10/12/2011

Contents

EngineersIrelandSoutheastRegion
KilbrideTheatre,Ormonde Hotel,Kilkenny

IntroductiontoAGEC
TypesofGeotechnicalRisk(Typical)
ReasonsforManagementofGeotechnicalRisk GeneralandStatutory

ManagementofGeotechnicalRisk

TypicalExamplesofGeotechnicalRisk
ManagementofGeotechnicalRisk:RiskRegister

DrPaulJennings
AppliedGroundEngineeringConsultants(AGEC)Ltd
www.agec.ie

QuestionsandAnswers.

Thursday1December2011

IntroductiontoAGEC
AGECisanindependentIrishcompanyformedinApril2001to
providegeotechnicalconsultancyservices
AGEC
AGECprovidesspecialistgeotechnicalengineeringadviceto
provides specialist geotechnical engineering advice to
consultants,contractors,privateclientsandlocalauthorities,
particularlyforinfrastructureandrenewableenergyprojects
Mainareasofgeotechnicalexpertiseinclude:

GeotechnicalDueDiligence&Managementofgroundinvestigations
Foundationdesign
Designofretainingstructures
Earthworksdesign
Stabilityassessmentofsoil&rockslopes
Procurementandmanagement
Sitesupervision
Specialisttechnicaladvice
Contractualadvice
Expertwitnessadvice.

TypicalGeotechnicalRisks
SlopeInstability
Settlement
Subsidence(subsurfacevoids)
Groundwater
Chemicallyreactiveground
Contamination
Unforeseengroundconditions(extent,type)
f
d
di i
(
)
Inadequategeotechnicalinvestigation
Inappropriatedesign.

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ReasonsforManagementofGeotechnicalRisk General

ReasonsforManagementofGeotechnicalRisk

Healthandsafety,environment,quality,programmeandcost

Groundconditionsarealwaysuncertain
Compliancewithstandardsreducesgroundriskbutdoesnot
eliminategroundrisk
Groundrelatedriskgenerallyhaveasignificantimpact

Highlyvariablenatureoftheground

Soil/rockmechanicsengineeringisgoodbutaccuracycanbepoor

Multiplehazards(shearfailure,deformation,groundwater,chemically
reactive,obstruction,etc)

Unforeseengroundconditionsinearlystagesofworks(delaysfollowingworks)

In
ncreaseprojectcostandd
delay

TotalIncreaseinConstruction
nCost(%)

100

Groundrelatedrisksaffectandinfluencemanypartsofaproject

80

60
Typicalupperbound

40

20

0
0

1
2
3
4
5
6
7
8
9
10 11
GroundInvestigationCost/TenderConstructionCost(%)

12

Reducedcostongeotechnicalstudies
Source:UKHighwaysAgencyprojects(1994)

ReasonsforManagementofGeotechnicalRisk
StatutoryFramework(PSDP)

ReasonsforManagementofGeotechnicalRisk
StatutoryFramework(Designer)

UnderSafety,HealthandWelfareRegulations(1)thereisa
requirementtoappointaProjectSupervisorDesignProcess(PSDP)
DutiesofPSDPwithrespecttorisk/hazardmanagement:
D ti
f PSDP ith
t t i k/h
d
t

UnderSafety,HealthandWelfareRegulations (1)thedesignerhas
definedduties
Dutiesofdesignerwithrespecttorisk/hazardmanagement:
D i
fd i
ih
i k/h
d

Identifyhazardsarisingfromthedesign/technical/organisational/planning/timerelated
aspectsoftheproject
Wherepossibleeliminatethehazardsorreducetherisk
Communicatenecessarycontrolmeasures,designassumptions,orremainingrisksto
thePSCS(sotheycanbedealtwithintheS&HPlan)
PrepareS&HplanforanyprojectwherethereisaParticularRisk(2)(orconstructiontakes
>500persondaysor30workingdays)
Roleextendsbeyonddesignstageintemporaryworksduringconstruction

OtherdutiesofPSDP:

Organisecooperationbetweendesigners
Prepareasafetyfileforthecompletedstructureandgiveittotheclient
NotifytheAuthorityandclientofnoncompliancewithanywrittendirectionsissued
Issuedirectionstodesignersorcontractorsorothers

