ASTM E2713-2011 Standard Guide to Forensic Engineering《法律工程的标准指南》.pdf

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1、Designation: E2713 11Standard Guide toForensic Engineering1This standard is issued under the fixed designation E2713; the number immediately following the designation indicates the year oforiginal adoption or, in the case of revision, the year of last revision. A number in parentheses indicates the

2、year of last reapproval. Asuperscript epsilon () indicates an editorial change since the last revision or reapproval.1. Scope1.1 This guide provides an introductory reference to theprofessional practice of forensic engineering, and discusses thetypical roles and qualifications of practitioners.2. Re

3、ferenced Documents2.1 ASTM Standards:2E2493 Guide for the Collection of Non-Volatile MemoryData in Evidentiary Vehicle Electronic Control Units3. Terminology3.1 Definitions of Terms Specific to This Standard:3.1.1 expert, nan individual with specialized knowledge,skills, and abilities acquired throu

4、gh appropriate education,training, and experience.3.1.2 forensic engineering, nthe application of the art andscience of engineering in matters which are, or may possiblyrelate to, the jurisprudence system, inclusive of alternativedispute resolution.National Academy of Forensic Engineers34. Significa

5、nce and Use4.1 This guide is intended as a foundation for other E58Committee standards that are focused on specific technicaldisciplines, for example Guide E2493.4.2 The emphasis of this guide is on the practice of forensicengineering in the United States, though elements of practice inother countri

6、es may be similar. Commercial use of the terms“engineer” and “engineering” are regulated by state and federallaw; this document uses these terms only to describe atechnical discipline, and not to confer title or status. Courtsmay decide that individuals with qualifications other than thosedescribed

7、herein can testify as experts in forensic engineering.4.3 Certain forensic engineering investigations of incidentsand claims may be related to the behavior or condition of oneor more physical systems, or the manner in which they wereused. These investigations may also be related to complianceinspect

8、ions, subrogation, litigation, and other activities. It isimportant to note that some incidents may be consideredalleged, particularly when objective proof of their occurrenceis not apparent.4.4 Suggested additional readings are listed in AppendixX1.CHARACTERISTICS OFFORENSIC ENGINEERING PRACTICE5.

9、Individual Characteristics5.1 Typical Qualifications:5.1.1 The equivalent of a Bachelor degree or Bachelor ofScience degree, or graduate degree, in engineering, from anappropriately accredited college or university program. De-grees obtained from accredited engineering programs typicallyinclude educ

10、ation in the areas of advanced mathematics, thetheoretical and practical study of physical sciences, the designof physical systems, and logical reasoning. Note that forensicengineering itself is not a separate discipline of engineeringitis an application of engineering, as defined above.5.1.2 State

11、licensure as a Professional Engineer (PE) in oneor more disciplines of engineering. It is noted, however, thatthere are many disciplines of engineering (for example, bio-medical, ceramic) for which PE licensure is not offered.Licensure is available for the engineering disciplines that mostcommonly p

12、ertain to public works (chemical, civil, electrical,mechanical, etc.), though each state may vary the disciplinesoffered for licensure. Some states require PE licensure as aprecondition for practicing certain aspects of forensic engineer-ing. Current requirements for attaining a PE license typically

13、include the following elements; these requirements also varyby state:5.1.2.1 An engineering degree as described above, orequivalency recognized by the state licensing board. Statelicensing boards may also require post-graduate coursework.1This guide is under the jurisdiction of ASTM Committee E58 on

14、 ForensicEngineering and is the direct responsibility of Subcommittee E58.01 on GeneralPractice.Current edition approved Nov. 15, 2011. Published December 2011. DOI:10.1520/E2713-11.2For referenced ASTM standards, visit the ASTM website, www.astm.org, orcontact ASTM Customer Service at serviceastm.o

15、rg. For Annual Book of ASTMStandards volume information, refer to the standards Document Summary page onthe ASTM website.3Available from National Academy of Forensic Engineers (NAFE), 174 BradyAvenue, Hawthorne, NY 10532, http:/www.nafe.org.1Copyright ASTM International, 100 Barr Harbor Drive, PO Bo

16、x C700, West Conshohocken, PA 19428-2959, United States.5.1.2.2 At least four years of professional experience inengineering. Depending upon the state, experience credit maybe given for earning a masters degree or doctorate; conversely,additional experience may be required for those with educa-tiona

17、l credentials outside those previously discussed.5.1.2.3 Successfully passing two nationally standardizedeight-hour examinations on the fundamentals, principles, andpractices of engineering.5.1.3 Possible professional certification in one or morefields of technical knowledge. Such certifications typ

