ASTM E3176-24

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Designation: E3176 − 20 E3176 − 24
Standard Guide for
Forensic Engineering Expert Reports
This standard is issued under the fixed designation E3176; the number immediately following the designation indicates the year of
original adoption or, in the case of revision, the year of last revision. A number in parentheses indicates the year of last reapproval. A
superscript epsilon (´) indicates an editorial change since the last revision or reapproval.
1. Scope
1.1 This document provides guidance on the purpose, content, and limitations of forensic engineering expert reports, and it
discusses report representation in electronic form.
1.2 This standard does not purport to address all of the safety concerns, if any, associated with its use. It is the responsibility
of the user of this standard to establish appropriate safety, health, and environmental practices and determine the applicability of
regulatory limitations prior to use.
1.3 This international standard was developed in accordance with internationally recognized principles on standardization
established in the Decision on Principles for the Development of International Standards, Guides and Recommendations issued
by the World Trade Organization Technical Barriers to Trade (TBT) Committee.
2. Referenced Documents
2.1 ASTM Standards:
E2713 Guide to Forensic Engineering
2.2 Other Standards:
ISO 32000-2:2017 Document Management – Portable Document Format – Part 2: PDF 2.0
3. Terminology
3.1 Definitions:
3.1.1 expert, n—an individual with specialized knowledge, skills, and abilities acquired through appropriate education, training,
and experience. E2713
3.2 Definitions of Terms Specific to This Standard:
3.2.1 author, n—the individual(s) asserting responsibility for a report, along with an organizational unit (position or title, company
affiliation, government agency, etc.).
3.2.1.1 Discussion—
A report may incorporate contributions from multiple individuals. Usually one individual should be named as being responsible
for the report as a whole. If the report is submitted into legal proceedings, that individual will likely become the initial focus of
deposition or court testimony. Joint authorship may be asserted.
This guide is under the jurisdiction of ASTM Committee E58 on Forensic Engineering and is the direct responsibility of Subcommittee E58.01 on General Practice.
Current edition approved May 1, 2020March 15, 2024. Published May 2020March 2024. Originally approved in 2020. Last previous edition approved in 2020 as
E3176 – 20. DOI: 10.1520/E3176-20.10.1520/E3176-24.
For referenced ASTM standards, visit the ASTM website, www.astm.org, or contact ASTM Customer Service at service@astm.org. For Annual Book of ASTM Standards
volume information, refer to the standard’s Document Summary page on the ASTM website.
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3.2.2 incident, n—generic term for a problematic occurrence or condition which is the subject of investigation and reporting.
3.2.2.1 Discussion—
Typical incidents include vehicle crashes, structural failures, chemical spills, electrical or plumbing failures, uncontrolled fires,
roofing defects, cosmetic features, natural disasters, and various human actions. An incident which underlies a forensic engineering
report is not necessarily sudden and disastrous. It may be a statistical deviation over time such as a manufacturing process, the
acknowledgement of a latent phenomenon such as an explosive mixture, a design option, an alleged civil tort or criminal act, a
human error or administrative violation, or a sequence or collection of such occurrences.
3.2.3 report, n—a formal written document which communicates the result of an investigation.
3.2.3.1 Discussion—
A report may be qualified, such as draft, preliminary, final, or supplementary. Updated versions of a report will modify,
supplement, or supersede previous versions.
4. Summary of Guide
4.1 Forensic engineering reports are typically composed of elements such as: introduction, background, description of an incident,
questions to be resolved, materials examined, inspections conducted, testing or experiments performed, data obtained, assertions
offered, findings, alternative explanations, and conclusions or opinions, along with the scientific or technical rationale for the
foregoing. The scope of the report should lie within the expertise of the author and be relevant to the incident under investigation.
The scope should be agreed upon with the client or customer. The report may be subject to legal requirements peculiar to a
jurisdiction, beyond the extent of this guide.
