Earthworks and Geotechnical Code of Practice - Auckland

Auckland Council
Code of Practice
For
Land Development and Subdivision
Section 2
Earthworks and Geotechnical Requirements
Version 1.6
24 September 2013
Auckland Council Code of Practice for Land Development and Subdivision

Section 2 Earthworks and Geotechnical Requirements Version 1.5, 19 April 2012
Page 1 of 40
Contents
SECTION 2: EARTHWORKS AND GEOTECHNICAL REQUIREMENTS ....................................... 3
Section 2......................................................................................................................................... 3
2.1
Scope .......................................................................................................................... 3
2.2
General........................................................................................................................ 3
2.2.1
Objective.................................................................................................................. 3
2.2.2
Referenced Documents ........................................................................................... 4
2.2.3
Unitary Authorities Requirements............................................................................ 4
2.2.4
Geotechnical Requirements..................................................................................... 5
2.3
Design ......................................................................................................................... 5
2.3.1
Design Factors......................................................................................................... 5
2.3.2
Preliminary Site Evaluation ...................................................................................... 6
2.3.3
Landform Selection .................................................................................................. 7
2.3.4
Stability Criteria........................................................................................................ 8
2.3.5
Special Soil Types ................................................................................................... 8
2.3.6
Compaction Standards for Fill Material .................................................................... 9
2.3.7
Erosion, Sediment, and Dust Control ....................................................................... 9
2.3.7.1
Minimisation of effects...................................................................................... 9
2.3.7.2
Protection Measures ........................................................................................ 9
2.3.8
Seismic considerations .......................................................................................... 10
2.3.9
Geothermal Issues................................................................................................. 11
2.3.10
Drainage ................................................................................................................ 11
2.3.11
Construction Methodology ..................................................................................... 11
2.3.12
Risk Assessment ................................................................................................... 12
2.3.12.1
Introduction .................................................................................................... 13
2.3.12.2
Uncertainties in the Design ............................................................................ 13
2.3.12.3
Frequency Analysis........................................................................................ 13
2.3.12.4
Consequence Analysis................................................................................... 13
2.3.12.5
Councils Expectation ..................................................................................... 14
2.3.12.6
The definition of normal and extreme events ................................................ 14
2.3.12.7
Other Additional Factors................................................................................. 14
2.3.13
Coastal Cliffs.......................................................................................................... 15
2.3.14
Underground Infrastructure .................................................................................... 16
2.4
Approval of proposed works ...................................................................................... 17
2.5
Construction .............................................................................................................. 17
2.6
Final documentation .................................................................................................. 17
2.6.1
Geotechnical completion report ............................................................................. 17
2.6.2
As-Built drawings for earthworks and subsoil drains .............................................. 18
Schedule 2A: Statement of professional opinion on suitability of land for building construction ..... 19
Schedule 2B: Investigating and Reporting .................................................................................... 21
2.B.1
Geotechnical Appraisal Report .................................................................................. 22
2.B.2
Geotechnical Investigation Report ............................................................................. 23
2.B.3
Geotechnical Design Report ...................................................................................... 24
2.B.4
Geotechnical Monitoring Report................................................................................. 25
2.B.5
Geotechnical Completion Report ............................................................................... 25
2.B.6
Geotechnical Supplementary Report ......................................................................... 26
2.B.7
Producer Statements ................................................................................................. 26
2.B.8
Drawings supporting geotechnical reports ................................................................. 27
2.B.9
Geotechnical Report ( Interpretative and Factual) for Storm water Capital works ...... 27
Schedule 2C: Factors of Safety and Risk Guideline ...................................................................... 33
2.C.1
Factor of Safety Guideline ......................................................................................... 33
2.C.2
Risk Classification Guideline...................................................................................... 33
Schedule 2D: Checklist ................................................................................................................. 35
Schedule 2E: Soil Strength Parameters ........................................................................................ 36
Schedule 2F: Geothermal Areas In Auckland................................................................................ 38

Section 2 Earthworks and Geotechnical Requirements v1.5 19 April 2012
Page 2 of 40
SECTION 2: EARTHWORKS AND GEOTECHNICAL REQUIREMENTS
Section 2
2.1 Scope
This section sets out requirements for the assessment of land stability and the design and
control of earthworks to ensure a suitable platform for the construction of buildings, roads,
and other structures. A low impact design approach is preferred. Geotechnical assessment
shall be undertaken by a geo-professional as defined in 1.2.2 of this Code of Practice where
any of the following situations occur:
a.
The assessment of land stability requires specialist expertise.
b.
The construction of earthworks associated with any development requires initial

planning and design to ensure that banks and batters remain stable and that fill material
is placed in such a way that it remains stable and can support the future loads imposed
on it.
c.
There is historical fill that has not been undertaken in accordance with any Code
of Practice or where natural slopes, banks, or batters are involved.
d.
The assessment of ground for the foundations of buildings, roads, services, and other
infrastructure requires specialist expertise (as weak ground may require special
design).
e.
The wide range of soil types, physical conditions, and environment factors applying in
different areas make it difficult to specify precise or prescriptive requirements for land
stability assessment of earthworks. Refer to the details in the rest of this document.
f.
Land development and/or subdivision is being undertaken.
In setting design, construction requirements, or development limitations the designer shall

take account of all relevant Standards and Unitary Authority (UA) requirements.
C2.1
NZS 4431 is applicable to the construction of earth fills for residential development including
residential roading.
2.2
General
2.2.1
Objective
The objective of this Section is to set out some, but not necessarily all of the matters, which
need to be considered in planning and constructing a land development project. The aim is to
provide information for professionals involved in designing and constructing a land
development project and to require geotechnical expertise in projects where land stability
could be an issue or where earthworks other than of a minor nature will occur.
The geo-professional needs to be involved in the design of the final land form. The decision
depends on many factors, which may be specific to the development. These include the
relationship with surrounding landscapes, effects on neighbouring land, Drainage/services,
the size of the development, the proposed and existing roading patterns, the preservation of
natural features, wahi tapu, and other historic and archaeological sites, the land stability and
underlying structural geology, the function and purpose of the development and the potential
for flooding, and erosion and other natural hazards and events including earthquakes. The
aim is to also give guidance on the identification of and assessment of the order of
importance of the above factors, which will vary from project to project.
Page 3 of 40
2.2.2
Referenced Documents
A selection of useful guidance material on geotechnical and geomechanical issues in land

development is set out in the Referenced Documents section at the beginning of NZS 4404.
Related Documents also at the beginning of NZS 4404 lists additional material that may be
useful.
Geotechnical reference material for the Auckland region is also to be made available on the
Councils website. These plans are indicative only for general overview use and are not site
specific;
www.aucklandcouncil.govt.nz > About the council > Plans, policies and publications >
Technical publications and research.
Refer;
Final Report Stage 1, Auckland Engineering Lifelines Project Auckland Regional Council
Technical Publication No. 112, November 1999, ISSN No. 1172 6415.
Note also the Geological Sensitive Areas map located within the Watercare Services
Limited document Water and Wastewater Code of Practice for Land Development and
Subdivision found on; www.watercare.co.nz > Residential > Development and Connections
> Engineering Standards > Wastewater (page 29)
2.2.3
Unitary Authorities Requirements
The Council may require an assessment of land stability to meet the provisions of the
Resource Management Act, Building Act, Local Government Act and Auckland Council
District Plan and Auckland Council Regional Plan requirements. This includes the
Engineering Approval consent process. The UA requires and relies on the assessment made
by the geo-professional.
Special requirements apply when land is subject to erosion, avulsion, alluvium, falling debris,
subsidence, liquefaction, slippage, rotation, creep, or inundation from any source. In such
situations, reference needs to be made to s.106 of the Resource Management Act and for
subsequent building work, s.71 of the Building Act.
The Council under its Statutory obligations may require a peer review, regulatory review or
assessment of effects review (or combination thereof) of a geotechnical/earthworks
assessment.
This Code of Practice sets out the minimum requirements for the methods used and
investigations undertaken by the geo-professional.
The term Design life in reference to land development activities (including related
structures) is normally bench marked by the Council as a minimum of 100 years. This is
particularly important where the activity on the land being developed may extend in perpetuity
despite structures being created on the land with 50-year design life expectancy as allowed
by the Building Act/Code.
Structures constructed to protect land under s71(2)(a) of the Building Act shall have a
minimum 100 year design life.
Geo-professionals involved in land development activities will need to ensure that they are
sufficiently engaged or involved in the development or earthwork process where they are
required to provide certification, verification and documentation to meet conditions or
requirements of resource and engineering approval consents.