18、icallyfollow advanced study or experience in the field, or both. Acertification board may require some or all of the followingelements:5.1.3.1 Discipline-specific evidence of professional compe-tence.5.1.3.2 Professional references.5.1.3.3 Examination(s).5.1.3.4 Evidence of periodic continuing educa

19、tion.5.1.4 Participation in engineering professional societies inthe engineers area of practice and interest. Membershipgrades (such as associate, member, senior member, fellow)may vary depending upon years of practice and other elements.5.1.5 Significant experience in one or more technical fields.5

20、.2 Elements of the Practice of Forensic Engineering:5.2.1 The preliminary scope of an investigation is agreedupon by the engineer and court or client, and the scope mayevolve as the investigation progresses. Legal issues maysignificantly affect the investigative scope. Regardless, engi-neers are not

21、 advocates for any particular party or outcome ina claim or legal action. The guiding principle is to use theknowledge imparted by their education, training and experi-ence to conduct an investigation that results in considered,reasonable, defensible, and logically based opinions on thespecifics of

22、the incident.5.2.2 Contingency fee-based investigations are unethical, asoutcome-based compensation may affect the reliability of theengineers opinions.5.2.3 Engineers should stay within their area of expertise. Itis important to note, however, that an experienced engineertypically has a broad area

23、of expertise, based on the logicalfocus of engineering education and based on the commonalitiesthat are inherent in the properties and behaviors of physicalsystems.5.2.4 The engineers education, training, and experience arenotably applied in the determination of appropriate tasks andresearch to be p

24、erformed in an incident investigation. Distinctfrom hypothetical “events” that may warrant new scientificinquiry, these incidents have typically already occurred, andengineers rely on known engineering principles when deter-mining necessary and expected levels of investigative breadthand rigor. Stan

25、dardized methods and procedures should beused when appropriate for the investigation.5.2.4.1 BreadthKnowledge of engineering principlesforms the basis for effectively determining key issues to beanalyzed and methods for analysisin the context of theinvestigative scope of the case. Physical systems m

26、ay havedifferent elements that could be analyzed in a particularinvestigation; experience would show that analysis of many ofthese elements would provide information not relevant to theinvestigation. This is revealed in the prescriptive standardizedanalysis procedures of certain scientific and techn

27、ical disci-plines, which attempt to focus on relevant elements ofpredictably-behaving systems, and to analyze them in a con-sistent manner. When appropriate standardized procedures donot exist, engineers rely on their education, training, andexperience to craft an investigative plan, sometimes under

28、unique, transitory, or potentially adverse incident site condi-tions that may preclude testing and peer review5.2.4.2 RigorEngineering requires a certain level of rigorfor any analysis method in use. For complex physical systems,advanced and meticulous analysis methods may beappropriatebut likely on

29、ly for analyzing certain portions ofthe system; other portions may be comparatively simple toanalyze. Selection of appropriate levels of rigor should takeinto account the standards to which the system was heldpreceding the incident, the standards of care that may exist forconducting such investigati

30、ons, and the robustness of support(for opinions) that such rigor will provide.5.2.4.3 CommentEach forensic engineering investigationis unique and may evolve in direction and complexity. In thisscenario, the engineer may decide to pursue a course ofanalysis that is tangential to his or her existing e

31、xperiencegenerally, this is how experience is gained. Engineeringtraining (in critical thinking, logic, reason, and physics) pro-vides the foundation for conducting both the straightforwardand the tangential analyses with a reliance on establishedengineering principles; the same training informs the

32、 decisionto initiate further research or to seek the advice of peers.5.2.5 Forensic engineering investigations may involve itemsof evidence. Inspections of this evidence should be done in amanner that minimizes the alteration or destruction, or both, ofsuch evidence and the information it contains,

33、and that alsotakes into consideration the interests of other involved partiesin conducting their own inspections. Various penalties may beincurred for evidence spoliation. Standardized procedures forconducting inspections should be used, when appropriate.6. Forensic Engineering Practice in the Commu

34、nity6.1 Engineers in General:6.1.1 Engineers have a unique role within society, as theyare largely responsible for most tangible, functional human-made or processed components within the society. For ex-ample, creators of roadways, bridges, and buildings rely onengineers, as do product manufacturers

35、, public utilities, foodproducers, and the healthcare industry. Certain engineeringprofessional societies have Codes of Ethics, which outline thegeneral expectations of the profession.E2713 1126.2 State-Licensed Professional Engineers:6.2.1 Professional Engineers are statutorily required to pri-orit

