ELECTRO-FORENSIC ENGINEEFUNG-AN EMERGING PROFESSION

Rent? Castenschiold, I? E.
IEEE Life Fellow LCR Consulting Engineers, Inc. Post Ofice Box Two Green Village, NJ 07935
Abstract-With the increasing number of legal cases involving application of electrical equipment, forensic engineering is playing a greater role in providing litigation support. This paper discusses the qualificationsand role of the electro-forensicengineer. Safety practices, importance of codes and standards, and how to minimize accidents and liability are growing concerns with electrical equipment manufacturers, systems designers, contractors, and owners. The electro-forensic engineer can make positive contributions beyond litigation support as explained in this paper. The need for recommended practices or standlards for the electro-forensic engineer to perform in a professional manner is also discussed.

Daniel J. Love, P.E

IEEE Life Fellow

Love Consulting
16300 E. Soriano Drive Hacienda Heights, CA 91745

interest to the electro-forensic engineer, it is equally possible that he may not have the level of experience which would qualify him in the event that the case becomes a matter for litigation. Therefore, careful judgment should be used before accepting any assignment. The typical electro-forensic electrical engineer will have several years of general experience, with specific expertise in one or more fields, and would be a licensed professional engineer.

The contact may be initiated by an insurance adjuster or by an attorney. Casualty insurance companies have adjusters who are authorized to have repairs made to the facility or equipment in order to restore the work process following an accident. At the same time, the insurance company will develop its own understanding as to accident cause. They may realize INTRODUCTION that the cause was due to design or operation, and that the Despite code requirements, product approvals, and standard- costs for the accident should be subrogated to other parties. ization of electrical equipment and systems, electrical acci- For most instances, the first contact with the attorney or dents occur. Such accidents can cause substantial property insurance company representative is the most crucial. These damage and personal injuries. Alleged causes of these acci- are knowledgeable people who often want to be further edudents are serving as bases for expanding litigation. For these cated on a specific case in order to determine a course of acreasons, there is a growing need for qualified electro-forensic tion. On the other hand, an insurance adjuster has to determine the cause, and there may be no litigation resulting if parties engineers. can agree to some settlement. The National Academy of Forensic Engineers has adopted One should not lose sight of the fact that an attorney the following definition: represents a client, and will work to the clients best interest, which is why the electro-forensic engineer should provide an Forensic Engineering is the art and science of prounbiased consultation to the attorneys. Many contacts are fessional practice of those qualqed to serve as initiated through the telephone, and an attorney will describe engineering experts in matters before courts of law the incident as best he can. The attorney will then ask if this or arbitration proceedings. [l] sounds like a case in which the engineer may possibly be of In such practice, the forensic engineer will investigate and assistance. If affmative, the engineer may then be asked about determine, within a reasonable degree of probability, the (cause his educational, professional,and work experience which would of the accidents. The forensic engineer has the unique challenge support the engineers expertise. Following this, a request will of sitting before the public as an expert witness, when accepted be made to send his Curriculum Vitae (CV) to the attorney, by the court as having adequate qualifications regarding the often via FAX, along with his terms and conditions, including rates for the service. In most cases, the engineer will want particular accident or matter which is at issue. additional information, such as existing accident reports, before agreeing to serve as an expert. ACCEPTING /OR AND REJECTING ASSIGNMENT AN Although assignments may appear to be along the line of

0-7803-3008-0/95 0 1995 IEEE $4.00

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TYPICAL CONDITIONS

supported by appropriate tests, and even by other experts. Notes, files, and pertinent references of the plaintiffs expert are also available to the defendants attorney and expert. As discussed above, there are formal rules in place, such as civil codes (which could vary between states or even counties within the same state), which govern how the litigation can proceed, with time being a factor in the initiation of the suit and other actions. Many suits develop because state laws generally limit an injured worker to medical costs, loss of wages, and specific damages related to the accidenthcident. Often a worker may receive only workmans compensationor disability pay, and the worker feels that more is deserved. Even though state laws limit the compensation to an injured worker, attorneys will often seek to justify why these limitations should be waived, and the plaintiff be compensated more extensively.