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For subdivisional development it is an expectation of Council that design outcomes will

deliver building platforms appropriate to the likely development. The building platform, and
associated access and manoeuvring areas within the lot should be suitable for non-specific
(NZS3604) design, particularly for residential development. Any specific design zones or nodevelopment zones on any lot shall be reported on and lots subject to natural hazard should
be avoided or mitigated for wherever possible.
2.2.4
Geotechnical Requirements
Where any proposed development involves the assessment of slope stability or the detailed
evaluation of the suitability of natural or filled ground for the foundations of buildings, roading,
and other structures, or the carrying out of bulk earthworks, then a geo-professional shall be
appointed by the developer to carry out the following functions:
a. Check Auckland Council District Plan, Auckland Council Regional Plan, publicly
available Council records, for requirements relating to the geotechnical assessment;
b. Prior to the detailed planning of any development, to undertake a site inspection and
such investigations of subsurface conditions as may be required, and to identify
geotechnical hazards affecting the land, including any special conditions that may affect
the design of any pipelines, structures, or other utility services:
c. Before construction commences, to review the drawings and specifications defining any
earthworks or other construction and to submit a report (commonly an Investigation
Report refer schedule 2B, Table 2B1, Phase 2 or 3) to the UA on the foundation and
stability aspects of the project;
d. Before and during construction, determine the extent of further geo-professional
services required (including geological investigation);
e. Before and during construction, to determine the methods, location, and frequency of
construction control tests to be carried out, determine the reliability of the testing, and to
evaluate the significance of test results and field inspection reports in assessing the
quality of the finished work;
f. Any work necessary to manage the risk of geotechnical instability during the
construction process;
g. During construction, to undertake regular inspections consistent with the extent of
geotechnical issues associated with the project;
h. On completion, to submit a written report to the UA attesting to the compliance of the
earthworks with the specifications and to the suitability of the development for its
proposed use including natural ground within the development area. Where NZS 4431
is applicable, the reporting requirements of the Code of Practice shall be used as a
minimum requirement
C2.2
Guidance on geotechnical reporting which may be required by the Council is summarised in
Section 2.6 of this Code of Practice. Additional guidance on geotechnical reporting which
may be required by the UA is summarised in Schedule 2B.
2.3
Design
2.3.1
Design Factors
The design process shall include, but not be limited to:

a.
Preliminary site evaluation including assessment of historical data for the area.

Page 5 of 40
b.
Identification of special features to be retained/protected
c.
Low impact design considerations
d.
Selection of the choice of landform
e.
Stability assessment including underlying structural geology
f.
Assessment of special soil types where applicable
g.
Setting of compaction standards for fill material
h.
Erosion, sediment, and dust control
i.
Seismic considerations
j.
Geothermal issues where applicable
k.
Drainage
l.
Construction methodology
m.
Risk
n.
Coastal Cliffs
2.3.2
Preliminary Site Evaluation
During the preliminary site evaluation phase the developers professional advisor shall
engage a geo-professional at an early stage to undertake a preliminary site evaluation and
prepare a geotechnical assessment report where there is doubt about the stability or
suitability of the ground for the proposed development, or there are any UA or local practice
requirements for geotechnical involvement in the project (refer Table 2.B.1 in Schedule 2B).
In cases where more than a visual appraisal is deemed to be required, particular attention will
need to be given to the following matters as appropriate, which should normally be
considered prior to preparing a proposal for development.
a.
Low Impact Design:

The preliminary site evaluation needs to take into account low impact design factors.
These include consideration of maintaining and improving natural waterway features
and optimising waterway crossing locations. Protection of well-drained soils and natural
soakage areas also needs to be taken into account.
b.
Drainage:
Identify the existing natural drainage pattern of any area and identify evidences of any
natural springs or seepage. Where any overland flow paths, natural surface, or
subsurface drainage paths are interfered with or altered by earthworks, then
appropriate measures should be taken to ensure that adequate alternative drainage
facilities are provided to ensure there is no increase of flood hazard risk to the site or
adjoining properties.
c.
Slope Stability:
Some natural slopes exist in a state of only marginal stability and relatively minor
disturbance such as trenching, excavation for streets or building platforms, removal of
scrub and vegetation, or the erection of buildings, can lead to failure. Signs of instability
include cracked or hummocky surfaces, crescent-shaped depressions, crooked fences,
trees or power poles leaning uphill or downhill, uneven surfaces, swamps or wet ground
in elevated positions, plants such as rushes growing down a slope, and water seeping
from the ground. In addition, a simple desktop study of aerial photographs may show
indications of historic failures as well as faulting, resulting in linear ground features.

Page 6 of 40
Refer to Branz Study Report 004, Crawford and Millar 1998, or the New Zealand
Geotechnical Society publications Field description of soil and rock and Geotechnical
issues in land development. Existing or potential surface creep effects also need to be
investigated and reported upon. For a sample checklist for geotechnical assessments,
refer to Schedule 2D.
d.
Foundation Stability:
A study of the general topography of the site and its surroundings may indicate areas
which have previously been built up as a result of natural ground movement or by the
deliberate placing of fill material. Unless such fill has been placed and compacted under
proper control, instability or long-term differential settlement could occur causing
damage to superimposed structures, roads, services, or other structures.
e.
Stream Instability:
There is a potential for instability through changes to the current ground conditions,
such as stream erosion.
f.
Local Conditions:
A wide range of soil types exist throughout New Zealand, which may need special
consideration. Expansive soils, volcanic soils, soft alluvial sediments, and compressible
soils are examples of these. Liquefaction of soils should also be considered. The UA
may have information on the soil types in its area, including potentially contaminated
land and other known conditions.
g.
Peer Review:
Where risk for the land prior to development is assessed as being medium to very high
risk, a peer review of the geotechnical assessment for the proposed development may
be required and this would need to be carried out by an independent geo-professional.
In regards to risk assessment, see also Section 2.3.12 and Schedule 2C of this Code of
Practice.
h. Other reporting formats

The geotechnical reporting format and requirements for capital works may differ from
Table 2.B.1 of Schedule 2B. The reporting requirements for road works are stated in
Section 13 of this document whilst for storm water projects, Schedule 2B Sub-section
2B9.
C2.3.2
The preliminary evaluation should be carried out in the context of the local surroundings of
the site, and should not be influenced by details of land tenure, territorial, or other boundary
considerations. Where the preliminary evaluation discloses the potential for slope instability,
other geotechnical or geological hazards, or the need for major foundations or for earthworks,
the geo-professional should be involved at an early stage in the planning of the development
2.3.3
Landform Selection
The final choice of landform and land remediation proposals shall represent the most
desirable compromise between the development requirements and the preservation of
natural features and the natural character and landscape amenity values of the site including
the retention of natural of natural watercourses. Landform selection needs to take into
account low impact design principles including retention of existing landforms and natural
features where possible, and avoiding earthworks where there are existing habitats of
Page 7 of 40
indigenous species, wetlands, or areas of high natural character. The design shall take into
account the following factors in making the selection of the final choice of the landform:
a.
The choice of a suitable landform may be specific to a particular site. Considerations for
carrying out earthworks include:
(i)
The minimisation of the risk of damage to property occurring through ground

movement in the form of slips, subsidence, creep, erosion, or settlement.
(ii)
The minimisation of the risk of damage to property occurring through flooding, or

surface water run-off and designing of works and land form appropriate to control
secondary or overland flowpaths, or areas of inundation, so that lots or areas of
development on any land are unlikely to be subject to an inundation hazard.
(iii)
The development of a desirable roading pattern with good accessibility to and

within the site and the creation of a better sense of orientation and identity for the
area as a whole.
(iv)
The efficiency of overall land utilisation including the quality of individual sites and
amenity areas around buildings, the economics of providing engineering services,
and the standard of roading and on-site vehicular access.
(v)
The need to create suitably graded areas for playing fields and other community
facilities and,
(vi)
The enhancement of the general environmental character of the area
2.3.4
Stability Criteria
In making an assessment of the stability of slopes and earth fills, the geo-professional shall
use acceptable criteria and analysis methods. Stability criteria applicable to land development
in New Zealand are published or recommended by the New Zealand Geotechnical Society
(see referenced documents at the beginning of this Code of Practice).
a.
b.
2.3.5
Visual/site appraisal conducted by an experienced geo-professional is an invaluable

exercise that provides insight to the stability of the site. Such appraisals are important
and shall include;
(i)
Existing site conditions (alignments of buildings, foundation types, trees, fences,

retaining wall, etc).
(ii)
Geomorphological features (Scarps, toe heave, hummocky surfaces, etc).
Numerical models would be expected as part of the stability appraisal when the slope is
suspect as assessed by the geo-professional and/or requested by Council. Key
parameters used in constructing the models include soil strength, ground water and
failure modes. Schedule 2E serves as a guide to typical shear strengths parameters (c
and phi values) found in some Auckland soils. Traditionally, a factor of safety (FoS) of
1.5 is deemed acceptable against instability. Since the stability of the slope is a function
of soil strength and ground water conditions, Schedule 2C provides further guidance
concerning Factors of Safety and classification of risk.
Special Soil Types
If special soil types are known to exist in a locality or are identified, then a geo-professional
shall be engaged to advise on appropriate measures for incorporation of these soils into a
development. Special soil types include, but are not limited to:
a.
Soils with high shrinkage and expansion
b.
Compressible soils

