3-Subsurface Investigations AASHTO 1988 PDF

ANUAL ON SUBUWACE
INVESTIGATIONS
1988
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Published
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444 North Officials cpitd streer, N.W., suite

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Copyright American Association of State Highway and Transportation
Provided by IHS under license with AASHTO
.& Licensee=Dept of Transportation/5950087001
No reproduction or networking permitted without license from IHS
r . washington, D.C. m
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AASHTO T I T L E M S I 88 Ob39804 O O L L b L 3 240
Special Instructions to
Manual on Subsurface Investigations
1988
Please insert Title Page and Pages i and ii behind inside red cover.
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Copyright American Association of State Highway and Transportation Officials

Provided by IHS under license with AASHTO Licensee=Dept of Transportation/5950087001
No reproduction or networking permitted without license from IHS Not for Resale, 04/17/2014 10:34:43 MDT
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A A S H T O T I T L E MSI 88 W 0637804 0011614 187 M
MANUAL ON SUBSURFACE
INVESTIGATIONS
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1988
Published by the American Association

of State Highway and Transportation Officials, Inc.
444 North Capitol Street, N.W., Suite 225
Washington, D.C. 20001
@Copyright, 1988, by the American Association of State Highway and

Transportation Officials. All Rights Resewed. Printed in the United
States of America. This book, or parts thereof, may not be reproduced
in any form without written permission of the publishers.

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A A S H T O T I T L E MSI 88 013 W
AMERICAN ASSOCIATION OF STATE HIGHWAY

AND TRANSPORTATION OFFICIALS
EXECUTIVE COMMITTEE
1987
President: John R. Tabb, Mississippi

Vice President: Leno Menghini, Wyoming
Elected Regional Members:
Region I Susan C. Crampton, Vermont
Kermit Justice, Delaware
Region II William S. Ritchie, Jr., West Virginia
Ray D. Pethtel, Virginia
Region III Warren Smith, Ohio
Wayne Muri, Missouri
Region IV E. Dean Tisdale, Idaho
Charles L. Miller, Arizona
Past Presidents:
Henry Gray, Arkansas
William S. Ritchie, Jr., Virginia
John Clements, New Hampshire
Richard A. Ward, Oklahoma
Thomas D. Moreland, Georgia
Darre11 V. Manning, Idaho
Robert H. Hunter, Missouri
Secretary of Trnrisporfatiori: Elizabeth Dole (Ex Officio)

Treasurer: Clyde Pyers, Maryland
Chairpersorts of the Standing Committees:
Duane Berentson, Washington, Standing Committee on Administration
Frederick P. Salvucci, Massachusetts, Standing Committee on Planning
Leo Trombatore, California, Standing Committee on Highways
Raymond H. Hogrefe, Nebraska, Standing Committee on Highway Traffic Safety
Franklin E. White, New York, Standing Committee on Water Transportation
C. Leslie Dawson, Kentucky, Standing Committee on Aviation
James Pitz, Michigan, Standing Committee on Public Transportation
Henry Gray, Arkansas, Standing Committee on Railway Conference
Sam W. Waggoner, Mississippi, Special Select Committee Conference of
Commissioners and Boards
Executive Director: Francis B . Francois, Washington, D.C. (Ex Officio)
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AASHTO T I T L E MSI 88 0639804 O O L L b L b T 5 T
AMERICAN ASSOCIATION OF STATE HIGHWAY

AND TRANSPORTATION OFFICIALS
HIGHWAY SUBCOMMITTEE ON MATERIALS
1987
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Chairman: Charles L. Miller, Arizona
(602) 255-7226
Vice Chairman: William T. Stapler, Georgia
(404) 363-7510
Secretary: Donald Fohs, FHWA
(703) 285-2001
Alabama, Larry Lockett, William E. Page New Hampshire, Philip E. McIntyre

Alaska, Doyle Ross New Jersey, E. R. Wokoun
Arizona, Gary L. Cooper, Charles L. Miller New Mexico, Doug Hanson
Arkansas, Ralph J. Hall New York, Donald N. Goeffroy,
California, Ray Forsyth James J. Murphy
Colorado, Frank Abel North Carolina, R. W. Reaves
Connecticut, Keith R. Lane, Charles E. Dougan North Dakota, Wilfred Wolf,
Delaware, Alfred D. Donofrio Robert T. Peterson
D.C., Virginia Mok Ohio, George C. Young, John T. Parton
Florida, Murray Yates, L. L. Smith Oklahoma, Jack Telford, Jim Garrett
Georgia, William T. Stapler Oregon, W. J. Quinn
Hawaii, Walter Kuroiwa Pennsylvania, William C. Koehler,
Idaho, E. V. Kidner Ronald Cominsky
Illinois, James G. Gehler Puerto Rico, Regis Deglans
Indiana, Robert L. Eskew Rhode Island, Steven Clarke
Iowa, Bernard C. Brown South Carolina, Richard L. Stewart
Kansas, Donald L. Jarboe South Dakota, Merle Buhler
Kentucky, R. A. Walsburger, John McChord Tennessee, Floyd Petty
Louisiana, Jarvis J. Poche Texas, Billy R. Neeley
Maine, Theodore H. Karasopoulos U.S. DOT, Richard E. Hay (FHWA),
Maryland, A. Haleem Tahir Richard J. Worch (FAA)
Massachusetts, Gino J. Bastanza Utah, Heber Vlam, William D. Hurley
Michigan, Paul Milliman, Ralph Vogler Vermont, John R. Phalen
Minnesota, Richard H. Sullivan Virginia, W. E. Winfrey
Mississippi, Walter S . Jordan Washington, A. J. Peters
Missouri, W. L. Trimm West Virginia, Donald C. Long,
Montana, Robert Rask Garland W. Steele
Nebraska, Eldon D. Orth, William Ramsey Wisconsin, George H. Zuehlke
Nevada, James Dodson Wyoming, Robert Warburton
AFFILIATE MEMBERS
Alberta, L. W. Nichols
Guam, Joseph S. Susuico
Korea, Jung Hoon, In-Gap Moon
Manitoba, F. Young
Mariana Islands, John C. Pangelinan
New Bxunswick, Gerard Keenan
Northwest Territories, P. Vician
Nova Scotia, F. Garvais
Ontario, Dave R. Brohm
Saskatchewan, Allan Widgur
ASSOCIATE MEMBERS
N.J. Turnpike Authority, Howard L. Byrnes
Mass. Metro. Dist. Comm., William F. Burke
Port Auth. of NY & N.J., Raymond Finnegan

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AASHTO T I T L E MSI 88 m Ob39804 O O L l b 1 7 9 9 6 m
CONTENTS
1.0 INTRODUCTION ...................................................................... 1

1.1 Purpose............................................................................ 1
1.2 Development of Manual ............................................................. 1
1.3 Summary .......................................................................... 1
2.0 SUBSURFACE DATA REQUIREMENTS ................................................ 3

2.1 General ........................................................................... 3
2.2 Data Requirements Common to Most Projects ......................................... 4
2.2.1 Definition of Stratum Boundaries .............................................. 4
2.2.2 Groundwater Level ........................................................... 4
2.2.3 Foundation Support ........................................................... 4
2.2.4 Settlement or Heave Potential ................................................. 5
2.2.5 Slope or Bottom Stability ..................................................... 5
2.2.6 Lateral Earth Pressure and Excavation Support .................................. 5
2.2.7 Dewatering .................................................................. 6
2.2.8 Use of Excavated Material .................................................... 7
2.3 Other Geotechnical Data Requirements ............................................... 7
2.3.1 Geologic Constraints ......................................................... 7
2.3.2 Seismic Evaluations .......................................................... 8
2.3.3 Corrosion or Decay Potential ................................................. 9
2.3.4 Frost Penetration and Freezing ................................................ 9
O 2.3.5 Soil Expansion or Swell ......................................................
2.3.6 Environmental Concerns .....................................................
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2.3.7 Erosion Protection ........................................................... 10
2.3.8 Permanent Groundwater Control .............................................. 10
2.3.9 Soil or Rock Modification .................................................... 10
2.3.10 Material Sources ............................................................ 12
2.3.11 Underpinning ............................................................... 12
2.3.12 Post-Construction Maintenance................................................ 12
2.4 Usual Data Requirements for Transportation ........................................... 12
2.4.1 Bridges and Viaducts ......................................................... 12
2.4.2 Retaining Structures .......................................................... 13
2.4.2.1 Conventional Retaining Walls .......................................... 13
2.4.2.2 Crib and Reinforced Earth Walls ....................................... 14
2.4.2.3 Diaphragm Walls ..................................................... 14
2.4.3 Cuts and Embankments ....................................................... 14
2.4.4 Roadway and Airfield Pavements. .............................................. 15
2.4.5 Railroad and Transit Tracks ................................................... 15
2.4.6 Tunnels and Underground Structures ...........................................
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15
,i 2.4.7 Poles. Masts and Towers ...................................................... 15
2.4.8 Culverts and Pipes ............................................................ 15
2.5 Maintenance Management ........................................................... 16
2.6 Rehabilitation Projects .............................................................. 16
2.7 Environmental Assessments .......................................................... 17
2.8 References .......................................................................... 18
3.0 CONDUCT OF INVESTIGATIONS ...................................................... 19

3.1 Transportation Project Planning ...................................................... 19
3.2 Alternate Route Selection ........................................................... 19
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Contents
3.3 Guidelines for Minimum Investigations ................................................ 20

3.4 Planning and Phasing ............................................................... 20
3.5 Conduct of Investigations ............................................................ 21
3.5.1 Literature Search (Review of Existing Information) .............................. 21
3.5.2 Study of Preliminary Plans.................................................... 21
3.5.3 Formulation of Tentative Field Exploration Plans ................................ 21
3.5.4 Field Reconnaissance ........................................................ 21
3.5.5 Field Geologic Mapping ...................................................... 22
3.5.6 Subsurface Explorations ...................................................... 22
3.5.7 Geophysical Surveys ......................................................... 22
3.5.8 Hydrogeological Surveys ..................................................... 22
3.5.9 Materials Surveys............................................................ 23
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3.5.10 Field Testing. ............................................................... 23
3.5.11 Laboratory Testing .......................................................... 23
3.5.12 Special Requirements ........................................................ 23
3.5.13 Photography ................................................................ 23
3.6 Reports and Drawings ............................................................... 24
3.7 Sources of Existing Data ............................................................ 24
3.7.1 USGS Quadrangle Maps ...................................................... 24
3.7.2 Bedrock and Surficial Maps ................................................... 25
3.7.3 Soil Survey Maps ............................................................. 25
3.7.3.1 Development of Soil Survey Maps in the U.S. ........................... 26
3.7.3.2 Soil Survey Mapping Philosophy ....................................... 26
3.7.3.3 Conversion of Soil Survey Classifications ................................ 27
3.7.3.4 Engineering Data from Soil Surveys .................................... 27
3.7.3.5 General Use of Soil Survey Data ....................................... 28
3.7.4 Other Sources of Information .................................................. 28
3.8 References ......................................................................... 28
4.0 FIELD MAPPING ...................................................................... 31

4.1 General ........................................................................... 31
4.2 Reconnaissance Mapping ............................................................ 31
4.2.1 Purpose ..................................................................... 31
4.2.2 Levels of Effort .............................................................. 31
4.2.3 Office Reconnaissance and Literature Search .................................... 31
4.2.4 Field Reconnaissance ......................................................... 32
4.2.5 Field Reconnaissance Report ................................................... 32
4.3 Engineering Geologic Mapping ....................................................... 32
4.3.1 Project Area Geologic Maps ................................................... 35
4.3.2 ROW Geologic Maps ......................................................... 35
4.3.3 Site Geologic Maps ........................................................... 35
4.3.4 Other Special Geologic Maps .................................................. 35
4.3.5 Integration with General Project Photointerpretation ............................. 36
4.3.6 Special Methods of Geologic Mapping .......................................... 36
4.3.6.1 Test Pits ............................................................. 36
4.3.6.2 Exploration Trenches ................................................. 36
4.3.6.3 Exploratory Shafts.................................................... 36
4.3.7 Rock Structure Mapping ...................................................... 37
4.3.8 Tunnel Silhouette Photography ................................................. 37
4.4 Materials Surveys ................................................................... 39
4.4.1 County Wide Material Surveys ................................................. 40
4.5 Remote Sensing .................................................................... 41
4.5.1 Types, Availability, Advantages and Limitations of Aerial Data .................... 41
4.5.1.1 Aerial Photography ................................................... 41
4.5.1.2 Satellite Imagery ..................................................... 42
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4.5.1.3 Infrared Imagery ..................................................... 43

4.5.1.4 Radar Imagery ....................................................... 43
4.5.2 Uses of Aerial Data .......................................................... 43
4.5.3 Image Interpretation .......................................................... 44
4.5.3.1 Orientation .......................................................... 45
4.5.3.2 Initial Scan of Imagery ................................................ 45
4.5.3.3 Compilation of the First Interpretation .................................. 45
4.5.3.4 Assessment of the First Interpretation .................................. 45
4.5.3.5 Field Verification ..................................................... 45
4.5.3.6 Finalization of the Photogeologic Interpretation .......................... 46
4.6 Keferences ......................................................................... 46
5.0 GEOLOGIC CONSTRAINTS ............................................................ 49

5.1 Providing Design-Related Data ....................................................... 49
5.2 Detection of Geologic Constraints .................................................... 49
5.3 Subsidence ......................................................................... 51
5.3.1 Fluid Withdrawal Effect ....................................................... 52
5.3.2 Mining Induced Subsidence .................................................... 53
5.3.3 Sinkholes .................................................................... 54
5.3.4 Growth Faults................................................................ 55
5.4 SlopeMoveInents ................................................................... 55
5.4.1 Classification of Slope Movements .............................................. 55
5.4.2 Detection of Movement-Prone Areas ........................................... 56
5.4.3 Geometry of Moving Slope Masses ............................................. 58
5.4.4 Causes of Slope Movement .................................................... 58
5.4.5 Data Requirements for Analysis and Treatment .................................. 58
5.5 Unstable Soil and Rock ............................................................. 60
5.5.1 Expansive Soil and Rock ...................................................... 64
5.5.2 Collapse-Prone Soil ........................................................... 71
5.5.3 Shale and Clay Shale ......................................................... 71
5.5.4 Sensitive Clay Soils., ......................................................... 73
5.5.5 Frost Heave Susceptibility ..................................................... 74
5.6 Flooding ........................................................................... 74
5.7 Erosion ............................................................................ 74
5.8 Keferences ......................................................................... 77
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6.0 ENGINEERING GEOPHYSICS .......................................................... 83
6.1 Use of Data ........................................................................ 84
6.2 Scheduling ......................................................................... 84
6.3 Presentation of Results .............................................................. 86
6.3.1 Site Locus Map .............................................................. 86
6.3.2 Investigation Plan Map ........................................................ 86
6.3.3 Data Results ................................................................. 86
6.4 Major Methods ..................................................................... 87
6.5 Seismic Metliods .................................................................... 87
6.5.1 Seismic Refraction Method .................................................... 88
6.5.1.1 Field Methods ....................................................... 88
6.5.1.2 Characterization of Rock Type ......................................... 90
6.5.1.3 Limitations .......................................................... 91
6.5.2 Seismic Reflection Methods .................................................... 91
6.6 Electrical Resistivity Methods ........................................................ 92
6.7 Gravity Method .................................................................... 93
6.7.1 Field Methods ............................................................... 95
6.7.2 Interpretation of Gravity Data ................................................. 95
6.8 Magnetic Methods .................................................................. 95

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6.9 Borehole Logging. .................................................................. 96

6.9.1 Electrical Methods ............................................................ 96
6.9.1.1 Borehole Resistivity .................................................. 97
6.9.1.2 Single-Point Borehole Resistivity ....................................... 97
6.9.1.3 Spontaneous Potential................................................. 97
6.9.2 Nuclear Methods ............................................................. 98
6.9.3 Sonic Methods ............................................................... 99
6.9.4 Mechanical Methods .......................................................... 100
6.9.5 Thermometric Methods ....................................................... 100
6.9.6 General Field Methods ........................................................ 100
6.9.7 Interpretation of Borehole Logs ................................................ 101
6.10 Dynamic Property Measurements ..................................................... 101
6.10.1 Uphole Survey ............................................................... 101
6.10.2 Downhole Survey ............................................................. 102
6.10.3 Crosshole Survey ............................................................. 102
6.11 Subaudible Rock Noise. ............................................................. 103
6.12 Borehole TV Cameras. .............................................................. 103
6.13 References ......................................................................... 103
7.0 SUBSURFACE EXPLORATION (Soil and Rock Sampling) ................................. 109

7.1 General Planning ................................................................... 109
7.2 Management and Supervision ........................................................ 110
7.3 Contracts and Specifications.......................................................... 110
7.3.1 Invitation to Bid ............................................................. 110
7.3.2 Proposal ..................................................................... 111
7.3.3 Contract Agreement .......................................................... 111
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7.3.4 General Conditions ........................................................... 111

7.3.5 Technical Specifications ....................................................... 111
7.3.6 Contract Award and Implementation............................................ 111
7.4 Exploration Program ................................................................ 111
7.4.1 Exploration Plan ............................................................. 111
7.4.2 Types of Borings ............................................................. 112
7.4.2.1 PilotBorings ......................................................... 112
7.4.2.2 Control Borings ...................................................... 112
7.4.2.3 Verification Borings ................................................... 112
7.4.3 Exploration Spacing .......................................................... 112
7.4.3.1 Subgrade Borings..................................................... 113
7.4.3.2 High Embankment and Deep Cut Borings .............................. 113
7.4.3.3 Specific Structure Borings ............................................. 113
7.4.3.4 Critical-Area Explorations ............................................. 113
7.4.3.5 Tunnel Borings ....................................................... 113
7.4.4 Exploration Depths. .......................................................... 114
7.4.4.1 Subgrade Borings..................................................... 114
7.4.4.2 High Embankment and Deep Cut Borings .............................. 114
7.4.4.3 Specific Structure Borings ............................................. 114
7.4.4.4 Critical-Area Explorations ............................................. 114
7.4.4.5 Tunnel Borings ....................................................... 114
7.4.5 Sampling Requirements ....................................................... 115
7.4.6 Right-of-Entry. Permits. and Utilities ........................................... 115
7.4.7 Borehole Location Tolerance ................................................... 115
7.4.8 Survey of Locations., ......................................................... 115
7.4.9 Drilling Equipment.. ......................................................... 116
7.4.10 Special Equipment ........................................................... 116
7.5 Exploration Methods. ............................................................... 116
7.5.1 Borehole Advancement ....................................................... 116
7.5.1.1 Displacement Borings ................................................. 116
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7.5.1.2 Wash Borings ........................................................ 117

7.5.1.3 Percussion Drilling .................................................... 117
7.5.1.4 Rotary Drilling ....................................................... 118
7.5.1.5 Auger Borings ....................................................... 119
7.5.1.6 Continuous Sampling ................................................. 120
7.5.2 Borehole Stabilization ......................................................... 121
7.5.2.1 Water Stabilization ................................................... 121
7.5.2.2 Mud Stabilization..................................................... 121
7.5.2.3 Air Stabilization ...................................................... 123
7.5.2.4 Casing Stabilization ................................................... 124
7.5.2.5 Grout Stabilization ................................................... 125
7.5.2.6 Freezing Stabilization ................................................. 125
7.5.3 Special Exploration Techniques ................................................ 126
7.5.3.1 Exploratory Probes ................................................... 126
7.5.3.2 Hand Explorations .................................................... 126
7.5.3.3 Test Pits ............................................................. 127
7.5.3.4 ODEX Drilling System ............................................. 127
7.5.3.5 Horizontal Drilling System ............................................ 129
7.5.3.6 Underwater Drilling Equipment. ....................................... 131
7.6 Overburden (Soil) Sampling ......................................................... 131
7.6.1 Wash Sampling ............................................................ 132
7.6.2 Split-Barrel or Split-Spoon Open Drive Sampling ................................ 132
7.6.3 Thin-Wall Tube Sampling...................................................... 135
7.6.3.1 Thin-Wall Open-Drive Sampler ........................................ 135
7.6.3.2 Mechanical Stationary Piston Sampler ................................... 136
7.6.3.3 Floating Piston Sampler ............................................... 136
7.6.3.4 Retractable Piston Sampler ............................................ 137
7.6.3.5 Hydraulic/Pneumatic Piston Sampler .................................... 137-
7.6.3.6 Bishop Sand Sampler ................................................. 138
7.6.3.7 Swedish Foil Sampler ................................................. 139
7.6.4 Rotary Core Barrel Sampling .................................................. 139
7.6.4.1 Denison Sampler ..................................................... 140
7.6.4.2 Pitcher Sampler ...................................................... 141
7.6.4.3 Triple Tube Conversion Core Barrel Sampler ............................ 141
7.6.5 Block Sampling .............................................................. 142
7.7 Rock Core Sampling ................................................................ 142
7.7.1 Rotary Core Barrel Types ..................................................... 143
7.7.1.1 NWD4 Double Tube Core Barrel ...................................... 144
7.7.1.2 NWM3 Triple Tube Core Barrel ......................................... 145
7.7.2 Specialty Core Barrel Types ................................................... 145
7.7.2.1 Wireline Core Barrel ................................................. 145
7.7.2.2 Calyx or Shot Core Barrel ............................................. 146
7.7.2.3 Steel Tooth Cutter Barrel ............................................. 146
7.7.2.4 Percussion Core Barrel ................................................ 147
7.7.3 Integral Sampling Method (ISM) ............................................... 147
7.7.3.1 The LNEC Integral Sampling Method ................................... 148
7.7.3.2 The CISR Integral Sampling Method ................................... 149
7.7.3.3 ISM Application Considerations ........................................ 149
7.7.4 Rock Structure Orientation Methods ............................................ 150
7.7.4.1 Physical Core Alignment Methods ...................................... 151
7.7.4.2 Orienting Core Barrels ................................................ 151
7.8 Exploration Difficulties .............................................................. 152
7.8.1 Sample Recovery ............................................................. 152
7.8.2 Sample Disturbance .......................................................... 152
7.8.3 Obstructions ................................................................. 153
7.8.4 Specific Geologic Problem Conditions ........................................... 153
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7.8.5 Groundwater Conditions ...................................................... 154

7.8.6 Borehole Sealing ............................................................. 154
7.9 Sample Preservation and Shipment.................................................... 154
7.9.1 Jar Samples .................................................................. 154
7.9.2 Thin-Wall Tubes.............................................................. 155
7.9.2.1 Cohesive Samples .................................................... 155
7.9.2.2 Granular Samples .................................................... 155
7.9.3 Rock Core ................................................................... 156
7.9.3.1 Selection of Rock Core Test Specimens ................................. 157
7.9.4 Bulk Samples ................................................................ 157
7.9.5 Environmental Test Samples ................................................... 158
7.9.6 Non-Containerized Samples.................................................... 158
7.10 Photographic Record ................................................................ 158
7.11 Supervision and Inspection of Subsurface Explorations .................................. 159
7.11.1 Duties and Responsibilities of Logging Personnel. ................................ 159
7.11.2 Logging ..................................................................... 160
7.11.2.1 Equipment and Supplies .............................................. 160
7.11.2.2 Format and Field Boring Log .......................................... 161
7.11.2.3 Field Boring Log Data ................................................ 161
7.12 Improper Drilling Techniques ........................................................ 161
7.13 References., ....................................................................... 162
8.0 HYDROGEOLOGY .................................................................... 175

8.1 Terminology........................................................................ 175
8.1.1 Aquifer ..................................................................... 175
8.1.2 Artesian ..................................................................... 175
8.1.3 Groundwater ................................................................ 175
8.1.4 Hydraulic Conductivity. ....................................................... 176
8.1.5 Permeability ................................................................. 176
8.1.6 Porosity ..................................................................... 176
8.1.7 Potentiometric Surface ........................................................ 177
8.1.8 Storage Coefficient ........................................................... 177
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8.1.9 Transmissivity., .............................................................. 177
8.1.10 Unconfined .................................................................. 177
8.1.11 Water Table ................................................................. 177
8.2 Use of Hydrogeologic Material ....................................................... 177
8.2.1 Environmental Effects of Construction .......................................... 180
8.3 Data Acquisition ................................................................... 180
8.3.1 Observation Wells ............................................................ 181
8.3.2 Piezometers.. ................................................................ 182
8.4 Data Analysis ...................................................................... 183
8.4.1 Potentiometric Surface ........................................................ 183
8.4.2 Flow Nets ................................................................... 183
8.5 Scheduling ......................................................................... 184
8.6 Presentation. ........................................................................ 184
8.7 References ......................................................................... 185
9.0 LABORATORY TESTING OF SOIL AND ROCK ......................................... 187

9.1 Requirements of the Laboratory ...................................................... 187
9.1.1 Equipment .................................................................. 187
9.1.2 Personnel .................................................................... 187
9.1.3 Quality Assurance Control .................................................... 188
9.2 Planning Project-Related Test Programs ............................................... 188
9.3 Sample Handling ................................................................... 188
9.3.1 Storage and Preparation ....................................................... 188
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9.3.2 Disturbance.................................................................. 189

9.3.2.1 Changes in Stress Conditions ..........................................
O 9.3.2.2 Changes in Water Content and Void Ratio ..............................
189
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9.3.2.3 Disturbance of the Soil Structure. ...................................... 189
9.3.2.4 Chemical Changes .................................................... 189
9.3.2.5 Mixing and Segregation of Soil Constituents ............................. 190
9.3.3 Undisturbed Soil Samples ..................................................... 190
9.4 Laboratory Aspects of Soil Classification .............................................. 190
9.4.1 Grain Size Analysis ........................................................... 190
9.4.2 Liquid and Plastic Limits ...................................................... 191
9.4.2.1 Correlation with Various Properties ..................................... 191
9.4.2.2 Other Controls Over Atterberg Limits .................................. 191
9.4.3 Specific Gravity .............................................................. 191
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9.5 Shear Strength ..................................................................... 192

9.5.1 Loading Devices ............................................................. 192
9.5.2 Direct Shear ................................................................. 192
9.5.3 Unconfined Compression Test ................................................. 193
9.5.4 Triaxial Compression Test ..................................................... 193
9.5.4.1 Unconsolidated Undrained Test ........................................ 194
9.5.4.2 Consolidated Undrained Test .......................................... 194
9.5.4.3 Consolidated Drained Tests ............................................ 195
9.5.5 Laboratory Vane Shear ....................................................... 195
9.6 Consolidation ...................................................................... 195
9.6.1 Consolidation Tests ........................................................... 196
9.6.2 Presentation of Consolidation Test Data ......................................... 196
9.7 Permeability ....................................................................... 197
9.7.1 Constant Head Test ............................................................ 197
O 9.7.2 Falling Head Test. ............................................................
9.8 Swelling and Collapse Potential .......................................................
197
198
9.8.1 Soil Suction (Thermocouple Psychrometer) Test. ................................. 198
9.8.2 Oedometer Swell Test ......................................................... 198
9.9 Compaction Test .................................................................... 200
9.10 Laboratory Bearing-Ratio Test ....................................................... 200
9.11 Dynamic Properties ................................................................. 201
9.11.1 Elastic Soil Properties ......................................................... 201
9.11.2 Damping Ratio ............................................................... 202
9.11.3 Shear Strength and Pore Pressure Response ..................................... 203
9.11.4 Resonant Column Test ........................................................ 203
9.11.5 Cyclic Triaxial Test ........................................................... 204
9.11.6 Other Dynamic Tests ......................................................... 204
9.11.6.1 Pulse Tests........................................................... 204
9.11.6.2 Cyclic Simple Shear Tests ............................................. 204
9.11.6.3 Cyclic Torsional Shear Tests ........................................... 204
9.11.7 Summary .................................................................... 205
9.12 Laboratory Tests of Rock ............................................................ 205
9.13 Use of Standards ................................................................... 206
9.14 Record Keeping .................................................................... 206
9.15 Presentation of Data ................................................................ 206
9.16 References ......................................................................... 207
10.0 COMPILATION AND PRESENTATION OF GEOTECHNICAL INFORMATION ............ 209

10.1 Types of Information ................................................................ 209
10.1.1 Factual Information or Data ................................................... 209
10.1.2 Interpretive Data ............................................................. 209
10.2 Uses of Information ................................................................. 209
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10.3 Presentation of Factual Information or Data. ........................................... 210

10.3.1 Pre-existing Data ............................................................. 210
10.3.2 Remote Sensing .............................................................. 211
10.3.3 Geophysical ................................................................. 211
10.3.4 Subsurface Explorations ....................................................... 211
10.3.5 Field Testing. ................................................................ 211
10.3.6 Laboratory Testing ........................................................... 211
10.3.7 Construction-Phase Testing and Monitoring ...................................... 211
10.4 Presentation of Interpretative Information ............................................. 212
10.4.1 Design or Analytical Considerations ............................................ 212
10.4.2 Geologic Interpretation ....................................................... 212
10.4.3 Design Evaluation and Recommendations ....................................... 212
10.4.3.1 Structures ........................................................... 213
10.4.3.2 Cuts and Fills ........................................................ 213
10.4.3.3 Pavements or Roadbeds ............................................... 214
10.4.3.4 Tunnels or Underground Structures..................................... 214
10.4.3.5 Construction Considerations ........................................... 214
10.4.3.6 Instrumentation ...................................................... 214
10.5 Geotechnical Report Presentation. .................................................... 214
10.5.1 ContractuaVLegal Implications ................................................. 215
10.5.2 Informal Planning and Design Submittals........................................ 215
10.5.3 Data Reports ................................................................ 216
10.5.4 Interpretive Reports .......................................................... 216
10.5.5 Contractor Investigations and Briefings.......................................... 217
10.6 References ......................................................................... 217
APPENDIX A Drilling. Sampling and Installation Procedures ................................... 219

Field Report Forms ........................................................................... 219
Daily Report-Test Borings ................................................................. 219
Test Boring Report ......................................................................... 219
Core Boring Report ........................................................................ 219
Groundwater Observation Well Report ....................................................... 219
Piezometer Installation Report ............................................................... 219
Test Probe Report .......................................................................... 219
Test Probe Summary ....................................................................... 219
Test Pit Report ............................................................................ 219
Field Production Summary Report ........................................................... 219
General Field Procedures ..................................................................... 219

Rock Coring ............................................................................... 219
Observation Wells .......................................................................... 232
Piezometers ............................................................................... 232
Piezometers Installed In Completed Boreholes (Permanent Casing Left In Place) .................. 236
Piezometers Installed In Completed Boreholes (Casing Removed) ................................ 237
Piezometers Installed By Insertion Into Cohesive Soil ......................................... 240
Exporatory Probes ......................................................................... 240
Hand Probes .............................................................................. 240
Air Percussion Probes ...................................................................... 240
Acoustic Probes ............................................................................ 241
Exploratory Test Pit ........................................................................ 241
Thin-Walled Open Drive Sample ............................................................. 243
Mechanical Stationary Piston Sampling ....................................................... 243
Hydraulic Piston Sampling .................................................................. 244
Denison Sampling .......................................................................... 245
Pitcher Sampling ........................................................................... 246
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APPENDIX B In Situ Borehole Testing ....................................................... 247

B.l General ................................................................................ 247
B.2 Scheduling ............................................................................. 247
3.3 Types of Tests .......................................................................... 248
.4 Correlation Tests ........................................................................ 248
B.4.1 Standard Penetration Test ......................................................... 248
B .4.2 Dynamic Penetration Tests ........................................................ 248
3.5 Strength and Deformation Tests .......................................................... 249
3.5.1 Penetrometers ................................................................... 249
B.5.1.1 Cone Penetrometer Test .................................................. 249
B.5.1.2 Piezocone Penetrometer Test .............................................. 251
B .5.2 Pressuremeters ................................................................... 253
B -5.2.1 Menard Pressuremeter.................................................... 253
B 5 2 . 2 Self-Boring Pressuremeter ................................................ 255
B.5.3 Stress or Shear Devices ........................................................... 257
B.5.3.1 Hydraulic Fracturing (Hydrofracturhg) ..................................... 257
B.5.3.2 Vane Shear Test ......................................................... 258
B.5.3.3 Borehole Shear Test ..................................................... 259
B.6 Permeability Tests ....................................................................... 264
B -6.1 Water Pressure Tests ............................................................. 264
B.6.2 Pump Test ....................................................................... 264
B.G.3 Hydraulic Conductivity Tests ...................................................... 268
B.6.4 Percolation Tests ................................................................. 269
B.7 References ............................................................................. 269
APPENDIX C In Situ Testing Procedures ..................................................... 273

Standard Penetration Test (SPT) ............................................................. 273
Rock Quality Designation (RQD) ............................................................ 274
Dynamic Penetrometer Tests ................................................................ 278
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Static Cone Penetrometer Tests .............................................................. 278

Pressuremeter Test (Menard Type) ........................................................... 279
Borehole Shear Test (Iowa Type) ............................................................ 282
Water Pressure Test ........................................................................ 285
APPENDIX D Laboratory Testing Procedures-Soils and Rock .................................. 291

Sampling Handling ......................................................................... 291
Unified Soil Classification System ............................................................ 291
Moisture Content .......................................................................... 291
Grain Size Analysis ........................................................................ 292
Atterberg Limits ........................................................................... 292
Specific Gravity ............................................................................ 292
Direct Shear ............................................................................... 292
Unconfined Compression Test ............................................................... 292
Triaxial Compression Test ................................................................... 292
Consolidation Test ......................................................................... 292
Constant Head Permeability Test ............................................................ 292
Falling Head Permeability Test .............................................................. 292
Soil Suction Test ........................................................................... 292
Moisture and In-Place Density ............................................................... 292
Compaction ............................................................................... 293
Dynamic Properties ........................................................................293
O Rock Tests ................................................................................ 293
D.l References ........................................................................... 293
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APPENDIX E Materials Classification ........................................................ 295

E.l AASHTO Classification .................................................................. 295
E.l.l Classification .................................................................... 295
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E . l . l . l Soil Fraction Definitions .................................................. 297

E.1.1.2 Classification Procedure .................................................. 299
E.1.1.3 Group Index Determination ............................................... 299
E.1.1.4 Examples of Group Index Calculation ...................................... 299
E.1.2 Description of Classified Groups ................................................... 299
E .1.2.1 Granular Materials ....................................................... 299
E.1.2.2 Silt-Clay Materials ....................................................... 302
E.2 Unified Soil Classification System ......................................................... 302
E.2.1 Coarse-Grained Soils ............................................................. 302
E.2.1.1 Less than five percent minus 200 sieve ..................................... 304
E.2.1.2 More than 12 percent minus 200 sieve ...................................... 304
E.2.1.3 Borderline. ............................................................. 304
E.2.2 Fine-Grained Soils ............................................................... 304
E.2.3 Organic Soils .................................................................... 305
E.3 Field Identification ...................................................................... 305
E.3.1 Coarse-Grained Soils ............................................................. 305
E.3.2 Fine-Grained Soils ............................................................... 305
E.3.3 Highly Organic Soils., ............................................................ 307
E.3.4 Borderline Classification .......................................................... 307
E.4 Manual Test for Field Identification of Fine-Grained Soils or Fractions ........................ 307
E.4.1 Dilatancy........................................................................ 307
E.4.2 Dry Strength .................................................................... 307
E.4.3 Toughness ....................................................................... 307
E S Descriptive Terminology ................................................................. 308
E.5.1 Density and Consistency .......................................................... 308
E.5.2 Soil Color ....................................................................... 308
E.5.3 Primary and Secondary Soil Constituents............................................ 308
E.5.4 USCS Symbols................................................................... 309
E.5.5 Other Pertinent Properties ........................................................ 309
E.6 Classification of Rock ................................................................... 309
E.6.1 Visual-Manual Description ........................................................ 310
E.6.2 Classification of In Situ Rock ...................................................... 312
E.6.2.1 Geologic Discontinuities .................................................. 312
E.6.2.2 Rock Quality Designation ................................................ 313
E.6.2.3 Weathering Profile ....................................................... 313
E.6.2.4 Miscellaneous Features ................................................... 313
E.6.2.5 Sample Rock Descriptions ................................................ 314
E.6.3 Field Testing., ................................................................... 314
E.7 References ............................................................................. 314
APPENDIX F Rock Excavation Programs ..................................................... 317

F.l The Nature of Rock Excavation .......................................................... 317
F.2 Goals of Rock Excavation Programs. ..................................................... 318
F.3 Types of Rock Excavation. .............................................................. 319
F.4 Choice of Excavation Method ............................................................ 319
F.5 Rippability of Rock .................................................................... 319
F.6 Blasting as an Excavation Method. ....................................................... 323
F.6.1 Explosives. ..................................................................... 324
F.6.2 Mechanism of Explosive Rock Fragmentation ....................................... 325
F.6.3 Basic Surface Blasting Technique .................................................. 325
F.6.4 Effects of Discontinuities ......................................................... 329
F.6.5 Other Important Geologic Features ................................................ 330
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F.6.6 Damage Prediction and Control of Blasting Operations............................... 331

F.6.7 Blasting Specifications............................................................ 333
F.7 Pre-Bid Excavation Tests ................................................................ 333
F.8 Estimation of Bulking .................................................................. 334
F.9 Geotechnical Data for Tunnel Boring Machines ............................................ 336
F.10 Environmental Aspects ................................................................. 337
F.ll References ............................................................................ 338
APPENDIX G Instrumentation .............................................................. 341

G.l Nature of Instrumentation .............................................................. 341
G.2 Purposes of Instrumentation............................................................. 342
(3.3 Planning for Instrumentation ............................................................ 342
6 . 4 Standards ............................................................................. 344
G.5 Instrtimentation Systems ................................................................ 345
G.5.1 LoadlStress of Structural Members ................................................ 345
G.5.2 Earth Pressure ................................................................. 347
G.5.3 Vertical Deformation ............................................................ 348
G.5.3.1 Settlement Indicators ................................................... 348
(3.5.4 Pore/Cleft Water Pressure........................................................ 352
G.5.5 Lateral Deformation Indicators ...................................................
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362
G.5.5.1 Extensometers ......................................................... 364
G.5.6 Tilt Indicators .................................................................. 365
(3.6 Positional Surveys as Instrumentation Techniques .......................................... 367
(3.7 Survey Control for Instrumentation ...................................................... 370
G.8 Accuracy as a Consideration in Instrumentation ........................................... 371
G.9 Instrumentation for Hazard Warnings .................................................... 371
O G.10 Contracts and Specifications.............................................................
G . l l References., ..........................................................................
372
372
APPENDIX H Subsurface Investigations for Earthquake-Resistant Design ........................ 377

1-1.1 Earthquake Damage to Transportation Systems ............................................ 377
H.l.l Ground Rupture ................................................................. 377
H .1.2 Ground Shaking ................................................................. 377
H.1.2.1 Liquefaction ............................................................ 377
H .1.2.2 Slope Instability ........................................................ 378
H.1.2.3 Settlement ............................................................. 378
H.1.2.4 Soil-Structure Interaction ................................................ 378
H .1.2.5 Effect of Local Soil Conditions on Earthquake Motions ...................... 379
H.1.3 Summary ....................................................................... 379
H.2 Subsurface Investigation for Seismic Conditions............................................. 379
H.2.1 Faulting ........................................................................ 379
H.2.2 Liquefaction..................................................................... 379
H.2.2.1 Saturation .............................................................. 380
H.2.2.2 Overburden Pressure .................................................... 380
H.2.2.3 Grain Size and Gradation ................................................ 381
H.2.2.4 Relative Density-Cohesionless Soils ...................................... 381
H.2.2.5 Liquefaction of Silts and Clays ............................................ 381
H.2.2.6 Laboratory Testing for Liquefaction Susceptibility. .......................... 381
H.2.3 Slope Stability under Seismic Conditions............................................ 382
H.2.4 Seismically Induced Settlement .................................................... 382
H.2.5 Dynamic Earth Pressures on Walls and Other Below Grade Facilities .................. 383
1.2.6 Effect of Local Soil Conditions on Earthquake Motions .............................. 383
3.3 References ............................................................................. 383
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APPENDIX I Geotechnical Contributions to Environmental Reports ............................. 385

1.1 Intent of Environmental Impact Analysis ...................................................
1.2 Generalized Procedure of Environmental Impact Assessment .................................
385
386
O
1.2.1 Planning and Early Coordination .................................................... 386
1.2.2 Scoping the Level of Assessment .................................................... 386
1.2.3 Initiation of the Environmental Assessment. .......................................... 386
1.2.4 Compilation of the Environmental Impact Report ..................................... 388
1.2.5 Format of the Environmental Impact ReportlStatement ................................ 388
1.2.6 Comments and Interaction. .........................................................
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388
1.2.7 Final Environmental Impact Statement, .............................................. 389
1.3 Conduct of Studies.. ..................................................................... 389
1.4 Impact of Abutters ...................................................................... 391
1.5 Presentation.. ........................................................................... 391
1.6 References, ............................................................................. 391
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AASHTO T I T L E H S I 8 8 0 6 3 9 8 0 4 0011629 608
PREFACE
The American Association of State Highway Transportation Officials (AASHTO) through its Standing Commit-
tee on Highways and its Subcommittees on Materials, and Bridges and Structures have recognized the need for a
comprehensive manual that documents and explains the increasingly complex and diverse techniques for
conducting subsurface investigations for transportation facilities. Although the AASHTO Subcommittee on
Bridges and Structures has previously developed the ?Manual on Foundation Investigations,? that manual is
specifically focused on the acquisition and use of subsurfaceinvestigationinformation in the design of foundations
for bridges and other structures. The subject matter of this publication, ?Manual on Subsurface Investigations? is
very broad and covers in great detail the many aspects of conducting subsurface investigationsfor transportation
facilities.However, it should be noted that subsurface conditionsare often highly varied and complex. Neither this
Manual or any manual can cover every condition likely to be encountered when conducting a subsurface
investigation. Consequently although the Manual is comprehensive and detailed, it is but a guide to be
supplemented and continually improved by exercising engineering judgment and experience.
The ?Manual on SubsurfaceInvestigations?was initiated by AASHTO and accomplished through the National
Cooperative Highway Research Program (NCHRP) which is funded through AASHTO?sMember Departments.
The preparation and editing of the Manual was administered by the Transportation Research Board following
NCHRP procedures established by AASHTO.
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1.0 INTRODUCTION
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There is always a need for subsurface information and tions on the type of proposed facility must be evalu-
geotechnical data during the planning and develop- ated for each project.
ment stages of construction projects. An understand- The viewpoint taken in this manual is that the selec-
ing of the site geology is necessary for any project that tion of individuals to direct the investigation, inter-
has major components supported on or in the earth pret the information and present the conclusions in a
and underlying rock. The geotechnical features that concise and usable form to those responsible for de-
will affect design and construction of the transporta- sign and construction is of primary importance in any
tion facility must be investigated and evaluated. subsurface exploration program.
An area mentioned only briefly, but which will
probably become more significant, is the importance
1.1 PURPOSE of subsurface investigation and geotechnical partici-
pation in maintenance and rehabilitation projects.
The purpose of this manual is to describe the various Subsurface exploration should not only be seen as
procedures for subsurface investigation applicable to important in the planning and designing of new proj-
the transportation field. An outline of a sequence of ects, but in the maintenance and rehabilitation of
operations for conducting an investigation is pre- existing transportation facilities as well.
sented. Data obtained at each operational step should
be interpreted and the findings applied to optimize
each successive work step. These geotechnical data 1.2 DEVELOPMENT OF THE
should be considered as influential or even critical in MANUAL
all planning, design and construction stages of the
project. This manual was developed as a result of research
The manual discusses the increasing demand for initiated by AASHTO and performed under the
detailed geotechnical information which has initiated NCHRP project 24-1, Manual on Subsurface Inves-
extensive and costly subsurface explorations. The tigations.
level of investigation appropriate to a particular proj- Previously, a discussion of subsurface investigation
ect must be given careful consideration. Though the was included in the Manual on Foundation Investi-
additional information will generally decrease possi- gations, developed by the AASHTO Highway Sub-
ble unknowns and construction risks, a balance must committee on Bridges and Structures. Acquisition
be maintained between the costs of the exploration and use of subsurface investigation data in the design
program and the level of information which will be of foundations for bridges and other structures were
produced. the focus of that report.
Throughout the manual, mention is often made of This is the first manual devoted exclusively to a
the fact that no standard approach for subsurface discussion of subsurface explorations for all purposes
investigation has been adopted. Widely diverse geo- and reflects the growing importance of this topic.
logic environments, local equipment, personal pref-
erences and time and budget constraints have all con-
tributed to the development of different approaches. 1.3 SUMMARY
It has been found that subsurface exploration pro-
@ cedures cannot be reduced to a few guidelines that fit A summary of the individual sections follows:
all conditions. The effects of specific geologic condi- Section 2.0 Discusses data requirements; (1)

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AASHTO T I T L E M S I 8 8 m Ob39804 OOLLb31 266 m
for most projects, (2) related to Section 10.0 Outlines the formal presentation
other geotechnical project con- and use of geotechnical informa-
cerns and (3) for major compo- tion consisting of both factual and
nents of transportation-related interpreted data.
projects. Appendix A Summarizes the various drilling
Section 3.0 Lists a general sequence for con- sampling and instrumentation in-
ducting subsurface explorations stailations procedures required to
and sources of existing data one obtain the necessary subsurface
may draw upon in the process of information.
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these investigations. Appendix B Describes in situ borehole tests
Section 4.0 Discusses field subsurface map- which determine various proper-
ping and the field reconnaissance ties of soil or rock formations.
report. The advantages, costs, limita-
Section 5.0 Covers geologic constraints and tions, and types of borehole test-
how subsurface investigations ing are discussed.
should identify potential geologic Appendix C A selected summary of field test-
impacts early in the field recon- ing procedures required to deter-
naissance and define their key as- mine various soil and rock
pects so the proper engineering properties and the forms used to
response can be provided. record the data.
Section 6.0 Outlines the geophysical tech- Appendix D A summary of the test pro-
niques that apply to geotechnical cedures discussed in Section 9.0.
investigations. Appendix E Outlines soil and rock classifica-
Section 7.0 Outlines various planning and tion. Discusses the various classi-
contractural procedures and de- fication systems, and in particular
scribes drilling equipment, sam- the Unified Soil Classification
pling, and logging methods. System (USCS). Suggests pro-
Section 8.0 Discusses the relationship be- cedures and guidelines for pre-
tween transportation structures paring a complete description of
and subsurface water and pre- a soil sample.
sents some methods whereby hy- Appendix F Discusses rock excavation
drologic information can be methods.
acquired, analyzed, and put to Appendix G Describes instrumentation of en-
use to prevent, alleviate, or cor- gineering structures as a way of
rect undesirable conflicts between detecting present or potential
transportation structures and sub- structural damage before the
surface water. magnitude of deformation be-
Section 9.0 Discusses the purpose and classi- comes uncorrectable.
fication of laboratory testing of Appendix H Describes the effects of earth-
soil and rock, requirements of quakes on transportation systems
the laboratory personnel, quality and discusses subsurface investi-
assurance, the primary tests and gation as an aid in earthquake re-
their approximate cost, sample sistant design.
handling, laboratory aspects of Appendix I Discusses the contribution of sub-
soild classification, shear strength surface investigation to environ-
determination, consolidation tests mental impact analysis.
and permeability tests.
2
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AASHTO T I T L E MSI 88 0639804 0011632 I T 2 W
2.0 SUBSURFACE DATA REQUIREMENTS.

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2.1 GENERAL
needs of civil and structural design, but must also
Subsurface explorations for a transportation-related provide information pertinent to other related consid-
project typically have the objectives of providing: (1) erations, such as corrosion and environmental protec-
general information on subsurface soil, rock and wa- tion. The design-phase data must have sufficient accu-
ter conditions on the site or route, and (2) specific racy, coverage and applicability to support design
information on the subsurface conditions or soil or analyses and decisions. It should also permit reasona-
rock properties that are important to the various bly accurate estimates of material quantities and con-
stages of project planning. An understanding of basic struction costs.
site geology is necessary throughout the planning pro- In many cases relating to roadways, standard prac-
cess for any project that has major components sup- tice for the agency will apply unless unforeseen condi-
ported on, or in the earth and underlying rock. In tions arise that require special attention. For many
many cases, general geologic information, and in states, this means logged borings at 100-175 m-spac-
some cases specific information on subsurface condi- ing, with variations providing concentrated data at cut
0 tions in the project area, will be available from techni-
cal references and reports, and previous subsurface
sections, borrow areas, or where geologically-related
problems are expected. Structure foundations com-
explorations on and near the site or route. monly have individually-planned explorations.
Whatever the extent of available information on a When a project is under construction there is not
particular project or site, there may become a need at normally further subsurface investigation, except to
some stage in the planning process for additional resolve questions or problems that have arisen during
subsurface investigation. This investigation will usu- construction. Design-phase explorations would have
ally have to be accomplished within budgetary and provided adequate subsurface information for design
time constraints that will limit the level of effort that and, in most cases, for contractor bidding for con-
can be applied. It is therefore important that subsur- struction. However, in some instances there may be a
face investigations be carefully planned, and coordi- need for limited or local explorations to confirm de-
nated between those who will obtain and those who sign evaluations, particularly when there have been
will use the information. design changes subsequent to the main exploration
The geotechnical data that are necessary for plan- program. There may also be a need for explorations
ning a particular type of project will vary from project and geotechnical data in connection with construc-
to project. In the early stages, it may be sufficient to tion-phase instrumentation and monitoring.
obtain only preliminary geotechnical information for As previously noted, the geotechnical data that are
alternative sites or routes to enable planners to evalu- required for a project can be broadly categorized as
ate project feasibility and identm major constraints general or specific. The first category encompasses
and premium costs. However, these early data must identification and delineation of various soil and rock
be extensive enough and have sufficient accuracy to strata and ground water levels. The second category
be appropriate for these objectives, so that correct will provide both qualitative and quantitative infor-
planning decisions can be made before intensive de- mation on the character and engineering properties of
sign effort is initiated. all or part of one or more of the various strata. Data
During project design, subsurface exploration and for the first category will normally be derived from
testing programs will be required to provide geo- one or more of the various methods of subsurface
technical data specificto the needs of the design team. explorations, while data for the second category will
The explorations and testing will serve the obvious quite often require field or laboratory testing.
3
AASHTO T I T L E M S I 8 8 Ob39804 0011633 039
Manilal on Silbsiirface Investigations
It is not possible to establish strict criteria for the readings, usually with corresponding improvement of
data that should be obtained for a particular type of data precision and reliability.
project. However, the typical or usual geotechnical It should be noted that a low permeability stratum
considerations are: (1)data requirements common to can cause either an overlying perched water table
most projects, (2) data requirements related to other or an underlying artesian condition. In this situation
geotechnical project concerns, and (3) usual data re- there may be a need to seal a piezometer or observa-
quirements for major components of transportation- tion well within each stratum of interest in order to
related projects. It must be emphasized that the de- yield a complete picture of groundwater behavior at
termination of data requirements is part of the plan- the site.
ning process, and requires individual and continued
attention on each project. 2.2.3 Foundation Support
The planning and design of structures requires a de-

termination of the strength of proposed foundation
2.2 DATA REQUIREMENTS COMMON material. For light to moderate design loads and rela-
TO MOST PROJECTS tively competent bearing materials, such as rock,
dense granular soil or stiff clay, data derived under
2.2.1 Definition of Stratum Boundaries the preceding two items may be sufficient to establish
presumptive allowable bearing pressures for shallow
This requires identification and determination of ver- foundations. Where there are clearly unsuitable near-
tical and horizontal locations of the various subsur- surface soils, such as peat, the same data may also be
face materials on a site or route. The data can range sufficient for the design of deep foundations, such as
from visual observations or remote sensing output to piles. For most projects stratum definition and
detailed logs and physical samples of soil and rock groundwater data wiil at least be adequate for early
from test borings or test pits. Relatively limited data project planning. The peformance or problems of
are typically obtained for large areas during early existing foundations in the area should certainly be
project stages, while later stages will require increas- considered, and there must also be a determination
ingly detailed information, often for progressively that underlying geologic features, such as solution
smaller areas as project alternatives are narrowed cavities, or weak, collapsing or compressible soils do
down or final structure locations selected. Each addi- not control the bearing capacity.
tion of data should improve stratum boundary defini- In the case of shallow foundations, shear strength
tion. The type of exploration that is selected for each data for theoretical calculation of granular soil bear-
stage should be appropriate for the data require- ing capacity will usually be empirically derived from
ments. Standard Penetration Test blow-count determinations
In some cases field or laboratory testing may be and laboratory gradation analyses. The shear
necessary to define boundaries that are not otherwise strength of cohesive soils can be determined by field
evident. As an example, Standard Penetration Test vane tests or laboratory shear tests on undisturbed
AASHTO (T-206) blow counts may acceptably differ- samples. Where there are major foundation loads, or
entiate between dense or stiff and loose or soft strata, where further refinement of strength or bearing prop-
but natural water content determinations, shear erties is necessary there can be more sophisticated
strength testing or laboratory consolidation tests may field tests or laboratory triaxial testing of undisturbed
be necessary to define limits of sensitive or overcon- samples of granular or cohesive soil.
solidated clay. In the case of deep foundations the need for addi-
tional data depends on the types of foundations being
2.2.2 Groundwater Level considered. For bearing piles there is a need to predict
penetration into various strata. This is usually esti-
This is not a static condition, being a function of mated on the basis of soil classification and density, or
season and precipitation. In addition, the water level rock type and quality, as determined by test borings.
in a test boring can be affected by the introduction of Friction piles, unless designed on the basis of pre-
water for the drilling process. The ground-water level sumptive code values, require data or assumptions as
should be determined by readings over an extended to soil friction and adhesion characteristics, and cais-
period and by correlation with weather data. Water sons similarly require shear strength information.
level data can range from observations in test borings Such strength data for deep foundations can be devel-
or test pits to periodic observation well or piezometer oped by design-phase explorations and testing, but
4
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__ ~-
- y _ - ~
A A S H T O T I T L E M S I 88 W 0639804 0011634 T 7 5 W
Subsurface Data Requirements
e are normally substantiated by full-scale load tests of failure of an entire embankment or the heave of an
pile units and penetrometer tests of caisson bearing excavation bottom. Early stages of planning can uti-
surfaces during construction. lize general geologic and groundwater information,
supplemented by the physical evidence of existing
2.2.4 Settlement or Heave Potential stable or unstable slopes. However, design phase eval-
uations of major slopes or excavations must be based
This consideration can be pertinent whenever a new on defined strata and groundwater information, and
or increased structure or embankment loading is ap- on shear strength properties of soil and rock.
plied to a compressible soil. Major excavations can Soil data requirements include groundwater seep-
also result in heave of the foundation bottom and age patterns, the friction angle of granular soils, and
adjacent areas. Certain soils, such as soft clays, loose the shear strength of cohesive soils. Laboratory triax-
sands or organic deposits, are known to be compress- ia1 testing of undisturbed samples of cohesive soils
ible without demonstration by laboratory testing, and may be necessary to determine either drained or un-
early planning can be based on this general knowl- drained properties, depending on the type of analysis
edge. Knowledge of existing settlement problems in required. It may also be necessary to monitor obser-
the project area can also be used for planning. How- vation wells over a period of time to determine
ever, actual data are necessary to predict rates and changes in groundwater levels.
amounts of settlement. Other soils require data and Rock data requirements consist in part of determi-
analysis to determine settlement or heave potential nation of the strength of intact specimens from cores,
under particular loading conditions. In either case, however, the properties of the rock mass are of pri-
stratum definition and groundwater information are mary importance. Weathering, jointing, and other
necessary parts of the data. discontinuities will control the stability of a steep rock
Settlement due to compression of granular soils can face. Some information can be obtained from ordi-
occur as the load is applied. Data for estimating settle- nary core borings, but where jointing is critical or
ment can be obtained from empirical Standard Pene- unfavorable, and rock falls cannot be tolerated, there
tration Test relationships, from field plate bearing must be supplemental data. These can be obtained
tests and, in the case of elastic compression, from the from sophisticated coring techniques, geologic map-
0 results of laboratory triaxial testing of undisturbed
samples.
ping of available rock exposures, or mapping of rock
in test holes or adits. Used in combination, these
Estimates of the rate and amount of long-term techniques can provide a reasonable representation
settlement due to volume-change compression of co- of the system of joints and other discontinuities, per-
hesive soils, such as clays or organic soil deposits, are mitting valid stability analyses.
commonly based on data derived from laboratory
consolidation testing of undisturbed samples. Elastic 2.2.6 Lateral Earth Pressure and Excavation
compression of cohesive soils can be calculated on the Support
basis of modulus data from laboratory triaxial testing
on undisturbed samples. In some areas the consolida- Most projects will include some form of wall that is
tion or compression properties of a major soil stratum subject to earth pressures, either a retaining or foun-
are sufficiently well known for preliminary or general dation wall, or temporary excavation support. Data
evaluations. The presence and identification of the on soil strata and properties, groundwater levels, and
stratum may be confirmed by classification testing of the structural characteristics of the wall, will be neces-
disturbed samples from borings or test pits. sary during the design phase for permanent walls, and
At some locations there can also be potential for during the design or construction phase for temporary
settlement due to subsidence caused by conditions in excavation support, depending on the provisions of
underlying strata, such as solution cavities, mines, the construction contract. In either case the soil data
groundwater lowering or soil erosion. would normally be obtained during design-phase sub-
surface explorations.
2.2.5 Slope or Bottom Stability Gradation test results and Standard Penetration
Test data from drive sample test borings are usually
This consideration is applicable to temporary or per- sufficient to derive reasonable properties for granular
manent earth or rock slopes that exist or are con- soils, but field vane tests or laboratory shear testing
structed as part of a project. It can also apply to the may be necessary to determine drained or undrained
bottoms of major excavations. Instability can range properties of cohesive soils. It is important to also
from ravelling of a granular surface to a deep base consider the effects of fill, backfill, and construction
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`--- 5
AASHTO T I T L E M S I 8 8 0639804 0033635 903
Manual on Sirbsiirface Investigations
procedures on the properties that are selected for necessary to have data on stratum boundaries and soil
analysis. In the case of temporary excavation support and/or rock permeability for design and construction-
it may be necessary to analyze several stages of the phase evaluations.
excavation, with appropriate soil properties for each. For routine work, adequate permeability data for
estimating inflow and planning dewatering may often
2.2.7 Dewatering be developed from stratum definition and soil or rock
classification. However, where there can be major
Whenever a project involves excavation there is a water inflow or excavation bottom instability, or there
potential need for dewatering. It is particularly im- is a need to maintain groundwater level outside the
portant that groundwater levels and possible ranges excavation, it will be necessary to obtain information
of groundwater levels be carefully determined to min- on the vertical and horizontal permeability of various
imize the occurrence of unexpected dewatering prob- strata. If re-charging is to be attempted the proba-
lems during construction (Figure 2-1). When there bility of clogging should be evaluated, necessitating
can be water within an excavation depth, or there can information on water quality.
be artesian water pressures below an excavation, it is The permeability of relatively uniform isotropic
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
Figure 2-1. Without adequate dewatering, site preparation and grading becomes
waterlogged and schedules slip unnecessarily. (A. W. Hatheway)
6
-- I _ _ _
AASHTO T I T L E M S I 8 8 W 0639804 OOLL636 848 W
Sirbsiqface Data Reqiirernert fs
granular soil can usually be satisfactorily estimated long as there are not significant organic materials,
from gradation and Standard Penetration Test infor- such as topsoil or peat, and the soil can be satisfac-
mation, but most broadly-graded, cohesive, or an- torily placed and compacted. Laboratory testing of
isotropic soils require field or laboratory permeability jar or bag samples can determine organic content and
testing. Simple field permeability tests can usually be natural water content of soil, the latter for compari-
acceptably performed below cased boreholes, or in son with the laboratory determination of optimum
observation wells or piezometers, particularly if the water content for compaction. Gradation and Atter-
test is performed below the water table. Laboratory berg limit determinations can provide additional data
permeability tests are preferably performed on undis- with respect to frost susceptibility and expansion
turbed samples of soil. However, in the case of fine to characteristics.
medium granular soils, reconstituted samples are Excavated rock and clean granular soils can some-
generally used. times be economically utilized for riprap, aggregate,
Representative rock mass permeability data are processed material, select borrow, or other specifica-
more difficult to obtain because of the effects of joint tion items. The highest grade use would normally be
systems and other discontinuities. Effective or equiv- the most desirable. If the use is to be a contractor
alent permeability data can be obtained from pres- option, only routine testing may be necessary during
sure or pumping tests performed in rock in boreholes the design phase, with more extensive sampling and
with the aid of packers for test isolation. Multiple tests testing to be carried out at the time of proposed use. If
should be performed because the presence or absence the use is to be specified, a comprehensive design-
of discontinuities within the limits of an individual test phase sampling and testing program is necessary to
will dramatically affect the test results. establish the availability of adequate quality and
Large-scale pumping tests from drilled wells, using quantity of material. Explorations should provide
patterns of piezometers or observation weiis to define enough information to evaluate the cost of selectively
stabilized drawdown levels, can provide good specific excavating the material. Testing must address all of
information on dewatering requirements for a partic- the specification requirements for the proposed mate-
ular site or structure. These also permit the evaluation rial use, and should also consider other possible lower
of stratum permeability, or transmissibility. It should grade uses.
be noted that large scale pumping tests have limited
value beyond the actual test location when pervious
strata are irregular or discontinuous.
2.2.8 Use of Excavated Material

2.3 OTHER GEOTECHNICAL DATA
Whenever significant volumes of material are exca- REQUIREMENTS
vated for a project the use or disposal of the material
becomes a cost consideration. Large volumes of ma- 2.3.1 Geologic Constraints
terial can influence design, either because the mate-
rial can be effectively used in the particular project or While site geology is always a geotechnical considera-
in other projects, or because disposal cost outweighs tion for project planning, there are situations where
the benefits of excavation. Thus, the determination of geologic constraints will be a primary factor control-
quantities and properties of excavated material be- ling planning and design. Geologic constraints could
comes important. include faults, major glacial features such as buried
Early planning can usually be based on stratum and valleys, landslides, volcanic formations, leached soils,
groundwater definition, but positive commitment to or groundwater acquifers (Figure 2-2).
use of material requires investigation commensurate During early project planning, data for the evalua-
with the quality requirements for the proposed use. tion of possible geologic constraints will normally be
Simple disposal of non-natural materials can require obtained from available references, aerial photo-
investigation and testing to determine if hazardous graph interpretation, local geologic knowledge and/or
materials are present, while the use of non-natural site reconnaissance. Design-phase subsurface explo-
materials in embankments can be limited by corrosive rations, possibly including extensive test trenches,
properties or potential decomposition. Existing fills test pits, or adits for visual examination of geologic
require particularly careful investigation before com- features, are likely to be necessary to confirm prelimi-
mitment to project use because of the potential for nary evaluations, These confirming explorations will
@ random inclusions of unsuitable materials. permit assessment of the impact of each geologic con-
Natural soils can usually be used for ordinary fill as straint upon the project.
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
7

AASHTO T I T L E IlSI 8 8 m Ob39804 0033637 7 8 4 m
Manirnl on Subsurface Itivestigntions

--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
Figure 2-2. Geologic constraints can seriously impact transportation projects, from construction through
operation and maintenance. This secondary road has suffered total damage from slope
movements over a period of years and has been abandoned. (A.W. Hatheway)
2.3.2 Seismic Evaluations of data on past seismic events, possibly with the aid of
computer programs. A comprehensive risk evalua-
When a proposed project is located in an area that has tion will consider earthquake magnitude, return pe-
potential for earthquakes there must be an evaluation riod, and epicentral distance to arrive at a design
of seismic risk. Depending on the level of risk, there value of bedrock or ground acceleration, and possibly
may or may not be a need to develop seismic design duration, for which a project must be designed.
parameters. Dynamic analyses for a project are generally con-
The evaluation of seismic risk can range from sim- cerned with foundation or embankment stability, and
ple acceptance of local codes to intensive geologic with earthquake forces to which a structure may be
studies of the site or route and probabilistic evaluation subjected. Soil data for these analyses will include
8
_-__ = _ _ _ - _ _ _ I --__
AASHTO T I T L E MSI 8 8 W Ob39804 0033638 b3O W
Subsiirface Data Requrenients
cyclic shear strength and/or shear modulus values. concerns associated with permafrost and extreme
Basic stratum definition and groundwater informa- winter conditions.
tion are necessary. In some cases it will be sufficient to The three necessary conditions for the occurrence
establish soil classification and density from the re- of frost heaving are sub-freezing temperatures, avail-
sults of ordinary drive sampletest borings and routine able water, and frost-susceptible soil. Thus the neces-
classification tests, and then evaluate earthquake per- sary data will include soil strata and ground-
formance on the basis of historical comparisons and water definition. In addition, the soil type and water
published data for typical soils. content will determine the rate or depth of frost pene-
Comprehensive analyses for major projects may be tration, and soil gradation is the commonly used mea-
based on shear strength and modulus properties de- sure of frost susceptibility. Care must be taken with
termined by sophisticated laboratory dynamic testing respect to gradation where there is natural layering
of undisturbed samples of cohesionless or cohesive that is not reflected in laboratory test results.
soils. Shear modulus properties may also be deter-
mined by field seismic testing. The approach to be 2.3.5 Soil Expansion or Swell
taken should be selected on the basis of project re-
quirements. It should be noted that dynamic labora- Certain soils, most commonly in relatively warm dry
tory testing is relatively costly, and may not accurately climates, are characterized by problems with volume
model a particular design condition. change due to changes in water content. The avoid-
ance of differential foundation, floor slab heave, and
settlement depends upon the avoidance of either ex-
2.3.3 Corrosion or Decay Potential pansive soils in project areas or detrimental changes
in soil water content. Soil modification with lime is
If a project involves in-ground steel, concrete or wood sometimesproposed to mitigate expansion problems.
structural components, or buried utilities, there has Project design in areas of potential expansive soil
to be consideration of the potential for corrosion or problems should first consider historical information
decay. The corrosion problem can be particularly
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
from other projects in the area. Specific data acquisi-
acute if large amounts of electric current are used, tion for the project will consist mainly of stratum
conducted or generated in the vicinity. It is generally definition, groundwater information, and the deter-
considered that steel requires protection from cinders mination of index properties by classification testing
and near surface organic soils, and wood from damp- of disturbed samples. In some situations it may be
ness without submergence.Various salts and alkaline desirable to make laboratory determinations of the
or acid groundwater will attack concrete or metals. swelling pressure of undisturbed or compacted soil
Geotechnical investigation for corrosion evaluation samples. .
will consist primarily of determination of appropriate
properties for the strata and groundwater that have 2.3.6 Environmental Concerns
been defined by subsurface explorations. The tests for
corrosion evaluation will usually include resistivity This covers a variety of considerations, primarily re-
tests on disturbed soil samples in the laboratory or in lated to the effect of the construction and operation of
situ in the field, along with pH determinations and the proposed project on its surroundings. There is a
chemical analyses of both soil and groundwaterin the distinct geotechnical aspect to environmental effects
laboratory. The decay potential of untreated wood in because many features of project design and con-
the ground is primarily a function of groundwater struction techniques are directly related to subsurface
conditions. conditions. Poor soils can necessitate deep founda-
tions, with resulting dewatering and groundwater
2.3.4 Frost Penetration and Freezing drawdown or pile driving and accompanying noise.
Embankment construction can obstruct or contami-
Projects in areas that will have sub-freezing tempera- nate surface and subsurface water flow, and their
tures must consider frost, with the main concern be- construction may involve dust and noise. Grading will
ing possible heave of foundations or pavements due to expose soils to erosion. Many other construction op-
the formation of ice lenses. Frozen ground will also erations that are the necessary outcome of planning
tend to lift embedded structures because of adhesion. and design decisions, or the logical result of economic
Frozen slope surfaces will interfere with drainage, considerations, will affect the environment and
leading to spring sloughing, and the freezing of water should be evaluated.
in rock joint systems will reduce rock cut stability. Geotechnical data for environmental considera-
Arctic areas will also have much broader foundation tions can include almost all of the data that are neces-
9
AASHTO T I T L E M S I 8 8 Ob37804 O O L L b 3 7 5 5 7
sary for project planning and design. It can also in- 2.3.8 Permanent Groundwater Control
volve field or laboratory testing that might not
otherwise be necessary for design, such as per- Design maximum and minimum water levels for
meability determinations, rock quality evaluation below-grade portions of projects are commonly de-
with respect to blasting characteristics, and soil grada- veloped from groundwater information. Where water
tion and plasticity for the prediction of behavior dur- levels would otherwise extend up into pavement, rail-
ing earthwork operations. Environmental considera- road track base or sub-base layers, underdrain
tion of effects outside of the site or route will also systems are designed to hold groundwater down at
require some knowledge of subsurface conditions out- acceptable levels. In some cases the normal ground-
side the project limits; in most cases this knowledge water level will be similarly artificially lowered to
will be extrapolated or inferred from available infor- avoid a need for waterproofing below-grade struc-
mation, rather than determined directly by off-site tures. Occasionally, recharging may be necessary to
subsurface explorations. preserve existing groundwater levels outside of a proj-
ect area.
The data required for the design of permanent
2.3.7 Erosion Protection groundwater control is substantially the same as is
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
required for planning dewatering. From the point of

This can be both a design and a construction consid- view of system longevity there will be added concern
eration, with the latter relating primarily to environ- for design of the collection system to meet filter crite-
mental concerns. Erosion is commonly related to sur- ria and minimize the potential for clogging or corro-
face water flow, but can also be a condition related to sion. More accurate permeability determinations and
subsurface seepage and drainage. flow calculations may be warranted when piping and
Data for the design of erosion protection will in- pumping costs will be a significant part of overall
clude both surface and subsurface water levels and project cost.
velocities or gradients (Figure 2-3). Possible extreme
levels and potential changes due to proposed con-
struction must be considered. Where flow can be 2.3.9 Soil or Rock Modification
against or in natural soils, stratum definition is neces-
sary. Some projects will involve one form or another of soil
Soil susceptibility to surface erosion is primarily a or rock modification for engineering or economic rea-
function of the water flow and the gradation and sons. Until a particular type of modification is given
plasticity of the soil. Density and cementation will detailed consideration for design, the subsurface data
also affect the susceptibility. Most of the soil informa- that are used for planning will usually consist of the
tion will be provided by test boring data and labora- basic stratum definition and groundwater informa-
tory classification testing of disturbed samples, but tion, along with such other data as may be provided by
cementation may only be evident in undisturbed ex- project subsurface explorations,
posures. Cementation, if given consideration, must A particular proposed modification, such as
also be evaluated as to possible deterioration when grouting, sand or stone drains, or lime stabilization,
exposed to water flow. Where erosion protection is will usually require data on specific properties, or
determined to be necessary it must be designed to more detailed information on the soil or rock that is to
economically resist the water flow without loss of, or be modified. A determination of groundwater is
damage to the protected soil surface. likely to also be necessary.
Erosion by subsurface flow can be a major threat to Where grouting is planned, the type of grouting
a project if it extends by piping as an open conduit that is utilized will depend on the intent of the
under a water retaining structure or a foundation. The grouting and the character of the spaces to be filled.
manner of occurrence is similar to that for surface For soil this necessitates determination of gradation,
flow, but there must also be an open path for the and some evaluation of in situ density, void ratio or
movement and loss of the eroded soil. Protection permeability. Soil gradation can be obtained by labo-
against subsurface erosion is commonly afforded by ratory testing of disturbed boring or test pit samples,
granular filter materials or filter fabrics which have but actual density, void ratio or permeability determi-
particles or perforations sized to satisfactorily pass the nation will require field or laboratory testing of undis-
water flow without permitting movement or loss of turbed material. Information on joint spacing, contin-
the soil particles. The basic data requirement for the uity and condition is similarly necessary for rock. The
design of filter protection is the gradation or range of evaluation of rock for grouting is often attempted on
gradations of the soils that are to be protected. the basis of records and recovered rock cores from
10
AASHTO T I T L E M S I 88 W Ob39OLl OOLLbLlO 2 7 9 W
~
Figure 2-3. Wire-basket gabions offer on-site fabrication of heavy-duty erosion protection. (A.W. Hatheway)
test borings. Water pressure or pumping tests can drains are to be installed in cohesive soil to accelerate
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
provide rock permeability data, and useful informa- consolidation, as would be-thecase for a surcharging
tion can sometimes be obtained from examination of operation, the consolidation data that are necessary
exposed rock surfaces in cuts, adits, or shafts. to set drain spacing can be obtained from laboratory
Vertical or horizontal drains have the objective of testing of undisturbed samples. Granular drain fill
relieving pore pressure within a soil or rock mass, material should be sized to carry the flow while meet-
both when that water is a product of natural processes ing filter criteria with respect to the surrounding soil.
or results from soil consolidation. Soil permeability Thus, gradation information is necessary.
data from field or laboratory testing are sometimes Other modification techniques can require more
appropriate for evaluating required drain capacities, specialized data. As an example, the effectiveness of
out in other situations the capacity must be matched lime stabilization in improving the performance of
to an existing subsurface flow condition. Where clay is partly a function of the reactivity of the clay.
11
AASHTO T I T L E M S I 8 8 m Ob39804 0011b4L 105 m
Manual on Subsurface Znvestgations
Reactivity is related to the chemical properties of the provide information on existing foundations for which
clay and can be measured as the increase in compres- records are lacking. Analyses of support capacity for
sive strength of compacted specimens prepared with underpinning require much the same data as those for
the addition of lime. new construction. Since movements during and after
load transfer can be differential with respect to other
2.3.10 Material Sources parts of the underpinned structure, it is also impor-
tant that short- and long-term settlement and heave
There is not usually a preconstruction investigation of be considered, and that appropriate data be ob-
soil or rock material sources outside of the normal tained.
excavation limits for a project. Furthermore, the eval-
uation of off-project material sources is customarily 2.3.12 Post-construction Maintenance
left to the Contractor, subject to testing and approval
by the Engineer during construction. Design decisions should consider maintenance cost ,
However, in some cases it will be desirable to carry and a number of geotechnical factors can influence
out a design-phase investigation to locate sources of long-term maintenance requirements. For the most
borrow materials for a project, at least to the extent of part, these factors are given consideration under the
confirming that suitable materials are available. It various design items, but local conditions may be
may be sufficient to map surficial geology by aerial neglected or the long-term effects may be slighted to
photography interpretation or other remote sensing, serve short-term economy.
and/or ground reconnaissance, supplemented by re- Differential settlement, frost heave, or expansive
view of available geologic references and plans. soils can greatly accelerate the need for pavement
Where this approach does not provide enough cer- repair or reconstruction, or cause serious damage to
tainty as to either quality or quantity there can be buildings or buried utilities. Groundwater seepage or
subsurface exploration by auger holes, test borings, or springs can cause slope problems or wet basements,
test pits to confirm stratum boundaries and ground- certain soils are particularly susceptible to erosion by
water levels, and obtain disturbed samples. surface flow, and some soil or rock slopes have a high
Borrow material will typically be ordinary fill or probability of gradual sloughing or ravelling.
bankrun sand and gravel. There is not a need for in- Subsurface exploration programs should be care-
depth determination of properties unless the material fully planned to locate potential maintenance prob-
is to be processed for special use such as aggregate, or lems. There is no substitute for on-site or along-route
is itself the result of previous processing by man. reconnaissance by experienced geologists or engi-
Routine laboratory gradation and compaction testing neers to detect problem areas or conditions that have
of representative samples from test pits is usually only limited extent. Initial mapping of surficial geol-
adequate. ogy can delineate areas of soil types or groundwater
conditions that should be field checked for evidence of
2.3.11 Underpinning problem conditions. Field checking for potential
problemsshould extend through construction; experi-
Excavation for structures or roadbeds in urban areas enced personnel should get out and look, and should
can reduce or endanger the support of existing struc- involve both design and maintenance personnel in the
tures, necessitating underpinning for temporary or resolution of potential problems.
permanent transfer of existing loads to lower level
supporting strata. This is another aspect of project
construction that is often considered to be a Contrac- 2.4 USUAL DATA REQUIREMENTS
tor responsibility, subject to contract stipulations as to FOR TRANSPORTATION-RELATED
structure monitoring and tolerable movement. Alter- PROJECTS
natively, where there is an obvious need for complex
or major underpinning, the necessary structure sup- 2.4.1 Bridges and Viaducts
port may be included in the project design and de-
tailed in the contract documents. Most major transportation projects will include
Whatever approach is chosen, there is a need for bridge or viaduct-type structures, and the design and
subsurface information for analysis of the load trans- construction of these structures will usually involve
fer and design of the underpinning support. In addi- most of what has been categorized as common data
tion to the basic stratum definition and groundwater requirements (Figure 2-4). The primary concerns will
information, which may be incomplete because of be foundation support and potential settlement, as
access liniitations, there may be a need for test pits to these factors will frequently control bridge type and
12 --`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

Subsirrface Data Requirements
-
Figure 2-4. Bridge-pier foundation construction of drilled shafts in weak rock. (A.W. Hatheway)
span lengths. Competent soil or rock will permit 2.4.2 Retaining Structures
spread footing support of relatively economical short
spans, using rolled steel or prestressed concrete These are also included in most transportation-
beams, and conditions of minimal settlement will per- related projects; they can range from simple bridge
niit the use of rigid frames or continuous spans. Deep wingwalls to long walls retaining embankments in
foundations, such as piles, are ordinarily likely to be urban areas. Walls also involve most of the more
more costly than footings with the result that poor :common geotechnical data requirements, with the
foundation conditions will tend to favor longer spans. need for a retaining wall, or the type of retaining wall,
Conventional arch bridges require both vertical and being very much dependent on foundation support
horizontal support capability at the abutments. conditions and the potential for settlement. Lateral
Lateral earth pressure on abutments and tempor- earth pressures will normally control the design of
ary excavation support, along with dewatering, are whatever type of wall is selected, and resistance to
likely to also be major concerns for bridges and via- sliding must be considered. Competent foundation
ducts. However, slope stability and use of excavated soil or rock, or a suitable bearing stratum at moderate
material may have little or no impact on design and depth, will favor conventional retaining walls, while
construction. The various items in the other data poor or unusual foundation conditions can make un-
requirements category may or may not apply to a conventional walls more appropriate.
particular bridge or viaduct project. Probably the
most frequent concerns will be environmental and 2.4.2.1 Conveiitionnl Retaiiiiiig Walls. The design
erosion protection, the latter becoming important of conventional reinforced concrete walls requires
when the particular project involves a water crossing very much the same geotechnical data input as
and is subject to scour or wave action. Corrosion or bridges and viaducts, with lateral earth assuming
0 decay can be important for the design of pile founda-
tiotis.
more importance and excavation support possibly be-
coming more complex. Design earth pressures for
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13

~
- .
A A S H T O T I T L E MSI B8 0639804 0011643 T B B
Manual on Subsrirface Investigations
cantilever or gravity walls will typically be the ac- stalled as the excavation between the walls pro-
tive case unless dynamic forces due to machine- gresses.
induced vibrations or earthquakes cause a build-up in The evaluation and design of diaphragm walls re-
pressures. Slope stability during construction will be quires consideration of the impact of the in situ mate-
important if the wall is part of a cut into an existing rial on the excavation process, i.e. will obstructions
slope. Permanent groundwater control may be neces- significantly hamper excavation or result in unaccept-
sary to minimize lateral pressures acting on the wall. able wall quality? The in situ material must also pro-
vide vertical support for the weight of the wall and
2.4.2.2 Crib and Reinforced-earth Walls. Some al- stability of the excavation, at least during the con-
ternative types of retaining walls offer greater toler- struction process, and there must be a practicable way
ance of settlement, along with resistance to lateral to provide lateral support of the wall by tieback an-
earth pressures that is derived from the earth mass chors or struts. When bentonite slurry is utilized in
behind the face of the wall. In this category are crib the excavation process there must be consideration of
walls, gabions, and reinforced-earth walls. These groundwater quality.
walls are most commonly used in connection with Geotechnical data for diaphragm walls should
embankments, or possibly side-hill cuts, rather than therefore also be similar to that for conventional re-
for the support of soil alongside of excavations. taining walls, with particular emphasis on the charac-
Crib walls and gabions are formed by the contain- ter of the material in which the walls will be con-
ment of soil or gravel and cobble-sized rock in rela- structed. When appropriate, there should be further
tively flexible structural units. The crib walls use steel, data from the testing of groundwater samples and/or
concrete, or timber members interconnected to form data on potential anchor zone materials and ground-
a series of box-like cells, while gabions utilize filled water conditions for tiebacks.
and stacked wire mesh baskets. Neither would be
expected to have the appearance or durability of a 2.4.3 Cuts and Embankments
well-built reinforced concrete wall, but both can toler-
ate substantial settlement without distress. They Roads, railroads, and airport runways will usually
function as gravity walls, and do require foundation require major cuts and fills to meet design grade
soil or rock to provide adequate overall stability for limitations. To the extent possible, grades and align-
the wall and retained earth. ments will be planned to balance cut and fill quan-
A reinforced-earth wall incorporates a wide zone of tities on a given project, thereby minimizing borrow
soil backfill behind the wall into the mass of the wall or waste. However, the effort at balancing quantities
by means of tension steel strips that are laid out onto will be subject to a variety of limitations, ranging from
backfill layers as the fill is placed. The strips tie back a embankment stability or settlement to non-geo-
relatively flexible wall face. Design is semi-empirical technical considerations, such as meeting existing
and involves consideration of the friction capacity and alignments and grades or reducing environmental im-
corrosion potential of the steel strips, along with the pact.
basic concern for the stability of the reinforced mass Most of the previously categorized common data
on its foundation. requirements can apply to cuts and embankments,
Geotechnical data for both crib walls and rein- although foundation support, lateral earth pressure,
forced-earth walls should therefore be similar to that excavation support ,and dewatering may have limited
for conventional walls, with added consideration of applicability. The primary concerns will be embank-
properties of proposed fill materials. ment and slope stability and settlement potential,
which will control cut and fill slopes, embankment
2.4.2.3 Diaphragm Walls. Diaphragm walls are heights, and possibly rate of construction. Emplace-
usually used to support the earth alongside of excava- ment of embankment fill should be continuously
tions, and can provide both temporary excavation monitored by geotechnical personnel so as to achieve
support and the finished wall in one operation. The proper strength and settlement characteristics and to
term diaphragm is most commonly applied to a con- avoid later deformational damage. Weak or highly
crete wall cast in-place in a slurry-filledtrench prior to compressible soils may have to be removed, dis-
the general excavation. It can also include other in- placed, or bypassed, and any major limitations should
stallation procedures that provide a wall consisting of be known during early project planning, so that pre-
laterally supported panels or units, typically with all mium costs can be evaluated before alignments are
or part of the wall construction accomplished prior to finalized. Detailed information along the selected
the general excavation. Bracing in the form of tie- alignment should then be obtained by means of de-
backs or struts, or permanent decks or floors, is in- sign-phase subsurface explorations.
14 --`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

AASHTO T I T L E MSI 8 8 Ob39804 001Lb44 914
* Data pertinent to the use of excavated material,

and other probable considerations, such as expansive
soil or frost penetration, environmental concerns,
erosion protection or underdrains, or material
sources, should also be obtained during the design-
ration being subject to the limitations imposed by soil
and rock conditions and properties. There must be
sufficient subsurface data input during early project
planning to reasonably assess the feasibility and cost
of various alternatives. Any geologic constraints must
phase investigation. be known at an early stage.
Design-phase data for tunnels and underground
2.4.4. Roadway and Airfield Pavements construction will be primarily concernedwith stability
of materials being excavated, with particular em-
Pavement projects require data for the structural de- phasis on soil or rock surfaces exposed during con-
sign of pavement sections. Where the pavement will struction, and on gradual or long-term adjustments
be on an embankment the pavement subgrade can be that may affect unsupported walls or roofs after con-
controlled as part of the embankment construction, struction. Data must also relate to earth or rock pres-
but in cuts the in situ soil or rock conditions and sure and temporary support, and sophisticated in situ
properties must be determined. pressure testing may be warranted. Dewatering will
Local consolidation settlement under short dura- usually be a concern, and soil or rock modification,
tion pavement loadings would not be expected to be a underpinning, maintenance, and use of excavated
consideration, except possibly in areas of subgrade material can also be important considerations.
disturbance or trench backfilling during construction. The engineering of tunnels and underground struc-
Subgrade strength is a basic consideration, generally tures will extend into the construction phase, as exca-
requiring the data described under foundation sup- vation and exposure permit confirmation or require
port; the California Bearing Ratio (CBR) test is also a revision of the properties that have been assumed for
direct measure of subgrade support capacity widely
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design. Instrumentation and monitoring during con-

used in empirical pavement design procedures. struction should be carefully considered and planned
Weak subgrade soils can necessitate a thickened to aid in confirming design assumptions and provide
pavement section, removal and replacement of poor data input for safe and economical design of future
quality soil, or some form of soil stabilization or im- similar projects.
provement. There are also other potential considera-
tions, which may or may not apply to a particular 2.4.7 Poles, Masts and Towers
project, that can require appropriate data for input to
pavement section design. These include frost pene- The data that are required for the design and con-
tration, soil expansion, groundwater control, mainte- struction of poles and towers will be primarily con-
nance, and the availability of pavement materials. cerned with support capacity. There will not usually
be major excavations or dewatering, but there may be
2.4.5 Railroad and Tkansit 'Ikacks consideration of corrosion or decay, erosion protec-
tion OK soil or rock modification.
Data required relative to track support are similar to Since poles and towers may have high wind loads,
that required for pavement design. Dynamic effects the evaluation of soil or rock suppo'rt capacity will
of track loads are typically more extreme than the often have to consider lateral resistance for poles and
effects of wheel loads on pavements, and there is a masts, uplift capacity for structural towers, and guy
greater concern for good drainage of exposed ballast. wire anchorages. These considerations will generally
Subgrade strength and the other considerations enu- be a function of the properties that are determined for
merated here must also be considered in the design of lateral earth pressure calculations, but theoretical an-
a track system. alyses of side-bearing resistance or friction capacity
In addition, the potential for movement of rela- may not accurately model the field condition. In some
tively fine-grained subgrade soils into the voids of cases large scale in situ horizontal bearing or vertical
crushed stone ballast is a major concern. Both the use or inclined pull-out tests may be warranted.
of vibration-type compaction and filter fabric on the
subgrade is frequently specified for railbed construc- 2.4.8 Culverts and Pipes
tion. Filter protection data requirements are dis-
cussed under erosion protection. Large box culverts will generally require data com-
2.4.6 Tunnels and Underground Structures parable to that for bridges and viaducts, with particu-
lar concern for lateral earth pressure and excavation
Design for underground construction is basically a support and dewatering. Large span metal arches and
geotechnical engineering effort, with project configu- pipe arches are dependent on foundation support at
15

- __ - ~ _ - ~ ~ ~ _ _ _ _ _
A A S H T O T I T L E I S 1 8 8 M Ob39804 00LLb45 850
the haunches, and good quality, highly competent eral lands, such as those administerel by the U.S.
backfill on the sides of the pipes. Smaller culverts and Forest Service and the U.S. Bureau of Land Manage-
pipes are less dependent on foundation support, but ment.
in the case of high fills or deep trenches, settlement One of the most important facets of geotechnical
and/or excavation bottom stability assume more im- participation in maintenance management is develop-
portance. Corrosion is a concern for buried under- ment of a standard method of recording maintenance
water metal. stemming from natural causes. From such experience,
methods of design-avoidance should become appar-
ent and occurrence frequencies for various types of
natural damage should be reduced over a period of
2.5 MAINTENANCE MANAGEMENT years.
Once the geological sources of recurring mainte-
Transportion system maintenance budgets are gener- nance problems have been detected, it will usually
ally developed on the basis of regional experience become apparent that the causes are predictable on
dealing with normal traffic, the effects of vehicle acci- the standard method of regional physiography and
dents on a statistical basis, and incidental remedial will be more pronounced in some Districts of larger
treatments of a more or less unpredictable nature. state or provincial Agencies and may also overlap
Maintenance in the last category usually involves the between adjacent districts, states or provinces. A
repair of facilities damaged in some way by the ele- source of these regionally important geological fac-
ments. Some of the repairs can be assigned to causes tors are the yearly proceedings of the Highway Geol-
of a geological or geotechnical nature and the more ogy Symposium and the Idaho Symposium on Engi-
obvious types of geologically-related damage are eas- neering Geology and Soils Engineering.
ily identified by design engineers. Maintenance per-
sonnel can readily identify various forms of slope
movements that disrupt traffic flow or create displace-
ments in the roadway. Geotechnically-related prob- 2.6 REHABILITATION PROJECTS
lems can usually be associated with deficiencies in
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design or construction; they are usually hard to de- With the completion of the Federal Interstate High-
tect, subtle and may be difficult to assign to a specific way Program, attention has been turned to the prob-
cause. lem of rehabilitation of the older segments of these
Structural and highway design personnel can do routes, as well as other primary and secondary roads.
much to assist in the detection of causes for geologi- The rehabilitation program is generally involved with
cally and geotechnically-related damage by develop- resurfacing, rehabilitation, and reconstruction. A
ing programs which catalog examples of related dam- separate FHWA program also addresses the rehabili-
age factors. District-wide briefings to both design and tation of bridges. Subsurface investigation techniques
maintenance personnel should be held, and identi- are an important part of planning for rehabilitation
fication of such natural causes should be stressed. projects.
Geotechnical personnel should be able to list from The underlying objectives of rehabilitation expen-
experience, many similar factors underlying recurring ditures are to restore the functional use of transporta-
maintenance expenditures. tion routes, with the application of optimal funding,
Data appropriate to the geotechnical aspects of to make full use of existing structural components of
maintenance management will include physical evi- each route. Geotechnical personnel are capable of
dence of any problems or distress that can have geo- providing significant input into the planning and man-
technical origin. Groundwater seepage, slope or agement of rehabilitation projects. Since the goal of
structure movement, and pavement distress are ob- optimization of expenditures requires maximum use
vious concerns. Recorded evidence should include of existing structures, geotechnical personnel should
identifiable soil and rock exposures, weather condi- be called upon to inspect and record evidence of
tions, and the geometry of the problem area. failure or distress in rehabilitation candidates proj-
Some natural damage wiil require rapid assess- ects. Most of the damage requiring rehabilitation is
ment, remedial design, and award of a competitive- the result of the following:
bid contract for repair outside of the Agency force
account. In times of natural disaster, repair funding Overstressing by vehicular traffic
often requires special legislative or Federal appro- Aging beyond the life of the component
priations. Such a requirement is commonly found in Improper construction techniques
damage to State and Federal highways lying on Fed- Improper construction materials
16
AASHTO T I T L E MSI 88 W Ob37804 OOLLb4b 777 W
Obsolescent design provisions coring, geophysical surveys and laboratory

Failure of natural materials or subgrade units testing.
below or adjacent to the roadway or other struc- 6. Develop an assessment of the nature and ex-
ture under consideration tent of geotechnical influences relating to route
Upgrading of route dimension, layout, and traf- and structure distress; integrate this assess-
fic requirements since construction ment into the on-going planning and structural
evaluation of the damage noted during the geo-
With exception of the final reason stated above, the technical assessment mapping and subsequent
reasons underlying need for rehabilitation work can observations by other transportation special-
be detected and recorded in the field by trained geo- ists.
technical observers. The evidence that wili appear is
that of surface and pavement pitting; pavement crack- The end product of field, office, and laboratory as-
ing; pavement edge sloughing and erosion; erosion of sessment should be a thorough understanding of the
structural supports for bridges and viaducts; broad nature and extent of the requirements for rehabilita-
roadway surface depressions (settlement-induced), tion as weli as the development of actual and specifica-
lateral movement of fills, supporting embankments tions for the required rehabilitation work.
and cut slopes; deterioration of concrete due to disin-
tegration of mineral aggregate, and frequent erosion
and runoff debris falling or flowing into the roadway. 2.7 ENVIRONMENTAL ASSESSMENTS
The evidence of distress and damage can be de-
tected and recorded by engineering geologist and The environmental review process initiated in the
geotechnical engineers on a base plan reproduced United States in 1969, with the passage of the Na-
from the desigdcontract or as-constructed plans for tional Environmental Policy Act (NEPA), has had a
the project. For projects which are not presently sup- profound effect on new transportation systems con-
ported by record plans, geotechnical personnel can structed. It is imperative that Agency design person-
compile simple pace-and-compass plots of key areas nel take appropriate action to determine that they
of damage, supplemented by site-related photo- have not overlooked or otherwise devalued environ-
graphs. Maps at 1:200 scale are ideal for recording mental factors that will be affected by construction
most evidence of wear and distress of transportation and operation of each transportation project.
systems. The basic requirements for incorporating geo-
Geotechnical participation in rehabilitation plan- technical contributions into environmental reports
ning can be accomplished in an orderly manner, pro- are covered in Section 15 of this manual. Each
viding support from the beginning of planning. Some Agency should take steps to determine that proper
of the usual steps in the procedure are as follow: coordination exists between geotechnical managers
and design personnel who are tasked with future
1. Locate and review existing records of the proj- transportation needs. Projects have been defeated
ect such as the design and as-built plans. when apparent negative aspects have been portrayed
2. Make a rapid reconnaissance of the site or seg- that the Agency has either not detected or which the
ment, combining the expertise of highway Agency has not gathered sufficient data to prove for
planner, bridge and structure engineer and en- nonsignificant impact. Before making decisions relat-
gineering geologist or geotechnical engineer; ing to commitment of significant field investigation
determine the objectives of observations to be resources, it may be desirable for Agency manage-
made in more detail. ment to call together its experts and consultants to
3. Make a geotechnical assessment map at 1:200 discuss regional experience and to develop a plan to
or other specified scale, carefully noting the identify potential negative impact factors and to in-
physical nature and orientationhocation of all vestigate their natures and magnitudes.
types of distress; take hand soil and rock sam- It has been previously stated that geotechnical data
ples where necessary; take photographs and for environmental assessment can include almost all
relate them to the assessment map. of the data that is necessary for project planning and
4. Plan for supplementary subsurface explora- design, although ordinarily in less detail.
tions to verify or determine the nature and As in the case of maintenance management, recur-
extent of conditions in the roadway subgrade, ring experience in environmental impacts of a geolog-
a supporting embankments, and adjacent cuts,
that may be related to the observed distress.
5. Conduct the borehole sampling, pavement
ical and geotechnical nature is also an important
source of data which can be brought to bear in plan-
ning environmental assessment efforts.
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17
- -- - - -I - . I~ ____-.___
AASHTO T I T L E M S I B8 W 0637804 0033647 623 H
2.8 REFERENCES Office of Structure Construction. Department of

American Association of State Highway and Trans- Transportation. California Foundation Manual.
portation Officials (AASHTO). Standard Specfica- Sacramento, California, 1984.
tiom For Transportation Materials and Methods of Symposium on Engineering Geology and Soils Engi-
Sampling and Testing, Part II-Methods of Sampling neering. Proceedings of the Twentieth Annual Engi-
and Testing. 14th Edition, Washington, D.C.: neering Geology and Soils Engineering Symposium,
AASHTO, 1986. 1983, sponsored by Idaho Transportation Dept.,
Highway Geology Symposium. Proceedings of the Univ. of Idaho, Idaho State University, Boise State
Annual Highway Geology Symposium, 33rd Sympo- University, Boise, Idaho, 1983.
sium, Vail, Colorado; 1982. Special Publication No. Wyoming State Highway Department. Wyoming
22, Colorado Geological Survey, Dept. of Natural Highway Department Engineering Geology Pro-
Resources, State of Colorado, 1983. cedures Manual, 1983. Cheyenne, Wyoming, 1983.
National Environmental Policy Act of 1969. U S .
Code, Title 42, Sec. 4321, Public Law 91-190.
18 --`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

AASHTO T I T L E M S I 8 Ob39804 0011648 5 6 "
3.0 CONDUCT OF INVESTIGATIONS
Geological and geotechnical investigations for major Geotechnical data should be considered influential or
transportation projects eventually involve consider- even critical in all stages of each project.
able expenditures of professional time and in-house Geotechnical personnel should consider interim re-
or subcontracted subsurface exploration services. The lease of data. Such releases, however, must be care-
investigations nearly always represent successive fully described in terms of their provisional nature.
levels of effort, each based on the results of previous Each stage-related or interim report or data release
work. Careful planning of such efforts is required so should reflect available data, Many products, such as
that data are interpreted after acquisition and the geologic maps and subsurface profiles can be continu-
findings are applied to optimize each succeeding work ally revised and updated to portray more accurate or
task. completed interpretations, based on increased infor-
mation and verified interpretations.
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Final reports should generally include a summary

3.1 TRANSPORTATION PROJECT of previously submitted data and interim reports. If
PLANNING agency poiicy permits, previous data may be consid-
ered superceded and should be discarded; later ambi-
Transporation agencies conduct their most detailed guities resulting from multiple reports will then be
geotechnical inv&igations in association with major, avoided. The final geotechnical report should also
new projects. The overall planning procedure for con- present a clearly integrated summary of geological
duct of these major projects has been described in and geotechnical conditions and thereby remain as a
TRB Synthesis Report 33. The procedural steps are: single-source reference. Such a report should be
made available at the start of final design and may, if
Corridor Study agency policies permit ,serve as a reference document
Route Selection for contract bidders.
Preliminary Design
Final Design
Advertising and Bidding 3.2 ALTERNATE ROUTE SELECTION
Construction
Geotechnical personnel are in a position to provide a
It is the viewpoint of this Manual that geotechnical variety of preliminary assessments which can be made
and geological personnel should be involved in pro- as the result of literature review, photogeologic inter-
viding basic data for decision makers at each pro- pretation , and limited field reconnasisance. In those
cedural stage. Many transportation agencies and key agencies not now using geotechnical participation at
officials prefer to employ this expertise selectively the alternate route location phase, a trial example of
rather than routinely. Section 3 cites examples such a product should be sufficient to gain acceptance
whereby geological and geotechnical input can be of the concept.
cost effective at all stages. An example of alternate route geotechnical map-
Geological and geotechnical information is basic to ping has been developed by the Soils and Geology
the design process; it must be produced in a timely Section of the Kansas DT. Alternate route area
fashion and be made available as one of the first- maps such as these portray the distribution of geologi-
received packages of data. Transportation systems cal and soil units that may be used by design engineers
0 must be designed to accommodate the natural prop-
erties of soil and rock as well as the user's needs.
and others. The mapping is usually accompanied by a
brief report pointing out the desirable and undesir-
19

able features of each map unit, as well as any geologic political questions of basic need and financing are
constraints (See Section 5). answered, the design team is asked to initiate rapid
In Kansas, such mapping is produced routinely as determinations of siting, routing and general fea-
part of the corridor analysis of the Environmental sibility. Seasonal considerations are an important fac-
Services Section and hence serves many uses, includ- tor in performance of field investigations. Unfavor-
ing the Environmental Impact Statement. able weather conditions can easily add 15 to 25
percent to costs of field investigations.
Agency planning teams should include a geotechni-
3.3 GUIDELINES FOR MINIMUM cal representative so that proper lead times and initial
INVESTIGATIONS inputs are received and considered. This geologist or
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geotechnicalengineer wili be able to convert concepts
Occasionally a question will arise regarding the level into geotechnical impacts on the basis of hisher re-
of investigation appropriate to a particular transpor- gional experience. The geotechnical representative
tation structure or road segment. The question should will be able to provide conceptual planning informa-
be considered from the standpoint of what may be tion.
required of subsurface investigations as a function of Conceptual planning requires only a minimum of
natural conditions. If the geologic framework of the information to begin formulation of the costs and
site or alignment is expected to be simple and geologic schedules required for developing the entire geo-
constraints (Section 5) are minimal or lacking then a technical data package. As soon as the need for the
minimal investigationmay be warranted. An example project is recognized and the end points or general
of this might be a site in the great mid-Central tiil location of construction are identified, the Agency
plain, in such states as Illinois, Iowa, or Indiana, geotechnical staff should, within a matter of days, be
where the till is of predictable grain-size nature and able to present a synopsis of impact factors, as identi-
bearing capacity. However in valleys in the same pro- fied in this Manual. There are two levels of impact
vince, localized, often softer, bodies of post-glacial factors that can be identified:
deposits may present variable and less desirable con-
ditions. 8 Level-One Geotechnical Impacts: These are
Experienced geotechnical personnel in transporta- well-recognized regional geologic and geo-
tion agencies generally agree that about 0.7 to 1.0 technical conditions that will probably be
percent of total construction costs should be allocated encountered on most projects, regardless of
for an average-condition subsurface investigation. size. Examples include areas of poor bearing
For sites or alignmentsin areas which are underlain by capacity, geologic constraints found in the
poorer quality soil and rock units, or which may be region and potentially adverse environmental
impacted by geologic constraints, an increased level impacts.
of expenditure should be budgeted. Costs of subsur- Level-Two GeotechnicalImpacts: Further con-
face investigations, as a percent of construction cost siderations of the effect of geological conditions
are usually higher for rehabilitation projects. Q p - on planning, design, costs and environmental
ically, the subsurface investigationwill break down to impact are those which are related to project
about 75 percent for engineering and about 25 per- size or magnitude. Examples of such impacts or
.cent for subsurface explorations. considerations are stability of large cuts, the
Sites in areas underlain by predictable subsurface costs associated with developing and transport-
conditions and minimal or non-existing geologic con- ing construction material or with disposingof ex-
straints can probably be safely explored by subsurface cavation waste, the costs associated with siting
investigations funded at about 0.50 percent of total of large facilities in urban areas, and the costs of
estimated construction cost. It is believed, however, designing large embankments in seismic risk
that few sites can be properly engineered on the basis zones or areas of marginal bearing capacity or
of subsurface investigation expenditures of less than highly compressible foundation soils,
this amount.
Level-One impacts will generally be recognizable to
experienced geotechnicalpersonnel from the very be-
3.4 PLANNING AND PHASING ginning of site or route identification. Level-Two as-
sessments will begin to be identified as soon as the
Geotechnical investigationsare sometimes difficult to geotechnical team begins its project-related evalua-
manage and control from a scheduling and fiscal tions. Level-Two data will continue to appear
standpoint. In most projects, as soon as the socio- throughout the subsurface investigation and must be
20

AASHTO T I T L E M S I 88 Ob39804 001Lb50 IL8
Conduct of Investigations
identified and assessed immediately and reported to 3.5.2 Study of Preliminary Pians
the overall design team as soon as possible. Level-Two
data are generally crucial to final siting, dimensioning Many transportation projects are planned in phases,
and elevation positioning of critical structures along recognizing that unknown geologic and geotechnical
the transportation project. conditions wiil be encountered and defined during
Phasing, as a means of controlling the direction and preliminary site reconnaissance and exploration.
speed of field investigations, can be effectively uti- Geotechnical personnel and the transportation sys-
lized from the beginning of any project. tem planners should maintain a close liaison, dealing
with developing findings. The coordination should
begin during concept development and continue
3.5 CONDUCT OF INVESTIGATIONS through selection of all elements of the system align-
ment. Throughout this period, the geotechnical per-
Phasing of subsurface investigations can be developed sonnel should provide information on the expected
on the basis of identification of the major components nature of site conditions. Much of the geotechnical
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of the transportation system under consideration and response should be forthcoming within days or weeks.
the degree to which the size and magnitude of the Literature searches, Agency files, and a basic photo-
component structures interrelate with expected geo- geologic interpretation can produce results often as
logic conditions. A generalized sequence of initial use detailed and useful as those depicted in the photo-
of each of a number of subsurface investigation activ- geologic interpretation of Figure 4-1. Project team
ities is discussed below. Although a particular activity discussions will define the alternatives to major struc-
is introduced in sequence, it may be necessary to tures such as bridges, viaducts, and tunnels, often
repeat that activity later in the investigation. identifying possibilities for shortening or reducing the
size of such structures.
3.5.1 Literature Search (Review of Existing
Information) 3.5.3 Formulation of Tentative Field Exploration
Plan
The term Literature Search wil be used in a broad
sense to describe the accumulation of all existing in- At the completion of the office reconnaissance, the
formation on a particular project prior to field investi- project team should be familiar with the expected
gation for the project. This literature may be print rock and soil types in the project area; the general
such as reports, journal articles, reports, maps, or effect of topography, vegetation and near-surface
non-print such as aerial photographs or geophysical groundwater conditions on site exploration plans, the
logs, or even personal communications such as tele- probable depth ranges for borings; the need for sup-
phone conversations or letters. The sources of the porting engineering geophysical surveys; and require-
literature may be well recognized public sources ments for hydrogeological studies. It should be possi-
such as the United States GovernmentDepartment of ble at this stage, for experienced geotechnical
the Interior, Geological survey (U.S.G.S.) or the personnel to develop a scope of field exploration and
U.S. Department of Agriculture, Soil Conservation field and laboratory testing that will meet design re-
Service, state geological surveys or other state or quirements, to within about 25 percent by cost.
municipal sources, professional journals or societies,
project reports either in-house or otherwise, aerial 3.5.4 Field Reconnaissance
photographs (remote sensing), well logs, and per-
sonal communication with individuals with local A field reconnaissance can be planned on the basis of
knowledge. known project concepts and requirements and on the
The level of effort expended on this review is estab- basis of findings from the literature search and image
lished by the size and complexity of the project. How- interpretation that represent the f i s t activity of sub-
ever, regardless of the size of a project, some review surface investigations. The reconnaissance should be
should take place prior to going into the field. The based on formal objectives; that is, to determine the
minimal effort is to procure a plan and the topogra- nature and areal extent of major geologic units, to
phy of the site. The same document may serve both gain an appreciation of their engineering characteris-
purposes. It may be either a plan surveyed for the tics and to develop the site region or site-area (within
project or a photographically enlarged (blow-up) por- 8-km or 5-mi radius, or other better defined limita-
e tion of a topographic map. An expanded discussion of

the sources of existing information appears in Section
3.7.
tions) geologic detail. The other very important as-
pects of the field reconnaissance are to discover fatal
flaw information which would limit siting or raise
21

- _ I _____ - - _I
__ q _ ~ s
AASHTO T I T L E M S I 8 W 0639804 OOL1ih5L 05Y W
Manual on Subsugace Investigations
construction costs to an unacceptable level and to held between the geologists assigned to drilling rigs
determine the nature and accessibiiity of required and other excavating equipment and the mapping
subsurface explorations. The final results of field re- geological team. Both teams should come away from
connaissance are: the meetings with improved field plans.
Compiation of a preiiminary geologic map of

3.5.7 Geophysical Surveys
estimated geologic conditions over the entire
area of interest;
A scope of estimated field exploration activities Most geophysical techniques (Section 6 ) are em-
ployed on a linear basis and are anchored between or
and their locations
A means for conducting a briefing on geologic through outcrops or subsurface investigations in or-
der to have a basis for interpreting the geophysical
conditions for the pIanning/design/environmen-
data. Most geophysical techniques require at least a
tal impact team
hypothetical geological cross section, some physical
property estimates, and an idea on the existence and
3.5.5 Field Geologic Mapping
depth to groundwater. Ideally, geophysical surveys
should be initiated after the drilling program is about
While the subsurface investigation equipment and
personnel are being readied, field geologic mapping 25 percent complete. Later investigations may be re-
quired at locations on geophysical traverses that are
(See Section 4 for details) can begin to answer the
requirements identified during the field reconnais- open to question during interpretation of field results.
sance stage and those which have developed out of
meetings with the planningdesigdenvironmentalim- 3.5.8 Hydrogeological Surveys
pact team. Since all that is required by the geotechni-
cal team is an appropriate topographic basemap and Traditionally, geotechnical engineers have been con-
aerial photographs, this work can generally be started cerned about the presence and depth of groundwater
within days of establishing the project team guidance; in terms of its effect on construction conditions and its
seasonal weather conditions permitting. In areas of control over shear strength of soil and rock masses.
appreciable surficial soil overburden, the geologists These concerns are still with us, especially in regions
assigned to mapping will probably also utilize the characterized by relatively near-surface groundwater.
backhoe to augment visual inspections. Backhoe pits With increased attention of the public and regulatory
are placed (see Section 4.5)at critical structural foun- agencies toward environmental impact, hydro-
dation locations, in areas at which rock is to be ex- geological surveys have taken on a new importance,
posed for detailed structural mapping, and in as well as the location and definition of groundwater
locations at which the nature of surficial geologic con- resources as they may be impacted by construction
tacts are obscure and are needed to enhance the and operation of transportation systems. However,
quality of surficial geologic mapping. The rate at hydrogeological data necessary for design and con-
which geologic maps can be produced is directly re- struction generally suffices for environmenta1 pur-
lated to the level of detail and complexity of local poses. Frequently, the area of potential environmen-
geology. The geologic maps should be reviewed by the tal impact of the system on groundwater is often
author and the field geologic supervisor each after- broader than that of geotechnical concern.
noon or evening, contacts inked, symbols checked Geotechnical workers often use two related profes-
and pencil coloring applied to insure correctness of sional specialty terms, hydrogeology and geohydrol-
overall map relationships. ogy in a synonymous sense, but they actualIy are two
distinct specialities. Hydrogeology represents the ex-
3.5.6 Subsurface Explorations pertise necessary to locate and define the presence
and dynamics of general groundwater movement;
Drilling, probing, and trenching should be under- geohydrology represents the more quantitative at-
taken only on the basis of a formalized plan. The plan tempts to model or predict the occurrence and move-
should be based on geologic interpretations gathered ment of groundwater on the basis of physical parame-
to the time of initiation of field work and should be ters developed by hydrogeologists. The fields of
reviewed and updated according to findings during hydrogeology and geohydrology are staffed with pro-
field geologic mapping and as a result of the subsur- fessionals of a variety of backgrounds, generally in
face investigation program itself. geology and civil engineering. However, most
Subsurface investigations should be reviewed on a groundwater studies performed in the course of sub-
daily basis by the field supervisor and brief discussions surface investigations are probably more related to
22
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

AASHTO T I T L E MSI 8 063980Y OOLLb52 T90 W
geotechnical and environmental uses and are prop- mens are made available and can be transported to
e erly termed hydrogeological studies.
3.5.9 Materials Surveys

the laboratory. Results should be processed and re-
viewed quickly and turned over to the office geo-
technical staff for daily incorporation and review
against boring logs and geologic maps. In locations in
Construction materials are most valuable when they which the groundwater is high in total dissolved
are located and made available within the construc- solids, especially in cases of brackish water, the speci-
tion site or ROW. The field reconnaissance and pre- mens should be tested immediately in light of ongoing
liminary subsurface investigation should establish the corrosion of the liner and cation exchanges present
general presence and quality of these materials. Most between soiYrock and liner; all of which tend to alter
materials survey work in the site area can be accom- the engineering properties of the earth material.
plished at the time of the field investigation and prob-
ably should be phased to follow the previously men- 3.5.12 Special Requirements
tioned activities. The subject of materials surveying is
covered in Section 4.4. Many transportation systems involve structures of rel-
atively large size in terms of the soilhock-structural
3.5.10 Field Testing interaction, environmental impact, and susceptability
to geologic constraints. Results of the field reconnais-
As in other subsurface activities, field tests are fre- sance should have identified the possibility of natural
quently scheduled for performance in otherwise open conditions which may elevate project costs signifi-
borings and test pits. Field tests are conducted to cantly or which may tend to make the project appear
determine the in situ strength, deformation, and per- environmentally unacceptable. Actions shouId be
meability characteristics of key foundation soil or taken during all field investigations to quantify these
rock units. Since many field tests require the presence potentially negative aspects of siting and design and
of a drilling rig, the tests should be scheduled as an to provide insights or methods toward their mitiga-
integral part of the drilling program so as to avoid tion. Most of the actions involve detailed geologic
unnecessary remobilization of equipment. mapping ,specialized geophysical surveying, and un-
usual or more detailed field and laboratory testing.
3.5.11 Laboratory Testing These requirements, most of which are represented
by methods and techniques discussed in the Manual,
Laboratory testing is conducted to identify and corre- should be programmed and undertaken during the
late various soil or rock units and to determine their field investigation.
engineering properties. Most laboratory testing is un-
dertaken on samples identified as being within the 3.5.13 Photography
greatest zone of influence of foundation stresses, and
for units which are felt to be so deformable as to Photographs of the work in progress should be consid-
govern foundation design at specific locations. ered as a standard requirement for all subsurface
Many geotechnical staffs have operating pro- investigations. The photography should be of a rea-
cedures for identification and selection of samples for sonably high quality and the agency should consider
testing. One such favored method is to have drive purchase of severa1 medium-quality 35-mm cameras
samples or undisturbed piston samples arranged in and provide basicinstruction in their use to geotechni-
order of sequence per boring and for a geotechnical cal personnel. As with other forms of permanent
engineer to view the exposed ends of each sample records, the photographs or color transparencies
while reviewing the borehole log of the particuiar should be annotated with project number, stationing,
boring. Many geotechnical engineers prefer to use the date, and brief title. For conditions which may be
torsional vane shear device or to simply make a thumb difficult to describe, the use of stereoscopicphotogra-
impression on the exposed tube or liner surface of the phy as printed and included in the final report will be
soil sample, to estimate soil bearing capacity and to of use to many who use that document. Stereoscopic
enter this rough approximation on the boring log. pairs may be made by focusing the camera on a center
Then, in overview, the most critical samples, repre- object, making one exposure, then stepping several
senting foundation grades and other bearing surfaces steps to one side, focusing on the same center object
are judged against estimated bearing capacity, and a and taking another exposure. The pair, when printed,
selection of test samples and laboratory tests allo- should be trimmed so that the right-hand image is
0 cated against the budgeted scope.
Laboratory testing should begin as soon as speci-
about 63 mm (2.5 inches) wide and spaced so that the
left side of that image is spaced at about 63 mm (2.5
23
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

- - -- - _ _ _ . -~
= 0639804 0011b53
- - - _I
AASHTO T I T L E ! S I 88 927
inches) from identical objects in the left-hand view. Determination of perched water bodies and/or
Test the pair for orientation using a pocket stereo- potentiometric groundwater surface
scope, adhere the pair to a backing sheet, separate Identification of engineering-significant soill
the pair by thin white tape and have a master photo- rock units
graph made of the stereogram. Care should be taken Determination of a sufficient number of prop-
so as not to reverse the order of images and to produce erty tests to provide for reasonable design pa-
a pseudo-stereoscopic image in which objects at rameters
depth (distance) appear to be artificially closer to the Identification of top-of-rock
viewer. Accurate recording of standard rock quality in-
dicators
Measurement of attitudes and other features of
various structural discontinuities
3.6 REPORTS AND DRAWINGS Recognition of reasonably apparent evidence of
geologic hazards that could impact the project
All activities undertaken by geotechnical personnel
should be designed to provide data for specific use in
the final report and its drawings. Design personnel 3.7 SOURCES OF EXISTING DATA
should be tasked to provide adequate site and route
topography and existing governmental topographic 3.7.1 USGS Quadrangle Maps
maps should be used to provide the basis for enlarged
topographic coverage of the site area beyond the In the United States, the principal source of topo-
limits of actual construction. Topography and other graphic maps and geologic reports is the United
cultural details should be photographically screened States Geological Survey. These maps are available in
so that geological and geotechnical details stand out various scales, the most common is the 7.5 or 15
and apart from that background. minute quadrangle. The appropriate quadrangle for
The degree to which geotechnical data are devel- the project may be located by reference to the state
oped should be established with design personnel and index map available from the USGS. Local vendors of
the report language should be carefully chosen to maps are also listed on the index, as well as, deposit
avoid creation of impressions of conditions other than libraries.
actually observed. Remarks concerning the absolute Briefly, a topographic map is one that shows the
nature of existing or anticipated construction-related size, shape and distribution of features on the earths
conditions should be avoided. That is, language that surface through the use of contour lines. A contour
makes an absolute case for a specific condition is line connects points of equal elevation above or below
generally not warranted on the basis of the very lim- a stated datum plane. The contour interval is the
ited nature of most geological or geotechnical obser- difference in elevation between two adjacent lines, it
vations and the extreme heterogeneity that is usually is stated in the map legend. The interpretation of
found in earth materials. topography is a basic skill necessary for the interpre-
A general philosophy for establishing the scope of a tation of any geologic map.
subsurface exploration program is as follows: A site may be located by longitude and latitude, or
By spending project funds, through its geological/ proximity to bodies of water, topographic feature,
geotechnical staff, the Agency hopes to procure an numbered highways, population centers, or any other
accurate and reasonably complete subsurface data landmark. The unit of mapping is called a quad-
package for use in design and as the basis for bidding rangle. In the United States, it is generally available
by contractors. In spending agency money, geologists as a 7.5 degree or 15 degree sheet, each sheet being
and geotechnical engineers have two primary goals, bounded by 7.5 degree of latitude and longitude or 15
to provide: degree of latitude and longitude, respectively. The
scale on 7.5 degree maps is generally 1:24,000or one
Data to produce a suitable and cost-effective inch on the map represents 2000 feet. In addition to
design the stated ratio, there is also a bar graph printed on
Data clear and concise enough to lead to a nar- the map that may be measured with a scale and used
row spread of construction bids not containing to determine distances.
large-risk dollar contingencies Longitude lines converge toward the north pole, so
the actual area covered by the map is greater in the
The list of data elements likely required for even south (about 70 square miles) than near the Canadian
major construction projects is generally not long: border (about 50 square miles). Originally, USGS
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
24
AASHTO T I T L E MSI 8 8 = Ob39804 0033654 863
mapping used a 15 degree minute quad, many of These show bedrock and soil conditions, superim-
e whch stili exist and which have a scale of 1:62,500 or

one inch equals approximately one mile. A 15 degree
quadrangle includes the area of four 7.5 degree quad-
posed on the basic quadrangle map described in sec-
tion 3.7.1. The data shown may include depth to rock;
locations of rock outcrops; estimated thickness, com-
rangles. position and engineering properties of the various soil
Quadrangle maps are updated or revised peri- types, geologic history and groundwater.
odically. Changes interpreted %.om current aerial Inquiries concerning the availability and purchase
photos are overprinted in purple on the original map. of these maps should be made to the nearest regional
No field investigation is usually conducted. The map office of the USGS.
then carries both the original date and the date of the
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
Many other types of maps (thematic maps) are also

latest photo revision (e.g., 1959-63). If a complete produced by the USGS. These include; land use and
revision has been undertaken, the map date reflects land cover maps of quadrangles or regions, hydrologic
that investigation. maps, landslide maps, maps produced as part of pro-
Interim maps cailed orthophotoquads are available fessional papers and bulletins, geologic folios, water
prior to a complete revision. An orthophotoquad can supply papers which often have maps and cross sec-
be described as a mosaic of monocolor aerial photos tions, aeromagnetic maps, slope maps, mineral re-
corrected for displacement of tilt and relief with little source investigation maps, and oil and gas investiga-
or no cartographic treatment; usually there are no tion maps. A particularly interesting series for those
contours or elevations. Information on available maps working in the area is the Engineering Geology of the
or the status of mapping may be obtained from the Northeast Corridor, Washington, DC to Boston,
USGS National Cartographic Information Center lo- Massachusetts. (I-514,A,BYC)All of the above illus-
cated in Reston, Virginia, or from the various map- trate some facet of the geology of a particular region.
ping center offices. The survey also produces geologic map indices for
Older editions of topographic maps can provide the various states which list ali of the maps for a
information regarding pre-existing conditions such as particular location, identifiable by latitude and longi-
stream courses, ponds and drainage patterns which tude regardless of source (USGS, state survey, jour-
mav have been affected bv man-made structures as nal, article, etc.). Each of the above documents pro-
e Wei as filling and grading resulting in topographic and
hydrologic change.
The accuracy of any given map is dependent upon
duces a map which represents graphically the specific
information desired or necessary for that report.
There is no standard date base. The absence of a
the quality of the information from which it was de- particular type of information only indicates that it
rived and the care with which it was drawn. There are was not significant (or investigated) for that particular
USGS standards for vertical and horizontal accuracy report.
for topographic maps. For horizontal accuracy, no In addition to the USGS, there are several other
more than 10 percent of the well defined map points federal sources of maps as weil as state, local, aca-
tested, shall be more than 1/50 inch (0.5 mm) out of demic, and commercial. These sources include
the correct position at publication scales of 1:20,000 NOAA (National Oceanic and Atmospheric Admin-
or smaller. This tolerance corresponds to 40 feet on istration) which produces climatological and naviga-
the ground for a 1:24,000 scale map and about 100 tional maps. The Office of Surface Mining of the
feet on the ground for 1:62,500 scale map. The stan- Bureau of Land Management can provide informa-
dards for vertical accuracy require that no more than tion on surface/strip mining both active and aban-
10percent of the deviations of test points interpolated doned in a particular area. This information can be
from contours shall be in error more than half the very critical for foundation design or waste disposal.
contour interval. The U.S. Forest Service can provide considerable
Quadrangle maps may be altered photographically, information regarding land in its custody; the Na-
enlarged, reduced or screened. However, it should be tional Park Service has the same type of information.
recognized that enlarging the scale does not improve
the accuracy or increase the detail. It is, however, 3.7.3 Soil Survey Maps
perfectly acceptable to use an enlarged quadrangle
map as a base or site plan. Soil surveys have been produced as a cooperative
effort in the United States since 1899. The majority of
3.7.2 Bedrock and Surficial Geology Maps these surveys have been compiled under the direction
of the U.S. Department of Agriculture (USDA) in
@ Two of the most useful types of maps published by the
USGS are the surficial and bedrock geology series.
cooperation with the Land Grant Colleges. Soil sur-
veys include maps that depict the distribution of agri-
25

_ _ - __ _ _-- . - -- -- I_ -- ~__II- ~
AASHTO T I T L E M S I 0639804 0 0 3 3 6 5 5 7 T T M
cultural-type soil bodies. The agricultural soils are A group of soils having the same range in color,
formed in the uppermost layers of unconsolidated the same character of subsoil, particularly as re-
materials (engineering soil units). The maps are ac- gards color and structure, broadly the same type
companied by a narrative description of the soils and of relief and drainage, and a common or similar
interpretive tables that give the physical and chemical origin.
characteristics and the agricultural and engineering
In 1955, work began on a soil classification system
aspects of each of the soil units. As of 1979,there were
approximately 1200 U.S. counties represented by soil that would have more precise categories to enable
surveys to meet the current needs of users. Many more quantitative and reliable interpretation of soil
states, as part of the cooperative soil mapping pro- surveys. This resulted in Soil Taxonomy (USDA,
SCS, 1975, Agriculture Handbook No. 435). Proper-
gram between the USDA and Land Grant colleges,
have also produced a single Soil-Associationmap of ties used to define classes in Soil Taxonomy have
precise quantifiable limits and are generally proper-
the state, generally at a scale of 1:750,000. Georgia is
such an example (Perkins and Morris, 1977). ties that influence use and management. From 1951
through 1965, soil taxonomy was refined, resulting in
Soil survey reports and maps represent the third
what is known as the 7th Approximation with its six
most useful source of existing informationfor highway
design, following U.S, Geological Survey topographic categories:
maps and the various types of geologic maps in degree
of usefulness. The usefulness of soil surveys varies 1. Order
greatly with the nature of the engineering project, 2. Suborder
with the age of the soil survey, with the expertise of 3. Great Group
the mapper, and especially with the background and 4. Subgroup
experience of the user. Most of the information con- 5. Family
tained in soil surveys must be interpreted for engi- 6. Series
neering purposes despite the fact that the more recent
surveys provide a variety of standard geotechnical The series is the lowest category in the system and, as
information. such, provides the most site-related information of
The crucial point of understanding regarding soil geotechnicalimportance. The use of soil series data of
surveys is that generally the standard unit mapped is any age can be useful in the exploration and design of
named for a soil series. The unit mapped represents highways.
an area on the landscape made up mostly of the soil or
soils for which the unit is named. Most map units 3.7.3.2 Soil Survey Mapping Philosophy. Soil sur-
include small, scattered areas of soils other than those vey maps are the product of an attempt to depict the
that appear in the name of the map unit. Some of areal coverage of parcels of soil with a similar, average
these soils have properties that differ substantially solum or soil profile to about 2 m of depth. The maps
from those of the dominant soil and thus could signifi- are compiled first by photointerpretation techniques
cantly affect engineering use of the map unit. These and are then field checked by foot traverse, and ob-
soils are described in the descriptionof each map unit. servations of road cuts, exploratory auger cuttings,
More than 12,000 soil series have been identified in and test pits. Aerial photographs are used as the map
the U.S. (McCormack and Flach, 1977). base. The soil scientist preparing the map looks ini-
tially for surface-visible indictionsof the nature of the
3.7.3.1 Development of Soil Surveys in the U.S. underlying soil solum. These indicators are landform,
From 1899 to 1938, county soil survey maps were slope, vegetation type, surface water or moisture, and
compiled on a basis very similar to Quaternary or geomorphic position. Photointerpretation techniques
surficial geologic mapping. Many of the maps were aid the mapper in determining soil boundaries.
compiled by geologists and a tradition of association Nearly all SCS soil survey mapping is now printed at
of the soil series with parent geologic materials was scales ranging from 1:15,840to 1:24,000, with much
established. Most of the maps were produced at a of the mapping being performed at 1:20,000. County
scale of 1:62,500 and were printed in color. Soils were surveys also contain useful summary soil maps at
classified using soil series to represent the central scales equal to or small than 1:62,500.
concept for each soil. Class limits were poorly de- Map units on most soil maps are named for phases
fined. Each soil series was named for the geographic of soil series. Soils that have profiles that are almost
location at which it was first described and the map- alike make up a soil series. Except for allowable dif-
ping generally followed Marbuts 1913descriptionof a ferences in texture of the surface layer, all the soils of a
soil series (USDA, SCS, 1964): series have major horizons that are similar in compo-
26 --`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

AASHTO T I T L E IS1 8 8 = 0639804 00L165b 636 W
sition, thickness, and arrangement. Soils of one series of grossly categorizing each map parcel into broad
0 can differ in texture of the surface layer or in the
underlying substratum and in slope erosion, stoniness
quantitative engineering categories, such as:
or other characteristics that affect their use. On the Cohesionless vs. cohesive
basis of such differences, a soil series is divided into Plastic vs. non-plastic
phases. The name of a soil phase commonly indicates High permeability vs. law permeability
a feature that affects its engineering use or mange- Dense vs. loose
ment. Phase designation will allow for geologic inter- Hard vs. soft
pretation of the parcels into different surficial geo- Wet vs. dry
logic units. Easy to excavate vs. hard to excavate
In most cases, soil survey mappingwillsubdivide an
area into more detail than a corresponding geologic The most confusing aspect of conversion of soil survey
map of the same area, and the geologist or geotechni- data to engineering usage is that of loam. Loam is
cal engineer will be faced with the prospect of lump- essentially a cohesive soil of intrinsic value for agri-
ing or combining soil series or phase parcels into cultural purposes. The term itself is meaningless for
surficial units of interest to engineering design engineering purposes and should be translated ac-
studies. cording to the scheme of Handy and Fenton (1977),
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
with verification coming from grain-size analyses.

