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Thermography & Forensic Investigation for Litigation Clinic

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Thermography & Forensic Investigation for Litigation

Agenda

• RESNET Testing Standards for Thermographic Inspection of Buildings

• Litigation Legal Proceedings

• Expert Reports & Testimony

• ASTM Standards

– Forensic Investigation and Reporting

– IR Thermography

– Air Leakage and Barriers

• Understanding and Reporting Thermal Imagery

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RESNET Residential Energy Services NETwork

• Testing standards created to set requirements for

Raters performing thermal examinations of buildings

• Inspection requirements to determine:

– Defective insulation installations

– Thermal bridges and framing issues

– Air leakage

– Thermal bypasses

3-Fold Purpose of the Standard

1) Provide for the means by which those wishing to

obtain a RESNET advanced certification in infrared thermography will have a means to do so.

2) Provide inspection guidance in using infrared thermography for air intrusion and insulation inspections.

3) Provide a possible substitute for an insulation inspection on a new building where viewing of the insulation installation was not accomplished before the drywall was applied.

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RESNET Standards also Includes Information for:

• Using an infrared imaging system to determine radiation differences associated with surface temperature variations of a building enclosure

• Determining whether the areas being viewed meet the specifications in this Standard and in the RESNET 2006 Mortgage Industry National Home Energy Rating System Standards

• Documenting the type and extent of any observed anomalies


• Locating the primary areas needing further physical inspection

• Providing an indication of thermal insulation performance and continuity

• Indicating areas affected by air movement and convection heat transfer when an infrared inspection is performed in combination with a blower door

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RESNET Infrared Standards for

Building Evaluation

CHAPTER 8 – Performance Testing Standards

• Section 801 – Pressure Diagnostics (Blower Door and Duct Testing)

• Section 802 – Thermographic Inspections of Buildings (formerly IR Standard)

• Section 803 – Combustion Safety Testing


• Locating the primary areas needing further physical inspection

• Providing an indication of thermal insulation performance and continuity

• Indicating areas affected by air movement and convection heat transfer when an infrared inspection is performed in combination with a blower door

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RESNET Reference Standards

• ASTM C 1060-90 (2003): Standard Practice for Thermographic Inspection of Insulation Installations in Envelope Cavities of Frame Buildings.

• ASTM E 1186-03: Standard Practices for Air Leakage Site Detection in Building Envelopes and Air Barrier Systems.


• ISO 6781: Thermal Insulation—Qualitative Detection of Thermal Irregularities in Building Envelopes—Infrared Method.

• Canadian General Standards Board, Document 149-GP-2MP, Manual for Thermographic Analysis of Building Enclosures.

Included Standards of the Industry

• ASNT, SNT-TC-1A and CP-105

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• British Standard: Thermal performance of buildings. Qualitative detection of thermal irregularities in building envelopes. Infrared method. ISO6781:1983 modified.

• Canadian National Master Specifications (NMS), Section 02 27 13, Thermographic Assessment; Building Envelope


• British Standard: Thermal performance of buildings. Qualitative detection of thermal irregularities in building envelopes. Infrared method. ISO6781:1983 modified.

• Canadian National Master Specifications (NMS), Section 02 27 13, Thermographic Assessment; Building Envelope

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Thermography for Forensic Investigation

• IR Reporting for Construction Defect Litigation

– IR reports can supplement traditional investigation techniques

– IR observations used in conjunction with intrusive testing

– Interior and Exterior Investigation

• Rule 26(a) disclosures – What’s required for IR disclosures?

• ASTM standards

Thermography for Forensic Investigation

• Creating your own reports based on proper interpretation of IR images

• Basing reports on the RESNET standards and beyond

• Considerations for litigation

– What happens when you must testify to the content of the IR reports?

– Other standards to support your position

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Litigation Legal Proceedings

• Discovery Phase

– Investigation & Reporting

– Discovery Documents

– Interrogatories

– Depositions

• Mediation & Settlement

• Arbitration & Trial

• Role of the Expert

Discovery Phase - Legal Explanation

• Discovery devices narrow the issues of a lawsuit

• Obtain evidence not readily accessible to the applicant for use at trial

• Ascertain the existence of information that might be introduced as evidence at trial

• Policy dictates access to all material not protected by privilege

• Discovery procedures promote the settlement of a lawsuit prior to trial by allowing the parties to realistically evaluate the facts of the case

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Discovery Tools

• Site Investigations

• Interviews

• Subpoena Documents

• Reports

• Interrogatories

• Depositions

Discovery Procedures

• Just the Facts:

– Gather all the documents

– See all the parts and pieces

– Document all the distress and manifestation

• And a few other things:

– Form and disclose opinions

– Narrow the scope of the argument

– Determine all the parties

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Interrogatories

• Interrogatories are specific written questions submitted to an opposing party.

