Design Guide, Criteria and Standards: Volume 2C - Geological and Geotechnical Investigation

Contents
ABBREVIATIONS ................................................................................................................................................... VI
GLOSSARY ............................................................................................................................................................. VII
1 GENERAL PROVISIONS ............................................................................................................................... 1-1
2 SCOPE AND OBJECTIVES ............................................................................................................................ 2-1
2.1 FRAMEWORK ....................................................................................................................................................... 2-1
2.2 GENERAL PROCEDURES (FLOWCHART) .................................................................................................................. 2-1
3 METHODOLOGY .......................................................................................................................................... 3-1
3.1 RECONNAISSANCE ................................................................................................................................................ 3-1
3.1.1 Office Reconnaissance (or Desk Study) ..................................................................................................... 3-1
3.1.2 Field Reconnaissance ................................................................................................................................. 3-3
3.1.3 Site Inspection ............................................................................................................................................ 3-4
3.2 REVIEW OF HISTORY OF PREVIOUS LAND USE ........................................................................................................ 3-4
3.2.1 New Construction....................................................................................................................................... 3-4
3.2.2 Rehabilitation Projects .............................................................................................................................. 3-5
3.2.3 Contaminated Sites .................................................................................................................................... 3-5
3.3 REVIEW OF GEOLOGY (INCLUDING GEOMORPHOLOGY AND SEISMICITY) .................................................................... 3-6
4 DESIGN OF INVESTIGATION PROGRAM ................................................................................................... 4-1
4.1 SUBSURFACE EXPLORATION PLANNING .................................................................................................................. 4-1
4.1.1 Types of Investigations .............................................................................................................................. 4-1
4.1.2 Frequency and Depth of Borings ............................................................................................................... 4-2
4.1.3 Boring Locations ........................................................................................................................................ 4-3
4.1.4 Equipment .................................................................................................................................................. 4-3
4.1.5 Personnel .................................................................................................................................................... 4-4
4.1.6 Plans and Specifications ............................................................................................................................ 4-4
4.2 ROADS ................................................................................................................................................................ 4-4
4.2.1 Requirements ............................................................................................................................................. 4-4
4.2.2 Data to be Obtained ................................................................................................................................... 4-5
4.3 BRIDGES ............................................................................................................................................................. 4-5
4.3.1 Requirements ............................................................................................................................................. 4-5
4.3.2 Data to be Obtained ................................................................................................................................... 4-6
4.4 SLOPE PROTECTION WORKS ................................................................................................................................. 4-6
4.4.1 Requirements ............................................................................................................................................. 4-6
4.4.2 Data to be Obtained ................................................................................................................................... 4-7
4.5 STRUCTURES ....................................................................................................................................................... 4-8
4.5.1 Requirements ............................................................................................................................................. 4-8
4.5.2 Data to be Obtained ................................................................................................................................... 4-8
4.6 FORENSIC ANALYSIS ............................................................................................................................................. 4-8
4.6.1 Subsurface Soil ........................................................................................................................................... 4-8
4.6.2 Structure .................................................................................................................................................... 4-9
4.6.3 Plans and Specifications ............................................................................................................................ 4-9
5 DRILLING AND SAMPLING ......................................................................................................................... 5-1
5.1 SHALLOW SOIL EXPLORATION ............................................................................................................................... 5-1
5.2 BOREHOLE DRILLING ........................................................................................................................................... 5-1
5.3 SAMPLING ........................................................................................................................................................... 5-3
6 IN-SITU TESTS ............................................................................................................................................. 6-1
6.1 STANDARD PENETRATION TEST ............................................................................................................................ 6-1
6.2 CONE PENETRATION TEST .................................................................................................................................... 6-1
6.2.1 Mechanical CPT .......................................................................................................................................... 6-1
6.2.2 Electric Piezocone ...................................................................................................................................... 6-2

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Design Guide, Criteria and Standards: Volume 2C - Geological and Geotechnical Investigation

6.3 FIELD VANE SHEAR TEST...................................................................................................................................... 6-2

6.4 PLATE LOAD TEST ............................................................................................................................................... 6-2
6.5 DYNAMIC CONE PENETRATION TEST ..................................................................................................................... 6-3
6.6 OTHER IN-SITU TESTS .......................................................................................................................................... 6-3
6.6.1 Probe Tests ................................................................................................................................................. 6-3
6.6.2 Field Density Tests ..................................................................................................................................... 6-3
7 LABORATORY TESTS FOR SOILS ............................................................................................................... 7-1
7.1 SELECTION OF APPLICABLE / APPROPRIATE TESTS ................................................................................................. 7-1
7.2 VISUAL IDENTIFICATION OF SOILS ......................................................................................................................... 7-1
7.3 INDEX PROPERTIES .............................................................................................................................................. 7-2
7.4 MOISTURE-DENSITY RELATION............................................................................................................................. 7-3
7.5 CALIFORNIA BEARING RATIO ................................................................................................................................ 7-4
7.6 STRENGTH TESTS................................................................................................................................................. 7-4
7.7 CONSOLIDATION TEST .......................................................................................................................................... 7-7
7.8 PERMEABILITY TEST ............................................................................................................................................ 7-8
7.9 SPECIAL TESTS .................................................................................................................................................... 7-9
7.9.1 Swell-Shrinkage ......................................................................................................................................... 7-9
7.9.2 Mineralogy ................................................................................................................................................. 7-9
7.9.3 X-Ray Diffraction ....................................................................................................................................... 7-9
7.10 OTHER TESTS ................................................................................................................................................... 7-9
7.10.1 Minerals Present ..................................................................................................................................... 7-9
7.10.2 Acidity Test ........................................................................................................................................... 7-10
8 LABORATORY TESTS FOR ROCKS ............................................................................................................. 8-1
8.1 STRENGTH TESTS................................................................................................................................................. 8-2
8.2 DURABILITY ........................................................................................................................................................ 8-3
8.3 STRENGTH-DEFORMATION CHARACTERISTICS ........................................................................................................ 8-4
9 GEOPHYSICAL METHODS ........................................................................................................................... 9-1
9.1 SEISMIC SURVEY (UPHOLE, DOWNHOLE, CROSSHOLE)............................................................................................. 9-1
9.2 GROUND PENETRATING RADAR ............................................................................................................................. 9-2
9.3 OTHER GEOPHYSICAL METHODS ........................................................................................................................... 9-3
10 GROUNDWATER INVESTIGATIONS......................................................................................................... 10-1
10.1 GROUNDWATER LEVEL MEASUREMENTS........................................................................................................... 10-1
10.1.1 Information on Existing Wells .............................................................................................................. 10-1
10.1.2 Open Borings ......................................................................................................................................... 10-1
10.1.3 Observation Wells ................................................................................................................................. 10-2
10.1.4 Water Level Measurements .................................................................................................................. 10-2
11 FIELD PERMEABILITY TESTS .................................................................................................................. 11-1
11.1 SEEPAGE TESTS .............................................................................................................................................. 11-1
11.2 PACKER TEST ................................................................................................................................................. 11-2
11.3 PUMPING TESTS ............................................................................................................................................. 11-3
11.4 SLUG TESTS.................................................................................................................................................... 11-4
12 GEOTECHNICAL INSTRUMENTATION AND MONITORING .................................................................... 12-1
12.1 INCLINOMETER ............................................................................................................................................... 12-1
12.2 EXTENSOMETER ............................................................................................................................................. 12-1
12.3 PIEZOMETER .................................................................................................................................................. 12-2
12.4 SETTLEMENT PLATES ...................................................................................................................................... 12-3
12.5 OTHER MONITORING EQUIPMENT AND TOOLS................................................................................................... 12-4
13 SITE INVESTIGATION OF GEOTECHNICAL FAILURES ........................................................................... 13-1
13.1 GEOTECHNICAL FAILURES................................................................................................................................ 13-1
13.1.1 Retaining Wall Failures ........................................................................................................................ 13-1
13.1.2 Excessive Settlement ............................................................................................................................. 13-2

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 Design Guide, Criteria and Standards: Volume 2C - Geological and Geotechnical Investigation

13.1.3 Bearing Capacity Failures .................................................................................................................... 13-3

13.1.4 Excavation Bracing Failures ................................................................................................................ 13-5
13.1.5 Slope Stability Failures ......................................................................................................................... 13-6
13.1.6 Other Types of Geotechnical Failures ................................................................................................... 13-8
13.2 PROCEDURE ON INVESTIGATION OF GEOTECHNICAL FAILURES .......................................................................... 13-10
13.2.1 Settlement ........................................................................................................................................... 13-10
13.2.2 Subsidence........................................................................................................................................... 13-10
13.2.3 Expansive Soil and Rock ..................................................................................................................... 13-11
13.2.4 Slope Stability ..................................................................................................................................... 13-12
14 GEOLOGIC AND GEOTECHNICAL REPORTS ............................................................................................ 14-1
14.1 CONTENTS AND STRUCTURE ............................................................................................................................ 14-1
14.2 DATA PRESENTATION ..................................................................................................................................... 14-2
14.2.1 Test Location Plan ................................................................................................................................ 14-2
14.2.2 Subsurface Profiles ............................................................................................................................... 14-2
14.2.3 Borehole Logs ....................................................................................................................................... 14-2
14.2.4 Summary of Results of Field and Laboratory Tests ............................................................................. 14-3
14.3 GEOTECHNICAL ANALYSIS................................................................................................................................ 14-4
14.3.1 General Analysis Requirements ............................................................................................................ 14-4
14.4 FOUNDATION RECOMMENDATION .................................................................................................................... 14-5
15 QUALITY ASSURANCE FOR FIELD AND LABORATORY TESTING ......................................................... 15-1
15.1 LOGGING AND STORAGE ................................................................................................................................... 15-1
15.2 HANDLING OF SAMPLES IN THE LABORATORY .................................................................................................... 15-2
15.2.1 Specimen Selection ............................................................................................................................... 15-2
15.2.2 Equipment Calibration ......................................................................................................................... 15-2
16 DOCUMENT MANAGEMENT AND STORAGE ........................................................................................... 16-1
17 REFERENCES & BIBLIOGRAPHY .............................................................................................................. 17-1

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Design Guide, Criteria and Standards: Volume 2C - Geological and Geotechnical Investigation

Volumes
Volume 1 Introduction and Overview
Volume 2A GeoHazard Assessment
Volume 2B Engineering Surveys
Volume 2C Geological and Geotechnical Investigation
Volume 3 Water Engineering Projects
Volume 4 Highway Design
Volume 5 Bridge Design
Volume 6 Public Buildings and Other Related Structures

Annexes
A Geotechnical Assessment Checklist
B Test Procedures
C Sample Geotechnical Investigation Program
D Borehole Logging
E Geotechnical Report Outline
F Ready Checklist for Geological/Geotechnical Investigation
G Geotechnical Formulas

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 Design Guide, Criteria and Standards: Volume 2C - Geological and Geotechnical Investigation

Tables and Figures

Table 3-1 Field Reconnaissance Checklist .............................................................................................................................. 3-3
Table 3-2 List of Information Required by Drill Crew (field reconnaissance) ....................................................... 3-4
Table 4-1 List of Equipment for Field Exploration ............................................................................................................. 4-3
Table 4-2 Minimum Requirements for Boring Depths ...................................................................................................... 4-6
Table 4-3 Guidelines for Boring Layout for Retaining Walls, Slope Protection Works and Culverts ........... 4-7
Table 4-4 Minimum Requirements for Boring Depths for Retaining Walls, Slope Protection Works and
Culverts.............................................................................................................................................................................. 4-7
Table 8-1 Standards and Procedures for Laboratory Testing of Intact Rock.......................................................... 8-1
Table 9-1 Advantages and Disadvantages of Geophysical Methods............................................................................ 9-1
Table 13-1 Summary of Type of Bearing Capacity Failure Versus Soil Parameters ............................................ 13-5
Table 13-2 Common Examples of Slope Failures ................................................................................................................ 13-8
Table 14-1 Sample Field Data Summary ................................................................................................................................. 14-3
Table 14-2 Sample Laboratory Data Summary .................................................................................................................... 14-4
Table 15-1 Sample Laboratory Data Summary .................................................................................................................... 15-1

Figure 2-1 Flowchart of General Procedure ............................................................................................................................ 2-1

Figure 5-1 Auger Hole Drilling Set-up ........................................................................................................................................ 5-1
Figure 6-1 Standard Penetration Test Set-up ......................................................................................................................... 6-1
Figure 6-2 Cone Penetration Test Set-up .................................................................................................................................. 6-2
Figure 7-1 Unconfined Compression Test ................................................................................................................................ 7-5
Figure 13-1 Retaining Wall Failure ............................................................................................................................................. 13-1
Figure 13-2 Categories of Bearing Capacity Failures .......................................................................................................... 13-4

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Design Guide, Criteria and Standards: Volume 2C - Geological and Geotechnical Investigation

Abbreviations
Acronym Definition

AASHTO American Association of State Highway and Transportation Officials

ASTM American Society for Testing and Materials

BM Benchmark

BRS Bureau of Research and Standards

CBR California Bearing Ratio

CPT Cone Penetration Test

DCDT Direct Current Differential Transformer

DGCS Design Guidelines, Criteria and Standards

DOST Department of Science and Technology

DPWH Department of Public Works and Highways

GPR Ground Penetrating Radar

MGB Mines and Geosciences Bureau

NAMRIA National Mapping and Resource Information Authority

PAGASA Philippine Atmospheric, Geophysical and Astronomic Services Administration

PHIVOLCS Philippine Institute of Volcanology and Seismology

SDI Slake Durability Index

SPT Standard Penetration Test

TBM Temporary Benchmark

USCS Unified Soil Classification System

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Glossary
Acronym Definition

American Association of A system of soil classification based on grain size, liquid limit and plasticity of soils and is usually used
State Highway and for highway design and construction.
Transportation Officials
(AASHTO) Soil
Classification
Acoustic Tomography A geophysical technique for imaging sub-surface structures from electrical resistivity measurements
made at the surface, or by electrodes in one or more boreholes.
Active Earth Pressure The horizontal stress exerted by a mass of soil on a retaining wall as the wall moves away from the soil

Allowable Bearing The bearing pressure that can be allowed on a foundation soil, usually to limit settlements.
Capacity
Angle of Internal Friction The angle on the graph of the shear stress and normal effective stresses at which shear failure occurs
for a given soil

Anisotropic A mass of soil having different properties in different directions. Primarily refers to permeability or
stress-strain characteristics.
Aquifers A stratum of soil with relatively high permeability; a water-bearing stratum of rock or soil.

Artesian A condition that exists when the water table piezometric surface lies above the ground level.

Atterberg Limits The water content of a soil mass corresponding to the transition between a solid, semi-solid, plastic
solid or liquid.
Auger Borings A technique for forming a bore hole through the ground, from a drive shaft to a reception shaft, by
means of a rotating cutting head.
Axial Strain Direct strain measured along an axis of a triaxial test sample.

Axial Stress Total or effective stress (both confining and vertical stresses combined) acting along an axis of a triaxial
test sample.
Bearing Capacity The ability of the underlying soil to support the foundation loads without shear failure.

Bedrock Strong rock underlying surface deposits of soil and weathered rock.

Borrow Site An excavation source ouside the project area that is used to supply soils for earthwork construction (i.e.
gravel pit).
Borrow Materials Filling materials acquired from a Borrow Site.

Boulder A rock fragment, usually bounded by weather or abrasion, with an average dimension of 25.6 cm or
more.
Bulk Density The total mass of water and soil particles contained in a unit volume of soil.

California Bearing Ratio A laboratory test that is used to determine the suitability of a soil for use as a subbase in a pavement
section.
Coarse-grained Soils Soils with more than 50% by weight of grains retained on the number 200 sieve (0.075 mm).

Cohesionless Soils Granular soils (sand and gravel type) with values of cohesion close to zero.

Cohesive Soils Clay type soils with angles of internal friction close to zero.

Cone Penetration Test A penetration test in which a cone that has a 60º point is pushed into the ground at a continuous rate.
(CPT) Resistance is measured by correlating the depth penetrated with the force applied.
Creep A slow or gradual movement, applied to soil and superficial accumulations moving under gravity.

Density The ratio of the total mass to the total volume of material.

Differential Settlement The vertical displacement due to settlement of one point in a foundation with respect to another point of
the foundation.
Direct Shear Test Laboratory test used to determine the relationship of shear strength to consolidation stress.

Drawdown The magnitude of the lowering of a water table, usually near a well being pumped.

Dredging Removal from beneath water and raising through water of soil rock and debris.

Dynamic Compaction The use of high-energy impact to densify loose granular soils.

Effective Stress The portion of the total stress that is supported through grain-to-grain contact of the soil.

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Acronym Definition

Elastic Deformation Deformation caused in soil due to a change in loading, and the soil recovers completely when the load
is removed.
Embankment A raised structure of soil aggregate, rock or a combination of the three.

Escarpment A steep slope or long cliff that occurs from faulting and resulting erosion and separates two relatively
level areas of differing elevations.
Factor of Safety The ratio of a limiting value of a quantity or quality to the design value of that quantity or quality.

Failure Envelope For a given soil, the graph of the shear stress and normal effective stresses at which shear failure
occurs.
Fine-grained Soils Silt and clay soils. Soils containing particles smaller than number 200 sieve or 0.075 mm in size
according to the Unified Soil Classification System.
Fissures Small cracks

Footing An enlargement at the base of a foundation that is designed to transmit forces to the soil

Foundation A component of an engineered structure that transmits the structure's forces into the soil or rock that
supports it
Free Water Water that is free to move underground through a soil mass under the influence of gravity.
(alias Phreatic Water,
Gravitational Water)
Grain Size Distribution A curve drawn on a log scale to represent the distribution of particle sizes in a soil.
Curve
Gravity Walls Retaining walls which depend upon their selfweight to provide stability against overturning and sliding;
usually made of a high bulk structure
Ground Penetrating A geophysical method that uses radar pulses to image the subsurface.
Radar
Groundwater Water that exists below the water table in the zone of saturation.

Groundwater Table Depth at which soil pore spaces or fractures and voids in rock become completely saturated with water.

Inclinometer A device used to measure a casing’s inclination from the vertical. Lateral deformations are measured
against depth.
Index Properties Attributes of a soil such as moisture content, void ratio, specific gravity, Atterberg limits and grain size
distribution
In-situ Undisturbed, existing field conditions.

Isolated Footing A footing designed to support a structural load from a single column. Usually a shallow foundation, and
square or circular in shape
Isotropic A soil mass having essentially the same properties in all directions.