3.7.3.3 Conversion of Soil Survey Classifications.
In order to make full use of soil maps with map units 3.7.3.4 Engineering Data from Soil Surveys.
comprised of soil phases, the geotechnical engineer or USDA soil surveys prepared after 1965 generally pre-
geologist must review the physical description and sent a considerable amount of engineering property
textural classification of the soil map unit. The domi- data collected at identified locations for single soil
nant horizons of each series is given a textural classi- series. These data are related to specific depths in the
fication. The textural terms used are defined using a solum or are keyed to major soil horizons of the
textural triangle. Of more help to the engineer is the solum. As with conversion of geologic map data for
particle size and mineralogical class given for the fam- engineering purposes, soil survey data can be used to
0 ily of which the series is a part. Data for these classes
are averaged and given for the subsoil as a whole.
obtain a relative appreciation of average engineering
properties. Some soil survey data represent egineer-
Conversion of the USDA texture and particle size ing property determinations that are developed by
classification to engineering classifications can be the SCS on the general engineering characteristics of
aided by comparison with textural triangles relating soil series within individual counties. Other engineer-
percentages of sand, silt and clay to each established ing property data are provided by State DOTS and
soil type. Figures were prepared by Handy and Fen- other organizations. Among the engineering data that
ton (1977) as an aid to this conversion. Use of these are commonly provided in modern County Soil Sur-
diagrams gives an idea of the composition of each soil veys are:
series, and the interpreter should bear in mind the
changes in the system with each modification. The 9 Seasonal moisture content
soils of modern soil surveys have been classified ac- Density
cording to the AASHTO and USCS schemes elim- Texture; refers to the (- ) 2mm fraction; terms
inating the need for this conversion. such as fine silty, etc.
To convert soil series mapping further for engineer- Percent coarse fragments greater than 3 inches
ing purposes, one may use the textural triangle devel- Percent organic matter
oped by the US Army Engineer Waterways Experi- Atterberg limits
ment Station which is keyed to the 1940-1965 period Clay mineral type
surveys. For further comparison of soil survey unit Reaction (pH)
properties with those of the AASHTO and USCS
schemes, Handy and Fenton (1977) have developed The Michigan Department of State Highways and
additional triangles relating sand content to Atter- Transportation has been cataloging the engineering
berg limits and a triangle depicting the size-content properties of standard SCS soilseries for more than 30
basis for the AASHTO classification. years. Programs have subsequently been initiated in
In ali of these schemes for conversion of properties, South Dakota (Crawford and Thomas, 1973), Ohio
0 one must bear in mind that design-related geotechni-
cal data will never be generated by interpretation.
(Johnson, 1973), and Wisconsin (Alemeier, 1974).
The Wisconsin system carries the average soil series
The conversions are appropriate only for the ~ U K ~ C I S ~properties in looseleaf handbook form relating up-
21
- ~ ~~ - -.
AASHTO T I T L E M S I 8 8 0639804 0033657 572
dated series properties for an average solum, along extent of office research is determined by the scope of
with what may be generally expected for the series in the project and the ease of acquiring information.
various Wisconsin locations. The agency or consulting firm itself may have con-
siderable information in-house as the result of pre-
3.7.3.5 General Use of Soil Survey Data. Soil sur- vious investigations of the same or an adjacent site.
vey data are most useful in the preliminary planning Not only completed projects but those that were pro-
stages of the project, The data should be used to posed but not completed should be consulted.
consider the relative cost and suitability impacts of Remote sensing or photointerpretation is discussed
alternative routes and to plan the general nature of in Section 4.0. A minimal level of effort of photoin-
the subsurface explorations that will follow. The gen- terpretation is appropriate for a small site, however a
eral estimates of conditions in the various soil parcels right-of-way for several miles of highway would merit
of mapped areas are as follows: a thorough complete photointerpretation.
Finally, one of the most elusive sources of informa-
General suitabilityhnsuitability tion yet one which may be extremely valuable is the
Depth range to bedrock personal communication. Stated simply, it is a few
Groundwater conditions telephone calls either to other geologists, geotechni-
* General slope stability cal engineers, government officials or anyone else
Erosion susceptability familiar with the site to find out what they may know
Excavation characteristics about it. Obviously, information gathered casually,
Frost susceptability must be verified carefully.
Heave or collapse potential
Potential borrow areas
Degree of uniformity or complexity of soil con-
ditions 3.8 REFERENCES
Soil Survey maps are also excellent sources of project- Allemeier, K. A. Application of Pedological Soil
ing data beyond the normally-mapped right-of-way, Surveys to Highway Engineering in Michigan. In
especially in locating borrow materials and esti- Non-Agricultural Application of Soil Surveys, pp.
mating environmental impact such as surface and 87-98. Edited by R. W. Simmonson. Elsevier, New
culvert erosion and related sedimentation. York, 1974.
Arnold, R. W, Soil Engineers and the New Pe-
3.7.4 Other Sources of Information dological Taxonomy. Highway Research Board Re-
cord, No. 426, pp. 50-54, 1973.
Other sources of geologic maps are the individual Baldwin, M.; Kellogg, C. E.; and Thorp, J. Soil
state geologic surveys, state DOTS, municipal high- Classification. In Soils and Men; Yearbook of Agri-
way or public works departments, regional authorities culture, pp. 997-1001. Washington, D.C.: U S . Govt.
such as River Basin Commissions, Turnpike authori- Print. Office, 1938.
ties, and airport commissions. Professional society
proceedings and journals, academic departments, Belcher, D. J. et al., Map-Origin and Distribution
and various specialty organizations can often provide of United States Soils. The Technical Development
information of use. Much of the above information Service, Civil Aeronautics Administration, and the
may be in manuscript, that is, unpublished. Engineering Experiment Station, Purdue University,
The type of information produced by the state geo- Lafayette, Ind. , 1946.
logic surveys will be similar to that of the USGS. Cain, J. M.and Beatty, M.T. The Use of Soil Maps
Individual surveys have their particular specialties, as in the Delineation of Flood Plains. Water Resources
well as level of activity. Fairly often the state geologic Research Quarterly, Vol. 4, No. 1, 1968.
survey may be part of the environmental mangement Cline, M. G. Basic Principles of Soil Classification.
group or located in the state university. Boring logs Soil Science, Vol. 67, pp. 81-91, 1949.
for water wells are often archived by state surveys.
Rock core collections are also sometimes retained. Crawford, R. A. and Thomas, J. B. Computerized
Local historical societies, historical commissions, Soil Test Data for Highway Design. HRB, Highway
libraries, and tax assessors departments may also be Research Record 426, pp. 7-13, 1973.
a source of maps or reports, particularly old atlases Felt, E. J. Soil Series as a Basis for Interpretive Soil
whch illustrate pre-existing uses of the site. The type Classifications for Engineering Purposes. In Sympo-
of information of interest in an urban site is quite sium on Identification and Classification of Soils, pp.
different from that of a rural site. Obviously, the 62-84. ASTM Spec. Tech. Pub. 113,1950.
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
28
AASHTO T I T L E M S I = Ob39804 CIOLL658 409 =
Handy, R. L. and Fenton, T. E.Particle Size and Petersen, G. E. Construction Materials Inventory,
Mineralogy in Soil Taxonomy. In Soil Taxonomy Neosho County, Kansas. Kansas Dept. of Trans.,
and Soil Properties: Trans. Res. Record No. 642, Topeka, Report No. 33, 1978.
Trans. Res. Board, Washington, D.C., pp. 13-19, Phiiipson, W. R.; Arnold, R. W.; and Sangrey, D. A.
1977. Engineering Values from Soil Taxonomy, Highway
Johnson, G, O. Compiling Preliminary Foundation Research Board Record No. 426, pp. 39-49, 1973.
Data From Existing Information on Soils and Geol- Sauer, E. K. A Field Guide and Reference Manual
ogy. Transportation Research Record 426, pp. 1-6, for Site Exploration in Southern Saskatchewan. Re-
1973. gina, Canada: Saskatchewan Highways and Trans-
Legget, R. F. and Burn, K. N. Archival Material poration, 1987.
and Site InvestigationsCanadian GeotechnicalJour- Scherocman, J. A. and Sinclair, H. R., Jr. Use of
nal, Vol. 22, No. 4, pp. 483-490, National Research Soil Surveys for Planning and Designing Low Volume
Council of Canada, Ottawa, Ontario, 1985. Roads. 2nd Int. Conf., Low-Volume Roads; Ames,
Lovell, C. W. and Lo, Y. K. T. Experience With a Iowa, Proc., 1978.
State-Wide Geotechnical Data Bank, Purdue Uni- Simonson, R. W. Soil Classification in the United
versity, Woodward-Clyde Consultants, TwentiethAn- States. Science, Vol. 137, pp. 1027-1034, 1962.
nual Engineering Geology and Soils Engineering
Symposium Proceedings, Boise Idaho, pp. 193-203, Soil Conservation Service, Soil Classification: A
Idaho Department of Highways, Boise, Idaho. 1983. Comprehensive System (7th Approximation). U.S.
Government Printing Office, Washington, D .C.,
Maryland State Highway Administration, Office of 1960; and 1967, 1968, and 1970 Supplements.
Bridge Development, Foundation Evaluation,
D-T9-17 (4), Policy and Procedure Manual, Bal- Soil Conservation Service, USDA. New Soil Classi-
timore, Maryland, 1979. fication. Soil Conservation, Vol. 30, No. 5 , Decem-
ber 1964.
Maryland State Highway Administration, Office of
Soil Conservation Service, USDA, Soil Survey Lab-
Bridge Development, Foundation Bearing Values,
oratory Methods and Procedures for Collecting Soil
D-79-18 (4), Policy and Procedure Manual, Bal-
Samples. Soil Survey Investigation Report No. 1,
timore, Maryland, 1979.
Washington, D.C., April 1972.
Maryland State Highway Administration, Office of
Soil Conservation Service, USDA. Soil Survey of
Bridge Development, Substructure Units-Design
Ellis County, Texas. Washington, D.C., 1974.
for Future Deck Replacement, D-79-19 (4), Policy
and Procedure Manual, Baltimore, Maryland, 1978. Soil Conservation Service, USDA. Soil Taxonomy:A
Basic System of Soil Classification for Making and
McCormack, D. E. and Flach, K. W. Soil Series and
Soil Taxonomy. Trans. Res. Record No. 642, Trans. Interpreting Soil Surveys. Handbook 436, U.S. Gov-
ernment Printing Office, 1975.
Res. Board, Natl Acad. of Sci., Wash., In Soil Taxon-
omy and Soil Properties, 1977. Specifications For Subsurface Investigations , Ohio
McCormack, D. E. and Fohs, D. G. Planning for Department of Transportation, Columbus, Ohio,
1984.
Transportation Systems and Utility Corridors. In
Planning the Uses and Management of Land. Beatty, U.S. Army, The Unified Soil Classification Sys-
et al. (Ed.), Amer. Soc. Agron, Madison, Wisconsin, tem. Corps. of Engineers Technical Memorandum
pp. 531-553, 1979. 3-357, 1960.
Mitchell M. J. Soil Survey of Columbia County, U.S. National Committees/Tunnelling Technology,
Wisconsin: U.S. Soil Conservation Service, Wash- Geotechnical Site Investigations For Underground
ington, D.C., with photomosaic maps, 1978. Projects, Volume 1: Overview of Practice and Legal
National Cooperative Highway Research Program, Issues, Evaluation of Cases, Conclusions and Recom-
Acquisition and Use of Geotechnical Information. mendations. Volume 2: Abstracts of Case Histories
Syntheses of Highway Practice 33, Washington, D.C. and Computer-Based Data Management System,
pp. 20, 1976. U.S. National CommitteesRunnelling Technology,
Washington, D.C. 1984.
Perkins, H. F. andMorris, E. S. SoiZAssociations and
Land Use Potential of Georgia Soils. Georgia Agri- Wyoming Highway Department Engineering Geol-
@ cultural Experiment Station, University of Georgia,
Athens; 1:750,000.1, 1977.
ogy Procedures Manual 1983. Cheyenne, Wyoming:
Wyoming State Highway Department, 1983.
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
29
A A S H T O T I T L E MSI 88 m Ob39OLl OOLLb59 345 m
4.0 FIELD MAPPING
Field geologic mapping is a means by which all subsur- obtain project-related physical data to shape the in-
face data are made useable for design engineers. The vestigations and design program.
engineering geologic map portrays the estimate of
conditions at any location in the site area or along the 4.2.1 Purpose
ROW. Field Mapping represents an interpretation of
observations by the engineering geologist or geo- Reconnaissance mapping should be undertaken as
technical engineer to produce a two-or-three dimen- the first step in gathering project-related subsurface
sional representation of the geologic fabric of the data. The techniques of reconnaissance mapping are
project area. This mapping is carried on at all scales the same for all geologic and geotechnical mapping;
and with variations in symbols and detail to answer careful observation and accurate graphical reporting
specific design needs. Y
of all pertinent information and observations. Recon-
naissance mapping involves limited foot traverses of
4.1 General the area of interest, using aerial photographs and
topographic maps as a data collection base. The goal
Field maps are a record of the observational coverage is to generate general classifications of material type,
of an area. The area of interest may be several kilo- landform characteristics, the nature of surficial geo-
metres of preliminary transportation routing, alter- logic and soil units, general groundwater conditions,
nate corridors for routing, the face of a rock quarry or and an assessment of geologic constraints.
gravel pit, the interior of a pilot bore or inspection
shaft for an underground transit station, or the site of 4.2.2 Levels of Effort
a roadway failure requiring immediate attention.
Maps are two-dimensional representations of the ex- Reconnaissance mapping should suit the needs of the
tent of units of earth materials of similar properties. A project and of the specific members of the design
variety of symbols are used to portray the nature of team. Prior to leaving for the field, the assigned staff
the materials, their discontinuities and other flaws, members should discuss the data needs of the individ-
and the presence of all manner and types of indicators ual who has requested the mapping. Mapping may be
of geologic phenomena (such as geologic constraints; accomplished on field-compiled sketch maps gener-
see Section 5) that affect transportation system de- ated by pace-and compass methods, by use of soft,
sign. Varnes (1974) has compiled a treatise on the colored pencils on matte-surfaced aerial photo-
development and philosophies of geologic mapping. graphs, by inked lines on rapid-development photo-
The techniques of various types of field mapping are graphs, or suitably enlarged topographic basemaps.
discussed in the present chapter.
4.2.3 Office Reconnaissance & Literature Search
4.2 RECONNAISSANCE MAPPING A thoughtful preparation of field work will remove

many time-consuming obstacles to efficient recon-
In the early stages of project planning and feasibility
e studies, the primary factors controlling cost and envi-
ronmental acceptability of projects are usually un-
naissance efforts. The project engineer should be
consulted as to the basic concept of routing, structure
design or alternate corridor locations. The individual
known. Reconnaissance mapping is the first step to in charge of the field party should study available
31
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

topographic coverage to determine access and foot resulting engineering properties of the materials.
traverse conditions and then develop a concept of Therefore the project-related soil and rock stratigra-
conducting the reconnaissance. A group consultation phy usually results in a further amplification of exist-
with parties to the project is helpful. At this time the ing classical geologic studies.
reconnaissance party chief outlines his program for Foot traverses should be made next, to examine
conducting the field work, including the area(s) of outcrops and landforms located on office photo-
interest to the planning and design team. Once the geologic maps. A well-charted foot traverse should
area of coverage has been mutually agreed upon, the provide up to 25 percent of the data requirements of
reconnaissance party chief should continue to collect the project. The person(s) undertaking the foot tra-
accessory information for continued use in the office, verses should do so with the final objective of being
prior to entry into the field. (See Table .4-1). able to brief the project team about most of the key
Office review of all available materials (Section 3) issues concerning route location and geotechnical de-
will help to determine the level of reconnaissance sign. These objective assessments are listed in Table
effort and to identify key factors which should be 4-2, Fig. 4-1.
examined in the project effort.
4.2.5 Field Reconnaisance Report
4.2.4 Field Reconnaissance
The field reconnaissance report should define most of
A well planned field reconnaissance is needed to ver- the key planning and design issues and estimates of
ify the office reconnaissance. A field reconnaissance their effects on design and construction. The report
program should be undertaken only after the project should form the basis for the site investigation plan, its
team has a good concept of the main requirements of scheduling, its priorities, and its budget. At a mini-
the project and after the geotechnical personnel have mum, the report should include the following ele-
determined the apparent geological conditions in the ments (Table 4-3, Figure 4-2):
site area. The reconnaissance mapping should begin
by inspecting road cuts and drainage-courses and
bank exposures adjacent to roads. The main objec- 4.3 ENGINEERING GEOLOGIC
tives of these observations is to confirm the general MAPPING
types of soil and rock present in the site area. Almost
always, geological formations have distinct lithologic Engineering geological maps are constructed for the
characteristics and these generally control most of the purpose of identifying conditions which will affect the
Table 4-1.
First-Order Determinations from Non-Geologic Source Materials
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
Nongeologic source materials can be used to estimate the presence and nature of soil versus rock; cohesive versus
cohesionless soil; the general origin of soil units (e.g., windblown versus alluvial; beach versus fluvial, etc.)
Topographic Maps Landforms can be interpreted by slope angle, degree of planarity or
convexity/concavity, contour irregularity, and stream cross section
Agricultural Soil Maps Descriptions of soil associations generally provide an opinion as to the
parent material of the soil, often that material lying directly below the soil
solum
Aerial Photographs As discussed in Section 4.5, an excellent source of information; the
usefulness of photointerpretation is limited only by the quality and scale of
the photos and the skill of the interpreter.
Well-Drilling Logs Although these logs are extremely variable in quality, the basic
differentiation between cohesive and cohesionless soils and rock are almost
always obtainable; water levels at the time of drilling or well installation
should also be available.
Engineering Soils Maps Basic landforms are subdivided into units containing similar engineering
characteristics such as origin, soil texture, drainage, and slope. Several
States have prepared these maps on a statewide (New Jersey, Rhode
Island), county (Indiana, Illinois, Washington) or corridor basis (New
Mexico, Indiana, Maine). (See Mintzer, 1983).
Existing Borings Borings from previous investigations in study area or in close proximity can
be correlated to similar soil-terrain conditions in study area.
32
AASHTO T I T L E M S I BB O639804 O O L L b b l T T 3
Field Mapping
Table 4-2.
Key Exploration Factors Definable by Field Reconnaissance
Stratigraphy Definition of most of the soil and rock units that will be ultimately
encountered by sursurface exploration
Exploration Locations Definition of the approximate location and traces of drilling test pitting,
trenching and geophysical surveys; estimation of approximate depths
Accessibility Specification of approximate routes of access into each of the exploration
locations; determination of types of equipment necessary
Key Outcrops Definition of outcrops or exposures that warrant further investigation in
terms of structural geologic mapping or petrologic classification
Water An estimate of the general nature of groundwater and surface water regimes
in the site area; development of concepts for further investigations
Existing Slopes An assessment of the stability factors of major slope-forming geologic units
Material Sources A tentative estimate of the nature and general avaiiability of various
categories of aggregate and borrow materials
Geologic Constraints Identification of geologic conditions which may tend to adversely affect any
of a number of project development plans; devise methods of investigating
the degree of potential impact
Environmental Considerations Identification of potential impacts of the project on water, soil and rock in
the site area, based on the observed or presumed nature of each basic
material type, the existing topography and the preliminary project
development plan.
design, construction, maintenance and overall eco- contacts; and geophysical surveyresults into a compo-
nomics of the transportation system. They provide a site representation of the breadth and extent of each
means of combining outcrop geologic observations; geologic soil and rock unit that is identified at the
drillhole, test pit and trench logging; photogeologic ground surface in the site area.
These geologic maps are similar in many respects to
classical geologic maps, but differ essentially in their
adherence to identification of individual map units
strictly on the basis of observed engineering charac-
i
Table 4-3.
Elements of the Field Reconnaissance Report
A summary of the geologic framework of the site

area.
A stratigraphic listing of soil and rock units ex-
pected to be encountered in field explorations and
subsequent mapping as well as a draft geologic
map legend with tentative lithologic names and
-
%-O
SCALE
5 rnl1.i
map symbols.
A sketch reconnaissance map on site-area scale.
This scale is one level of scale smaller than the
ROW map that will be used in site or alignment
mapping.
Locations, numbers and depth ranges for recom-
a l i . iccluding Qtl. Qt2, Qt3. Qt4 acd a t 5
mended or suggested exploration activities; bore-
GENERALIZED GEOLOGIC holes, test pits, trenches, geophysical surveys, ob-
Tuff
MAP servation welk, etc.
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
Hilllgan and Yoo River fm. PROJECT F-2392(10)

Locations or areas requiring special attention in
Igimus Rocks Jci. C.H.-68- No. Kalchum field mapping or subsurface exploration.
Q Basic questions to be answered relating to ground-
a chailis vOICaIIiFS
Idaho hlthollth
BLAINE COUNTY
IDAHO water environmental concerns and geologic con-
Rilt
straints.
An opinion relating to the probability of locating
Figure 4-1. Reconnaissance Map (Courtesy Idaho and developing significant quantities of construc-
tion materials in the site area.
Division of Highways.)
33
~
- - _--- -I--_
AASHTO T I T L E M S I 88 0639804. O O L L b b 2 93T

-
GEOLOGIC RECONNAISSANCE LOCATION (16-610) engineering geomorphological maps. Both tech-
niques recognize that the landform observed is the
--
16-611 General key to the nature and origin of the rock or soil mate-
Definition: The initial study made approxlmately five years before rial underlying the ground surface at that point, and
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
the confirmed project allgnment based on a geologic

reconnaissance of a selected corridor. that the lateral and vertical extent of the unit is indi-
Rewrt To: District Engineer
District Location Engineer
cated by the form and lateral boundaries of each
District Landscape Architect landform unit. Because of this relationship, most
Copies: Environmental Planning & Corridor Study
Materials Supervisor
mapping begins with photogeologic interpretation of
the right of way (ROW) photos obtained by the Pho-
Field Review: Attendance
District Materials Engineer) 1 of 2 required
togrammetric Department of the DOT, as well as
District Geologist )
Supervising Gwlogist ) required other standard photographic coverage of the region,
such as that of U.S. Department of Agriculture, or
16-612 Purpoce other governmental agencies. Individual DOT re-
The report provides estimating data for the District Location Engi- gions may have established the general geo-
neer end background data for the Environmental Impact Study Report. morphologicaland stratigraphic relations of the phys-
The report rovides information relative to one or mare lines withln the
corridor un& study. iographic regions in which they operate.
Prior to field mapping, it is desirable to establish an
16-613 Rewrt Composition informalproject-related mapping specificationnoting
The report will cover the following subject matter: the general symbols to be used and the rock types to
16-613.1 Introduction be expected. The symbols and units can be modified
_ _Conclusions
16-613.2
- _ or extended on the basis of observations made during
16-613.3
- Evaluations
___ mapping, but uniformity of Agency mapping will be
1. General Geology maintained.
A. Stratigraphy The general procedure for engineering geological
B. Topography mapping is as follows:
C. Coils P Vegetation
1. Using aerial photographs or other remote im-
2. Drainage
ages;
3. Groundwater
a) identify separate landforms
4. Geologic Hazards
A. Existing and Potential Landslldes b) define the area of individual bodies of var-
B. Slope Stability ious surficial geologic units
C. Fault Influence c) assign tentative origin and physical prop-
D. Joint Systems
E. Flood Plain Deposition and Influence
erties to each geologic unit
F. Seismic Rlsk Assignment d) complete site-area photogeologic map
5. Construction e) plan for a field reconnaissance
(Example Report) 2. Conduct a field reconnaissance of outcrops and
road and drainage cuts.
Figure 4-2. Outline of Geologic Reconnaissance
Reports prepared by the Idaho a) devise a list of expected engineering soil
Division of Highways. and rock units and symbols for continued
field mapping
teristics. The characteristicsused to differentiate map b) select key locations for briefing of the field
units are those visually-apparent during mapping: mapping team
hardness, degree of weathering and alteration, basic c) plan for the priorities of mapping; tra-
lithology, grain size, color, and degree of induration. verses and key locations for inspection
Other characteristicsrelated to rock mass properties, d) develop a tentative subsurface exploration
such as nature, continuity and frequency of discon- plan
tinuities should be considered when identiying sepa- 3. Conduct the engineering geologic mapping of
rate geologic units. Although the basis for map unit the ROW and the site area
definition is strictly one of engineering character, the a) locate outcrops and define areas at which
rock or soil is described according to established geo- each engineering soil or rock unit is de-
logical and engineering terms with the use of correct scribed as being representative
geological terms relating to the makeup or lithology of b) review the ROW geologic map and revise
the rock. the exploration plan to inspect key high-
Tho main types of surficial maps represent the way structural sites and locations believed
state-of-the art engineering geological mapping for to be important to the geologic and geo-
transportation systems: engineering unit maps and technical interpretation
34
AASHTO T I T L E MSI 8 Ob39804 0 0 L l b b 3 876
Field Mapping
4. Conduct the field exploration plan, relying on hand, such as bridge foundations and a variety of
drill rigs for observations at depth in areas of remedial treatments of natural damage. Often the
primary emphasis (bridge, piers and abut- site is so restricted as tu be without significant topo-
ments, major cuts and fills, bodies of poor graphic relief or it must be covered at' a scale far larger
quality rock or soil, etc.) than existing topography. Judgments must be made as
a) log the explorations, relate the observa- to the level of detail that is required to formulate the
tions to the geologic map units design of remedial treatment necessary at the site.
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
b) modify geologic contacts to reflect find- If specific design recommendations and quantities
ings of borings and test pits and trenches are not required, a geologic summary can often be
c) determine the need for additional explora- made on the basis of a Polaroid-type photograph
tions including geophysics, to refine map- backed up with a finer resolution panchromatic or
ping in areas of question color negative to be developed and printed later. The
d) conduct these support explorations instantly-developing photograph can be used for an-
e) revise the geologic mapping notation of field notes.
Wherever field geotechnical recommendationsare
4.3.1 Project Area Geologic Maps to be developed for immediate remedial action, a
more accurate portrayal of site geometry is usually
About the smallest scale of geologic mapping that will required. In the event that appropriate topographic
be appropriate for transportation system work will be maps or formal survey assistance are not available, a
that prepared for routes. The map should be at a scale surprising amount of detail and accuracy can be
small enough to show the interrelationships of geo- achieved using a geological compass (Brunton) and
logic units over a wide enough band or strip to offer stadia rod. However, planetable and alidade map-
some degree of routing choice. Project area geologic ping, or more precise mapping by terrestrial photo-
maps are usually constructed along a rather narrow grammetry,may also be required if a structure is to be
strip of land, just wide enough to contain the road- installed and stability considerations are apparent.
way, cuts, fills, and the adjacent areas to be impacted
by construction. The mapped strip should also be
0 wide enough to contain some prospects for aggregate
and borrow locations. The average scale for route
4.3.4 Other Special Geologic Maps
Most special geoIogic maps produced for transporta-

maps is about 1:6000. tion projects are nonrepetitive in nature. Some maps,
such as those compiled for evaluation of off-ROW
4.3.2 ROW Geologic Maps borrow and aggregate sites, consist mainly of plan-
imetric sketches or simpb geologic maps developed in
Geologic maps of the alignment of roads and raii lines enlarged USGS topographic basemaps or enlarged
are essential to development of slope stability assess- aerial photographs. The main objective of materials
ments, bearing capacity, roadbed settlement comput- survey maps is to estimate the areal extent, depth,
ation, rock excavation plans, control of groundwater, and volume of recoverable materials of certain speci-
location and qualification of borrow and aggregate fications.
sources, and a number of other critical design-related Segments of the ROW that may encounter severe
judgments. ROW geologic maps are generally pre- groundwater problems (drainage) or which must be
pared at about 1:600 scale, or at about ten times the considered for impact on abutter's wells will probably
detail of the site area geologic maps. Since ROW be analyzed with the assistance of observation wells so
maps are by nature much longer than wide, scales that the existing piezometric surface can be deter-
larger than about 1:600 become too cumbersomeand mined. In this case, the ROW geology is plotted,
the engineer using the data begins to lose the appre- along with the extend of the projected cuts and fills
ciation of geologic relationships along the ROW. Most and a before-construction and after-construction esti-
ROW geologic maps are not cluttered with detail mate is made of the level of groundwater, along with
because of the relatively low density of exploration the anticipated directions of flow and the equipoten-
locations, at this rather large scale. tials representing the piezometric surface (See Sec-
tion 8). The main objective is to predict the shadow-
4.3.3 Site Geologic Maps ing effect of road cuts on groundwater flow patterns
and to define the expected seepage conditions along
0 The methods of compiling site geologic maps are less
standardized than those prepared for routes. The site
the cut faces.
Metropolitan area transit authorities who are now
maps should be compiled strictly for the purpose at undertaking serious planning measures for initiation
35
__ __ --- -- - -
AASHTO TITLE !SI 88 W Ob3980LI O O L L b b 4 7 0 2
or extension of subway systems often contract for sual inspection and study of a continuous horizontal
broadscale geologic evaluations of the areas of their and vertical section of earth materials. Examples of
main traffic-flow patterns. The past decade has seen some special methods of geologic mapping tech-
release of several of these studies, generally in coop- niques are given in the following subsections.
eration with State surveys or the U.S. Geological
Survey. 4.3.6.1 Test Pits. Test pits are generally excavated
by backhoe and logged by visual descriptions of the
4.3.5 Integration with General Project excavated spoil and pit walls. Good sense and Federal
Photointerpretation regulations (Occupational Safety and Health Admin-
istration, 1974) dictate that the geologist should not
Most agencies have photointerpretation needs that enter unshored test pits greater than 1.5 m (5 ft.) in
extend beyond the primary design information col- depth.
lected during geologic mapping. Land utilization pat- Test pits can be placed at locations where the geolo-
terns and utility corridors affect both the cost of con- gist wishes to locate approximate contacts between
struction and the environmental acceptability of most surficial soil units or to determine depth to rock or the
transportation projects. Kansas DOT has developed a nature of weathering between top of rock and the
corridor analysis methodology which is applied suricial soil units. Small backhoes, which are
through its Environmental Services Section as a first mounted on rubber-tired tractors, can reach to about
action in the planning stage of a route project. A 4 m (12 ft.) of depth. The usual bucket capacity is
photomosaic is prepared at 1:24,000 scale, directly 0.3 m3(3/8 CU. yd.). For depths in excess of 4 m and for
overlaying existing USGS topographic coverage. A dense soil units, larger backhoes will be required.
series of derived maps are prepared as line overlays to Between eight and twelve pits can frequently be lo-
the photomosaic. The primary overlays are: cated, dug, logged, samples, observed for water in-
flow, and backfilled in a day. A sample test pit log is
Soil and geologic conditions included in Appendix A. If such are present, the
Drainage divides number and approximate total volume of boulders in
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
Utilities the pit should be noted. This may be of crucial impor-

Land utilization tance in planning site development and subsequent
use of spoil for earthwork. Shallow observation wells
The analysis is completed in the form of the corri- can be installed in test pits, but the geologist should be
dor maps and an explanatory text. Locations of spe- aware of the possibility of the looser replacement
cial interest may be located on the imagery and fur- spoil of the pit acting as a collection sump during
ther illustrated by enlarged aerial photograhic heavy rainfail, thus giving erroneous groundwater
stereograms. Maps such as these represent a useful levels.
method of assessing route alignment alternatives,
which are compared simply by overlaying the subject 4.3.6.2 Exploration Trenches. Trenches are
route on each of the corridor maps, lengthwise extensions of test pits. Their use is dis-
cussed in detail by Hatheway and Leighton (1979).
4.3.6 Special Methods of Geologic Mapping
4.3.6.3 Exploratory Shafts. Underground struc-
Geologic maps are made as a representation of field turesfsuch as some subway stations in urban areas,
geological observations. Nearly all geologic maps are are often designed with complex geometries. This can
made up of geologic contact lines which are drawn on result in unfavorable stress concentrations in wall
the field basemap on the basis of observations taken at rock, making structural assessments of the rock an
outcrops and other direct indications of contacts be- important facet of site exploration. When little is
tween geologic units. A variety of subsurface explora- known of rock structure in the site area, a combina-
tion techniques are used to supplement the surface tion of expensive oriented core borings (see Section
observations at outcrops. These accessory explora- 7), reorientation of unoriented rock core, and explor-
tions are especially useful whenever the contact rela- atory shaft mapping may be required to adequately
tionships are obscured by vegetation and the surficial assess the nature, attitude and spacing of rock discon-
soil mantle. tinuities.
Wherever slopes are gentle and offer little indica- One or more exploratory shafts may be churn-
tion of changes in soil or rock units, backhoe pits or drilled or calyx (a large-diameter rock core) drilled,
trenches can be used as the basic form of supplemen- wedge-separated and lifted from the boring) drilled to
tary information. Pits and trenches permit direct vi- create an accessible shaft about 1 m (3 ft.) in diame-
36
__ ~~
AASHTO T I T L E MSI 88 0639804 O011665 649 a
Field Mapping
ter. Logging of such shafts, at scales of 1 : l O to 1:15 4-3. During subsurface explorations, the geologic
can provide an excellent summary of relationships not map may be improved with additional structural geo-
otherwise seen even in oriented rock core. logic data obtained from core borings. Fault traces or
geologic contacts may be projected with greater cer-
4.3.7 Rock Structure Mapping tainty utilizing the boring information. Also, the ori-
ented core technique of rock coring can be utilized to
Rock structure mapping entails observing, locating, supply supplemental strike and dip measurements of
measuring and recording lithologic contacts and var- subsurface rock discontinuities.
ious rock discontinuities which provide information Spherical projections provide a convenient tool for
on the orientation of rock masses and their bulk engi- graphical presentation of geologic data. Field mea-
neering characteristics. As discussed in Appendix E, surements of rock discontinuities may be plotted on
the engineering properties of rock should be consid- an upper hemisphere equal area steronet and may
ered at two levels, those of intact rock (or the hand then be interpreted statistically to provide preferred
specimen and laboratory sample level) and those of orientations of joint sets, foliation, shears, etc. to be
the rock mass. The manner in which intact-rock and used in engineering design analyses. The equal-area
rock-inass engineering data are evaluated and used in plot is made up of poles lying perpendicular to planes
engineering geological and geotechnical analyses lie represented by measured strike and dip of discon-
outside the scope of this Manual, however. tinuities. Each measurement is represented by one
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
Tko primary methods are commonly used to pre- pole, and the origin of the pole is the center of the
sent the results of a rock structure mapping program; hemisphere. An example of such a plot is shown as
1) geologic maps showing the location so lithologic Figure 4-4. Different symbols can be used for the
contacts and the presence and orientation of contacts various types of discontinuities, or all discontinuities
and discontinuities, and 2) statistical plots of struc- can be represented together using only one symbol.
tural geologic measuremests. Tlie measurements are Comprehensive discussions on the use of stero-
typically made with a Bruntoii compass and consist of graphic projections has been given by Hoek and Bray
strike and dip of faults, joints, foliation, shear planes, (1974) and Goodman (1976).
zones of broken rock, dikes, sills, veins, and contacts. In order to identify preferred orientations of sys-
Each of these geologic features should also be de- tems of discontinuities, contouring of polar point den-
scribed and classified according to the methods pre- sity may be performed. To arrive at a density contour
sented in Appendix E. plot, the polar point plot is divided into patches of
Maps can be compiled in the field and each obser- equal area and the occurrence of observations in each
vation should be station-related to feldbook notes patch is counted and translated into percent density.
describing the nature of discontinuities. Observation A contoured upper hemisphere polar point density
stations consist of individual rock outcrops or test plot of rock discontinuities is shown as Figure 4-5. If
trenches excavated to bedrock surface. The structural an extensive number of strike and dip observations
geologic observations are tabulated according to sta- have been obtained during field mapping, it may be
tion, attitude, and characteristics (Le., bedding, appropriate to use a computer program with an auto-
joints, shears, etc.) and should be provided as part of matic plotting routine, such as developed by Mahtab
the raw data of the final report (Section 10). et al. (1972). In addition to providing polar point plots
An example of a site area geologic map prepared and polar point density plots, the computer programs
for an Interstate Highway Extension project is por- can output statistical parameters and mean orienta-
trayed as Figure 4-3. Tlie mapping scale should always tions for clusters of observations representing bed-
be selected such that tlie geologic data obtained dur- ding, joint sets, etc. The amount of scatter for each
ing field mapping can be presented in sufficient detail joint set should be evaluated in engineering design
to clearly delineate site geology. If the scale permits, analyses.
limits of rock outcrops and test trenches should be
indicated, to separate the interpretive from the obser- 4.3.8 ibnne1 Silhouette Photography
vational data. Depending on the size of a project site
aiid tlie regional geology, it is possible that structural Tunnel silhouette photography is a means of record-
geologic conditions may vary significantly across a ing single-station, cross-sectional shape, and over-
study area. If this is the case, similar geologic observa- break through flash-photography. The technique is
tions and measurementsfrom various stations may be applied primarily to rock tunnels excavated by con-
grouped together into structicml domains. Approxi- ventional drill-and-blast techniques. In drill-and-
mate boundaries for the structural domains may be blast excavation, deviations from the design tunnel
presented on the geologic map, as shown on Figure cross-section are likely to occur and are of concern to
37
- - __
AASHTO T I T L E M S I 8 8 W Ob39804 0 0 L l b b b 585 W
Manual on Siibsii~aceInvestigations
G _ ~ m O c i CSVVeOLS
APPROXIMTE GEOCCGIC CWITACTI RUERIEU WERE

/' UNCERTAIN
3 STRIKE Am) OIP OF FOLiYTIOI
& STRIKE AWD DIP OF JOINT
Y STRIKE M D DIP OF FAULT

FAULT OR SHFAR 20WE; WIDTH IN FEET NOTE0
,,%,%%i?
BOUWMRY DF GEOLOGIC STRUCTUML OOMIN (SEE
TABLE Ill
@ s i R u c T u m L WWIN IDENTIFICATION.
/ SHORELINE OF W O R E RESERMIR
4
; -
,=?;S. APPROXIWTE AXIS AND CENTERLINE OF AYCICNT
MUCLIKEW BROOK ICE CIUNML
,@ LyRiFH&&WY SECTlOW APPROXIWTE

..e.
,.--- PROPOSED HIGHWV SECTIW WOWM APPROXIWTE
EXTENT OF EUBINKUEWT FILL
+w VERTICAL FOLUTIOW
I" VERTICAL JOIWT
STATIOW
*, AXUL PLAHE OF ANTICLIHE

AXIAL P U N E OF ANTICLINE SHOWlNG PLUNGE I*
OECREES
AXUL P U N E OF SYWCLINE
4, AXUL P U N E OF SYNCLINE SHOWIK RUNGE IN

DECREES
b"" LOCATIOI OF OUTCROP OR BORING FROM WICH THIN

SECTIOW W I S WDE. PETRMIRAPHIC AWLVSES W
THESE ROCKS ARE IWCLUDEO AS APPEWOIX F.
Hl
EASE TAKEN FROM LITTCETOW, N H - Y I (19711AND LOWER VATERFOR0
"-VI i19671 ?-I,?, U.S.G.S. IOPOGWFWIC QWDWNGLES.
EWCINEERIffi H>CK UWIT SVIIBOLS
f -BUCK SUIE
Figure 4-3. A site area geologic map prepared for an interstate highway (Haley & Aldrich, Inc.).
HIGHLANOCROFT
GRAWODIORITE
FOLUTEO. SCHISTOSE OR
GNEISSICHIGHINDCROFI
GRAWOOIORITE RESULTING FROM
CONTACT METAMORPHISU
I ic
2
design engineers, owners, and contractors. The pur- of rock over or under-excavated, compared to the
pose of generating tunnel silhouette photographs is to design tunnel cross-sectional area.
provide a convenient means to study the extent to Silhouette photography as applied to tunnels is not
which the blasting program and geologic features con- a new concept. Hillan (1955) used one form of silhou-
trol the excavated cross-sectional geometry. With a ette photography in connection with an Australian
specially designed light source, it is also possible to hydroelectric project. Fellows (1976) constructed a
quantify overbreak or underbreak, at given stations, light source patterned after the Hillan work, but in-
in terms of cross-sectional area. The amount of over- creased the light-source intensity. Fellows compared
break or underbreak can be expressed as a percentage the photographic method with two surveying tech-
38 --`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

__ _ _ ----..- -__ _
AASHTO T I T L E M S I AB O b 3 9 8 0 4 O O L L b b 7 411 =
Field Mapping
s s
0 Figure 4-4. Upper hemisphere polar point plot of Figure 4-5. Upper hemisphere polar point density
plot of rock discontinuities.
niques for measuring tunnel cross sections and con- tunnel silhouette photographs. The amount of over-
cluded that the photographic method was the most break above the design invert level at the station
accurate and quickest technique. The drawback of the shown on Figure 4-6 was then estimated by polar
Fellows method is the special photographic and sur- planimeter and agrees with survey data within two
veying equipment required. percent.
Until only recently, tunnel silhouette photography
has not been widely used in the United States. Law
Engineering Testing Company employed tunnel sil-
4.4 MATERIALS SURVEYS
houette photography qualitatively in 1977 on a rapid- Considerable attention is given in highway layout and
transit pilot (exploratory) tunnel project in Atlanta, design to create balanced sections of cut and fill,
Georgia, to evaluate typical tunnel cross-sectional thereby minimizing the use of imported materials.
geometry as affected by geologic features. Haley & Design engineers can predict the overall balance of
Aldrich, Inc. (1976) has developed a further-sim- cut and fill, and geologists and geotechnical engineers
plified silhouette photographic procedure. must evaluate the rock and soil components of the
A typical tunnel silhouette photograph made by excavated materials inventory as to suitability as con-
the Haley & Aldrich procedure is compared herein struction materials. It is unusual that a particular
with the results of profile-survey measurements at an construction project goes through design without the
individual station. Survey measurements of tunnel anticipated requirement for location and qualification
cross section were taken from a square wooden temp- of a borrow source of some kind. Materials surveys
let. These measurements were obtained with a crew are the medium of assessment of the borrow sources.
of four persons and took approximately 10 to 15 min- A materials survey should attempt to provide sev-
utes per station to obtain. eral types of design-related data. The data should be
Figure 4-6 has been plotted from survey data at the grouped according to similar bodies or geologic de-
same scale as silhouette photograph enlargement posits which can be identified by landform or struc-
(Figure 4-6). Survey data are compared directly to the tural character.
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
39
AASHTO T I T L E I S 1 8 8 0639804 0011668 358
Manital on Subsurface Investigations
W. Lounsbury, Memphis State University, Novem-

ber, 1979).
The Tennessee study, under contract to the Divi-
sion of Soils and Geological Engineering, DOT, made
I
PAYLINE use of representative samples of defined geologic rock
units, as exposed in operating quarries throughout
(i- the state. The samples and quarries were chosen for
ta geographic coverage and to provide specimens from
nearly all of the lithologies of aggregates which have
been traditionally used in state highway construction.
Due to the fact that the study was statewide, a meth-
odology of analysis was adopted. The Tennessee
DOT method is as follows:
(a 1
Definition of the stratigraphy of expected sam-
ples
Field examination and sampling
Petrologic examination (hand specimen)
Petrographic analysis (thin-section)
Assign a lithologic and engineering rock name
Determination of grain size and texture
X-ray diffraction analysis for clay mineral and
other layer silicate discrimination
Performance of Differential Thermal Analysis;
for clay mineral and layer silicate confirmation
Examination of the insoluable residue.
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
Large amounts of data often call for computer stor-
age of analysis data and later access for statistical
correlation studies.
No system of materials evaluation can offer an ab-
solute qualification of suitability. However, important
ranges of properties can be developed so that engi-
neers are aware of the general degree of suitability or
unsuitability of certain types of aggregates and to
STATION: O+2O what extent such materials must be tested in order to
FAC I PIG: SCUTH qualify for consideration on a particular construction
SCALE: 1:60 ' project.
ib )
Figure 4-6. 1Iiinnel overbreak photograph and 4.4.1 County Wide Materials Surveys
plot used to determine volumes of ex-
cavated rock. Agreements of f two An alternative method to the Tennessee DOT spot
percent have been obtained by use of location of existing materials sources has been applied
this technique and the transit-survey by many State DOTS. These are generally organized
method (Haley & Aldrich, Inc.) on a county-wide basis and use the statewide, plan-
imetric basemaps fostered by the FHWA. Most of the
Statewide materials surveys are often undertaken work is accomplished on a cooperative basis with the
with the expectation that suitable sources are scarce in Federal Agency and results in single county reports of
the region and that the DOT may wish to acquire use not only to transportation agencies but to the
some reserves in anticipation of future requirements. aggregate industry. A positive side benefit of the
Such states as Arizona, Kansas and Tennessee have mapping is that there is some stimulus for private
undertaken these statewide surveys, and have done so development of aggregate sources which may be
on a basis of a uniform evaluation system. The Ten- available at an attractive cost to future transportation
nessee system is illustrative of this type of broad-area projects. The reports are a one-source compendium
assessment effort (personel communication, Dr. R. of geologic resource information for the county. A
40
.-
AASHTO T I T L E MSI 8 8 Ob39804 00LLbb9 2 Y a
Field Mapping
* Abstract
Table 4-4.
Suggested Outline for County-Wide
Materials Inventory
Summary of the physiographic,

TYPE Material and
Geologic Saurce
LIMESTONE
USE AVAILABILITY
Altamont Limestone Formation Concrete and bitumimur lg- Moderate some in east-
gregate. Light type uufac ern part O f county.
lug.
Kertha Limestone Formatim Concrete and bltumimur ag- Good w u ~ ein eastern
hydrologic, geologic and hydro- gregate. Light type airfacing p u t of county.
and tipap
geologic features of the county
I I
Drainage and transporta-
tion map Saope Llmertone Formation Concrete and bitumimur ag- Moderate s o w e in e a t -
segate. Light type auficimg ern part of cauity.
Aerial photographic index and riprap
map Demis Limestone Formation Concrete and bituminour ag- G d w u c e Ln central

General Geology County-wide, color geologic map p u t of cwnty.
gregate. Light type surfacing
and riprap
at 1:250,000 to 1:400,000 scale,
geologic time scale, stratigraphic lola Limestone Formation Concrete and biturninour ag- Limited w u c c in north-
gregate. Light type airfacing r e i t e r n p t of county.
column, Quaternary time scale, and riprap
summarized geologic history and
Plattrburg Limestone Forma- Light type surfacing. Very limited murce along
review of geotechnical considera- tim western edge of cauit,.
tions for construction in the
county SAND AND GRAVEL
Materials The main section of the report: Uidifferentiated Quaternary
Temace (Ncka&an-K.nm?)
Concrete and biturninour ag- Very limited s o w e M
gregate. Light llpe nufac- higher t o p s a p h y alwg
Inventory Table of materials and 1ng. Nemho Riser.
availability
Description of materials by
1
Illinoban Terrace Light type awfacing. Very limited source along
Neorbo Rivet Valley.
geologic unit, including out-
crop stereograms
I I
Tabulated engineering Quaternary Alluvium I
Concrete and bitumimur ag- Moderate some In Ne-
properties gregate. Light type wirfac- I osho R i v u Valley.
irig.
County materials map, by
area segments, at 1:31,250 Figure 4-7. A county-wide materials inventory
scale, with explanatory leg-
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
end summary, part of the Kansas DOT
Site Data Forms; one per statewide materials inventory.
identified existing or poten-
tial source. 4.5.1 mes, Availability, Advantages, and
Limitations of Aerial Data
A variety of aerial remote sensing data exist. This
table of contents for a Kansas county Construction discussion is limited to those data which have some
Materials Inventory is shown in Table 4-4. applicationto terrain analysisand geotechnical explo-
Figure 4-7 is an example of the table of materials ration, are readily available, and reasonably econom-
and availability of a Kansas Countywide Materials ical. These include aerial photography, satellite data,
Inventory. infrared and radar imagery.
Sampling and testing for materials inventories are
usually conducted in accordance with AASHTO and 4.5.1.1 Aerial Photography. The most useful and
state standards (Kansas DOT, 1973). available of the remote sensing data is aerial photog-
raphy. It is availablein various fiimtypes, formats and
scales. The film types include: (1) black-and-white
4.5 REMOTE SENSING (B&W)-panchromatic and infrared; and (2) color-
natural and infrared. The most common type used is
Remote Sensing is the acquisition of information the B&W panchromatic film. However, both color
about an object without physical contact. The normal films have proved valuable for terrain analysis studies
use of remote sensing usually refers to the gathering and have been used more frequently in recent years.
and processing of information about the earths envi- The common photographic formats include vertical
ronment, particularly its natural and cultural re- (camera perpendicular to the ground) and oblique
sources, through the use of photographs and related (camera tilted from the vertical). Vertical photogra-
data acquired from an aircraft or satellite (Colwell, phy is the predominant format used for interpre-
1983). The aerial data collected by remote sensing tation and mapping; obliques are valuable for eval-
systems includephotography (obtained by a camera), uating valley walls and sidehill slopes. Typical scales
and imagery such as satellite, multispectral, infrared of photography include: (1) ultra-high altitude
and radar (obtained by systems other than a camera). (>1:80,000), (2) high altitude (1:40,000-
41
___- _ _ __--- __ - - - -_
= 0639804
.
AASHTO T I T L E !SI 88 00LLb70 Tob
1:80,009), (3) medium scale (1:20,000-1: 40,000, Limitations. Availability, access, and date of
(4) large scale (1:6,000-1:20,000), and (5) very large photography may limit its value. It might take a
scale (<1:6,000). All of these scales have been ap- month or longer to obtain existing photography; the
plied in various ways for terrain analysis and geo- photography might be too old and photographic cov-
technical exploration. A program of special value for erage takes long range planning, as much as a year in
terrain analysis is the National High Altitude Photo- advance; although general non-mapping photographs
graphy (NHAP) program under the coordination of can be obtained rapidly by renting a plane and taking
the U.S. Geological Survey (USGS). In this program, pictures with a hand-held camera-weather permit-
B&W coverage at 1:80,000 and color infrared at ting. In heavily forested regions it may be difficult to
1:58,000 are obtained for the conterminous United interpret terrain conditions because the ground is not
States on a 5 to 6 year cycle. The first cycle started in visible except in scattered areas.
1980 and the second in 1985.
Availability. Access and availability of existing pho- 4.5.1.2 Satellite Imagery. The vast majority of sat-
tography are excellent in the United States and Can- ellite data available includes multispectral (MSS) and
ada and in much of the rest of the world. The National video (RBV) imagery obtained in the Landsat pro-
Cartographic Information Center (NCIC) of the gram (Short, 1982). Some satellite photography is
USGS, maintains an index to all acetate-base film availablefrom manned Skylab and Gemini programs;
obtained from the mid 1940s in the United States by however, this coverage is limited and sporadic. The
Federal Agencies, many State Agencies, and some satellite imagery is small scale (-1: 1,000,000). Each
commercial firms. Information on available photog- image covers a ground area of about 115 miles x 115
raphy can be obtained from NCIC in the USGS Of- miles. Only limited stereoscopic coverageis available.
fices in Reston, Virginia, Rollo, Missouri, Denver, Five different Landsat satellites have been in opera-
Colorado, Menlo Park, California, and Sioux Fails, tion since the first one was launched in July 1972. The
South Dakota. Microfiche listings of the holdings for products available from Landsats 1 and 2 include 4
individual states or regions can be obtained at a rea- bands of MSS data (in B&W), color infrared compo-
sonable cost. The National Archives in Washington, sites from the MSS data, and a limited number of
D.C., is the depository of all nitrate-base photogra- RBV images. Landsat 3 added a fifth thermal infra-
phy collected during the years 1936-1941. In Canada, red MSS band and improved RBV coverage. The
information can be obtained from the National Air- resolution of the 4 MSS bands is 79m, and the infrared
photo Library, Canada Department of Energy, Mines MSS band 240m. Landsats 4 and 5, in addition to the
and Resources in Ottawa. These resources just pro- MSS system, has a 7 band thematic mapper (TM)
vide a listing of the available coverage. To obtain with bands 1-6 having 30m resolution, and the ther-
copies of the photographs, one has to contact the mal infrared band 7 having 120m resolution. When
organization holding the negatives; this process may only one satellite was in operation, repeat coverageof
take a month or more. For those States or organiza- an area could be obtained every 18 days. When two
tions not included in the listing, direct contact has to satellites were in operation simultaneously, repeat
be made with the organizations to determine their coverage could be obtained every 9 days.
coverage. The price list from NCIC, effective July, Availability. The distribution of Landsat data has
1987, indicates that 9.0 x 9.0B&W prints are $6.00 been turned over to a commercial firm, Earth Obser-
each, and color prints $16.00 each. vation Satellite Company (EOSAT). Inquiries about
Advantages. Aerial photography provides a three- available Landsat data can be made by calling
dimensional view of the terrain showing the condi- EOSAT at 1-800-367-2801. The information they re-
tions existing at the time of photography, and the quire is either the latitude and longitude of the area of
interrelationships existing between various natural interest, or the path and row of the images covering
and manmade features. Better results are obtained the area obtained from the Index to Landsat World-
from analyzing photographs collected several differ- wide Reference Systems (WRS). The WRS index
ent times over a period of a year, rather than just maps are available from NCIC. Other information
once. For example, photographs taken in the spring requested is acceptable image quality (5, fair; 8,
during the wettest time of the year, would provide good), and maximum acceptable cloud cover (lo%,
more information on soil/rock types and presence of 30%). The cost of a paper print (7.3 x 7.3) of a
high water table and seepage; photographs taken in B&W MSS image is $80, B&W TM image $150; a
the fall would indicate tree and vegetation differences color composite already prepared for an MSS image
that might be related to soirock and water condi- $150, and a TM image $360. If a color composite has
tions. Together, they provide a more complete picture not been previously prepared, then there is an addi-
of the terrain conditions. tional fee of $200 to generate an MSS image, and $300
42
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

AASHTO T I T L E HSI 8 8 Ob37804 O O L L b 7 L 742
Field Mapping
to generate a TM image. Ail prices are as of July,

~
are passive sensors that rely on natural illumination or
1987. heat emission, radar is an active system that produces
0 Advantages. Can obtain repetitive, and multi-
spectral coverages of areas of interest. Very useful for
microwave radiation to illuminate the surface. Thus,
radar is a day-or-night, and virtually all-weather im-
regional natural resource studies (e.g. ,geology, vege- aging system. The most common type of radar imag-
tation, landuse); or to note changes that have oc- ery collected is that using a sidelooking airborne radar
curred over a period of time due to natural or man- (SLAR) system, using either K-band or X-band
made factors, temporal changes, or changes due to wavelengths, and horizontal (transmit)-horizontal
catastrophic occurrences. Excellent source of recent (receive) or (HH) polarization. Radar flights can
images of various parts of the world at reasonable cover large areas very rapidly, each flight strip cover-
costs. ing a band about 12 miles wide at scales of 1:250,000
Limitations. Small scale, lack of continuous stereo- or 1:400,000. Image resolution for the X-band sys-
scopic coverage, and added cost for color composites tems is about 10m. It is also possible to obtain stereo
if images not previously prepared. It also takes longer radar coverage (USGS, 1985).
to obtain these images. Stereoscopic satellite images Availability. Radar imagery is available from the
can be obtained from a recently launched European USGS for selected projects in the conterminous
satellite called SPOT, but this requires a special United States and Alaska. Radar strips or mosaics for
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
order which is expensive. these project areas can be obtained from the USGS,
EROS Data Center, Sioux Falls, South Dakota. A
4.5.1.3 Infrared Imagery. Thermal infrared imag- SLAR Microfiche Reference System showing the
ery can be obtained in certain regions or windows of areas of coverage is available from the EROS Data
the infrared region within the electromagnetic spec- Center. Paper prints of radar strips are $30 each,
trum; these are at the 3.0-5.0 and 8-14 micrometer 1:250,000 mosaics $85 each, and 1:1,000,000 mosaics
wavelengths. Daytime or nighttime imagery can be $60 each. (All prices are as of July, 1987.) The Good-
obtained, but the nighttime imagery has proven more year Aeroservice Company in Litchfield Park, Ari-
useful for terrain analysis (Rib and Liang, 1978). zona is the repository for radar imagery collected by
Availability. Infrared imagery has been obtained various DOD Agencies. The availability of strip radar
for various research projects by organizations such as coverage can be ascertained by providing latitude and
NASA, USGS, DOD, and several Universities. The longitude coordinates. Copies can be obtained at rea-
data obtained by NASA and USGS is available sonable costs. A limited amount of radar imagery has
through the USGS, EROS Data Center, in Sioux beenobtained from satellite systems. Coverage of the
Falls, South Dakota. Thermal infrared imagery can Seasat program and Shuttle Imaging Radar program
be obtained by contract withcommercialfirms such as are shown in the Geologic Applications section of the
Daedalus Enterprises Inc., Ann Arbor, Michigan, Manual of Remote Sensing (Williams, pp 1698-1703,
and Teledyne Geotronics, Long Beach, California. 1983). Radar imagery can be obtained by contract
Costs for special flights can be expensive and proba- with some commercialfirms such as Goodyear Aero-
bly only justified for extensive or critical exploration service Co., Litchfield Park, Arizona, and E m ,
programs. Ann Arbor, Michigan. Costs for special flights are
Advantages. Infrared imagery offers some unique expensive and only justified for very large areas of
information that can not be obtained directly from the investigation.
analysis of aerial photography. The combination of Advantages. Radar can be obtained for large areas,
aerial photography and infrared imagery provides a day-or-night, in virtually all weather conditions and
more accurate portrayal of terrain conditions than can under a constant illumination. It is especially useful in
be obtained from either system alone. areas with constant cloud cover where it is difficult or
Limitations. Cost, limited availability of infrared impossible to obtain any other form of aerial data.
systems and data, the necessity of more ground infor- Limitations. Smallscale, cost, and limited availabil-
mation for interpretation of the imagery, and the need ity of existing data are some of the limiting factors in
for better weather conditions for flights, are some of the use of radar imagery. A knowledge of radar prin-
the factors limiting the use of this data. The resolution ciples is necessary for the proper interpretation of
of infrared imagery is not as good as for aerial photog- radar imagery.
raphy. A knowledge of infrared principles is neces-
sary for the proper interpretation of infrared imagery. 4.5.2 Uses of Aerial Data
e 4.5.1.4 Radar Imagery. In contrast to aerial cam-

eras and multispectral and infrared scanners, which
Aerial data provides an aerial overview of the project
area that is far superior to an actual overflight, and
43
AASHTO T I T L E M S I 88 Ob39804 O O L L b 7 2 889
provides information that might not be easily is probably the best film type to use. The different
discernible by ground reconnaissance. Unlike ground color tones associated with different vegetative types
reconnaissance, photo interpretation allows for the and conditions (e.g., hardwoods from softwoods; un-
inspection of the terrain without the obstruction of dergrowth, pasture and grasses from forested areas;
topographic relief, vegetation, and cultural features. water from vegetation) can assist in relating the vege-
Aerial photography provides the interpreter with a tation types to the underlying soil, rock, and water
stereoscopic view of the route or site along with the conditions.
surrounding terrain. Using the standard two-power Thermal infrared imagery offers some unique in-
pocket stereoscope, a useful vertical exaggeration of formation not directly interpretable on other aerial
about 3.5 times, accentuates topographic relief. Vari- data. Various temperature and emissivity (efficiency
ations in topographic expression, along with the ele- of an object in absorbing and emitting energy) fea-
ments of drainage and erosional patterns, tone and tures of the terrain can be related to specific geo-
texture, and vegetation and cultural features form the technical conditions. Rib and Liang (1978) have listed
basis for terrain analysis. An added factor in increas- some valuable information that thermal infrared im-
ing the accuracy of interpreting aerial data is that of agery provides for landslide investigations: (1) indica-
analyzing data collected at different times of the year tion of surface and near surface moisture and drain-
over the project site. Differences noted at different age conditions; (2) indication of the presence of
times of the year over the project site. Differences massive bedrock at or near the surface; and (3) dis-
noted at different times of the year can be related to tinction between loose colluvial materials and solid
specific terrain conditions and thus help in the identi- bedrock. Tanguay and Chagnon (1972), and J. Buck-
fication of unique terrain features. meier of Texas Instrument, have reported success in
High-altitude and ultra-high photography, satellite using thermal imagery to locate the high moisture and
imagery, and radar imagery have proven useful for seepage zones in unstable areas. This aided them in
the initial stages of terrain analysis. They provide an planning exploration programs to stabilize these un-
excellent overview of the terrain and the interrela- stable areas. Thermal infrared imagery has also been
tionships of the natural and cultural features. Re- used in active volcanic areas such as in Yellowstone
gional geologic structure, traces of major faults, linea- National Park to aid in avoiding heated water and soil
ment delineation, and large regional instabilities are zones,
best represented on these data types (e.g., Alfoldi,
1974 was able to delineate landslide susceptible ter- 4.5.3 Image Interpretation
rain on a satellite image).
After the broad regional terrain analysis is per- The entire process of image interpretation is based on
formed on the small scale photography and imagery, the fact that geologic units (rock and soil) possess
medium and large scale photography should be used enough differences in physical characteristics as to
for planning the geotechnical exploration investiga- represent distinct regimes with respect to roughness
tions. Rib (1967) concluded after evaluating various of the ground surface, type of vegetation, shape and
aerial remote sensing data, that the best single system slope of, and the way in which the unit affects the
for delineating soils and soil conditions was large scale presence of groundwater and surface water. These
natural color photography; multispectral imagery aspects of the physical properties of the site affect the
provided additional soils/terrain information, but at a texture, tone, pattern, and color (if color imagery is
greater cost in time and money. Various other investi- available) of the image. Additionally, linear features
gators have similarly reported the value of color pho- of a non-cultural nature are added indicators of engi-
tography for terrain and geotechnical investigations neering significance. Virtually ail natural processes
(e.g., Chaves and Schuster, 1964; Mintzer and Bates; result in landform and vegetational elements which
1975, Stallard, 1965). Very large scale photography is are strictly nonlinear and nonuniform in shape and
not as useful because of the limited coverage per area extent. Features which take on a linear aspect
image. It may be difficult to gain an appreciation of should be identified and interpreted on the basis of
the interrelationships of geology and topography as whether or not they represent some form of previous
they influence project layout and design. stressing or breakage of the underlying natural mate-
Aerial photographs of forested regions are un- rials. Geologists are aware of the fact that even at the
doubtedly the most difficult to interpret. The vegeta- microscopic level, linear traces represent mineral
tive cover may become so dense, as in tropical areas, fracturing or stress concentrations and their related
as to preclude direct interpretation except in scat- microdisplacements. Such is also the case at the
tered areas and for certain elements of geology and macro-level of remote imagery.
terrain. For heavily vegetated regions, color infrared Tone and texture are rarely quantified in terms of
44 --`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

AASHTO T I T L E M S I 8 8 0639804 OOLL673 715 m
Field Mapping
e their expression or lack thereof; rather, the photoin-

terpreter notes differences and similarities and places
boundary lines (geologic contacts) on the interpreta-
4.5.3.3. Compilation of the First Interpretation.
Using soft and carefully-sharpened color pencils
(Mars Omnichrome) begin marking apparent geo-
tion overlay. These contacts are the interpreters as- logic contacts between soil and/or rock units. If the
sessment of the differences and similarities between markings can be made without damage to the emul-
texture and tone of adjacent areas. When the inter- sion surface of the photographs, it is often best to do
preter adds the third element of landform and the so, leaving a photogeologic interpretation on alter-
successive elements of vegetation and evidence of nate stereoscopic prints. If damage is apparent or
surface or groundwater, the type of soil or rock be- markings are not allowed by custodians of the prints,
comes more and more apparent. then the use of a light-weight, semi-matte surface,
Entry-level personnel in the Agency should avail acetate film laid over one print of the stereoscopic
themselves of such excellent references as Ray pair is appropriate.
(1960), Miller and Miller (1961), Lillesand and Kiefer Colors are useful indicators of the nature of each
(1979), Way (1978), and Scovel and others (1965), in element of the interpretation. For example, yellow
order to independently develop their skill at image can be used to outline soil units, green for rock, red
interpretation. Actual transparent overlay interpreta- for structural features such as discontinuities and
tions should be made, in which the geologist or geo- folds, blue for groundwater and surface water, and
technical engineer goes to the point of making a pho- brown for cultural features and manmade fill. Note
togeologic interpretation or terrain analysis of the locations and areas that appear to be very important
photo. for field verification.
Some of the essential steps in image interpretations Within each area of soil or rock unit, place a first-
are listed below: approximation symbol indicating its expected physi-
cal nature (rock or soil type) and information dealing
4.5.3.1 Orientation. Arrange the flight lines of with its expected geologic origin, depth and possible
overlapping aerial photographs in sequential order of underlying material.
exposure, find north, and begin to locate the center
points of the photographs, or nadirs, on available 4.5.3.4 Assessment of the First Interpretation.
topographic maps. Once the average scale of the im- Transfer the interpretation to a transparent overlay
agery has been worked out, cut out a cardboard temp- and have a blueline facsimile made. Finalize the sym-
late in the square or rectangular format of the photo- bols, develop a draft map legend and color the map
graphs and to the same scale as that of the according to the symbols. The act of coloring a photo-
topographic map base. Mark the coverage of each geologic or geologic field map often makes errors and
image on the topographic basemap. discrepancies instantly apparent. It must be remem-
With this accomplished, locate the area of interest bered that this product is not a true map, but a form
to the project and determine which of the images map, since the various points traced rom the photo-
provide the best coverage. graphs may be at different scales and not in their true
map position.
4.5.3.2 Initial Scan of Imagery. Quickly scan the Plan a route of access and traverse across or along
imagery to detect the major aspects of image quality, the project alignment, such that all critical outcrops
the general nature of landforms, and the relationships or landforms are visited on the first field trip. The
between existing cultural features and the main topo- colored version of the photogeologic interpretation
graphic features. A good way to begin the mapping is can be annotated as to priority of each stop and an
to pick an area which represents a type of geology or indication of what will be investigated at the stop. The
landform with which the interpreter is most familiar. process of identifying the critical locations and defin-
Often a good place to begin the interpretation is a well ing the questions to be answered is the best method of
defined contact between valley-fill alluvium an sur- planning for effective field mapping.
rounding bedrock or glacial-drift-mantled hills.
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
Continue to scan the photographs gaining an ap- 4.5.3.5 Field Verification. Field verification,
preciation for the degree of variation in tone and should be used to confirm the nature and location of
texture representing the various soil and rock units geologic and cultural features identified on photo-
that begin to appear to the interpreter. Complete the geologic maps. This mapping is often best accom-
scan of all of the photographs making up the primary plished on the site-area route maps, generally about
e areal coverage of the route or site; return to area that

appeals to the interpreter as being the best place to
start.
1:6000 in scale. If the site-area topographic base has
been enlarged from existing governmenttopography,
it can be printed as a screened reproduction. The base
45
-. - - - ___-- - -__-
I_ ~ ~ _ _ _ _ _ _
AASHTO T I T L E M S I 88 W Ob39804 0011b74 651
itself will have a reduced visual impact due to the American Society of Photogrammetry, Fa Church,
screening. If the photogeologic contacts have been Virginia, 2 Vol., 1983.
optically transferred (by use of an enlarging-reducing Compton, R. R. Manual of Field Geology. John Wiley
tracing device) from the aerial photographs to the & Sons, Inc., 1962.
site-area basemap, the photogeologic interpretation
can be annotated and revised directly during the field Cooper, S. S. Cavity Detection and Delineation Re-
verification.During this field investigationa rudiment search: Report 3-Acoustic Resonance and Self-Po-
of the ensuing field exploration plan can be devel- tential Applications: Medford Cave and Manatee
oped, along with estimates as to the kind of equip- Spring Sites, Florida, Waterways Experiment Sta-
ment that will be required, the probable production tion, Department of the Army, GL-83-1. Available
rates for exploration and genera1 routes of access in From: National Technical Information Service,
terrain limited by topographic relief or relatively thick Springfield, Virginia, 1983.
vegetation. Curro, J. R. Cavity Detection and Delineation Re-
search: Report 2-Seismic Methodology: Medford
4.5.3.6 Finalization of the Photogeologic Interpreta- Cave Site, Florida, Waterways Experiment Station,
tion, The return to the office, the photogeologic Department of the Army, GL-83-1. Available From:
form map becomes, essentially, the first project geo- National Technical Information Service, Springfield,
logic map. This information should be transferred to a Virginia, 1983.
topographic base map and drafted, at least on a provi- Dennison, J. M. Analysis of Geologic Structures. W.
sional basis, for use as the main exhibit for project W. Norton & C o . , 1968.
briefings among other geotechnical personnel and
with the design and planning engineers. The photo- Doornkamp, J. C.; Burnsden, Q.; Jones, D, K. C.;
geologic map will next be enhanced by field mapping, Cooke, R. U.; and Bush, P. R. Radio Geo-
probably at a larger scale (1 :500 to 1:1,000) during morphological Assessments for Engineering. Quart.
actual field exploration. Jour. Engr. Geol., London, Vol. 12, pp. 189-204,
1979.
Eyles, N. Glacial Geology. An Introduction For En-
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
4.6 REFERENCES gineering and Earth Scientists, Toronto University,

Canada, Monograph, Oxford, England: Pergamon
Press, 1983.
Alfldi, T. T. Regional Study of Landsliding in East-
ern Ontario by Remote Sensing. Department of Fellows, S. Tunnel Profiling by Photography. Tun-
Civil Engineering, University of Toronto, MS thesis, neb and Tunneling, pp. 70-73, May 1976.
1974. Galster, R. W. A System of Engineering Geology
Ballard, R. F. Cavity Detection and Delineation Mapping Symbols. Bull. Assoc. of Engr. Geologists,
Research: Report 5 , Electromagnetic (Radar) Tech- Dallas, Vol. 14, No. 1, pp. 39-47, 1977.
niques Applied to Cavity Detection. Waterways Ex- Gartner, J. F.; Mollard, J. D.; and Roed, M. A.
periment Station, Department of the Army, Techni- Ontario Engineering Geology Terrain Study Users
cal Report GL-83-1. Available From: National Manual. Ontario Ministry of Natural Resources,
Technical Information Service, Springfield, Virginia, Ottawa, Report NOEGTS 1, 1980.
1983. Goodman, R. E. Methods of Geological Engineering.
Bowen, R. Geology in Engineering. Whittier Col- West Publishing Co., 1976.
lege, California, Monograph Essex, England: Haley & Aldrich, Inc. Geotechnical Data Report,
Elsevier Applied Science Publishers, Limited, 1984. Massachusetts Bay Transportation Authority, Red
Chaves, J. R. and Schuster, R. L. Use of Color Line Extension NW-Harvard to Davis, Porter
Photography in Materials Survey. HRB Rec. 63, pp. Square Station Pilot Tunnel. Vol. I, June 1976.
1-9, 1964. Hatheway, A. W. and Leighton, F. B. Trenching as
Church, R. H. and Webb, W. E. Evaluation of a an Exploratory Method. Reviews in Engineering Ge-
Ground Penetrating Radar System For Detecting ology, Vol. IV, Geol. Soc. America pp. 169-195,
Subsurface Anomalies. U.S. Department of The 1979,
Interior, Bureau of Mines, N9004. Available From: Hillian, D. N. Tunnel Cross Sections by Photogra-
National Technical Information Service, Springfield, phy: Snowy Mountains Hydro Electric Authority.
Virginia, 1985. The Australian Surveyor, Vol. 14, p. 283, September
Colwell, R. N. (Ed.) Manual of Remote Sensing. 1955.
46
AAS-HTO T I T L E M S I 8 8 = 0639804 OOLL675 598 W
Field Mapping
Hoek, E. and J. W. Bray. Rock Slope Engineering. Photography for Highway Applications.? Final Re-
Institute of Mining and Metallurgy, 1974. port 3849-1, Federal Highway Administration, 1975.
Idaho TransportationDepartment. Materials and Re- Mintzer, O. W., (Ed.) Chap. 32, ?EngineeringAppli-
search Manual. Boise, Idaho. cations,? Manual of Remote Sensing, American Soci-
John, K. W. ?Graphical Stability Analysis of Slopes ety of Photogrammetry, Falls Church, Virginia, Vol.
in Jointed Rock.? Journal of the Soil Mechanics and 2, pp. 1955-2109, 1983.
Foundation Division, ASCE, Vol. 94, No. MS2,1968. Naismith, H. W., and Gerath, R. F. ?Geotechnical
Kansas Department of Transportation. ?Construc- Air Photo Interpretation.? The B. C. Professional
tion Materials Inventory of Republic County, Kan- Engineer, Vancouver, British Columbia, August
sas.? Kansas Dept. of Trans. Report, Topeka, Kansas. 1979.
Ray, R. G. ?Aerial Photographs in Geologic Inter-
Kansas Department of Transportation. ?Standard pretation and Mapping.? U.S. Geol. Survey Prof.
Specifications for State Road and Bridge Construc- Paper 373, pp. 230, 1960.
tion.? The Department, Topeka, Kansas, pp.
510-574, 1973. Rib, H. T. ?An Optimum Multisensor Approach for
Detailed Engineering Soils Mapping.? Joint Highway
Lacey, D. L. ?Applications of Soil Survey Data to Research Project No. 22,2 Vol., Purdue University,
Highway Engineering in Kansas.? HRB Bull. 83, pp.
1966.
29-32, 1953.
Rib, H. T. and Liang, T. ?Recognition and Identifica-
Lahee, F. H. Field Geology, 5th Ed., McGraw-Hill
tion. ?Landslides: Analysis and Control. TRB, Spe-
Book Co., 1952.
cial Report 176, pp. 34-80, 1978.
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Law Engineering Testing Company. ?Report of Ge-

Roed, M. A. ?Northern Ontario Engineering Geol-
ology and Instrumentation, Peachtree Center Station
ogy Terrain Study, New Liskeard Area, District of
Pilot Tunnel, Metropolitan Atlanta Rapid Transit
Timiskaming.? Ontario Ministry of Natural Ke-
System, CN-124.? Vol. II, North Line, August 1977.
sources, Ontario, Report NOEGTS 84, 1979.
Legget, R., F and Burn, K. N. ?Archival Materia1
Sauer, E.K. ?A Field Guide and Reference Manual
and Site Investigations,? Canadian Geotechnical
0 Journal, Vol. 22, No. 4, pp. 483-490, National Re-
search Council of Canada, Ottawa, Ontario, 1985.
For Site Exploration in Southern Saskatchewan.? Re-
gina, Canada: Saskatchewan Highways and Trans-
portation, 1987.
Lillesand, T. M., and Kiefer, R. W, Remote Sensing Scovel, J. L.; O?Brien,E. J.; McCormack, J. C.; and
and Image Interpretation. John Wiley and Sons, 1979. Chapman, R. B. Atlas of Landforms. New York:
Lovell, C. W. and Lo, Y. K. T. ?Experience With A John Wiley & Sons, 1965.
State-Wide Geotechnical Data Bank,? Purdue Uni- Sellmann, P. V., Arcone, S. A., and Delaney, A. J.
versity, Woodward-Clyde Consultants, TwentiethAn- ?Radar Profiling of Buried Reflectors and the
nual Engineering Geology and Soils Engineering Groundwater Table.? Cold Regions Research and
Symposium Proceedings, Boise, Idaho, pp. 193-203, Engineering Laboratory, Department of the Army,
Idaho Department of Highways, Boise, Idaho, 1983. CRREL 83-11, Hanover, New Hampshire, 1983.
Mahtab, M. A. et al. ?Analysis of Fracture Orienta- Short, N. M. The Landsat Tutorial Workshop. NASA
tions for Input to Structural Models of Discontinuous Ref. Pub. 1078, 1982.
Rock.? U.S. Dept. Interior, Bureau of Mines Report
Stallard, A. H. and Beige, R. R. Jr. ?Evaluation of
of Inv. 7669, 1972.
Color Aerial Photography in Some Aspects of High-
Mattox, R. M. and B. P. Landry. ?Excavation, way Engineering.? HRB Rec. 109, pp. 18-26, 1966.
Trenching and Shoring Operations.? Highway Focus, Thornburn, T. H. and Bissett, J. R. ?The Preparation
U.S. Federal Highway Administration, Vol. 6, Na. 2, of Coil Engineering Maps. From Agricultural Re-
pp, 16-24, 1974. ports.? HRB Bull. 46, pp. 87-95, 1951.
Miller, V. C. and Miller, C. F. Photogeology. UNESCO. Engineering Geological Maps. The
McGraw-Hill Book Co., Inc., 1961. UNESCO Press, 1976.
Ministry of the Environment. Terrain Classification. U.S. Army. ?Geologic Mapping of nnels and Pe-
Resource Analysis Branch, British Columbia Envi- riphery Method.? Dept. of Army, Ofice of Chief of
ronment and Land Use Committee Secretariat, Third Engineers, E T L 1110-1-37, Washington, D.C., 1970.
Printing, Victoria, B.C., 1977. U.S. Geological Survey. ?SLAR Side-Looking Air-
Mintzer, O. W., and Bates, D. ?Use of Color Aerial borne Radar.? October, 1985.
47

Varnes, D. J. The Logic of Geologic Maps, With Williams, R. S. Jr. (Ed.) Geological Applications,
Reference to Their Interpretation for Engineering Manual of Remote Sensing, American Society of Pho-
Purposes. U.S. Geological Survey Professional Pa- togrammetry, Faiis Church, Virginia, Vol. 2, pp.
per 837, 1974. 1667-1953, 1983.
Way, D. S. Terrain Analysis. Dowden Hutchinson & Wilson, H. E. The Geological Map and the Civil
Ross, Inc., 1977. Engineer. in Roc. X N , International Geological
Way, D. S. Terrain Analysis, 2nd Ed., Dowden Congress, 1972*
Hutchinson & Ross, Inc. and McGraw-Hiil Book
Co., 1978.
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48

AASHTO T I T L E MSI 8 8 = 0639804 O O L L b 7 7 360 =
5.0 GEOLOGIC CONSTRAINTS
Transportation systems are subject to a variety of based on attainment of a level of assurance that the
rare, high-impact natural phenomena. Most of these constraint is compensated for in design.
forces have a geologic cause and involve some disrup- Constraints that represent frequency-dependent
tion of the terrain under or around the transportation natural events must be countered by measures to
network. The disruption is often created by dislodge- divert the forces (e.g., flood waters or snow ava-
ment of masses of earth materials onto or from a lanches) from the system or to strengthen the system
roadway cross-section, or by strain-type displace- so that it will retain acceptable minimal function
ments of roadways and other key structures. Such (e.g., earthquakes) immediately after the event has
forces have been termed geologic hazards. Recogniz- occurred.
ing that most of the hazards can be predicted in some Table 5-1 lists the more common geologic con-
way, geologists have recently adopted the term geo- straints, the general nature of their occurrence, the
logic constraints to indicate that, when properly iden- type of threat that they represent, the basis upon
tified as to presence or potential, such hazards can be which they are assessed for transportation system de-
engineered toward minimal impact. sign, and the design-level requirements placed on
Transportation systems subsurface investigations geological and geotechnical personnel in the trans-
should identify potential geologic impacts early in the portation organization.
office or field reconnaissance and define their key Design personnel should be able to define the na-
aspects so that planning and design personnel can ture of most threats due to geologicconstraints. After
provide the engineering response. The engineering definition of the threats, a philosophy of containment
solutions may range from minimal-cost measures to or avoidance should be developed on the basis of
consideration of serious economic impacts on the feasibility and cost. Once the decision is made to plan
basis of alternate design concepts or rerouting. for containment or avoidance, the site specific design-
level recommendations can be developed for either or
both choices. Separate subsections of this section dis-
5.1 PROVIDING DESIGN-RELATED cuss the nature of major geologicconstraints, and how
DATA each can be defined by Agency personnel to a degree
sufficient to warrant alignment and design decisions.
Geologic constraints should be considered in terms of
the magnitude of strain or disruption to the transpor-
tation system represented by the occurrence of each 5.2 DETECTION OF GEOLOGIC
event. Geotechnical engineers and geologists should CONSTRAINTS
detect the potential geologic constraint, assess its risk
of occurrence, and estimate the magnitude of the Geologic constraints may be passive or active, pre-
impact. Some constraints are continuous and ongoing dictable, quasi-predictable, or unpredictable, and of a
(such as swelling soil or rock), others are single-event single-event or recurring nature. Nearly all transpor-
threats (such as unstable soil and potential land- tation projects will encounter some form of geologic
slides), others are frequency-dependent and recur- constraint; those of least impact can result in infre-
ring (earthquakes and hydraulic damage). quent roadway hazards and intermittent maintenance
For constraints that are continuous or single-event costs; the more serious constraints would be capable
@ in nature, the constraint is considered to represent a
100-percent risk potential. Design should then be
of causing severe losses in human life and property
damage, and could result in relocation of a facility or
49
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- __ - -
AASHTO T I T L E M S I 88 Ob39804 O O L L b 7 8 2 T 7
Table 5-1.
Identification and Accommodation of Geologic Constraints in li-ansportation System Design
I
Design-Level
Constraint Occurrence Nature of Threat Assessment Basis Requirements
SUBSIDENCE Single-event; Predict- Mass displacement; Mapping, drilling, Depth, geometry and
able (active mineral open voids in road- geophysics areal extent of min-
extraction) Un- way eral extraction activ-
predictable (aban- ity; devise methods
doned mineral of avoiding or inac-
extraction activities) tivating the process
Quasi-predictable
(growth faults and
carbonate dissolu-
tion)
LANDSLIDES Single-event; Predict- Mass displacement of Remote sensing, Geometry of mass;
AND OTHER able roadway or debris mapping, drilling, definition of driving
MASS WASTAGE onto roadway geophysics, instru- forces; method drain-
mentation ing water or reduc-
tion of driving forces,
relocation if remedial
treatment is not cost-
effective
UNSTABLE SOIL Single-event; Fredict- Slow and continuous Mapping, drilling, Estimate potential
AND ROCK able displacement of petrology, petrogra- for volumetric
roadway and struc- phy, known detri- change under mois-
tures; adjacent slope mental geologic ture variation and ex-
sloughing formations posure to elements;
define need to re-
move, drain, isolate,
or overcome by
structural resistance
FLOODING Frequency-dependent Removal or obstruc- Mapping, hydrologic Estimation of erosion
tion of roadway or statistics susceptibility, deter-
structures mination of level or
path of flow
SEICHES AND Frequency-depend- Disruption of traffic; Assess geometry of Define risk-related
TSUNAMIS ent; Risk basis erosion of roadway; roadway; use of hy- level of runup and
debris obstacles to drologic statistics, area of inundation
traffic empirical seismic re-
lationships
TIDAL Predictable Inundation of road- Review hydrographic Estimation of runup
INUNDATION way, lodgement of records, assess site area, erosion, sus-
debris geometry ceptibility of soi
rock
VOLCANISM Quasi-predictable; Blockage of roadway Mapping to include Estimate path, vol-
Frequency-dependent (lava flows, ash falls, presumed volcanic ume, depth, rate of
mudflows) disruption vent; stratigraphic advance of each type
of drainage up- basis for frequency; of roadway blockage
stream; noxious seek evidence of unit; consider diver-
gases each type of roadway sion schemes
blockage unit
AVALANCHES Predictable within Disruption of traffic, Mapping of previous Estimation of maxi-
each season; on ob- lodgement of debris, accumulations and mum mass volume
servation structural damage flow paths and rate of flow;
most likely flow
paths
POLLUTANTS Unpredictable Incidental to use of Determine volume Estimation of vol-
FROM SPILLS the roadway; hazard and area of spill; po- umetric distribution
until cleared; possi- sition of ground wa- of spill; rate and
ble long-term envi- ter; fluid path of migration;
50
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AASHTO T I T L E M S I 8 8 U Ob39804 OOLLb79 133
Geologic Constraints
Table 5-1. (Continued)
a Identification and Accommodation of Geologic Constraints in 'Ransportation System Design

Design-Level
Constraint Occurrence Nature of Threat Assessment Basis Requirements
ronmental impact transmission proper- assist in cleanup pro-
ties of substrate gram design
EROSION Predictable Loss of roadway; dis- Mapping, drilling, Estimation of suscep-
ruption of roadway sampling, testing; de- tibility to erosion;
drainage facilities termine surface wa- devise drainage pro-
ter flow paths visions; recommend
soiilrock surface
treatment
route. It is generally possible to anticipate geologic In addition to the literature review and search for
constraints, through knowledge of the particular physical factors that may indicate the presence or
physiographic region or natural problems associated activationof geologic constraints (such as clay mineral
with construction in similar terrain, or from engineer- type, low soil density, abandoned coal mines, or frost
ing geological predictions associated with the geology susceptibility), photogeologic studies can detect
of the site or route. many of the constraints which have developed in the
Environmental impact assessments should detect past. Examples of these features are sinkholes or
major geologic constraints. These are the constraints karst topography resulting from carbonate dissolu-
which lie largely external to the project and which tion, as well as landslides, shore or riverbank erosion,
may be activated by or otherwise affect the project. frost heave patterns, and mudflows. With a h i t of
Examples are major landslides, volcanism, or floods. resolution of about three feet, for 1:20,000 scale pho-
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
Other constraints may be equally important but more tography, significantly large areas of constraint-af-
localized and are activated strictly by the presence of fected ground can be detected before entry into the
the roadway. Examples of these phenomena are un- field.
stable soil and rock material, subsidence, the smaller
landslides, and erosion of slopes and embankments
produced during construction of the roadway. 5.3 SUBSIDENCE
Part of the preliminary planning for a route, exclu-
sive of the environmental impact statement, WUbe a The phenomenon of downward sinking of the ground
literature search. This review should define the gen- surface in generally bowl-shaped configurationsis ter-
eral lithology of rock units, along with previously- med subsidence. Subsidence is induced through the
noted occurrences of geologic constraints. Maps de- removal of either the pore fluid or solid components
picting mineral and groundwater extraction activities of earth materials below the ground surface or, more
are common and well fields, mines, and quarries rarely, by long-term naturally occurring volumetric
should be identified early in the study. Table 5-1 may shrinkage of relatively thick sequences of unconsoli-
be used as a checklist for possible geologic constraints dated sedimentary soiIs.
in the region. In reviewing the constraint categories, Subsidence generally affects transportation sys-
geologists should consider the possibility that con- tems in some way because once underway, the vol-
struction of the transportation system may introduce umetric decrease usually occurs over fairly large
new physical parameters such as adverse stress distri- areas; as much as 13,000 km2 in the Houston-Gal-
bution and pore water accumulation that have not veston area (Holzer, 1980). Although the lowering of
been present previously. New geologic constraints the ground surface is generally at a slow rate, develop-
could be activated; threats which are reasonably pre- ing stress fields can lead to strain accumulation at
dictable, but which have not been previously encoun- depth and the formation or reactivation of fault-like
tered in the region. However, in almost all cases, if a earth fractures. These fractures may open at the
site or route is evaluated for impact against the key ground surface in a matter of minutes, and may be
factors for each geologic constraint, the potential for large enough to create obstacles to automobile and
occurrence of individual geologic constraints will truck traffic, deform rail lines, or damage or alter
emerge, and these factors can be verified or discarded gradients in drainage systems.
on the basis of field mapping and subsurface explora- Subsidence is usually not anticipated by transporta-
0 tions. tion designers in areas in which it has not previously
51

__- __-- ~
- 9 - __
been noted. However, it may be logically expected to 1930s at which time the U.S. Navy undertook mea-
occur in some areas, due to groundwater and mineral sures to build sea retention dikes at its Naval Ship-
extraction activities. The potential for and character yard. This subsidence later developed into a semi-
of subsidence may be generally predicted on the basis elliptical bowl and the maximum subsidence has now
of certain factors: (1980) reached more than 13 m. (40 ft.) below the
original ground surface. Hydrogeologists of the U.S.
Relatively thick sequences of younger, Geological Survey, in following this evidence of subsi-
unconsolidated or semi-consolidated sedimen- dence due to fluid withdrawal, began to detect signifi-
tary materials cant amounts of subsidence in the San Joaquin Valley,
Irregular bedrock topography jutting upward here due to newly developed deep-draw water pumps
into the sedimentary sequence supplying the developing agricultural industry.
Heavy ground water withdrawal for irrigation or At the present time, the U.S. Geological Survey
water supply continues to define the mechanisms of the various
New or on-gohg petroleum extraction activities types of subsidence that are currently active in the
Active or abandoned mines Southwest and Rocky Mountain states. Holzer (1980)
Highly variable aquifer and aquitard stratig- has reported on these on-going studies which have
raphy in the sedimentary section defined more than 22,000 km2(8,500 mi2)of land that
Near surface, soluble rock formations, (for are affected by widespread fluid-withdrawal induced
example: limestone) in which groundwater has subsidence (Fig. 5-1).
flowed or is currently flowing The Houston-Galveston area of Texas has been
known to be the seat of water-withdrawal subsidence
Some guidelines relating to mechanisms causing since the 1950s. In this area alone, more than 150
subsidence are presented in the following sections. active subsidence faults have been mapped, with an
They may be used as indicators for the detection of aggregate length of more than 500 km. (305 mi.).
potential subsidence problems along transportation Damage to roadways and structures is slow and ongo-
system alignments. ing, but the dip-slip nature of these activated faults
creates vertical displacements of up to 1m. (39 in.).
5.3.1 Fluid-Withdrawal Effect As of 1978 (Kreitler and McKalips) displacements
now traverse two airports, eleven Interstate highway
Three-dimensional volumetric shrinkage of soil or locations and railroad lines at twenty-eight places.
otherwise unconsolidated sediments is termed con- Extensive drilling and careful borehole geophysical
solidation in the engineering context of this Manual. logging are used by consulting firms and agency per-
Relatively loose cohesionless soils and relatively soft
cohesive soils can contain a significant percentage of
void spaces which, below the water table are filled
with pore water. These soils are capable of losing
significant percentages of their pore water under im-
posed structural loads or from drainage or weli pump-
ing. As the pore water drains or is forced out of the
matrix voids, the soil mass loses a portion of its vol-
ume as individual grains adjust positions and move
together.
Subsidence is generally not considered to result
from foundation loading; this type of volumetric
shrinkage is routinely analyzed as consolidation un-
der load, with resulting settlement. However, fluid
withdrawal activities also create volumetric shrink-
age, but in these instances the volume change is cen-
tered within the stratum from which fluid is being
withdrawn by oil, gas, or water wells. The consolida- @, EARTH FISSURES
v FAULTS
& y
tion begins at the weii points and extends out into the
stratum, appearing at the ground surface as subsi-
dence. Figure 5-1. Locations in the U.S. of ground
Subsidence due to petroleum pumping in the Long failure associated with groundwater
Beach, California area became observable in the withdrawal (Holzer, T.L., 1980).
52 --`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

~ ~ __- - --- - i -
AASHTO T I T L E M S I 8 8 m Ob39804 C I O L L 6 8 1 891 m
sonne1 to trace the position and extent of the faults. and tension. Where near-vertical pre-existing faults
Kreitler (1976) and Kreitler and McKalips (1978) list occur in the area of fluid withdrawal, earlier displace-
five aspects of site-specific screening in the Houston- ments often create partial ground water barriers by
Galveston area: juxtaposing aquifer against aquitard, thus limiting
withdrawal of water to the aquifer side of the fault. As
Evident topographic scarps the aquifer adjusts to pumpage and consolidates, a
Borehole geophysical logging stress differential builds up at the fault interface and
Exploratory trenching eventually results in downward displacement along
Reniote imagery lineations the side facing the aquifer. Some of the shear dis-
Horizontal electrical resistivity profiling placement is carried upward, and may be evident at
the ground surface.
Many of the subsidence faults may be non-tectonic
growth faults incapable of creating earthquakes (Sec- 5.3.2 Mining-Induced Subsidence
tion 5.3.4.).
Interstate 10, west of Tucson, Arizona, has been Mining activities produce voids equal to the volume of
plagued by creep-type vertical displacements in the extracted ore. Many mines are designed to remain
roadbed, since its construction in the early 1960s. open for the life of the facility, others are designed to
U.S. Geological Survey personnel (Holzer, 1980) remain open only in segments of the mine that are
have mapped such fractures in more than 3000 km2 required as haulways and access and ventilation
(1150 mi2)in two areas of southeast and south-central shafts. Portions of the mine openings left abandoned
Arizona. Fractures, such as that shown in Figure 5-2, or otherwise not permanently supported, will fail
have been measured open to depths of 10to 25 m. (30 with time. In bedded formations, such as those in
to 80 ft.) deep and erosion-enlarged to a meter or which coal is mined, the failure comes with progres-
more in width. sive deterioration of the support pillars of unmined
The mechanism by which subsidence-related frac- coal, or with deterioration of intervening roof spans.
tures occur and open is believed to be largely shear The extent to which the effect of failing roof strata
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
Figure 5-2. Incipient fissure enlarged by erosion; note geologists pick for scale. (A.W. Hatheway)
53
AASHTO T I T L E M S I 8 m 0639804 OOLl1682 7 2 8 m
or support pillars extends upward is mainly a function workings and in the order of development of the
of the depth at which the mine has been developed. mine. Areas known to have been worked previous to
As pillar and roof rock fail, there is volumetric bulk- this time should be considered to be a potential risk
ing. The void space is progressively filled by the ex- for subsidence-related ground deformation.
panding volume of rock rubble falling into the up- In the copper mining industry, subsidence induced
ward-moving void. Upward propagation of broken through the block-caving technique is an accepted
rock may cease short of breaking the ground surface, facet of operation. Rock mechanics experts in the
in which case ground surface subsidence may not mining industry are not yet able to accurately predict
occur. the geometry of surface subsidence effects in block
Modern coal mining practice and Government min- caving, but estimates should be available. At San
ing regulations now call for careful planning for mine Manual Copper Mine, about 80 km. (50 mi.) north of
development, recording of the geometry of the mine Tucson, Arizona, the positive economic state-wide
workings, and measures to mitigate the tendency to impact of development of the mine, starting in 1955,
create subsidence effects at the ground surface. New led to the decision to abandon a state secondary road
mines will probably not present threats to transporta- that originally crossed the present subsidence pit
tion system design and maintenance. Most of the on- area.
going mine subsidence damage, however, stems from
the near-surface (generally less than 30 m. [lo0 ft.]) 5.3.3 Sinkholes
presence of abandoned mines, most of which were
devcloped, mined and closed without records. They One of the major geologic constraints that is found
are also commonly the source of acid drainage waters throughout certain portions of the world is the pres-
that pollute streams in the area. State agencies have ence and continued enlargement of subsurface voids
been involved in the past in monitoring coal mining. in rocks (primarily limestones) that are subject to
Transportation agency personnel can secure maps of dissolution by the passage of moving groundwater. As
coal mining regions that will outline the general ex- dissolution continues with time, and individual cavi-
tent and nature of the producing members of coal- ties grow and coalesce, gravity-induced collapse often
bearing formations. Under the provisions of the Rural appears at the ground surface in the form of roughly
Abandoned Mine Program, county offices of the circular, closed depressions. These depressions are
U.S.D.A. Soil Conservation Service may also be able most commonly called sinkholes, but they are known
to provide information relating to the existence of also by a variety of other terms with geographic,
abandoned mines or waste dumps that might impact lithologic, or generic implications. The general term
transportation system design. for the landform that results from dissolution is karst.
The abandoned mines represent a subsidence po- Transportation structures have been adversely af-
tential in the form of surface fracturing of roadways, fected in the past by sinkholes which have enlarged
development of pits and sinkholes in roadways and and collapsed beneath roadways and structural foun-
undermining of embankments and sidehill fills. De- dations. Remedial measures include cleaning and in-
tection of subsidence-prone areas should consider the filling, or injection of stabilizing filler. A major review
use of coal mining district maps, geologic maps de- of the conditions of formation of sinkholes under all
picting the outcrop patterns of known coal-producing geologic and climatic conditions has been completed
strata, remote-imagery interpretation of obvious sur- (Franklin and others, 1980).
ficial features indicative of subsidence, careful align- The main minerals that are involved with dissolu-
ment mapping to detect mine openings, acid mine tion are dolomite (CaMg (C03)z),gypsum (Caso4),
drainage, spoil piles, abandoned workings, and the calcite (CaC03) and aragonite (CaC03), in order of
selective use of geophysical techniques, such as grav- increasing solubility. Sinkholes should be anticipated
imetric surveys. in any carbonate rock terrain in which groundwater
Underground mining of salt by selective extraction lies close enough to the surface to produce cavities,
of salt beds also produces upward-propagating failure the collapse of which would eventually reach the
of individual beds. Salt deposits of this type are found ground surface. Also of concern are cavities which
in the Province of Ontario and in Michigan. The sur- may be large enough or could grow large enough to
face outcrop pattern of subsidence is influenced by cause over-stressing under loads imposed by overly-
the geometry and age of development of the under- ing transportation facilities.
ground workings. As in coal mining, subsidence is Franklin and co-workers note that mean annual
unintentional and unwanted by the mining com- precipitation in the range of 81to 142 cm (32 to 56 in.)
panies. Operations developed after about 1955 have has been noted to produce karst terrain in the United
generally considered this factor in the design of the States. W. E. Davies (1970) has mapped the occur-
54 --`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

__
=
~- ~
AASHTO T I T L E M S I 8 B 0639804 O011683 664
reiice of rock units susceptible to sinkholes and re- Topographic scarps (vertical displacements of a
lated features of sinkholes. Inspection of topographic few inches per decade have been observed)
mapping and aerial photographs will assist in confirm- Geophysical traces (mainly from resistivity sur-
ing the presence of sinkholes. Drilling conducted in veys)
carbonate rock should be done with careful observa- Intersection of faults through coring or trench-
tion of rod drops and poor core recovery as indicators ing ,
of possible cavities, buried sinkholes, and dissolution Remote-image lineations
enlarged joints and bedding planes in rock that may
be later subjected to structural loads.
5.4 SLOPE MOVEMENTS
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
5.3.4 Growth Faults Slope movements represent a variety of natural and

man-induced processes which result in gravitational
During years of geophysical reflection surveying for displacements of very small to extremely large bodies
petroleiini exploration, in the Gulf Coastal states of of soil and rock. Transportation resources are contin-
the United States, geophysicists and geologists have ually taxed by the impacts of slope movements on
detected unusual fault-like geophysical traces. These roadways and critical support structures. Such earth
features were identifiable as stratigraphic displace- and rock failures have been traditionally grouped
ments in the thick Tertiary-aged sedimentary se- together under the general term landslides, but their
quence, h t the throw (vertical displacement) be- wide variety and frequent disassociation with sliding
came greater with depth. The usual appearance of as a mode of displacement has led Varnes (1978) to
steeply-dipping normal or thrust faults is that the propose the overall use of slope movements as a unify-
displacenient is constant over the trace of the fault, as ing descriptor. Some aspects of slope movements are
viewed along strike and perpendicular to dip. Many of illustrated in Figures 5-3 through 5-4.
the traces were noted to approach the ground surface, The literature of slope movement processes is enor-
but geophysical interpreters were not directly con- mous. Collection of a large number of references will
cerned about surface structural damage or possible do little to help the engineer or geologist to discover
seismic activity. Exploration drilling in the 1950s be- and treat slope movement hazards. Rather, it is the
gan to detect the upward-increasing stratigraphic dis- familiarization with slope movement terminology,
placements along these growth faults. causative processes and indicators of existing or po-
With the advent of nuclear power plant siting in the tential slope movements that is essential. However,
Gulf area and with increasing urbanization of these acquisition of the following basic references is recom-
states, civil and structural engineers detected a grow- mended; Schuster and Krizek, eds., TRB Special
ing occurrence of fractures in curbs, road surfaces, Report 176, 1978, Eckel, E.B., ed., 1958; (out of
individual homes, and in a wide variety of engineered print); Coates, 1981; and Hoek, E., and Bray, J.,
structures. According to Kreitler (1976) the growth 1976. Other appropriate references are given in the
faults hac1 damaged more than 200 residences in reference list for this manual.
eleven comrnunities in Harris and Galveston coun- Slope movements in the United States accounted
ties, Texas, and are most observable on road and for expenditures of $50,000,000 in 1973 (Fig. 5-5),
highway surfaces. Cracking of pavement and struc- mainly for remedial treatments (Fleming, Varnes and
tural components with offsets of as much as 6 cm (2.5 Schuster, 1979).
in.) have been detected in Baton Rouge. Many of the
fractures actually represent regional subsidence due 5.4.1 Classification of Slope Movements
to groundwater withdrawal. However, many others
have occurred in areas in which groundwater-induced Varnes (in Schuster and Krizek, 1978) has produced a
subsidence has not been observed or has not occurred comprehensive treatment of slope movement pro-
to a significant degree. Unlike groundwater-induced cesses. An understanding of these processes is essen-
ground fractures, which are mainly curvilinear in tial to recognition of slope movement hazards in
trace and oriented around centers of groundwater transportation system planning and design. The use
pumping, these ground fractures appeared to be pre- of the Varnes classification is recommended because
dominantly linear. The damage has been widespread it is very comprehensiveand represents a terminology
in Texas and in other states underlain by thick accu- base that can be understood by design personnel.
@ mulations of Tertiary-aged sediments. The emphasis on slope movement awareness in
Kreitler (1976) gives four recognition criteria for transportation agencies should be placed on recogni-
growth faults intersecting the ground surface: tion of existing potentially unstable slope masses
55
AASHTO TITLE MSI 88 Ob39804 0033684 5 T O
Figure 5-3. Rock slide along adversely-dipping (angled out of the cut slope) bedding on an
Interstate highway, during construction; note the particular planarity and relative
smoothness of the bedding planes. (A.W. Hatheway)
which could later impact the function of transporta- movement of rather intact bodies of soil or rock
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
tion systems or which may be triggered or activated by over an undisplaced lower boundary surface
construction, operation and maintenance of systems. Flows: gravitational downward movement of
Varnes (1978) bases his classification on subdivi- nonintact masses of soil or rock over an undis-
sions of material type (rock vs. soil) and type of placed lower boundary surface
movement. The following types of movement are dis- Complex movements: combinations of the
tinguished : above movement types and their subtypes
Falls and topples: gravitational downward Detection Of Movement-Prone Areas

movement without shear displacement Most existing slope movements are near other similar
Slides and spreads: gravitational downward examples, all clearly related to natural processes, cli-
56
_ _ - -
= Ob39804
~
AASHTO T I T L E M S I 8 OOLLb5 q37 M
Figure 5-4. A debris avalanche along California Highway 39 in the Angeles National Forest,
San Gabriel Mountains, northeast of Los Angeles. (A.W. Hatheway)
mate, vegetation, hydrogeological conditions, and seepage and disruption of natural drainage features.
the engineering properties of various geologic forma- Where slope movements result in strain imposition on
tions and soil units. The single most helpful tool in highways, rail lines, bridges, tunnels, or retaining
detection is a review of local and regional physi- walls, these man-made structures may bear evidence
ographic characteristics with other workers in the of rapid or creep-type deformation brought about by
area. moving slope masses.
Second to the regional association of slope move- The detection process is usually aided by experi-
ments is recognition of their geomorphic indicators enced photogeologic interpretation of air photos.
(Table 5-2). Slope movements, by virtue of their dis- Further, identification of regionally important areas
placed earth and rock masses, always result in some of slope movement can lead to procurement of avail-
degree of disruption of landform morphology; most able aerial photographic coverage of such areas, for
@ notably in the production of scarps, swales, undula- individual study. Photo interpretation practice
tions, ground cracking, vegetational stress, slope strengthens the pattern-recognition ability for detec-
57
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

-
AASHTO T I T L E M S I 8 8 Ob37804 OOLLb8b 373
(Varnes, 1978). Most often, the failure surface will be

complex in some fashion and not strictly circular, as
shown. An example of surface morphology is shown
as Figure 5-7, with a typical cross-sectional view
shown in Figure 5-8.
>
Surficial details of moving slope masses can be ac-
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
curately mapped by pace and compass or by reference

REGION 6 REGION 4 to map contours, utilizing symbols such as are shown
S7 MILLION II? MILLION
in Section 4.
Figure 5-5. Costs associated with repair of major 5.4.4 Causes of Slope Movement
Some natural slopes are found in such geometry and

slope movements along Federal-aid slope angle as to be at a state of near failure. This is
highways in the United States, for usually when the mass properties are marginally able
1973 (From Chassie, R.G. and to resist external and internal forces acting on the
Goughnour, R.D., 1976). slope mass. This is especially true for slopes which are
tion of areas which may now or may have previously old enough to have been sculpted to their present
undergone slope movement. form under climatic conditions and by natural pro-
cesses which are no longer present. As Varnes (1970)
5.4.3 Geometry of Moving Slope Masses reminds us, such slope masses may be triggered into
creep or rapid movement by subtle or sudden changes
An essential follow-up to recognition of potentially in the natural environment surrounding the slope. All
unstable slope masses, is the determination of their too often such changes are the result of mans activ-
geometry. Without understanding of the actual or ities: changing slope geometry, alteration of surface
probable limits of such masses, it is difficult to advise drainage or the internal groundwater regime, or sim-
planners in route or structure selection. However, ply logging or clearing of the slope.
even obvious slope movement masses affecting trans- Some of the specific causes of activated or contin-
portation routes may be quite difficult to define. Of- ued slope movements are:
ten, topographic mapping is necessary to achieve an
Removal of lateral support at the toe by con-
accurate basemap on which to map morphological
features and plot field observations from survey tra- struction cut or on-going erosion
Surcharge at the crown, by construction of struc-
verses of creep-monitoring stations, locations of bore-
holes and borehole instrumentation, seepage features tures, fills, roads, ponded or stored fluids, and
and drainage measures. In this connection, ortho- material stockpiles
Increase in pore-water content or pressure, es-
photographic, contoured basemaps often prove to be
both inexpensive and available on short notice. pecially by ponding or channeling surface water
Determination of the subsurface geometry is ex- on or into ground fractures or otherwise porous
tremely difficult, especially in cases in which the lower zones of the slope mass
Subjecting the slope mass to transitory stresses;
failure surface is actually transitional over tens of
centimeters. This usually requires continuously-sam- seismic, blast, or machine vibrations
pled boreholes and installation and monitoring of
borehole inclination devices, which must be placed so 5.4.5 Data Requirements for Analysis and
as to intersect the failure surface. Obviously, most lkeatment
geometric detection efforts are undertaken in those
instances in which the function of a roadway or struc- Slope movement masses are generally analyzed by
ture has been impaired by a slope movement. By far the various slip-circle methods (Fig. 5-6) of geo-
the best product that can come from agency geologi- technical engineering or by kinetic distribution tech-
cal and geotechnical personnel is detection of poten- niques of geological engineering (Goodman, 1976;
tially unstable masses early in the pre-design stage, so Hoek and Bray, 1981; Coates, 1981). Although the
that mass movement impacts can be avoided through techniques of analyses lie outside of the scope of this
choice of alternate locations or alignments. manual, field exploration personnel should be aware
A series of examples of slope mass geometry for the of the analysis techniques so that they may properly
slunzp sub-category of slide are shown as Figure 5-6 map and sample slope movement masses.
58

~ I _
-_--__L_-
_
-- __
A A S H T O TITLE MSI 88 Ob39804 O O L L ~ AZ O
~T m
Geologic Constrniiits
Table 5-2.
Landform Types and Susceptibility to Slope Movements
(Rom Rib and Liang, 1978)
Landform or Lands1ide
Topography Geologic Materials Potential'
I. Level terrain 3
A. Not elevated Floodplain
B. Elevated 2
1. Uniform tones Terrace, lake bed
2. Surface irregularities, sharp cliff Basaltic plateau 1
3. Interbedded-porous over impervious layers Lake bed, coastal plain, 1
sedimentary plateau
II. Hilly terrain 3
A. Surface drainage not well integrated
1. Disconnected drainage Limestone
2. Deranged drainage, overlapping hills, associated with lakes
and swamps (glaciated areas only) Moraine 2
B. Surface drainage weil integrated 1
1. Parallel ridges
a. Parallel drainage, dark tones Basaltic hills
b. Trellis drainage, ridge-and-valey topography, Tilted sedimentary rocks 1
banded hills
c. Pinnate drainage, vertical-sided gullies Loess 2
2. Branching ridges, hilltops at common elevation 2
a. Pinnate drainage, vertical-sided gullies Loess
b. Dendritic drainage 2
(1) Banding on slope Flat-lying sedimentary rocks
(2) No banding on slope Clay shale 1
(a) Moderately to highly dissected ridges, uniform
slopes
(b) Low ridges, associated with coastal features Dissected coastal plain 1
(c) Winding ridges connecting conical hills, sparse Serpentinite 1
vegetation
3. Random ridges or hills Clay shale 1
a. Dendritic drainage
(1) Low, rounded hills, meandering streams
(2) Winding ridges connecting conical hills, sparse veg- Serpentinite 1
etation
(3) Massive, uniform, rounded to A-shaped hills Granite 2
(4) Bumpy topography (glaciated areas only) Moraine 2
III. Level to hilly, transitional terrain Talus, colluvium 1
A. Steep slopes
B. Moderate to flat slopes Fan, delta 3
C . Hummocky slopes with scarp at head Old slide1
Note: This table updates Table 2 in the book on landslides published in 1958by the Highway Research Board (Special Report
29, p. 91).
"1 = susceptible to landslides; 2 = susceptible to landslides under certain conditions; and 3 = not susceptible to landslides
except in vulnerable locations.
Information which should be obtained during field Locations of all explorations, samples, instru-
mapping and analysis of slope movement masses ments, survey traverses and monuments
should include: Longitudinal and lateral subsurface profiles
Structural attitudes from adjacent rock, if possi-
ble
Topography of the slope mass (contoured at 0.5 Definition of major geologic/soil units involved
to 2m intervals) in slope mass
0 All deformational features (scarps, fissures, Description of rockhoil lithologies, mineraliza-
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
cracks, etc.) tion, and weathering

Surface water and drainage conditions Description of groundwater regime in and adja-
Probable subsurface slip surface cent to the slope mass
59

AASHTO T I T L E M S I 88 W Ob39804 0011688 146 W
Mm114d on Subsurface Investigations

MAIN SCARP
111 SLWf FAlLURfINIIMIHOUWfNEOVIUITfRIAL, r-
WRfACfOF R U N I EFOLLOmDIITII% WEAK UPSLOPE
ZONE OF OEPRESSIO!I
OR SUBSIDENCE
DIAGONAL
TENSIONSHEAR
p-%.- --
WRINGS SEEPS
CO!t, Sill" I :y
Figure 5-7. Diagram showing the elements of de-

Figure 5-6. Varieties of slump-type failure that formation of a slope movement mass.
are common in soil units and in soft, Most site reconnaissance maps of
weathered, or altered rock. (Rom slope failures will show these elements
Varnes, 1978). in some form. (&om Sowers and
Royster, 1978)
5.5 UNSTABLE SOIL AND ROCK

ipated in most transportation system subsurface in-
Each year losses from deterioration of natural soil and vestigations. The key to anticipation is empirical data
rock foundation materials for various structures, in- relating to the behavior of individual geologic forma-
cluding transportation systems, exceeds $5 billion in tions or surficial soil units. Nearly all unstable rock is
the United States alone. Damage from expansive soil of the sedimentary variety and is generally repre-
subgrade material in 36 of the 50 states (Lamb and sented by mineral types and size gradations reflecting
Hanna, 1973) results in more than $1.1 billion in
damages per year (Jones and Holtz, 1973). This dete-
rioration is caused by physical and chemical changes
created by moisture changes and ion exchange. The
deterioration results in one of three basic types of
change in the earth material:
Relatively rapid collapse of the natural soilhock
fabric, with significant decrease in volume;
hence loss of structural support
Less rapid volumetric swelling (expansion) of
the earth material, leading to over-stressing of
structures or structural members in contact with
the affected soil or soft rock
Slow slaking or disintegration of soft sedi- Figure 5-8. Cross-section of a typical semi-circu-
lar slope failure in jointed sandstone
mentary rock involved in cut slopes, compacted (Mesa Verde Formation) overlying
embankments or load-bearing surfaces
less-competent shale (Mancos Forma-
As in the case with several other geologic con- tion) and affected by active river ero-
straints, unstable soil or rock can be detected or antic- sion. (Gedney and Weber, 1978)
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
60
its mode of deposition. To the degree that individual this is the geologic formational list of potential prob-
geologic formations or subunits of the geologic litera- lem units complied by Snethen, and others (1975);
@ ture, such as members or named beds, can be identi- certain units usually demonstrate a potential for ex-
fied, so can the mineralogy and depositionally-related pansion when under the effect of increased pore water
fabric characteristics bed anticipated. An example of (Table 5-3).
Table 5-3.
Tabulation of Potentially Expansive Materiais in the United States
Physiographic Province predominant

Location of Map*
No. Name Geologic Unit Geologic Age unit Category Remarks
1 Western Reefridge Miocene CA 1 The Tertiary sec-
Mountains of Monterey Miocene CA 1 tion generally
the Pacific Rincon Miocene CA 1 consists of in-
Coast Range Teinbler Miocene CA 1 terbedded
Tyee Eocene OR 3 sandstone,
Umpqua Paleocene- OR 3 shale, chert,
Eocene and volcanics
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
Puget Gp Miocene WA 3 Interbedded

sandstones and
shales with
some coal
seams
2 Sierra Cascade Cascade Gp Pliocene OR 4 Predominate ma-
Columbia Gp Miocene WA 4 terial is volca-
Volcanics Paleozoic to NV 4 nic
Cenozoic Interbedded
Volcanics Paleozoic to CA 4 sandstones and
Cenozoic shales may oc-
cur through-
out, particular-
ly in western
foot hills
3 Pacific Trough Troutdale Pliocene WA 3 Great Valley ma-
Santa Clara Pleistocene CA 3 terials charac-
Riverbank Pleistocene CA 3 terized by local
areas of low-
swell potential
derived from
bordering
mountains.
Some scattered
deposits of be-
ntonite
4 Columbia Plateau Volcanics Cenozoic WA, OR, ID, 4 Some scattered
NV bentonites and
tuffs
5 Basin and Range Valley fill Pleistocene OR, CA, NV, 3 Playa deposits
materials Tertiary UT, AZ, NM, 3 may exhibit
Volcanics TX limited swell
OR, CA, NV, potential.
UT, AZ, NM, Some scattered
TX bentonites and
tuffs
6 Colorado Plateau Greenriver Eocene CO, UT, NM Interbedded
Wasatch Eocene CO, UT, NM sandstones and
Kirkland shale Upper CO, UT, NM, shales
Lewis shale Cretaceous AZ
Mancos Upper CO, UT, NM,
Continued on next page
61
AASHTO T I T L E N S I 8 8 Ob39804 00LLb90 8 T 4 W

Tabulation of Potentially Expansive Materials in the United States
Physiographic Province Redominant Location of Map**

No. Name Geologic Unit Geologic Age Unit Category Remarks
Mowry Cretaceous AZ 1 Interbedded
Dakota Upper CO, UT, NM, 3 sandstones and
Chine Cretaceous AZ 1 shales
Upper CO, UT, NM,
Cretaceous AZ
Jurassic- CO, UT, NM,
Cretacious AZ
Triassic NM, AZ
7 Northern Rocky Montana Gp Cretaceous MT 1 Locally some
Mountains sandstone and
Colorado Gp Cretaceous MT 1 siltstone
Morrison Jurassic MT 3 Locally some sil-
Sawtooth Jurassic MT 3 tstone
Shales, sand-
stones, and
limestones
8 Middle Rocky Windriver Eocene WY, MT 3
Mountains Fort Union Eocene WY, MT 3
Lance Cretaceous WY, MT 1
Montana Gp Cretaceous WY, MT 1
Colorado Gp Cretaceous WY, MT 1
Morrison Jurassic- WY, MT 3
Cretaceous
9 Southern Rocky Metamorphic Precambrian WY 4 Montana and
Mountains granitic rocks 4 Colorado Gps
Metamorphic Precambrian CO 4 may be present
granitic rocks locally with
Metamorphic Precambrian to NM some Tertiary
granitic rocks Cenozoic volcanic and
minor amounts
of Pennsylvania
limestone
(sandy or
shaly). Some
mixtures of
metamorphic
rocks with
sands and
gravels of Poi-
son Canyon fm
10 Great Plains Lance Pliocene WY 1
Fort Union Pliocene WY, MT 2
Thermopolis Pliocene WY, MT 1
Montana Gp Cretaceous WY, MT, CO, 1
Colorado Gp Cretaceous NM 1
Mowry Cretaceous wy, MT, CO, 1
Morrison Cretaceous NM 3
Ogallala Pliocene WY, MT, CO, 3
Wasatch Eocene NM 3 Generally nonex-
Dockum Triassic WY, MT, CO, 3 pansive but be-
Permian Red Permian NiM 3 ntonite layers
Beds are locally pre-
Virgillian Series Pennsylvanian WY, MT, CO, 3 sent
Missourian Series Pennsylvanian NM, SD, NE, 3
Desmonian Series Pennsylvanian KS, OK, TX 3
MT, SD
CO, NM, TX
ISS, OK, TX
62 --`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

= Ob39804
- ~ -~~~ - - _ I - - _ _ _ _ - - -
AASHTO T I T L E MSI 8 8 0 0 1 1 6 9 1 730 m

Physiographic Province PredomiIiant Location of Map**

NE, KS, OK,
TX, MO
KS, OK, TX,
MO
KS, OK, TX,
MO
11 Central and East- Glacial lake de- Pleistocene ND, SD, MN, 3 Some Paleozoic
ern Lowlands posits IL, IN, OH, shales locally
MI, NY, VT, present which
MA, NE, IA, may exhibit
KS, MO, WI low swell
12 Laurentian Up- Keweenswan Cambrian NY, WI, MI 4 Abundance of
lands Huronian Cambrian NY, WI, MI 4 glacial material
Laurentian Cambrian NY, WI, MI 4 of varying
thickness
13 Ozark and Fayettevilie Mississippian AR,OK, MO 3 May contain
Quachita Chickasaw Creek Mississippian AR, OK, MO 3 some mont-
morillonite in
mixed layer
form
14 Interior Low Meramac Series Mississippian KY 3
Plains Osage Mississippian KY, TN 3
Kinderhook Mississippian KY, TN 3
Chester Series Mississippian KY, IN 3 Interbedded
Richmond Upper Ordovi- KY, IN 3 shale, sand-
O Maysville
Eden
cian
Upper Ordovi-
KY, IN
KY, IN
3
3
stone, and
limestone
cian
Upper Ordovi-
cian
15 Appalachian Dunkard Gp Pennsylvanian- 3 Interbedded
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
Plateau Permian shale, sand-

stone, lime-
stone, and coal
16 Newer Appala- Catoctin Gp Precambrian AL,GA, TN, 4 Metamorphosed
chian (Ridge Lynchburg Gp Precambrian NC, VA, WV, rocks
and Valley) Switt Run Gp Precambrian MD, PA
AL, GA, TN, 4
NC, VA, WV,
MD, PA
AL, GA, TN, 4
NC, VA, WV,
MD, PA
17 Older Appala- Carolina Slate Paleozoic AL, GA, NC, 4 Metamorphosed
chian GP SC, VA, MD and intrusive
rocks
Kings Mountain Paleozoic AL, GA, NC, 4
GP SC, VA, MD
Brevard Gp Paleozoic AL, GA, NC, 4
SC, VA, MD
18 Triassic Lowland Newmark Gp Triassic PA, MD, VA 4
19 New England Glacial Till Pleistocene and ME, NH, VT, 4 Glacial deposits
Maritime Ordovician MA, CT,RI, underlain by
O through Devo-
nian
NY nonexpansive
rocks. Local
63
AASHTO T I T L E !SI 88 m Ob39804 0033672 6 7 7 m
Maniral on Subsurface Investigations

Physiographic Province Predominant Location of Map**

areas of clay
could cause
some swell po-
tential
20 Atlantic and Gulf Talbot and Wico- Pleistocene NC, SC, GA, 4 Interbedded
Coastal Plain mico Gps VA, MD, DE, gravels, sands,
NJ silts, and clays
Lumbee Gp Upper Cre- NC, SC 3 Sand with inter-
taceous mixed sandy
Potomac Gp Lower Cre- DC 3 shale
taceous Sand with defi-
Arundel Fm Lower Cre- DC 1 nite shale
taceous zones
Continental and Pleistocene to FL 4
marine coastal Eocene Sands underlain
deposits by limestone,
local deposits
may show low
swell potential
Yazoo Paleocene AL, GA, FL, 1 A complex inter-
Porters Creek through MS, LA, TN facing of
Selma Pleistocene gravel, sand,
Loess Pleistocene 4 silt, and clay.
LA, MS, TN, Clays show
KY varying swell
potential
Mississippi al- Recent LA, MS, AR, 3 A mantle of uni-
uvium MO 1 form silt with
Beaumont-Prairie Pleistocene 1-3 essentialy no
Terraces LA, MS, TX swell potential
Jackson, Paleocene 1-2 Interbedded
Claiborne, LA, MS 3 stringers and
Midway Upper Cre- 1-3 lenses of sands,
Navarre, Taylor, taceous TX 3 silts, clays,
Austin 4 marl, and
Eagleford, Wood- Upper Cre- Tx chalk
bine taceous
Washita TX
Fredricksburg Lower Cre-
Trinity taceous TX
Lower Cre- TX
t aceous
Lower Cre-
taceous
5.5.1 Expansive Soil and Rock United States that the Federal Highway Administra-
tion (FHWA) has commissioned an intensive four-
Soil and soft sedimentary rock containing relatively year study of expansive earth materials (Snethen,
large amounts of expansive clay minerals such as illite D.R., Johnson, L.D. and Patrick, D.M., and others,
and the smectites in general (the variety mont- 1978). This work represents the state-of-the-art for
morillonite in particular) are themselves capable of detecting swelling soil materials, assessing their po-
exerting enormous swell pressures on engineered fa- tential for swelling and designing subgrades to mini-
cilities. The magnitude of this damage to transporta- mize such swelling.
tion structures over the years has been so large in the Expansion is caused by the extraordinary ability of
U4 --`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

AASHTO T I T L E IS1 B B = 0639804 0033693 503
certain swe ing clay minerals to take on unusually also be measured against the type of roadway or
large amounts of water in relation to the bulk of their structure contemplated. For example, areas in low-
0 own individual mineral platlets and to molecularly
bind such water. Next to clay mineral type, soil fabric
expansion potential may still represent distinct design
considerations for design of some pavements and
is the most important factor in swell potential. Fabric foundation slabs, drilled piers and grade beams.
refers to the structural orientation of the clay mineral Keys to successful identification of expansion po-
platlets, in a range of orientations ranging from com- tential on individualproject work are: (1) to be famil-
pletely dispersed to completely flocculated. iar with regional geologic literature, (2) to be aware of
The FHWANVES study confirmed the traditional the presence and distribution of clay-rich, argil-
geotechnical viewpoint that expansive soil swelling laceous rocks, and (3) to identify such in the course of
pressure is activated mainly by construction activities reconnaissance mapping and later subsurface explo-
or facility operating factors that expose the poten- rations. Additional determinants of use to field per-
tially expansive soil or soft rock to the elements and sonnel in detecting expansionpotential are as follows:
then allow an increase in moisture content to occur.
When expansivematerials are confined by high over-
burden pressures they are both protected from in- Argillaceous (shaly nature)
USCS classification of CH or CL
creases in soil moisture and restrained from expan-
Irregular, pebbly texture on exposed surfaces;
sion. As soon as the overburden is stripped, both
atmospheric moisture (in non-evaporative climatic resembles popcorn
Closely-spaced desiccation cracks during dry
conditions), precipitation, and construction moisture
can be absorbed into the clay mineral components of periods
Slickensides in freshly excavated or trenched
natural ground. Increases in compacted embankment
moisture may also lead to swelling. materials
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
Strain-related damaged to nearby structures

The mechanisms for intake of pore water all oper-
ate on the microscale. The criteria for activation of (the four above-cited indications are from
expansion are: Snethen, 1979)
Swelling clay minerals When an expansion potential is indicated by regional

Exposure to an available source of porewater experience, by reference to the literature (and maps),
Removal of confining stress or placement of or from field indications, additional laboratory testing
compacted materials at a moisture content should be considered. The broad categories of labora-
which is dry of optimum moisture content tory test indicators of expansion potential are as fol-
Soil-fabric-related mechanisms to induce water low:
intake at the platlet level and thereby create
volumetric expansion
Minus 200 screen fractions in excess of 80 per-
Field personnel should be aware of the general cent (although lower percentages may also be
conditions under which expansion can occur and important)
2-micron fractions in excess of 20 percent
should be prepared to identify expansive materials.
Plasticity Indices greater than 20, Liquid Limits
Siiethen (and co-workers, 1975) compiled a series of
five regional maps showing occurrences of swelling greater than 30, Plastic Limits greater than 20
Clay mineral determinations of illite or the
clay soils of the continental United States (Figures 5-9
through 5-13) and Table 5-3. These maps show areal smectites
SEM (scanning electron microscope) determi-
distributions of geological units which contain ar-
gillaceous members and the clay mineral mont- nations of flocculated or semi-flocculated clay
morillonite. The maps are keyed to FHWA regions for mineral fabrics
ease of use by transportation agency personnel. The
map patterns denote generalized expansion poten- Geotechnical engineers will want to consider one or
tials of high, medium, low, or nonexpansive. The user more of the laboratory tests to evaluate the swell
is reminded that the degree of expansion potential potential of such soil or rock materials. The most
varies considerably even at a single site, depending useful of the tests are the one-dimensional, wetted
upon the nature of individual beds of sedimentary consolidation test and the soil-suction thermocouple
rock encountered or upon the thickness and distribu- psychrometer test (Snethen, Johnson, and Patrick,
a tion of surficiai soil units containing expansive clay
minerals. The impact of the degree of expansion must
1977). These tests are discussed in Section 9 and are
referenced in C.
65

~
AASHTO T I T L E M S I B B Ob398OY OOLLbSL1 L14T M
Manual on Subsiuface Investigations

--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
Uap tompled by D Y Paliick H ti. Mods and Frebnick L Snilh.