In personal injury suits, it is common to have medical doctors, podiatrists, certified public accountants (CPAs), operations managers, economic specialists, and other experts, depending upon the extent of the case. A typical case for an electrical engineer may involve an incident in which a worker is nearly electrocuted. After suitable medical treatment and hospitalization, the worker may seek out an attorney to help press claims to compensate the worker for his injuries. The attorney will attempt to have the defendant pay all medical costs, including some from newly contacted specialists who will evaluate how the injuries may limit the workers future, his sex Iife, his mental health, family life, and other activities. After a suitable delay, but within the statute of limitations permitted by the state having jurisdiction, the suit will be filed on behalf of the plaintiff (worker), possibly with specific damages mentioned. The company or its insurance company will probably seek an outside attorney to represent them, and to make contact with the plaintiffs attorney in order to determine the worthiness of the suit, and perhaps even learn what dollar amount is being considered. At this juncture, the case may settle out of court.

WHERE START To

The first step in most investigationsis for the electro-forensic engineer to review relevant documentation regarding the incident. Such information should be provided by the attorney or insurance company and may include all or some of the following: 1. Accident reports When it is apparent that the case can not be negotiated at an 2. Discovery material early stage, each attorney will contact experts, such as an 3. Transcripts of depositions electro-forensic engineer. How to proceed depends upon 4 Related correspondence and photographs . whether the expert is worlung for the plaintiff or the defen5. Legal filings dant. In either case, the expert is expected to provide an 6. Reports by other experts unbiased service. A preliminary review of such documentation enables the The expert for the defendant will review the accident scene engineer to verify whether he can indeed be of service. If for or structure, but may be requested to not prepare a report. any reasons, he feels that he is not qualified or can not be of The reason for limited writing by the defendants expert is that service, he should promptly advise the attorney. Some reasons all notes, files, and pertinent references are to be shown to the for declining the assignment could be a conflict of interest, plaintiffs attorney at some point, at which time they will be disagreementwith the alleged cause of the accident, indications copied for study. Engineers, in general, have natural tenden- that the plaintiff is simply initiating a frivolous suit, or there cies to postulate the many possibilities associated with any appears to be insufficient evidence to determine the cause of problem, and may inadvertently postulate possibilities which accident. On the other hand, if the electro-forensic engineer would support the plaintiffs suit, even if later the engineer feels he can be of service, then a final agreement on rates, decided that such a happening was inappropriate or even terms and conditions, tainer or deposit impossible. However, forensic engineers must give credence should be established. to probable cause, rather than possiblecauses. Otherwise, the opposing attorney may eagerly investigate such possibiliA more detailed review of such documentation will enhance ties, and use some similar wording to later deflate the qualifi- the engineers ability to further discuss the investigation with cations of the expert. his client, make a meaningful inspection of the site and/or electrical equipment, and be able to effectively interview other The plaintiff will seek written reports to explain the acci- parties. dent cause, possibly after a verbal discussion with the plaintiffs After reviewing the documentation there should be a meeting attorney. The report for the plaintiff may be the keystone in with the attorney, preferably with the plaintiff or defense the approach taken by the plaintiffs attorney and should be representative. This is then usually followed by an inspection

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of the site where the accident occurred as well as any electri- mechanical, civil or chemical engineers. This is in part due to cal equipment that may have either been damaged or was associated with the cause of the alleged accident. Laboratories (UL), Institute of Electrical and Electronic Engineers (IEEE), Occupational Safety and Health AdminisTo properly inspect the site of the accident, it is important tration (OSHA), Canadian Standards Association (CSA), and that the electro-forensic engineer have good product and ap- the International Electrotechnical Commission (IEC). It is plication knowledge of the equipment involved, an important that the electro-forensic engineer be aware of these understanding of applicable codes and standards, and be able standards and be able to make proper interpretations as may to observe and record pertinent information needed to deter- be necessary for his particular investigation. Some electrical mine the cause of the accident. The amount of test and standards have requirements that are mandatory whereas other recording equipment needed for an inspection varies depend- electrical standards will have recommended requirements. ing upon the nature of the accident, as well as the surrounding Mandatory requirements are considered as minimal and often circumstances under which the accident occurred. Typical of it is necessary to resort to recommended standards for safe and proper design. some of the equipment used by the authors include:
1. 35 mm cameras with color fl im 2. 8 mm video camera 3. Ammeter, voltmeter and ohmmeter 4.Non-destructive high voltage dielectric tester 5. Tape measure and Micrometer 6. Ground detecting analyzer 7. Magnifying glass and flashlight 8. Mechanical tools as may be required