Liquefaction The sudden, large decrease of shear strength of cohesionless soil caused by collapse of the soil
structure, produced by small shear strains associated with sudden but temporary increase of pore
water pressure.
Liquid Limit The water content above which the soil will flow like a liquid, but below which it will have a plastic
consistency.
Mat Foundation A structural slab utilized as a footing, which usually encompasses the entire building footprint.

Maximum Dry Density A soil property obtained in the laboratory from a Proctor test. Density of soil at 100% compaction.

Modulus of Subgrade The ratio between the bearing pressure of a foundation and the corresponding settlement at a given
Reaction point. The slope of the line in the loading range encountered by the soil in a plate bearing value test.
(alias Subgrade
Modulus)
Natural Moisture The ratio between the mass of water and the mass of soil solids.
Content
(alias Water Content)
Normally Consolidated Soil having a current state which lies on the normal compression line.
Soil
N-Value(Alias, ‘Standard The number of blows required to drive a split-spoon sampler during a standard penetration test a
Penetration Resistance’) distance of 12 inches (0.305 m) after the initial penetration of 6 inches (0.15 m).
Optimum Moisture The water content at which the maximum dry density of a soil is obtained using a specific effort of
Content compaction. Optimum moisture of a specific soil is determined through a Proctor test.

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Acronym Definition

Organic Soils Earth comprised of organic material, peat, and muskeg.

Overburden Soil Overlying soil of a desirable soil stratum.

Overconsolidated Soil A clayey soil carrying a higher load in the past. Soil having a current state which lies inside the normal
compression line

Particle Size Distribution Soil particle sizes that are determined from a representative sample of soil that is passed through a set
of sieves of consecutively smaller openings.
Passive Earth Pressure The maximum horizontal stress exerted by a mass of soil on a retaining surface as the surface moves
toward the soil.
Permeability A measure of continuous voids in a soil. The property which allows the flow of water through a soil.

Pier A structure usually of concrete or stone masonry, which is used to transmit loads from the bridge
superstructure to the foundation soil and provide intermediate supports between the abutments.
Piezometers An instrument used to measure in-situ pore water pressures.

Pile A slender member that is driven (hammered), drilled or jetted into the ground. Piles are usually
constructed of timber, steel or pre-stressed reinforced concrete.
Plastic Limit The moisture content in which a soil will have a plastic consistency.

Plasticity Index The difference between the liquid limit and plastic limit of a soil mass.

Pore Pressure Also, hydrostatic pressure. The pressure exerted by the fluid within the pores or voids in a porous
material; in saturated soil the pore pressure is the pore water pressure.
Pore Pressure The ratio of the change in pore pressure to the change in isotropic stress in undrained loading.
Coefficient
Pore Pressure Ratio At a given depth of soil, the ratio of the porewater pressure to the vertical overburden pressure.

Porosity The ratio of the volume of voids to the total volume.

(Alias, ‘ Pore Space’)
Pressure Head The height of a column of water required to develop a given pressure at a given point.

Proctor Test Laboratory test used to determine maximum dry density and optimum moisture content of soils.

Rankine Earth Pressure Earth pressure analysis that disregards friction between the wall and soil, and assumes that failure
Theory occurs along a flat plane behind the retaining structure at an angle that is derived from the angle of
internal friction.
Relative Density The density of a granular soil relative to the minimum and maximum densities achieved for that
(alias Density Index) particular soil.
Residual Soils Soils that have been formed in place.

Retaining Wall A structure usually made of stone masonry, concrete or reinforced concrete that provides lateral
support for a mass of soil.
Sand Particles that pass through a number 4 sieve (4.75 mm), and retained on a number 200 sieve (0.075
mm).
Seepage The flow of water through soil.

Settlement The downward movement of soil, or the downward movement of a foundation.

Shear Strength The maximum shear stress which a soil can sustain under a given set of conditions.

Shrinkage Limit The water content corresponding to the transition between a brittle solid and a semi-solid. The water
content below which further reduction in water content causes no further reduction in volume.
Specific Gravity The ratio of the density of a body or a substance to the mass of an equal volume of water.

Spread Footings Also, isolated footing. A footing designed to support a structural load from a single column. Usually a
shallow foundation, and square or circular in shape.
Stiffness Susceptibility to distortion or volume change under an applied load.

Tension Cracks Cracks appearing at the surface of a soil mass, often adjacent to a retaining wall or top of a failing
slope.
Total Stress The stress acting on or within a soil mass due to surcharges, overlying weight, etc.

Ultimate Bearing The bearing stress which would cause shear failure in the soil below a foundation.
Capacity
Unit Weight The ratio of the total weight of soil to the total volume of a unit of soil.

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Acronym Definition

Void Ratio The ratio of the volume of voids to the volume of solids (soil grains).

Volume of Solids Volume of soil grains in a total soil volume.

Volume of Voids Volume of air space in a total soil volume.

Water Table The level in a body of soil at which the hydrostatic water pressure is zero

Yield Point The point at which the soil loading behavior changes from elastic to inelastic.

Yield Stress The stress at which the swelling-recompression line joins the normal compression line.

Zero Air Voids Curve The curve created by plotting dry densities of soils corresponding to saturation at each water content.

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 Design Guidelines, Criteria and Standards: Volume 2C - Geological and Geotechnical Investigation

1 General Provisions
The purpose of this guide is to provide uniformity of approach for geological and
geotechnical investigations in design preparation and review for infrastructure
projects, in accordance with the following criteria:
 Primary considerations shall be given to safeguarding life, health, property,
and public welfare.
 Subsurface investigations shall be designed to address relevant issues on
site.
 Zoning and land use requirements shall be observed and, as far as
practicable, adverse effects on the ecological and environmental balance
shall be minimized.
 The use of indigenous materials, manpower, and other resources shall be
optimized.
The design guide shall be governed by applicable provisions of existing laws,
codes, and department orders.

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Design Guidelines, Criteria and Standards: Volume 2C - Geological and Geotechnical Investigation

2 Scope and Objectives

2.1 Framework
The objectives of geological and geotechnical investigation are:
 Characterization of subsurface soil conditions.
 Evaluation of geotechnical parameters necessary for analysis and design.
 Identification of geotechnical concerns, and foundation construction
considerations.
 Generation of ground models for analysis and design.

2.2 General Procedures (Flowchart)

A flowchart of a typical geotechnical investigation is shown on Figure 2-1.

Figure 2-1 Flowchart of General Procedure

Office Reconnaissance Field Reconnaissance

Survey (Desk Study) Survey (Site)

Sampling and Testing

Other Tests
Test Pits Boreholes
(as applicable)

Review of information prior to demobilization to ensure all aspects of the proposed program have
been achieved.

Laboratory Testing

Collation of Results

Reporting

Site Investigation Evaluations, Conclusions,

Information and Recommendations

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 Design Guidelines, Criteria and Standards: Volume 2C - Geological and Geotechnical Investigation

3 Methodology
3.1 Reconnaissance
In order to achieve a relevant and cost-effective investigation program, it is
essential that a review of available information be undertaken by a Civil
Engineer who at least underwent training with the DPWH on Volume 2. This
review can be divided into two (2) phases: office reconnaissance (or desk study)
and field reconnaissance (or site reconnaissance).

3.1.1 Office Reconnaissance (or Desk Study)

In this phase, the following steps and sources of information are required:
 Review of the Preliminary GeoHazard Assessment Report and
attachments (see DGCS Volume 2A GeoHazard Assessment): Items in
that report which are identified as a hazard at the site shall be taken into
account in designing the geotechnical investigation. If no Preliminary
GeoHazard Assessment report exists, then the procedures for the
Preliminary GeoHazard Assessment contained in Volume 2A shall be
followed and a report shall be prepared in accordance with those
procedures prior to any field investigation work. The absence of a
Preliminary GeoHazard Assessment report shall be identified in the
Geotechnical Report as a non-conformance, and the Preliminary GeoHazard
Assessment Report prepared at this stage shall be included as an Appendix
in the Geotechnical Report.
 Study of Existing Structures: A review of plans of other existing structures
in the area, along with a review of the construction records of these existing
structures will generally provide very valuable information at minimum
expense.
 Study of Project Description and Concept Development Plans: Often,
preliminary sketches and plans depend upon available data, but where the
Concept Development plans are prepared, the engineer-in-charge of the site
investigation should become completely familiar with the proposed
structure by studying these plans and designs. He should discuss with the
design engineers and determine the approximate measurements and/or
relevant information. If no plans are available, the Engineer should obtain a
briefing from the planning division as to the extent of the proposed
development. If no Project Description document is available, the Engineer
should require one from the planning division and if not available, report it
as a Non Conformance in the geotechnical report.
 Consultation with Others: Many organizations, public agencies, etc. have a
backlog of information already compiled on certain areas. This information
should be consulted first. Experience gained by other engineers as well as
contracting firms who may have completed work on similar structures in the
same general area shall also be determined and utilized. These sources could

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Design Guide, Criteria and Standards: Volume 2C - Geological and Geotechnical Investigation

be invaluable in obtaining general information on soil and rock types and

foundation and groundwater conditions which could be expected in the
latter phase of field exploration. The District or Region should aim to
develop its own database of existing development sites and the geological
and geotechnical information obtained from those developments.
 Review of other Information: Other information pertaining to the project
site could be obtained from the following sources:
- Topographic Map: The topographic map is valuable in the design and
construction of most structures. The locations and elevations of
exploratory holes, outcrops, and erosional features can be placed on the
map. The land forms portrayed by the contours indicate to some degree
the type of geological conditions.
- Geological Maps: On these maps, rock and soil masses are identified by
name and geologic age. The most important detail to be obtained from a
geologic map is the particular formation on which a structure is to be
located. With experience, certain subsurface characteristics may be
deduced from and associated with various formations. Refer to Volume 2A
GeoHazard Assessment for further interpretation of geological maps.
Geological maps are available at Mines and Geosciences Bureau (MGB)
and Philippine Institute of Volcanology and Seismology (PHIVOLCS).
- Soil/Agricultural Maps: Knowledge on the pedagogical system of soil
classification is a potentially useful tool for field explorations; these soil
maps including soil reports can be used as a general guide in planning and
conducting a soil survey, and they may be of limited value in some
applications such as in foundation work due to the shallow depth
explored. However, they can identify for example: the presence of near
surface limestone bedrock, the presence of recent soft clays which may be
further identified as deep from topographic data, and the presence of a
water table near the surface.
- Aerial photographs can provide an overall view of the site. Aerial photos
can reveal general information on topography, vegetation, access, etc. of
an area; they also allow identification of landslides and other geohazards
as described in Volume 2A GeoHazard Assessment.
 Well-drilling Logs: When available data from local drilling contractors or
other sources, well-drilling logs can be useful indicators as to the nature of
the materials on site; also well records will provide robust information on
ground water levels and their seasonal variation. This is particularly critical
information in regions of expansive soils (see Volume 2A GeoHazard
Assessment).
 Formulation of Subsurface/Soil Exploration Plan: During the latter part
of office reconnaissance, an exploratory hole plan shall be made for review
during the field reconnaissance. An exploratory hole plan should include the
types, spacing, location, and depths of exploratory hole and sampling
intervals, including borings, cone penetration testing, in-situ vane testing.
For details, please see Section 4.

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3.1.2 Field Reconnaissance

After the office phase of reconnaissance had been completed, the field phase
shall commence with a visit to the project site. It shall always be made by an
engineer, most preferably the engineer who will complete the geotechnical
report. Whenever available, it is desirable that this engineer be accompanied by
the driller or the drill foreman.
The field reconnaissance has two purposes: to allow an experienced observer to
view the site and record any facts which will affect either the foundation design
or the boring plan; and to gather information needed by the drill crew.
Items to Observe: Valuable information can be obtained by viewing the surface
indications of subsurface conditions as outlined in Table 3-1.

Table 3-1 Field Reconnaissance Checklist

Item Action

Location of Bents and The designer’s proposed location of the bents and piers should be observed.
Piers Later troubles may be prevented by recommending a shift of the substructure
units at this early date. Examples of this are bents whose proposed locations
are on river banks of questionable stability or bents which may be moved
slightly and placed upon rock.
Surface Soils Surface soils are easily revealed through the use of a shovel or post hole
diggers, or in exposure. These soils may sometimes be identified as
belonging to some particular formation, and usually they indicate the
underlying material.
Rock exposures near the project site should be studied. Extending a rock
outcrop in accordance with its strike and dip may tell whether or not a bent is
to be founded on rock.
Gullies, Excavation, Any cut or hole in the ground near the project site is a subsurface window,
Slopes, or Stream Banks and for its depth, it will provide more information than a borehole since it may
be examined in detail. Soil type and distribution as well as rock existence
and type are often quickly and easily available from these sources.
Surface and Subsurface All surface flows should be noted, and all opportunities should be taken to
Water observe the groundwater level. Wells and deep holes or excavations are
(springs and seepages) good sources for locating the groundwater table.
Study of Existing A very close examination of existing structures with regard to type of support,
Structures apparent settlement, load, location, and age will yield a wealth of data. The
foundation plan and boring logs for these structures may be available.
Topography Topography to some extent is indicative of subsurface conditions. For
example, in a narrow, steep stream bed, rocks are likely to be near the
surface with little overlying stream-deposited soil. Topography notes are also
of importance to the drill crew’s preparation for the site. They can be advised
as to where the use of truck-mounted drills is possible and where portable or
winched equipment will be necessary.
Vegetation To some extent, vegetation is indicative of subsurface soil and water
conditions. However, the proper consideration of vegetation in the prediction
of subsurface conditions requires considerable experience on the part of the
observer, which can be gained by viewing many sites and comparing them
with the boring results, and also by understanding types of vegetation and
their required ecosystem.

Information required by the Drill Crew: The information needed by the drill
crew should be more definite and detailed. They need to know how to get to the
site, where to drill, what equipment to take, and what difficulties to expect.
Generally, the type of information needed are listed in Table 3-2.

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Table 3-2 List of Information Required by Drill Crew (field reconnaissance)

Item Action
Verification of Boring The proposed locations of borings should be checked for accessibility.
Plan Desirable deletions, additions, and relocations should be made as are
necessary to better suit the crew’s capabilities and to add completeness to
the subsurface information.
Type of Equipment Notes should be made as to which type of exploration is suited to the site
Needed (rotary, auger boring, cone penetration test, etc.). All sites should be
explored by the method most applicable to the field conditions, and
accessibility of the site is an important consideration in determining the type
of equipment needed.
Reference Points and The reconnaissance should determine if reference points and bench marks
Bench Marks are in place adjacent to the site and properly referenced on the plans. The
boring locations may be laid out by the reconnaissance party, by the drill
crew, or by others. The exploratory hole locations shall be surveyed in to the
local grid and bench marks. If this is not feasible then the borehole locations
shall be located and recorded using a portable GPS, and the elevation of the
borehole estimated from the topographic map.
Permission of Property If the drilling is to be done on property belonging to others or if access is
Owners through property belonging to others, permission to do the work or to get to
the work should be obtained in advance by the reconnaissance party, if
possible or by others, if necessary.
Utilities Underground or overhead utilities located at the site should be accurately
shown on the plans or their locations should be staked on the ground.
Otherwise, the names of agencies or people to call before work starts should
be shown on the drill foreman’s work plans.
General Notes General notes should be made concerning the best route to the site and any
other information which could be of value to the drill crew. If exploration
methods other than drilling are applicable to the site, the locations and types
of tests should be decided upon during the reconnaissance.

3.1.3 Site Inspection

The geotechnical site inspection is conducted to acquire first-hand knowledge of
the soil and geologic condition of the project area as a basis for review of the
geotechnical investigation program and the data included in the geotechnical
investigation report. The site inspection is ideally conducted before or during
the conduct of soil exploration of a project (road, bridge, slope protection and
structure projects). The output of this activity is the inspection report signed by
the inspection team containing among others the description of the site,
observations, expected site geology and soil type, topography, vegetation,
findings, comments and recommendations. The reason for any significant
deviation from the geotechnical program must be addressed in writing to the
head of the design office.

3.2 Review of History of Previous Land Use

3.2.1 New Construction

For new construction, a detailed investigation to be performed for the purpose
of detailed site characterization to be used for design is necessary. The design
phase investigation is performed in one, two or more stages.
 Preliminary Investigation: The initial or preliminary investigation is
typically performed early in the design process during the Concept
Development prior to defining the proposed structure elements or the
specific locations of foundations, embankments or earth retaining

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structures. Accordingly, the preliminary design investigation typically

includes a limited number of borings and testing sufficient for defining the
general stratigraphy, soil and rock characteristics, groundwater conditions,
and other existing features of importance to foundation design. Such
investigation is required where the ground conditions, or geohazards, could
be such as to significantly affect the estimated budget for the project.
 Main Investigation: After the location of structure foundations and other
design elements have been determined, an investigation is performed during
Design Development to obtain site specific subsurface information at the
final substructure locations for design purposes and to reduce the risk of
unanticipated ground conditions during construction.
 Supplementary Investigation: Further investigation stages can be
considered if there are significant design changes or if local subsurface
anomalies or complexity warrant further study.

3.2.2 Rehabilitation Projects

Many geotechnical investigations involve rehabilitation and remediation of
highway projects, including landslides or slope failures, embankment stability,
slope stabilization, subgrade and pavement settlement, and replacement of old
foundation systems.
The detail required for the subsurface investigation of rehabilitation projects
depends on a number of variables, including:
 The condition of the facility to be rehabilitated.
 The nature of distress such as pavement failure, deep seated failures,
structure settlement, landslides, drainage and water flow, or imminent
collapse.
 Whether the facility will be returned to its original and as-built condition or
will be upgraded.
 The proposed geometry, location, loadings and structure changes for
upgrade.
 The required design life of the rehabilitated facility.
The above information should be obtained to aid in planning an appropriate
investigation program. As a minimum, the Project Description, which should
identify the key elements of the upgrading work, should be available.

3.2.3 Contaminated Sites

The geotechnical engineer occasionally must perform subsurface investigations
at sites with contaminated soils or groundwater. Contamination may be of a
non-hazardous or hazardous nature. Sampling and handling of contaminated
samples is a complicated topic which is beyond the scope of this guide. However,
it is necessary for all involved in geotechnical investigations to be aware of the
salient points of these procedures.

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When an investigation is to be performed, acquisition records for newly

obtained right-of-way will indicate the most recent land use for the area.
Furthermore, the environmental section of the agency will most probably have
developed Environmental Impact Statements and will have identified
contaminated areas and the type of contamination.
Some signs of possible contamination are:
 Prior land use (old fill, landfills, gas stations, etc.)
 Stained soil or rock
 Apparent lack of vegetation or presence of dead vegetation and trees
Further details of investigation of contaminated land are included in Volume 2A
GeoHazard Assessment. If contaminated land is suspected at the proposed
project site then expert advice should be sought before undertaking any
subsurface exploration.