Enpim<.np C e o i o ~a d Rmk'&htnici Ohrion, U. S. Aim;
Enginer Walmays Elpcrinml Slalim. Vicktkig. Ys.
5-9. Distribution of potentially expansive materials in the United States:

FHWA Regions 9 and 10. Snethan et al., 1975
66
--_
AASHTO T I T L E M S I 8 8 m 0639804 OOLL695 386 m
67
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

AASHTO T I T L E M S I 8 8 m Ob398OLl 001169b 212 m
Maniial on Siibsurface Investigations
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
68

- ~- -- .
- - ---.
AASHTO T I T L E MSI 88 0639804 0033697 359
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
Q)
5
El
.CI
69
~
AASHTO T I T L E M S I 8 8 m Ob39804 O O L L b 9 8 095 m
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
Manual on Subsutface Investigations
70
- ----
~~
AASHTO T I T L E MSI 88
~
= 0639804 0033699- T23

~ - - -
--
5.5.2 Collapse-Prone Soil tially unstable soil units are linked to distinct charac-
teristics or properties of each soil.
0 Some underconsolidated engineering soil units of rel-
atively young age (Holocene to Late Pleistocene)
Collapse-prone loess and water-lain, sheet-flood
deposits along the western edges of the Great Plains
have a potential for instantaneous collapse. In most can sometimes be identified by immersion of solid
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
cases, the volumetric decrease is associated with fragments of the soil in a jar of water. Potentially
porewater saturation and a dissassociation of silt unstable soils generally disintegrate fairly rapidly
grains and clay mineral platelets which had been pre- with a noticeable sloughing occurring within seconds
viously arranged in an unstable soil structure. In or- of immersion. The following references provide more
der to fall into this collapse-prone category, soils are information on collapse-prone soils: Gibbs and Bara,
usually mixtures of fine sand, silt, and clay-sized ma- 1962; Holtz and Hilf, 1961; and Knight and Dehlen,
terials, with the silt dominating. 1973.
As can be noted from the two cited figures, not ail
soils of similar size gradation and from the same re- 5.5.3 Shale and Clay Shale
gion may prove to be collapse-prone. Slight differ-
ences in the mode of geologic origin, of previous Relatively fine-grained, indurated sedimentary rock
saturation and loading experience of the soil, and the materials, known broadly as shale and clay shale,
nature of its previous porewater chemistry appear to often exhibit durability problems (Fig. 5-15) that can
be the controlling factors. lead to a variety of roadway, cut slope and structural
Much of the collapse-prone soil units in the United failures. These rocks are the rock equivalent of silts
States are associated with the Late Pleistocene loess and clays of soil classification, and these soil types
blanket of windblown silt soils of the Pacific North- were the parent materials for shale and clay shale.
west and those that lie adjacent to the Mississippi Around the world, these rocks are also known as
River and its tributaries. Other collapse-prone soil (Morgenstern and Eigenbrod, 1974) argillaceous sed-
units are found throughout the United States (Dud- iments, claystone, siltstone, mudstone, and mudrock.
ley, 1970). The rock type itself is simple to recognize in outcrop
As Dudley notes (1970), one primary characteristic and in borings; the difficult task is to assess which of
and one primary soil condition are generally responsi- the shales and clay shales exhibit unfavorable engi-
ble for the collapse-prone nature; a loose (large-void neering characteristics. These detrimental aspects of
ratio) structure and a moisture content of less than fine-grained sedimentary rock are usualy grouped as
saturation level. Dudley found that these loose states softening, shrinkage, slaking and swelling.
were represented by a spread of dry unit weight values Underwood (1967) has produced a paper dealing
of from 1100 to 1700 Kg/m3(80 to 104 pcf). Extensive with the classification and identification of all types of
deposits of collapse-prone soils are found in Califor- shales which is useful for geological classification of
nias San Joaquin valley in the form of alluvial fan fine-grained rock for engineering purposes.
deposits spreading outward from ranges of low hills. Shales and associated rock types tend to pose prob-
Both highways and the California Central Water Proj- lems to engineered construction when they possess
ect canal were designed for preconstruction wetting characteristics leading to some form of disintegration
and treatment of these stretches of low-density soils. in service. The variabilities in slaking and related
Entry of water into freshly-exposed cuts or excava- shale phenomena are so wide it is improbable that a
tions in loessal soils leads to rapid widening of vertical universal test can be developed for use by all agencies.
microfractures into piping channels (Figure 5-14) and This recognizes that the factors responsible for unsuit-
associated soil-structure collapse. able shale behavior are varied, as shown in Table 5-4.
Identification of collapse-prone soil units should be Most geologic formational units of fine-grained
niade on the basis of low density and grain size with rocks will exhibit similar engineering behavior
followup laboratory tests involving a saturated throughout their areal exposure. For this reason, it is
oedometer test. Instantaneous collapse on the order imperative for transportation agencies to record the
of 10 to 20 percent should be suspect. Arman (1973) engineering behavior and characteristics of fine-
has developed a recommended color-change field grained rocks as they are tested and utilized on var-
identification test now adopted by the Louisiana ious projects. The Virginia DOT, for example (Noble,
DOT, making use of addition of sodium hexa- 1977) found that Devonian-aged Millboro and
metaphosphate (Calgon, or other brand name) with Brailier Formation black shale would develop chem-
dry soil and addition of distilled water. Obviously, this ically-induced distress when removed from its natural
test may not apply to other locations, but it does in situ state of equilibrium. When exposed to the
indicate that differences between stable and poten- atmosphere and free water, minute pyrite crystals
71

~ - ~
AASHTO T I T L E M S I 8 8 m Ob39804 0011700 573 m
Ma?lltd on Subsurface Investigations
5-14. The high erosion potential of loess is here depicted by a runoff-originated piping cavity formed in a
=-hour period of one inch (25 mm) of rainfall. (A. W. Hatheway)
begin to oxidize and produce sulfuric acid which tions of the presence of chlorite and illite. Purdue
leaches calcium from chlorite and carbonates min- University (Deo, 1977) has developed a slake dura-
erals in the rock. The freed calcium can replace po- bility test and a resulting classification of four grades
tassium ions in the illite, causing a minor degree of of shale in terms of potential transportation system
expansion. All in all, the black shale has a high poten- useage.
tial for slaking and disaggregation. Virginia DOT ge- As in the case of all other geologic materials, the
ologists now take special care in identification of the shales must be carefully mapped and classified in the
presence of the black shale and outcrop samples are field in order to identify which units appear to be
inspected carefully for the pyrite grains which begin distinct in terms of slake durability. The more definite
the chain reaction of decomposition. If the pyrite is discriminationbetween units ,the greater the chances
present, then laboratory determinations for clay min- for suitable utilization of at least some of the strata
eral type should be performed to search for indica- encountered in a given project.
72
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

_____
AASHTO T I T L E M S I 8 8 Ob39804 O O L L 7 0 1 i 4 0 "
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
5-15. Slaking shale component of coarse-cobble slope protection. This silty shale has disintegrated in one
season of exposure to the elements in the mid-Central states. (A. W. Hatheway)
5.5.4 Sensitive Clay Soils fabric of dispersed clay platelets. Changes in the ge-
ometry of natural slope areas, such as through road
Certain coastal areas of the northern hemisphere, construction and urban development, have made
notable in the St. Lawrence seaway region of the many locales susceptible to catastrophic loss of shear
United States and Canada and in Scandinavia, have strength and rapid flowage due to the imposition of
extensive deposits of marine clays and silts which were additional loads, earthquake ground stresses or trans-
deposited at elevations above present sea level and in portation-related ground vibrations. Figure 5-16 illus-
the recent geologic past. Although such clay soils trates the striking contrast between undisturbed and
generally appear quite hard and often stand up well as remoulded strengths of these sensitive clays.
natural slopes, they possess a potentially unstable Field personnel should recognize such materials
73
-. -
AASHTO T I T L E M S I d d w 0639804 0011702 346 w
Table 5-4 component of frozen soil deforms under the struc-

Geologic Factors Responsible for Unsuitable tural load.
Shale Behavior Most authorities agree that frost susceptibility is
linked most directly to soils made up predominantly
Degree of preconsolidation through geologic of particles in the very fine sand through clay fraction.
time Soils with in situ permeability less than about
Nature of cementation bonding individual through c d s e c are most frost susceptible. For
mineral grains permeability less than about c d s e c the suscep-
Mineral content of the shale; presence of tibility begins to decrease due to the more limited
platy minerals such as micas, clay and water flow capacity of these fine-grained soils. Poten-
swelling clay tially frost-susceptible soils are usually considered to
Degree of bedding present be those having more than 3 percent by weight finer
Degree of bedding lamination, alternation of than 0.02 mm. In the absence of hydrometer test
coarse and fine laminae results, there may be reason for concern with soils
Compressive strength (ranges from 0.170 to having more than 10 percent by weight passing the
103 N/m2; 25 - 15,000 psi; Underwood, 1967) No. 200 sieve.
Degree of chemical alteration present
Nature and spacing of jointing
5.6 FLOODING
from general geologic relationships within a given Flooding in the United States results in the loss of
physiographic province as well as their clay-rich and more life than from any other natural hazard. This
apparently stiff nature, their occurrence at elevations loss is about ten times that suffered in the long term
well above sea level as well as below sea level. The silts due to earthquakes. Hydrologic data relating to
and select clay soils will liquefy when shaken or jarred flooding has been collected by the U.S. Geological
in the hand. Laboratory strength testing of undis- Survey since the 1902 Passaic River flood of New
turbed samples will numerically define sensitivity. Jersey. Few locations in the country are without ade-
When properly remolded and re-compacted, these quate means of estimating flood magnitude-fre-
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
soils lose their sensitive character. quency relationships. The nationwide data base con-
tains information on historic magnitudes, frequencies
5.5.5 h o s t Heave Susceptibility and extent of flood-prone lands. Most of these data
are developed and analyzed by hydrologists. Geo-
Permafrost conditions exist widely in the northern technical personnel can, however, provide additional,
hemisphere above 50 degrees north latitude. Many site-specificinterpretations from remote imagery and
generalized maps of frozen ground distribution are field mapping that will be useful in determining the
available. Most of them subdivide frozen ground into actual flood extent for relatively small areas which
two categories, continuous, seasonal permafrost and may otherwise be shown incompletely or at a less than
discontinuous permafrost. About 20 percent of the adequate detail for project planning purposes. The
Earths land surface is affected by permafrost condi- primary sources of information relating to local his-
tions as is nearly half of the territory of Canada.
toric and predicted 100-year floods are the U.S. Geo-
Permafrost mitigating designs for transportation sys- logical Survey Hydrologic Atlases and flood hazard
tems add considerably to their costs and routing and maps provided to users through the Federal Emer-
siting generally take this effect into consideration. gency Management Agency. As of 1979, more than
Although the Northerly states, except for Alaska, do
13,000 individual flood hazard maps had been pro-
not have permafrost conditions they do experience
duced.
seasonal ground heave associated with sub-freezing
In all instances, planning engineers and hydrolo-
conditions, frost-susceptiblesoils and available water. gists should see that experienced geologists review the
Gravel capillary break layers or pads, deep founda-
available flood maps in order to detect evidence of
tions and location on topographically high and free-
localized variations in formerly inundated areas, that
draining soils are all methods of combating the heave would affect detailed design of a project.
and accompanying structural damage associated with
freezing ground. In addition to frost heaving, thaw
subsidence, soil creep and slope movements are all 5.7 EROSION
activated by ground frost. Additionally, soil shear
strength is highly temperature dependent. Founda- Sediment is a term covering all forms of earth and
tion soils may undergo long-term creep as the ice rock particles or fragments that are dislodged from
74
- -- - _ _ _ _~~ I
AASHTO T I T L E M S I 8 0639804 001L703 282
5-16. As shown in this view, the clay soil is stable under static loads, but on the event of dynamic excitation
becomes liquified and viscous. (Courtesy Haley & Aldrich, Inc.)
their natural surroundings during construction activ- Soil structure; a measure of the physical and
ities. Most natural land surfaces have gained an equi- chemical bonds that hold constituent particles
librium condition between slope degree, incident together in opposition to the action of flowing
rainfall and snowmelt, stream flow, vegetation and water and wind.
the particular aspects of exposed soil and rock that Soil texture; the gradation of particle sizes mak-
make these materials resistant to erosion. Any distur- ing up the soil.
bance of the land surface by construction promotes Moisture content; a component of developed soil
erosion, in the form of removal of earth and rock structural characteristics.
particles and fragments by natural agents, mainly Porosity and hydraulic conductivity; (per-
flowing water and wind. Soil is far more susceptible to meability); the ability of a soil to retain or carry
erosion than is rock. The main characteristics of soil groundwater flow.
that are important to erosion resistance and retention 9 Organic content; often provides favorable bind-
of sediment are: ing characteristics in terms of soil structure and
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
75

- _. - -
AASHTO T I T L E M S I 8 8 m Ob39804 OOLL704 IL9 m
Manual OH Subsurface Investigations
Figure 5-17. Erosion rills developed in clayey sand in a two-year period, over a slope that has not been
protected by runoff provisions (note geologist's compass for scale). (A. W. Hatheway)
is influential in establishment of vegetation to Interception and concentration of runoff by

assist in erosion control. roadways
Exposure of soil and rock surfaces to the ele-
Sediment damage is estimated to run into the hun- ments before surface treatment and/or revegeta-
dreds of millions of dollars annually in the United tion
States. Minimization of erosion and control of re- Alteration of stream cross sections or bank con-
leased sediment is an essential aspect of transporta- ditions
tion system planning. Planning and design considera- Improper sizing of hydraulic structures, with re-
tions are usually managed by the general design team sulting surface flow and erosion
for transportation projects. Input from geotechnical Improper channeling, piping, and disposal of
personnel is important, however, for a number of runoff collected on the route or site
reasons. The greatest single aspect of erosion poten-
The design team will need considerable geologic
tial is the nature of geologic units that will be exposed
data to assist in mitigating erosion and the production
by construction. Some of this erosion occurs directly
of sedimentation. As geologic units are identified and
at the exposed surface, other erosion occurs as the defined, information relating to the erosion resisting
result of internal flow of pore water in saturated silt characteristics noted above should be compiled and
and sands which result in piping. Both conditions can presented so that each mapped unit may be evaluated
be anticipated on the basis of geological information
for its effect on the sediment control plan. As a guide-
developed in the course of site investigations.
line to this evaluation, the design team can minimize
Necessary construction activities will affect the geo- sediment production along the project alignment by
logic units that are encountered and defined during considering the following factors:
exploration. Specifically, design and construction ac-
tivities that may lead to erosion and sediment produc- Effect of topography in exposing natural mate-
tion are as follow: rials through cuts and fills and in channeling
76
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

AASHTO T I T L E MSI 8 8 m Ob39804 O O L L 7 0 5 055 m
* surface runoff and stream drainage toward,

across and beyond the project
Relative resistance of each exposed geologic unit
to erosion, both surficial and internal
Procedures to expose raw surfaces of rock and
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81
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-
AASHTO T I T L E M S I 8 8 Ob39804 O O L 1 7 L O 412
6.0 ENGINEERING GEOPHYSICS
Geophysical techniques applied to geotechnical in- manner in which geophysical measurements are
vestigations can be categorized into two general made.
groups-investigations conducted from ground sur- Geophysical methods that rely upon the reaction of
face and those conducted in boreholes. Each group is subsurface materials to energy introduced by some
further separable into two basic modes of data gener- deliberate process are typically much more versatile
ation; measurement of either existing earth fields for geotechnical purposes. These active geophysical
(passive) or measurement of fields induced deliber- techniques can be tailored to the needs of particular
ately for the purpose of the investigations (active). investigations. The appropriate equipment can be se-
Investigations conducted from the ground surface lected, the locations for investigation chosen, and the
typically provide information about the subsurface parameters measured in accordance with the specific
both laterally and to some depth, while most of the project requirements (within the ability of geophysi-
borehole investigations, with some exceptions, pro- cal techniques to provide such measurements),
vide detailed information about materials only in the Fundamental to the entire process of making geo-
@ immediate vicinity of the borehole OF between bore-
holes. The existing energy fields and induced energy
physical measurements, and a concept sometimes
overlooked, is selection of the method or methods
fields pertinent to geotechnical investigations inappropriate to measure or derive the needed parame-
clude: ters, based on a knowledge of how the resulting data
are to be used, and how the data should not be used.
Existing (Passive) Fields Induced (Active) Fiels
In general, a single geophysical technique may not
Gravimetric Seismic
always provide the information needed for engineer-
Electric Acoustic
ing investigations. A combination of several comple-
Magnetic Electric
mentary methods usuaiiy provides more information
Thermometric Electromagnetic
and detail than might be expected. The purpose and
Nuclear Nuclear
limitations of any particular investigation should be
These fields represent those most useful in terms of clearly understood before selecting the approach to
the engineering requirements, but others exist that be used. This is because a moderate amount of addi-
might be used under special circumstances (e.g., ran- tional effort in data collection may add a significant
domly-occurring seismic events, ground tilt, and nat- increase in the volume of additional information with
ural electromagnetic fields). somewhat broader application. All potential aspects
The interest in existing energy fields occurs because of an investigation purpose should be considered in
the strength of the field at any particular point can terms of what the geophysical methods can provide.
reflect the geological conditions present between the A more cost-effective investigation can often be de-
point and the source of the field, such as proximity of signed so that the need for later geophysical surveys
bedrock, varying stratigraphic or hydrologic condi- can be avoided.
tions, or mineral changes indicative of the stratigra- General texts describing the nature and measure-
phy present. The geologic conditions which result in ment of the geophysical fields of interest include
measurable geophysical anomalies may be due to Rogers (1973), Stacey (1969), Parasnis (1966), Grant
geologic conditions which are of little significancein a and West (1965), Dobrin (1960), and Nettleton
@ geotechnical investigation. Furthermore, interpreta- (1940). Practical and theoretical bases for elastic wave
tions of anomalies may be ambiguous since an anom- propagation in the earth are given by Cagnaird
aly may be due to natural geologic conditions or to the (1962), Musgrave (1967), Ewimg, Jardetsky, and
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
83
I - _-__ ___ -
AASHTO T I T L E I S 1 8 8 m Ob39804 O O L L 7 L L 359 W
Press (1957), and Love (1944). Gravity is treated tion increasing as the density of observation points or
thoroughly by Parasnis (1962) , electrical phenomena rate of observation is increased.
by Van Nostrand and Cook (1966), Mooney and Table 6-1 lists the geophysical methods against
Wetze1 (1956), and Guyod (1944), and electromagne- common engineering parameters that can be pro-
tic waves by Wait (1962). Details of additional geo- vided from application of each, or where the method
physical fields are presented below in the discussions can provide closely related informationn that pro-
regarding each particular method as applied to engi- vides a strong contribution to the parameter identi-
neering investigations. fied. A numerical rating is included in the table to
indicate whether the parameter is measured or calcu-
lated directly from the measurements made, if the
6.1 USE OF DATA parameter is more or less directly inferred from the
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
measurements, or if the measurements simply pro-

The data derived from geophysical investigationsusu- vide contributory information that would not identify
ally have to be interpreted by experienced geophysi- the parameter by themselves. Table 6-2 indicates
cal analysts prior to use by engineering geologists or which geophysical methods can be used to investigate
geotechnical engineers. Interpretations are both di- geologic conditions which may be important in the
rect (calculations from established formulae or tab- siting of transportation routes. Limitations of some of
ulation of data readings), or extrapolations based the methods make several of those shown less useful
upon the experience of the individual data analyst. than might be initially expected, and some comments
In all but a few applications,such as reconnaissance regarding actual usefulness are reflected in the discus-
investigationsfor example, the results of geophysical sions of the following sections.
investigations should always be supported by direct General references dealing with applications of
observation of subsurface conditionsby means of bor- geophysical methods for geotechnical investigations
ings, test pits, trenches, outcrops and other geological include: U.S. Army, Corps of Engineers (1943,
information. Such direct measurements will assure 1979); Ballard and Chang (1973); Cuiley (1976);
that subsurface conditions not measured by the geo- Enslin (1953); Golder and Soderman (1963);
physical methods are discovered and support or ne- Griffiths and King (1965); and Bison Instruments
gate interpretations made on the basis of geophysical (1977). Specific applications for highway investiga-
methods. Each geophysical technique has facets that, tions are discussed by Black (1973); Lawson, Foster,
if not recognized, can cause serious misinterpretation and Mitchell (1965); Love (1967); Malott (1967);
or misuse of the results. Awareness of the potential Mayhew, Struble, and Zahn (1965); Patterson and
for error must be recognized annd anticipated so that Meidav (1965); and West and Dumbleton (1975).
proper calibration of the results is possible. Tunneling applications are included in papers by
Measurements of the existing geophysical fields Schwarz (1972) and Scott, and others, (1968), with
and resulting interpretations range from detailed representative investigations for dams discussed by
gravimetricplan maps showing relative depth of bed- Gogoslovsky (1970), and Cratchley, and others,
rock (or actual depth if appropriately calibrated) to (1972). A sinkhole problem examined by geophysical
the identification of zones and flow rates of moving techniques is described by Enslin and Smit (1955),
groundwater penetrated by boreholes. In each case, and a groundwater investigation by Foster (1951).
the density of surface observation stations (gravity, The references above represent approaches that in-
magnetics, electrical) or frequency of borehole re- clude use of more than one geophysical technique.
cording or measurement points (electrical, nuclear, Additional case histories and specific applications for
thermometric) establishes the resolution level of the particular techniques are also identified in discussions
data collected. The basic sensitivity of current instru- of individual geophysical techniques, given below.
mentation is sufficient to measure existing fields at the
levels useful to geotechnical investigations.
Induced-field geophysical techniques are more 6.2 SCHEDULING
widely used than passive techniques. Joint use of both
induced and existing fields is common in some types Geophysical investigation techniques are generally
of investigations. Selection of the method used in the applicable to some degree throughout a project life-
induced case can be based upon a need for depth of time, ranging from the initial investigative phases
coverage (seismic, electrical, electromagnetic), through the final design phase.
versus the specific type of information needed (seis- The widest use of engineering geophysics occurs as
mic , acoustic, nuclear, electrical). Resolution capa- an integral part of the initial site explorations, espe-
bility is also selectable to some degree, with resolu- cially in phased investigationsor to generally provide
84
Engineering Geophysics
Table 6-1.
Geophysical Field Methods
EXISTING FIELDS INDUCED FIELDS

A
, \
E
1
e
T C
G h t
r e r
a r O
V E M m A E m
i 1 a O N S C 1 a N
m e g m U e O e g U
e C n e C i U C n C
t t e t 1 S S t e 1
r r t r e m t r t e
i i i i a i i i a
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
1
C C C C r C C C C r
P-Wave Velocity 3 1
S-Wave Velocity 1
Resistivity/ 2 1 1
Conductance
Temperature 3 1 3
Density 2 3 3 1 2 2 3 3 1
State of Stress 2 2
Shear Modulus 3 3
Youngs 3 3
Modulus
Poissons Ratio 1
Corrosion 3 2 2 3
Potential
Permeability 3 3 3 3 2 2 3 2
Saturation 3 2 2 2 2 3 1
Aquifers 3 3 2 3 1 2 3 2
Groundwater 3 2 2 2 1 1 3 2
Table
Groundwater 2 2 3 2 2
Flow
SoiilRock Ifrpe 2 2 2 3 2 2 2 2 3
Depth to Bedrock 2 2 2 2 2 1 1 1 1
Material 2 2 2 2 1 2 1 1
Boundries
Strata Dip 2 2 2 2 1 2 2 1
Lateral 2 2 3 2 1 2 2 1
Changes
Obstructions 3 1 2 2 1 3
Rippability 2 2 2 3 3
Fault 2 2 2 1 3
Detection
Cavity 2 2 2 1 3
Delineation
1. Direct measurement, or calculated from measurement
2. Inferred from measurement or calculation
3. Combined with other data to develop inference.
information between widely spaced point observa- ing geophysics techniques should be used (i.e. , at
tions (i.e., boreholes, test pits, outcrops, etc.). Re- what point in time a particular parameter must be
liminary geophysical explorations (following a review known in the decision process). The need for some
of geological, topographical, and ownership condi- methods is sometimes also identified during the inves-
tions) can lead to realignment or site rejection or can tigation of a site by other geophysical techniques.
@ indicate the need for additional explorations. Table For major projects, use of geophysics is ordinarily
6-1 is helpful in determining when various engineer- defined before the field investigations begin since the
85
-_ -
1
Licensee=Dept of Transportation/5950087001
_ _ _ __ ____ - ___
AASHTO T I T L E MSI BB m Ob39804 0011713 121 m
Table 6-2.
Uses of Engineering Geophysics in Geological Investigations of 'Ikansportation Routes
Geological Conditions Useful Geophysical Techniques
to be Investigated Surface Subsurface
Stratified rock and soil units Seismic Refraction Borehole Logging
(depth and thickness of layers)
Depth to Bedrock Seismic Refraction Borehole Logging
Electrical Resistivity
Depth to Groundwater Table Seismic Refraction
Electrical Resistivity
Location of Highly Fractured Electrical Resistivity Borehole TV Camera
Rock andor Fault Zones
Bedrock Topography (troughs, Seismic Refraction, Gravity
pinnacles, fault scarps)
Location of Planar Igneous Gravity, Magnetics, Seismic
Instrusions Refraction
Solution Cavities Electrical Resistivity, Gravity Borehole TV Camera
Isolated Pods of Sand, Gravel, Electrical Resistivity Borehole Logging
or Organic Material
Permeable Rock and Soil Units Electrical Resistivity Borehole Logging
Topography of Lake, Bay, or Seismic Reflection (acoustic
River bottoms sounding), side-scan sonar
Stratigraphy of Lake, Bay, or Seismic Reflection (acoustic
River Bottom Sediments sounding)
Lateral Changes in Lithology of Seismic Refraction, Electrical
Rock and Soil Units Resistivitv
role of the eventual results is well known in the design 6.3.2 Investigation Plan Map
process. On smaller projects the use of geophysical
methods is sometimes deferred until it is determined A geophysical investigation plan shows the points of
that more traditional investigations cannot provide exploration activity within the project coordinate sys-
the required information, or that geophysical tech- tem.
niques will provide the needed information on a more
timely or more cost-effective basis. 6.3.3 Data Results
Maps, cross-sections and profiles are used as appro-

6.3 PRESENTATION OF RESULTS priate to display raw data measurements, results of
calculations from the measurements, or interpreta-
The methods of presenting engineering geophysical tion of the meaning of the measured and calculated
results are as varied as the range of parameters listed. values. Many results may be contoured, or discrete
The specific need should be identified prior to investi- levels of response can be patterned similar to geologi-
gation, and the method of presentation should be cal mapping as a means of showing different physical
chosen on the basis of the needs. The following items conditions in both aerial and cross-section views.
should be considered when selecting the method of Borehole data may be presented in a continuous
data display: depth vs. response level chart or as tabulation of
response at discrete depths or depth intervals.
6.3.1 Site Locus Map All separate reports of geophysical investigation
results should include an explanatory text that pre-
The site locus map is used to identify the geographical sents the following minimal information:
location of the investigations and to provide site orien-
tation with reference to the project coordinate sys- Purpose and Scope of the Investigation O
tem. Dates and Locus of Investigation
86
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

Personnel and Organizations Involved waves between boreholes. This c c ~ r ~ ~ ~ method

hole77
Amount of Data Collected permits calculation of bulk engineering parameters
Quality (Reliability) of Data Collected (e.g., Youngs modulus and Poissons ratio) under
Method of InvestigatiodEquipment Employed dynamic stressing and under in situ conditions. Use of
Method of Analysis and Interpretation the method is becoming standardized for larger proj-
Interpreted Results ects because the parameters derived are useful in the
Summary and Recommendations (as appropri- design of underground openings and in earthquake
ate) engineering.
Seismic reflection investigations on land have
Charts, figures, and tabulations should be used somewhat limited use because of energy generation
routinely to document the results. problems. However, shockwave energy is transmitted
Where such data are available, the report should very well in a fluid medium, and reflection techniques
also include correlative or contradictory results of have wide use in marine investigations (lakes and
other investigations, particularly if the data are im- rivers, as weil as ocean surveys). The marine applica-
portant to interpretation of the geophysical results. tion of reflection is sometimescalled Acoustic Profil-
The sources of such information must also be identi- ing, and it is very effective in providing anessentially
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
fied. Experienced investigators will also include com- continuous representation of bottom and subbottom
ment about or an estimate of the accuracy of the boundaries between materials of different physical
results of their investigations to aid in resolving any characteristics.
conflicts between geophysical and supporting geolog- Other geophysical methods that have specific ap-
ical data. plication in certain instances are available, and can be
used for investigations of a somewhat unique nature.
Devices that permit detection of subaudible rock
6.4 MAJOR METHODS noise can be effective in providing information about
the state of stress in soil and rock bodies (from the
Induced energy fields are the most widely employed strains that are occurring) or for establishing the rates
geophysical approach. Seismic refraction and electri- of slippage as indication of impending failures. Bore-
0 cal resistivity are the techniques most familiar to the
geotechnical community. Related methods, such as
hole TV cameras are used to provide a direct visual
image of material conditions in the borehole walls that
seismic reflection, seismic surface wave analysis, and might only be inferred from other techniques, espe-
electromagnetic techniques are ordinarily employed cially in zones of shattered rock where core is not
only where the need for the specific capability can be recovered.
identified. While many other geophysical techniques are avail-
Gravity and geomagnetic measurements have ex- able in certain types of investigations, those above
perienced increasing use in recent years, primarily for represent methods that have been demonstrated ef-
projects requiring reconnaissance mapping of bed- fective in geotechnical investigations. Several of the
rock elevations for groundwater or geologicalstruc- borehole techniques are currently in a stage of rapid
tural studies. These techniques are not generally fa- development (gravimetry, electromagnetic crosshole
miliar to the geotechnical community, but the basic procedures) and computerizedtreatments of data col-
concepts can be readily understood. lected at ground surface (seismic and resistivity) are
Electrical and nuclear borehole logging can provide constantly in a state of improvement. Additional use
a continuous measurement of material properties im- of geophysical techniques for geotechnical appli-
mediately adjacent to the borehole walls. Very de- cations can be expected as improvements in both
tailed interpretations can be derived from the logs by field procedures and analyticalinterpretational ap-
experienced logging analysts. The seismic technique proaches develop.
may also be employed in boreholes, and the tech-
nique is sufficiently advanced to permit computerized
calculation of significant engineering parameters on a 6.5 SEISMIC METHODS
continuous basis throughout the depth of individual
boreholes. Since the range of information beyond the Seismic methods (refraction and reflection) involve
*
borehole wall is limited to a few decimetres (a foot or the measurement of the transmission velocity of me-
so), geotechnical investigations require a good under- chanical waves in soil and rock units. Seismic wave
standing of borehole logging techniques. velocities are controlled by the density of the mate-
One of the more useful borehole techniques in- rials and the presence of discontinuities such as joints
volves measurement of the transit times of seismic and faults. The density of an earth material is affected
87
- - -. --
AASHTO T I T L E M S I 8 8 m Ob39804 0011715 T T 4 W
by the mineralogy, porosity (void ratio) moisture con- Table 6-3.

tent, degree of saturation, and degree of fracturing of npical Seismic Wave Velocities of Various Earth
the material. Seismic wave velocities are indicative of Materials*
the gross or bulk nature of these combined material
characteristics. Wave Velocity
To perform a seismic survey, energy is imparted to Metre/
the ground by striking a plate on the ground with a Earth Material FeeiSecond Second
sledge hammer or by setting off an explosive charge at Top Soil
the ground surface or in a borehole. Mechanical or Dry 6OO-9OO 180-275
Moist to Wet 1,000-2,500 305-760
seismic waves propagate from the energy source and Clay, Dense and Wet 3,000-5,900 915-1,800
are detected by geophones placed at known distances Gravel 1,970-2,600 600-790
from the energy source. The travel times of the seis- Cemented Sand 2,800-3,200 855-975
mic waves from the energy source to the geophones Glacial Till 5,600-7,400 1,705-2,255
are measured by a seismograph. The distances of the Weathered and 1,500-10,000 455-3,050
Fractured Rock
geophones from the energy source divided by the Shale 2,600-12,000 790-3,660
travel times indicate the seismic wave velocities of Chalk 6,300-8,000 1,920-2,440
the materials through which the mechanical waves Sandstone 7,200-9,000 2,195-2,745
travelled. Phyllite 10,000- 11,000 3,050-3,350
The velocities of seismic waves in earth materials Granite
Fresh 16,000-20,000 4,875-6,095
are directly proportional to the bulk densities of the Highly Weath- 1,540 470
materials. Seismic wave velocities of rock are gener- ered
ally higher than in soils and unconsolidated sedi- Fractured and 2,200-8,000 670-2,440
ments. Intact rocks will demonstrate higher wave ve- Weathered
locities than fractured rocks, and soils with low Open Joints Present 10,000-13,000 3,050-3,960
Basalt 9,000-14,000 2,7454,265
porosities (void ratios) will demonstrate higher wave Metamorphic Rocks 16,400-20,200 5,000-6,155
velocities than soils with high porosities. The seismic Water 5,000 1,525
wave velocities of saturated earth materials are usu- Air 1,100 335
ally greater than those of partly saturated earth mate- * Data from U.S. Army Corps of Engineers (1979).
rials, Table 6-3 demonstrates the differences in seis-
mic wave velocities in different materials. The travel time is the time between the energy shot
Two types of seismic methods may be utilized; seis- and the first arrival of the seismic waves at each of the
mic refraction methods and seismic reflection geophones which is recorded by the seismograph.
methods. Refraction methods utilize the refraction of Plotting the travel time to each geophone against the
mechanical waves at the interfaces of different mate- distance of the geophone from the shot point puts the
rials. Reflection methods utilize the reflection of me- field data into a form from which the seismic velocities
chanical waves at the interfaces. For the purposes of of layers 1 and 2 may be calculated, as well as the
engineering geophysics, refraction methods are best depth of the interface between the two layers. Figure
suited for use n land while reflection methods are 6-2 shows the time-distance plot of data which may be
best suited for use in aqueous environments. obtained from the situation depicted in Figure 6-1.
The inverse of the slopes of the curves are equal to the
6.5.1 Seismic Refraction Method seismic wave velocities in the two layers. The critical
The essential parameters of the seismic refraction distance, Xc, is the distance from the shot point at
method are indicated in Figure 6-1. The figure repre- which the first arrival is a seismic wave which has
sents a two-layer case with horizontal boundaries
where the seismic wave velocity in layer 2 is higher
than in layer 1.The interface between layers 1and 2
may represent the top of bedrock, the groundwater
level, or the contact of two geologic units. Between
the shot point and distance Xc, the first seismic waves
to arrive at the geophones are those that travel
5
through layer 1.Beyond the distance Xc, the seismic LAYER 2,
waves to arrive first at the geophones are those that Figure 6-1. Essential parameters of the seismic
are refracted at the boundary and travel through layer refraction method for a two-layer case
2, where the seismic wave velocity is higher than in with horizontal boundaries. US Army
layer 1. Corps of Engineers (1979)
88 --`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

AASHTO T I T L E M S I 88 E Ob39804 O O L 1 7 L b 930
I
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
~~
GROUND SURFACE \
DISTANCE
Figure 6-2. Time-distance plot of data obtained

during seismic refraction survey of a
two-layer case with horizontal
boundaries. The inverses of the slopes
of the lines are equal to the seismic Figure 6-3. Time-distance plots of data obtained
wave velocities in the two materials. during seismic refraction surveys run
US Army Corps of Engineers (1979) in opposite directions above a two-
layer system with a dipping boundary.
travelled through both layers 1and 2. The curve to the US Army Corps of Engineers (1979)
left of Xc represents the seismic wave velocity in layer
1 while the curve to the right of Xc represents the
seismic wave velocity in layer 2. The curve to the right V2TiL 1
X
of Xc is flatter than the curve to the left of Xc, indicat- DL =?-ai qV,/vl)2 -1
ing that the seismic wave velocity in layer 2 is greater
than in layer 1.
The depth (D) to the interface between layers 1and
2 can be calculated using the equation: where (DL ) and (DR ) are the depths to the interface
on the left and right sides of the profile, respectively.
V2 and are given by the equations:
where (Xc) is the critical distance and (VI ) and (V2 ) V,.%R
are the seismic wave velocities in layers 1 and 2,
v2= COS e>V,L+ V,R
respectively. An alternative method for calculating
the depth to layer 2 is to use the intercept time, Ti,
indicated on Figure 6-2, which is the intercept of the
curve to the right of Xc with the time axis of the time- where (e) is the slope of the interface and (VI), (VzL),
distance plot. In this case: and (V,) are as indicated in Figure 6-3.
The time-distance plots of data obtained from run-
ning seismic refraction surveys across a vertical sub-
surface interface (scarp) are shown in Figure 6-4. The
If the interface between two layers is not horizon- curves are offset because of the steepness of the topo-
tal, the time-distance plots of refraction surveys run in graphic break on the rock surface.
opposite directions and will be different, as illustrated Profiles consisting of more than two layers may be
in Figure 6-3. The critical distance of the refraction analyzed using seismic refraction methods. The seis-
survey advanced from the left to the right is less than mic wave velocities in the layers and the thicknesses of
the cirtical distance of the survey run in the opposite the layers may be determined from time-distance
direction. This indicates that the depth to the inter- plots using equations which are more involved than
face between materials 1and 2 is less on the left side of those already presented. Detailed discussions of mul-
0 the profile than it is on the right side of the profile.
The depths to the interface on either side of the
tiple layer systems are given in Dobrin (1976),
Mooney (1977), and U.S. Army Corps of Engineers
profile are given by the equations: (1979).
89
mograph. A single energy source is used and the

travel times of the seismic waves from the shot point
to the geophones are recorded by the seismograph.
The field setup of a multiple channel unit wili be
similar to the arrangement of geophones shown in
Figure 6-1.
A single channel unit consists of a single geophone
which is connected to a seismograph. When using a
single channel unit, the position of the geophone is
kept constant while the distance between the geo-
GROUND SURFACE
phone and the shot point is increased. The travel
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
times of the seismic waves between the shot points

and the geophone are recorded for each shot point
location. The furthest distance between the geophone
and the shot point should be at least as large as the
depth of the deepest geologic unit of interest, and
preferably three times as large as the desired depth of
penetration.
Figure 6.4, Time-distance plots of data obtained Seismic surveys should always be run in opposite
during seismic refraction surveys run directions along a line so that dipping subsurface
in opposite directions across a two- layers or breaks in bedrock topography can be de-
layer system with a sharp vertical tected. When using multiple-channel seismographs,
discontinuity in the boundary. The the line can be reversed by moving the shot point from
discontinuity may represent a sharp one end of the geophone line to the other. When using
break in the bedrock topography or a single-channel seismographs, the direction of the line
subsurface fault scarp. US Army can be reversed by moving the geophone to the posi-
Corps of Engineers (1979) tion of the last shot point on the previous line and
increasing the distance between the geophone and
6.5.1.I Field Methods. When planning seismic re- shot point in a direction opposite to that used in the
fraction surveys, the source of mechanical energy, previous line.
spacing of geophones, and direction of survey lines The geology of a site or transportation route should
must be tailord to the geology of the site and to the be considered when establishing seismic refraction
information requirements of the survey. survey lines. Survey lines should be oriented nearly
Energy may be imparted to the ground by'striking perpendicular to the strike of major geologic struc-
the ground with a sledge hammer, dropping a weight, tures (fault and fracture zones, folds, scarps on the
or by setting off an explosion at or near the ground bedrock surface) so that linear anamolies can be
surface. Large-energy sources will result in deeper traced across parallel survey lines.
Penetration of seismic waves and will allow for the The geophones should have good contact with the
analysis of geologic conditions at greater depths than ground. Thin layers of loose surficial material, or-
if smali energy sources are utilized. ganic material, and snow should be removed so that
The spacing of the geophones will be controlled by the geophones can be placed on firm ground. Like-
the depths and thicknesses of the geologic units along wise, the energy source should have good contact with
the survey lines. If individual subsurface layers are the ground. A poor contact will result in loss of pene-
thin, small geophone spacings must be used in order tration depth of the seismic waves.
to define the layers. If the subsurface layers are thick,
wider geophone spacings can be used. The total 6.5.1.2 Characterization of Rock Type by Seismic
length of the geophone lines should be at least as long. Wave Velocity. Seismic wave velocities of materials
as the depth of the deepest geologic unit of interest. beneath a survey line can be calculated from the time-
Better results can be obtained if the geophone lines distance plots of the field data and the materials can
are at least three times the desired depth of penetra- be tentatively identified on the basis of these veloc-
tion. ities. Seismic wave velocities of materials encoun-
The method of performing a refraction survey will tered at a test site can be determined by running
depend on the type of seismograph which is used. refraction surveys with short geophone lines across
Multiple channel units consist of several (usually 6 to outcrops of the various materials. The first travel-
24) geophones which are connected with a single seis- time curve on the time-distance plots will indicate the
90
AASHTO T I T L E M S I 8 063OLl O O L L 7 L 703
seismic wave velocity in the outcropping material. layers have seismicwave velocities which are less than
Care must be taken to perform the calibration surveys that in air, if the surface topography over which a
at locations where the materials exposed at the sur- geophone line is spread is not level, and if the shot
face have similar mechanical properties to the mate- points are not at ground level. The necessary correc-
rials in the subsurface. The materials tested at the tions are described in U.S. Army Corps of Engineer
ground surface should be weathered to the same de- Manual EM 1110-1-1802 (1979).
gree as the materials in the subsurface. The seismic
wave velocities in subsurface materials can also be 6.5.2 Seismic Reflection Methods
determined from data obtained from crosshole seis-
mic surveys (discussed in section 6.10.3). Seismic waves which are reflected off material bound-
ary interfaces can be recorded by a seismograph and
6.5.1.3 Limitations of Seismic Refraction Surveys. used in seismic reflection analyses. On land, the re-
Certain conditions may result in ambiguous and/or flected seismic wave arrives at the geophone after the
incorrect interpretation of seismic refraction data. refracted seismic wave, and the signal of the reflected
These conditions include: wave is usually masked by the signal of the refracted
Insuficient density contrast at boundaries be- wave (except if a seismograph which is specifically
built for use in seismic reflection surveys is used). For
tween layers
Presence of low-density layer in the stratigraphic this reason, reflection surveying is not useful for land
sites. In aqueous environments, it may be difficult to
section
Upper layer with a seismic wave velocity less place geophones on the firm sediment in lake, bay, or
river bottoms, making seismic refraction surveys im-
than that of air
Surface topography which is not level practical. Seismic reflection surveys can be used suc-
Shot point not at ground surface cessfully in water-covered environments and have
been used to determine depth to bedrock, as well as to
Refraction of seismic waves will occur at the bound- locate subbottom faulting, buried channels, buried
ary of two materials only if there is a sufficient con- sand and gravel deposits, and buried manmade ob-
trast in the density of the two materials at the bound- jects.
0 ary. Sufficient density contrasts will occur at the
boundaries between lithologic units, at the groundwa-
Mechanical waves are generated at the water sur-
face, pass through the water column, and are re-
ter level in granular materials, and at the top of fresh flected off boundaries of density and/or velocity con-
bedrock. Insufficient density contrasts may occur at trasts with subbottom materials. The density and
the boundaries between units of similar lithology, and velocity contrasts may be due to changes in the sedi-
at the groundwater level in fine-grained materials. ment type; or changes in the physical properties of a
In order for a subsurface layer to be detected by a single layer due to changes in grain size, porosity, or
seismic refraction survey, the seismic waves must be density. The recorded display obtained during a seis-
refracted upwards toward the interfaces of the layers. mic reflection survey will resemble a geologic cross
This will occur if the densities of successively deeper section, showing bedrock (if present) and layers of
layers increase. If a low-density layer occurs in the sediment lying on top of bedrock. The recorded dis-
section (a layer with a seismic wave velocity less than play indicates the travel time of seismic waves from
that of the overlying layer), the seismic waves wi be the energy source to the receiver, and the apparent
refracted downward and away from the boundaries depths and thickness of layers on the display are not
and a travel time curve for the low-density layer will true representations of the actual depths and thick-
not occur on the time-distance plot of the field data. nesses of layers because of the differences in the seis-
Depths to individual layers, calculated from such a mic wave velocities in the subbottom materials. The
time-distance plot, would be incorrect since the thick- actual thicknesses and depths of the layers can be
ness of the low-density layer would not be included in calculated, knowing the seismic wave velocity in the
the depth calculations. The presence of low-density materials, using equations given by Dix (1952).
layers, as well as the depth and thickness of such Seismic reflection surveys are usually made from a
layers, may be determined from boring logs and cross- boat equipped with an energy source and a receiver or
hole seismic surveys. The thickness data may be used hydrophone. Both are towed behind the point and the
to correct the depths calculated from time-distance energy source is activated at intervals along the survey
plots. line. Energy sources include pingers, mechanical
Corrections must be made on the procedures pre- boomers, electrical sparkers, or pneumatic air guns,
sented in this chapter for calculating thickness and all of which are towed behind the survey boat; or
depth of subsurface layers if the upper soil or rock dynamite, which is thrown from the survey boat.
91
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

Good control must be kept on the location of the

survey boat and shot points. The direction of the boat
may be controlled by visual, radio, or radar sighting of
land-based range poles; and location of the shot
points may be determined from the records of boat
speed and times of energy source activation.
6.6 ELECTRICAL RESISTIVITY

METHODS
Electrical resistivity methods utilize the differences in
I CURRENT LILIE
the electrical resistivities of different earth materials, Figure 6-5. Schematic diagram of an electrical
Since the resistivity of earth materials are affected by resistivity array indicating locations of
mineralogy, porosity, degree of saturation, moisture current electrodes, voltage electrodes,
content, and chemistry of the pore fluids, electrical and equipotential and current lines in
resistivity surveys can be used to define subsurface the subsurface. US Army Corps
layering, locate cavities and gravel pockets, and locate Engineers, 1979
the groundwater table. For example, clays tend to
have low resistivities because of the presence of ex- face materials with unusually high or low electrical
changeable cations in the pore fluids while sands con- resistivities will result in anomalously high or low
taining fresh water have high resistivities. The re- apparent resistivities. High resistivities will become
sistivity of an earth material usually decreases as the detectable as the electrode spacing is increased and
moisture content of the material increases. The re- electrical current flows through the material.
sistivity of certain earth materials are given in Table Three electrode configurations can be used in elec-
6-4. trical resistivity surveys (Figure 6-6). The equations
An electrical resistivity array consists of four elec- which can be used for calculating the apparent re-
trodes which are pushed into the ground. %o of the sistivity of earth materials are:
electrodes transmit an electrical current to the ground Schlumberger Array pa= 7rs2V/(aI)
and the other two electrodes measure the voltage
drop in the earth materiais between the current elec- Wenner Array pa = 27raVII
trodes (Figure 6-5). The resistivity of the earth mate-
rials can be calculated using a form of Ohms Law. Lee Array paL= 4rraVJI
PaR = 4naVRn
The resistivities which are calculated are apparent
resistivities and not true resistivities. The apparent where (pa) is the apparent resistivity, (I) is the current
resistivities are average resistivities of ail of the earth flowing through the current electrodes, (V) is the
materials through which the electrical current flows. voltage across the voltage electrodes, and (S) and (a)
As the electrode spacing is increased, the electrical are the electrode spacings indicated in Figure 6-6.
current flows through more material, and the appar- Two types of resistivity surveys can be performed.
ent resistivities calculated from the field arrays are Depth Sounding involves increasing the spacing be-
averages of the resistivities of more materials. Subsur- tween electrodes so that the apparent resistivities of
earth materials at increasing depths are measured.
Table 6-4. The center part of the array is kept at the same loca-
Electrical Resistivity of Various Earth Materials tion while the electrodes are moved further away from
Usually Encountered in Electrical Resistivity the center point for each sounding. The maximum
Surveys electrode spacing should be 1to 3 times the depth of
the geologic unit which is being investigated. Profiling
Material Resistivity, ohm-meters involves running a resistivity survey line while main-
Clay 1-20 taining constant electrode spacings. This can be done
Sand, wet to moist 20-200 with the Wenner array by taking one current elec-
Shale 1-500
Porous limestone 100-1,000 trode out of the ground and replacing it a distance
Dense limestone 1,000-1,000,000 beyond the other current electrode in the direction of
Metamorphic the advancing survey line. The wiring to the elec-
rocks 50-1,000,000 trodes must be changed so that the proper configura-
Igneous rocks 100-1,000,000 tion of current and voltage electrodes exist. A profile
US Army Corps of Engineers (1979) survey will measure the apparent resistivities of earth
92 --`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

AASHTO T I T L E MSI 88 = Ob39804 OOLL720 3 6 1 m
INTERMEDIATE LAYERS
Pl
Ti?&&& \ u\w
LAYER n
a. LAYERED EARTH
a.
s
I
-
SCHLUMBERGER ARRAY A
A M l
///////.////////// ELECTRODE SPACING
a - 1 -
- a b. APPARENT RESISTIVITY
b. WENNER A R R A Y Figure 6-7. Apparent resistivity anomalies due to

varying electrical resistivity of the
intermediate layer of a three-layer
system. US Army Corps of Engineers,
1979
the apparent resistivities will be approximately equal

to P,.
O I I l l
177
Curves A, B and C represent the effects of different
resistivity conditions in the intermediate layers.
Curve A represents the case where the intermediate
layer has a higher resistivity than layer n. This may
C. LEE A R R A Y occur when an air-filled solution cavity, pocket of
Figure 6-6. Three electrode configurations used in organic material, lense of clean sand or gravel, or
electrical resistivity surveying. US igneous intrusion occurs in the intermediate layer.
Army Corps of Engineers, 1979 Curve C represents the case where the intermediate
layer has a lower resistivity than layer n. This may
occur if the groundwater level exists in the intermedi-
materials along the survey line to a relatively constant ate layer, or if a lense of saturated clay or zone of
depth. The most efficient way to identify a subsurface saturated fault gouge exists in the intermediate layer.
feature using electrical resistivity methods is to per- Any anomaly in the apparent resistivity of subsurface
form a depth sounding to locate the anomaly and then material should be defined by borings made at the
to perform a profile survey to delineate the anomaly, location of the anomaly.
using the same electrode spacing at which the anom- Quantitative interpretation of electrical resistivity
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
aly was discovered in the depth sounding. data involves curve matching or generation of theo-
Qualitative interpretations of resistivity data are retical resistivity curves by a computer. Quantitative
made on the basis of discovering and delineating an interpretation is discussed in Orellana and Mooney
anomaly in the apparent resistivity of the subsurface (1966), Van Nostrand and Cook (1966), Dobrin
materials. Figure 6-7 illustrates different types of ap- (1976), and U.S. Army Corps of Engineers (1979).
parent resistivity anomalies. The earth model consists
of three layers with resistivities of Pl, Pi, and P,. For
very small electrode spacings, all of the electrical 6.7 GRAVITY METHODS
current passes through layer 1 and the calculated
apparent resistivities will be approximately equal to Gravity methods involve the measurement of anoma-
Pi. For very large electrode spacings, most of the lies in the gravitational field of the earth which are due
electrical current will be passing through layer n and to differences in the densities of materials in the sub-
93
~ _ _ _ _ _ _ _ - - - I _ _ I
-
AASHTO T I T L E M S I 8 8 M 0639804 001172L 2T8 M
surface. For example, an air-filied solution cavity is the Bouger correction, and Grneor.is the theoretical
would have a different density than surrounding rock gravity calculated for the international reference
units, which would result in a gravity anomaly; a earth ellipsoid using the Geodetic Reference System
trough or pinnacle in the bedrock surface would ap- of 1967 formula:
pear as an anomaly when compared to the gravity
readings in surrounding terrain.
+
Gneor. = 978.0318 (1 0.0053024 sin2+
- 0.0000059 sin2+) gals.
The gravitational field of the earth is measured in
gals, where one gal = 1cm/sec2.The average gravita- where (4) is latitude in degrees. The free-air correc-
tional field at sea level is 980 gals. Gravity anomalies tion is made to account for the difference in elevation
are measured in terms of milligals, or approximately between the datum (mean sea level) and the data
one-miilionth of the earth's gravitational field. The station, and is 0.3084 milligaYm (0.094 milligauft.)
resolution of a gravity survey depends on the sensi- The free-air correction is added when the data station
tivity of the gravimeter and on the density contrast is above the datum and subtracted when the data
between different units in the subsurface. Modern station is below the datum. The Bouger correction is
gravimeters are capable of detecting differences in to correct for the gravitational attraction of the mass
the gravitational field of 0.01 to 0.05 milligals. For between the data station and the datum, and is 0.115
example, a spherical cavity with a 1.2 m (4 ft.) radius milligal/m (0.034 milligal/ft.) (assuming an average
with its center 1.5 m (5 ft.) below the ground surface density of the mass of 2.67 g/cm3). The Bouguer
in limestone with a density of 2.12 g/cm3would result anomaly is subtracted when the data station is above
in a gravity anomaly of (-)0.046 milligal (Fig. 6-8). the datum and added when the data station is below
This is barely within the range of precision of some the datum (Figure 6-9). The kee-air and Bouguer
modern gravimeters. The gravity anomaly produced corrections may be added together for a total correc-
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
by a salt dome with a diameter of 800 m (2600 ft,) tion of 0.197 milligal/m (0.060 miliigayft.) which is
buried at a depth of 600 m (1970 ft.) would be approx- added when the data station is above the datum and
imately (-)0.04 milligal. subtracted when the data station is below the datum.
The equation for the Simple Bouguer Anomaly is: Further corrections can be applied to the observed
gravity to account for the gravitational effects of any
GOBSf GFAf GB - Grneor = C ~ n o m a l y surface or subsurface geologic features (mountain
where Goss is the value of the gravity field measured ranges, fault scarps, buried river valleys ,solution cav-
with the gravimeter, GFAis thefree-air correction, GB ities) which are near but not within the study site.
Calculations for determining such corrections are
-)o
DISTANCE FROM SPHERICAL CAVITY I,FT
-10 O 10 N x)
given by Dobrin (1976). These types of terrain correc-
O
I
-0.06 L
t. * i
/GI(OOND SURFACE
v w
C
S A VPI T IH E R I U G y = 2.6'
0.52 i10-3 Y e3
*.=-
al
y = -1.61 9 h 3
*'4FT
I'5FT
I I
Figure 6-8. Gravity anomaly caused by a Figure 6-9, Theoretical gravity values, observed
spherical cavity, with a 4-foot radius gravity values, free-air corrections,
located five feet below the ground and Bouguer corrections used in
surface, in limestone with a density of calculating the Simple Bouguer
2.12 g/cm3. US Army Corps of Anomaly. US Army Corps of
Engineers, 1979 Engineers, 1979
94
AASHTO T I T L E NSI 88 m 0639804 0033722 i134 m
tions do not have to be made if the topography of the Data stations should be spaced sufficiently close
e, study site and surrounding area is relatively flat.
6.7.1 Field Methods

enough to each other to adequately define the subsur-
face conditions of interest. Surveys which require high
resolution require closer spacing of data stations than
surveys which require lower resolution. Spacing of
Gravity readings are taken at data stations at which data stations should be such that several gravity read-
the elevation is known. Elevations may be determined ings are made within the boundaries of thesubsurface
from topographic maps or by surveying the elevations features of interest.
of the data stations. It is important to accurately
determine the elevation of data stations since the 6.7.2 Interpretation of Gravity Data
combined free-air and Bouguer anomaly correction
of 0.197 miiiigai/m (0.060 miiligaVft.) is approx- Correctedvalues of the gravity anomalies can be plot-
imately the same as the precision of some modern ted at the location of the data stations and contour to
gravimeters. create a map of the Simple Bouguer anomaly. Tra-
Gravimeters give readings of gravity differences verse-type gravity surveys can be conducted across
rather than absolute gravity, and therefore must be subsurface features of interest and the corrected
calibrated by making gravity readings at base stations values of the gravity anomalies can be plotted against
where the absolute values of the earth's gravitational distance to create cross-sections indicating the loca-
field are known. A system of calibrated data stations tion of gravity anomalies (Figure 6-8). Subsurface
is maintained by the U.S. Army Corps of Engineers. structures can be determined from surface gravity
Readings should be made at the base stations at least data using methods given by Dobrin (1976).
twice a day (at the beginning and end of the survey)
and preferably three times a day. The observed base 6.8 MAGNETIC METHODS
station gravity readings are plotted against time and a
curve is fitted to provide time rates of instrument drift Magnetic surveys measure changes in the magnitude
caused by short-term variations in the elastic proper- in the total magnetic field of the earth which are due
ties of the deformation componentsof the gravimeter. to the presence of earth materials which contain sig-
The amount of instrument drift is a function of time, nificant amounts of magnetite or hematite and there-
and for this reason the times at which readings are fore have high magnetic susceptibilities. Rocks which
made at the data stations must be recorded so that the have unusually high magnetic susceptibilities include
proper instrument drift corrections can be applied. gabbro and basalt, as well as sedimentary or meta-
Instrument drift corrections are subtracted from the morphic rocks which contain significant amounts of
calculated gravity anomalies if the slope of the correc- magnetic minerals (magnetite, ilmenite, or hema-
tion curve is positive and are added if the slope of the tite). The primary use of magnetic surveying is locat-
correction curve is negative (Figure 6-10). ing potential iron ore deposits, but magnetic survey-
ing can also be used to locate basaltic igneous
309.650
r intrusions which may occur within or near fault and
fracture zones, or which may bound structural basins
in the bedrock topography.
Magnetic surveys may be performed with ground-
based or airborne magnetometers. For engineering
purposes, the most useful piece of equipment is the
proton magnetometer. The proton magnetometer is a
I , I , I , I , ~ ,
m.100
100 NO 3-30 (00 'O0
portable unit which can be operated by a single per-
ELAPSE0 TIME OF R E I O I H G S A r STATION I . UIN
son. Readings are made at data stations along a survey
Figure 6-10. instrument drift corrections. Data is line and the time of the readings are recorded so that
obtained by taking readings at a the field data can be corrected for diurnal variations,
calibrated base station two or more in the earth's magnetic field. The initial data station
times in one day. Instrument drift should be reoccupied at the end of the work day so
corrections are subtracted from the that closing error of the instrument can be deter-
calculated gravity anomalies if the mined. The closing error should be distributed evenly
slope of the correction curve is among the measured stations occupied during the
positive and are added if the slope of work day. Data stations should not be located near
the correction curve is negative. US any man-made object which can change the magni-
Army Corps of Engineers, 1979 tude of the earth's magneticfield (power transmission
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
95
AASHTO T I T L E MSI 8 8 0637804 OOLL723 070
lines, automobiles, metal pipelines and fences, structions are measured. The resistivities of the formation
tural steel in roads and buildings). The amount of are calculated from the voltage drops. Two electrode
magnetic material on the operator (belt buckles, keys, configurations can be used (Figure 6-11). A normal
knives, compasses) should be minimized.
The data obtained during magnetic surveys can be
presented as contour maps or as cross sections. There
is no need to calculate the absolute magnitude of the
earths magnetic field to interpret magnetic data so
that the data collected in the field (corrected for diur-
nal variation and instrument closing error) may be CURRENT
ELECTROOE
plotted directly on maps and cross sections. Linear
magnetic anomalies on maps and cross-sections may
be due to basaltic igneous intrusion, the presence of
iron-rich rock units, or the juxtaposition by faulting of
rock units with high and low magnetic susceptibility.
6.9 BOREHOLE LOGGING P O T E N T IA L

ELECTODI
Borehole logging can involve electric, radioactive,
mechanical, and thermometric measurements which
can be made in a borehole. Continuous borehole logs CURRENT
ELECTRODE
can be made by raising or lowering an investigative
tool in the borehole, and measurements made by the
tools are plotted as a function of depth in the bore-
hole. Except for nuclear logging in boreholes with
steel casings, it is impossible to obtain a meaningful
log from a cased section of borehole.
Borehole logs can be calibrated by comparing them
with cutting logs or description of cores taken from
FLUID - FI I L E D
the borehole. Calibrated borehole logs can minimize
the need for obtaining cores for detailed subsurface
stratigraphic analysis. Distinctive signatures of
subsurface units can be identified on the logs and
correlated between holes to generate detailed strati-
graphic cross sections of a site.
\
CURRENT
Borehole logs have been widely used in the petro- ELECTROOE
leum industry for obtaining information rom the
deep subsurface. Borehole logging of shallow holes
can be used to identify stratified sedimentary deposits
such as sands, clays, and organic material; to identify
rock units containing radioactive material; and to
distinguish permeable sands from impermeable CURRENT
ELECTRODE
sands.
6.9.1 Electrical Methods

POTENTIAL
ELECTROOL
Electrical methods utilize measurements of the re-
sistivity of subsurface material and the measurement
of the spontaneous electrical potential established POTENTIAL
ELECTRODE
between drilling fluids and pore fluids.
\SURFACES OF.
EQUAL POTENTIAL
6.9.1.I Borehole Resistivity. Borehole resistivity
methods work similarly to surface electrical surveysin Figure 6-11. Electrode arrays for down-hole
that electrical current is imparted to the subsurface electrical resistivity logging. US
formations and the voltage drops across the forma- Army Engineers, 1979
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
96
AASHTO T I T L E M S I 8 8 Ob39804 OOL1724 T O 7
resistivity probe measures the magnitude of the elec-

(I) tric field while a lateral resistivity probe measures the
gradient of the electric field. Data from both probe
configurations may be used to calculate electrical re-
sistivities of subsurface materials.
6.9.1.2 Single-point Borehole Resistivity. Single-

point borehole resistivity arrays consist of a single
electrode in the borehole and a single electrode on the
ground surface (Figure 6-12), both of which serve as
current and potential electrodes. An electrical cur-
rent is established between the electrodes and the
voltage drop measured between the electrodes is used
to calculate the electrical resistivities of the forma-
tions. The resistivities measured in this manner are
average resistivities of all of the formations between
the borehole and ground electrodes. As the borehole Figure 6-13. Response of borehole electrical
probe is raised or lowered past formations with high or resistivity log to subsurface units
low resistivities, the resistivity log will reflect the ap- with various lithologies. US Army
propriate increase or decrease in apparent resistivity. Engineers, 1979
Geologic units which demonstrate high electrical
resistivity include sand and sandstone, limestone and careful not to interpret the log signature of the
dolomite, and crystalline igneous and metamorphic groundwater table as that of a lithologic contact. The
rocks. Clay and shale units demonstrate low electrical resistivity of a formation will decrease as the salinity
resistivities as a result of the high concentration of of the pore fluids increases so that electrical resistivity
mobile ions in such formations. Figure 6-13 illustrates logs can be used to distinguish aquifers which contain
the response of an electrical resistivity log to various fresh and saline water.
lithologic units. The porosity, moisture content, and
salinity of the pore fluids will also affect the electrical 6.9.1.3 Spontaneous Potential. Spontaneous po-
resistivity of a formation. Porous formations which tential methods measure the electrical potentials
are saturated will have lower resistivities than the established between formation fluids and the drilling
same formations which are partly saturated. For this fluid, and the electrical potentials established at the
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
reason, the location of the groundwater table in a boundaries of permeable subsurface layers. In both
porous formation can be identified on an electrical cases the electrical potential is due to differences in
resistivity log. However, the log interpreter must be the concentrations of pore-fluid ions across forma-
tional boundaries or between the formation fluids and
drilling fluids. If the drilling fluid is less saline than the
formation fluid, spontaneous potential is usually neg-
ative when the probe is adjacent to permeable forma-
tions such as sand and positive when the probe is
adjacent to impermeable formations such as clay and
shale. However, in many boreholes drilled for engi-
neering purposes, natural formation waters are used
as the drilling fluids and concentration gradients be-
tween drilling fluids and formation fluids will not
exist. The spontaneous potential curve in such a hole
would be essentially flat and would yield little infor-
mation on the properties of subsurface formations.
Electrical resistivity and spontaneous potential
data are usually obtained by the same down-hole
probe, and the logs are recorded simultaneously, as in
Figure 6-13. The data on the two logs complement
II- each other so that simultaneous interpretation of the
Figure
- 6-12. Single-point borehole resistivity logs will yield more precise data on the nature of the
array. S Army Engineers, 1979 subsurface materials.
97
AASHTO T I T L E MSI 8 8 0639804 0033725 9 4 3 m
6.9.2 Nuclear Methods
Nuclear methods involve the measurement of natural

gamma radiation in a formation, or the backscatter of
radiation as the result of bombardment of the forma-
tion by gamma radiation or neutrons. The first
method, naturalgamma, provides data on the clay or
uranium content of a material. The second method is
gamma-gamma density and this provides data on the
bulk density of subsurface materials. The third
method, neutron water detection, measures the mois-
ture content of a material. The natural gamma
method can provide data on the lithology of a forma-
IETECTOI
tion while the other two methods can provide infor-
mation on physical properties of a formation.
Natural gamma radiation is emitted by radioactive
potassium and uranium and a relatively high number
of counts on a natural gamma log is an indication of an
-0- BACKSCA TTEREO
PHOTONS
t
t
abundance of either element. Certain clay minerals, IADIATIOI
HIELDINC
especially illite, vermiculite, and montmorillonite
contain significant amounts of radioactive potassium
in the interlayer positions of the crystal lattice so that
clay and shale strata which contain these minerals will
exhibit a large number of counts on a natural gamma
log. Clean sandstones, limestones, and organic de-
posits do not contain as much radioactive potassium
as clay and shale formations, and therefore will not
-0SOURCE
GAMMA PHOTONS
EMITTED FROM
i s o r o p i c SOURCE
register as many counts on a natural gamma log as

clay and shale units. Igneous and metamorphic rocks
may or may not contain significant amounts of radio-
active potassium, depending upon the mineralogy of Figure 6-14. Schematic diagram of downhole
the rock. gamma-gamma density probe and of
Uranium minerals emit large amounts of gamma the response of subsurface materials
radiation, and rock units containing uranium min- to bombardment by gamma
erals will, therefore, exhibit a large number of counts radiation. US Army Engineers, 1979
on a natural gammalog. This makes the gamma radia-
tion log the primary tool used in uranium exploration. The degree of gamma radiation backscatter is directly
Significant deposits of uranium in sedimentary envi- proportional to the density of electron shells in a
ronments occur in sandstones where uranium min- material, which is in turn directly proportional to the
erals have precipitated in the pore spaces. For engi- density of neutrons and bulk density of a material. A
neering purposes, the log intepreter must be able to large number of counts on a gamma radiation back-
distinguish between a clay formation and uranium- scatter log is indicative of a material with high bulk
rich sandstone on a natural gamma log. This may be density (Figure 6-15). This is not true for salt, gyp-
done by examining the log signatures of the formation sum, anhydrite, or other minerals where the ratio of
on electrical resistivity and spontaneous potential electrons to atomic weight is. different from that of
logs and determining if the formation is a shale or silicate minerals.
sand unit. The neutron water detection method works sim-
The principles of the downhole gamma-gamma ilarly to the gamma-gamma density method. Neu-
density measurement are illustrated in Figure 6-14. trons from the radioactive source in the probe enter
Gamma radiation emitted from the source enters the the formation and collide with hydrogen nuclei. The
formation and passes through the electron shells of neutrons are slowed down to a low kinetic energy
the atoms comprising the formation. As the gamma range or are captured by hydrogen atoms, producing
radiation passes through the electron shells, it is scat- secondary neutron emissions and secondary gamma
tered. A certain amount of the backscattered radia- radiation, A detector which can measure the slowed-
tion reaches the detector where it can be measured. down neutrons, secondary neutrons, or gamma radia-
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
98
~
A A S H T O T I T L E MSI 8 8 w 0639804 0033726 88T w

Engineering Geophysia
r of various porosities. The neutron water detection

device will detect all hydrogen in its sphere of investi-
gation. Formations containing hydrocarbons will re-
spond in the same way as formations containing wa-
ter. The water existing in the crystal lattices of clay
minerals or in hydrated minerals such as gypsum will
be detected, and the moisture contents of formations
containing these minerals determined from neutron
logs will be different from moisture contents deter-
mined for laboratory samples. Details of calibration
procedures are given in U.S. Army Corps of Engi-
neers (1979).
1.0 1.5 2.0 25 3 .O
BULK DENSITY p b , g/am 6.9.3 Sonic Methods

Figure 6-15. Amount of backscattered gamma
radiation as a function of bulk Two methods exist for the downhole sonic investiga-
density of the irradiated material. tion of boreholes; the sonic borehole imagery method
US Army Engineers, 1979 and the continuous sonic velocity method. In the sonic
borehole imagery method, pulses of high-frequency
tion will provide data which can be used to determine sound are emitted from a transducer and are reflected
the hydrogen content of a subsurface material. In the from the high-impedence surfaces of the borehole
geologic environment, hydrogen exists most com- wall. The transducer is rotated about the central axis
monly in water and in hydrocarbons. If it can be of the borehole and the detected reflected waves are
assumed that hydrocarbons do not exist in the forma- transformed into electrical pulses which are used to
tions being investigated, an increasing number of present an image of the borehole wall on a cathode
counts on the neutron water detection log- indicates ray tube (Figure 6-17), The sound waves are emitted
increasing water contents of the materials (Figure in pulses and the reflected waves can be detected in
6-16).
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
POWER SUPPLY AND
The downhole probes used in both of the radiation IMAGING D E V I C E
r-
backscatter detection methods must be calibrated.
The gamma-gamma density device must be Calibrated
and standardized using materials of known density.
Some materials, such as gypsum, require a special
calibration different from that of silicates. The neu-
tron water detection device must be calibrated in
terms of its response to saturated geologic formations l-
u
8
COMPASS OR
DIRECTION
SENSOR -
ULTRASONIC
A COUSTIC
BEAM-
I
RECORD SHOWING
A Z I M U T H A L DIRECTIONS
ABOVE UNWRAPPED
BOREHOLE IMAGE
WITH IMAGES O F
SPECIFIC WATER CONTENT. L O F WATER P E R CU F T TWO D I P P I N G PLANES
Figure 6-16. Amount of backscattered gamma Figure 6-17. Schematic diagram illustrating
radiation as a function of water mechanics of the sonic borehole
content of the irradiated material. imagery method. US Army
US Army Engineers, 1979 Engineers, 1979
99
AASHTO T I T L E M S I B B
the time between the pulses. If the reflected waves do with the borehole walls and can detect irregularities
not arrive at the transducer at the appropriate time, on the walls as the probe is pulled up the hole.
or if the energy has been diminished, the electrical Changes in the orientation of the feelers are trans-
signal arriving at the cathode ray tube will be small or lated into electrical signals which can be transmitted
nonexistent. Several conditions can lead to the weak- through a cable to a strip chart recorder. Mechanical
ening of the reflected waves. A recess in the borehole calipers may be used in holes filled with water, mud,
wail at a joint intersection or a prominence in the or air. Acoustic calipers consist of a probe usually
borehole wall at a resistant strata, will cause the re- containing four transducers which emit acoustic
flected wave to arrive at the transducer too late or too waves and measure the travel times of the waves
early. The presence of soft material such as fault reflected from the borehole walls. Travel times are
gorge or joint infilling will diminish the energy of the recorded on a strip chart recorder and borehole diam-
reflected waves. Two restrictions on this method may eters can be calculated if the seismic wave velocity in
make it impractical for shallow geophysical explora- the borehole fluid is known. Acoustic calipers must be
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
tion. First, the borehole must be filled with fluid to used in boreholes which are filled with water or mud.
allow for the efficient transmission and reflection of Both the mechanical and acoustic calipers must be
acousticwaves to and from the borehole wall. Second, calibrated. Scaled templates, hollow tubes, or cylin-
the method will not work well in soil borings since soil der rings of various diameters can be used in the field.
does not form a high-impedence reflection boundary. Caliper logs can provide data on rock quality by
The method can be used to examine the condition of identifying layers of different hardness, fracture fre-
borehole casing since cracks and buckles in the casing quency, and cementation, all of which affect borehole
will show up as dark or dim spots on the cathode ray diameter. They can also be used to identify zones of
tube. Details of the sonic borehole imagery method swelling or washout; the latter application is useful
are provided by U.S. Army Corps of Engineers since it is hard to obtain cores or samples from geo-
(1979). logic units which are easily washed out during drilling.
The continuous sonic velocity method measures Caliper logs can be used to identify porous zones in a
the travel times of seismic waves along the borehole boring by locating intervals in which excessive mud
wall between two transducers on a tool that is lowered filter cake has built up on the borehole walls. One of
or raised in the hole. The travel times can be used to the major uses of caliper logs is to provide information
calculate the seismic wave velocities of the rock and by which other geophysically derived logs can be cor-
soil units parallel to the axis of the borehole. Seismic rected for borehole diameter effects.
wave energy emitted from a transducer enters the
borehole fluid and reaches the borehole wall where it 6.9.5 Thermometric Methods
is refracted towards the wall, much as the waves in a
seismic refraction survey are refracted towards the Temperature logs are continuous records of the tem-
layer boundaries. If the seismic velocity in the bore- perature of the fluid at successive elevationsin a bore-
hole wall rock is sufficiently higher than in the borehole. The temperature of the borehole fluid is mea-
hole fluid, and if the path of the refracted wave will be sured by a probe containing one or more thermistors.
travelled in less time than the path of the direct wave Borehole temperature measurements can be used to
in the fluid, the refracted wave will be the first arrival locate aquifers in the borehole and to determine the
at the detector. Differences in the seismic wave veloc- direction of water movement in the borehole. Drilling
ities of different formations can be distinguished on and testing of a borehole can disturb the thermal
logs of the first arrival delay times. Formations with environment in a borehole and therefore, it is desir-
low seismic wave velocities will have longer delay able to leave the boring to be logged undisturbed for
times than formations with higher seismic wave veloc- several days after completion to allow the borehole
ities. The seismic wave velocity in a material will fluids to return to ambient temperatures.
indicate something about its density.
6.9.6 General Field Methods
6.9.4 Mechanical Methods
In all borehole geophysicalmethods the resolution of
Caliper or borehole diameter logs are logs of the me- the measurements are inversely proportional to the
chanically or acoustically measured diameter of the spacings between transducers and detectors on the
borehole and represent one of the most useful and probes and to the rate at which the probes are raised
simplest techniques used in borehole geophysics. Me- or lowered in the borehole. The rate at which a probe
chanical calipers consist of a downhole probe with one is raised or lowered must be tailored in each applica-
to six or more feeler arms which come into contact tion to the desired resolution and to the time which
100
A A S H T O T I T L E MSI 88 m 0639804 0011728 652 m
TI".. Mlle
can be spent in logging the boreholes. It is necessary
0 to reference the depths on the borehole logs to the

elevation of the top or bottom of the borehole so that
features indicated on geophysical logs, cutting logs,
cores, and samples can be correlated.
6.9.7 Interpretation of .Borehole Logs
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
Interpretation based on only one type of borehole log
can often lead to ambiguous or incorrect interpreta-
tions of subsurface conditions. Borehole logs are most
useful when two or more logs are run simultaneously
so that interpretations can be based on several sets of
data. For example, electrical resistivity, natural
gamma, and gamma-gamma density logs can be inter-
preted simultaneously to identify sand and shale I l I l l I I
layers in the subsurface. I<o
Figure 6-18. Time-depth plots of data obtained

during uphole and downhole seismic
6.10 DYNAMIC PROPERTY surveys. The slopes of the curves
MEASUREMENTS indicate the average shear and
Dynamic properties of earth material can be calcu- compressional wave velocities in the
lated if the velocities of compressional and shear subsurface materials. US Army
waves in the materials are known, as well as the Enginers, 1979
saturated bulk density. Saturated bulk density can be
determined on laboratory samples or can be esti- R- WAVE
mated from calibrated gamma-gamma density logs. P- WAVE
Compressional and shear wave velocities can be de-

0 termined from uphole, downhole, or crosshole seis-
mic surveys. All three methods involve imparting -
TIME
mechanical wave energy into earth materials sur-
rounding the borehole and measuring the travel times Figure 6-19. Idealized plot of P- and S-wave
of the waves from the energy source to detectors in arrival times at a geophone. US
the same borehole or adjacent boreholes. Army Engineers, 1979
6.10.1 Uphole Survey arrivals, energy sources rich in shear wave energy
should be used in conjunction with seismographs
In an uphole survey the energy source is in the bore- which are capable of detecting and enhancing the
hole and the detector is on the ground surface. Seis- S-wave signal.
mic wave energy is imparted to the subsurface mate- A Meissner wave-front survey is a modification of
rials at different intervals as the energy source is the uphole survey in that the geophones are placed on
raised in the borehole. The data collected during an the ground surface in a line extending away from the
uphole survey are the same as those collected during a borehole (Figure 6-20). The method is not well suited
seismic refraction survey: distance between energy for measuring S-wave arrivals. Energy is released at
source and detector and wave travel times between regular intervals in the borehole starting from the
the two. The slopes of the curves on the plots of travel bottom and working upward. A geophone recording
time versus depth indicate the average seismic wave is made for each energy release and a P-wave arrival
velocities in the various intervals (Figure 6-18), time is determined for each energy release at each
The velocities of both shear and compressional geophone location. The P-wave arrival times are
waves need to be determined for dynamic property plotted on a grid at points whose coordinates repre-
calculations.Shear or S-waves travel slower than com- sent the horizontal distance of the geophone from the
pressional or P-waves so that S-waves will arrive at the borehole and the depth of the shot. The arrival times
detector after the P-waves (Figure 6-19). The P-wave can then be contoured to show areas of similar arrival
signal often masks the S-wave signal so that it is times. Figure 6-21 is such a contoured plot showing
@ difficult to determine the arrival time of the S-waves.
In order to facilitate the determination of the S-wave
the interface of strata and indicating the seismic wave
velocities in the strata. Limitations on interpreting the
101

- _ _ ____
AASHTO T I T L E M S I 8 8 W 0639804 O O L L 7 2 9 599 W

IM IAR
6.10.2 Downhole Survey
-M
The downhole survey is similar to the uphole survey

except that the energy source is placed at or near the
ground surface close to the borehole and detectors are
located at one or more depths in the borehole. Wave
arrival times can be plotted against depth and seismic
wave velocities can be calculated just as in the uphole
survey. Energy sources can be either explosive or
mechanical and seismographs should be capable of
discerning S-wave arrivals. Additional details of the
uphole and downhole survey methods are given in
Viskne (1976) and U.S. Army Corps of Engineers
(1979).
6.10.3 Crosshole Survey

-1
E HOLE
Crosshole surveys are conducted to determine the
Figure 6-20. Schematic diagram of geophone velocities of P- and S-waves in layers of earth material
array used in a Meissner wave-front by measuring the travel times of seismic waves that
survey. US Army Engineers, 1979 have traveled from an energy source in one borehole
to a detector in another borehole (Figure 6-22). As in
uphole and downhole surveying, equipment which is
contoured plot of arrival times are that the wave-front capable of distinguishing S-waves from P-waves must
analogy breaks down in areas of dipping geologic be used. The seismic wave velocities determined in a
units or extreme topography, and that the contoured crosshole survey will be apparent velocities if the
arrival time points represent the behavior of the boreholes are sufficiently far apart to ailow a seismic
waves only along the ray paths and not in the mate- wave refracted at the boundary of two layers to arrive
rials directly below the geophones. at the detector before the direct wave. Crosshole sur-
NOTC CONTOWI -AL S YSEC.

w
Figure 6-21. Contoured plot of seismic wave arrival times obtained from a Meissner wave-front survey. Two
strata can be identified; the first one where the contour lines are close together,
and the second where the contour lines are further apart. The boundary between
the two strata is horizontal. US Army Engineers, 1979
102
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

-
AASHTO T I T L E MSI 88 m Ob39804 OOLL730 200 m
mined in the laboratory by measuring noise levels in a

RECOROER
LTIMERI sample which is tested to failure in uniaxial or triaxial
r
compression.
C
6.12 BOREHOLE T.V. CAMERAS

Television cameras lowered into boreholes can be
used to visually inspect the conditions of the borehole
walls and to make videotape records of observations
for later analysis. Visual inspections of the boreholes
can be used to distinguish gross changes in lithology
and to identify fracture zones, shear zones, or zones
of joint intersections. The depth and extent of
lithologic units and fracture zones can be determined
as the camera is raised in the borehole. The use of
borehole television cameras requires that the bore-
hole be dry or filled with clear water. Boreholes filled
with drilling mud must be flushed with clear water
Figure 6-22. Schematic diagram illustrating the before a borehole T.V. camera can be used.
relationship of seismic wave source to
receiver in a crosshole seismic
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Wait, J. R., Electromagnetic Waves in Stratified Me- ogy Procedures Manual, 1983, Cheyenne, Wyo-
dia. MacMilland Publishing, New York, 1962. ming: Wyoming State Highway Department, 1983.
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AASHTO T I T L E ?SI 8 8 W Ob39804 OOLL735 892 W
7.0 SUBSURFACE EXPLORATION

(SOIL AND ROCK SAMPLING)
The geotechnical parameters which will affect design cable, into the overall program and be obtained,
and construction of the transportation facility must be when possible in conjunction with the actual drilling
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
investigated and evaluated. A specific, well-inte- of the test borings.

grated and flexible subsurface exploration program, Selected driling and sampling techniques and typi-
generally conducted in several phases, is necessary to cal field data collection forms are summarized in Ap-
develop the maximum amount of geotechnical data pendix A.
for reasonable costs.
The increasing demand for more detailed geo-
technical information has initiated extensive and 7.1 GENERAL PLANNING
costly subsurface exploration programs. Although
the additional information will generally decrease the The purpose of the ?Office Reconnaissance?, dis-
potential unknowns and construction risks, a balance cussed under Section 4, is to obtain and evaluate as
must be maintained between the cost of the explora- much information as possible about the project area
0 tion program and the level of information which will
be produced.
in the early planning stages. This information is then
utilized in developing a subsurface exploration pro-
A review of subsurface explorationprograms in the gram which will determine the characteristics of the
United States, associated with highway construction, materials and structures in the ground to the degree
shows that no standard approach of methodology has necessary for the location, design and construction of
been adopted (Ash, 1974). The differences in ap- the transportation facility.
proach are due primarily to widely divergent geologi- A staged approached consisting of two or more
cal environments, variations in the complexity of the phases of field explorations will allow the engineer to
geology, available site area information, local equip- develop a design in an orderly manner, based on
ment, personal preferences and habits of the investi- evaluation of information that may affect the choice of
gators, and time and budget constraints. alignment and structures and the identification of
Subsurface exploration procedures cannot be re- special problem areas.
duced to simple guidelines to fit all existing condi- A preliminary exploration program generally con-
tions. Each project must be evaluated according to its sists of widely spaced test borings which may be sup-
specific geological conditions and the type of pro- plemented with geophysical surveys, to define the
posed facility. Of primary importance in any subsur- principal geological parameters to be evaluated dur-
face exploration program is the individual selected to ing initial project planning and cost estimating. Al-
direct the investigation, interpret the information, though the level of importance of the various parame-
and present the conclusions in a concise and usable ters will vary with the project type and location,
form to those responsible for design and construction. preliminary information should be obtained regard-
This section of the Manual outlines various plan- ing the following subsurface conditions during early
ning and contractual procedures, and describes dril- stages of design:
ling equipment and sampling and logging methods
which may be utilized in subsurface exploration pro- 1. Soil and Rock Stratigraphy
e grams. I n situ borehole field tests (Appendix B), geo-

physical methods (Section 6), geohydrologic determi-
nations (Section 8), and instrumentation installations
2.
3.
4.
Hydrological Conditions
Soil Classification, Density and Consistency
Rock Quality and Discontinuities
(Appendix G) should be incorporated, where appli- 5. ?Mixed Face? Conditions
109

6. Obstructions (such as boulders) It is desirable that one individual be selected to

7. Hazards (such as methane gas) serve as the project geologist or geotechnical engi-
neer throughout the stages of the exploration pro-
Information evaluated during the preliminary ex- gram.
ploration phase will assist the planners in final route
selection which may then be more thoroughly investi-
gated with detailed subsurface explorations, in situ 7.3 CONTRACTS AND
and laboratory testing and geophysical surveying. SPECIFICATIONS
After the selection of the final route location, pre-
liminary design analysis and detailed evaluation of the Well defined contract management procedures are
project parameters, supplementary explorations and necessary to insure timely and cost-efficient comple-
testing may be required to further define: tion of the field exploration program.
Many state agencies have their own in-house test
1. Specificengineering characteristics of problem boring capabilities and, therefore, do not require
soil or rock conditions. formal contracts or technical specifications for con-
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2. Adverse subsurface conditions which would ducting the work. However, although project require-
necessitate special design and construction ments and geological conditions may vary consider-
considerations. ably within a given state, consideration should be
3. Final design criteria for foundations and pave- given to some form of instruction or specification that
ments, dewatering, temporary and permanent expresses the design engineers needs and require-
support of excavations, shafts, earth pressures, ments.
and other items required by the designers. Contractor selection based on expertise, equip-
ment and availability will generally provide a major
It may also be necessary that additional subsurface benefit in mare reasonable unit pricing, in addition to
information be obtained during actual construction to allowing more flexibility during the execution of the
allow the engineer and the contractor to further evalu- work. However, major exploration contracts which
ate and modify, if required, the design and construc- are conducted for governmental agencies, at all levels,
tion procedures. usually require public advertising and competitive
bidding.
Contracts and technical specificationswill vary con-
7.2 MANAGEMENT AND siderably with the agency or personnel involved. Spe-
SUPERVISION cific contractural details are beyond the scope of this
manual. However, a complete set of contract docu-
The subsurface exploration program which is formu- ments for a subsurface exploration program should
lated during the preliminary phases of the investiga- include the following:
tion serves as a basis for planning day-to-day opera-
tions. However, it should be considered as a flexible Invitation to bid
plan and subject to continuous modification as infor- Proposal
mation is received from the field. The base model Contract Agreement
conditions determined from preliminary investiga- General Conditions
tions, research and reconnaissance should be continu- Technical Specifications
ally reviewed and updated as additional data are ob-
tained during the exploration program. 7.3.1 Invitation to Bid
The program should be supervised by qualified and
experienced personnel. They should be briefed and This document is issued as .a letter to prospective
familiarized with all project requirements, including bidders (those requesting bids, or firms identified by
their specific responsibilities and on-site safety. Close the project geologist or geotechnical engineer). The
liaison between the design staff and the contractor invitation contains a Scope of Work developed by the
conducting the work is essential in realizing the proj- project geologist or geotechnical engineer in consul-
ect goals. Frequent communication and site visits be- tation with the project design team and addresses
tween the various parties will minimize misunder- such requirements as scheduling, complexity of the
standings and unnecessary costs. The regular exploration program, budget considerations and
submission of boring logs, test data and daily reports method of payment. The Invitation to Bid may con-
will provide the basis for continuous review and mod- tain a Bid Sheet, listing all items of consideration, as a
ifications, if required. basis for unit-price bidding.
110
AASHTO T I T L E M S I 88 H Ob39804 0011737 665 H
Subsurface Exploration (Soiland Rock Sampling)
7.3.2 Proposal and any outstanding questions or problems are re-

solved before the contracting parties affix their signa-
The Proposal is a letter response sent to the contract- tures to the Agreement.
ing agency from a prospective bidder. It stipulates in After signing the Agreement, the contractor is
very general language what the bidder willdo, how he given a Notice-to-Proceed. This letter usually re-
will accomplish it and how much he will charge. In states the acceptance of the proposal, and indicates
general, it states his agreement to perform the work in the latest acceptable starting and completion dates for
accordance with the contract documents and includes the work. The Notice also restates the level of
itemized unit prices of eachitem on the Bid Sheet, the effort (number of drill rigs) required and special re-
extended total cost of each item, and the total or gross quirements, such as obtaining rights-of-entry, per-
sum bid. mits to be obtained from governmental agencies, and
restrictions in working hours or conditions.
7.3.3 Contract Agreement
The Contract Agreement is the document which,
when properly signed and witnessed, binds both par- 7.4 EXPLORATION PROGRAM
ties to a firm contract.
The project geologist or geotechnical engineer, when
7.3.4 General Conditions formulating the subsurface exploration program,
must carefully evaluate the variety of methods and
The General Conditions section is that part of the procedures which are available, in order to maximize
contract documents in which: the amount of information obtained and minimize
associated costs.
Rights and restrictions of the various parties Subsurface exploration methods and procedures
involved in the contracts are defined and listed. may vary along the proposed alignment depending on
Measures required for the protection of others the geological conditions and environmental consid-
are defined and listed, including provisions re- erations which are encountered. Even with spe-
quired by statute law. cialized equipment, there is the potential that repre-
Requirements as to bonds, insurance, special sentative in situ samples cannot be obtained or are
licenses and permits are stated, along with such disturbed during recovery or subsequent transporta-
other legal or business matters as are pertinent tion. The diameters of the boreholdes are very small
to work (e.g., progress, time of completion, liq- relative to the inter-borehole spacing; therefore, the
uidated damages, and subcontracting. subsurface conditions between the explorations are
inferred and not specifically known. For roadway con-
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7.3.5 Technical Specifications struction, representative sampling is often less than

The Technical Specifications describe in detail the one part per million of the total volume of material
nature of the work and the manner in which it is to be involved in the project (Dumbleton, 1974).
performed. Included are such items as number and Special care must be exercised by the project geolo-
type of borings, sampling procedure, instructions for gist or geotechnical engineer at this stage of design so
the performance of special tests, preservation and that assumptions are not made which wili lead to
transportation of samples, submission of reports, and additional expense and unwarranted hazards during
the manner of measurement and payment for the construction.
various items.
7.4.1 Exploration Plan
7.3.6 Contract Award and implementation
An initial exploration plan is prepared from the infor-
Upon completion of a specified amount of time, the mation evaluated during the preliminary investiga-
completed contract documents are received by the tion phases; it includes location, spacingand depths of
contracting agency, opened and publicly read. explorations, and sample type and interval. There are
The contract documents are then reviewed for con- many variables involved in the formulation of this
tent and errors and the recommended contractor plan, and it requires considerable experience to
(usually, but not necessarily, the low bidder) will be schedule enough boreholes without excessive or inad-
forwarded to the reviewing authority for approval. equate coverage. The objective should be the devel-
Upon selection of the contractor, a pre-exploration opment of the maximum amount of subsurface infor-
meeting is held with all interested parties. The specifi- mation through the use of the minimum number of
cation requirements are reviewed with the contractor boreholes. The initial plan should be flexible and
111

subject to modification and revision as to the explora- 7.4.2.1 Pilot Borings. Pilot borings are conducted
tion program proceeds. during the preliminary or initial investigation stages
Exploratory boreholes should be located with con- of the project, These borings will be located at scat-
sideration to site topographic and geologic conditions tered, selected locations to obtain only sufficient in-
and the proposed project layout and design, not at formation to enable the project manager to:
some arbitrarily chosen, fixed interval. They should
be obtained in order of importance, both from the Establish the preliminary alignment, profile and
design and economic aspects, so that a maximum structure locations.
amount of information is obtained from a given ex- Estimate the preliminary quantities of soil and
penditure of effort and funds. rock items of construction involved in the proj-
General items which should be considered in deter- ect.
mining the positions and priorities of the explorations
include the following: 7.4.2.2 Control Borings. Control borings are the
designated first-phase design borings which are ob-
Key locations to clarify the geological interpreta- tained at selected and key locations. These are contin-
tion of the site as a whole.
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ually monitored by the project manager to determine

Key locations that could lead to relocation or if any modifications in the design exploration program
redesign of the alignment. are required.
Bridges and other structures.
Deep cuts and high embankments. 7.4.2.3 Verification Borings. Verification borings
Areas of engineering difficulty or complicated are additional design borings which are scheduled
ground surface. following the analysis of the control borings.
Off-line investigations may be required for deve-
loping regional geological hazards or borrow 7.4.3 Exploration Spacing
surveys.
Points of interpolation between those selected The locations of the explorations are subject to many
for priority; number and interval would be a variables and depend on the uniformity of the geolog-
function of the complexity of the geology. ical units and the type of facility proposed. If the
The less expensive methods of investigation subsurface conditions in the project area are well
should generally be used first. They may provide known, and the stratification is simple, with relatively
sufficient information themselves, and will indi- thick individual strata of consistent physical proper-
cate where more detailed and expensive investi- ties, relatively widely-spaced explorations may be suf-
gations may be required. ficient. If, however, erratic and rapidly changing con-
In areas of intense, complex or expensive conditions exist, more closely spaced explorations will be
struction activity, it may be necessary to conduct required. Structures which are sensitive to settlement
very sophisticated and expensive exploration or subjected to heavy loads also require more detailed
methods which include horizontal borings, ver- subsurface information. The following subsections
tical inspection shafts or pilot tunnels. give more specific information and criteria regarding
The proposed boring location plan should always general exploration spacing.
be checked against actual field conditions, prior to The majority of test borings which are obtained in
commencing the explorations, for any modifications highway investigations are vertical. However, inclined
or adjustments which may be required due to access borings may be used to advantage in exploring in-
or other restraints. This examination will also assist clined strata and various subsurface irregularities. In
the project manager in finalizing the exploration and addition, inclined borings may be used where surface
sampling methods, equipment selection, determina- obstructions such as rivers prevent vertical holes. In-
tion of property owners, and logistic considerations clined boreholes furnish information in both a vertical
such as storage and supply areas, all of which must be and horizontal direction.
determined and evaluated for conducting an efficient Borings for exploration of narrow rights-of-way
and economic subsurface exploration program. should be staggered left and right of centerline. They
should not be located in a single, straight line, except
7.4.2 Types of Borings when spaced greater than about 150 m (500 ft.) apart.
This will facilitate development of the strike and dip
The following terminology is suggested for boring of the subsurface strata, and irregularities in the pro-
identification during the various phases of the investi- file at right angles to the axis of the alignment. Se-
gation program. lected borings may also be required outside the imme-
112
Subsurface Exploration (Soil and Rock Sampling)
diate alignment area to determine more regional imately 30 M (100 ft.). When the proposed cut accom-
geological hazards such as faults or land slides. In modates more than one roadway, the interval may be
addition, these explorationsmay locate more suitable increased to 60 M (200 ft.) for each roadway, but
foundation conditions that would warrant a change in staggered so that the overall 30 M (100 ft.) spacing is
the preliminary alignments. maintained. At least one boring may be located at the
It may be preferable, in some instances, to locate maximum depth of the proposed cut.
the boring outside the limits of a proposed structure
which is to be constructed within a cofferdam or 7.4.3.3 Specific Structure Borings. The number
caisson that is to be dewatered. The borehole may and spacing of structure borings is highiy variable
become a source of additional water inflow unless depending on the complexity of the surface condi-
properly backfilled and sealed. tions.
The term subsurface explorationsusually implies A median program may consist of one boring at the
test borings; however, a variety of exploration end of each pier and abutment, and at the outer end of
methods such as hand or machine excavated test pits each wingwali more than 6 M (20 ft.) long. When piers
and probings conducted at selected locations may and abutments are more than 30 M (100 ft.) long,
meet the project requirements and minimize investi- additional explorations may be required. Pile trestles
gation costs. should have a boring at the opposite ends of adjacent
Whenever responsibilityfor conduct of the explora- bents, or at both ends of each bent in radically chang-
tion effort is delegated to others outside the Agency, ing conditions. Culverts, depending on the length,
it is appropriate to request a presentation by the may have a minimum of two borings. Borehole spac-
consultant or subcontractor at which time the philoso- ing for retaining walls may be 30 M (100 ft.) or at each
phy of depth, placement and sampling is mutually end of the wall if it is less than 30 M (100 ft.) long.
reviewed. The number and spacing of the boreholes may be
When the surficial conditions mask the underlying increased or decreased from the median depending
subsurface geological conditions, or when available upon the anticipated geological conditions within the
information may be lacking for preliminary evalua- project area.
e tion purposes, the following general guidelines may

be used in establishing the preliminary locations of
the subsurface explorations.
7.4.3.4 Critical-Area Explorations. In areas where
the preliminary investigationsindicate critical geolog-
ical conditions such as a highly irregular and shallow
7.4.3.1 Subgrade Borings. In areas where rela- bedrock surface, swamp deposits or underground
tively uniform subsurface conditions are anticipated caverns, it may be desirable to obtain additional ex-
and deep cuts or high embankments are not being plorations on a 15M (50 ft. grid) pattern in the area of
considered, an average spacing of 60-90 M (200-300 concern. These additional explorationsmay consist of
ft,) will often be adequate. In certain sections of the hand or machine probings to supplement the more
United States, such as some parts of the Midwest, this conventional test borings (Section 7.5.3).
average spacing may be increased up to 300 M (1,000
ft.). 7.4.3.5 Tunnel Borings. Borehole spacing for tun-
As the degree of geological complexity increases, nel alignments is variable depending upon the site
the average exploration spacing may be decreased to topographic and geologic conditions. Anticipated
30-60 M (100-200 ft.). Where highly erratic and soil, rock or mixed-faced tunneling conditions will
critical foundation conditions exist, it may be neces- impact not only the borehole spacing, but the types of
sary to further decrease the spacing to 8-15 M (25-50 exploration used. Severe topographic conditions may
ft.) between explorations. prevent access to areas of critical concern.
The following general borehole spacing guidelines
7.4.3.2 High-Embankment and Deep Cut Bor- for tunnels are subject to greater influence and con-
ings. The average maximum boring interval for trol by the site conditions, rather than the project
roadway embankments that will be greater than 5 M design criteria and requirements:
(15 ft.) in height is approximately 60 M (200 ft.). If
erratic foundation conditions or compressible mate- Soft Ground Tunneling
rials are encountered, this spacing may be decreased Adverse Conditions 15-30 M (50-100 ft.)
to 30 M (100 ft .). At least one boring may be located Favorable Conditions 90-150 M (300-500 ft.)
at the point of maximum height of the embankment. Mixed-Face Tunneling
The average maximum boring interval for single Adverse Conditions 8-15 M (25-50 ft.)
roadway cuts in excess of 5 M (15 ft.) deep is approx- Favorable Conditions 15-23 M (50-75 ft.)
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`--- 113
- -- - - - -- --
-
=
I
AASHT T I T L E MSI 88 Ob37804 O O L L ~ O L 5 T
Hard Ground Tunneling In areas of excavations in excess of 5 M (15 ft.), the

Adverse Conditions 15-60 M (50-200 ft.) test borings may penetrate to approximately twice the
Favorable Conditions 150-300 M (500- depth of the excavation. If bedrock or refusal is en-
1,000 ft.) countered within the proposed excavation depth, the
boreholes should be cored a minimum of 3 M (10 ft.)
Geophysical survey methods (Section 5) used in to determine the quality of the rock or the nature of
conjunction with the subsurface exploration program, the refusal.
can further define the geologic conditions and m o d e If there is a possibility of artesian acquifers; soft,
the general borehole spacing outlined above. highly cohesive soil; or loose, liquefiable granular
soils, the exploration depths should be increased to
7.4.4 Exploration Depths penetrate these deposits.
The required depths of the subsurface explorations 7.4.4.3 Specific Structure Borings. The rule-of-
depends on the design considerations such as the size thumb guidelines for depths of borings, described
and type of structure and the character and sequence above in Section 7.4.4, refer specifically to structure
of the subsurface conditions. The explorations should borings, where the explorations should be advanced
penetrate through any unsuitable or questionable to the depth where the net increase in soil stress due
foundation materials and sufficiently deep into firm to structure load is less than 10 percent of the existing
stable soils such that significant settlement will not effective stress in the soil at that depth. It is desirable
develop from compression of the stratum or deeper that all explorations penetrate to rock with selected
soils due to loads imposed by the structure. A com- explorations penetrating 3 to 6 M (10 to 20 ft.) into the
monly used rule-of-thumb is to carry the borings to rock. A minimum depth of 10 M (30 ft.) of penetra-
such depth that the net increase in soil stress under tion below the footing elevation has been suggested
the weight of the structure is less than ten percent of unless rock or exceptional bearing materials are en-
the effective stress in the soil at that depth, unless countered.
bedrock or very dense soils known to lie on rock are Some Agencies (The Illinois Department of Trans-
encountered first. The added stress may be computed portation) have prepared recommended depths of
from appropriate charts or tables using the structure borings based on Standard Penetration test
Boussinesq or Westergaard solutions. Values (N) or Unconfined Compressive Strength
As with the criteria governing borehole spacing, (Qu). However, the department acknowledges that
when subsurface information that would permit de- the table may not be applicable in stratified, uncon-
terminations of borehole depths is lacking, the follow- solidated deposits or in uniform deposits of silt, such
ing general guidelines may be used in establishing the as loess.
preliminary exploration depths.
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7.4.4.4 Critical-Area Explorations. In the areas

7.4.4.1 Subgrade Borings. In areas where the pre- where the preliminary investigations indicate critical
liminary alignment profile indicates that minor cuts geological conditions which would have a major im-
are anticipated, the explorations should extend from pact on the design and construction of the project, the
2-3 M (5-10 ft.) below the profile elevation. If soft borehole depths should be extended to evaluate these
cohesive soils are encountered, this depth is increased conditions. Such conditions include highly compress-
as required to fully evaluate the stratum. Shallow ible soils, artesian conditions and underground cav-
refusals encountered within the limits of the proposed erns.
cut should be cored a minimum of 3 M (10 ft.) to It is preferable to continue the explorations deeper
determine the presence of bedrock. than necessary, when in doubt, than to terminate at
depths which will not provide the design engineer
7.4.4.2 High Embankment and Deep Cut Bor- with sufficient data.
ngs. If embankments greater than 5 M (15 ft.) are
anticipated, the test borings should penetrate to ap- 7 . 4 4 . 5 Tunnel Borings. The minimum depth of
proximately two (2) to four (4) times the height of the tunnel borings is generally at least one (1)to one and
proposed embankment, depending on the width of one-half (1-U2) tunnel diameters below the proposed
the proposed roadway, unless rock is encountered invert grade. However, if the proposed vertical align-
above that depth. The depth may be decreased to ment is subject to modifications, it may be more eco-
approximately the height of the embankment if very nomical to extend these depths to two (2) or three (3)
suitable bearing material is encountered, such as times the tunnel diameter, for contingency purposes.
dense sand/gravel soils. As discussed in Section 7.4.4.4, the exploration
114
AASHTO T I T L E M S I 88 Ob39804 O O L L 7 4 L 0 9 6
depths should be further increased to evaluate any The location of any underground or overhead util-
e. critical geological conditions which may exist in the
vicinity of the tunnel invert, or within a depth that
could impact on tunnel construction.
ities must be determined before commencing the
drilling operations. This should be a function of the
drilling contractor, who should contact the various
utility companies for their approval of the proposed
7.4.5 Sampling Requirements exploration locations. In the event that a state agency
An objective of the subsurface exploration program is is initiating the work and not a private contractor,
to obtain samples that are representative, or nearly these functions may be assumed by the agency con-
so, of the in situ soil and rock conditions. The sam- ducting the work.
pling requirements, including type and interal, are Regardless of the procedures followed or who ob-
subject to the same geological variables and project tains the various rights-of-entry and clearances, these
requirements which control the location and depth of functions should be completed prior to moving any
the explorations. equipment into the field.
Generally, representative in situ samples should be
obtained at every change in soil strata and at an 7.4.7 Borehole Location Tolerance
interval not to exceed 1.5 M (5 ft.) vertically. This
The allowable tolerance for the field locations of the
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interval may be increased in thick uniform deposits or

be decreased in the more complex sediments. explorations in relation to the plan locations is subject
It may be advantageous in areas of erratic condi- to major variations depending on the level of the
tions or immediately beneath foundation bearing ele- exploration program, degree of complexity of the sub-
vations to obtain representative samples continu- surface conditions, and anticipated use of the infor-
ously. Rock core, due to the nature of the sampling mation obtained. The borehole location tolerances
devices, is usually obtained continuously. should be established by the project geologist or geo-
The majority of the samples obtained in test bor- technical engineer for the specific site investigation
ings are usually 35-75 mm (1.5-3 in.) in diameter; and may vary from one foot to tens of feet. Site access
project requirements may dictate diameters up to 150 and underground utilities may dictate locations be-
mm (6 in.) for samples for certain laboratory testing. yond the limits of any established tolerances.
0 The recovered sample is examined and logged by
qualified field personnel and a representative portion
If excessive costs are associated with meeting very
close location tolerances, consideration should be
or portions are selected and preserved, usually in given to supplementary explorations which may
glass jars. Occasionally, it may be preferable to pre- bracket the area of concern for more reasonable costs.
serve the entire sample that is recovered for more
detailed analysis and testing. 7.4.8 Survey of Locations
Sample preservation and transportation are dis-
cussed in more detail under Section 7.9. The as drilled locations and elevations of all explo-
rations must be determined and plotted on the appli-
7.4.6 Right-of-Entry, Permits and Utilities cable project base plans. This may be accomplished
by locating the explorations in the field prior to the
Prior to commencing the actual field exploration pro- conduct of the work or subsequent to the actual dril-
gram, the owners of the property where the work will ling.
be performed must be contacted and permission ob- It may be preferable, for liability purposes, that the
tained to conduct the work. proposed locations not be physically staked in the
This permission, preferably written, is usually ob- field. They would be located on the project base plans
tained by representatives of the agency or organiza- for the Contractors location purposes, but subject to
tion requesting the work and is not a function of the approval by the engineers field personnel. Centerline
drilling contractor or his personnel. This permission alignment base line stakes would generally provide
should cover rights of access and conduct of the work suficient control for the Contractor to determine the
and any special provisions required by the property proposed locations. The actual drilled location and
owner, such as working hours and cleanup. elevations are usually determined to the nearest 25
Certain public and private property, such as navi- mm (1 in.) vertically and .3 M (1 ft.) horizontally after
gable waters, railroad property and public streets, the exploration program is complete.
may require special permits for right-of-entry. These In the event that a detailed survey of the completed
working permits may involve a fee or special insur- subsurface explorations is not required, the approxi-
@ ance and are usuaily obtained by the drilling contrac-
tor.
mate locations should be determined employing com-
pass and field pacing procedures and be tied into
115
~~ __ __- -- -__
AASHTO T I T L E U S 1 8 8 m 0637804 0011742 T2Z m
physical or topographic features when possible. impact on the cost of the program, but on environ-
Ground surface elevations could be estimated from ment as well. Both of these aspects should be fully
project topographic maps. A statement of the degree considered during the preliminary phases of explora-
of accuracy of these locations should be indicated on tion program estimating (Fig. 7-1).
the applicable project base plans,
Numbering systems for explorations in the program
vary considerably depending on the standards of the 7.5 EXPLORATION METHODS
agency or project manager. Numbers may be estab-
lished prior to the field work or be assigned consecu- The selection of the specific drilling equipment and
tively as the work progresses. methods to be used for a particular site investigation
are dependent upon a number of factors. These may
7.4.9 Drilling Equipment include site accessibility, equipment availability, and
geologic conditions, in addition to economic and envi-
A great variety of conventional and modified drilling ronmental considerations.
rigs are available in both the private and public sec- The majority of the test borings conducted for high-
tors. Test boring equipment is manufactured in a way investigations are usually small diameter, 50-100
number of sizes and styles, ranging from small, hand- mm (2-4 in.) vertical boreholes in which a variety of
held portable drills and augers, to massive, off-shore sampling methods and equipment are used. Although
mineral exploration equipment. The selection of the the majority of these standard borings are con-
drilling equipment is an important aspect of any sub- ducted on land in the vertical mode, the basic bore-
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
surface exploration program. The equipment must be hole advancement and stabilization techniques would
capable of meeting all, or as many of the project generally remain the same for larger diameter bore-
requirements as possible, have sufficient mobility and holes, inclined borings, or explorations conducted on
possess the ability to convert rapidly from one drilling water.
technique to another. Hydraulic-feed machines are New exploration technology which is still in various
usually preferable, especially when they can maintain development or experimental stages shows a potential
a constant advance pressure through varying forma- for possible future utilization in minimizing subsur-
tion densities, which minimizes erosion and distur- face unknowns. These methods include long distance
bance of the in situ materials. horizontal boreholes, acoustic borehole logging, and
The selection of the most economical and satisfac- a variety of recently developed geophysical methods
tory method of drilling involves and evaluation of the which are discussed in other sections of this Manual.
numerous borehole advancement and stabilization
techniques available with consideration being given 7.5.1 Borehole Advancement
to the nature of the formations to be penetrated and
the type of sample that is required. No single method The more commonly used borehole advancement
of drilling will prove satisfactory and economical for techniques may be classified into six groups, depend-
all formations and sampling requirements. ing on the method used is displacing or removing
Local practices, personal preferences, and equip- material during penetration of the borehole. They
ment availability will continue to dictate the type of are:
drilling equipment and techniques on the majority of
Displacement Boring
subsurface exploration programs.
Wash Boring
Percussion Drilling
7.4.10 Special Equipment
Rotary Drilling
Auger Boring
The project requirements or site conditions may be
Continuous Sampling
such that special drilling or sampling equipment is
required or that supplemental logistics are necessary The quality of information obtained from the var-
in realizing the project goals. ious methods varies with the character of the subsur-
It may be more practical and economical to use face geologic conditions; therefore, careful considera-
selected, advanced or innovative equipment, which tion must be given when selecting the desired
may not be readily available, in determining the sub- method. It may be necessary to employ more than
surface conditions for the subject site. In addition, one method in advancing a particular borehole.
special barges, bulldozers, cranes or compressors may
be required to complete the work. This specialized 7.5.1.1 Displacement Borings. This method is the
and supplemental equipment will not only have an most simple and economical test boring procedure in
116
AASHTO T I T L E M S I 8 8 = Ob39804 O O L L 7 4 3 969
-
Figure 7-1. Failing drill rig and raft. (Courtesy Texas Highway Department)
non-caving ground. There is no attempt to stabilize or drilling mud and open samplers such as the split or
the borehole and closed samplers such as the split solid tube types, are driven into the undisturbed
tube, cup or piston sampler are forced in a closed material at the bottom of the borehole.
position to the required sampling depth. This method A typical wash boring set-up is shown on Figure
is generally employed in preliminary reconnaissance 7-2; however, this procedure can be conducted with-
work where only general subsurface information is out the benefit of the drilling machine if the situation
required. should arise. There are several advantages with this
Exploratory probes which may be considered a method in that the equipment is relatively inexpen-
type of displacement boring are discussed in more sive and very portable and may meet the project
detail under Section 7.5.3. design requirements where other equipment is too
large or sophisticated.
7.5.1.2 Wash Borings. This method involves ad-
vancing steel casing, as required, and washing out the 7.5.1.3 Percussion Drilling (Churn or Cable Tool
material to the bottom of the casing or desired sam- Drilling). This method involves advancing the bore-
pling depth below the casing, with a variety of chop- hole by raising and dropping a heavy drill bit to form a
ping bits. The drill rods and chopping bits are alter- slurry. Samples are obtained by bailing the slurry or
nately raised and dropped, with some hand rotation, replacing the bit with a conventional sampler after the
to break up the material within the casing; the loos- slurry has been removed, and then driving the sam-
ened materials (cuttings) are then carried to the sur- pler with very heavy down the hole tools referred to
face by the recirculating drilling fluids. The cut- as jars. This is a primary method employed in the
tings which are carried to the surface provide well drilling industry and is generally not as applicable
additional information about the overburden soil con- for geotechnical investigations, due to potential sam-
@ ditions between conventional sample locations.
The borehole may be stabilized with casing, water
ple disturbance.
A relatively new and innovative application of air-
117
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

CHOPPING AND JETTING
Figure 7-2. Wash Boring Technique. (Courtesy

Central Mine Equipment Co.)
operated, percussion rock drilling equipment

equipped with specialized eccentric drili bits are be-
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
ing used for rapid borehole advancement techniques.

