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Issue 2

AGS Guidelines for Good Practice in Site Investigation

March 2006
AGS Head Office: Forum Court, 83 Copers Cope Road, Beckenham, Kent BR3 1NR Tel: 020 8658 8212 Fax 020 8663 0949 e-mail: ags@ags.org.uk

Introduction
The AGS promotes these guidelines to summarise best practice in the commissioning and delivery of site investigations. The advice is applicable to all stakeholders concerned with the site investigation process; clients, consultants, site investigation specialists, contractors, regulators, owners, funders, insurers and the wider public. The purpose of all site investigation is the identification of the geotechnical and geoenvironmental characteristics of the ground at a site to provide the basis for the design of efficient, economic and safe projects. Early investigation allows the identification of any ground-related risks associated with a development so that they can be effectively managed and associated costs controlled. Used in this way, site investigation should be seen as an investment which has the capacity to optimise design and hence add considerable value to a project. The aim of these guidelines is to encourage good practice and high standards in line with current regulatory guidance which will result in technically sound site assessments, minimising risk, meeting regulatory requirements and providing value for money. The return on investment from a properly planned and executed site investigation can be substantial. Conversely, the consequences of inadequate site investigation can be critical to a project in terms of costs, programming and management (Ref.1 and 2). Ten key points have been identified which summarise important elements of good practice in site investigation. These are given below and the concepts are developed in subsequent paragraphs. A flowchart is given which identifies the phases of an investigation and the elements which comprise each phase.

Key Points
1. Thorough site investigation allows efficient design and supports risk management of engineering, health and safety and financial issues. 2. The site investigation should consider both geotechnical and geoenvironmental issues to an appropriate degree and not one to the exclusion or detriment of the other. 3. Professional design and management of the site investigation process is vital. 4. Collaboration and sharing of information by all parties greatly enhances the value of the process. 5. A desk study and walk-over survey should be undertaken for every development at an early stage. 6. A conceptual ground model should be developed for all sites. 7. Timely consultation with regulatory and statutory authorities greatly assists programming of both the investigation and the subsequent development or other works. 8. Site investigation is a phased and iterative process. 9. Site investigation consultants, contractors and testing laboratories should operate accredited quality management systems. 10. Health and safety issues must be an important priority in site investigation and remediation.

Why Carry Out a Site Investigation?

Key Points 1 and 2
The purpose of a site investigation is to identify the ground conditions which may affect a particular development and to arrive at an understanding of the site and immediate surroundings which will allow safe and economic development. They are a common requirement of investors and planning authorities. In the broadest sense, ground conditions are understood to include not only underlying soils and rocks but also the groundwater regime, any contamination and the effects of previous uses of the site and its environs. The characterisation of the ground conditions whether for a greenfield or a previously developed brownfield site will include consideration of both geotechnical and geoenvironmental issues. Site investigations can be required for both geotechnical and geoenvironmental purposes and that for many projects it can be advantageous to combine the investigations, with resulting economies in cost, time and site disruption (Ref. 3). The investigation should allow a comprehensive risk assessment of the ground conditions to be made from which a programme of risk management can be developed. The risks which must be defined and dealt with may be health risks (from previous contamination), engineering risks (posed by difficult ground conditions), regulatory risks or financial risks, all of which may arise from unforeseen ground conditions and liabilities (Ref. 4). The object of the site investigation is to characterise the ground conditions sufficiently to allow safe and economic designs to be developed and to reduce, as far as possible, the occurrence and impact of unforeseen conditions.