3.3 Review of Geology (including Geomorphology and Seismicity)

Review of Geology generally consists of three (3) main components namely:
study of regional geology, seismic hazard assessment, and seismic design
parameters for analysis.
 Regional Geology: Regional Geology is the geological study of large-scale
regions. It is used to assess important geologic formations and features. It is
also used to understand site history and geomorphology. It is highly
recommended to consult with a Geologist to best characterize formations
such as existing faults where explorations are intended. Regional geologic
maps are available at Philippine Institute of Volcanology and Seismology
(PHIVOLCS), Mines and Geosciences Bureau and Philippine Atmospheric
Geophysical and Astronomical Services Administration (PAGASA).
 Seismic Hazard Assessment: Seismic Hazard refers to the study of
expected earthquake ground motions at the earth's surface, and its likely
effects on existing natural conditions and man-made structures for public
safety considerations. The results of such studies are published as seismic
hazard maps, which identify the relative motion of different areas on a local,
regional or national basis. The hazards determined are assessed and
included in building codes for standard buildings, designing larger buildings
and infrastructure projects. Seismic Hazard Maps are also available at
PHIVOLCS or at their website.
Seismic hazard assessment is included in DGCS Volume 2A GeoHazard
Assessment.

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4 Design of Investigation Program

4.1 Subsurface Exploration Planning
The field exploration methods, sampling requirements, and types and frequency
of field tests to be performed will be determined based on the existing
subsurface information, project design requirements, the availability of
equipment, and local practice. The geotechnical engineer should develop the
overall investigation plan to enable them to obtain the data needed to define
subsurface conditions and perform engineering analyses and design. A geologist
can often provide valuable input regarding the type, age and depositional
environment of the geologic formations present at the site for use in planning
and interpreting the site conditions.

4.1.1 Types of Investigations

Generally, the following investigation methods can be conducted.

Interpretation of Aerial Photographs and/or Satellite Imagery

Aerial photographs and satellite images can effectively be used to identify
terrain conditions, geologic formations, escarpments and surface reflection of
faults, buried stream beds, site access conditions and general soil and rock
formations. The geotechnical engineer needs to be familiar with these
techniques, as well as their limitations and capabilities.

Geophysical Investigations
Some of the more commonly-used geophysical tests are surface resistivity (SR),
ground penetrating radar (GPR), and electromagnetic conductivity that are
effective in establishing ground stratigraphy, detecting sudden changes in
subsurface formations, locating underground cavities in karst formations, or
identifying underground utilities and/or obstructions. Detailed discussion for
each method can be found in Chapter 9.

Disturbed Sampling
Disturbed samples are obtained to determine the soil type, gradation,
classification, consistency, density, presence of contaminants, stratification, etc.
Disturbed samples may be obtained by hand excavating methods by picks and
shovels, or by truck-mounted augers and other rotary drilling techniques. These
samples are considered ‘disturbed’ since the sampling process modifies their
natural structure.

In-situ Testing
In-situ methods can be particularly effective when they are used in conjunction
with conventional sampling to reduce the cost and the time for field work and
improve the quality of measured geotechnical parameters. These tests provide
subsurface information in addition to developing more refined correlations

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between conventional sampling, testing and in-situ soil parameters. Options for
routine subsurface investigation will be cone penetration testing, preferably
with pore pressure measurement, and in-situ vane testing.

Undisturbed Sampling
Undisturbed samples are used to determine the in-place strength,
compressibility (settlement), natural moisture content, unit weight,
permeability, discontinuities, fractures and fissures of subsurface formations.
Even though such samples are designated as ‘undisturbed,’ in reality they are
disturbed to varying degrees. Routine ‘undisturbed’ sampling is carried out
using a Shelby tube. Higher quality samples can be obtained using a stationary
piston sampler for soft soils, or a Mazier sampler for more competent deposits.

4.1.2 Frequency and Depth of Borings

Frequency or Spacing: The frequency and spacing of borings will depend on
the variability of subsurface conditions, type of facility to be designed, and the
investigative phase being performed. For conceptual design or route selection
studies, very wide boring spacing (up to 300 m, or more) may be acceptable
particularly in areas of generally uniform or simple subsurface conditions;
However for smaller and less complex projects, no subsurface survey is
undertaken at this stage. For more complex projects with challenging
geotechnical issues, such a survey may be needed, and even a closer spacing
may be necessary at Concept Design stage, but the number of borings would be
limited to that necessary for making basic design decisions. For the Main
Investigation undertaken during Design Development, however, relatively close
spacing of borings may be required depending on the geotechnical application.
Minimum requirements for spacing of exploratory locations are given in Section
4.2 to 4.6.
Depth: The location and frequency of sampling depends on the type and critical
nature of the structure, the soil and rock formations, the known variability in
stratification, and the foundation loads. While the rehabilitation of an existing
pavement may require 4 m deep borings only at locations showing signs of
distress, the design and construction of a major bridge may require borings
often in excess of 30 m. For different geotechnical features, different spacing and
depths need to be assessed.
Frequently, it may be necessary or desirable to extend borings beyond the
minimum depths, or the depths initially specified in the soil exploration plan, to
better define the geologic setting at a project site, to determine the depth and
engineering characteristics of soft underlying soil strata, or to assure that
sufficient information is obtained for cases when the structure requirements are
not clearly defined at the time of drilling.
Subsurface investigation programs, regardless on how well they may be
planned, must be flexible to adjust on variations in subsurface conditions
encountered during drilling. The project’s geotechnical engineer should at all
times be available to confer with the field inspector. On critical projects, the
geotechnical engineer should be present during the field investigation. He/she

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should also establish communication with the design engineer to discuss

unusual field observations and changes to be made in the investigation plans.

4.1.3 Boring Locations

A licensed surveyor should establish all planned drilling locations and
elevations. A reference benchmark (BM) should be indicated on the site plans
and topographic survey. If a BM is not shown, a temporary benchmark (TBM)
should be established on a permanent feature (e.g., manhole, intersection of two
streets, fire hydrant, or existing building). A TBM should be a feature that will
remain intact during future construction operations. Typically, the TBM is set up
as an arbitrary elevation (unless the local ground elevation is uniform). Field
inspectors should always indicate the BM and/or TBM that was used on the site
plan. Refer to Volume 2B: Engineering Surveys.
A Total Station Equipment may be used to determine elevations. Elevations
should be reported on the logs to the nearest tenth of a meter unless other
directions are received from the designers. In all instances, the elevation datum
must be identified and recorded. Throughout the boring program, the datum
selected should remain unchanged.
Where the survey cannot be undertaken to the level of detail described above,
the reasons should be identified in the Geotechnical Report. As a minimum, the
locations of all exploratory holes shall be located using a handheld GPS and the
ground level estimated from the topographic map. The method by which
location and elevation were identified shall be described in the Geotechnical
Report.

4.1.4 Equipment
A list of equipment commonly needed for field exploration is presented in Table
4-1.

Table 4-1 List of Equipment for Field Exploration

Equipment Items
Paperwork/Forms Project Description
Site Plan
Technical Specifications
Copies of required Permits
Field Manuals
Safety/Personal Hard hat
Equipment Safety boots
Safety glasses (when working with hammer or chisel)
Rubber Safety boots (where required)
Rain gear (where required)
Work gloves
Miscellaneous Clipboard
Equipment Pencils, felt markers, grease pencils
Scale and straight edge
Watch
Calculator
Camera
Compass
Portable GPS
Pocket Penetrometer and/or Torvane
Communication Equipment (two-way radio, cellular phone)

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4.1.5 Personnel
The field crew is a visible link to the public. The public's perception of the
reputation and credibility of the agency represented by the field crew may be
determined by the appearance and behavior of the personnel and field
equipment. It is the drilling supervisor’s duty to maintain a positive image of
field exploration activities, including the appearance of equipment and
personnel and the respectful behavior of all personnel. In addition, the drilling
supervisor is responsible for maintaining the safety of drilling operations and
related work, and for the personal safety of all field personnel and the public.
The designated Health and Safety Officer is responsible for verifying compliance
of all field personnel with established health and safety procedures related to
contaminated soils or groundwater.

4.1.6 Plans and Specifications

Each subsurface investigation program must include a location plan and
technical specifications to define and communicate the work to be performed.
A checklist guide of site investigation plan is appended on this report in Annex
A: Geotechnical Assessment Checklist.

4.2 Roads

4.2.1 Requirements
Spacing: For the Main Investigation on existing earth roads, auger borings and
test pits shall be made along the centreline of the road on an average interval of
250 meters where traffic is greater than 300 vehicles per day or every 500
meters where traffic is less. In widening of existing pavements, borings and test
pits shall be located in the area of widening usually below the shoulder. On new
roads, auger borings shall be made on the proposed alignment at an average
interval of 500 meters for homogenous strata, and 250 meters for loose or
heterogeneous strata and lesser for soft, marshy portions. Required number of
samples for CBR testing shall be one test for each layer for each test pit.
Where the ground conditions are believed to be complex, and exploratory
locations at these spacing are likely to be inadequate to clearly identify the
variability of the ground conditions, then the spacing of exploratory locations
shall be reduced, to half these spacing for generally complex sites, and to 50m in
areas where specific anomalies such as karst are expected.
If the Main Investigation results are inadequate to clearly identify the variability
of the ground, or to sufficient depth to enable an adequate design, then the
Supplementary Investigation shall be carried out and exploratory holes sited at
the areas where specific information is required.
Depth: For areas of light cut and fill, not exceeding one metre in height, where
there are no special problems, the exploration shall extend to a maximum depth
of 1.5 m below the proposed subgrade. Where deeper cuts are to be made the
depth shall be to 2 m below the base elevation of the cutting. For larger
embankment across the marshland or where subsurface information indicates

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the presence of weak layers, the depth shall depend on the topography and
nature of the subsoil; soft recent clays may extend as deep as 20–25 m and the
base of the soft clay must be identified. Cone penetration testing is particularly
appropriate in such circumstances.

4.2.2 Data to be Obtained

Information needed in the design are the following: type of underlying subgrade
soils, depth of water level and physical properties of soils. Laboratory tests to be
made on samples are: mechanical sieve analysis, hydrometer test, specific
gravity, Atterberg limits, moisture density relationships, California Bearing
Ratio (CBR), and natural moisture content.
Where the road is on embankment then tests on soft underlying materials must
include strength and compressibility tests. For rehabilitation projects, thickness
of existing pavement, condition and type of materials in the pavement structure
should also be obtained.

4.3 Bridges

4.3.1 Requirements
Spacing: For piers or abutments over 30 m wide, provide a minimum of two
borings. For piers or abutments less than 30 m wide, provide a minimum of one
boring per pier or abutment. Additional borings should be provided in areas of
complex or variable subsurface conditions.
Depth: Table 4-2 gives the minimum requirements for exploratory hole depths
for the different types of foundation.
If the foundation design has not been identified, then exploratory holes shall be
specified to be to 30 m depth in the Main Investigation, or to 3 m into sound
rock if rock is encountered above that depth.
Location: Borings are to be conducted at the proposed abutment location, or as
close as possible if there are obstructions that cannot be removed. The location
coordinates shall be recorded to 0.1 m accuracy (x,y,z) by global positioning.

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Table 4-2 Minimum Requirements for Boring Depths

Areas of Investigation Recommended Boring Depth

Bridge Foundations* Highway Bridges

1. Shallow Foundations Depth of exploration should be:

 Great enough to fully penetrate unsuitable foundation soils, e.g.,
peat, organic salt, or soft fine grained soils, into competent material
of suitable bearing resistance, e.g., stiff to hard cohesive soil, or
compact to dense cohesionless soil or bedrock;
 At least to a depth where stress increase due to estimated
foundation load is less that ten percent of the existing effective
overbudden stress at that depth; and
 If bedrock is encountered before the depth required by the second
criterion above is achieved, exploration depth should be great
enough to penetrate a minimum of 3000 mm into the bedrock, but
rock exploration should be sufficient to characterize compressibility
of infill material of near-horizontal to horizontal discontinuities.
Note that for highy variable bedrock conditions, or in areas where very
large boulders are likely, more than 3000 mm or rock core may be
required to verify that adequate

2. Deep Foundations In soil, depth of exploration should extend below the anticipated pile or
shaft tip elevation a minimum 6000 mm, or a minimum of two times the
maximum pile group dimension, whichever is deeper. All borings should
extend through unsuitable strata such as unconsolidated fill, peat, highly
organic materials, soft fine-grained soils, and loose coarse-grained soils
to reach hard or dense materials.
For piles bearing on rock, a minimum of 3000 mm of rock core shall be
obtained at each exploration point location to verify that the boring has
not terminated on a boulder.
For shafts supported on or extending into rock, a minimum of 3000 mm
of rock core, or length of rock core equal to at least three times the shaft
diameter for isolated shafts or two times the maximum shaft group
dimension, whichever is greater, shall be extended below the anticipated
shaft tip elevation to determine the physical characteristics of rock within
the zone of foundation influence.
Note that for highly variable bedrock conditions, or in areas where very
large boulders are likely, more than 3000 mm or rock core may be
required to verify that adequate quality bedrock is present.

Source: AASHTO 2012 LRFD Bridge Design Specifications, SI Units, 5th Edition

4.3.2 Data to be Obtained

The character and bearing capacity of the underlying strata must be obtained.
Laboratory tests to be made on the samples are: mechanical sieve analysis and
hydrometer test, natural moisture content, Atterberg limits, specific gravity, and
consolidation test (if soft soils were encountered). While strength parameters
can be obtained based on SPT correlations, strength tests (direct shear test or
triaxial test) should also be performed.

4.4 Slope Protection Works

4.4.1 Requirements
Location: Borings or test pits are to be conducted at the proposed retaining
wall, slope protection works or culvert location, or as close as possible if there
are obstructions that cannot be removed. The location coordinates shall be
recorded to 0.1 m accuracy (x,y,z) by global positioning system (GPS) device.
Spacing: the spacing of exploratory holes for various slope protection works is
given in Table 4-3.

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Table 4-3 Guidelines for Boring Layout for Retaining Walls, Slope Protection Works and
Culverts

Geotechnical Boring Layout

Features
Retaining Walls A minimum of one boring should be performed for each retaining wall. For
retaining walls more than 30 m in length, the spacing between borings
should be no greater than 30 m. Additional borings inboard and outboard of
the wall line to define conditions at the toe of the wall and in the zone behind
the wall to estimate lateral loads and anchorage capacities should be
considered.
Cuts A minimum of one boring should be performed for each cut slope. For cuts
more than 60 m in length, the spacing between borings along the length of
the cut should generally be between 60 and 120 m.

At critical locations and high cuts, provide a minimum of two borings in the
transverse direction to define the existing geological conditions for stability
analyses. For an active slide, place at least one boring upslope of the sliding
area.
Embankments Use criteria presented above (i.e. Cuts).
Culverts Test pit should be performed for culverts in general. For major culverts
(culverts on high embankment, very long culverts or culverts in areas of
variable subsurface conditions), the engineer may opt to require boring.

Depth: The depths of exploratory holes for various slope protection works,
retaining walls and culverts are given in Table 4-4.

Table 4-4 Minimum Requirements for Boring Depths for Retaining Walls, Slope Protection
Works and Culverts

Areas of Investigation Recommended Boring Depth

Retaining Walls Extend borings to depth below final ground line between 0.75 and 1.5 times
the height of the wall. Where stratification indicates possible deep stability or
settlement problem, borings should extend until three (3) successive SPT N
values >30 are obtained.

For deep foundations, use criteria presented above for bridge foundations.
Cuts Borings should extend a minimum of 5 m below the anticipated depth of the
cut at the ditch line. Borings depths should be increased in locations where
base stability is a concern due to the presence of soft soils, or in locations
where the base of the cut is below groundwater level to determine the depth
of the underlying pervious strata.
Embankments Extend borings a minimum depth equal to twice the embankment height
unless a bearing layer (dense soil or rock formation) is encountered above
this depth. Where soft layers are encountered which may present stability or
settlement concerns the borings should extend until three (3) successive
SPT N values >30 are obtained.
Culverts Use criteria presented above (i.e. Embankments).

4.4.2 Data to be Obtained

Information needed for the design are the following: soil stratification, condition
and type of materials of the slope, depth of water level and physical properties
of soils. Laboratory tests to be made on samples are as a minimum: mechanical
sieve analysis and hydrometer test, Atterberg limits, strength test such as
unconfined compression test, direct shear test or triaxial test.

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4.5 Structures

4.5.1 Requirements
Spacing: For buildings, generally, borings are made one at each corner of the
structure and one at the center. For low load warehouse building of large area, a
minimum of four borings at corners plus intermediate borings at interior
foundations will be sufficient to define subsoil profile.
Depth: For large structures with separate closely spaced footings, borings shall
be extended to a depth of 30 meters, or until three successive SPT N-values > 30
are recorded.

4.5.2 Data to be Obtained

The character and bearing capacity of the underlying strata must be obtained.
Laboratory tests to be made on the samples are: mechanical sieve analysis and
hydrometer test, natural moisture content, Atterberg limits, specific gravity, and
consolidation test (if soft soils were encountered). While strength parameters
can be obtained based on SPT correlations, strength tests (direct shear test or
triaxial test) should also be performed.

4.6 Forensic Analysis

In its original meaning, forensics referred to the use of science and technology to
investigate and establish facts in criminal or civil courts of law. However it has
been used more widely, within engineering, to refer to the technical
investigation of failed construction works. Forensic Analysis should be
undertaken by an Engineering Geologist or Geotechnical Engineer with a
minimum of ten years experience and has undertaken at least ten similar
projects (forensic investigation).

4.6.1 Subsurface Soil

Normally, subsurface soil investigation is also conducted in forensic analysis in
several key aspects:
 Environmental – groundwater flow, surface water impacts, wetlands, and
land subsidence.
 Soil characterization, locating buried objects and verification of existing data.
 Accidents – excavation/trench collapse, subsurface explosion.
The extent of soil investigation will depend on the importance of the structure
and the risk involved. The geotechnical investigation program shall be
determined by an experienced geotechnical engineer and shall be specific for
each investigation.

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4.6.2 Structure
Confirmatory drillings are necessary to verify existing data available. The
requirements stated at Section 4.5 are recommended to be adopted whenever
applicable.

4.6.3 Plans and Specifications

Each subsurface investigation program must include a location plan and
technical specifications to define and communicate the work to be performed. A
checklist on geotechnical assessment is provided in Annex A. The location of
boreholes should be indicated in the bridge site survey plan.