Identifyanyhazardsthatyourdesignmaypresentduringconstructionandsubsequent
maintenance
Wherepossibleeliminatethehazardsorreducetherisk
Communicatenecessarycontrolmeasures,designassumptionsorremainingriskstothe
PSDPsotheycanbedealtwithintheS&HPlan

Otherdutiesofdesigner:

CooperatewithotherdesignersandthePSDPorPSCS
Takeaccountofanyexistingsafetyandhealthplanorsafetyfile
y
g
y
p
y
ComplywithdirectionsissuedbythePSDPorPSCS
WherenoPSDPhasbeenappointed,informtheclientthataPSDPmustbeappointed

(1) Safety,HealthandWelfareatWork(Construction)Regulations2006(S.I.No.504of2006)
(2) Forexamplewithrespecttotheground:Schedule1,Item1(b)and(c)stateparticularriskdueto(b)burialunder
earthfallwheretheriskisparticularlyaggravatedbythenatureoftheworkorprocessesusedorbythe
environmentattheplaceofwork

(1)Safety,HealthandWelfareatWork(Construction)Regulations2006(S.I.No.504of2006)

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SlopeInstability Landslides

SlopeInstability LandslidesandRunout
Peat

Rockwiththinsoilcover
Till(sandstone)

Till(metamorphic)

SlopeInstability PeatFailures

SlopeInstability PeatFailures
Ballincolligfailure(2008)

Multipletensioncracks

200m

Partiallydetachedpeatraft
Maindebristrack
Generalslopeinclination4degrees
Temporaryroadconstructioninpeat
Areaofworkedblanketpeat

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SlopeInstability PeatFailures

SlopeInstability PredictingPeatFailure

R314road

Glenglasserafailure(1986)

Depositionarea/debristrack
Generalslopeinclination5degrees

1550m
Largepartiallydetachedpeatraft
Roadlayout

Maindebristrack

Headwardextensionintoforestry
Tensioncracks

SlopeInstability

Windturbinelocation

Hydrological/environmentalbuffer

SlopeInstability AnecdotalInformation

PreliminaryStage
Identifygeneralgeotechnicalconditions(eginitialwalkover
survey)
Certain soil types more prone to instability (eg peat)
Certainsoiltypesmorepronetoinstability(egpeat)
Examineavailablelandslidedatabases
Areasofpreviousfailuresindicatepossiblefuturefailure(eg.
anecdotalinformation)
Avoidsteepground(butpeatwillfailat4degrees!)
Avoidrunouttracksoflandslidedebris(severalkilometres!)
g
g
DetailedDesignStage
Detailedwalkoversurvey
Detailedgroundinvestigation
Detailedanalysisandstabilityassessment
Appropriatedesign,mitigation,zonation

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SettlementandSubsidence Karst

SettlementandSubsidence KarstExample

E i ti
Existinggroundsurface
d f

Soilarcheventually
collapsescausing
subsidenceatsurface

Dropoutsinkholesformasa
cavitymigratesupfromrockhead
withtimeasmaterialiscarried
fromthesoilintothelimestone
rockbymovementof
groundwater

Soil

Rockhead

Voidin
limestone
rock

SettlementandSubsidence KarstExample

Limestone

SettlementandSubsidence MineCollapseExample

Planofaqueduct

SUBSURFACELASERSCANNINGLTD.

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SettlementandSubsidence

ChemicallyReactiveGround

PreliminaryStage
Examineavailabledatabases(GSIkarst,EPAsoilsmaps,miningrecords,
anecdotalinformation)
yg
/
g/
g
( g
Identifygeneralkarst/mining/softgroundconditions(egwalkover
survey)
Certainsoil/rocktypesmorepronetosettlement/subsidence
Areasofprevioussubsidenceindicatepossiblefutureproblems
Avoidareasofhighpotentialsettlement/subsidence(maynotbe
practical)
Associatedrisks flooding,radon
DetailedDesignStage