The Odex system is discussed in more detail under
Special Drilling Techniques, Section 7.5.3.4.
Figure 7-3. Rotary Drilling Technique. (Rom
7.5.1.4 Rotary Drilling. Rotary drilling is a very Soil Sampling Methods and
versatile and adaptable technique which may be used Equipment Catalogue, Longyear Co.)
with a range of equipment models and sampling de-
vices. Rotary drilling consists of advancing a cased or the various types of overburden and rock encoun-
uncased borehole by rapid rotation and pressure on tered and can be changed by the driller as the situa-
the drill bit which cuts and grinds the sediments at the tion demands. Generally, the heavier duty and larger
bottom of the borehole into small particles called diameter drill rods will give additional stability to the
cuttings. These cuttings are subsequently removed drill bit, decrease whip and vibration, and help keep
from the borehole by pumping air, water or drilling the borehole straight and uniform during drilling.
mud from a surface reservoir through the drill rods to Although the X series drili rods are often used, partic-
the bottom of the borehole. ularly NX size, the Diamond Core Drill Manufac-
When the required sampling depth is obtained, the turers Association (DCDMA) have standardized the
drill string is removed from the borehole and the various drill rods sizes which are summarized on Ta-
desired sampling device is lowered to the bottom of ble 7-1.
the hole. Figure 7-3 shows a typical rotary drilling set- Despite efforts being made to standardize the var-
up. A number of drill rods and bits are available for ious sizes of drill rods and casing, many types and
118
AASHTO T I T L E M S I 8 8 W 0639804 0011745 731
Table 7-1. usualiy used in relatively soft or loose soils, and the
Drill Rod and Coupling Standards heavier, tri-cone roller bits are used in the denser soil
and bedrock. Figure 7-4 shows a range of sizes and
Rod and types of bits which are used for rotary drilling pur-
Coupling coupling poses.
Svmbol fO.D.1 Rod (1.D. (1.D.
The rotary drilling technique is one of the most
mm in. mm in. mm in.
common and popular methods used in foundation
RW 27 1.093 18 0.719 10 0.406 investigations in the United States.
EW 35 1.375 25 1.000 11 0.437
AW 44 1.718 34 1.344 16 0.625 7.5.1.5 Auger Borings. The use of rotary auger
BW 54 2.125 44 1.750 19 0.750
drillingmethods is gaining in popularity as a rapid and
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
NW 67 2.625 57 2.250 35 1.375

HW 89 3.500 78 3.062 60 2.375 economical method of conducting subsurface explo-
rations. There are certain inherent limitations when
Note: Metric measurements are given to nearest whole using this type of procedure, which should be care-
millimeter.
fuliy evaluated for the site specific exploration pro-
grams.
sizes remain on the market. The American Petroleum
Generally, augers are mounted on large truck rigs
Institute (API) drill pipe is basically a heavier wali
for rapid mobility, but may vary from small hand-
pipe than the DCDMA standard and is used more
frequently in the petroleum industry. A variety of operated augers to track-mounted equipment.
Auger boring techniques may be divided into three
black pipe and specially manufactured casing is stili
in common usage throughout the United States. categories depending on the type of auger equipment
used:
A number of rotary drilling bits are availablefor the
different types of soil and rock encountered and can Construction augers
be changed by the driller as the situation demands. Solid flight augers
Two, three and four-wing carbide insert drag bits are Hollow stem augers
Figure 7-4. Rotary drill bits. (Haley & Aldrich, Inc.)
119

I _ - ~ -~ -- -___ ___
AASHTO T I T L E M S I 88 M Ob39804 0011746 678 M
Construction augers are generally very large diam-

eter solid flight or bucket type augers which are used
for visual inspection of very shallow, near-surface
overburden conditions. Construction augers are not
designed for soil sampling; however, a large amount
of material may be brought to the surface for bulk
sampling, if required.
Solid or continuous flight augering is generally the
fastest method of obtaining a borehole in soil that is
compatible to auger exploration. Samples are ob-
tained from the auger flights. In addition, if the soils
contain sufficient cohesion to enable the borehole to
remain open, the augers may be removed from the
borehole at any desired depth and conventional sam-
ples obtained at that depth. In loose granular soils and
high water table conditions, this is rarely the case.
Obstructions such as large boulders will usually stop
auger penetration.
Solid flight augers are available in sizes ranging
from 50-300 mm (2-12in.) diameter. Depth penetra-
tion is generally a function of the size of the power
source. Usually, auger borings are employed in pre-
liminary exploration phases or where only near-sur-
face information is required. Figure 7-5 shows a typi-
cal truck-mounted, solid flight auger in operation.
Hollow stem augering is an improved modification
to the solid flight augers and is extensively used for
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
geotechnical explorations. A removable center plug
in the auger allows conventional sampling tools to be
lowered to the bottom of the borehole without re-
moval of the augers. The augers, in effect, function as
temporary casing. In relatively stiff formations, the
center plug may be eliminated during drilling or con-
ventional wash boring techniques may be used in
conjunction with the hollow stem augering technique.
Figure 7-6a shows a schematic diagram of the hollow
stem auger with its removable center plug. Hollow
stem augers are available with inside diameter dimen-
sions ranging from 60-150 mm (2.25-6 in.). Figure 7-5. Auger drilling technique. (From Soil
Although the bore wall collapse problem is elimi- Sampling Methods and Equipment
nated with hollow stem augers, high water table con- Catalogue, Longyear Co.)
ditions in loose or medium dense granular soils will
tend to blow in or flow up inside the casing. Drilling water is difficult to obtain or where below-freezing
mud can be injected during auger advancement, temperatures preclude the effective use of water for
through a fluted kelly or with a spindle adaptor to drilling.
allow penetration below the groundwater table (Fig-
ure 7-6b). 7.5.1.6 Continuous Sampling. A variety of sam-
Another disadvantage when using holow stem au- pling tools may be used to obtain continuous repre-
gers, is that the soil conditions between the samples is sentative samples, with any test boring procedure.
generally not known and some disturbance of the Such sampling may provide more reliable and de-
natural ground beneath the augers may occur which tailed information on subsurface conditions. In some
might not be acceptable for in situ borehole sampling soil conditions, particularly cohesive soils with ade-
and testing. quate shear strength, continuous sampling may be
Hollow stem augers are particularly adaptable to employed alone; in effect, creating an uncased bore-
drilling in hard or dense sediments where drilling hole. However, it is usually necessary to clean out the
120
- ~ - - .---- --__
= Ob39804
~
AASHTO T I T L E M S I BA O O L L 4 7 504 W
Substirface Exploration (Soiland Rock Sampling)
Adapter
SPINDLE APAPTOR
ASSEMBLY
Used for
injecting fluids
imide
Hollow-Stem Augers
w u Figure 7-6b. Injecting Drilling Fluid Through a

Figure 7-6a. Components of the Hollow-Stem Hollow-Stem Auger with a Spindle
Auger Drilling System. (Courtesy Adaptor. (Courtesy Central Mine
Central Mine Equipment Co.) Equipment Co.)
borehole using conventional wash boring techniques, Air Stabilization

between samples, resulting in the need for some form Casing Stabilization
of borehole stabilization. Grout Stabilization
A continuous column of soil or sock samples pro- Freezing Stabilization
vides the most accurate picture of subsurface condi-
tions. As with the various techniques which may be em-
ployed in advancing the boreholes, the selected stabi-
7.5.2 Borehole stabilization lization method may also affect the quality of the
sample recovered. Several different methods may be
A problem common to all test boring methods is the
employed in a single borehole, in any combination, to
necessity of maintaining borewall and bottom stabil-
provide the most representative sample.
ity in order to obtain relatively undistrubed samples
of the desired stratum. The subsurface conditions
encountered in a specific area will generally dictate or 7.5.2.1 Water Stabilization. A recycling or contin-
influence the selection of the borehole stabilization uous water supply system is the most common and
methods, which can be grouped into six general cate- economical method of maintaining borehole stability.
Water induced into the borehole will generally coun-
gories.
teract soil and pore-water pressures in partially or
@ water Stabilization fully saturated sediments for a sufficient length of
Miid Stabilization time to ailow sampling at the selected stratum. Water
121
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

AASHTO T I T L E M S I 8 8 W Ob39804 0011748 440 =
alone will generally not prevent the caving or slough- Table 7-2
ing of the borehole in soft or cohesionless sediments, Approximate Bentonite Mud Mixtures
especially above the water table. An uncased bore-
hole, utilizing water for stabilization purposes, is typ- Proportion Unit
ically used in rock or in relatively stiff, cohesive soils. of
Water to
Purpose Consistency Bentonite
7.5.2.2 Mud Stabilization. Drilling mud is simply Support of Very thick 27 kg (60 Ib.)
a mixture of water and mineral particles in suspension borehole cream
which has a specific gravity and viscosity greater than
Removal of Thick to very 11-27 kg (25-60
water. It may be a natural or artificially pre-mixed cuttings thick cream Ib.) depend-
fluid which is recycled through the uncased borehole ing on soil
to maintain a state of equilibrium, transport the bore- grain size
hole cuttings to the surface, and act as a coolant for Retention of Thin to thick 9-27 kg (20-60
the drill bit. It is also employed to improve sample sample in cream lb .)
recovery and minimize soil disturbance in cased bore- sampler
holes. Assist in cutting Thin to thick 11-23 kg (25-50
Drilling mud may be prepared from any native clay action of cream lb.)
or from several commercially available products, sampler
which are highly colloidal and thixotropic and contain * Unit of water is 3791 (100 gal.).
various additives to control dispersion and viscosity.
The higher specific gravity of the mud allows it to uct and Baroid is a barite base produce used as a
develop more positively down-the-hole pressures, in weighting agent.
addition to forming a relatively impervious lining To minimize environmental pollution and to facili-
along the borehole walls. The mud will also tend to tate the subsequent installation of observation wells
keep the cuttings in suspension longer, allowing more and piezometers in the completed boreholes, a biode-
representative sampling at the bottom of the bore- gradable organic polymer, manufactured by the John-
hole. In addition, the mud will reduce abrasion and son Division, Universal Oil Products, under the pat-
retard corrosion of the drilling and sampling tools. ented trade name of Revert is available. Revert
The basic mud mixture which is used on many has the important characteristic of automatically
subsurface exploration programs is bentonite and changing or reverting to a fluid as thin as water after a
fresh water (approximately six percent bentonite by period of three to four days.
weight). Attapulgite, a non-flocculating clay, will Figure 7-7 shows mud being mixed in a recircula-
make a suitable mud when mixed with salt water. tion tank prior to drilling.
Weight additives, such as pulverized barite, hematite, Drilling fluids can be lost when lenses or pockets of
galena, or other heavy mineral products, may be highly permeable strata, such as clean gravel, are
added to the mixture to further increase specific grav- encountered, especially in the presence of a strong
ity in unstable soils or in the presence of artesian groundwater flow. However, these permeable zones
conditions. The drilling mud must be carefully mixed can be sealed by the addition to the drilling fluid of
and monitored during the life of the test boring. mica, wood fibers, straw, or other commercial fibrous
Driller expertise is required to maintain the correct products, which will be deposited in these zones and
mixture balance for optimum performance. seal off the pervious strata.
U.S. Bureau of Reclamation (USBR) has estab-
lished general guidelines for various drilling mud mix- Table 7-3
tures which are summarized on Table 7-2. However, Bentonite/Barite Mixture Weights
these mixtures are subject to variations depending
upon the local geological conditions and the most Dry Weight of Powered Mud
suitable mixture is the thinnest mix which will meet Per 0.28 Cubic Meters Wet Weight
the specific soil conditions encountered. (10 Cubic Feet) of Water of
The Materials Testing Section of the U.S. Soil Con- Bentonite Barite Mud Mixture
servation Service (SCS) has evaluated heavy mud kg lbs. kg lbs. kg/m3 p.c.f.
mixtures using bentonite with a barite weight additive 27 60 O O 1041 65
for troublesome soils and Table 7-3 summarizes the 27 60 9 20 1057 66
various wet-weight mixtures. 27 60 27 60 1105 69
27 60 54 120 1153 72
The Baroid Corporations Quick-Gel is a very 27 60 108 240 1298 81
fast acting and commonly used bentonite mud prod-
122 --`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

AASHTO T I T L E MSI 88 Ob39804 0033749 387
Sirbsicrface Exploration (Soil and Rock Sampling)
Figure 7-7. Mixing revert mud in a recirculation tank. (Haley & Aldrich, Inc.)
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
Subsurface exploration techniques combining ro- air reservoir pits at the ground surface. This method is
tary drilling methods with uncased mudded borehole usually applied with large rotary or percussion drilling
stabilization is a relatively rapid and economical pro- equipment where excessively dense soils, rock or ob-
cedure which can facilitate the recovery of more rep- structions must be penetrated. The principal of re-
resentative subsurface information than other con- verse circulation is utilized where the borehole cut-
ventional exploration methods. tings are carried up the center of the drill rods (Figure
7-8). The drilling method may combine both rotary
7.5.2.3 Air Stabilization. The application of com- and percussion techniques through the use of diesel
pressed air which is circulated through the borehole operated mini pile driving hammers, although
to remove cuttings is also a method of borehole stabi- down-the-hole hammers are also available.
lization. Compressed air circulation is also used in A continuous column of dry sample is brought to
cold climates as a non-freezing alternative to drilling the surface for evaluation and sampling. A foam
mud, which is susceptable to a solidification in open- flushing agent may be added to assist in removing the
123

AASHTO TITLE !SI 88 Ob39804 OOLL750 O T 9 W
Maniid on Subsurface Investigations
-
HAMMER IMPACT 7.5.2.4 Casing Stabilization. Driving heavy duty
steel pipe or casing provides the most reliable, and
commonly used, although relatively expensive,
method of advancing a borehole to its required depth
.....
AIR and maintaining stability of the borehole walls. The
DISCHARGE casing is usually advanced by constant blows of a drive
WITH
GEOLOGICAL
MATERIAL
hammer (typically 136 kg; 300 lb.; falling .6 M or (2
ft.) upon a drive head which is attached to the casing
(Figure 7-9). As the blows to drive the casing supply
constant energy, supplementary information may be
obtained on the soil resistance by counting the
DOUBLE WALL
DRIVE PIPE
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
, . .. .. . .
. . . . . . . .
. .. . . . . . . .
.o.:_
. .. .. ... .. . .. .. .. .. .. .
_ * . .. . * . . :
Figure 7-8. Reverse air recirculation technique,
(Rom "The Progressive Drilling
Contractor," Becker Drills, Inc.)
heavier cuttings which will also have the added bene-

fit of lubricating and sealing the borehole walls. Al-
though conventional sampling methods are usually
not conducted with this procedure, it can be adapted
for a variety of sampling techniques, but with some
difficulty and at a major loss in production rates.
Borehole stabilization and drilling with air is gener-
ally not a practical technique in cohesive soils below
the water table. Section 7.5.3.4 describes in addi-
tional detail one method of air stabilization referred
to as the "ODEX" Drilling System.
Although this system can penetrate extremely
dense and "bony" over-burden at very rapid rates,
sampling limitations, environmental considerations, Figure 7-9. Borehole casing stabilization. (&om
supplemental equipment requirements and cost "Soil Sampling Methods
should be carefully evaluated during consideration of and Equipment Catalogue,"
this methodology. Longyear Co.)
124
--
I_____.
A A S H T O T I T L E MSI 88 = 0639804 OOLL752 T I 5
number of blows per foot and the resulting penetra- which prevents deeper penetration of the drilling
tion. tools. This zone may be stabilized by pumping a ce-
The Diamond Core Drill Manufacturers Associa- ment or chemical grout into that portion of the hole
tion has established standards of nomenclature for the and redrilling the borehole through the hardened
various casing diameters which are summarized in plug. Although additional time may be required for
Table 7-4. setting of the grout, it may be preferable to advancing
The casing is usually driven in increments of 1.5 M casing to this depth, which would also reduce the
(5 ft.) with representative samples being obtained at borehole size.
the completion of each drive. The increments may be This method may also be applied in extremely un-
varied to meet specific sampling requirements. Var- stable areas in the overburden. However, depending
ious sizes of casing may be telescoped within each on the depth of the zone, advancing casing may be a
other to facilitate the coring of obstructions or to more practical solution.
reduce the desired size of the borehole at depth.
The heavy duty steel casing may also be equipped 7.5.2.6 Beezing Stabilization. A borehole may be
with a diamond bit shoe and drilled, rather than stabilized by freezing the soil through which it passes
driven, to the required sampling depth. This pro- by replacing the drilling fluid with alcohol, diesel fuel
cedure will allow the penetration of obstructions with- or a brine solution which is chilled with dry ice. This
out a decrease in borehole size. method is generally not applicable in unsaturated
After the casing is seated at the required depth, the ground or where there is a strong groundwater flow,
hole must be thoroughly cleaned out before obtaining and it also represents an environmental concern from
a sample. In soft or loose materials, stability of the the standpoint of pollution.
borehole bottom is increased by keeping the casing In some instances, it may be advantageous to use
filled with water or drilliag fluids. this procedure to recover ccundisturbedsamples of
The use of hydraulically operated hollow stem au- naturally frozen granular soils to determine the pres-
ger drilling equipment, with a removable center plug ence of ice lensing or segregation.
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
to allow passage of the sampling tools through the A more costly method involved circulating the
auger is also considered a type of temporary casing. cooling liquid through a series of pipes which have
O 7.5.2.5 Grout Stabilization. A borehole may en-
been driven or drilled in a circle around the primary
borehole. This procedure could facilitate the recovery
counter local zones of instability in the bedrock due to of large-diameter samples of unstable granular soil or
shear zones, faults, weathering or fractured rock fractured rock.
Table 7-4
Standard Casing Sizes
TYP Designation I.D. O.D.

mm in. ~ n m in. m in.
XH Black 64 2-112 in. 64 2.50 73 2.88
76 3 in. 76 3.00 89 3.50
89 3-1.2 in. 89 3.50 102 4.00
102 4 in. 102 4.00 114 4.50
Flush-Joint RX or RW 30 1.19 37 1.44
EX or EW 38 1.50 46 1.81
AX or AW 49 1.91 57 2.25
BX or BW 60 2.38 73 2.88
NX or NW 76 3.00 89 3.50
HX or HW 102 4.00 114 4.50
PX or PW 127 5.00 140 5.50
SX or SW 152 6.00 168 6.63
UX or UW 178 7.00 194 7.63
ZX or ZW 203 8.00 219 8.63
Flush-Coupled RX or RW 30 1.19 37 1.44
EX or EW 41 1.63 46 1.81
AX or AW 51 2.00 57 2.25
BX or BW 65 2.56 73 2.88
NX or NW 81 3.19 89 3.50
HX or HW 105 4.13 114 4.50
125

AASHTO TITLE MSI 88 w 0637804 0033752 971
7.5.3 Special Exploration Techniques ditions. Refer to Appendix A for more details
regarding acoustical monitoring.
A variety of subsurface explorationtechniques, which
range from simple to very sophisticated, may be used 7.5.3.2 Hand Explorations. The most basic of all
to determine or supplement information concerning exploration tools is the shovel and its use for exam-
the geological conditions in the project area. Any ining in detail the near surface soil conditions should
exploration technique which can properly evaluate not be overlooked. Other hand explorations include:
the geotechnical parameters which will effect the de-
sign of the project is usually acceptable. Frequently, Hand augers. A variety of hand augers or post
the most simple and economic methods, which are hole diggers may be used in obtaining represen-
often overlooked, may be the most suitable. Occa- tative samples of the near surface soil condi-
sionally, the very sophisticated and expensive tions. A variety of sizes and styles of cutter heads
methods are the only techniques which will provide are available and extensions may be added for
the necessary information. Several special explora- greater penetration depths (Figure 7-10). Small
tion techniques are summarized below to indicate the gasoline engine powered hand augers will in-
range and level of these techniques. crease depth penetration and decrease the diffi-
culty of performing the work.
7.5.3.1 Exploratory Probes. Exploratory probing
Retractable Piston Samplers. Small diameter
techniques are employed as preliminary or supple- hand operated piston samplers are used primar-
mentary measures to determine the gross characteris- ily in reconnaissance survey to obtain represen-
tics and depths of relatively thin surficial soil deposits.
Hand Probes. Hand probes are made to ob-
tain reconnaissance information in wetland
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
areas, concerning the thickness and lateral ex-
tent of soft, compressible organic soils. Small
diameter, flush coupled, steel rods are pushed
by hand to refusal in the underlying inorganic
soil.
Rod Probes. Rod probes can be conducted
with any conventionaldrilling equipment to pro-
vide general information on soil penetration re-
sistance and depth to bedrock or refusal. Stan-
dard drill rods equipped with a point are driven
or rotary-drilled to the required depth or re-
fusal. Rod probes may be employed to supple-
ment conventional subsurface exploration
methods.
Auger Probes. Auger probes can be con-
ducted with rotary drill rigs equipped with solid
flight augers to provide general information on
soil types, penetration resistance, groundwater
conditions and depth to bedrock or refusal. An
advantage of auger probes over other probing
methods is that soil is returned to the surface for
general analysis and a borehole is created which,
if remaining open, may be utilized for ground-
water observation purposes.
Percussion Probes. Air operated percussion
drilling equipment may be used to obtain addi-
tional information on the depth of relatively
shallow bedrock, especially in areas where very
dense or bouldery overburden overlies bed-
rock. This equipment may be employed in con- Figure 7-10. Hand auger equipment. (From Soil
junction with an acoustical listening device to Testing Equipment Catalogue,
more accurately define the subsoil and rock con- Soiltest Inc.)
126
- ~
__-. ~-~
AASHTO T I T L E MSI 8 8 0637804 0033753 808
Subsurface Exploration (Soil and Rock Sairiplitig)
tative samples of deeper, soft, cohesive and usu- n

ally organic sediments for evaluation and
testing. The sampler is forced by hand in the
closed position to the desired sampling depth.
The rods are then lifted approximately .3 M (1
ft.) which retracts and locks the piston. The
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
sampler is then pushed approximately .3 M (1

ft.) into the soil, retaining the sample (Figure
7-11). A variety of these retractable piston sam-
plers are available including the Davis, Stock-
stad, Hankinson, and Veihmeyer types.
Portable geotechnical field equipment has been re-

cently developed by the Swedish Geotechnical Insti-
tute which can be utilized during preliminary site
investigation phases. This very light and portable
equipment can be easilycarried by one technician and
may be adapted to obtain various types of soil samples
and ii situ tests (Adestam, 1981).
7.5.3.3 Test Pits. Test pits and trenches may be

excavated by hand or by conventional earth-excavat-
ing equipment to provide detailed examination of
near-surface geological conditions (Figure 7-12). The
technique is utilized for such purposes as determining
geologic contacts, presence of faulting, preliminary
slope stability estimates, and the recovery of bulk
@ samples for laboratory testing. In addition, the test pit
may serve as a basis for conducting in situ tests such as
in-place density or water percolation determinations. Figure 7-11. Retractable piston sampler (Davis
The U.S. Occupational Safety and Health Admin- type). Worn Acker Soils Sampling
istration (OSHA) prohibits personnel entry into a test Tools Catalogue, Acker Drill Co.)
pit extending more than 1.5m (5.0 ft.) below ground
surface or any pit displaying evidence of instability,
without proper sheeting and bracing. inclinometers, extensometers, observation w e h and
piezometers, require small diameter holes into which
7.5.3.4 ODEX Drilling System. A drilling sys- the instruments are installed. For many of these
tem currently used in the construction industry for methods to be cost effective, it is essential to develop
installing earth anchors and tiebacks, has the poten- a procedure for drilling small diameter, uniform holes
tial to advance unsampled, cased holes in overburden rapidly and at minimum cost. Through the use of such
soils at remarkable rates under favorable conditions. holes and indirect logging techniques, in combination
The procedure employs conventional air-operated, with conventional sampled test borings, a thorough
percussion drilling equipment utilized in the industry definition of subsurface conditions can be developed
for decades. The standard percussion drilling equip- at minimal cost.
ment has been modified by the Swedish firms of Atlas The ODEX drilling equipment consists of a rotary
Copco and Sandvik Coromant to facilitate the instal- percussion drill rig equipped with a specially designed
lation of heavy duty, removable casing for borehole Sandvik drill bit (Figure 7-14).
stabilization in conjunction with the drilling opera- The drill bit consists of three movable parts and is
tion. The modified system is referred to as the ODEX available in three different sizes:
system (Figure 7-13).
Many indirect subsurface exploration techniques, ODEX 76 ODEX 115 ODEX 127
such as downhole geophysical logging, borehole seis- mm in. mm in. mm in.
@ mic surveys, and numerous other exploratory pro- Pilot bit 70 2.75 in. 109 4.31 in. 109 4.31 in.
cedures, require a small diameter hole or holes within Reamer 20 3.78in. 152 6 in. 162 6.38 in.
which to work. In addition, instrumentation, such as bit
127
AASHTO T I T L E MSI 8 8 m Ob39804 0011754 744
Maniml oii Siibsiirface Investigations
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
Figure 7-12. Machine-excavated exploration pit, as shored in accordance with OSHA requirements.
(A.W. Hatheway)
As the pilot bit drills the overburden materials at be withdrawn into the casing (Figure 7-16). If the
the bottom of the hole, drill rod rotation automat- ODEX hole has penetrated into solid rock, drilling
ically swings out the eccentric reamer which enlarges can continue with conventional equipment through
the hole so the casing can advance behind the ODEX the casing tube (Figure 7-17). Inexpensive, smaller
bit (Figure 7-15). A portion of the impact energy is diameter plastic casing may be lowered through the
transferred from the rock drill by way of a shank temporary heavy duty steel casing, which is removed
adapter to a driving cap above the casing which is after completion of the drilling, for future monitoring
advanced without rotation. and instrumentation installation purposes.
When the drilling is completed, the drill bit is ro- As with any drilling system, there are inherent
tated in the opposite direction, aligning the eccentric limitations with the technique and driller expertise is
reamer with the drill bit. This allows the drill tools to essential. Excessive equipment noise and the ten-
128
AASHTO T I T L E MSI 88 = Ob39804 0033755 680
Subsurface Exploration (Soil and Rock Samplrig)
Figure 7-13. ODEX equipped Chicago pneumatic 6900 Air Rack with an Atlas
COPCO double acting hammer. (Haley & Aldrich, Inc.)
dency of the ODEX bit to plug in cohesive materials cal borings. Conventional sampling is very difficult or
or granular materials with an excessive amount of impractical using this technique, but various rotary
fines must be considered when applied to specific site sampling devices could be adapted to obtain samples,
conditions. if required. Although the depth penetration is a func-
tion of the material being penetrated, the Acker
7.5.3.5 Horizontal Drilling Systems. Drilling Holegator is rated for 58M (190 ft.) using 150mm
equipment which is specially designed for installing (6-in.) diameter hollow stem auger of 122M (400 ft.)
0 horizontal drains and tiebacks may be used for deter-
mining general soil conditions in embankments or
using 75mm (3-in.) diameter BW flush-joint casing
(Figure 7-18).
vertical faces where accessibility might prevent verti- Long distance horizontal borehole drilling tech-
129
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

AASHTO T I T L E M S I 88 Ob39804 001L75b 517
BOREHOLE
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
CUTTING GU I DE
ADAPTER
EXTENDED
REAMER BIT
PILOT BIT
Figure 7-14. ODEX 76 bit with extended reamer, (Haley & Aldrich, Inc.)
niques are in various stages of development as poten- vation extends very deep underground, or in heavily O
tia1 alternatives to vertical borings for underground developed urban areas where surface access and dis-
structures. ruption would be a major consideration.
Horizontal alignment drilling could provide valu- As with any newly developing technique, diffi-
able information at locations where the geological culties remain; these include direction control, pene-
structure is primarily vertical and the proposed exca- tration rates, lack of experienced drillers, and lack of
O O
V V
E
CASING E I
R II
U
R R
O O
E E
DRILLING
FOAM
' 4
E
D
R
o
C
ECCENTRIC
REAMER BIT
ODEX B I T
Figure 7-15. ODEX bit advancing with eccentric

reamer extended and casing
Figure 7-16. ODEX bit withdrawn with eccentric
reamer retracted. (Haley & Aldrich, O
following. (Haley & Aldrich, Inc.) Inc.)
130
AASHTO T I T L E MSI 8 8 w Ob39804 0033757 453
O
V
7.5.3.6 Underwater Drilling Equipment. Subsur-
E face explorations which are located within bodies of
R
0 water are usually conducted from the surface, em-
ploying floating rafts or barges supporting conven-
tional drilling equipment, which are anchored into
position. Special jack-up drilling platforms are also
available if the surface conditions are such that stabil-
ity of the floating equipment cannot be maintained
for drilling purposes.
Consideration may also be given to specially de-
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
signed underwater hydraulic dril rigs which are set on
the bottom from support vessels and operated by
driller-divers, (Figure 7-19).
Samples may be obtained by rotary, vibratory or
gravity coring procedures and in situ testing such as
penetrometer and vane shear may be conducted. Ai-
though these underwater drill rigs are usualiy associ-
ated with deep ocean area investigations, their use
may be advantageous for a specific site situation.
7.6 SOILSAMPLING
Figure 7-17. Conventional rock drilling in ODEX
borehole. (Haley & Aldrich, Inc.) Once the selection of the test boring methodology has
been determined based on the anticipated subsurface
equipment designed to perform the work. At present, geological conditions, the types of soil samples re-
the major disadvantage of horizontal drilling is the quired for engineering analysis and their method of
excessive cost, which, in part, is due to its low demand recovery is selected.
as a viable exploration tool. The numerous sampling devices based on the type
i
#
i i-
e -
Figure 7-18. Horizontal drilling machine employed for installation of slope-stabilizing drain system. (A.W.
Hatheway)
131
- - ____ -~ __ _ _ _ _ -
= =
_._
I
AASHTO T I T L E MSI 8 8 0 6 3 9 8 0 4 OOLl1758 3 9 T
tion purposes and are obtained primarily by open

drive samplers. Borehole cuttings and other dis-
placement type samples would also be classified as
O
disturbed, but only semi-representative,
Undisturbed samples are those which have been
obtained by methods which minimize disturbance
and are suitable for laboratory performance tests. A
completely undisturbed sample cannot be obtained
with present technology, and any undisturbed sample
I may become disturbed during subsequent handling

or transportation.
As with any subsurface exploration program, the
specific subsurface geological conditions in the proj-
ect area will dictate the most applicable method of
recovering representative samples for engineering
analysis,
7.6.1 Wash Sampling
The most basic and generally not representative sam-

pling method, consists of recovering borehole cuttings
from a variety of drilling procedures for examination
and classification. The borehole cuttings will give only
a general picture of the subsurface conditions, but
intermixing of the various strata may lead to erro-
neous interpretations. Borehole cuttings will furnish
supplemental information between conventional sam-
ple locations and should be closely monitored during
penetration of the borehole.
7.6.2 Split-Barrel or Split-Spoon

Open Drive Sampling
The open drive split-spoon sampler and its associ-

ated Standard Penetration Test (SPT) is the primary
method of obtaining representative samples for foun-
dation analysis. The split-spoon, which is cut into two
longitudinal sections is driven into the soil at the
bottom of the borehole. The recovered sample is re-
moved for classification and preservation in the event
that additional reference or laboratory testing is re-
Figure 7-19. COMEX data underwater driii rig. quired. The split-spoon sampler is available in a vari-
(&om Etude de Sols en Mer, ety of sizes and lengths. Various baskets, sleeves, or
COMEX Data) trap doors can be added to the sampler to assist in
the retention of the sample during the recovery pro-
of sample they are capable of obtaining, are divided cess. Figure 7-20 summarizes the more popular sizes
into two broad categories: of the basic split-spoon sampler.
Split-spoon samplers should be equipped at the top
Disturbed samples with a reliable check valve and should have a mini-
Undisturbed samples mum inside sampling length of S M (1.5 ft.). A recov-
ery of less than 3M (1ft.) is generally not considered
A disturbed sample is a representative sample of a as an acceptable sample in fine grained or cohesive
selected geological unit which has undergone struc- soils. A second sample may be necessary immediately
tural alteration or contamination by the sampling op- below the unsuccessful recovery.
eration. These types of samples are used for classifica- Split-spoon drive samples should be obtained at or
132
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

AASHTO T I T L E M S I 88 W Ob39804 OOLL759 226 W
HEAD PSSEMBLY
BALL CHECK
ADAPTER SLEEVE
STANDARD SAMPLER"
SPLIT TUBE
DRIVE SHOE
*ALM) AVAILAILL IN OLI0 IAELS
UP TO M) IUCHL IN LCNOTH AUD
HINOCD TYPE WLIT T U I E S
Figure 7-20. Standard split-spoon sampler. (Rom "Field Evaluation of Advanced Methods of Subsurface
Exploration for i-ansit hnneling," U.S. Department of i-ansportation.)
near the ground surface, at the beginning of every driven a total of .5 M (1.5 ft.) and the blows are
change of stratum, and at those intervals required by recorded per 150 mm (6 in.) of penetration. The
organizationpolicy. At the sampling points, advance- penetration resistance (N) is determined by adding
ment of the bore hole should be stopped. Casing, if the second and third 150 mm (6 in.) penetration re-
used, should be advanced as required, but only to a sistance blow counts. A driving rate of 100 blows per
depth no greater than the maximum depth of jetting .3 M (1 ft.) penetration is normally considered "re-
and chopping or drilling, and ail of the material fusal," however, this criterion may be varied depend-
should be removed from inside the casing or bore- ing on the desired information. In excessively dense
@ hole. When the driven casing method is used, water is
generally employed to clean out the casing before
soils where the Standard Penetration Test is not appli-
cable, or when larger diameter samples are required,
sampling, and side discharge bits are used for such heavier drive hammers and solid sample spoons may
cleaning. be utilized to obtain representative samples. As in the
A variety of methods and equipment for obtaining drilling techniques discussed previously in this Man-
the measure of penetration resistance have been stan- ual, heavy-duty 67 mm (2.63 in.) N-size drill rods
dardized (ASTM D-1586; AASHTO T-206). The should be employed in obtaining drive samples in the
Standard Penetration Test (SFT) consists of counting deeper and larger diameter borings for stability dur-
the number of blows required to drive a 51 mm (2-in.) ing the driving operations.
O.D. x35 mm (1.38 in.) I.D. split-spoon sampler a The relationship between the consistency or rela-
distance of .3 M (1ft.) with a 64 kg (140-lb.) hammer tive density of the soils and the dynamic penetration
free falling .7 M (2.5 ft.). The sampler is usually resistance is summarized in Table 7-5.
Table 7-5
Soil Density/Consistency Descriptors
Non-Cohesive Soils Cohesive Soils

Number of blows Number of blows
Relative per 0.3 M (1 ft.) per 3 M (1 ft.)
Density (N) Consistencv (N)
Very loose o- 4 Very soft o- 1
Loose 5-10 soft 2- 4
Medium dense 11-24 Medium stiff 5- 8
Dense 25-50 stiff 9-15
Very dense 51- Very stiff 16-30
Hard 31-60
Very hard 61-
133
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

_. ~- _ _ ~ __ __ -_ --~ _ _ _
AASHTO T I T L E U S 1 8 8 Ob39804 OOL17bO T 4 8 m
When the relative density of the soil is critical (such be much lower than expected because of the disturbed
as for liquefaction studies) automatic trip hammers soil being sampled.
weighing 64 kg (140 lb.) are commercially available Obtaining representative samples for engineering
which ensure a .7 M (2.5 ft,) free-fall drop (Figure analysis, using open split-spoon samplers, is standard
7-21). procedure in geotechnical engineering. The principal
However, recent studies of the SPT (Kovacs and advantage of the open drive samplers is their sim-
Salomone, 1982; Schmertmann, 1977) simply advo- plicity in construction and operation and their relative
cate the increased standardization of the SPT for liq- economy for evaluating in situ soil parameters
uefaction studies. The major recommendations in- through widely accepted empirical correlations. In
clude the use of a rope and drum system to lift the 140 addition, they recover representative specimens suit-
lb. weight, with two wraps of the rope around the able for classification and for certain laboratory test-
drum, and the use of drilling mud to support the sides ing. However, there are limitations in the use of open
of the borehole. drive sampling, and reasonable and careful evaluation
A factor of particular importance in using borehole of the data must be exercised.
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
tests like the SPT, especially in cased boreholes, for Several studies have been conducted (deMello,
liquefaction studies is maintaining the fluid level in 1971), (Schmertmann, 1974), which summarize the
the borehole near the top of the hole. Failure to do so advantages and disadvantages of the Standard Pene-
may result in the soil at the bottom of the hole becom- tration Test. Some of the disadvantages are that the
ing unstable because of upward seepage of groundwa- sample may become highly disturbed or contami-
ter into the hole, and soil may actually blow into the nated during penetration and may not be truly repre-
casing. Measured parameters (e.g., blowcounts) may sentative of the stratum sampled. Also, excessive hy-
i Y??== JHI
TRIP CONL
ADJUSTMENT
ROCLLR
ILTRIEVER *RM
RETRKVER UUI S P R N PLWHL GUIDE

HO151 CABLE
TUBE ASSEMBLY
SLEEVE
PAWL CAM
RETRINLR
-.
(MOUNTED ON INNER STEM
AND ANVIL ASSEMBLY)
RAM COCLLA
1 COMBINED WCHIHT
14058
!?O LB
MONKEY WEIGHT
ANVIL
SLIP JOINT
INNER STEM AND
ANVIL ASSEMBLY
SUB
DRILL ROD THREADS
Army C o r p s o f E n g i n e e r s B r i t i s h Pilcon type,

type.
( P i l c o n E n g i n e e r i n g , Great B r i t a i n )
(From EM1110-2-1907)
Figure 7-21. Automatic n i p Hammers.
134

AASHTO T I T L E MSI 88 Ob39804 O O L L 7 b L 784
drostatic pressures or penetration friction may procedures are also included in the USBR Earth
indicate erroneous in situ relative densities. These Manual.
acknowledged inconsistencies do not decrease the
practical importance of open drive sampling. Precise 7.6.3.1 Thin-Wall, Open-Drive Sampler. The
geotechnical data from penetration resistance is not most common and simplest method of obtaining rela-
within the capability of the procedure. Its purpose is tively undisturbed samples consists of pressing an
to obtain an approximate comparison of the in situ open, thin-walled tube into the desired stratum at the
geological conditions and to provide samples for soil bottom of the borehole. This method does not utilize
classification. Refer to Appendix B for specific details any sample retention devices, although the sampler
on conducting the Standard Penetration Test. head is equipped with a ball check valve and vents to
relieve air and water pressure buildup within the tube.
7.6.3 Thin-Wall hbe Sampling The thin-wall open-drive sampler, which has the
advantage in its simplicity of construction and opera-
A method of obtaining larger and less disturbed sam- tion, also has several major disadvantages as follows:
ples of soil was introduced by H.A. Mohr in 1937.
This method consists of pressing thin, seamlesstubing 1. Disturbed and intermixed soil materials from
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
into cohesive soils of soft consistency for preservation the bottom and sides of the borehole may enter
and supplemental laboratory testing. Although loose, the tube as it is lowered into position.
fine grained granular soils may be sampled with this 2. Penetration of the sampler under the weight of
method, sample retention may be a problem, unless the driil rods may occur in very soft or loose
the sampler device is equipped with a piston which materials, preventing accurate measurements
creates a vacuum and helps retain the sample in the for controlled sampler penetration.
tube. 3. Total or partial sample recovery is difficult
The thin-walled tubing, more commonly referred without a supplemental retention system.
to as Shelby tubing from the manufacturers trade- 4. Hydrostatic pressures may disturb the sample
name, may be any thin-wall tubing that is beveled to during penetration or totally prevent the sam-
form a tapered cutting edge and drawn in slightly to ple from entering the tube.
reduce sample friction against the wall.of tube during
penetration. The tubes are usually cut in .6-.9 M (2-3 The majority of these disadvantages may be elim-
ft.) lengths and coated with a lacquer or other rust inated by using one of the several varieties of the
preventative solution. stationary piston sampler and/or the use of borehole
The DCDMA has established standard dimensions casing to eliminate sampler contamination.
for thin wall tubing which are summarized in Table
7-6.
The thin-wall tubing may be used with a variety of -
4 Threods per inch rod
sampling devices to obtain representative and rela-
tively undisturbed samples. As with any sampling
device or method, variations in design, operation and
ability to recover the sample is dependent upon the
character of the materials being sampled. Standard SornDler head --
guidelines for thin-wall sampling have been estab-
lished in AASHTO T207 and ASTM 1587. Detailed
Table 7-6
Four 3
sociel -
head cap s c r e w s --_ -2fID z2fOD.Orinq
DCDMA Standards for Thin Wall hbing
Size Dimensions
Sponge rubber qoskel
cemented lo brass ring jy, -,.c- __
Brass rinq t o be scoled lo head
i i l h eooiy cement m d held n Dloce
by three r z 10 Allen screws
I.D. O.D.
m in. rnrn in. mm in.
~_______
51 2.0 48 1.878 51 2.000

54 2-118 51 2.004 54 2.125
e 127
zI2
5
72
85
106
2.838
3.333
4.170
76
89
127
3.000
3.500
5.000
--,.OD--/
Figure 7-22. Thin-wall open drive sampler.
135
- - - - - -. _- _____
AASHTO T I T L E M S I 88 Ob39804 001i17b2 810 m
7.6.3.2 Mechanical Stationary Piston Sampler, ing rods. The tight seal of the piston also creates a
The Mechanical Stationary Piston Sampler, first de- vacuum on the sample which aids in sample retention.
veloped by John Olsson of Sweden in 1922 and mod- The sampler is rotated two full turns to shear off the
ified by Dr. M.Juhl Hvorslev, of the U.S. Army, soil at the bottom of the tube and withdrawn very
Corps of Engineers, is similar in construction to the carefully from the borehole. A short waiting period
thin-wall, open-drive sampler discussed in Section before and after shearing allows additional skin fric-
7.6.3.1. Several major improvements in the design of tion to develop between the sample and the tube,
the sampler include the addition of a sealed piston and which will further minimize sample loss during recov-
locking cone in the head assembly to prevent the ery.
piston from moving downward (Figure 7-23). The Generally, Stationary Piston Samples are obtained
piston can be locked and fully sealed at the bottom of with large hydraulic operated drill rigs. However, a
the thin-wall tube so that it can be lowered into the series of pully arrangements, referred to as a
borehole without contamination. Christmas tree can be attached to the borehole
Once the sampler is in position, the piston, through casing for reaction purposes, and be pressed with any
a series of small diameter inner actuating rods, is type of power take-off unit (Figure 7-24).
locked to the drill rig or the casing and pressure is The Mechanical Stationary Piston Sampler is a sig-
applied to the outer drill rods which forces the thin- nificant improvement over the thin-wall open-drive
waii tube down from the Stationary piston. When sampler, in that it decreases sample disturbance and
the full press is completed (.6 m; 24 in.) any pressure improves recovery; the apparatus is, however, more
buildup is released through a small hole in the actuat- complicated and time consuming to operate than
open-drive samplers. However, it can be operated in
uncased boreholes, which can be a major time saving
factor.
4- D r i l l Rod 7.6.3.3 Floating Piston Sampler. The Floating Pis-

ton Sampler is generally similar in appearance to the
fl
Actuating Rod
t
Head
Spring
Cone
I
1
Socket Head Cap Screw ( 4 Required)
Thin Woll Sample Tube ( S t ee I or Brass)

I
(Length and Diameter variable)
Piston Spacer (2 Required)

Packing Cup (2 Required)
Piston Figure 7-24. Mechanical stationary piston sampler

Figure 7-23. Mechanical stationary piston sampler Christmas nee assembly. (Haley
(Acker type). (Haley & Aldrich, Inc.) & Aldrich, Inc.)
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

AASHTO T I T L E M S I B A m Ob39804 0011763 757 m
Stationary Piston Sampler, except that the actuating

rods which connect to the piston are eliminated, thus
allowing the piston to float within the assembly.
The ability of the piston to float is a disadvantagein
soft soils and the proper use of this equipment is
limited to sampling stiff or hard cohesive soils.
In operation, the piston is manually set flush with
the bottom of the thin-wail tube. Providing that the
packing between the piston and the tube is tight, the
piston will remain in this position while it is lowered to
sampling elevation in the borehole, providing perfor-
mance similar to stationary piston sampling. As the
sampling tube is pressed into the soil to be sampled,
the piston moves upward relative to the tube.
In soft cohesive soils, the force required to make
the piston move along the tube may be excessive,
relative to the shear strength of the soft material being
sampled. Thus, the soil to be sampled may be com- COUPLING
pressed or otherwise disturbed by the sampling pro-

cess, as the tube with piston in the flush position is
pressed into the soil. If sufficient resistance is not
provided by the material being sampled, the piston
will remain in the flush position, soft soil will simply
be displaced, and no sample will be obtained.
-ATP. EH,
7.6.3.4 Retractable Piston Sampler. The Retract-

able Piston Sampler is similar to the Stationary Piston
Sampler in that it retains the inner rod which operates
the piston. However, even though it is much simpler
to operate, it loses many of the advantages of the
Stationary Piston Sampler. The sampler, with the pis-
ton at the bottom of the tube to prevent materials
from entering the sampler, is lowered to the bottom of
the borehole. The piston is then partially retracted DRIVING SAMPLING
into the tube and locked in place. This is accom- Figure 7-25. Porter or California retractable
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
plished by a series of extension rods connected to the piston sampler. m o m Subsurface
surface (Figure 7-25). Exploration and Sampling of Soils
The sampler assembly is pressed into the soil and for Civil Engineering Purposes,
the piston is then fully retracted which closes the vents M.J. Hvorslev)
in the head assembly preventing hydrostatic pressures
from forcing the sample out of the tube during subse- operated, portable model of the retractable piston
quent recovery. Although the assembly and sampling sampler is discussed in Section 7.5.3.2.
operations are similar to the Stationary Piston Sam-
pler, the tight seals obtained with the packer system of 7.6.3.5 HydraulclPneumatic (Osterberg) Piston
the stationary sampler cannot be duplicated with the Sampler. The hydraulic Piston Sampler is designed
Retractable system. There is a tendency for soil and to obtain undisturbed samples of soft and potentially
fluids to pass around the piston into the sample cham- sensitivesoils in uncased boreholes. The design of the
ber creating excess pressures which jam the piston sampler varies considerably from the Stationary Pis-
and allows only the recovery of the disturbed mate- ton Sampler, in that it consists of an inner thin-wall
rials. In addition, the vacuum created during penetra- sampler tube and outer pressure cylinder. In the sam-
tion with the Stationary Piston Sampler which im- pling position, a movable piston is attached to the top
proves recovery, is not possible with this procedure. of the sampling tube and a stationary piston rests on
The Stationary Piston Sampler can be operated as a the soil to be sampled. The sampler is activated by
@ retractable piston sampler, but the value of this pro- pumping fluids or gas through the pressure cylinder,
cedure modification is questonable. A small hand which drives the upper piston and sampling tube
137
_ - _ I _ I I __ _ -_I - I
AASHTO T I T L E M S I 8 8 W Ob39804 O O L L 7 6 4 6 9 3 W
Manual on Subsu~aceInvestigations
down over the lower piston into the soil a fixed dis-
tance (Figure 7-26). Then the piston is withdrawn
with the sample from the borehole. The Osterberg is
adaptable to both 80 mm (.3 ft.) and 130 mm (.5 ft.)
diameter, thin wall sampling tubes.
The self-contained and very portable aspects of the
HydraulicPneumatic Piston Sampler make it an ideal
sampling device in swamps and areas of difficult ac-
cess for large, conventional drilling equipment.
7.6.3.6 Bishop Sand Sampler. The Bishop Sand

Sampler developed by A.W. Bishop, in the United
Kingdom, in 1948,utilizes both mechanical and pneu-
matic methods for recovering loose, saturated sands
below the water table.
The Bishop sampler consists of an inner thin-wall
,reduced t h r o u g h courtesy o f S a i l t e s t , Inc., Evanston, I I I.
sampler tube and outer pressure cylinder. The sam-
pler is pressed into the soil by conventionalmechani- Figure 7-26. Hydraulic Osterberg Piston Sampler
cal methods. Compressed air is then pumped through Operation. (Elom "Geologic Site
a specially designed head assembly which forces wa- Exploration" U.S.D.A. Soil
ter from the outer cylinder and closes the pressure Conservation Service)
relief valves in the sampler. The sampler tube is then
CUERATY>W IN SAND BELOW W R E HOLE IS TULLOT

THE GRKIHO-YYTER LEVEL WATER T H W m W T
S A W L W G ORRATION
A 0 C
YUFIER LWERFD INTO W - RISING AIR WBLE INDICATE
SITWN CU M I H G ROOS AND E L L IS CLEAREO O f WATER.
WUILD INTO =IL 7 R K U V SAMPLCR WLLED INTO AIR
TACKLE - A I R VALVE AND WACE IN MLL nv umr AND
CHECK VALVE ARE WEN ENTHE UNIT THEN WiTHOIUWN
Figure 7-27. Bishop sand sampler operation. (From "Subsurface Exploration and Sampling of Soils for
Civil Engineering Purposes," M. J. Hvorslev)
138 --`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

AASHTO T I T L E MSI 8 8 = Ob39804 OOLL765 52T =
retracted into the outer cylinder and the entire unit is
e removed from the borehole (Figure 7-27).

A high degree of success has been reported in
obtaining undisturbed samples of sand using this
method (Bishop 1948).
7.6.3.7 Swedish Foil Sampler. A method to obtain

long continuous undisturbed samples and minimize
sample skin friction disturbance during sampler pene-
tration was developed by the Royal Swedish Geo-
technical Institute. Although this procedure has not
met with wide acceptance in the United States its
potential advantages in obtaining undisturbed sam-
ples should be considered. Continuous undisturbed
samples up to 18 M (60 ft.) in length have been
obtained using this method.
The foil sampler utilizes a lockable piston tech-
nique and the steel tube assembly has been modified
to accommodate a chamber which contains up to 21 M
(70 ft.) of steel foil coiled in strips, Each steel foil strip
is approximately 11mm (0.43 in.) wide and may vary
in thickness from .O6 to 0.2 mm (.O025 to .O08 in.)
(Figure 7-28).
As the sampler is pressed into the soil, the steel
coils unroll and axially encase the sample as it enters
the tube so that there is no relative movement be-
tween the sample and the foil. The inner sample tube
0 sections, which are usually 3 m (10 ft.) in length, are
added to the string for the desired penetration depth.
The sampler is removed from the borehole by uncou-
pling the sections and cutting the liner at the desired
lengths and sealing the ends, or the sample can be
easily removed in the field for observation by puliing
on the steel foil.
As with any sampling system, there are limitations
to the procedure; however, recent refinements in the
equipment and technique have overcome many of the
objections. These include automatic sample re-
tainers, advancing the sampler by jetting with water
or mud; and the application of rotary core barrel
techniques to facilitate deeper and easier penetration
(Kjellman, et al, 1950).
7.6.4 Rotary Core Barrel Sampling
A variety of core barrels, which were originally devel-

oped for drilling and sampling bedrock, have been
modified or adapted to obtain undisturbed over- DRIVING SAMPLING
burden samples in very dense or partially cemented
soils. These core barrels are used when the more Figure 7-28. Swedish foii sampler. morn
conventional thin-wall samplers (Section 7.6.3) can- Subsurface Exploration and
not penetrate the selected geological unit. Sampling of Soils for Civil
e There are many local variations in the type and

mechanics of these core barrels which are commer-
cially available under a variety of trade names.
Engineering Purposes, M.J.
Hvorslev)
139
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

_ _ .-__._I ___
AASHTO TITLE !SI 88 Ob37804 0011766 4bb M
Single wali or single tube core barrels equipped The inner liner tube of the Denison has a sharp
with saw-tooth cutter bits have been used to some cutting edge which can be varied to extend from zero
extent in sampling soils. However, the samples are to about 76 mm (3 in.) beyond the outer rotating -
usually disturbed by intermixing, swelling or contam- cutter bit. The amount of extension can be varied by
ination with drilling fluid. Core barrels equipped with means of interchangeable saw tooth cutter bits which
non-rotating innerliners are more suitable for over- are preselected depending on the anticipated forma-
burden sampling and several varieties are discussed in tion which is to be sampled. The maximum extension
the following sections. is used in relatively soft or loose soils and a cutting
edge flush with the coring bit is used in hard or ce-
7.6.4.1 Denison Sampler. The Denison core bar- mented formations, An important feature of the
rel was developed in 1939 by the Denison District, Denison Sampler is a system of check valves and
U.S. Army Corps of Engineers and is presently man- release vents which by-pass the hydrostatic pressure
ufactured under further patent-right developments buildup within the inner sampling tube, improving
held by the Acker Drill Company, Inc., Scranton, samplerecovery and minimizing pressure disturbance
Pennsylvania. of the sample.
The Denison Sampler is designed to recover undis- The Denison Sampler is rotated into the formation
turbed, thin-wall samples in dense sand/gravel soils, in the same manner as conventional rock coring pro-
hard clays, partially cemented soils or soft and weath- cedures, in either a cased or mudded borehole. The
ered rock. The sampler consists of a double-tube, Sampler is designed for use with water, mud or air and
swivel-type core barrel with a non-rotating inner thin- is available in five sizes, ranging from 75 mm (2.94 in.)
wall steel or brass liner designed to retain the sample to ,197 mm (7.75411.) O.D. A schematic drawing of
during penetration and subsequent transportation to the Acker-type Denison Rotary Core Barrel Sampler
the laboratory (Figure 7-29). is shown on Figure 7-30.
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
Figure 7-29. Denison core barrel sampler. (Haley & Aldrich, Inc.) (Courtesy Texas Department of
Highways)
140
AASHTO T I T L E SI 88 0 6 3 9 8 0 4 0033767 3 T 2 =
Subsurface Exploration (Soil and Rock Samplng)
sharp cutting edge which projects a maximum of 150

DRILL ROD mm (-5 ft.) beyond the saw-tooth cutter bit in its
HEAD ASSEMBLY
normal assembled position. As the sampler enters the
borehole, a sliding valve directs the drilling fluid
WATER PORTS
through the thin-wail sample tube for a thorough pre-
OUTER CORE
BARREL flushing of the borehole. When the sample tube
comes in contact with the bottom of the borehole, it
BEARIW ASSEMBLY
telescopes into the cutter barrel and closes the sliding
valve which diverts the drilling fluid to an annular
INNER CORE space between the sample tube and the cutter barrel.
BARREL
This sliding valve arrangement allows the circulation
BRASS LINER
of the drilling fluid to remove the borehole cuttings
during sampling and prevents disturbance of the re-
covered sample by the drilling fluid.
The spring-loaded inner sample tube automatically
adjusts to the density of the formation being pene-
trated. Invery soft materials, it will extend as much as
150 mm (.5 ft.) beyond the cutter bit and as the
formation density increases, the sample tube tele-
scopes into the outer core barrel and compresses the
control spring, which, in turn, exerts a greater force
on the tube to insure adequate penetration. In ex-
Figure 7-30. Denison core barrel sampler tremely dense formations or obstructions, the sample
operation. morn Field Evaluation tube will retract completely into the outer core barrel
of Advanced Methods of Subsurface to allow the cutter bit to penetrate the obstruction.
Exploration for lkansit Tunneling, The Pitcher Sampler is also rotated into the forma-
U.S. Department of kansportation) tion in the same manner as conventional rock coring
procedures in either a cased or mudded borehole.
The Denison Sampler is not a practical tool for The sampler is designed for use with either water or
sampling loose sands or soft clays, as the sample mud and is availablein four sizes, ranging from 64 mm
retention devices are usually inadequate for these (2.5 in.) to 149 mm (5.875-in.) O.D. A schematic
materials. The presence of cobbles and boulders will drawing of the Pitcher Sampler operation is shown on
present major difficulties for penetration and recov- Figure 7-31.
ery. The saw-tooth bit, with which the Denison is The telescoping liner aspect of the Pitcher Sampler
usually equipped, is not capable of coring hard boul- is a major advantage in highly variable formations,
ders which may cause collapse of the inner sampler which prevents collapse of the sample tube. However,
tube if it is in an extended position. the Pitcher Sampler, like the Denison, is not capable
of coring very competent cobbles and boulders.
7.6.4.2 Pitcher Sampler. The Pitcher Rotary Core
Barrel Sampler is a modification of the Denison sam- 7.6.4.3 Triple Tube Conversion Core Barrel Sam-
pler which was developed by the Pitcher Drilling pler. Recent modications and improvements in
Company, Inc., Daly City, California in 1960. It is conventional rock drilling core barrels allow inter-
presently manufactured and distributed by Mobile changeable conversions from rock coring barrels to
Drilling Incorporated, Indianapolis, Indiana. soil coring units. These core barrels, utilizing basic
The Pitcher Sampler was also developed to recover rock coring barrel design, combine the principles of
undisturbed thin-wall samples in formations which the Denison or the Pitcher sampler. In addition, a
are too dense for conventionalthin-wall sampler pen- third inner liner which retains the sample, further
etration. The Pitcher Sampler consists of a single- minimizes sample disturbance and improves recov-
tube, swivel-type core barrel with a self-adjusting, ery.
spring-loaded inner thin-wall sample tube which tele- The Sprague & Henwood MD type soil sampling
scopes in and out of the cutter bit as the hardness of core barrel and the Acker Swelling Soil core barrel
the material varies. This telescopingaspect eliminates are two examples of improved core barrel design for
the need to pre-select a fixed inner barrel shoelength sampling in overburden materials.
@ as with the Denison Sampler.
The inner steel or brass thin-wall liner tube has a
The various types of core barrels are discussed in
more detail in Section 7.7.1.
141
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

FLUI0 UHDER *SOFT HARD
PRESSURE ORUATIOHS FORWTIWS : affect its performance as in excavations or as a con-
struction material.
These characteristics include the foliowing:
Elevation
Lithology
Weathering
Hardness
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
Structure
Permeability
Discontinuities
Mineralogy
Figure 7-31. Pitcher sampler operation. (Rom
Soil Sampling and Equipment The rock core samples which are recovered can be
Catalogue, Mobile Drilling Inc.) further evaluated in the laboratory for such additional
engineering properties as compressive strength, elas-
7.6.5. Block Sampling tic modulus and abrasion resistance. The completed
rock core borehole may be tested and monitored to
One of the oldest, and considered by many as the determine permeability, groundwater conditions, the
most reliable, methods of obtaining undisturbed sam- presence of gas and squeezing or expansiveproperties
ples for laboratory testing, consists of cutting large of the rock. The borehole may be further utilized for
blocks of soil from the natural, in situ formations. in situ testing purposes, geophysical surveys and the
Although tests samples are usually obtained from installation of various types of monitoring equipment
sediments which display cohesion, either real or ap- or instrumentation. Rock core sampling can provide
parent, there are instances where granular soils have substantial geotechnical information in the immedi-
been satisfactorily obtained by lowering the water ate vicinity of the borehole. However, rock core sam-
table in the sample area (Salomone 1978). pling usualiy provides only a limited amount of infor-
A test pit or shaft is excavated to the desired sample mation about the overall rock mass, and this
location and the soil is cut by hand in the shape of a information must be extrapolated into engineering
projecting cube. The cube should be approximately decisions for the entire formation.
50 mm (2 in.) smaller in all dimensions than a wooden Careful observation and evaluation during drilling
box in which the sample is to be encased for transport. and logging of the recovered core is essential to any
The box should be constructed so that the top and site investigation program,
bottom panels may be easily removed or replaced in The rock coring procedures and equipment which
the field. were developed in 1863by Leschot, a Swiss engineer,
Several layers of cheesecloth are carefullyplaced to remain basically the same; a hollow steel tube
avoid damage to the cube corners and edges. Melted equipped with a diamond bit is rotated into the rock
microcrystallinewax is poured first into the bottom of surface. However, major improvements in the core
the box. The sample is then placed, in a centered barrels, diamond bits and associated equipment have
position into the box and wax is poured between the created very sophisticated rock core sampling de-
sample and the box and allowed to harden. Wax is vices. Diamond rock drilling methods have been gen-
then added to the top of the sample and the cover is erally standardized by the American Society for Test-
attached. ing and Materials (ASTM D-2113). To facilitate
The bottom of the sample is then cut away from the standardization of equipment the Diamond Core
ground and the box containing the sample, is re- Drill Manufacturers Association (DCDMA) has es-
versed. Cheesecloth wax and cover are added to the tablished standard sizes for bits, sheik and casings.
bottom of the box, completing the sampling and pre- The various DCDMA size standards for core barrels
servation of the block sample. and bits are summarized in Table 7-7.
The primary purpose of any type of core barrel is to
recover the total amount of rock which is physically
7.7 ROCK CORE SAMPLING cored, in a relatively undisturbed state. When drilling
in competent rock total recovery is rarely a problem;
The primary objective of rock core sampling is to however, when the formation is highly weathered,
obtain continuous, undisturbed cores in the intact fractured or soft, core recovery becomes poor. The
rock mass for evaluation of characteristicswhich may strength and behavior of the rock mass is primarily
142
AASHTO T I T L E IS1 8 8 = Ob39804 00337b7 375 =
Table 7-7
DCDMA Core Barrel and Bit Diameter Standards
(inches)
~~
Rx EX AX BX NX Hx PX sx UX sx
or or or or or or or or or or
Description RW EW AW BW NW Hw PW sw uw -
zw
Bit Set Normal I.D. 0.750 0.845 1.185 1.655 2.155 3.000 - - - -
Bit Set Normal and Thinwall 1.160 1.470 1.875 2.345 2.965 3.890 - - - -
O.D.
Bit Set Thinwall I.D. 0.735 0.905 1.281 1.750 2.313 3.187 - - - -
Shell Set Normal and 1.175 1.485 1.890 2.360 2.980 3.907 - - - -
Thinwall O.D.
Casing Bit Set I.D. 1.000 1.405 1.780 2.215 2,840 3.777 4.632 5.632 6.755 7.755
Casing Bit Set and Shoe O.D. 1.485 1.875 2.345 2.965 3.615 4.625 5.650 6.780 7.800 8.810
dependent upon the various inherent discontinuities; 7.7.1 Rotary Core Barrel m e s
core which is not recovered may represent significant
engineering implications. The Rotary Core Barrel is manufactured in three
The selection of the most practical core barrel for basic types: single tube, double tube, and triple tube.
the anticipated bedrock conditions is important. The These basic units all operate on the same principle of
selection of the correct drill bit is also essential to pumping drilling fluid through the drill rods and core
good recovery and drilling production. Although the barrel. This is done to cool the diamond bit during
final responsibility of bit selection is usually the dril- drilling and to carry the borehole cuttings to the sur-
ling contractors, there is a tendency in the trade to face. A variety of coring bits, core retainers, and
use whatever happens to be at hand. The selection liners are used in various combinations to maximize
of the diamond size, bit crown contour and number of the recovery and penetration rate of the selected core
water ports is dependent upon the characteristics of barrel.
the rock mass and the use of an incorrect bit can be The simplest type of rotary core barrel is the single
detrimental to the overall core recovery. Generally, tube, which consists of a case hardened, hollow steel
fewer and larger diamonds are used to core soft for- tube with a diamond drilling bit attached at the bot-
mations and more numerous, smaller diamonds tom. The diamond bit cuts an annular groove or kerf
which are mounted on the more commonly used, in the formation to allow passage of the drilling fluid
semi-round bit crown are used in hard formations. and cuttings up the outside of the core barrel. How-
Special impregnated diamond core bits have been ever, the drilling fluid must pass over the recovered
recently developed for use in severely weathered and sample during drilling and the single tube core barrel
fractured formations where bit abrasion can be very cannot be employed in formations that are subject to
high. erosion, slaking or excessive swelling. Although the
Qpical rock core sampling involves the use of the single tube is a very rugged core barrel and easy to
open diamond bit. However, numerous types of cor- operate, its limitations during sampling of both soil
ing and non-coring diamond bits are also available for and rock are contributing to its declining application
use. An excellent summary of drilling equipment and on geotechnical engineering projects (Figure 7-32).
bits is presented by W.L. Acker III in Chapters 10and The most popular and widely used rotary core bar-
11, Basic Procedures for Soil Sampling and Core rel is the double tube, which is basically a single tube
Drilling (Acker, 1974). barrel with a separate and additional inner liner and is
There are a number of rotary core barrels which available in either a rigid or swivel type of inner liner
have been developed for a variety of formation condi- construction (Figure 7-33). In the rigid types, the
tions by several manufacturers. Rotary core barrels inner liner is fixed to the outer core barrel so that it
are manufactured in different types and sizes and rotates with the outer tube. In contrast, the swivel
have reached a high level of sophisticationfor improv- type of inner liner is supported on a bal bearing
ing the quality and quantity of sample recovery. By carrier which allows the inner tube to remain station-
combining other types of modifications within the ary, or nearly so, during rotation of the outer barrel, a
core barrel, the determination of formation structure major improvement over the rigid type for sampling
and defects is accomplished. of overburden materials. The sample or core is cut by
143
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

-- .- - ____ I_- - -
AASHTO T I T L E MSI 88 m 0639804 OOLL770 997 m
M I L L ROD
The third and most recent advancement in rotary
core barrel design is the triple-tube core barrel, which
adds another separate, non-rotating liner to the dou-
WATER PORT
SINQLE TUBE
ble tube core barrel. This liner, which retains the
ASSEMBLY sample, consists of a clear plastic solid tube or a split,
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
thin metal liner, Each type of liner has its distinct

advantages and disadvantages; however, they are
both capable of obtaining increased sample recovery
in poor quality rock or semi-cementedsoils, with the
additional advantage of minimizing sample handling
and disturbance during removal from the core barrel.
CORE The rotary core barrels which are available range
REAMING SHELL from one to ten inches in diameter, and the majority
CORE LIFTER may be used with water, drilling mud, or air for recov-
B IT ering soil samples.
Of the three basic types of core barrels, the double
Figure 7-32. Single tube core barrel. tube core barrel is most frequently used in rock core
sampling for geotechnical engineering applications.
The triple tube core barrel is used in zones of highly
rotation of the diamond bit. The bit is in constant variable hardness and consistency. The single tube,
contact with the drilling fluid as it flushes out the because of its sample recovery and disturbance prob-
borehole cuttings. The addition of bottom discharge lems, is rarely used.
bits and fluid control valves to the core barrel system Two advanced rotary core barrels from various
minimizes the amount of drilling fluid and its contact manufacturers are discussed in more detail below.
with the sample which further decreases sample dis- However, the selection of these core barrels is not
turbance. intended to imply that other equipment would not be
Additional modifications in the double tube core equally suitable to the given circumstances.
barrel such as the Sprague and Henwood Series M
and Christensen Diamond Products Series D, are ex- 7.7.1.1 N w D 4 Double Tube Core Barrel. The
amples of continuing developments by manufacturers Christensen Diamond Products NWD4 swivel-type,
to improve sample quality and recovery. double tube core barrel offers a non-rotating adjust-
able, chrome plated inner liner which is available in
either solid or split tube versions (Figure 7-34).
DRILL ROD DRILL ROD There are several unusual but highly successful
HEAD ASSEMBLY
OUTER CORE modifications in this barrel which include:
BARRELHEAD
Core barrel disassembly from the top or back of

OUTERBARREL OUTERBARREL
SWIVEL
the tube prevents excessive wrench handling of
ASSEMBLY the diamond bit and core lifter assembly.
Adjustable inner liner annulus which controls
INNER BARREL INNER BARREL the amount of fluid circulating through the core
barrel. The amount of water which is required
for drilling is a function of the quality of rock.
CORE CORE This capability allows the core barrel to be ad-
REAMING SHELL
justed to accommodate these changes, rather
REAMING SHELL
CORE LIFTER
than replacing the entire core barrel.
CORE LIFTER
BIT BIT Rapid inner tube conversion from solid to split
liner without special tools or replacement kits.
RIGID SWIVEL
TYPE TYPE Depending on the quality of the rock being cored,
Figure 7-33. Double tube core barrels. (From the NWD4 may be alternately used in the solid or split
Field Evaluation of Advanced inner liner modes. The solid liner is used primarily in
Methods of Subsurface Exploration very sound and competent portions of the rock while
for kansit Tunneling, U.S. the split liner is used in the weaker and more weath-
Department of kansportation) ered portions.
144
AASHTO T I T L E MSI 8 8 Ob39804 O O L L 7 7 L 823
7.7.1.2 NWM3 Triple Tube Core Barrel. The

Acker Drill Company, Inc. NWM3, swivel-type, tri-
SWIVEL
ple-tube core barrel is a modification of the Series M
ASSEWM.Y double-tube core barrel, that includes an additional
WTER
BARREL
inner solid clear plastic liner which retains the sample
recovery (Figure 7-36).
The purpose of the third, non-rotating inner liner is
to further improve sample recovery in soft or highly
SPLIT fractured rock and to provide a temporary storage
INNER
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
LINER container for the recovered rock core during transpor-

tation and storage.
The NWM3 incorporates an adjustable inner liner
BINDING which can control the flow of water to the bit, an
TAPE
important design feature in variable formation condi-
tions. The use of bottom discharge bits also minimizes
the amount of drilling fluid in contact with the recov-
ered sample, decreasing the erosive action in highly
decomposed rock,
BIT
The NWM3 triple-tube core barrel is an important
CORE SPLIT LINER advancement in drilling technology that improves re-
BARREL WITH SAMPLE
covery in formations which are dificult to sample with
Figure 7-34. Christensen NWD4 split inner Liner conventional core barrels. A special hydraulic or
core barrel. (From Field Evaluation pneumatic jack is required for inner tube (Figure
of Advanced Methods of Subsurface 7-37) removal and subsequent sample extraction from
Exploration for hansit nneiing, the inner tube. Although the solid plastic sample liner
U.S. Department of hansportation) tube has definite advantages during transportation
and storage, it can impede, somewhat, field examina-
tion, photographing, and evaluation of the core im-
The design of the split inner liner allows expansion mediately upon recovery.
of the two liner halves during the core recovery pro-
cess. This feature ailows swelling clays or highly frac- 7.7.2 Specialty Core Barrel m e s
tured material, which could normally block a conven-
tional solid liner, to move up into the Chrome-plated A variety of special core barrels have been developed
liner, reducing blockage and grinding of the core and for specific sampling problems and requirements.
improving recovery in the lower quality rock. An These core barrels may adapt conventional rotary
additional and major advantage of the split liner is core barrel design or utilize completely different tech-
observed during subsequent surface handling of the niques and equipment. Several of these specialty core
recovered core. The inner liner is easily removed barrels are briefly summarized below:
from the core barrel and the filament tape which
binds the liner halves together is cut and the two Wire Line or Retractable Core Barrel
sections separated, exposing the recovered core in its Calyx or Shot Core Barrel
near in situ state (Figure 7-35). This design feature of Steel Tooth Cutter Barrel
the split liner eliminates the necessity of banging Percussion Core Barrel
out with a hammer as is frequently done with the
conventional solid liner. Such core removal could se- 7.7.2.1 Wireline Core Barrel. In conventional
verely disturb and alter the quality of the recovered rock coring the entire drill stem and core barrel must
core, leading to erroneous conclusions about the be removed after each core run (usually 1.5to .5 feet).
overall rock mass. This is a time-consuming operation on deep core
The split inner-liner is not exclusive to Christensen holes, in addition to creating an inherent risk for
core barrels and is used in a variety of types and sizes collapse of the rock into the unsupported borehole.
of double and triple tube core barrels. The capability The Longyear Co. Q Series Wire Line system, is
of improving recovery in poor quality rock and the designed to recover rock core without removing the
subsequent surface handling advantages, makes it a driii stem from the borehole after each core run.
valuable equipment addition for the purpose of rock When drilling is completed, a special latching
core evaluation. mechanism is lowered through the drill rods at the end
145
- I__ ~.-l__l __ I
AASHTO TITLE M S I 88 W O639804 0 0 3 3 7 7 2 76T W
Figure 7-35, mill recovery of argillite in NWD3 split liner. (Haley & Aldrich, Inc.)
of a cable which attaches to the inner barrel of the large diameter core lifters or by grouting the core
sampler. The inner barrel, containingthe rock core, is inside the barrel with gravel. Considerable driller ex-
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
rapidly brought to the surface, leaving the outer core pertise is required with this method. The diameter of
barrel and drill rods still in position within the bore- the core that can be recovered is limited only by the
hole. The wireline can also be adapted for horizontal capability of the equipment to turn the core barrel
drilling and triple tube applications. and subsequently recover it.
7.7.2.2 Calyx or Shot Core Barrel. This method of 7.7.2.3 Steel Tooth Cutter Barrel. Single tube core
obtaining very large diameter samples of competent barrels equipped with metal teeth are used for obtain-
rock core, derives its name from the use of chilled, ing large-diameter cores in soft or seamy rock. How-
hard steel shot used as the cutting medium. Single ever, any type of core barrel may be equipped with
tube, heavy walled, soft steel cutter barrels of varying steel cutter teeth if the situation does not require the
lengths and diameters are manufactured by Ingersoll- use of diamond bits. The Denison and Pitcher Sam-
Rand Company, especially for this purpose. The steel plers discussed in Section 7.6.4 are generally
shot is fed into the annular space between the core equipped with this type of cutter bit. The steel cutter
and corebarrel and grind their way to the bottom of teeth may also be equipped with hard metal alloy
the hole where they are picked up in a special kerf cut inserts such as tungsten-carbide, to improve drilling
into the bottom of the barrel, The steel shot, which is rates. The metal inserts may be replaced in the bit
added as the drilling progresses, wears away the rock very readily, renewing a dull or damaged bit for addi-
beneath the rotating barrel. A special Calyx at the tional drilling.
top of the barrel causes a reduction in the rate of the The steel tooth cutter barrels are operated in the
returning wash water and serves to collect the bore- same manner as conventional rotary core barrels ex-
hole cuttings and worn-out shot. cept that they are rotated at much slower speeds.
The core is removed from the borehole by special As the costs associated with these types of bits are
146
A A S H T O TITLE MSI aa m Ob39804 0011773 bTb W
dry hole drilling which would burn up and destroy

-OUTER HEAD diamond bits very rapidly.
ASSEMBLY
7.7.2.4 Percussion Core Barrel. The percussion or
-LINER PUSHOUT cable tool core barrel is more widely used in the soil
VALVE and water well industry and not commonly associated
-GREASE
-INNER TUBE
PLUG with foundation investigations.
-PI STON This core barrel consists of an outer barrel with a
-
. PLASTIC LINERS hardened steel bit and an inner barrel equipped with a
pressure release system and core retainer. The inner
-OUTER TUBE barrel remains in contact with the rock and slides
-CORE down over the core as the surrounding material is cut
away by raising and dropping the outer barrel.
Cores can be obtained in materials ranging from
L
partially cemented soils to medium-hard rock. How-
ever, some disturbance and breakage of the core usu-
aily occurs during the dynamic sampling process.
REAMING SHELL
7.7.3 Integral Rock Core Sampling
BIT SHELL The determination of the various bedrock discon-
tinuities which effect the strength and stability of a
BOTTOM
DISCHARGE BIT rock mass, are of critical importance in the design and
Figure 7-36. Acker triple tube core barrel with
construction of underground openings in rock. The
solid clear plastic liner. (Rom Field structural integrity of the rock mass is affected by the
presence and orientation of such features as bedding,
Evaluation of Advanced Methods of
Subsurface Exploration for Transit jointing and faulting, and also by the spacing, conti-
Tunneling, U.S. Department of nuity, planarity and infilling of these discontinuities.
Transportation) The primary method for evaluating the geotechni-
cal parameters relies upon measurements and obser-
considerably less than costs for bits equipped with vations of exposed bedrock in the area of the pro-
diamonds, they are used in areas of difficult drilling posed construction. These outcrops may or may not
where bit loss may be appreciable. These areas would reflect the actual in situ conditions of the bedrock unit
include the drilling of structural steel in concrete or at depth. In urban areas, bedrock outcrops may be
very limited and far removed from the actual area of
construction. Typical subsurface exploration pro-
PUMP grams, which are initiated to obtain information
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
about the structural defects of the bedrock, may lack

the detail required for a reasonable assessment of
these characteristics. Grinding of the rock core, poor
recovery and washing out of the gouge and infillings
during the drilling operation create erroneous conclu-
sions regarding the quality of the in situ rock mass. In
addition, conventional exploration methods are not
capable of determining the orientation of the overall
bedrock structure or the discontinuities.
Several subsurface exploration methods recently
developed are capable of obtaining the structural ori-
entation of the planar features of the in situ bedrock.
These rock core orienting methods are summarized in
Section 7.7.4. However, these techniques are com-
bined with conventional diamond core drilling and
Figure 7-37. Hydraulic removal of split inner liner are not capable of recovering totally intact, undis-
from core barrel. turbed, continuous samples of the bedrock.
147
- -- -- __
AASHTO T I T L E M S I 88 m Ob39804 0033774 532 m
Techniques which combine total intact core recov-

ery, and structural orientation are discussed below:
7.7.3.1 LNEC Integral Sampling Method (ISM).

A method that combines structural orientation with
total intact rock sample recoveryis the Integral Sam-
pling Method (ISM), developed by Manuel Rocha in
1970 during his tenure as Director of the National
Laboratory of Civil Engineering (LNEC) in Lisbon,
Portugal.
This relatively new and sophisticated technique of
injecting grout into a smali diameter pilot hole, ori-
enting the grout rods to a surface feature and then
overcoring the solidified mass with a larger diameter
core barrel is used for detailed structural and engi-
neering analysis of the in situ rock mass.
Special patented ISM orienting equipment and
technical assistance may be obtained from Sprague &
Henwood, Inc., Scranton, Pennsylvania. A driiling
crew thoroughly familiar with ali phases of the pro-
cedure and equipment is essential. There appear to
be no rules available to help a newcomer cope with
initial difficulties due to unfamiliaritywith the equip-
ment.
This expensive but very valuable subsurface explo- Figure 7-38. ISM Phase I, RWT pilot hole drilling
ration technique will provide detailed information and stabilizing assembly.
about the insitu rock mass properties which cannot be
obtained by other conventional methods.
A conventional cased borehole with the required ing, or GRO tube. This perforated, steel rein-
inclination is drilled to the depth where structural forcing tube, is lowered into the borehole so that
information on the bedrock unit is desired. The ISM the GRO tube extends into the pre-drilled RWT
core can then be recovered in NX (76 mm; 3 in.) and pilot hole. The GRO tube is connected to the
HX (98 mm; 3.875 in.) sizes, depending on the antici- surface with a string of interlocking, aligned,
pated quality of the bedrock. The recovery of the ISM hollow orienting rods. A special orienting device
core sample is achieved in three basic operational is attached to the orienting rods and visually
phases. aligned with a permanent landmark whose direc-
tional bearing from the borehole may be deter-
Phase I mined at a later date (Figure 7-39).
A stabilizing guide assembly, having an outside
diameter slightly less than the diametrer of the A predetermined amount of cement or chemical
grout is then injected through the orienting rods
borehole, is installed at the bottom of the hole. A
small diameter pilot hole, approximately 32 mm and GRO tube into the voids and fractures
(1.25 in.) diameter, is drilled into the intact rock around the pilot hole. After the grout is allowed
to solidify, the GRO assembly is sheared off
below the stabilizing guide assembly with an
above the grout rod and recovered from the
RWT size coring or non-coringdiamond bit. The
borehole (Figure 7-40).
stabilizing assembly maintains the pilot hole in
coaxial alignment with the primary borehole
(Figure 7-38). When the pilot hole is completed, Phase ZZI
the pilot drill and stabilizing assembly is removed
The solidified grout bonds the fractured rock to
from the borehole.
the oriented GRO reinforcing rod and the entire
Phase ZZ installation is overcored with a conventionalcore
barrel, usually of the same diameter as the basic
A second stabilizing guide assembly, which in- borehole (Figure 7-41). A variety of core barrels
corporates a detachable grout/reinforcing/orient- are suitable for the overcoring phase, although
148 --`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

AASHTO T I T L E MSI 88 m Ob39804 0033775 479 m
Figure 7-39. ISM orienting sight assembly. ISRM sampling device, with test-load of previously cored
argillite of high joint frequency; note the centered grout tube appearing at the lower end of
the core barrel. (A.W. Hatheway)
one equipped with a split inner liner is preferred. cially available PVC tubing and a wooden plunger.
The core barrel is retrieved in the normal manner The system is manually operated at ground surface
and the intact integral rock sample is evaluated and displaces the resin through randomly drilled
for structural defects. holes in the PVC grout rod. A saw cut groove along
the long axis of the PVC is used for orienting the core
7.7.3.2 CSIR Integral Sampling Method. In 1975, in the same manner as the LNEC method.
the South African Council for Scientific and Indus-
7.7.3.3 ISM Application Considerations. As with
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
trial Research (CSIR) developed another prototype
method for obtaining integral rock core samples (Orr, any newly developed methodology, continued appli-
1975). This integral sampling technique follows the cation and familiarization with the equipment and
same basic procedures developed by LNEC. How- technical procedures will lead to improvements and
ever, there are several major differencesin the equip- modificationsin the technique. The present high costs
ment and specific methods relating to the insertion of of ISM drilling are due primarily to lack of expertise
the grout medium and the use of plastic (PVC) grout/ with the procedure.
reinforcingorienting rods. Severalminor deficiencies exist in the applicationof
A reinforcing rod manufactured from PVC is used the ISM technique at its current state-of-the-art,
in order to preclude damage to the drill bit in case any which should be evaluated prior to selecting this sys-
eccentricity occurs during the overcoring process. A tem for a particular project. These include:
resin-filled cartridge is attached to the reinforcing
rod, eliminating the need for surface grout reservoirs Required training of the drilling crew unfamiliar
and pumps (Figure 7-42). with the procedure by qualified ISM technicians
The resin cartridge is manufactured from commer- under actual field conditions.
149

~- ~ _ _
=
- - _ _ - I _ I - - . _
AASHTO T I T L E M S I 8 W Ob39804 O O L L 7 7 b 305
CASING
PLUNGER
STABILIZER
PI STON
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
CARTRIDGE
SHEAR P I N CYLINDER
GRO TUBE
PI LOT TUBE
RE INFORCING
ROD (PIPE)
Figure 7-40. ISM Phase II, GRO tube and U- GUIDING PLUG
stabilizing assembly.
Figure 7-42. CSIR resin cartridge and reinforcing
pipe assembly.
A trial and error phase by the drilling crew, even

after field training.
Limitations of the procedure in highly-frac-
tured, open-jointed rock. Highly-fractured rock
tends to collapse into the pilot borehole prevent-
ing re-entry of the grout rods, or the grout tends
to flow beyond the limits of the overcoring
OVERCORE phase.
BARREL Modifications of the grout tube would provide
total grout distribution into the desired areas.
The selection of the proper grout for the specific
situation requires considerable field experience.
7.7.4 Rock Structure Orientation Methods
The determination of the true attitudes of planar

structural discontinuities of rock encountered during
subsurface explorations may be accomplished in ei-
ther of two ways; by measuring the azimuth and dip of
the discontinuities recorded on the physical core re-
covered; or by determining the orientation of the
structural features from their presence on the bore-
hole wall (Barr 1976).
If rock core or impressions of the wall of a borehole
Figure 7-41. ISM Phase III, overcoring grout can be oriented with respect to a feature of known
reinforced GRO tube. direction, whether a scribed line on the core, a geo-
150
A A S H T O T I T L E MSI 88 m Ob37804 O O L L 7 7 7 241
Subsuflace Exploration (Soiland Rock Sampling)
logic feature of fixed orientation or alignment of the alignment. A reference line is then drawn along
recording device in a known attitude, it is possible to the entire core and its orientation is determined
measure the true dip and strike directions of all geo- from the structural feature with a known
logical features in the borehole. These determinations azimuth. The remaining discontinuitiesare then
consist of simple measurements; however, mathe- related to the reference line.
matical or graphical stereo plots are required if the Paint and Acid Markers: a relatively simple
borehole varies from the vertical or horizontal posi- method, which can only be used in inclined
tion (Goodman, 1968): boreholes, consists of breaking a container of
Various methods, ranging from simple to complex, paint against the rock surface at the bottom of
have been developed to establish a reference point of the borehole (Rosengren, 1970). The paint runs
known orientation so that all structural aspects of the down the core stub which gives a reasonably
borehole may be related to it and their absolute orien- accurate indication of the underside of the core
tations determined. The Integral Sampling Method stem. Once the core is removed, it may be physi-
discussed in Section 7.7.3 is one of the more complex cally aligned and a reference line established.
methods of achieving structural orientation of the in A tube of hydrofluoric acid may also be bro-
situ rock and total rock core recovery. The majority of ken against the core stub at the base of the
the methods combine conventional rotary rock dril- borehole, which etches the rock surface at the
ling equipment with specialized core barrels which bottom of the core (Figure 7-43).
mark the core so that it can be subsequently oriented Craelus Core Orientator: This relatively sim-
using geological interpretive methods. ple mechanical device used in inclined bore-
Structural orientation methods which are applied holes, floats within a conventional core barrel
from within the completed borehole, and which in- and consists of six, self-locking prongs which
clude both optical and geophysical techniques, are adjust to the profile of the core stub at the base
discussed in Section 6, Engineering Geophysics, of of the borehole. The profiling prongs are locked
this Manual. into position when pressure is applied to a spring
The variety of rock core orientation methods and loaded plunger mounted behind the prongs
equipment are summarized below and include the (Figure 7-44). As the rock is being cored, the
following: orientator slides back into the core barrel. When
extracted, the core is placed in a cradle and
Physical Core Alignment Methods rotated until the face conforms with the profiling
pins. The remaining core segments are then
Physical Methods aligned by mating opposing discontinuity sur-
Paint and Acid Markers faces (Bridges 1971).
Craelius Core Orientator
7.7.4.2 Orienting Core Barrels. Specialized core
Orienting Core Barrels barrels have been recently developed which scribe a
reference mark on the core as it is drilled. Special
BHP Core Barrel recording devices within the core barrel relate known
Christensen-Huge1Core Barrel azimuth orientations to the reference mark so that
when the core is subsequently removed from the core
7.7.4.1 Physical Core Alignment Methods. These
alignment methods all require a constant and known
structural azimuth which may be used for determining
the orientation relationship of other discontinuitiesto
the known azimuth. Complex rock structure with
.
varying features are not suitable for physical core * .
alignment methods. In addition, these methods all I . e
retain inherent limitations in their procedure or b * s
I .
equipment. Their major asset is the relative simplicity e *
and low cost to conduct. *
I
Physical Alignment: the most simple and ef-

fective method, if core recovery is excellent, is to
match the various core stems which are recov- Figure 7-43. Paintor acid markers to orientate
ered so that they are in their original borehole rock core (After Rosengren).
151
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

- _ -
063980Y O O L L 7 7 8 LBB
--% photograph of the compass with depth. This

information will supply the true bearing of the
main scribe, the true inclination of the borehole
and the true dip direction of the borehole. This
information is then preset on a special readout
unit referred to as a goniometer and the various
sections of rock core can be evaluated for struc-
ture and discontinuities and their orientation
determined.
- 4 -
Steel Aluminium
Mate plate
Rotractabl~ ins tit
rock prodo 7.8 EXPLORATION DIFFICULTIES
Bail berring in
CylindOi
Figure 7-44. Craelius Core Orientator (After Specific advantages and disadvantages of the various
Rosengren). subsurface exploration techniques and equipment
have been discussed within the preceeding sections.
However, limitations and difficulties may be encoun-
barrel, it can be oriented to the exact position it tered during the exploration program which are com-
occupied in situ. mon to all explorationtechniques. These are usually a
result of site specific geological conditions and not
These specializedcore barrels are relatively expen-
sive and require highly trained personnel to operate necessarily a function of the equipment or method
them and to interpret the results. In addition, several being used.
limitations are inherent with these devices:
7.8.1 Sample Recovery
Excellent recovery is required for quality inter-
pretation. . Generally, sample recovery less than .3 M (1 ft.) is
Will not function in strong magnetic environ- considered inadequate for representative sampling.
ments. However, this criteria may be waived for the specific
Steeply inclined boreholes will interefere with situation (ie: in thick, uniform deposits, recovery con-
the compass unit. siderably less than .3 M (1 ft.) may be acceptable).
The use of drilling mud (Refer to Section 7.5.2.2)
The individual orienting core barrels now available with its greater specific gravity and viscosity will assist
are as follow: in sample retention. Various sampling devices
equipped with check and pressure release valves,
BHP Orienting Core Barrel: The BHP core sample retaining springs, baskets and lifters should be
barrel, developed by the Broken H il l Propri- used or determined to be operational. Occasionally,
etary Company, of Australia, utilizes a compass drillers will modify equipment to meet their specific
and chart recording system which aligns itself drilling technique, which may have major effects on
with a scribing diamond (Young, 1965) (Moelle, sample recovery.
1970). As the core passes the drill bit into the Selective overdriving of the sampling device will
inner liner, a reference line of known orientation jam excess material into the sampler tending to retain
is scribed on the rock core. the sample within the device during recovery. How-
Christensen-Hugel Orienting Core Barrel: The ever, this procedure can only be used where disturbed
C-H core barrel, developed and patented by the samples are acceptable.
Christensen Diamond Products Co., operates in
a similar manner to that of the BHP barrel. 7.8.2 Sample Disturbance
Incorporated within the core barrel is an East-
man Multishot directional survey instrument Using existing soil sampling techniques, there is no
which photographically records the compass way to obtain a truly undisturbed sample. Block
bearing and plunge of the borehole. In addition, sampling, discussed in Section 7.6.5, continues to be
it records the orientation of reference grooves the most reliable method for minimizing sample dis-
which are cut into the core as it enters the barrel. turbance and is used for comparison testing between
The developed film is evaluated in a special other sampling techniques (Milovic, 1971; La
read-out unit which synchronizes the correct Rochelle, 1971). However, obtaining block samples of
152
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

AASHTO T I T L E MSI 8 8 Ob39804 0033779 O34 =
the desired stratum may present major logistic prob-

lems, especially in urban areas.
The Swedish Foil Sampler, discussed in Section
7.6.3.7 is another attempt to modify equipment to
further minimize disturbance.
-CASING
PULLED
M. Juul Hvorslev, in his major treatise, Subsur- BACK
FROM
face Exploration and Sampling of Soils for Civil Engi- BOULDER
neering Purposes, describes in detail the majority of
exploration equipment and procedures, including
sample disturbance. Investigators (Skempton, 1963;
Rowe, 1971; Bozozuk, 1970; Ladd, 1974) have evalu-
ated a variety of clay samples under controlled labora-
tory testing to determine the extent of disturbance on
the various geotechnical parameters. Basically, the
larger the diameter of the sample, the less the sample
disturbance is minimized. The American Society for
Testing and Materials (ASTM), STP 483 publication,
Sampling of Soil and Rock (1970) presents several SPRING
LOADED
technical papers by various authors regarding Sam-
pling and associated disturbance. In addition, the REAMER
Proceedings of Ninth International Conference on =-w
Soil Mechanics and Foundation Engineering, Tokyo, 0
R
contains several articles by various investigators re- O
C
garding sample disturbance (ICSMFE, 1977). K
In the case of thin-wall tube sampling, disturbance
Figure 7-45. Servco model 58WCB underreamer.
was also found to vary throughout the length of the
tube. The material located near the center of the tube
(assuming .6 m; 2 ft. recovery) was found to be dis- 7.8.4 Specific Geologic Problem Conditions
turbed less than material at either end (Hvorslev,
1949). The preceeding sections have described the various
The selection of the correct sampling tool, drilling methods, equipment and limitations of obtaining rep-
technique, and borehole stabilization method will resentative and undistributed samples for engineer-
minimize sample disturbance, but additional investi- ing analysis.
gations are needed to further evaluate sample distur- The American Society of Civil Engineers (ASCE)
bance and its effects. in its Manual No. 56, Subsurface Investigation for
The incorrect preservation and shipment of sam- Design and Construction of Foundations of Build-
ples may further disturb the specimens and these ings, summarizes a variety of geologic problems af-
procedures are discussed in detail in Section 7.9. fecting geotechnical exploration and design. Special
consideration and care must be taken when selecting
7.8.3 Obstructions the proper sampling equipment, obtaining the sample
and evaluating the performance of these materials
The termination of an exploration above the required (ASCE, 1972). A list of these foundation problems is
design depth due to excessively dense materials, ob- summarized below:
structions or refusals may occur during any investi-
gation. When this occurs, it usually implies that the Organic Soils
correct exploration method was not selected for the Normally Consolidated Clays
anticipated subsurface conditions. Metastable Soils (loess, alluvial deposits & mud
Specialized tools and equipment are available to flows)
increase the capacity of conventional drilling equip- Caliche
ment. This includes the use of diamond bit equipped Expansive Soils or Rocks
casing which is drilled into the formation, rather than Loose, Granular Soils
driven. A variety of drill bits are capable of drilling Sensitive Clays
obstructions. These bits include the Servco Model 58 Noxious or Explosive Gases
WCB, Underreamer (Figure 7-45) and the Chris- Slope Movements
tensen Diamond Products, Casing Advancer. Kettle Holes
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
153
_ _ - ~ ~
_ _
AASHTO T I T L E M S I 88 Ob39804 OOLL780 836
Meander Loops & Cutoffs Chemical setting retardants may be added to the
Artificial Fill grout to provide sufficient time for casing withdrawal,
Karst (Sinkhole) Regions
Weathered Shale Rocks
Abandoned Mined Areas 7.9 SAMPLE PRESERVATION
Frozen Soils AND SHIPMENT
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
Other geologically-oriented foundation problems Samples of soil and rock are obtained for classifica-
may be expected in different physiographic regions. tion and subsequent testing and analysis to determine
their various engineering properties. Rock and soil
7.8.5 Groundwater Conditions samples (core, jar, can, tube and bag) represent es-
sential physical information concerning the subject
In many instances, one of the major concerns in a site site, generally obtained under costly circumstances.
investigation may be the determination of the ground Samples must be preserved, stored, and shipped un-
water conditions and general hydrogeologic regime of der conditions that wiil minimize chances of distur-
the site area. The location of the groundwater table, bance or loss.
perched or artesian conditions, surface runoff and All soil samples and rock cores must be clearly,
recharge are a few of the important items that must be accurately, and permanently labeled to show all perti-
determined during the exploration program. nent information which may be necessary in identify-
There is a tendency by the drillers who are conduc- ing the sample or core and in determining the charac-
ting the work to obtain a borehole water reading ter of the subsurface condition.
during or immediately upon completion of the explo- The preserving, protecting and transporting of
ration; this water level is assumed to be the ground- samples may be accomplished using the methods set
water table. As the effects of the drilling operation, forth in this section, but any method which satisfac-
especially if drilling fluids were used, generally have torily protects a sample intended for laboratory test-
not dissipated, these short term water readings should ing from shock, detrimental temperature changes
be considered suspect. A reading made 24 hours after (such as freezing), and moisture loss may be used.
completion of the borehole is much preferred but in
some instances, depending on the permeability of the All samples should be collected from the
soils, may still not be sufficient. The installation of borehole sampling sites on a daily basis and
permanent or temporary observation wells in the transported to the field project office or a
completed boreholes is generally an inexpensive safe- suitable alternate location.
guard against erroneous assumptions regarding the Rock core and thin-wall tube soil samples should
presence and behavior of the groundwater conditions. never be transported away from the field site in
Groundwater and observation wells are discussed in other than specially constructed wood, metal,
more detail in Section 8.0. plastic or fiberglass shipping containers and
should be packed in excelsior or equal material
7.8.6 Borehole Sealing in order to protect them from vibration. These
containers must be secured (screws, banding,
Although unsealed, completed boreholes may be sat- clasps, etc.) whenever they are to be trans-
isfactory at some locations, especially in rock, they ported.
may be the source of difficulties at a later date or Samples should not be left unattended in
during construction. A borehole which is not properly vehicles and any sample which is permitted to
backfilled or sealed may provide access for unantici- freeze, even partially, should be replaced.
pated amounts of water into areas which were consid- Samples intended for laboratory testing should
ered impermeable. In addition, breached aqui- not be held at the site in excess of one week.
cludes and artesian zones may have adverse effects on All containers should be identified as to
the local aquifer conditions, unless properly sealed. borehole, depth interval, box number of total
However, unsealed boreholes may occasionally be sequence, and project number. These markings
used to advantage, for draining local perched or will be placed on the exterior and interior of lids,
trapped water to the static groundwater table. on both ends (to facilitate identification in
The best method of borehole sealing is by pumping storage).
a cement grout from the bottom of the borehole to the Any special actions taken on the samples should
top and removing the supporting borehole casing af- be identified on the interior of box lids, e.g.,
ter the hole has been completely filled with grout. sampling thin-sections, x-ray diffraction,
154
AASHTO T I T L E M S I BA
Subsurface Exploration (Soiland Rock Sampling)
paleontological analysis, paleomagnetic mea- Label the box exterior, stamp with FRAGILE
surements and radiometric age determination. and THIS END UP; insure the shipment.
It may be advantageous, for future record
purposes, to photograph the samples, particu- 7.9.2 Thin-Wail Tubes
larly rock core with color film prior to packing
and shipment. Section 7.10 summarizes the
Thin-wall tube sampling is utilized to obtain undis-
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
basic procedures for photographic recording of
turbed cohesive and granular soils for laboratory test-
samples.
ing.
7.9.1 Jar Samples
7.9.2.1 Cohesive Samples
Representative specimens of each sample should be
preserved. The containers for preserving drive sam- Remove the thin-wall tube from the head
ples should be large mouth, round, screwed top, air- assembly, taking care not to disturb the sample.
tight, plastic or clear glass jars of sufficient size to Remove any disturbed ?washings? from the top
store at least a 100 mm (4 in.) long section of full of the tube and measure the amount of sample
diameter sample. Project requirements may dictate recovered, in inches.
total sample preservation and larger jars. The speci- Seal the top of the sample by pouring in slowly
men should be placed in the jar as soon as taken in 25-50 mm (1-2 in.) of melted microcrystalline
order to preserve the original moisture in the mate- wax in thin layers. Fill the remaining void space
rial. The mouth of the jar should be cleaned of all dirt in the tube with packing material to prevent
and grit in order to obtain an airtight seal with the slippage of the sample. Special expandable
screwed top. O-ring packer seals may be used in lieu of wax.
Cap the end, tape securely, and dip the end into
Remove the sample carefully from the sampler the melted wax several times.
and place it in the jar with a minimum amount of Repeat steps two and three, above, for the
disturbance. Do not attempt to overfill or force opposite end of the tube. It may be necessary to
e * excess material into the jar.
Tightly cap the jar and mark the lid with the
following information:
scrape out approximately 25 mm (i inch) of
undisturbed material to allow space for the wax
to set.
Mark the top and bottom of the tube, the
Project Number project number, boring number, sample num-
Boring Number ber, depth range, recovery and method
Sample Number
employed in advancing the tube.
Sample Depth Range
Samples should be maintained in as near vertical
Blow Counts position as possible and protected against
Additional information may be required or de- excesses in heat or cold.
sirable, which is usually added by the contractor Transport the samples by private vehicle
or his supervisor at a later date in the form of a whenever possible, and maintain them in a
label which is affixed to the jar. vertical position, either by tying to the seat of
0 If long term. preservation or additional testing is the vehicle or in a rack specially constructed for
required, seal the top of the jars with plastic transportation of undisturbed tubes.
electrical tape and/or a non-shrinking wax.
Jars should be packed sequentially in parti- 7.9.2.2 Granular Samples
tioned, heavy-duty, cardboard boxes and be
protected from freezing or excessive heat. Remove the sampler from the borehole with
Completed boxes are generally transported to extreme care, keeping it in a vertical position at
the drilling firm for additional classification and ail times.
labeling. Before removing the sampler from the drill rod
O Handle and transport the sample boxes with string, while still held in a vertical position by the
care to avoid breakage. driller, carefully insert an expandable O-ring
O If the samples are to be shipped by commercial packer seal in the bottom of the tube. This may
e or public carriers, the addition of shredded

packing material (paper or plastic) around the
jars will be required.
require removing a small amount of soil to make
room for the packer seal. Tighten the seal
against the tube walls (Figure 7-46).
155
SAMPLa ruea 7 7.9.3 Rock Core
All rock core recovered during the drilling operation

is preserved for photographing, analysis and selected
laboratory testing of representative samples.
Remove rock from the core barrel with care and

place in the wooden core box. Reject any boxes
that are unstable or in disrepair. Core boxes are
to be substantially constructed of milled lumber
SHORT- TERM SEALING and equipped with partitions, cover hinges, and
cover hook or latch (Figure 7-47).
Arrange the core carefully, insuring that the top
and bottom sections are in the correct position
SAMPLE TUDE-7 beginning at the upper left hand corner of the
core box.
Each core run should be enclosed securely at the
top and bottom of the run by a wooden divider
block nailed in place.
Describe the core according to the criteria
established in Appendix E, Classification of
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
Rock, Record this information on the inside of

'PETROLEUM JLL-'L
the core box cover, including boring number,
core run number, and depth range of the
sample.
LONG TERM SEALING
~~
Mark the bottom depth of each core run on each
Figure 7-46. "O"-Ring expandable packer seal.
Place an end cap on the bottom of the tube,

securely wrap with electrical tape, and dip in
melted wax.
Remove the tube carefully from the drill rod
string and head assembly, maintaining the tube
in a vertical position at all times.
Place tube in the tube rack and clean out any
disturbed material.
Place a thin plastic bag (firmly but gently) into , FICE M. ,
the tube, fill with damp towels or newspapers, so 9p \. ,/

as to occupy ail remaining void space in the tube. -coYYox *",'I
Place end cap on the top of tube and secure TOP VIEW- COVER CLOSED
firmly with electrical tape. J 0 . IYINI
TO 8E PLACED
Mark the top and bottom of the tube, the .U O P OF RUN
project number, boring number, sample num-

ber, and depth range recovery. Indicate that the I Y
tube contains granular soils and mark CORE D I V I D E R

FRAGILE.
Sample should be maintained in vertical position NOTEC
during all phases of packaging and transpor- 1. Core dividers to benailed in place as required.
2. Core boxes shall be substanliolly construclod 01 drsrsod
tation and protected from excess heat or cold. lumbor and squippcd with all neccssory pwtltlonr,
dividers and Bardware.
Whenever possible, transportation of samples
should be by private vehicle and held in specially Figure 7-47. Core Sample Preservation. (Haley &
constructed tube racks. Aldrich, Inc.)
156
AASHTO T I T L E MSI 88 0637804 0033783 5 4 5
divider. Core dividers are also marked Top of
a Bedrock and Bottom of Exploration (BOE). If

rock from more than one boring is placed in a
single core box, it should be divided by two core
dividers, clearly indicating rock from the various
test borings.
Select representative samples for additional I
testing if required, and package according to the TOP V I E W - C O V E R OPEN
guidelines summarized in Section 7.9.3.1.
b
If Rock Quality Designation (RQD) is to be
calculated in the laboratory after shipment, all
pieces of core 100 mm (4 in.) or more in length
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
should be marked with a continuous line along

the fuil length of core so that any breakage
during shipment can be discerned.
O
Replace any void spaces left by the sample
withdrawal; mark them with a notation to the
effect that the sample was removed for testing.
b
Securely fasten the cover to the box.
O
Mark on the outside of the lid the address to CORE DIVIDER SPECIMEN PACKAGING
which the box is to be delivered, the project

title, project number and boring number. In
addition, mark the project number and boring
number on the ends of the box.
O
It is most desirable to transport core boxes by
private vehicle in order to minimize breakage of Figure 7-48. Core Sample Test Specimen
the core during transportation. If the boxes must Preservation. (Haley & Aldrich, Inc.)
O be shipped by commercial carrier, mark the

boxes FRAGILE and insure. depth range on the inside of the shipment box
cover.
Securely fasten the cover to the box.
7.9.3.1 Rock Core Test Specimens. Represen- Mark the outside of the box according to
tative samples of core may be selected during the
conventional rock core sampling criteria.
exploration program for detailed laboratory testing or
long term preservation. These test specimens require
7.9.4 Buk Samples
special packaging techniques. Refer to Figure 7-48 for
details on packing test specimens.
Bulk samples are obtained when larger volumes of
material are required for laboratory testing. These
b
Select representative samples of the core may be obtained from test pits and trenches, during
approximately 150 mm (6 in.) in length (or as test boring programs and from borrow material sur-
specified by the Project Manager) from various veys and permeability studies. Block sample preser-
runs. Substitute a labeled wooden identification vation is discussed in Section 7.6.5.
block to make up the same length.
Mark on the test specimen, with an indelible Obtain a representative sample, in the natural
pen, the boring number, run number, depth of state, ranging in weight from 14 to 23 kg (30 to 50
specimen on top and bottom. lb.). If the sample is to be obtained from a spoil
e Wrap sample in newspaper, plastic wrap or pile, take random samples from various
aluminum foil and pack tightly in a standard locations to obtain a representative specimen.
core box used to ship test specimens. In the case Place the sample inside the bag and mark two
of particularly fragile specimens or if long term labels with the project name, file number,
preservation is required, the specimen should be location, depth, date and brief description of the
wrapped and then placed in a cardboard material. Place one label inside the bag and
e O
cylinder, and end-dipped in melted micro-
crystalline wax.
Record the boring number, run number and
wire-tie another to the exterior, at the bag neck
closure.
Protect the sample from freezing.
157
- ~- -__ -__ -
AASHTO T I T L E M S I 8 8 9 Ob37804 0011784 481 m
7.9.5 Environmental Test Samples fore parts are removed for testing purposes or other-
wise disturbed. Photographs provide for the preser-
Representative samples may be required for chemical vation of the sampling record in the event that
and physical analysis associated with environmental vandalism, negligence, or natural calamity cause loss
studies. or destruction of the physical sample. It also may be
desirable to photograph specific sampling techniques
Samples are obtained using the technique and and equipment for future reference.
equipment specified by the project geologist or Although it is much more preferable to photograph
geotechnical engineer. The U.S. Environmental samples under controlled conditions, including sup-
Protection Agency has established guidelines plementary lighting and camera support devices, this
and criteria for sampling and testing for is not usually the case under field conditions (Figure
environmental regulatory purposes. 7-49).
Obtain approximately 1 kg (2 pounds) of
representative sample, at field moisture; place A 35 mm camera with through-the-lens
in jar or plastic bag. It is usually not necessary to metering is preferred, especially for novice
preserve samples in sterilized containers unless photographers, but any camera that obtains
bacteriological testing or spectrophotometric high quality photographs is acceptable.
analysis is anticipated. If at ail possible, obtain the photographs at the
If samples can be delivered to a testing same time of day, same azimuth direction,
laboratory within 24 hours of sampling, they do similar lighting conditions and with the same
not have to be frozen and it may be preferable to background. This will assist in more uniform
preserve them in a glass jar, suitably labeled. and better quality photographs.
If samples cannot be delivered to a testing Identification cards should be made out,
laboratory within 24 hours of sampling, they indicating relative sample location and identi-
must be maintained in a frozen state by packing fication and be included with the sample or box
in dry ice. Plastic bags would be more preferable for photographing.
in this case. In the event that rock core boxes are being
Label samples indicating project title, file photographed, the information written on the
number, date and time of sample, exploration inside cover will suffice.
number, depth range and brief description. Place a rule or scale along the edge of the sample
or box for size comparison.
Lay back any protective wrappings on cohesive
7.9.6 Non-Containerized Samples
soil samples in the boxes. Wet all core and hard,
cohesive soil with fresh water, using a fine bristle
Several sampling methods, which include single bar-
brush. Do not attempt to fully wet broken or
rel rotary soil samplers and certain retractable piston
crushed fragments.
samplers, do not possess as part of the sampling pro-
Align the sample box so that it appears full-
cess, tubes or containers to return the sample. The
framed in the camera view finder, with the long
entire sample must be removed from the sampler and
dimension of the box parallel to the long
preserved in the field. The physical state and quality
dimension of the camera format, and in a plane
of the sample as it is ejected from the sampler, will
perpendicualr to the focal axis of the camera.
dictate the type of preservation required. The variety
Photograph the sample display. A minimum of
of methods discussed in the preceeding sections may
two photographs, using color film, should be
be used separately or in combination to preserve,
obtained of each sample display. One set may be
protect and transport the sample for additional labo-
retained by the project geologist or geotechnical
ratory testing.
engineer and the other may be transmitted to
the client Agency, or other interested parties.
No core or soil samples should be removed from
7.10 PHOTOGRAPHIC RECORD the sample boxes until the project geologist or
geotechnical engineer has received the
Rock core and certain types of drive samples are appropriate views and is satisfied with the
usually the only physical sample evidence of the sub- quality of photography and reproduction.
surface profile that remain available for a given site. Arrangements should be made to photograph
In order to maintain the integrity of this record, it is samples at regular intervals during the execution
sometimes necessary to photograph the samples be- of the exploration program.
158
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

----- -- --- __i_
AASHTO T I T L E MSI B B W Ob39O4 0 0 3 3 7 8 5 3 L B H
m Figure 7-49. Photographic setup of rock core boxes, undertaken to produce a permanent record, to provide
contractor bidding information, and to safeguard against loss of core in transport or storage.
(A.W. Hatheway)
7.11 SUPERVISION AND INSPECTION field will vary from organization to organization. Ge-
OFSUBSURFACE ologists, engineers or technicians may accompany the
EXPLORATIONS drilling crew and provide these services, or the drill
crew foreman may be responsible for logging the
Exploratory test borings represent the primary source borehole. It is recommended that+personnel other
of subsurface information, relating to the geologic than the drilling crew be responsible for logging and
suitability of a specific site, from which engineering evaluating the subsurface conditions. This will allow
decisions are made relating to design requirements. the drilling crew to concentrate on the technical as-
The personnel selected by the project geologist or pects of the work and the logger to concentrate on the
geotechnical engineer for supervising and inspecting engineering and geological aspects of the information
the exploration program are responsible for obtaining as it is obtained. The term logger is used inter-
the best possible information which will provide the changeably with supervisor, inspector, and foreman,
framework for the subsequent engineering analyses. to denote the person responsible for obtaining and
These personnel should become thoroughly familiar recording the field data.
with the project requirements, both short and long
term. They should review all existing applicable infor- 7.11.1 Duties and Responsibilities
mation which relates to site geology and have a de- of Logging Personnel
tailed familiarity and understanding of the contract
specifications. They should be experienced in the ap- Acquire reliable subsurface information of the
a propriate test boring procedures, instrumentation in-

stallation and sampling requirements.
The person who actually records the data in the
type necessary to evaluate the geologic suit-
ability of the site.
Observe, describe, record and evaluate all sub-
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`--- 159
A A S H T O T I T L E MSI 88 = Ob39804 O O L L 7 8 b 254
Manual on Subsuflace Investigations
surface information, exploration techniques, field records for the project and they must be accurate
equipment and associated operations conducted and complete.
as a part of the field investigation. Samples of various completed forms are included in
Verify compliance with quality assurance provi- Appendix A of this Manual. The logger should make
sions and contract specifications. a copy for his own retention and, as soon as com-
Coordinate with all subcontractors. pleted, the originals should be sent to the project
Examine all drilling equipment and sampling geologist or geotechnical engineer. Special attention
devices for defects and operational efficiency should be given to the remarks column, used to re-
and determine that the necessary materials are cord any unusual drilling procedure or soil condition
readily available. encountered. If there is some question as to whether a
Maintain a subsurface information summary procedure or condition is in fact unusual, record it; in
plot for the site, so as to be aware of, and to take all probability the data will prove useful. The remarks
advantage of, previous findings and results of section on the Daily Report forms can be used to
adjacent explorations. This should be modified report a variety of information such as: visitors to the
and reevaluated on a daily basis as additional site, details on rig movements, explanation of rig
information becomes available. breakdown, time, comments on quality of the work or
Maintain a Production Summary that tabulates on the quality of the contractors personnel, and
each boring and item in the contract documents. changes in the work made by others. The logger
The summary should include location, ground should obtain a field copy of the Contractors boring
elevation depth of boring, tests and date at the log at the completion of each boring and review for
start and finish of each boring. This summary consistency and accuracy. These logs should be ap-
will allow the logger to keep in continuous touch pended to the loggers information for submission to
with progress and costs of the work and will be a the project geologist or geotechnical engineer.
valuable aid in making more efficient field deci-
sions. 7.11.2.1 Equipment and Supplies. The following
Complete all logs, forms and daily reports using items are recommended for the loggers use at the
-
the established classification and testing criteria. site.
It is important to record the maximum amount
of information, even if it apepars trivial at the
time.
O
Contract documents and boring location plans
Insist on proper sample preservation, labeling,
O
Correspondence pertinent to the exploration
transportation and temporary storage. program
Select, package and transport special samples O
Available subsurface information in the site area
Field forms: boring logs, daily reports, summary
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
for additional testing and analysis.
Obtain photographs, preferably in color, of the sheets, etc.
work, samples and site area.
O Soil or rock classification system applicable to
Prepare regular and ad-hoc verbal and written the project
reports for the project geologist or geotechnical
engineer concerning appropriate geological as-
.
O Field book, standard waterproof surveyors style
Pencils
pects and technical problems as they develop
O Pencil sharpener, pocket style
during the exploration program. Knife, pocket style
Monitor groundwater levels for fluctuation over O
Magnifying glass (10 x )
an extended period of time.
O Clip board
Comply with all applicable articles of the Fed- O
Plastic triangle (30-60 degree)
eral Occupational Safety and Health Act of Scales (engineer, architect or metric as re-
1970. quired)
Communicate with the project geologist or geo- O
Rule (2m; 6 ft., folding)
technical engineer.
O 30 m (100 ft.) cloth tape with weighted end
O
Carbon paper
7.11.2 Logging
O Envelopes
A significant part of the responsibility of logging per-

.
O
Lumber crayons and waterproof marking pens
Time piece
sonnel is concerned with the preparation of boring
logs, daily reports, and the various data sheets associ-
ated with field testing. These are the only continuous
In addition, the following items, while not always
essential, may be very useful:
e
169
A A S H T O T I T L E MSI 8 8 Ob39804 0033787 3 9 0
Site area topographic maps Depth of hole and reason for termination
Pocket calculator Diameter of any casing used
Hand level Size of hammer and free fall used on cas-
Transit and/or level ing (if driven)
Dilute Hydrochloric acid Blows per 0.3 M to advance casing (if
Mineral hardness points driven)
Pocket penetrometer Description and size of sampler
Pocket torvane Size of drive hammer and free fall used on
Miniature sieve set sampler in dynamic field tests
Blow count for each 150mm to drive sam-
7.11.2.2 Format of Field Boring Log. The format pler
of the "field" boring log or drilling report should be Type of drilling machine used
based upon organization policy and the information Length of time to driil each core run or 0.3
which is desired to be shown, as well as the manner in M of core run
which it is to be presented. The format should be Length of each core run and amount of
adequate for recording those items of information core per run
outlined within this section and any special informa- Recovery of sample in inches
tion which may be required by organization policy or Project identification including location.
by unusual conditions. Client.
It may be desirable to show by standard symbols 5. Notes regarding any other pertinent informa-
information relative to non-core recovery, core recov- tion and remarks on miscellaneous conditions
ery, and the taking of undisturbed samples for labora- encountered, such as:
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
tory tests. Standard symbols may also be used to a) Depth of observed groundwater, elapsed
indicate the material which has been identified and time to observation after completion of
logged. drilling, conditions under which observa-
Finally, there should be sufficient space for re- tions were made, and comparison with
marks, signatures, and a fully informative heading, the elevation noted during reconnais-
which should be filled out as completely as practical at sance (if any).
the site. However, the logger should not be burdened b) Artesian condition.
with the recording of repetitive or unnecessary infor- c) Obstructions encountered.
mation. d) Difficulties in drilling (caving, coring
An example of a completed boring log is included, boulders, surging or rise of sands in cas-
for reference, in Appendix A of this Manual. Other ing, and caverns).
formats will be acceptable, provided that the form e) Loss of circulating water and addition of
contains the essential information listed below. extra drilling water.
f) Drilling mud and casing as needed and
7.11.2.3 Field Boring Log Data. The information why.
which is recorded on the field boring log should in- g) Odor of recovered sample.
clude, but not necessarily be limited to, the following: 6 . Any other information which may be required
by policy.
1. Description and classification of each rock and
soil sample, and the depth to the top and bot-
tom of each stratum.
2. The depth at which each is taken, the type of 7.12 IMPROPER DRUILING
sample taken, its number, and any loss of sam- TECHNIQUES
ples taken.
3. The depths at which field tests are made and The majority of drilling firms and drillers perform an
the results of the tests. excellent and valuable service, typically under diffi-
4, Information generally required by the log for- cult conditions. Occasionally, through carelessness or
mat, includes: ignorance, drilling techniques may be employed that
a) Boring number provide questionable or misleading information. In
b) Date of start and finish of the hole rare instances, actual fraud may occur, when the
c) Name of driller (and of logger if applica- driller falsifies records to improve his production or
ble) simply to avoid work.
d) Elevation at top of hole The following drilling practices should be prohib-
161
= Ob39804 =
_ _ _ _ _ . _ _ I - I_
AASHTO T I T L E I S 1 8 8 O O L L 7 8 8 027
ited and reported to the project geologist or geo- ling 64 kg (140 lb.) weight is required for accu-
technical engineer. rate test results. To insure this free-fall, the drive
rope should not exceed two full turns on the
Careless measurements of casing and rod lengths cathead in order to minimize friction and drag
and of the %ick-up of the tools during drilling. between the rope and the cathead.
This practice leads to uncertain knowledge of Uncased borehole advancement in granular
the depth to the drill bit and of the relation soils. When using water as the drilling fluid, this
between the drill bit location and the bottom of practice may lead to erroneous information
the casing. Thus, the driller may wash out con- since it often allows the boring to collapse upon
siderably below the bottom of the casing, result- removal of the wash rods, making it impossible
ing in serious sample disturbance. Conversely, to obtain representative samples. Those mate-
the driller may not wash out far enough, so that rials that are too heavy to be lifted out by wash
the next sample drive begins with the spoon water will accumulate at the bottom of the bor-
inside the casing. Whenever there is a decreasing. When the sampler is driven, it picks up this
ing blow count on the sampler with penetration, wash which may be erroneously classified as
the logger should be on guard for this latter coarse, well-graded sand/gravel, when, in re-
situation. There is a trend in the industry to ality, the undisturbed material may be predomi-
guess at the measurements of stick-up, so that nantly fine grained and relatively impermeable.
depths can be in error by as much as one to two Other mistakes in technique contribute to inac-
feet. curate information, e.g., sampling loose, satu-
While at the rig the logger should make cer- rated sands without keeping the casing full of
tain that the driller is making depth measure- water.
ments with a rule and not visually judging (eye- Fraudulent techniques such as falsifying the
balling) casing and tool projections above the depth of the borehole or the length of casing
drill collar. At the same time it is good practice which was utilized, or obtaining multiple sam-
for the logger to note the approximate progress ples from a single split-spoon drive and using
of the bottom of the hole by measuring the them to represent deeper samples, or additional
stick-up, or portion of casing rising above the boreholes which were not drilled.
borehole collar. By mentally subtracting the
stick-up from the total length of tools down the
casing, the inspector can maintain a constant 7.13 REFERENCES
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
approximate check on the drillers statements of
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This generally advances the boring below the Conf., Oslo, Proc. pp. 3-8, 1967.
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ever, depending on the soil type, it may create Acker, W. L. III. Basic Procedures for Soil Sampling
an intolerable disturbance. Jets on the chopping and Core Drilling, Acker Drill Company, Scranton,
bit should be directed at a moderate angle down- Pennsylvania, 1974.
ward and only a minimum water pressure should Adestam, L. Portable Geotechnical Field Equip-
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system combine to significantly reduce the im- Interior, Bureau of Mines, Spokane Mining Research
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drums are also fitted with catheads, or have tion of Bits in Electric Rotary Drilling. Transactions
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During standard penetration testing, a free-fal- Washington, D.C., 1967.
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--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

- - _ I ~ - - I_
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--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
171
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~ ~ ~ _ _ _ .
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174
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AASHTO T I T L E M S I 8 8 Ob39804 O O L L B O L 390
8.0 HYDROGEOLOGY
Hydrogeologic data are applicable to a variety of sion, UOP, Inc. (1975), Freeze and Cherry (1979),
problems both directly and indirectly affecting the Fetter (1980), and Todd (1980).
success of any construction project. Subsurface water
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
can affect the stability of structures, the costs of con- 8.1.1 Aquifer
struction, the costs of maintenance, and the effects of
structures on neighboring properties. It is important Aquifer is historically defined as a geologic formation
to predict adverse effects so they can be eliminated or that will yield useful quantities of water for a water
mitigated early in the project, and not come as a supply. The term is relative to other available sources
surprise during or after construction. Such predic- of water and to the quantity of water required. Thus,
tions can be made only on the basis of hydrogeologic a formation that is an aquifer in one situation may not
facts, and they can be only as accurate as the data on be so in another situation. This linkage to water sup-
which they are based. It is important, therefore, to ply requirements has made the term difficult and
gather such data as carefully, accurately, and thor- misleading to use in discussions of general subsurface-
oughly as possible. Although the word hydrogeology water occurrence, especially outside the realm of wa-
emphasizes hydrology, geology is equally important. ter supply. The nearly synonymous terms water-bear-
The geologic conditions of a subsurface-water system ins material and water-bearing zone may be defined in
must be clearly defined before the hydrology of the the broader sense as being any geologic formation or
system can be correctly understood. stratum, consolidated or unconsolidated, or geologic
It is the purpose of this section to demonstrate structure, such as a fracture or a fault zone, that is
some relationships between transportation structures capable of transmitting water in sufficient quantity to
and subsurface water, and to present some methods be either of use or of concern.
by which hydrogeologic information can be acquired,
8.1.2 Artesian
analyzed, displayed, and put to use to prevent, miti-
gate, or correct undesirable conflicts between trans- Artesian is equivalent to confined. It can refer to
portation structures and subsurface water. either the water-bearing material, as in confined aqui-
fer, or to the water confined in the material, as in
artesian ground water. The water in a confined mate-
8.1 TERMINOLOGY rial also may be referred to as occurring under con-
.
fined conditions or artesian conditions. Confined wa-
There are a number of terms used in subsurface-water ter is held in the water-bearing material by an
discussions that can lead to confusion and misunder- overlying material of low permeability called the con-
standing. Some of these terms are not common to fining layer. Confined water will rise in a well to a level
other disciplines. Some are often used loosely or im- above the top of the water-bearing material, defining
precisely. Others have been refined or altered some- the potentiometric surface at that point. If the poten-
what over the years, and some new terms have re- tiometric surface is above the land surface, the well
placed old ones. Therefore a brief glossary is included will be a flowing well.
here. Figure 8-1illustrates some of these terms. Addi-
tional discussions, definitions, uses, and histories of 8.1.3 Groundwater
the following terms may be found in publications in-
cluding Meinzer (1923), Ferris, et al. (1962), Davis Groundwater is that portion of subsurface water that
and Dewiest (19661, Lohman (1972), Johnson Divi- occurs in the zone of saturation. Groundwater is often
175

~- - __ - - -- -_-
AASHTO T I T L E M S I 88 Ob39804 001L802 227

RECHARGE
gravel to as much as 8 feet in silt and clay (Johnson
PERCHED
WATER TABLE D E (STREAY Division, UOP, Inc., 1975, p. 20).
\
8.1.4 Hydraulic Conductivity
Hydraulic conductivity (previously coeflciccient ofper-

meability) is the quantification of the property of
permeability. Permeability may be considered in
terms of the solid medium alone, in which case it is
called intrinsic permeability. It is more useful and
. . . ..
. .. ...
convenient to include the fluid as well. Hydraulic
Figure 8-1. Groundwater terminology. The conductivity considers properties of both the medium
unconfined aquifer is recharged in the and the fluid (water) that affect the permeability. The
higher elevations and discharges in the current definition of hydraulic conductivity is stated
permanent stream as well as by Lohman (1972, p. 6): A medium has a hydraulic
seasonally in the intermittent stream. conductivity of unit length per unit time if it will
The confined aquifer is recharged in transmit in unit time a unit volume of ground water at
the highest elevation as shown, and the prevailing viscosity through a cross section of unit
discharges through wells. Wells A, D, area, measured at right angles to the direction of flow,
C, and F are water-table wells. Wells under a hydraulic gradient of unit change in head
A and D are in the unconfmed through unit length of flow. It is expressed in the
aquifer; well C is in the perched dimensions of velocity.
unconfined aquifer; and well F is in
the unconfined recharge area of the 8.1.5 Permeability
confined aquifer. Wells B and E are
artesian wells in the confined aquifer, The measure of the ease with which a fluid will pass
and B is a flowing well. Note that the through a porous medium is called permeability. If a
potentiometric surface of the fluid will not pass through a material, that material is
unconfined aquifer is in part above said to be impermeable, or impervious. In practice
and in part below the water table of these terms are relative, and are used according to
the unconfined aquifer. Breaks in the whether a material will pass a fluid through in suffi-
confining layer would allow water to cient quantity to be of consequence in a particular
leak from the confined aquifer into situation.
the unconfined aquifer in the former
instance, and from the unconfined 8.1.6 Porosity
aquifer into the confmed aquifer in
the latter instance. (Haley & Aldrich, Porosity is a measure of the contained interstices of a
InC.) material. It is expressed quantitatively as the ratio of
void space to the total volume of porous material. It is
stated as either a decimal fraction or as a percentage,
and is dimensionless. Primary porosity refers to the
used loosely and incorrectly to refer to all water that original interstices created when a material, such as
occurs below the ground surface. The term subsurface rock or soil, was formed. Vpically, primary porosity
water should be used in this general case to distinguish is the interstices or pore space between grains, peb-
water occurring below the surface from water occur- bles, or crystals. It is the dominant porosity in uncon-
ring on the surface, or surface water. Subsurface wa- solidated materials, such as soil, and in loosely ce-
ter includes water in the zone of aeration, where it is mented or weakiy indurated sedimentary rocks.
called suspended water, or vadose water, and water in Secondaryporosiy refers to interstices created after a
the zone of saturation, groundwater. Suspended wa- material was formed. Examples are fractures (joints
ter is divided into the soil water belt, the intermediate and faults), openings along bedding planes, solution
belt, and the capillary fringe. The capillary fringe cavities, cleavage, and schistosity. Secondary po-
consists of water held immediately above the water rosity is the dominant form in consolidated materials
table by capillary forces, the height of which depends such as well cemented and strongly indurated sedi-
on the diameter of the interstices. The thickness of the mentary rocks, and it is the only effective porosity in
capillary fringe may be from a fraction of an inch in most igneous and metamorphic, or crystalline, rocks.
176
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AASHTO T I T L E MSI 158 Ob39804 O O L L 0 3 1 6 3
Hydrogeology
8.1.7 Potentiometric Surface occurs in the subsoil that prevents downward percola-
tion of water suficiently that during wet periods a
Potentiometric surface is defined by Lohman (1972, temporarily saturated zone develops. The top of this
p. S) as << . . . an imaginary surface connecting points intermittently saturated zone is referred to as the
to which water would rise in tightly cased wells from a seasonal high water table. It may or may not be
given point in an aquifer. Potentiometric surface perched. A perched zone of saturation that is suffi-
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
replaces the older term piezometric surface. ciently permanent and transmissive may be called a
perched aquifer.
8.1.8 Storage Coefficient
Lohman (1972, p. 8) defines storage coefficient as 8.2 USE OF HYDROGEOLOGIC

...
The volume of water an aquifer releases from INFORMATION
or takes into storage per unit surface area of the
aquifer per unit change in head. This term is dimen- Before undertaking a hydrogeologic study one must
sionless. know why that study is to be done, what is the purpose
of the study, and what it will contribute to the overall
8.1.9 kansmissivity project. The answers determine the objectives, scope
and level of effort of the study.
kansmissivity is defined by Lohman (1972, p. 6) as Transportation systems involve an extreme variety
. . . the rate at which water of the prevailing viscos- of sizes and types of structures. Land transportation
ity is transmitted through a unit width of the aquifer systems require some type of roadway, such as a
under a unit hydraulic gradient. It is equal to the highway or railroad, that covers an area many d e s
product of the hydraulic conductivity and the satu- long, but only a small fraction of a d e wide. Such
rated thickness of the aquifer, and is expressed in the roadways cross areas with different kinds of geologic,
dimensions of area divided by time with the preferred and hydrologic conditions so that some problems may
units being square feet per day or square meters per be encountered. Other types of structures occupy
day. Transmissivity replaces the old term coefficient more equidimensional areas of varying sizes. A very
0 of transmissibility. large area of pavement is involved in an airport.
Smaller areas of pavement are required in parking
8.1.10 Unconfiied lots and maintenance yards. Buildings such as airport
terminals, administration and office buildings, main-
Unconfined refers to either the water-bearing mate- tenance buildings, and so on, also occupy more or less
rial, as in unconfined aquifer, or to the water in the equidimensional areas. This type of area is going to
material, as in unconfinedgroundwater. The water in have less variability of geohydrologic conditions than
an unconfined material also may be referred to as the corridor type of roadway area. Structures that
occurring under unconfined conditions or water-table occupy very small areas are more likely to involve
conditions. The potentiometric surface of unconfined homogeneous hydrogeologic conditions. Such struc-
groundwaterlies everywhere within the waterbearing tures include bridge and viaduct abutments, pier
material, and is often loosely termed the water table. foundations, and mast and sign foundations. Subsur-
face structures such as tunnels, deep foundations, and
8.1.11 Water Table large road cuts are most likely to encounter severe
hydrogeologic problems because they frequently in-
Water table is the Upper Surface of the Zone of tersect, or arelocated in, the saturated zone. Shallow
Saturation in an Unconfined Water-Bearing Mate- foundations and small road cuts may or may not inter-
rial. The water table is the imaginary surface in an sect ground water, and generally may have less severe
unconfined water-bearing material along which the hydrogeologic problems.
hydrostatic pressure is equal to the atmospheric pres- Transportation structures affect subsurface water
sure (Davis and Dewiest, 1966; Lohman, 1972). In in three ways. First, they alter recharge patterns,
coarse grained soils, the water table is near the top of second, they alter discharge patterns, and third, they
the saturated zone. A perched water table occurs alter chemical conditions. The first two ways affect
where a layer or lens of low permeability material lies water quantity with respect to the actual amount of
within an unsaturated permeable material and re- water entering the subsurface, and with respect to
stricts the downward movement of water sufficiently where that water goes. Since subsurface water flows
0 to create a localized saturated zone above the general
water table. In certain soils a layer of low permeability
from areas of recharge (high head or potential) to
areas of discharge (low head or potential), any change
177

. AASHTO T I T L E M S I 8 8 Ob39804 O O L L 8 0 4 O T T
in hydraulic head in either of these areas will change earthen structures and foundations, worker and user
the direction and rate of water flow. The alteration of safety problems, and accelerated deterioration of
chemical conditionsincludes changes in temperature, structures. Some specific ways in which transporta-
pressure, and oxidationheduction potential in the tion structures and subsurface water interact will be
subsurface, which affects the solubilityof various ele- discussed in the following paragraphs.
ments, compounds, and minerals, with which the wa- One of the common transportation structures is the
ter comes into contact. It also includes the addition of roadway cut in a hiilside or hilltop, Figure 8-2, Cuts
chemicals through the use of roadway deicing salts, often intersect a waterbearing zone or aquifer. There
and spills of compounds being transported, including are two ways that the structures may be affected.
the fuel being carried by the transporting vehicle. First: the water will flow over the road bed and cause
Changes in chemical conditions are reflected in slippery conditions, especially in freezing weather.
changes in water quality. These changes are usually, Second: the water will cause instability of the cut
but not always, undesirable and may render the slope contributing to land slides and rock falls.
ground water unfit or unavailable for some beneficial The effect of the cut on groundwater is to create a
uses. new point or area of discharge. This results in a lower-
Various types of studies can be made to provide the ing of the water table and a change in the direction of
data required to evaluate different situations. Gener- groundwater flow. The lowered water level in the
ally, more than one type of study and level of effort is affected aquifer in turn results in the problem of the
required on a given project, and the data obtained can dry well. If the new water level is below the pump
be used in the solution of several different problems. intake in a well, the pump obviously cannot draw
Regional studies identify general hydrogeologic con- water. However, the lower water level, even though
ditions in the area surrounding the project. Aquifers above the pump intake, can cause a loss of pumping
or water-bearing zones are identified and their gen- efficiency and well yield. Although a well has not in
eral water yield, their recharge areas, their discharge fact become dry, the well user perceives the loss or
areas, and their degree of development for water reduction of well yield as a drying up of the weil.
supply are determined. Also general soil types and Similarly, lowered water levels can dry up wetlands
their drainage characteristics are ascertained. and springs.
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
Although subsurface water does not occur in un- Without geohydrologic information it is not possi-
derground streams (except in some cavernous forma- ble to design efficient drainage to prevent flooding of
tions) as popularly misconceived, groundwater flow is the roadway, to analyze the stability of the cut bank
variable throughout the subsurface. The natural vari- and design stabilizing structures, to determine how
ability of rocks and soils causes variationsin hydraulic
conductivity both within a water-bearing material
and from one water-bearing zone to another. In un-
consolidated materials where primary porosity is
dominant, groundwater flow is generalized through-
out the material because the interstices are numerous
and close together. However, within a generally fine- /----
grained material there may be coarser layers through

which water can move more rapidly and in larger
quantities than it can through the material as a whole, ---ORIGINAL
Bedrock may be impermeable itself, but water moves ------NEW
WATER TABLE
through it in fractures and other such openings called WATER TABLE
secondary porosity. Groundwater flow is not so gen- Figure 8-2. Effects of a road cut. The excavation
eralized in this material where the flow paths are for a road cut in a hillside intersects
more widely spaced. In addition there are areas and lowers the water table. The new
within rock formations where fractures are concen- water level in well A is below the
trated or are more open so that water can move more pump intake and well A dries up.
readily through these areas. It is this type of situation in well B the new water level has
that has supported the notion of underground reduced the column of water over the
streams, and that may result in unexpected water pump intake reducing the pump
problems during construction. efficiency that together with less
The effect of subsurface water on transportation available water results in lower yield
structures is basically to create problems of drainage, from well B, (Courtesy Arch
which, if not controlled, lead to flooding, unstable Associates)
178
AASHTO T I T L E NSI 8 8 0639804 0011805 T36
Hydrogeology
much the groundwater level will be lowered, to what

0 distance the water level will be effected, to determine
what steps may be taken to prevent damage to wet-
lands or water supplies, and to determine what reme-
dial measures may be taken to repair or compensate
for unavoidable damage. /--- SAND AND GRAVEL ---
Another general type of transportation structure is
the large area of pavement and drainage diversion.
Highways and airports are major examples. Where ------NEW WATER TABLE
the structures are over recharge areas, they can seri-

ously reduce the amount of water available to re- Figure 8-3. Effects of a borrow pit. A sand and
charge the ground water. This situation is usually gravel pit is excavated above the water
advantageous in relation to the structure in areas of table in a recharge area. Prior to
shallow water table. Water levels will become lower excavation part of the precipitation
than under natural conditions, thus improving the was lost to surface runoff due to
stability of the subbase and reducing problems such as slowly permeable soil, and part was
frost heave. The structure, however, can have a major lost to evapotranspiration by the
impact on ground water in this situation. By eliminat- vegetation. The excavation through
ing major recharge the amount and direction of the silty soil and beyond the root
groundwater flow is significantly altered. Water levels zone, and the removal of vegetation,
are lowered, aquifers may be destroyed or seriously allows nearly all of the precipitation to
depleted, and water quality may be changed. Where infiltrate into the highly permeable
paved areas are placed over zones of discharge, such sand and gravel. The amount of
as a highway through a marsh or an airport in a filled recharge to the groundwater has
wetland, the adverse effects are primarily on the increased, and the water table rises.
structures. In this case drainage is difficult to control A new spring is formed, and a
completely, subbase may be permanently or sea- previously dry basement becomes wet.
(Courtesy Arch Associates)
@ sonally saturated and weak, and frost heaving can be
a major problem in cold climates.
One other aspect of paved areas is the diversion of of the groundwater table in the vicinity of the borrow
drainage. When the diverted water is discharged to pit.
streams the flow in the receiving stream is invariably Transportation systems can affect subsurface water
increased, possibly causing erosion problems. When quality in several ways. One is that by altering the
the drainage is diverted to the land surface erosion groundwater flow system the chemical equilibrium of
problems may occur if proper methods of discharge the water and subsurface materials may also be
are not used. The other effect is to create a new area changed. Lowering of the water table may expose
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
of groundwater recharge in the area of the drainage minerals to an oxygen-rich environment where they
discharge and to some extent in the area under per- were previously in an oxygen-poor environment, thus
meable drainage ditches crossing unsaturated changing the oxidationheduction potential. This will
ground. This combines with the effects of recharge alter the rate of weathering and solubility of the min-
elimination previously discussed to further alter flow erals. Another problem may be that when groundwa-
directions and groundwater availability. ter flow patterns are changed areas of poor water
An aspect of transportation system construction quality may move into areas of good water quality and
seldom considered to be of consequence is the borrow contaminate them. For example, a section of an aqui-
pit. Figure 8-3 shows the effect that a sand and gravel fer may be avoided because of poor water quality, but
pit may have on the local groundwater table. When the altered flow may now bring that poor quality
the borrow pit is above the saturated zone it can act to water into the section of the aquifer in which water-
increase recharge to groundwater by creating an area supply wells have been developed, thereby damaging
of high infiltration rate. On the other side of the or destroying the water supplies.
question, when the water table lies within desirable A more widespread and well documented way in
construction material it prevents removal of that ma- which subsurface-water quality is affected by trans-
terial unless methods such as dewatering or dredging portation structures is the deliberate and accidental
are employed. These methods add to the cost of re- depositing of liquids or soluble solids on the ground.
@ moval of the material, and may also result in lowering The use of salt for deicing highways is a particularly
widespread example in which water supplies have
179
.
. - - ~
AASHTO T I T L E U S 1 88 D Ob39804 OOi1180b 9 7 2 D
been degraded by runoff either from uncovered stor- inventory is to know where all wells and springs are
age piles or from the roadways themselves. Runoff located, what their present condition is, and if possi-
water can carry chloride in concentrations up to sev- ble, their original condition and past history. It is also
eral thousand milligrams per liter, or more than ten useful to obtain water samples from at least some of
times the federal drinking water standard of 250 milli- the water supplies and to test them for certain possi-
grams per liter. Similar problems can result from the ble pollutants. With this information it is possible to
use of herbicides to control vegetation along road- tell ahead of time where problems may occur, and
ways. Again the source may be at the storage area or how such problems may be avoided or corrected. Also
at the areas of roadway where the herbicides have very important, the validity of complaints of damage
been applied. after construction commences can be evaluated from
One other major source of polluting chemicals is a factual basis, saving considerable legal expense and
entirely random. That is the accidental spillage of helping to preserve good public relations.
chemicals and fuels along roadways and railroads.
The materials can be carried by drainage water to
surface-water bodies, or into the ground to recharge 8.3 DATA ACQUISITION
groundwater with pollutants. With prior knowledge
of groundwater occurrence and use along the route of The first step in a hydrogeologic investigation is to
a roadway, measures can be taken to prevent or mini- gather information. There are two general categories
mize these kinds of problems. This knowledge also of information that can be used-existing data, and
provides the ability to react appropriately and rapidly new data.
in case of accidental spills. The first category consists of data that may be
obtained from published reports on the geology, hy-
8.2.1 Environmental Effects of Construction drology (surface and subsurface), and soils of the area
in question. These reports may be obtained from
One of the problems that has come to the forefront in governmental agencies (federal, state, and local),
recent years is the effects of construction on the envi- universities, trade journals and other periodicals, li-
ronment. The environment encompasses a multitude braries, and occasionally from private companies.
of concerns, among which is groundwater resources. Unpublished data also exist in the files of many of
There are many ways, often subtle, in which the these sources, and it is frequently possible to examine
groundwater system can be affected by construction; such files. Existing data can be considered to include
some of these have been discussed in the preceding readily accessible data that may be obtained by recon-
section. However, because groundwater is rarely naissance field mapping of geologic and hydrologic
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
static, and because areas affected by the transporta- data visible on the surface. This would include items
tion system construction can also be affected by other such as location and cursory examination of rock out-
activities of man and by natural impacts at the same crops and quarries, soil conditions, springs and seeps,
time, it is usually difficult, at best, to determine what surface drainage, and vegetation. Examination of ex-
has caused what effect or portion of an effect. If there isting aerial photographs also fails into this category.
are no specific data to indicate conditions prior to These sources of information are used in reconnais-
construction (the usual case) it is virtually impossible sance and preliminary-level investigations. Existing
to demonstrate convincingly the effects or lack of data can be gathered and evaluated in a relatively
effects of the construction. short time and at low cost. They provide a basis on
It is a good idea to establish a pre-construction which to evaluate the feasibility of a proposed proj-
baselinr: by conducting a hydrogeologic investigation ect. They also provide the basis on which to evaluate
prior to the start of any construction activities. Such a the need for, and the requirements of, a more detailed
study should include ail geohydrologic data devel- investigation that would include the second category
oped on site for construction purposes as well as the of information.
data generated primarily for baseline purposes, in- New data consist of information that is developed
cluding gathering data off site where possible. The specifically for the project at hand. They are gathered
object is to identify recharge areas, flow directions, primarily by field methods involving test pits and
discharge areas, and water quality prior to any distur- borings, observation wells, the use of geophysical
bance by construction, or even certain investigation surveys, and chemicalanalysis of water samples. They
activities. In most cases it is prudent to go out weil in also involve the use of a wide variety of tests that may
advance of construction and inventory all water wells, be conducted either in the field or in the laboratory.
springs, and other water features within one-half mile New data also include the examination of new aerial
or more of the project area. The purpose of this photographs taken of the area of interest for the par-
180
AASHTO T I T L E M S I 8 8 = 0639804 OOLL807 809 =
Hydrogeology
(b PROTECTIVE
IMPERMEABLE
BACKFILL
P,SH F I L L
-
GROUND
,-SURFACE ORGANIC
G R O U N D SURFACE
BENTONITE
SEAL
G - GRANULAR
BACKFILL
2 CM. P . V . C . 0 . 1 Chi.
RISER PIPE POLYETHYLENE
DISCHARGE T U B I N G
SUPER S I L
-BENTONITE o. 1 CM.
PI PELLET SEAL POLYETHYLENE
P . V . C . PIPE PRESSURE
TUBING
5 CAI. PRESSURE-
V A C U U M SOIL
BIOISTURE SALIPLER
OTTA\YA SAND
POROUS
CERAMIC C U P
_ _ _ _ _ _ _ _ _ _ ----
OBSERVATION WELL
c BENTONITE
PI PELLET SEAL
I A V E R A G I N G TYPE1 PIEZOMETER LYSIhlETER
Figure 8-4. Sampling Monitoring Installations (Haley & Aldrich, Inc.)
0 ticular project. New data generally require a longer

time frame and considerably greater cost to obtain
Observation wells are most often used to measure
water levels. These measurements may be made peri-
than do existing data. odically by hand or automatically by a continuous
The level of effort at which a hydrogeologic investi- recorder. A common hand instrument is the steel
gation is conducted will depend upon the type of tape. When carpenters chalk or keel is rubbed on the
structure or structures involved in the project, the lower two to three feet of a tape graduated in hun-
areal extent of the project, and the overall budget of dredths of a foot it can be used to measure water levels
the project. to an accuracy of about 1.5 mm (0.005 ft.). A second
hand instrument is a simple, mechanical sounding
8.3.1 Observation Weih device attached to a surveyors tape. The device is a
4-inch length of 0.5-inch diameter tubing, capped at
Most commonly an observation well is a hole that has one end and open at the other. The capped end is
been bored into the ground to some depth into the attached to the tape by means of a swivel clip. As the
saturated zoned, and fitted with a casing or a well tape with the sounding device is lowered into the
point in order to maintain an open hole over a period observation well, a distinctive sound is heard when
of time. It is good practice to place a protective cap the open end of the device contacts the water surface.
over the casing or well point to prevent damage from A third hand instrument is the electric probe, which
both accidents and vandalism. Figure 8-4 shows typi- consists of two wires and an ammeter that registers a
cal observation weli, piezometer, and lysimeter con- current when the circuit is closed by the ends of the
struction schemes. wires being immersed in the water. This instrument
Wells may be drilled purely as observation wells; can be used with an accuracy equivalent to the steel
however, it is common practice to convert test borings tape, and it is more convenient than the tape when
to observation wells. Existing water wells in the area water depths exceed 30 m (100 ft.).
can also be used. Shallow observation wells can be The most common method of measuring water
made by installing a well point in a backhoe pit when levels in a pumping well is the air-line method, which
the pit is filied although these are of limited value in works on the principle of measuring the air pressure
that there is such a large disturbed area around the needed to force the water out of a tube that extends
well. down the well to some known depth below the water
181
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