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5 Drilling and Sampling

5.1 Shallow Soil Exploration
Test Pits and Trenches

Test pits and trenches are excavated to permit detailed examination of

subsurface materials in situ at shallow depth, and also to identify and avoid
services when exploratory holes are planned. They also provide a means to
obtain large-size undisturbed and disturbed samples of the materials
encountered for laboratory testing. The procedure is described in Annex B.
Auger Holes

This method of boring can be used for any purpose where disturbed samples are
satisfactory for soil classification and sampling. It is used more widely in making
linear soil surveys than in foundation investigations, although it is a fast method
for advancing a hole and does not usually require the use of water. It is also
valuable in advancing holes to depths at which samples can be obtained with
thin-wall samplers or split-barrel samplers. Auger holes are of particular value
in those locations where the use of drilled shafts is being considered. Auger use
is not well suited to sites having granular soils and high groundwater tables.
Test procedure is described in Annex B.

Figure 5-1 Auger Hole Drilling Set-up

5.2 Borehole Drilling

Rotary Drilling

Using this method and equipment, practically all foundations materials can be
successfully explored for soil and rock classification and for sampling.
Procedure:
1. In this method, the hole is advanced by the rapid rotation of the drill bit and
by the eroding action of the drilling fluid, which is pumped through drill
rods to the bit. The fluid emits from the bit and returns to the surface,
carrying the cuttings with it.

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2. The drill rods are connected through a series of drives with a rotary drill
table or a schuck, through which rotation and thrust or pressure is applied
via the rods to the bit. Bits are available for various materials from sand to
hard rock.
3. The rotary table on these drills is powered through gears or a drive chain
from the power train of the drill. In some drives, a drive quill in the turntable
powers a hollow drive rod, usually hexagonal. The drive rod usually
hexagonal in turn powers a drill rod or special “Kelly” rod.
4. If a regular drill rod is used, clamp the drive quill to the drive rod by a
schuck located at the bottom of the drive rod. If a “Kelly” is used, it maybe
driven in rotation by drive pins located in its slotted surface, and the chuck
need not be clamped for rotation. However, in order to apply a thrust having
a value greater than the weight of the drill rods, the chuck must be
tightened.
Diamond Drilling

When refusal is encountered with ordinary drilling techniques, diamond coring

method can be employed. This shall be used to obtain small diameter of core
samples to determine the nature and extent of hard strata
Procedure:
1. Replace the drilling bit on the end of the drill rod by a core barrel having a
diamond bit. This shall abrade or cut a doughnut-shaped hole in the rock,
leaving a solid core that passes up into the core barrel as the hole
progresses.
2. After a “run” or after the barrel is full, withdraw the tools and empty the
core barrel.
Percussion Drilling

This method is commonly used in drilling water wells and is also known as cable
tool or churn drilling. Its main application is the removal of hard layers
encountered by other methods and the drilling of materials which is extremely
expensive to penetrate by other means.
Procedure:
1. Advance the borehole by alternately raising and dropping a heavy bit which
is connected to a drill stem attached to a cable.
2. Then remove the cuttings by lowering a bail or bucket into the hole and
removing the slurry formed.
Wash Boring

This method is commonly used to advance the borehole with a drilling machine.
Without sampling equipment (cathead and tripod), the method can be used
more or less as a means of sounding.
Procedure:
Procedure for this method is similar to rotary drilling in that the cuttings are
removed from the borehole by the drilling fluid, however, except for the hand

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action, there is no rotation of the drill rods. The advancement of the hole is
obtained from the chopping action of the bit and from the jetting action of the
drilling fluid.
Wash boring maybe done by hand, but the work shall be greatly facilitated by
the use of a cathead and tripod. When only hand equipment is used, the method
is crude because only wash samples are possible. When a cathead and tripod are
used, Standard Penetration Test (SPT) samples can be taken.

5.3 Sampling

Split-Spoon Sampling
Split-spoon sampler shall be used in Standard Penetration Test. This sampler is
generally used when the soil is cohesionless and granular in nature and in
cohesive soils where disturbed samples are satisfactory for basic evaluations.
The procedure for split-barrel or split-spoon sampling is part of the Standard
Penetration Test (AASHTO, designation T 206). Test procedure is described in
Annex B.

Push Barrel or Thin-Wall Tube Sampling (Reference is made to AASHTO designation T 207)
Shelby Tube Sampling

The Shelby type thin-walled tube sampler is generally used in silt and clays and
in other cohesive soils free from obstructions and containing little or no
granular material in order to obtain undisturbed samples. Test procedure is
described in Annex B.

Wet Barrel or Double-Wall Tube Sampling

This type of sampling is used when undisturbed samples are required, and
severe conditions such as very stiff clays, hardpans, or highly-cemented soils are
encountered which cannot be penetrated by pressing a thin-walled tube
sampler into the soil. Test procedure is described in Annex B.

Dry Barrel or Single-Wall Tube Sampling

This sampling is practically applicable in all foundation materials except for
every soft clays and cohesionless sand. It obtains sample containing all
components in the original formation. Test procedure is described in Annex B.

Retractable Plug Sampling

The retractable plug sampler may also be used in an uncased hole, and it is
valuable for determining the vertical sequence of fine-grained soils.
Procedure:
1. Advance the sampler by pushing or driving with the plug in the bit until
sampling depth is reached.
2. Retract and lock the plug in position.

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3. Push or drive the sampler to within the 10.075 to 0.152 m of its length.
4. Withdraw and disassemble the sampler, then remove the liner tubes of the
soil.
5. Replace the tubes, reassemble the sampler and repeat the operation until
the specified depth is reached, or after the hole has been advanced if
continuous samples are not taken.
6. Seal the samples taken with caps and tape or wax for classification and test.

Rock Sampling / Coring

When rock formation is encountered, coring shall be performed using at least
NQ core-size barrel. The logger shall conduct visual identification and
classification of soil or rock core samples recovered from sampling or diamond
drilling. Test procedure is discussed in Annex B.

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6 In-situ Tests
6.1 Standard Penetration Test
SPT indicates that the blow count correlates with the variable density and/or
consistency of the material being penetrated thus, probable shear strength and
bearing capacity is determined. The result of this test shall be used only to
describe granular soil density and clayey soil consistency. When sampling clays,
this test can be used in the field in conjunction with the unconfined compression
test. Test procedure is described in Annex B.

Figure 6-1 Standard Penetration Test Set-up

6.2 Cone Penetration Test

6.2.1 Mechanical CPT

This test method supplies data on selected engineering properties of soil
intended to help with design and construction of earthworks and the
foundations for structures. This test method tests the soil in place and does not
obtain soil samples. Engineers usually obtain this soil information from parallel
borings and soil sampling methods, but prior information or experience may
preclude the need for borings. Engineers often correlate the results of tests by
this test method with laboratory or other types of field tests or directly with
performance. The accuracy of such correlations will vary with the type of soil
involved. Engineers usually rely on local experience to judge this accuracy. Test
procedure is described in Annex B.

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6.2.2 Electric Piezocone

Tests performed using this test method provide a detailed record of cone
resistance which is useful for evaluation of site stratigraphy, homogeneity and
depth to firm layers, voids or cavities, and other discontinuities. The use of a
friction sleeve and pore pressure element can provide an estimate of soil
classification, and correlations with engineering properties of soils. When
properly performed at suitable sites, the test provides a rapid means for
determining subsurface conditions.
This test method provides data used for estimating engineering properties of
soil intended to help with the design and construction of earthworks, foundation
of structures, and the behaviour of soils under static and dynamic loads.
This test method tests the soil in situ and soil samples are not obtained. The
interpretation of the results from this test method provides estimates of the
types of soil penetrated. Engineers may obtain soil samples form parallel
borings for correlation purposes but prior information or experience may
preclude the need of borings. Test procedure is described in Annex B.

Figure 6-2 Cone Penetration Test Set-up

6.3 Field Vane Shear Test

This is performed to obtain shear strength values in weak fine-grained soils
such as cohesive soils in situ. Test procedure is described in Annex B.

6.4 Plate Load Test

This test determines immediate settlements of spread foundations. Results
obtained have no relation, however to deep-seated settlement due to volume
change under load of entire foundations. Test procedure is described in Annex
B.

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6.5 Dynamic Cone Penetration Test

The Dynamic Cone Penetration Test provides a measure of a material’s in-situ
resistance to penetration. The test is performed by driving a metal cone into the
ground by repeated striking it with an 8kg weight dropped from a distance of
575 mm. The penetration of the cone is measured after each blow and is
recorded to provide a continuous measure of shearing resistance up to 5 feet
below the ground surface. Test results can be correlated to California Bearing
Ratios, in-situ density, resilient modulus, and bearing capacity. Test procedure is
described in Annex B.

6.6 Other In-situ Tests

6.6.1 Probe Tests

 Piezocone Penetrometer Probe: is advanced using the same equipment as
a regular CPT probe, but the probe has an additional instrument which
measures the groundwater pressure as the probe is advanced.
 Seismic Piezocone Penetrometer Probe: is advanced using the same
equipment as a CPT or CPTu probe, but the probe is also equipped with
either geophones or accelerometers to detect shear waves and/or pressure
waves produced by a source at the surface. It is appropriate for use in soils
suspected of being susceptible to liquefaction (see Volume 2A: GeoHazard
Assessment).

6.6.2 Field Density Tests

 Sand Cone Method: A sand-cone method is commonly used to determine
the density of compacted soils using Ottawa sand as standard soil to replace
the excavated portion in determining the unknown density of in-situ soils.
Test procedure is described in Annex B.
 Rubber Balloon Method: this is in principle similar to the sand cone test
except that water is utilized as the displacing material to determine the
unknown density of in-situ soils. Test procedure is described in Annex B.
 Nuclear Density Test: It consists of a radiation source that emits a directed
beam of particles and a sensor that counts the received particles that are
either reflected by the test material or pass through it. By calculating the
percentage of particles that return to the sensor, the gauge can be calibrated
to measure the density and inner structure of the test material. Test
procedure is described in Annex B.

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7 Laboratory Tests for Soils

Laboratory testing of soils is a fundamental element of geotechnical engineering.
The complexity of testing required for a particular project may range from a
simple moisture content determination to specialized strength and stiffness
testing. Since testing can be expensive and time consuming, the geotechnical
engineer should recognize the project’s issues ahead of time so as to optimize
the testing program, particularly strength and consolidation testing. Before
describing the various soil test methods, soil behaviour under load will be
examined and common soil mechanics terms introduced. The following
discussion includes only basic concepts of soil behaviour. However, the engineer
must grasp these concepts in order to select the appropriate tests to model the
in-situ conditions. Basic soil mechanics textbooks should be consulted for
further explanation of these and other terms.

7.1 Selection of Applicable / Appropriate Tests

Certain considerations regarding laboratory testing, such as when, how much,
and what type, can only be decided by an experienced geotechnical engineer.
The following basic criteria should be considered while determining the scope
of the laboratory testing program:
 Project type (bridge, embankment, rehabilitation, buildings, etc.)
 Size of the project
 Loads to be imposed on the foundation soils
 Types of loads (static, dynamic, etc.)
 Critical tolerances for the project (settlement limitations)
 Vertical and horizontal variations in the soil profile as determined from
boring logs and visual identification of soil types in the laboratory
 Known or suspected peculiarities of soils at the project location (i.e., swelling
soils, collapsible soils, organics, etc.)
 Presence of visually observed intrusions, slickensides, fissures, concretions,
etc.
The selection of tests should be considered preliminary until the geotechnical
engineer is satisfied that the test results are sufficient to develop reliable soil
profiles and provide the soil parameters needed for design. Following this
subsection are brief discussions of frequently used soil properties and tests.
These discussions assume that the reader will have access to the latest volumes
of AASHTO and ASTM standards containing details of test procedures and will
refer to them in connection with this document.

7.2 Visual Identification of Soils

Guidelines for visual identification of soils can be used in field as well as
laboratory investigations. The procedure is described in Annex B.

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7.3 Index Properties

Index properties are used to characterize soils and determine their basic
properties such as moisture content, specific gravity, particle size distribution,
consistency, and moisture-density relationships.

Moisture Content
Test procedure is described in Annex B.
Purpose: To determine the amount of water present in a quantity of soil in
terms of its dry weight to be used to provide general correlations with strength,
settlement, workability and other properties.
Procedure: Oven-dry the soil at a temperature of 110±5oC to a constant weight
(evaporate free water); this is usually achieved in 12–18 hours.

Specific Gravity
Test procedure is described in Annex B.
Purpose: To determine the specific gravity of the soil grains. This can indicate
the mineralogy of the material which may have an effect on its engineering
properties.
Procedure: The specific gravity is determined as the ratio of the weight of a
given volume of soil solids at a given temperature to the weight of an equal
volume of distilled water at that temperature, both weights being taken in air.

Unit Weight
The measurement of unit weight for undisturbed soil samples in the laboratory
is simply determined by weighing a portion of a soil sample and dividing by its
volume. This is convenient with thin-walled tube (Shelby) samples, as well as
piston samples. The water content should be obtained at the same time to allow
conversion from total to dry unit weights, as needed. Where undisturbed
samples are not available, the unit weight is evaluated from weight-volume
relations between the water content and/or void ratio, as well as the assumed
or measured degree of saturation.

Sieve Analysis
Test procedure is described in Annex B.
Purpose: To determine the percentage of various grain sizes. The grain size
distribution is used to determine the textural classification of soils (i.e., gravel,
sand, silty clay, etc.) which in turn is useful in evaluating the engineering
characteristics such as permeability, strength, swelling potential, and
susceptibility to frost action.
Procedure: Wash a prepared representative sample through a series of sieves
(screens). The amount retained on each sieve is collected, dried and weighed to
determine the percentage of material passing that sieve size.

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Hydrometer Analysis
Test procedure is described in Annex B.
Purpose: To determine distribution (percentage) of particle sizes smaller than
No. 200 sieve (< 0.075 mm) and identify the silt, clay, and colloids percentages
in the soil.
Procedure: Soil passing the No. 200 sieve is mixed with a dispersant and
distilled water and placed in a special graduated cylinder in a state of liquid
suspension. The specific gravity of the mixture is measured periodically using a
calibrated hydrometer to determine the rate of settlement of soil particles. The
relative size and percentage of fine particles are determined based on Stoke’s
law for settlement of idealized spherical particles.

Atterberg Limits
Test procedure is described in Annex B.
Purpose: To describe the relation between consistency and plasticity of fine-
grained soils and the moisture content.
Procedure: For the portion of the soil passing the No. 40 sieve, the moisture
content is varied to identify three stages of soil behavior in terms of consistency.
These stages are known as the liquid limit, plastic limit and shrinkage limit of
soils.
 The liquid limit is defined as the water content at which 25 blows of the
liquid limit machine closes a standard groove cut in the soil pat for a
distance of 12.7 cm. An alternate procedure used in Europe, parts of Asia and
Canada uses a fall cone device to obtain better repeatability.
 The plastic limit is the water content at which a thread of soil, when rolled
down to a diameter of 3 mm, will crumble.

Soil Classification
There are two general classifications used for geotechnical engineering
purposes. They are the Unified Soil Classification System (USCS) and the
American Association of State Highway and Transportation Officials (AASHTO)
soil classification. Charts and Tables are described in Annex B.

7.4 Moisture-Density Relation

Test procedure is described in Annex B.
Purpose: To determine the maximum dry density attainable under a specified
nominal compaction energy for a given soil and the (optimum) moisture content
corresponding to this density.
Procedure: Compaction tests are performed using disturbed, prepared soils
with or without additives. Normally, soil passing the No. 4 sieve (4.75mm) is
mixed with water to form samples at various moisture contents ranging from
the dry state to wet state. These samples are compacted in layers in a mold by a
hammer in accordance with a specified nominal compaction energy. Dry density

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is determined based on the moisture content and the unit weight of compacted
soil.

7.5 California Bearing Ratio

Test procedure is described in Annex B.
Purpose: To determine the bearing capacity of a compacted soil under
controlled moisture and density conditions.
Procedure: The test results are expressed in terms of a bearing ratio which is
commonly known as the California Bearing Ratio (CBR). The CBR is obtained as
the ratio of the unit load required to cause a certain depth of penetration of a
piston into a compacted specimen of soil at some water content and density, to
the standard unit load required to obtain the same depth of penetration on a
standard sample of crushed stone (usually limestone). Typically soaked
conditions should be used to simulate anticipated long-term conditions in the
field. The CBR test is run on three identically compacted samples. Each series of
the CBR test is run for a given relative density and moisture content. The
geotechnical engineer must specify the conditions (dry, at optimum moisture,
after soaking, 95% relative density, etc.) and the surcharge loading under which
each test should be performed.

7.6 Strength Tests

The design and analysis of shallow and deep foundations, excavations, earth
retention structures, and fills and slopes require a thorough understanding of
soil strength parameters. The selection of strength parameters needed and the
corresponding types of tests to be performed vary depending on the type of
construction, the foundation design, the intensity, type and duration of loads to
be imposed, and soil materials existing at the site.
The shear strength should be determined by a combination of both field and
laboratory tests. Laboratory tests provide reference strengths under controlled
boundaries and loading. However samples are obtained from the field are of
limited quality, particularly for sandy materials.
For clays, commonly used laboratory tests include the unconfined compression
and unconsolidated undrained tests. However, these do not attempt to replicate
the ambient stress regime in the ground prior to loading and therefore can only
be considered as index strengths. Preferably, the consolidated triaxial shear and
direct shear box tests can be used in conjunction with consolidation/oedometre
tests in a normalized stress history approach (Ladd & Foott, 1974;
Jamiolkowski, et al. 1985).
Both undisturbed and remoulded or compacted samples are used for strength
tests. Where soils are to be disturbed and remoulded, compacted or stabilized
specimens are tested for strength determination at specified moisture contents
and densities. These may be chosen on the basis of design requirements or the
in-situ density and moisture content of soils. Where obtaining undisturbed
samples is not practical (i.e., sandy and gravelly soils), specimens reconstituted
close to their natural moisture content and density are prepared for testing.

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Unconfined Compressive Strength for Soils

Test procedure is described in Annex B.
Purpose: To determine the undrained shear strength (cu) of clay and silty clay
soils.
Procedure: The soil specimens are tested without any confinement or lateral
support (σ3=0). Axial load is rapidly applied to the sample to cause failure. At
failure, the total minor principal stress is zero (σ3 = 0) and the total major
principal stress is F1 (see Figure 7-1). The maximum measured force over the
sample area is qu and referred to as the unconfined compression strength. Since
the confining pressure is zero, cu = qu/2.