SITE INSPECTION

National Electrical Code - The National Electrical Code (NEC) is the standard most often used by the electro-forensic engineers. It is sponsored and published by the National Fire Protection Association. Article 90, Section 90-l(a) states The purpose of this Code is the practical safeguarding of persons and property from hazards arising from the use of electricity[2]

It should be noted that the National Electrical Code is a legal document only to the extent that it is adopted by some entity Like a detective, the electro-forensic engineer must gather having the authority to issue or promulgate laws, ordinances, enough information from the scene of the incident, so he can regulations, administrative orders, or similar instruments as reconstruct the scene in his own mind at some later period. He indicated on the inside of the front cover of the Code. Unlike may not always get all the information on his first visit, and many other laws, rules and regulations adopted by governmental may need more than one visit. Information such as serial and bodies that are prepared primarily by legislators, regulatory model numbers, nameplate ratings, and device settings should agencies, or by legal departments, the National Electrical Code be recorded. Photographing everything that my be relevant to is essentially a technical document prepared by individuals the accident is essential. The engineer should search for whose expertise lies in the realm of electrical construction, anything that appears abnormal, record appropiriate design, inspection, engineering, or technology. It does not measurements (physical and electrical), and perform tests when have the formalized working of more legal documents. Since feasible. If he has the opportunity during the site inspection, it is neither a design nor engineering methodology textbook, it he should interview others who may be familiar with the acci- does not contain, except in a few instances, the highly specialized engineering analysis, standardization, and performance dent. criteria that may be found in other electrical standards (e.g., Having a theory on how the incident occurred may be easy ANSI, IEEE, NEMA, IEC, et al.) or engineering texts. to develop for some cases, but extremely difficult for others. Code interpretation may be seized upon as supporting a claim u At any rate the engineer should ! t reach a definitiveconclusion until he has digested his notes, read depositions of others (if in a legal action. In an effort to sustain or define a lawsuit, available), reviewed all accident reports and applicable codes counsel will often attempt to show that somewhere, some and standards. If a fatality is involved, the case can become interpreting authority made a decision that was favorable to even more complex. The electro-forensicengineer must remain independent when analyzing the material gathered. CODES STANDARDS AND Codes and standards play an important role in forensic engineering and more so for the electrical engineer than for technical basis, or be unique, but it may have an impact on a non-technicaljury or court; It may be more a matter of presentation than of substance.

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By necessity, parts of the Code are not too specific. By evolution in succeeding issues, much of the wording and organization of a section of the Code has been altered so that it is confusing to the reader of a later edition. Excerpts from the Code, without considering other related sections can be misconstrued. This all plays into the hands of attorneys and others, unless they are property guided or challenged by the electro-forensic engineer.[3] Vulnerability to product liability can not be avoided by simply providing electrical products listed by Underwriters Laboratories. Similarly, vulnerability to system liability can not be avoided just by simply providing electrical systems in accordance with the National Electrical Code. For example, some safety switches include insulation to prevent accidental contact with live line terminals (whereas others do not) even though this is neither a UL nor Code requirement. By including such a safety feature in the specifications, the designer can minimize accidental injury and expensive litigation. The designer can also design greater safety into the system by including equipment that is beyond that required by the Code. For example, article 700 of the Code does not require the use of bypass switches in conjunction with transfer switches as is often necessary to assure safe maintenance and testing of emergency power systems. Here the lack of maintenance and testing of a transfer switch can lead to equipment failure and thus no power to critical loads, or injury to electrical staff attempting to maintain live equipment.

Fig. 1

I E Buff Book and National Electrical Code used as EE

Evidence in Court.

