Forensic Engineering E Investigations Contributors: James Bennett, P.Eng., / Helmut Brosz, P.Eng., / Jamie Catania, P.Eng. (Chair), / Keith Ellison, P.Eng., / Michael Maher, P.Eng., / David Porter, P.Eng., / Dennis Pupulin, P.Eng., / Christopher Thompson, P.Eng., / James Wilkinson, P.Eng., / Renato Veerasammy, P.Eng. Notice: The Professional Standards Committee has a policy of reviewing guidelines every five years to deter- mine if the guideline is still viable and adequate. However, practice bulletins may be issued from time to time to clarify statements made herein or to add information useful to those engineers engaged in this area of practice. Users of this guideline who have questions, comments or suggestions for future amendments and revisions are invited to submit these to PEO using the standard form included in the following online docu- ment: Guideline Development and Maintenance Processes document January 2016 GUIDELIN Contents 1. PEO Purpose for Guidelines ......................................................... 3 2. Preface ......................................................................... 3 3. Purpose and Scope of Guideline ...................................................... 3 4. Introduction ..................................................................... 3 5. Professional Responsibility .......................................................... 4 5.1 Before Conducting Investigation ................................................................4 a) Immediate response .....................................................................4 b) Initial incident appraisal ..................................................................4 c) Planning the investigation .................................................................5 d) Terms of reference ......................................................................5 e) Relevant expertise and qualifications .........................................................5 f) Composition of the investigation team .......................................................5 g) Creating a cooperative environment .........................................................5 h) Fees for services ........................................................................6 i) Conflict of interest ......................................................................6 5.2 While Conducting Investigation ................................................................6 a) Extent of investigation ...................................................................6 b) Maintaining objectivity and avoiding bias .....................................................7 c) Duty to report .........................................................................7 d) Expert testimony ........................................................................7 6. Definitions ...................................................................... 7 Appendix 1. Forensic Engineering Resources of Interest to Engineers ............................ 9 Appendix 2. Inspection ............................................................... 10 Appendix 3. Engineering Analysis ...................................................... 13 Appendix 4. Forensic Engineering Reports ................................................ 15 Appendix 5. PEO Professional Practice Guidelines and Standards ............................... 17 2 Forensic Engineering Investigations 1. PEO Purpose for Guidelines For the purposes of this guideline, the term the public Professional Engineers Ontario (PEO) produces guidelines interest refers to the safeguarding of life, health, property, for the purpose of educating both licensees and the public economic interests, the public welfare and the environment. about best practices. 3. Purpose and Scope of For more information on PEO’s guideline and development process, which includes PEO’s standard form for proposing Guideline revisions to guidelines, please read our Guideline This guideline was developed to assist engineers who: Development and Maintenance Processes document. a) practise forensic engineering and/or offer professional For a complete list of PEO’s guidelines, please visit forensic engineering services; Appendix 5. b) conduct forensic engineering investigations. To view other PEO guidelines, please visit the Practice The guideline was written to assist the clients and employ- Advice Resources and Guidelines of the PEO website. ers of engineers as to the type of activities, work and options that may be needed to properly carry out a forensic engineering assignment. 2. Preface This guideline addresses forensic engineering as defined in Courts in any jurisdiction determine or set out the Section 4. Professional engineers called to appear as an requirements for testimony to be proffered in their court. expert witness should consult the PEO guideline The Pro- Ultimately, the trier of fact determines if an engineer is fessional Engineer as an Expert Witness. qualified as an expert witness in a specific proceeding. This guideline is not intended to replace this process. During 2010, PSC prepared terms of reference for a sub- committee comprising professional engineers engaged in the The engineer should be mindful of other public interests practice of providing forensic engineering services. This having jurisdiction in an investigation, which may take pre- group was asked to prepare a practice guideline for engi- cedence over private interests, for example investigations by neers retained to provide forensic engineering services. The the Ontario Fire Marshal and Emergency Management, or guideline would provide information on how the practitio- the Ontario Ministry of Labour. ners should carry out forensic engineering activities in an ethical and legal manner. 4. Introduction The subcommittee met for the first time on April 19, 2011 There are a number of definitions of forensic engineer- and submitted a completed draft on March 18, 2013. Fol- ing, but it can generally be defined as the application of lowing a reader review process, public consultations and PSC professional engineering principles and methodologies to consideration the draft was substantially revised. The final investigating failures and incidents, usually to determine cau- draft of the document was submitted to the Profes-sional sation. Normally, it involves preparing a report of findings, Standards Committee for approval on September 15, 2015. which may form the basis for testimony in legal proceedings The completed guideline was approved by Council at its as an expert witness. A forensic engineer may serve as an meeting on November 20, 2015. engineering consultant to members of the legal profession and as an expert witness in courts of law, arbitration pro- Note: References in this guideline to engineers apply equally ceedings and administrative adjudication proceedings. to professional engineers, temporary licence holders, provisional licence holders and limited licence holders. Forensic engineering is a part of professional engineering practice that may cover all disciplines of engineering. It is Practitioners as defined in the Professional Engineers Act a specialized set of skills that can include multidisciplinary (Act) refers to engineers and firms holding a Certificate of training in failure analysis, simulation, safety, accelerated Authorization to offer and provide engineering services to life testing and statistical analysis, as well as knowledge of the public. the specific engineering field. Professional Engineers Ontario 3 Failures and incidents may include fires and explosions, ommend the necessary temporary procedures to be put in transportation accidents, and a broad range of mechani- place to isolate people from hazards. cal equipment and structural failures. Investigation of In Ontario, the Occupational Health and Safety Act (OHSA) structures, products and assemblies that exceed their ser- and the various pursuant regulations set out specific duties viceability limits also involves the application of forensic for constructors, employers, supervisors and workers in the engineering principles. workplace. In addition, section 31(1) of the OHSA imposes a duty on a professional engineer to ensure that the advice 5. Professional Responsibility provided by the engineer is not given incompetently or neg- ligently. Accordingly, the engineer needs to be aware of the 5.1 Before Conducting Investigation requirements of the OHSA and any other regulations per- a) Immediate response taining to working in hazardous locations and comply at all An engineer may be required to attend at a site in the times. This guideline is not intended to supersede or replace immediate aftermath of an incident. As previously noted, legislated responsibilities as set out in the OHSA or other the engineer should be mindful of other public interests applicable regulations and statutes. having jurisdiction in an investigation that may take pred- edence over private interests. Consequently, engineers must Of secondary concern is further property loss. Engineers ensure they have the appropriate authority and permission are encouraged to cause the necessary or appropriate per- to access the site before conducting their investigation. sonnel, procedures and measures to be put in place to reduce further property loss. When the engineer arrives on a site where there are unidenti- fied hazards, including physical instability of the site, the first It should be noted that preventing risk of further injury task should be to check