• Response must be under oath and in writing (notarized and signed)

• Interrogatories must state questions in a precise manner so as to elicit an answer that is pertinent to the issues being litigated.

Depositions

• Oral examination of an opposing party or witness who is under oath to respond truthfully to the questions.

• The notice or order of examination must specify the particular matters to be discovered, and the line of questioning is usually restricted to such matters.

• However, the scope and extent of the examination is within the discretion of the court.

• A deponent may bring along documents to refresh his or her memory and facilitate testimony.

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The Deposition Setting

• Conference room or similar space

• Deponent is under oath

• Court recorder is present

• No judge or jury

• Requesting party pays expert fees

• Fact and opinion witnesses

• Attorneys for all parties may be present

• Limited objections

Settlement

• Meeting or conference between the opposing parties to come to a joint agreement or solution

• Generally without a court representative

• Positions, documents, and other items are generally protected (Plan B, Rule 408)

• Can occur at any time in the course of a case

• Generally, the outcome is a contract between parties approved and reviewed by a judge or other neutral party

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The Settlement Setting

• Conference room or other similar space

• No court recorder is present, no official record

• No judge or jury

• Parties present: – Attorneys – Experts – Insurance representatives – The plaintiff and defendant

• May extend several meetings and include intermediate discussions and work

Mediation

• The process of assisted negotiations

– Confidential

– Agreement to keep confidential

– May be forced by the courts

– Open forum

• Phone

• On site

• At site

– May keep relationships

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Mediation • Meeting or conference between the opposing parties

to come to a joint agreement or solution

• More formal

• Generally lead by a designated mediator

• Positions, documents, and other items are generally not protected.

• Can occur at any time in the course of a case, may be required and scheduled by the judge

• Generally, the outcome is a contract between parties approved and reviewed by a judge

The Mediation Setting

• Multiple conference rooms or similar settings

• Parties generally separated


• Mediator is agreed on by both parties

• Parties present – Attorneys – Experts – Insurance representatives – The plaintiff and defendant

• Typically is a stand alone event

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Arbitration

• Means of solving without trial – Established by Contract between the parties

– May waive the right of trial

– Compelled by statute

– Can be court ordered

– More rigid, may be courtroom setting

– On site

– At site

– May severe relationships!

Arbitration

• The submission of a dispute to an unbiased third person designated by the parties who agree in advance to comply with the award

• Parties present their case in the same way as a trial

• Less formal

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The Arbitration Setting

• Conference room, small court room, or other

• Parties may align on sides of a table, or be set-up at tables similar to a trial


• Arbitrator is agreed on by both parties

• Typically a closed event (not public)

• Opinion is delivered after a complete review of the case usually several weeks after testimony.

Trial

• Last course of testimony

• When all else has failed

• Parties may not be willing to negotiate

• Large associated costs

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Trial

• A judicial examination and determination of facts and legal issues arising between parties to a civil or criminal action.

• Judge only or Jury Trial

• Formal

• “As Seen On TV”

The Trial Setting

• Court Room

• Court reporter is present

• Judge appointed / Jury selection

• May be public

• Opinion/Decision is stated at the end of the trial

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Role of the Expert

• Tell the truth

• Answer the questions asked

• Fact:

– Facts only, no opinions – Often called to establish timelines, clarify documents,

state conditions difficult to investigate

• Expert

– Present evidence and opinions – Advocate for the truth – Not an advocate for the client

Role of the Expert

• Difference between settlement and mediation is not a hard line, but a sliding scale.

• Present evidence and opinions

• Confirm areas of agreement

• Discuss areas of disagreement

• Present and consider options for compromise/alternates

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Effective Testimony Key Points

• Honesty

• Honest Conviction of Findings

• Engineering Probability

• Conclusions

Expert Reporting

• When you were contacted

• What you were told

• What you did

– Site Evaluation

– Report/Plans/Data Review

– Evaluation of Data

– Formulation of Conclusions based on Data

• Hypothesis/Theory/Conclusion

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Truthful Representation

• “Effective trial exhibits must be equally strong in concept and design. Good exhibits must reflect an understanding of jury decision-making processes in the specific case at hand. While it always is challenging to stimulate the visual imagination of jurors, we must do so in a manner that enhances their intuitive acceptance of the case.”