- - _ I I _ I ~
_ -
AASHTO T I T L E M S I 8 8
level. The air pressure is then converted to an equiva- order to remove any stagnant or unrepresentative
lent column of water above the bottom of the air line. water.
This method is not nearly as accurate as the steel tape Some judgment is involved in how long to pump a
or electric probe, but it is usually sufficient and the well, or otherwise remove water, before sampling, but
most practical method for use in a pumping well. a widely used standard is to remove an amount of
Sonic methods can also be used to measure approx- water equal to at least three times the volume of water
imate water levels. These methods depend on mea- standing in the weli. Various conditions frequently
suring the length of time required for a sound to travel make it impossible or impractical to purge a well to
down the well, reflect off the water surface, and re- the desired extent. The extreme case is when a very
turn to the top of the well. Air temperature in the low-yielding material is being investigated. Then it
well, which can change with depth, affects the velocity may be difficult to obtain even enough water at a
of sound, and must be known for accurate readings, single sampling to perform the desired analyses. In
Sonic devices can vary from a tap on the casing times any case when a sample is obtained, the duration and
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
with a stop watch to sophisticated automatic elec- rate of water removal prior to sampling should be
tronic sounding and recording equipment. recorded along with all other conditions of the well
The most widely used automatic water level mea- and the water, such as whether or not the weil is
suring device is the mechanical, float-actuated, drum actively used and last usage, depth to water before
recorder. This device can be geared to provide a con- and after purging and sampling, depth of pump intake
tinuous water level record for periods of time ranging or the depth to which other sampling device was low-
from 4 hours to one month, and can record water ered, clarity of the water before and after purging and
levels with an accuracy of 0.3 mm (0,001 ft.). A less sampling, water temperature, and so on. Water sam-
common device relies on an electronically actuated ples should be analyzed as soon after sampling as
pressure transducer placed in the well at some depth possible. Details of sampling procedures and sample
below the water level, Conversion of the electric sig- preservation may be found in American Public Health
nal to an equivalent column of water is made automat- Association (1965), Rainwater and Thatcher (1960),
ically and is recorded continuously on a strip chart. U.S. Environmental Protection Agency (1977), and
With proper calibration this device will also measure U.S. Environmental Protection Agency (1981).
water levels accurate to 1.5 mm (0.005 ft.). More
detailed descriptions of these devices and their opera- 8.3.2 Piezometers
tion can be found in Davis and Dewiest (1966), John-
son Division, UOP, Inc. (1975), and U.S. Depart- A piezometer is a specialized type of observation well
ment of the Interior (1977). designed to determine pore pressure in soil, rock, or
Observation wells are also used to measure the other porous material. The piezometer differs from
water-bearing characteristics of the materials that the general observation well in that it is open only to a
they penetrate. Bore-hole permeability tests are con- particular point in the material so that the water level
ducted during drilling of the observation well as the in the piezometer indicates the hydraulic pressure at
hole is advanced. These tests may also be conducted that point. A general observation well on the other
after the boring is completed but before the well is hand is usually open to some thickness of the porous
installed. Permeability tests are discussed in section material and is indicative of the average potential in
8.4.3. After the observation well is completed, pump- the material over that interval. Pore pressure is deter-
ing tests can be conducted as discussed in section mined by subtracting the elevation head (the distance
8.4.3. The observation well may be used either as a of the point of measurement above some arbitrary
pumping well, for water level measurements during datum) from the hydraulic pressure (the height of the
pumping of another well, or for both purposes alter- potentiometric surface above the same arbitrary
nately. datum). The potentiometric surface can be measured
Finally, an observation well may be used to obtain in an adjacent observation well or in a second
samples of water for chemical analysis to be used in piezometer at the water surface.
water quality studies. Water samples should be as A type of piezometer installation is shown in Figure
representative as possible of water as it occurs in the 8-4. A piezometer may consist of a pipe or casing that
water-bearing material of interest. The chemistry of is drilled or driven to the desired depth of measure-
the water standing in a well will change quite rapidly ment. With the pipe open only at the bottom, water
due to reduced pressure in the well, greater exposure can enter only at the depth of interest and will rise in
to air, contact with casing and screening materials, the pipe in accordance with the hydraulic pressure at
and other factors. Therefore, water should be re- that depth. More sophisticated types of piezometers
moved from an observation weil prior to sampling in consist of a porous tip sealed into a soil layer and
182
AASHTO T I T L E M S I 8 Ob39804 OOLL809 b8L
Hydrogeology
connected to the surface by fluid-filled tubes. Several to surface topography. Thus, many elevation points
of these devices may be placed at various depths in (observation wells) are desirable to clearly define the
one boring. For more accurate readings, a mechanical potentiometric surfaces. i n practice, it is seldom pos-
or electrical pressure transducer is placed in the po- sible to achieve the desired density of data points, and
rous tip. This type of piezometer WUoniy measure the potentiometric surface map becomes less useful as
pore pressures in the saturated zone. Pore pressure in the number of data points decreases per unit of area.
unsaturated materials is negative and is often called It is sometimes necessary to attain a greater density of
soil-moisture suction or tension, and the piezometer data around a problematic site. This results in an
is called a tensiometer. More detailed discussion of uneven distribution of data over the general area of
pore pressure probes is found in Drainage of Agri- interest, and a variable degree of accuracy from one
culturalLand (U.S. Soil Conservation Service, 1973). part of the area to another.
The potentiometric surface map shows where re-
charge and discharge occur, and the directions of
8.4 DATA ANALYSIS groundwater flow. Water flow is at right angles to the
equipotential lines, from areas of high potential to
The second half of a hydrogeologic investigation is areas of low potential.
using the accumulated data to understand the subsur- Water levels may vary with time and in various
face-water conditions in and around the project area. cycles. Thus, it is important to obtain water-level
Transportation structures and parts of structures that measurements in all observation wells as close to the
will be affected by subsurface water now can be iden- same time as possible. However, if fluctuations are
tified, as can the effects of structures on the subsur- small, a potentiometric surface can be drawn on the
face water and the surrounding environment. The basis of water levels at different dates provided that a
magnitude of those effects can be calculated, alterna- contour interval larger than the amount of fluctuation
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
tive procedures to eliminate or minimize effects can is used. Such a map is useful in reconnaissance and
be compared, and the optimum procedures can be even preliminary investigations to approximate the
selected. Some common techniques for analyzing flow system.
geohydrologic data will be discussed in the following
sections. Successful analysis of geohydrologic data 8.4.2 Flow Nets
requires understanding of the limitations of the data
and of the techniques of analysis. In this way, confi- A second technique of subsurface-water analysis is
dence in the analysis can be maintained, and the flow-net analysis. A flow net is similar to, and may be
extent to which actual conditions may vary from cal- based on, the potentiometric surface map. Both are
culated conditions can be appreciated. There are two based on lines of equal potential, and both are two-
goals to be attained: One is to describe conditions as dimensional representations of a three-dimensional
they exist in an accurate manner, in order to predict system. The flow net, however, may portray condi-
accurately the changes in those conditions that may tions in the basically horizontal direction (map view),
. result from various actions; the second is, to be pre-
pared for conditions and responses as they actually
or in the vertical plane (cross-sectional view).
A flow net consists of two families of lines, and is
occur. constructed using some data and considerable judg-
ment. The first family of lines to be drawn is the
8.4.1 Potentiometric Surface equipotential lines, or lines of equal head. Then the
second family of lines, the flow lines, is drawn. Flow
A basic objective of groundwater analysis is to define lines must be everywhere orthogonal to the equipo-
the potentiometric surface. This is done by plotting tential lines. That is, they must intersect at right an-
water elevations from observation well data, and gles. Only a few of the infinite number of actual
drawing lines of equal elevation, which are for practi- equipotential lines and flow lines are shown, and they
cal purposes, equipotential lines. A minimum of are selected in such a way as to form a grid of squares
three points of elevation is required to define a plane, over the flow system. However, since both families of
but this will yield oniy the roughest approximation of lines are normally curves, the units of the grid are
the potentiometric surface, which is normally an ir- curvilinear and not true squares although the corners
regular curved surface. The water table is the poten- are right angles and the mean distance between the
tiometric surface in an unconfined water-bearing ma- two pairs of opposite sides are equal.
terial. It usually more or less reflects the surface to- A flow net may be used to calculate subsurface flow
0 pography, whereas the potentiometric surface in a
confined material may have little or no resemblance
across a site, or to analyze the flow to a point on the
site. It may be used as weli to show relative volumes of
183
flow through different sections of the system. This is standing of subsurface-water conditions over the
possible because the net is constructed to divide the route or site so that specific effects of construction on
flow equally between adjacent flow lines, and to di- the subsurface-water system, and of the subsurface-
vide the total head drop across the system equally water system on the structure, can be identified. Gen-
between equipotential lines. In order to make the erally, but not necessarily, these effects will be prob-
calculations the hydraulic conductivity must be deter- lems that must be resolved in some way. The second
mined, by actual measurement (preferably) or by phase is devoted to developing responses to the ef-
estimation. These calculations are valid only if the fects identified in the first phase. This would include
water-bearing material is homogeneous and iso- more detailed investigation and testing as needed to
tropic, and is either of infinite areal extent or has develop methods of preventing the occurrence of ad-
identical boundary conditions in all directions. These verse effects, of mitigating or correcting unavoidable
conditions are seldom truly met in nature and so the adverse effects, and taking advantage of favorable
calculations made by flow-net analysis are always conditions. This work should be completed weil in
more or less an approximation. advance of construction as it will be important in
There are situations where the conditions are rea- developing construction specifications and as a basis
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
sonably close to homogeneous and isotropic to a suffi- for contractors to bid on the work. The environmental
cient distance beyond the area of interest that the base-line data collection can, and often should, con-
calculations are suitably accurate for many purposes. tinue until the start of construction, at which point the
The further the natural conditions depart from the base line necessarily ends. Subsurface-water monitor-
ideal the less useful are the calculations, although the ing should continue during the construction phase to
method may still provide a useful approximation of verify predicted effects, and to modify construction
the flow system. It is possible to adjust flow nets for practices as actual conditions are discovered. In some
variations in homogeneity, isotropy, or boundary con- cases monitoring should continue for some time after
ditions, but the point is quickly reached where the completion of the project, and may be an appropriate
system is too complex for the amount of data avail- part of routine maintenance of the structure.
able. The effort involved in constructing a valid flow
net and the complexity of the analysis in these situa-
tions soon exceeds the value of the results of the flow- 8.6 PRESENTATION
net analysis. Details of the construction and use of
flow nets are well presented in Cedergren (1967), and The final step in the use of the data is to present it in a
Freeze and Cherry (1979). form that is meaningful to others. This section will
suggest ways in which geohydrologic information can
be presented or displayed so that the uses of those
8.5 SCHEDULING data and the conclusions drawn from them can be
clearly presented.
Hydrogeology should be an integral part of any proj- Well logs, test boring logs, and test pit logs are
ect. In the planning stages it should be used in com- similar means of clearly and concisely presenting ali
paring alternative routes or sites as to potential im- the information concerning subsurface explorations.
pacts on the environment and on construction with They generally contain verbal descriptions and sym-
regard to required techniques, costs, and safety. The bolic notation explaining the equipment used,
early planning stages is the time to begin gathering methods of sampling the soil and rock, intervals sam-
existing data. Literature search and inquiries as to pled, depth of the exploration, materials encoun-
sources of existing data can be made and enough tered, unusual conditions, water conditions, tests run,
general information acquired to identify potential observation well installation, and other pertinent
problems and problem areas. When planning ad- data. Detailed logs of installed observation wells and
vances to site-specific stages, more detailed existing piezometers should also be maintained.
data can be gathered. Reconnaissance level field sur- Other graphic and tabular forms of presentation
veys are appropriate at this time, aerial photograph can be used to display basic data, calculations, and
interpretation should be done, and base-line environ- extensions of the data. All types of test data, such as
mental surveys should commence. As soon as legal pump tests, permeability tests, and chemical analyses
access to the route or site is established detailed field should be tabulated for easy retrieval, comparison,
investigations should begin to develop new data and and transfer to other forms of display. Three widely
to verify existing data. used graphic forms of display of water quality infor-
The hydrogeologic investigation should proceed in mation are bar and line graphs, shape diagrams, and
two phases. The first phase is to establish an under- trilinear diagrams (Freeze and Cherry, 1979). These
184
__
AASHTO T I T L E MSI 8 8 =
Hydrogeology
methods provide clear comparisons of samples so that Davis, S. N. and Dewiest, R. J. M. Hydrogeology.
the differences or similarities are readily apparent. N.Y.: John Wiley & Sons, Inc., 1966.
Any number of maps can be compiled to present Fair, G. M. and Hatch, L. P. Fundamental Factors
various aspects of the geohydrologic system of the Governing the Streamline Flow of Water Through
area of investigation. Basic geologic maps can be Sands. Journal of the American Water Works Asso-
modified to show differences in water-bearing charac- ciation, Vol. 25, pp. 1551-1565, 1933.
teristics of the soil and rock materials present. These
maps can be based on hydraulic conductivity, trans- Fetter, C. W. Applied Hydrogeology. Charles E. Mer-
missivity, water use, or any other characteristic of rill Publishing Co., 1980.
interest. Potentiometric surface maps (section 8.4.1) Freeze, R. A., andcherry, J. A. Groundwater. Pren-
and flow nets (section 8.4.2) can be drawn. These tice Hall, Inc., 1979.
show areas of recharge and discharge and patterns of Gray, D. M., Ed. in Chief. Handbook on the Princi-
ground-water flow. A preconstruction potentiometric ples of Hydrology. Secretariat, Canadian National
surface can be drawn to show undisturbed conditions, Committee for the International Hydrological De-
A during-construction or after-construction map can cade, (1970), Reprinted by Water Information Cen-
then be drawn to show the effects of dewatering or ter, Inc., Port Washington, N.Y., 1973.
other changes in the flow system resulting from the
construction. Water quality maps can be drawn that Hanrahan, E. T., et al (Eds.). Groundwater Effects
show by symbols the patterns of occurrence of various in Geotechnical Engineering. Conference on Soil
elements, or groups of elements, in the subsurface Mechanics and Foundation Engineering, Dublin, Ac-
water, or they may show patterns of overall quality. cord, Massachusetts: A. A. Balkema Publishers,
Areas of high quality, poor quality, and pollution can 1987.
be designated. Comparisons of these various types of Hvorslev, M. Time Lag and Soil Permeability in
maps by transparent overlay or simply side-by-side Ground-Water Observations. U.S.Army Corps of
comparison may reveal why the water moves in the Engineers, Waterways Experiment Station, Vicks-
direction that it does, or why certain chemical varia- burg, Mississippi, Bulletin 36, April 1951.
tions occur where they do, or why an area is or is not Johnson Division, UOP, Inc. Ground Water and
affected by certain changes in the flow system. Fi- Wells. Saint Paul, Minnesota, 1975.
nally, aspects of all of these types of maps can be
combined into one map of groundwater hazards or Lohman, S. W. Ground-Water Hydraulics. U.S.
subsurface-water problem areas. These show what Geological Survey Professional Paper 708, 1972.
transportation structures will be adversely affected by Megahan, W. F., Snowmelt and Logging Influence
subsurface water, as well as showing in what ways on Piezometric Levels in Steep Forested Watersheds
adjacent areas will be affected by the transportation in Idaho, Forest Service, USDA, Transportation Re-
structures. search Record N965, pp. 1-8, Transportation Re-
An additional technique, usually used in conjunc- search Board, Washington, D.C., 1984.
tion with various maps, is the construction of cross
sections. These vertical slices through the area show Megahan, W. F. and Clayton, J. L. Tracing Subsur-
the same kinds of information that are displayed on face Flow on Roadcuts on Steep, Forested Slopes,
the maps, but they present that information in the Forest Service, USDA, Soil Science Society of Amer-
thud dimension, depth. Understanding the vertical ica, ProceedingsVol. 47, No. 6, pp. 1063-1067, Avail-
variations in a flow system is often the key to under- able From: Engineering Societies Library, New York,
standing the lateral variations. New York, 1983. --`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
Meinzer, O. E. The Occurrence of Ground Water in

the United States. U.S.Geological Survey Water
8.7 REFERENCES Supply Paper 489, 1923.
American Public Health Association, American Wa- Parizek, R. R. and Lane, B. E. Soii-Water Sampling
ter Works Association, and Water Pollution Control Using Pan and Deep Pressure-Vacuum Lysimeters.
Federation. Standard Methods for the Examination Journal of Hydrology, Vol. 11, pp. 1-21, 1970.
of Water, Sewage and Industrial Wastes, 12th ed. Rainwater, F. H. and Thatcher, L. L. Methods for
Water Pollution Control Federation, Washington, Collection and Analysis of Water Samples. U.S.
D.C., 1965. Geological Survey Water Supply Paper 1454, 1960.
Cedergren, H. R. Seepage, Drainage, and Flow Nets. Sauer, E. K. A Field Guide and Reference Manual
John Wiley & Sons, Inc., 1967. For Site Exploration in Southern Saskatchewan,
185
Saskatchewan Highways and Transportation, Regina, U.S. Environmental Protection Agency, U.S. Army
Canada, 1987. Corps of Engineers, and U.S. Department of Agri-
Soil Conservation Service, USDA. ?Drainage of Ag- culture. Process Design Manual for Land Treatment
ricultural Land. ? Water Information Center, Port of Municipal Waste Water. EPA 625/1-77-08 (COE
Washington, New York, 1973. EM1110-1-501), October 1977.
Todd, D. K. Ground Water Hydrology. New York: Woo, M. K. ,and Steer, P. ?Slope Hydrology as Influ-
John Wiley & Sons, Inc., 1959. enced by Thawing of the Active Layer, Resolute,
N.W.T. ,?McMaster University, Canada, Canadian
Todd, D. K. Groundwater Hydrology. John Wiley & Journal of Earth Sciences, Vol. 20, No. 6, pp.
Sons, Inc., 1980. 978-986, Available From: National Research Council
U.S. Department of the Interior, Bureau of Reclama- of Canada, Ottawa, Ontario, Canada, 1983.
tion. Ground Water Manual. U S . Government Print- Zettinger, J. M., and Pendrell, D. L. ?Design of
ing Office, 1985. Containment-Treatment System For Contaminated
U.S. Environmental Protection Agency. N,E.I. C. Groundwater Northwest Boundary, Rocky Mountain
Manual for GroundwaterlSubsurface Investigations at Arsenal, Colorado,? Army Corps of Engineers,
Hazardous Waste Sites, National Enforcement Inves- Twentieth Annual Engineering Geology and Soils
tigations Center, Denver, Colorado, 1981. Engineering Symposium Proceedings, pp. 63-82,
U.S. Environmental Protection Agency, Office of Idaho Department of Highways, Boise, Idaho, 1983.
Water & Waste Management. Procedures Manual for
Ground Water Monitoring. Solid Waste Information
Distribution Office, Cincinnati, Ohio, 1977.
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
186
AASHTO T I T L E MSI 88 0637804 O O L l l 3 002
9.0 LABORATORY TESTING OF SOIL

AND ROCK
The purpose of laboratory testing is to provide the 9.1 REQUIREMENTS OF THE

basic data with which to classify soils and to quan- LABORATORY
titatively assess their engineering properties. Labora-
tory tests should be carefullyperformed following the 9.1.1 Equipment
proper testing procedures for the soil involved and the
information desired. A thorough understanding of i n general, a laboratory shodd be located on a
the engineering properties of soils is essential not only ground floor or basement with a solid floor free of
to the use of current methods in the design of founda- traffic or machine vibrations. The laboratory should
tions and earth structures, but also as the key to be fully equipped with modern soil testing equipment
further progress in geotechnical engineering. suitable for performing the required classification and
Laboratory tests of soils may be grouped broadly property tests. Ideally, separate areas should be des-
into two general classes: ignated for dust producing activities, such as sieve
analysis and sample processing.
Classification tests: may be performed on ei- In general, equipment is arranged in areas accord-
ther disturbed or undisturbed samples. ing to the dass or type of testing to provide the most
Quantitative tests: for hydraulic conductivity efficient use of personnel and space. If possible, the
(permeability), compressibility and shear temperature of the entire laboratory should be con-
strength. These tests are generally performed on trolled. However, if temperature controlled space is
undisturbed samples, except for materials to be limited, this space should be used for consolidation,
placed as controlled fill or materials that do not triaxial and Permeability testing. A humid room large
have an unstable soil structure. In these cases, enough for storage of undisturbed samples and prepa-
tests may be performed on specimens prepared ration of test specimens should be available.
in the laboratory. Regular inspection and calibration of testing equip-
ment should be performed to maintain accuracy. Mal-
Test results are no better than the samples on which functioning equipment should be removed from ser-
they are performed, or the care used in performing vice until repair, replacement and recalibration have
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
them. been completed.

Procedures for most soil tests are given generally by
AASHTO and by ASTM. Appropriate test pro- 9.1.2 Personnel
cedures are referenced in Appendix D for the soil
tests discussed in the following sections. Techniques All laboratory testing should be performed and su-
for dynamic testing are in a state of development. pervised by personnel who are qualified by training
Consequently, they are changing rapidly and stan- and experience to undertake the assigned testing.
dardized test procedures do not exist. Before under- They must be thoroughly familiar with the equip-
taking dynamic tests, recent literature should be re- ment, test procedures and good laboratory tech-
@ viewed and the assistance of an expert in the field niques in general. Personnel must appreciate the pur-
sought. pose of each test they perform.
187

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AASHTO T I T L E M S I 8 8 0639804 O O L L 8 1 4 T 4 9 H
Insofar as possible, there should be programs for The primary tests of importance to geotechnical
the indoctrination and training of personnel. New engineers, in approximate order of increasing cost,
personnel or personnel seeking qualification in addi- are:
tional procedures should receive extensive on-the-job
training. Visual examination
Natural moisture content
9.1.3 Quality Assurance (Control) Liquid and plastic limit
Grain-size analysis (mechanical)
In general, quality assurance (control) should provide Laboratory vane shear
control over activities affecting the quality of labora- Unconfined compression
tory testing to an extent consistent with their impor- Moisture-density or relative density
tance to the results. Quality control should provide California Bearing Ratio
for the review and assessment of the following activ- Permeability
ities as a minimum: Direct shear
Triaxial compression
Handling and storage of soils. Consolidation
Specimen preparation.
Adherence to proper testing procedures.
Accuracy in measurements. 9.3 SAMPLE HANDLING
Equipment maintenance.
0 Review and checking of test data. 9.3.1 Storage and Preparation
Presentation of test data.
Samples should be identified and logged in when
Personnel who are involved in soil testing must received at the laboratory. Each sample, as well as
constantly be aware of the importance of accuracy in boxes of samples, should be properly labeled as to
measurements. Inaccurate measurements will pro- name and number of project, boring and sample
duce test results which are useless and misleading. number, date of sampling, borehole location and
The general philosophy in the laboratory should be depth of recovery. Any field notes relative to devia-
that one good test is not only far better than many tions from standard drilling and sampling procedures,
poor tests, but it is less expensive and less likely to state of disturbance or unusual characteristics should
permit a misjudgement in design. be recorded for later use.
Samples should be tested as soon as possible after
their arrival. Samples which are not scheduled for
9.2 PLANNING PROJECT-RELATED immediate testing should be resealed, if necessary, to
TEST PROGRAMS minimize loss of moisture and maintain samples at
natural moisture content prior to testing. Although
The amount of laboratory testing required for foun- immediate testing is desirable, sample storage may be
dation design will vary with each project depending necessary.
on whether the foundation soils within a given geo- Undisturbed samples of cohesive soils should be
graphic area have been adequately defined by pre- sealed with a nonshrinking flexible micro-crystalline
vious explorations, the character of the soils and the wax. The wax should be installed in several layers to
requirements of the project. The decision regarding minimize shrinkage and cracking. Samples should be
the type and number of laboratory tests to be per- stored in a humid room with relative humidity near
formed for a project should be based on the complex- 100 percent, if possible. The temperature of the hu-
ity of the subsurface conditions, the magnitude and mid room should be approximately at mean ground
distribution of foundation loads, importance of differ- temperature in order to minimize bacterial action in
ential settlement, and local experience. the organics that may be in the soil samples. Tubes
Laboratory tests should be selected to give the should be stored vertically to minimize the formation
desired and necessary data as economically as possi- of air channels by plastic flow of the wax. Samples
ble. Complicated and expensive tests are justified should not be stored one on top of the other since
only if the data will reduce costs or risk of a costly higher stress increases plastic flow.
failure. In general, relatively few carefully conducted Samples which are generally unaffected by changes
tests on specimens selected to cover the range of soil in moisture content may be stored in glass jars, canvas
properties with the results correlated by classification or heavy bags, cans or bins. Each container should
or index tests will give good usable data. have a label or tag giving the necessary sample data.
188
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AASHTO T I T L E M S I 8 8 Ob39804 O O L L 8 L 5 985
Laboratory Testing of Soil and Rock
The handling and exposure to atmosphere of undis- Disturbance of the soil structure
turbed samples should be kept to a minimum. If possi- Chemical Changes
ble, all preparation of undisturbed test specimens Mixing and segregation of soil constituents
should be done in a humid room. Sealing wax should
be cut into strips with a sharp knife or saw during The influence of disturbance on laboratory test
removal to minimize disturbance. Extrusion of a sam- results depends on the type and degree of disturbance
ple should be in the same direction as sampling to and on the nature of the soil and the type of testing.
minimize disturbance. Excess portions of tubes
should be removed prior to extrusion. In order to 9.3.2.1 Change in Stress Conditions. The stress
minimize disturbance due to side friction, the sample changes which occur during boring and sampling can
tube may be cut into predetermined lengths for tests be minimized by the use of proper methods and
prior to extruding. However, if the sampled soil is equipment. However, a total stress reduction to atmo-
layered, it may be necessary to extrude the sample spheric pressure cannot be avoided when the sample
from the full-length tube and assign tests appropriate is removed from the tube or liner and during prepara-
to portions of the sample as it is extruded. Any burrs tion of the test specimens. Hvorslev (1949) presents a
should be removed from the inside of the tube prior to discussion of the consequences of such stress reduc-
extrusion. tion for various soil types.
The sample should be extruded using a device that
applies a steady force. Hand screw and hydraulic 9.3.2.2 Change in Water Content and Void Ratio.
devices are the most commonly used equipment. A In a non-gaseous, fully saturated soil, a change in void
record of tube sample should be maintained indicat- ratio (volume) is accompanied by a corresponding
ing the sample depth, the sample length, soil descrip- change in water content. However, the void ratio of
tion, location of test specimens, results of classifca- gaseous soils can be changed without a change in
tion tests and any apparent disturbance or unusual water content and the water content of partially satu-
characteristics. Test specimens should not be handled rated soils with interconnecting voids may be changed
with bare hands nor should moisture be wiped off the with only minor changes in void ratio.
specimen. A sheet of wax paper can be used to mini- Changes in volume may occur before, during and
mize moisture loss during handling and specimen after sampling. Volume changes resulting from ex-
@ preparation. The specimen should be supported over pansion and displacement of soil during drilling and
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
its entire length when transporting from one area to sampling usually affect only the upper part of the
another. sample taken from a borehole. Volume changes asso-
Proper care in trimming test specimens helps to ciated with extrusion from sampling tubes can be
minimize disturbance. Trimming of test specimens is minimized by cutting the tube into appropriate
normally performed using a piano wire trimmer and lengths for testing prior to extruding the soil.
soil lathe. Test specimens for consolidation and direct
shear testing are often trimmed into collars using 9.3.2.3 Disturbance of the Soil Structure. Disturb-
specialized lathes or cutting shoes to minimize han- ance of soil structure can occur before, during and
dling. after drilling and sampling. For sampling in bore-
Classification tests such as liquid and plastic limits, holes, the disturbance before sampling is usuaily lim-
grain size analysis and specific gravity do not require ited to the upper part of the sample. By the use of
undisturbed samples. However, care should be given proper equipment and methods, disturbance can be
not to mix soils from different layers prior to testing. minimized, especially for the central portion of the
It is also important that laboratory tests be performed sample. However, the lower part may be disturbed
on samples representative of the soil encountered in when separating the sample from the subsoil. Distur-
the field. It is also important that the technician iden- bance after sampling can be minimized by proper care
tify and record the nature and description of the test in sealing, shipment and handling of the sample.
specimen.
9.3.2.4 Chemical Changes. Disturbance associ-
9.3.2 Disturbance ated with chemical changes is usually caused by infil-
Disturbances to soil samples may be classified in five tration of wash water or drilling fluid in the sample,
basic types (Hvorslev, 1949), proceeding from rela- oxidation after sampling and during specimen prepa-
tively slight to more severe: ration, contact with the sample containers and electri-
cal charge. The greatest danger of chemical changes is
@ Change in stress conditions
Change in water content and void ratio
associated with samples stored in untreated steel con-
tainers for long periods of time. Containers should be
189

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AASHTO T I T L E M S I 88 W 0639804 OOLL8Lb A L L
Manual on Subsu&ce Investigations
coated with lacquer and the sealing caps should be an dominance of the constituents consideringthe follow-
inert material or of the same type as the container. ing:
9.3.2.5 Mixing and Segregation of Soil Constitu- Grain size

ents. Mixing and segregation of constituents is gen- Gradation (shape of grain size distribution
erally associated with sampling operations and can be curve)
minimized by using proper drilling and sampling pro- Plasticity and compressibility
cedures. When oniy soil layers in closeproximity have
been mixed, the sample as a whole may be representa- The system divides soils into three major divisions:
tive of the average condition and acceptable for iden- Coarse grained (more than 50 percent retained
tification and determination of the suitability for con- on the No. 200 sieve)
struction purposes. Fine grained (more than 50 percent passing the
No. 200 sieve)
9.3.3 Undisturbed Soil Samples Highly organic (peaty) soils
Due to the reduction of total stresses during sampling Coarse grained soils are classified as to their parti-
and specimen preparation, a truly undisturbed sam- cle size and shape of the grain size distribution curve.
ple cannot be obtained. Fine grained soils are classified as to their position on
However, a sample may be suitable for laboratory the plasticity chart.
testing and for practical purposes considered undis-
turbed if the following requirements are met: 9.4.1 Grain Size Analysis
No disturbance of the soil structure
The grain size distribution of a coarse soil can be very
No change in water content or void ratio
useful for both classification and evaluation of specifi-
No change in constituents or chemical composi-
cation criteria. To some extent, the grain size curve
tion for sands can be related to engineering behavior such
Because it is very difficult to evaluate whether these as soil permeability, frost susceptibility, angle of in-
requirements are satisfied, Hvorslev (1949) proposed ternal friction, bearing capacity and liquefaction po-
that the strict requirements for undisturbed sampling tential. The behavior of fine grained soils (silty clays
be replaced by the following practical or modified and clays) are more a function of the degree of plas-
requirements. ticity, type of mineral and geologic history.
The grain size distribution of a soil is expressed as a
The specific recovery ratio shall not be greater plot of percent finer by weight versus diameter in
than 1.00 nor smaller than (1-2Ci), where Ci is millimeters. The grain size distribution of a coarse-
the inside clearance ratio of the cutting edge. If grained soil is determined by sieve analysis while a
entrance of excess soil is prevented, it is gener- hydrometer test is used for fine-grained soils. As a
ally sufficient that the total recovery ratio (ratio general note, if nearly ali (approximately 80 percent)
of sample length to push length) be equal to or of the particles of a soil are greater than a No. 200
slightly smaller than 1.00. sieve (openings of 0.074 mm), the sieve analysis is
On the surface or in sliced sections of the sam- used. For soils which are nearly all finer than a No.
ple, there must be no visible distortions, planes 200 sieve, the hydrometer test is used. Soils which
of failure, or pitting attributed to the sampling have portions of their particles both larger and smaller
operation or handling of the samples. than a No. 200 sieve require a combined analysis.
The net length and weight of sample and the A sieve analysis consists .of passing a sample
results of other control tests must not change through a set of standard sieves and weighing the
during shipment, storage and handling of the amount retained on each sieve. The recommended
sample. test procedure for grain size analysis is included in
Appendix C. The results are plotted on a grain size
distribution curve in the form of percent fines by
9.4 LABORATORY ASPECTS OF SOIL weight versus particle size to a log scale. The shape of
CLASSIFICATION the grain size curve is indicative of the grading. A
uniformly graded soil has a grain size curve that is
The Unified Soil Classification System (USCS) (U.S. nearly vertical and a well-graded soil has a more
Army, 1953) discussed in Appendix E, is based on the flat curve that extends across several log cycles of
identification of soils according to the type and pre- particle size.
190 --`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

The uniformity of a soil may be represented by the mity of a fine grained soil deposit can be evaluated by
uniformity coefficient, Cu, defined as D60/D10, plotting the test results of natural water content and
where D60 is the particle size for which 60 percent of Atterberg limits versus depth or elevation.
the specimen weight is finer and D10 is the particle The liquid and plastic limits are not weil correlated
size for which 10 percent of the specimen weight is with engineering properties that are a function of soil
finer. The coefficient of curvature (Cc), defined as structure or its undisturbed state. However, some
(D30)2/(D60 x DlO), is also used to describe particle general empirical correlations for fine-grained soils
size characteristics. In accordance with the Unified have been developed basedon index properties, natu-
Soil Classification System: ral water content and Atterberg limits.
Soil Range 9.4.2.1 Correlation of Various Properties

Poorly (uniform) graded Cu < 4
Weil-graded gravel cu>4, 1 < c c < 3 Rebound or Swelling: According to U S . Navy,
Well-graded sand Cu>6, 1 < C c < 3 1971.
Consolidation Stress versus Liquidity Index: Ac-
The hydrometer (sedimentation) analysis is based cording to U.S. Navy, 1971.l
on Stokes law, which relates the velocity at which a Coefficient of Consolidation versus Liquid
spherical particle falls through a fluid medium to the Limit: According to U.S. Navy, 1971.'
diameter and specific gravity of the particle and the Angle of Shearing Resistance versus Plasticity
viscosity of the fluid. The particle size is obtained by Index (PI): According to U S . Navy, 1971.l
measuring the density of the soil-water suspension
using a hydrometer. The hydrometer test is generally 9.4.2.2 Other Controls Over Atterberg Limits. Ex-
performed on soil passing the No. 10 sieve. perience has shown that the liquid and plastic limits of
For soils with both coarse and fine constituents, a some fine-grained soils are sensitive to the pore fluid
combined analysis should be performed. The sieve (salt concentration for marine illitic clays) and the
analysis is performed on soil retained on the No. 200 pretreatment (air or oven dried or natural water con-
sieve and the hydrometer analysis is performed on soil tent) before running the tests. It has been shown that
passing the No. 10 sieve. soils sensitive to oven drying generally contain one of
the foliowing:
9.4.2 Liquid and Plastic Limits
organic matter
Liquid and plastic (Atterberg) limits are empirical high montmorillonite content
boundaries which separate the states of fine grained hydrated halloysite
soil. For example, a soil at a very high water content is hydrous oxides
in a liquid state. As the water content decreases, the
soil passes the liquid limit and changes to a plastic It is recommended that limits be determined on fine
state. As the water content decreases further, the soil grained soil starting with the soil at or near the natural
passes the plastic limit and changes to a semi-solid water content (Lambe, 1951).Soil that has been dried
state. (air or oven) should be thoroughly mixed with water
The liquid limit (LL) is defined as the water content and allowed to equilibrate for several days before
at which a standard groove closes after 25 blows in a testing. Soils with organic content should not be dried
liquid limit device. The plastic limit (PL) is the water prior to testing.
content at which the soil begins to crumble when
rolled into 3.2 mm (0.125 in.) diameter threads. The 9.4.3 Specific Gravity
thread should break into numerous pieces between
3.2 mm (0.125 in.) and 9.5 mm (0.375 in.) long. Refer The specific gravity of a soil is the ratio of the weight
to Appendix C for recommended test procedures for in air of a given volume of soil particles to the weight
liquid and plastic limits. The purpose of the limits is to in air of an equal volume of distilled water at a tem-
aid in the classification of fine-grained soils (silts and perature of four degrees Celsius. The specific gravity
clays) to evaluate the uniformity of a deposit and to of a soil is used in computations for most laboratory
provide some general correlations with engineering tests. In addition, the specific gravity is often used to
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
properties. relate the weight of a soil to its volume of solids for use
In accordance with the Unified Soil Classification
0 System, a fine-grained soil is classified as to its posi-
tion on the plasticity chart, Figure E-4. The unifor-
in phase relationships, such as unit weight, void ratio,
moisture content, and degree of saturation.
The specific gravity is of only limited value for
~
191
identification or classification of most soils because +

s = c + ( a - u f ) tan
the specific gravities of most soils fall within a narrow where uf = pore pressure at failure
range.
For some foundation problems, the pore pressure at
failure is unknown or cannot be readily evaluated. For
such problems, it is appropriate to use undrained
9.5 SHEAR STRENGTH strength (Su, total-stress strength parameter) in
analyses to determine the factor of safety or lateral
The shear strength of a soil is determined by the loading, rather than effective-stress strength pa-
resistance to sliding between particles that are trying
rameters, E and &.
to move laterally past each other. The laboratory tests
Experience has shown that undrained strength is
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
most commonly used to determine shear strength are
independent of changes in the total stress, unless a
direct shear, unconfined compression and triaxial
change in water content occurs. Because undrained
compression.
strength is determined by the initial conditions prior
Shear resistance of soil is due to both cohesion and
to loading, it is not necessary to determine the effec-
friction. The shear strength of a soil is expressed by
tive stresses that would exist at failure. The undrained
the Mohr-Coulomb failure criteria, shown graphically
shear strength of cohesive soils, as determined by
in Figure 9-1: laboratory tests, can be difficult to determine. Esti-
s = c + tan + mating strength from the results of laboratory tests
where s = shear strength ideally calls for performance of tests that will dupli-
c = cohesion cate in situ conditions. It is very difficult to achieve
= effective stress normal to the shear plane
this situation for many reasons; such as, effects of
+
= angle of internal friction of the soil.
sample disturbance, lack of knowledge of the in situ
stresses and equipment and testing limitations that
Coarse-grained soils generally exhibit little or no impose non-uniform stresses or the wrong stress sys-
cohesion (Le., cohesionless) and therefore the shear tem.
strength depends primarily on the frictional resist- The appropriate strength parameters for given field
ance. An estimate of the shear strength of the cohe- conditions are discussed in Section 9.5.4.
sionless soil in situ can be difficult to determine in the
laboratory because the strength can vary with density 9.5.1 Loading Devices
or critical void ratio, composition of the soil (particle
size, gradation and angularity of soil particles), non- Loading devices used to test laboratory specimens of
homogeneity of the deposit and the loading condi- soil can be classified as either strain-controlled or
tions. Therefore, the soil should be tested in the labo- stress-controlled. Strain-controlled loading devices
ratory under conditions which simulate the most criti- apply strain to the specimen at a predetermined, con-
cal condition in the field. trolled, constant rate of strain. A stress-controlled
The shear strength of fine grained (cohesive) soils is loading device applies a constant load or stress to the
a complex subject. In terms of total stress, the shear specimen, generally in increments and at predeter-
strength may be expressed as mined time intervals, by using dead weights, applied
either directly or by a lever system or by using air or
hydraulic pressure controlled by very precise pressure
regulators.
Measurement of the load applied to a laboratory
soil specimen is usually accomplished using a proving
ring or an electronic load cell. Load cells and proving
rings should be calibrated periodically to maintain
-
accurate measurements.
NORMAL STRESS
9.5.2 Direct Shear
In a direct shear test, the soil is placed in a split shear

+- UI
(Ji - 03
box and stressed to failure by moving one part of the
container relative to the other (Figure 9-2). The speci-
E F F E C T I V E STRESSES
--- TOTAL STRESSES men is subjected to a normal force and a horizontal
Figure 9-1. Mohr-Coulomb failure criteria. (Haley shear force. The normal force is kept constant
& Aldrich, Inc,) throughout the test and the shear force is increased
192
A A S H T O T I T L E MSI 88 = 0639804 001181i9 520
li1 SHEAR BOX (hl STRESSSTATE

AT W I N T b meability, because it is difficult to control the drain-
0
; age and thus volume changes during testing. For this
I
reason, the direct shear tests should be used with
caution in determining the undrained shear strength
of cohesive soils.
9.5.3 Unconfined Compression Test

(cl ORIENTATION OF Id1 MOHR CIRCLE
PRINCIPAL STRESSES The unconfined compression test measures the com-
pressive strength of a cylinder of cohesive soil which
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
has no lateral confinement (unconfined). The un-
drained shear strength is normally taken as approx-
imately equal to one-half the compressive strength.
The test is generally performed on an undisturbed
specimen of cohesive soil at its natural water content.
Cohesionless soils, such as sands and non-plastic silts
Simple shear test. and fissured or layer materials, should not be tested
fa1 INITIAL STATE (bl DEFORMATION unconfined because the shear strength of these types
OF STRESS CONSTRAINT
of soils is a function of the in situ confining stress.
rxi
c _
Because no lateral confinement is used in the un-
confined compression test, it has several features:
Figure 9-2. Laboratory shear tests. Above, is

. It is the simplest, quickest and least expensive
laboratory test to measure the undrained shear
shown the direct shear test in which strength of a cohesive soil.
shear failure is induced along a Unconfined compression tests may be per-
specified plane, and its relationship to formed in the field using portable equipment for
O a Mohr concept for cohesionless
material. Below is illustrated the
rapid measurement of undrained shear
strength.
simple shear test that is performed in
a triaxial test ceil on undisturbed Refer to Appendix D for recommended test pro-
samples (From Wu and Sangrey, cedures for this test.
1978).
9.5.4 Triaxial Compression Test
usually at a constant rate of strain to cause the speci-
men to shear along a predetermined horizontal plane. The triaxial test is the most common and versatile test
The use of the direct shear test to determine the available to determine the stress-strain properties of
shear strength of soil has been questioned. In the soil. In the triaxial compression test, a cylindrical
direct shear test, only the normal and shear stresses specimen is sealed in a rubber membrane and placed
on a single, predetermined plane are known. Hence, in a cell and subjected to fluid pressure. A typical
it is not possible to draw the Mohr Circle giving the triaxial cell is shown in Figure 9-3. A load is applied
state of stress. However, if it is assumed that the axially to the specimen increasing the axial stress until
horizontal plane is equivalent to the failure plane for the specimen fails. Under these conditions, the axial
the soil, then the friction angle can be calculated from stress is the major principal stress, u1 ,and the inter-
the results of a series of tests performed at various mediate and minor principal stresses, u2 and u3 re-
normal stresses. Lambe and Whitman (1969) report spectively, are equal to the cell pressure. The incre-
that comparisons between the value of 4, from triax- ment of axial stress, q - u 3 , is referred to as the
ia1 and direct shear tests, after averaging out experi- deviator stress or principal stress difference.
mental errors in the determination of the values, yield Drainage of water from the specimen is controlled
results that differ generally by no more than two by connections to the bottom cap as shown in Figure
degrees. 9-3. Alternatively, pore water pressures may be meas-
The direct shear test offers the easiest way to mea- ured if no drainage is allowed. Triaxial tests are gener-
@ sure the friction angle of a sand or other dry soil. It is ally classified as to the condition of drainage during
not useful for testing soils containing water unless application of the cell pressure and loading, respec-
they are free draining and have a very high per- tively, as follows:
193
to measure the in situ undrained shear strength (4 = O

analysis). For soils which exhibit peak stress-strain
Gaupe characteristics, the failure stress is taken as the maxi-
mum deviator stress (UI-U~ ) measured during the
test. For soils which exhibit an increasing deviator
stress with strain, the failure stress is generally taken
as the deviator stress at a strain equal to 20 percent,
The undrained shear strength, Su,is taken as one-
Pore pressure U1 - U 3
transducer half the deviator stress or Su= -
2 .
(bl STRESS (Cl STRESS4TRAIN CURVES The in situ undrained shear strength is applicable to
CONDITIONS I
conditions in which construction occurs rapidly
enough so that no drainage and hence, no dissipation
of excess pore pressures occur during construction.
Examples of typical situations in which the in situ
undrained shear strength would govern stability in-
clude construction of embankments on clay deposits
or rapid loading of footings on clay.

Unconsolidated-undrained tests are also per-
Figure 9-3. The triaxial test employed on formed on samples of partially saturated cohesive
undisturbed and remolded soil soils. The principal application of tests on partially
samples. A variety of in situ stresses saturated samples is to earth-fill materials which are
and stresses related to expected compacted under specified conditions of water con-
structural loading conditions can be tent and density. It also applies to undisturbed sam-
modeled into the test, showing that ples of partially saturated (Le. residual soils) and to
the soil shear strength parameters samples recovered from existing fills. However, be-
vary dramatically under different cause the tests are performed on partially saturated
conditions of pore pressure soil, the deviator stress at failure will increase with
accumulation and stress and strain continuing pressure. Bishop and Henkel (1962) indi-
levels as well as strain rates. As shown cate that the failure envelope expressed in items of
in this illustration, the deviator stress total stress is non-linear and values of c and 4 can be
(sigma one minus three) varies reported only for specific ranges of continuing pres-
considerably with the cell pressure sures. If pore pressures are measured during the test,
(sigma three) utilized in the test the failure envelope can be expressed in terms of
(From Wu and Sangrey, 1978). effective stress.
Unconsolidated-Undrained (VU).No drainage 9.5.4.2 Consolidated- Undrained (CU) Test. This

is allowed during application of the cell pressure test is performed on undisturbed samples of cohesive
or confining stress and no drainage is allowed soil, on reconstituted specimens of cohesionless soil
during application of the deviator stress. and, in some instances, on undisturbed samples of
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
Consolidated- Undrained (CU). Drainage is al- cohesionless soils which have developed some appar-
lowed during application of the confining stress ent cohesion resulting from partial drainage.
so that the specimen is fully consolidated under Generally, the specimen is allowed to consolidate
this stress. No drainage is permitted during ap- under a confining stress of known magnitude and is
plication of the deviator stress. then failed under undrained conditions by applying
Consolidated-Drained. Drainage is permitted an axial load. The volume change that occurs during
both during application of the confining stress consolidation should be measured. The results of CU
and the deviator stress, such that the specimen is tests, in terms of total stress or undrained shear
fully consolidated under the confining stress and strength, must be applied with caution because of
no excess pore pressures are developed during uncertainties in the effects of stress history and stress
testing, system (isotropic consolidation) on the magnitude of
strength increase with consolidation.
9.5.4.1 Unconsolidated-Undrained (VU) Test. If the pore pressure is measured during the test, the
This test is generally performed on undisturbed satu- results can be expressed in terms of effective stress, E
rated samples of fine grained soils (clay, silt and peat) and 6.
194
AASHTO T I T L E !SI 88 m 0639804 0033823 389 m
The principal application of results of CU tests on form laboratory vane tests. The most common and
cohesive soils is to the situation where additional load inexpensive types are hand operated and can be inser-
is rapidly applied to soil that has been consolidated ted into undisturbed samples of cohesive soils. The
under previous loading (shear stresses). The principal use of the vane should be restricted to homogeneous
application to cohesionless soils is to evaluate the clays without shells, stones, fibers, sand pockets, and
stress-strain properties as a function of effective con- other anomalies.
fining stress.
9.5.4.3 Consolidated-Drained (CO) Tests. Consol- 9.6 CONSOLIDATION

idated drained tests are performed on ail types of soil
samples, including undisturbed, compacted and re- Consolidation may be defined as volume change at
constituted samples. constant load caused by transfer of total stress from
In a standard test, the specimen is allowed to con- excess pore pressure to effective stress as drainage
solidate under a predetermined confining stress and occurs. When load is applied to a saturated soil mass,
the specimen is then sheared by increasing the axial the load is carried partly by the mineral skeleton and
load at a sufficiently slow rate to prevent development partly by the pore fluid. With time, the water will be
of excess pore pressure. Since the excess pore pres- squeezed out of the soil and the soil mass will consoli-
sure is zero, the applied stresses are equal to the date.
effective stresses and the strength parameters,
- and
i The permeability or rate at which the water can be
4, are obtained directly from the stresses at failure. squeezed out and thus the rate of consolidation,
The volume changes that occur during consolidation varies with the soil type. Cohesionless soils are gener-
and shear should be measured. ally quite permeable and the rate of consolidation is
The principal application of the results of CD tests very rapid and generally not of a concern to founda-
on cohesive soils is for the case where either construction engineers. The permeability of cohesive soils
tion will occur at a sufficiently slow rate that no excess such as clay is quite low and the rate of consolidation is
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
- -pressures will develop or sufficient time will have

pore quite slow. The remainder of this discussion will deal
elapsed that all excess pore pressures will have dissi- with consolidation of saturated cohesive soil, specifi-
pated. cally clay,
The principal application to cohesionless soils is to When a load is applied to a saturated deposit of
determine the effective friction angle. clay, there will be three types of settlement:
9.5.4.4 Youngs Modulus. The triaxial test may be Initial setlement: associated with undrained
used to determine Youngs modulus for a soil. The shear deformation of clay.
standard triaxial test, with increasing axial stress and Consolidation settlement: volume changes
constant continuing stress, provides a direct measure associated with the dissipation of excess pore
of Youngs modulus. The secant modulus (drawn pressure.
from zero deviator stress to Vz peak deviator stress on Secondary Compression (consolidation):
a stress-strain curve) is the modulus value generally volume changes associated with essentially
quoted for soil. constant effective stress, after complete
dissipation of excess pore pressure.
9.5.5 Laboratory Vane Shear
The relative importance of the three types of settle-
The laboratory vane shear test uses a system of vanes ment depends on such factors as:
or blades attached to a shaft that is inserted into the
exposed ends of undisturbed tube samples of cohesive Type and stress history of the soil, Le., normally
soil. The torque required to cause failure of the soil is consolidated or overconsolidated
related to the undrained shear strength. Magnitude of loading
It is assumed that the soil fails along the edges of the Rate of loading
vane. Because the vane imposes a stress system dur- Size of the loaded area in relation to the
ing shear that is unlike any mode of failure encoun- thickness of the clay deposit
tered in practice, the vane test should be treated as a
strength index test. That is, the vane strength must be The initial settlement of footings on heavily over-
correlated with the results of other undrained consolidated clay is often a significant portion of the
strength tests and used as an index property. total Settlement.
There are numerous devices on the market to per- The initial settlement of a clay deposit that is sub-
195
- , -- ___---___ - _I
AASHTO T I T L E M S I 88 m Ob39804 0011822 015 m
jected to a load area very large in relation to the clay Coefficient of consolidation, cv, using curve fit-
thickness (one-dimensional consolidation) will be ting techniques, based on the Terzaghi theory of
very minor and the consolidation settlement will be of consolidation, applied to the deformation versus
primary importance. In sand drain installations and time curves.
for one-dimensional compression of organic soils, sec- Rate of secondary compression as defined by the
ondary compression is often of practical significance. slope of the deformation versus log time plot
In general the magnitude of consolidation settle- after primary consolidation is completed.
ment will be of greatest concern for most cases. The
laboratory test most commonly used to evaluate con- 9.6.2 Presentation of Consolidation Test Data
solidation settlement is the oedometer test or one-
dimensional consolidation test. There are two widely used curve fitting methods that
The stress-strain or compressibility characteristics are applied to the deformation versus time curves, the
of clays are highly dependent upon tbeir stress his- log time and the square root of time method. The
tory. The stress history of a clay deposit refers to the square root method places emphasis on the early
existing stresses and the degree of overconsolidation. stages of consolidation whereas the log time method
If the vertical consolidation stress vcacting on the emphasizes the latter stages of consolidation.
clay is the greatest that has ever existed, the clay is The results of consolidation tests are generally pre-
called normally consolidated. If the existing stress is sented as a graph of void ratio, e, or vertical strain,
less than the maximum value that has ever existed, eV , versus consolidation stress, vc,plotted to a log
referred to as the maximum previous stress,,, the scale. This type of plot is used because it exhibits
clay is called overconsolidated. certain characteristic shapes and behavior that have
If the clay is stressed within the limits of the maxi- proved useful.
mum previous stress, the strain (settlement) will be a When void ratio is used, compressibility parame-
function of the recompression ratio (RR) determined ters are defined as follows:
from laboratory consolidation tests. If the applied C, = virgin compression index = slope of compres-
stress exceeds the maximum previous stress, the sion curve in virgin region.
strain will be proportional to the virgin compression CI= recompression index = average slope of
ratio (CR). unloading-reloading cycle.
C, = swelling index = slope of swelling (rebound
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
9.6.1 Consolidation Tests curve).

In an oedometer (consolidation) test, the soil is When test results are plotted in terms of strain
placed in an oedometer ring and stress is applied to instead of void ratio, the corresponding parameters
the soil specimen along the vertical axis. Because when strain is used are:
strain in the horizontal direction is prevented, the CR = C,/(l+ e,) = virgin compression ratio
vertical strain is equal to the volumetric strain. RR = CI/(l+ e,) = recompression ratio
The test is generally performed on a specimen of SR = CJ(l+ e,) = swelling ratio
clay that is 19 or 25 mm (0.75 or 1.0 in.) in thickness
and 64 mm (2.50 in.) in diameter. The 64 mm ring is and strain = Ae/(l + e,)
the most common size ring because the specimen can The void ratio versus log stress plot is more commonly
be trimmed from a 76 mm (3-in.)thinwal tube sam- used than the strain versus log stress plot. However,
ple. the latter has several advantages (Ladd, 1971):
The load applied to the specimen is generally dou- 1. Strains are easier to compute than void ratios,
bled (Load Increment Ratio equal to unity) and read- which require a knowledge of specific gravity
ings of vertical deformation versus time are obtained and weight of soil solids.
during each load increment. The information that can 2. Settlements are directly proportional to
be obtained from the test include: strains, whereas, use of Ae data also requires a
+
knowledge of (1 e,). Thus, the latter intro-
Compressibility of the soil for one-imensional duces two variables, Ae and (1 + e,).
loading as defined by the compression curve, 3. It is easier to standardize strain plots than void
(vertical strain, eV, or void ratio, e, plotted ratio plots.
versus log consolidation stress, vc). 4. The strain curve can be plotted as the consol-
Maximumprevious stress, am,as determined by idation test is in progress. Any major discrep-
empirical procedures from the compression ancies in the test could immediately be noted
curve. and corrected, if possible.
196
AASHTO T I T L E MSI 8 8 0637804 OOLL823 T 5 L 9
It should be noted that the maximum previous more likely to exist in silts and sands than clays,
stress for a given test will be the same, regardless of because the silts and sands are more uniform.
whether the results are plotted in terms of void ratio Soil composition and fabric component of structure
or vertical strain. The final consolidation settlement have little effect on the permeability of gravel, sands
of a clay stratum for the general case consisting of and silts, but are important for fine grained soils
both recompression and virgin compression may be (clay). In general, for clays, the lower the ion ex-
expressed by, change capacity of the soil, the higher the per-
meability. Likewise, the more flocculated (open) the
structure, the higher the permeability.
Because of the complex relationships between fac-
where tors influencingpermeability, it is important that lab-
-
U, = initial vertical stress oratory tests be performed under conditions which
-
ad = final vertical stress duplicate field conditions as closely as possible. The
-
U
, = maximum
previous stress methods most commonly used to determine per-
The test procedures for consolidation testing are ref- meability in the laboratory include:
erenced in Appendix C. Constant head test
Falling head test
9.7 PERMEABILITY Direct or indirect methods during a consolida-
tion test.
In general, all voids in soils are interconnected and
water can flow through the densest of natural soils. 9.7.1 Constant Head Test
Lambe (1951) describes permeability as a soil prop-
erty which indicates the ease with which water will In general, the constant head permeability test is
flow through the soil. A knowledge of the per- widely used on ail types of soils. In a constant head
meability of soil is important for solving problems test, a soil sample is placed in a cylindrical container
associated with seepage, dewatering, drainage, and (permeameter) and a constant head is applied to the
settlement. Permeability is also referred to, inter- sample. The amount of water passing through the
changeably, as hydraulic conductivity. specimen in a given time period is determined and the
The behavior of fluid flow through most soil is following equation is used to determine K:
related to Darcy's Law, which states that the rate of K=- AQ L
flow is proportional to the hydraulic gradient and AthA
area: where
Q=kiA
Q = volume of water passing through specimen
where L = Length of specimen
Q = rate of discharge through soil A = Cross sectional area of specimen
k = coefficient of permeability (hydraulic conduc- h = head
tivity) t = time
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
A = total cross-sectional area
The recommended test procedures for constant
i =-
Ah - hydraulic gradient, which is the loss of
head permeability tests are referenced in Appendix
Al. D.
hydraulic head per unit distance.
The permeability of a soil is influenced by the fol- 9.7.2 Falling Head Test
lowing characteristics:
In general, since a relatively large permeability is
Particle size and graduation required to obtain good precision with a falling head
Void ratio test, it is limited to pervious soils. This test is .per-
Mineral composition formed generally in the same manner as the constant
Fabric head test except that the head of water is not constant.
In general, the coefficient of permeability increases Instead, the water head normally falls in a graduated
with increasing grain size but the size and shape of the standpipe connected to the specimen. The following
void spaces also have a major influence. Smail voids equation is used to determine K:
decrease the flow and, therefore, the permeability. A aL ho
K = 2.3
relationship between permeability and particle size is A(ti - to) loglo6
197
_ _ - ~ -- -~ ._
where Subsequent laboratory testing may be required to

verify the presence of these types of soils and provide
a = cross-sectional area of standpipe
a quantitative basis for prediction of the magnitude of
L = Length of specimen
volume change and stresses associated with such
A = cross sectional area of specimen
to= time at which water level in standpipe is at changes. Design parameters are extremely difficult to
determine.
ho (initial)
Snethen (1975) summarizes the nature of expansive
ti = time at which water level in standpipe is at
soil testing, noting that laboratory tests of such mate-
hi (intermediate or final)
rials fall into three general categories:
ho, hi = appropriate heads for which permeability
is determined. soil suction (thermocouple psychrometer) ;
Oedometer swell (swell pressure), and;
empirical techniques such as Potential Vertical
9.8 SWELLING AND COLLAPSE Rise (PVR).
POTENTIAL
9.8.1 Soil Suction (Thermocouple Psychrometer)
Laboratory testing of unstable soil and soft sedimen- Test
tary rock differ from ordinary engineering property
testing of soil (Table 9-1). This is because the appro- The soil suction test is performed using a thermocou-
priate, direct engineering design parameters are not ple psychrometer (Figure 9-4) and small cubes of
attainable from laboratory testing; the mechanisms undisturbed soil placed in sealed environmental
responsible for the behavior of unstable soils stem chambers. The magnitude of soil suction is measured
from microscale physical properties, largely related by the psychrometer and the measurements are made
to the presence and orientation of the minus 200 sieve on a number of similar cubes with variable moisture
fraction particles. The goal of laboratory testing of contents. After temperature and physical property
unstable soil and soft rock should be to verify their stabilization.for a 48-hour period, the psychrometer
potential for expansion, collapse, or catastrophic loss output voltage is measured as a function of the stabi-
of strength (as in the case of sensitive clays). The lizing temperature. The microvolt output is converted
conditions governing laboratory testing of the three to soil suction in tons per square foot using a calibra-
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
types of unstable materials are as follows: tion relationship for the specific psychrometer. A
number of data points are collected, establishing a
expansive; the potential is related primarily to semi-logarithmic relationship between soil suction
the presence and percentage of expansive clay and temperature (arithmetic).
minerals; remolding will do little to decrease Snethen (1975) has devised a prediction relation-
their expansion potential ship in which parameters measured by the soil suction
collapsing; inherently unstable soil fabric will test are applied toward an estimate of the one-dimen-
generally fail completely in one instance, at the sional vertical expansion that would be expected from
introduction of increased moisture and increas- a stratum of similar expansive material. The pro-
ing normal loads; remolded materials should not cedure is referenced in Appendix D.
be collapse prone
sensitive clays; catastrophic loss of shear 9.8.2 Oedometer Swell Test
strength through thixotropic rearrangement of
the internal fabric is essentially a one-time phe- The rationale of this test is to induce swelling in a soil
nomenon; completely remolded specimens sample and to measure the relationship between ap-
should not experience such behavior plied load and absorbed, distilled water. The water is
introduced until equilibrium is reached, both in swell
Soil and soft sedimentary rock that are inherently and water intake. The test comes in a variety of forms,
unstable should be detected by field personnel in the all of which attempt to model the in situ reaction of a
course of literature reviews, in preparation for field swelling soil to moisture imbibed over its field mois-
work or through recognition of physical indicators of ture content. The tests and the conversion to pre-
the presence of such material. As discussed in Section dicted volumetric swell are representative of reverse
5, specific geologic formations and types of Holocene- consolidation theory. Snethen (1975) has compiled a
aged surficial geologic units and soils are well known literature review of oedometer swell tests and has
to contain representative beds or horizons that are applied the theory to an Overburden Swell Test.
unstable. If design engineers are interested in restraining the
198
AASHTO T I T L E MSI 8 8 Ob39804 0033825 824 =
Table 9-1.
m Method
Direct Techniques for Quantitatively Measuring Volume Change of Expansive Soils
Description
Navy method Odometer test on remolded or undisturbed samples in which deformations under various
surcharges are measured to develop a surcharge versus percent swell curve. The
surcharge versus percent swell curve is related to the depth of clay versus percent swell
curve from which the magnitude of volume change is calculated as the area under the
curve
Potential vertical rise The correlation of measured volumetric swell of a triaxial specimen (all around pressure of
(PW 1 psi) with classification test data (LL, PI, SR, and percent soil binder) to determine
the Family Number (predetermined correlations) for the soil. The vertical pressures at
the midpoints of strata are calculated and used in conjunction with Family Curves to
obtain percent volumetric swell under actual loading conditions in each strata. The
linear swell is taken as one-third of the volumetric swell which is cumulatively summed
to calculate the potential vertical rise
Noble method Odometer test on statically compacted samples (total four, two initial moisture contents
under two surcharge pressures) measuring deformation. Previously correlated data are
consulted to determine the magnitude of volume change with changing loading and
initial moisture conditions
Double odometer Odometer test in which two adjacent undisturbed samples are subjected to differing
loading conditions. One sample is inundated and allowed to swell to equilibrium, then,
consolidation-tested using routine procedures. The second sample is consolidated-tested
using routine procedures at its natural moisture content (NMC). The virgin portion of
the NMC curve is adjusted to coincide with the swell-consolidation curve, and
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
relationships from consolidation theory are used to estimate volume change
Simple odometer Odometer test using one undisturbed sample which is loaded to its in situ overburden
pressure then unloaded to a seating load, inundated, and alowed to swell to equilib-
rium, then consolidation-tested using routine procedures. Analytical procedures are
same as double odometer method
0 Sampson, Schuster, and
Bdge
Odometer test in which two undisturbed or remolded samples are subjected to different
loading conditions. One sample is loaded to the testing machine capacity (32 tsf re-
ported) and consolidated to equilibrium, inundated, unloaded to 0.1 tsf, and allowed to
swell to equilibrium. The second sample is loaded to its in situ overburden pressure, in-
undated, unloaded to the planned structure load, and allowed to swell to equilibrium.
The swelling index and changes in void ratio and consolidation theory are used to deter-
mine amount of volume change
Lambe and Whitman Odometer test in which undisturbed or remolded samples are consolidation-tested using
routine procedures including rebound. Effective stresses are calculated before and after
testing, and the associated void ratio changes are determined. From this Ae/l + eo or
AH/H* versus depth curves are plotted. Magnitude of volume change is equal to area
under the curve
Suivan and McClelland Odometer test in which an undisturbed sample is loaded to its in situ overburden pressure,
(constant volume inundated, and swell pressure measured by maintaining constant volume, then unloaded
swell) to a light seating load and the swell measured. Changes in void ratio are taken from the
curve corresponding to the initial and final effective stress conditions of the in situ soil.
Consolidation theory is used to estimate volume change
Komornik, Wiseman, Odometer test on undisturbed samples in which swell is measured under corresponding
and Ben-Yaacob overburden pressures to develop depth versus percent swell curve. Magnitude of volume
change is equal to area under curve
Wong and Yong Same as previous procedure except that an additional surcharge equal to the pore water
suction at hydrostatic conditions is added. Same analytical procedures
Expansion Index Odometer test on compacted samples measuring volume change under l-psi surcharge
(Orange County)
Third cycle expansion Used in conjunction with standard R-value test. Swelling pressure is measured at the end
pressure test of the third cycle of volume change development (i.e., swe pressure is developed and
relieved twice, then measured after developing the third time)
@ Ae = change in void ratio; eo = initial void ratio; AH = change in height; H = height.

NOTE: Odometer as used in this table is the same instrument as Oedometer as shown in the text
(From FHWA RD-75-48, 1975, Federal Highway Administration, USDOT)
199

- -_-____
AASHTO TITLE MSI B O b 3 B O Y 00L182b 7 6 0 M
' POROUS CfAM/C
JUNCT/ON
c
v)
z
w
CONSTANTAN WIRE COO/'!) o
CffROML W/Rf <*00/'9
3//6" TFLON PLUG

WATER CONTENT
Figure 9-5. 'Qpical compaction curve for cohesive

soil.
weight is produced for a given compactive effort. The
main problem in predicting compaction effectiveness
is that laboratory tests do not simulate field compac-
tion methods. Most present day laboratory compac-
tion is by impact methods because of satisfactory cor-
relations with field data.
For most impact methods, the sample is placed in a
Figure 9-4. Schematic diagram of a thermocouple test mold and subjected to a specified compactive
psychrometer. effort by a tamper of a given weight falling a given
distance. In most tests, the sample is compacted in
swelling tendency of the soil through structural rein- layers. The process is repeated at various water con-
forcement, then the test may be conducted as the tents until the characteristic curve as shown in Figure
swell-pressurevariety in which successive,increasing, 9-5 is developed.
oedometer loads are added to counter the swell as it Compaction of cohesionless soils, like gravelly
develops due to moisture intake. At the equilibrium sands and sandy gravels, is also performed by impact
point between moisture intake and swell, the sample compaction. However, impact tests are sometimes not
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
can be rebounded and measured for equilibrium suitable for clean granular soils because their densi-
moisture. ties are not significantly affected by changes in water
content. In free-draining cohesionless soils, the maxi-
mum dry density is sometimes obtained by vibratory
9.9 COMPACTION TEST methods. Present vibratory methods consist of testing
cohesionless soils in a Cylindrical mold with a sur-
Compaction may be defined as densification at a con- charge weight, with vibration accomplished by means
stant water content (Le. decreasing air voids) through of a vibrating table.
the rapid application of mechanical energy. Most
earth construction projects require the use of man-
placed soil to which compaction must be applied to 9.10 LABORATORY BEARING-RATIO
place it in a dense state. To compact a soil (i.e. to TEST
place it in a dense state) is desirable for three reasons:
(1)to increase shear strength, (2) to decrease future The California Bearing-Ratio (CBR) test was devel-
settlements, and (3) to decrease permeability. oped by the California Division of Highways in 1929
The purpose of a compaction test is to determine as a means of classifying the suitability of a soil for use
the maximum density and optimum water content as a subgrade or base course material in highway
values for a soil. The maximum density of a soil is the construction. Briefly, the test consists of causing a
maximum dry unit weight that can be produced with a cylindrical plunger (cross-sectional area equal to 1935
given compactive effort as the water content of the sq. mm) to penetrate a sample of soil at a specified
soil is varied. The optimum water content of a soil is rate (1.3 mm per min.) and measuring the load re-
the water content at which the greatest dry unit quired to cause a penetration 2.5 mm or 5.0 mm. This

-
AASHTO T I T L E M S I 8 8 = Ob39804 ROLL827 b T 7
Laboratory Tating of Soil and Rock
load is expressed as a percentage of a standard load G = pVs

and is known as the California Bearing-Ratio. The
@ standard U.S. Corps of Engineers procedure requires
E = pV,
that the sample be soaked for four days prior to testing

to simulate the worst possible subgrade conditions.
in which G is the shear modulus, E is Youngs Mod-
ulus, y is Poissons ratio, p is the mass density of the
9.11 DYNAMIC PROPERTIES soil, V, is the velocity of propagation of a compres-
sional (push-pull) wave in the soil cylinder and V, is
The response of soils to dynamic loadings has been the velocity of propagation of a shear or torsional
the subject of increased attention in civil engineering wave in the soil. Measurement of V, and V, in the
practice in recent years. Some of the more common laboratory provides sufficientinformation for the cal-
types of dynamic loadings are: culation of low strain elastic soil properties. It should
be realized that many factors influence V, and V, ,
including magnitude of shear strain, effective mean
Earthquakes confiningpressure, soil void ratio, and degree of satu-
Traffic vibrations (highwayj railroad, etc.)
ration. The laboratory test conditions must take these
Blast vibrations factors into consideration.
Water waves At strains greater than to percent, the
Machine vibrations determination of dynamic soil stress-strain charac-
Construction vibrations (e.g. pile driving teristics must account for non-linear and inelastic soil
vibrations) behavior. In the laboratory, the large-strain soil prop-
erties are determined by repeated loading of a soil
The dynamic soil properties of interest for a partic- specimen and observation of the response of the soil.
ular loading depend on the amount of strain produced Factors such as the cyclic stress level, the number of
in the ground by the loading. In dynamics problems cycles of applied load, the shape of the applied cyclic
the strains in the soil are much smaller than those of
0 concern in conventional static problems. Traffic and
machine vibrations cause only very small shear strains
load (sinusoidal, rectangular, triangular, etc.) and the
drainage conditions become important in these tests.
Results from large-strain tests are stress-strain
in the soil (less than to percent). For these curves such as those shown in Figure 9-6. Equivalent
problems, the soil behaves essentially as a linearly linear modulus values are defined by the endpoints of
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
elastic medium. The determination of the small strain the hysteresis loop. The moduli defined in this man-
elastic soil properties (shear modulus, Youngs mod- ner are only valid for the specific test conditions (i.e.,
ulus, Poissons ratio) is required. On the other hand, shear strain amplitude, confining pressure, etc.)
earthquake and water wave loadings may cause com- used. The modulus results are often presented in the
paratively larger strains (as large as 1 0 - ~ to io- form of:
percent) in the soil. The determination of the dy-
namic shear strength of the soil may be required to
assess the potential for soil deformation under such E or G = K(o)m
loadings. where
It is important to note that the laboratory test Cho-
sen to determine the dynamic soil properties properly E = Youngs Modulus
account for the expected field conditions (i.e., the G = Shear Modulus
-
magnitude of shear strain). U, =effective mean confining pressure
K = function of shear strain amplitude and void
ratio
9.11.1 Elastic Soil Properties m = empirical constant (normally 0.33 to 0.5)
The stress-strain behavior of soil is distinctly non-
linear and largely inelastic. The use of a linear elastic Under normal large-strain test conditions, only the
soil model is justified only at shear strains less than shear modulus or Youngs modulus can be evaluated
percent. At these low strain levels, the elasticsoil from a single test. Accurate determination of Pois-
properties are determined in the laboratory by the sons ratio from these tests is difficult. Values of Pois-
velocity of wave propagation in a cylinder or rod of sons ratio are usually estimated based on engineering
soil: judgment.
201

- - __- .-_1 - ._
AASHTO T I T L E !SI 88 m Ob39804 O O L L 8 2 8 533 m
SHEAR / VERT I CAL /

STRESS STRESS
I I
I /-
SHEAR
STRAIN
Figure 9-6. Qpical stress-strain curves for large-strain cyclic tests. (Haley & Aldrich, Inc.)
9.11.2 Damping Ratio At small shear strains, internal damping is deter-

mined in the laboratory by measuring the decay of
Damping is the ability of a system or material to mute free vibration in the soil. If the internal damping is
vibrations by absorbing energy. The simplest mathe- modeled as viscous, the vibration decay is described
matical technique for modeling damping is the vis- by the logarithmic decrement, which is the natural
cous damper or dashpot. This technique is used for logarithm of the ratio of two amplitudes of vibration:
convenience in the modeling of soil damping, al-
though damping in soils is not believed to be viscous t i = ;1i n ( 2 )
O
in nature.
The parameter that quantifies viscous damping is
the damping ratio. A damping ratio of zero (or zero in which 6 is the log decrement, Al and A,, are the
percent damping) means the system or material is amplitudes of the first cycle and n-th cycle of the
undamped. Free or unforced vibrations will never be vibration decay, respectively. The damping ratio for
?damped? out. A damping ratio greater than or equal internal damping can then be calculated from
to 1(or 100 percent damping) means that free vibra-
tions cannot occur; the system is too heavily damped IT D
to allow unforced vibrations. Damping ratios between s=vm
zero and 1are typically dealt with in soil.
Damping in soil can be geometrical and/or internal. in which D is the damping ratio. It should again be
Internal damping is the capacity of the soil material noted that for small shear strains, internal damping in
itself to absorb energy and deaden free vibrations. the soil material may be negligible in comparison to
Damping ratios associated with internal damping are the geometrical damping present in the soil-structure
in the range of 0.0 to 0.3. Geometrical damping re- system.
sults from the radiation of energy away from the At larger strains, internal damping is usually deter-
vibration source. Damping ratios of 0.0 to 0.9 typ- mined from the hysteresis loop in the laboratory cy-
ically occur because of geometrical damping. clic stress-strain curve.
The damping ratio for internal damping is highly The basis of this calculation is that the area of the
dependent on the magnitude of shear strain produced hysteresis loop represents the energy absorbed by the
in the soil by the dynamic loading. At shear strains soil while the area of the triangles represents the
less than percent internal damping of soil is often potential energy at maximum stress of the loading
regarded as negligible. Geometrical damping is not cycle. This type of damping is called hysteretic damp-
considered to be shear strain dependent as it is a ing, but the equation used above converts hysteretic
function of the geometry of the system and is not a damping to equivalent viscous damping for use in
property of the soil material. analysis.
202 --`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

AASHTO T I T L E M S I 8 8 m 0639804 OOLL829 4 7 T m
9.11.3 Shear Strength and Pore Pressure Response tem geometry, the velocity of wave propagation in the
soil can be determined. The test is performed in a
The potential for catastrophic loss of strength in soils triaxial test chamber so that the effect of confining
because of porewater pressure build-up during cyclic pressure can be assessed. If the specimen is vibrated
loading (by earthquake forces) is discussed in Appen- axially or longitudinally, the rod compression wave
dix H. In the laboratory, this phenomenon is ob- velocity (V, ) is determined. If the specimen is vi-
served by the repeated loading of a soil specimen brated torsionally by torquing one end of the speci-
under undrained conditions. The pore water pressure men, the shear wave velocity (Vs) is determined. The
in the specimen is monitored in conjunction with the calculation of the wave propagation velocities de-
number of cycles and the magnitude of the applied pends on the details of each particular resonant col-
loading. A plot of cyclic stress level versus number of umn device. The torsional resonant column is cur-
cycles to failure is usually generated for the soil type rently the most commonly used form of the test.
in question. From this plot, the potential for soil fail- One way the damping ratio may be determined is
Ure under a given design load (e.g., a design earth- by shutting off the driving mechanism of the device
quake) can be assessed. while the specimen is vibrating at the resonant fre-
quency. The decay of the vibration is measured and
9.11.4 Resonant Column Test the damping ratio is calculated from the log decre-
ment, as previously described.
The resonant column test is the most widely used A test procedure for the performance of resonant
laboratory procedure for assessing the small strain column tests has been proposed by Drnevich, Hardin
properties (elastic moduli; damping ratio) of soil. and Shippy (1978). This procedure has been gener-
Through the use of plots such as Figure 9-7, the alized to account for the wide variety of resonant
resonant column test may even be used to estimate column devices currently in use. This recommended
large-strain soil properties, once the small-strain test procedure for resonant column tests is referenced
properties are known. in Appendix D.
In this test, a column or cylinder of soil is vibrated A study was performed in the mid-1970's
at various frequencies until the resonant frequency of (Skoglund, Marcuson and Cunny, 1976) to compare
the specimen (the frequency that causes maximum the results obtained from a number of different reso-
end motion of the cylinder) is determined. From this nant column devices. The most important factor influ-
resonant frequency, in combination with the test sys- encing results was found to be the specimen prepara-
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
U.1' I I
I
I I
10-4 0-3 10'2 IO" I

Shoot Stroh, 7 -percent
Figure 9-7. Qpical plot showing variation of shear modulus with shear strain.
203

- - ~
AASHTO T I T L E ! S I 88 m
tion technique. This concept may be extended to These factors should be recognized during testing
include sample disturbance in undisturbed speci- and accounted for in interpreting the results.
mens. The sample used in the laboratory must repre- Recommended test procedures for cyclic triaxial
sent the field condition of the soil as closely as possible tests are referenced in Appendix D.
to obtain meaningful results.
9.11.6 Other Dynamic Tests
9.11.5 Cyclic Triaxial Test
Several types of dynamic laboratory tests other than
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
The most common laboratory test for the determina- those already described are in use throughout the
tion of shear-strain S-S soil properties is the world. These include:
cyclic triaxial test. The test is basically the same as the
triaxial compression test described in Section 9.5.4, Pulse Tests
except that a provision is made for applying a cy- Cyclic Simple Shear Tests
clically varying axial load. The test is used for two Cyclic Torsional Shear Tests
basic reasons:
These tests are not as widely used as the resonant
To assess the potential for catastrophic loss of column and cyclic triaxial tests, and so will be de-
soil strength under cyclic loading. scribed only briefly.
To evaluate the cyclic stress-strain charac-
teristics and damping ratio of the soil under 9.11.6.1 Pulse Tests. These tests areused to deter-
large strain cyclic loading. mine small strain elastic soil properties. The travel
Tests to evaluate loss of soil strength are performed time for shear and/or compressive waves to travel the
on saturated soil samples under undrained cyclic length of a soil specimen is measured.
loading. These tests are stress-controlled; the amount Wave propagation velocities (from which elastic
of cyclically varying load is kept constant throughout soil properties may be determined) are calculated by
the test. The resultant strains are measured inde- dividing the specimen length by the measured travel
pendently. time, The difficultywith this test is the accurate deter-
In the evaluation of the damping ratio, the cyclic mination of the travel time. Small errors in travel time
triaxial test may be performed on saturated, partially measurement may lead to large errors in the calcula-
saturated, or dry samples under drained or undrained tion of elastic properties.
conditions. The tests are performed with strain con-
trol: the amount of axial strain produced by each cycle 9.11.6.2 Cyclic Simple Shear Tests. For this test, a
is kept constant, The axial load is varied to maintain soil specimen is subjected to a cyclically varying hori-
constant cyclic axial strain. zontal shearing force on its top face, while its bottom
The cyclic triaxial test has been the subject of great face is held fixed. The specimen is normally encased
controversy in the last decade. The test has been in a membrane and subjected to a confining pressure.
criticized as to how well it models actual field condi- Shear stress and shear strain can be directly measured
tions and as to the severe stress gradients to which the from this test. Large strain stress-strain behavior
soil specimen is subjected. Numerous correction fac- (only strains of 0.01 percent or greater can be accu-
tors have been proposed for cyclic triaxial tests. These rately measured) as well as the potential for pore
pressure build-up in soil samples may be assessed.
have been summarized by Seed (1976). It is important
to note that the validity of this test has not been The test is believed to model actual field loading
verified by field observations. Great care must, there- conditions better than the cyclic triaxial test.
fore, be taken in the interpretation of the results of the However, as with the cyclic triaxial test, a relatively
small soil sample is subjected to severe stress gradi-
cyclic triaxial test.
A large number of factors have been found to influ- ents during the test, so the accuracy of the results is
ence the results of the cyclic triaxial test. These have uncertain.
been summarized by Townsend (1978) and they in-
clude: 9.11.6.3 Cyclic Torsional Shear Tests. In this test,
a cyclindrical soil specimen is loaded by a cyclically
Method of Specimen Preparation varying torque on its top face. The bottom face is held
Loading Frequencies fixed. Since the torsional strain in such tests on soil
Specimen Size cylinders varies from zero at the center to a maximum
Wave Form of the Loading value at the outer edge, hollow cylindrical specimens
Sample Disturbance are normaiiy used. These hollow specimens essen-
204
AASHTO T I T L E M S I 8 8 = Ob39804 001iL83L O28
tially have a uniform torsional strain distribution Hence, laboratory testing of rock is used primarily
across the specimen thickness. for classification of intact rock samples, and, if per-
The primary advantage of this test is that the test formed properly, serves a useful function in this re-
may be performed at practically any level of cyclic gard. Rock engineering design is largely a blend of
strain. Small strain or large strain soil properties can theory, engineering property values and individual
be assessed using only one test apparatus. The main experience with the various rock types. Characteristic
disadvantage lies in the preparation of the hollow rock engineering problems relate to strength, com-
cylindrical specimen. Preparation of undisturbed pressibility and permeability. Laboratory tests on in-
or hollow cylinder soil specimens, particularly for tact samples may provide upper bounds on strength
cohesionless soils, is extremely difficult. and lower bounds on compressibility.Frequently, lab-
oratory tests can be used in conjunction with field
9.11.7 Summary tests to give reasonable estimates of rock mass behav-
ioral characteristics.
It should be recognized that some of the laboratory Given below is a listing of some laboratory tests for
test procedures and equipment are not standardized, rock. Rock tests are referenced in Appendix C.
and interpretation of test results requires thorough
knowledge of the test details. New information on .. Microscopic Petrographic Analysis
techniques and apparatus continues to be published
in professional journals and a detailed investigation . Density (Unit Weight)
Water Content
should consider these sources.
Finally, laboratory testing is not the only way to .
0
Porosity
Absorption
establish dynamic soil properties. Testing in the field
to determine small-strain dynamic soil properties is
common and provides the advantage of measuring the
.
0
Permeability
Uniaxial Strength in Unconfined or Confined
Compression (May be conducted with strain
properties in their natural environment under natural measurement for the purpose of measuring
field stress conditions. Small-strainlaboratory testing deformation properties such as Modules and
@
may be preferred for economic reasons or for investi-
. Poissons ratio.)
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
gating soil behavior under conditionsother than those Direct Tensile Strength
in situ. Large-strain dynamic testing in the field is 0
Point Load Test
generally not feasible nor possible. Some field tests do
provide information on dynamic soil behavior, but ..
0
Hardness
Taber Abrasion Test
direct use of simulated earthquake or other larger
strain dynamic loadings is rarely done. .. Los Angeles Abrasion Test
Sweling
Slake-Durability
0
Sonic Velocity (May be conducted at various
9.12 LABORATORY TESTS OF ROCK stress levels.)
Experience has shown that laboratory testing of rock
has very limited applicability for measuring signifi-
.
0
Direct Shear Strength
Torsional Shear Strength
cant rock properties. Significant rock properties are
defined as those that are of concern in rock design
.
0
Various Dynamic Properties
Various Non-Mechanical Properties such as
Electrical, Magnetic and Thermal Properties.
such as:
Compressive Strength, Ideally, a few simple index tests can be selected
Shear Strength, from this list to provide reasonable estimates of signif-
Hardness, icant rock properties for a particular project. If test-
Compressibility, and ing is not possible, microscopic petrographic analyses
Permeability. should be conducted as a minimum in order to obtain
dependable geologic rock classifications. If only a
The basic problem is that rock samples smail small rock testing budget is available rock tests such
enough to be tested in the laboratory are usuaily not as density, point load test, and hardness could be
representative of the entire rock mass. The best ex- used.
ample of this is rock permeability. No laboratory test For engineering purposes, rock density is most
would be able to approximate the permeability of a commonly determined simply by weighing the sample
rock mass that is primarily related to the number, and determining its volume by water displacement.
type and continuity of fractures in the mass. Point load testing is relatively inexpensive and has
205
_ _ _ _ _ _ __- -
AASHTO T I T L E MSI 88 m Ob39804 O O L L 8 3 2 Tb4 m
been shown to be related to uniaxial compressive checked, should be sent to the appropriate engineer
strength in unconfined compression. In general, the or use and filing. The laboratory testing file should
uniaxial compressive strength is approximately 25 contain as a minimum, the following records:
times the point load strength.
%o common and relatively inexpensive methods Sample receipt logs.
of hardness testing are the Shore Scleroscope and the Sample disposition logs.
Schmidt L-Type Hammer. These hardness tests have Soil test assignment sheets.
been shown to be a good measure of rock rebound Laboratory test data.
and impact hardness and to be related to other rock Calculations.
properties such as the uniaxial compressive strength
in unconfined compression and the tangent modulus Well planned data sheets can improve the efficiency
of elasticity at 50 percent of the ultimate unconfined of testing and, by encouraging the recording of data
compressive strength. which otherwise might be lost, can lead to better
If a larger rock testing budget is available, uncon- testing. Each laboratory should adopt whatever data
fined compressive strength, abrasion hardness and sheets are most suitable for their practice and appa-
tangent modulus of elasticity at 50 percent of the ratus.
ultimate compressive strength can be measured di-
rectly. Direct measurement of these properties is rec-
ommended for larger projects. Occasionally, some of 9.15 PRESENTATION OF DATA
the other properties given earlier in the section will be
measured either as index tests or as a direct measure The results of laboratory tests are generally presented
of a significant engineering property. Some of the in tabular and/or graphical form. Any anomalous be-
more commonly conducted tests are uniaxial strength havior noted during the test or deviations from test
in confined compression, sonic velocity, slake-dura- procedures should be noted on the results.
bility and direct shear strength. A description of these Graphs should normally show all the plotted
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
test procedures and the criteria for when they should points, not just smooth curves, and be given scales, as
be used is beyond the scope of this manual. large as possible, in easily read units such as 1,2, or 5
divisions per unit. When the results of several tests are
shown on a single graph, a legend should be used to
9.13 USE OF STANDARDS identify the data plotted from the different tests, a
title block should be shown on each graph which
Wherever possible, the laboratory testing procedures includes:
followed should be based on the standard specifica-
tions of AASHTO and/or the American Society for Title of project.
Testing and Materials (ASTM). There are no stan- File or project number.
dards for some tests, but in these cases, commonly Date of work.
accepted procedures should be followed. Type of soil.
Deviations from standards or accepted procedures Scale (if appropriate).
may be necessary on occasion, based on the judge- Boringsample number and depth or elevation.
ment of testing or design engineers, their experience Other pertinent data that identifies the test
with local soils and peculiarities of a project, pro- specimen.
cedure, or test equipment. In order to insure that the
test methods remain compatible with the purpose of Triaxial test results are normally plotted as stress-
the tests and that the results will be acceptable, every strain curves. Pore pressure, effective stress or stress
such deviation should be discussed in advance with path plots should be included as appropriate. Effec-
the engineer assigning the tests. Also, a description of tive consolidation stress versus void ratio or vertical
any non-conventional procedure should accompany strain is normally plotted for consolidation tests. The
the test data. results of classification and index tests are normally
presented in tabular form. It is often useful to present
the results of tests on cohesive soils in the form of a
9.14 RECORD KEEPING plot of Atterberg limits, compressibility and stress
history, and strength data versus depth or elevation.
All laboratory test data forms should be filled out A generalized soil profile can also be shown to indi-
accurately and completely. In general, the originals of cate the variation, or lack of, in soil properties with
all laboratory test data, when completed and soil type and depth.
206
AASHTO T I T L E MSI 8 8 Ob37804 0011833 7TO
9.16 REFERENCES Lambe, T. W. Soil Testing for Engineers. John Wiley
e
.
& Sons, Inc., 1951.

Alpan, I. The Geotechnical Properties of Soils. Lambe, T. W. and Martin, R. T. Composition and
Eaith Science Review, Vol. 6, No. 1;pp. 5-49, Febru- Engineering Properties of Soil. Highway Research
ary 1970. Board, Proc., Vol. 32, pp. 576-588, 1953.
American Association of State Highway and Trans- Lambe, T. W. The Character and Identification of
portation Officials. The Classification of Soils and Expansive Soils. Soil PVC Meter, Publication 701.
Soil-Aggregate Mixtures for Highway Construction Federal Housing Administration, Washington, D.C.,
Purposes. M145-73,Specifications,Part I, 14th Ed., December 1960.
1986.
Lambe, T. W., and R. V. Whitman. Soil Mechanics.
Anderson, R. R.; Hoyer, B. E.; and Taranik. Guide John Wiley & Sons, Inc., 1969.
to Aerial Imagery of Iowa. Iowa Geological Survey,
Mielenz, R. C. and King, M. E. Physical-Chemical
Publ. Info. Circ. No. 8, 1974.
Properties and Engineering Performance of Clays.
Bishop, A. W. and Henkel, D. J. TheMeusurement of Proc., Nat. Cod. on Clays and Clay Technology,
Soil Properties in the Triaxial Test, p. 98. London, California Division of Mines Bulletin 169, pp.
Edward Arnold Ltd., 1962. 196-254, 1955.
Bjerrum, L. Embankment on Soft Ground. ASCE Mitchell, J. K. ;Guzikowski, F.; and Villet, W. C. B,
Specialty Conf. on Performance of Earth and Earth
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
The Measurement of Soil Properties In Situ. Uni-

Supported Structures, Purdue University, Lafayette, versity of California, Berkeley, Department of Civil
Ind., Proc. Vol. 2, pp. 1-54, 1972. Engineering, 1978.
Bjerrum, L. Problems of Soil Mechanics and Con- Obermeier, S. F. Evaluation of Laboratory Tech-
struction on Soft Clays. 8th Int. Conf. on Soil Mech. niques for Measurement of Swell Potential of Clays.
and Found. Eng., Moscow, Proc. Vol. 3 , pp. 111-159, Workshop on Expansive Clays and Shales in Highway
1973. Design and Construction, D. R. Lamb and S. J.
Drnevich, V. P.; Hardin, B. O.; and Shippy, D. J. Hanna, Ed., prepared for Federal Highway Adminis-
Modulus and Damping of Soils by the Resonant- tration, Washington, D.C., Proc., Vol. 1, pp.
Column Method. Dynamic Geotechnical Testing, 214-254, May 1973.
ASTM Special Technical Publication 654, 1978. Pilot, G. Study of Five Embankments Failures on
Holtz, W. G. and Hilf, J. W. Settlement of Soil Soft Clay. ASCE SpecialityConf. on Performance of
Foundations Due to Saturation. 5th Int. Conf. on Earth and Earth Supported Structures, Purdue Uni-
Soil Mech. and Found. Eng., Paris, Proc. Vol. 1, pp. versity, Lafayette, Indiana, Proc., Vol. I, pp. 81-100,
673-680, 1961. 1972.
Hvorslev, M. J. Subsurface Exploration and Sam- Proceedings of the 11th International Conference on
pling of Soils for Civil Engineering Purposes. Water- Soil Mechanics and Foundation Engineering. San
ways Experiment Station, 1949. Francisco, 5 Vols., Accord, Massachusetts: A. A.
Kantey, B. A. and Brink, A. B. A. Laboratory Balkema Publishers, 1985.
Criteria for the Recognition of Expansive Soils. Seed, H. B.; Woodward, R. J., Jr.; andLundgren, R.
South African National Building Institute Bulletin No. Prediction of Swelling Potential for Compacted
9, pp. 25-28, December 1952. Clays. Jour. Soil Mech. and Found. Eng., ASCE,
Ladd, C. C. and Lambe, T. W. The Identification Vol. 88, No. SM3, pp. 53-88, June 1962.
and Behavior of Compacted Expansive Clay. 5th Seed, H. B. Evaluation of Soil Liquefaction Effects
Int. Conf. on Soil Mech. and Found. Eng., Paris, on Level Ground During Earthquakes.Liquefaction
P~oc.Vol. 1, pp. 201-206, 1961. Problems in Geotechnical Engineering, ASCE Na-
Ladd, C. C. Compressibility of Saturated Clav, tional Convention, Proc. pp. 1-104, September 1976.
M.I.T. Special Summer Program 1.34S, Soft Ground Skempton, A. W. and Northey, R. D. The Sensi-
Construction, Cambridge, Massachusetts, 1971. tivity of Clays. Geotechnique, Vol. III, No. 1,p. 40,
March 1952.
*
Ladd, C. C. Discussion of The Measurement of In
Situ Shear Strength, by J. H. Schmertman, ASCE Skoglund, G. R.; Marcuson, III, W. F.; and Cunny,
Speciality Conf. on In Situ Measurement of Soil Prop- R. W. Evaluation of Resonant Column Test De-
erties, North Carolina State Unh., Raleigh, North vices. Jour. of the Geotechnical Div., ASCE, Vol.
Carolina, Proc. Vol. II, pp. 153-160, 1975. 102, No. GT11, pp. 1147-1158, November 1976.
207

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1 Licensee=Dept of Transportation/5950087001
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AASHTO T I T L E M S I 8 8 m Ob39804 0011834 837
Smith, A. W. Method for Determining the Potential Verruist, A., et al. (Eds.) Penetration Testing. Pro-
Vertical Rise, PVR. Workshop on Expansive Clays ceedings on Penetration Testing, Amsterdam, 2 Vols.
and Shales in Highway Design and Construction, D. Accord, Massachusetts: A. A. Balkema Publishers,
R. Lamb and S. J. Hanna, Ed., prepared for Federal 1982.
Highway Administration, Washington, D.C., Proc. Wagner, A. A. The Use of the Unified Soil Classi-
pp. 189-206, May 1973. fication System by the Bureau of Reclamation. 4th
Snethan, D. R., et al. A Review of Engineering Expe- Int. Conf. on Soil Mech. and Found. Eng., London,
rience with Expansive Soils in Highway Subgrades, ROC. Vol. I, pp. 125-1957.
FHWA RD 75-48, Washington, D.C., June 1975. Waterways Experiment Station. The Unified Soil
Specifications For Subsurface Investigations, Ohio Classification System. Technical Memorandum No.
Department of Transportation, Columbus, Ohio, 3-357, Vicksburg, Mississippi, 1953.
1984. Woods, R. D. Measurement of Dynamic Soil Prop-
Terzaghi, K.and Peck, R. B. Soil Mechanics in Engi- erties. ASCE Speciality Con5 on Earthquake Engi-
neering Practice, p. 73. New York: John Wiley & neering and Soil Dynamics, Vol. 1, pp. 91-178,1978.
Sons, Inc., 1967. Wu, T. H. and Sangrey, D. A. Strength Properties
Townsend, F. C. A Review of Factors Affecting and Their Measurements. In Schuster, R. L. and
Cyclic Triaxial Tests. Dynamic Geotechnical Testing, Krizek, R. J. (Ed.) Landslides-Analysis and Con-
ASTM Special Technical Publication 654, 1978. trol: Transportation Research Board, Washington,
U.S. Army, Office, Chief of Engineers. Soil Sam- D.C., Special Report 176, 1978.
pling. Engineer Manual EM 1110-2-1907,Washing- Yong, R. N. and Warkentin, B. P. Introduction to Soil
ton, D.C., 31 March 1972. Behavior. New York: MacMillan, 1966.
U.S. Navy, Naval Facilities Engineering Command. Yong and Townsend (Eds .). STP892 Consolidation
Design Manual, Soil Mechanics, Foundations and of Soils: Testing and Evaluation. Philadelphia,
Earth Structures. NAVFAC DM-7, Washington, Pennsylvania: ASTM, 1986.
D.C., 1971.
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10.0 COMPILATION AND PRESENTATION

OF GEOTECHNICAL INFORMATION
The various items of geotechnical information that 10.1.2 Interpretive Data

are gathered and developed for a project can be gen-
erally classified as factual or interpretive, depending Investigations and evaluationsfor a particular project
on their basis or origin and, to some extent, the type WUinterpret factual information or data to develop
of information. Some items are clearly either factual further geotechnical information for project planning
or interpretive; others may be classified by agency and construction. Interpretive information involves
policy, or possibly by legal definition. professional judgement; it represents the opinion of
qualified personnel as to the meaning of data, and
presents geologic or engineering conclusions or rec-
10.1 TYPES OF INFORMATION ommendations based in part on the factual informa-
tion and data. Interpretive information is prepared
e 10.1.1 Factual Information or Data
Factual information or data are the actual results of

for the particular project, and is not necessarilyappli-
cable to another project on the same site or route.
individual remote sensing surveys, subsurface explo-

rations, field or laboratory tests, and observation weil
10.2 USES OF INFORMATION
or instrumentation monitoring. It is information that
has been obtained by standard or recognized tech-
niques, presumably correctly and accurately, and has The geotechnical information that is compiled for a
not been extended or modified by geologic or engi- particular project is primarily intended for use during
neering judgment or interpretation. project planning and design. However, there may also
Factual information or data may be used or inter- be some use of the same information by the Engineer
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
preted by qualified personnel with reasonable confi- or Contractor during construction.
dence that it represents an actual condition that exis- Ordinarily the initial use of preliminary informa-
ted at a specific location at a specific time. There is no tion on a design project will be for route or site selec-
presentation of the meaning of the facts or data, nor is tion, environmental impact assessment and planning
there any assurance that different or additional data design-phase subsurface investigations. Preliminary
could not be obtained at a different location or time, geotechnical information may be based entirely on
or by a different method. the interpretation of pre-existing data, but it will usu-
In some situations, the classification of data may ally include some mapping or explorations that have
also be applied to pre-existinginformation in the form been carried out for the particular project.
of published geologic reports or maps, records of Most of the project geotechnical information will
previous test borings on a site or route, or other be developed and used during the design phase. To
similar reference material. The extent to which pre- the extent possible the necessary data will have been
existing information is factual may not be known; it obtained early in the design phase, so that the data
should be clearly identified as to its source and appar- and its interpretation can be available throughout
ent or possible limitations. Re-existing information is detailed project planning. Agency policy or pro-
subject to interpretation by qualified personnel, with cedures may call for pilot subsurface explorations at
the understanding that all or part may be neither the start of design, or permit the accomplishment of
factual nor applicable to the current project. design-phase explorations in two stages, so that both
209

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early design studies and the final project configura- 10.3 PRESENTATION OF FACTUAL
tion are based on adequate information. INFORMATION OR DATA
The geotechnical information that is developed
during design-phase investigations may have a variety Preceding sections of this manual have presented
of uses, including input to the following: comprehensive listings of methods for obtaining var-
ious types of geotechnical data, and have detailed
Comparisons of the feasibility or cost of alterna- both the procedures and the data to be obtained. The
tive foundation or structure types, or following subsections of this section include selected
alignments. listings of frequently-used factual information or
Development of specific design recommenda- data. They are not necessarily either complete or in
tions and specification requirements for the order in which the information will be obtained;
geotechnical aspects of the project. rather, they are intended to demonstrate types of data
Estimates of soil, rock and foundation quantities and more commonly used items.
for estimating costs and bidding the project.
Backup information for the as-designed project
10.3.1 Pre-Existing Data
so that construction-phase personnel will be
aware of the reasons for the design and contract
To the extent possible or appropriate the information
provisions.
Description of anticipated subsurface conditions listed in this section will be compiled and evaluated
prior to the commencement of actual subsurface ex-
to provide basis for bidding and definition of
ploration for a project. Some of it may be located or
changes, particularly if project is to be bid as a obtained at the time of the initial site or route recon-
lump sum. naissance. Pre-existing data will ordinarily form the
basis for planning project geotechnical investigations.
For some agencies the last of these purposes may be It can be added to as more pre-existing information
unintended and contrary to agency policy. Past prac- becomes known during the course of the project.
tice in contracting for the construction of transporta-
tion projects has commonly been to place as much as Topographic maps of site or route (U.S.Geolog-
possible of the responsibility for determining and conical Survey quadrangle maps, state or municipal
tending with subsurface conditions on the Contractor. photogrammetric maps, etc.)
Boring information has sometimes not been provided Geologic maps of site or route (US.Geological
in the contract documents, or more often, has been Survey or state quadrangle maps showing bed-
made available with a disclaimer as to its accuracy. rock or surficial geology)
There have also been contract provisions to the effect Soil survey maps and reports (U.S. Department
that bidders should make their own subsurface explo- of Agriculture, Soil Conservation Service)
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rations. The intent of these practices has been to Water supply papers and maps (U.S. Geological
avoid claims for changed subsurface conditions that Survey or state agencies)
would increase project cost. Aerial photographs (State or municipal agen-
Courts have not upheld contract provisions that cies)
intend to have the Contractor take all of the risk for Climatological data (U.S. Department of Com-
unknown or changed subsurface conditions. Further- merce)
more, there have been added costs to agencies when Published geologic or engineering reports appli-
prudent Contractors have included substantial con- cable to project or area. (Federal, state, munici-
tingencies in their bids, to allow for unknowns, or pal or private)
when there have been delays and disputes due to Available results of previous test borings or
claims when imprudent Contractors have encoun- other subsurface explorations, including drilled
tered unexpected subsurface conditions. wells, on or near site or route (State, municipal
For other types of projects, such as the investiga- or private)
tion and repair of deterioration or damage, or a fea- Statewide data-bank compilations of geotechni-
sibility or cost study, there may be more or fewer cal properties and conditions related to specific
geotechnical considerations than for a typical design geologic units, as observed by various DOTS
project. However, the geotechnical information that Records of construction or performance of foun-
is developed will still have basic application to what- dations or other engineered works on or near
ever engineering analyses and evaluation are carried site or route (State, municipal or private)
out. Records of past stability, settlement or other
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Compilation and Presentation of Geotechnical Information
geotechnical problems on or near site or route Logs of test pits and test trenches, with dis-
e (State, municipal or private)
10.3.2 Remote Sensing

turbed samples
Records of observation well installation and
monitoring
Records of hand-rod, drive-rod or percussion
This information is commonly obtained by means of drill probings or soundings
airborne equipment as an early planning supplement
to or substitute for pre-existing data. The below-listed 10.3.5 Field Testing
types of remote sensing provide information that usu-
ally requires interpretation tobe useful to geotechni- In many cases insitu testing of soil or rockwill provide
cal personnel: better or more accurate information than can be ob-
tained by laboratory testing of disturbed or undis-
Low or high-altitude black and white or color turbed samples. The information provided by some of
photography (high-altitude imagery is com- the below-listed tests can be directly applicable to
monly available through the EROS Data Center design, to the extent that field conditions and test
of the U.S. Geological Survey, Rapid City, SD) procedures are representative of the design condi-
Thermal infrared and side-looking airborne ration; other field tests require interpretation of the
dar (SLAR) data.
LANDSAT (satellite) and manned space mis-
sion imagery (EROS Data Center) Vane shear
Cone penetrometer
For a more detailed discussion on remote sensing, Eressuremeter or borehole shear device
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
refer to Section 5.5, Remote Sensing. Plate bearing
Field CBR
10.3.3 Geophysical Borehole permeability
Water pressure
The data source for this information can range from Pumping
airborne to ground-surface surveys, including sensing Percolation
in individual boreholes. Geophysical information,
such as that listed below, requires interpretation for 10.3.6 Laboratory Testing
geotechnical use, and generally provides relative
rather than absolute geologic information as well as Laboratory testing also provides a basic component of
indications of average engineering property data. design-phase geotechnical information, commonly
utilizing disturbed and undisturbed samples of soil
Seismic refraction or reflection surveys and rock from test borings and test pits. Data from
Resistivity or conductivity surveys the following categories of tests are usually directly
Electromagnetic, magnetic or gravimetric sur- applicable to design.
veys
Borehole logging and seismic velocity measure- Soil classification and physical property tests,
ments including grain size distribution, Atterberg
limits, water content, organic content, unit
10.3.4 Subsurface Explorations weight and specific gravity
Soil performance tests, including unconfined
Most design-phase geotechnical information is ob- and triaxial. compression, shear, consolidation,
tained by subsurface exploration, with drive-sample permeability, CBR and compaction
test borings being the primary source of data in many Soil dynamic property tests, including triaxial
areas. The listing that follows includes onIy the basic and resonant column
types of data that commonly result from subsurface Rock property tests, including hardness, abra-
explorations; on any individual project there may be a sion resistance and compression
variety of methods of exploration that seek to obtain
other items of specific information pertaining to that 10.3.7 Construction-Phase Testing
particular project. and Monitoring
Logs of test borings, with disturbed and undis- Most of the soil information that is developed during
turbed soil samples, and rock cores construction will be for quality control purposes, but
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AASHTO T I T L E M S I 8 8 0639804 0011838 482
there can be geotechnical investigationsin connection weighed against the possible use of the same funds
with the confirmation of design analyses or the resolu- toward other objectives.
tion of problems. The field data can be in one or more Many aspects of project design are subject to fac-
of the following categories. tors of safety that have been set on the basis of long
experience. Geotechnical engineering analyses com-
Results of subsurface explorations, including monly also utilize factors of safety that have been pre-
borings and test pits; determined by engineering practice or agency policy.
Results of soil tests, such as gradation, water However, the interpretation and use of geotechnical
content and unit weight; data must consider the reliability of that data and the
Results of load tests, such as pile or plate bearing certainty of the interpretation with respect to the
tests; feasibility, safety and cost of the project. These con-
Records of monitoring of instrumentation, in- siderations may dictate departures from usual factors
cluding observation wells, settlement measuring of safety, and should be made known to those who
devices, inclinometers, extensometers, strain or have design responsibility.
pressure gages, and vibration monitoring equip-
ment, and; 10.4.2 Geologic Interpretation
Rock structure mapping.
This is often a process of refinement throughout plan-
ning, design and construction. Re-existing data and
10.4 PRESENTATION OF field reconnaissance may be the original basis for
INTERPRETIVE INFORMATION geologic maps. Interpretation of the data by qualified
geologists can increase the reliability of information
Factual information or data, in conjunction with geo- that necessarily has to be inferred between points or
logic or engineering judgement and analyses, forms locations of factual data, but it cannot provide cer-
the basis for interpretive geotechnical information. tainty as to subsurface conditions.
As previously noted, there can be agency or legal Geologic interpretation can extend beyond the de-
differences of opinion concerning the dividing line velopment of soil and rock maps and profiles, to the
between fact and interpretation. The items of inter- detailed evaluation of specific aspects or items that
pretive information that are presented in this section will have particular engineering impact on a project.
are considered to require professional judgement or Such evaluations could include rock structure for tun-
interpretation that extends beyond the simple applica- nel projects, aquifer delineation for dewatering con-
tion of standardized techniques or procedures. siderations, and clay stratum history for the predic-
tion of settlement.
10.4.1 Design or Analytical Considerations
10.4.3 Design Evaluation and Recommendations
The interpretation of data will normally have as its
objective the development of design or construction As has been stated, the geotechnical engineering in-
recommendations. Feasibility will usually be the ini- terpretation for most projects will be directed toward
tial engineering consideration-whether or not a par- the development of design recommendations. Geo-
ticular design and construction approach can accom- logic interpretation will be extended to develop de-
plish the project objective. sign subsurface conditions and engineering properties
After feasibility has been established, the primary for soil and rock. This interpretation will include con-
design consideration will be safety, such that the proj- sideration of the reliability and applicability of the
ect can be expected to perform satisfactorily for its available data, and the effect that inaccuracies may
design life without foreseeable unacceptable danger have on geotechnical design evaluations.
to people or property. As part of the design process there will then be
It is these considerations of feasibility and safety evaluation of the relationship between established
that necessitate the use of factors of safety, to provide project requirements, such as structure geometry and
a design margin that will aliow for uncertainty as to loads, and the interpreted subsurface conditions. This
data reliability, analysis applicability, loading condi- general evaluation will often be a basis for considera-
tions or use, and material or construction quality. tion of alternative design approaches for the various
Cost is an opposing consideration that mitigates geotechnical aspects of the project. The comparison
against over-conservatismin the selection of factors of of alternatives will include consideration of geo-
safety. Project budgets will always have finite limits, technical feasibility and cost, but the final choice will
and the cost of an increased factor of safety has to be usually also have to reflect compatibility with project
212 --`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

AASHTO T I T L E M S I 8 8 m Ob37804 0033837 3 3 7 m
requirements based on other concerns, such as envi- Ailowable pile loading-for pile type, structure
ronmental impact, structural design, available right- load, method of support, and soil or rock condi-
of-way and schedule limitations. tions.
Specific design recommendations are the primary Pile driving requirements-hammer, toler-
component of geotechnical interpretive information. ances, etc.
These recommendations should address both the en- Cut-off elevations-water table, marine borer
gineering aspects of design and the construction con- problems, etc.
siderations that relate to implementation of the rec- Test piles required-location for maximum util-
ommendations. The following subsections present a
listing of items that should normally be considered in . ity.
Load tests required and use of dynamic pile
developing design recommendations for transporta- driving formula-confirmation of capacity.
tion-related projects. There will certainly be variation Corrosion effects of various soils and waters,
between projects; some will involve items that are not and possibility of galvanic reaction-protective
listed and others will involve only selected items. provisions.
Potential for obstructions-pre-augering or tip
10.4.3.1 Structures reinforcement.
Lateral forces-batter piles or lateral soil resist-
j p e of Foundation Support ance.
General Considerations Unusual conditions-difficult driving, tremie
seals, etc.
Loading conditions-vertical and horizontal,
static and dynamic and various combinations. Other Foundation Types
Settlement-requirements of structure vs. soil
conditions. Type and Method of support-caisson, drilled
Effects on adjacent construction-for example, pier, etc., to soil or rock; reason for selection.
excavation or dewatering limitations. Allowable capacity and support elevation-de-
b
Scour depth-for foundation protection. sign and construction criteria.
O Footings
Tests required, and other considerations as for
Piles.
o Elevation of footing-for structure geometric Approach Fill Considerations
requirements or subsurface conditions.
Allowable bearing pressure-for bearing capac-
Settlement-may require surcharging or time
ity and for settlement; considering soil or rock,
delay, additional bridge spans, negative skin
adjacent foundations, water table, and other
friction load on piles.
factors.
Stability-may require stage construction,
Material on which footing is to be placed-exca-
height limitations, berms, removal of unsuitable
vation requirements, possible removal of unsuit-
material, use of select fill materials.
able material, use of structural fill, and de-
watering.
Estimated settlement-footings on earth. Wall Considerations
Resistance to sliding-footings on earth.
Lateral forces-wall type, earth pressure or re-
Piles sistance, surcharge or dynamic loads.
Backfill-material or placement limitations.
Method of support-friction or end-bearing, in o Drainage-waterproofing, underdrains or
rock or soil or both; settlement potential. weepholes.
Suitable pile type or types-reasons for choice
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and/or exclusion of types. 10.4.3.2 Cuts and Filkr

o Pile tip elevations.
b
Estimated-average values, with range of varia- Excavation Considerations
tion if desirable.
Specified-explain reasons, such as driving Materials-classification, rock profile and rip-
O through fill, negative skin friction, scour, under- pability, boulder content, use or disposition,
lying soft layers, piles uneconomically long, etc. shrinkage or swell during excavation.
213
AASHTO T I T L E IS1 8 8 W
Procedures-equipment, time, or sequence lim- shield or pressurization, rate of advance, tempo-

itations or requirements. rary support, adjacent structures and underpin-
Groundwater-levels and seepage, probable ning, access and material disposal, machine fea-
variations, control during excavation, perma- sibility.
nent control by underdrains. Groundwater control-waterproofing or per-
Slope stability-soil, rock and water conditions manent drainage.
in problem areas, construction-phase and long-
term stability, permanent slopes and slope treat- In Rock
ment, excavation limitations, static and dynamic
conditions. Design considerations-opening size and shape,
cover depth, rock geologic characteristics and
Embankment Considerations physical properties, lining, groundwater condi-
tions.
Foundation-unsuitable materials or sidehill Constructibility-face or heading geometry,
slopes, stability, stabilization or removal, seep- rate of advance, rock support and bolts, rock
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
age or groundwater problems, settlement. performance and overbreak, blasting limita-

Procedures-equipment, time or sequence lim- tions, access and material.
itations or requirements. Groundwater control-during construction and
Filling-available materials or borrow require- permanent drainage.
ments, placement and compaction, slopes and
slope protection. 10.4.3.5 Construction Considerations
10.4.3.3 Pavemenfi or Roadbeds Potential problems-data limitations, unex-

pected subsurface conditions, quantity esti-
Subgrade mates, contractor performance, adverse
weather.
Quality-unsuitable materials, variability, frost Environmental concerns-noise or vibration,
susceptibility,expansive or corrosive soil condi- runoff and erosion, dust or siltation.
tions. Excavation-control of earth and rock slopes
Support capacity-wheel or truck loads, traffic including shoring, sheeting, bracing, and special
intensity, dynamic conditions, bearing capacity, procedures, variation in type of material en-
improvement. countered, slope and bottom stability.
Groundwater-fluctuations, control in excava-
Pavement or Roadbed Section tions, pumping, drawdown.
Adjacent structures-protection against dam-
Material-surface type, base and subbase avail- age from excavation, pile driving, drainage.
ability and quality, processing Quality control-monitoring, sampling, labora-
Thickness-design requirements, maintenance tory and field testing, project performance.
Drainage 10.4.3.6 Instrumentation

Soil, rock or structure movement-settlement
Groundwater control-levels and variations, platforms and points, inclinometers, tiltmeters;
pavement or roadbed and subgrade protection, extensometers, heave stakes, optical survey.
underdrains. Groundwater level or movement-observation
Soil movement--erosion potection, filter mate-
wells or piezometers.
rials or fabrics. Soil, rock or bearing pressure strain gages, pres-
sure celis or plates.
10.4.3.4 Tunnels or Underground Structures Rock or structure vibration-seismograph.
In Soil
Design considerations-opening size and shape,

10.5 GEOTECHNICAL REPORT
cover depth, soil characteristics, lining, ground- PRESENTATION
water conditions. As indicated in section 10.3, there is variation among
Constructabiiity-excavation and face stability, agency policies with respect to the dissemination of
214
AASHTO T I T L E M S I 8 8 Ob39804 0 0 1 L B L i L T 7 7 =
geotechnical information to contractors. In some portant that all data be accurate, complete, and prop-
il) cases it has been deliberately withheld, as being for erly labelled, as to applicability and limitations, com-
design purposes only, and in other cases it has been plete and checked.
formally included in the contract documents, with the
recent trend being toward the latter. Court decisions
have influenced the trend. 10.5.2 Informal Planning and Design Submittals
10.5.1 ContractuaVLegal Implications When factual data and interpretive information are to
be formally presented in one or more project geo-
It is generally considered desirable and prudent to technical reports, there can be a need for the submit-
make all pertinent geotechnical data available to bid- tal of less formal data packages, preliminary reports
ders, and to require contractor acknowledgment of and memoranda during the course of project planning
the availability, either in writing or by the inclusion in and design. Subsurface explorations and testing may
the documents. There should be appropriate contract be conducted in phases or by areas, or for specific
clauses clearly stating the limitationsand applicability individual design concerns., Feasibility or economic
of the data that is made available. It is also desirable studies may be carried out for alternative designs or
to make pertinent interpretive information available routes, many of which will not be part of the final
to bidding contractors to clarify geotechnical aspects project design. Sometimes there will be detailed geo-
of the project and provide a uniform basis for bidding. technical investigation and analysis to respond to a
However, there is less agency acceptance of a policy of particular design-phase concern, such as corrosion or
disseminatinginterpretive information, particularly if expansive soils.
it is to be included in contract documents, and there is Preliminary geotechnical reports and memoranda
a greater need for clear contract stipulations as to the should be prepared for timely submittal to appropri-
purpose of the information and the obligation of the ate members of the design team whenever this infor-
contractor to draw his own conclusions. mation will benefit the design process. In addition to
One increasing contractor use of available geo- project subsurface exploration, field and laboratory
technicalinformation, or the absence of such informa- test and observation well monitoring results, prelimi-
@ tion, is in the area of changed conditionsclaims. To
some extent this can be avoided by the use of unit
nary data submissions can include pre-existing infor-
mation and results of remote sensing or geophysical
price contracts, or by the use of base geotechnical surveys. Early submittal of geologic or engineering
data or its interpretation as the basis for adjustments evaluation of preliminary data may be necessary to
in payments to the contractor. These approaches establish a basic design concept or design criteria.
place part of the risk of added costs due to unexpected Study profiles based on available subsurface informa-
subsurface conditions on the agency, but they have tion may warrant interim dissemination to other
the benefit of reducing contingency allowances in the members of the design team.
bids of responsible contractors. As long as there will be wrap-up formal reports, the
Whatever provisions there may be with respect to individual informal preliminary reports and mem-
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
the relationship between geotechnical information oranda do not necessarily have to be complete in
and the contract documents, much of the geotechni- themselves. They are a part of the design process, and
cal information that is generated during planning and will be superseded by the formal reports that may
design is not ordinarily useful or pertinent during become part of the construction process. Informal
construction. Such information may relate to super- reports and memoranda do have a need for accuracy
seded alignments or locations, technical or economic and completeness with respect to the planning or
comparisons of design alternatives, details that are design aspect to which they apply, since they can be a
not adopted, or items deleted from the project scope. basis for major design decisions.
These items do not benefit the Resident Engineer or a Informal preliminary reports and memoranda
responsible contractor; however, they may become should clearly define the basis, limits, applicability
the basis of claims by some contractors. Thus there is and intent of the information that is presented. It is
added reason to exclude non-pertinent information important that the information not be subsequently
from that which is available to contractors. The misinterpreted, incorrectly extrapolated or otherwise
decision as to what is pertinent and what is not can be misused because of uncertainty or misunderstanding
on a project by project basis, or can be established by as to its applicabilityto another area or concern. Any
agency policy; it is also subject to legal interpretation.
0 The potential for claims and legal questions relative
to geotechnical information makes it particularly im-
report or memorandum should also reference other
related reports that are superseded, amplified or re-
vised.
215
10.5.3 Data Reports project should also be presented in one or more for-
mal interpretive reports. These reports should be as
Factual geotechnical information that has been com- brief, concise and definite as possible. An interpre-
piled and developed for a project (Section 10.3) tive report in the early stages of a project may be
should be presented in one or more formal data re- geology-oriented, presenting an evaluation of route
ports. There are often separate subsurface explora- or site geology as it may affect the project, while a
tion and laboratory testing reports, and there may be latter report may emphasize engineering evaluation
other reports covering specialized methods of explo- and recommendations.
ration, such as seismic survey. Geotechnical data re- The development of interpretive geotechnical in-
ports should be completed and distributed to appro- formation for a project will not normally be complete
priate members of the design team as early as practi- until planning and design have progressed to the point
cable. In final form data reports will also provide where specific recommendations can be made for all
reference information during contract bidding and of the geotechnical aspects of the work. Final align-
construction. ment andor geometry wiil have been selected, and
Data reports should include factual descriptions of the magnitude of design loads will be known. If there
the types of data and the methods by which the infor- is to be a single formal geotechnical interpretive re-
mation has been obtained. Wherever possible the port for a project it wiil be prepared at this stage to
methods should be referenced to standard AASH'ID present final recommendations for the designed proj-
or ASTM procedures, with any departures noted. It is ect.
necessary to locate individual subsurface explora- The analyses upon which informal or preliminary
tions. The locations are ordinarily presented on an reports and the formal geotechnical interpretive re-
enclosed plan, although it is sometimes sufficient to port are based will have addressed various applicable
provide coordinate or station locations on individual geotechnical considerations. The formal interpretive
logs or in a table. It may also be desirable to summa- report will present the results of the analyses, along
rize or tabulate other specific items from the data. with design recommendations and a discussion of con-
The data itself is the reason for geotechnical data struction considerations. However, the formal inter-
reports, and it should be complete, clear and accu- pretive report will not normally include information,
rate. For the most part the information should be such as studies of possible alternatives, that does not
presented in the manner detailed in preceding sec- pertain to the as-designed project.
tions for individual exploration and testing tech- The following generalized outline of the contents of
niques. Plotted curves based on raw data and stan- a formal interpretive report for a design project is
dard calculations should be utilized wherever they will included as a guide. It will not apply directly to all
provide a more effective presentation for the informa- projects, being incomplete for some and too broad for
tion. Individual data sheets should always identify the others. Each project should be considered individu-
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
following: ally to develop a report outline that is appropriate for

the particular project.
Project name and number
Agency and/or firm producing information Site conditions pertinent to geotechnical evalua-
q p e of exploration, test or monitoring tions.
Exploration or test number or other identifica- Geology and subsurface soil and rock conditions
tion on and near the site or alignment, including
Exploration or test location or specimen source descriptions of major soil strata. This would nor-
Date mally be referenced to a location plan and/or soil
profile sheets, which would be part of the report,
Often it is helpful to show the results of field and Groundwater conditions on and near the site or
laboratory tests on the finished boring log to provide a alignment. This would also normally be refer-
quick reference to the soil properties of each stratum. enced to profile sheets.
Agency policy or project considerations may also dic- Soil and rock properties as determined from
tate departures from or additions to the more usual laboratory tests and literature reviews. Recom-
content of data reports. mended properties for design would be assigned
to basic strata.
10.5.4 Interpretive Reports Foundation conditions, and recommended
foundation type and criteria for design of
Geotechnical information that has been developed by bridges, retaining walls, buildings and other
geologic or engineering evaluations and analyses for a structures.
216
~-
AASHTO T I T L E M S I !~ O b 3 9 8 0 4 OOLL843 8 4 T 9
Estimated settlement of structural elements at presented on a map or profile wiil be a function of

recommended loadings. both the available information and the engineering
Recommended lateral earth pressures for de- requirements of the project. Details relative to proj-
sign of temporary earth support and permanent ect design, such as planned foundation locations or
walls. elevations,can be helpful in the evaluation of profiles,
Evaluations of short and long-term stability and but they are subject to change after completion of the
settlement of excavations and embankments, in- geotechnical report. Such presentations should be
cluding recommendations for cut and fill slopes. avoided or clearly labelied as approximate or prelimi-
Evaluations of the materials that will be encoun- nary.
tered in excavations, the uses of these materials,
and the availability of borrow materials. 10.5.5 Contractor Investigations and Briefmgs
Evaluation of anticipated ?zone of influence? of
proposed construction on adjacent property and Contract documents will frequently contain some ref-
structures, and consideration of factors contrib- erence to it being the responsibility of the contractor
uting to the influence. to make his own investigation of subsurface condi-
Evaluation of anticipated dewatering pro- tions in order to obtain information for bidding. In
cedures and their effects, and recommendation some circumstances, generally for a major or complex
of measures to minimize adverse effects on adja- project or when there is particular uncertainty as to
cent property and structures. subsurface conditions, one or more contractors may
Evaluation of anticipated excavation support elect to carry out borings or test pits on their own.
procedures and potential ground movements in However, such explorations will generally be limited
areas of adjacent property and structures, in- and infrequent because of time and cost limitations.
cluding consideration of underpinning, where For major projects there are often pre-bid or pre-
appropriate. construction briefings, at which time information on
Recommended pavement sectionsand floor slab unusual or complex subsurface conditions or founda-
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
support, with associated waterproofing and/or tion construction can be presented. The presented
drainage considerations. geotechnical information should also be available to
Description of recommended program of instru- contractors in the contract documents, or should be
mentation and monitoring. distributed by addendum, so that all involved parties
Recommended technical provisions of specifica- will have access to the same idormation. There
tions related to geotechnical aspects of the proj- should also be a distinction between information that
ect. is considered to be fact and that which has been
inferred or interpreted, and is thus subject to the
It should be noted that soil and rock profiles and judgement of the contractor as to its applicability or
geologic mapping are interpretation to the extent that validity.
they depict conditions at points between exploration
locations. Indicated conditions at intermediate points
are ?probable.? Actual conditionsmay differ, and the 10.6 REFERENCES
map or profile should clearly so indicate. There
should also be a reference to the location or availabil- ?Specifications For Subsurface Investigations.?Col-
ity of the data upon which the map or profile is based. umbus, Ohio: Ohio Department of Transportation,
Soil profiles are commonly drawn with the vertical 1984.
scale exaggerated and the strata outlined or ?Wyoming Highway Department Engineering Geol-
?hatched? to emphasize the interpreted soil, rock ogy Procedures Manual, 1983.? Cheyenne, Wyo-
and water conditions. The amount of detail that is ming: Wyoming State Highway Department, 1983.
217

AASHTO T I T L E MSI 8 8 Ob39804 O O L L 8 4 4 7 8 6
APPENDIX A
Drilling, Sampling and Installation Procedures
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
A selected summary of the various drilling sampling GENERAL FIELD PROCEDURES
and instrumentation installations procedures re-
quired to obtain the necessary subsurface information 1. Rock Coring
and the associated forms to record the data are in- 2. Observation Wells
cluded within Appendix A. This summary is not in- 3. Piezometers
tended to be all inclusive of the variety of methods 4. Exploratory Probes
and procedures discussed throughout the various sec- Hand Probes
tions of this Manual. The more basic and simple pro- Percussion Probes
cedures, which will vary from organization to organi- Acoustic Probes
zation, and a detailed discussion of the very complex 5 . Exploratory Test Pits
methods which are beyond the scope of this Manual, 6 . Thin-Wall Open Drive Sampling
are not discussed in more detail. 7. Mechanical Stationary Piston Sampling
The various field procedures are included only for 8. Hydraulic Piston Sampling
general guideline purposes, realizing that specific op- 9. Denison Sampling
erational details are dependent upon local practice, 10. Pitcher Sampling
available equipment and subsurface conditions. Stan-
dard and acceptable procedures in one part of the
country may be prohibited or not available in other
areas.
Various field logging forms are also included with ROCK CORING
the applicable procedure for general information pur-
poses. Specific field forms will also vary between Purpose
organizations and any format which records all the
necessary information is acceptable. Rock coring techniques are used to obtain a contin-
uous sample of rock at the project site for field logging
and to provide samples of intact rock for laboratory
FIELD REPORT FORMS testing. Additional information about the rock mass is
available by careful observation of rig performance
1. Daily Report-Test Borings during drilling; such factors as drilling rate, bit wear
2. Test Boring Report and loss of drilling fluid. Rock coring usually only
3. Core Boring Report provides a small amount of information about the
4. Groundwater Observation Well Report rock mass at a project site. This information must be
5. Piezometer Installation Report extrapolated toward developing engineering recom-
6. Test Probe Report mendations concerning the entire rock mass. Hence,
Test Probe Summary
i: Test Pit Report
9. Field Production Summary Report
careful observations during drilling and careful log-
ging of the recovered core are absolutely essential to
each investigation.
219

- __ __- -
~ _ _ _
AASHTO T I T L E M S I 8 8 Ob37804 0 0 1 1 8 4 5 b 1 2 =
Equipment 8. Water return should be no more than what is
1. Drill rig
just sufficient to bring the borehole cuttings to
the surface. O
2. Barrel, core, and bit (Variety available) 9. Record the drilling time per foot, type of bit,
3. Rods, drill (AW size or larger; occasionally estimate of bit wear, drill rig R.P.M. and feed
may require NW rods) pressure.
4. Water supply (Mud optional) 10. Place the core carefully in the core box from
5. Time piece left to right, top to bottom. Carefully examine
6. Boxes, core and classify the rock, and measure the recov-
7. Pen, indelible ery and Rock Quality Designation (RQD) in
8. Labels percent. Record all information on Core Bor-
9. Camera (optional) ing Report.
10. Hammer, Schmidt (optional) 11. If 100% recovery was not obtained, sound the
11. Knife, pocket borehole to determine if the missing core still
12. Lens, hand, magnifying remains in the bottom of the borehole.
13. Reference material and forms 12. Terminate each boring, whenever possible,
14. Protractor with 100% recovery, in order to insure that
15. Ruler appropriate knowledge is available of these
16. Tape, cloth materials.
17. Device, sounding 13. The Field Inspector at the test boring site
must insure that all technical information is
There is no universal cre barrel or drilling equip- obtained regarding the recovered core speci-
ment for rock coring. The geologic and topographic mens, and that ali rock core is suitably pack-
conditions, in addition to the engineering require- aged and shipped. Refer to Section 6 for pre-
ments wiU dictate the type of equipment to be em- servation and shipment of samples.
ployed on any specific project. The following factors 14. It may be desirable that the rock core be
lead to good core production: photographed in color. After photographic
recording, selected specimen(s) of rock core
1. Insure a level and stable drilling platform be- may be designated for removal and testing.
fore commencing boring. Ail rock removed for laboratory testing
2. Insure that the drill stem remains as nearly should be replaced by a block of wood bearing
vertical as possible. On deep core holes, true notation of the missing footage. (Refer to Sec-
alignment of the casing is critical. The driller tion 6).
may elect to use a heavy drilling mud instead
of casing to support the borehole walls; this The procedures for drilling angle-holes is essen-
procedure is not as desirable under some con- tially the same as for the vertical variety, except that
ditions, but acceptable if satisfactory informa- specially-designed drill rigs and derricks are required
tion is obtained. to produce the desired angle of inclination. Several
3. Wash the casing out thoroughly. types of instruments are available to monitor the an-
4. Inspect the selected core barrel and bit for gle and drift of the borehole.
wear, general cleanliness, and free movement The procedures for wireline drilling are also the
of all parts. Reject any barrel or bit that ap- same as for conventional holes, with the exception
pears unsatisfactory. that the core barrel is designed so that the inner core
5. Pump recirculated drill fluid down the drill barrel can be raised on a wireline without removing
rods and observe a return flow before com- the entire drill string and outer core barrel and bit.
mencing drilling operations. The drilling rig must be equipped with a wireline
6. Carefully measure all lengths of rod, core bar- hoist.
rel, and stick-up through all phases of drilling If precise spatial orientation of rock bedding, folia-
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
to insure accurate depth determination. tion and discontinuities are required special orienting
7. Drill with minimal vertical pressure and rota- core barrels, equipment and procedures are neces-
tion. Most rigs are equipped with a selection sary. Refer to Section 6.
of gear ratios and a variable hydraulically- Shotcore drilling is usually employed to produce
controlled feed mechanism. Driller expertise large-diameter rock core (2 to 6 ft., and larger). The
in selecting the correct combination of speed core is cut by the abrasive action of chilled steel shot
and feed rate is invaluable. fed to a rotating soft steel bit.
220

AASHTO T I T L E MSI 8 8 0637804 O O L L 8 4 b 559
Appendix A
UY
DAILY REFRT -TEST BORINGS

FILE Na low OAT F 7 w 198 0 REPORT NO. 7
PROJECT 0 LOCATION EXAMPLE
CLIENT EXAMPLE INSPECTORIS) Ed smith INSPECTION TIME * hrs-

CONTRACTOR- DRILLER@) Don White
TYPE OF RIG(SI Acker Skid NO. RIGS WORKING WORKING TIME hrs*
NON- P R O D U C T I V E TIME
WEATHER EQUIPMENT BREAKDOWN UTE 1 hr* OTHER
WORK P R O D U C T I O N TODA Y
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
SEE OTHER SIDE FOR syueoLs a REM**#!

