PROFESSIONAL PRACTICE HANDBOOK FIRST EDITION, 1981 SECOND EDITION, 1985 Edited by Glenn A. Brown and Richard J. Proctor THIRD EDITION, 1993 Edited by Seena N. Hoose Special Publication #5 ASSOCIATION OF ENGINEERING GEOLOGISTS 1993 PROFESSIONAL PRACTICE HANDBOOK FIRST EDITION, 1981 SECOND EDITION, 1985 Edited by Glenn A. Brown and Richard J. Proctor THIRD EDITION, 1993 Edited by Seena N. Hoose Special Publication #5, Association of Engineering Geologists Available from: AEG Executive Director Edwin A. Blackey, Jr. 323 Boston Post Road, Suite 2D Sudbury, MA 01776 (508) 443-4639 Price $35.00 Library of Congress Catalog Card No. 01-67376 COPYRIGHT, 1981, 1985, 1993, ASSOCIATION OF ENGINEERING GEOLOGISTS ALL RIGHTS RESERVED PREFACE TO THE FIRST AND SECOND EDITIONS AEG PROFESSIONAL PRACTICE GUIDELINES More than half of the members of the Association of Engineering Geologists practice in the private sector, and many may not be aware of the legal implications in their work (geologists do get sued!). The information presented herein is directed not only to the veteran practitioners, but also will provide a valuable perspective to those just entering the profession. We opted to provide a loose-leaf binder so that users may conveniently insert articles and other information under the appropriate headings. The idea for these Guidelines originated at the AEG Board of Directors meeting held in conjunction with the 1978 Annual Meeting in Hershey, Pennsylvania. Here, Mavis D. Kent of Oregon expressed concern to then-President Richard J. Proctor about the lack of any guidelines or standards for the professional practice of engineering geology. The Oregon legislature had just approved registration for geologists and she felt that most practicing geologists were unaware of the legal ramifications that professional registration brings. She expressed her willingness to help prepare a manual or guidelines on professional practice. Mr. Proctor agreed and asked her to chair the Professional Practice Committee, with the main goal of identifying contributors for preparation of this publication. This manual is the first step in summarizing some of the problems, standards, and pitfalls connected with the practice of engineering geology. We welcome your comments on this first edition. Glenn A. Brown Richard J. Proctor Editors Los Angeles, California July 1981 Revised 1985 There is no intent, stated or implied, with these Guidelines to prohibit commercial advertising, price competition, or solicitation in the sale of engineering services, and that such advertising, price competition, or solicitation is not unethical, unprofessional, or contrary to any policy of AEG. iii PREFACE TO THE THIRD EDITION AEG PROFESSIONAL PRACTICE HANDBOOK By the early 1990's many Engineering Geologists had begun to practice in the area of clean-up of contaminated soil and groundwater and in the siting of hazardous waste disposal facilities. As is always the case, laws and requirements were also changing. The intent of the Guidelines was to provide a dynamic document that would change with the times, hence this revision. The Committee on Ethics and Professional Practice felt that changing the title to "Professional Practice Handbook" would reflect the contents and purpose of the document more clearly. The loose-leaf format was retained for the same reason it was originally chosen, to allow you to add your own information to the various chapters. Two chapters were renumbered and the 1st and 2nd edition Chapter 2 is now Chapter 3; Chapter 3 is now Chapter 4. First edition Chapter 4, Communication, has been divided into the revised Chapter 3, Professional Liability, and Chapter 5, Project Control. An entirely new chapter, Chapter 2, on Standards and Guidelines has been added. Chapter 7, The Expert Witness and Litigation, has been essentially re-written. Chapter 9, References and Suggested Reading, has been retained and expanded, while a reference section has been added to each chapter. The contributors to the 3rd edition revision are identified on the title page of each chapter. Minor changes in wording were also suggested by C. Michael Scullin and R. Rexford Upp. Contributors to the First and Second Editions of the Professional Practice Guidelines have been listed on the first page of each chapter. The exception is Chapter 7 which was originally written by Eugene B. Waggoner, with the assistance of Stanfield Johnson on Suggestions for Witnesses. As with the previous editions of this handbook, your comments, recommendations, and improvements are earnestly requested by the committee. This handbook is only as useful as you make it. Seena N. Hoose Editor Cupertino, California September 1993 iv AIMS OF THE ASSOCIATION OF ENGINEERING GEOLOGISTS The aims of the Association