Figure 1 is a photograph of the Buff Book and National Electrical Code that were recently accepted by the court as evidence. The Buff Book helped convince the jury that the The National Fire Protection Association also produces many cause of the accident was an inadvertent ground fault between other publications that are helpful to the electro-forensic a terminal of a switch and its grounded enclosure. Another important IEEE standard is the National Electrical engineer. For examples, NFPA 907M is an excellent manual Safety Code which includes rules for practical safeguarding of for determination of electrical fires causes. NFPA Standard 921 Guide for Fire and Explosion Investigationsis another good persons during the installation, operation, and maintenance of reference and provides an excellent guide for photographing electric supply lines and asswiated equipment. Unfortunately the scene of an incident, and not necessarily a fire-related there are many electrical injuries and fatalities involving utility lines, which are resulting in an increasing amount of incident. [4][5] litigation.[lo] IEEE Standards - The IEEE Color Book Series has become Very important are the ANSUIEEE Standards for circuit more significant as a standard reference in electro-forensic engineering. These standards provide recommended practices breakers, transformers, surge protective devices. An economithat go beyond the minimal requirements of the National Elec- cal approach to obtaining these standards is to procure them in trical Code, NEMA, and UL standards. In that a good percent- a collection format. For instance, the IEEE Standards age of electrical accidents occur in industrial and commercial Collection for the 1993 Edition of American National Stanfacilities, the most used IEEE Color Books by electro-forensic dard Institute C37 and its Supplement contain standards on circuit breakers, switchgear, substations, and fuses. This engineers are: 1. Red Book - IEEE Recommended practice for Electric includes 1,000pages of standards, some in final form, some in draft form, but extremely valuable in information content. The Power Distribution for Industrial Plants[6] disadvantage is that the collection may not have the most current 2. Gray Book - IEEE Recommended Practice for Electric standards, so it is well to specify to the IEEE order department Power Systems in Commercial Buildingsl71 3. Brown Book - IEEE Recommended Practice for Power when a specific revision of a standard is needed.[ 111 System Analysis[8] 4 Buff Book - IEEE Recommended Practice for Protection . and Coordination of Industrial and Commercial Power Systems [9]

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Other Standards - There are a number of other important electrical standards to be considered, such as those published by Occupational Safety and Health Administration (OSHA).

Of growing significance are OSHA standards such as 29 CFR. 1910 Subpart S - Electrical. This subpart addresses electrical One case concerned a defective attic furnace, in which the safety requirements that are necessary for practical safeguard- emphasis had been placed on determining whether the motor ing of employees in their work places and is divided into four capacitor had failed, thus starting a fire; or had the furnace major divisions as follows: burned due to some external cause. Only after months was the information given to the expert that the occupants had guests 1. Design safety standards for electrical systems in the area in which the furnace operated. While the focus had 2. Safety-related work practices been on the electrical failure, it was obvious that if the capacitor 3. Safety requirements or special equipment had failed during operation ere would have been smoke gen4. Definitions erated and circulated in the heating system. Since no smoke had been observed, and the furnace fan had been working, the OSHA requirements do not conflict with the National Elec- possibility that another cause should be considered became a trical Code but do go well beyond in its scope of safety probability. This illustrated how an expert must not only analyze requirements.[ 121 the suggested failure cause, but should try to look at the big picture, and examine what other cause there could be. NEMA has many standards on electrical products and systems. Their product standards have often served as the basis Another case concerned how confused the user and others for UL safety standards. Both NEMA and UL standards are can become when exposed to 480 V arcing faults. The arcing often formulated on a consensus basis and should be considered fault on the system had been attributed to lack of protection by as minimal requirements. To be UL listed, a device is, sub- the GFI. The question was further expanded to determining jected to a series of performance tests and a detailed report whether the GFI was even in the circuit at the time of the fault. with photographs is prepared. Through discovery, an electro- In this case, a regulatory agency representative noted that the forensic engineer may be able to obtain copies of such reports. GFI was not connected, and the contractor defined the 480 V The counterpart to Underwriters Laboratories in Canada is the GFI as being sensitive to 5 milliamperes. As the case develCanadian Standards Association (CSA). oped, it became necessary to educate the attorney on the difference between a GFI (actually a GFCI for Ground Fault CirThe International Electrotechnical Commission has promul- cuit Interrupter) which is applied to 120/240 V circuits, and a gated electrical standards for many years. To date their stan- GFP (Ground Fault Protection) system which is applied to dards have not been a significant factor in litigation within the 480 V systems and above. Once this hurdle was overcome, United States. However, there are indications that this may there was agreement that on 480 V systems, the function of change in the future. In any event the electro-forensicen& uneer the GFP was primarily to protect equipment and thus could should be aware of IEC standards, particularly if he has foreign not protect a person to the same degree as the GFCI does on clients. 120V circuits. Despite even these differences in operation and magnitude, the case was determined by how fast an arcing Regardless of what standard is being used in an investigation, fault could develop into a destructive mode. To assist the exit is extremely important that the correct issue be used. The planation, the court permitted the use of a video of arcing faults, issue or date of adoption should be applicable at the time of one of which showed an arc in 120 V control wiring, then on a installation of the electrical equipment and/or the date that the 480 V bus, and finally how ordinary clothing reacted to an arc accident occurred. which flashed in a fraction of a second. Even though technical agreement had been reached that the primary function of EXCERPTS SELECTED FROM CASES the GFP was not personnel protection, showing the videotape to the court proved that the GFP system could not operate fast Often there is difficulty in sensing when and how a signifi- enough to limit the effects of an electric arc, whether phase to cant contribution can be made. If a case is simple, there is a ground or phase to phase. possibility that no expert would be used as either a consultant or as an expert. Each case can have some twist that requires an engineer to discern what really happened, with time becomes a big factor-fEst