Figure 7-1 Unconfined Compression Test

Triaxial Strength
Test procedure is described in Annex B.
Purpose: To determine strength characteristics of soils including detailed
information on the effects of lateral confinement, porewater pressure, drainage
and consolidation. Triaxial tests provide a reliable means to determine the
friction angle of natural clays & silts, as well as reconstituted sands. The stiffness
(modulus) at intermediate to large strains can also be evaluated.
Procedure: Test samples are typically 35 to 75 mm in diameter and have a
height to length ratio between 2 and 2.5. The sample is encased by a thin rubber
membrane and placed inside a plastic cylindrical chamber that is usually filled
with water or glycerine. The sample is subjected to a total confining pressure
(σ3) by compression of the fluid in the chamber acting on the membrane. A
backpressure (uo) is applied directly to the specimen through a port in the
bottom pedestal. Thus, the sample is initially consolidated with an effective
confining stress: σ3r = (σ3 - uo). (Note that air should not be used as a
compression medium). To cause shear failure in the sample, axial stress is
applied through a vertical loading ram (commonly called deviator stress = σ1 -

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σ3). Axial stress may be applied at a constant rate (strain controlled) or by

means of a hydraulic press or dead weight increments of hydraulic pressure
(stress controlled) until the sample fails.
The axial load applied by the loading ram corresponding to a given axial
deformation is measured by a proving ring or electronic load cell attached to the
ram. Connections to measure drainage into or out of the sample, or for
porewater pressure are also provided. Deflections are monitored by dial
indicators, LVDTs, or DCDTs.

Direct Shear
Test procedure is described in Annex B.
Purpose: To determine the shear strength of soils along a pre-defined
(horizontal) planar surface
Procedure: The direct shear test is performed by placing a specimen into a
cylindrical or square-shaped shear box which is split on a horizontal plane. A
vertical (normal) load is applied over the specimen that is allowed to
consolidate. While either the upper or lower part of the box is held stationary, a
horizontal load is exerted on the other part of the box in an order to shear the
specimen on the predefined horizontal plane. The test is repeated at least three
times using different normal stresses (σNr) The results are plotted in the form
shear stress (τ) vs. horizontal displacement (ε), and corresponding τ vs. σNr. The
effective cohesion intercept and angle of internal friction values can be
determined from this latter plot.

Resonant Column
Test procedure is described in Annex B.
Purpose: To determine the shear modulus (Gmax or G0) and damping (D)
characteristics of soils at small strains for cases where dynamic forces are
involved, particularly seismic ground amplification and machinery foundations.
Research has shown the results are also applicable to static loading at very small
strains (< 10-6 percent); for example (Burland, 1989).
Procedure: Prepared cylindrical specimens are placed in a special triaxial
chamber and consolidated to ambient overburden stresses. Very low amplitude
torsional vibrations are applied to one end of the specimen by use of a special
loading cap with electromagnetics. The resonant frequency, damping, and strain
amplitudes are measured by the use of motion transducers (Woods, 1994).

Miniature Vane
Test procedure is described in Annex B.
Purpose: To determine the undrained shear strength (su) and sensitivity (St) of
saturated
Procedure: The test is performed by inserting a four-bladed vane into the soil
and applying rotation to shear a cylindrical surface. The undrained shear
strength is computed from the measured torque. The miniature vane is similar

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to the field vane shear device, except that it is smaller (blade diameter 12.7 mm,
blade height 25.4 mm).

R-value Test
Test procedure is appended on Annex B.
Purpose: To determine the ability of a soil to resist lateral deformation when a
vertical load acts upon it. The resistance is indicated by the R-value.
Procedure: Measuring the R-value of a soil is done with a stabilometer. A
stabilometer is similar to a triaxial device consisting of a metal cylinder in which
there is a rubber membrane; the annular space between the two is filled with oil
that transmits lateral pressure to the specimen.
Compacted, unstabilized or stabilized soils and aggregates can be used in these
tests. Samples are compacted using a special kneading compaction device. When
the specimen is vertically loaded, a lateral pressure is transmitted to the soil,
which can be measured on a pressure gage. From the displacement measured
for a specified lateral pressure, the R-value is determined.

Resilient Modulus
Test procedure is described in Annex B.
Purpose: To determine the approximate relationships between applied stress
and deformation loading of pavement component materials.
Procedure: A compacted or undisturbed cylindrical specimen is placed in an
oversized triaxial chamber. An axial deviator stress of constant magnitude and
duration and frequency is applied at the same time that a lateral stress is
maintained in the triaxial chamber. The recoverable or resilient axial strain of
the specimen is measured for varying increments of axial stresses.

7.7 Consolidation Test

The one-dimensional consolidation test (or oedometer test) provides one of the
most useful and reliable laboratory measurements for soil behavior. The test
determines the compressibility parameters (Cc, Cs, Cr), stiffness in terms of
constrained modulus (Dr = 1/mv), preconsolidation stress (σpr), rate of
consolidation (cv), creep rate (C’), and approximate value of permeability (k).

One-dimensional Consolidation
Test procedure is described in Annex B.
Purpose: Determination of preconsolidation stress, compression
characteristics, creep, stiffness, and flow rate properties of soils under loading.
Procedure: The test is performed using a 50 mm to 75 mm diameter specimen
25 mm thick taken from an undisturbed sample. Representative samples shall
be taken from the middle third of the sample. Prepared samples are placed in a
rigid-walled loading device called a consolidometer or oedometer. All loads and
recorded deformations are in the vertical direction.

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The specimen is subjected to incremental loads, which are doubled after each
equilibrium phase is reached (after tp corresponding to the end of primary
consolidation). Tradition would use a 24 hour increment per load, although this
is conservative. Alternatively, specimens can be loaded continuously with
monitoring by load cells and porewater pressure transducers.
Generally, it is desirable to perform an unload-reload cycle during the test, with
the unloading initiated at a loading increment along the virgin (post-
preconsolidation pressure) portion of the consolidation curve. The unload-
reload cycle provides a more reliable estimate of the recompression
characteristics of the soil.

Swell Potential of Clays

Test procedure is described in Annex B.
Purpose: To estimate the swell potential of possibly expansive soils.
Procedure: The swell test is typically performed in a consolidation apparatus.
The swell potential is determined by observing the swell of a laterally-confined
specimen when it is charged and flooded. Alternatively, after the specimen is
inundated, the height of the specimen is kept constant by adding loads. The
vertical stress necessary to maintain zero volume change is the swelling
pressure.

Collapse Potential of Soils

Test procedure is described in Annex B.
Purpose: To estimate the collapse potential of soils.
Procedure: The collapse potential of suspected soils is determined by placing
an undisturbed, compacted or remolded specimen in the consolidometer ring
and in a loading device at its natural moisture content. A load is applied and the
soil is then saturated and the magnitude of the vertical displacement is
measured.

7.8 Permeability Test

The hydraulic conductivity or permeability is an important flow property of
soils. Test procedure is described in Annex B.
Purpose: To determine the potential of flow of fluids through soils.
Procedure: The ease with which a fluid passes through a porous medium is
expressed in terms of coefficient of permeability (k), also known as hydraulic
conductivity. There are two basic standard types of test procedures to directly
determine permeability: constant-head; and falling-head procedure.
In both procedures, undisturbed, remolded, or compacted samples can be used.
The permeability of coarse materials is determined by constant head tests. The
permeability of clays is normally determined by the use of a falling head
permeameter. The difference between the two tests is that in the former, the

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hydraulic gradient of the specimen is kept constant, while in the latter, the head
is allowed to decrease as the water permeates the specimen.

7.9 Special Tests

7.9.1 Swell-Shrinkage
This test is conducted to determine the shrink-swell capacity of a clay sample.
The shrink-swell capacity of clay refers to the extent to which a clay will expand
when wetted and shrink when dried. This parameter is important to determine
if the sample is expansive or not. Test procedure is described in Annex B.

7.9.2 Mineralogy
Mineralogy tests are conducted to identify the minerals present in a rock
sample. This is normally done by identifying the following:
 Colour – a rock guide book will help classify/categorize.
 Streaking - Another way to identify a mineral is to examine the colour of the
streak when a mineral is rubbed across a flat surface; the unglazed rear of a
ceramic tile makes a good streak plate.
 Hardness – based on Moh’s Hardness scale.
 Lustre, transparency, cleavage, taste, and odour.

7.9.3 X-Ray Diffraction

X-ray diffraction is a method used for determining the atomic and molecular
structure of a crystal, in which the crystalline atoms cause a beam of X-
rays to diffract into many specific directions. By measuring the angles and
intensities of these diffracted beams, a crystallographer can produce a three-
dimensional picture of the density of electrons within the crystal, and thus
identify the mineralogy.

7.10 Other Tests

7.10.1 Minerals Present

Carbonate Test: You can test your mineral to see if it is a carbonate, an
important group of minerals that contain carbon and oxygen. The chief
carbonate mineral is calcite, from which limestone and marble are
made. Limestones are essential to be identified to be addressed properly for
geotechnical engineering purposes.
Scanning Electron Microscopy: The signals that derive from electron-sample
interactions reveal information about the sample including external morphology
(texture), chemical composition, and crystalline structure and orientation of
materials making up the sample.

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7.10.2 Acidity Test

Litmus Test: Litmus is a water-soluble mixture of different dyes extracted from
lichens. It is often absorbed onto filter paper to produce one of the oldest forms
of pH indicator, used to test materials for acidity.

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8 Laboratory Tests for Rocks

Laboratory rock testing is performed to determine the strength and elastic
properties of intact specimens and the potential for degradation and
disintegration of the rock material. The derived parameters are used in part for
the design of rock fills, cut slopes, shallow and deep foundations, tunnels, and
the assessment of shore protection materials (rip-rap). Deformation and
strength properties of intact specimens aid in evaluating the larger-scale rock
mass that is significantly controlled by joints, fissures, and discontinuity
features (spacing, roughness, orientation, infilling), water pressures, and
ambient geostatic stress state.
Common laboratory tests for intact rocks include measurements of strength
(point load index, compressive strength, Brazilian test, direct shear), stiffness
(ultrasonics, elastic modulus), and durability (slaking, abrasion). Table 8-1 gives
a summary list of laboratory rock tests and procedures by ASTM. Brief sections
discuss the common tests (denoted with an asterisk*) useful for a standard
highway project involving construction in rock.

Table 8-1 Standards and Procedures for Laboratory Testing of Intact Rock

Test Designation
Test Category Name of Test
AASHTO ASTM
Point Load Method for determining point load index (Is) - D 5731*
Strength
Compressive Compressive strength (qu) of core in unconfined - D 2938*
Strength compression (uniaxial compression test)
Triaxial compressive strength without pore pressure T 226 D 2664
Creep Tests Creep-cylindrical hard rock core in uniaxial compression - D 4341
Creep-cylindrical soft rock core in uniaxial compression - D 4405
Creep-cylindrical hard rock core in triaxial compression - D 4406
Tensile Strength Direct tensile strength of intact rock core specimens - D 3936
Splitting tensile strength of intact core (Brazilian test) - D 3967*
Direct Shear Laboratory direct shear strength tests - rock specimens, - D 5607*
under constant normal stress
Permeability Permeability of rocks by flowing air - D 4525
Durability Slake durability of shales and similar weak rocks - D 4644*
Rock slab testing for riprap soundness, using - D 5240 *
sodium/magnesium sulphate
Rock-durability for erosion control under - D 5312*
freezing/thawing
Rock -durability for erosion control under wetting/drying - D 5313
Deformation and Elastic moduli of intact rock core in uniaxial compression - D 3148*
Stiffness
Elastic moduli of intact rock core in triaxial compression - D 5407
Pulse velocities and ultrasonic elastic constants in rock - D 2845*
Specimen Rock core specimen preparation - D 4543
Preparation
Rock slab preparation for durability testing - D 5121

Note: *Routine rock test procedure described in Volume 2C.

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8.1 Strength Tests

The laboratory determination of intact rock strength is accomplished by the
following tests: point load index, unconfined compression, triaxial compression,
Brazilian test, and direct shear. The uniaxial (or unconfined) compression test
provides the general reference value, being comparable to standard tests on
concrete cylinders. The uniaxial compressive strength (qu) is obtained by
compressing a trimmed cylindrical specimen in the longitudinal direction and
taking the maximum measured force divided by the cross-sectional area. The
point load index serves as a surrogate for the uniaxial compressive strength and
is a simpler test in that irregular pieces of rock core can be used. A direct tensile
test requires special end preparation that is difficult for most commercial
laboratories; therefore tensile strength is more often evaluated by compression
loading of cylindrical specimens across their diameter (known as the Brazilian
test). Direct shear tests are used to investigate frictional characteristics along
rock discontinuity features.

Point Load Index

Test procedure described in Annex B.
Purpose: To determine strength classification of rock materials through an
index test.
Procedure: Rock specimens in the form of core (diametral and axial), cut blocks
or irregular lumps are broken by application of concentrated load through a pair
of spherically truncated, conical platens. The distance between specimen-platen
contact points is recorded. The load is steadily increased, and the failure load is
recorded. There is little sample preparation. However, specimens should
conform to the size and shape requirements as specified by ASTM. In general,
for the diametral test, core specimens with a length-to-diameter ratio of 1.0 are
adequate while for the axial test core specimens with length-to-diameter ratio of
0.3 to 1.0 are suitable. Specimens for the block and the irregular lump test
should have a length of 50±35 mm and a depth/width ratio between 0.3 and 1.0
(preferably close to 1.0). The test specimens are typically tested at their natural
water content. Size corrections are applied to obtain the point load strength
index, Is(50), of a rock specimen. A strength anisotropy index, Ia(50), is determined
when Is(50) values are measured perpendicular and parallel to planes of
weakness.

Uniaxial Compression Test

Test procedure is described in Annex B.
Purpose: To determine the uniaxial compressive strength of rock (qu).
Procedure: In this test, cylindrical rock specimens are tested in compression
without lateral confinement. The test procedure is similar to the unconfined
compression test for soils and concrete. The test specimen should be a rock
cylinder of length-to-width ratio (H/D) in the range of 2 to 2.5 with flat, smooth,
and parallel ends cut perpendicular to the cylinder axis. Originally, specimen

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diameters of NX size were used (D = 44 mm), yet now the standard size is NQ
core (D = 47.6 mm).

Splitting Tensile (Brazilian) Test for Intact Rocks

Test procedure is described in Annex B.
Purpose: To evaluate the (indirect) tensile shear of intact rock core, τt.
Procedure: Core specimens with length-to-diameter ratios (L/D) of between 2
to 2.5 are placed in a compression loading machine with the load platens
situated diametrically across the specimen. The maximum load (P) to fracture
the specimen is recorded and used to calculate the split tensile strength.

Direct Shear Strength of Rock

Test procedure is described in Annex B.
Purpose: To determine the shear strength characteristics of rock along a plane
of weakness.
Procedure: The specimen is placed in the lower half of the shear box and
encapsulated in either synthetic resin or mortar. The specimen must be
positioned so that the line of action of the shear force lies in the plane of the
discontinuity to be investigated, and the normal force acts perpendicular to this
surface. Once the encapsulating material has hardened, the specimen is
mounted in the upper half of the shear box in the same manner. A strip
approximately 5mm wide above and below the shear surface must be kept free
of encapsulating material. The test is then carried out by applying a horizontal
shear force T under a constant normal load, N.

8.2 Durability
The evaluation of rock durability becomes an issue when the materials are to be
subjected to the natural elements, seasonal weather, and repeated cycles of
temperature (e.g., flowing water, wetting and drying, wave action, freeze and
thaw, etc.) in its proposed use. Tests to measure durability depend on the type
of rock, on its use in construction, and on the elements to which the rock will be
subjected. The basis for durability tests is empirical and the results produced
are an indication of the rock’s resistance to natural processes; the rock’s
behavior in actual use may vary greatly from the test results. These tests,
however, provide reasonably reliable tools for quality control. The suitability of
various types of rock for different uses should, in addition to these test results,
depend on their performance in previous applications. An example of the use of
rock durability tests is in the evaluation of shale in rock fill embankments.

Slake Durability
Test procedure is described in Annex B.
Purpose: To determine the durability of shale or other weak or soft rocks
subjected to cycles of wetting and drying.

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Procedure: In this test dried fragments of rock of known weight are placed in a
drum fabricated with 2.0 mm square mesh wire cloth. The drum is rotated in a
horizontal position along its longitudinal axis while partially submerged in
distilled water to promote wetting of the sample. The specimens and the drum
are dried at the end of the rotation cycle (10 minutes at 20 rpm) and weighed.
After two cycles of rotating and drying the weight loss and the shape and size of
the remaining rock fragments are recorded and the Slake Durability Index (SDI)
is calculated. Both the SDI and the description of the shape and size of the
remaining articles are used to determine the durability of soft rocks.

Soundness of Riprap
Test procedure is described in Annex B.
Purpose: To determine the soundness of rock subjected to erosion.
Procedure: The procedure is known as the Rock Slab Soundness Test. Two
representative, sawed, rock slab specimens are immersed in a solution of
sodium or magnesium sulfate and dried and weighed for five cycles. The percent
weight loss as a result of these tests is expressed as percent soundness.
As discussed above, none of these tests provide results which can be used
independent of each other or independent of other tests and experience. Often
the behavior of rip-rap stone in actual use will vary widely from the laboratory
behavior.

8.3 Strength-Deformation Characteristics

The stiffness of rocks is represented by an equivalent elastic modulus at small-
to intermediate-strains.

Elastic Moduli
Test procedure is described in Annex B.
Purpose: To determine the deformation characteristics of intact rock at
intermediate strains and permit comparison with other intact rock types.
Procedure: This test is performed by placing an intact rock specimen in a
loading device and recording the deformation of the specimen under axial
stress. The Young’s modulus average, secant, or tangent moduli, can be
determined by plotting axial stress versus axial strain curves.

Ultrasonic Testing
Test procedure is described in Annex B.
Purpose: To determine the pulse velocities of compression and shear waves in
intact rock and the ultrasonic elastic constants of isotropic rock.
Procedure: Ultrasound waves are transmitted through a carefully prepared
rock specimen. The ultrasonic elastic constants are calculated from the
measured travel time and distance of compression and shear waves in a rock
specimen.

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9 Geophysical Methods
Applicability and Limitations
There are several kinds of geophysical tests that can be used for stratigraphic
profiling and delineation of subsurface geometries. These include the
measurement of mechanical waves (seismic refraction surveys, crosshole,
downhole, and spectral analysis of surface wave tests), as well as
electromagnetic techniques (resistivity, electromagnetic conductivity ,
magnetometer, and radar). Mechanical waves are additionally useful for the
determination of elastic properties of subsurface media, primarily the small-
strain shear modulus. Electromagnetic methods can help locate anomalous
regions such as underground cavities, buried objects, and utility lines. The
geophysical tests do not alter the soil conditions and therefore classify as
nondestructive, and several are performed at the surface level (termed non-
invasive). Table 9-1 summarises the general advantages and disadvantages of
these methods.