221

- - _____ ___
AASHTO T I T L E "XI 8 8 0637804 O O L L 8 Y 7 Y95
SYMBOLS
M: 2%' standord C : rock core

N : 3H'.standard U : 3"piston tube
O : 2%~' core prep T : 2"shelby tube
R : 3!4' core prep V : - v a n e shear test
W ; water borings p : permeability test
X : continuous samplings Y : pressure test
Z ; probes or soundings S : observation well
REMARKS
Client v i s i t e d site t o check on oroomss.

--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
Inspactor locatmi remaining borings and obtained e l e v a t i o n s .
Driller 1 hour late in arriving at s i t e . Production qoo.
222
~
AASHTO T I T L E MSI 8 8 W Ob398OLl OOLL848 321
Appendix A
A T E S GORING REPORT. e-.

- - -
FILE yo. 1 000
-
LIEHT: SMCETHO. I. Of I.
:OHTRACTGR: C.L. Guild DriJlinq 6 Borinq Co., Avon. MA LacATmtt: Sta . P
2+0.
n
1 0 ' 1t ,
F I E L D C L A S S I F I C A T I O N AND R E Y A R K S
U. U
I-n Loose d a r k brown sandy TOPSOIL, trace r o o t s
1 0 Medium compact yellow-brown , f i n e sandy SILT,
2.5 trace f i n e gravel, cobbles 6 roots -
LOESS -
.5 -
20
82 - C o m p a c t brown g r a v e l l y c o a r s e t o f i n e SAND,
trace s i l t 6 small cobbles
-
15 s3 6.5
76 -
-
1.n -
22 7
L A
Medium compact grayish brown, interbedded s i l t y

f i n e SANDS 6 non-plastic SILTS partings 6
l a y e r s . Drove 2" Shelby tube-Rec 20"
--
S t i f f yellow-brown, m o t t l e d , s i l t y CLAY
Attempted 3" undisturbed p i s t o n sample--no
-5.0
gray CLAY
I Pressed 3" undisturbed p i s t o n sample 24', Rec2a
20 a, o
Very compact, gray medium to f i n e sandy SILT,
l i t t l e coarse t o f n e gravel, t r a c e c l a y ,
cobbles 6 boulders. C o r e d 18" g- r a n i t e boulder
23.C TOD of Bedrock
!3. O 23.1 Hard, gray fine-grained Quartzite, f a i n t beddug
to dipping 30 t o 40, f e w t i g h t near v e r t i c a l
j o i n t s , s l i g h t weathering. Rock is sound.
Numbers i n l e f t column ase d r i l l i n g time/min.
~ 2 8 O.
I B o t t o m of Exploration
i FT. DEWUIY IAUPLE IDLHTICICATIW WUUARY
223
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

- ____
~ --
AASHTO T I T L E M S I 8 8 0637804 0011849 268 W
Manual on Subsurface Invesfigafions
I- T
7"' .
- OVERSORDEN (ser pas. 1)
Top o f Rock a t 22.0 Ft.
-
S o f t # s e v e r e l y weatered, brown r f::anl;
grafned QUMTZ BIOTITE GNEISS , t r a c o sarizae
---I-
i;
ev j o i n t s c l o s e t o va- clore, irregular: a t
f o l i a t i o n a t 75
w i t h peaatration.
.
random a n g l e r , b a v e r a i j o i n t s p a r a l e l t o
Waatharkrg d a c r e a s e s
30 . c2 Od Pumped 6& g a l s . per miaute i a t o rock f o r .

30 miautes. T e s t tersPinated. (sea attache:
test r e s u l t s ) .
1 AL---
Ma or shear zone 33.0 -- 33,s
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
=37.
35
35.c
vary hard, very slightly weathered to fresh
Li! dark greenish gray, amorphob, QUAWZ HORN-
- BLENDE GNEISS, j o h f s widely spaced, se&-
planas t o i r p u l a r a t 5 t o 75 w i t h few
at 10, t o 20 .
F o l i a t i o n poorly developed
at 55 to wir o f corm.
i
-4
y 100 r. PT2 Pumped 0.5 t o 0.1 g a l s . per minute i n t o r o d

120 O0 f o r 15 minutes. Test 'termirratad. (ras
attached t e s t results) .
L=S
5O -so.
l o t t o m of e q l o r a t i o n a t 5 0 . 0 '
I, -
Schmidt Hardness Number
Rock Cate obtained with Christensen
NW-3, 2-1/a X.n. S e o ft. b-61
FIELD HARON U WEATHE I BEDOINGIJOINT SPAClNG 1
224
AASHTO T I T L E MSI B B = 0639804 001L850 TBT
Appendix A
Ground Water Observation Well Report
JNO
!t
i 106.0
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
micxmss CP SUUf Ace SUL
3
n
TYP, OC SURFACE SEAL oncreb
c I N O I C A T I ALL SEALS WOWING O I C T l i .

THICXNISS ANO T Y P E 1
TYPE OP CASING "NX" F. J.
El. 103
L INSIOE OIAMETER OP U S I N G 3.0"
i I L I V ~ T I O N I ' O E P T UO C BOTTOM O f
102. o
CASING
ORGANE SILT INSIOE OlAMETtR O f R I S t R P I P E 1. O"

I TYPE OP B A U C P l L L AROUNO RISER c-f SAND
AMTEROf 3ORtHOL
3. O"
El. 9 0
entonite Seal at El. 9 0 to 100
CLEVATlON'OEP'T)( OC BOTTOM O f RISER 70. O
T f P I O f POINT OR MANUFACTURER Jet Screen
a
Umvclly coarse
to fine SAND
I 40 MM
2.0"
0th- Sand
:El. 60 T i a 68.0 I
.
FI. -8 0 - I E L E V A T I O N 'OEPTHOP BOTTOMOP S O R ~ H O L I 50.0
R E P En TO: EL. h P T l i -
1
225
~
-
m 0637804 O O L L 8 5 L L b m
I_-_
Ground Water Observation Well Report
i I I I I 1I II Il
l I I I I
I I I l
I-- I 7I I II II I
I I I I
I I I I I
I I I I I
I I I I I II
I I I I I
I I I
I
I I I I
I I I I
I II II
I I I I
-
I I
1- I
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
2'
I
I i
II
L
I I I I I
II I 1I II
226
AASHTO T I T L E M S I 88 = Ob39804 OOLL852 8 5 2
Appendix A
n PIEZOMETER INSTAUATION REPORT

--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
PROJECT: EXAMPLE FILE NO. 1000

Porous
LOCATION: INSTRUMENT TYPE
INSTRUMENT NO. 'O1-'

LOCATION
"O1
MOATE 6 July 1976 -

-.
INSTALLATION PIAGRAM IMTALUTIN C W E N T S
FCET
El. *17.0
(Boston
- O' Roadway Box Installed Over Piezometer Leads
0.25" Polyethylene tubing
- 20
0.0 - 34.0 Granular Backfill
See Boring Iag
tor Soil Profile
34.0 - 35.0 Bentonite Seal (tamped)
- 40 35.0 - 77.5 Granular Backfill
. 60
77.5 -
77.0 Seal consisting o 6" Bentonite,
6" Sand, 6" Bentonite (tamped)
17.0 -
6. Ekntonite (tamped)
80.0 Granular Collection Zone
-
79.0 Tip of Piezometer Sensor
I
80.0 81.5 Seal consisting o 6" Bentonite
6" Sand, 6" Bentonite (tamped)
L? 2.1
I
78.0
81.5 - 100.0 Granular backfill
LENGTH OF RISER PIPE LENGTH Of POINT
227

-- - _ _ _ _ _--
- -- ___ - __
AASHTO T I T L E M S I 8 8 Ob39804 0 0 3 3 8 5 3 799 rn
Manual on Subsu@xe Investigations
R(OBE REPORT PROBEN NO. 5

i
0:03 0.10 -
NOTE: Gray brown silty coarse to fine SAND, trace-
0:03 0.15 little fine gravei cuttings
0:03 0.10 \ -ARTIFICIAL FILL -
I 1:15 I 0.15 I
Bau Ider or
-
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
5
,
1:30
1:20
0~70
0.10 Concrete - 6.0'
o. 15
0:06
0:05
0.20 -
- NATURAL SOIL -
O: 05 o. 15 9.0'
lo- 1:30 0.40
2:15 , 0.55
-BEDROCK -
15
2:35 0.56
20- BOTTOM OF PROBE AT 19 FT.
228
AASHTO T I T L E MSI 8 8 Ob39804 O033854 b25
Appendix A
TEST PR08E SUMMARY PROBENO. pl-p6

P ILI n a 1000
PROPOSED WARGHOUSE ADDITION W E I T 110. 1 of
1
PROJECT:
mana WZE Solid Aueez.~
CLIENT:
EXAMPLE WATEREL. See Remarks
DATE 6-5-70
C-TRACTOR AL SHINER TEST BORING DRILLER, P. Cecil
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
I 1 I I I I I
229

__________- -
- - ___ -_ - __- ~~
AASHTO T I T L E MSI 8 8 Ob37804 0033855 563
Manual on Subsurfnce Investigations
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
e.'-.
IICTW
-..-_,
,*Ye. I DESCRIPTION OF MTERIALS I
I
REMARKS
I
I
Dark brown loamy MPSOIL
1
- WESS - Note: Walls of

p i e caving i n
from 1.0-2.0'
1.5
Dark brown-black fine sandy ORGANIC Note: Vary
SILT w i t h dessicattd tree trunks strong organic
odor
Gray-brown gravelly coarse to fine Note : Water

s m , trace silt with occassional entering p i t at
cobble
-
GLACIAL OUTWACH - 8.0'
1l.d
I I
Gray sandy SILT, little Coarse to fine
-
gravel, trace cobbles and boulders
LACIAL TILL -
Refusal on large boulder at 12.0'
230
AASHTO T I T L E MSI d B m 0639804 0 0 3 3 8 5 6 4 T 8 m
Appendix A
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
233
0033857 334 ~
AASHTO T I T L E M S I 8 8 0639804
OBSERVATION WELLS essary, secure installation with a locking cap

device such as that shown in Figure C .
Purpose 7. Install surface seal of concrete around protec-
tive casing at ground surface.
Groundwater observation weils are installed where 8. Fill the riser pipe with clean water to ground
fairly regular groundwater conditions are encoun- surface. Monitor, by means of measuring and
tered in relatively porous soils or bedrock. Figures A recording the fall of the water level inside the
and B show two possible types of observation well riser pipe, to determine the operability of the
installations. Observation wells generally consist of wellpoint.
2.5-5 cm (1-2 in.) diameter metal well points or 9. Locate and tie-in the installation to visible
slotted P.V.C. pipe. However, many other types and surface features.
sizes available may be suitable for the project in- 10. Record installation procedure on Groundwa-
volved. ter Observation Well Report.
11. Record groundwater observations as required
Equipment during the duration of the project.
1. Wellpoint (various sizes and types available)

2. Pipe, riser (to match wellpoint) PIEZOMETERS
3. Casing, protective with vented cap, or Road- Purpose
way Box (gatebox)
4. Soil, granular, backfill, common A piezometer is an instrument which provides meas-
5. Sand, Ottawa, or clean, weil-graded pea urements of pore water pressure at the elevation of
gravel the installed sensor. These instruments are frequently
6. Bentonite, ball-form, or other sealant installed in soil or rock to observe natural groundwa-
7. Concrete (optional) ter levels, to detect artesian water pressures, to ob-
8. Ruler serve the effects of pumping from adjacent wells, and/
9. Tape, cloth or to monitor the immediate and long-term effects on
10. Forms pore water pressure due to construction activities
(e.g., embankment loadings, deep excavation, de-
Procedure watering, etc.).
There are various types of piezometers, ranging
1. Complete exploratory borehole to required from the extremely simple standpipe to the complex
depth, and determine the static water level. and expensive pneumatic or the electrical vibrating
2. If necessary, backfill and tamp hole to the wire types. See Figs. A and B for details of two types
depth at which wellpoint is to be installed. of piezometers and piezometer installations.
Information required will dictate type of The piezometer specified must be tailored for each
backfill. Wellpoint may be installed in a com- individual project, so as to provide for the appropri-
pleted borehole or in a supplementary hole ate level of accuracy and evaluation. Some of the
made specifically for the observation well. various factors influencing choice include:
3. Attach wellpoint to riser pipe and lower to
required depth. Pour Ottawa sand (per speci- 1. Properties of soil or rock into which the
fication of ASTMDesignationC-190) or clean piezometer will be placed.
pea gravel slowly around wellpoint to approx- 2. Data requirements related to project specifi-
imately 5 feet above the point. cations (i.e., response time, durability, instru-
4. Backfill annular space between riser pipe and ment life, accuracy, reliability).
borehole wall with common fill material. 3. Read-out or monitoring requirements (fre-
5. Add backfill around riser pipe to bottom of quency of readings, access, location, etc.).
protective casing. Instail impervious seals as 4. Installation restraints.
required to isolate specific zones or to insure 5 . cost.
surface waters do not percolate to the well-
point area. Bentonite and/or concrete seals Equipment
may be adjusted as program specifications
require. 1. Drill rig
6. Install casing with vented cap or roadway box 2. Piezometer Sensor (electrical, hydraulic,
at ground surface to protect riser pipe. If nec- pneumatic, etc.)
232
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

AASHTO T I T L E M S I 88 0 6 3 9 8 0 4 0011858 270
Appendix A
Vented Casing Cap

Mortor ffush with ground rurfocr
Eu/rt/ng ground r u h
Proioctivo Cadng tSro variabfol
Riser Plpo /S/zr and typo var/ob/el.
Soof, focat/on and number

m roqu/ro.
NOT?:
Woff mode by dr/ving c s r / n g t a roqu/rod
op /A, c/eoning ouf and /nserf/ng we//poinf
and rlser pipe, Ottawo sand, Bentonife
seois ond common bac&f/i/ uhih smu/ianeous/y
bumping back cadng unti/ hoje is comp/efaiy
bocflfied ln /ncrements and casing
hos been removed. Moy be /nsto//ed in
complefed borehole if bacRfff/ed t a
required depth.
-Wo If points ts/ro and typo varfab/o).

--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
Figure A
O B S E R V A T I O N WELL
( I S O L A T E D TYPE)
N O T TO SCALE
233
.
. - I II - - --_____ - -
AASHTO T I T L E M S I 88 W Ob39804 OOLL859 L O 7 W
Mortar flush with top

Exlrtlno Pavomont of pavomont
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
-Buffalo Roadway Box far roquirod)

with bolt ottachino covor.
Nor&:
I W o l l modo by driving casing t o roquirod
dopth, oisaning out and inrorting wo// poin t
~ and riser pip,, Ottawo rand ond coarso
*
t o fino rand whiio rimultanoousiy
1 bumplng back coring until hol0 ia oompioto/y
backfffed i n incromonts and caring
bas bom r smowed. May be instaliod in
compht#d boroho/o if bac?iiiod to
roquirod dopth.
I W o l f points (si20 and typo varhbfe).
Figure B
O B S E R V A T I O N WELL
(AVERAGING TYPE)
NOT TO SCALE
234
AASHTO T I T L E M S I 8 8 Ob39804 O O L L 8 b O 9 2 9
Appendix A
-r%irr-
VENTED, OVER-SIZED CASING CAP
T
*B
PADLOCK THROUGH HOLE
DRILLED IN BOLT
BOLT PLACED THROUGH

OVER-SIZED HOLE DRILLED
THROUGH DIAMETER O f CASING
AND CAP
a--- 2 92 inch min. d i a casing
r ONCRETE OR GROUT COLLAR SEAL.
TEXISTING GROUND SURFACE
Observation wells
Methane we IIs
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
I PI piezometers I
a
c
-I
Figure C
LOCKABLE PROTECTIVE
RISER P I P E DETAIL
NOT TO SCALE
235
- ____
__ - -
= 0639804 0011861 865
-~ -~ -
A A S H T O T I T L E MSI 88
3. lhbing, polyethylene, coaxial cable or P.V.C. 3. When the boring is at its final depth and in a
tubing and couplings clean condition, the tamping hammer is low-
4. Couplings, P.V.C. tubing (preferably com- ered to the bottom of the boring. Friction tape
pression type) is then tightly wrapped around the tamping
5 . Unit, readout cable marking the exact top of the casing
6. Tank, surge (standard 10 liter (2.5 gal) pres- bumping coupling. This gives the total boring
surized garden insecticide sprayer) length. Exact depth should be checked using
7. Casing, steel, drilling or E-Rod size (used for cloth or steel measuring tape.
Geonor vibrating wire and hydraulic M-206 4. Remove the tamping hammer.
piezometer installations) 5. Pour enough saturated Ottawa sand into the
8. Bentonite, pellet-form (sealed borehole casing to equal 30cm (12 in.), and wait until it
piezometer installations) settles. The quantity of sand required should
9. Sand, Ottawa, or clean uniform concrete-type be computed beforehand.
(sealed borehole piezometer installations) 6. Lower the tamping hammer into the boring
10. Hammer, tamping and cable and rest it on the sand. The tape mark should
11. Ruler be above the bumping coupling a distance
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
12. Tape, cloth equal to the height of sand in the casing.

13. Friction or plastic tape 7. Remove the tamping hammer. If more sand is
14. Tool, threading (P.V.C. tubing, if required) needed to complete the filter it is then added
15, Weight, sash, 3 r kilogram (6 I lb) (or equiv- and the same procedure followed (a minimum
alent), approximately 30 cm (12 in) of 30cm (12 in.) of sand is recommended be-
16. Sand, washed, concrete (backfilling casing) low the piezometer sensing element).
17. Gatebox (Buffalo Roadway Box), with bolt- 8. Connect the leads (in one continuous un-
attached cover (optional) splicedlength, to extend 3m (10 ft.) above the
18. Mortar, cement ground surface) to the piezometer sensor.
The entire assembled unit including the sen-
Procedures sor should be checked for leaks and all con-
nections tightened and taped. Electrical
There are basically two general types of piezometer piezometers are immersed in water except for
installations: those installed in completed boreholes the read out plug and checked for electrical
and those driven, or pushed into undisturbed ground. continuity. Electrical piezometers should
The latter piezometers are most applicableto installa- then be field calibrated by lowering sensor
tions in cohesive soils. Details of each procedure are into hole, stopping and reading at various
listed. A Piezometer Installation Report, should be intervals 1.5-3m (5-10 ft.) spacing. The
completed after installation of each piezometer. casing should be kept full of water at all times.
Allow electrical sensor to equilibrate to water
Piezometers Installed in Completed Boreholes (Per- temperature before starting field calibration.
manent Casing Left in Place) For pneumatic piezometers, all leads and con-
nections are immersed, inspected and pres-
1. Drive casing of the required diameter to the surized to detect any leaks. Connect a weight
approximate depth at which the bottom of the to the assembly so that the weight hangs be-
piezometer sensor will rest. The lowermost low the piezometer sensor. After the sensor
3m (10 ft.) of casing shall not have any exter- and leads are assembled and tested, slowly
nal couplings, and the casing is to be open- lower the unit to the bottom of the open hole;
ended at the bottom. The casing may be the leads should be marked to insure that the
advanced by any means, except over the final piezometer is placed to the correct depth,
twenty feet of penetration. It shall then be 9. Puil the casing up, if required, so that the
advanced in 1.5m (5 ft.) increments, and the bottom of the casing is slightly below the top
casing must be washed out after each 1.5m (5 of the sensor, and at the same time, pour a
ft.) advance. The casing shall be kept filled measured volume of Ottawa sand into the
with water at all times; no washing below the casing so that the sand fills the space around
casing will be permitted. the piezometer tip to approximately .75m/2.5
2. Drive a large diameter split-spoon or thin-
walled tube 30cm (12 in.) below the bottom-
ft above the bottom of the casing. Maintain
tension on the leads and do not permit any O
level depth of the piezometer sensor. Preserve vertical movement of the piezometer tip.
the sample obtained. 10. Apply 20 blows to the top of the sand layer
236
AASHTO T I T L E MSI 8 8 m Ob39OL1 00338b2 7 T L m
Appendix A
* 11.
with a 15cm (6 in.) drop of the hammer per
blow.
As shown on Fig. A, form a bentonite seal of
five layers of bentonite pellets, each 7.5cm (3
in.) thick layer placed and compacted while
6.
excess tubing; measure the length of tubing to
the bottom of the piezometer unit.
Tie the sash weight to the tubing so that the
weight hangs below the piezometer unit; use a
wire or nylon cord bridle.
maintaining a constant tension on the tubing. 7. Connect the open end of the polyethylene
Drop bentonite balls individually until the tubing to the flushing tank; lower the
desired seal thickness is obtained. piezometer tip until the weight rests on the
12. Slip a tamping hammer, weighing approx- top of the sand.
imately 11.5 kilograms (25 lbs), over the plas- 8. Leaving the tubing connected to the surge
tic tubing and, keeping tension on the tubing, tank, lower the piezometer tip until the weight
apply approximately 20 blows to the sand rests on the top of the sand. Hold the poly-
layer with a 15cm (6 in.) drop of the hammer ethylene tubing to prevent twisting or kinking
per blow. during remaining operations.
13. Repeat this procedure until a .6m (2 ft.) seal is 9. Pour sufficient Ottawa sand around the tip
formed. Whenever the tamper does not move until the sand is about .6m (2 ft.) above the
freely, it should be immediately withdrawn top of the piezometer. Permanently discon-
and cleaned. nect the surge tank and check the height of the
14. Pour clean sand into the casing to form a .3m sandusing the tamping hammer and the refer-
(1 ft.) layer over the bentonite seal and com- ence mark on the cable.
pact with 20 blows of the hammer, with a free 10. When the sand is at the proper level, tamp the
fall of 15cm (6 in.) per blow. Repeat the above sand with 20,15 cm (6 in.) blows of the ham-
process until at least a .6m (2 ft.) sand plug is mer.
formed. 11. Place a 15 cm (6 in.) layer of dry bentonite
15. Repeat step 12, forming another bentonite pellets; predetermine the required volume.
seal, 12. Place a 7.5 cm (3 in.) layer of concrete sand
16. Fill casing to top with sand. over the bentonite.
0 17.
18.
Install protective cap or gatebox.
Flush piezometer with clear water.
13. Tamp the sand with 20,15 cm (6 in.) blows of
the hammer.
14. Repeat the procedure to construct a mini-
Note: During the entire procedure of placing mum seal length of .6m (2 ft.). Record the
sand, bentonite and/or tamping, a tension should be depth to the top of the seal.
kept on the piezometer leads. Care must be exercised 15. FU the hole with approximately .6 m (2 ft.) of
to insure that the leads remain vertical and that kink- concrete sand.
ing or breaking of the lead does not occur. Small 16. Tamp the sand as described in step 10 and
diameter, rigid P.V.C. may be utilized in place of then construct another .6m (2 ft.) seal.
flexible P.V.C. to simplify the installation procedure. 17. Backfill with concrete sand and construct
bentonite seals at 3m (10 ft.) intervals until
Piezometers Installed in Completed Boreholes (Casing the hole is filled to the level of the next
Removed). The following section outlines the nor- piezometer installation. (If required)
mal piezometer installation procedure. These pro- 18. Complete the installation of any shallow
cedures may be modified to adapt to field conditions. piezometers following the procedures in steps
3 through 16. Remove casing as required.
1. After completing all soil and rock testing and 19. Backfill with concrete sand and construct
sampling, wash or flush the borehole until the bentonite seals at 3m (10 ft.) intervals until
wash water is clean. the hole is filled to the level of the bottom of
2. Lower the tamping hammer to the bottom of the observation well installation. Remove
the hole; record the depth and mark the depth casing as backfilling proceeds.
on the cable using friction tape. 20. Place a Buffalo Roadway Box or other protec-
3. Pour sufficient Ottawa sand into the hole to tive casing flush with existing ground surface
fill about .3m (1 ft.) of the borehole. and motor into place if required.
4. Lower the hammer and rest the bottom of the
hammer on the sand; record the depth; raise
the hammer. Note: Small diameter rigid P.V.C. may be uti-
5. Assemble the piezometer tip and poly- lized in place of flexible P.V.C. to simplify the instal-
ethylene tubing providing about ten feet of lation procedure.
-
237
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

-
_. -~ _ ~ - ~ ~~
AASHTO T I T L E MSI 8 8 H 0639804 OOLL863 638
y Poly ar Nylon L e a d s
i
'"1
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
O
\I
O
OJ
Smd
[NSTALLA TfONDE TAILS O

238
A A S H T O T I T L E MSI B B 0639804 001LB64 5 7 4 W
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
Appendix A
239
~ - _.
AASHTO T I T L E MSI 88 m Ob39804 O O L L 8 b 5 400 m
Piezometers Installed by Insertion into Cohesive Equipment

Soil
1. Rods, probe, small-diameter, flush-coupled,
1. Only those piezometer tips which are espe- sectional (length depends on anticipated con-
cially constructed and recommended by the ditions)
manufacturer to be installed in this manner 2. Wrenches, pipe
shall be inserted into the ground by the pro- 3. Jack (optional)
cedures described herein. 4. Tape, cloth
2. Leads shall be attached to the piezometer tip 5. Stakes and flagging
and, if polyethylene, the leads may be spliced 6. Rubber gloves and boots
together with compression type fittings. Cas- 7. Ruler
ing or pipe shall be attached to the piezometer 8. Map, topographic
tip and extend for the full length of installa- 9. Notebook, field
tion. The leads shall be threaded through the 10. Crew, minimum of two field personnel
casing. The bottom 3 m (10 ft.) of casing shall
not contain any external couplings, and the Procedure
connection from the piezometer tip to the 1. Locate probe sites on available survey control
casing should be a smooth flush connection 2.Assemble the probes in appropriate, portable
without any external projections. lengths. Generally, do not exceed 5 m (16.5
3. Attach at least 3 m (10 ft.) of casing to the ft.) sections.
piezometer tip and push into the ground with 3. Push the probe, by hand, into soil to refusal
a constant steady motion without twisting. and/or underlying inorganic soils.
Add additional lengths of leads and casing as 4. When individual samples of organic soil are
required and advance to the final tip eleva- desired, a 2.5 cm (1 in.) O.D. retractable soil
tion. sampler may be attached to the end of the
4. On deep installations or where granular soils probe rods.
overlie the clay and it is difficult, if not impos- 5. Record the depth of penetration and the na-
sible, to push the tip to the required elevation, ture (if determined) of the underlying inor-
an open hole may be made to within 3 m (10 ganic soils. Determine soil thickness to the
ft.) of the final tip elevation using any ade- nearest 15 cm (6 in.). Record the depth of
quate procedure. The assembled tip and standing water, if any.
casing shall then be lowered into the hole and 6. It may be necessary on occasion to obtain
pushed with a constant steady motion without several probes in the same location to deter-
twisting to the final required elevation. mine if the refusal encountered is a buried
5. If the piezometer tip is hydraulic, the tip and stump or boulder. Be alert for this possibility.
leads should be filled with water, flushed and 7. Remove the probe from the ground, using
checked for leaks prior to installation. Also, a pipe wrenches, as soon as possible to avoid
slight water head should be applied by means buildup of soil friction.
of a surge tank to the tip throughout the in- 8. Occasionally, due to cohesiveness of the soil
stallation process to prevent the tip from clos- and/or depth of the probes, it is necessary to
ing. No pressure, however, should be applied remove probe rods by jacking, utilizing a
during the final few feet of penetration. small portable hydraulic jack.
9. Locate each probe on the plan of subsurface
explorations; indicate probe depth. If probe
sites are to be located during a later survey,
EXPLORATORY PROBES drive a stake at each location suitably marked.
HAND PROBES 10, Complete Test Probe Summary form.
Purpose
AIR PERCUSSION PROBES
Hand probes are made to obtain reconnaissance in-
formation in swamp areas, concerning the thickness Purpose
and lateral extent of soft, compressible cohesive soils.
Small-diameter steel rods are pushed by hand to re- Air-operated percussion drilling may be employed to
fusal and/or underlying inorganic soil. supplement more conventional subsurface explora-
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
240
AASHTO T I T L E M S I BB = Ob39804 O O L L B b b 347 9
Appendix A
tion techniques to obtain additional information on Optional Procedure Using Acoustical Equipment
the depth of relatively shallow bedrock. The track-
0 mounted varieties can be employed in areas of rela-
tively difficult access, or where very dense, boney,
1. Drill a listening hole into bedrock following
the procedures outiined above. Insure that
sands overlie bedrock. This equipment may be em- the listening hole terminates at a minimum
ployed in conjunction with an acoustical listening de- depth of 3 m (10 ft.) into bedrock.
vice to more accurately define the subsoil and rock 2. Place minimum 4 cm (1.5 in.) I.D. casing (if
conditions. required) to prevent collapse of the listening
hole.
3. Fil casing and hole with water.
Equipment
4. Lower the amplification probe into the listen-
ing hole to approximately 30 cm (12 in.) above
1. Drill rig, air-track percussion, and operator
the bottom of the borehole.
2. Compressor, pneumatic
3. Drill rods
5. Connect the probe extension to the noise-
level amplifier (Geomonitor).
4. Drill bits (available in several sizes)
5. Ruler 6. Connect earphones to noise-level amplifier.
Refer to Fig. A for sketch of test set up.
6. Field book
7. Commence additional percussion probes with
air track equipment in the vicinity of the lis-
Optional Acoustical Equipment tening device. Percussion equipment should
be a minimum distance of 6 m (20 ft.) from the
1. Indicator, electronic noise level (Geomoni- probes. Maximum distances will vary de-
tor) pending on soil and rock conditions.
2. Probe, amplification, and extension cord 8. Record rate of drill penetration 30 cm (12 in.)
(fully charged) and decibel readings from the noise level indi-
3. Casing, P.V.C. (minimum 4 cm (1.5 in.) I.D.) cator.
4. Earphones 9. Observe and record the character of the drill
@ 5. Stop watch cuttings as they come to the surface.
6. Water container 10. When bedrock is encountered, a major differ-
ence in penetration rate and noise level will be
Procedure noted. Terminate exploration at this point
and move to new location. As the distance
1. Connect the selected percussion bit to the from the drill rig and listening hole increases,
drili rods and commence vertical drilling in the noise level will decrease. Drill new listen-
approximately 3 m (10 ft.) increments. ing holes as required to be able to insure
2. Record the rate of penetration of the drill reliable readings.
stem (per 30 cm (12 in.)) under a constant 11. Record all data on Test Probe Report form.
drill feed pressure. Observe and record the
character of the drill cuttings as they come to EXPLORATORY TEST PITS
the surface.
3. Add additional lengths of drill rod as re- Purpose
quired.
4. The penetration rate will be quite rapid and Test pits and trenches may be excavated by hand or by
variable through overburden materials. The conventional earth-excavating equipment to provide
penetration rate will be considerably slower detailed examination of near-surface geological con-
and quite constant in massive boulders or ditions. The technique is utilized for such purposes as
bedrock. determining the presence of faulting, geologic con-
5. Penetrate a minimum of 3 m (10 ft.) into what tacts, preliminary slope stability estimates, and recov-
is believed to be bedrock to ascertain if it is a ery of buik samples for laboratory testing. Informa-
massive boulder. This depth may be increased tion to be obtained and depth required will dictate the
if larger boulders are anticipated. type of equipment and procedures to be employed.
6. The drillers expertise is invaluable in deter- Equipment
mining the type of materials being pene-
trated. 1. Excavator, machine-type (size and type de-
7. Record ali data on Test Probe Report form. pendent on depth and accessibility)
241
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

- ._ _ _ - ~

~ ~
- I _ - ~
0639804 O O L L 8 6 7 283
_ _ _ -
- -
HEADPHONES
PERCUSSION DRlt
HOLE
SOUND BEDROCK
WAVE
AFTER LUNDSTRM AND STENBERG (1965)

--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
COMPONENTS USED FOR

ACOUSTIC SOUNDING TECHNIQUE
2. Shovel, hand any underground utilities before commencing

3. Tape, cloth the excavation. This may require preliminary
4. Ruler investigations in association with various util-
5. Bags, sample with labels ity companies.
6. Stakes and flagging 2. If the excavations are associated studies for a
7. Pen, indelible, waterproof design structure, make all attempts to keep
8. Site plans and forms the excavations outside of the proposed foun-
9. Pump, dewatering (optional) dation or limit the excavation as much as pos-
10. Sheeting and bracing (optional) sible to avoid disturbance of foundation bear-
11. Barricades (if open overnight) ing materials.
12. Compaction equipment (if required for back- 3. Excavate the pit in a series of increments,
filling purposes). examining closely the soil types and thickness
of each stratum. The excavated soil shall not
Procedure be placed closer than 60 cm (2 ft.) from the
edge of the trencWpit.
1. Locate the excavation to the nearest 30 cm (12 4. Do not enter an unsupported pit that is exca-
in.). Determine the presence or absence of vated greater than a depth of 1.5 m (5 ft.)
242
AASHTO T I T L E MSI 8 8 W Ob39804 O O L L B b 8 L L T
Appendix A
below existing ground surface or any pit dis- Procedure

playing evidence of instability such as head-
wall cracking or slumping. Installation of 1. Advance the borehole to the required depth
shoring wii be in accordance with construc- and wash thoroughly with a conventional
tion safety orders of the appropriate state and washing bit, taking care not to disturb the
U.S. Occupational Safety and Health Act. material to be sampled.
5. Record the size, quantity and type of all boul- 2. Examine the thin-wall tube to determine that
ders and fiil materials excavated from the pit. it is free of rust, dents or scratches. The cut-
6. Obtain representative samples as required. ting edge should be bevelled and drawn-in,
Note the presence or absence of groundwater approximately .O156 mm (U64 in.) less than
or surface waters entering the pit; record the the outside diameter of the tube.
approximate rate of flow. If possible, leave 3. Pass a clean rag through the tube to remove
the pit open for several hours to insure accumulations of foreign matter.
groundwater stabilization; relatively imper- 4. Attach the thin-wall tube to the head assem-
vious soils may require several days before bly and drill rods.
flow stabilizes. 5. Lower the sampler assembly to the required
7. Record the nature and character of any bed- depth and press or drive the sampler 61 cm (2
rock, including attitudes of bedding and dis- ft.) into the soil. If the sampler has to be
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
continuities, as well as relative orientation (a driven, record the method and number of
supplemental sketch may be of value). blows, per 15 cm (6 in.) of penetration.
8. Record voids, stability and density of the ma- 6. To insure good recovery, leave the assembly
terials encountered, and obstructions to exca- in the borehole for 10 to 15 minutes, to allow
vation. buildup of skin friction within the thin-wall
9. If the pidtrench is to remain open for longer tube. Then rotate entire assembly 1or 2 revo-
than the day of excavation, a barrier will be lutions to shear off sample from soil below.
constructed to bar inadvertant entrance of 7. Withdraw assembly from the borehole and
persons or domestic animals. disassemble.
. 10. Backfilling of trenches should be bucket-tam- 8. Remove any disturbed material from the tube
ped and rolled by equipment. ends and measure the recovery.
9. Seal, mark and store the tube as described
under Section 6.9, Sample Preservation and
Shipment.
THIN-WALLED OPEN DRIVE

SAMPLING
MECHANICAL STATIONARY PISTON
Purpose SAMPLING
Thin-walled, open drive samples, referred to as Purpose
Shelby tubes, provide samples of cohesive or gran-
ular material for laboratory classification and limited Stationary piston samples provide undisturbed sam-
testing purposes. ples of potentially sensitive soils for detailed labora-
tory testing.
Equipment Undisturbed samples may be obtained in granular
soils. The procedure outlined below (cohesive soil) is
1. Thin-walltube (seamless steel or brass, diam- identical with the exception of using a heavy drilling
eter 5-12.5 cm (2-5 in.)) mud to insure recovery and to maintain the sides of
2. Assembly, head the uncased borehole. Extreme care must be exer-
3. Screws, head cap cised during handling of the sample and it must be
4. Wrench, Allen examined in a vertical position at all times.
5. Rods, drill
6. Bit, washing or chopping Equipment
Drill rig
8. Ruler, six-foot 1. Thin-walltube (seamlesssteel or brass, diam-
9. Crayon, yellow keel eter 5-12.5 cm (2-5 in.))
243
- - ___ ___ ___ - _ _
AASHTO T I T L E M S I 8 B
Manual on Subsuvace Investigations

- I--I__ _ ___ _ - _ _ -
0639804 0033869 056

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2. Assembly, piston, rod and head, including bly. Connect pulleys and gin lines to the block
cone and spring and fall on the derrick. The Christmas Tree
3. Rods, actuating Assembly may not be required for pressing
4. Assembly, pull-down (Christmas Tree) the tube assembly if other types of equipment
(optional) are available (example: large hydraulically
5. Locks, coupling operated drill rig).
6. Pliers, Vise-grip type 9. Mark the drill rods at the point where sample
7. Screws, head cap penetration should stop (typically 61 cm (24
8. Wrench, Allen in .)).
9. Auger, shielded, jet-type, clean-out 10. Press sampler into soil at a uniform rate on the
10. Drill rig order of 30 cm (12 in.) per second without
11. Ruler rotation.
12. Crayon, yellow keel 11. Observe the casing closely during the pressing
operation to insure that the casing is not com-
Procedure ing up. If this should occur, questionable test
results may be obtained, and the occurrence
1. Advance the borehole to required depth by should be noted. (If a large hydraulic drill rig
washing with shielded, jet-type, clean-out au- is used as the power source, this will not be a
ger. nirn off the wash water and rotate the problem or concern),
auger by hand the last 7.5 or 10 cm (3 or 4 in.) 12. To insure good recovery, leave the assembly
to the required depth to clean out disturbed in the borehole for 10 to 15 minutes to allow
sludge. When sampling in very soft plastic buildup of skin friction. Then rotate 1 or 2
soils, or loose granular soils, the casing should revolutions to shear off sample from soil be-
be kept full of water or drilling mud at all low.
times. 13. Disassemble Christmas Tree (if applicable)
2. Examine the thin-wall tube to determine that and remove sample from borehole with care.
it is free of rusts, dents or scratches and that 14. Unscrew sampler head assembly, release the
the cutting edge has been bevelled and drawn- vacuum and remove the piston, taking care
in approximately .O156 mm (U64 in.) less not to disturb the material. Clean any dis-
than the outside diameter of the tube. turbed material from the tube and measure
3. Maintain casing full of water to insure good the recovery.
recovery and to minimize sample disturbance 15. Seal and mark the tube as described under
during all phases of testing. Section 6.9, Sampling Preservation and Ship-
4. Pass a clean rag through the tube to remove ment.
accumulations of foreign matter.
5. Insure all vents in the piston head assembly
are clean, and the leather packing around the HYDRAULIC PISTON SAMPLING
piston head is soft and pliable and that the
piston fits tightly within the tube. Purpose
6. Assemble piston sampler making sure that
the piston is flush with the cutting edge of the Hydraulic piston samples are obtained in uncased
tube, and is secured against downward travel boreholes to provide undisturbed samples of poten-
by the cone and spring assembly. tialiy sensitive soils for detailed laboratory testing.
7. Connect required length of drill rods with The hydraulically operated piston assembly, be-
actuating rods inside. Actuating rods should cause of its compact and portable nature, makes it an
extend above the top of the drill rods. Attach ideal tool in swamps and areas of difficult access
sampler assembly to inner actuating rods and where larger conventional drilling equipment are in-
outer drill rods. Lock actuating rods, by accessible. There is a disadvantage, however; its abil-
means of lock coupling, to drill rods and mark ity to penetrate only relatively soft, cohesive mate-
actuating rods so that any movement of the rials.
piston may be detected as the assembly is
lowered into the borehole. Equipment
8, Lower the sampler assembly to the required
depth. Secure the actuating rods to the casing 1. Assembly, hydraulic piston (complete unit
by means of the rod brace and clamp assem- such as Osterburg)
244 --`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

~
AASHTO T I T L E M S I AB Ob39804 OOLL870 878
Appendix A
2. Tube, thin-wall (seamless steel or brass) tube. Then rotate entire assembly 1or 2 revo-
8 3. Auger, jet-type, clean-out, shielded
4. Rods, drill (AW or larger)
5 . Device, rod, locking
lutions to shear off sample from soil below.
12. Withdraw assembly from the borehole and
disassemble. It may be necessary to cut a
6. Tank, compressed air, and pressure valve small slot near the top of the tube with a
(p.s.i.) (Depending on type of unit, water or hacksaw to release the pressure build-up to
drilling mud, may be used to activate the hy- facilitate removal of the piston from the thin-
draulic assembly.) wall tube.
7. Air hose 13. Clean out any disturbed material from the
8. Drill rig tube and measure the recovery.
9. Ruler 14. Seal and mark the tube as described under
10. Crayon, yellow keel Section 6.9, Sample Preservation and Ship-
11. Bentonite (for drilling mud) ment.
Procedure
DENISON SAMPLING
1. Advance the borehole to the required depth
by washing with a shielded-jet, clean-out Purpose
auger. The hydraulic sampler may also be
employed in advancing the borehole. The The Denison Sampler is designed to recover relatively
borehole may have to be stabilized with drii- undisturbed, thin-wall tube samples, in partially-ce-
ling mud to maintain its integrity. mented sediments (such as glacial tills, sands and
2. Examine the thin-wall tube to determine that gravels, hard clays, weathered and soft bedrock). The
it is free of rust, dents or scratches and that the sampler consists of a double-tube core barrel with a
cutting edge has been bevelled and drawn-in non-rotating inner thin-wail sampler tube. In general,
approximately ,0156 mm (U64 in.) less than permeable and course granular soils cannot be sam-
the outside diameter of the tube. pled with the Denison Sampler unless the soil at the
Pass a clean rag through the tube to clean out sampling depth is in a frozen state.
accumulations of foreign matter.
4. Inspect the hydraulic assembly to insure that Equipment
it is clean and the piston head packers are soft
and pliable and that the piston its tightly 1. Sampler, Denison (four sizes: 9-19.5 cm
within the tube. (3.5-7.75 in.))
5 . Connect the thin-wall tube to the hydraulic 2. Bit, core, various types available: Diamond
piston assembly, insuring that the piston is (hard formations), Carbide (soft formations)
flush with the bottom of the thin-wali tube. 3. Tube, inner, thin-wall (four sizes: seamless
6 . Connect the required amount of heavy drill steel or brass)
rods and lower the assembly to the required 4. Retainer, core; split ring (hard formations);
sampling depth. basket spring (soft formations)
7. Lock the unit to the drilling tower or casing to 5. Auger, clean-out
prevent further downward movement of the 6. Rods, drill, W or larger
assembly. 7. Wax, microcrystalline, and melting container
8. Mark the drill rods at the point where sample 8. Mud, drilling (optional, depending on forma-
penetration should stop (61 cm (24 in.)). tion and drilling procedures)
9. Connect the reinforced pressure hose to the
top of the drill rods and to the compressed air Procedure
or fluid power source.
10. Open the pressure valve which will activate 1. Advance the borehole to required depth,
the assembly, and advance the thin-wall tube using conventional drilling techniques.
into the soil. The assembly will automatically 2. Assemble Denison Sampler with inner thin-
stop at the completion of the 61 cm (24 in.) wall tube, required core bit and appropriate
press. Shut off pressure valve. core retainer. The core bits are available in
e 11. To insure good recovery, leave the assembly

in the borehole for 10 to 15 minutes to allow
build-up of skin friction within the thin-wall
different pre-set lengths to protect the sample
tube, and are selected based on the density of
the material being penetrated.
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
245

3. Prior to sampling in cohesive soils clean out Procedure

borehole using a shielded jet type clean-out
auger. 1. Inspect the cutting bit for serviceability
4. Lower sampler to required depth by adding 2. Observe placement of the sampling tube on
lengths of NW drill rods. the core barrel in retracted position. If the
5. Adjust rate of advance and revolutions of the tube will not retract into the barrel, replace-
core barrel in accordance with bit type and ment of leather seals is indicated.
nature of formation being sampled (drillers 3. Advance the borehole to required depth
expertise). using conventional drilling techniques.
6, Upon attaining the required penetration, re- 4. Insure that the borehole is thoroughly cleaned
trieve sampler and remove inner sample tube of cuttings and sediment.
and preserve as described in Section 6.9, Sam- 5. Lower the sampler to required depth by ad-
ple Preservation and Shipment. ding appropriate lengths of NW drill rod.
6. Adjust the rate of advance and revolutions of
the core barrel in accordance with the type of
PITCHER SAMPLING bit and nature of the formation being sampled
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
(drillers expertise),
Purpose 7. Upon attaining the required penetration, re-
trieve the sampler, being careful to hold loose
The Pitcher Sampler is a patented device designed to sands within the barrel.
recover samples from formations that are too hard or 8. If an obstacle hinders advancement, remove
brittle for standard sampling equipment or too soft or the sampler and make the appropriate entry
water-sensitive for use with core-barrel-type samplers on the log. Continue to advance the boring
(such as Denison). The sampler consists of a single- past the obstruction.
tube core barrel with a self-adjusting, spring-loaded, 9. Remove sample tube, drain free water, trim
inner sample tube which can project as far as 15cm (6 off excess length of tube, place cap plugs on
in.) ahead of a bit which cuts through the soil mass to either end, apply sealing tape, mark the up-
isolate the cylinder to be sampled. ward end with an arrow pointing toward origi-
nal ground surface, and seal over cap plug and
Equipment tape by immersing each end in hot sealing
wax.
1. Sampler, Pitcher (choice of four diameters and 10. Store the sample tubes in the vertical-upward
two lengths) position. Place cushioningmaterial under and
2. Bit, core (various types; most are sawtooth around each tube.
type) 11. Foilow the provisions of Section 6.9, Preserva-
3. bbe, inner, thin-wall (choice of four diame- tion and Shipment of Samples.
ters and two lengths; seamless steel or brass)
4. Rods, driil, NW-size
S . Water supply
246
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AASHTO T I T L E M S I 88 = Ob39804 0011872 6 4 0
APPENDIX B
Zn Situ Borehole Testing
B.1 GENERAL B.2 SCHEDULING

In situ borehole tests are performed to determine the Since much of the same equipment (such as drill rigs,
various properties of soil or rock formations that are sample rods, etc.) may be required for the field test-
needed to conduct geotechnical analyses. In general, ing, in situ tests should be carried out whenever prac-
three classes of properties are necessary: shear ticable, concurrently with the test boring program.
strength, deformation characteristics, and per- Generally, in situ field tests, such as field vane, pres-
meability. Traditionally, these properties have been suremeter, and permeability tests, are performed in
determined by laboratory tests on undisturbed sam- the same borehole that is used for logging and identi-
ples of cohesive soils, reconstituted samples of cohe- fication of subsurface strata. However, it is advisable
. sionless soil, or representative rock core specimens. to consider possible time delays due to field testing on
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
In certain cases it may be technically more feasible actual production rates for test borings. For example,
0 to determine the required in situ properties by means
of in situ borehole testing. Improvements in appa-
pressuremeter testing generally can be more effi-
ciently conducted in a separate borehole due to the
ratus, instrumentation, measurement techniques and time required to perform an individual test and the
analysis procedures have led to the increased use and special techniques necessary to stabilize the borehole
acceptance in recent years of in situ measurement walls.
techniques. Certain other tests, such as the cone penetrometer
The primary advantages of in-situ borehole testing tests, do not involve the recovery of samples or the
are the ability to: need for an open borehole. These tests, therefore,
have to be conducted at locations separate from test
Determine properties of soil that cannot easily borings.
be sampled. As stated above, it may be advantageous in terms of
Avoid sample disturbance, improper stress cost and time, to perform field tests in conjunction
states, and changes in physical and biological with the subsurface exploration program. However, in
environmentthat may influence laboratory test- project areas where little is known about subsurface
ing. conditions, it may not be possible to evaluate the need
Test a volume of soil or rock that, in some cases, for and types of field tests required prior to some field
is larger than that which can be tested in the exploration work. In these situations, it may be desir-
laboratory. able to conduct the subsurface exploration program in
phases. The initial or preliminary phase may involve a
The above advantages have to be considered in minimum number of subsurface explorations to de-
light of costs and the following possible limitations: fine the general nature of the site conditions. These
initial explorations may consist of standard sampled
Uncertain empirical correlations between mea- test borings or non-sampled, in situ field tests, de-
sured quantities and actual properties may exist. pending on local geologic conditions and practices.
Flow (in permeability tests) and stress direction Additional field test requirements cna be assessed
e 9
cannot be independently varied.
Applied principal stress directions in the field
test may differ from those in real problems.
after the preliminary program is completed and be
incorporated into subsequent phases of the subsur-
face exploration program.
247

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AASHTO T I T L E M S I 8 8 Ob39804 0011873 587 W
B.3 TYPES OF TESTS B.4 CORRELATION TESTS

The purpose of performing in situ tests is to determine B.4.1 Standard Penetration Test
the shear strength, deformation characteristics, andi
or permeability of the soil and rock. Certain types of The Standard Penetration Test (SPT) is a widely used
field tests may be used as index tests; that is, tests field test in subsurface exploration programs. Details
which do not measure directly the soil or rock prop- of the SPT are discussed in Appendix C. Briefly, the
,erty of interest, but which can be empirically corre- test consists of driving a split-barrel sampler (split
lated with a given property. These tests will be re- spoon) into a soil deposit with a hammer of known
ferred to as correlation tests; the standard penetration weight and recording the number of blows (blow
test is an example. The penetration resistance (blow count, N) required to drive the sampler 30 cm (12 in.).
count) obtained from this test can be correlated to For uniformity, the sampler should be 51 mm (2 in.)
such properties as relative density, bearing capacity, O.D. and 35 mm (1.375 in.) I.D. The standard ham-
and liquefaction potential. mer weights 64 kg (140 lbs.) and the height of fall is 75
Certain tests may be used to determine more than cm (30 in.). Except for unusual cases, these standards
one parameter. For example, the cone penetrometer should be adhered to rigorously. Refer to Appendix C
may be used to determine both the shear strength and for the use of alternate hammer sizes and weights.
the deformation parameters of a given soil deposit. There are other penetration type tests or sound-
Field in situ borehole tests will be grouped into three ings. An advantage of the Standard Penetration Test
broad categories, as follows: over the other types is that the hole is cased or other-
wise supported down to the depth at which the sam-
Correlation Tests pler is driven so that side friction along the drill rod
Strength and Deformation Tests does not influence the results. Another important
Permeability Tests advantage is that a sample is recovered which can be
visually classified.
Specific tests that will be discussed in each of these The results of this test in terms of blow count (N
categories are: value), are used to describe the density of cohesion-
less soils and the consistency of cohesive soils as dis-
1. Correlation Tests cussed in Appendix E. They thereby provide a
a) Standard Penetration Test (SPT) method for determining the uniformity of a given soil
b) Dynamic Penetration Test (DPT) deposit and identify changes in soil strata. The blow
2. Strength and Deformation Tests count has also been correlated with such engineering
a) Penetrometers parameters as relative density and bearing capacity of
1. Cone Penetrometer Test (CPT) granular soils, shear strength of cohesive soils, and
2. Piezocone Penetrometer Test (PQS) liquefaction potential of fine sands.
b) Pressuremeters (PMT) Refer also to Section 7.6.2 for additional informa-
1. Menard Pressuremeter Test tion regarding SPT.
2. Self-Boring Pressuremeter Test
3. Dilatometer
c) Stress or Shear Devices B.4.2 Dynamic Penetration Tests
1. Hydraulic Fracturing Test
2. Vane Shear Test These tests consist of driving, by hammer impact, a
3. Borehole Shear Test probe into a soil stratum and recording the number of
3. Permeability Tests blows required to achieve a pre-determined amount
a) Water Pressure Tests of penetration. They are similar to the SPT except
b) Pump Tests that a probe point is used instead of a split-sampler
c) Hydraulic Conductivity Tests barrel and no sample is recovered. These tests are not
d) Percolation Tests to be confused with the penetrometer tests which are
discussed in Section B.5.1, in which the penetrometer
The general details of each of these tests are dis- is pushed, not driven, into the soil at a constant rate,
cussed in the following subsections. Where appropri- Information from these dynamic penetration tests
ate, specific equipment requirements and test pro- can be used as a relative index of granular soil density
cedures are presented in Appendix C. Where or the consistency of cohesive soil. However, specific
standard specifications (such as ASTM or AASHTO) empirical correlations such as those available with the
exist for a given test, they are referenced in Appendix SPT are not known or widely available. The principal
C. use of these tests is, therefore, to provide an indica-
248 .
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

Appendix B
tion of the uniformity or consistency of a given soil ance. Several types of penetrometers and methods
stratum, either with depth in a given borehole or are used throughout the world (Sanglerat, 1972).
between probe locations. Caution must be used in However, the Dutch have experimented with these
interpreting the data as soil samples are not obtained. techniques since the early 1930s and the CPT is often
These field tests should be used to supplement, not referred to as the ?Dutch Cone Test?. The CPT has
replace, other tests such as the SPT. been used in the United States since the mid 1960s.
These tests may also be useful in locating the bed- ASTM has published test procedures (D3441) for the
rock surface, but should be used in conjunction with CPT.
cored borings to determine if boulders may be present The CPT is most useful in permeable, coarse to fine
to influence the test results. sands where the effects of pore pressure are neglig-
There are basically two types of dynamic penetra- ible. Under these conditions, the CPT measures
tion tests. In one, the cone point is attached to drill drained behavior. However, the CPT measures un-
rods and soundings are made at intervals in a test drained behavior when penetrating homogeneous
hole. After each sounding, the drill hole is advanced plastic clays. Table B-1 summarizes the advantages
and another sounding is made after the drill hole is and disadvantages of the CPT.
cleaned out. In the other type of test, the cone point is Briefly, the CPT consists of pushing a cone-shaped
driven continuously from the ground surface to the steel point into the ground with a slow, constant
required depth. At the completion of the test, the drill speed, generally 1 to 2 c d s e c (2 to 4 ftlmin.). The
rads are extracted, the expendable point is left in the thrust required to accomplish this, divided by the
ground. projected end area of the point gives the cone bearing
General procedures for conducting these tests are capacity (qc). Recent additions of the friction sleeve
discussed in Appendix C. Basically, the cone is ad- near the point provides a similar measurement of
vanced by driving it with a known weight which is local sleeve friction (fs). To date, very little informa-
dropped a prescribed distance. These dimensions and tion is available which explains the theoretical prob-
weights vary from organization to organization. The lem of a passing penetrometer tip as it moves through
number of blows to advance the penetrometer in 15 soil (Durgunoglu and Mitchell, 1975). Many vari-
cm (6 in.) intervals should be recorded. For the re- ables, such as soil density, cementation or vertical
@ tractable cone, the cone is generally driven a total of
30 cm (12in.). It is important to note, that the number
effective stress and test equipment procedures such as
shape of penetrometer tip or method of penetration,
of blows is influenced by the general material type. In
granular soils, the number may be significantly
greater for the second 15 cm (6 in.) than for the first,
whereas in clays, the numbers may be about the same. Table B-1
Friction penetrometers are also available and their Advantages and Disadvantages
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
use is similar to that of a cone penetrometer, except of Cone Penetration Test
that they are used to measure frictional resistance. Advantages
The average friction (shear) above a given point can
be calculated from the pulling force and from the Provides a continuous or near-continuous re-
surface area of the penetrometer rod. cord of data.
Numerous other variations in the dynamic penetra- Data are of the in situ or undisturbed variety
tion tests exist; their general operating principals and and, hence, better suited for solution of geo-
use are the same as those discussed above. They technical design problems.
should be used with caution, bearing and in mind the Speed of test.
limitations discussed herein. Economical.
Disadvantages
B.5 STRENGTH AND DEFORMATION
TESTS Does not retrieve a soil sample during testing.
(Note: the cone tip, however, can be replaced
B.5.1 Penetrometers with a soil sampler.)
Requires time to reduce and interpret data.
B.5.1.1 Cone Penetrometer Test (CPT). The Code Has limited depth capability, particularly in very
Penetrometer Test (CPT)( is a quasi-static, sounding dense sands, cemented strata, or glacial till.
method used to obtain the in situ soil bearing capacity Obstructions such as boulders generally result in
and side friction components of penetration resist- termination of the test.
249
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AASHTO T I T L E MSI 88 m Ob3980Y O O L L 8 7 5 35T m

. .
influence the interpretation of CPT data (Schmert- vancing the penetrometer tip at a constant rate
mann, 1978). while the magnitude of thrust varies. Special
Equipment necessary to conduct a CPT consists of equipment made for the CPT, has hydraulic
a cone, push rods, measuring equipment, and thrust/ thrust capabilities of 9 or 18 tonnes (10 or 20
reaction equipment, as discussed below: * tons). Conversion kits, such as manufactured by
Hogentogler (1979) permits the CPT to be per-
Cone: The penetrometers are equipped with formed by the hydraulic push system available
either non-friction or friction-conesof both the on standard drill rigs. This system, however,
mechanical or electrical types. The more com- reduces maximum available thrust to generally
mon cone types are a Begemann Mechanical less than 5 tons. Thrust system CPT equipment
- Friction-Cone and a Fgro (Netherlands) Elec- must be secured to a stable reaction system, such
trical Cone. Mechanical penetrometers operate as the bed of a heavy duty truck.
at incremental depths, generally 10 or 20 cm (4
or 8 in.), by extending a telescopingpenetrome- As previously stated, the CPT data output consists
ter tip. Electrical penetrometers permit contin- of cone bearing capacity and local sleeve friction
uous reading of both end-bearing and friction values. Based on empirical correlations, these soil
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
sleeve values; one at a time. The standard cone parameters can be used as an indicator of soil type or
tips have a 60-degree apex angle and a projected to estimate the physical and engineering properties of
end area of 10 cmz (1.55 inz). Friction sleeve soil or very soft sedimentary rock. Research by the
areas are generally 150 cmz (23.2 inz). University of Florida has attempted to use the cone
Push Rod: The penetrometer tip is advanced bearing capacity and sleeve friction parameters to
to test depths by thick-walled push rods. These make separate predictions of end bearing and side
rods are typically 1m (3.28 ft) long and they are resistance components of total pile capacity (Freed,
screwed together to form one continuous section 1973; Nottingham & Schmertmann, 1975). A com-
as the test depth increases. The mechanical cone prehensive design manual prepared by Schmertmann
tip is extended during testing by an independent (1978) for the FHWA provides guidelines for inter-
set of 1m (3.28 ft.) inner rods, which fit inside pretation and use of CPT data.
the push rods. As shown on Figure B-1, Schmertmann has pre-
Friction Reduction Rod: The friction reduction pared a correlation of soil type and CPT data for
north-central Florida. Use of this chart requires the
rod, placed just above the cone penetrometer,
consists of an enlarged diameter rod which bores definition of the friction ratio which is a dimensionless
term representing sleeve friction divided by cone
a hole larger than the push rods, thus reducing
accumulated rod friction and increasing the bearing, and expressed in percent. CPT data have
depth sounding capabilities. also been used as an estimate of engineering proper-
ties such as relative density, compression modules,
Stabilizing Rod: A stabilizing tube may be angle of internal friction for sands, untrained shear
used to minimize buckling of lengths of unsup- strength, and degree of consolidation for clays.
ported push rods extending between the base of In recent years, methods of CPT analyses have
the thrust/reaction equipment and ground sur- been gaining in acceptance in geotechnical engineer-
face, if mounted on a truck body or drill rig. ing. The method for estimating settlement in sand
Measurement Equipment: The thrust required incorporates a strain-infiuence factor and values of
to advance the penetrometer during testing is Youngs modules as established by cone bearing ca-
measured at the ground surface. A hydraulic or pacity. In addition, the method accounts for the depth
electrical load cell or proving ring is typically of measurement as well as settlement due to second-
used to measure the thrust required to activate ary creep.
mechanical penetrometers. Penetration resist- In view of the extensive use of the Standard Pene-
ance of electrical penetrometers is generally tration Test (SPT) in the United States, several at-
measured by force transducers attached to the tempts have been made to correlate SPT blow count
cone tip and friction sleeve. The transducers are values (N-values)with the cone bearing capacity (qc).
connected to a surface data recording system by Schmertmann has provided both theoretical explana-
an electrical cable passing through the push tions and empirical ratios, the latter shown as Table
rods, after the inner rods are removed. B-2. Recently, Schmertmann (1979) has used stress
ThrustlReaction System: The thrust system ad- wave dynamics to explain the qc/Nratios measured in
vances the penetrometer and rod assembly into complementary site CPT probes and standard SPT
the ground. This system must be capable of ad- borings.
250
AASHTO T I T L E MSI 88 W 063980q 0011876 296
Appendix B
I l
NOTES:
.- -
1. Expect Some Overlap in the Type of
Zones Noted Below. Local Correia-
tions are Preferable.
8
6
10
8
6
2 I I I I I I I
O 1 2 3 4 5 6 7
FRICTION RATIO, (SLEEVE FRICTIONKONE BEARING),%
Figure B-1. Guide for estimating soil type from Dutch Friction-Cone Ratio
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
(Begemann Mechanical n i p )
B.5.1.2. Piezocone Penetrometer Test (PQS). The Franklin & Cooper, 1981). Penetration resistance is
Piezocone Penetrometer Test recently developed by measured electrically as the axial load on the point
Geotechniques International, Inc. (Piezocone), and and the shearing force on the friction sleeve. The pore
similar equipment developed by the U.S. Army Engi- pressure is measured through a porous filter element
neer Waterways Experiment Station (PQS Probe), near the tip of the cone (Figure B-2).
combine the functions of an electric friction cone and The piezocone penetrometer contains a porous,
a piezometer probe. These modified penetrometers stainless steel tip which is hydraulically connected to a
are capable of simultaneously measuring cone resist- pressure transducer for measuring the pore pressure.
@ ance, pore water pressure and skin friction during
penetrometer advancement (Baligh et al., 1981;
The force required to push the cone is measured by a
load cell located behind the porous stone. The friction
251

Table B-2 sleeve consists of a freely rotating, holiow cylinder

'Qpical Ratios for qc(kg/cm2)/N(SPTblowdft) which is equipped with a load cefi for measuring fric-
tion force. The depth penetration is recorded as an
Qpe soil Fuaro* tip Delft* mechanical tim electric signal. All data are dispayed on a strip chart
sand and gravel 5 6 recorder and can also be recorded on magnetic tape
mixtures for subsequent computer processing (Baligh et al.,
sand 5 4 1981).
sandy silts 4 3 The piezocone penetrometer is equipped with a
clay-silt-sand 2 2 protection device to eliminate overloading the load
mixtures
insensitive clays 1 1.5 cell measuring cone resistance and complete satura-
sensitive clays ratios can become very high as N tion of the internal mechanism and porous filter of the
approaches zero probe is essential before obtaining field measure-
* Both devices were developed in The Netherlands ments.
Ref. Schmertmann, 1978, p. 20. Results indicate that the modified penetrometer-
al# NPr-----.,
rno son
P U E NA IIONAL
IORW I
ELECTRONIC CRCUIT
FRICIION S L E M
CHANNflS --
S r H A I N OAUOE FRICTION KEEVE
LOAD CE11 .- -
PRESSURE CEL
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
PORE PRESSUIE
TRANSWCER
f l l I C 1 fLCMLN1
PQS P r o b e P i e z o c o n e Penetrometer
U.S. Army E n g i n e e r s G e o t e c h n i q u e s I n t e r n a t i o n a l , Iac.
Waterways E x p e r i m e n t S t a t i o n (from B a l i g h , e t . a l . 1981)
(from Franklin & Cooper,l981)
Figure B-2.
252
AASHTO T I T L E M S I 8 8 Ob39804 0011878 O b 9
Appendix B
piezometer probe provides repeatable and reliable suremeter into a borehole. The Menard and the Cam-
measurements and has proved to be extremely useful bridge (United Kingdom) Self-Boring pressure-
@ in the determination of soil stratification and identi- meters are shown in Figure B-3. Additional types of
fication. In addition, pore pressure dissipation mea- Self-Boring pressuremeters, which are also identified
surements, when penetration stops, can be used to as Dilatometers, include the French Autoforeuse
estimate consolidation and/or permeability charac- (Baguelin et al., 1972 and 1978) and the Italian Flat
teristics of soils (Baligh et al., 1981). Dilatometer (Marchetti, 1980). Discussion will deal
with pressuremeters of the Menard design because
B.5.2 Pressuremeters they are most common in engineering practice today;
Self-Boring pressurementers are still in the research
In the Pressuremeter Tests, a cylindrical device is and development stage.
expanded radially against the sides of a borehole un- Pressuremeter apparatus consists of three compo-
der increasing increments of pressure. The test re- nents; a cylindrical probe, the control unit, and the
sults, expressed as pressure versus volumetric or ra- tubing which connects the two. The cylindrical probe
dial strain, are then used in foundation design and generally contains three expandable cells, a center
engineering in both empirical and theoretical pro- measuring cell, and guard cells above and below it to
cedures. Since 1954, Louis Menard has promoted the isolate the measuring cell from probe and bore-hole
development of the pressuremeter, with most of the and effects, thus maintaining plane strain conditions
work having been done in France (Baguelin, and in the soil. The three cells are commonly surrounded
others, 1978). Within the past 5 to 10 years, the pres- by protective sheaths of polyurethane or metal strips.
suremeter has found increasing use in the United A recently developed pressuremeter by Oyo, elimi-
States. nates the guard cell requirements and combines all
Schmertmann (1975) lists the three following ad- the instrumentation into one component. The control
vantages of the pressureneters as compared to other unit is located on the ground surface near the bore-
in situ tests. hole and is used to control pressure in the probe and
measure volume change of the measuring cell. Water
The test models the axisymmetric expansion of is generally used in the measuring cell. Volume
an infinite cylindrical cavity-which is a prob- change is monitored by reading the water level in a
lem with well developed elastic and elastic plas- graduated sight tube called the volummeter. Pres-
tic solutions, and with such theories apparently sure is usually supplied by compressed gas applied to
well suited to further development to better the fluid of the measuring cell and to the guard cells.
match the behavior of real soils. There are pressuremeters in use which use spring-
A properly conducted test may permit an esti- loaded feeler gauges to measure borehole expansion
mate of the in situ horizontal stress. at the center of the probe (Mitchell and Gardner,
Data on the stress-strain properties of the soil, in 1975). Tubing between the control unit and the probe
addition to strength data, may be derived from is usually coaxial to facilitate use of both water and
the test, but the properties are applicable only to gas pressures.
the direction perpendicular to the axis of the
expanding cavity. B.5.2.1 Menard Pressuremeter. The following
general procedure is followed for the Menard-type
The pressuremeter is most useful in soils in which pressuremeter test. The pressuremeter test using
undisturbed sampling is difficult, such as soft silts, Menard-type apparatus is performed in a pre-drilled
sensitive clays, interbedded or layered sands, silts and borehole. Drilling procedures should minimize dis-
clays, and brittle soils such as glacial till or weathered turbance to the sides of the borehole at desired test
rock. A disadvantage of the test is the uncertainty of levels. The French use hand-auger procedures when-
soil drainage conditions in finer grained soils around ever possible, with drilling mud to keep the borehole
the expanding cavity. open (Schmertmann, 1975). Other drilling pro-
73~0types of pressuremeters are in use today: the cedures using mechanical equipment are commonly
Menard type and the Self-Boringtype. With the Men- used in the U.S. In soft clays, thin-walled tube sam-
ard pressuremeter, a cylindrical device is lowered plers are often used to prepare the borehole. The
down a pre-drilled borehole to the desired depth and ratio of borehole diameter to probe diameter should
expanded against the sides of the borehole. The re- be only slightly greater than 1.0 to ensure a snug fit
cently developed Self-Boring pressuremeter drills its and minimize spurious test results (Kastman, 1980).
own hole and eliminates much of the borehole distur- During the test, pressure is applied via the com-
bance associated with inserting the Menard pres- pressed gas to the cells of the probe. Pressure is held
253
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
cw
O
254
AASHTO T I T L E MSI 8 0 Ob39804 O O L L 8 8 0 i l 1 7
Appendix B
constant for 60 seconds at each desired pressure, and p,, v, and pf, vf = pseudo-at-rest and creep pres-
volume readings made and recorded 15, 30, and 60 sures, and corresponding vol-
seconds after the pressure is attained. The pressure umes, respectively, from the
may then be increased or decreased to the next de- pressuremeter test curve.
sired level and the process repeated. Unloading and
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
reloading cycles may be included in the test program. Where an unloading sequence has been used in the
At least five approximately equal pressure incre- test, an unloading pressuremeter modules, Epm can
ments should be used in a test; 8 to 12 are desirable be calculated using the linear portion of the unloading
and as many as 12 to 16 may be used. pressuremeter curve.
Test data are plotted as the increase in measuring Several factors may affect test parameters. Bore-
cell volume from the initial as inserted into the borehole disturbance can cause a decrease of as much as 50
hole condition versus pressure which may be ad- percent in Epm (Hartman and Schmertmann, 1975).
justed for elevation and probe-inertial effects. Also
plotted versus pressure is the creep volume or the B.5.2.2 Self-Boring Pressuremeter. In soft clays,
change in volume which occurs between the 30 and use of the Seif-Boring pressuremeter may be the most
60-second volume readings at each pressure level. A effective way to minimize soil disturbance effects on
plot of typical pressuremeter test data (not corrected pressuremeter parameters. The limit pressure may be
for inertia or elevation) is presented in Figure B-4. affected by the ratio of pressuremeter probe length to
Also indicated on Figure B-4 are the three phases diameter depending on the assumptions made in test
of the pressuremeter test curve; recompression of data interpretation (Laier, and others, 1975).
disturbed soil, elastic, and plastic. The pressure at In general, it is difficult to determine strength and
which the test enters the elastic phase has been caled deformation parameters commonly. used in geo-
the lateral earth pressure at rest. It also corresponds thechnical engineering from results of pressuremeter
to the pressure at which the volume change on the tests. The undrained shear strength of cohesive soil
creep curve becomes constant. However, due to bore- may be calculated using the semiempirical relation:
hole disturbance, it often bears no relation to the in-
situ lateral (horizontal) earth pressure (Baguelin, and
0 others, 1978). This pressure should, therefore, be
called thepseudo, at-restpressure, p,. The creep pres- where,
sure, pf, occurs at the end of the elastic phase of the pi = limit pressure
pressuremeter curve; it is also the pressure at which Ph = actual in situ lateral (horizontal) earth pressures.
creep volume begins increasing. N = a factor generally taken as 5.5
The limit pressure, pi, theoretically is the pressure Schmertmann (1975) cautions that the calculated
at which shear failure of the soil occurs. Menard Su is very sensitive to evaluation of in situ lateral
suggests that for practical purposes, this would occur pressure and maintains that a 20 percent under-esti-
when the borehole has been expanded to twice its mate error in Ph can produce a 40 percent error (over-
initial volume. However, due to limitations of the estimate) in Su. Procedures have also been developed
pressuremeter device, it is generally not physically whereby the complete stress-strain curve for satu-
possible to attain the real limit pressure. Therefore, rated clay under undrained conditions may be derived
the test is run weil into the plastic range and the based on pressuremeter test results (Ladanyi, 1972;
pressuremeter test curve extrapolated to the limit Palmer, 1972; Baguelin, and others, 1972; Amar, and
pressure. Where the plastic phase of the curve is others, 1975). However, the procedures are subject to
limited and extrapolation difficult, pi is sometimes the same difficulties in proper evaluation of Ph.
taken as twice pf, however, judgement must be exer- In cohesionless soil, procedures do exist whereby
cised. the effective angle of internal friction can be esti-
A pressuremeter deformation modulus is then de-
mated (Schmertmann, 1975 and Baguelin et al.,
rived using the following equation (Menard, 1975):
1978). However, these procedures require several as-
sumptions (as indicated by Schmertmann and Ba-
guelin) that must be carefully evaluated.
As previously mentioned, in situ lateral pressures
where, EPhn= pressurement modulus cannot be accurately measured by the pressuremeter
p = Poissons ratio, varies between test due to borehole disturbance. Even the minor
0.33 and 0.50 amount of disturbance caused by the self-boring pres-
V, = initial measuring cell volume of suremeter can have a substantial effect on the mea-
the at rest probe. sured p, value.
255
AASHTO T I T L E M S I 88 W 0639804 O O L L 8 8 l 653
I I I l I I
350 -
300-
YE
U
250- -Elastic Phose - P o
Creep
/
$7
Pressure,
8
I t
s
x
W
>
m
o 100 I
,
a! I
a I
/
I
I
, I
/
I
/
/
I
Ob I I I I I I
O I 2 3 4 5 b
APPLIED PRESSURE (unadjusted) , PMI( k g / t m 2 )
Figure B-4. Plot of typical pressuremeter test data.

(Haley & Aldrich, Inc.)
256
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

AASHTO T I T L E M S I 8 Ob39804 0033882 5 9 T
Appendix B
Various procedures have been proposed for eval- amounts of success. Experimental work is underway
uating the vertical modulus of deformation of soil, E, investigating the use of the pressuremeter to estimate
using pressuremeter test results. The agreement be- soil anchor capacity and earth pressures in retaining
tween E values determined from pressuremeter test structure. The pressuremeter has also been used in fill
results and from other more traditional procedures, control work (Kastman, 1980).
such as laboratory tests, in situ plate bearing test, and/
or full scale footing tests, has often been poor (Ba- B.5.3 Stress or Shear Devices
guelin, and others, 1978). Values of the rheological
factor, a, proposed by Centre dEtudes Menard are B.5.3.1 Hydraulic Fracturing (Hydrofracturing).
presented in Table B-3; soil deformation modulus, E, Hydraulic fracturing was initially employed as a tech-
may be determined by dividing Epm. by a. nique to improve oil well production by rupturing the
It is generally held that the pressuremeter does not adjacent borehole strata. A recent application of this
measure consolidation parameters such as m, or q,. technique is to measure in situ stress conditions at a
However, work in Japan has indicated that there may variety of borehole depths. The technique consists of
be a relationship between the creep pressure and the sealing-off a section of the borehole at the desired
preconsolidation pressure of clay (Mori and Tajima, depth by means of inflatable rubber packers. The
1964)* packers are then hydraulically pressurized until the
Foundation engineering using pressuremeter test surrounding rock ruptures in tension (Haimson,
results generally uses relationships developed specifi- 1977). The pressure which creates the initial fracture
cally for the pressuremeter test. The bearing capacity is recorded and then additional pressure is applied
and settlement of spread footings and pile founda- which is required to keep the fracture open and ex-
tions can be estimated using such special equations tend it away from the borehole wall. The recorded
(Baguelin et al., 1978). pressures are used to calculate the magnitudes of the
The pressuremeter has also been used to estimate in situ stresses.
the capacity of horizontally loaded piles with varying After the pressure is released, an impression
Tat... B-3
-
Soil Q p e Peat Clay silt Sand Sand and gravel
Emb? a Emlp? a EmbT a Emlp? <y EmIP ? a
Over-
consolidated >16 1 >14 2J3 >12 U2 >10 U3
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
Normally
consolidated 1 9-16 2J3 8-14 1/2 7-12 113 -10 114
Weathered
andor
remoulded 7-9 l/2 ll2 113 114
Slightly fractured
Extremely or extremely
Rock fractured Other weathered
a = 113 a = 112 a=u3
Rheological factor, ci, values for various soils (from Baguelin, et al., 1978).
LIB 1 2 3 5 20
Circle Square
Ad 1 1.12 1.53 1.78 2.14 2.65

O Ac 1 1.10 1.20 1.30 1.40 1.50
Foundation shape factors, Ac and Ad (from Baguelin, et al., 1978).
257
A A S H T O TITLE M S I 88 m 0639804 O O L L 8 8 3 42b m
packer is used to obtain an oriented imprint of the sponding to the top, bottom and sides of the vane
fractured portion of the borehole showing the inclina- assembly (Figure B-5). The preferred vane shape is a
tion and azimuth of the hydraulic fracture. Using the rectangular four-bladed vane with a height/diameter
recorded fracturing pressures and the fracture im- ratio of 2.
pression, the principal stresses and their directions Several models of vane shear equipment are avail-
can be calculated (Haimson, 1977). able. The simplest equipment and field procedure
The technique of hydraulic fracturing has also been utilizes a conventional torque wrench and the vane is
applied to soils. This procedure involves the installa- either pressed into the natural, undisturbed soil, or it
tion of a conventional piezometer which is back-pres- may be used in standard, cased test borings. Only
sured to fracture the soil. This method has been used gross shear strength information can be obtained with
successfully to measure lateral stress and tensile this method due to the difficulty in maintaining a
strength of fine-grained soils up to a depth of 125 ft. constant rate of vane rotation. A major improvement
(Bjerrum, L. et al., 1972). in this technique utilizes a precision-type torque head
assembly, such as the Acker model, which is used
B.5.3.2 Vane Shear Test. The field vane shear test in cased boreholes (Figure B-6). This procedure is
attempts to directly measure the in situ undrained capable of maintaining a constant rate of rotation and
shear strength of fine-grained, cohesive soils. Specific a high precision force gauge is monitored for each
details of the test are presented and are summarized degree of vane revolution. A totally self-contained,
in ASTM (D2573). Briefly, the test consists of ad- portable vane shear unit, which is capable of provid-
vancing a four-bladed vane to a desired soil depth and ing its own cased hole, in addition to constant rotation
measuring the applied torque as the vane is rotated at and accurate pressure monitoring, is the Geonor ,
a constant rate. Shearing resistance is considered to SGI vane borer (Figure B-7).
be mobilized on a cylindrical failure surface corre- The untrained shear strength can be calculated
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
Figure B-5. Vane shear device (Haley & Aldrich, Inc.)
258
AASHTO T I T L E M S I 88 Ob37804 O O L L 8 8 4 3 6 2 M
Appendix B
from the measured torque, provided that the shear However, the vane test is subject to uncertain effects
strengths on the horizontal and vertical planes are due to such factors as:
assumed equal, by the following:
Rotation of principal planes during shear
2T Dimensions of vane and failure cylinder
7F ~3 (WD + a/2) Rod friction
where Rate of rotation
Su,= undrained shear strength Disturbance during insertion
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
T = maximum applied torque

H = vane height Because the field vane imposes a stress system dur-
D = vane diameter ing shear that is unlike any failure mode encountered
a = factor which is a function of the assumed shear in practice, many engineers recommend treating the
distribution along the top and bottom of the field vane as a strength index test. That is, field vane
failure cylinder strengths for each soil type should be correlated with
a = 0.66 if uniform shear is assumed the results of other tests and observed failures with
a = 0.50 if triangular distribution is assumed (i.e. these soil types in order to establish a calibration
shear strength mobilized is proportional to factor. It has been found that the field vane greatly
strain) over-estimates the undrained strength of many highly
a = 0.60 if parabolic distribution is assumed. plastic clays, especially if they contain roots, shells,
sand lenses, and varves.
The vane shear test actually measures a weighted As a strength index test, the field vane can provide
average of the shear strength on vertical and horizon- an excellent relative measure of the variation of
tal planes. It is possible to determine the horizontal strength of a given deposit varies with depth and
and vertical shear strength for either plane by per- location. Also, once the test has been calibrated, it
forming the test in similar soil conditions using vanes yields a simple and convenient method of obtaining
of different shapes or height/diameter ratios. It has the undrained shear strength.
been found that, in general, the ratio of horizontau
vertical shear strength is less than unity. Therefore, B.5.3.3 Borehole Shear Test (BST). The Borehole
an accurately determined value of S, may be used as Shear Test provides a procedure with which in situ soil
a conservative estimate of the shear strength along the shear strength can be measured in the field. The shear
vertical plane. strength of the soil is determined in the borehole by
Until recently, the vane shear test was considered pulling up on the borehole shear device while it ap-
to be a very reliable way of measuring the undrained plies pressure against the sides of the uncased bore-
shear strength of soft to medium clays. A number of hole. By repeating the test at increasing horizontal
cases have been encountered in which the use of the pressures, a plot of maximum shear stress versus nor-
vane shear strength leads to unconservative results in mal stress can be developed. Shear strength parame-
undrained stability analysis (Bjerrum, 1972; Pilot, ters c and 4 are determined by drawing the Mohr-
1972). A correction procedure was developed (Bjer- Coulomb failure envelope.
rum) which attributes the difference in field behavior Advantages of the Borehole Shear Test (Mitchell et
to strain rate effects and relates such effects to a soil al., 1978):
plasticity index, Ip. The true undrained shear
The test is relatively quick; shear strength pa-
strength (S,) is approximately related to the mea-
sured shear strength (Su)as follows: rameters can be determined in less than an hour
in some soils.
(su)field = (su)vane *
Erroneous shear values are usually apparent
and tests may be re-run as necessary.
The correction factor, p, ,is related to the plasticity Tests may be located in specific strata as they are
index, Ip, as shown in Figure B-8 (Ladd, 1975). usually performed in completed, logged bore-
LaRochelle, and others, (1974) and Ladd (1975) holes.
have noted that the use of the Bjerrum correction
factor may yield occasional unconservative results. Some of the disadvantages of the BST are uncer-
The procedure is subject to the additional uncertainty tainty about drainage conditions in the zones being
in the determination of Ip and S,. sheared, and the unsuitability of some soils to stage
testing. Interference by the ends of the shear heads on
@ The field vane has the advantages of being rela-
tively easy to use and inexpensive and in providing soil not under normal stress may add to the apparent
almost continuous undrained shear strength data. shear force resistance (Schmertmann, 1975).
259
_ - - - I

_ -
- -____
0639804 0033885 2 T 9 -
__ __ _ _ _
VANE SHEAR TEST EQUIPIdENT
PRECISION TYPE TORQUE

"ACKER MODEL"
Figure B-6. Vane Shear Test Equipment. (Acker Driii Co.)
260 --`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

AASHTO T I T L E MSI 8 8 0639804 O O i I i I B B b 135 M
Appendix B
WITHDRAWN POSITION
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
EXTENDED POSITION
Figure B-7. Geonor, SGI vane borer (Haley & Aldrich, Inc.)
261
- - - - - - I I_ -- .- -- - I-
AASHTO T I T L E !SI 88 W 0639804 0033887 073 W
Figure B-8. The relationship between (c,,/p) and Plasticity Index (PI)
for normally consolidated clays. (Ladd, 1975)
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
The main components of the Borehole Shear De- After consolidation, the pulling device is used to
vice are: the shear head, the pulling device, and the pull the shear head up at a constant rate of 0.05 mm
console (Wineland, 1975). Refer to Figure B-9 for (0.002in.) per second. Pulling is continued until maxi-
schematics of the major components. mum shear force is reached. Normal and shear
In the shear head, curved, ridged shear plates are stresses can be calculated knowing the area of the
forced against the sides of the borehole by gas pres- shear plates. They are plotted as one point of the
sure (usually nitrogen) in the pistons; the pressure is Mohr envelope.
controlled at the console. The knife edges at the top The pressure of the shear plates against the bore-
and bottom of the shear heads minimize end resist- hole sides is then increased, a consolidation period
ance. The shear head is connected to the pulling allowed, generally five minutes, and the shear process
device by steel rods. repeated. As many test stages as desired may be
The hand operated pulling device rests on a plate at performed (or until the shear heads have been fully
ground surface, centered above the borehole. A expanded). Five points on the Mohr envelope are
worm gear and screw device is used for pulling the usually sufficient to establish the required shear
shear head, via the rods. Shear force is measured by strength parameters.
pressure in two hydraulic cylinders. In some low permeability soils, clays in particular,
The console component includes bottled gas used longer consolidation periods may be required. Incon-
to press the shear heads into the borehole sides, a sistent data may be checked by rotating the shear
pressure regulator, and pressure gauge. Pressurized head 90 degrees and rerunning several phases of the
gas is delivered to the shear head by plastic tubing. first test.
A general description of the performance of the An example of Borehole Shear Test data sheet and
Borehole Shear Test follows. Refer to Appendix C for data with plotted results is presented in Figure B-10.
further details. To conduct a BST, a cased borehole is Normal and shear stresses may be determined in the
advanced to the depth of the test. Final hole prepara- field. The Mohr envelope was drawn through the
tion is made by advancing a 76 mm (3411.) thin-walled origin and through the steeper data points. The drop
tube sampler into the borehole bottom. The test is in shear stress at higher normal stress is often attrib-
performed in the hole thus created. The shear head is uted to development of planes of reduced shear
lowered down the borehole by the rods. At the proper strength and/or full expansion of the shear head such
location, the plates are expanded against the borehole that the pressure indicated on the pressure gauge is
sides under a controlled pressure. A ten minute wait not actually applied to the shear plates.
is usually allowed for consolidation of the soil beneath Close agreement between shear strength parame-
the shear plates at the initial pressure. ters determined in the Borehole Shear Test and other
262
AASHTO T I T L E MSI BB Ob39804 O O L l B B B TOB
Appendix B
a,
cci
. .. .. . . -
. . . .- . * . * a
.- .
VI
n
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
cw
O
W
-I
.r
O
m
C
L cd
rl
a,
nw ,alr CI
.FI
.-
c
-I
%=
2 II g
k
C
a,
C
O
a
I W U
263
-_ -_
=
--
AASHTO T I T L E M S I AB 0637804 O O L L B B 7 744
field tests and laboratory triaxial tests have been re- 1x to 1x High (Equivalent to sand)
ported by several investigators (Lambrechts and Rix- More than 1x Very high (Equivalent to
ner, 1981, and Nickel, 1975). The BST appears most clean sand or gravel)
useful in relatively free draining soils, such as sands It should be noted that water inflow into a rock exca-
and some silts, where there is little worry about the vation will probably be greater than predicted by
development of untrained conditions during shear. these measurements. Most water flow in rock occurs
along individual discontinuities and a single discon-
tinuity could provide the majority of water flow to an
B.6 PERMEABILITY TESTS excavation. It is highly unlikely that water pressure
testing would locate all or even most of the worst flow
B.6.1 Water Pressure Tests conditions. Hence, the average flow computation
should be multiplied by some factor such as 2.0 or
Water Pressure Tests are conducted in situ, within greater in order to obtain a reasonable and conserva-
pre-drilled test borings, to measure the permeability tive estimate of water inflow. Observation of nearby
of a specificstratigraphic zone, usually bedrock. Pres- excavations or cut slopes, or careful inspection of
sure testing helps to locate zones of leakage and mea- large diameter explorations will help in selecting an
sures the capacity of such zones for transmitting wa- appropriate multiplication factor.
ter. Pressure test data are used in appraising
conditions that may exist in bedrock at the level of a
B.6.2 Pump Test
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
proposed tunnel or foundation; and are useful in esti-
mating grouting and dewatering requirements for
construction purposes. Pump tests are a reliable means of measuring the
The Water Pressure Test assembly consists of ex- hydraulic conductivity of a water-bearing material
pandable packers, either mechanical (Figure B-11) or because the material is not disturbed as in laboratory
pneumatic (Figure B-12), which can isolate specific tests (See Section lo), and because a sizeable area of
borehole sections or strata. Double pneumatic packer the material is tested over a relatively long period of
assemblies with a 1.5 m (5 ft.) spacing between the time compared to the other field permeability tests.
packers are the more commonly used; however, the Pump tests provide data that are used to calculate
spacing between the packers can be adjusted to ac- transmissivity and the storage coefficient of the wa-
ter-bearing materials in question. These two mea-
commodate the specific situation. In addition, only
one packer may be required to isolate major sections sures of the material's ability to transmit and store
water are essential for further quantitative evaluation
of the borehole.
of the material's hydrologic responses to various
The time rate of water flow into the isolated test
changes in conditions that may be caused by construc-
section, at a selected gauge pressure, is recorded for 5
tion of some transportation structure. For example
to 30 mins., depending on the volume of water which
they are necessary to calculate required well spacing
enters the test section. This procedural step is usually
and pumping rates to dewater an area for construction
repeated several times at increasingly higher pres-
of a deep foundation or a tunnel. They are also neces-
sures, but not exceeding a computed maximum allow-
sary to calculate the area over which water levels may
able gauge pressure, which could hydraulically frac-
be lowered by excavation of a road cut. If desired, the
ture the strata being tested. After the zone of interest
value of the hydraulic conductivity of the material
is tested, the packer(s) may be deflated and the as-
may be found by dividing transmissivity by the satu-
sembly moved and reset in different zones for addi-
rated thickness of the water-bearing material.
tional tests.
The coefficient of permeability (k) calculated from Pump tests require a pumping well plus at least one
other observation well. Several observation wells at
the test results of the various borehole permeability
varying distances from the pumping well are prefer-
tests gives a gross indication of the overall mass per-
red. Most often it is necessary to have several obser-
meability. A qualitative description of rock mass per-
vation wells, and sometimes more than one pumping
meability based on water pressure test results is given
well, depending upon the area and the type and com-
below:
plexity of the material being tested. Many areas have
Rock Mass Permeability (cdsec) multiple water-bearing zones, and their degree of
Less than 1x Very low (Equivalent to interconnection must be determined because there
clay) may be anything from virtually no water transfer be-
1x to 1x Low (Equivalent to silt) tween zones to sufficient transfer that they are prac-
- ~l x
l ~ l O to Medium (Equivalent to fine tically one zone. Such situations usually require com-
sand) pound or cluster observation wells to provide water
264
-
AASHTO T I T L E MSI 8 8 Ob37804 OOLL890 bbb
Appendix B
IOWA B O R E HOLE SHEAR TEST

mje& Kceae Qh9 &:da<. - Boring No: 0-203 Test No.- 3
Location4- t 2 7 ', Qiiht 59' o a t e 19 Jdlu i978
c e p t h 2b.S' belad
$round J r T O C L Horizon Tested by
~sscription
1 I I t I I I I
N O R M A L STRESS, p s i
Figure B-10. Example Borehole Shear Test Data Sheet and Mohr Envelope Plot.
265
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1
AASHTO T I T L E M S I B B Ob39804 O O L L B 9 L 5 T 2 9
R'MOVABL PLUG
BUSHING XPANDf R HANDLE
I-H (?Y
PR SSUR GAUG
ro WA r m
SOURCIC
BDROCK
Direction of water flow under

*-*+ pressure with bushings properly
.
sea led
Direction o f water flow with or

4 without pressure and bushings
not properly sealed.
O U 6 M PACKf?
MC'ANICA L
TESTING uwr
Figure B-11. Water Pressure Test Equipment. Mechanical Packers.

(Haley & Aldrich, Inc.)
266 --`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