and secondly there can be a time constraint in which to complete his analysis, adding pressure for developing a theory on what has happened.

there may be a long time gap be-

tween the accident and when the consultant becomes involved,

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When the report came to the attention of the circuit breaker manufacturer, the case was promptly settied out of court. The manufacturer is no longer in the circuit breaker business. In many cases, the results of calculations for fault duty and equipment and /or device ratings provide good clues as to what direction to take. There are instances where a utility has increased the fault duty on service to a customer, or where the protective device had been initially applied to interrupt fault duty beyond its rating. Utilities will provide available fault current magnitude if asked, but not too hastily, particularly if they are aware that litigation may be involved. The engineer should follow simple rules as he would in designing a distribution system. For instance, a 2500 KVA transformer will deliver 3,000A load current on a 3 phase 480V system, with a fault current possibly up to 50,000 or 60,000 A. If this were observed, and old ci lied, the engineer can be almo has been applied to interrupta fault current beyond its rating. This would be me for certain classes of fuses, as well. The important consideration is for the electro-forensic engineer to apply common sense when seeking the cause of a failure.

ENGINEERING AND SAFETY TRENDS

Despite some tort reform, there is an increasing amount of litigation involving electrical accidents. Thus the demand for qualified electro-forensic engineers is on the increase. Unfortunately, there are a number of hired guns participating in frivolous suits that have pursued this demand. However, fortunately more qualified experts are emerging because of higher court requirements and the efforts of organizationssuch as the National Academy of Forensic Engineers. Most qualified forensic engineers are registered professional engineers, ethical, independent, and unbiased in the application of engineeringprinciple within the jurisprudence system.Yet more has to be done in establishing guidelines or procedural standards for forensic engineers to follow when investigatingelectrical accidents. The authors recommend that the main Safety Committee of the IEEE Industry Applications Society or one of the IAS safety subcommittees take the initiative in establishing such guidelines. Perhaps this emerging profession should also be further addressed in the IEEE Color Book Senes, such as in the forthcoming IEEE Yellow Book. The electro-forensic engineer has both the opportunity and the obligation to utilize his findings to improve safety for others. This can be done in a number of ways. For example, by being aware of certain accident(s), he can often make proposals to improve safety requirements of the National Electrical

Fig. 2 Damaged Circuit Breaker Panelboard

A third case involves a residential fire resulting from a flashover within a circuit breaker panelboard. A repairman was attempting to reset a 2 pole 40 ampere waffer type circuit breaker feeding power to a 240 volt air condition condensing unit when he heard a loud noise from the circuit breaker panelboard (service entrance) and noted sustained arcing. Figure 2 shows the extent of the damage to the panelboard. At first appearance of the charred panelboard, it seemed that it would be rather difficult to determine the exact cause of the fire. However, after careful examination,the manufacturer and catalog number of the 40 amperebreaker was determined.Then by obtaining and inspecting similar gray market breakers, it was determined that this particular 40 ampere breaker did not have proper insulation between poles, thus causing a 240 volt line-to-line flashover. The insulating barrier between poles was a thin molded phenolic plastic plate. Phenolic material has poor arc resistance and is combustible. The electro-forensic engineer presented his findings in a detailed engineeringreport.