Table 9-1 Advantages and Disadvantages of Geophysical Methods

Advantages Disadvantages
Nondestructive and/or non-invasive No samples or direct physical penetration
Fast and economical testing Models assumed for interpretation
Theoretical basis for interpretation Affected by cemented layers or inclusions
Applicable to soils and rocks Results influenced by water, clay, & depth

9.1 Seismic Survey (Uphole, Downhole, Crosshole)

Seismic methods are the most commonly conducted geophysical surveys for
engineering investigations. This method is important not only for structural
information, e.g. in delineating faults or valley structures, but also for physical
characterization of layers and thus is very useful in geotechnical investigations.

Uphole Survey
There are two general types of uphole surveys:
 Seismic reflection: Geophysical technique to study the subsurface of the
earth using sound waves induced by explosives, vibrating devices, or
percussive equipment. The reflections of the sound waves from the
boundaries of different rocks are measured.
 Seismic refraction: Used to investigate subsurface conditions from the
ground surface to depths of approximately 305 m. This is accompanied by
plotting the time for transmission of the refracted waves against the distance
between the shot point and the recording station.

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Downhole Survey
Downhole surveys can be performed using only one cased borehole. Here, S-
waves are propagated down to the geophone from a stationary surface point. No
inclinometer survey is needed as the vertical path distance (R) is calculated on
depth. For this test a horizontal plank at the surface is statically loaded by a
vehicle wheel (to increase normal stress) and struck lengthwise to provide an
excellent shear wave source. The orientation of the axis of the downhole
geophone must be parallel with the horizontal plank (because shear waves are
polarized and directional). The results are paired for successive events
(generally at 1-m depth intervals) and the corresponding shear wave at mid-
interval is calculated as Vs = R/t, where R = the hypotenuse distance from plank
to geophone and t = arrival time of the shear wave. Added accuracy is obtained
by conducting both right and left strikes for same depth and superimposing the
mirrored recordings to follow the crossover (Campanella, 1994).

Crosshole Survey
The crosshole testing involves the use of a downhole hammer and one or more
downhole vertical geophones in an horizontal array of two or three boreholes
spaced about 3 to 6 m apart to determine the travel times of different strata
(Hoar & Stokoe, 1978). The boreholes are most often cased with plastic pipe and
grouted inplace. After setup and curing of the grout, the borehole verticality
must be checked with an inclinometer to determine changes in horizontal
distances with depth, particularly if the investigations extends to depths
exceeding 15 m. Special care must be exercised during testing to assure good
coupling of the geophone receivers with the surrounding soil medium. Usually,
inflatable packers or spring-loaded clamps are employed to couple the
geophone to the sides of the plastic casing.

9.2 Ground Penetrating Radar

Short impulses of a high-frequency electromagnetic wave are transmitted into
the ground using a pair of transmitting & receiving antennae. The surveys are
made by gridding the site and positioning or pulling the tracking cart across the
ground surface. Changes in the dielectric properties of the soil (i.e., permittivity)
reflect relative changes in the subsurface environment. The electromagnetic
frequency and electrical conductivity of the ground control the depth of
penetration of the GPR survey. Many commercial systems come with several
sets of paired antennae to allow variable depths of exploration, as well as
accommodate different types of ground. A recent development uses a variably-
sweeping frequency to capture data at a variety of depths and soil types.
The GPR surveys provide a quick imaging of the subsurface conditions, leaving
everything virtually unchanged and undisturbed. This can be a valuable tool
used to define subsoil strata, underground tanks, buried pipes, cables, as well as
to characterize archaelogical sites before soil borings, probes, or excavation
operations. It can also be utilized to map reinforcing steel in concrete decks,
floors, and walls. The GPR surveys are particularly successful in deposits of dry

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sands with depths of penetration up to 20 m or more, whereas in wet saturated

clays, GPR is limited to shallow depths of only 3 to 6 m.

9.3 Other Geophysical Methods

Several other geophysical methods may be conducted. The description of some
methods are:
 Borehole Geophysics Logging: Borehole geophysics measure different
properties into the borehole to collect continuous or point data that is
graphically displayed as a geophysical log. Borehole geophysics is used in
ground-water and environmental investigations to obtain information on
well construction, rock lithology and fractures, permeability and porosity,
and water quality. The geophysical logging system consists of probes, cable
and draw works, power and processing modules, and data recording units.
Logging systems are controlled by a computer and can collect multiple logs
with one pass of the probe.
 Electrical Resistivity Tomography/Imaging: Electrical resistivity
tomography or electrical resistivity imaging is a geophysical technique for
imaging sub-surface structures from electrical resistivity measurements
made at the surface, or by electrodes in one or more boreholes. Electrical
resistivity tomography profiles consist of a modelled cross-sectional (2-D)
plot of resistivity (Ω·m) versus depth. This method is applied mostly in
groundwater exploration and in areas that are relatively flat.
 Acoustic Tomography: A transducer and arrayed receivers are installed in
the two boreholes respectively. Pseudo-random binary sequence wave is
utilized and then the arrival time and also the sound pressure level are
obtained in this system. The velocity and attenuation images are produced
simultaneously. The velocity represents the hardness and kinds of the
ground while the attenuation represents the existence of internal fluid, gas,
and the grain size of the ground.

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10 Groundwater Investigations
Groundwater conditions and the potential for groundwater seepage are
fundamental factors in virtually all geotechnical analyses and design studies.
Accordingly, the evaluation of groundwater conditions must be included in
geotechnical investigation programs unless there are specific reasons why it can
be excluded. Groundwater investigations are of two types as follows:

Determination of Groundwater Levels and Pressures

This includes measurements of the elevation of the groundwater surface or
water table and its variation with the season of the year; the location of perched
water tables; the location of aquifers (geological units which yield economically
significant amounts of water to a well); and the presence of artesian pressures.
Water levels and pressures may be measured in existing wells, in boreholes and
in specially-installed observation wells. Piezometers are used where the
measurement of the ground water pressures are specifically required (i.e. to
determine excess hydrostatic pressures, or the progress of primary
consolidation).

Measurement of the Permeability of the Subsurface Materials

Determination of the permeability of soil or rock strata is needed in connection
with surface water and groundwater studies involving seepage through earth
dams, yield of wells, infiltration, excavations and basements, construction
dewatering, contaminant migration from hazardous waste spills, landfill
assessment, and other problems involving flow. Permeability is determined by
means of various types of seepage, pressure, pumping, and flow tests as
descibed in Section 11.

10.1 Groundwater Level Measurements

10.1.1 Information on Existing Wells

Filing logs of the wells are good sources of information of the materials
encountered and water levels recorded during well installation. The well
owners, both public and private, may have records of the water levels after
installation which may provide extensive information on fluctuations of the
water level. This information should be obtained initially from National Water
Resource Board who are responsible for the licencing of water wells.

10.1.2 Open Borings

The water level in open borings should be measured after any prolonged
interruption in drilling, at the completion of each boring, and at least 12 hours
(preferably 24 hours) after completion of drilling. Additional water level
measurements should be obtained at the completion of the field exploration and
at other times designated by the engineer. The date and time of each
observation should be recorded. If the borehole has caved, the depth to the

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collapsed region should be recorded and reported on the boring record as this
may have been caused by groundwater conditions. The elevations of the caved
depths of certain borings may be consistent with groundwater table elevations
at the site and this may become apparent once the subsurface profile is
constructed.
Drilling mud obscures observations of the groundwater level owing to filter cake
action and the higher specific gravity of the drilling mud compared to that of the
water. If drilling fluids are used to advance the borings, the drill crew should be
instructed to bail the hole prior to making groundwater observations.

10.1.3 Observation Wells

These determine the elevation of the groundwater surface or table and its
variation with the season of the year, location of perched water tables, location
of aquifers and the presence of artesian pressures. Water levels and pressures
may be measured in specially installed observation wells.
Apparatus of materials to be used:
 Standpipe
 Piezometer

Observation Procedure
 Use either standpipe or piezometer for this observation and monitoring.
 Use bentonite or similar materials to seal the piezometer in a sand column in
the specific zone to be observed, or in soft clays use a push-in piezometer.
 Cap the top of the pipe to prevent the entrance of surface water and to slope
the fill at the top of the hole away from the pipe.

10.1.4 Water Level Measurements

The depth to the water surface should be measured using the top of the casing
as a reference, with the reference point at a common orientation (often north)
marked or notched on the well casing. The height of the casing above ground
level should be recorded on the record sheet.
Common methods of measuring the water level are:
 Chalk Tape Method. Chalk a short section of the lower end of a metal tape.
Attach the weight to the end of the tape, then lower until the chalked section
has passed slightly below the water surface. Determine the depth of the
groundwater by subtracting the depth of penetration of the line into the
water measured by the water line in the chalked section from the total
length of the tape from the ground surface.
 Tape with Float Method. The tape with a float attached to its end is
lowered until the float hits the water surface and the tape goes slack. The
tape is then lifted until the float is felt to touch the water surface and it is just
taut.

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 Electrical Water Level Method. This consists of a weight probe attached to

the lower end of a length of electrical cable which is marked at intervals to
indicate the depth. When the probe reaches the water, a circuit is complete
and this is registered by a meter mounted on a cable ree.
 Data Loggers. When timed and frequent water level measurements are
required, as for a pump test or slug test, a data logger can be used. Data
loggers are in the form of an electric transducer near the bottom of the well
which senses changes in water level as changes in pressure. A data
acquisition system is used to acquire and store the readings. A data logger
can eliminate the need for onsite technicians on night shifts during an
extended field permeability test. A further significant saving is in the
technician’s time back in the office. The preferred models of the data logger
record the water level readings and permit the data to be downloaded into a
personal computer and, with appropriate software, to be quickly reduced
and plotted. These devices are also extremely useful for cases where
measurement of artesian pressures is required or where data for tidal
corrections during field permeability tests is needed.

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11 Field Permeability Tests

11.1 Seepage Tests
Seepage tests in boreholes constitute some methods of determining the
permeability of overburden in situ as in the case of sands or gravels and
undisturbed samples which are difficult or impossible to obtain.

Apparatus to be Used
 Chalk
 Float
 Metal tape
 Weight
 Electrical cable
 Circuit meter mounted on a cable reel
 Standpipe
 Piezometer

Procedure
 Falling water level method:
- Fill the casing with water and allow it to seep into the soil.

- Observe the rate of drop of water level in the casing by measuring the
depth of the water surface below the top of the casing, 1, 2, and 5 minutes
after the start of the test and 5 minutes interval thereafter. The
observations are made until sufficient reading has been observed
satisfactorily to determine the permeability.
 Rising water level method:
- Pump or bail out the water from the borehole. Ensure that this does not
cause collapse of sands into the unlined borehole or the base of the lined
borehole. Observe the rate by measuring the elapsed time and the depth
of the water surface below the top of the casing. The intervals at which the
readings are required will vary somewhat with the permeability of the
soil. The reading should be frequent enough to establish the equalizing
equilibrium position of water levels. In no case should the total elapsed
time be less than five minutes.
- Plot the observation such that the test results made are valid and
sufficient readings have been taken.
 Constant water level method:
- Add water to the casing at a rate sufficient to maintain a constant water
level at or near the top of the casing for a period of not less than 10

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minutes. The water may be added by pouring from calibrated containers

or by pumping through a water meter.
- Record the amount of water added to the casing 1, 2, and 5 minutes
interval thereafter until an adequate determination of the permeability
has been made.

Record the Following

 Depth from ground surface to the groundwater level both before, during and
upon completion of the test.
 Inside diameter of the casing.
 Height of the casing above ground surface.
 Diameter of the borehole below the casing.
 Length of the casing during the test.
 Depth to the bottom of the boring from the top of the casing.
 Depth to the standing water level from the top of the casing.
 Description of the material tested.

11.2 Packer Test

This test is made by forcing water under pressure into rocks in situ through the
walls of boreholes. This provides a means of determining the apparent
permeability of the rocks and yield information regarding its soundness. The
information thus obtained is used primarily in seepage studies. It is also used
frequently as a qualitative measure of grouting required for impermeabilization
or strengthening of the rock. Pressure tests should be performed only in holes
which have been drilled with clear water.

Apparatus to be Used
 Water pump
 Manually-adjusted automatic pressure relief valve
 Water meter
 Pressure gauges
 Packer assembly

Procedure
 A hole shall be drilled with diamond core drilling equipment using suitable
size diamond core bits.
 After the borehole has been completed, fill it with clear water, surge and
wash out.
 Insert the test apparatus into the hole until the top packer is at the top of the
rock.

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 Expand both packers and introduce water under pressure into the hole, first
between the packers and then below the lower packer.
 Record observations of the elapsed time and the volume of water pumped at
different pressures.
 Upon completion of the test, lower the apparatus at a distance equal to the
space between the packers and repeat the test.
 Continue this procedure until the entire length is equal to the maximum
permissible unsupported length of hole or the distance between the packers,
whichever is less.
 In this case, limit the test to the zone between the packers.

Record the Following

 Depth of hole at the time of each test
 Depth to bottom of top packer
 Depth to top or bottom of packer
 Depth to water level in borehole of frequent intervals
 Elevation of piezometric level
 Radius of hole
 Length of test section
 Length of packer
 Height of pressure gage above ground surface
 Height of water swivel above ground surface
 Description of material tested

11.3 Pumping Tests

Continuous pumping tests are used to determine the water yield of individual
wells and the permeability of subsurface materials in situ. The data provided by
such tests are used to determine the potential for leakage through the
foundations of water retaining structures and the requirements for construction
dewatering systems during excavation.

Apparatus to be Used
 Submersible water pump
 Airline, complete with pressure gauge, hand pump, and check valve
 Flow meter such as an orifice
 Measuring devices to determine the depth to water in the observation wells

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Procedure
 Upon completion of the well or borehole, clean the hole and flush, measure
the depth of the well accurately, install the pump and develop the well.
 Test the well at 1/3, 2/3, and full capacity. Full capacity is defined as the
maximum discharge attainable with the water level in the test and
observation wells stabilized.
 Maintain each of the discharge rates for 4 hours after further drawdown in
the test and observation wells has ceased or for a maximum of 48 hours,
whichever occurs first. The discharge must be maintained constant during
each of the three stages of the test and interruptions of pumping are not
permitted.
 If pumping should accidentally be interrupted, permit the water level to
return to its full non pumping-level before pumping is resumed.
 Upon completion of the drawdown test, shut the pump off and observe the
rate of recovery.

Record the Following

 Location, top elevation and depth of well
 Size and elevation of bottom of borehole casing
 Diameter, length, and location of screen casing used, type and size of screen
openings and materials which the screen is made of
 Type of filter pack, if any
 Water level in the well prior to testing
 Location of bottom of the air line

11.4 Slug Tests

The slug test provides an advantage over pumping tests in that it does not
require the disposal of the large quantities of water that may be produced. This
is of special importance when testing a potentially contaminated aquifer.
However, slug tests reflect only conditions near the well, therefore are
influenced by near-well conditions, such as gravel pack, poor well development,
and skin effects. Slug tests may be made in aquifer materials of lower hydraulic
conductivity than generally considered suitable for hydraulic testing with
pumping tests. The method of data analysis (analytical procedure) should be
known prior to the field testing to ensure that all appropriate dimensions and
measurements are properly recorded.

Apparatus to be Used
 Slug-inducing measuring equipment; and
 Water-level measuring equipment.

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Procedure
 Cause a change in water level, either a rise or decline, by one of the following
methods:
- Water Slug—Inject or withdraw water of a known quantity into or from
the control well.
- Mechanical Slug—Inject or withdraw a mechanical slug below or above
the water level. The water within the control well will then rise or decline
an amount equal to the volume of the mechanical slug.
- Release Vacuum or Pressure—a method of simulating the injection or
withdrawal of a slug of water is by the release of a vacuum or pressure on
a tightly capped (shut-in) control well. Before the release, the vacuum or
pressure is held constant.
 Measure water-level response to the change in water level. The frequency of
water-level measurement during the test is dependent upon the hydraulic
conductivity of the material being tested.

Record the Following

 Date, time, and well identification
 Method of slug withdrawal or injection, as well as whether the test is a
falling head (injection) or a rising head (withdrawal) test
 Inside diameter of well screen and well casing above screen
 Depth of well
 Length and depth setting of screen
 Volume of mechanical slug or pressure change imposed on water level
 Pre-testing water-level trend

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12 Geotechnical Instrumentation and Monitoring

12.1 Inclinometer
A device used to measure a casing's inclination from the vertical. Lateral
deformations are measured against depth. Portable borehole inclinometer is
one of the most widely used inclinometer systems.
Components of Inclinometer:
 Inclinometer casing that deforms under influence of earth movement.
 Sensing unit that measures successive inclinations of the casing.
 Electrical readout that supplies voltage to the sensing unit and displays the
measured inclinations as numerical readings.

Equipment Set-up
Inclinometer casing is usually installed in a borehole. It can also be embedded in
fill, buried in a trench (horizontal inclinometers), cast into concrete, or attached
to a structure. Also, it provides access for subsurface measurements. Two
orthogonal sets of grooves inside the casing control the orientation of the
inclinometer sensor and provide a uniform surface for measurements.

Significance
 Detecting zones of movement and establish whether movement is constant,
accelerating, or responding to remedial measures.
 Checking that deformations are within design limits, that struts and anchors
are performing as expected, and that adjacent buildings are not affected by
ground movements.
 Verifying stability of upstream slopes during and after impoundment; and
 Monitoring settlement profiles of embankments, foundations, and other
structures (horizontal inclinometer).

12.2 Extensometer
These instruments are used to measure and/or detect slope movements
between two established points spanning a crack. The sensors are usually linear
potentiometers with a measuring range of 50, 100 or 250 mm and a measuring
accuracy of +/-0.02 mm.

Types of Surface Extensometers/Crack Gauges

 Metal Strips
 Grid Crack Gauges
 Deformation Gauges
 Electrical Crack Gauges

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Equipment Set-up
 Surface Extensometers – are used to measure surface displacements from 1
to up to several meters. The sensors are usually linear potentiometers with a
measuring range of 50, 100, or 250 mm and a measuring accuracy of +/-0.02
mm.
 Rod Extensometer– components include anchors, rods with protective
tubing, and a reference head. The anchors, with rods attached, are installed
downhole. The rods span the distance between the anchors and the
reference head, which is installed at the borehole collar. Measurements are
obtained at the reference head with a sensor or a depth micrometer, either
of which measures the distance between the top (near) end of the rod and a
reference surface.