Chemicallyreactivegroundcanbeeither:
Brownfieldsites(egindustrialsites,landfills)
Greenfieldsites(egnaturallyoccurring)
Green field sites (eg naturally occurring)
Commonpotentialissues:
Acidity(pHvalue)
Chlorides
Sulphatesandsulphides
Industrial/domesticcontamination
Industrial/domestic contamination

Detailedwalkoversurvey
Detailedgroundinvestigation,geophysics,subsurfacesurveying
Detailedanalysisandassessmentofsettlement/subsidence
Appropriatefoundationdesign,mitigationandzonation

ChemicallyReactiveGround

ChemicallyReactiveGround

Sulfides
WellknownsulfideisIronSulfide (FeS2)orpyrite
Pyritehasreceivedmuchpressinrecentyearsbecausethe
mineralhasbeenfoundinthesubfloorfillofdamaged
housesinNorthCountyDublin
MostlimestoneandcalcareousmudstonerocksinDublin
andneighbouringcountiescontainpyrite
Oxidisationofpyritecanhavethefollowingnegative
consequences
Groundwatercanbepollutedwithsulfuricacid
G
d
b
ll d i h lf i
id
Sulfuricacidcanattackconcreteandsteel
Concretemaybesubjecttosulfateattack
Growthofexpansivecrystals(gypsums)heave

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ChemicallyReactiveGround

ChemicallyReactiveGround

ChemicallyReactiveGround

InadequateGeotechnicalInvestigation

PreliminaryStage
Examineavailabledatabases(GSI,EPAsoilsmaps,historicalrecords)
Identifygeneralareasofreactivegroundconditions(eginitialwalkover
survey)
Certainsoil/rocktypespronetoproducingreactivegroundconditions
Anecdotalinformation
Areasofpreviousproblemsindicatepossiblefutureproblems
Avoidareasofhighpotential(maynotbepractical)
Largescalepeatslide

Detailed Design Stage

DetailedDesignStage
Detailedwalkoversurveyandmappingofexposures
Detailedgroundinvestigationincludingpetrographicanalysis
Appropriatefoundationdesign,specificationandmitigation
Original:731GIlocations(mostlyprobes)in345hasite=2perha
Final:5808GIlocationsin345hasite=17perha

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InappropriateDesign PitCollapse

InadequateGeotechnicalInvestigation

Employeekilledwhentrialpitcollapsed
Loneworkinginunsupportedpit

Aimofgeotechnicalinvestigation:
toestablishthesoil,rockandgroundwaterconditions,todeterminethepropertiesofthesoilandrock,andto
gatheradditionalrelevantknowledgeaboutthesite.

ProsecutionofEmployerunder2007CorporateManslaughterAct(UK)
p y
p
g
( )

Spacinganddepthofgroundinvestigation:
S i
d d th f
di
ti ti
Source
ISEN19972:1997(Eurocode7,
Part2,AnnexB3)

BS5930:1999,CodeofPracticefor
SiteInvestigations,clause12.6
Spacing
HighwaysAgency(1997),clause
2.30

Quotation/Reference
forhighriseandindustrialstructures,agridpatternwithpointsat15mto40m
distance
forlinearstructures(roads,railways,channels,pipelines,dikes,tunnels,retaining
walls),aspacingof20mto200m
Althoughnohardandfastrulescanbelaiddown,arelativelyclosespacingbetween
pointsofexploratione.g.10mto30misoftenappropriateforstructures.
Nohardandfastrulescanbegivenforthedepthandspacingofexploratoryholes.
Thiswilldependonthespecificcircumstancesofeachsiteandtheamountand
qualityofexistinginformation.SomeguidanceisgiveninBS5930.Theselection
criteriaforthedepthandspacingofexploratoryholesshouldalwaysbetoensure
thatsufficientinformationisobtainedtoenabletheproposedworkstobe
adequatelydesigned.

Typeofgeotechnicalinvestigation

seeforexampleISEN19972:1997(Eurocode7,Part2)

ManagementofRisk:GeotechnicalRiskRegister(GRR)

ExampleofGeotechnicalRiskRegister
No.