A A S H T O T I T L E MSI 8 = 0639804 O O L L 9 2 439
Appendix B
I,!I HOSE W
Figure B-12. Water Pressure Test Equipment. Pneumatic Packers.
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`--- 267
~ ~
~~~ ---
AASHTO T I T L E MSI 8 8 M 0639804 0011893 375
levels at multiple depths at one point. Thus, it be- the saturated zone, and in materials of sufficient hy-
comes apparent that pump tests are an expensive draulic conductivity to yield water to the well at a
method of hydraulic conductivity measurement. reasonable rate. The water-addition methods can be
Also, pump tests can be used only in saturated mate- used in the field or laboratory on materials that are
rials that will yield fairly large amounts of water to a unsaturated as well as saturated, and on materials of
well. For these reasons, pump tests will not be appro- rather low hydraulic conductivity. Whether testing is
priate or economical for every project. Pump tests are done in the field or in the laboratory, there are two
most appropriate on projects that require large exca- types of water-addition methods that can be used.
vations into high-yield aquifers. Such projects would One is called the falling head test and the other is
include tunnels, deep foundations, and possibly very called the constant head test. None of these methods
large road cuts, where the ability to carry out the require more than one well. That is, all required
construction, the safety of the workers, and the effects measurements can be made in one well without the
on adjacent structures or aquifers due to dewatering a need for additional observation wells as in a pump
large area are items of great concern. test.
When conducting a pump test, it is important to Among the several field falling-head methods,
test the water-bearing material under essentially nat- which are based on the rate of decay of an excess head
ural conditions. Therefore, it is necessary to convey imposed in a borehole, a method described by
the pumped water to a place where it can be dis- Hvorslev (1951) is considered quite useful. Require-
charged without seeping back in the material to pro- ments are that the borehole opening be of a definite
vide abnormal recharge that will give false (too high) size and shape, and that the hole remain open, which
water level readings in one or more of the observation may require the placing of a screen to prevent the
wells. It is necessary as well to be sure that pumping collapse of the hole while allowing water to enter the
wells and observation wells are not providing a con- hole. The borehole is filled with water and the water
duit to allow seepage from overlying materials to level is measured at frequent time intervals for a
move unnaturally into the zone being tested. Such period of about 15 minutes or until the water level
seepage is controlled by placing well casing and seal- drops about one foot. The hydraulic conductivity of
ing it at the top of the zone to be tested. Sealing may the material around the borehole at the test depth can
be accomplished by driving the casing into the top of be calculated at ones convenience using the pro-
the water-bearing material or into an overlying imper- cedure described by Hvorslev (1951). The calculation
meable material if present. Another method is to drill is related to the configuration of the borehole opening
a larger hole to the top of the water-bearing zone, used, the rate of fall of the water level, and the static
center the casing in this hole, and fill the annular water level in the well prior to testing.
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
space between the casing and the outer hole with an Constant-head methods are based on the rate at
impermeable material. This method provides an ade- which water must be added to the hole to maintain an
quate seal, especially if the entire annular space is excess head in the borehole. This type of test may be
filled with cement grout. However, it is not always required in highly permeable materials because the
practical or necessary to place the grout to more than water level will fall too rapidly for the series of mea-
a few feet above the top of the water-bearing zone. It surements required in the falling head tests. Pro-
may be sufficient even to use a swelling clay such as cedure for calculating hydraulic conductivity have
bentonite in place of the grout, especially for the been developed for this method as well and a good
observation wells. In either case, a smaller hole is procedure is presented by Hvorslev (1951).
then drilled inside the casing to the bottom of the A method of testing that in a test boring or well is
water-bearing zone, and the well completed for called the rising head test can be conducted. It in-
pumping. volves the removal of a measured volume of water
from a well by means of a bailer or pump and measur-
B.6.3 Hydraulic Conductivity Tests ing the residual drawdown some time after the com-
pletion of any number of bailing cycles. The method is
Aside from the pump tests discussed in the preceding described in more detail and the rather simple
section, there are a number of other means of deter- method of calculating the transmissivity is shown in
mining the hydraulic conductivity of water-bearing Ferris, and others (1962). The water level prior to the
materials. One is to remove water from the material start of bailing must be measured in order to deter-
being tested, usually by means of a well. Another is to mine the residual drawdown, which is the difference
add water to the material, either in the field by means between the static level (the water level prior to
of a well, or in the laboratory on a sample of the bailing) and the recovered water level measured after
material removed from the field. bailing has ceased. Also, in order to calculate the
The water-removal methods can be applied only in hydraulic conductivity, the thickness of the water-
268
AASHTO T I T L E M S I 88 H Ob39804 0011894 201 H
Appendix B
bearing zone must be known, since transmissivity is tended to areas with different conditions only with
equal to the hydraulic conductivity multiplied by the great care. A different approach to determining infil-
thickness of the water-bearing material. However, if tration averaged over larger areas is to use hydrogra-
transmissivity is known it is not always necessary to phy analysis of runoff from the watershed of interest.
determine the hydraulic conductivity per se. A some- Discussion of all of these methods and more specific
what similar, but more elaborate, test in which the references can be found in Gray (1970) and U.S.
hydraulic conductivity is calculated directly by a rela- Environmental Protection Agency (1977). Infiltra-
tively complicated procedure, is called the auger-hole tion data are useful primarily in runoff calculations for
method. This method is described in Drainage of drainage designs.
Agricultural Land (U.S. Soil Conservation Service, Percolation tests are required by most states for
1973). establishing the size and acceptability of septic tank
Attempts have been made to estimate hydraulic drainage fields for on-site sewage disposal. Some
conductivity by timing the movement of a tracer from methods are described in U.S. Environmental Pro-
one observation well to another. Various materials tection Agency (1977). These tests should not be used
have been used as tracers, including dyes, soluble for geotechnical design purposes as they are known to
salts, radioactive substances, and biological agents. give excessive and unrealistically high infiltration
These methods frequently produce unsatisfactory re- rates. They are mentioned here because on-site sew-
sults due to dilution and reactions with soil and rock age disposal may be employed in conjunction with
materials. Radioactive tracers, and sometimes bio- highway rest areas, maintenance and office buildings,
logical agents, also tend to produce adverse emo- and other similar structures. Appropriate state and
tional reactions from the public. Tracers are most local agencies should be consulted for details of per-
reliable only over short distances, requiring a much colation test requirements in the jurisdiction of a spe-
closer spacing of observation wells than would other- cific project.
wise be needed, adding to the cost of the project.
Tracers become more effective as more is known
about the water-bearing material and the groundwa- B.7 REFERENCES
ter flow system, and so are best used as confirmation
of previously calculated flow directions and rates. Amar, S.; Baguelin, F.; Jezequel, J. F.; and
LeMahaute, A. ln Situ Shear Resistance of Clays.
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
B.6.4 Percolation Tests Conf. on In Situ Measurement of Soil Properties,
ASCE, ROC. Vol. 1, pp. 22-45, 1975.
Percolation tests measure the movement of water into
and through the unsaturated zone. The movement of American Society for Testing and Materials. Tenta-
water from the surface into the soil or rock is called tive Method for Deep, Quasi-Static, Cone and Fric-
infiltration. Percolation refers to the movement of tion-Cone Penetration Tests of Soil. Test Designa-
water through the subsurface materials. tion D3441-86, 1987 Annual Book of ASTM
Infiltration is measured by two basic types of sys- Standards, Part 4, Philadelphia, 1987.
tems, or infiltrometers. They are the sprinkler type Arcone, S.A. Pulse Transmission Through Frozen
and the flooding type. Sprinkler infiltrometers at- Silt, Cold Regions Research and Engineering Labo-
tempt to simulate rainfall and the dynamic action of ratory, Department of the Army, CRREL 84-17.
rain-drop impact. Infiltration rates determined by Available From: Cold Regions Research and Engi-
sprinkler methods generally yield infiltration rates neering Laboratory, Department of the Army, Hano-
about one-half as great as the rates obtained byflood- ver, New Hampshire, 1984.
ing methods. Therefore, the method used should Baguelin, F.; Jezequel, J. F.; LeMee, E.; and
match the situation for which the infiltration data is to LeMehaute, A. Expansion of Cylindrical Probes in
be used. For example, highway drainage is often dis- Cohesive Soils. Journal of the Soil Mechanics and
charged over the land rather than directly to a stream, Foundations Division, ASCE, Vol. 98, No. SM11, pp.
and a flooding-type infiltrometer would be the most 1129-1 142, 1972.
appropriate to evaluate the resultant runoff. The use
of flooding type infiltrometers is generally much sim- Baguelin, F.; Jezequel, J. F.; and Shields, D. H.,
pler than sprinklers, and so they are used more often. The Pressuremeter and Foundation Engineering.
A common flooding method is the double-ring infil- Clausthal, Germany: Trans Tech Publications, 1978.
trometer. These methods essentially measure vertical Baligh, M. M., et. al. The Piezocone Penetrome-
flow of water expressed in inches per hour. Infiltration ter. Cone Penetrometer Testing and Experience.
rates apply only to the soil and vegetative conditions ASCE National Convention, St. Louis, Missouri
prevailing where the test is made and should be ex- 1981.
--
269

__ -~ --
AASHTO T I T L E ! S I 8 8 W Ob39804 O O L L 8 9 5 148
Baus, R. L. Investigation of Subsurface Exploration Rock Mechanics, Vol. 1, A. Balkema, Rotterdam,

Methods For Prevailing Geologic Conditions in South 1977.
Carolina, South Carolina University, FHWA- Hartman, J. P. and Schmertmann, J. H. FEM Study
SC-85-01, Columbia, South Carolina, 1985. of Elastic Phase of Pressuremeter Test. Conf. on In-
Bergdahl, U. and Moller, B. The Static-Dynamic Situ Measurement of Soil Properties, ASCE, Proc.
Penetrometer. IXth ICSMFE, Tokoyo, Proc. pp. Vol. 1, pp. 190-207, 1975.
439-444, 1977. Hogentogler & Company, Inc. The Dutch Cone
Bjerrum, L. Problems of Soil Mechanics and Con- Penetrometer Conversion Kit, Operating Procedures
struction on Soft Clays. State-of-the-Art Report, and Technical Data. Gaithersburg, Maryland, 1979.
P~oc:8th ICSMFE, pp. 109-159, 1977. Hvorslev, M. Time Lag and Soil Permeability in
Bjerrum, L. Embankments on Soft Ground. State- Ground-water Observations. U.S. Army Corps of
of-the-Art Report, Proc. ASCE Spec. Conf. on Per- Engineers, Waterways Experiment Station,
formance of Earth and Earth Supported Structures, Vicksburg, Mississippi, Bulletin 36, (April, 1951).
pp. 1-54, 1972. Jamiolkowski, B. M.; Ladd, C. C.; Germaine, J. T.;
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
Bjerrum, L.; Nash, J.; Kennard, R.; and Gibson, R., and Lancelotta, R. New Developments in Field and
Hydraulic Fracturing in Field Permeability Testing. Laboratory Testing of Soils. Theme Lecture, Ses-
Geotechnique. Vol. 22, No. 2, pp. 319-332, 1972. sion 2, XI ISCMFE, San Francisco, California, 1985.
Centre #Etudes Menard. Regles dutilisation des Kastman, K. In Situ Testing with the Menard Pres-
Techniques Pressiometriques et dExploitation des suremeter. Symposium on Site Exploration in Soft
Resultats Obtenus pour le Calcul des Foundations, Ground Using In Situ Techniques, Proc. US.Dept.
Publication D160175, 1975. of Transportation, FHWA, Report No. FNWA-
Durgunoglu, H. and Mitchell, J. M. Static Penetra- TS-80-202, 1980.
tion Resistance of Soils: I-Analysis, II-Evaluation of Kummenege, O. and Eide, O. Investigation of
Theory and Implications for Practice. ASCE, In Situ Loose Sands by Blasting. Vth ICSMFE, Vol. 1,pp.
Measurement of Soil Properties, Vol. 1, pp. 172-189, 491-497, 1961.
1975. Ladanyi, B. In Situ Determination of Undrained
Ervin, M. C. (Ed.). In Situ Testing for Geotechnical Stress-Strain Behavior of Sensitive Clays with the
Investigations, Accord, Massachusetts: A. A. Balk- Pressuremeter. Technical Note, Canadian Geo-
ema, 1983. technical Journal, Vol. 9, No. 3, pp. 313-319, 1972.
Fehler, M., and Pearson, C. Cross-Hole Seismic Sur- Ladd, C. C. et. al. Evaluation of Self-Boring Pres-
veys: Applications For Studying Subsurface Fracture suremeter Tests in Boston Blue Clay. U.S.DOT
Systems at a Hot Dry Rock Geothermal Site. Ore- FHwAIRD-8OlO52, 1980.
gon State University, American Geophysical Union, Ladd, C. C. Discussion on Measurement of In Situ
EOS Transactions, Vol. 64, No. 50, p. 984, 1983. Shear Strength. Specialty Conference on In Situ
Ferris, J. G.; JSnowles, D. D.; Brown, R. H.; and Measurement of Soil Properties, North Carolina
Stallman, R. W. Theory of Aquifer Tests. U.S. Geo- State University. Proc. Vol. II, pp. 153-160, 1975.
logical Survey Water Supply Paper 1536-E. 1962. Laier, J. E.; Schmertmann, J. H.; and Schaub, J. H.
Effect of Finite Pressuremeter Length in Dry Sand.
Franklin, A. G. and Cooper, S. S. Tests in Alluvial Conf. on In Situ Measurement of Soil Properties,
Sand with the PQS Probe. Xth ICSMFE, Stock-
ASCE, ROC. Vol. 1, pp. 241-259, 1975.
holm, pp. 475-478, 1981.
Lambrechts, J. R. and Rixner, J. J. Comparison of
Freed, D. L. Prediction of Pile Side Resistance of Shear Strength Values Derived from Laboratory Tri-
Smooth and Rough 4-in. Square Concrete Model axial, Borehole Shear, and Cone Penetration Tests,
Piles Driven in Sand Using Static Cone Penetrometer ASTM STP 740 Laboratory Shear Strength of Soil,
Data. University of Florida, M.E. Thesis, Decem- 1981.
ber 1973. LaRochelle, P., et al. Failure of a Test Embankment
Gray, Donald M., Ed. in Chief. Handbook on the on a Sensitive Champlain Clay Deposit. Canadian
Principles of Hydrology, Secretariat, Canadian Na- Geotechnical Journal, Vol. 9, No. 1, pp. 142-164,
tional Committee for the International Hydrological 1974.
Decade, (1970), Reprinted by Water Information Leifer, J. C. The CombinationProbe:ANew Instru-
Center, Inc., Port Washington, New York, 1973. ment For Subsurface Exploration Public Roads, Vol.
Haimson, B. C. Stress Measurements Using the Hy- 48, No. 1, pp. 1-11, Federal Highway Administra-
drofracturing Technique. Field Measurements in tion, Washington, D.C., 1984.
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Appendix B
Marchetti, S. In Situ Test by Flat Dilatometer. Schmertmann, J. H. Measurement of In Situ Shear

ASCE Journal of the Geotechnical Engineering Divi- Strength. Conf. on In Situ Measurement of Soil
sion, Vol. 106, No. GF3, pp 299-321, 1980. Properties, ASCE, R o c . Vol. 2, pp. 56-138, 1970.
Menard, L. The Interpretation of Pressuremeter Schmertmann, J. H. Static Cone to Compute Static
Test Results, Sols-Soils, No. 26, pp. 5-43, 1975. Settlement Over Sand. ASCE, Journal of the Soil
Mitchell, J. R. and Gardner, W. S. ZnSitu Measure- Mechanics and Foundations Division, Vol. 96, SM3,
ment of Volume Change Characteristics. Conf. on pp. 1011-1043, 1970.
In Situ Measurement of Soil Properties, ASCE, Roc. Schmertmann, J. H. Discussion to DeMeiis State-of-
Vol. 2, pp. 279-345, 1975. the-Art Paper, The Standard Penetration Test. 4th
Mitchell, J. R.; Guzikowski, F.; and Villet, W. C. B. Pan Am. Conf. SM&FE, Puerto Rico, R o c . Vol. III,
The Measurement of Soil Properties Zn Situ. Geo- pp. 90-98, 1971.
technical Engineering Report, LBL-6363, University Schmertmann, J. H. Measurement of In Situ Shear
of California, Berkeley (March 1978). Strength. Conf. on In Sim Measurement of Soil
Mori, H. and Tajima, S. The Applications of the Properties, ASCE, Proc. Vol. 2, pp. 57-138, 1975.
Pressiometre Method to the Design of Deep Founda- Schmertmann, J. H. The New In Situ Marchetti
tions. Soil and Foundations, Vol. 4, No. 2, pp. Dilatometer Test, GeotechnicalNews, Vol. 2, No. 3,
34-44, 1964. pp. 34-35, 1984.
Naithani, S. K. Prediction of Load Bearing Capacity Schmertmann, J. H. Guidelines for Cone Penetra-
of Bored Pile During Its Construction, Indian Geo- tion Test Performance and Design. FHWA-
technical Society, Indian Geotechnical Journal, Vol. TS-78-209, 1978.
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
13, NO. 2, pp. 93-102, 1983. Schmertmann, J. H. Statics of SPT. ASCE, Jour-
Nickel, S. H. Borehole Shear Device. Discussion of nal of the Geotechnical Engineering Division, Vol.
Measurement of In Situ Shear Strength by J. H. 105, No. GT5, pp. 655-670, May 1979.
Schmertmann, Conf. on In Situ Measurement of Soil Tumay, M. T. Field Calibration of Electric Cone
Properties, ASCE, Proc. Vol. 2, pp. 172-174, 1975. Penetrometers in Soft Soil, (Executive Summary),
0 Norris, G. M., and Holtz, R. D. (Eds.) Cone Penetra-
tion Testing and Experience. ASCE National Conven-
Louisiana State University, Louisiana Department of
Transportation and Development, Baton Rouge,
tion, St. Louis, Missouri, Proc. October 1981. Louisiana. Available From: National Technical Infor-
Nottingham, L. and Schmertmann, J. H. An Inves- mation Service, Springfield, Virginia, 1985.
tigation of Pile Capacity Design Procedures. D692, U.S. Soil Conservation Service. Drainage of Agri-
Florida pepartment of Transportation (1975). cultural Land>, 1973.
Palmer, A. C. Undrained Expansion of a Cylindrical U.S. Environmental Protection Agency, U.S. Army
Cavity in Clay: A Simple Interpretation of the Pres- Corps of Engineers, and U.S. Department of Agri-
suremeter Test. Geofechnique, Vol. 22, No. 3, pp. culture. Process Design Manual for Land Treatment
451-457 and Discussion, Vol. 23, No. 2, pp. 284-292, of Municipal Waste Water. EPA625/1-77-008 (COE
1972. EM1110-1-501), October 1984.
Pilot, G. Study of Five Embankment Failures on Wineland, J. D. Borehole Shear Device. Conf. on
Soft Clay. ASCE, SC-PEESS, Vol. 1, Part 1, pp. In Situ Measurement of Soil Properties, ASCE, Proc.
81-100, 1972. Vol. 1, pp. 511-522, 1975.
Wroth, C. P. and Hughes, J. M. D. An Instrument
Rezowalli, J. J. ;f i g , M.S. ;and Myer, L. R. Cross
for the In Situ Measurement.of the Properties of Soft
Hole Acoustic Surveying in Basalt , University of
Clays. 8th International Cod. on Soil Mechanics
California at Berkeley, Pergamon Press Limited and
and Foundation Engineering, Proc. Vol. 1.2, pp.
International Journal of Rock Mechanics and Mining
487-494, 1973.
Science and GeomechanicAbstracts, Vol. 21, No. 4,
pp. 213-216, 1984. Yilmaz, R., Lakeman, E., and Melancon, J. L. The
Use of Cone Penetrometer Testing to Investigate
Robertson, P. K. and Campanella, R. G., The Flat Sand Subsidence at Cross-Drain Locations, Volume
Plate Dilatometer Test For Liquefaction Assess- 1, Geogulf, Inc. ;Archivfuer, Eisenbahntechnik Re-
ment. University of British Columbia, SM Series, search and Development; Federal Highway Adminis-
O No* 79, 1984*
Sanglerat, G. The Penetrometer and Soil Exploration.
tration, FHWA-LA-84-170. Available From: Louisi-
ana Department of Transportation and Develop-
Elsevier Publishing Company (1972). ment, Baton Rouge, Louisiana, 1984.
271

AASHTO T I T L E MSI 8 8 Ob39804 0 0 1 1 8 4 7 T i t 0
APPENDIX C
In Situ Testing Procedures
A selected summary of field testing procedures re- STANDARD PENETRATION TEST (SPT)
quired to determine various soil and rock properties,
and the associated forms to record the data, are in- (ASTM DESIGNATION D-1586, AASHTO DES-
cluded within Appendix B. This summary is not in- IGNATION T-206)
tended to be all-inclusive of the many field tests cur-
rently in existence. It is intended to discuss only those 1. The sampler spoon consists of a 5 cm (2 in.)
basic tests and procedures which are in common use. O.C. by 3.5 cm (1%in.) I.D., 46 cm (18 in.)
A detailed discussion of the very complex methods minimum length, heat treated, case-hard-
which are not commonly in use is beyond the scope of ened, steel head, split-spoon and shoe assem-
this Manual. bly. Splitspoon or split-tube samplers are the
The various field procedures are included only for most generally accepted method for obtaining
general guideline purposes, realizing that specific op- representative, disturbed samples of the se-
erational details are dependent upon local practice, lected stratum.
available equipment, and subsurface conditions. The head is vented to prevent pressure
Standard and acceptable procedures in one part of the buildup during sampling and must be kept
country may be prohibited or not available in other clean. A steel ball watercheckis located in the
areas. head to prevent downward water pressure
Various field data collection forms are also included from acting on the sample. Removal of the
with the applicable procedure for general information watercheck frequently causes sample loss.
purposes. These forms are presented only as a guide 2. The drive rods which connect the split-spoon
to the type of information required. Specific field to the drive head should have a stiffness equal
forms will also vary between organizations and alter- or greater than that of the A-rod. In order to
nate formats which record the pertinent information maintain only minimal rod deflection, on ex-
may be used. ceptionally deep holes it may be preferable to
employ N-rods. The size of the drive rods
must be kept constant throughout a specific
IN SITU BOREHOLE TESTING exploration program, as the energy absorbed
PROCEDURES will vary with the size and weight of the rod
Page employed.
3. The drive head consists of a guide rod to give
1. Standard Penetration Test (SPT) c-3 the drop hammer free fall in order to strike
2. Rock Quality Designation (RQD) c-7 the anvil attached to the lower end of the
3. Dynamic Penetrometer Tests c-9 assembly. The rod must be at least 1.1m (3.5
4. Static Cone Penetrometer Tests c-11 ft.) in length to insure the correct hammer
5. Pressuremeter Test (Menard Type) C-16 drop.
6. Borehole Shear Test (Iowa Type) c-22 4. The drop hammer used in determining SPT
7. Water Pressure Test C-25 resistance must weigh 64 kg (140 lbs.) and
273
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

have a 5.15cm (2.5 in.) diameter hole through 10. The split-spoon is opened and carefully exam-
the center, for passage of the drive head guide ined, noting all soil characteristics, color
rod. seams, disturbance, etc. A representative
5. The hammer is raised with a rope (gin line) sample is selected and preserved in a screw-
activated by the drill rig cathead; no more top, glass jar and properly labeled. In the
than two turns of the rope should be allowed event that more than one soil type is encoun-
on the cathead. A 76 cm (50in.) hammer is tered in the sample split-spoon, each soil type
mandatory for proper SPT determination. should be preserved in a separate jar. Refer to
Extreme care must be exercised to produce Section 6.9, Sample Preservation and Ship-
consistent results. ment.
Automatic trip hammers are commercially
available which insure the 76 cm (30 in.), free- ROCK QUALITY DESIGNATION (RQD)
fall drop. When preservation of the soil struc-
ture is critical (such as in liquefaction studies), Figure C-3 illustrates the basic approach for obtaining
the automatic trip hammer should be em- the Rock Quality Designation (RQD) of rock core. In
ployed. general RQD is defined as the total length of recov-
6. Attach the split-spoon to the drill rods and ered core pieces greater than 102 mm (4.0 in.) in
lower the assembly to the bottom of the hole. length expressed as a percent of the core drilled. Since
Measure the drill rod stickup to determine if RQD is supposed to be an objective measure of
heave or blow-up of the stratum has oc- rock quality, it would be ideal if the procedure was, in
curred. Note any penetration of the sampler fact, this easy. Unfortunately, several factors such as
into the stratum under the weight of the rods. those listed below must be properly evaluated in or-
The 64 kg (140 lb.) hammer is raised 76 cm (30 der for RQD to provide reliable results.
in,) above the drivehead anvil and then al-
lowed to free fall and strike the anvil. This Core Barrel Size and Type: RQD is most fre-
procedure is repeated until the sampler has quently calculated for NQ size core or larger ob-
penetrated 45 cm (18 in.) into the stratum at tained with double-tube core barrels. Smaller di-
the bottom of the hole. ameter cores and single-tube core barrels tend to
adversely affect the quality of the core, thereby
7. The number of blows of the hammer required artificially degrading the RQD. Thus, RQD
for each 15 cm (6 in.) penetration is counted should not be used with core barrels smaller than
and recorded. A penetration rate of 100blows NQ.
per 30 cm (foot) is normally considered re- Weathering: Rock assigned a weathering classi-
fusal; however, this criterion may be varied fication of severe or very severe should not be
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
depending upon the desired information. The included in the determinationof RQD, regardless
penetration resistance (N) is determined by of length.
adding the second and third 15 cm (6 in.) Core Recovery: RQD measurements intrin-
resistance blow counts together. When other sically assume that coring is well done and that
sizes and types of sampling and drive equip- core recovery is at or near 100%. As core recovery
varies from 0-100% explanatory notes may be
ment are employed, Figs. C-1 and C-2 may be required in order to describe the reason for the
used in converting the obtained blow count to variation and the effect on RQD.
the accepted SPT value. Variationin Core Run Length: RQD is most fre-
8. The sampler is then withdrawn from the bore- quently determined per core run. If the runs vary
hole, preferably by pulling on the rope. If the greatly in length, RQD can also vary without sig-
sampIer is difficult to remove from the stra- nificant changes in core quality. For instance, if 15
tum, it may be necessary to remove it by cm (6 in.) of bad rock is recovered in a 60 cm (2.0
hitting the drive head upward with short, light ft.) core run, the RQD would be 75 percent. If the
hammer strokes. Remove the sampler from core run was extended to 1.5 m (5 ft.) without
the bottom of the borehole slowly to minimize encountering additional poor rock, the RQD
would be 90 percent. In general, RQD should be
disturbance. Keep the casing full of water dur- based on consistent 1.5m (5 ft.) or 3 m (10 ft.) core
ing the removal operation. runs. Variations in core run lengths should be
9. Careful measurement of all drilling tools, noted.
samplers and casing must be exercised during Drilling Fractures: Only natural fractures such
all phases of the test boring operations, to as joints or shear lanes should be consideredwhen
insure maximum quality and recovery of the calculating the RQD. Fractures due to drillingand
sampIe. handling must be discounted.
274
AASHTO T I T L E MSI 8 8 E Ob39804 OOLL899 893 M
Appendix C
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`--- I I
Figure c-1 275

~- - ~ - _ _ _
AASHTO T I T L E M S I 8 8 m Ob39804 OOLL900 335 m
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
n
276
AASHTO T I T L E M S I 8 8 0639804 OOLLOL 271
Appendix C
-
CORE CORE hl0DIFIED CORE
SAMPLE RECOVERY RECOVERY
~. - . .
O 7
I (INCHES) I (INCHES)
10 10
10
2
2
3
20
4 4
5 5
30
3 -
4 4
40
6 6
50 4
2
2
5 5
60" 5 0 I'
3 4 'I
I
CORE R E C O V E R Y = 50'?.60"=84 % R Q D = 3 4 ' ? 6 0 ' ' = 57 %
9
R Q D ( R o c k Quality Description of
Designai ion 1 R o c k Quality
V. Poor
2 5 - 50
50 75 - Fair
75 90 - Figure C-3
S O - 100
MODIFIED CORE RECOVERY
AS A N I N D E X O F
R O C K QUALITY
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

- - - __.-- --. _ _ _ I
_ _
I- -
AASHTO T I T L E MSI B B Ob3B04 O O L L O 2 L O B
RQD can be useful as a measure of overall rock and a regulated drop hammer. The penetrometer
quality and as a guide to engineering judgement. It is point must be larger than thedrill rod in order to
beneficial to know, for instance, if a tunnel will be prevent skin friction on the drill rod. The most com-
excavated in poor quality rock or excellent quality mon size penetrometer point is 5.1 cm (2.3 in.) in
rock. Difficulty has been encountered, however, in diameter used with 4 cm (1.6 in.) diameter drill rod
trying to correlate RQD with specific rock behavioral (Standard A-rod). The hammers used in this test are
characteristics without knowledge of other important usually heavier than the one used in the SPT. m o in
rock properties such as continuity. RQD should be use are the 136 kg (300 lb.) with the 76 cm (30 in.)
considered oniy as an approximate measure of overall drop and the 159 kg (350 lb.) with the 46 cm (18 in.)
rock quality. drop.
Procedure
DYNAMIC PENETROMETER TESTS
1. The expendable penetrometer point is at-
Recoverable Q p e tached to the drill rod through a sleeve arrange-
ment, and the anvil and hammer are placed in
The equipment consists of a penetrometer cone position on top of the drili rod. Reference
(solid, conical point), drill rods to advance the boring, marks are then made at every 30 cm (foot) or as
anvil, and a hammer having a regulated fall. It is to be needed,
noted that dimensions and weights vary among the 2. The actual test consists of continuously driving
state organizations. The most common hammer used the penetrometer point with the regulated
is the standard 64 kg (140 lb.) with 76 cm (30 in.) drop hammer. In relatively soft materials, the
drop, and the most common cone diameter is 5 cm (2 number of blows required per 30 cm (foot) of
in.). Another combination used is the 77 kg (170 lb.) penetration should be recorded. In hard mate-
hammer with a 60 cm (24 in.) regulated drop on a 7.5 rials, including rock, the number of blows
cm (3 in.) diameter cone. should be recorded for each 2.5 cm (inch) of
penetration.
Procedure 3. Another version of the driven probe test in-
volves the use of the California Penetrome-
1. The bottom of the boring is cleaned out, and ter. This is a cone penetrometer consisting of
the cone threaded to the end of the drill rod is a 4 cm (1.6 in.) diameter rod with a 5.1 cm (2.3
lowered to the bottom of the hole. Then the in.) diameter expendable cone tip. This pene-
anvil is attached to the top of the drill rod with trometer is driven by a compressed air powered
the hammer placed in position on top of the sheet pile hammer. The rate of penetration is
anvil. recorded in seconds per 30 cm (foot) until re-
2, The penetrometer cone is seated at the bottom fusal is attained or until the driving rate equals
of the hole by driving it a sufficient distance to 180 seconds per 30 cm (foot) for the cone.
penetrate any disturbed material.
3. The depth to the tip of the cone is recorded and
reference marks are made on the drill rod at 15 STATIC CONE PENETROMETER TESTS
cm (6 in.) increments.
4. The actual test consists of driving the cone with ASTM Test Designation D3441-86 provides stan-
the chosen hammer dropped its regulated dis- dards and procedures for completing the Cone Pene-
tance. As in the SPT, this regulation should trometer Test (CFT).
preferably be accomplished mechanically by
an automatic tripping mechanism, and the Mechanical Cone
height of fali should be checked during driving.
5 . In relatively soft materials, the number of 1. Set the thrust machine to the required test
blows required to drive the cone at 15 cm (6 in.) speed, generally between 1to 2 c d s e c (2 to 4
increments for a total of 30 cm (one foot) ftimin.).
should be recorded. 2. Prior to inserting the penetrometer into the
ground, check that the assembled penetrome-
Expendable Q p e ter tip and first push rod section are in straight
alignment, the point and friction sleeve moves
The equipment consists of an expendable penetrome- freely with respect to each other, and the
ter point, standard drill rod to advance the test, anvil, inner rod moves freely within the push rod.
278 --`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

A A S H T O T I T L E US1 Bi3 0639804 OOLL903 044 =
Appendix C
3. If testing in cohesive materials, it is advisable ing, so that at the completion of each 1m (3.3
@ to use a friction reducer section, located di-
rectly above the penetrometer. This special
ft.) thrust, the data recording system does not
have to be tampered with.)
rod has a diameter larger than the push rods 3. If testing in cohesive soils, use a friction re-
and minimizes frictional resistance on the ducer section to minimize total friction resist-
push rods when advancing to test depths. ance on push rods.
4. Locate the thrust machine over the sounding 4. Locate the cone penetrometer thrust rig over
location. If required, advance a borehole to the sounding location. If required, advance a
the first test depth using conventional test borehole to the first test depth using conven-
boring techniques. tional test boring techniques.
5. Attach the penetrometer to the length of push 5. Lower the penetrometerhod assembly into the
rods required for the first test depth. borehole.
6 . Lower the penetrometerhod assembly into 6. Advance the penetrometer tip at the preset
the borehole. test speed a distance of approximately 1m (3.3
7. Tests are typically completed at 20 cm (8 in.) ft.). Simultaneously, record the continuous
intervals, but the interval between tests may output of cone bearing and local sleeve friction.
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
be decreased to 10 cm (4 in) to obtain more 7. Add additional push rods and repeat step 6.
detailed information. 8. At the completion of the tests, remove the
8. Prior to each test increment, verify that the penetrometerhod assembly from the ground,
inner rod extends approximately 5 cm (2 in) using the rod pulling device.
above the top of the push rod. This condition 9. Complete the cone penetration report (Figure
indicates the penetrometer is fully collapsed c-5).
and prepared for test.
9. Move the control level on the thrust machine
to the test position and advance the inner rod PRESSUREMETER TEST
at the preset test speed, such that the pene- (MENARD TYPE)
trometer tip is fully extended. Record the
O gauge reading, indicating the cone resistance.
10. If the cone has a friction sleeve, continue to
The pressuremeter test consists of an expansion of a
cylindrical cavity formed in the ground in order to
advance the inner rods to engage the sleeve. measure the relationship between pressure and defor-
Record the second gauge reading, indicating mation for the soil. The pressuremeter test is ex-
the combined resistance on the point and fric- tremely sensitive to borehole disturbance and ali drill-
tion sleeve (Fig. C-4). ing procedures should minimize disturbance of the
11. Move the control lever on the thrust machine soil strata to be tested. It is recommended that experi-
to collapse the penetrometer tip and advance enced personnel supervise ali pressuremeter field
to the next test depth; repeat steps 9 and 10. work.
Add additional rods as required.
12. At the completion of the tests, remove the Procedure
loading head assembly and attach the rod
pulling device to the thrust machine and re- 1. Borehole Advancement: The following pro-
move penetrometerhod assembly from the cedures my be used as necessary to maintain
ground. borehole stability and minimize borewall dis-
13. Complete the cone penetration report (Fig- turbance:
ure C-5). a) Wash boring techniques using flush-joint,
steel casing may be driven to within 60 cm
Electrical Cone (2 ft.) of the zone to be tested. Uncased
wash boring techniques require a weighted
1. Set the thrust machine to the required speed, driiling mud to maintain borewali stabil-
generally between 1to 2 cm/sec (2 to 4 ft/min). ity.
2. Attach the penetrometer tip to the push rod b) Machine operated, continuous flight au-
*
sections (without inner rods). String the elec- gers may be used in preparing the test
tric cable from the tip through the push rods borehole. The rate of auger advance and
and connect to the surface data recording sys- withdrawal must be very slow in order to
tem. (Note: It is preferred to prestring the minimize borewall disturbance.
cable through all push rods required for test- c) Large diameter, thin-wall tube samplers
279
COMT/ffUE /ffffR
PUSU INNER ROD ROD PUSH
PUSH OU7 O ROD
I I
ri
I
i
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
-Po/Mr
CON ONLY ADVANCE'S

FOR BAR/NG CAPAC/tY
COIVE A M ! ! F R / C I O N SLV
BOTU ADVANCE FOR BAR/NG
CAPACI rr + FRIC n o N .
Figure C-4
MECHANICAL FRICTION CONE
(DEVELOPED BY BEGEMANN)

AASHTO T I T L E M S I 8B = Ob39804 OOL1905 917
Appendix C
HOLE NO.
DUTCH CONE REPORT B101
e m0Jfm:
E - -
. . FILE NO. 679201
C!-!ENT: -*-th-&. Cu 11e n . B o s t o n , - .N
SHEET O
.
LOCATION:-
~ ~ ~ I J , c .XYZ
T ~ : D r i l l i n q & B o r i n q Co., Boston
-.-- -- .--. ELEVATION: 16.0 MSL
mOUNDWATER DEPTH TO: A D D I T I O N A L INFORMATION
DATE S T A R T : 6 Oct . ' 76
PATE
---..
TIME WATER
... _.
E o T ~ ~ $ o F CONE TYPE ~p_rhanP T 1 MECHANICAL
DATE FINISH: 8 OCt '76
- ELECTRICAL DRILLER: J. Brown
-
7. 3 . O'
2.5'
F R I C T I O N SLEEVE
R A T E O F ADVANCE
Yes
2
(Yes. N o )
cmirec.
INSPECTOR:
I II GE O LOG IST: ,-l?--Smi th
1- - I I I I I I I I I I I I
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
I I I I I I l I I l I l l
b-.
-.
Figure C-5
281
AASHTO T I T L E M S I 8 8 W 0639804 0011906 853 W
are generally used to prepare the test area desired pressure is reached, it is held constant
below the bottom of the casing. Tube sam- for one minute and volume readings observed
plers should be pressed, whenever possible in the sight tube are recorded fifteen, thirty
and not driven into the undisturbed test and sixty seconds after the pressure level is
zone. The tube sampler should not be attained. Another increment of pressure is ad-
twisted during removal. ded at a steady rate of 1.5 kg/cm2(21 p.s.i.) per
d) Rotary core drilling techniques, utilizing minute, and held constant at the next desired
drilling mud, are generally used for ad- level, and fifteen, thirty and sixty second vol-
vancing the borehole into weathered or ume readings are again recorded at this new
sound rock. pressure. Between eight and fourteen pressure
e) Extreme care must be exercised at all time increments are used before advancing the test
for any borehole advancement method in hole to the next deeper test level.
order to minimize borehole disturbance in Field plots of creep volume should be
the desired test zone. made during the test; the creep volume is the
volume change which occurs between the
2. Equipment thirty and sixty second readings. The creep
The pressuremeter consists of three parts as volume is generally low and fairly constant dur-
illustrated in Figure C-6: the probe, the control ing the elastic or linear portion of the test,
unit, and the tubing: Unloading and reloading sequences may be
a) Theprobe performed, however, unloading should not be
Water is used to pressurize the cavity and done until at least four points on the linear
to measure the resulting volume change. It (elastic) portion of the volume vs. pressure plot
is contained in a flexible, impervious rub- have been attained.
ber bladder which fills the cavity and de- A sample of the data form is presented as
fines its length. In Figure C-6 it is called Figure C-7.
the measuring cell. To make sure that the
cavity expands as it should, the measuring
cell is flanked top and bottom by guard BOREHOLE SHEAR TEST (Iowa Type)
cells which are also rubber bladders and
which are inflated by gas to the same pres- The borehole shear test employs a pair of corrugated
sure as the measuring celi. The inflated plates attached to an expandable shear head. The
guard cells effectively seal off the borehole plates are activated by gas pressure and pressed
and prevent the measuring cell membrane against the walls of a borehole. A constant pressure is
from expanding into the void of the hole. applied and the shear plates are pulled upward.
b) The control unit
The control unit is located at a convenient Procedure
spot on the ground surface close to the
hole, and its function is to control and 1. Prepare a smooth, flat and firm working area
monitor the expansion of the probe. It around the borehole which will accommodate
does this by applying a given pressure on the pulling device.
command to the probe and then measur- 2. Advance a borehole to a point just above the
ing the volume change of the measuring required test depth by drilling or augering.
cell. The pressure source is a bottle of Advance the borehole to the required test
compressed gas; the flow of water to the location by either careful hand augering, or
measuring cell is monitored using a gradu- pressing a 76 cm (3 in.) thin-walled tube sam-
ated cylinder which is called the volume- pler or driving a 76 mm (3 in.)-O.D. split-
ter. spoon sampler. The test will be performed in
c) The tubing the resulting hole. Location of test must be at
Tubing is required between the control least 30 cm (1 ft.) below the bottom of the
unit and the probe to allow water and gas borehole casing, if casing is used.
to be sent from one to the other. 3. Lower the shear head to the desired test
3 . Testing depth, with the necessary length of pulling
The test is simply a process of simultaneously rods attached.
applying gas and water pressure at the volume- 4. Place the base plate and attached mechanism
ter through the tubing to the probe. When a over the rods extending from the borehole
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
282
AASHTO T I T L E IS1 8 8 m Ob39804 O O L L 9 0 7 7 9 T
Appendix C
i"ai Control
Unit
I
a(
:ell
Figure C-6: Basic principles of the pressuremetet.
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

Manual on Subsu$ace Znvestigationr
I
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
;I :I +-
rl
Li
O
ta
Figure C-7
284

AASHTO T I T L E MSI 88 0639804 OOLL909 562
Appendix C
and set the base plate on firm leveled ground. WATER PRESSURE TEST
The pulling unit must be perpendicular to the
axis of the borehole. Water pressure tests are performed in situ,within test
5. Complete assembly of the pulling unit. Make borings, to measure the permeability of a soil or rock
final adjustment of depth of shear head. mass. Pressure testing helps to locate zones of leak-
Check for free movement of the pulling de- age, measuring the capacity of such zones for trans-
vice. Clamp pulling rods in pulling device. mitting water, and useful in estimating grouting and
6. Connect the compressed gas lines from the dewatering requirements for construction purposes.
shear head to the console.
7. Begin the test by applying the first desired Equipment
normal pressure to the shear head using the
regulator valve on the console. 1. Pump, water (non-centrifugal preferred)
8. Allow at least 10 minutes for initial consolida- 2. Meter, water (measures flow to 0.1 gallon)
tion of soil. 3. Gauge, pressure (PSI; calibrated)
9. After the consolidation period, perform the 4. Packer system (pneumatic or mechanical)
shear test as follows: 5. Tank, surge (optional, depending on pump
a) n r n the crank on the pulling device to type)
pull the shear head upwards at a rate of 6. Drill rig
0.05 mm (0.002 in.) per second. 7. Miscellaneous pipe and fittings
b) At intervals of 30 seconds, record the 8. Valve, bypass (for regulating water pressures)
pressure shown on the hydraulic gauge 9. Hose, air, reinforced
on the pulling device. 10. Tank, nitrogen or oxygen, with pressure regu-
c) Continue pulling the shear head at a con- lator and two gauges
stant rate until either an observable shear 11. Time piece
occurs, as evidenced by a drop in hydrau- 12. Ruler
lic gauge readings, or the pressure re- 13. Forms
mains constant for at least 5 minutes.
d) After the maximum shear force has been Mechanical units are not as preferable, in terms of
attained, unload the pulling rods by turn- pressure sealing, as are pneumatic types. A surge
ing the crank in the opposite direction tank is required only when centrifugal pumps are
until the hydraulic gauge indicates 6.895 used to provide a constant and steady flow of water.
x lo3 N/m2 (1 p.s.i.) or less.
10. Increase the shear head normal pressure to Procedure
the next desired level and allow the soil to 1. Drill NX-size boring to required depth; surge
consolidate for at least 5 minutes. to remove drilling debris.
11. Repeat steps 9 and 10 for each normal pres- 2. Determine static water level prior to installa-
sure. Generally at least 5 normal pressure tion of packer.
levels are performed per location to allow 3. Determine internal friction of fully assembled
ready interpretation of the plotted area. equipment, on the ground surface, by passing
12. After completion of all tests at a given depth, water through system at a rate of 38-76 litres/
turn the crank so as to reduce the pressure min (10-20 g.p.m.); record pressure gauge
indicated on the hydraulic gauge to less than readings.
6.895 x lo5N/m2 (1 p.s.i.). Relieve the nor- 4. Determine Maximum Allowable Gauge Pres-
mal pressure on the shear head and remove sure (MGP) according t the formula below. In
the pulling device and shear head. order to avoid hydrofracturing (loosening)
13. Advance the borehole to the depth at which the rock mass. Do not exceed MGP during
the next test is required. testing.
14. Plot the individual failure points (such as
points 1-5 or Fig. B-9) and construct the Mohr MGP = Maximum Gauge Pressure = ZK
envelope to obtain the angle of internal fric- where
tion (O) and cohesion (c), if present. Z = Depth (feet) from top of upper packer
to ground surface
A sample data form is presented as Figure (2-8. K = 0.75 (constant)
285
,/-- ~
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

Dcseriptin
Point Normal Stress Shear Stress Cons.

Romarks
NO, Gauge en Gauga I fmax Time
... -- -
\ 12 2.5
, I -
.. 20 c1.8 b T
3 .. 30 7*4
I 40 10. I 22 S.5
5 so 12.9
NORMAL STRESS, p s i
Figure C-8. Example Borehole Shear Test Data Sheet and Mohr Envelope Plot,
286
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

AASHTO T I T L E MSI 8 8 m 0639804 O O L L 9 1 L LLO m
Appendix C
-
0
7
ti) L.L !' & A L D R I C H . I N C . . HOLE NO. s1 TEST NO. 2

C ~ D R I D C EMASSACHUSETTS
, ROCK PRESSURETEST ,
FILE No. 1000
PROJECT: RXAPIPLE'
-1of 2
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
)EPTHS: (All O i r t a n c ~ sM*arur*d From Ground fwfoco I n f a m i )
ro TOP OF ROCK 14 TOTOPLOWERPACKER 58.5

ro BOTTOM OF BORING 70 TO BOTTOM UPPER PACKER, 51.9
10 WATER TABLE 20.2 LENGTH OF TEST SECTION 6.6
Figure C-9 287

----- .. . -.- - - .- . -
ROCK PRESSURE TEST P a g e 2 Of -2

--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
!:;,I* 11. 27, T<:'J. 0 Figure C-10
288
- -- - ~ -~ ~ ~ - _ _
____~-~-~ ~
~
AASHTO T I T L E MSI 8 8 Ob39804 0011913 T 7 3
Appendix C
6. Lower test apparatus to specified test depth, record the amount of water pumped into the
O inflate both packers to at least 1.02 x lo6
N/M2(150 p s i . ) . Double packers are usually
test section, at 30 second intervals, with asso-
ciated pressure readings.
spaced at 1.5 M (5 ft.), but spacing can be 10. Upon completion of test, deflate the packers
varied to meet specific test requirements. and move to the next test depth. Complete
7. Before starting test, record the following: data sheets, Figures C-9 and C-10.
a) Test number
b) Test section Rock Mass Permeability is computed from records
c) Hole size made on the test forms and evaluated as follows*:
d) Height of pressure gauge above ground Very Low, equiva- Less than 1 x
surface
lent to clay iO-7cm/sec
e) Ground surface elevation
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
Low, equivalent to i x 1 0 - ~ t 0i x
f ) Depths to rock surface, groundwater, silt iO-7cm/sec
bottom of boring, bottom of upper
Medium, equivalent i x 1 0 - ~ t 0i x
packer and top of lower packer.
to fine sand iO-5cm/sec
Pump water into the system. Attain and hold
High, equivalent to 1 x 10-*to 1 x
pressure at V 3 and 2/3 of the MGP for 3 min-
sand iOPcm/sec
utes, taking flow readings every thirty sec-
Very High, equiva- More than 1 x
onds. Attain and hold MGP for 10 minutes
lent to clean sand O-*cm/sec
taking flow readings every minute.
or gravel
If leakage of water, from the packed section,
into the surrounding rock is so great that the * From a scheme developed by G. S. Brierley, Haley
MGP cannot be reached, run the pump at its & Aldrich, Inc., 1976.
full capacity with the by-pass valve closed;
289
AASHTO T I T L E M S I 8 0 6 3 O Y 0011l14 2 T =
APPENDIX D
Laboratory Testing Procedures-Soils and Rock
This summary of test procedures, discussed in Section FHWA-Federal Highway Administration (U.S.
9 of the body of this Manual, references standard Department of Transportation)
methods of AASHTO and ASTM. Where there are ASCE-American Society of Civil Engineers,
no standards, commonly accepted procedures are ref- Earthquake Engineering and Soil Dy-
erenced. namics
This summary is not intended to be all inclusive of S-Shore Scleroscope Bulletins, S-34, S-35
the variety of tests currently in use in all parts of the AFWL-Air Force Weapons Laboratory, AFWL
country. It is intended to reference only those basic TR-45-116, Engineering Classification
tests which are in common use. A detailed discussion and Index Properties for Intact Rock
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
of complex methods which are not in common use is F-Forney, Inc., Concrete Test Hammer,
beyond the scope of this Manual. Deviations from %e L
standard methods or acceptable procedures may be
0 necessary on occasion dependent on local practice,
subsurface conditions and project requirements and
peculiarities of test procedures or equipment. Procedures
Test data sheets are not included with the refer-
enced procedures because specific forms vary consid- Ssmpie Handng
erably among organizations. Laboratories should
adopt whatever data sheets are most suited to their H-Chapter 6, Disturbance of Soil
experience, practices and equipment. Samples, Chapter 16, Preservation and
Abbreviations as follows, are used when referring Handling of Samples
to standards or methods. The complete citations for EM-Introduction, Sample Handling and
these standards or methods are shown in References Storage, Selection and Preparation of
for Appendix D. Test Specimens
L-Chapter 1, Introduction
T-AASHTO
D-ASTM
STP-ASTM Special Technical Publication Unified Soi Ciassification System
EM-Engineer Manual, EM 1110-2-1906,
Laboratory Soils Testing (U.S. Army WES-Technical Memorandum No. 3-357, The
Corps of Engineers) Unified Soil Classification System
L-Lambe, Soil Testing for Engineers D2487-Classification qf Soils for Engineering
H-Hvorslev, Subsurface Exploration and Purposes
Sampling of Soils for Civil Engineering D2488-Description of Soils (Visual-Manual
Procedure)
WES-Waterways Experiment Station, (US.
Army Corps of Engineers) Moisture Content
B and H-Bishop and Henkel, The Measure-
ment of Soil Properties in the Triaxial D221-Moisture Content of Soil, Laboratory
Test Determination
No reproduction or networking permitted without license from IHS Not for Resale, 04/17/2014 10:34:43 MDT 291
AASHTO T I T L E M S I 8 8 W 063980Y OOh3i9L5 Bbb W
Manual on Subsurface Investigaiions
Grain Size Analysis EM-Appendix XI, Unconfined Compression

Test
T88-Particle Size Analysis of Soils
D422-Particle-Size Analysis of Soils 'lkiaxial Compression Test
L-Chapter IV, Grain Size Analysis
"234-Strength Parameters of Soils by Triaxial
Atterberg Limits Compression
D2850-Unconsolidated, Undrained Strength of
Liquid Limit Cohesive Soils in Triaxial Compression
T89-Determining the Liquid Limit of Soils B and H T h e Measurement of Soil Properties in
D423-Liquid Limit of Soils the Triaxial Test
L-Chapter III, Atterberg Limits and In- EM-Appendix X, Triaxial Compression
dices. Tests
Plastic Limit and Plasticity Index Consoiidation Test
T90-Determining the Plastic Limit and Plas-
ticity Index of Soils T216-One-Dimensional Consolidation Proper-
D424-Plastic Limit and Plasticity Index of ties of Soils
Soils D2435-One-Dimensionai Consolidation Proper-
L-Chapter III, Atterberg Limits and In- ties of Soils
dices. EM-Appendix X I I , Consolidation Test
Shrinkage Limit L-Chapter JX, Consolidation Test
T92-Determining the Shrinkage Factors of
Constant Head Permeability Test
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
soils
D427-Shrinkage Factors of Soils
L-Chapter III, Atterberg Limits and In= T215-Permeability of Granular Soils (Con-
dices. stant Head)
D2434-Permeability of Granular Soils (Con-
Specific Gravity stant Head)
EM-Appendix VII, Permeability Tests
TlOe-Specific Gravity of Soils
D854-Specific Gravity of Soils Falling Head Permeability Test
L-Chapter II, Specific Gravity Test. EM-Appendix VII, Permeability Tests
L-Chapter VI, Permeability Tests
Direct Shear
Soil Suction Test
T236Direct Shear of Soils Under Consoli-
dated Drained Conditions FHWA-Research Report FHWA-RD-79-51,
D3080-Direct Shear Tests of Soils Under Con- Soil Suction Test Procedure Using
solidated Drained Conditions Thermocouple Psychrometers.
L-Chapter X, Direct Shear Test on Cohe- EM-Appendix VI11 A, Swell and Swell
sionless Soil Pressure Tests
L-Chapter XIV, Direct Shear Test on Co-
hesive Soil Moisture and In=PiaceDensity
EM-Appendix IX, Drained Direct Shear
Test T191-Density of Soil In-Place by the Sand-
Cone Method
Unconfined Compression Test 05-Density of Soil In-Place by the Rubber-
Balloon Method
7208-Unconfined Compressive Strength of D1556-Density of Soil In-Place by the Sand
Cohesive Soil Cone Method
D2166-Unconfined Compressive Strength of D2167-Density of Soil In-Place by the Rubber-
Cohesive Soil Balloon Method
L-Chapter XII, Unconfined Compression D2937-Density of Soil In-Place by the Drive-
Test Cylinder Method
292
____ __ ~ - _ _ _ __ -____
AASHTO T I T L E MSI 8 8 Ob39804 0 0 1 1 9 1 6 7 T 2 =
Appendix D
American Society of Civil Engineers. EarthquakeEn-

e 99-Moisture-Density Relations of Soils
Using a 5.5 lb. Rammer and a 12-in.
gineering and Soil Dynamics, Proceedings of ASCE
Geotechnical Engineering Specialty Conference, New
York: ASCE, 1978.
Drop American Society for Testing and Materials. 1987
T189-Moisture Density Relations of Soils Annual Book of ASTM Standards, Section 4, Con-
Using a 10-lb. Rammer and an 18-in. struction, Vol. 4.08, Soil and Rock; Building Stones;
Drop Geotextiles, Philadelphia, Pennsylvania, 1987.
D698-Moisture-Density Relations of Soils and
Soil-Aggregate Mixtures Using 5.5-lb. American Society for Testing and Materials. STP
Rammer and 12-in. Drop 654, Dynamic Geotechnical Testing, Philadelphia,
D1557-Moisture-Density Relations of Soils and Pennsylvania, 1978.
Soil-Aggregate Mixtures Using 10-lb. Bishop, A. W. and Henkel, D. J. The Measurement of
Rammer and 18-in. Drop Soil Properties in the Triaxial Test, New York: St.
D2168-Calibration of Mechanical Laboratory Martins Press, 1962.
Soil Compactors Deere, D. U. and Miller, R.P., Engineering Classi-
D2049-Relative Density of Cohesionless Soils fication and Index Properties For Intact Rock, U.S.
Air Force Weapons Laboratory, Technical Report
Dynamic Properties No. AFWL-TR-65-116, Albuquerque, New Mexico,
1966.
STP-654, Dynamic Geotechnical Testing
EM-Appendix X A, Cyclic Triaxial Test Department of the Army, Office of Chief of Engi-
ASCE-Proceedings, Specialty Conference on neers, Laboratory Soil Testing, Engineer Manual
Earthquake Engineering and Soil Dy- (EM) No. 1110-2-1906, Washington, D.C., 1970.
namics. Federal Highway Administration. Research Report
FHWA-RD-79-51, Technical Guidelines For Expan-
sive SoiD in Highway Subgrades, Part V, Testing Ex-
O
- RockTeSb
D4484cleroscope Hardness Testing of Metal-
pansive Soils and Prediction of Anticipated Volume
Change, Washington, D.C., 1979.
lic Materials Forney, Inc. Operating Instructions, Concrete Test
S-Shore Scleroscope Bulletins S-34, S-35 Hammer, Type L. Forney, Inc., Wampum, Pennsylva-
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
AFWL-Engineering Classification and Index nia.
Properties for Intact Rock.
F-Forney, Inc., Concrete Test Hammer, Hvorslev, M.J. Subsurface Exploration and Sampling
Type L, Operating Instructions of Soils For Civil Engineering Purposes, American
D2938-Unconfined Compressive Strength of Society of Civil Engineers, New York: U.S. Engi-
Intact Rock Core Specimens neering Foundation, 1962.
Lambe, T. W. Soil Testing For Engineers, New York:
Wiley, 1964.
REFERENCES Shore Scleroscope Bulletins S-34, S-35. Shore Instru-
ment and Manufacturing Company, Freeport, New
American Association of State Highway and Trans- York
portation Officials. Standard Specificationsfor Trans- Waterways Experiment Station, U.S. Army Corps of
portation Materials and Methods of Sampling and Engineers. The Unified Soil Classification System,
Testing, Part II, Methods of Sampling and Testing, Tech. Memo. No. 3-357, Vicksburg, Mississippi,
14th Ed. Washington, D.C. 1986. 1960.
293
AASHTO T I T L E N S I 88 0639804 0011917 6 3 9
APPENDIX E
Materials Classification
One of the basic objectives of geotechnical investiga- values for quantifiable soil properties are often rea-
tions is to define the nature, characteristics, proper- sonably narrow. A computer-based retrieval system
ties, thickness and lateral extent of bedrock and over- can be easily programmed to perform statistical calcu-
lying soils within a given project area. The process of lations and plots as well as to retrieve soil data from
soil formation (Fig. E-1) are influenced mainly by locations near a proposed project. The South Dakota
parent rock lithology, climate, topography, time, and DOT found that the soils are best categorized by
geologic history. In order to define and describe the location, depth, particle size gradation characteris-
nature of the subsurface conditions, it is necessary to tics, liquid limit, plasticity index, maximum dry den-
adopt standard classification systems for both the soil sity, optimum moisture content and Munsell color.
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
and the underlying rock.
The purpose of any soil classification system is to
0 place soils having the same characteristics into a given
category. Each category should describe the soil type
E. 1 AASHTO Soil Classification System
in terms of grain size and plasticity, and at the same The American Association of State Highway and
time, provide some qualitative idea of the range of Transportation Officials (AASHTO) system of soil
engineering properties or characteristics of a given classification-AASHTO Designation: M 145-
soil type (Fig. E-2). (AASHTO, Part I, 1986)-is based upon the observed
The soil type within the given system must be de- field performance of subgrade soils under highway
scribed in terms easily understood and readily recog- pavements. The original system was developed by the
nized by drilling foremen, field and laboratory techni- U.S. Bureau of Public Roads about 1928, and has
cians, geologists and geotechnical engineers. Simple been revised several times over the years to its present
and basic visual, field and laboratory techniques must form. This system is widely used by highway engi-
be available to assist in classifying the various soil neers in the United States and other parts of the
types, including borderline categories. world.
To be of most value, a classification system should In this system, soils having approximately the same
be standardized and be applicable for all regions of general load-carrying capacity and service charac-
North America as well as other areas. From the var- teristics are grouped together to form seven basic
ious classification systems that exist, the two classi- groups which are designated as A-1 through A-7. In
fication systems most widely used in the engineering general, the best soils are classified as A-1, with the
field are the AASHTO Soil Classification system and soils becoming progressively poorer as you proceed to
the Unified Soil Classification system. These two sys- A-7. The exception is A-3, which are better subgrade
tems will be described in this section. soils than A-2. An additional group A-8 is used to
Some agencies such as the South Dakota DOT, designate organic soils.
have found that soil classification data may be useful
after completion of a project and have developed E.l. 1 Classification
computer retrieval systems (Crawford and Thomas,
1973). Since most soil materials formed or deposited The procedure for classifying soils into the seven basic
@ under similar conditions are usually grouped into sim- groups (A-1 to A-7), or further subdividing into the
ilar units or receive comparable names, the range of subgroups resulting in twelve categories (A-l-a to
295
AASHTO T I T L E MSI 8 m Ob39804 O055958 575 m
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
r n -
w
O
-
I i
I _I-
4 A
..._
2%
Appendix E
IMPORTANT PROPERTIES R E L A T I V E O E S I R A B I L i T Y FOR VARIOUS U S E S -?i-

FOUNDATIONS I
I
ROADWAYS
SWEARING OMPRESS- WORxABILITy, . __ -.
;OIL STRENGTH IBILITY FILLS SEEPAGE EROSION
ROUP 81LiTY WHEN WHEN
WHEH CCMPACTED COMPUTED CONSTRUCTIOM
AND MATERIAL MENT
As A EMBANK- FROST
HEAVE
NOT
?,:i:: IMPORTANT
sURFAclNG NOT
IMPORTANT
RESISTANCE
SATURATED SATURATED POSSIBLE m S S I L E ,
GW PERYIOUS EXCELLENT INEGLIGIBLE

EXCELLENT - l I 3 I
?? VERY
PERVIOUS
GOOD NEGLIGIBLE - GOOD 3 3 - - I! 3
2
G M sEMiPEQVioUS
TO IWPERVIOVS GOOD NEGLIGIBLE GOOD 2 4 1 9 5 I t 4 l 4
GC IMPERVIOUS uxx) RI FAIR VERY LOW GOOD I 5 5 I 2 6 1 3
SW PERVIOUS 1 EXCELLENT NEGLIGIBLE EXCELLENT - 2 1I 2 1 4 - 2 / 6
SP PERVIOUS GOOD VERY LOW FAIR - 6 1 4 - - I 5 1 ? ? A
I
I
S M SEMI PERVIOUS^
TO IMPERVIOUSI
Gooo LOW FAIR 4 e IO 6 3 / 7 8A
SC IMPERVIOUS WW ?OFAIR LOW GOOD 3 7 1 6 1 2 4 1 0 5
CH IMPERVIOUS 1 POOR I HIGH POOR I C I i3C 8 C 1-1 9 C i i3C io

OH IMPERVIOUS POOR HIGH POOR io I 14 14 I -1 io ,
I 14 -
PT - - - - -I-I-I-j- I I -i -
NOTES:
- NO, i ir best A - If q r a v c i l y . B - Erosion critical. C - Volume c h o n q c c r i t i c a t .
Figure E-2. Generalized engineering properties and desirability of various types of soils for foundations,
roadways, and embankments (adapted from Holtz, W.G., 1969).
A-7-6), is based on performing laboratory tests on useful in determining the relative quality of the soil
samples of the soil. Refer to Table E-1. The labora- material for use in earthwork structures, particularly
tory tests performed include the determination of embankments, subgrades, subbases, and bases. How-
particle size distribution, liquid limit and plasticity ever, for the detailed design of important structures,
index. Standard AASHTO or ASTM testing pro- additional data concerning strength or performance
cedures can be used to obtain the necessary data for characteristics of the soil under field conditions will
classification. usually be required.
Highly organic soils (peat or muck) may be classi-
fied in an A-8 group (not listed in Table E-1). Classi- E. 1.1.I Soil Fraction Definitions. According to
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
fication is based on visual inspection. The material is the AASHTO system, soils are divided into two ma-
composed primarily of partially decayed organic mat- jor groups as shown in Table E.l. These are the
ter, generally has a fibrous texture, dark brown or granular materials with 35 percent or less passing the
black color and odor of decay. 0.075 mm (No. 200) sieve, and the silt-clay materials
The evaluation of soils within each group is made with more than 35 percent passing the 0.075 mm (No.
by means of a ?group index? which is a value calcu- 200) sieve. In subsequent word descriptions of the
@ lated from an empirical formula. The group or sub- various soil classes, five soil fractions are defined as
group classification including group index should be follows:
297
AASHTO T I T L E M S I 8 063980q 0011SZO 123 E
Manual on Subsurface Invesiigatwns
# C
E 'i
fi:
E
I 1.; 4E E:
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
298
Appendix E
Boulders: material retained on the 75 mm (3 in.) E.l.1.4 Examples of Group Index Calculations
sieve. They should be excluded from the portion of
@ a sample to which the classification is applied, but
the percentage of such material should be re-
(AASHTO, 1986).
Assume that an A-6 material has 55 percent

corded.
passing the 0.075 mm sieve, liquid limit of 40,
Gravel: material passing sieve with 75 mm (3 in.)
square openings and retained on the 2.00 mm and plasticity index of 25. Then
(No. 10) sieve. Group index = (55-35) [0.2 + 0.005
Course Sand: material passing the 2.00 mm (No, (40-40)] + 0.01 (55-15)
10) sieve and retained on the 0.425 mm (No. 40) (25 - 10)
sieve. = 4.0 + 6.0 = 10
Fine Sand: material passing the 0.425 mm (No. Assume that an A-7 material has 80 percent
40) sieve and retained on the 0.075 mm (No. 200) passing the 0.075 sieve, liquid limit of 90, and
sieve.
Combined Silt and Clay: material passing the plasticity index of 50. Then,
0.075 mm (No. 200) sieve. The term silty is Group index = (80-35) [0.2 + 0.005
applied to fine material having a plasticity index of (90 - 40)] + 0.01 (80 - 15)
10 or less, and the term clayey is applied to fine (50 - 10)
material having a plasticity index of 11or greater. = 20.3 + 26.0, or 46.3 (Re-
port as 46)
E.1.I .2 Classification Procedure. With required Assume that an A-4 material has 60 percent
test data available, proceed from left to right in Table passing the 0.075 mm sieve, liquid limit of 25,
E.1. The first group in which the test data wiil fit is the and plasticity index of 1. Then
correct classification. All limiting test values are Group index = (60-35) [0.2 + 0.005
shown as whole numbers. If fractional numbers ap- (25 - 40)] + 0.01 (60 - 15)
pear on test reports, convert to nearest whole number (1 - 10)
for purposes of classification. Group index values = 25 X (0.2 - 0.075) + O;
should always be shown in parentheses after group .o1 (45) (-9)
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
symbol as: A-2-6(3), A-4(5), A-6(12), and A-7-5(17). = 3.1 = 4.1 = -l.O(Report
as O)
E.1.1.3 Group Index Determination. The group Assume that an A-2-7 material has 30 percent
index is calculated from the following formula: passing the 0.075 mm sieve, liquid limit of 50,
Group Index (GI) = (F - 35) [0.2 + 0.005 (LL and plasticity index of 30. Then
- 40)] + 0.01 (F - 15) Group index = 0.01 (30 - 15) (30 - 10)
= 3.0 or 3 (Note that only the
(PI - lo), in which
F = percentage passing 0.075 mm PI portion of formula was
(No. 200) sieve, expressed as used)
a whole number. This mate-
E.1.2 Description of Classification Groups
rial is based only on the ma-
terial passing the 75 mm (3
in.) sieve. E. 1.2.1 Granular Materiah. Includes materials
passing the 75 mm (3 in.) sieve and containing 35
= Liquid Limit
percent or less passing 0.075 mm (No. 200) sieve.
= Plasticity Index (Note 1)
When the calculated group index is negative, the Group A-I. Well graded mixtures of stone frag-
group index shall be reported as zero (O). The group ments or gravel ranging from course to fine with a
index shall be reported to the nearest whole number. nonplastic or slightly plastic soil binder. However,
Figure E-3 may be used in estimating the group index, this group also includes coarse materials without
by determining the partial group index due to liquid soil binder.
limit and that due to plasticity index, then obtaining Subgroup A-l-a. Materials consisting predomi-
the total of the two partial group indexes. When cal-
culating the group index of A-2-6 and A-2-7 sub-
groups, only the PI portion of the formula (or of Fig. Note 1. Any specifications regarding the use of A-1,
0 E-4) shall be used. An example is included in Figure
E-4. Other examples of calculating the Group Index
A-2, or A-3 materials in construction should state
whether boulders (retained on the 3-in. sieve) are
are shown in subsection E.1.1.4. permitted.
299
AASHTO T I T L E M S I 8 8 Ob39804 OOI11i9?2 T T b M
-
GNP I M x(GI) (F-35)[0.2+ O.W5(LLJrO,]
+0.01 (F-151(PI-10]
Where F % Paning0.075 mm S i m , LL
wid PI- ~ a l t i c i h Imkx.
,
- Liquid Limit,
whsn Working with A-2-6 M d A-2-7 ! h m thr

Plnial Group Indm (PGI) is Detmimd from t h PI Only.
When the Combined Partiil Group Indimin m ivs.
the Group Index should be Reponed8s Zero.
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
Example: Then:
-
-
82% Passing 0.075 mm Sieve PGI 8.9 for LL
LL= 38 PGI * 7.4 for PI
PI 21 GI = 16
Figure E-3. Group Index Chart (AASHTO, 1986)
nantly of stone fragments or gravel, either with the materials fallingin Groups A-1 and A-3 and the
or without a well-graded soil binder. silt-clay materials of Groups A-4, A-5, A-6, and
Subgroup A-I-b. Materials consisting predomi- A-7. It includes all materiais containing 35 percent
nantly of coarse sand either with or without a or less passing the 0.M5 mm (No. 200) sieve which
well-graded soil binder. cannot be classified as A-1 or A-3, due to fines
Group A-3. Materials consisting of sands deficient content or plasticity or both, in excess of the limita-
in coarse material and soil binder. Typical is fine tions for these groups.
beach sand or fine desert blow sand, without silt or Subgroups A-2-4 and A-2-5. Include various
clay fines or with a very small amount of nonplastic granular materials containing 35 percent or less
silt. This group also includes stream-deposited mix- passing the 0.075 mm (No. 200) sieve, and with
tures of poorly-graded fine sand and limited that portion passing 0.425 mm (No. 40) sieve
amounts of coarse sand and gravel. having the characteristics of the A 4 and A-5
Group A-2. This group includes a wide variety of groups. These groups include such materials as
granular materials that are borderline between gravel and coarse sand with silt contents or plas-

A A S H T O T I T L E MSI B8 W 0639804 0011923 932 H
Appendix E
UNIFIED SOIL CLASSIFICATION
MAJOR GROUP
SYMBOLS TYPICAL NAMES
DIVISIONS
Weil q r a d c d g r a v e i s . g r a r e ! - s a n d m i x t u r e s .
l i t t l e o r no fines
UUJ
w >
ia sp 1 Poorly qraded gravels. ;rovel-sond
l i t t l e or no f i n e s
mixtures,
v) S i i t y qraveis. p o o r l y Grccea qrzvei - s a n d -

*w Tiu
if silt mixtures.
>&,
clayey qrove!s. poor!y r z d e d grsvel - sand -
at
3
G C
clay q i x t u r e s
W e l l g r a d e d sands. q r 2 v e i i y s a n d s . !i?:ie
zv) sw or na fines
ata
w z t
s i l t y sands. s a n d - s i l t 7iix::os
'El3
SC 1 Ciayey sands, s o n d - c ! a y 3nixtures.
I I I n o r q a n i c s i l t s c n d v e r y { ! n e sands, 'xi( f l o u r . s l : * y
or c l a y e y f i n e sanas w i t h s i i q n t ;iastici!y
inarqcnic clays o f low to n e d i u m 3iastlcity. qr2vei.y

clays, s a n d y c l a y s , s i l t y c l a y s . l e a n c l a y s
Organic s i i t s and organic s i l t - c i a y s a f !OW

i plasticity
v1
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
v)
t inorqanic si 1s. micaceous or diatomacesus frne
a sandy o r s i l t y soils. e l a s t i c s i l t s
o
o - 5
i n o r g a n i c c l o y s of hiqn p l a s t i c i t y . fst c i a y s .
w
v)
00
c 2:
m
2 OH O r g a n i c c l a y s a f ' m e d i g m :J h i q h 3ias::c:ty
v)
HIGHLY O R G A N I C
SOILS I P T
I! B o u n d a r y C l a s s i f i c a t i o n s
I
s3iIS
P e a t and otCer h i g h l y w g o n i c s o i l s
p0ssess;nq Chars:!er!StiCS c f ' v a qrc.uos O r e c e s i n a t e a

~
by combinafians o f q r a u o j y m a a i s ' Yexamzle s i v - j ; , r o i l

g r g d e a y r s v e i - s a n d T i x t u r e a i t ? : ! s b ::oder
~
Figure E-4. Soil Classification System (CrSCS) grain-size and liquid limit determinations
used to classify soils (Rom Holtz, W.G., 1969).
301

AASHTO TITLE \SI 8i Ob39804 OOllh954 879
Manual on Subsurface Investiga~ionS
ticity indexes in excess of the limitations of indicate general properties and desirability for var-
Group A-1, and fine sand with nonplastic silt ious engineering uses (Fig. E-4). Details of the system
content in excess of the limitations of Group A-3. are summarized on Figure E-5.
Subgroups A-2-6 and A-2-7. Include materials The Unified Soil Classification System was devel-
similar to those described under Subgroups oped by Casagrande in the early 1930's (Casagrande,
A-2-4 and A-2-5, except that the fine portion 1948). With minor modifications it has been adopted
contains plastic clay having the characteristics of by the Corps of Engineers and the Water and Power
the A-6 or A-7 group. Resources Service (formerly U.S. Bureau of Recla-
mation). The Unified Soil Classification System has
E.1.2.2 Silt-Clay Materials. Containing more than been revised and updated from time to time (ASTM
35 percent passing the 0.075 mm (No.200) sieve. D2487-85). The system distinguishes between three
broad groups of soils: (1) coarse-grained soils, com-
Group A-4: The typical material of this group is a prising gravel and gravelly soils, sands and sandy
nonplastic or moderately plastic silty soil usually soils, which are distinguished on the basis of grain size
having the 75 percent or more passing the 0.075 mm composition and plasticity of the binder (if present);
(No. 200) sieve. The group includes also mixtures (2) fine grained soils, comprising all types of soils
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
of fine silty soil and up to 64 percent of sand and containing more than 50 percent by weight finer than
gravel retained on the 0.075 mm (No. 200) sieve. 0.074 mm in size, except those containing high per-
Group A-5: The typical material of this group is centages of fibrous organic matter, such as peat. The
similar to that described under Group A-4, except fine-grained soils are distinguished on the basis of the
that it is usually of diatomaceous or micaceous presence or absence of organic matter and the inter-
character and may be highly elastic as indicated by relation between plasticity index and liquid limit.
the high liquid limit. Coarse-grained soil (sand and gravel) is that mate-
rial retained on a No. 200 sieve, or having particle
Group A-6: The typical material of this group is a
sizes larger than 0.M4millimeter. The smallest size in
plastic clay soil usually having 75 percent or more
this category is about the smallest particle size which
passing the 0.075 mm (No. 200) sieve. The group
can be distinguished with the naked eye.
includes also mixtures of fine clayey soil and up to
Fine-grained soil (silt and clay) is that material
64 percent of sand and gravel retained on the 0.075
passing a No. 200 sieve, or having particle sizes
mm (No. 200) sieve. Materiais of this group usually
have high volume change between wet and dry smaller or finer than 0.074 mm.
states. Highly organic soils are peat or other soils which
contain substantial amounts of organic matter. No
Group A-7: The typical material of this group is laboratory criteria exist for the highly organic soils;
similar to that described under Group A-6, except however, they can generally be identified in the field
that it has the high liquid limits characteristic of the by their distinctive color and odor and by their spongy
A-5 group and may be elastic as well as subject to feel and fibrous texture.
high volume change. Only particle sizes 76m (3 in.) or less are considered
Subgroup A-7-5: Includes those materials with in USCS. Fragments which are larger than 76 mm (3
moderate plasticity indexes in relation to liquid in.) are classified as cobbles or, if larger than 203 mm
limit and which may be highly elastic as well as (8 in.), boulders.
subject to considerable volume change. Plas- Soils can be USCS classified by simple laboratory
ticity Index = or c (LL 30). - procedures. However, with practice and experience,
Subgroup A-7-6: Includes those materials with it is possible to accurately identify a soil in the USCS
high plasticity indexes in relation to liquid limit by visual means, supplemented by manual tests de-
and which are subject to extremely high-volume scribed later in this section.
change. Plasticity Index > (LL 30). - The specific details of the USGS contained in Fig-
ure E-5 are described below:
E.2 UNIFIED SOIL CLASSIFICATION E.2.1 Coarse-Grained Soils
SYSTEM (USCS)
*
The two major divisions of coarse-grained soils are
The Unified Soil Classification System (USCS) is gravel and sand. A coarse-grained soil having more
based upon the sizes of particles, the distribution of than 50 percent of the coarse-grained fraction (frac-
the particle sizes, and the properties of the fine- tion retained on No. 200 sieve) retained on No. 4 sieve
grained portion of the soil. The elements of the USCS is classified as gravel. and it is denoted by the symbol
302
AASHTO T I T L E M S I 8 8 = Ob39804 O033925 7 0 5
Appendix E
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
I .
I
f
M
1-
I-
I I
303
AASHTO T I T L E M S I B B R 0639Ori 0011926 &U5 M
Manual on Subsutfme Investigations
G. A coarse-grained soil having more than 50 percent fines in these groups is enough to affect engineering
of the coarse-grained fraction passing a No. 4 sieve is characteristics.
classified as sand, and it is denoted by the symbol S.
Coarse-grained soils are further subdivided either by GM Group. Soils comprising this group are those
their gradation (distribution of grain sizes) or by the in which the predominant coarse-grained fraction is
properties of the fine-grained fraction of the soil. The gravel and the predominant fine-grained fraction is
classifications and criteria for each group are given in silt. This group of soils includes silty gravels and
the Unified Soil Classification Chart in Figure E-5. mixtures of gravel, sand, and silt. Soils which clas-
Also shown in Figure E-5is a Plasticity Chart which is sify as gravels and have a fine-grained portion for
used in classification by the USCS. which the Atterberg limits (liquid limit and plas-
ticity index: see section 9) will plot below the A-line
E.2.1.1 Less than 5 Percent fniu 200 Sieve. in Figure E-5are placed in the GM group.
Those coarse-grained soils having less than five per- G C Group. Soils which classify as gravels and have
cent, by weight, passing the No. 200 sieve are subdi- a fine-grained portion for which the Atterberg
vided by their gradation and are given the classifica- limits will plot above the A-line and for which the
tions of GW, SW, GP and SP meaning, respectively, plasticity index is more than 7, are placed in the GC
Gravel (Well-Graded); Sand (Well-Graded); Gravel Group. This group includes clayey gravels and
(Poorly-Graded); and Sand (Poorly Graded). Well- poorly graded gravel-sand-clay mixtures.
graded sands have a predominance of several sieve SM Group. This group is similar to the GM group
sizes. except that the predominant coarse-grained frac-
tion is sand. The group includes silty sands.
G W Group. Well-graded gravels and sandy gravels
which contain little or no fines are classified as GW. SC Group. This group is similar to the GC group
except that predominant coarse-grained fraction is
In these soils, the presence of fines has no effect on
strength or free draining characteristics.In addition sand. The group includes clayey sands and sand-
to the criteria stated previously, this group must clays.
have a uniformity coefficient (Cu) of greater than4,
and the coefficient of curvature (Cc) of the soil
E.2.1.3 Borderline (5 to 12 Percent Fines). Those
coarse-grained soils containing between five and
must be between 1 and 3. (See Figure E-5for
twelve percent, by weight, material passing the No.
definition of Cu and Cc.)
200 sieve are termed borderline and are given a dual
SW Group. This group of soils is similar to the GW classification such as SW-SM. Also, those coarse-
Group except that the predominant grain size is grained soils containing more than 12 percent mate-
sand rather than gravel. It includes well-graded rial passing the No. 290 sieve and for which the Atter-
sands and gravelly sands. The uniformity coeffi- berg limits plot in the hatched zone of the Plasticity
cient of SW soil must be greater than 6, and the Chart (Fig. E-5)receive a dual classification such as
coefficient of curvature must be between 1 and 3. SM-SC. These double symbols are appropriate to the
G P Group. Soils which classify as gravels and grading and plasticity characteristics.
which will not meet the grading requirements of the
GW group are placed in the GP group. These soils E.2.2 Fine-Grained Solls
include poorly-graded gravels and sandy gravels
having little or no fines. These soils are subdivided by plasticity and com-
SP Group. Soils which classify as sands and which pressibilityinstead of by grain size. They are classified
will not meet the grading requirements of the SW as silt and clay and as material having either low or
group are placed in the SP group. These soils in- high compressibility. Criteria for Classification are
clude uniformly-graded and gap-graded sands and based upon the relationship between the liquid limit
gravelly sands. (LL) and the plasticity index (PI) and are given in the
Plasticity Chart shown on Figure E-5.On this Chart,
E.2.1.2 More than 12 Percent Minus 200 Seve. for classification, the PI is plotted against the LL.
Those coarse-grained soils having more than 12 per- The A-Line shown on the Plasticity Chart divides
cent, by weight, passing the No. 200 sieve are subdi- clay soils from silts. Soils for which the Atterberg
vided by the plasticity characteristics of the fine- limits plot above this line are clays and are designated
grained portion and are given the classifications of by the symbol C;while those which plot below the
GM, GC, SM and SC meaning, respectively; Gravel- A-Line are silts and are given the designation M.This
With Silt Fines; Gravel-With Clay Fines; Sand -With Plasticity Chart was also developed by Arthur Ca-
Silt Fines; and Sand-With Clay Fines. The amount of sagrande who found that fine-grained soils could be
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

Appendix E
reliably grouped in accordance with their position on tion is possible in the field without the aid of labora-
such a chart. tory tests.
Soils (both silt and clay) which have a liquid limit A representative sample of the soil is visually exam-
less than 50 percent are judged to have low plasticity ined and is first classified as to whether it is highly
and are designated by the symbol L. Those soils hav- organic, fine-grained, or coarse-grained. This classi-
ing a Liquid Limit (LL) greater than 50 percent are fication for fineness and coarseness is made by esti-
termed highly plastic and are designated by the sym- mating whether or not one-half of the individual grain
bol H. Hence a soil determined to be a highly plastic can be seen with the naked eye. If 50 percent or more
clay is designated as CH, etc. In general, the more of the particles can be seen, the soil is classified as
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
plastic a material is, the lower will be its shear strength coarse-grained; otherwise the soil is classified as fine-
and permeability, and the higher its compressibility. grained.
h4L Group Inorganic silts and very fine sands,
rock flour, silty or clayey fine sands E.3.1 Coarse-Grained Soil
with slight plasticity.
CL Group Inorganic clays of low to medium If the soil is coarse-grained, it is classified as gravel or
plasticity, gravelly clays, sandy clays, sand, depending upon whether or not 50 percent of
silty clays and lean clays. the coarse grains are larger or smaller than the open-
MH Group Inorganic silts, micaceous or di- ings in a No. 4 sieve (4.8 mm; 3/16 in.).
atomaceous fine sandy or silty soils, If the soil is classified as gravel, it is then identified
elastic silts. as to whether it is clean or dirty. Dirty means that the
CH Group Inorganic clays of medium to high gravel contains an appreciable amount of fines, and
plasticity, fat clays. clean means that it is essentially free of fines. If the
gravel is clean, then gradation criteria apply and the
E.2.3 Organic Soils material is classified as well-graded (GW) or poorly-
graded (GP). The differentiation between clean and
As pointed out previously, the placement of soils into dirty is not a formal part of the USCS; rather the
this group is based upon visual inspection. However, distinction is made in passing, as part of the classifica-
they are subdivided within the group in accordance tion process. The formal process calls for determining
with their plasticity characteristics. All of these soils the percent by weights, finer than the No. 200 mesh
should plot below the A-Line on the Plasticity Chart. sieve. Well-graded soils will have a good distribution
They are considered to have low plasticity and com- of particle sizes from coarse to fine; poorly-graded
pressibility (L) if their liquid limit is less than 50 soils will be either uniform-size or gap-graded.
percent, otherwise they are considered to have high If the gravel is dirty, the fine-grained portion is
plasticity and Compressibility (H). determined to be either silt or clay, and the soil is
Organic matter tends to decay with time and thus classified as GM (silty gravel) or GC (clayey gravel)
create more voids in the soil mass. Organic matter can respectively. The manual test used in the classifica-
promote chemical alterations which change the physi- tion of the fine-grained portion is discussed under
cal properties of the soil. Fine-Grained Soils in subsection E.3.2.
OL Group This group consists of organic soils If the soil is predominantly sand, the same criterion
having a liquid limit of less than 50. as that for gravel is used-clean or dirty. If clean, the
Organic silts and organic sandy clays gradation is examined, and the soil is classified as
are included in this group. well-graded (SW) or poorly-graded (SP). If the sand
OH Group This group consists of organic soils is dirty, the fines are evaluated, and the soil is classi-
having a liquid limit of more than fied as SM (silt fines) or SC (clay fines).
50. Organic clay and organic silty
clay will usually be included in this E.3.2 Fine-Grained Soils
group.
PT Group Peat and other highly organic soils. If the soil is fine-grained, its field classification will be
based primarily upon the estimate of its dilatancy, dry
strength, and toughness. See subsection 4.4 for Field
E.3 FIELD IDENTIFICATION Identification of Fine-Grained Soils or Fractions and
Table E-2 for Silt and Clay Characteristics. Silt frac-
Classification by the USCS can be readily done after tions will have nilto medium dry strength, quick to no
laboratory testing for gradation and Atterberg limits reaction to shaking, and nil to medium thickness. On
as indicated on Figure E-5. With practice, classifica- the other hand, clay fractions will have medium to
305

AASHTO T I T L E MSI 88 M Ob39804 0015928 414 M
Manual on Subsu #ace Investigations
00
00
3
n
e
'V
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
I
P
zO

Appendix E
very high dry strength, no reaction to shaking, and Very fine, clean sands give the quickest and most
medium to high toughness. Dispersion, crumbling distinct reaction, whereas a plastic clay has no reac-
and taste may also help to identify the silt or clay tion. Inorganic silts, such as a typical rock flour, show
fractions as indicated on Table E-2. Classification will a moderately quick reaction.
be ML, MH, CL or CH.
E.3.3 Highly Organic Soils E.4.2 Dry Strength (Crushing Characteristics)

These soils are readily identified by color, odor, and After removing particles larger than No. 40 sieve size,
spongy feel and frequently by a fibrous texture. Or- mold a pat of soil to the consistency of putty, adding
ganic matter is often indicated by the presence of olive water if necessary. Allow the pat to dry completely by
green, and light brown to black colors. Organic soils oven, sun or air-drying, and then test its strength by
usually emit a distinctive odor of decaying vegetation. breaking and crumbling it between the fingers. This
The odor is strong for fresh samples and can be inten- strength is a measure of the character and quality of
sified by heating a sample quickly. Dilantancy, dry the colloidal fraction contained in the soil. The dry
strength and toughness are also an aid in identifica- strength increases with increasing plasticity.
tion. High dry-strength is characteristic for clays of the
CH group (Inorganic clays of high plasticity). A typi-
E.3.4 Borderline Classifications cal inorganic silt possesses only very slight dry
strength. Silty fine sands and silts have about the
With experience, soils which fall well within one same slight dry strength, but can be distinguished by
group can be readily classified. However, soils which the feel when powdering the dried specimen. Fine
are near boundary requirements are more difficult to sand feels gritty, whereas a typical silt has the smooth
classe and may require a dual classification such as feel of flour.
GC-SC or CL-CH.
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
E.4.3 Toughness (Consistency near Plastic Limit)
E.4 MANUAL TEST FOR FIELD
IDENTIFICATION OF FINE- After particles larger than the No. 40 sieve size are
GRAINED SOILS OR FRACTIONS removed, mold a specimen of soil about 12.7 mm (0.5
in.) into a cube, to the consistency of putty. If too dry,
These tests are to be performed on the minus No. 40 water should be added and if sticky, the specimen
sieve size particles, approximately 0.4 mm (i/@ in.) in should be spread out in a thin layer and allowed to lose
the manner described below. For field classification some moisture by evaporation. Roll the specimen out
purposes, screening is not required; coarse particles by hand on a smooth surface or between the palms
which interfere with the tests may be removed by into a thread about (one-eighth in.) 3.2 mm in diame-
hand. ter. Fold and roll the thread repeatedly until a 1/8 in.
diameter thread shows signs of crumbling; this is the
E.4.1 Dilatancy (Reaction to Shaking) plastic limit. During this manipulation, the moisture
content is gradually reduced, and the specimen
After removing particles larger than No. 40 sieve size, stiffens, finally loses its plasticity and crumbles when
prepare a pat of moist soil with a volume of about the plastic limit is reached.
8191mm3 (0.5 inch3). If necessary, add enough water After the thread crumbles, lump the pieces to-
to make the soil soft but not sticky. gether and continue kneading until the lump crum-
Place the pat in the open palm of one hand and bles.
shake vigorously against the other hand several times. The tougher the thread near the plastic limit and
A positive reaction is indicated by the appearance of the stiffer the lump when it finally crumbles, the more
water on the surface of the pat, which changes to a potent is the colloidal clay fraction in the soil. Weak-
liver-like consistency and becomes glossy. When the ness of the thread at the plastic limit and quick loss of
sample is squeezed by slightly closing the palm of the coherence of the lump below the plastic limit indicate
hand, the water and gloss disappear from the surface, either inorganic clay of low plasticity, or materials
the pat stiffens, and finally cracks or crumbles. The such as kaolin-group clays and organic clays which
0 rapidity of appearance of water during shaking and
disappearance during squeezing assist in identifying
occur below the A-line.
Highly organic clays have a very weak and spongy
the character of the fines in a soil. feel at the plastic limit.
307
AASHTO T I T L E MSI 88 m Ob39804 OOb1i930 072 m
E S DESCRIPTIVE TERMINOLOGY mined by the standard penetration test performed in

test borings. The number of blows of a 63.6 kg (140-
The Unified Soil Classification System provides a pound) hammer failing 76 cm (30 in.) required to
conventional system for categorizing soils by grada- drive a 51 mm @in.) O.D. split-spoon sampler into
tion and plasticity characteristics. However, it does virgin soil is recorded for each 15 cm (6 in.) of pene-
not provide guidelinesfor adequate descriptive termi- trationfor atotalpenetrationof at least 45cm (18in.).
nology for identifying soils. For example, it gives no The blow count for the first 15 cm (6 in.) of penetra-
guidelines for determining color, density or consis- tion is ignored and the succeeding two 15 cm (6 in.)
tency, and other pertinent properties of the soil that blow-counts are added to obtain the blows per foot of
may be useful in describing a soil layer and correlating penetration.
engineering properties. Likewise, no criteria are The density or consistency of a soil based on the
given in the system for determining if sands or gravels standard penetration test is shown in Table 6-5.
are coarse, fine or medium in grain size. This distinc-
tion is frequently important; for example, in deter- E.5.2. Soll Cdor
mining liquefaction susceptibility and other engineer-
Soil color description is generally confined to a few
ing properties. In addition, no guidelines are basic terms such as brown, black, gray and white.
presented for the use of adjectives in describing major These terms are often combined in pairs to give
soil constituents in the USCS. A sandy gravel may brown-gray and gray-brown. Rust-brown and red-
mean a gravel with different percentage of sand to
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
brown are also useful descriptive terms. The color is

different people. Furthermore, no procedures are descriptive of the fresh sample as it comes out of the
given for writing a descriptive classificationfor soils in ground; the sample color may change with time. More
the USCS;such a descriptive terminology could inaccurate color descriptions based on hue value and
corporate all of the above shortcomings. It may be chroma may be obtained by use of Munseii Soil Color
expedient to describe a soil by the use of a symbol Charts (Kollmorgen Gorp., 1973),however, such re-
(such as GW,ML, etc.), but a written, descriptive finement is usually not required.
terminology, followed by a group symbol presents a
much more complete picture of the nature, composi- E.5.3 Primary and Secondary Soil Constituents
tion and properties of a given soil.
Suggested procedures and guidelines for preparing The primary soil constituent is to be determined on
a description of a soil deposit or sample are presented the basis of the grain size and plasticity characteristics
below. This descriptive terminology is not intended to in accordance with the USCS,Figure E-5. Coarse-
replace the USCS, but to expand it, in order to make grained soils should be further delineated on the basis
it more precise, better understood and more univer- of grain size as follows:
sally applied and accepted. In all cases, the descrip- Soil Compo- Size Range
tive terminology is to be followed by the USCS symbol nents
in parenthesis. Boulders Above 20.3 cm (8 in.)
As a minimum, the descriptive terminology for a Cobbles 7.6 to 20.3 cm (3 to 8 in.)
soil should include the following, in the order given: Gravel:
Coarse 7.6 to 1.9 cm (3 to 0.75 in.)
Density or consistency gravel
Color Fine gravel 0.75 in. to No. 4 screen* (4.76
Major and secondary soil constituents (major
constituents to be determined by gradation and mm)
plasticity as per the USCS Sand:
USCS Symbol Coarse sand No. 4 (4.76 mm) to No. 10
Other pertinent terms screen (2.0 mm)
Fine sand No. 40 (0.42mm) to No. 200
Tho examples of such a description would be (1) screen (.M4mm)
medium compact, brown silty SAND, (SM)(slightly *(Numberssuch as 4 , l etc., refer to U.S.Bureau of
plastic); or (2) stiff, yellow CLAY, (CH), (high dry- Standards standard sieve sizes.)
strength). For rapid and easy identification, the primary con-
stituent should be indicated by upper case letters,
E.5.1 Density and Consistency e.g., GRAVEL,SAND, SILT or CLAY. Subcatego-
The density of coarse-grained (granular) soils and the ries of the coarse-grained soils should be written as
consistency of fine-grained (cohesive) soils is deter- "coarse to fine SAND" or "fine GRAVEL".
308
Appendix E
Secondary soil constituents should be determined added in parentheses at the end of the soil descrip-
also on the basis of gradation and plasticity as per the tion.
USCS. However, to provide consistency in descriptive
terminology, the following format may be used for E.5.5 Other Pertinent Properties
secondary components, based on percentages passing
standard screens: Descriptive terminology may include some or all of
the following items. These items should be added at
The second most predominant constituent, if the end of the description.
present in an amount between 20 and 50 percent
The shape of gravel and coarse sand grains, i.e.,
of the total sample is indicated by an adjective
modifying the major constituent, e.g.: a sample rounded, subrounded, subangular, or angular.
Degree of plasticity of the fine grained fraction
consisting of 70 percent gravel and 30 percent
sand would be described as a sandy GRAVEL. of granular soils. A plasticity designation is not
If a third component comprises more than 20 required for fine-grained soils, as their identi-
percent of the total sample, it is used following fication is based on the plasticity chart of the
the primary constituent and prefixed by the USCS. It may be useful, however, when describ-
word some, e.g. a sample consisting of 55 ing inorganic silts.
The geologic origin of a soil may simplify its
percent sand, 25 percent gravel and 20 percent
silt would be described as gravelly SAND, some description, especially in regional areas where
silt. such terms are used and readily accepted. Ex-
Constituents which comprise between 10 per- amples of such terms are glacial till, saprolite,
cent and 20 percent of the total sample are indi- loess, caliche, varved clay, and fill.
Other concise descriptive comments about ap-
cated by prefixing the word little before their
name and adding the constituent after the major pearance or engineering properties which add
constituent, e.g., a sample consisting of 55 per- information about the soil should also be used.
cent gravel, 30 percent sand and 15 percent silt Examples of soil description based on the principals
would be described as a sandy GRAVEL, little set forth in preceding paragraphs are given below.
O silt. For a sample comprised of 85 percent sand
and 15 percent silt, the description would be
Note not only the order of the descriptive terms, but
the use of commas, hyphens, parentheses and upper
S A N D , little silt. case letters.
Any material which is present in amounts be-
tween 5 percent and 10 percent is indicated by Compact, gray, silty, coarse to fine SAND, little
the word trace and the descriptive term is the fine gravel, trace clay, with few cobbles and
final item of the grain size description, e.g.: a small boulders (SW-SM) (very dense, well-
sample comprised of 50 percent gravel, 30 per- bonded in situ). -GLACIAL TILL-
cent sand, 12 percent silt and 8 percent cobbles * Very soft, dark gray, clayey SILT, trace fine sand
would be described as a sandy GRAVEL, little partings (MH)
silt, trace cobbles. It should be stressed however, Soft, dark brown, medium to fine, sandy ORGA
that a description involving four constituents is SILT, trace root fibers (OL)
the exception rather than the rule. Most soil Loose to medium compact, mottled, gray to
descriptions using this system would consist of a brown, gravelly, coarse to fine SAND, trace silt,
maximum of three soil constituents. brick and ash. -FILL-
The use of qualifiers (i.e., some, little, trace) is * Very loose, rust-brown, fine, sandy SILT (ML)
not uniform or standard among agencies and -LOESS-
others in geotechnical practice. Use of qualifiers * Loose, light brown, silty, fine SAND (SM) (me-
for minor constituents (third components) of dium plastic)
soils is useful in field descriptions, however. For
critical design use or for inclusion in specifica-
tions, a program of laboratory verification E.6 CLASSIFICATION OF ROCK
should be employed.
Classification of rock is an essential part of the geo-
E.5.4 USCS Symbols technical information developed to support design
O The Unified Soil Classification System Symbol as de-
and construction of any transportation project which
will be built wholly or partially in rock. In addition to
termined from Figure E-5 and Section E.3., should be the definition of each separate geologic unit in field
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
309
AASHTO T I T L E MSI 88 063980Li 0055932 945
Manual on Subsurface Invesfigaiions
mapping, each rock type must be traced in surface presence of such soil-like rock, an appropriate name
outcrop and estimated in occurrence where geologic given for each of these units and the remainder of the
contacts are not directly observable. The classifica- classification should be developed according to ac-
tions apply to both surface excavations in rock and to cepted methods of soil classification. The contact be-
underground construction such as stations and tun- tween soil-like rock and rock is generally called top-
nels. Rock classification for engineering purposes of-rock and is noted on boring logs and in interpreted
consists of two basic assessments; that for intact char- profiles and cross sections.
acter, such as a hand specimen or small fragment; and
in situ character, or engineering features of rock E.6.1 Visuai=ManualDescriptions
masses:
For small projects or during the early stages of a large
Intact character: classification of the intact rock, project, rocks are initially classified by visual means.
such as hand specimens or core, as to its origin, Given below are guidelines for the visual-manual clas-
geologic formational identity, mineralogical sification of rock.
makeup, character of internal fabric, and degree
and nature of chemical and physical weathering Color. When describing color, use only common
or alteration. colors such as gray, brown, green, etc., or simple
I n situ character: classification of the rock, in- combinations of these such as yellow-brown.
place as rock masses includes the nature and Also degree of color such as light vs. dark should
degree of its constituent interlocking blocks, be employed. For special purposes, the Munsell
plates, or wedges formed by bounding disconti- Soil Color charts may be specified; giving hue,
nuities such as foliation planes, joints, shear value, and chroma numbers as the basis of the
planes, shear zones and faults. description. Munsell colors are quite useful in
working with severely weathered rock.
Both assessments are usually presented in geotechni- Texture. Terminology used to identify size,
cal reports; design or contractor personnel make use shape and arrangement of the constituent ele-
of the separate components of the classification as ments: e.g. , porphyritic, glassy, amygdaloidal,
appropriate. Intact classifications are essential for de- etc. Where applicable, the following size classi-
sign. Bidding contractors must evaluate the general fication is utilized:
nature of the rock, mainly in terms of general techni-
cal knowledge and according to individual experience Aphanitic Constituent mineral grains too
in each type of rock. Intact classifications are the basis small to be seen with naked
for rock excavation program design and many facets eye.
of rock anchorage and bearing capacity determina- Fine Constituent mineral grains
tions. I n situ classification data are then applied, Grained barely detectable with naked
where applicable, to the evaluation of the behavior of eye.
whole masses of lithologically similar rock, such as in Medium Minerai grains barely detect-
Grained able with naked eye; to 2.5
rock cuts and underground structures taken as a
whole. mm (0.1 in.)
Coarse Minerai grains between 2.5
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
An important facet of rock classification is the de-
Grained mm (0.1 in.) and 6 mm (0.25
termination of what constitutes rock, as opposed to
in.)
extremely weathered or altered material which ap-
Very Coarse Particles greater than 6 mm
proaches soil in its character and engineering charac-
teristics. An appropriatemanner of viewing rock clas-
Grained (0.25in.)
sification over the entire spectrum of very hard to very Lithoogy Rocks are classically divided into
soft rock is to consider rock itself to be the primary three general categories; igneous, sedimentary
earth material present in a construction site and to and metamorphic. The most conspicuous fea-
classify all rock according to accepted geotechnical ture of most igneous rocks is texture which forms
practice, examples of which are presented herein. In one of the bases on which igneous rocks are
the course of this classification, soil-like rocks will be classified, in addition to mineralogy and genetic
distinguished in terms of degree of weathering and occurrence. Sedimentary rocks are classified on
field hardness. Geologists and geotechnical engineers the basis of grain size and on the relationship
will then determine what rock is represented by engi- between grains. The most conspicuous features
neering properties that are more like those of soil of metamorphic rocks are generally their struc-
than rock. A statement should then be made as to the tural features, especially foliation. The com-
310
A A S H T O T I T L E MSI 88 0637804 0033933 883
Appendix E
plete name of a rock should include color, tex- or more in thickness can be
ture, alteration if any, accessory minerals, and broken by finger pressure.
lithologic name. In most cases the classification Can be scratched readily by
of a rock in the field should be checked in the fingernail.
laboratory with a petrographic analysis.
Field Hardness. Field hardness is determined by Many workers use the Schmidt Hammer Test in
striking or scratching the rock outcrop or rock the field as a measure of rock hardness. The
core. Field hardness is a qualitative assessment Schmidt Hardness Test should be considered a
of the general integrity of intact rock, that is, the laboratory test procedure and when used in the
hardness of individual mineral grains and the field, the Schmidt Hammer should incorporate
relative strength by which the grains are bonded all of the specified laboratory test conditions.
together. For projects involving machine rock Weathering. Weathering and chemical alteration
excavation such as tunnel boring machines are important aspects of rock classification that
(TBM), field hardness is a secondary measures can affect both intact and in situ rock properties,
of rock integrity, after laboratory hardness In the earliest stages, weathering is manifested
measurements. Field hardness assessments are by discoloration of intact rock and only slight
usually included in outcrop station notes in the changes in rock texture. With time, significant
geological field book and are also made a part of changes in rock hardness, strength, compressi-
boring log descriptions: bility and permeability occur and the rock mass
is altered until the rock is reduced to soil. Alter-
Very Hard Cannot be scratched by knife ation may occur as zones and pockets and can be
or sharp pick. Breaking of found at depths far below that of normal rock
hand specimens requires sev- weathering. Weathering and alteration can be
eral hard blows of the geolo- classified as part of the verbal rock core descrip-
gists pick. tion.
Hard Can be scratched with knife
or pick only with difficulty. Fresh Rock fresh, crystals bright,
Hard hammer blows required few joints may show slight
to detach hand specimen. staining. Rock rings under
Moderately Can be scratched by knife or hammer if crystalline.
Hard pick. Gouges or grooves to 6 Very Slight Rock generally fresh, joints
mm (0.25 in.) deep can be ex- stained, some joints may show
cavated by hand blow of point thin clay coatings if open,
of a geologists pick. Hand crystals on a broken specimen
specimens can be detached by face shine brightly. Rock rings
moderate blows. under hammer blows if of a
Medium Can be grooved or gouged 2 crystalline nature.
mm (0.05 in.) deep by firm Slight Rock generally fresh, joints
pressure of knife or pick stained and discoloration ex-
point. Can be excavated in tends into rock up to 25 mm
smail chips to pieces about 25 (1 in.) Open joints may con-
mm (1 in.) maximum size by tain clay. In granitoid rocks
hard blows of the point of a some occasional feldspar crys-
geologists pick. tals are dull and discolored.
Soft Can be gouged or grooved Crystalline rocks ring under
readily by knife or pick. Can hammer blows.
be excavated in fragments Moderate Significant portions of rock
from chips to several inches in show discoloration and weath-
size by moderate blows of a ering effects. In granitoid
pick point. Small, thin pieces rocks, most feldspars are dull
can be broken by finger pres- and discolored, some show
sure. clay. Rock has dull sound un-
Very Soft Can be carved with knife. der hammer blows and shows
Can be excavated readily with significant loss of strength as
point of pick. Pieces one inch compared with fresh rock.
311
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

AASHTO T I T L E MSI 44 Ob39404 OOlIL934
Manual on Subsurj?ace Investigations
Moderately All rock except quartz dis- the rock from the standpoint of intact properties
Severe colored or stained. In gran- such as secondary mineralization, fossils, and
itoid rocks, all feldspars dull swelling and slaking properties.
and discolored and a majority
show kaolinization. Rock E.6.2 Classification of In Silu Rock
shows severe loss of strength
and can be excavated with ge- Structurai elements of the rock mass should be as-
ologist?s pick. Rock gives sessed in an attempt to define the overall engineering
?clunk? sound when struck. characteristics of the maa. Discontinuities are the
Severe All rocks except quartz dis- major elements of in situ classification. These frac-
colored or stained. Rock ?fab- tures should be described in terms of frequency, spac-
ric? clear and evident but ing, roughness, bonding quality and general continu-
reduced in strength to strong ity. The various structural features should be
soil. In granitoid rocks all described when encountered as follows:
feldspars are kaolinized to
some extent. Some fragments E.6.2.1 Geologic Discontinuities. Geologic dis-
of strong rock usually remain. continuities which separate the rock mass into dis-
Very Severe All rock except quartz discrete units.
colored or stained. Rock fab- Types of Discontinuities
ric elements are discernible Joint A simple fracture along which
but the mass is effectively re- no shear displacement has oc-
duced to soil status, with only curred. May occur with paral-
fragments of strong rock re- lel joints to form part of a
maining. Saprolite is an exam- joint set.
ple of rock weathered to a Shear Plane A fracture along which differ-
degree such that only minor ential movement has taken
vestiges of the original rock place parallel to the surface
fabric remain. sufficient to produce slicken-
Complete Rock reduced to soil. Rock sides, striations or polishing.
fabric not discernible, or dis- May be accompanied by a
cernible only in small and zone of fractured rock up to a
scattered concentrations. few inches wide.
Quartz may be present as Fault A major fracture along which
dikes or stringers. Saprolite is there has been appreciable
also an example. displacement and accom-
Voids.Open spaces in the subsurface are gener- panied by gouge and/or a sev-
ally due to removal of rock materials by chemi- erly fractured adjacent zone
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
cal dissolution or the action of running water. of rock.

Since most of these voids result from the action Shear Zone A band or zone of parallel,
of groundwater, the openings are usually elon- or closely spaced planar breaks
gate in the horizontal plane. As in weathering Fault Zone and associated broken (brecci-
classification, voids can be related either to inated) rock and gouge
tact properties or to in situ rock properties, de- Attitude. Attitude refers to the orientation of a
pending on their size. discontinuity in space in terms of strike and dip.
Pit Voids barely seen with the Strike can not be obtained from rock core with-
naked eye, to 6 mm (0.25 in.) out special techniques such as oriented core or
Voids 6 to 50 mm (0.25 to 2 borehole photography. Correlation of test bor-
vug ing results with nearby rock outcrops can be
in.) in diameter
Cavity 50 to 600 mm (2 to 24 in.) in very useful for estimating strike. A quantitative
diameter expression for dip is given below:
Cave Voids 50 to 608 mm (24 in.) Dip Angle
and larger in diameter Horizont al 0?- 5?
Mkcellaneous Features. Include any additional Shallow or low 5O-35O
characteristics to further identify and evaluate angle
312
Appendix E
Moderatelv 35"-55" E.6.2.2 Rock Quality Designation (RQD). Rock

dipping Quality Designation (RQD) is an evaluation of the
@ Steep or high 55"-85" frequency of occurrence of discontinuities in a rock
angle mass. In general, RQD is defined as the total length
Vertical 85"-90" of core segments equal to or greater than 10cm (4 in.)
Spacing. The spacing refers to the perpendicular in length recovered from a borehole divided by the
distance between adjacent discontinuities and total length of core run. This value is expressed as a
should be described as follows: percent. Rock Quality Designation is determined as
described in a qualitative description of rock quality
Foliation or
given below:
Fractures Spacing Bedding
Very Less than 5 cm V. Thin Rock Mass Description RQD
close (2 in.) Excellent 90-100
Close 5-30 cm (2-12 Thin Good 75-90
in.) Fair 50-75
Moder- 30-100 cm Medium Poor 25-50
ately (1 to 3 ft.) Very Poor Less than 15
close
RQD is sometimes correlated with Fracture Spacing.
Wide 1-3 m (3-10 Thick
Drilling Fractures. Only natural fractures such as
ft.)
joints or shear planes should be considered when
Very wide More than 3 m V. Thick
calculating the RQD.
(10 ft.)
Fractures due to drilling and handling of the rock
Tightness. The degree of closure of the opposing core must be discounted.
faces of the discontinuity. The foilowing termi- Core Barrel Size and Type. RQD is most frequently
nology should be employed when describing calculated for NQ size core or larger. The core is
tightness: Tight, Open, Healed. typically obtained with double-tube core barrels. Use
Planarity. Relative smoothness of the surface of of smaller diameter cores and single-tube core barrels
O the discontinuity, for example: Smooth, Wavy,
Irregular.
can severely penalize rock core quality as a measure
of in situ rock mass quality and should not be utilized
Regularity. The surface of the discontinuity may for RQD determinations.
be plane, curved or irregular on a large scale Weathering. Rock assigned a weathering classifica-
andor slick, smooth or rough on a small scale. tion of moderately severe, severe or very severe
Continuity. Continuity is an expression of the should not be included in the determination of RQD,
regardless of length.
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
lateral extension of the discontinuity, as mea-
sured or projected along strike and dip: Core Recovery. RQD measurements assume that
core recovery is at or near 100 percent. As core recov-
Discontinuous 0-1.5 m (0-5 ft.) ery varies from 100 percent, explanatory notes may
Slightly continuous 1.5-3 m (5-10 ft.) be required to describe the reason for the variation,
Continuous 3-13 m (10-40 ft.) and the effect on RQD. In some cases, RQD wiil have
Highly continuous More than 13 m (40 ft.) to be determined on the basis of the total length of
Continuity is a very important property of the rock core recovered, rather than on the length of rock
rock mass, as a single continuous joint may actu- cored.
ally control the behavior of the entire mass. It is
essential to realize that continuity cannot be E.6.2.3 Weathering Profile. Detailed descriptions
determined with test borings along; some type of various weathered rock conditioas were given ear-
of large diameter exploration, field mapping or a lier in this section. Of much greater importance is
well-coordinated boring program is necessary in description of the weathering profile of the rock mass.
order to determine continuity. The weathering profile should be carefully described
Filling. This refers to the nature of the material, regardless of core run lengths or other variables. De-
if any, in the space between adjacent surfaces of gree of weathering should be carefully noted on the
the discontinuity. The filling material may con- test boring log.
sist of weathered or hydrothermally altered
products, secondary mineral precipitates, my- E. 6.2.4 Miscellaneous Features. Additional char-
O lonite or gouge. The mineralogy, thickness and
hardness of fill material should be described.
acteristics to further identify and evaluate the rock
from the standpoint of in situ properties such as large
313
AASHTO TITLE MSI B B H Ob39BOY 001ilt93b 590 R
voids, zones of very high permeability combustible Testing. Part II-Methods of Sampling and Testing,
gas content, groundwater quality, and in situ stress 14th ed., Washington, D.C., 1986.
conditions. American Society for Testing and Materials. ASTM
D2487-85 Standard Test Method for Classification of
E.6.2.5 Sample Rock Description. Given below Soils for Engineering Purposes, Vol. 4.08, pp.
are typical geological and engineering descriptionsfor 395-408, 1987.
rock based on the above intact (rock core) and in situ
(rock core) classification methods. The visual geolog- Aufmuth, R. E. A Systematic Determination of
ical description was verified by petrographic analysis. Engineering Criteria for Rock. Bull. Assoc. Engr.
The project involved construction of a tunnel. Geologists, Dallas, Vol. 11, No. 3, pp. 235-245,1W4.
Barton, N.; Lien, R.; and Lunde, J. Engineering
Geological Description. Dark gray, fossiliferous Classification of Rock Masses for the Design of Tun-
Mudstone. Upper 7.5 m (25 ft.) referred to as nel Supports. Rock Mechanics, Vol. 6 , No. 4, pp.
Gates Dolomite; dark gray, fine to medium- 189-236, 1974.
grained, slightly fossiliferous dolomite. Underlying Bieniawski, Z. T. Geomechanics Classification of
material is dark gray calcareous shale with nu- Rock Masses and its Applications in Tunnelling.
merous dolomite and limestone partings, occasio- Tunnelling in Rock, Bieniawski (Ed.), S . African
nal gypsum filled seams and vugs, and abundant Inst. of CivilEngr., Pretoria, R o c . pp. 89-103,1974.
fossils. Lowest 3-4.5 m (10-15 ft.) is more shaley
and subject to disintegration upon exposure. Casagrande, A. Classification and Identification of
Soils. Transactions, American Society of Civil Engi-
Engineering Description and Classification. Dark
neers, Vol. 113, Paper 2351, pp. 901-W2, 1948.
gray, soft, medium to high strength, highly durable
Mudstone. Tangent modulus measurements (Em,) Coates, D. F., Rock Mechanics Principles. Mines
suggest an intact rock with relatively high com- Branch, Ottawa, Monograph 874, 2nd. ed., 1970.
pressibility. A hypothetical, average, in situ mod- Coates, D. F. and Gyenge, M.Incremental Design
ulus of elasticity for this formation based on meas- in Rock Mechanics. Mines Branch, Ottawa, Mono-
ured intact rock moduli and RQD is approximately graph 880, 1973.
3 x 1O1ON/m2 (4 x l0pi). Average in situ per-
Crawford, R. A. and Thomas, J. B. Computerized
meability is estimated as equivalent to that of a fine
Soil Test Data for Highway Design. Highway Re-
sand and characterized as medium. Predominant
search Record, No. 426, pp. 7-13, 1973.
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
geologic discontinuities are bedding planes and
joints with little shearing. Department of the Army, Office,Chief of Engineers.
Laboratory Soil Testing. Engineer Manual No.
E.6.3 Field Testing of Rock 1110-2-1906, Washington, D.C., November 1970.
Department of the Army, Office, Chief of Engineers.
Field testing of rock is usually very expensive and is Soil Sampling. Engineer Manual No. 1110-2-1907,
generally used only on very large projects such as Washington, D.C., March 1972.
dams, underground powerhouse galleries, and some Deere, D. U. and Miller, R. P.,Engineering Classi-
larger tunnels. Three methods of field testing obser- fication of and Index Properties for Intact Rock.
vations (as mentioned above) are: Rock Quality Des- U.S. Air Force, Weapons Laboratory, Kirtland AFB,
ignation, Oriented Rock Coring and Water Pressure New Maico, Report AWL-TR-67-144, 1969.
Testing. Commonly used methods of field testing rock
are discussed in Sections 6 and 7 and Appendix B. Deere, D. U.;Merrit, A. H.; and Coon, R. F. Engi-
neering Classification of In Situ Rock. US. Air
Force, Weapons Laboratory, Kirtland AFB, New
E.7 REFERENCES Mexico, Report AWL-TR-67-144, 1969.
Hell, W.J.; Newmark, N. M.; and Hendron, A. J.,
American Association of State Highway and Trans- Jr. Classification, Engineering Properties, and Field
portation Officials. Standard SpecifKationsfor Trans- Exploration of Soils, Intact Rock and In Situ Rock
portation Materiah and Methods of Sampling and Masses. U.S.Atomic Energy Commission, Washing-
Testing. Part I-Specifications, 14th ed., Washington, ton, Report WASH-1301-UC-Il, 1974.
D.C., 1986. Geological Society of America. The Rock Color
American Association of State Highway and Trans- Chart, Boulder, Colorado, 19770.
portation Officials. Standard Specificationsfor Trans- Holtz, W. G. Soil as an Engineering Material.
portation Materials and Methods of Sampling and Water and Power Resources Service, Report No. 17,
314
A A S H T O T I T L E MSI 88 0639804 OOLL937 427 H
Appendix E
Denver: Water Resources Technical Publication.

8 1969.
Shergold, F. A., and Hosking, J. R. A New Method
of Evaluating the Strength of Roadstone. Roads and
Road Construction, Vol. 37, No. 438, p. 164, June
International Society for Rock Mechanics. Recom-
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
mendations on Site Investigation Techniques: The So- 1959.

ciety, Lisbon, 1975. Sugden, D. B. Tunnel Boring Machines and Sys-
Munsell Products, 1973, Munsell Soil Color Charts, tems: a Survey. J. Inst. Engr., Australia, pp. 23-31,
MacBeth Color and Photometry Division, Killmor- Nov.-Dec. 1975.
gan Corp., Baltimore, Maryland. Texas Department of Highways and Public Transpor-
Oregon Department of Transportation, Highway Di- tation. Manual of Testing Procedure. 100-E Series,
vision. Soil and Rock Classification Manual. Salem, Apr. 1970 Edition.
Oregon: Oregon Department of Transportation, U.S. Army Engineer, Waterways Experiment Sta-
1987. tion, The Unified Soil Classification Systems. Tech.
Rankilor, P. R. A Suggested Field System of Log- Memo No. 3-357,1960, Appendix A. Characteristics
ging Rock Cores for Engineering Purposes. Bull., of Soil Groups Pertaining to Embankments and
Assoc. of Engineering Geologists, Vol. 11, No. 3, pp. Foundations, 1953.
247-258, 1974 Wanner, H. On the Influence of Geological Condi-
Roxborough, F. F. Rock Cutting Research for the tions at the Application of Tunnel Boring Machines.
Design and Operation of TunnellingMachines. Tun- Bull. Int. Assoc. Engr. Geology, No. 12, Krefeld,
nels and Tunnelling, Vol. 1,No. 3, pp. 125-126,1969. 1975.
Sauer, E. K. A Field Guide and Reference Manual For Weber, E. Practical Experience in Rock Behaviour
Site Exploration in Southern Saskatchewan. Regina, in Tunneling. 8th Canadian Rock Mech. Symp.,
Canada: Saskatchewan Highways and Transporta- Toronto, Proc. pp. 187-201, 1972.
tion, 1987. Wyoming Highway Department Engineering. Geol-
Sheperd, R. Physical Properties and Drillability of ogy Procedures Manual, 1983. Cheyenne, Wyoming:
Mine Rocks. Colliery Engineering; Vol. 27, No. 322, Wyoming State Highway Department, 1983.
0 pp. 468-470; Vol. 23, No. 323, pp. 28-34; Vol. 28,
NO. 324, pp. 51-56; Vol. 28, NO. 325, pp. 121-126,
1950.

APPENDIX F
Rock Excavation Programs
The construction of major civil engineering projects is that of careful observation and analysis by engi-
frequently involves excavation of rock in order to neering geologists and geotechnical engineers as-
establish grade, to produce roadway cuts, or to create signed to individual project teams.
underground space for stations or tunnels. Just as the
integrity of rock varies widely, from loose and soft
sedimentary rock and weathered or altered rock of ali F . l THE NATURE OF ROCK
types, to massive and essentially fracture-free crystal- EXCAVATION
line varieties, the effort required to excavate it varies
accordingly. A significant percentage of project fund- Rock excavation is characterized mainly by the appli-
ing can be expended by rock excavation. The method cation of force of a mechanical or explosive nature to
to be employed in excavation remains one of the most the task of breaking rock (Figure F-1). Naturally, the
variable components of most contracts for construc- contractor wishes to employ the excavation method
0 tion in rock. Roadway designers and structural engi-
neers are generally concerned with the effect of this
which expends the least force necessary to create a
rock mass that is manageable through the means
factor on the range of contract bids and on the quality which he has planned for handling, transport and
of construction and contract performance of the bid- disposalplacement. The reader can appreciate that
ders. these requirements are at once complicated because
Agency personnel involved in subsurface explora- most projects require that the spoil or muck may be
tion can provide essential information to design engi- further utilized as a fill material.
neers early in the project so that design considers the When muck or spoil is not utilized directly in con-
effect of rock excavation requirements. Carefully struction it must meet the requirements of an environ-
planned preliminary and design-level geotechnical mentally-acceptable placement or must be suitable in
and geological studies should be conducted to provide size gradation to be acceptable to a third party who
these data. Certain other raw and interpreted filed wishes to use it for another purpose. The form in
data will be provided in bid packages for use by pru- which rock excavation waste is produced governs its
dent contractors in formulation of their proposed con- acceptability for cost-effective disposal.
struction method and of their bids in general. The main factors relating to the nature of rock
In a 1972review of the role of Engineering Geology excavation waste are concerned with the force applied
in rock excavation, Leonard Obert clearly stated that to the rock to break it and the intrinsic nature of the
the effects of geologic conditions constitute the factors rock itself; that is:
of greatest impact on individual rock excavation pro-
grams. Blue-ribbon review panels such as the Na- Rock strength
tional Academy of Sciences (1968) and the European Rock discontinuities
Organization for Economic Cooperation and Devel- Nature of explosive or excavation force
opment (OCED; 1970) stress high-priority for achiev- Placement, orientation and timing of the explo-
ing technological advances in the development of im- sive
proved method of rock fragmentation, prediction of
0 geologic conditions ahead of the excavated face, and
improved techniques of handling blasted rock. The
If the method of excavation or blasting is incompat-
ible with the geologic character of the rock mass, the
greatest present impact on rock excavation programs waste produced will either vary from the desired char-
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
317
AASHTO T I T L E M S I 8 8 Ob39804 00h5939 2 T T W
Manual on Subsu$aee Investigalions
I I lj -- ____
Figure F-1. Routine machine excavation of weak rock results in production of high-tolerance cutf~es.
(A.W. Hatheway)
acteristics or will require expenditure of more than ally essential to provide the bidding contractors with
optimal energy to handle or treat the waste. Usually sufficient geologic information to provide for sensible
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
continued breaking or crushing are necessary to bids. The manner in which the rock excavation pro-
achieve fragments of the desired size. Additional gram is developed will vary considerably with the
handling is necessary to move, distribute, haul or general design philosophy of the agency and with its
place the resulting waste. Of the four main factors method of developing contract documents. Some of
listed above, the two dealing with the type and place- these key data and interpretations for a rock explora-
ment of force are dependent upon geologic condition program are shown in Table F-1.
tions. In summary, the rock excavation program should
include any activities which are felt will be useful to
F.2 GOALS OF ROCK EXCAVATION the bidding contracton in developing costs to remove
PROGRAMS rock of a quality and size appropriate to other desig-
nated uses on the project and to leave the excavated
Relatively few transportation agencies actually un- area in the desired condition. Good rock excavation
dertake rock excavation programs using their own programs should yield the following results:
personnel and equipment. Those agencies that con-
duct rock excavation on a force account basis should A relatively narrow spread of bid components
develop a complete program for planning and execut- dealing with rock excavation unit costs;
ing such projects from the preliminary geological ex- Contractor adherence to contract schedules;
ploration through the optimization of rock excavation Reduced incidences and bases for changed-
techniques. For those agencies that develop plans and claim conditions; hence lower final construction
specifications for contract rock excavation, it is usu- costs.
318
_ _ ~ - -~
=
~
Appendix F
Table F-1 usually proves to be the least expensive and most time
0 Geologic Data Requirements for Rock Excavation
Programs
effective.
Contractors generally favor the employment of ma-
~
chine excavation because of the relatively simple na-
Rock Excavation Data Rock Excavation ture of the one-step removal and disposaiplacement
Interpretations of the waste. Most machine-excavation programs can
Geologic maps of the Definition of basic be planned to keep the spoil moving in a continuous
areas slated for lithologic types to be chain from removal to replacement, hence holding
excavation; the detail expected on the project.
shown should be Presence and expected costs at a minimum for the operation. The contractor
commensurate with the orientation of dikes, sills must review the bid documents to make the funda-
outcrop exposure and and other intrusions of mental decision concerning the relative volumes of
need to collect strikes and variable hardness from rock that may be excavated or blasted and the
dips and to characterize surrounding rock; and expected characteristics of waste. The data and inter-
the discontinuities. The veins of essentially hard
geologic maps should minerals such as quartz. pretations that are included in the Agencys bid docu-
portray both the areal ments usually form the basis for such a decision. Good
extent of all lithologic bidding practice should be based on the mix of
units and representative information contained in contract documents, the
structural geologic symbols contractors general experience in rock excavation,
(Section 4).
his specialized experience in the geographic area or
Seismic refraction Geologic sections or the particular rock type, and the advice from his
traverses along and across profiles showing the technical staff or consultant. For these reasons, the
the area to be excavated. expected, generalized contract documents should be carefully planned, exe-
distribution of lithologic cuted, and reported.
types with depth.
Profile representations of
top-of-rock, along with a F.4 CHOICE OF EXCAVATION
definition of the nature of METHOD
that surface.
Estimation of volumes of Basic decisions relating to the method of excavation
rock to be excavated are the key to compilation of a sound, construction
A tabulation of averaged Generalized remarks bid. For the purposes of this decision, rock is viewed
compressional wave concerning the basically as either hard or soft; soft includes
velocities; from seismic applicability of various most sedimentary rock and a wide range of weathered
refraction traverses rock excavation and altered igneous and metamorphic rock. The un-
techniques. derlying rationale relates directly to the volume of
A representation of the
~~
Expected zones, pockets, rock that is specified for removal and the selection of
nature and frequency or lenses of alteration or the method that is most effective for production pur-
(spacing) of occurrences of weathered rock; lenses of poses.
the various types of variable rock hardness As a basis for decision making, the bidding contrac-
discontinuities;may (sedimentary strata). tor will need geologic data relating to the expected
include RQD (Appendix areal extent and depths of each definite type of rock
E) of applicable core logs.
(such as by lithology and degree of weathering (Ap-
Such engineering property A definition of the nature pendix E), profiles, cross sections, ground water
data as are necessary and and expected extent of levels, seismic velocity data, core logs, and photo-
which have been rock that is considered graphs showing the character of rock recovered dur-
developed through unsuitable for the intended ing exploratory drilling.
laboratory testing of construction use; such
representative samples rock will be considered as If final finishing is required for excavated surfaces
(Section 9) waste. or faces in rock, such efforts may represent non-
production rock excavation and should be provided
for in a separate unit price payment item.
F.3 TYPES OF ROCK EXCAVATION
F.5 RIPPABILITY OF ROCK
Rock is excavated by machine or by detonation of
e explosives in machine-drilled blast holes. When rock
is relatively soft, such as sedimentary units or weath-
ered or altered crystalline units, machine excavation
Rock that is otherwise not removable by blade or
scraper pan in open cuts is often loosened or broken
by ripping (Figure F-2). Most ripping is undertaken
319
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

Manual on Subsurface Invesiigatwns
Figure F-2. Maximum resistance to machine excavation occurs in highly competent sedimentary rock such
as this sandstone with siliceous cement; a borderline case nearly requiring blasting. (A.W.
Hatheway)
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
by dozers equipped with ripping teeth; single or dou- of a pan scraper. If the joint frequency (speaking of all
ble-tooth appendages located to the rear of the tractor discontinuities)is less than perhaps 15-30 cm (Figure
and capable of being raised or lowered under power to F-31, the blade or tooth can usually be forced into a
gouge into the soft, weathered, or fractured rock. The fracture within a few feet of forced dragging. If the
ability to rip is limited by the ability of the tractor to point or edge pressure applied by the dozer or scraper
force the ripper teeth into the rock and by the tractive exceeds the compressive strength of the rock, the
energy of the tractor to lift fracture-bounded blocks of changes are good that joint-bounded blocks of rock
rock or to shear forward through rock blocks. R i p will be dislodged or the rock itself will then be crushed
ping is generally not considered too expensive to be and the tooth or edge will again gain entry into the
used routinely as a production-oriented rock excava- rock mass to begin the action of pushing the material
tion method. Since rippable rock lies midway between up and out into the excavation.
machine-excavatable softer rock and the blasting re- Various workers and equipment manufacturers
quired for sound and massive rock, ripping programs have developed charts (Figure F-4)relating seismic
should be studied carefully before commitment on a wave velocity (compressive) to lithologicrock type, as
large scale. a guide to rippability. The velocity values represent a
The action of ripping of rock consists of machine number of interdependent rock properties (unit
applied compressive or tensile force against discrete weight and mineral hardness) and characteristics (na-
blocks of rock bounded by discontinuities of some ture and frequency of discontinuities; thickness of
sort (bedding planes, joints, shear planes, planes of open bedding layers); the more dense, harder, and
schistosity, faults, and microfractures). The machine unjointed is the rock, the higher the compressive
force is applied by a dozer cutting blade, a back- wave velocity. At the same time, if seismic velocity is
mounted ripping tooth (or teeth) or the cutting edge used as an indicator of rippability, it must be matched
320
AASHTO T I T L E MSI 8 8 Ob39804 0011742 874
Appendix F
Joint spacing Spacing Rock mass Excava tion

description of joints grading characteristics
mrn
Very close > 50 Crushed / Easy ripping
shattered
Close 50 - 300 Fractured Hard ripping
Moderately close 300 - 1 O00 Blocky/searn y Very hard

ripping
Wide 1 O00 - 3 O00 Massive Extremely

hard ripping
and blasting
Very wide > 3 O00 Solid/sound Blasting
Figure F-3. Generalized relationships between joint spacing and ripping characteristics,
and grading types of rock waste produced by ripping (From Weaver, 1975).
against the size of a particular piece of equipment. portation Laboratory of CALDOT, found that two of
Equipment matches consider, of course, that the the most modern dozers, (Caterpillar D9G and Fiat-
dozer is in good repair and is driven by a competent Allis HD41), could generally rip rock with seismic
operator. velocities in the maximum threshold range of about
Many agencies consider it important to provide 1600-3350 mps (5300-11,000 f p s ) for granitic rock of
seismic velocity data as part of the bid package for joint spacings in the range of 0.9 to 4.6 m (3 to 15 ft)
contractors to use in their interpretation of what type for lower-velocity rock to less than 0.15 m (0.5 ft) for
of excavation method will be most efficient for the high-velocity rock for the Fiat-Allis machine and
project. The California DOT has studied the aspects 150-300 mps less for the Caterpillar model. This is in
of seismic velocity as a guide to rippability, since the good agreement with the scheme of rippability assess-
1960s. In a 1977 report, Elgar Stephens, of the Trans- ment of Weaver (1975; Figure F-5), discussed later in
O I 2 3 4
Velociy in Meters Per Second x loo0 I I I I I
Velocitv in Feet Per Secmd I 10000 I 2 3 4 5 6 7 8 9 10 II 12 13 14 15
DPSOIL
:LAY
..... .. . ...
;LACIAL TILL i
. l I I I
SNEOUS ROCKS
GRANITE
&%SALT
TRAP ROCK
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
KDIMEKTARY ROCKS
SHALE
SANDSTONE
SILTSTONE
CLAYSTONE
CONGLOMERATE
BRECCIA
CALICHE
LIMESTONE
AETAMORPHIC ROCKS
SCHIST
SLATE
AINERALS 8. ORES
COAL
IRON ORE
=
O RIPPABLE
Figure F-4. Generalized seismic compressional wave velocities for various types of rock and soil, with an
indication of relative ease of ripping as a method of excavation (From Weaver, 1975).
321
AASHTO T I T L E M S I 8 8 Ob39804 001111943 ?i30
Manual on Subsurfme Investigations
Velocity for
Excavation Velocity for
normally weather&
characteristics boulder situations
profile
m/s m/s
taw ripping 4 5 0 - 1200 450- 900

Hard ripping 1200 1500 500 - 1 200
Very hard r i p p i n g 1500 1850 1 2 0 0 - 1 500
Extremely hard r i p p i n g 1 850 2 150 1500- 1850

or b l a s t i n g
Blasting -2150 - 1 850

Tractor-ripper w i t h a working mass of 45 1049.5 t and a 280 10 360 kW
engine.
Figure F-5. Generalized relationships between seismic compressional wave velocity, as determined from
refraction surveys, and excavation character (From Weaver, 1975).
this Section. The HD41 could rip higher-velocity rock Seismic velocity (Fig. F-4)
because of its 27 percent larger horsepower and 33 Rock hardness (Fig. F-6)
percent greater weight. Degree of Weathering
The CALDOT study also found that at about 1600 Joint (discontinuity) spacing
mps, rock may require at least an accessory blasting Joint openness and filling
program to introduce fractures and displacement in Attitude of major discontinuities
the otherwise nearly unrippable rock. Weathering Joint continuity
provides a general assist to ripping in general soften-
ing of minerals and opening up of microfractures and Weavers scheme (Fig. F-7) assesses each of the
joints. In some cases, weathering leads to softening of factors on a numerical rating basis, the maximum
feldspars which themselves begin to crush at about scoring being represented as the value assigned to the
1670 mps, according to the CALDOT study. most intact or very good rock and the least values
Weaver, (Weaver, 1975) working in southern Af- assigned to very poor rock. As with all other sum-
rica, has developed an integrated system of assessing mary rating schemes that have been developed for use
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
rippability on the basis of the seven most important in rock engineering, this system relies heavily on engi-
factors of rock mass strength: neering judgment based on sound and representative
Unconhnd
W m ~ 4 i m i g u I
MPB
VOW Mff rock M i l i r t i l crumblo8 unilar firm bbwa with 1.7 - 3.0
sharp rnd of giubguxl pzk; u n k W w J
wilh I knifr; UM hird 10 cul I W a i i I
u m p l i by h i n d SPT will r i f u u . put# up
Io 3 cm thick cm t>r bmkin bv fingir
prrmra.
Soft rock Cin juri b r rcrrptd wilh I knili; indiiHIlmns
1 mm io 3 mm ihow in ( h l i p m m r n wilh
3.0 - 10.0 1 2 0 0 - 1 600 Hlrd ripping
firm Mown of Ihr picL poinl; h i s dull wund

undir himmir.
Hrrd rock Clnnoi be scrrpod wilh I knifr. hiud 10.0 - 20.0 1 5 0 0 - 1850
ipbcimrn u n be broken wrlh p x k wrlh I
iingir firm blow: rock nngi undu h i m m i r
Vrry hird rock Hand i p l c i m i n b m k r wilh pick i f u r mora 20.0 - 70.0 1 8 5 0 - 2 150 Eatrbmdy h i r d
npping or bluting
I h m o n i blow; rock ringi undir iummw
Exlrrmeiy h i r d m c k Sprcimin requircI many blows wilh 9 70.0 i 2 150 BiiShnQ

gwlogicil pick W b r u k Ihrough i n w
milinil; rock rings undir himmrr.
Figure F.6. Interrelationships of relative rock hardness, compresslve strength, and seismic compressional
wave velocity, with excavation characteristics (From Weaver, 1975).
322
A A S H T O T I T L E MSI 8 8 = 0639804 00113944 667 =
Appendix F
Rock class I Il 111 IV V
Descriprion Very g o o d rock Good rock Fair rock Poor rock Very poor rock
Seismic velocity (mls) > 2 150 2 150 - 1 850 1 850 - 1 500 1 500 - 1 200 1 200 - 4 5 0
Raring 26 24 20 12 5
Rock hardness Hard rock Soft rock Very soft rock
2 1 O
Rock weathering I Unweathered I Slightly weathered Weathered I Highly weathered

I Completely
weathered
Raring 9 7 5 3 1
Joinr spacing (mm) > 3 O00 3 O00 - 1 O00 1 O00 - 300 300 - 5 0 <50
Raring 30 25 20 10 5
Joint continuity Non continuous Slightly continuous Continuous - Continuous - Continuous -

no gouge some gouge w i t h gouge
Rating 15 15 3 O O
Joinr gouge No separation Slight separation Separation < 1 mm Gouge - <5 mm Gouge - > 5 mm
Rating 5 5 4 3 1
Strike and dip orientation I Very unfavourable I Unfavourable Slightly unfavourable Favourable Very favourable
Raring 10 5 3
Total raring 100 - 9 0 9 0 - 70 70 - 50 50 - 25 < 25

Blasting Extremely hard Easy ripping
ripping and blasting
Tractor selection - DD9GID9G
Horsepower - 7 7 O138 5 3851270 27011 80
O Kilowarts 5751290
Original strike and dip orientation n o w revised for rippability assessment.
2901200 I 2OOl135 I 135
Ratings in excess of 75 should b e regarded as unrippable withoui pre-blasting
Figure F-7. A method of rating rock in terms of rippability as a function of eight physical characteristics
and properties, and the equipment size required for ripping (From Weaver, 1975).
field geologic observations. The rationale behind the locations. However, Table F-2 should be consulted in
scheme is sound and the method represents an excel- the course of developing bid document requirements
lent means of incorporating the most important rip- for rock excavation indicators and the requirements of
pabiity factors into a weighted assessment for a body the project should be reflected directly in the specifi-
of rock characterized by uniformity within each of the cations for blasting, in the bid documents (see Section
seven factors. In using Weavers system, engineers F.7).
and geologists should also take care to identify geo- The Agency may also require specifications for use
logic boundaries and structural geologic domains for in the construction process. For rock slopes and for
which the factors are different and which will there- the walls and faces of underground structures, the
fore produce different rippability ratings. wall rock remaining at the end of blasting must also be
intact according to the requirements of the project.
F.6 BLASTING AS AN EXCAVATION Some of the concerns that should be addressed in
METHOD specifying, designing or monitoring rock blasting op-
erations are shown in Table F-3 (modified from Lut-
Blasting is an expensive method of rock excavation. ton, 1977).
However there are a number of reasons why blasting A primary understanding of blasting mechanics is
may be chosen, either as the preferred method of essential for personnel who are charged with design-
excavation, or as the only practicable method. Lutton ing rock excavation programs, with preparation of
e (1977) has classified these reasons as separate con-

struction-related criteria (Table F-2).
For most transportation project work, blasting will
specifications and in monitoring construction activ-
ities. Although the contractor generally has the op-
tion of determining type of explosive, shot patterns,
be used to remove rock and generally in non-sensitive delays and other facets of blasting, the Agency may
323
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

AASHTO TITLE MSI 88 M 0639804 0055945 5T3
Manual on Subsut-fae Investigations
Table F.2 Table F.3

Criteria for Blasting in Rock Excavation Maintenance of Natural Conditions in Rock
Subjected to Blasting
Sensitive Blasting Undertaken in such
near proximity to have In Rock Masses At Rock Slopes
a damaging or Modulus of elasticity Rock modulus of elasticity
otherwise unfavorable not to be degraded
effect on existing Existing permeability Minimum of tensile
structures or human fractures along the
activities. breakline
Shear strength parameters, Avoidance of offsets or
Restricted Blasting Conducted in the cohesion and friction, displacements along rock
vicinity of slopes or along surfaces of joints, bedding planes, or
foundations which may discontinuities other discontinuities
suffer unacceptable Appropriate roughness at Minimal backbreak along
damage; generally in concrete pour line for base the face or slope crest
the construction area. or faces of facility Avoidance of ensuing
structures slope movements
Direct Rock Blasting Excavation removal in
the course of
construction or in
quarry operations, so wish to retain some degree of control over the process
that the fragmented with special respect to the nature of fragments pro-
rock is hauled and used duced in rock breakage, the condition of rock dong
directly as a the breakline, and the vibrations, noise and air pres-
construction material. sure felt by abutters. Agency personnel at the job site
should be familiar with the physical indications of
Crusher Source Blasting Blasting used to improper or non-optimal blasting so that supervisory
produce a feedstock for personnel may be advised of conditions contrary to
mine or quarry crushing what has been specified or otherwise intended in the
operations without strict contract documents.
adherence to fragment
size. F.6.1 Explosives
Rock Removal Blasting As required for removal
of rock for ensuing Chemical explosives come in a wide variety of types,
construction; muck is to detonation velocities and strengths, and other charac-
be wasted or used for a teristics. Agency representatives should take note of
non-sizecriticai these characteristics in daily reports and in efforts to
purpose. associate the character of rock produced by blasting
Specialized Blasting Employment of such and that of the resultant breakline surface, with the
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
techniques as pre- contractor's blasting program. Such notes will be

splitting and fracture helpful in ongoing evaluations of contractor perform-
control blasting to ance and in later discussions or legal actions. Ba-
achieve a desired sically, the important characteristicsof explosives are:
breakline at the edge of
the blasted area; also
Strength: commonly expressed as percentages
includes underwater by weight or by volume (cartridge strength),
removal of rock masses with the percentage referring to the explosive
which may hinder
navigation.
. agent as mixed with filler.
Detonation Velociry: the speed, generally in feet
per second, at which the explosive detonation
As modified from Lutton, 1977 wave travels through the explosive.
Density: Measured in terms of specific gravity;
generally in the range of 0.6 to 1.7 @an3.
Wuter Resistance: qualitative measure of resist-
ance to deterioration when submerged in water,
when loaded in a wet shotholes.
324
A A S H T O T I T L E I S 1 88 = Ob39804 003394b 43T
Appendix F
Table F-4 zones, and the seismic zone do little to produce bro-
Generic Qpes of Explosives and Blasting Agents ken rock of a useful nature. Most rock is fragmented
in the crushed zone and the blast-fractured zone.
Dynamite There is a crude relationship between the width of the
Straight nitroglycerin variety: in decreasing usage
crushed zone and the compressive strength of the host
Straight nitroglycerin ditching variety: highly sensitive rock. According to Atchison and Pugliese (1964), the
explosive useful in sympathetic detonation without use
of detonators and placed in linear arrays crushed zone generally extends outward from the
shothole to only about twice the charge radius, mak-
High-density Ammonia (Extra) variety: most widely
used; favorable handling qualities, lower detonation ing the blast-fractured zone the main volume of rock
velocity less fuming breakage. This zone is usually some six times that of
Low-density Ammonia (Extra) variety: produces a the charge radius. Due to attenuation of blast energy,
slow, heaving action; well-suited to softer rock such as through dislocations and other rock fragmentation
clay shale or in production of coarse fragments such as action, the degree of rock fragmentation decreases
riprap radially outward, leaving a condition of increasing
Gelatin spacing outward, between blast-induced rock frac-
Blasting Gelatin: powerful, very high-speed, water- tures.
resistant; emits large volumes of noxious fumes Aside from fragmentation of rock which was other-
Straight Gelatin: water-proof, plastic-type explosive; wise unfractured before the blast, the explosive action
suitable for use with hard rock, as a shothole bottom tends to promote fragmentation by spalling. Spalling
charge and in underwater rock removal
represents increased tensile-stress splitting of incipi-
Ammonia Gelatin: cheaper substitute for high-density ent discontinuities such as microfractures in the rock,
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
ammonia dynamite; water resistant, good fume

qualities; a favored underground explosive as well as the separation and breaking of cohesion
Semigelatin: comparable to low-density ammonia along bedding planes and cemented or rough joints
dynamite; good fume qualities; a favored underground and other discontinuities. At most of these discon-
explosive tinuities, the passing tail portion of the incident com-
Blasting Agents pressional wave is transferred into a reflected tensile
Dry Blasting Agents: also known as ANFO wave and the rock at each particular point of inci-
(Ammonium Nitrate and Fuel Oil); if not premixed, dence is racked with an elastic rebound, tending to
not considered an explosive until such is fragment many rocks with relatively low tensile
accomplished; pours into shotholes; safe, easy to strengths. The greater the ratio of difference between
handle, relatively cheap
compressive and tensile strengths, the more pro-
Slurries: depending on ingredients, can be classified as nounced is rock breakage by spalling. Tensile
either an explosive or a blasting agent; require
priming by high explosive detonators; good explosive strengths of less than about 1.03 x l o p 7 N/m2 (1500
coupling in boreholes; higher charge loadings possible psi) may be considered as having a low tensile
per shothole. strength.
F.6.3 Basic Surface Blasting Techniques

Explosives are manufactured in a wide variety of
ingredient types. The essential characteristics men- In order to take advantage of the spherical propaga-
tioned above vary considerably with types of explo- tion of rock-breaking shock waves, most blasters use
sives and regional and contractor-specific prefer- geometric shothole patterns designed to achieve opti-
ences. Changes of explosive type in the course of an mal breakage between individual shotholes. The ba-
ongoing project are generally limited, the major vari- sic patterns are rectangular, staggered, and single-
ations being in the nature of the blast setup itself; row (Fig. F-9). Minor variations are employed wher-
shothole depth, spacing, stemming, and the like. ever single obstacles of unusual breaklines are en-
Some of the generic types of explosives and blasting countered. The presence of a slope face, bench, or
agents are shown in Table F-4 (Dick, 1968). other rock to free-air interface calls for consideration
of delay firing in order to accommodate the relative
F.6.2 Mechanism of Explosive Rock lack of confinement in the direction of the free face.
Ragmentation Delays are employed to produce successive free faces
within a single shot pattern. Properly designed delays
Detonation of an explosive produces a spherically- can achieve optimal fragmentation, reduced throw of
advancing shock wave which, in turn, develops four rock fragments, control over the extent of rock break-
@ spherical zones of rock stressing, as shown in Figure age, and control of ground vibration associated with
F-8. The explosion cavity, innermost and outermost the blasting. Figure F-10 depicts the seven basic delay
325

AASHTO T I T L E MSI 8 8 m Ob39804 0053947 37b
Manual on Subsurface Invesrigations
Figure F-8. Geometry of an explosion as viewed perpendicular to a horizontal plane penetrated by the
shothole at the center of the explosive charge (US Army Corps of Engineers, EM 1110=2-3800,
1W2).
O O O O O
RECTANGULARPATTERN
O O O O
STAGGERED PATTERN
O O O O
SINGLE ROW
Figure F-9. Qpical blasting patterns (US Army Corps of Engineers, FM 1110-2-3800, 1972).
326 --`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

I
I
AASHTO T I T L E M S I 88 0 6 3 9 8 0 4 0011748 2 0 2
Appendix F
-4-
I B
.3 .2&/ .2 .3 i
3
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
04 03b2 03 7.4
b .3 03
.5 .4 03 04 i . 5
I-S-I
BOX CUT,
BOX CUT, EXPANDING V EXPANDING F L A T BOTTOMED V
PLAN A PLAN B
CORNER CUT, ECHELON CORNER CUT, ECHELON

PLAN C PLAN D
CORNER CUT, ECHELON

PLAN E
f
B
L
T n-I ccs-4-s
CORNER CUT, ECHELON CORNER CUT, ECHELON
CINGLE ROW, PLAN F, S = B SINGLE RQW PLAN Ci, S=1.4B
Figure F-10. Seven basic blast delay patterns, ail of which are influenced by the geometry of nearest rock
free face (From Pugliese, 1972). Dimensions S and B are scaled proportionately from blast

AASHTO TITLE I S 1 B B Ob39804 OOll949 149
* Charge
- Floor
-
Figure F-11. Geometric variables used to describe shothole placement in blast patterns
(Rom Pugiiese, 1W2).
patterns. The numbered sequence indicates the usual should include typical shothole geometry (Fig. F-10
firing order, which is designed to continually remove and F-ll), charge distribution and delay pattern, rep-
confinement and achieve unidirectional rock break- resentative measurements of rock discontinuities, an
age by enhanced spalling, at the same time placing the occasional hand specimen of rock from specified
broken rock slightly outward into the excavation with- shots, and sketch maps at the exposed face after se-
out excessive throw. When delays are used, the lected blasts. with photographs noting the size and
ground shock wave is perceived as a momentarily- gradational spread of rock produced by the shot. The
longer rumble of sound and vibration and the peak equal-area projection is best suited for plottingpoints
amplitude of ground motion resulting from the blast is to poles of discontinuities mapped at the face and held
significantly reduced. to be representative of a given volume of rock af-
Many surface blasting programs are inadequately fected by the shot. In general, the equal-area plot
planned with respect to accommodating geological should be constructed to note if the shothole pattern
characteristics of the host rock. Geological charac- and delay sequence is taking advantage of dominant
teristics of the host rock exert the greatest of all con- discontinuity orientations, as weighted by the geolo-
trols over the results achieved from blasting. When gist in terms of spacing and surface characteristics of
the contractor is willing to accept the resulta of non- each set of joints or other pre-existing rock fracture.
geologically planned blasting and these results are Agency policy must be followed carefully with respect
within the limits of contract specifications, little action to making such studies or mapping available to the
by the Agency is possible or desirable. However, if the contractor as well as in making comments which may
results of blasting do nor meet the specifications or if later be construed to represent direction of the con-
the contractor is experiencing severe difficulties of a tractor by Agency personnel. As is well known in
non-profitable nature, the resident engineer or geolo- construction circles, ?direction? by the owner or the
gist should at once alert Agency superiors and con- owner?s representative may be held as the basis for
tinue to maintain a careful record of the elements of payment of claims for work outside the scope of the
the blast program, as well as the geologic controls contract. Findings of non-compliance with geological
present in the rock. conditions should be filed directly with the observer?s
Geologic notes maintained by the Agency resident Agency supervisor for appropriate action.
328
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

AASHTO T I T L E M S I 8 8 M Ob39804 0011750 960
Appendix F
Figure F-12. Rock discontinuity orientation viewed as favorable or unfavorable in terms of free-face
stability in open excavations (US Army Corps of Engineers, EM 1110-2-3800, 1972).
The blasting program should be altered whenever Where found, joints usually occur in statis-
bodies of rock are encountered which vary from adja- tically-prevalent groups or sets and can be evalu-
cent rock in terms of lithology, degree of weathering ated by the use of equal-area polar plot diagrams
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
or alteration, discontinuity spacing, and orientation (see Section 4). In rock which has been sub-
of bedding. jected to recurring tectonic or other stressing
O F.6.4 Effects of Discontinuities
throughout geologic time, the number of joint
sets may increase in representation of changes in
Discontinuities have three basic effects on rock exca- stress field orientation between each episode of
vation by blasting; attenuation of blast energy, lower stressing.
resistance to fragmentation of those rock fractures Joints are often filled by later mineralization
lying essentially perpendicular to incident blast and can often be found in such a healed condi-
waves, and the potential for blast-related and later tion as to be essentially stronger than intact rock
gravitationally-induced failure of blocks of rock along itself. Such joints should be identified and car-
discontinuities which pitch downward and toward the ried separately in evaluations of the effect of
open face of the excavation. Orientation is described jointing on blasting programs.
in terms of effect on blasting by the terms adverse and Faults, shear planes and shear zones are essen-
favorable (Figure F-12). Adverse orientation is repre- tially joints and groups of semi-parallel or paral-
sented by discontinuities with strikes lying at or nearly lel (zones) joints along which displacement has
parallel to the nearest free face of rock excavation and occurred between the opposing surfaces of rock.
with dips inclined rather steeply into the excavated In increasing order of magnitude of width and
area. The various types of discontinuities (see Section amount of displacement are shear plane, shear
4) affect rock excavation in the following ways: zone, fault and fault zone. Some fault zones are
hundreds of meters in width and extend for hun-
Joints are usually the most common of discon- dreds of kilometers in length. Faults and their
tinuities in hard rocks (Figure F-13). Joints are related discontinuities usually represent a
usually the result of previous periods of tectonic greater degree of rock breakage than is desired
stressing in three-dimensional stress fields. Such from blasting and hence exceed the positive ef-
stressing has usually resulted in the formation of fect of joints in assisting rock breakage. Faults
*
the joints in brittle elastic failure of the rock are generally considerably less prevalent than
mass. Some joints, such as those found in volca- joints and may serve mainly to diminish the
nic, igneous plutonic and metamorphic rock effect of adjacent blast detonation and can cre-
were formed by thermal effects incidental to the ate gas venting.
origin and emplacement of the rock masses. Dikes and silk are tabular bodies of intrusive
329

AASHTO T I T L E M S I 88 Ob39BOY QOliL955 BT? W
Figure F-13. Joints typical of hard, competent limestone, showing presplit, line-drilled shot hole to the left
of the view. Joints are fractures along which no discernable deformation or slippage has
occurred. (A.W. Hatheway)
rock and are important to blast programs be- in the form of discontinuities and which has no
cause they are generally of a different rock type direct effect on rock breakage; however, this is
than the host rock. The dike rock usually repre- not the usual case.
sents a different blast medium with respect to
drillabilityfor shot holes and rock fragmentation F.6.5 Other Important Geologic Features
characteristics. These intrusives should be
mapped for their general response to blasting, In addition to discontinuities, several other geologic
and for attitude, position, rock type, width, and features can be present which will control the effect of
absence of weathering or alteration. blasting. These are the general effects of rockfabric
Dikes and sills were generally intruded along and the more localized effects of zones of weathering
preexisting discontinuities such as faults and and alteration and cavities and voids.
joints and are also frequently the place of weath-
ering or alteration that is different from the host Rock Fabric is the overall arrangement of the
rock. Alteration may be found at considerable constituent minerals making up the rock and the
depths and may reduce the dike rock to a weak interactive effect of many factors making up in-
material that cushions shock waves and is detri- trinsic rock strength. These factors are the size
mental to the blasting program. and spatial orientation of the mineral grains, the
Bedding represents the primary structural dis- nature of the bonds between these, other grains,
continuity of sedimentary rocks and is the repet- and the matrix of the rock, microfractureslacing
itive, parallel occurrence of planar separations the rock, partial and total alteration of individ-
between layers of variable grain size andlor min- ual minerals and evidence of locked in tectonic
eralogicaMithologica1 content. Many sedimen- or residual stress from past episodes of rock
tary rocks possess bedding which is not open and stressing. Rock fabric is best analyzed by indi-
330 --`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

~~ ~
-~
AASHTO T I T L E MSI 8 8 Ob39804 OOLL952 733
viduals skilled in engineering petrography (see presence of cavities encountered by the drill
e Appendix E) In crystalline igneous rocks, such
as dimension-stone-quality, granitic rocks, a
skilied observer can detect microscopic fabric
string by greatly reduced penetration resistance
or by tell-tale rod drops. The cavities and voids
are negative factors in rock excavation for most
effects that produce a grain which imparts clean purposes and, if water filled, may result in
and continuous breaks in the rock on an orthog- changes in explosive type and method of charge
onal and repetitive pattern. placement.
Zones or l'ockts of rock weakness are some-
times found in otherwise stronger rock and rep- F.6.6 Damage Prediction and Control of Blasting
resent subtle physical changes in original rock Operations
characteristics resulting from groundwater al- Rock excavation by blasting is usually designed to
teration. Zones or pockets of degraded rock are expend the least amount of funds to create the desired
more common in other than sedimentary rocks volume of broken rock whether for creation of a cut or
and are of a very unpredictable nature. Even in underground opening andor to create construction
previously glaciated terrain, rock excavations of- material. Agency personnel are concerned with the
ten encounter pockets of rock so weathered as to quality of rock and rock surfaces at the edge faces of
be shovel-excavatable. Due to the gouging and the void and with the character and quality of the rock
plucking nature of the ice sheets, such pockets of muck that is produced during the blasting program.
rock are generally small. Although the contractor is usually made to assume
Cavities and Voids are of concern in any carbo- responsibility for damages associated with the blast-
nate rock which is soluble in its present or past ing operation, both to the public and to the rock
groundwater. Cavities may be large, in the in- quality along the excavated faces, it will be in the best
stance of limestone caves, but for most projects, interests of the Agency to help insure that the blasting
cavities and voids are man-sized or smaller in program does fulfiil these objectives. Most of the
proportion and often filled with water of water- available Agency control must be exerted through the
saturated fine soil accumulations brought into medium of the contract specification for blasting (see
the cavity by down-gradient cleft water flow. Section F.6.7), but the Agency may elect to monitor
O Shothole drillers should be able to detect the (Fig. F-14 and F-15) the strength and character of
e Figure F-14. Propagation relationships for Fig. F-11 airblast pressure from spherical changes at various
scaled depths of burial. D = distance from point of interest (ft.); W = change size (lbs.) (US
Army Corps of Engineers, EM 1110-2-3800, 1972).
331
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

AASHTO T I T L E MSI 88 Ob398Oq 0015953 b7T
Manual on Subsu@ace Investigaiions
wput%cYc.p I
Figure F-15. Summary of damage criteria for blast-generated ground motion af&g frame structures
(US Army Corps of Engineers,EM 1110-2-3800, 1972; after U.S. Bureau of Mines,Duval,
W,I. and Foghn, D.E., 1%2).
blast-generated ground and air waves in order to act related damage is critical to the abutters or public in
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
when the blasting program is not following specifica- general, it may be wise to select a consultant to make
tions or to deal with an otherwise unexpected prob- independent evaluations by way of personal inter-
lem of public safety or nuisance stemming from blast- views of the abutters and photography of existing
ing on the project. cracks and fractures in the structures.
Monitoring of the effects of airblast and ground Monitoring personnel may wish to make use of
shock waves is generally undertaken using a special existing empirical relationships for airblast propaga-
blast vibration seismograph with accessory piezo- tion and levels of ground vibration as related to dis-
electric airblast pressure gage. This is a one-man op- tancelcharge magnitude and dominant frequency of
eration and may be conducted at specified or unan- vibration. Again, as Agency personnel generally do
nounced intervals and at such times at which the not participate in the contractor's operation, the data
contractor elects to change the ongoing bIast program may be made available for contractor inspection or
parameters. The records should be carefully anno- may form the basis for reports to Agency superiorsfor
tated as to time and location of the instrument and the appropriate action.
nature of blasting in terms of charge size, placement,
delay and other key factors making up the blasting Airblast Propagation Airblasts are pressure
program for that shot. The seismograph should be waves created by venting of high-pressure explo-
moved from time to time in order to register effects sive-generated gasses to the atmosphere and by
along different bearings from the shot area in the conversion of ground shock waves to air vibra-
event that localized geologic conditions are affecting tions at free-air interfaces (such as bench faces).
the nature of shock wave transmission radially away The depth of charge burial is related to the
from the shot area. scaled distance (D = distance in feet; W =
Geotechnical personnel are often asked to under- charge size in lbs.) and expected peak pressure
take physical inspections of structures surrounding of the resultant air blast for multiple-hole,
the area to be blasted, in order to establish the rela- stemmed quarry shots (Figure F-11).
tive condition of buildings and other facilities, before 9 Ground Vibration Most of the basic relation-
initiation of blasting. If the issue of possible blast- ships used to explain levels of ground vibration
332
AASHTO T I T L E I S 1 88 = Ob39804 0011954 5 0 6
Appendix F
began with the work of Theonen and Windes Minimum separation distances from shot pat-
(1942) and of Crandell (1949) and are summa- ttern to sensitive structures or rock faces and
rized in Figure F-13. Agency personnel will be slopes
most concerned with the damage to abutting
structures with existing damage which may be Precautions A t or Near Final Grade and Final Slope
made more pronounced by project blasting, or
which may appear to be originated or aggra- Avoid subdrilling which may tend to weaken or
vated by the abutters. A goal for blast control break rock below final grade
may be to spec@ compliance with threshold Reduce spacing, burden and powder factor on
vibration damage levels taken from the plots of shot holes adjacent to presplit surfaces
Figure F-15. Use delay patterns especially designed to pro-
vide relief of confinement for the shot row near-
est the presplit line
F.6.7 Blasting Specifications Provide lines, grades, and tolerances on draw-
ings.
Specificationsmay be developed to provide basic con- A and B lines (maximum and minimum
trols over project blasting, in terms of damage poten-
limits) are shown as the basis for payment of unit
tial to abutters, the nature and quality of rock pro-
rock excavation prices. No rock will remain in-
duced as muck and the condition of free-standing
side the excavated area as defined by the A-
rock faces after blasting is completed. Some of the key
line. Measurement and payment is made to the
aspects of a blasting specification are as follows (mod-
B-line. Rock broken beyond the B line will
ified from Lutton, 1977):
result in nonpayment and replacement by the
contractor with suitable fill material at no extra
General Requirements cost to the Agency. A and B lines are the
tolerances for rock excavation.
Review of a detailed proposed blasting plan, by
the Agency representative, before the start of Achievement of Desired Quality of Muck (Figure
0 drilling for each shot; requirement for submis-
sion of a simple sketch for the record
F-16)
Choice of lower-velocity explosives or blasting
Use and placement of presplitting charges
Restriction of blasting within designated prox- agents to reduce percentages of unwanted,
imity to curing concrete or grout and minimal blast-produced fines;
spacing between charge centers and concrete or Choice of higher-velocity explosives or blasting
grout of any age agents to produce high fragmentation, and;
Scaling of permanent slopes or faces remaining Modification to the blast pattern delay sequence
at the conclusion of blasting and quantity of explosives employed.
Perimeter Control Methods of Blasting

Presplitting to achieve prescribed final cut slopes
and faces F.7 PRE-BID EXCAVATION TESTS
Line drilling to achieve critical tolerances at des-
ignated breaklines For projects in which a significant amount of rock is
Zone blasting (also known as cushion blasting) planned for excavation, the Agency can undertake a
to create a buffer of broken rock left in place as a pre-bid rock excavation test program. The program
protective barrier for minimization of damage to should be designed for conduct at one or more loca-
critical faces; the buffer to be removed in the last tions in the area slated for excavation and should test
stages of cleanup the effects of machine and blast removal of rock of
representative types as identified by the project geol-
Special Restrictions ogist. The test can be made as a separate demonstra-
tion contract and should attempt to define optimal
Maximum acceptable depth and inclination de- blast design, the desired rock-break gradation for
viation of presplit shotholes subsequent material usage, and to provide raw data
Depths of individaul shot lifts (a minimum and for contractor interpretation. The study should be
@ maximum figure constitute the acceptable designed to return benefits in terms of reduced con-
range) tractor bids, through removal of contingencies.
333
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

AASHTO T I T L E MSI 8 0639804 003iL955 4 4 2
Figure F-16. Nature of excavation muck is a cost-controlling fNtor. This muck, from a transit tunnel, is
about as broadly graded as can be employed for a variety of useful site-fill, hence reducing
the costs of its managementldispw. (A.W. Hatheway)
F.8 ESTIMATION OF BULKING factor with seismic velocity (Stephens, 1978) contains
a number of predictive curves that have been based on
Balanced cut and fill estimates for rock excavation careful topographic surveys of pre-excavation and
depend heavily on estimation of the bulking factor post-excavation surfaces and pay-volume surveys at
(also known as earthworkfactor). Thus is the ratio of the roadway embankment.
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
embankment (fill) volume to excavation volume. A The California DOT studies indicate that a five-
factor in excess of unity indicates that compaction or percent accuracy of determination should be attain-
placement density will be less than that found in situ, able if the velocity versus bulking factor charts are
prior to excavation. For factors computed to be less constructed for lithologic types which are essentially
than unity, the fill volume will exceed the volume of similar. Two of Stephens (1978) sets of curves are
compensating cut. shown as Figures F-17 and F-18, providing expected
Determination of bulking factors for soils are bulking (earthwork) factors for sedimentary and
rather straightforward and depend mainly on the granitic rocks. One can note that a general rule of
state of preconsolidation of the soil and the density to thumb appears such that for most rock types, a com-
which design requirements call for compaction of the pressional wave velocity of about 900 mps (3000 f p s )
embankmentearthwork. For rock, however, a variety equates to a one-to-one ratio between excavated rock
of conditions and characteristics affect the resulting and compacted rock fill.
density of rock fill. The California DOT has found Some of the factors which should be taken into
that pre-excavation compressional wave seismic ve- consideration in setting up bulking factor estimates or
locity (determined by refraction survey) offers the confirming studies involving seismic refraction sur-
best basis for estimation of the bulking factor. The veys and development of bulking factor curves are as
most recent of a series of reports comparing bulking follow:
334
AASHTO T I T L E MSI 8 8 0 6 3 9 8 0 4 OOLL956 3 8 9
Appendix F
0,cec
9,000
8,ooo
7,ouo
6,000
5,000
-U
.>
(.
4.000 ::
--
1,000 i
5
W
2,000
E
v:
1.500
1,000
3
EARTHWORK FACTOR ( A p p i o i 1
Figure F-17. Earthwork factors associated with a series of excavation tests in sedimentary rock
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
(Modified from Stephens, 1979). (Stephens, 1978)
O
I I O.Oo0
9,000
7,000
6.000
5POO
-
U
>
3.000 5
3
W
2
z
E
1,000 v:
1,500
I I
C ,000
0.8 0.9 1.0 I I 1.2
EARTHWORK FACTOR
Figure F-18. Earthwork factors from a single excavation test in

in granitic rock. (Stephens, 1978).
335
AASHTO T I T L E MSI 88 Ob3980Y OOII3i957 215 W
P4anuaL on Subsurface Investigations
Table F.5 volume will represent emplacementconditions in one

Factors Afecting Bulking Factor Estimation by rock typelgrade only.
Seismic Velocity
Shape of rock fragments (dominantly flat F.9 GEOTECHNICAL DATA FOR

fragments can tend to increase the factor) TUNNEL BORING MACHINE
Size gradation (gap-grading can tend to EXCAVATION
increase the factor)
Degree of compaction (if additional fragment Tunnel Boring Machines (TBM) represent relatively
breakage occurs during compaction, the new technology, having been initially used in the
factor may be decreased) United States at Oahe Dam, South Dakota, in the
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
Loss of materials (materials not reaching the early 1950s.A significant amount of tunnel advance is
embankment or falling outside its measured now accomplished by TBM and the economic aspects
limit will tend to decrease the factor) of their employment have resulted in a good deal of
Deviation from plans (embankments competition for design advantages among the various
constructed to other than design specification domestic and foreign manufacturers. TBM have been
will result in a variance in the factor from the employed in rock with compressive strengths ap-
original estimate) proaching 2.4 x 10 Nlm (35,M)o psi) and advance
Accuracy of volume estimates (errors in rates in the tens of meters per day have been routinely
determination of excavated and placed accomplished using machines with drive capacities
volumes will result in a variance in the factor and cutters correctly matched to rock type and Oper-
from the original estimate ated by competent individuals.
Matching of machine to geology is a complicated
matter of employment of personal experience of the
The California DOT studies further indicated that machine manufacturer. his field representative, the
the upper limit of expected bulking factors will lie contractor, and the contractors geological or geo-
something short of 1.3 for most rock types. It is diffi- technical consultant. For the most part, these individ-
cult to imagine a rock that would exceed 1.3 and this uais rely on previous experience related to geologic
only due to some unusual aspect of size gradation and parameters such as compressive strength and elastic
particle shape; both probably would lie outside of modulus, the various rock hardness variables, rock
design specifications and would probably be detected quality designation (RQD), fracture spacing, and
by the contractor or resident engineer as being there- lithologic descriptions from core logging (including
fore unsuitable. grade-related assessments of weathering and alter-
Bulking-factor estimates are made primarily for the ation). These rock classification factors have ail been
benefit of the Agency, both in terms of costs associ- described in Appendix E.
ated with achieving balanced cut and fill and in efforts For this reason, geotechnical reports prepared for
to locate sufficient supplies of rock fill material. As tunneling and underground structure contracts must
with most other geotechnical aspects of transporta- contain representative test values for most or all of the
tion system design, the bulking factor estimates are tests discussed in Appendix E. The tunneling contrac-
only as reliable as the geological observations that tor is most concerned with the following primary and
support them. The refraction surveys made to pro- secondary considerations:
duce velocity values must be made over ground that is
knowii or thought to be underlain by rock of a similar Table F-6
lithology and condition (with respect to weathering Considerations Afpecting TBM Usage
and alteration). This is not to say that the estimates
cannot be made for minor variables in lithology and a Primary Conoideraiom Secondary Considerations
variety of states of weathering and alteration. Indeed, Rate of advance Nature. of muck produced
that is what each set of curves depicts in terms of Overall
variable seismic velocity. However, pains must be Cutter wear Wear on the machine
_ _ ~~ ~
taken to distinguish the relationship of velocity to

lithology or weatheringlalteration grade SO that the TBM advance occurs by way of crushing, elastic
overall curve may be constructed. On the other hand, deformation, and/or fracturing of the rock in contact
the confirmation of estimates must also be done on with the cutters, which are usually disc cutters,
discrete embankment sections constructed entirely of rollers, drag bits, or picks. The relationships govern-
similar rock, so that the resulting measured rock fill ing the amount of rack disintegrated by the cutters

A A S H T O T I T L E MSI 8 8 Ob39804 O O L L 9 5 8 151 =
Appendix F
from the cutting face are complex: the main objective pared on the basis of uninterpreted field and labora-
is to break mineral bonds or to fracture or otherwise tory data, and a separate package of interpretations
break and dislodge individual mineral grains in the based thereon. Bidding contractors should always
rock under attack. Indications of these primary rock employ geological and geotechnical professionals on
breakage factors come from visual (petrologic) de- their staffs or as consultants to give advice in prepara-
scriptions, from petrographic descriptions (in which tion of the assumptions which will underlie the bids.
elements of rock fabric and weaknesses are detected), In this connection, the presence of groundwater,
and from laboratory tests defining the general either as cleft rock water (in the rock mass) or as pore
strength and hardness of intact rock. pressure (in soil units) must be considered along with
A second level of geologicailgeotechnical assess- the potential effect of geologic structure on the min-
ment is then made, concerning the effect of rock ing operation and in achieving ground stability in the
structure on the behavior of the overall rock mass. bored tunnel. One of the basic interpretations that
Although the machine can be designed for the pur- must be made by the contractor is the potential effect
pose of breaking rock under the cutters, there is the of rock discontinuity attitudes and their combinations
companion aspect of actual rock discontinuities in on TBM performance and tunnel stability.
producing discrete blocks of rock which are bounded
by two or more edges and exposed entirely within the
confines of the cutting face or along the inner surface F.10 ENVIRONMENTAL ASPECTS
of the tunnel bore. The main concern in this respect is
with the gravitational stability of the rock blocks Nearly all rock excavation programs now require
which are so exposed. If the geometry of the surfaces some form of permitting, ranging from the use of
forming individual rock blocks is such that gravita- explosives to environmental impact assessment and
tionally-induced, static forces can overcome the fric- review. Contracts requiring significant amounts of
tion and cohesion present along the surfaces, the off-site rock or aggregate materials may often go to
block is likely to fall into the tunnel during or after those bidders who have a nearby, permitted an oper-
passage of the cutter head. Gravitationally dislodged ating quarry. The most basic consideration often be-
rock blocks can present some difficulties to TBM comes the choices of routing which affect balanced
operation if such occur at the cutting face or around cut and fill. Rock excavation associated with construc-
the advancing machine. Blocks dislodging after pas- tion in the ROW itself are not so much subject to the
sage of the TBM must be considered as a problem of environmental assessment and review process as are
ground support and given attention in that respect. quarry operations in support of construction. Any
The Agency should provide information relating to rock excavation slated in or near urban areas should
the geometry, frequency and surface characteristics be of great concern to highway planners. These activ-
of each type of discontinuity observed on the ground ities will be subjected to close scrutiny by environ-
surface (in outcrops and in exploratory trenches, if mental regulatory officials and will be almost cer-
such are used) and from exploratory borings. As tainly targeted by citizens groups opposed to
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
noted in Section 4,the generally accepted method of construction activities.

presenting data of strike and dip is the equal-area, Costs related to the transportation of natural mate-
polar projection. Outcrop measurements of attitudes rials usually rise nearly exponentially with distance
are a minimal level of data input for contract docu- from source to project. This is naturally related to
ments. Significant expenditures of borehole logging time on the road, the requirement of an ever increas-
time for geologists and for drilling rig time will be ing fleet of trucks to provide the basic supply, and
required to upgrade these observations to include problems related to timing of hauls versus traffic pat-
oriented data to describe discontinuities encountered terns on the haul route. The U.S. Bureau of Mines,
in coring. Some of these techniques are discussed in Twin Cities Mining Research Center, Minnesota, has
Section 4.The Agency must decide on the economic conducted a program of defining the planning needs
returns associated with bids prepared on the basis of for opening new quarries near urban areas. Most of
oriented core observations. Such observations are not the findings are applicable to providing rock materials
generally considered to be basic to tunnel and under- for transportation construction projects located in or
ground structure prebid packages, and should be near urban areas (Pugliese, Swanson, Engelmann and
viewed as an option of the Agency which may lead to a Bur, 1979).
more narrow and cost-effective spread of bids. A large and long-term quarrying operation in or
The tunneling contractor should always review all near an urban area will quite likely never be feasible,
0 prebid geologic and geotechnical data. This informa-
tion, as described in Sections 2 and 10, may be pre-
in terms of permitting, especially for the purpose of
supplying rock material for only a single project. The
337

AASHTO T I T L E MSI ll8 W ti639804 005B959 098 W
Manual on Subsurface Investigarions
permitting requirements are simply too stringent to and 5 , pp. 98-100,112; 118-123; 126-131; 109-111,
be accomplished in the limited time frames available. 114-118, 1963.
However, along with the overall permitting advice Atchison, Thomas C. and Pugliese, J. M., Compara-
given by Pugiiese, and others, (1979) are the initial tive Studies of Explosives in Limestone. Bur. Mines
project and siting considerations which would affect Rept. of Inv. 6395, 1964.
the operation of limited project related quarrying
operation on land supplied by the agency or to be Balkema, A. A. (Publishers) Fifth International
developed by bidding contractors. When Agency- Congress on Rock Mechanics, Melbourne, 1983. Pro-
supplied land is to be considered for inclusion in the ceedings, Volumes 1-3, Australian Institute of Min-
bid package as an available resource, the following ing and Metallurgy, N. P.,Victoria, Australia, 1983.
basic considerations (modified from Pugliese, and Bukoyansky, M. and Piercy, N. H. High Road Cuts
others, 1979) should be investigated and answered at in a Rock Mass With Horizontal Bedding. In Fair-
least to the point of indicating that permitting is possi- hurst, C. and Crouch, S. L. (Ed.) Design Methods in
ble: Rock Mechanh; 16 Symp. on Rock Mech., Amer.
Table F-7 SOC. Civil Engrs., New York, Proc. pp. 72-76,1977.
Environmental Planning for Rock Excavation Dick, R. A. Factors in Selectingand Applying Com-
mercial Explosives and Blasting Agents. Bur. Mines
a Production objectives and probable resources Infi Circ. Ms, 1968.
in terms of project requirements Duvail, W. I. andFogelson, D. E. Report of Investi-
a The economics of the local aBregate market gation No. 5968, Review of Criteria for Estimating
and its outlook over the project duration. Damages to Residences from Blasting Vibrations,
Includes alternate sources and associated haul Washington, D.C.: U.S. Bureau of Mines, 1962.
costs
a Bonds and permits required Farmer, I. W., et al. (Eds.) Rock Mechanics: Pro-
a Estimated cost of environmental assessment ceedings of the 28th U.S. Symposium on Rock Me-
required for submission to regulatory agencies chanics. Tucson, Arizona, Accord, Massachusetts,
a Nature of the quarry site; topographic, A. A. Balkema Publishers, 1987.
geologic, hydrologic and wildlifebiologic Gregory, C. E. Explosivesfor Engineers. St. Lucia,
character Queensland, Australia; University of Queensland
Probable plan of optimal development Press, 1966.
a Amount of capital needed to put plans into Langefors, U. and Kihistrom. B. The Modern Tech-
operation nique of Rock Blasting. New York: John Wiley &
a Ability to acquire the property and mineral Sons, Inc., 1963.
rights (if such apply)
a Previous experience of other rock production Langefors, U.; Sjolin, T.; and Pederson, A. Frag-
activities in the general area mentation in Rock Blasting. 7th Sylmp. Rock Mech.,
a Local zoning ordinances, and; Penn. State Univ., Proc. Vol. I, pp. 1-21, 1965.
a Existing alternative sources of rock, with Lutton, R. J. Constraints on Blasting Design for
estimated haul costs and availability during Construction. In Fairhurst. C., and Crouch, S. L.,
construction. 16th Symp. on Rock Mech., Amer. Soc. Civil Engrs. ,
New York City, Proc. pp. 365-369, 1977.
Many of the inputs to the above review can be National Academy of Sciences. Rapid Excavation:
accomplished by geotechnical and geological person- Significance, Needs. and Opportunity, National
nel from the Agency field exploration unit. Some of Academy of Sciences Committee on Rapid Excava-
the answers will be based OR previous Agency experi- tion, Washington, D.C., 1958
ence, other answers will come from field reconnais- Obery, L. Rapid Excavation and the Role of Engi-
sance, and other data can be collected through limited neering Geolopy in Pincus, H. (Ed.) Geological Fac-
interviews with regulatory agency personnel, rock tors in Rapid Excavation, Engr. Geol. Case Histories,
producing firms, and contractors in the site region. V. 9. Boulder, Colorado: Geol. Soc. America, pp.
1-4, 1972.
F . l l REFERENCES Organization of Economic Cooperation and Develop-
ment, Report on Tunneling Demand l%-1980:
Ash, R. L. The Mechanics of Rock Breakage, Parts QCED, Advisory Conference on Tunneling, Wash-
I through Vi. Pit and Quarry, Vol. 56, Nos. 2,3,4, ington, D.C., 1970.
338 --`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

AASHTO T I T L E M S I 8 8 = 0637804 O011760 BOT
Appendix F
Pugliese, J. M. Designing Blast Patterns Using Em- Seismic Velocity. California Dept. Trans., Office of
pirical Formulas. U.S. Bureau of Mines, Washing- Trans. Laboratory, Sacramento, Report FHWA-CA-
ton, D. C., Information Circ. 8550, 1972. TL-78-23,1978.
Pugliese, J. M.; Swanson, D. E.; Englemann, W. H.; U.S. Army Corps of Engineers. EM 1110-2-3800,
and Bur, T. R. Quarrying near Urban Areas-an Systematic Drilling and Blasting for Surface Excava-
Aid to Premine Planning. U.S.Bur. of Mines, Infor- tions, ECE-G, Washington, D.C., 1972.
mation Circ. 8804, Washington, D.C., 1979. Weaver, J. M. Geological Factors Significant in the
Stacey, T. R. and Page, C. H. Practical Handbook Assessment of Rippability. The Civil Engineer in
for Underground Rock Mechanics. ISOP, Trans. South Afnca, pp. 313-316, December 1975.
Tech. Publications, D-3392 Clausthal-Zellerfeld, F. Wyoming Highway Department of Engineering Ge-
R. Germany, 1986. ology Procedures Manual, 1983, Cheyenne, Wyo-
Stephens, E. Correlation of the Seismic Velocity of ming: Wyoming State Highway Department, 1983.
Rock to the Ripping Ability of the HD41 Tractor. Yancik, J. J., Monsanto Blasting Products ANIFO
California Dept. of Transportation, Sacramento, Manual: Its Explosive Properties and Field Perfor-
Final Report, FHWA-CA-PPTL-2153-77-1011, 1977. mance Characteristics. St. Louis, Missouri: Monsanto
Stephens, E. Calculating Earthwork Factors Using Company, 1969.
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
339
AASHTO T I T L E M S I 8 8 O639804 001L61 746
APPENDIX G
Instrumentation
Transportation systems are often affected by a variety potential structural damage before the magnitude of
of physical changes occurring in their foundation soil deformation becomes uncorrectable.
and rock. Most of these changes are brought about by
stress redistribution created by the cuts, fills and
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
G.l NATURE OF INSTRUMENTATION
foundation loads of transportation system structures.
Other changes are brought about by man-induced Instrumentation is a collective term for various me-
and natural phenomena in the near vicinity of the chanical, electrical, hydraulic and optical devices that
a structures; others yet are created by changes in the

presence and nature of groundwater and pore fluids
in the surrounding rock and soil. Almost ail of these
are designed to actively or passively monitor and re-
cord the physical position and/or stress condition of an
engineered structure (Fig. G-2) or one or more of its
physical changes are rate-dependent and are some- structural components. The instrumentation is de-
times seasonally variable. signed to detect physical changes that are generally
Physical changes in the engineering properties of unobservable to the human senses and to make these
earth and rock beneath and surrounding engineered detections observable to human data collection or to
facilities are always a matter of potential concern to transfer some form of analog of the change to a con-
geotechnical and structural engineers. Redistribution tinuous or periodic data collection device. The design,
of ground stresses or pore fluid pressures are almost installation, monitoring and analysis of instrumenta-
always felt to some degree by the various components tion and its output data is a highly specialized and
of embankments, bridges, tunnels, viaducts, piers, rapidly growing field of geotechnical engineering.
retaining walls and other primary and secondary There are virtually no formal standards governing the
transportation structures. In many cases the evidence manufacture and installation of instrumentation and
of stress redistribution and accumulation lies in micro- the current state-of-the-art of data collection and
scopic fractures and hair-line cracks in concrete (Fig. analysis closely follows the changing environment of
G-1), activated fractures in rock, slight displacements design and application of instrumentation.
in earth embankments and deflections in steel and The purpose of this Section of the Manual is to
wood. Whether the component is permanent or tem- describe basic classes of instruments and how they can
porary in nature, the transmitted stress is transitory be employed to provide different classes of data that
and is absorbed in some form of deformation through- are important to the design and safe functioning of
out the structure. When yield points of structural transportation systems. The state of technology of
components, earth, rock, concrete or steel are ex- instrumentation is advancing rapidly, mainly through
ceeded, noticeable damage occurs, which usually im- applications of miniaturization and materials science.
pair the function and safety of the transportation sys- The Section has as its goal the development of an
tem. At this point, the magnitude of structural appreciation so that the user will recognize potential
0 damage to the system often exceeds the correctional
capability of owner or constructor. Instrumentation of
applications for instrumentation and will know the
elements of design or specification that will lead to a
engineered structures is a way of detecting present or correct selection of consulting advice or saleshental
341

AASHTO T I T L E M S I 88 Ob3980Li O O b B S b 2 b 8 2 H
Manu
Figure G.1. Mechanical scratch gage which tS self actuated and measures dilatancy across an eKisting
fiacture in structurai concrete or a rock discontinuity (Photograph by J. R. "eeler).
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
support from instrumentation experts or firms deal- Displacements of earth or rock bodies or mas-
ing in instrumentation. ses, and structural members
l i l t or inclination of earthirock masses or struc-
tural members
6.2 PURPOSES OF Pore or cleft water pressure
INSTRUMENTATION Upper groundwater (piezometric) surface
A combination of the above, in the form of
Instrumentation should be considered whenever the approach or exceedence of established thresh-
Agency feels that some otherwise unobservable or hold or warning levels.
undetectable event will adversely affect the construc-
tion, operation or maintenance of a project. The best
way to play for the use of instrumentation is to care-
fully analyze the need for such devices and then justify 6 . 3 PLANNINGFOR
this in terms of construction or operational require- INSTRUMENTATION
ments of the particular project. Some of the more
usual purposes of employing instrumentation are A successful program of instrumentation involves cre-
shown in Table G-1. ation of a pian for equipment acquisition, installation,
Instrumentation can also be used to provide input training of personnel, monitoring, and data analysis.
data required for theoretical analysis in geotechnical Most users have extensive catalog collections from
and structural engineering. These are observations manufacturers and yet are not always aware that
such as: many suppliers will design variants of devices that
more nearly fit the requirements of the user.
Earth and rock pressure The instrumentation plan can be subdivided into
Loads in or on structural members major components of objech'ves, equipment, person-
342
~ _ _ _
~- ~ ~ ~ ~-
A A S H T O T I T L E MSI 88 O639804 O O L L 6 3 5 1 9
Appendix G
Figure G-2. fill-suite tunnel instrumentation designed to monitor response-in-serviceunder high-levels of

hydrostatic pressure. The installation consists of piezometers, crack deformation gages,
convergence meters and extensometers, all designed to be read remotely at the ground surface.
The tunnel is 3 m (10 ft.) in diameter. (Photography by J. R. Wheeler).
nel, installation, monitoring and analysis of data. The instrumentation (by type) that will fulfill the basic
planner should answer some key questions: requirements. The most important single aspect of
equipment type will be the perceived degree of accu-
What will be the net effect of stress compensa- racy of data required for engineering use. Reliability
tion between the geologic medium and the engi- should generally be considered next, followed by cost.
neered structure? Simplicity of design and construction of the instru-
What basic types of instruments will be required mentation is important because the more simple de-
to detect and measure this effect? vices should not only be less expensive, but will per-
How much sensitivity (accuracy) will be re- haps be more reliable in the long term (e.g. more
quired to develop meaningful data for use in durable against the elements and construction activ-
analysis and/or hazards warning? ity).
What is the medium (media) in which the mea- When the basic list of requirements and conditions
surements must be made? has been developed, it is a good idea to call in a review
How long will the measurements be required? consultant from within the organization or from a
What type of personnel will be available to in- local firm,agency or university.
stall and monitor the devices? Only a specialist can maintain an on-going assess-
What type of record is most desirable? ment of all of the factors and apply them to project
What are the basic instruments that deliver the requirements. Often the consulting specialist can save
requirements? significant amounts of money in helping to prepare
How will the data be analyzed? the equipment purchase and installation specifica-
tions.
With this in mind, the user then develops a basic set Some typical uses for instrumentation are as fol-
of specifications and begins to outline the kind of lows:
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`--- 343

AASHTO T I T L E MSI 8 8 E
Stresdstrain Table G-1

Slope stability Rqoses for Employing instrumentation on
Walyface stability kansportation Projects
Stability/deformation of adjacent structures
Stability of underground openings PUrpOSC )-picai Application
Subsidence and settlement monitoring
Water level and porelcleft water pressure deter- Derecht: to magnify Increase the observer's
mination. user's sensitivity or level of detection
awareness of physical sensitivity
changes taking place in Create a continuous non-
Instrumentation can begin to be effective when soil earthhock masses or in attended monitoring
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
or rock masses are opened and exposed by site gra- structural components of system
ding or excavation, just before any support systems engineered facilities Quantify otherwise
are put in place. Instrumentation is often used to human-nonquantiable
establish a baseline of conditions existing prior to effects
Detect adverse effects of
construction and then to relate these data later to the a known nature
stability or functionality. Therefore, it is best to con- Diagnosir: to provide &ta Establish an absolute
sider the need to establish conditions as they existed that describe the nature record of a phenomenon
prior to construction. An example of this is the need of detected phenomena; Compare possible mutu-
to determine the preconstruction state of buildings or to establish trends and ally-dependent or singly-
other structures adjacent to the project; those which magnitudes of dynamic dependent phenomena
owners or occupants may later perceive to have been changes Observe the effect of
time, temperature, and
affected by construction. other independent vari-
Most instruments are made to collect data; the ables
personnel who are chosen to work with the instru- Prediction: to establish the Comparison of trends
ment should have an appreciation for collecting accu- basis for continued with events of conse-
rate data. There are schemes and systems that can be
used to reduce the need for the human element in
monitoring the devices. At aminimum, personnel will
changes as they affect
performance of a struc-
ture or the activities re-
.
quence to the project
Link the instrumentation
to an alarm-raising sys-
lated to construction; to tem
be required to inspect the functionality of the instru- create a basis for warn-
mentation, especially if the device is designed to pro- ing systems
vide continuous or frequency-interval records by SubsranriurionlVerif~u~n: Provide baselines for use
mechanical, electrical or electronic means. A consid- to create the data bases in changed-conditions
eration in selection of personnel is also paramount in supporting decision claims (plaintiff or defen-
terms of installation of the instrumentation. Many making; to compile a re- dent)
suppliers express interest in installation and often cord of effects that will Provide rationale for im-
support legal claims or plementation of remedial
request to visit the site and train the installation team defense or strengthening mea-
to set the first few devices.
The choice of location for each device is extremely
important in meeting the objectives of instrumenta-
.
sures
Establish adequacy of
design
tion. Geologic conditions almost always influence the Verify suitability of tech-
niques
need for the instruments and such conditions usually Verify contractor perfor-
control the functionality of the devices as placed. mance
Some instrumentation is designed to monitor the Research: to assist in ex- Support analysis of vari-
physical behavior and stress state of relatively large planation of important ables and mechanisms/
volumes of soil and rock which are not directly at- phenomena requring an phenomendtheories
tached to or adjacent to the project structure. The empirical approach in
degree of geologic influence is less sensitive in such analysis or sufficient
data in order to model
cases. But, when instrumentation is installed in rock according to existing or
or soil bodies with geologic contacts, or discon- developing theory
tinuities, the effect of geology is greater than any
other factor of potential concern. Each instrumenta-
tion position should be individually selected first on its immediate surroundings and geologic conditions
the basis of the overall geometry of immediate geo- when the location is to be finalized. A final inspection
logic conditions and the engineered structure. Sec- should be held at the time of installation. Rock struc-
ondly, the location should be carefully inspected for ture is of particular concern for devices secured di-
344
~ ~ ~- ~- ~ ~ ~~
A A S H T O T I T L E MSI 8 8 Ob39804 0 0 3 3 9 6 5 3 9 1
Appendix G
rectly in or on rock masses. At a minimum, rock cores G.5 INSTRUMENTATION SYSTEMS

0 from the exact location should be examined for dis-
continuities, their structural attitudes (strike and dip) Instrumentation systems can be broadly classified
and the character of their open faces (roughness, into six basic types (Table G-2). The types are dis-
planarity, continuity, etc.) Some workers prefer to cussed in the following sections.
use simple devices such as the Rochester seam crite-
rion; a bent coat-hanger wire used to probe for open Cleft water pressure (or fissure water pressure) is de-
fractures in boreholes (personal communication with fined as hydrostatic pressure acting along discon-
Prof. Fred Kulhawy, Cornell University, January, tinuities in fractured rock; whereas pore-pressure acts
1980). The third action is to ask the simple question of on mineral grain surfaces through saturated intersti-
wiil what I see in terms of geologic controls affect the tial voids in soil or porous rock.
ability of the instrumentation to function as I have
designed it to? 6.5.1 Loadstress on Structural Members
The monitoring program is the whole and final
purpose of the installation. Once installed, the instru- The interaction between earth and engineered struc-
mentation must not be allowed to sit without atten- ture is often critical to maintenance of the construc-
tion, both in terms of its physical condition and the tion process, until all structural members are con-
data which it records. The critical aspect of monitor- nected and ground stress is equilibrated over the
ing is analysis of the data. Data must never be allowed facility. Ground stresses are often concentrated at
to accumulate without reduction and evaluation. geometric complexities in underground openings,
Most data require some degree of laborious reduction both at design features and from unusual overbreak
and plotting. Most instrumentation experts agree that during excavation. Load and pressure cells, strain
the data should be recorded in a form that is easily meters, strain gages and flat jacks (Table G-3) are
transferrable to computer calculation and plotting designed to be installed at key locations in the ground
(Fig. G-3), thus reducing the human errors and the support system in order to measure the ground stress
natural tendency to set the data aside for later atten- being imparted to the structural system as loads at
tion. Most data reduction can now be handled by points or over defined areas.
0 programmable calculators and many desk-top ma-
chines can plot the reduced data. For some uses, it will
The load cell deforms with incidence of ground
stress. Cell deformation is measured by strain cells
be necessary to employ substantially larger com- bonded to the cell. The cell is laboratory-calibrated
puters, if previously-reduced data must be stored for against known loads applied by a universal test ma-
sequential plotting along with new data. Computer chine. Load cell designs are both solid and hollow-
programs usually allow scale-adjustable plotting and cylinder. The hollow varieties are suitable for installa-
can easily accommodate developing trends of magni- tion around rock bolts and tieback anchors.
tude without resort to manual replotting. Data should A shortcoming of load cells is that they measure
be plotted on single sheets for long-term appreciation axial loads only and their orientation must be care-
of trends. fully planned to provide stress accumulation data at
key locations in the ground support system. In addi-
tion to strain-gage detection system, hydraulic pres-
6 . 4 STANDARDS sure cells, photoelastic cells and stiff-spring-loaded
cells have been designed. The photoelastic cells are
The literature of geotechnical instrumentation is particularly useful for emplacement in boreholes ex-
presently quite varied and dispersed. Standards have tending outward from structural support members in
been developed by the International Society for Rock underground structures. Photoelastic cells are semi-
Mechanics (ISRM) and by the American Society for
Testing and Materials ( A S N ) . However, most im-
portant references still consist of individual papers. Table G-2
Specifications for many projects must be individually Functional Instrumentation System Types
developed. ISRM has developed suggested methods
for reports dealing with installation and with monitor- LoadStress on Structural Members (G.5.1)
Earth Pressure (G. 5.2)
ing (see References list at end of section). One refer- Vertical DeformationMovernent (Settlement/ (G. 5.3)
ence that has been available for some years is Chapter Heave)
9 of the California DOT Materials Manual, Vol. VI PorelCleft Water Pressure* (G.5.4)
0 (1973); entitled, Monitoring Devices to Control Em-
bankment Construction on Soft Foundations.
Lateral DeformationMovernent
Tilt (Inclinationl
(G.5.5)
G.5.61
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`--- 345

AASHTO TITLE MSI 8 8 M Ob39804 OU559bb 228 H
Manual on Subsurface Investigatwns
L A T E R A L DISPLACEMENT (IN)
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
KEY PLAN PROJECT REO L I N E TEST SECTiON

SYH HOLE DATE TIHE AZI CAMBRlDGE,MASS
4 II 06/27/80 IO:IS ao.
o iI 06/06/80 09:30 30. CLIENT DOTI TSC
t
1.6.
INCLINOMETER OBSERVATIONS
CASING NO.- SHEET-OF- ~
Figure 6-3.
346
_-_
=
- - - -- ~
AASHTO T I T L E M S I 8 8 0637804 0022967 2 6 4
Appendix G
Table 6 - 3
Instrumentation used to Sense Load or Stress in Rock or Structurai Components
Instrumentation Operating Transportation

me Principle System Usage Advantages Limitations Accuracy
Load Cells Annular steel Walls; under- Relatively inex- Sensitivity range 25 x 10-3~
collar is fitted ground structure pensive; can be must be esti-
with strain or liners and load fabricated locally mated before in-
photoelastic bearing compo- in some instances stallation
gauges to sense nents
one-dimensional
strain
Strainmeter Strain gauge Walls; under- Moderate ex- Sensivity range strain
transducer is em- ground structure pense; long-lived must be esti- units;
bedded in con- liners and load mated before in- 13.5 x 10-3
crete wail or bearing compo- stallation N/m2
liner nents
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
Vibrating Wire Embedded in Walls; under- Sensitivity range +5 x 10-4
Strain Gauge concrete to sense ground structure must be esti- strain units
axial strain; fre- liners and load mated before in-
quency of reso- bearing compo- stailation
nance is propor- nents
tional to strain
Flatjack Cell is made of Walls; under- Moderate ex- Sensitivity range 13.5 x 10-3
two plates and ground structure pense; long-lived must be esti- N/m2
thin film of mer- liners and load mated before in-
cury transmitting bearing compo- stallation
pressure in sur- nents
rounding con-
O Photoelastic
crete
Pattern of super- Walls; under- Relatively inex- Sensitivity range k3.5 x 10-4
Stressmefer imposed stress is ground structure pensive must be esti- N/m2
viewed through liners and load mated before in-
analyzing and bearing compo- stallation
polarizing filters; nents
qualitative sense
only
quantitative and are read optically; the number of problem is complicated by the general requirement of
stress-related deformation fringes are counted and some sort of disturbance associated with emplacing
compared to calibrated counts determined under lab- the device meant to sense stress at the subject point.
oratory conditions for each sensor. Accuracies of Requirements for sensing the stress present in soil and
about & five percent are to be expected, when the rock masses are vastly different; rock probably being
observer is well trained. less difficult by virtue of the fact that fresh, massive
A critical part of load cell design is determination of rock (unjointed) is essentially non-particulate and
the probable range of incident stress. The user must cannot dissipate stress to the degree that disturbance
then decide to what level of sensitivity the device in a particulate soil mass tends to spread remaining
should be capable of detecting incremental stress stress to an equilibrium condition.
changes. The cells are usually required to be sensitive Knowledge of the state of stress existing in a mass of
at least to a range of 50 to 100 parts of total expected engineered fill (such as a dam or embankment) or in
strain. the natural ground surrounding a tunnel, or beneath
certain critical foundations in which there is concern
6.5.2 Earth Pressure for soil-structure interaction characteristics. For vir-
gin ground, it is obvious that disturbance is associated
The most difficult of all instrumentation assignments with emplacement of the measured device. For engi-
are those dealing with determination of the state of neered fill bodies, emplacement of the instrumenta-
stress in otherwise disturbed soil or rock masses. The tion is not of so great a concern due to the fact that the
347
AASHTO T I T L E M S I 8 8 0639804 OOLL968 OTO
stress field grows and comes to a state of equilibrium 6.5.3 Vertical Deformation
during the construction process.
Earth pressure cells of several varieties (Figs. G-4; Embankment constructed over the finer-grained soils
G-5) are sold for adaptation to these stress-sensing (silt, clay and organic materials) are subject to consid-
problems: erable amounts of vertical deformation where such
materials are water saturated. The phenomenon is
pneumatic known as settlement and results from the volumetric
hydraulic shrinkage during the process of consolidation, as
vibrating wire strain gauge foundation live and dead loads cause pore water to be
semi-conductor, pressure transducer expelled or drained internally from foundation soil
bonded-resistance strain gauge mass.The main mitigation technique is to spread the
unbonded-resistance strain gauge foundation loads so that settlement over the period of
concern becomes tolerable to structural members or
Earth and rock masses expected to accommodate to the elevation of the roadbed itself. Theoretical
stressing from engineered facilities are often tested in analyses used to predict settlement are accurate
order to detect their deformation range in terms of within limits, but it may be often necessary to collect
elastic moduli. Table G-4 lists some of the instrumen- actual measurements of this vertical deformation in
tational techniques for achieving these determina- order to establish the rates and absolute magnitudes
tions. of settlement that are actually being experienced and
Rock stress measurements are generally under- which will likely continue to affect the structure
taken by the strain-relief overcoring method, devel- (Table G-5).
oped by the U.S.Bureau of Mines in the late 1950's. The main types of instrumentation that are used to
Most of the details of the technique are found in monitor settlement of structures and embankments
ASTM STP 429 (1966). As shown in Figure G-6, a are (CAL DOT,1973; Fig. G-7, Fig. G-8):
compressed-air drilling machine, pedestal-mounted,
is employed opposite the face of rock to be investi- Settlement platforms
gated. A small-diameter (usually EX size, 38.1 mm) Heave stake lines
pilot hole is drilled to the depth of the first of a series Inclinometers
of strain-relief measurements, set far enough into the Buried flexible casings
rock face to avoid general strain relief from joint- Piezometers
bounded blocks that are smaller than the smallest Vertical Extensometers (Fig. G-9)
dimension of the face. As the pilot bore is completed,
a 15.24 cm overcoring barrel begins to remove a 14.6 In the case of embankments, settlement often oc-
cm annulus surrounding the pilot bore. At a distance curs in association with lateral deformation related to
outward of the tip of the pilot bore, amounting to one embankment stability. As in other cases employing
annular core barrel length, a multipositional strain instrumentation, the data requirements are often
gauge sonde (bore hole deformation gauge with three competing but representing inter-related phenom-
recessed, lever-type strain meters, mounted at 120- ena. An example of the comparative placement of
degree radial spacing around the axis) is inserted into settlement indicators, along with lateral deformation
position in the pilot bore. As the core barrel begins to detection devices on a highway embankment, is
overcore the pilot core and contained sonde, electri- shown as Figure G-10.
cal resistance readings are made of each of the multi-
positional strain gauges. The barrel is left to cut far G.5.3.1 Senlement Indicators. Two basic types of
enough (a few cm at the most) beyond the tip of the settlement platforms are employed. The first type
sonde to result in a complete stress relaxation. In involves the sensing of the piezometric surface of
order for strain-relief measurements to be considered ground water if such occurs freely within the founda-
successful, an overcore of at least 30 cm should extend tion load depth of influence and the second type is
from the tip of the pilot bore toward the open face. employed above the saturated zone.
This will insure that effects from rock discontinuities In the seuled-fluid level device (Figure G-11), water
are at a minimum. The three strain gauges give im- is sealed into a system represented by a rigid base
plied stress variations that can be used to make up a plate and a protective riser pipe containing a water
stress elipsoid in the place perpendicular to the axis of relief line [spill tube) and a pressure-equalizing air
the overcoring test. This, of course, must be repeated vent tube. As the base of the platform sinks during
along other axes in order to approximate an overall consolidation of the foundation soils below it, water in
three-dimensional stress field that is present in the the spill tube is forced out and spilled into the protec-
rock mass. tive casing. The sensing platform and riser are buried
348 --`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

Appendix G
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
n
a
<
rn
d
YI
d
(B
c
H
c
cd
r i
349
AASHTO T I T L E MSI 8 8 m Ob39tlOY 0035970 9 5 9
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
Figure G-5. Earth pressure cell placed for calibration in a hydrostatic pressure chamber
(Photography by D. G. Giffwd).
in the roadway embankment and the observation standpipe (meniscus effect depending on indicator
riser pipe with an equivalent water level siting port riser tube diameter) and the graduated scale by which
and measurement scale are generally located off- visual observations are made. The vented-fluid level
roadway at convenient points along the right-of-way. type of instrumentation must be designed and placed
The vented standpipe (Figure G-lla) device is em- so that the piezometric surface of free water (ground
ployed at points above the piezometric level of free- water level) does not inundate the overflow tube as
standing pore water and drains its overflow directly the base of the settlement platform settles.
into the embankment (Fig. G-lla). Readings repre- Riser pipes are non-water-level sensitive attach-
senting changes in the relative elevation of the base of ments of a standpipe extending to the ground surface
the device are made in an off-roadway indicating de- from a rigid base buried during construction of an
vice as used for the sealed-fluid device. Accuracy of embankment and at various depths. Many agencies
measurements depend on the choice of indicating unit prefer to use these settlement indicators along the
350
A A S H T O T I T L E MSI 8 8 = 0639804 001iL71 6 9 5
Appendix G
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
Figure 6-6. Strain-relief overcoring readout equipment, vertical stanchion (stull) mount for pneumatic
drilling machine and the 15-cm (6 in.) diameter overcoring barrel (foreground) (Photograph by
D. G. Gifford).
centerline of divided roadways, leaving them pro- have been made with the use of compressible, accor-
tected by the median strip of protective barriers or to dian-fold couplings design to shorten as the embank-
place them in protected locations at the shoulder. The ment settles. A mechanical torpedo sensor is lowered
top of the riser pipe becomes a survey station, and its to measure the depth to known intervals. These tele-
relative elevation is representative of total settlement scoping mechanical settlement sensors are also used
of the embankment below that point. Since settle- with telescoping electrical settlement sensors, in
ment measures are total representations, a series of which the sensor sonde is lowered to detect metal
risers with variable baseplate elevations is required in induction coil plates at the predetermined station in-
order to determine the profile of settlement with tervals. Both installations must be carefully backfiUed
depth. The reference benchmark must be placed far with soil to an equivalent unit weight of the surround-
enough from the embankment not to be affected by ing fill in order to escape differential settlement of
the settlement being measured. backfill versus that of the surrounding embankment.
The U.S. Bureau of Reclamation has pioneered the The electrical variety is read by use of an impedance
use of multi-point, vertical-tube settlement gauges con- bridge which notes a maximum imbalance opposite
structed of telescoping tubes anchored at intervals by the induction coil. Neither of the installations are
the use of integral cross arms. The telescoping seg- normally fitted for use as inclinometers and, hence,
ments were instailed as lifts of embankment construc- do not provide measurement of lateral deformation.
tion were added and consisted usually of 38 mrn cross- Heave stakes represent the most simple and inex-
arm pipes set into 51 mm overall casing. The casing pensive of all slope movement indicators. The geome-
base is anchored to a settlement platform or earth try of the subject slope is studied and one or more
anchor. The system is generally applicable only to rows of survey hubs (5 X 5 x 46 cm) are placed
constructed embankments and is accurate to determi- parallel to the toe of the existing slope at one to eight
nation of the location of settlement only to the inter- metre spacing. More than one row is generally neces-
vals between the cross-arm installations. sary and lateral deformation of each row will tend to
Improvements in the Bureaus multi-point gauges pinpoint the location of maximum slip. The stakes
351
AASHTO T I T L E MSI 8 Ob39804 0011932 521 D
Table 6-4
instrumentation used to Sense Earth and Rock Fressure and Deformation Moduli

w e Principle System Usage Advantages
Pressuremeter Expandable metaU Tunnels and under- Moduli 50 deter- Requires separate
rubber cylinder is ground stations mined may be used pressuremeter for
pressure activated to in a variety of each soirock
deform host material computations modulus range;
of tested borehole effective only to
about lo5Nm2
In Situ Deformability Borehole packer is lnnels and under- Fast;employs Not applicable in
(modulus pressure-expanded to ground stations available borehole; massive high
determination) deform surrounding can be used to seme modulus rock
rock creep
Plate jacking Walls of under- Tunnels and Models rock Force capability of
(modulus ground opening form underground stations response in place and jacks; usually less
determination) reaction frame for asamass than 4.5 x lo6 N
jack-applied
deformation force
Strain-relief Angular Relatively large Unique method for Relatively expensive;
overcoring displacement strain underground the need; some one-time deter-
gauges are emplaced openings at relatively equipment can be mination; requires
in sonde at end of deep (309 m) reverse-pressured to estimate of Poissons
fresh pilot bore; locations or in measure modulus of ratio of host rock as
overcored and record regions of active deformation basis for calculations
change in pilot bore tectonic stress or
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
dimension high horizontal rock
stress
are, therefore, both a supplemental means of detect- 6.5.4 PorelCleft Water R m r e

ing movement and defining the approximate shape of
the moving mass. Piezometers are water-level measurement devices
Electronic measurement of settlement within em- generally employed in the finer-grained soils, in
bankments has been undertaken on an experimental which the coefficient of permeability is sufficiently
basis by the SDDOT (Bump, 1979), using the Lin- low as to preclude rapid sensing of the level of free
early-Variable Displacement Transducer known to water in the soil. The technique was introduced to the
rock engineers. The device, known as the elemone United States by Karl Terzaghi (1938). Piezometers
extensometer is inexpensive, accurate, and capable of measure this water level at the point of the sensor
remote readout. The lower end of the device is an- which transmits its measurement by fluid pressure or
chored in stable bedrock and to a surface plate in- by an electronic signai. The system must be designed
stalled at the time of placement of the last embank- so that its sensors are able to detect, by positioning,
ment lift. The upper plate in the SDDOT device is an the water level (piezometric surface) in the embank-
anchor for a black-pipe housing (3.18 em;1.25in.) for ment or foundation soil as well as the pore pressure
the LVDT, which, in turn, is connected to a 6mm (U) at key locations. Pore pressure is the main variable
(0.25-in.) brass rod, providing the connectiveelement affecting shear strength of foundation soils and the
between the LVDT and the lower-plate anchor. The system can be used to monitor conditionsunder which
brass rod is attached to the lower plate by way of a the embankment was designed with adequate mar-
6mm (0.25-in.) soft-iron inducing plug (rod) that is gins of safety.
attached to the lower anchor plate. Settlement of the The open system of piezometers employs a porous
embankment alters the vertical position of the soft- stone water pressure equalizing device at the depth of
iron plug and produces a directly-proportional re- concern. The porous stone is constructed so as to be
sponse in the electromagnetic field induced in the annular and to house a moisture indicating device, or
LVTD. the stone is placed as a part of the housing containing
352
AASHTO T I T L E M S I Bi! 0639804 O033973 468
Appendix G
Table G-5
Instrumentation used to Detect Vertical DeformatiodSwelVHeave

Type Principle System Usage Advant ages Limitations Accuracy
Mechanically- Improvement of Embankments Discriminates Requires several I O . l cm

sensed, USBR cross-arm settlement to cross arm inter-
telescoping tube device; tele- distinct telescopic vals; best is at
scoping tube intervals of less than 3 m;
segments are embankment gives no indica-
dragged down- tion of tilt
ward as embank-
ment settles
Electrically- Sonde senses Embankments Relatively I 0 . 5 x 10-1
sensed electrical field inexpensive to -1.0 cm
telescoping tube impedance im- install numerous
balance at known measurement
induction coil intervals; rapid
depth locations; readout
coils move with
surrounding soil
settlement
Piezometers; Fiuid level Embankments Rugged, reliable; Requires external +5 x lo-* to
open and closed- corresponds to can be multi- benchmark sur- 5 x cm
system change in eleva- point vey control; air
tion of base bubbles can ob-
plate, acting as struct pressure
riser pipe anchor transmission;
somewhat sensi-
tive to tempera-
ture differentials
Electrical reed Switch forced to Embankments Offers multi- Requires I 2 x 10-'m
switch (U.K.) close when point discrim- multiple points
bldg. research settlement of ination to discriminate
establishment casing and displacement
surrounding
annular magnet
are in proximity
the moisture indicating device. The signal in these pressures due only to the presence of free ground
types of piezometers is electronic and is detected by water in the embankment or structural foundation.
calibrated ammeter readings. Although most piezometer and observation well
The closed system of piezometers is generally em- systems are visually recorded, it is possible to record
ployed in soils of relatively low coefficients of per- the hydrostatic and piezometric components at pre-
meability, in which detection of the hydrostatic pres- determined frequencies by magnetic or digital tape or
sure of free pore water is difficult because of the plotted graphically.
reduced interconnectivity of the soil pore spaces. The Diaphragm-type piezometers are the most expen-
point of interest is sealed from overlying soil strata sive of the groundwater pressure detection devices,
compacted lifts, by use of less-permeable bentonitic the most sensitive to changes, and the most respon-
clay slurries or poured concrete. The water tube often sive in terms of time lag in fine-grained soils and
employs a sealed system of gas pressure and a gas thinly-fractured rock. A housing isolated, by sealing,
pressure gauge to sense the fluctuations in pore pres- into the soilhock stratum or other volume of rock
sure in the soil surrounding the tip and forcing senses pressure by way of a flexible diaphragm that is
changes in the observation tube water level. An ob- monitored by an internal fluid-actuated or electrical
servation well is generally installed in the same casing transducer (Figure G-12). The sensitivity of the sys-
or in a nearby casing. With the closed system, it is tem is governed by the characteristics of the dia-
possible to separate pore pressure from hydrostatic phragm. Repeated measurements at each station,
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`--- 353
AASHTO T I T L E M S I 8 8 Qb398QLi 005197Li 3 T V D

--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
354
L ~ _ __ _ ~ __ ~-
A A S H T O T I T L E MSI 88 H Ob39804 O O L L ' 7 5 2 3 0 H
Appendix G
O I
.--
z
.
a
e
355
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

AASHTO T I T L E MSI: 8 8 0639804 O O b b 9 7 b 577
Manual on Subsurface Investigarions
-- I---
Figure G-9. Singie=pointvertical extensometer piace to measure foundation settlement

(Photograph by S. T. ParkMi, Haley and Aidmch, he.)
STABILITY CONTROL SETTLEMENT STUDIES
Figure G-10. A composite illustration of the use of various stability control and settlement detection devices
in a typical, thick highway roadway embankment. Installations such as these are kept under
surveillance, for such time as design engineers believe the embankment conditions may lead to
roadway damage (From California Dept. of Ransportation, 1973).
356 --`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

-_ - __
= 0639804
~-
AASHTO T I T L E ! S I 88 0011977 003
Appendix G
TO lop Of
i
E d
Figure G-il. A sealed fluid level settlement detection device, as embedded in a typical roadway
embankment and connected to a freestanding-manometer-type indicating device. The device
provides critical information to geotechnical engineers monitoring settlement and stability
behavior of high embankments, sometimes placed over compressible subsurface soil units
(Rom California Dept. of Transportation, 1973).
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
.2-. 12" GOI" I P niDuIr-
Figure G- 3. A vented fluid level standpipe device used to detect embankment settlement. Units su( as
this are buried at various depths within the embankment and are hydraulically connected to
an external, off-embankment, manometer-type, visual indicator device. Water contained
within the system provides an indication of the relative change in the base elevation of the
base platform as water is spilied out of the system at the overflow point, as the base settles
(Rom California Dept. of Transportation, 1973).
357

TUT
Manual on Subsurface Insesrigalions

L .
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
.
.
i
.
I
358
Appendix G
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
359
AASHTO T I T L E M S I BA 0639OY OOLL980 bT 9
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
Manual on Subsurface Invesrigatisns
I:
360
A A S H T O T I T L E MSI 88 Ob39804 O O L L 9 8 L 5 3 4
Appendix G
Table G-6
Instrumentation used to Detect Horizontal or Relative Deformation
O Instrumentation Operating Transportation
Type Principle System Usage Advantages Limitations Accuracy
Tape Visual measure- Tunnels and Simple, Difficult to 41 x cm
Extensometer ment between stations inexpensive; reproduce exact
two opposing, numerous tape tension on
exposed points stations possible measurement
Rod Measures Tunnels and Simple; cheap Temperature +-2 x iO-2cm
Extensometer distance between Stations instailation costs; correction
converging durable, func- necessary;
stations on wails tional to length entirely manual
of underground of up to 200 m; operation
opening multiple sensing
stations
Multiple-Position Measures Tunnels, stations, Reliable, long- Expensive tio-2 -
Borehole increment al and large cut term, incremen- cm
Extensometer deformation faces in jointed tal measure-
(MPBX) along instrument rock ments; correct
axis; at specified for temperature
stations; an- effect by dummy
chored at base of gauge
borehole
Telescoping Tube Torpedo sensor Embankments Continuous Complicated t5 x cm
(Borehole) is moved to Cut slopes deformation installation;
measure distance Vertical record along axis expensive
to buried plate at excavations Tun- of measurement
interior tip of nels and
instrument underground
O Tensioned Wire Wires attached
openings
Only moderately Senses t l cm
(Borehole) to anchor plates complicated incremental
along deformation
deformation-
telescoping tubes
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
Transverse Tensioned wire Retaining Readout by Senses k x
Extensometer anchored to base structures Wheatstone incremental
(Borehole) of boring; Bridge deformation
surrounding steel
casing contains
multiple
resistance
elements which
move with
deformation
Vibrating Wire Measures strain Retaining High sensitivity; Expensive; 210-2 to
Strain Gauge of steel rods structures long-term requires sealed 10-3
(Borehole) acting as durability housing, inert strain percent
retention support gas; high cost o 2 x 10-3 to
electrical circuit 1 x 10-2
reliability strain percent
Simple Distance Visual Tunnels and Simple, Temperature +io-- - 10-3
(Deformation) measurement stations inexpensive ; influences; cm
Gauge between two numerous damage potential
oppos~g, possible stations to exposed
exposed points stations; total
deformation only
0 Bonded
Resistance Strain
Gauge
Measures strain
of steel rods
acting as
Retaining
structures
Relatively cheap Corrosion
sensitive
t 5 x 10-2 to
10-1
strain percent
(Borehole) retention support

AASHTO T I T L E MSI B
over a period of minutes, are generally required to deformation are the most important of these mea-
insure functionality of the instrument. surements, as well as seeking to gain volumetric cov-
All piezometers should be sealed into the rock of erage of the moving mass. A variety of sensing devices
soil unit to be monitored. This is usually accom- are available, their selection and employment is often
plished by carefully creating a hole for emplacement camplicated by the expense of coverage of significant
of the instrument, with sufficient annular space volumes of cut or fill earth or rock (Table G-6).
around the instrument for placement of a clean sand Concern over the presence and magnitude of hori-
or fine gravel filter. The volume of rock above the zontal movements is usually expressed in vertical
filter is then isolated, usually with expanding clay faces such as concrete retaining wails, sheet pile bulk-
pellets and may then be further sealed with placement heads, tieback anchored, vertical cuts (Fig. G-15),
of a plug of concrete or grout to prevent pore water and high faces in underground structures constructed
from entering or leaving the filter body from other in jointed rock. For sheet pile bulkheads, the object is
than the volume of soil or rock to be monitored. to verify the nature of the moment diagram and re-
sulting elastic deformation (Fig. G-16); for concrete
G.5.5 Lateral DeformatiodMovement walls and slurry trench installations, the object is to
establish an accurate vertical profile before overturn-
Embankment settlement is often accompanied by lat- ing forces are released; for vertical cuts and faces, to
eral deformation of the mass of engineered fill! as are detect and rate-monitor movement into the adjacent
many natural and cut slopes. Lateral deformation opening.
should be detected, recorded, analyzed and com- Most lateral deformation measurements are made
pared with stability computations for each slope, con- to verify the stability of the facewall or its internal or
structed or cut. When combined with piezometric external support system reinforcing. In the case of
measurements of pore pressures definite indications come reinforcing systems, such as rock bolts, defor-
of approaching instability (limit equilibrium or Safety mation measurements may be made to establish the
Factor approaching zero). Magnitudes and rates of need for tensioning required to bring the face back
Figure G-15. Proof W n g of angied and belled rod-type tieback anchors before final lockoff of the tensile
stress placed on the anchors. heasurements include vertical extension d the rod (as
determined at the tripods), tensile stress as applied by the rod-mounte hydraulic jacks, and
time. Tieback anchors are generally placed in successive rows; this row represents the first
two to be installed as the excavation opposing the lagged wall is deepened. (Photograph by J.
R. Wheeler).
362 --`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

~__~-___- ~-
= 0639804
-1 ~ -
A A S H T O T I T L E MSI 88 0033983 307
Appendix G
Figure G-16. Vibrating wire strain gages applied to PSX32 sheet pile section; used to monitor deformation
of the sheet piles during changes in hydrostatic pressure on one side of a drydock wail. A
bending moment diagram can be accurately constructed from data collected from sets of
dual-position strain gages placed at varying elevations along the piles, before driving
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
(Photograph by M. X. Haley).
into the desired state of shear strength activation. ment and bedding design capable of flexible response
Separately-identified masses of joint-bounded rock within well-defined limits of lateral deformation.
can be monitored by horizontal movement-detecting Small horizontal components of rail tie push are mea-
devices, often remotely read, such as shown in Figure sured by reaction-beam and dial gage and empirical
G-17. relationships used to refine theoretical design rela-
High-speed rail transport requires rail embank- tionships (Fig. G-18).
Figure G-17. Permanent instrumentation installations placed to monitor displacements of rock masses at
large cut slopes can be collected and circuit-carried to readout boxes placed at accessible
locations. The electrically-based readings are made by potted-plug connections, as shown here
in an installation monitored by the New Hampshire Department of Public Works and
Highways, at Woodstock, NH (Photograph by A. W. Hatheway).
363
.. I -
. .. .
. ..>,.' .
Figure G-18. Reaction beam and dial gage designed to measure one-time, maximum lateral tie push on rail
embankments from passing trains (Photograph by J. R. Wheeler).
G.5.5.1 Extensometers. Extensometers represent posed measurement stations (e.g., the walls of a tun-
a major category of instrument types that sense the nel; Figs. G-19 and G-20) or may be made up of wires
pulling apart of particles or elements within a mass of or strain-gauge-bonded steel rods anchored at depths
earth or rock, or the separation of structural compo- beyond the zone of actively moving or deforming rock
nents of an engineered facility from their surrounding or soil. In any event, the goal is to create a means of
host rock or soil. Extensometers may be made of sensing the total or incremental movement of a wall or
telescoping invar steel rods and placed between ex- mass of earth of rock into or toward an open face,
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
Figure G-19. installation of a multiple-position borehole extensometer (MPBX), containing five measuring
stations (Photograph by Alan L. Howard).
364
__ - - __
= 0639804
- ~
AASHTO T I T L E M S I 8 8 OOLL985 L B T
Appendix G
Figure 6-20. A sonic-probe, multiple position borehole extensometer (MPBX) anchored to a concrete
surface cast against a mass of jointed rock. The device measures radial extension or
compression of the rock mass at five stations over a 5 m length. (Photography by Alan L.
Howard).
excavation, or underground opening. The variety of face itself; underground openings are commonly af-
extensometers employed can include measurements fected by in situ ground stresses which may be influ-
of structural support member deformation along with enced by residual tectonic stresses or stresses created
or separate from the deformation of the host rock or and concentrated by the act of mining or excavation
soil. associated with creation of the opening.
The level of accuracy needed in extensometer mea- Extensometer readings define deformation trends
surements is the basic controlling influence on the with time along an axis, in a place (more than one
type of instrument utilized. Accuracy is mainly influ- installation) or in space (multiple installations; Fig.
enced by friction between wires, rods and used to G-19 and G-20). The readings are essentially accurate
transmit the sense of deformation and the encasing until or unless the block or rock or support facehning
borehole, lining casing, and anchors used to hold the becomes separated from the mass, thus leaving the
device at the far (interior) end of the installation. associated borehole positional gauges unanchored or
With the use of wire connectors between anchor and leaving one end of a two-position underground open-
head, there is additional concern about the effects of ing gap distance unrecorded.
corrosion, and temperature on the elastic (tensile) Wire-type gauges are susceptible to deformation
properties (stretch) of the wire. along other than their own axes if the rock mass is
Extensometers installed within soil masses provide jointed and movement occurs along another plane,
deformation only for the vectors represented by their thus displacing the axis of the wire. Rods are not as
own axial alignments. In order to resolve the nature of susceptible to this type of cross deformation due to
three-dimensional strain fields, multiple extensome- their greater stiffness.
ters are required, if the geometry of the instrumenta-
tion location is appropriate. If the site is a single, large G.5.6 Tilt Indicators
face, this is understandably difficult; if the site is in a
tunnel, a radial array of extensometers can be placed Generally speaking, inclinometers provide the most
0 to give strain orientation in one or more planes. For-
tunately, large cut faces are acted upon primarily by
definite means of detecting the approximate depth of
the failure surface of a mobilized embankment or
gravitational forces induced by the presence of the slope (Table G-7). Most inclinometers consist of
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
365
Table 6-7
Instrumentation used to Detect Tilt
~~~ ~