• Developing Effective Trial Graphic Communications, Harvey A. Moore, Ph.D., Modification of a paper presented at the Defense Research Institute Seminar on Products Liability, San Diego, California, January 22-24, 1997

Expert Testimony

• Expert is there to educate the jury – Must possess scientific, technical or other specialized skills

to aid the judge or jury to understand the evidence or help establish the facts at issue.

– The witness is qualified as an expert

– The experts opinion can be based on facts or data actually seen or heard (hearsay), the admissibility of the facts or data is not essential if relied upon.

– The expert can express opinion that addresses and ultimate issue of fact. The jurors will be instructed that they need not accept or disregard the expert opinion on the issue.

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Expert Testimony

• Allow for attorney to engage your qualifications – Keep your CV current – Provide list to attorney – Part of Disclosure

• Careful to ensure that court has updated CV • Understand your specific courts requirements

– Federal – State – District – City/Town

• Less stringent in Arbitrations and Mediations, but submittal may follow the same rules

– Answer the questions in a time table fashion • Education (College) • Experience • Post Degree Education • Specific Details relating to the issues to be addressed

Mock Ups and Computer Animations

• Construct to findings on the site – Back up with photographs

• Demonstrative Work – Demonstrative: – Law.com states

• demonstrative evidence n. actual objects, pictures, models and other devices which are supposedly intended to clarify the facts for the judge and jury: how an accident occurred, actual damages, medical problems, or methods used in committing an alleged crime. Many of these are not supposed to be actual evidence, but "aids" to understanding. A model of a knee or a photograph of an accident scene obviously helps, but color photos of an operation in progress or a bullet-riddled body can excite the passions of a jury. The borderline balance between legitimate aids and evidence intended to inflame a juror's emotions is in the hands of the trial judge.

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…continued

– Exhibit:

– Law.com states • Exhibit adj. documents or objects presented during a trial before

there has been testimony which confirms their authenticity and/or relevancy. Each item is given an exhibit identification letter or number and thus is marked for identification. The marked exhibits are actually introduced into evidence (made part of the official record) upon request of the lawyer offering the evidence and approval by the judge or by stipulation of both attorneys. Occasionally an exhibit marked for identification is rejected as evidence due to the judge agreeing (sustaining) with an opposing lawyer's objection such as for lack of relevancy or failure to show it is genuine or best evidence.

Federal Rules of Evidence FRE 901

• Physical Evidence – The object is unique

– The witness has observed that unique and identifiable characteristic on a previous occasion

– The witness identifies the proposed exhibit as the object with the unique and identifiable characteristic

– The witness identifies the exhibit as being in the same condition as it was when they observed it

– The witness testifies that the exhibit has been in their possession from the date it was discovered and that it is unchanged (Chain of Custody)

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Litigation Legal Proceedings Summary

• Each type of proceeding allows for a different and unique approach to the application of forensic services and expert witness work

• Honesty and Honest Conviction are the critical factors we must always abide by

• Presentations must clearly demonstrate the issues at hand and should not bias the reviewer into areas that could be speculative

• Presentation should be forth right, fair and objectionable. Avoidance of the subjective discussions is needed to establish clear fact.

ASTM Standards

• American Society for Testing and Materials (ASTM)

– Forensic Investigation and Reporting

– IR Thermography

–Air Leakage and Barriers

http://www.astm.org

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http://www.astm.org/index.shtml









ASTM Standards Forensic Investigation and Reporting

• ASTM E 620 – Standard Practice for Reporting Opinions of Scientific or Technical Experts

• ASTM E 678 – Standard Practice for Evaluation of Technical Data

• ASTM E 860 – Standard Practice for Examining and Testing Items That Are Or May Become Involved in Litigation

• ASTM E 1188 – Standard Practice for Collection and Preservation of Information and Physical Items by a Technical Investigator

• ASTM E 1459 – Standard Guide for Physical Evidence Labeling and Related Documentation

ASTM Standards Forensic Investigation and Reporting

• ASTM E 241 – Standard Guide for Limiting Water-Induced Damage to Buildings

• ASTM E 1825 – Standard Guide for Evaluation of Building Wall Materials, Products, and Systems

• ASTM E 2128 – Standard Guide for Evaluating Water Leakage of Building Walls

• ASTM E 2266 – Standard Guide for Design and Construction of Low-Rise Frame Building Systems to Resist Water Intrusion

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ASTM Standards IR Thermography

• ASTM C 1060 – Standard Practice for Thermographic Inspection of Insulation Installations in Envelope Cavities of Frame Buildings

• ASTM C 1153 – Standard Practice for Location of Wet Insulation in Roofing Systems Using Infrared Imaging

ASTM Standards Air Leakage and Barriers

• ASTM E 779 – Standard Test Method for Determining Air Leakage Rate by Fan Pressurization