Hazard

Cause

Potential Impact

Category

GRRcomprisesalistofgeotechnicalhazardsandriskcontrol
measures attachedtovariouselementsoftheproposedrouteat
any project stage (eg route selection/pre planning planning
anyprojectstage(egrouteselection/preplanning,planning,
design,constructionandoperation)
Asubjectivequalitativescaleisusedtodefinerisk
Hazardsareratedintermsofhowlikelytheyaretooccur(the
Probability)andtowhatdegreetheywouldaffecttheproject(the
Impact)
Thedegreeofriskisdeterminedbycombiningtheprobabilityand
impact assessments:
impactassessments:
Risk=Probability Impact
R=P I
Clayton,CRI(2001).ManagingGeotechnicalRisk ImprovingProductivityinUKBuildingandConstruction.PreparedundertheDETR
PartnersinTechnologyprogrammefortheInstitutionofCivilEngineers.ThomasTelford,London.

Liquefaction of
1. High/rising tidal
base of excavation waters causing
liquefaction (quick
conditions) of sand in
Sand / subsoil
mixing with water excavation base
and forming liquid 2. Inadequate site
investigation
material.
information
3 IInadequate
3.
d
t design
d i
and understanding of
ground conditions
4. Improper
construction

Escape of
potential
contaminated
water from works
into surface water
channels
Possible
contaminants
from leakages,
spills or
fines/suspended
solids

Specific

Risk Rating

Risk Control Measure (RCM)

Design Control

1. Health & Safety

2. Programme
3. Cost

1. Risk of death or
injury by drowning
2. Damage to plant
3. Loss and
cessation of works

1. Review of previous excavations in the

locality and in similar ground
2. Detailed site investigation to include trial
trenches to expose soils
3. Boreholes and trial pits to be taken
below base of excavation
4. Specify method statement from the
Contractor for working in tidal sands and
check
h k th
thatt he
h iis ffully
ll cognisant
i
t with
ith ground
d
conditions
5. Check of implications of over-excavation
6. Check requirement to have ballast stone
available to place in base of excavation

1. Extended periods of
wet weather and
under-design of
temporary pumping
2. Over-pumping of
excavation into
surface water channel.
3. Potential
contamination from
run-off from works
4. Potential
contamination from
backfill material

1. Environmental

1. Risk of
contamination of
surface water

12

1. Walk-over survey to identify areas

where greater risk of water entering works
and becoming contaminated
2. Detailed site investigation to include trial
trenches to expose soils and monitoring of
groundwater along route
3. Spillages from plant - addressed in
environmental impact statement
4. Consider limiting the extent of
works/excavation opened in sensitive
areas
5. Specify method statement from
contractor that clearly demonstrates their
awareness of this issue
6. Identify any sensitive receivers along
route

1. Carry out extensive site investigation.

2. Walk-over survey of route to identify
areas of variable ground (e.g. shallow rock,
till, peat/organic clay)
3. Selection of conservative design
parameters to allow for variable conditions
on site
4. Require detailed construction method
statement that clearly demonstrates
understanding of the ground conditions and
risks involved
5. Monitoring and observation method
proposed as part of construction controls
1. Carry out extensive site investigation
2. Walkover survey of route to identify
areas of variable ground (e.g. shallow rock,
till, peat/organic clay)
3. Detailed method statement to be
prepared with respect to excavation

Unexpected hard
obstructions in
excavations, e.g.
boulders, rock
outcrops

1. Ground conditions
differing from those
indicated from site
investigation
2. Inadequate site
investigation
information

1. Programme
2. Cost

1. Delays to works
2. Increased noise
levels due to
additional rock
breaking
requirements

Open excavations
and holes filled
with disturbed
peat

1. Excavation works
2. Displacements and
slides
3. Improper
construction methods

1. Health & Safety

2. Environmental
3. Programme
4. Cost

1. Risk of death or
injury from falling
into excavation
2. Damage to plant

15

Construction / Operations
Control

Risk Rating
after RCM

Contingency Measures

1. Site supervision staff to inspect

excavation daily
2. No/limited access into excavation
3. Areas of unexpectedly deep and weak
ground to be reported and await further
instruction
4. Works sequenced to tides and
weathered conditions
5 S
5.
Supervision
i i tto ensure construction
t ti
carried out as detailed in the method
statement
6. Limited exposure of excavation base
to avoid potential for base (liquefaction)
failure
1. Supervision staff to be fully briefed on
the ground conditions, design
requirements and construction
methodology
2. Supervising staff aware of weather
forecasts
3. Appropriate pumping facilities to be
put in place during the construction
phase and silt traps/bunds constructed
4. Temporary bunds and drains to be
installed as appropriate
5. Supervision to ensure construction
carried out as detailed in the method
statement
6. Measures to prevent
contamination/clean up contamination
before work continues