Page 8 of 40
c.
Volcanic soils
d.
Soils subject to liquefaction
e.
Soils prone to dispersion (such as loess)
f.
Highly sensitive (or quick) soils
Reference should be made to the geology maps provided by The Institute of Geological and
Nuclear Sciences Ltd.
2.3.6
Compaction Standards for Fill Material
The standard of compaction and method of determination shall be as set out in NZS 4431.
Where NZS 4431 is not applicable, the methods and standards of compaction shall be
specified by the geo-professional.
C2.3.6
Commercial and industrial developments often have specialised requirements for fill materials
and compaction. In these cases, the requirements of NZS 4431 may not be applicable. The
geo-professional should set the fill standards and procedures for these developments.
2.3.7
Erosion, Sediment, and Dust Control
2.3.7.1
Minimisation of effects
Earthworks shall be designed and constructed in such a way as to minimise soil erosion
and sediment discharge. Where necessary, permanent provision shall be made to
control erosion and sediment discharge from the area of the earthworks.
Generation of dust during and after the earthworks operation shall be considered during
the planning and design phase. If necessary, specific measures shall be incorporated
to control dust.
C2.3.7.1
Within the boundaries of Auckland Council design, implementation, staging and
maintenance of erosion and sediment controls shall take account of:
Auckland Council District Plan, Auckland Council Regional Plan
Technical Publication 90 Erosion and Sediment Control Guidelines for Land

Disturbing Activities in the Auckland Region, including changes advised in
December 2007
Related conditions of any issued Resource consent
New Zealand Building Code, Clause E1 Surface Water
2.3.7.2
Protection Measures
Where surface water could cause batter erosion or internal instability such as through
infiltration into the soil, open interceptor drains shall be constructed in permanent
materials, and benches in batter faces should be sloped back and graded longitudinally
and transversely to prevent spillage of stormwater over the batter.
Page 9 of 40
Water from stormwater systems shall be prevented from flowing into fill or into natural
ground near the toe of slopes or sides of the fill.
No stormwater or wastewater soakage systems shall be constructed in fill or natural
ground, which could impair the stability of the ground.
Protection measures shall include the following as appropriate:
a.
b.
2.3.8
Erosion control mechanisms:

(i)
Temporary drains to be constructed at the toe of steep slopes to

intercept surface run-off and to lead away for treatment where required
before discharge to a stable watercourse
(ii)
Surface water to be diverted away from or prevented from discharging

over batter faces and other areas of bare earth by bunds. The bunds are
to be formed to intercept surface run-off and treated where required prior
to discharge through stable channels or pipes, preferably in to stable
watercourses or piped stormwater systems
(iii)
The upper surface of fills to be shaped and compacted with rubber-tyred

or smooth wheeled plant when rain is impending, or when the site is to
be left unattended to minimise water infiltration
(iv)
The completed battered surfaces of fills to be topsoiled and vegetated, or

otherwise resurfaced to reduce run-off velocities
(v)
Control of erosion and sediment discharge may require planting,

environmental matting, hydroseeding, drainage channels, or similar
measures at an early stage in the earthworks construction phase
(vi)
Dust control may require frequent watering during construction along

with establishment of the permanent surface at an early stage in the
construction phase
Sediment management devices:

(i)
The surfaces of fills and cuts to be graded to prevent ponding
(ii)
Sediment traps and retention ponds to be constructed where they are

necessary. They should be cleaned out, as required, to ensure that
adequate sediment storage is maintained, with appropriate plans for
decommissioning
(iii)
Temporary barriers or silt fences using silt control geotextiles, to be used

to reduce flow velocities and to trap sediment
(iv)
Sections of natural ground to be left unstripped to act as grass (or other

vegetation) filters for run-off from adjacent sites
Seismic considerations
The geo-professional shall consider the seismic effects on earthfills, slopes, and liquefiable
ground and shall take these into account in design and construction of any development in
accordance with the scale of the development. Reference should also be made to the New
Zealand Geotechnical Society Inc. Geotechnical Earthquake Engineering Practice
document issued July 2010 as a guide for assessing seismic impacts on slopes.

Page 10 of 40
2.3.9
Geothermal Issues
Refer to Schedule 2F for some of the well-known geothermal areas in Auckland Councils
jurisdiction. This is a guideline only.
2.3.10
Drainage
Geotechnical investigation and reporting should consider existing and proposed primary
drainage, secondary flow paths, overland flow paths, and subsurface drainage whether
underfill, or within natural erosion tunnels e.g. tomos, or related to land stability and control
of water tables. Reporting should also cover drainage of retaining structures, and whether the
structure is to be drained or undrained. (Potential for settlement effects on neigbouring
buildings or services due to permanent or temporary ground dewatering needs to be
considered.)
The geo-professional should assess proposed or existing trench lines and recommend any
needed detailing related to bedding design, trench drainage or trench drainage barriers.
Reporting should cover specification of drainage metal and any associated geo-textiles or
filter socks required by the geo-professional, with appropriate design.
Counterfort drains and drainage of shear keys should be designed so that a 100-year design
life is likely to be delivered with no or little maintenance. Inspection and/or monitoring
requirements are to be considered. Any subsoil drainage outlets not directly connected to
public stormwater reticulation shall be designed with suitable concrete collars and aprons
appropriate to a 100-year design life. Drilled drainage may be a needed added redundancy
to a design, or suitable for temporary works. Drilled drainage is unlikely to be suitable for
permanent works as the sole methodology for control of water tables.
Assessment may also have to consider the consequences of land development adjacent to
drainage channels and watercourses where water levels, flows and scour risk may vary.
2.3.11
Construction Methodology
To ensure good geotechnical outcomes are achieved for a development, details of

construction methods will often be required to be submitted with a consent or approval
application to the Council. The construction methods can be incorporated into the
geotechnical report or detailed in a separate report e.g. from a contractor, or building
professional. If the latter this should be cross-referenced in the geotechnical report i.e. the
Council needs to understand that the aspects of the construction methods pertaining to
geotechnical matters align with the geotechnical report.
Geotechnical reports at the earlier stage of a development e.g. subdivision, where final
locations of structures are uncertain, will still need to provide some details of construction
methods and/or limitations of how the works reasonably anticipated for the site can be
undertaken. A guide to what could be reasonably anticipated on the site can be sought from
the town planning zoning for the site or locality.
Some of the main items that are linked between construction methods and geotechnical
considerations:
Maximum and minimum depths, slopes/gradients, lengths or areas of cuts and fills
Temporary props and battering requirements
Key stages, locations and timing of engineering inspections

Page 11 of 40
Limitations in timeframes for exposed or unsupported excavations/filling
The installation of ground anchors (temporarily or permanently) will require land

owner approval where they cross boundaries
Weather protection
Surface and subsurface water management temporary and permanent including

related ground settlement issues
Typical earthworks guidelines for embankments may need to also include the following
considerations:
All fill batters shall be not steeper than 2 horizontal to 1 vertical with a bench of a
minimum width of 2.0 metres every 6 metres of vertical height, with a fall inwards of 1
in 10.
Cut batters shall be stable except for minor fretting and shall generally be not steeper
than 1.0 horizontal to 1.5 vertical with a minimum width of 1.5 metres benching every
8 metres of vertical height.
Fill batter faces should be compacted as a separate operation, or alternatively,

overfilled and cut back
The minimum compaction standard soil required is a min of 95% of the max dry soil
density.
Compaction of soils shall generally meet the requirements of NZS 4431:1989
During construction, soil compaction shall be monitored based on:

In-situ density tests to determine whether the degree of compaction is up to the specific
minimum
Test to determine the maximum dry density for the soil tested in each in-situ field
density test.
DURATION OF EARTHWORKS - The work shall be programmed so that the duration

of earthworks, between commencing and finishing, on any one stage/area shall not
exceed six months
The normal working hours for the carrying out of the earthworks on the site and the
transport of excavated material from the site, are to be limited to:
Monday to Saturday 7:30am to 6pm
Adequate washing facilities or properly designed vehicle rumble pads shall be provided
at all times on the construction site so that all vehicles are free from mud and debris
when they pass onto the public streets.
Areas of fill including batters and areas of cut but not including cut batters shall be
prepared with topsoil. Minimum depth for topsoil is 300mm. This will depend on soil and
species to be planted.
2.3.12
Risk Assessment