Type Principle System Usage Advantages Limitations Accuracy
Vertical Tensioned wire Slopes, abut- Simple Must have -+lo-? cm

Deflectometer anchored in ments, walls deformable
vertical casing casing to pass
with pre-posi- sense of
tioned knife- movement to
edged supports; knife-edged
sensor detects supports
deflection from
initial position at
each support
Groved Gravitationally- Slopes, abut- Continuous Requires careful horizontal
inclinometer activated pendu- ments, walls record with installation and cm in 30 m; or
(multi-position lum records depth; can be packing of casing +.lo-* radians
inclinometer) angular tilt from recorded cm
vertical, along digital or magne-
vector estab- tic tape for
lished by computer
positioning reduction
grooves in
enclosing casing
Poor Mans Deformable Slopes Simple, Can detect only 2 2 to 5 cm
Tiltmeter tubing installed inexpensive, one (upper)
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
in uncased bore- rapid installation deformation

hole; senes of zone; difficult to
variable-length detect rates and
rods lowered to trends
point of con-
struction; point
of maximum
curvature is
computed
Tiltmeter (singie- Deformable Tilt of existing Simple May be affected 2 5 x lo- cm
position tubing accu- structures; as by marine tidal
inclinometer) mulates total de- affected by forces in seacoast
formation at construction areas
collar
borehole-fitted plastic (polyvinyl chloride) or alumi- able also. Analyses make use of magnitudes of dis-
num casing, installed vertically to a depth below that placement versus depth, and such assessments are
predicted to contain any possible slope failure sur- usually corroborated by field observations and dis-
face. Casings as small as 1.9 to 2.5 cm are available placements of such accessory devices as the heave
and are assembled in standard lengths. AS movement stakes. An illustration of the use of inclinometers is
in the slope is activated, the verticality of the casing shown in Figure G-21.
changes to a downslope tilt, which can be measured Inclinometers require specialty casings and
quite accurately to 2 0.001 cm. The first level of readout equipment. One readout set wiil service all
accuracy for inclinometers is the position or original inclinometers on the project, probably with the de-
of tilt, which is the slip surface of the mobilized mass. sired frequency of readings. An alternate system,
This is termed the refusal position. The amount of shown in Fig. G-22and in routine use by South Da-
tilt is usually measured by a sonde which is lowered kota DOT,employs simple, unslotted vertical, defor-
into the casing and which sends an electronic signal to mable casing as installed in boreholes in the area
a digital readout (Wheatstone bridge) and is further suspected to be subject to movement. A sonde, con-
converted manually to degrees of tilt from the verti- sisting of only a metal weight in a series of about 30 cm
cal. The direction or vector of displacement is calcul- to 60 cm (1 to 2 ft.) in length is lowered by cord or
366
AASHTO T I T L E M S I 88 0 6 3 9 8 0 4 OOLL987 T 5 2 U
Appendix G
ORIGINAL EMBANKMENT
AFTER SETTLEMENT
INCLINOME TER (in oriqInoI podtfon )

EM6ANKMNT
INCLINOMETER (oftor mud dfspfacomnj)
ORIGINAL GROUND
---_Is_ -___-----_-_
/O SECTfON OF
ST/C TUBING
SOFT MUD
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
--_.-----
BOTTOM-OF SDFT MUD --Y----
Figure 6-21. An inclinometer installation placed to observe tilt associated with lateral deformation of the
foundation soils underlying a roadway embankment. Inclinometer sensitivities are such that
even minute movements can be closely associated with elevation and used to defiie the
geometry and rate of deformation (From California Dept. of Tkansportation, 1973).
cable, and the position at which the successive lengths usually necessary to conduct a verticality and drift
of sonde are restricted to further down-hole move- survey at the time of installation in order to establish
ment are recorded and plotted to determine the origin the base position of the grooves and subsequent incre-
of the indicated radii of bedding representing defor- mental measurements. Measurements can be made at
mation of the casing occurring at approximately the any position along the grooves and are, therefore,
depth of the failure surface. The rod-type sondes are capable of pinpointing zones of slip displacements
up to 45 cm (1.5 ft.) long by 0.95 cm (0.38 in.) in that intersect the casing at oblique angles.
diameter, in SDDOT practice, and are suspended in
1.28 cm (0.5 in.) PVC pipe. These poormans in-
clinometers are extremely useful at remote locations, 6 . 6 POSITIONAL SURVEYS AS
for those projects for which inclinometers are not INSTRUMENTATION
available at the time of need, or more simply, as an TECHNIQUES
inexpensive expedient in damage-susceptable loca-
tions. Traditional positional surveys are often disregarded
All forms of tiltmeters must be surveyed carefully as appropriate methods of instrumentation for defor-
as to lateral position and elevation of their exposed mation. However, as Wilson and Mikkelsen (1978)
collars. The reference benchmark must be located have pointed out, optical instrument surveys and tape
outside of the presumed or identified zone of influ- measurements can be used to determine lateral and
ence of the movement. Tiltmeter casings have been vertical movements, within certain ranges and accu-
known to be dragged downward bythe vertical fric- racy. Table G-8 is modified from Cording, and others
tional component of down-gradient slope move- (1975) and shows the ways in which survey techniques
ments. can be utilized to detect deformation of earth and
Inclinometers are instruments which are generally rock masses.
capable of recording a vector of tilt. In order to ac- For slope movements, it is essential to set up a
complish this, most are mounted in grooved plastic or survey point network that extends into the affected
aluminum casing and the measurement sonde is area from stable ground. Figure G-23 illustrates a
dropped slowly down the casing in a one of a number suggested scheme of survey point positions from
of oriented combination of grooved tracks. Drift of Sowers and Royster (1978), incorporating enough ba-
the boring in which the casing is emplaced is impor- sic stations to detect vectors of maximum displace-
tant to the correct solution of vectored displacements ment and to assist in chosing locations for supplemen-
@ as is the potential for twisting of the instrument casing tal survey stations. The survey net can be utilized to
in installations of greater depths than about 30 m. It is compile a hasty orthophotographic map of the slope,
367
AASHTO T I T L E M S I 8 0 W Ob39804 005bel8B 999
f
.
3 i 4 " ST E E L
RODS ( 6",
I ' AND 2' 1
INSTALLATION
CONCRETE SAND
*- READING PROCEDURE
PLASTIC PIPE OBSERVATION WELLS
Figure 6-22, South Dakota DOT
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

AASHTO T I T L E M S I 8 8 = Ob39804 O033989 825
Appendix G
Table G-8
O Positional Survey Methods Applied as Instrumentation Techniques
Limitations and Relative

Survey Method Range Accuracy Advantages Precautions Reliabiiity
Chaining
Ordinary; 3rd Variable I 1/5000 to Simple and Requires line of Excellent
order 1110,000 of inexpensive; sight between
distance direct points; stable
observation benchmarks
Precise; 1st order +1/20,000 to Simple and Corrections for Excellent
11200,000 of inexpensive; temperature and
distance direct slope; standard
observation chain tension
must be used
Electronic 20 to 3000 m ? 1/50,000 to Precise, long- Accuracy Good
distance 1/300,000 of range, fast; influenced by
measurement distance usable over atmospheric
(EDMI rough terrain conditions;
accuracy at short
ranges (30 to 90
m) is curtailed
for most instru-
ments
Optical leveling 3.0 to 100 m 2 3 to 5 x 10-2 Simple, fast; Has limited Excellent
ordinary; cm particularly with precision;
2nd-3rd order sei-leveling requires good
instruments benchmark
nearby
Precise; 1st order 3.0 to 30 m c1 x 10-2to Most precise Requires good Excellent
5 x i~)-~cm benchmark and
procedures
Offsets from O to 1.5 m 10.5 x lo-* to Simple; direct Requires stable Excellent
baseline I 0 . 5 x ~ O -cm
~ observation baseline; repeat
theodolite the sight from
and scale opposite end of
base1ine
Laser and O to 1.5 m I 0 . 5 x lo-* cm Faster than Is seriously Good
photocell transit affected by
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
detector atmospheric
conditions
Triangulation Varies according I 1 x 10-2to Usable when Precise Good
to instrument 5 x cm direct mea- measurement of
quality and surements not base distance
accuracy of possible; good and angles; good
baseline; best for tying to benchmarks
under 200 m external
benchmarks
Photogrammetric Virtually *1/5000 to Can record Poor weather Good
unlimited 1/50,000 of hundreds of conditions
distance potential degrade image
movements at quality and
one time for resolution of
determination of station position
overall
displacement
pattern
0 Modified from Cording, and others, 1975.
369

AASHTO T I T L E M S I BB Ob398Oli OOLL990 547 H
A-
UPSLOPE
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
-- /
Figure 6-23, A simple bench mark and triangulation leveiing network for a known or suspected slope
movement mass (From S m r s and Royster, 1978).
showing elevation contours and major topographic Manual 1110-2-1908 are standards for location and
features superimposed on a screened-base photo- construction of survey monuments utilized for geo-
graphic image of the area. This base should be utilized technical instrumentation purposes.
immediately to geologically map all features which South Dakota DOT (Bump, 1979)has developed a
are felt to represent the character of the portion of the sighting device for installation at the collar of bore-
slope under movement and its near environs. hole deflection measurement casings. This device
Often two or three traverses down the long axis of consists of a salvaged and refitted survey level instru-
the slope will be sufficient to establish the overall ment arranged for a tight fit into standard Slope Indi-
geometry of the displacing mass. Tensile fractures cator Co. casing. n i e alignment device provides a
that will open from time to time on the slope should precise, non-magnetic, tracking-groove alignment in
be monitored by mapping and placement of survey areas influenced by large amounts of steel. The device
hubs (stakes) on opposing sides of the crack. These shown was fabricated from an accident-damaged in-
serve as the basis for frequent taped measurements of strument and was fitted for use near a large steel
the growing displacements. girder bridge suffering abutment deformation.
For larger slope movements with a nearby promon-
tory of overall view, it may be possible to install a
phototheodolite, for the purpose of monitoring dis- 6 . 7 SURVEY CONTROL FOR
placements by photogrammetric computation to ac- INSTRUMENTATION
curacies in the range of 5 i< lo-' to 1x lo-' cm.
Transit and theodolite surveys have also been use- Benchmarks and benchlines represent the usual
ful to monitor the positionallocations of fixed stations method of establishing a stable or non-moving posi-
on otherwise rigid structures, such as retaining walls tion with which to use in reference to on-site instru-
and sheet pile bulkheads. mentation. Benchmarks serve as individual, stable
Triangulation, linear offsets, and simple chaining monuments, or the monuments marking the ends of a
can all be employed to detect deformations relative to stable benchline. The benchmarks should be spe-
a stable benchmark or bench line of about 2 5 x lo-' cified in contract documents and should be placed in
to 1.0 cm. The Bureau of Reclamation's Eurfh Mun- an array that will represent a basis for independent
uul Procedure E-32, (1974) and U.S.Army Engineer review of the stability of its own alternate points, on
370
- ~. -~ ~
AASHTO T I T L E M S I 8 4 W Ob39804 O O L L 9 9 L 483 W
Appendix G
the basis of positional measurements of its own turn- Table G-9

ing points. The ideal benchmark consists of a central Factors Affecting Instrumentation Readout
pipe or rod, anchored to depth and enclosed in an Accuracy
outer, friction-free casing arrangement, so that the
interior rod is protected from possible down-drag of Instrument Design Features
the surrounding soil or rock. Bond-breaking coatings General sensing ability (level of discrimination)
such as oil-soaked waste or asphaltic compounds can Readout sensitivity (human observer)
be used to serve this purpose. Digital or tape recorded level of discrimination
Durability (resistance to damage).
G.8 ACCURACY AS A Installation Procedures
CONSIDERATION Avoidance of damage
IN INSTRUMENTATION Improper installation.
Exterior Environmental Influences
Most experts working with standard deformational Temperature
phenomena, such as slope movements and founda- Vibrations (ambient and transitory)
tion settlement, will be able to judge at about what Corrosion
level of deformation the project structures wili be Moisture
impacted negatively. The accuracy of the instrumen-
tation should be high enough as to provide several to Instrument/Host Medium Interaction
dozens of incremental readings in the range below Designed displacement or sensing function
that the undesirable level of deformation or stress should be unimpaired by incremental host-
accumulation. Long-span differential settlement of medium deformation occuring between sensing
points.
flexible foundation members can be detected by
building-mounted devices or survey techniques to Stress field should be disturbed as little as
about +- 5 X 10-1 cm; more rigid foundations such as possible.
mats wili show differential settlements in the 1x lo-' Observer Care
Sensible observation procedure
0 cm level. Relatively large roadway embankments,
based on the general experience of designers of earth Specified data reduction procedure
Calibration at timely intervals
dams (Gould and Dunnicliffe, 1971) shows that ex-
tension fractures tend to develop when longitudinal Method of conversion to reporting format.
strain reaches about 0.1 to 0.3 percent; unless the
roadway embankment is in fact a dam, it is likely that
instrumentation WUnot be specified until and unless
some visible indication of slope distress is noted. Columbia River. The Fountain Slide (Munoz and
Favorable conditions must be designed into the in- Gano, 1974) was instrumented by 63 inclinometers
strumentation program so that the devices are al- and numerous associated piezometers and explora-
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
lowed to function solely for the purpose intended and tory borings. The slope movement mass appears to be
are as free as possible from anticipated exterior influ- a debris slide of andesite and basalt blocks in a matrix
ences. Table G-9 is a list of factors that should be of sandy silt and silty clay. Relatively large volumes of
considered in specifying the instrumentation and perched water are believed to be trapped in the slide
which wiil directly affect the accuracy of their read- mass which has also proved difficult to drain. The
outs (modified from Gould and Dunnicliffe, 1971). slide, which is some 2 km long (upslope) and 1km in
extent across the highway, has been in motion since
G.9 INSTRUMENTATION FOR early highway construction was attempted across its
HAZARD WARNINGS toe in the 1920's. An integrated warning system, de-
veloped on the basis of remote sensed readings from
Transportation facilities constructed for extreme need the instrumentation, was installed at a highway shoul-
in terrain affected by geologic or meterologic con- der position away from the slide, but has not func-
straints (Le., hazards) can be made more safe through tioned satisfactorily due to electronic problems.
the installation and monitoring of instrumented warn- Hazard warning plans, based on instrumentation,
ing systems. The literature of natural event warning can be ideally developed on the basis of the three
systems applied to transportation systems is not stages of movement familiar to travelers; green (a go
0 broad. Many experiments have been made, including
instrumentation of the Fountain Slide on Interstate
condition equivalent to safe); an amber condition
equivalent to unsafe condition probable); to a red
80, some 105 km east of Portland, Oregon, along the condition (a no-go condition equivalent to unsafe;
371
AASHTO TITLE MSI 88 063OLi OOLL992 3 5 T
Table G.10
Natural Hazard Warning System Based on Instrumentation
Condition Criteria Analysis Action

--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
Green Normal background Analyze for A n d y e , raise

improvement of criteria as
background necessary.
determination
Amber Acceleration of any Camparison of Verbal report; site
indicator, above instrumented data, meeting; written
determined safe visual inspection, report; decisions.
threchholds. and external factors
such as preci-
pitat ion
Red Rapid acceleration Comparison of Decision to clear
of any indicator or dependency of the site of human
acceleration of two indicators; activity; site
indicators. inspectionhisual meeting; remedial
monitorinn of site. measures.
Franklin 1977
hazard occurrence eminent). Some of the philosophy reduced data, conclusions, recommendations are de-
for instrumentation of natural hazards warning sys- livered to the owner and his representative. Mini-
tems will be found in Franklin, 1977. A synopsis of an mally, the contract should insure the following:
instrumented warning system is contained in Table
G-10. Such a warning system has been installed and Description of the instrumentation, installation
favorably operated by the California DOT at one of and monitoring.
the Malibu landslides on the Pacific Coast Highway. Delivery of acceptable installations and ensuing
data.
Minimize the owners exposure to additional
G.10 CONTRACTS AND costs over and above that of the contract.
SPECIFICATIONS
Table Ell
As the case of other construction arrangements, in- Essentiais of Instrumentation Contract
strumentation should be governed by specifications Specincations
designed for the particular project and made part of a
contract between the owner and the contractor. Cord- Statement of purpose of instrumentation
ing, and others, 1975, have listed the essentials of Responsibilities of parties to the contract
good specificationsfor instrumentation contracts (Ta- instrumentation.
ble G-ll,as modified herein):
Draft specifications should be reviewed by an in- Contractor cooperation with other parties.
strumentation specialist, for appropriateness and re- 9 Hardware and quality assurance requirements.
lavancy with the actual requirements of the project. Installation procedures, layout and schedule for
Unless the owner or design engineer is absolutely compliance.
certain about the necessity to use a particular manu-
facturers equipment, it is wise to make the specifica- Instrumentation contractor support services to
tions open to competition from various suppliers sub- the Owner.
ject to verification of reliability and subject to Maintenance and reading procedures and
rejection of hardware which is felt to be substandard schedules
to the desired purpose. Delivery of observation records
The contract for instrumentation equipment, in-
stallation, and monitoring should be written so as to Disposition of instruments and support
protect the owners interests in securing timely and equipment.
accurate instrumentation data. The contract should Measurement of services and payment.
specify what organization will be making the data
reduction and analyses, and the manner in which the Modified from Cording, and others, 1975
372
A A S H T O T I T L E MSI 88 W Ob39804 0033993 256
Appendix G
Establish the responsibilities of ail parties Liege BEL; Int. Assoc. Eng. Geol., Int. Congr.,
working with the instrumentation or its derived ROC. Vol. 2, NO. 2, VII 7.1-VI17.9, 1974.
or computed data. California Department of Transportation, Materials
Specify the nature of a working relationship Manual., Chapt. 9, Vol. VI, Foundation Exploration,
between all parties to instrumentation and its Testing and Analysis Procedures. Division of High-
derived data. ways, Transportation Laboratory, Sacramento 1973.
Establish a method of accommodating Chapman, D. R.; Wood, L. E.; Lovell, C. W.; and
instrumentation-related changes in work as the Sisiliano, W. J. A Comparative Study of Shale Clas-
project proceeds. sification Tests and Systems. Assoc. Engng. Geol.
Bull. 13, NO. 4, pp. 247-266, 1976.
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Cording, E. S. Measurement of Displacement in
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Brown, E. T. (Ed.) Rock Characterization, Testing P ~ O CVol.
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Burland, J. B. Field Measurements. Some Exam- Dodds, D. J. and King, E. Rock Mechanics Instru-
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Calembert, L. Engineering Geology Applied to Re- Dunnicliff, J. Suggested Methods For Surface Mon-
cent Underground Constructions in Belgium and itoring of Movements Across Discontinuities, Per-
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travaux souterrains recents en Belgique et en Italie.
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373
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York, NY, 1984. sium, Zurich, 1977. A. A. Balkerna, Rotterdam,
Dunnicliff, C.J. Equipment for Field Deformation Netherlands: A. A. Balkema, 1979.
Measurements. 4th Pan-Am. Conf. on Soil Mech. Kovro. K. (Ed.) Field Measurement in Geo-
and Found. Engrg., San Juan, American Society of mechanics. Proceedingsof the International Sympo-
Civil Engrs., New York, Proc. Vol. 2, pp. 319-332, sium, Zrich, Accord, Massachusetts: A. A. Baik-
1971. ema Publishers, 1984.
Dunnicliff, C. J. Geotechnical Instrumentation, Mearns, R. and Hoover, T. Sub-Audible Rock
(out of print) Washington, D.C.: Federal Highway Noise (SAW) as a Measure of Slope Stability.
Administration, 1980. Transportarion Laboratory. California Department of
Durr, D. L., An Embankment Saved by Instrumen- Transportation. Research Report CA-DOT-
tation. Transportation Research Board, Transporta- TL-2537-1-73-24, August 1973.
tion Research Record 482, pp. 43-50, 1974. Memt, A. H. Tunnel Boring Machines: Geologic
Eckel, E. B., (Ed.), Landslides and Engineering Controls. Int. Assoc. Eng. Geol.. Int. Congr., Proc.
Practice. Highway Research Board, Special Report Vol. 2, NO. 2, VI1 PC-2.1-VI1 PC-2.7, 1974.
29, 1958. Miller, H. D. S.; Potts, E. L. J.; Szeiki, A.; and
Franklin, J. A. and Denton, P. E. The Monitoring of Talbott, A. C. Development of a Borehole Strain
Rock Slopes. Quarterly Journal of Engineering Ge- Cell for In Situ Stress Determination in Rock-Part I.
ology, Vol. 6. No. 3, pp. 259-286, 1973. Conf. RockEngng., Brit. Geotech. Soc., Univ. New-
castle upon Tyne, United Kingdom, Proc. Vol. 1. pp.
Franklin, J. A. Some Practical Considerations in the
245-256, April 1977.
Planning of Field Instrumentation.Int. Symp. on
Field Meas. in Rock Mech. Roc. pp. 3-13, 1977. Munoz, A., Jr. and Gano, D. The Role of Field
Franklin, J. A. The Monitoring of Structure in Instrumentation in Correction of the Fountain
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pp. 163-192, 1977.
tion Research Record 482, pp. 1-8, 1974.
Oliveira, R. Engineering Geological Investigations
Goodman, R. E., Methoh of Geological Engineer-
and In Situ Testing. Lab. Nac. Eng. Civil Lisbon
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Ed. 1976. PRI: Int. Assoc. Eng. Geol., Int. Congr., Proc. Vol.
2, NO. 2, VI1 PC-1.1-VII.
Goughnour, R. D. and Mattox, R. M. Subsurface
Exploration State of the Art. Annu. Highway Geol. Olivier, H. J. Geohydrological Investigation of the
Symp., Proc. No. 25, pp. 187-199, 1974. Flooding at Shaft 2, Orange-Fish Tunnel, North-
Eastern Cape Province, Geol. Soc. S.AP., Trans.,
Gould, J. P., and Dunnicliff, C. J. Accuracy of Field Vol. 75, Part 3, pp. 197-224, 1972.
Deformation Measurements. 4th Pan-American
Conf. on Soil Mech. and Found. Engrg., San Juan, Peck, R. B. Advantages and Limitations of the Ob-
American Society of Civil Engrs., New York, Proc. servational Method in Applied Soil Mechanics.
Vol. 1, pp. 313-366, 1971. Geotechnque, Vol. 19, No. 2, pp. 171-187, 1969.
Halcrow, Sir William and Partners. In Situ Testing Peck, R. B. Observation and Instrumentation:
for the Channel Tunnel. In Situ Investigations in Some Elementary Considerations. Highway Focus,
Soils and Rocks. Conf. Proc. Brit. Geotech. Soc. pp. Vol. 4, NO. 2, pp. 1-5, 1972.
109-16, May 13-15,1969. Potts, E. L. J.; Dunham, R. K.;Maconochie, D. J.;
Hanna, T. H., Foundation Instrumentation. Trans. and Reid, A. G. Design and Installation of Ground
Tech. Publications, Clausthal, Germany, Series on Instrumentation for the ChannelTunnel. Int. Symp.
Rock and Soil Mechanics, Vol. 1, No. 3, 1973. Tunnelling76. London, England Proc. pp. 243-253,
Hanna, T. H. Field Instrumentationin Geotechnical March 1976.
Engineering. Trans. Tech. Publications, D-3392 Robinson, Charles S. and Les, Fitzhugh, T. En&
Clausthal-Zellerfeld, F. R. Germany, 1985. neering Geologic, Geophysical. Hydrologic and
Keil, L. D.; Burgess, A. S.;Nielsen, N. M.; and Rock-Mechanics Investigations of the Straight Creek
Koropatnick, A. Blast Vibration Monitoring of Tunnel Site and Pilot Bore. Colorado. U.S.Geol.
Rock Excavations. Canad. Geotech. J. Vol. 14, No. Surv., Pro$ Paper. No. 815, 1974.
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Kovri, K. (Ed.) Field Measurements in Rock Me- Evaluation of Aerial Remote Sensing Techniques
374 --`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

p _ _ - _ - - -- ~ _ _ _ _ _ ~- -
AASHTO T I T L E M S I 8 8 W 0 6 3 9 8 0 4 0 0 3 3 9 9 5 O29
Appendix G
e for Defining Critical Geologic Features Pertinent to

Tunnel Location and Design.? Earth Satellite Corp.,
Washington, D. C. Federal Highway Administration,
Trantina, J. A. and Cluff, L. L., ??X? Bore-Hole
Camera. Symposium on Soil Exploration.? 1963,
Am. Soc. Testing and Materials Spec. Tech. Pub. 351,
Washington, D. C., March 1976. pp. 108-120, 1964.
Schmidt, B., and Dunniciff, C. J. ?Construction U.S. Bureau of Reclamation, Earth Manual, 2nd
Monitoring of Soft Ground Rapid Transit Tunnels.? Ed., Denver, Colorado: Engineering and Research
U.S. Dept. of Trans., Urban Mass. Transit Admin., Center, 1974.
Offke of Res. and Devel., Report UMTA- U.S. Army. Intstrumentation of Earth and Rock-Fill
MA-06-0025-73-13,2 Vol., 1974. Dams: Office of Chief of Engineers, Washington,
Schmidt, B. ?Construction Monitoring of Soft D.C., Engineer Manual 1110-2-1908; Pt. 1, Ground-
Grounded Tunnels-A Rational Handbook of Prac- water and Pore Pressure Observations, 1971 (Change
tices for Rapid Transit System Planners and Man- 1, Var. Pages); Pt. 2 Earth-Movement and Pressure
agers.? U.S. Dept. of Trans., Urban Mass Transit Measuring Devices, Pt. 6 (Var. Pages).
Admin., Office of Res. and Devl., Report UMTA- U.S. Federal Highway Administration (DOT).
MA-06-0025-76-6,1977. ?Schematic Arrangement of Various Types of Soil
Shannon, W. F.; Wilson, S. D.; and Meese, R. H. Mechanics Measuring Instruments.? Highway Focus,
?Field Problems: Field Measurements. ?Foundation Vol. 4, NO. 3., pp. 135-140, 1972.
Engineering, pp. 1025-1080. Leonards, G A. (Ed.), Walker, L. K. ; Peck, W. A. ; and Bain, N. D. ?Appli-
New York: McGraw-Hill, 1962. cation of Pressuremeter Testing to Weathered Rock
Sowend, G. F. and Royster, D. L. ?Landslides, Anal- Profiles.? Aust.-N.Z. Conf. Geomech., Proc. No. 2,
ysis and Control.? Field Investigation, Special Report pp. 287-291, 1975.
176, Transportation Research Board, pp. 112-138,
Wilson, S. D. ?Observational Data on Ground Move-
1978. ments Related to Slope Instability.? Journal of Soil
Terzaghi, K. ?1938 Settlement of Structures in Eu- Mechanics and Foundations Division, American Soci-
rope and Methods of Observation.? Trans. Amer.
Soc. Civil Engineers, Vol. 103, p. 1432. pp. 1521-1544, 1970. .
ety of Civil Engineers, New York, Vol. 96, No. SM5,
Thompson, D. E., Edgers, L., Mooney, J. S . , Young, Wilson, S. D., ?Landslide Instrumentation for the
L. W. and Wall, F., ?Field Evaluation of Advanced Minneapolis Freeway.? Transportation Research
Methods of Geotechnical Instrumentation For Transit Board, Transportation Research Record 482, pp.
Tunneling,? Bechter, Inc., Haley and Haley, Inc., 30-42, 1974.
Urban Mass Transportation, UM?IA-MA-06-0100- Wilson, S. D., and Mikkelsen, P. E. ?Landslides,
83-2. AvailableFrom: National Technical Information Analysis and Control,? Field Instrumentation, Spe-
Service, Springfield, Virginia, 1983. cial Report 176, Transportation Research Board, pp.
Toms, A. H. and Bartlett, D. L. ?Applications of Soil 112-138, 1979.
Mechanics in the Design of Stabilizing Works for
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stitution of Civil Engineers, London, Proc. Vol. 21, Geotechnical Engineering Applications,? Texas
pp. 705-711, 1962. Technical University, N84/3, pp. 114-118, Proceed-
ings of the Fifth International Conference on Expan-
Transportation Research Board. ?Landslide Instru- sive Soils, Adelaide, Australia, 1984.
mentation.? TRB, Transportation Research Record
482 (1974) 51 pp.
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`--- 375
AASHTO T I T L E M S I 8 8 W O b 3 9 8 0 4 O O L L b T b 5
APPENDIX H
Subsurface Investigations for
Earthquake-Resistant Design
H.l EARTHQUAKE DAMAGE TO distress or even failure. For example, vertical fault
TRANSPORTATION SYSTEMS displacment may make a highway impassable and
horizontal or vertical displacements of a bridge sup-
Earthquakes can affect transportation systems port could cause varying amounts of damage or col-
through one or more of the following factors: lapse. Fault displacement can produce severe loading
on most structures, so recognition and identification
ground rupture from displacements along faults of faults are critical to investigation and design.
ground movements from slope instabilities,
sloughing and lateral sliding H.1.2 Ground Shaking
reduction in soil strength as a result of vibratory
loading The most widely felt effect of earthquakes is ground
0 seismically-induced soil settlements shaking or vibration. Ground shaking occurs in all
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changes in lateral stresses on walls directions, but for convenience the motion is resolved
increased stresses in structural members caused into three components, one vertical and two mutu-
by ground shaking ally-perpendicular horizontal motions. Frequently for
geotechnical problems, the horizontal components
This Appendix is intended to describe the effects of are considered in design while the vertical component
earthquakes on transportation systems, and to pre- is ignored. Damage from ground shaking takes many
sent a discussion relative to subsurface investigations forms as discussed in the following sections.
to aid in earthquake-resistant design.
H.1.2.1 Liquefaction. Many soils tend to compact
H . l . l Ground Rupture or densify when subjected to vibration. As a result of
the rapid loading produced by earthquakes, pore wa-
A fault is a break in the earths crust on which there is ter cannot drain from some saturated soils quickly
movement parallel to the surface along which the enough to allow the soil to compact. This causes pres-
break occurs (Stokes and Varnes, 1955). Several sure in the pore water of the soil to increase. If the
types of fault movement have been observed to occur earthquake shaking is of sufficient severity and dura-
as described by Weigel and others (1970). Figure H-1 tion, the pore water pressures may become high
illustrates some common types of faults. The ground enough such that the soil loses nearly all its shear
surface may shift vertically or horizontally, or in any strength and begins to behave as a viscous liquid.
combination of these, depending on the fault type. Saturated, loose, medium to fine sands are the soil
Fault movements during individual earthquakes may types generally found to be most susceptible to this
range from millimeters to meters (inches to feet) phenomenon called liquefaction. Foundations on liq-
depending on the magnitude of the earthquake, the uefied soils can lose their support and experience
total fault length, the length of the fault along which large settlements. Conversely, buried tanks have
movement occurs and other factors. If a fault exists been observed to float out of position from liq-
beneath or close to a transportation structure, fault uefaction. Slopes in liquefied soils can flow laterally
@ movement may result in differential movements until nearly level; movements of tens of meters (hun-
within the structure, possibly leading to structural dreds of feet) can result. Since liquefaction can cause
377

AASHTO T I T L E M S I 8 b Ob39804 803i5997 9 T 5 M
STRIKE SLIP - VERTICAL COMPONENT

IN EITHER DIRECTION
MAY HAVE NORMAL-SLIP MAY HAVE

STRIKE-SLIP STRIKE-SLIP COMPONENT
COMPONENT IN IN EITHER DIRECTION
REVERSE-SLIP
Figure H-1. Block diagrams showing effects of surface displacement along a strike-slip, normal-siip, and
revemslip fault. Taylor and Cluff (1977).
significant damage to facilities, it is important to iden- pate. Drainage of water from the soil occurs until the
tify liquefaction-susceptible soils in subsurface inves- excess pressures are dissipated. This outflow of water
tigations and to provide suitable designs to accommo- often results in a decrease in soil volume and can lead
date such conditions. to settlements of structures.
The tendency for dry or partially saturated cohe-
H.1.2.2 Slope Instability. Slope movements sionless soils to settle during vibration is a well-known
caused by liquefaction were discussed above. Seis- principle of soild compaction. Densification of such
mically-induced slope instabilities are not confined to soils during earthquakes is a commonly observed phe-
conditions of soil liquefaction. Seismicforces imposed nomenon.
on cut and fill slopes can result in overall instabilities The amount of seismically-induced settlement may
from rotational or sliding movements of soil masses, be enough to cause structural damage to bridges,
sloughing, rock falls and debris slides. The damage retaining wails and other engineered structures. In
which occurs is dependent upon the type of engi- addition, embankments may settle from densification
neered structure, the type and magnitude of move- of the fill and/or foundation soils.
ment and the volume of material involved.
H.1.2.4 Soil-Structure Interacton. The horizontal
H.1.2.3 Settlement. Even in soils not susceptible ground accelerations associated with earthquakes re-
to liquefaction, pore water pressures may build up sult in changes in horizontal forces on below-grade
during earthquake shaking. The magnitude of in- structures. These forces can reduce the stability of
creased pore pressure depends on the soil properties retaining wails and result in increased loadings on
and the severity of shaking. When the shaking lessens other structure types. Indeed, toppled retaining walls
significantly, the pore water pressures begin to dissi- are among the most prominent results of earthquake
378
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A A S H T O T I T L E M S I 88 0639804 0011998 838
Appendix H
shaking. Although the presence of loose or soft soil H.2 SUBSURFACE INVESTIGATIONS
materials often contributes to instability of retaining FOR SEISMIC CONDITIONS
walls, the presence of these soils is not a necessary
condition. This section is intended to summarize the geotechni-
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
cal information needed from a subsurface investiga-

H.1.2.5 Effect of Local Soil Conditions on Earth- tion for seismic design, and some suggested methods
quake Motions. Local soil conditions at a site can to obtain the required data. The effort and cost for an
alter the earthquake motions at or near ground sur- actual seismic investigation should reflect the proba-
face relative to those which occur at the level of bed- bility that significant levels of fault movement or
rock. The amplitude to motions can be increased or earthquake shaking will occur, as well as the conse-
decreased and the frquency and duration of shaking quences of such occurrences.
altered. Specificchanges which do occur are the result
of many factors such as the thickness and properties of H.2.1 Faulting
the soils, the intensity of shaking at the rock level, and An investigation of the effects of fault displacement
distance from the earthquake epicenter. The resulting on a transportation facility should incorporate a geo-
ground motion characteristics influence the stresses logic investigation of the fault including (Figure H-2):
and displacements which develop in surface and be-
low grade structures. Depending on the nature of the Determining the type of fault and its orientation
projects, it may be important to evaluate the effects Determining its history of activity including
that local soil conditions will have on resulting earth- time period between past fault movements,
quake motions. length of fault rupture and amount of fault
displacement
H.1.3 Summary Assessing the width of the disturbed zone across
the fault
It is generally uneconomical to design transportation
structures to be completely earthquake resistant. It is These steps can be accomplished through the use of
therefore important to be aware of the costs of pre- airphotos, test borings, geologic mapping, test pits
0 ventive measures compared to the risk and cost of
failure or severe damage from seismic loading. For
and trenches plus other specialized methods such as
radioactive carbon dating of materials in the fault
example, if the only consequence of seismically-in- zone. There is a great deal of information in the
duced embankment settlement is relatively minor re- literature concerning the assessment of faults. Sher-
paving, extensive analyses and preventive measures ard, Cluff and Ailen (1974) and Taylor and Cluff
may be unwarranted. However, if the embankment (1977) provide good summaries of investigations.
also provided support for a bridge abutment, the
same amount of settlement might cause significant H.2.2 Liquefaction
bridge damage and would warrant more detailed de-
sign and special construction. The state-of-the-art in assessing liquefaction poten-
Hannon and Jackura (1978) provide a list of consid- tial is still in the relative infancy and evolving. Consid-
erations for the seismic design of highway structures erable engineering judgement is required in evaluat-
which include: ing the liquefaction susceptibility of soils at a site. The
items presented here should be used with an under-
*- Potential for loss of life standing of this present state of knowledge. The pri-
Costs and difficulty of repair or reconstruction mary factors affecting the liquefaction susceptibility
Availability of alternate routes or sufficient of soils are:
right-of-way to detour traffic in the event of
damage 1. The degree of saturation
Importance of facilities serviced by the structure 2. The weight of the overlying soils (overburden
Volume of traffic pressure)
3. The soil grain size and gradation
The foilowing section deals with approaches for sub- 4. The degree of compactness or relative density
surface investigations in connection with seismic phe- of the soils
nomena. Evaluation of the above factors will provide 5. The intensity of the earthquake shaking
I) perspective concerning the extent of seismic investi-
gation and design required to minimize potential The goal of the subsurface exploration program is to
damage. establish factors 1through 5 above such the potential
379

AASHTO T I T L E !SI 88 M Ob39804 0031999 774
Manual on Subsurface Invesrigarions
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
Figure H-2. A close look at the actual break-surface of the notorbus San Andreas Fault. From an
exploratory trench at Pakt Creek, Caiifornia. (A.W. Hatheway)
for liquefaction can be evaluated with sufficient re- Site visits to observe wetlands, streams or stand-
liability. ing surface water
Test pits (for shallow ground water levels)
H.2.2.1 Saturation. For pore water pressure to Observation of water levels in test borings
build in the soil to a level such that liquefaction could Installation of observation wells and piezome-
occur, the soil must be saturated. Saturation can be ters
evaluated by locating the groundwater table at the
site. Methods which can be used to determine the H.2.2.2 Overburden Pressure. The overburden
groundwater level include: pressure or effective vertical stress can be established
on the basis of soil total unit weight and groundwater
Study of available data on geology and ground- level. For most soils, the total unit weight can be
water levels established on the basis of experience and available

___- - ~
AASHTO T I T L E I S 1 8 8 E Ob39804 OOL2000 0 9 4
Appendix H
published correlations. In special cases such as for have unknown and possibly significant effects on the
lightweight volcanic soils it may be necessary to ob- results. Additionally, there are many aspects of soil
tain undisturbed samples for actual measurement of structure and fabric which may influence liquefaction
total unit weight in the laboratory. susceptibility, but which cannot be individually deter-
mined by the test. However, the quantity of available
H.2.2.3 Grain Size and Gradation. The soils con- data and the apparent consistencies in correlations of
sidered to be most susceptible to liquefaction are SPT resistance with actual cases of liquefaction make
clean, medium to fine sands. Silty or gravelly sands this the most well-documented procedure currently
are generally considered to be somewhat less suscept- available.
ible to liquefaction. Silts and clays may liquefy under The static CPT Resistance may be correlated with
certain conditions, but are generally considered to be the SPT blow count to allow for the use of the SPT
more resistant to liquefaction than sands. Samples of liquefaction correlations. General correlations be-
soil should be recovered to permit visual classification tween the SPT and CPT are available, but a site-
and for laboratory testing by sieve and/or hydrometer specific or region-specific correlation is preferable
methods. Atterberg limits tests on soils exhibiting where possible.
plasticity are frequently an aid in assessing liquefac- Correlations relating relative density to liquefac-
tion susceptibility. tion potential are available using relative density as
defined by:
H.2.2.4 Relative Density-Cohesionless Soiki. The
most difficult factor to determine with reliability in D, (%) = - x 100
emax - emin
the subsurface investigation for liquefaction potential
is the relative density of the soil. Loose or soft soils in which eoisthe in situ void ratio, emin
is the minimum
are most readily liquefiable; dense or stiff soils are void ratio and emaxis the maximum void ratio. The use
generally considered to be non-liquefiable. The most of such correlations msut be accomplished with con-
frequently used subsurface investigation technique in siderable care because of potential errors associated
the United States for the assessment of the in situ with measurement of void ratio.
relative density of cohesionless soils is the Standard
0 Penetration Test (SPT; see Appendix B.4.1).
Other in situ relative density measurement tech-
H.2.2.5 Liquefaction of Silts and Clays. The liq-
uefaction potential of silts and clays is not as well-
niques are often used (for example, the static Cone documented as it is for cohesionless soils. Static
Penetration Test or CPT; see Appendix B.3), but the liquefaction of sensitive clays in slopes has been ob-
SPT is most popular for two main reasons: served in Scandinavia and North America, but the
potential for liquefaction of these materials under
A soil sample is obtained which can be visually seismic conditions is uncertain.
The only way currently available to assess liquefac-
classified and tested in the laboratory for grain
size and plasticity characteristics. tion potential in silts and clays is by recovering undis-
As a result of the widespread use of the test, turbed samples for laboratory testing. Atterberg
limits, consolidation and strength tests can be per-
considerable empirical data now exist for in-
formed to assess the overconsolidation ratio, sensi-
stances of liquefaction and non-liquefaction
from past earthquakes. These data can be used tivity and shear strength. Cyclic triaxial or simple
shear tests can be performed to evaluate soil proper-
as a guide for assessing liquefaction potential.
ties under repeated loading.
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
An example of SPT correlations is provided in Figure H.2.2.6 Laboratory Testing for Liquefaction Sus-
H-3 where data from the Niigata, Japan earthquake ceptibility. As an alternative to the SPT, CPT or
of 16 June 1964 are summarized from Seed (1979). other in situ approaches, undisturbed samples of soils
Please note that this figure is only applicable to the may be recovered for cyclic laboratory testing. The
specific subsurface conditions of the Niigata area and samples can be subjected to confining pressures of the
for the intensity of ground shaking produced by that same magnitude as existing in the field, and subjected
particular earthquake. to cyclic loading patterns in the triaxial cell or simple
The use of the SF'T for assessing liquefaction sus- shear device (See Section 9) designed to model earth-
ceptibility is not without drawbacks. The SPT has quake effects.
e been criticized by some workers for its reliability as an

indicator of low relative density soils which may be
susceptible to liquefaction. Variations in drilling oper-
At least some of the structure, and all of the
grain size characteristics, of the actual soil is
ations and deviations from prescribed procedures retained in the tested sample
381
Manual on Subsutfme Investigations
O r
Q
2J and kquofaction
2
P
O
.:
ci
o
id
-
a
r
;5
2.0
O i0 20
Standard Ponetrotion Rosistonco, N blows/foof -30 40
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
Figure H-3. Correlation of SPT Resistance with Liquefaction for 1964 Niigata, Japan Earthquake (from
Seed, 1979).
The stress conditions in the test can be con- be determined are the type and extent of the soils, the
trolled groundwater conditions, and the soil unit weight and
The results of the test are visually observable shear strength. In siru methods of determining shear
strength can be used (See Appendix B) and disturbed
The disadvantages are: or undisturbed samples can be recovered for labora-
tory strength testing (See Section 9). An investigation
The tests are expensive to conduct of the liquefaction potential of the natural soils within
Obtaining undisturbed samples of cohesionless a cut slope or within the fill or foundation soils of an
soils is very difficult embankment should be conducted using field and
* The accuracy of the cyclic loading in modeling laboratory procedures outlined in Section H.2.2. Cy-
seismic conditions is uncertain clic laboratory tests on undisturbed samples may be
The results have not been verified by extensive necessary in critical situations to account for the
field observations. higher static shear stresses in a slope as opposed to the
level ground condition. Even if liquefaction is ruled
For silts and clays, however, and possibly under out as a possibility, it may be necessary to evaluate the
sloped ground conditions, laboratory testing is the potential for soil strength loss during or after earth-
only means currently available for assessing liquefac- quakes because of pore water pressure build-up. Cy-
tion potential. clic triaxial and simple shear tests can be used to
develop such data on pore pressure development.
H.2.3 Slope Stability Under Seismic Conditions
H.2.4 Seismically-Induced Settlement
TSpical subsurface investigations for assessing cut or
fill slope stability under seismic conditions are not The features to be determined in a subsurface investi-
greatly different from investigations used for a static gation for assessing the potential for seismically-in-
slope stability assessment. The important factors to duced settlement are very similar to those required
382
A A S H T O T I T L E IS1 8 8 = Ob39804 0 0 1 2 0 0 2 967
Appendix H
for liquefaction susceptibility. The important quan- calculated from the results of strain-controlled cyclic
tities are the grain size, gradation, and the relative triaxial tests (See Section 9). Soil damping charac-
density. The location of the groundwater table is also teristics can be obtained from cyclic laboratory tests
needed, but saturation of soils is not a necessary or from published correlations.
condition for seismic settlements to occur. As with
liquefaction, loose, cohesionless soils are most sus- H.3 REFERENCES
ceptible to densification by earthquake vibrations. It
is unlikely that significant seismically-induced settle- Hannon, J. B. and Jackura, K. A. Design of Earth-
ments could occur in clay under level ground. Subsur- works to Resist SeismicLoading. CaliforniaDept. of
face investigationsshould make use of the techniques Trans., Office of Transportation Laboratory, Sacra-
discussed in Section H.2.2 for assessing the potential mento, 1978.
for seismic settlement.
Humar, J. L. ed. Earthquake Engineering: Fifth Ca-
H.2.5 Dynamic Earth Pressures on Walls and nadian Conference, Ottawa. Accord, Massachusetts:
Other Below-Grade Facilities A.A. Balkema Publishers, 1987.
Permanent International Association of Road
A subsurface investigation performed for assessing Congress (PIARC), PIARC XVII World Road
soil-structure interation should be aimed at determin- Congress, Sydney, Australia, October 8-15, 1983.
ing the strength and stress-strain characteristicsof the Question 1: Earthworks-Drainage-Subgrade,
soils in the vicinity of the structure. In situ or labora- Monograph, 451 p., PIARC, Paris, France, 1983.
tory strength tests on undisturbed soil samples can be Proceedings of the 11th International Conference on
used for determining soil strength. The stress-strain Soil Mechanics and Foundation Engineering, San
behavior of the soil can be investigated through in situ Francisco, 5 vols. Accord, Massachussetts: A.A.
geophysical tests such as the downhole, uphole or Balkema Publishers, 1985.
crossholemethods (see Section 6), or by cyclic labora-
tory tests such as resonant column, cyclic triaxial, or Seed, H.B. Soil Liquefaction and Cyclic Mobility
simple shear tests, performed on undisturbed sam- Evaluation for Level Ground during Earthquakes,
ples. ASCE Journal of the Geotechnical Engineering ASCE
Geotechnical Journal Vol. 105 No. GT2, 1979.
H.2.6 Effect of Local Soil Conditions on Sherard, J. L., Cluff, L. S. and Allen, C. R. Poten-
Earthquake Motions tially Active Faults in Dam Foundations. Geotechni-
que, Vol. 24, No. 3, pp. 367-428, September 1974.
The thickness and unit weight of each soil layer pre- Stokes, W. C. and Varnes, D. J. Glossary of Selected
sent at a site and the shear modulus or shear wave Geologic Terms. Denver, Colorado: Peerless Printing
velocity and damping ratio of each stratum are Co., 1955.
required if the analysis of the effects of local soil con-
ditions on earthquake motions of a site is to be accom- Taylor, C. L. and Cluff, L. S. Fault Displacement
plished. Layer thickness and unit weight deter- and Ground Deformation Associated with Surface
minations are easily accomplished in standard Faulting. The Current State of Knowledge of Life-
subsurface explorations. Shear wave velocity can be line Earthquake Engineering Specialty Conference,
measured using geophysical methods or laboratory ASCE, Proc. pp. 338-353, August 1977.
tests on undisturbed samples, as discussed in H.2.5. Wiegel, R.L. Earthquake Engineering. Englewood
Alternatively, the shear modulus of the soil can be Cliffs, New Jersey: Prentice-Hall Inc., 1970).
measured in a cyclic simple shear device or can be
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
383
_ _ _ _ _ _ _ ~~~ ~- ~~ ~
AASHTO T I T L E I S 1 8 8 Ob39804 0 0 1 2 0 0 3 8 T 3
APPENDIX I
Geotechnical Contributions to Environmental Reports
Transportation systems in the United States are con- 1.1 INTENT OF ENVIRONMENTAL
structed only after completion of environmental im- IMPACT ANALYSES
pact analyses. Such analyses were initiated in 1969
with passage of the National Environmental Policy The process of environmental impact analysis is not
Act (NEPA) and have been further amplified and always well understood. The laws and regulations
defined by other Federal and state legislation. Al- specifying the analyses are numerous and complex.
though Agency geotechnical and geological person- Officials placed in charge of developing the analyses
nel are seldom placed in charge of developing the are faced with the question of how much of an effort
0 various required reports and statements, their spe-
ciality data often represent some of the most impor-
willbe sufficient to analyse and report on the environ-
mental impacts of a proposed project. Many times the
tant portions of such reports. The major pieces of costs associated with compilation, assessment, review
Federal implementing legislation and directives are as and presentation of environmental analyses repre-
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
follow: sents a significant portion of the funding for a given

project. While the implementing legislation did not
National Environmental Policy Act (NEPA) of intend for the analyses to represent such outlays,
1969 often the studies do grow beyond reasonable limits.
Federal Highway Administration (FHWA) Im-
The basic intent of the analyses, as stated in Section
plementation Procedures; Code of Federal Reg- 120(2)(C) of NEPA is to produce a detailed state-
ulations, Title 23 ment describing the following relationships of the
US Department of Transportation, Urban Mass
proposed project and the environment:
Transit Authority (UMTA) Implementation
Procedures; Code of Federal Regulations, Title
49 the environmental impact of the proposed
US Department of Transportation, Procedures action;
for Considering Environmental Impacts, Order any adverse environmental effects which cannot
DOT 5610.1C be avoided should the proposal be implemen-
Federal Safe Drinking Water Act, Section ted;
1424(e); administered by the US Environmental alternatives to the proposed action;
Protection Agency (USEPA) the relationship between local short-term uses of
mans environment and the maintenance and
Many of the states have enacted supplemental leg- enhancement of long-term productivity;
islation governing the nature and content of environ- any irreversible and irretrievable commitments
mental impact studies and the manner in which they of resources which would be involved in the
are undertaken. Generally, the state regulations are proposed action should it be implemented.
supplemental to the degree that they either accom-
@ modate or incorporate the Federal acts, often the Geologists and geotechnical engineers are often
state requirements are more stringent. most closely associated with many of the most impor-
385
AASHTO T I T L E MSI 88 Ob39804 0012004 73T
tant impacts associated with construction and opera- sessment for transportation system construction and
tion of transportation systems. The contributions of improvement occurs in approximately the foliowing
these professionals are important from the standpoint sequence of events.
of clarity and accuracy, and more importantly, geolo-
gists and geotechnical engineers are in a position to 1.2.1 Planning and Early Coordination
make environmental impact assessments at the most
favorable terms of costs and time consumed in the Planning and early coordination is conducted at the
process. conceptual level of system development. The assess-
ment team should evaluate the general scope of the
proposed project and develop a list of potential envi-
1.2 GENERALIZED PROCEDURE OF ronmental impacts (such as shown in Table 1-1)-A list
ENVIRONMENTAL IMPACT of Federal, State, Regional and local agencies and
ASSESSMENT activities which may hold important data or which
should be involved in some way in the review process
The manner in which environmental impact assess- should be compiled. The need for this action is coor-
ments are compiled, reviewed, presented and an- dination which generally results in early discovery of
alysed varies from Agency to Agency, from State to important contributory data and which also tends to
State. The general procedure however, is one of pro- ease potential conflicts and to make the impact assess-
gression from the general to the more detailed and ment process flow more optimally.
from the promulgating agency to the public.What is
not really clearly defined by the various regulations is 1.2.2 Scoping the Level of Assessment
the real detail of each element of the assessment.
Through a good understanding of the general pro- With all contributing experts available, the system
cess, the Agency process, and the basic intent of the planners should indicate the basic objectives of the
implementing regulations, those who are charged project and the design guidance under which they are
with developing portions of impact assessments operating. The experts should be given an oppor-
should be able to offer sound advice not only in terms tunity to evaluate the proposed development concept
of environmental impact, but in terms of the costs in in terms of what each knows of the region in which the
funding and time required to produce a suitable end project ia contemplated. It has been demonstrated
product. repeatedly that the most difficult of actual or per-
In broad terms, the US DOT has prescribed a ceived environmental impacts deal with sociological
policy (USDOT, Order 5610.1C)which calls for the factors, historic sites, areas of rare or unusual natural
integration of national environmental objectives into scenic value, the habitat of endangered forms of wild-
its activities and those State programs which it funds. life or the occurrence of groundwater. Many times the
These objectives are as follows: value of the environmental element is viewed by the
public on a purely emotional basis. Extreme efforts
Avoid or minimize adverse effects wherever must be undertaken by scientificand engineering pro-
possible; fessionals to determine the actual impact of the proj-
Restore or enhance environmental quality to the ect, and to explain the impacts in clear and graphic
fullest extent practicable; terms to the public or its special-interest protection
Preserve the natural beauty of the countryside groups. The main problem in this communication is to
and public park and recreation lands, wildlife portray technical information and concepts to non-
and waterfowl refuges, and historic sites; technically-trainedcitizens. The relative ease or diffi-
Preserve, restore and improve wetlands; culty of such undertakings will probably become ap-
Improve the urban physical, social and parent at the scoping stage of the project.
economic environment; increase access to
opportunities for disadvantaged persons; 1.2.3 Initiation of the Environmental Assessment
Utilize a systematic, interdisciplinary approach
in planning and decision making for projects At the termination of the scoping stage, the environ-
which may have an impact on the environment. mental impact assessment team should have been
formed and a list of assigned topics of investigation
Transportation Agency personnel will naturally and submission deadlines determined, as well as coor-
wish to accommodate these objectives in the least dination of responsibilities. The scoping, assignments
possible time and at the most reasonable expenditure. and deadlines should be constructed in a two-phased
The generalized process of environmental impact as- manner, so that initial findings and assessments can
386 --`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

-
AASHTO T I T L E MSI 8 8 W 0639804 OOL2005 676
Appendix Z
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`--- 387
AASHTO T I T L E M S I 88 M Ob39804 0052QOb 50Z
Manual on Subsufface Investigations
be reviwed internally for the significanceof potential engineering properties of natural materials are ex-
impacts. If early returns indicate that the level of tremely variable.
adverse impact is not significant, then steps may be
taken to formulate a Finding of No Significant Impact 1.2.5 Format of the Environmental Impact Report/
(FONSI). Statement
With completion of the FONSI, Agency personnel
may terminate the assessment process and submit the For purposes of standardization in review, the US
finding through appropriate channels and hold the Council on Environmental Quality (USCEQ) has
required public hearings. The object of this early recommended in its 40 CFRTitle 1507.10regulations,
determination is to save unnecessary expenditures of the following format for EIR and EIS documents:
time and funding and to expedite cornpletion of the
proposed project. Cover Sheet
The FONSI should be attached to a formalized o Summary
Environmental Impact Report (EIR) or combined Table of Contents
with the Report as a single document. The level of o Purpose and Need for the Project
geological and geotechnical data contained in the Alterantives Including the Proposed Project
EIWONSI should be what would be normally col- O Environmental Consequences
lected, analyzed and interpreted as a contribution to List of Preparers
initial project planning. Field explorations such as List of Notified Agencies, Organizations, and
drilling, test pitting, or detailed geologicmapping, are Persons
generally not required. Field geologic reconnaissance Index
or photogeologic interpretations may be necessary if Appendices
the project lies in a region in which geologic mapping
is lacking. Considerable latitude is given to the assessment
team in structuring the detailed content and layout of
1.2.4 Compilation of the Environmental Impact the report or statement.
Report
1.2.6 Comments and Interaction
The working document recording the process of col-
lecting and analysis of environmental impact is the Inherent in the intent of the environmental im-
Environmental Impact Report (EIR). The EIR is edi- pact assessment process is an open presentation to
ted into the Environmental Impact Statement (EIS), interested agencies and individuals. For transpor-
which is issued in draft form (DEIS) to reviewing tation agencies, this list normally includes USDOT,
agencies (State and Federal) and interested citizens. USEPA and other State and Rderal agencies having
Hearings are held and comments of concerned agen- jurisdiction over lands or environmentally-sensitive
cies and citizens are addressed. The Final Environ- aspects in the area occupied by or traversed by the
mental Impact Statement (FEIS) is the document proposed transportation project. Draft and final EIS
summarizing all facts and deliberations concering the document availability is required to be announced to
project. Generally speaking, in the cace of Federally- the general public through the various communica-
funded projects, the proponent State Agency will tion media.
prepare an EnvironmentalImpact Report in all of the The EIR normally circulates only to the Agencies,
necessary final detail and the Regional Office of other interested agencies and various consultants em-
USDOT will review, edit, comment and release the ployed in compiling the report. Some of the issues
document as its FEIS and DEIS for the project. If the may be discussed at public meetings held in the area
project is predominantly funded by the State, then of the project. The EIS, in draft and final form, is
the State DOT will issue the EIS. usually the first document released for general
Detail to which the EIR and draft EIS is compiled public scrutiny. EIS team members should strive to
is entirely subject to the judgment of the assessrnent properly identify the environmental impacts and to
team. In the natural course of events in environmen- treat each of them with as much data collection effort
tal impact assessment, some compilers, reviewers, and analysis as is reasonable to identify the impacts,
and intervenors increase the level of investigations real or potential. Team members should carefully
used to determine the nature and extent of environ- assess reviewer's concerns and should undertake
mental impacts. Some of the moat equivocable assess- such additional field work. such as may be rrason-
ments are those with geological bases because the ably required to clarify any missing aspects of the
depth, areal extent and physical characteristics and awssment.
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---

Appendx Z
1.2.7 Final Environmental Impact Statement ments such as are generally classified as types of
landslides. The most difficult of potential impacts to
Final Environmental Impact Statements (FEIS) are determine with specific accuracy are those relating to
prepared by the regional office of the Federal Agency disturbance or alteration of the groundwater regime
providing principal funding for Federally-financed through which the ROW or project passes. Typical
projects. An Agency team will prepare the FEIS from examples of effects of highway construction on local
a complete final EIR provided by the State DOT or its groundwater conditions are discussed and illustrated
consultant, or it will be compiled from a final EIR in Section 8.
provided by an Agency team. Specifically, the EIS Most potential groundwater impacts can be ade-
team will evaluate the document for consideration of quately assessed in at least a semi-qualitative fashion
the following aspects: by careful review of the field observations that are
normally required in preliminary or feasibility level
Adequacy of coordination with all appropriate geological investigations. Special field explorations
Federal State and local governments and re- such as installation of groundwater observation wells
gional commissions; and conduct of pump tests hould ordinarily be
Adequacy of the DEIS and supplements in iden- avoided as being costly in excess of the returns. Since
tifying and defining environmental impacts and groundwater constitutes an emotional issue to many
of presenting reasonable alternatives to the pro- individuals whose residences, farms or business are in
posed project; and the near vicinity of a ROW, it is often difficult to
Adequacy in treating reasonable concerns iden- produce absolute evidence from field explorations
tified by Agencies and individuals communicat- that will insure a definite level of impact or nonim-
ing with the Agency EIS team, and as voiced at pact.
public hearings. Baseline studies are an important factor for consid-
eration in highway planning. Later changes in surface
and groundwater conditions are generally ascribed by
1.3 CONDUCT OF STUDIES abutters to the presence of the transportation project,
when, in reality, they may caused by a number of
I) The geotechnical parts of most Environmental Im-
pact Reports can be compiled in phase with prelimi-
other factors. Baselines are usually effectively deter-
mined by asking abutters for permission to record
nary route selection and feasibility studies. Most of several waterlevel readings and a groundwater sample
the identified environmental concerns of a geological to be analyzed for the constituents covered in the
or geotechnical nature also present questions of inter- Federal drinking water standards. The location and
est to project planning and design. As identified on distance from the project center line for weils or other
Table 1-1and 1-2, a variety of environmental parame- water sources to be so surveyed should be determined
ters should be considered for potential impacts on by a hydrogeologist. An observation period of one
most types: those that occur within the right-of-way year is generally the minimal record length required
(ROW), and those that are external to it. Most of the to determine a representative seasonal fluctuation in
impacts that can be associated with the ROW itself, groundwater levels.
can be accurately established in terms of depth, areal Potential slope movements triggered or actuated by
extent and degree. The impacts are also generally construction of transportation projects are of extreme
one-time occurrences and will not vary essentially importance to the cost and functionality of any such
with time. Those impacts that can possibly affect the project. Most potentially unstable masses of rock or
surrounding terrain are generally associated with sur- soil are identifiable by geopmorphic indicators which
face water or groundwater or with slope movement can be seen in field reconnaissance or by photo-
masses which might be activated through construction geologic interpretation (see Section 5). Other forms
related to the project. of slope movements can be created by transportation
Design features which may alter the general nature system component structures when an otherwise sta-
of surface drainage should be reviewed for potential ble geologic condition is overloaded in terms of em-
impacts generated by the redistribution of flow; gen- bankment or cut construction, when masses of soil or
erally in the form of overbank flow, decreased dis- rock are isolated without restraint or gravitational
charge which does not now meet various former water load, or when groundwater or surface water condi-
supply demands, and increased erosion and sedimen- tions are altered so as to represent a potential increase
tation. Impacts are seldom transferred outside of the of pore water (soil) or cleft water (rock) pressure. As
I) ROW except by flowing water, wind-dislodged sur- in the case of groundwater impacts, data required for
face particles of unstabilized earth, or by slope move- estimation of most slope movement activation poten-
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
389
AASHTO T I T L E M S I 88 M Ob39804 001rc008 385
Manual on Subsurface Investigatwns
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
O
390
AASHTO T I T L E M S I 8 Ob39804 OCIL2009 2 L L
Appendix Z
a tia1 are available as a direct result of the standard

geologic investigations.
ing the expected nature of the impact and maps
should always be considered essential in explaining
impact concepts to others. Existing US Geological
Survey topographic maps, project-developed photo-
1.4 IMFACT ON ABUTTERS grammetric maps, or simple aerial photographic en-
largements make excellent and suitable bases for rep-
The extent to which an EIS should cover the area resenting the details of identified impacts. Data
surrounding a project or to either side of a ROW developed on any of these bases can also be trans-
should be determined primarily on the basis of geo- ferred to screened bases used for other EIS purposes.
logic and hydrologic knowledge of the project area. Screened base maps are doubly effective due to the
Geologic estimates can be used to outline the areal fact that topographic and planimetric detail become
extent of the various geologic constraints that may be subservient in view of the geological detail developed
activated by construction of the project, as weii as the developed during the EIS study. When reproduced in
groundwater shadows produced by cuts along the the EIS documents, care should be taken that the
ROW. The team hydrologic expert will be able to topographic and planimetric details remain legible
define the potential impact coverage related to mod- and are not rendered undetectible through photo-
ifications of those portions of individual watersheds graphic copying or reduction.
through which the project passes and which are sub-
ject to modification by construction of the project.
1.6 REFERENCES
1.5 PRESENTATION Wyoming Highway Department Engineering Geol-
ogy Procedures Manual, 1983. Cheyenne, Wyo-
As noted previously, overambitious or overdetaiied ming: Wyoming State Highway Department, 1983.
studies to define potential environmental impacts are Zettinger, J. M., and Pendrell, D. L. Design of
probably neither desirable or effective. The most im- Containment-Treatment System For Contaminated
portant aspects of such studies are collection of essen- Groundwater Northwest Boundary, Rocky Mountain
tial information of the location and areal extent of
@ specific impacts and descriptions of the rates and fluc-
Arsenal, Colorado, Army Corps of Engineers,
Twentieth Annual Engineering Geology and Soils En-
tuations expected to govern the nature of the impacts. gineering Symposium Proceedings, pp. 63-82, Idaho
Photographs and diagrams are essential for portray- Department of Highways, Boise, Idaho, 1983.
--`````,,`,``,,,````,,```,`,,-`-`,,`,,`,`,,`---
391


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ANUAL ON SUBUWACE

444 North Officials cpitd streer, N.W., suite

AASHTO T I T L E M S I 88 Ob39804 O O L L b L 3 240

Copyright American Association of State Highway and Transportation Officials

Published by the American Association

@Copyright, 1988, by the American Association of State Highway and

Copyright American Association of State Highway and Transportation Officials

AMERICAN ASSOCIATION OF STATE HIGHWAY

President: John R. Tabb, Mississippi

Secretary of Trnrisporfatiori: Elizabeth Dole (Ex Officio)

Executive Director: Francis B . Francois, Washington, D.C. (Ex Officio)

Copyright American Association of State Highway and Transportation Officials

AMERICAN ASSOCIATION OF STATE HIGHWAY

Alabama, Larry Lockett, William E. Page New Hampshire, Philip E. McIntyre

Copyright American Association of State Highway and Transportation Officials

AASHTO T I T L E MSI 88 m Ob39804 O O L l b 1 7 9 9 6 m

1.0 INTRODUCTION ...................................................................... 1

2.0 SUBSURFACE DATA REQUIREMENTS ................................................ 3

3.0 CONDUCT OF INVESTIGATIONS ...................................................... 19

Copyright American Association of State Highway and Transportation Officials

3.3 Guidelines for Minimum Investigations ................................................ 20

4.0 FIELD MAPPING ...................................................................... 31

4.5.1.3 Infrared Imagery ..................................................... 43

5.0 GEOLOGIC CONSTRAINTS ............................................................ 49

Copyright American Association of State Highway and Transportation Officials

6.9 Borehole Logging. .................................................................. 96

7.0 SUBSURFACE EXPLORATION (Soil and Rock Sampling) ................................. 109

7.3.4 General Conditions ........................................................... 111

AASHTO T I T L E IS1 8 8 Ob39804 0011621 317 W

7.5.1.2 Wash Borings ........................................................ 117

Copyright American Association of State Highway and Transportation Officials

7.8.5 Groundwater Conditions ...................................................... 154

8.0 HYDROGEOLOGY .................................................................... 175

9.0 LABORATORY TESTING OF SOIL AND ROCK ......................................... 187

AASHTO T I T L E !SI BA 00LLb23 L T

9.3.2 Disturbance.................................................................. 189

9.5 Shear Strength ..................................................................... 192

10.0 COMPILATION AND PRESENTATION OF GEOTECHNICAL INFORMATION ............ 209

10.3 Presentation of Factual Information or Data. ........................................... 210

APPENDIX A Drilling. Sampling and Installation Procedures ................................... 219

General Field Procedures ..................................................................... 219

Copyright American Association of State Highway and Transportation Officials

APPENDIX B In Situ Borehole Testing ....................................................... 247

APPENDIX C In Situ Testing Procedures ..................................................... 273

Static Cone Penetrometer Tests .............................................................. 278

APPENDIX D Laboratory Testing Procedures-Soils and Rock .................................. 291

AASHTO T I T L E M S I 8 8 063980Y O O L L b 2 6 9T9

APPENDIX E Materials Classification ........................................................ 295

E . l . l . l Soil Fraction Definitions .................................................. 297

APPENDIX F Rock Excavation Programs ..................................................... 317

F.6.6 Damage Prediction and Control of Blasting Operations............................... 331

APPENDIX G Instrumentation .............................................................. 341

APPENDIX H Subsurface Investigations for Earthquake-Resistant Design ........................ 377

APPENDIX I Geotechnical Contributions to Environmental Reports ............................. 385

Copyright American Association of State Highway and Transportation Officials

AASHTO T I T L E M S I 8 8 m Ob39804 OOLLb31 266 m

Manual on Subsurface Investigations

AASHTO T I T L E MSI 88 0639804 0011632 I T 2 W

2.0 SUBSURFACE DATA REQUIREMENTS.

Manilal on Silbsiirface Investigations

The planning and design of structures requires a de-

Copyright American Association of State Highway and Transportation Officials

Subsurface Data Requirements