1. Stop works
2. Ballast stone to be placed in base of excavation
3. Ensure localised area made stable

1. Stop work
2. Environmental Manager to be notified immediately.
3. Establish if contamination includes oil / diesel
4. Identify source of contamination and solve problem
immediately as per EMP.
5. Oil contaminated water to be treated prior to discharge
(use oil interceptors if appropriate)
6. Excess water to be diverted into drainage channels
with filtration / sedimentation as required
7. Use simple and effective filtration measures to remove
particle load e.g. straw bales/terram in drainage channels
8. Sedimentation tanks to be used (and cascaded if
necessary)
9. Use adjacent areas within temporary working area as
natural filter in agreement with NPWS e.g. for high levels
of suspended peat
10. Reserve / additional pumping facilities to be available

1. Construction personnel briefed on

expected ground conditions
2. Reporting by site staff on change in
ground conditions from that predicted
3. Advance notice of change in predicted
ground condition to be fed to designers
4. Supervision to ensure construction
carried out as detailed in the method
statement

1. Stop works
2. Area to be assessed
3. Use rock breakers/non-explosive pre-splitting of rock
using expansive grouts or similar

1. Appropriate sequencing of works

2. Supervision of works by suitably
qualified person
3. Tool box talks to be carried out prior
to works
4. Ensure no excavations left open or
unprotected
5. Backfill to be with a suitable material
6. Supervision to ensure construction
carried out as detailed in the method
statement

1. Stop work
2. Backfill open excavations with stone
3. Over excavate disturbed peat localised area and
backfill with stone

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ContentofGeotechnicalRiskRegister(GRR)
Hazard

Cause

PotentialImpact
Category

Specific

RiskRating
P

RiskControlMeasure(RCM)
R

Hazards
Hazard&Cause

DesignControl

RiskRating
followingRCM

Construction/OperationsControl

ContingencyMeasures

Cause

PotentialImpact
Category

RiskControlMeasures(RCM)
g
DesignControl
Construction/OperationControl

RiskRatingfollowingRCM
P I=R

Hazard

RiskRating
P I=R

PotentialImpact

ExampleListofGeotechnicalHazards

1.
1
2.
3.
4.
5.
6.
7.
7
8.
9.
10.

RiskRating

Specific

RiskControlMeasure(RCM)
R

DesignControl

RiskRating
followingRCM

Construction/OperationsControl

ContingencyMeasures

SlopeInstability
Slope
Instability
Settlement
Subsidence(subsurfacevoids)
Groundwater
Chemicallyreactiveground
Contamination
Eroding/mobilegroundconditions(coastal/marine)
Eroding/mobile ground conditions (coastal/marine)
Unforeseengroundconditions(extent,type)
Inadequategeotechnicalinvestigation
Inappropriatedesign

ContingencyMeasures
*Anyhazardcanbesubdividedintermsofasubsetorgeographiclocation

PotentialImpact
Cause

PotentialImpact
Category

Specific

RiskRating
P

RiskControlMeasure(RCM)
R

DesignControl

Category:
Allhazardsbelongtoone
ofthefollowing
categories:

Health&Safety
H
lth & S f t
Environmental
Programme
Cost
Quality

RiskRating
followingRCM

Construction/OperationsControl

ContingencyMeasures

Hazard

Cause

PotentialImpact
Category

Examplesofspecifichazardsareas
follows:

Riskofinjuryordeath(Health&Safety)
Changeofhydrology(Environmental)
Collapseofexcavation(Programme)
Damagetoplant(Cost)

RiskRating

Specific

RiskControlMeasure(RCM)
R

DesignControl

RiskRating
followingRCM

Construction/OperationsControl

ContingencyMeasures

Probability
b bili
Impact=Risk
ik
P I=R

Specific:

