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1
Introduction
Interfacing Impacts
The impact of the geologic environment on human activities can be classified as direct or
indirect. Direct impact occurs during the use of geologic materials in construction, the
removal of materials in excavation, and while making provision for the secure support of
structures, excavations, and slopes. Such activities occur during the construction of build-
ings, dams, roadways, and tunnels that, for the most part, have an impact on their imme-
diate surroundings. Design objectives are economical construction and satisfactory
performance.
Indirect impact occurs during the extraction of materials from the surface, which can
cause adjacent ground subsidence, and extraction from the subsurface, which can cause
subsidence and collapse. Such activities occur during the development of mineral
resources by the subsurface extraction of water, oil, gas, coal, or other minerals that can
impact on areas substantially removed from the activity. The objective is to avoid or con-
trol these consequences of human activity.
Geologic occurrences impacting on human works in the form of floods, slope failures,
ground collapse, and earthquakes can occur naturally or as a result of human activities.
Prior to construction or development, a thorough assessment of the geological environ-
ment must be made to ensure that the interfacing is compatible.
Engineering Assessment
An adequate assessment of the geologic environment is a prerequisite to formulating
effective treatment for the consequences of these interfacing activities. This requires the
capability to identify and describe rock and soil types, rock mass and soil formation char-
acteristics, groundwater conditions, and to recognize and describe the potential for phe-
nomena such as flooding, erosion, slope failures, ground subsidence and collapse, ground
heave, and earthquakes. The basis for adequate assessment is thorough investigation.
For many years the services required for investigation of the geologic environment for
new construction were performed by “soil and foundation engineers” practicing the dis-
cipline of soil mechanics. The discipline of geotechnical engineering has evolved to include
rock mechanics and geologic engineering as well as soil mechanics to provide a broader
intelligence base for resolving modern problems.
1.1.2 Investigation
Importance
The engineering works interfacing with the geologic environment can be constructed eco-
nomically, can perform safely, and can have a nondetrimental impact on other works only
if all geologic elements are accurately identified and their properties properly measured
and evaluated. Reliable evaluations, however, are possible only when complete and rep-
resentative data are available. Investigation, therefore, is the most important phase of any
construction or development program.
Limitations
It must be recognized that geologic conditions can be extremely complex and variable as
well as subject to changes with time; in addition there are many limitations to state of the
art of geotechnical investigation. There will be occasions when it is not possible to identify
all of the critical aspects of the geologic conditions, regardless of the comprehensiveness
of the investigation. The geotechnical engineer’s familiarity with those aspects of the geo-
logic environment that are unusually complex and variable with a low degree of pre-
dictability, as well as with the limitations of investigational methodology, should lead to
incorporation of conservative measures into design and construction to avoid unsatisfac-
tory results. The consequences of an inadequate investigation may be construction delays
and extra costs, or even structural collapse or other forms of failure.
1.1.3 Objectives
General
This book was written with the objectives of providing a guide to (1) the investigation and
assessment of the geologic environment for practitioners involved with engineering works
for new construction or development, and (2) general solutions of problems that may be
based primarily on intuitive reasoning and experience rather than rigorous mathematical
analysis. Investigation as used herein signifies field exploration, field and laboratory
measurement of properties, and field instrumentation to monitor deformations and
stresses in situ. Effective planning and execution of investigations and interpretation and
evaluation of data require a thorough comprehension of the characteristics of geologic
materials and geologic hazards.
Introduction 3
heave, collapse, and subsidence. Although some elements of mathematical analysis for
evaluating foundation settlements, groundwater flow, slope stability, and earthquake
engineering are presented in this work, the main objective is to provide the basis for
understanding the physical phenomena involved as background for comprehending the
need for the various elements of investigation. This book does not aim to provide a basis
for the analysis and design of slopes, retaining structures, closed excavations, foundations,
and ground improvement systems.
1.2 Scope
1.2.1 General
This book is divided into three parts:
● Part I: Investigation Methods and Procedures covers field exploration, field and
laboratory measurements of properties, and field instrumentation.