Page 12 of 40
2.3.12.1
Introduction
The objective of considering risk assessment/management in slope assessment is to

provide a systematic and practical approach to making informed and documented
decisions so that stakeholders understand the potential threats and opportunities that
exist. AS/NZS ISO 31000:2009 is a general guide to setting the principles, design and
implementation of risk management. The Risk Classification Table in Schedule 2C can
also be referred to. Some of the components that would be considered in risk
assessment for slopes include:
(i)
Uncertainties in the design parameters
(ii)
Frequency analysis
(iii)
Consequence analysis
(iv)
Councils expectations
(v)
Normal and extreme events
(vi)
Other factors the geo-professional considers appropriate
2.3.12.2
Uncertainties in the Design
The main uncertainties in slope analysis are:

(i)
Lack of information
(ii)
Variability of material properties e.g. shear strength, density, permeability, etc
(iii)
Position of groundwater level/table and the influence from rainfall
(iv)
Sampling errors from field tests
(v)
Modelling and human errors.
Using a process such as a risk matrix, the assessment shall identify the uncertainties in
the design/analysis and make a qualitative judgement on the impact of the uncertainties
on the outcome of the analysis.
2.3.12.3
Frequency Analysis
It may be useful to adopt a frequency analysis technique appropriate to the level of

study and complexity of the geotechnical model so that risk could be identified in terms
of probability events.
C2.3.12.3 The frequency analysis may be important in relation to the Building
Importance level or criticality to ensure availability of essential services (refer Auckland
Regional Council Technical Publication No 112, November 1999. For example, if it was
assessed that the frequency of a particular slope failure is a 1 in 100 yr event, which
affects a private way /shared driveway, the overall risk to the project may be considered
minor.
2.3.12.4
Consequence Analysis
The assessment is to identify elements at risk such as property, people and services.
Typical evaluation on the impacts on property include, extent of damage, indicative
cost, impact on market value and other resulting consequences. An important aspect of
this analysis is the assessment of the travel distance.
Page 13 of 40
Travel Distance
As part of the slope risk assessment, the geo-professional shall include an
estimate of the travel distance of the slide soil/rock mass at failure. The objective
is to determine the potential adverse effects on property and lives downslope of
the instability. Typically, travel distance depends on the slope characteristics,
modes of movement and the nature of the downhill path. (Guidance documents
may include Fannin RJ and Wise MP (2001) and Saunders W and Glassey P
(2007)).
2.3.12.5
Councils Expectation
The geo-professional is expected to demonstrate that a risk assessment based on the

above items has been undertaken and provided in an appropriate risk table as shown in
Schedule 2C.
2.3.12.6
The definition of normal and extreme events
Normal
The geo-professional shall consider a normal event as follows;
(i)
Static condition, where the groundwater is at steady state corresponding to a long

term event as commonly defined in the geotechnical community ( see Lambe and
Whitman, Soil Mechanics , Wiley: 1969, for reference) for permanent structures
such as a residential house,
(ii)
Static conditions, where the groundwater and/or perched water tables are at
steady state in a short-term event for temporary structure or works such as
temporary excavation during the construction stage,
(iii)
Dynamic condition, where the groundwater may vary considerably with time such
as a dam structure during rapid drawdown or similar event.
(iv)
Conditions that the geo-professional community considers as common events.
Extreme
The geo-professional shall consider an extreme event as follows;
(i)
Static and dynamic conditions, where the groundwater/phreatic surface or

confined groundwater has risen above normal levels as defined above. Such
conditions could include fully saturated soils.
(ii)
Seismic events/effects
2.3.12.7
Other Additional Factors
The geo-professional shall take account of any other additional and appropriate factors
in undertaking the risk assessment. These may include consideration of the intended
land use, any known or likely requirements of structural engineers for soil support of
foundations or other structural elements, and the importance level of the likely or
intended building development on the land. Classification of buildings in terms of
importance level is referred to in NZS 3604:2011 Section 1.2(b) and table 1.1 and
AS/NZS 1170.0:2002 Section 3.4.2 and tables 3.1 and 3.2.

Page 14 of 40
2.3.13
Coastal Cliffs
Assessment of coastal cliffs in the Waitemata and Manukau Harbour should consider
regression of the cliff face and weathered mantel material likely to occur from natural
coastal erosion processes over a 100-year period. Assessment of this regression
should take account of site-specific investigation of the ground model, including its
structural geology, and historical records or erosion processes. Cliff stability also
needs to be considered and where machine bores and other investigation techniques
lead to a complex ground model, additional assessment techniques such as
stereonet analysis may be applicable.
Storm water disposal over or near coastal cliff/slopes for new developments shall
have the following requirements;
Private SW drainage within coastal section/lot to be determined and assessed
Existing S/W disposal over coastal cliff need to be controlled to ensure

discharge flow is small and the outlet point is resistant to erosion ( existing use
rights to be revisited if new works proposed)
Mitigation and improvements to be investigated on existing dwellings currently

discharging sw over the cliff. To consider drained and undrained surfaces
within each lot including new kerb discharge points.
Soakage pits if deemed viable on coastal cliff sites will require its location and
construction is to be assessed and verified by a suitably qualified Chartered
Professional Engineer via a comprehensive geotechnical reports at
resource/building consent stage.
New developments located near coastal cliffs shall generally require;
Comprehensive stability assessment of existing cliffs/slopes to be carried out by

a Chartered Professional Geotechnical Engineer with the view of providing risk
assessment of the development proposal including where applicable, specifying
the restriction and limits to proposed building works on site. ( to be included in
consent notices and GIS )
Management and Maintenance Plan for Existing Slope/Cliff

It is essential that the responsibility for future maintenance of significant slopes
is clearly established and formal arrangements should be drawn up for regular
inspection and maintenance.
To accomplish proper slope maintenance, slope owners should set up their own
Slope Maintenance Plan to maintain the slopes for which they are responsible.
Guidelines for preparing the Plan may includes the following:
(I) List of Inspections and Maintenance Works Records;

Routine Maintenance Inspection and repair works
Regular Check of Buried Water-Carrying Services
Geotechnical Engineers Inspection
(II) Routine Maintenance Inspection and slope repair works may include:
Page 15 of 40
clear accumulated debris from drainage channels and slope surface;

repair cracked or damaged drainage channels, pipes or pavement;
repair or replace cracked or damaged slope surfacing;
unblock weepholes, subsoil pipes and outlet drain pipes;
repair missing or deteriorated pointing in masonry walls;
remove any vegetation causing severe cracking of slope surface cover and
drainage channels;
re-grass or re-vegetate bare slope surface areas;
remove loose rock debris and undesirable vegetation from rock slopes;
check and repair any damaged retaining walls affecting stability of slope;
remove any dead loads placed near crest of slopes;
(III) Regular Check of Buried Water-Carrying Services

Buried water-carrying services, if they leak, could also trigger landslips, and
these should therefore also be maintained. Signs of possible leakage should
be investigated by relevant parties and leakages repaired accordingly.
(Private drainage and public infrastructure)
.
(IV) Geotechnical Engineers Inspection
Although proper routine maintenance of a slope or retaining wall can greatly
reduce the probability of a landslip, the slope may still not be sufficiently safe
for various reasons, such as inherent design or construction deficiencies, or
changes that have taken place in the vicinity. Therefore, an Engineer
Inspection for maintenance should be carried out on the slope by a qualified
Geotechnical Engineer to look for all slope safety problems. The
Geotechnical Engineer will advise on the maintenance of the slope and any
required improvement works. He will also advise on the need for a Stability
Assessment to check the slope's overall safety.
Note* The lack of maintenance of slopes and retaining walls is the major contributory
factor to many landslips. Many landslips are triggered by water ingress into slopes
and by soil erosion during heavy rain. Man-made slopes normally have drainage
provisions and protective surfacing to prevent water ingress and soil erosion. These
measures need regular maintenance to ensure their proper performance.
2.3.14
Underground Infrastructure
Controls on the installation of underground Infrastructure( sw, waste, potable,etc) on

ground with marginal stability shall consider the following:
Location of Stormwater soakage device - Care must be taken to ensure the stability
of the adjacent ground is not compromised by the soakage device.
Slopes that have marginal stability could be significantly affected by the location of
any underground infrastructure services, trenching or any building surcharge loads acting
near the crest of the slope.
Damaged underground infrastructure services carrying any fluids could have

significant impact on slope stability. Regular damage assessment or integrity checks on all
Page 16 of 40
underground service pipes that are located near significant slopes should be carried out
periodically.
Periodical CCTV inspections required for all underground infrastructure located on