• ASTM E 1186 – Standard Practices for Air Leakage Site Detection in Building Envelopes and Air Barrier Systems

• ASTM E 1258 – Standard Test Method for Airflow Calibration of Fan Pressurization Devices

• ASTM E 2357 – Standard Test Method for Determining Air Leakage of Air Barrier Assemblies

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Infrared vs. Visible

Modes of Heat Transfer

Conduction

Convection

Radiation

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Radiated

26.4°C

120.7°C

Conductive

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Convective

Performing the Evaluation

• Establishing a baseline reading

– Considering the angles

– Temperature differentials

– Camera parameters

– Emissivity, accurate thermal readings, and Scotch tape

• Identifying anomalies

– Determining anomalies without further testing

– When further testing is needed

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Performing the Evaluation

• Insulation

– Grading the level of insulation for client

– In conjunction with the blower door test

• Thermal bridges vs. Thermal bypasses

• Effect of framing

– Conduction

• Lighting

– Thermal effects of putting holes in the ceiling

Recorded Images

• The imaging system must have a means of recording images

Photo Courtesy of John Snell TheSnellGroup.com

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General Examination and Thermography Requirements

• Document thermal anomalies AND locations that demonstrate properly functioning building components

• Gain access to building 12 hours before examination to remove obstructions (furniture, paintings, etc.)

• Document IR image locations or take visible light photograph

General Examination and Thermography Requirements

• Capture IR images as close to perpendicular to examined surfaces as possible

• Change position and view areas, as necessary, to rule out reflected radiation that can lead to misinterpretation of the IR image

• Must be able to distinguish the framing members from the wall cavities (ΔTMIN = 18 F° for 4 hours)

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Further Services

• Recommendations and/or secondary analysis when allowed under contract by…

– Physical examination of building details at representative locations

– Other means of examination (air exhaust devices)

– Comparison of thermal images of normal building surfaces or thermographs of known deficiencies.

Exterior Examination

• Site Conditions

– No direct solar radiation on surfaces to be examined prior to taking IR images

• 3 hours → Framed Construction; 8 hours → Masonry Veneer

– Wind speed less than 8 mph throughout analysis

– Verify surfaces are dry

– Record ongoing test parameters

• ΔT and ΔP across building enclosure

• Wind speed and direction

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Interior Examination

• ΔT and ΔP across building enclosure

• Influences of exterior site conditions can lag the direct exterior influence by 2 – 6 hours

– Interior partitions between rooms at different temperatures can lead to misinterpretation if not confirmed

– Scan obscured surfaces from opposite side, if possible

– Buffer zones (attics, crawlspaces, basements, attached garages) may have temperature different from exterior and interior

Interior Examination

– Chases and interior surfaces open to exterior or buffer zones → May show extensive IR contrast under wind or blower door operation, yet no anomalies may be detected under “normal” conditions

– Ductwork, plumbing, electrical lines, and radiant heating may appear as anomalies but can also obscure actual construction assembly

– IR images of hollow spaces (i.e. CMU cavities) below grade can show convective loops indicating discontinuous insulation application at exterior side

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Anomaly

• Definition:

– An area of a building where the temperature distribution seen with an infrared imaging system differs by more than 4°F from the temperature distribution expected for the type of construction being viewed, denoting a possible problem area; an inconsistency.

Qualitative Insulation Inspection

• Qualitative analysis of installed insulation

– To determine general areas of anomalies without quantification

ΔTMIN = 18 F° for 4 hours

ΔTMIN = 12 F° (if blower door utilized to depressurize building to highlight thermal bypasses)

Baseline thermal survey must be performed to verify changes where a thermal bypasses occur

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Quantitative Insulation Inspection

• Quantitative analysis of installed insulation

– Purpose is to “grade” the insulation

– Quantified by the total area of anomalies identified in installed insulation as a percentage of the total surface area of installed insulation

ΔTMIN = 18 F° for 4 hours

ΔTMIN = 12 F° (blower door utilized – not to be used 2 hours prior to or during inspection)

Quantitative Insulation Inspection

• 2006 Mortgage Industry National Home Energy Rating System (HERS) Accreditation Standards

– Recognized anomalies may be used to grade the insulation per the guidelines

Grade I: Cannot be claimed regardless of the work quality depicted in thermal images

Grade II: Less than 2% thermal anomalies

Grade III: Between 2 – 5% thermal anomalies

If greater than 5% thermal anomalies, physical inspection is required

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Insulation Inspection

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Thermal Bridging

• Thermal Bridging: Heat conduction through the building components that are more conducted that the insulated envelope (typically framing)

– Component of insulation inspection

– Construction documents and plans are of great aid

– Excessive Framing Materials

• Lower Mean R Value

• Structural Needs

• Waste

Air Leakage Inspection

• Purpose is to determine locations of air leakage and thermal bypasses

– ΔTMIN = 3 F° for entire inspection

– Buffer zones must be considered

– Perform baseline analysis prior to inducing pressure differential & ensure all combustion appliances are off

– Blower door to achieve pressure differential across building enclosure

Depressurization → Interior inspections

Pressurization → Exterior and attic inspections

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• Thermal signatures created as forced air infiltration cools or warms the inspected surfaces.