● Part II: Characteristics of Geologic Materials and Formations covers rock masses,
soil formations, and surface and subsurface water. The emphasis is on origin,
mode of occurrence, or deposition as related to their significance in terrain analy-
sis and the prediction of geologic conditions, including characteristic properties
and their impact on engineered construction.
● Part III: Geologic Hazards covers landslides and other forms of slope failure;
ground subsidence, collapse, and heave; and earthquakes (flooding and erosion
are covered in Part II under “Water”). The causes, effects, modes of occurrence,
and methods of investigation and treatment are described for each phenomenon.
Introduction 5
Many types of geologic materials have characteristic engineering properties, and values
are included throughout the chapter as well as elsewhere in the book. The values are use-
ful for preliminary assessments and for the evaluation of the “reasonableness” of data
obtained from field and laboratory testing. Very often, such values are obtained from back-
analysis of a failure condition in the field.
Applications
Instruments are installed to provide information pertaining to the anticipation of the fail-
ure of natural or cut slopes, measurements of the settlement and heave of structures, con-
trol of preloading operations, anticipation of objectionable ground subsidence beneath
structures adjacent to excavations or over tunnels, control of the performance of earth
dams and tunnels, the monitoring of vibrations and seismic forces, and the investigation
of fault activity and surface warping. In many engineering projects, particularly braced
excavations, tunnels in rock, and steep cut slopes in open-pit mines, the monitoring of
deformations permits the use of economical contingent designs with low safety factors
and reduced construction costs. When deformations reach dangerous levels, as predeter-
mined by analysis, additional support can be added to arrest movements, or other proce-
dures invoked, in accordance with the contingency plans already prepared.
For monitoring subsidence over large areas and earthquake activity along faults, devel-
opments are being made in the applications of global positioning systems (GPS) and satel-
lite imagery, such as radar interferometry (difSAR).
mass, resulting in folding and fracturing, which create systems of faults, joints, and other
discontinuities. Differential weathering and erosion attack the mass, resulting in terrain
features indicative of various conditions, and provide the basis for their prediction.
Faults are closely associated with shallow-focus earthquakes. Their recognition and pos-
itive identification, as well as the determination of their activity, are critical elements in
earthquake engineering studies. Faults also create a major weakness zone in rock masses.
Joints, the most common form of discontinuity, control rock-mass behavior in most sit-
uations. A description of their spatial orientations and characteristics is necessary for the
solution of rock-mechanics problems, particularly in closed and open excavations, and in
the construction of concrete dam foundations and abutments.
Residual stresses result in strains and rock bursts in excavations and are an important
element of rock-mass conditions. Unless specifically sought by means of in situ instru-
mentation, their prediction is difficult, although their incidence is often associated with a
particular set of conditions.
Weathering causes rock masses to undergo disintegration and decomposition, com-
pletely changing their characteristics and producing new materials ranging from altered
minerals along joints, to soft and decomposed rock, and finally to residual soil. Various
rock types develop characteristic profiles under given climatic conditions, thus providing
the basis for the prediction of soil types and their general properties when climate and
rock type are known.
Introduction 7
deposited reflect currents and water depths. Emergence can cause the formation of coastal
plains or exposed lake beds.
Aeolian deposits of dunes, sand sheets, and loess all have characteristic terrain features
of landforms and drainage patterns, and very typical engineering properties.
Glacial deposits have many characteristic landforms that reflect their mode of deposition
as being directly from the glacier (till) or from meltwaters (stratified drift or outwash). Till,
normally strong and relatively incompressible, is typically associated with a very irregular
ground surface containing numerous lakes and poorly developed drainage systems. Two
important glacial deposits are lacustrine (varved clays) and marine (often sensitive clays),
both of which have identifiable patterns of occurrence and characteristic properties.
Secondary deposits are considered in this work to include duricrusts (laterites, iron-
stone, caliche, and silcrete), permafrost, and seasonal frost. The duricrusts, surficial for-
mations within soil deposits and limited in extent, often have rocklike characteristics.
They form in certain environments under a limited set of conditions.