significant slopes build from weak soil or fill.
2.4
Approval of proposed works

The approval process for land development and subdivision design and construction shall be
in accordance with Section 1 of this Code of Practice. Land stability assessments and the
design and control of earthworks require approval from the UA.
Auckland Council has an Engineering Approval process available for works associated with
land development and subdivision. This permission process is used for public assets created
by developers for vesting with Council. It can also be used for gaining consent for works e.g.
earthworks, not covered by the Building Act/Code and also for compliance with conditions of
resource consents.
Geotechnical reporting may have to be provided in support of Engineering Approval
applications for utilities and roading covering issues such as trenching, bedding and
road/accessways construction.
Some parts of Auckland Council District Plans will have provisions already stipulated
requiring engineering designs be submitted and approved within the resource consent
application process.
2.5
Construction
Earthworks shall be carried out to the standards detailed in the approved specifications and
drawings, and any requirements in the Auckland Council District Plan or Auckland Council
Regional Plan or consent issued by the UA.
The construction control testing shall be carried out by a testing laboratory or competent
person under the control of the geo-professional, and to the recognised testing standards as
deemed appropriate.
The testing laboratory shall have recognised registration or quality assurance qualifications.
Refer also to 2.3.11 Construction methodology above
2.6
Final documentation
2.6.1
Geotechnical completion report
(i)
For all developments where a geo-professional is engaged, the geo-professional shall

submit a geotechnical completion report to the developer and the UA accompanied by a
statement of professional opinion as set out in Schedule 2A. The geotechnical report
shall identify any specific design requirements, which would necessitate the building
design deviating from NZS 3604.
(ii)
The expected level of site movement from reactive soil (expansive soils) under AS
2870:1996 shall be identified by their respective class and included in the geotechnical
completion report. The soil properties used in determining the class are to be recorded
in the report. The site subsoil class to the provisions of NZS 1170.5 section 3 and NZS
1170.5 Supp 1 C3.1.3 shall be identified in the geotechnical completion report.

Page 17 of 40
(iii)
The report shall describe the extent of inspection, revisit and review all inferences and
assumptions made during the investigation, assess the results of testing and state the
geo-professionals professional opinion on the compliance of the development with the
standards set by the geo-professional. The report shall also include all geotechnical
reports prepared for the development.
(iv)
Documentation on the testing of the soils for compaction shall be included in the
geotechnical completion report. This documentation should clearly show the spatial
location where where compaction met the required standards, as well as any areas
requiring retesting, and areas which did not meet the standards.
(v)
For developments where there are no earthworks, the geotechnical completion report
will comprise the geotechnical assessment report. For large or more complex
developments where there may have been several stages of geotechnical reporting, all
prior reports covering the subject area of land under certification shall be included in the
geotechnical completion report.
The geotechnical completion report shall identify areas that provide good ground as
defined in NZS 3604. Those areas that require specific design for stability and
foundation design shall also be noted.
(vi)
2.6.2
Refer also to Schedule 2B
As-Built drawings for earthworks and subsoil drains
(i)
Where earthworks have occurred, an as-built plan shall be prepared showing finished
contours. The plans shall also show original contours where earthworks have occurred
to illustrate the extent and depth of cuts and fills, including the depths of any undercuts.
Alternative methods of representing earthwork depths may be acceptable including
plans showing lines joining all points of equal depth of cut and fill at appropriate vertical
intervals.
(ii)
The as-built plans shall also record the position, type and size of all subsoil drains and
their outlets, and show any areas of fill or natural ground, which the geo-professional
considers, do not comply with the standard or areas where the standards have been
varied from the original construction specification.
(iii)
As built plans shall be made available to the UA and the developer in conjunction with
the geotechnical completion report.
(v)
Refer also to Schedule 2B.

Page 18 of 40
Schedule 2A: Statement of Professional Opinion on Suitability

of Land for Building Construction

Page 19 of 40

Page 20 of 40
Schedule 2B: Investigating and Reporting

Site investigations and reporting shall be carried out in accordance with Section 2 of this
Code of Practice and:
a.
NZS 4402:1986 Methods of testing soils for civil engineering purposes
b.
NZS 4431:1989 Code of practice for earth fill for residential development
c.
NZS 4404:2010 Land development and Subdivision Infrastructure
d.
Field Description of Soil & Rock, NZ Geotechnical Society, December 2005
e.
Geotechnical earthquake engineering practice Module 1 Guideline for the

identification, assessment and mitigation of liquefaction hazards, New Zealand
Geotechnical Society Inc, July 2010.
f.
Auckland Council supports best practice as set out in the NZGS document Electronic
Transfer of Geotechnical and Geoenvironmental Data, Issue 01 dated July 2007.
Consideration will be given to making factual soils data in such a format becoming a
mandatory element of reporting when next revisions of this document are considered.
Together, these documents provide a rational approach to undertaking site investigations and
preparing associated reports for projects involving bulk earthworks or to establish
development limitations or remediation recommendations.
The Council may elect to require a peer review of part or the whole of any report.
Table 2.B.1
Methodology for Investigations and Reporting For Earthworks Projects
Phase
Investigations
Reporting
Regulatory
Preliminary investigation* **
Geotechnical Appraisal
Report
Concept Plans and initial

discussion
Comprehensive investigation
Geotechnical
investigation report
Resource Consent application

Scheme Plan Approval ***
Supplementary
investigation*
Geotechnical Design
Report
Engineering design
submission supporting either a
bulk earthworks approval or a
building consent application
Construction observation of
works in progress
Geotechnical Monitoring
Report
Field reporting and feedback to

design engineers or project
engineers. To support Design
amendments and reapprovals.
Construction observation
and evaluation of completed
earthworks and any
development limitations
Geotechnical completion
report, statement of
professional opinion and
as builts
Subdivision release (Section

224c Certificate)
Performance evaluation
Geotechnical
Supplementary Report
Ongoing reports on long term

restrictions or requirements
Notes:
* This investigation and associated reports may be integrated with the comprehensive
investigation depending on the size and impact of the proposed development.

Page 21 of 40
** The Geotechnical Appraisal Report may be sufficient to support a resource consent

application for minor developments where the construction difficulties and hazards are such
that development limitations are likely to be minor. The geotechnical investigation and
detailed engineering reporting would then be deferred until building consent application.
Confirmation should be sought from the Council before following this alternate reporting
process.
*** The geotechnical investigation report should include setting of future development
limitations, particularly where no land remediation or substantive earthworks nor any
subsequent geotechnical completion reporting is envisaged. Land development that
depends on changes to the landform or land remediation works would require a Geotechnical
Completion Report.
2.B.1 Geotechnical Appraisal Report
a.
The purposes of the preliminary investigation are:

1. To establish the framework of a model of geological conditions to assess the
general suitability of a site for its intended purpose
2. To gain an appreciation of design requirements
3. To ascertain possible construction difficulties
4. To enable the preparation of a Geotechnical Appraisal Report and plans for initial
discussions.
5. To identify obvious hazards
6. To determine the requirements or need for a comprehensive geotechnical
investigation
7. Applicability of the land for building in accordance with NZS3604
b.
The preliminary investigation should cover the following factors:

1. Ownership of the land
2. Regional geology
3. Topography and predominant features, identifying previous slope failures and areas
of surface creep, geomorphology.
4. Drainage and groundwater regimes including seepage, swamps or other areas of
either poor drainage or high groundwater conditions
5. Local subsoil conditions, including structural geology.
6. Consideration of likely stability conditions and development limitations
c.
The preliminary investigations should be based on:

1. A visual inspection of the site
2. A desk top study including review of information from published geology maps
3. Existing geotechnical reports
4. Aerial photographs
5. Local knowledge including data from adjacent sites (where applicable). Reference
should be made to the publicly available Councils records for any pertinent
information already held on the subject site or adjacent sites

Page 22 of 40
2.B.2 Geotechnical Investigation Report

a.
b.
The purposes of the comprehensive geotechnical investigations which form the basis of
the Geotechnical Investigation Report are:
(i)
To investigate, examine and report on the geological history, geomorphology and

groundwater regime, regional and local geological structure, soil profile and
strengths, rockmass strength and conditions including defect conditions of the
area to develop a geological model on which engineering assessments of
proposed or likely developments can be made. The report will identify and assess
soil creep, expansive soils and natural hazards as listed in s71(3) of the Building
Act 2004 including erosion, subsidence and slippage or slope stability and
recommend land remediation measures, including drainage and vegetation, and
any maintenance implications of those recommended measures.
(ii)
To enable the preparation of a detailed earthworks design or foundation design

and to identify any need for further geotechnical reporting. However the normal
expectation is that geotechnical investigation reports will be sufficient in detail to
allow approval of bulk earthworks designs.
Foundation design requirements
should identify likely design scenarios so that it is demonstrated that development
generally appropriate to the area and value of the land is readily achievable.
(iii)
To enable the development of a construction methodology recognising risks

associated with temporary works such as unsupported and/or unprotected cut
faces.
(iv)
To nominate suitable building platforms and where applicable, suitable areas of

land application areas for on-site wastewater systems and /or stormwater
dispersal. To recommend any changes to a subdivisional layout to achieve better
use of the site, and or minimise construction difficulties.
(v)
To provide parameters for design and recommendations for construction of

building foundations, road pavements etc, and specific design zones, and to
identify natural hazards that may occur from proposed temporary or permanent
works such as excavation support, dewatering, settlement, loss of toe support,
loading of slopes, inundation, armouring of new or relocated overland flow paths,
spillways, rapid drawdown of stormwater treatment ponds, ingress of water into
slopes from saturated trenchlines.
(vi)
To set key performance or testing or acceptance criteria suitable for incorporating

into a specification for undertaking the proposed earthworks or land remediation
works
The geotechnical investigation report (sometimes referred to as a Foundation