• Depressurization

– Depressurize for 10 minutes minimum

– Limit “washing effect” on thermal signatures

ΔP = 20 Pa for first 30 minutes of test

Reduce ΔP = 10-15 Pa for remainder of test

– Ensure combustion appliances are turned off

– Close fireplace dampers

– Identify anomalies and discriminate between thermal bridging sites and thermal bypass or leakage sites

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Baseline Survey Depressurization

Thermal Bridge Thermal Anomaly

Thermal Break

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Rim Joist Effect

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Thermal Bypass

• Thermal Bypass: Air movement, air leakage or convection “cell”, that circumvents the thermal barrier, is usually hidden and is the result of an incomplete or compromised air barrier.

– Component of air leakage inspection

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Report

• Description of the building and construction

• Description of the test, conditions, etc.

• Drawings of building

• IR images

• Components being examined

• Results of the analysis: type, extent

• Any additional findings, measurements, and equipment

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Angles Do Matter

Do Angles Matter?

Variation with Angle

• Get as close to 90 degrees as possible

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Lab Experiment

Source: Fronapfel

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Angular Impacts Due To Site

Conditions Must Be

Considered

Angular Impacts Due To Site

Conditions Must Be

Considered

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Angular Impacts

• Does the anomaly still exist?

• Change your position

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Distinguish

• Framing materials

– Temperature Delta of 10 degrees Celsius (18 degrees). For 4 hours prior

– Which direction should the Delta T be?

• What time of day or night?

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Interior versus Exterior

• Verify no direct solar (80 percent of heat in visible light spectrum) – Surfaces that are reflecting

– Surfaces that have thermal mass

The Impacts of Heat from Visible Light

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Determination of Emissivity and Effect of Visible Light

Source: Fronapfel

Wind Speed

• Less than 8 mph

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Aerial Roof Moisture Surveys

Aerial images provided by Greg Stockton of Stockton Infrared Thermographic Services, Inc.

Aerial images provided by Greg Stockton of Stockton Infrared Thermographic Services, Inc.

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Beyond the RESNET Thermographic Report

Follow up requires Investigation to verify

• Plan Review

• Physical Examination of Details (base lines)

• Moisture meters, probes

• Boroscope

• Air Exhaust

– Negative pressure introduction

Verify Dry Surfaces

• Wet surfaces will give false negative? Be cautious.

– Flat roofs

–Ponding areas

– Sprinklers

–Recent rain (We desire, but we don’t want!)

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Interior Versus Exterior

• Thermal Mass Effects

– How long to wait?

(2 to 6 hours)

– Direct Exposure

• Stored Items

– Moved

– Shadows

• Reflective Surfaces

– Mirrors

– Ceramic Tiles

– Audience

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Construction Types • Type I, II, III, IV, V

–Concrete

–CMU

– Steel Frame

–Cold Form

–Wood

– ICF

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Construction Types

Comment: Pre-test baseline

Recommendation: Fireplace framing box to exterior 62 degrees, wall at 66 degrees

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Interpretation

• CAREFUL – No absolutes

• Grey/monotone scale

• Hot and Cold

– Air Leakage

– Framing

– Moisture

– Thermal Bypass

– Thermal Bridging

Relative/Absolute Humidity and Temperature, Readings

in Home, Attic, Crawl and Exterior

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Interpretation Continued • Radiation

– Infrared Mirrors

• Heat Sources

– Refrigerator/Stove/Condensers

– Electrical Equipment

– Mechanical/Plumbing

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53.5°F

60.6°F

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IR Beyond RESNET Anomaly is not insulation, bridging or thermal bypass, report needs to state beyond

scope of the RESNET thermographic report, Moisture reporting is not part of RESNET!

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Moisture Study Beyond RESNET

Thermographic report

19.8°C

23.9°C

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Thank you!

Edward L. Fronapfel, M.S.C.E., P.E., CBIE, EDI, CBCP Ryan J. Barnes, EI, Level I, EDI

Solutions Before ~ Solutions After

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