Criminal case doctrine Conclusion must be reached based

on opinions “beyond a reasonable doubt.”

Check that C.V. !!!

• Currency• Accuracy• Gaps in C.V.• Self-Designated

Titles• Diploma Mill

Degrees

• Multiple C.V.’s• Licenses &

Certificates• Honorary

Degrees• Self-Serving

Comments• Forensic

Experience

The Court Room Drama: Catch the Tiger by the Tail• The disassembled parts of a

high-powered rifle have been placed in front of you. You are also given an instruction manual written in Mandarin Chinese.

• In 10 minutes a hungry Tiger will be admitted to the room, through the only door which will then be locked.

• Take whatever action you feel appropriate and defend it vigorously.

Testimony

• Test Expert’s emotional capacity• Coach expert on trick questions.• Coach expert on how to answer yes or no

questions.• Instruct expert to speak to the jury.• Instruct expert to be a teacher not a

showman.• Discuss hypothetical questions for cross

and redirect examinations.• Allow expert sufficient preparation time.

Required?JurisdictionLicensing BoardsOpposing Expert

The Professional Engineering License

Thank You for ListeningAny Questions

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