Investigation Report) should cover the following factors:
(i)
Any prior geotechnical report and the guidance for site appraisal in Section 2.B1
above for a Geotechnical Appraisal Report but in more detail. The report shall
also take account of the Design Factors set out under 2.3 of NZS 4404:2010 as
modified for inclusion in the standards of Auckland Council. Other useful
guidance documents available include the Checklist for Stability Assessments
dated 31 May 1998 mentioned in 2.3.2(c) (see Schedule 2D) an appendix of the
paper by Crawford, S A and Millar, PJ dated May 1998 entitled The design of
permanent slopes for residential building development and also included in the
current IPENZ Slope Engineering CPD course.
(ii)
Slope stability, soil creep and expansivity assessment
(iii)
Specific design zones, special foundation requirements and assessment of

whether any part of any lot is likely to be subject to the natural hazards listed
under s71(3) of the Building Act 2004
(iv)
Existing or proposed buried services

Page 23 of 40
(v)
Existing or proposed roading and accessways
(vi)
On site wastewater treatment proposals siting of Land Application Areas
(vii) Identification of any Non-engineered fills or contaminated land,

(viii) If no earthworks are proposed, a statement of professional opinion as to the
suitability of the land for its intended purpose refer NZS 4404:2010 Schedule 2A
(ix)
c.
The report shall include an index so that the complete content is understood.
Schedule 2B8.1 gives guidance in respect to supporting drawings.
Subsoil Investigation.
The outputs of subsoil investigation required to provide a model of ground conditions
shall be included in the report. Investigation and reporting should take account that:
(i)
Subsoil investigation may include hand auger boreholes, machine boreholes or

test pits as appropriate. Where slope stability issues exist, boreholes will need to
extend to competent strata to prove the stability model. In some instances, this
requires extending boreholes beyond 5.0m depth. Machine boreholes, even on
small sites where deep overburden profiles are present, may be needed.
Where hand auger borehole investigations are undertaken it is expected that hand
shear vane tests should be taken at 0.5m intervals or more regularly as
determined by variable soil conditions with readings taken for undisturbed and
remoulded strengths; dial readings shall be corrected in accordance with the
recommendations of the NZ Geotechnical Society. Where the corrected readings
of undisturbed strength show shear strengths of less than 100kPa over the last
1.0m of the bore, then scala penetrometer testing should be carried out for a
further depth of 2.0m measured from the bottom of the bore, or until three
successive blow counts are 10 or more for a penetration of 50mm, whichever
occurs first.
d.
(ii)
Depth of ground water (if encountered) shall be recorded. A further record shall be
made after sufficient time for the effects of drilling to have dissipated.
(iii)
Borelogs must be dated and a plan of borelog locations provided. Refer also
2.B.8.3.
Slope stability analysis.

The geotechnical investigation report shall include assessments of all existing slopes
and proposed slopes with and without any proposed remediation works. Analysis must
be carried out where the slope is steeper than 1V:4H, in areas where ground movement
has occurred or where a factor of safety of less than 1.5 under common winter
groundwater levels may be possible. A recognised and acceptable computer program
shall be used for the analysis. Soil parameters must be derived from a site
investigation and can be confirmed by either laboratory testing, and/or back analysis of
slopes. In the case of proposed engineered fill, predicted soil parameters must be
consistent with recommendations for placement of the fill. Soil strength parameters are
accordingly assessed by the geo-professional. In the event that the adopted values are
less conservative than the guidelines set out in Schedule 2E, the text of the report
should include more robust discussion on the reason for the adopted soil strength
parameters.
Slope stability reporting should include comment on travel distance of potential
landslide movements.
2.B.3 Geotechnical Design Report

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A supplementary investigation and design report may be required to support an application

for bulk earthworks approval or building consent approval, where the geotechnical
investigation report recommended the need for further investigation to support drawings
submitted for engineering approval, or to take account of design changes to the final
proposed landform or the proposed development on the land. It shall be based on the final
earthworks design and reassess or confirm design details including any proposed subsoil
drainage or shear keys and temporary or permanent works and include as appropriate
reassessment and confirmation of design parameters and methodologies.
2.B.4 Geotechnical Monitoring Report

The requirement for a Geotechnical Monitoring Report (GMR) during the construction period
would normally already be identified in a prior report. A GMR would address agreed
monitoring requirements set out in prior reports and sometimes as specifically required in a
consent condition. It would also identify any new or changed monitoring needs identified.
Reporting intervals would be as agreed with the Principal or design engineer or project
engineer or Council and could be subject to review depending on the monitoring trends and
prognosis of future.
Each report would confirm prior development recommendations as unchanged or identify any
needed changes in work methodologies or development limitations etc for the design or
project team to take account of.
2.B.5 Geotechnical Completion Report
This report is sometimes referred to as a Foundation Completion Report or Earthworks
Completion Report).
The report shall take account of 2.6 of NZS 4404:2010 as modified for inclusion in the
standards of Auckland Council, and the following guidance statements.
a.
b.
The purpose of the Geotechnical Completion Report, is

(i).
To provide a record of project monitoring and observations, verifying the quality of

construction, confirming the validity of the geological model and recording any
design changes that became essential where revision to the model or new field
design information so required.
(ii)
To describe all the activities associated with the extent of earthworks.
(iii)
To provide a statement of professional opinion confirming the suitability of the land

for building construction in the general form of Schedule 2A of this Code of
Practice, but inclusive of opinion of the suitability of all lots including road or
access lots within a subdivision for their intended purpose.
The Geotechnical Completion Report should cover the following factors:

(i)
Introduction and description of subdivision or projects
(ii)
Summation of prior reports and bringing forward of any relevant recommendations

and confirmation of the geological model
(iii)
Outline of work undertaken, earthwork volumes, depth of fill, dates of work,

methodologies and plant used
(iv)
Quality controls in place and reporting on field controls
(v)
Project Evaluation including comment on settlement and slope stability, expansive

soils, soil creep, details of slope stability re-assessment and analysis where

Page 25 of 40
appropriate, details of any subsoil or counterfort drainage, shear keys, retaining

walls, palisade walls, nominated building platforms or specific design zones or any
no-development zone, comment on road subgrades, reserves and accessways,
comment on any stormwater ponds created, comment on trench lines, land
drainage and top soil
(vi)
Assessment of whether any part of any lot is for a period of one hundred years
from the date of the report, likely to be subject to the natural hazards listed in
s71(3) of the Building Act 2004
(vii) Plans showing location of all additional test sites, finished contours, cut/fill contour
plan, specific design zones, underfill or counterfort drainage details, retaining wall
or palisade walls, depths of topsoil and plans of buried services. Refer also
2.B.8.
(viii) Appendices shall include test results, additional stability or other analysis. Where
maintenance or monitoring of any constructed works is essential, an Operation
and Maintenance appendix shall be added. For subdivisions, a spreadsheet of
limitations that apply to each lot shall be provided. Test results may include auger
logs, field density tests, penetration test results, laboratory lime stabilisation tests,
CBR tests. (It is recognised that it is not the function of the geotechnical
completion report to address pavement design). Inspection field notes.
(ix)
Append previous geotechnical reports relating to the area where appropriate.
2.B.6 Geotechnical Supplementary Report

A supplementary report or reports may be required prior to, or during the course of a
development. These reports may be required by the Council e.g. via conditions and consent
notices and/or specified by the geo-professional.
Some of the common situations requiring supplementary reports are:
(i)
Where detailed design occurs at a later stage e.g. post subdivision or staged
subdivision
(ii)
Where development works covered by a report are amended or changed
(iii)
Where a period of time has passed and engineering concepts or ground conditions may
have changed
(iv)
Where ongoing monitoring and testing is required e.g. via conditions of resource
consent
(v)
Where verification is required that specified works have been undertaken
(vi)
Where a geotechnical report provided for a building consent needs to be amended

and/or broadened to cover another type of consent required by Council e.g. resource
consent or engineering approval or other change in context.
(vii) Where the geo-professional involved in a project becomes aware of changes in

development works or conditions and wishes to advise or update the TA.
2.B.7 Producer Statements

A Producer Statement Construction Review (PS4) may be a suitable means of establishing
building consent compliance in regard to building foundation design or works on a lot to
create a building platform. A Producer Statement would not meet geotechnical reporting
standards set out in this Appendix. It is unlikely that a Resource consent would set a
condition for a PS4.