36、ize public health, safety, and welfare above all otherprofessional considerations. As such, supervision by a PE (forrelevant disciplines) is typically required for the engineeringdesign, construction, and modification of public works proj-ects; the primary exemptions are for engineers employed by am

37、anufacturer or by the government. Specific exemptions varystate-to-state.6.2.2 Each state has specific and detailed laws and rulesregarding responsible supervision and approvals of projectwork, conflicts of interest, and other elements of PE conduct.The PE may be subject to penalties for misconduct,

38、 grossnegligence, incompetence, and related infractions of these lawsand rules.6.3 Forensic Engineering Practitioners:6.3.1 These engineers are relied upon to provide objectivetechnical information and opinions to courts, individuals,estates, businesses, attorneys, and other entities. These entities

39、in turn may make financial, legal, and business decisions basedlargely on the opinions of the engineer.7. Forensic Engineering in the Legal System7.1 Background and Legal Precedents:7.1.1 Forensic engineering may play a role in the disposi-tion of court cases, alternative dispute resolution, and oth

40、erlitigation. The activities and conditions under which an engi-neer becomes an accepted expert by the court are dependentupon evolving legal issues, a discussion of which is beyond thescope of this introductory document. However, the followingdocuments and court decisions are among those discussed

41、incertain cases involving forensic engineering. Different jurisdic-tions recognize different rules and court decisions.Documents and Court DecisionsFrye v. United States, 293 F. 1013 (1923)Daubert v. Merrell Dow Pharmaceuticals, Inc., 509 U.S. 579 (1993)General Electric Company v. Joiner, 118 S. Ct.

42、 512 (1997)Kumho Tire Company, Ltd., v. Carmichael, 119 S. Ct. 1167 (1999)7.2 Communication of Engineering Insight:7.2.1 Assisting the engineers client:7.2.1.1 The engineers first objective is to clearly explainthe technical factors of the incident to the client. As theinvestigation progresses, the

43、engineer should keep the clientinformed of findings.7.2.2 Assisting the court, jury, or other triers of fact:7.2.2.1 Physical systems and their behaviors are complex.Engineering analysis may facilitate simplified representationsof the properties and behaviors of physical systems, so thatthey may be

44、better understood. The testifying engineers goalis to explain the broader concepts and the details of a particularsystem or behavior, in a way that may allow the triers of factto adequately understand the essentials of the physical system.Further, the engineers goal is to clearly describe the invest

45、i-gative and analytical methods that were used, the reasons thosemethods were selected, and the basis for his or her opinions,within the investigative scope of the case.8. Keywords8.1 expert; forensic engineering; professional engineer;testimonyAPPENDIX(Nonmandatory Information)X1. SUGGESTED ADDITIO

46、NAL READINGSX1.1 United States Government DocumentsX1.1.1 Federal Rules of Civil Procedure:X1.1.1.1 Rule 26Duty to Disclose: General ProvisionsGoverning Discovery.X1.1.2 Federal Rules of Evidence:X1.1.2.1 Rule 702Testimony by Experts.X1.1.2.2 Rule 703Basis of Opinion Testimony by Ex-perts.X1.1.2.3 R

47、ule 705Disclosure of Facts or Data UnderlyingExpert Opinions.X1.1.3 Reference Manual on Scientific Evidence, FederalJudicial Center.X1.2 PublicationsX1.2.1 National Academy of Forensic Engineers:3X1.2.1.1 “NAFE and Kumho: Amicus Curiae brief ofNAFE, Decision of the US Supreme Court, Update following

48、decision,” NAFE, January 2001.X1.2.1.2 “Guidelines for the P.E. as a Forensic Engineer:The Engineer as an Expert Witness,” NAFE, January 2001.X1.2.1.3 Dixon, E.J., “The NSPE Code of EthicsApplied toForensic Engineering,” Journal of the National Academy ofForensic Engineers, Vol 9, No. 1, June 1992.X

49、1.2.1.4 “Contingent Fee Practice of Forensic Engineeringis Unethical,” NAFE, January 2005.X1.2.1.5 “NAFE Policy on Accident Reconstruction,”NAFE, July 2000.X1.2.1.6 Liptai, L.L, and Cecil, J.S., “Forensic Engineeringand the Scientific Method,” Journal of the National Academyof Forensic Engineers, Vol 26, No. 1, June 2009, pp. 147156.X1.2.1.7 “NSPE-NAFE Joint Position on Forensic Engi-neering,” NAFE, 2006.X1.2.2 American Academy of Forensic Sciences:4X1.2.2.1 Journal of Forensic Sciencesvarious articles.4Available from American Academy of Forensic Sciences (AAFS)