4.2 Forensic engineering reports have characteristics and constraints that differ from reports prepared in forensic science and other
disciplines. A forensic engineering report commonly communicates findings and conclusions from an investigation of a unique
incident (as broadly defined above). In contrast, forensic science reports typically deal with rigorously prescribed and accepted
procedures. Forensic engineering reports may exhibit more tutorial material and technical detail than forensic science reports. A
given forensic engineering report may address only a subset of an overall investigation. Certain reports may go beyond conclusions
and opinions to incorporate recommendations of a knowledgeable expert describing correction of deficiencies contributing to the
incident, or discussing repair of damage.
4.3 Forensic engineering uses the knowledge, education, training, experience, and skill of the practitioner to interpret and apply
existing science in evaluating the incident.
4.4 As with other ‘scientific or technical reports’, courts of law may treat forensic engineering reports as ‘expert opinions’ which
may or may not be deemed admissible in a given legal proceeding. A forensic engineering report should be accurate and logical.
Findings and conclusions must be based on valid evidence and acceptable references.
5. Significance and Use
5.1 This guide may be useful to forensic engineers, courts, jurists, attorneys, insurance adjusters, and clients of forensic engineers.
Although this guide is directed to the practice of forensic engineering, its description of the elements of investigative reports may
be useful to practitioners in other disciplines that embrace scientific laws and theories.
5.2 This guide is based on Guide E2713, which discusses elements of the practice of forensic engineering and provides suggested
readings which may be of interest to those creating (or reading) forensic engineering reports.
5.3 This guide is informational and not mandatory. Not all items necessarily apply to all forensic engineering reports. Practitioners
should adopt the requirements stated herein as appropriate to their individual situations. The author should verbally discuss findings
with the client prior to the preparation of a written report. Not all clients will require a written report, and some may want a report
with a focused scope or a report that follows a particular format.
6. Report Purpose
6.1 The purpose of a forensic engineering report is to elucidate and inform parties and decision-makers, and to facilitate resolution
of issues that are, or may become, in litigation or legal proceeding. Forensic engineering is based in part on observation, analysis,
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and application of scientific principles, laws, and theories. Forensic engineering reports may also address design opinions, human
factors, regulatory issues, facts pertinent to adjudication, and other considerations.
6.2 Forensic engineering reports are typically used for these purposes: (1) to define and address alleged defects or malfunctions,
(2) to provide information relevant to the damages compensation part of insurance claims, (3) to impart technical information for
use by administrative officials and courts of law, or (4) to submit recommendations for use by clients of forensic engineers.
6.3 Forensic engineering reports are a form of technical communication. The word forensic derives from forum, meaning a council
or place of discussion. Forensic engineering reports are likely to be subjected to technical critique, adverse interpretation, and
cross-examination in the legal forum.
6.4 Appendix X1 discusses issues surrounding representation of forensic engineering reports in electronic form.
7. Report Content
7.1 Candidates for sections of a report are given below. In short reports, the text may flow without division into sections. Long
reports may warrant section headings such as suggested here, and may also require subheadings to maintain continuity.
7.2 Identification:
7.2.1 At the beginning of the report, list the relevant identifying information by means of a cover sheet, a corporate letterhead,
plain text, or a combination thereof. Identification and reference information may include: (1) author; (2) client or other entity who
commissioned the report; (3) incident short title (for example, fire loss, crane malfunction, water damage, illicit transaction, electric
shock, code violation, etc.); (4) date of incident; (5) geographic location (including street address and earth coordinates if
appropriate); (6) affected parties (insured, plaintiff, claimant, defendant, etc.); (7) claim number or case number if assigned; (8)
case caption and court docket number if filed; and (9) author’s file reference and report date.
7.3 Introduction:
7.3.1 An introductory section may be provided to relate the purpose or intent of the investigation, or to state the issue(s) being
addressed, or to ask the question(s) to be resolved by the investigation.