Page 26 of 40
2.B.8 Drawings supporting geotechnical reports

1.
Drawings should normally include details of

(i)
proposed cut and fill depths at 0.5m intervals,
(ii)
existing and proposed topography at 0.5m contour intervals,
(iii)
proposed land remediation features such as counterfort drainage, shear key

features and all subsoil drainage systems,
(iv)
palisade or retaining walls required to develop the proposed land form
A geotechnical appraisal report may include less information.
2.
Geotechnical Completion reports (GCR)

In addition to As Built status of any Proposed status information in .1 above and 2.6.2,
the GCR drawings should include, as appropriate:
(i)
For subdivisional works, a plan recording depths of top soil on each lot to the
nearest 50mm.
(ii)
Plans showing final cut and fill depths shall also show any undercut of natural
soils.
(iii)
Isopak plans shall be provided where fill is placed over a pre-existing depth of
engineered fill.
(iv)
Location of any subsoil bores or other tests undertaken subsequent to the

Geotechnical Investigation Report, with surface RL of the bore where different
from the final topography.
(v)
A plan showing any portion of the land with particular development limitations or
zoned for specific design or no-development. In some cases, nominated building
platforms should also be shown.
(vi)
Subsoil drainage including spot pipe invert levels
(vii) Consider inclusion of As Built details of stormwater and wastewater services,

secondary or overland flow paths, drained trenchlines.
3.
Drawings of any sections developed for stability analysis should also show relevant
bore log information to scale, including water table levels and information that supports
the geological model. Such sections shall also show existing / proposed property
boundaries.
2.B.9 Geotechnical Report ( Interpretative and Factual) for Storm water Capital works
All geotechnical investigation and completion reports shall be prepared by a
Professional Engineer who is experienced in the practice of geotechnical engineering
and registered under the Chartered Professional Engineers of New Zealand Act 2002 and who
has professional indemnity insurance.
A Geotechnical Report must document:

A description of the site and proposed development;

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A description of the existing conditions of the development site, including assessment

of land stability and geotechnical constraints to development; The suitability of the site
for the proposed development, having regard to the existing geological and
topographic conditions. This includes an assessment of likely effects or impacts of the
development upon slope stability and landslide potential;
Measures recommended to mitigate impacts, including siting, engineering and other
measures required to ensure a satisfactory form of development. Such measures must
not require high whole-of-life cycle costs, particularly deep soil drainage within single
residential lots or public land; and
Conclusions and recommendations.
The extent and detail of investigation will depend upon the particular site
characteristics and the nature of the development being proposed. Council will require
each report to demonstrate a scope and depth of investigation appropriate to the
specific proposal. The extent of the work carried out is to be determined by the
Geotechnical Engineer, provided the investigation concludes that the site, house,
retaining wall or other features under assessment have a stability risk acceptable to
Council.
Table 2.B.2 Format of Geotechnical Reports (Guidelines)
Interpretative Report
1. Introduction
Contents
1.1 Details of Development
1.2 Site Location and Description (including survey coordinates/co-ordinate system)
1.3 Method and Scope of Investigations
1.4 Qualifications of Responsible Individuals(s) and/or Company
2. Description of Existing
2.1 Geology (Local and Regional)
Conditions
2.2 Topography
2.3 Groundwater
2.4 Surface Drainage
2.5 Vegetation
2.6 Buildings, Other Structures, etc
Page 28 of 40
3. Assessment of Land
3.1 Existing conditions on site
Stability
3.2 Geotechnical Constraints, limitations, Restrictions applicable
to land stability
Definitions:
A Building Line Limitation, represents the closest proximity
to a slope or other significant feature for any building
footprint
A zone, defined as the Specific Design Zone, extending
from the Building Line Limitation to the Building Restriction
Line, within which building development requires specific
design by a Chartered Professional engineer either
experienced in soil mechanics, or with the assistance of an
engineer experienced in soil mechanics, and in particular,
slope stability
A zone (the Non Specific Design Zone) delineated by the
Building Line Limitation, extending beyond the Specific
Design Zone in which building development can be carried
out in accordance with the appropriate Code of Practice
without risk from slope instability or any geotechnical
hazards
A Building Restriction Line represents a line beyond which
no development is allowed.
3.3 Qualitative and quantitative assessments of proposed slope

grades, earthwork design and applicable Safety Factors.
3.4 Impacts of ground water level and surface drainage on land
stability
4. Description of Proposed
4.1 Site Layout and scale of proposed work
Development
4.2 Proposed Development Components
4.3 Potential Geotechnical Effects
5. Assessment of
5.1 Site Layout and existing contours
Development Impacts
5.2 Roadworks, Driveways and Other Pavements
5.3 Earthworks proposed earthwork levels
5.4 Suitability of foundations and design criteria applicable
5.5 Surface Drainage during construction and on completion
5.6 Overall Effect of Development on Stability
Page 29 of 40
6. Recommendations
The Geotechnical Report must include recommendations that

outline the following:
Whether the site has any history of landslips or instability
Whether the proposed development (including all

applicable lots and buildings) will alter the present state of
stability of the site
Whether any portion of the site should be excluded from

the development and included in natural, undisturbed or
rehabilitated areas
Whether the proposed development (including all lots and

buildings where applicable) will adversely affect the current
state of stability of adjoining land
Whether the proposed development (including all lots and

buildings where applicable) should allow cuts and fills and if so,
to what depth
Whether retaining structures are required and if so, provide

necessary foundation design parameters, including drainage
requirements
Whether any special design features are required to

improve or maintain the stability of the site, or portions of the
site (including each lot where applicable)
Whether any special surface and/or subsurface drainage

measures need to be taken to improve or maintain the stability
of the site, or portions of the site (including each lot where
applicable)
Whether any follow-up inspections are required by the

Geotechnical Engineer during construction.
The recommendations must also provide guidance on appropriate

measures required to make the site suitable for the proposed
development, including:
Preferred locations for buildings, other structures,

driveways, etc;
Footing requirements such as allowable bearing pressures,

pile design parameters, special techniques for expansive clays,
etc;
Pavement types and design;
Construction methods to avoid problem areas associated

with loose materials and groundwater seepage;
Preferred excavation/retention/stabilisation techniques and

Page 30 of 40
suitability of excavated materials for use in on-site earthworks;
Surface and subsurface drainage requirements. Deep soil

drainage within single residential lots or public land is not
acceptable to Council;
Vegetation protection and re vegetation requirements
Any appropriate measures, methods or techniques to

mitigate land instability
Conclusions
The Geotechnical Report must include conclusions about the

overall suitability of the land for the proposed development. These
are to include clear statements on whether:
all existing/proposed lots are presently stable;
all lots, and associated completed buildings (e.g. detached
house) and infrastructure, will have an acceptable stability risk if

constructed in accordance with the geotechnical
recommendations - in accordance with Australian Geo
mechanics Society AGS 2007 Guidelines ; and
any conditions need to be placed on the development of

lot/s to maintain an acceptable risk of long term stability.
Factual Report
Content
Can be included as an
Field investigations and tests describing methods such as use of
Appendix to the Interpretative
excavators, drill rigs and/or seismic techniques will be required,
Report Field and Laboratory particularly to assess the following factors:

Test Results, bore logs
Subsurface profile within proposed works areas (including

roads, infrastructure, building sites, potential swimming pools,
tennis courts, garage, access driveways and the like);
Classification of surface and subsurface materials:
Erosion potential;
Foundation conditions that could affect structural

performance;
Other site characteristics relevant to slope stability;

Evidence of previous instability (e.g. irregular contours,
hummocky topography, scarp faces in area of tension crack(s),
curved and/or non-vertical tree trunks, broken kerbs and
gutters, cracked or uneven roadway surfaces, distressed

Page 31 of 40
houses or other buildings). The classification of any existing

slips (type, severity and likely mode of failure) should be
determined;
Extent and type of any existing occurrences of erosion;
Surface drainage patterns and characteristics (rapid

surface runoff, presence of pools/ponds); Sub-surface drainage
characteristics (e.g. presence of water table, springs, swampy
areas, wet grass types, groundwater (such as presence of,
depth to and any special conditions (artesian)), and possible
presence of confined aquifer beneath site) and the likelihood of
this occurring as a result of high rainfall events;
Existing vegetation cover; and
Any existing site improvements (e.g. buildings, other

structures, earthworks).
The results of all field and laboratory tests must be included in the
geotechnical reports, including the location and level (including
datum) of field investigations such as boreholes and trench pits.
*Certifications by Geotechnical Engineer

Formal certifications by a Chartered Professional Geotechnical Engineer will be relied upon by
Council to make judgements on the suitability of developing land for
residential/commercial/infrastructure purposes and on approving stages of developments.