Management Issues
Key Points 3 and 4
For all projects it is important that a project manager is appointed and that overall technical supervision is provided by geotechnical and/or geoenvironmental specialists. It is essential that the geo-specialist is fully briefed by the client, project manager or lead professional as to the proposed development. Evaluation and appointment of consultants, specialists and contractors should carefully match the appointees with the task. Consideration should be given to

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experience and reputation, staff and qualifications, quality procedures and health and safety record. Senior geo-specialists should be professionally qualified, for example as Chartered Engineers, Chartered Geologists or SiLC (Specialist in Land Condition). Adequate levels of insurances, commensurate with the project size and risk, should be sought and provided. It is important that all parties promote a collaborative approach with clear objectives and clear responsibilities defined. Best use of information involves open communication and sharing of data at the earliest opportunity including provision of the resulting ground report to all parties involved in the subsequent works. Contractual obligations should be made clear on all sides by use of recognised forms of contract (for example ICE Conditions of Contract, Ref. 5). Direction and supervision of field work should be undertaken by appropriately qualified and trained staff.

Ground Model
The Model Procedures for the Management of Land Contamination published by the Environment Agency and DEFRA (Ref. 12), together with publications by the Institution of Civil Engineers and the Highways Agency (Refs. 16 and 17), promote the concept of risk assessment and management, and the need for a conceptual ground model, which should both address ground conditions and identify potential pollutant linkages. The model is revised as new information becomes available. A ground model, graphical and/or descriptive, should be developed for every site, the complexity of the model reflecting the complexity of the site and the planned project.

Reporting
The site investigation report (the Ground Report) must present the information obtained from the investigation in a logical and orderly format (Ref. 13). Reports may be factual (providing the basic data) or interpretative (drawing conclusions and making recommendations) or contain both these elements. A scale plan identifying investigatory locations with relevant ground levels must be included. Provision of digital data in AGS Format allows factual information to be combined with the results of other investigations and readily processed, and is strongly recommended. Production of reports in electronic pdf format facilitates storage, preservation and sharing of ground information. A full site assessment report should include (or clearly reference) all factual information (borehole records, etc), results of laboratory and in-situ testing, monitoring results, the conceptual ground model, risk assessments, recommendations for engineering design, appropriate remedial measures if needed and consideration of waste management issues. Any gaps in knowledge, remaining uncertainties, residual risks and potential mitigation measures should be identified. All reports should be identified as having been technically reviewed by an appropriately qualified person.

Desk Studies
Key Points 5 and 6
A desk study, including a walkover survey, should be carried out for every development prior to any intrusive site investigation (Ref.6). The desk study examines and draws together existing information from a variety of sources to form an initial appraisal of possible ground conditions and to consider past uses and current status of a site. This provides a preliminary assessment of the geotechnical and geoenvironmental risks which may be associated with the site. The walk-over survey of a site can give valuable insight into potential ground condition problems (for example slope instability or shallow groundwater) and contamination issues (revealed for example by vegetation dieback). Such site visits often give rise to anecdotal contributions by local residents. The combination of desk study and walk-over survey is an extremely costeffective first stage in an investigation. It provides early warning of potential problems and a sound basis for the scope of intrusive investigation which is to follow. It should also identify physical and other constraints to such investigation. It provides the first information for the development of the conceptual models for the site. The conceptual ground model characterises the site in terms of its geological, hydrogeological and geotechnical conditions. The conceptual site model for potentially contaminated sites illustrates the possible relationships between contaminant sources, pathways and receptors. The desk study and walk-over survey can also provide early recognition of site issues such as ecology (for example infestation by Japanese Knotweed) and archaeology which may have profound implications in both programme and financial terms.

Uncertainties
All ground related projects have inherent uncertainties. Areas of uncertainty should be clearly identified as the project proceeds and incorporated into the ground model and risk assessments. Initial uncertainties are addressed by site investigation objectives; any residual uncertainties remaining after the investigation must be identified and possible consequences clearly stated.

Quality Assurance
Key Point 9
Site investigation consultants, specialists and contractors are expected to operate quality management systems, preferably integrating Health, Safety, Quality and Environment systems which are accredited to recognised European or British Standards. It is particularly important that testing laboratories are UKAS and MCERTS accredited to provide assurance of the validity of test results.