1.2.5 Appendices
● The Earth and Geologic History (Appendix A): The Earth’s crust and surface are
undergoing constant change, usually scarcely perceptible, as a result of global
tectonics. The nomenclature of geological history is useful for indexing forma-
tions and for making correlations between widely separated geographic loca-
tions. Ages are determined by radiometric dating, for which there are a number
of procedures.
● USGS Quads, Aerial Photographs, Satellite and SLAR Imagery (Appendix B):
USGS Quad Sheets and stereo-pairs of aerial photographs in this book.
● English to Metric to the International System (Appendix C): Conversions from
English to metric to SI units and metric to English to SI units are given.
● Symbols (Appendix D): Symbols used in the text are summarized and identified.
● Engineering Properties of Geologic Materials: Data and Correlations (Appendix E):
A synopsis of the tables and figures from the text providing data and correlations
for rock, soil, and groundwater is presented. Rock and soil properties are keyed
to index or basic properties, compression, expansion, and strength.
Introduction 9
1 Lateral distribution and thickness of the soil and rock strata within the zone of
influence of the proposed construction or development.
2. Groundwater conditions, considering the seasonal changes and the effects of
extraction due to construction or development.
3. Physical and engineering properties of the soil and rock formations, and ground-
water quality.
4. Hazardous conditions, including unstable slopes, active or potentially active
faults, regional seismicity, floodplains, ground subsidence, collapse, and heave
potential.
5. Ground response to changing natural conditions and construction or develop-
ment brought about by surface loadings from structures, unloadings by surface or
subsurface excavations, or unloadings from the extraction of mineral resources.
6. Suitability of the geologic materials for aggregate and for the construction of
pavements and embankments.
● Stage 1: General geologic conditions are identified through the retrieval of exist-
ing data, the interpretation of remote-sensing imagery (landform analysis), and
field reconnaissance. Engineering geology maps are prepared.
● Stage 2: Subsurface sections are prepared from exploration data obtained by test
borings and pits, geophysical methods, etc.
● Stage 3: Samples of the soils and rocks are recovered for identification and labo-
ratory testing.
● Stage 4: Measurements of engineering properties are made in the laboratory and
in situ.
● Stage 5: Instrumentation is installed to monitor ground and structural response
to changing field conditions.
Feasibility
A feasibility phase is imperative when the investigator has no prior experience in the proj-
ect area, when the site is located in virgin or rural country, or for large important projects.
Construction Phase
Unforeseen geologic conditions may be encountered, common on projects with deep exca-
vations or deep foundations, or unconventional designs may be used with contingency
plans. Either case requires additional investigation during the construction phase.
Investigation stages 2, 3, 4, and frequently 5 are performed.
Instrumentation is installed to monitor changing groundwater levels; stability and
movements of slopes and retaining structures; settlements of fills, embankments, and
foundations; ground subsidence and its effect on adjacent structures; and deformations
and stresses in underground support systems. Instrumentation provides an early warning
system and the data base for decisions for invoking contingency plans when deformations
and stresses exceed those anticipated during design.
Introduction 11
Postconstruction Phase
Instrumentation (stage 5) is good practice for heavy foundation loading or other condi-
tions in which settlements are anticipated for retaining structures in critical locations, and
for slopes, dams, and tunnels. The purpose is to provide an early warning system for
potentially troublesome conditions, and to provide data to advance the state of the art and
reduce the degree of conservatism in future projects.
Vertical Depth
For structures on or near the surface, the vertical influence is a function of several vari-
ables. These can include: (1) the size and loading of the structure that imposes changes on
the natural stress conditions to some significant depth; (2) unfavorable geologic conditions
that require explorations to depths adequate to define suitable support for deep founda-
tions; and (3) excavations that require explorations to some distance below their maximum
depth to determine groundwater, rock, and soil conditions, both within and below the
excavation zone. Deep excavations for tunnels or mines and the deep extraction of fluids
require a knowledge of geologic conditions between the point of excavation or extraction
and the surface, and at times between even deeper points and the surface.