Page 32 of 40
Schedule 2C: Factors of Safety and Risk Guideline

2.C.1
Factor of Safety Guideline
Introduction/Explanatory Notes
The objective of this Factor of Safety (FoS) guideline is to provide applicants and geoprofessionals with Councils perspective when Council engineers process consents with a
slope stability assessment. Council would also generally take into consideration the collective
wisdom and experience of the geotechnical community and associated researches such as
Project 95/183 for the EQC Research Foundation.
It should be noted when using the guidelines, it does not absolve the geo-professional from
any responsibility in respect to the modelling of the slope or analysis. However, if the FOS
chosen is radically different from the guidelines, the variance from the guidelines should be
explained, and Council has the right and discretion to have the analysis peer reviewed.
Table 2.C.1 Factors of Safety
I. Residential Subdivision/Development
Factor of Safety (FoS)
Normal ground water condition
1.5
Extreme (worst credible) groundwater condition
1.3
Seismic condition with 150 yr event
1.2
II. Low risk areas such as Parks and Bush Reserve Land
Factor of Safety (FoS)
Normal ground water condition
1.2
Extreme saturated condition
1.1
Seismic condition with 150 yr event
1.1
III. High Risk Areas that may result in loss of life/ national interest
i. Refer to the appropriate legislations/guidelines where applicable
e.g. TP109/NZSOLD for dams where the return period used is pmf
ii. A FOS > 1.5 may be required for categories that include essential utility services and
infrastructures that have been identified as critical by Civil Defence.
iii. Discussion with Council engineers to establish an agreed FoS
2.C.2
Risk Classification Guideline
Risk Classification for Sites Subject to Instability

(This table has been produced to provide a simplified classification which can be readily
understood by a lay person and to provide a uniform code of terms for geotechnical
professionals)
Table 2.C.2 Risk Classification*
RISK
Evidence/Type of
Consequences of

Implications for
Extent of
Page 33 of 40
Instability
Instability
development
Very
High
Evidence of active or
historic instability
landslide or rock face
failure, extensive
instability may occur
within site or beyond site
boundaries
High risk of loss of

life. Catastrophic or
extensive
significant damage
or economic loss
Unsuitable for
development unless
major geotechnical
work can
satisfactorily
improve stability.
Risk after
development may
be higher than
normally accepted
(includes Section
36(2))
Extensive
geotechnical
investigation
required
High
Evidence of active
creep, ancient instability,
potentially
progressive/regressive/
minor slips or minor rock
face instability,
significant instability may
occur during and after
extreme climatic
conditions and may
extend beyond the site
boundaries
Low risk of loss of

life. Significant
damage or
economic loss
Development
restrictions and/or
geotechnical works
required. Risk after
development may
be higher than
normally accepted
(may include
Section 36(2))
Engineering
Geological
assessment,
drilling
investigation
required
Virtually nil risk of

loss of life.
Moderate damage
and economic loss
Development
restrictions may be
required.
Engineering
practices suitable to
hillside construction
necessary. Risk
after development
generally no higher
than normally
accepted
Visual
assessment.
Hand an d
possible drill
investigation
methods
Medium Evidence of possible soil

creep or a steep soil
covered slope;
significant instability can
be expected if the
development does not
have due regard for the
site conditions
Investigation
Low
No evidence of instability
observed; instability not
expected unless major
site changes occur
Minor damage,
limited to site
unless major
development
occurs
Good engineering
practices suitable
for hillside
construction
required. Risk after
development
normally acceptable
Visual
assessment.
Possible hand
investigation
methods
Very
Low
Typically shallow soil

cover with flat to gently
sloping topography
Virtually nil
Good engineering
practices should be
followed
Visual
assessment
* Taken from Crawford and Millar Paper dated 1998 titled The Design of Permanent Slopes
for residential Developments. Table 1.

Page 34 of 40
Schedule 2D: Checklist

Page 35 of 40
Schedule 2E: Soil Strength Parameters

Soil strength parameters adopted by the geo-professional shall be based on site
investigation.
These tabulated soil strength parameters for cohesive soils reflect values
often reported on for Waitemata Group materials and adopted in the Auckland region but are
not necessarily acceptable for any specific site. The values will give geo-professionals a
sense of when Council may request more comment. Generally, in the event that the adopted
values are less conservative than tabulated in this schedule, the reasons should be outlined
in the geotechnical report. Examples of soils outside the guidance of this schedule include
Waitakere cemented volcanics and Northland Allochthon.
Cohesive Soils
Natural Soils
Soil
Consistency
(silts/clays)
Density
(kN/m3)
Cu
(kPa)
(Blows / 300mm)
Hard
>200
30
Very Stiff
100-200
Scala
Penetrometer
C
(kPa)
(degree)
>10
10
34
15-30
5-10
32
50-100
8-15
2.5-5
30
Firm
25-50
4-8
1-2.5
28
Soft
12-25
2-4
0.5-1
26
Very soft
<12
20-22
Stiff
SPT
(Blows / 150mm)
17.5
Engineered Soils
Description
Engineered Fill
Density
18.5kN/m
Shear Keys
Cu
100
32
120
10
35
Guidance for Engineered Fill Specifications

Description
Air Voids Percentage (1)
Undrained Shear Strength
Max Single
Value
Average
Value
Minimum
Single Value
Average
Value (2)
General Fill
12%
10%
110 kPa
140 kPa
Fill slopes / Shear

Keys (3) / within
500mm of
carriageway
subgrade
10%
8%
120 kPa
150 kPa
Note: Project risk assessment and/or design requirements may lead to stricter fill
specification criteria

Page 36 of 40
Footnotes:
1. Refer also NZS4402.1986, NZS4407:1991 (nuclear densometer test method) and
NZS4431:1986 for guidance on specifications and test methodologies.
Fill
specifications will commonly include additional test criteria
2. One set of tests per 500 m3 of fill; average of four tests within 1m of each other,
frequency could be adjusted for larger bulk earthworks projects.
3. Specifications for shear keys could vary according to the design width of the key. The
table also excludes guidance in respect of granular fill.

Page 37 of 40
Schedule 2F: Geothermal Areas In Auckland

(Guideline only)
Whitford
Geothermal
Area. Extends
westwards but
is deepening
(100 metres
plus)

Page 38 of 40
Parakai
Geothermal
Area. Potential
risk to
foundations in
Spring Road as
geothermal
gradient close
to surface

Page 39 of 40
Geothermal
Area at
Waiwera

Page 40 of 40

Earthworks and Geotechnical Code of Practice - Auckland

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What are the objectives of the code of practice?

What are the objectives of the code of practice?

What factors need to be considered in the design phase?

What factors need to be considered in the design phase?

Auckland Council

Auckland Council Code of Practice for Land Development and Subdivision

Auckland Council Code of Practice for Land Development and Subdivision

SECTION 2: EARTHWORKS AND GEOTECHNICAL REQUIREMENTS

The assessment of land stability requires specialist expertise.

The construction of earthworks associated with any development requires initial

Land development and/or subdivision is being undertaken.

In setting design, construction requirements, or development limitations the designer shall

A selection of useful guidance material on geotechnical and geomechanical issues in land

Unitary Authorities Requirements

Auckland Council Code of Practice for Land Development and Subdivision

For subdivisional development it is an expectation of Council that design outcomes will

The design process shall include, but not be limited to:

Auckland Council Code of Practice for Land Development and Subdivision

Identification of special features to be retained/protected

Low impact design considerations

Selection of the choice of landform

Stability assessment including underlying structural geology

Assessment of special soil types where applicable

Setting of compaction standards for fill material

Erosion, sediment, and dust control

Geothermal issues where applicable

Preliminary Site Evaluation

Low Impact Design:

Auckland Council Code of Practice for Land Development and Subdivision

h. Other reporting formats

The minimisation of the risk of damage to property occurring through ground

The minimisation of the risk of damage to property occurring through flooding, or

The development of a desirable roading pattern with good accessibility to and

The enhancement of the general environmental character of the area

Visual/site appraisal conducted by an experienced geo-professional is an invaluable

Existing site conditions (alignments of buildings, foundation types, trees, fences,

Geomorphological features (Scarps, toe heave, hummocky surfaces, etc).

Special Soil Types

Soils with high shrinkage and expansion

Auckland Council Code of Practice for Land Development and Subdivision

Soils subject to liquefaction

Soils prone to dispersion (such as loess)

Highly sensitive (or quick) soils

Compaction Standards for Fill Material

Erosion, Sediment, and Dust Control

Auckland Council District Plan, Auckland Council Regional Plan

Technical Publication 90 Erosion and Sediment Control Guidelines for Land

Related conditions of any issued Resource consent

New Zealand Building Code, Clause E1 Surface Water

Erosion control mechanisms:

Temporary drains to be constructed at the toe of steep slopes to

Surface water to be diverted away from or prevented from discharging

The upper surface of fills to be shaped and compacted with rubber-tyred

The completed battered surfaces of fills to be topsoiled and vegetated, or

Control of erosion and sediment discharge may require planting,

Dust control may require frequent watering during construction along

Sediment management devices:

The surfaces of fills and cuts to be graded to prevent ponding