Ground Investigation
Key Points 7 and 8
Ground investigation should be designed and undertaken in accordance with current best practice (Ref. 7, 8, 9 and 10) and following the AGS Code of Conduct for Site Investigation (Ref. 11). The design of the investigation should be based on the desk study and the preliminary conceptual ground model and also on the clearest possible understanding of the proposed development. At an early stage the scope of the investigation in terms of methods and strategies should be discussed and agreed with the appropriate regulatory and statutory authorities (Environment Agency, Local Authority etc). A wide range of investigation techniques is available and it is the responsibility of the geospecialist to determine those best suited to particular problems and conditions which are anticipated. It is important that the ground investigation is a flexible operation which can respond to changing circumstances as they are revealed and that it is an iterative process which accumulates information in a structured way. For this reason it is best to begin the investigation process well before other project design activities and preferably in advance of design to allow the maximum benefit to be gained. The investigation must provide sufficient and reliable data to define the geotechnical and contamination risks so that the conceptual ground model can be revised and qualitative and quantitative risk assessments can be made for the site. The investigation is a phased operation with each stage building on the results of the preceding stages (see flowchart). Phase 1: Desk study walk-over survey- preliminary conceptual ground model preliminary risk assessment Phase 2: Intrusive investigation insitu testing laboratory testing monitoring - evaluation reporting revised risk assessment revised conceptual ground model Further investigation if required quantitative risk assessment.

Health and Safety

Key Point 10
Health and safety and obligations under the CDM regulations (Ref. 14) are important priorities in site investigation and remediation and these requirements are very wide ranging (Ref.15). Issues to be considered include the location of live services which may be struck by borings or pits, the safe operation of site equipment, access to excavations and risks to site personnel from chemical and biological contamination, explosive gases, unstable ground and asbestos. Production of, and adherence to, health and safety plans and auditing of health and safety procedures are essential. The investigation itself should form the basis for safe design and construction of both temporary and permanent works.
References
1. The Institution of Civil Engineers 1991 Inadequate Site Investigation Thomas Telford, London. 2. Site Investigation Steering Group 1995 Without site investigation ground is a hazard Thomas Telford, London. 3. AGS Guidelines for Combined Geoenvironmental and Geotechnical Investigations 2000 4. AGS Management of Risk Associated with Preparation of Ground Reports 2005 5. Institution of Civil Engineers 2003 ICE Conditions of Contract Ground Investigation Version, 2nd Edition. 6. AGS Clients Guide to Desk Studies (in prep.). 7. British Standards Institution 1999 Code of Practice for Site Investigations. BS5930. 8. British Standards Institution 2001 Code of Practice for Investigation of Potentially Contaminated Sites. BS10175. 9. NHBC Standards, January 1999 Chapter 4.1 Land quality managing ground conditions. 10. AGS A Clients Guide to Site Investigation. 11. AGS Code of Conduct for Site Investigation. 12. Environment Agency 2004 CLR11: Model Procedures for Contaminated Land. 13. AGS Guide for the Preparation of Ground Reports. 14. AGS Construction (Design and Management) Regulations 1994 Client Obligations in Ground Investigation Contracts 15. Health and Safety Executive 1991 Protection of Workers and the General Public During the Development of Contaminated Land, London HMSO. 16. Institution of Civil Engineers 2001 Managing Geotechnical Risk: Improving Productivity in UK Building and Construction, Thomas Telford, London. 17. Highways Agency 2002 Managing Geotechnical Risk (HD22/02) Design Manual for Roads and Bridges, Vol 4 Geotechnics and Drainage, Section 1 Earthworks, Part 2.

Disclaimer
AGS have provided these guidelines to encourage high standards within the industry and to highlight important features of good site investigations to clients in order to assist them in selecting suitable Companies to carry out their site investigations. However, AGS cannot accept any liability of any sort for unsatisfactory site investigation carried out by Companies who are members of the AGS or organisations who claim to be following these guidelines.