are to advance Engineering Geology and to: ! promote public safety and welfare; ! promote public understanding and acceptance of the field of Engineering Geology; ! establish and maintain high ethical and professional standards; ! monitor legal or other developments that would affect the profession of Engineering Geology, to provide information on their potential effect, and to provide an organization for concerted action when desired; ! provide for discussion of subjects and problems within the field of interest of the Engineering Geology profession; ! provide a medium for distribution of information and technical papers of interest to engineering geologists; and ! encourage all qualified individuals and organizations interested in furthering the field of Engineering Geology to apply for membership. ENGINEERING GEOLOGY Engineering Geology is geologic work that is relevant to engineering, environmental concerns, and the public health, safety, and welfare. "Engineering Geology" is defined by the Association of Engineering Geologists as the discipline of applying geologic data, techniques, and principles to the study both of a) naturally occurring rock and soil materials, and surface and subsurface fluids, and b) the interaction of introduced materials and processes with the geologic environment, so that geologic factors affecting the planning, design, construction, operation, and maintenance of engineering structures (fixed works) and the development, protection, and remediation of ground-water resources, are adequately recognized, interpreted, and presented for use in engineering and related practice. The Engineering Geologist utilizes specialized geologic training and experience to provide quantitative geologic information and recommendations based on it, as well as judgmental recommendations. In recent decades the scope of Engineering Geology practice has grown beyond it original close connection to civil engineering practice. Engineering Geologists now work with and for land-use planners, environmental specialists, architects, public policy makers, and property owners to provide geologic information on which they base decisions. v Some of the major activities of Engineering Geologists include: 1. The investigation of foundations for all types of major structures, such as dams, bridges, power plants, pumping plants, airports, large buildings, and towers; 2. The evaluation of geologic conditions along tunnel, pipeline, canal, railway, and highway routes; 3. The exploration and development of sources of rock, soil, and sediment for use as construction material; 4. The investigation and development of surface and ground-water resources; ground-water basin management; protection and remediation of ground-water resources; 5. The evaluation of geologic hazards such as landslides, faults and earthquakes, radon, asbestos, subsidence, expansive and collapsible soils, expansive bedrock, cavernous rock, and liquefaction; 6. Evaluation of geologic conditions (including ground-water) affecting residential, commercial, and industrial land use and development. 7. Construction geology, including slope stability, dewatering, subdrains, grouting considerations, and excavatability; 8. Safe disposal of waste to the Earth; 9. Engineering Geologists participate in land-use planning, environmental impact report research, mined land reclamation, timber harvest planning, and insurance and forensic investigations. The Engineering Geologist, in cooperation with the civil engineer, bears an important share of the responsibility for the public health, safety, and welfare insofar as engineering works are affected by geologic factors. The engineering profession has distinctly and effectively met its responsibility to the public through state registration laws throughout the United States. The Association of Engineering Geologists has published a Suggested Geologists Practice Act to assist in achieving professional registration for geologists. The Association of Engineering Geologists is devoted to developing a spirit of professional responsibility on the part of Engineering Geologists. Through the Association, attention is focused on Engineering Geology and its expanding role. The Association seeks to maintain high professional standards and enhance awareness of the responsibility of the Engineering Geologist to the public in general. In the final analysis, Engineering Geology is people geology. Engineering Geology exists because people want to modify the geologic environment for their use and convenience, want to live in harmony with it, and occasionally manage to come into conflict with it. Helping people understand their geologic environment, accommodate themselves to it, and correct their geo-environmental mistakes, is what Engineering