Significance
Formation of cracks at the top and base of slopes is an initial sign of instability,
thus, making it important to measure and monitor changes in the cracks over a
period of time. Slope movement in terms of magnitude and direction can be
quantified and described, respectively. These displacements can be plotted
against time in order to identify where slope failures are imminent.
Typical applications include:
 Monitoring settlement in foundations.
 Monitoring subsidence above tunnels and slopes.
 Monitoring deformation in abutments, walls, and slopes.

12.3 Piezometer
A device used to measure the pressure of the groundwater at a specific point. It
can also locate groundwater levels.

Types of Piezometers
 Standpipe Piezometer
 Vibrating Wire Piezometer
 Pneumatic Piezometer

Equipment Set-up
 Standpipe Piezometer – consists of a filter tip joined to a riser pipe that
extends to the surface. Water flows through the filter tip into the riser pipe.
Readings are obtained with a water level indicator. The filter can be simple
slotted steel pipe wrapped in a geotextile, or a Casagrande ceramic filter
which is more appropriate for fine grained soils.
 Vibrating Wire Piezomenter – can be installed in a borehole, embedded in
fill, or suspended in a standpipe. Readings are obtained with a portable
readout or a data logger.

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 Pneumatic Piezometer – operates by gas pressure. It can be installed in a

borehole, embedded in fill, or suspended in a large diameter standpipe.
Readings are obtained with a pneumatic indicator.
 Hydraulic piezometer – can be installed in boreholes and placed in fill
materials or open wells to measure water level or pore water pressures.
Flexible and strong hydraulically filled tubes are used and readings take
place at the terminal location and not within the piezometer tip.

Significance
Groundwater in a slope adds a contributing driving force, thus making it
important for design and stability analysis. Piezometers aid in establishing a
relationship between rainfall and groundwater responses and its effects to slope
failure. Typically used with rainfall gauges, piezometers can provide site-specific
trend between rainfall and groundwater response.
Obtained data are essential to:
 Understanding initial site conditions
 Determining safe rates for placement of fill
 Predicting slope stability
 Designing for lateral earth pressures
 Evaluating drainage schemes

12.4 Settlement Plates

An instrument used to provide a simple means of measuring settlement under
embankments and fills.

Equipment Set-up
The settlement gauge consists of a plate with attached measuring rods. The plate
is positioned at the depth at which the settlement is planned to be measured and
the plate elevation is recorded by the rods attached to the plate being weighed
with a conventional precision levelling instrument. In order to avoid added
loads on the rods, they can be protected by means of a flexible exterior tube.

Significance
Provides verification of estimated in-situ settlements; hence assumptions on the
settlement models can be adjusted or fine-tuned. Settlements on top of slopes
and/or heave at the bottom of slopes can be monitored and can be precursors to
slope failure.
Typical applications include:
 Monitoring settlement in fills
 Monitoring settlement due to dewatering or preloading
 Monitoring settlement or heave

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12.5 Other Monitoring Equipment and Tools

Other monitoring and equipment tools include:
 Rainfall Gauge: An instrument used to measure precipitation over a set
period of time. Rain gauges can only indicate rainfall in a localized area and
they become unreliable during very strong rains due to extreme winds.
Where it is not practical to install and monitor a rain gauge, records from the
nearest permanent rain gauge, maintained by PAGASA or other authority
should be obtained.
 Tensiometer: A device used to measure the tensile strength (suction
pressure) of the soil.
 Tiltmeter: Narrow-angle, high-resolution sensors used to monitor changes
in the inclination of a structure. Tiltmeters can provide an accurate record of
movement and early warning of potential structural damage.

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13 Site Investigation of Geotechnical Failures

13.1 Geotechnical Failures

13.1.1 Retaining Wall Failures

A retaining wall is a structure that holds back (retains) soil or rock from a
building, structure or area. Retaining walls prevent downslope movement or
erosion and provide support for vertical or near-vertical grade changes.
Cofferdams and bulkheads, structures that hold back water, are sometimes also
considered retaining walls. Retaining walls are generally made of masonry,
stone, brick, concrete, vinyl, steel or timber. Once popular as an inexpensive
retaining material, railroad ties have fallen out of favor due to environmental
concerns. Segmental retaining walls have gained favor over poured-in-place
concrete walls or treated-timber walls. They are more economical, easier to
install and more environmentally sound. The most important consideration in
proper design and installation of retaining walls is that the retained material is
attempting to move forward and downslope due to gravity. This creates lateral
earth pressure behind the wall which depends on the angle of internal friction
(phi) and the cohesive strength (c) of the retained material, as well as the
direction and magnitude of movement the retaining structure undergoes.
Example of retaining wall failures are shown in Figure 13-1.

Figure 13-1 Retaining Wall Failure

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Types of Retaining Walls:

 Gravity Retaining Wall. The walls which resist the earth pressure due to
backfill by its own weight. They are generally constructed with stone
masonry or plain concrete.
 Semi-gravity Retaining Wall. The size of section of a gravity retaining wall
maybe reduced if a small amount of reinforcement is provided near the
backface. Such walls are known as Semi-gravity retaining wall.
 Cantilever Retaining Wall. Cantilever retaining walls are made of
reinforced cement concrete. The wall consists of a thin stem and a base slab
cast monolithically.
 Counterfort Retaining Wall. Counterfort retaining walls have thin vertical
slabs, known as Counterfort, spaced across the vertical stem at regular
intervals. Counterforts tie vertical stem with the base slab. The purpose of
providing counterfort is to reduce the shear force and bending moment in
the vertical stem and base slab.
 Buttress Wall. Buttress wall is similar to the counterfort retaining wall in
which, called as buttresses are provided on the opposite side of the backfill
and act as compression struts.

Modes of Failure
 Sliding Failure. The sliding of wall away from backfill when there is
shearing failure at the base of the wall.
 Overturning Failure. The rotation of wall about its toe due to exceeding of
moment caused due to overturning forces to resisting forces.
 Bearing Capacity Failure. The pressure exerted by resultant vertical force
at toe of wall must not exceed the allowable bearing capacity of the soil. The
pressure distribution is assumed to be linear.
 Shallow Shear Failure. The failure that occurs along the a cylindrical
surface passing through the heel of retaining wall. The failure takes place
because of excessive shear stresses along the cylindrical surface within the
soil mass.
 Deep Shear Failure. The failure occurs along a cylindrical surface, when
there is a weak layer of soil under the wall at a depth of about 1.5 times
height of wall. The critical failure surface is found by trial and error method.
For the backfills having slope less than ten degrees, it has seen that critical
failure surface passes through the edge of the heel slab. In this condition the
possibility of excessive settlement should also be checked.

13.1.2 Excessive Settlement

The following types of soil can cause structural concern and possible problems
with excessive settlement.

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Expansive Soils
Expansive soils are typically clays that usually contain montmorillonite or
bentonite minerals. These minerals cause excessive clay swelling when wetted,
or shrinkage when dried. When wetted, the soils heave, or move upward,
exerting pressure on basement floors and footings that can cause structural
damage. Swelling soils can also exert enough lateral pressure on basement or
retaining walls to damage them. When the soils dry and shrink, footings settle,
but the interior of the structure doesn't move because it takes a long time for
soil in that area to dry. This differential settlement also causes structural
distress.

Compressible Soils
This soil may contain organic material, soft clay, silt or other components that
cause the soil to settle when loaded. Geotechnical engineers will be particularly
suspicious of any dark-colored soils because of the color, and perhaps an
organic odor that indicate possible problems with excessive settlement.
Other common causes of settlement that due to their extent could result to
excessive settlement of structures are:
 Limestone Cavities or Sinkholes
 Underground Mines and Tunnels
 Subsidence Due to Extraction of Oil or Groundwater
 Decomposition of Organic Matter and Landfills
 Soluble soils
 Ground Fissures

13.1.3 Bearing Capacity Failures

Bearing capacity of soil is the value of the average contact pressure between the
foundation and the soil which will produce shear failure in the soil. Ultimate
bearing capacity is the theoretical maximum pressure which can be supported
without failure. Allowable bearing capacity is what is used in geotechnical
design, and is the ultimate bearing capacity divided by a factor of safety or by
using partial factors on geotechnical parameters in design.
A bearing capacity failure is defined as a foundation failure that occurs when the
shear stresses in the soil exceed the shear strength of the soil. There are three
categories of bearing capacity failures:
 General Shear. It involves a total rupture of the underlying soil, Figure 13-2
(a). For actual failures in the field, the soil is often pushed upon only on one
side of the footing with subsequent tilting of the structure. A general shear
failure often occurs for soils that are in a dense or hard state.
 Local Shear Failure. It involves a rupture of the soil only immediately below
footing, Figure 13-2 (b). There is soil bulging on both sides of the footing, but
the bulging is not as significant as in general shear. A local shear failure
occurs for soil that is in a medium dense or firm state.

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 Punching Shear. Figure 13-2 (c) shows that punching shear does not
develop the distinct shear surfaces associated with a general shear failure.
For punching shear, the soil outside the loaded area remains relatively
uninvolved and there is minimal movement of soil on both sides of the
footing. A punching shear failure occurs for soils that are in a loose or soft
state.

Figure 13-2 Categories of Bearing Capacity Failures

Factors why there are far fewer structures that have bearing capacity failures compared to
number of structures damaged by settlement.
 Settlement Governs. The foundation design is based on several
requirements and two of the main considerations are: settlement due to the
building loads must not exceed tolerable values, and there must be an
adequate factor of safety against a bearing capacity failure. In most cases,
settlement governs and the foundation bearings pressures recommended by
the geotechnical engineer are based on limiting the amount of settlement.
 Extensive Studies. There have been extensive studies of bearing capacity
failures, which have led to the development of bearing capacity equations
that are routinely used in practice in practice to determine the ultimate
bearing capacity of the foundation.
 Factor of Safety. In order to determine the allowable bearing pressure qall,
the ultimate bearing capacity qult is divided by a factor of safety. The normal
factor of safety used for bearing capacity analyses is 3. This is a high factor of
safety as compared to other factors of safety, such as only 1.5 for slope
stability analyses.

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 Minimum Footing Sizes. Building codes often require minimum footing

sizes and embedment depths.
 Allowable Bearing Pressures. In addition, building codes often have
maximum allowable bearing pressures for different soil and rock conditions.
Especially in the case of dense or stiff soils, these allowable bearing
pressures often have adequate factors of safety.
 Footing Dimensions. Usually the structural engineer will determine the size
of the footings by dividing the maximum footing load (dead load plus live
load) by the allowable bearing pressure.
Table 13-1 presents a summary of the type of bearing capacity failure that
would most likely develop based on soil type and soil properties.

Table 13-1 Summary of Type of Bearing Capacity Failure Versus Soil Parameters

Type of Cohesionless soil (e.g. sands) Cohesive soil (e.g. clays)

Bearing
Capacity Density Relative (N1)60 Consistency Undrained
Failure Condition Density (Dr) shear strength
(su)

General Dense to 65-100% > 20 Very stiff to > 2000 psf

Shear Failure, very dense hard > 100 kpa
Fig. (a)

Local shear Medium 35-65% > 50-20 Medium to 500-2000 psf

Failure, Fig. stiff 25-100 kpa
(b)

Punching Loose to 0-35% >5 Soft to very < > 500 psf
shear failure, very loose soft < > 25 kpa
Fig. (c)

13.1.4 Excavation Bracing Failures

Braced Cut. It is an excavation supported by suitable bracing system to
minimize the excavation area, keep the sides of deep excavations stable, and
ensure that movements of soil will not cause damage to neighbouring structures
or to utilities in the surrounding ground.
Types of Sheeting and Bracing Systems for Cuts:
 Vertical Timber Sheeting. Vertical timber sheeting consisting of planks
about 80 to 100 mm thick are driven around the boundary of the proposed
excavation to some depth below the base of the excavation. Vertical timber
sheeting is economical up to a depth of 4 to 6 m.
 Steel Sheet Pile. In this method, the sheet piles are driven along the sides of
the proposed excavation. The sheet piles should be driven several meters
below the bottom of excavation to prevent local heaves. If the width of a
deep excavation is large, inclined bracing may be used.
 Soldier Beams. Soldier beams are H-piles which are driven at typical
spacing of 1.5 to 2.5 m around the boundary of the proposed excavation. As
the excavation proceeds, horizontal timber planks called laggings are placed
between the soldier beams. When the excavation advances to a suitable

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depth, wales and struts are inserted. The lagging is properly wedged
between the pile flanges or behind the back flange.
 Tie Backs. In this method, no bracing in the form of struts or inclined rakers
is provided. Therefore, there is no hindrance to the construction activity to
be carried out inside the excavated area. The tie back is a rod or a cable
connected to the sheeting or lagging on one side and anchored into soil (or
rock), and the hole is concreted. An enlargement or a bell is usually formed
at the end of the hole. Each tie back is generally pre-stressed the depth of
excavation is increased further to cope with the increased tension.
 Use of Slurry Trenches. An alternative to use of sheeting and bracing
system is the construction of slurry trenches around the area to be
excavated and is kept filled with heavy, viscous slurry of bentonite clay-
water mixture. The slurry stabilizes the walls of the trench, and thus the
excavation can be completed without sheeting and bracing.

Modes of Failure of Braced Cuts

 Failure of soil by bottom heave (applicable to clay)
 Failure of soil due to piping (applicable to sand)
 Failure by buckling of struts

13.1.5 Slope Stability Failures

Slope stability failure, also referred to as mass wasting, is the downslope
movement of rock debris and soil in response to gravitational stresses. Three
major types of mass wasting are classified by the type of downslope movement:
falls, slides, and flows.

Mass Wasting Processes

 Flowage, or flow is the downslope movement of unconsolidated material.
Particles move around and mix with the mass.
 Sliding is the down slope movement of a coherent block of earth material.
 Falling is the free fall of earth material, as from a cliff, the free face of a slope.
 Subsidence is the sinking of a mass of earth material below the surrounding
ground level; can occur on slopes or on flat ground.

When is a Slope not Stable?

Slope stability is based on the interplay between two types of forces: driving
forces and resisting forces. Driving forces promote down slope movement of
material. Resisting forces deter movement. When driving forces overcome
resisting forces, the slope is unstable and results in mass wasting.
The main driving force in most land movements is gravity. The main resisting
force is the material's shear strength

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Slope angle, climate, slope material, and water also contribute to the
destabilizing force. Mass movement occurs much more frequently on steep
slopes than on shallow slopes.
Water plays a key role in producing slope failure. In the form of rivers and wave
action, water erodes the base of slopes, removing support, which increases
driving forces. Water can also increase the driving force by loading, and adding
to the total mass that is subjected to the force of gravity. The weight (load) on
the slope increases when water fills previously empty pore spaces and fractures.
An increase in water contributes to driving forces that result in slope failure.

Driving Forces
 Gravity. Slope angle, climate, slope material, and water also contribute to
the destabilizing force. Mass movement occurs much more frequently on
steep slopes than on shallow slopes.
 Water. A key role in producing slope failure is the effect of water. In the
form of rivers and wave action, water erodes the base of slopes, removing
support, which increases driving forces. Water can also increase the driving
force by loading, by adding to the total mass that is subjected to the force of
gravity. The weight (load) on the slope increases when water fills previously
empty pore spaces and fractures. An increase in water contributes to driving
forces that result in slope failure.
 Resisting Forces. Resisting forces act oppositely of driving forces. The
resistance to downslope movement is dependent on the shear strength of
the slope material. And shear strength is a function of cohesion (ability of
particles to attract and hold each other together) and internal friction
(friction between grains within a material). Chemical Weathering
(interaction of water with surface rock and soil) slowly weakens slope
material (primarily rock), reducing its shear strength, therefore reducing
resisting forces. It is important to remember that the shear strength of the
slope material is decreased by increasing the pore water pressure (pressure
that develops in pore spaces due to the increased amount of water).

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Table 13-2 Common Examples of Slope Failures

Kind of Slope Conditions Leading to Failure Type of Failure and its

Consequences

Natural earth slopes above Earthquake shocks, heavy Mud flows, landslides,
developed land areas (homes, rains, undercutting at toe, destroying property, burying
industrial) mining excavations villages, damming rivers

Natural earth slopes within Undercutting of slopes, heaping Usually creep type of failure;
developed land areas fill on unstable slopes, leaky leaking water mains, sewers,
sewers and water lines, lawn sewers, destroying buildings,
sprinkling roads

Reservoir slopes Increased soil and rock Rapid or slow landslide;

saturation, raised water table, damaging highways,
increased buoyancy, rapid railways, blocking spillways,
drawdown leading to overtopping of
dams, causing flood damage
with serious loss of life

Highway on railway cut or fill Excessive rain, heaping fill on Cut slope failures blocking
slopes unstable slopes undercutting, roadways, foundation slipouts
trapping ground water removing road beds or
tracks; property damage,
some loss of life

Earth dams and levees, reservoir High seepage levels, Sudden slumps leading to
ridges earthquake shocks; poor total failure and floods
drainage downstream; much loss of
life, property damage

Excavations High groundwater level, Slope failures or heave of

insufficient groundwater control, bottoms of excavation;
breakdown of dewatering largely delays construction,
systems equipment loss, property
damage

13.1.6 Other Types of Geotechnical Failures

Global Stability Failure

Global stability is the stability of the hillside above and below a retaining
wall. By its very existence, a retaining wall changes the shape of a hillside. A
slope (global) stability failure is the mass movement of retaining wall structure
and adjoining soil mass.
Global stability analysis is the evaluation of an entire soil mass and its ability to
maintain its design shape. This analysis may include a single retaining wall and
the soil mass around. A simple sliding and overturning analysis may be adequate
for many simple retaining walls structures, however, an overall or global
stability analysis is required for those more complex structures involving slopes,
poor soils and or tied wall sections.
There are two potential failure modes when analyzing global stability analysis:
deep-seated and compound failure. A deep-seated failure is one in which the
critical slip surface begins in front of the wall and extends beyond the reinforced
soil zone of the retaining wall. A compound failure occurs when the critical slip
surface begins at some height along the face of the retaining wall or in front of
the wall and arcs through the reinforced zone and into the retained soil. Internal
Compound Stability (ICS) failure is a special occurrence of a compound failure in
which the slip surface begins at or above the foundation soil.

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Global stability analysis (GSA) is best accomplished through computer modeling

with the aid of commercially available slope stability software programs which
can include soil reinforcing elements and perform Bishop and Janbu method
analysis. GSA is very sensitive to soil design parameters and requires proficiency
with proper modeling techniques and soil evaluation to arrive at reasonable
answers and solutions. A minimum safety factor of 1.3 is typically required for
retaining structures, however, this factor may be increased to 1.5 for critical
wall structures such as bridge abutments per AASHTO code.
Induced adequate forces such as temporary excavation adjacent to a structure
on one side and temporary spoils piles on the other side can help induce forces
adequate to shear pile foundations and cause global stability failure.