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Code, or make recommendations to Underwriters Laboratories to improve their safety standard for a particular electrical product. He can also publish research articles that will assist other forensic engineers or provide recommendations to reduce.electrical accidents. A good example of this is the late Ralph H. Lees excellent paper The Other Electrical Hazard: Electrical Arc Blast Burns.[13] The IEEE Color Book Series contains recommended practices that go above minimum requirements, and are excellent publications for promoting safety. Here too, electro-forensic engineers can make contributions by serving on Color Book committees. It should be noted that the first principle stated in the IEEE Buff Book is Safety has priority over service continuity, equipment damage or economics........ engineers engaged in the design and operation of electrical system protection should familiarize themselves with the most recent OSHA regulations and all other applicable codes and regulations relating to human safety. This often means going beyond minimum code requirements to assure adequate safety.
REFERENCES

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E101
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E E E Recommended Practice for Protection and Coordination of Industrial and Commercial Power Systems (Buff Book), ANSUIEEE Standard 242-1986, Institute of Electrical and Electronics Engineers, New York, NY National Electrical Safety Code, ,ANSUIEEE C2-1993, Institute of Electrical and Electronics Engineers, New York, NY American National Standard Institute Standard for Circuit Breakers (American National Standard Institute C37) Transformers (American National Standard Institute C57) , Surge Protective Devices (American National Standard Institute C62) ,Institute of Electrical and Electronics Engineers, New York, NY Code of Federal Regulations, OSHA Standard 29 CFR 1910 Subpart S-Electrical, U.S. Department of labor, Washington, DC R. H. Lee, The Other Electrical Hazard -Electrical Arc Blast Bums, IEEE Conference Record Industry Applications Society Annual meeting, No. IAS 81 : 19A, Oct. 1981 K. R. Foster, D. E. Bernstein, P. W. Huber, Phantom 1 entific Inference and the Law, The MIT

M. M. Spector, National Academy of Forensic Engineers, Journal of Performance of Constructed ~151R. L. Doughty, R. A. Epperly, R. A. Jones, Maintaining Safe Electrical Work Practices in a Competitive Facilities, Vol. 1, No. 3, August 1987 Environment, E E Transactions Industry Applications, E 1 National Electrical Code, NFPA 70, National Fire 2 Vol;. 28, No. 1, Jan/Feb 1992 Protection Association, Quincy, MA ID. L. Goldberg, R. Castenschiold, The Designer of 131 Industrial and Commercial Power Systems and Code Interpretations, IEEE Transactions Industry Applications, Vol. 29, No. 5, Sept/Oct 1993 [41 Manual for Determination of Electrical Fire Causes, NFPA-907M, National Fire Protection Association, Quincy, MA (Withdrawnas individual document in 1995, elements included in NFPA-921) ~ 5 1 Guide for Fire and Explosion Investigations, NFppL-921% National Fire Protection Association, Quincy, MA (1995 issue now includes elements of A-907M) E E E Recommended Practice for Electric Power E1 6 Distribution for Industrial Plants (Red Book), ANSUIEEE Standard 141-1993, Institute of Electrical and Electronics Engineers, New York, NY ~ 7 1 IEEE Recommended Practice for Electric Power Systems in Commercial Buildings (Gray Book), ANSI/ IEEE Standard 241-1990, Institute of Electsical and Electronics Engineers, New York, NY E 1 IEEE Recommended Practice for Power Systems 8 Analysis (Brown Book), ANSUIEEE Standard339-1990, Institute of Electrical and Electronics Engineers, New York, NY

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