1
IMPACT(I)

Hazard

RiskRating

2
3
4
5

PROBABILITY(P)
PROBABILITY(P)
1 2 3 4 5
1
Negligible
1 2 3 4 5
2
Possible
2 4 6 8 10
3
Likely
3 6 9 12 15
4
Probable
4 8 12 16 20
5
VeryLikely
5 10 15 20 25

IMPACT(I)
1

VeryLow

Low
Routine

Medium
RequiresAttention

High
Unacceptable
VeryHigh

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RiskControlMeasures
Hazard

Cause

PotentialImpact
Category

RiskRating

Specific

RiskControlMeasure(RCM)
R

DesignControl

Construction/OperationsControl

RiskRatingfollowingRCM
RiskRating
followingRCM
P

ContingencyMeasures

Hazard

Cause

PotentialImpact
Category

Iftheriskisdeemedexcessive,thenRiskControlMeasures(RCM)
arerequiredtolessentherisk
Thesecanbe:
Designcontrols:
eg.Detailedsiteinvestigation,locallyrerouting,micrositing

Specific

RiskRating
P

RiskControlMeasure(RCM)
R

DesignControl

Construction/OperationsControl

RiskRating
followingRCM
P

ContingencyMeasures

FollowingtheapplicationsoftheRiskControlMeasures,thedegree
ofriskisagainassessed
Ideally,theRiskingRatingshouldnowbetolerable

Constructionoroperationcontrols:
eg.Sitesupervisionstafftoinspectcriticalpylonlocations
RiskControlMeasuresmitigatetheProbabilityand/ortheImpact

Control&ReportingofGRR

ContingencyMeasures
Hazard

Cause

PotentialImpact
Category

Specific

RiskRating
P

RiskControlMeasure(RCM)
R

DesignControl

Construction/OperationsControl

RiskRating
followingRCM
P

ContingencyMeasures

ContingencyMeasuresarethenconsidered,shouldthehazard
occur,eg.
Stopworks
Monitorsituation
Theriskregisterisgenerallyalivedocument:asnewhazards,risk
controlmeasuresorcontingencymeasurespresentthemselves,
these should be added
theseshouldbeadded

TheGRRisakeymethodofcommunicationofriskbetween
thevariouspartiesatdifferentstagesoftheproject(egroute
selection preplanning
selection,pre
planning,planning,design,constructionand
planning design construction and
operation)
Geotechnicalriskmanagementshouldbeintegratedintothe
overallprojectmanagementprocess
Reviewandfeedbackallowscontinuousimprovementofthe
riskmanagementsystem

10

10/12/2011

Summary ManagementofGeotechnicalRisk

WorkedExamples PeatSlide
Hazard

Cause

PotentialImpact
Category

RiskRating

Specific

RiskControlMeasure(RCM)
R

DesignControl

Construction/OperationsControl

RiskRating
followingRCM
P

ContingencyMeasures

Groundconditionsarealwaysuncertain
Realistically,notallgroundriskcanbeavoidedoreliminated

PotentialImpact
Hazard
PeatSlide

1.Riskofdeathorinjurybyinundation
2.Environmentaldamage
3.Damagetopersons,plant,propertyandlivestock
4.Lossandcessationofworks
5.Adjacentlandaffectedduetopeat/groundmovement

RiskRating
2 5=10

Compliancewithstandardsreducesgroundriskbutdoesnot
eliminategroundrisk
Groundrelatedriskcangenerallyhaveasignificantimpact
Managementofgroundriskisessentialforsuccess:

RiskControlMeasures(RCM)
DesignControls(list)
Construction/OperationControls(list)

RiskRating
followingRCM
1 5=5

ContingencyMeasures

allowforsufficientbudget
usetherightmanagementstools
employappropriatespecialists

1.Stopworks
2.Usesheetpilingtostopgroundmovements
3.Monitormovementsfollowinginstallationofsheetpilesuntil
movementshaveceased
4.Reducespeedofworks
5.Reduceexcavationlengthspriortobackfillingwithstone

Questions&Answers
ThankYou

11