7.3.2 The introduction may also define one’s assignment or the scope of work, along with expressing confidentiality restrictions
or similar disclaimers if necessary.
7.3.3 For lengthy reports, an Introduction and Summary section, or an Executive Summary, may include a brief of the conclusions
or opinions.
7.3.4 An early overview may be useful for long or complex reports, in order to provide context for the analysis that follows. A
reader may appreciate learning in the Introduction that, “This report concludes that the cause of the incident was a defect in the
cruise control while operating in the low-speed radar-following mode.” or a similarly terse extract.
7.4 Qualifications:
7.4.1 It may be opportune to condense the qualifications of the author. For instance, state relevant licensure or certification to
differentiate the author’s expertise from that of lay witnesses.
7.4.2 If pertinent to the report, give the level of experience both in general (for example, forensic engineering) and specific to the
subject of the report (for example, electrical incidents). Identify positions held, papers published, or testimony given.
7.4.3 The qualifications stated in the body of the report might be just enough to represent that the author is qualified to expound
on the subject. When a lengthy CV (curriculum vitae) is necessary, move it to an appendix or enclosure. Reference to the author’s
available CV may suffice, such as one posted on an Internet site. However, when the report is submitted in litigation, the author’s
entire qualifications will be subject to exacting inquiry in the deposition or at trial.
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7.5 Description of the Incident:
7.5.1 Describe what transpired or what is alleged. This section may be titled “Facts Relied Upon” or similar phrases of the author’s
choice.
7.5.2 Narrate the chronology of the incident if appropriate. The incident may have been satisfactorily described elsewhere and
need not be repeated in, for example, a rebuttal report. Be prudent in using specialized words such as medical or legal terms.
7.5.3 Be precise. For example, distinguish between overheating (temperature increase) and fire (flaming combustion), between
insured and claimant, between electric shock (sensation or injury) and electrocution (death by electricity), between damage (loss)
and damages (legal reimbursement), and among distress (as with a finish), deformation, and collapse.
7.5.4 Avoid inflammatory phrases or subjective descriptions (for example, painful fracture) or imply an estimate of damage (for
example, huge inventory). Do not confound the factual description with prejudicial phrases (for example, eight long hours; 15 full
gallons; in a single day; each and every item).
7.5.5 Avoid confirmation bias, the unintentional favoring of information that confirms the author’s previously existing beliefs or
opinions.
7.6 Materials Reviewed:
7.6.1 List every discovery document, witness statement, reference document, manual, report, Internet address, standard, or other
material reviewed that is relevant to preparation of the report. Note that the author may not have been aware of every possibly
relevant document.
7.6.2 Redact material that may reveal protected information (see 8.2). If appropriate, state that the preparation of the report
included review of proprietary or protected information.
7.6.3 If the list of materials is extensive, cite or refer to an appendix of reviewed materials as needed. Discovery materials that
were received but not reviewed might be listed separately. Group like materials together (for example, deposition transcripts,
manufacturers manuals, evidence examinations, photographs) including dates and places where applicable.
7.6.4 Subsequent reference to the various materials might have a shortened name (for example, Smith deposition page 12, or Jones
report paragraph 3.4, or second site examination).
7.7 Observations Made:
7.7.1 Characterize relevant observations. Convey if and how the author contributed to the investigation.
7.7.2 Identify and clarify drawings, maps, photographs, or other materials which depict the incident. Refer to an appendix of
relevant materials as needed. Document the significant measurements. Be sure all observations trace back to materials reviewed
or conditions observed and documented.
7.7.3 It may not be necessary to describe in the report those measurements that might have been made for completeness of
examination (for example, physical dimensions) but which have no bearing on the results or conclusions.
7.7.4 Sometimes a change of tense assists the reader in discerning what the expert did or did not observe or conduct, distinct from
the incident itself. Past tense may be used for author’s activities (for examp
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