Preventing Global Stability Failure

There are many design options that will help prevent a global failure. Even
though some design alternatives are directed to solve a particular problem, all
options should be explored. It often happens that a change in design to alleviate
one particular global stability concern will in fact take care of others as well.
 Ensure that the most accurate soil properties have been obtained.
 Become familiar with the area and obtain as much information as possible
about the surrounding sites.
 Practice proper water management for both surface and underground
sources.
 Slopes that are above and below the wall should be reduced if at all possible.
Reinforce the slopes with geogrid when steep slopes are required.
 If the site allows, increase the distance between the tiered walls when
applicable.
 Disrupt potential slip arcs by increasing the wall embedment or lengthening
bottom layers of grid.

Tree Roots
Tree roots growing under slab can cause uplift cracking. Roots grow in the
direction of moisture and least resistance but can uplift unloaded flatwork like
sidewalks, driveways, screen walls, etc.

Wedge-type Failures (Wedge-type rock/bluff failures)

This type of failure will periodically occur on vertical or near-vertical cut faces
in limestone materials. Exposure to weathering will render the material
unstable over the long term causing its collapse.

Rockfall Hazards
Appropriate buffers or other mitigation measures are required when
constructing roads, parking lots, or structures near the base of vertical or very
steep cuts in rock geology to avert this kind of geotechnical failure.

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Expansive Clay Soil

This kind of soil exhibits swelling and shrinkage and progressive swelling under
the center of the foundation (center uplift) and can manifest as pavement
failures showing crack development, crack/joint faulting and separation.

Soil Piping Failures

Sinkholes formed as a result of leaking or broken sewer pipe or man-made
sinkholes allow loss of soil and cause eventual collapse of streets or residential
areas.
Natural sink holes in limestone formations may or may not be identifiable from
geotechnical borings, but it is always the better option to perform the
geotechnical study for awareness of this catastrophic ground cover failure.
Some indicators or signs that a sinkhole is imminent are:
 Damage around the foundation of a building – the walls, floors, and
pavement
 Doors and windows fail to close properly
 Slumping, sagging or slanting fence posts, trees or other objects
 Vegetation dying due to underlying streams that feed the plants draining
into the sinkhole
 Polluted or muddied well water
 Formation of new ponds or small collection of water

13.2 Procedure on Investigation of Geotechnical Failures

13.2.1 Settlement
 Conduct soil investigation to determine whether the foundation soil have
sufficient strength to support the proposed structure, and the magnitude
and rate of settlement which will result from embankment load.
 Perform stability and settlement analysis based only upon laboratory test
data and soil mechanics method.
 Determine the compressibility characteristics of fine-grained soils by testing
undisturbed samples in a consolidometer (consolidation test). The
information obtained permits an analysis of both the probable magnitude
and rate of settlement of foundation soils.

13.2.2 Subsidence
 Obtain a report on Geologic Hazards Study by the Mines and Geosciences
Bureau (MGB). If there’s none, conduct a geologic hazard study and
determine areas where poor foundation conditions exist, such as marshland,
peat deposits, deep alluvium, clay soils, and lake or evaporite deposits.
Seepage springs, low wet ground, and loose silt deposits are examples of
areas where the foundation stability is questionable.

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 Further exploration is conducted when the kinds of materials and the

groundwater conditions are uncertain.
 In the Geologic Hazards Report, the area of possible foundation instability is
designated by approximate stationing, and the surface features described.
 Project subsurface information from surface data, but specific treatments
cannot usually be recommended prior to subsurface exploration, however,
minimal.

13.2.3 Expansive Soil and Rock

 Gather a report on Geologic Hazards Study by the MGB or a Soil Survey Map
by the Department of Agriculture. These should be studied for references to
clay or expansive soils.
 Conduct Field Tests for identifying silt and clay as follows: “A pat of wet soil
(consistency of wet putty) is shaken in the hand. If it becomes soft and
glossy with shaking or tapping the hand and then becomes hard and dull,
and forms cracks when the pat is squeezed between the fingers, it has a
reaction to shaking and dilatancy. A rapid reaction indicates a non-plastic
silt; a slow reaction means an organic silt, slightly clayey silt, or possibly
non-plastic silt with a very high liquid limit (over 100). No reaction
indicates a clay or silty clay. To be decisive the test should be made at
different water contents.”
Another Field Test is the toughness of the thread that forms when the soil is
rolled at the plastic limit. Inability to form a thread, or a very weak thread,
indicates an inorganic silt of very low plasticity. A weak spongy thread
indicates organic silt or an inorganic silt of very low plasticity. A firm thread
indicates low plasticity clay, while a tough, rigid thread indicates highly
plastic clay.
 Determine the swelling property of earth materials by laboratory testing
methods. Expansive minerals contained in soil and rock can be identified
and their weight percent of total sample estimated by the use of the
laboratory testing or x-ray diffraction equipment at MGB-DENR and the
Department of Science and Technology (DOST). The laboratory tests for
determining if a soil is expansive are:
- Hydrometer analysis
- Atterberg limits
- Unconfined compressive strength
- Consolidation
- Third cycle expansion
- R-value
- Shrink-swell (linear expansion)
- X-ray diffraction (mineral identification)

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13.2.4 Slope Stability

Office Studies
 Become familiar with the project by reviewing plans and previous project
reports.
 Conduct a preliminary review of geological maps from MGB and PHIVOLCS,
and literature from DPWH and other offices.
 Examine aerial photographs and delineate significant geologic features, such
as landslides, faults, different types of material, the attitude of bedding, and
any other pertinent features.

Field Studies
 Reconnaissance
Reconnaissance mapping of pertinent geological features, and field checking
terrain features observed on aerial photographs and data obtained in the
review of maps and literature. The field investigation should include the
surrounding area as well as the immediate project area. The person making
the field study should have some knowledge of the formations present in the
surrounding area if the topography indicates slope failure have occurred.
The rainfall record should be examined paying particular attention to
maximum amounts of precipitation recorded during short periods of time.
Historical records and the recollections of persons who lived in the area for a
long time can give information that otherwise would not be known.
The reconnaissance should include a description of the following:
- Rock types, their sequence, physical characteristics and extent of
occurrence
- Topography and drainage

- Existing landslides

- Scraps or deposits from previous failures

- Depth, type, and clay content of soil

- Vegetation or lack of it

- Presence and amount of water

- Wildfire potential which results in slopes exposed to rapid runoff and

resulting mud and debris flows
 Detailed Geologic Investigation
Detailed investigation is conducted in areas where the data gathered in a
preliminary investigation is not adequate to properly evaluate the problem.
Detailed surface geologic mapping is sometimes necessary to assure that
structures are designed properly and to determine the appropriate
mitigative measures which may be required.

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As part of the detailed geologic mapping, the three-dimensional aspect of

discontinuities should be considered. Plot the geologic features on a
stereographic net to analyze discontinuities from a three-dimensional and
statistical aspect, and should be used where applicable. The condition of
bedding planes, joint, fracture, and fault surfaces affects their resistances to
shear failure. The following characteristics are important factors and should
be evaluated:
- Roughness of surfaces

- Clay, moisture, or other material filling discontinuity openings

- Fault gouge thickness and characteristics

- Space between discontinuities

- Length or extent of discontinuities

 Subsurface Investigation
- Borings

- Trenching

- Seismic refraction

- Electrical resistivity

- Sampling

 Borehole Testing of Shear Strength

In-situ borehole testing of shear strength can provide useful information in
the absence of adequate undisturbed samples but it is relatively expensive
and time consuming. The type of in-situ testing used should be determined
by the type of material to be tested. Some examples of borehole testing
devices and the type of material they will operate effectively in are listed as
follows:
- Pressuremeter – can be used in mixed soil and rock

- Static come penetrometer – can be used in cohesionless soils

- Vane shear and static cone penetrometers – can be used in cohesive

material.
 Instrumentation and Monitoring
Slope instrumentation and monitoring should be used in areas of landslide
or potentially unstable areas to provide information for landslide
corrections, stable slope and embankment design, the feasibility of a
proposed project site, for controlling the timing of construction procedures
to prevent slope failure. Instrumentation locations should be planned using
all available pertinent information, so that they will be installed or used
where they will provide the most useful data. Information obtainable by
different instrumentation methods includes:
- Depth to slide movement

- Current activity

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- Areas of activity

- Prediction of landslide activity in the near future

- Groundwater levels and pore pressures

Changes in conditions that are observed by monitoring can be used to guide

construction timing and procedures in order to prevent failure or to mitigate
the hazard. Some of the types of instrumentation and monitoring methods
are listed below:
- Transit traverses and survey grids can be used to delineate slide limits,
activity, and patterns of movement on the ground surface.
- Surface monitoring points, such as stakes, can be placed on opposite sides
of cracks and the distance between them measured periodically with a
tape.
- Inclinometers are used to locate the depth, direction and amount of
deflection of boreholes in slide masses. A probe is lowered into a special
casing to measure movement of the casing relative to the bottom of the
boring.
- Piezometers are used to measure water pressure. The simplest form of
piezometer is an open boring that has encountered groundwater, and in
which water levels can be measured.
- Subaudible rock noise (SARN) monitoring can be used to evaluate stability,
construction control, evaluation of landslide correction measures, and
location of zones of activity in landslides.
- Borehole Extensometers measure changes in the length of drill holes, or
selected portion of drill holes, thereby identifying zones and amounts of
movement. They can be read continuously or intermittently at the
instrument head or at a remote point.
 Laboratory Testing
Laboratory tests on undisturbed samples are often necessary for a proper
stability analysis of landslides, fill foundations, and high cut slopes on soil.
Tests should be made when adverse conditions exist or are suspected.
Laboratory tests that are made for stability analysis include the following:
- Triaxial test – commonly used to determine the angle of internal friction
and cohesion.
- Unconfined compression test – is often used to determine cohesion value
in cohesive soils.
- Consolidation test – is used to obtain data relating to the estimation of
rate and amount of settlement.

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14 Geologic and Geotechnical Reports

14.1 Contents and Structure
Upon completion of the field investigation and laboratory testing program, the
geotechnical engineer will compile, evaluate, and interpret the data and perform
engineering analyses for the design of foundations, cuts, embankments, and
other required facilities. Additionally, the geotechnical engineer will be
responsible for producing a report that presents the subsurface information
obtained from the site investigations and provides specific technical
recommendations. There are two general types of reports: a geotechnical
investigation report and a geotechnical design report.

Geotechnical Investigation Report

Geotechnical investigation reports present site-specific data and have three
major components:
 Background Information: This section presents a general description of
site conditions, geology and geologic features, drainage, ground cover and
accessibility, and any peculiarities of the site that may affect the design. It
contains the records of the reconnaissance survey and refers to the
Preliminary GeoHazard Assessment which is included as an Annex.
 Scope of Work: This section will identify the types of investigation methods
used; the number, location and depths of borings and other exploratory
locations, exploration pits and in-situ tests; the types and frequency of
samples obtained; the dates when the field investigation was performed; the
subcontractors used to perform the work; the types and number of
laboratory tests performed; the testing standards used; and any variations
from conventional procedures.
 Data Presentation: This portion of the report, generally contained in
appendices, presents the data obtained from the field investigation and
laboratory testing program, and shall include final logs of all borings,
exploration pits, and piezometer or well installations, water level readings,
data plots from each in-situ test hole, summary tables and individual data
sheets for all laboratory tests performed, rock core photographs, geologic
mapping data sheets and summary plots, subsurface profiles developed from
the field and laboratory test data, as well as statistical summaries.
A sample geotechnical investigation report outline is shown in Annex E.

Geotechnical Design Report

The geotechnical design report provides an assessment of existing subsurface
conditions at the project site, presents, describes and summarizes the
procedures and findings of any geotechnical analyses performed, and provides
appropriate recommendations for design and construction of foundations, earth
retaining structures, embankments, cuts, and other required facilities. Unless a

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separate investigation report has previously been developed, the geotechnical

design report will also include documentation of any subsurface investigations
performed and a presentation of the investigation data.
The geotechnical design report must address all the geotechnical issues that
may be anticipated on a project. The report must identify each soil and rock unit
of engineering significance, and must provide recommended design parameters
for each of these units. This requires a summarization and analysis of all factual
data to justify the recommended index and design properties.
A sample geotechnical design report outline is shown in Annex E.

14.2 Data Presentation

14.2.1 Test Location Plan

A site location plan should be provided for reference on a regional or local scale.
Maps are available at National Mapping and Resource Information Authority
(NAMRIA) at large scales. Some of the key components of a test location plan are
as follows:
 Location: The locations of all field tests, sampling, and exploratory studies
should be shown clearly on a scaled plan/map of the specific site under
investigation.
 Elevation: Preferably, the plan should be a topographic map with well
delineated elevation contours and a properly-established benchmark.
 Direction: The direction of (magnetic or true) north should be shown.
A sample test location plan is shown in Annex C.

14.2.2 Subsurface Profiles

Geotechnical reports should be accompanied by the presentation of subsurface
profiles developed from the field and laboratory test data. Longitudinal profiles
are typically developed along the roadway or bridge alignment, and a limited
number of transverse profiles may be included for key locations such as at
major bridge foundations, cut slopes or high embankments. Such profiles
provide an effective means of summarizing pertinent subsurface information
and illustrating the relationship of the various investigation sites. The
subsurface profiles, coupled with judgment and an understanding of the
geologic setting, aid the geotechnical engineer in their interpretation of
subsurface conditions between the investigation sites.

14.2.3 Borehole Logs

A log of each boring is performed by the geotechnical field personnel. ASTM D
5434.
(Standard Guide for Field Logging of Subsurface Explorations of Soil and Rock)
describes the type of information that should be recorded during field

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subsurface explorations in soil and rock. The contents and characteristics of the
boring log or boring record must:
 Present a single borehole log or borehole record.
 Present the borings to an elevation scale.
 Present the type of drilling method used to perform the investigation, the
type of sampling performed, and how the sampler was advanced.
 Presents the location and description, both graphical and written, of the
types of soil and rock encountered within the borehole.
 Accommodate the presentation of select field and laboratory test results.
 Is optimized for printing on A4 sheets.
 Is accompanied by Boring record legend sheets.
The boring log must be formatted in general conformance with Annex D. The
format and information presented in the header and footer sections should
match the figures.
The following information must be presented in the body:
 Elevation
 Material Graphic
 Description
 Sample Location
 Blows per foot (30 cm) (if performed)
 Drilling Method
 Coordinates of Boreholes

14.2.4 Summary of Results of Field and Laboratory Tests

The results obtained from the field and laboratory tests should be tabulated for
data presentation.
Field data summary: A field data present the borehole number, the date the test
was conducted, the water level, and the depth of each borehole, as shown in
Table 14-1. This should be accompanied by the borehole location plan for
reference.

Table 14-1 Sample Field Data Summary

BH # Date(s) Water Depth Coordinates Surface

Conducted Level (m) Elevation
(m) Easting Northing (m)
BH-1 Sept 03-07, Nil 9.00 271237.391 1593562.271 106.476
2011
BH-2 Sept 09-11, 7.40 9.00 272245.823 1592720.388 104.326
2011
BH-3 Sept 06-09, Nil 5.00 272624.725 1594196.244 99.035
2011
BH-4 Sept 11-13, 6.20 8.00 271835.386 1594336.073 105.618

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2011

Laboratory Data summary

For each borehole, the summary should include the depth of each layer
stratification, the type of soil, the SPT-N value range obtained, and the relative
condition or consistency, as shown in Table 14-2.

T
a
b Remarks Coordinates
Depth, m Descriptio
l SPT (Relative
n /eUSCS N-value Condition/
Consistency) Easting Northing
1
0 .00– 4SC 6 Loose 271237.391 1593562.271
2.00 -
2
2.00 – MH 7 Soft to Medium 272245.823 1592720.388
3.00 Stiff
S
3.00 – aMH 13 Stiff 272624.725 1594196.244
4.00 m
p
4.00 – lMH 43-44 Hard 271835.386 1594336.073
9.00 e

Laboratory Data Summary

14.3 Geotechnical Analysis

The geotechnical analysis of any structures depends on the type of structures
that will be constructed. There are several formulas that can be applied
depending on the results that are required. Some of the applicable formulas can
be found in Annex G of this volume. The applicable formulas that will be used for
the analysis will be dependent on the type of investigation that was carried out.
It is expected that prior to the design analysis, correlations may be cited and
used primarily for counter-checking, however, direct correlation of soil
parameters resulting from the required field and laboratory tests is
recommended.

14.3.1 General Analysis Requirements

Based on the result of the field and laboratory tests, general assessment of the
soil in the area should be defined using the appropriate methods of
investigation. If the result of GeoHazard Assessment reveals that there is a big
potential of liquefaction in the area, Dynamic Analysis should be done such as
but not limited to Liquefaction Analysis and Earthquake Induced Settlement.
Roads/Highways Projects

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Settlement analysis should be computed for high embankment soils and the
effect of the load due to embankment. Plastic and Liquid limits should also be
checked for the sensitivity of the soil.
For cuts and excavations, stability, rippability and grading factor should be
computed.
Culvert foundations and earth retaining structures should also be analyzed.
Bridge Projects
Bearing capacity and settlement based on the size and type of foundation should
be computed in the design analysis. Thus, the analysis will include different
options of foundations at different elevations.

Slope Protection Works

For Retaining Walls, bearing capacity, settlement and lateral earth pressure
should be computed.
For Earth slopes and erosion control structures, stability analysis should be
conducted.
For revetment and dams, seepage analysis should be computed.
Building Structures
Bearing Capacity and Settlement at different depths of different types and sizes
of foundation should be computed. If the building will have a basement, analysis
for lateral earth pressure excavation stability should also be computed.

14.4 Foundation Recommendation

Based on the adequacy of the geotechnical investigation conducted, field and
laboratory tests performed, the type of foundation is recommended. There are
two (2) categories of foundation, shallow or deep foundations.

Shallow Foundations
A shallow foundation is recommended when structural load is not expected to
cause excessive settlement of the underlying soil layers and generally
considered more economical to construct than deep foundation.
The types of shallow foundations are:
 Spread Footings, Combined Footings, and Strip Footings
These types of shallow foundations are probably the most common types of
building foundations.
 Mat Foundation
Based on economic considerations mat foundations are often constructed
for the following reasons:

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- Large individual footings. A mat foundation is often constructed when the

sum of individual footing areas exceeds about one-half of the total
foundation area.
- Cavities or compressible lenses. A mat foundation can be used when the
subsurface exploration indicates that there will be unequal settlement
caused by small cavities or compressible lenses below the foundation. A
mat foundation would tend to span over the small cavities or weak lenses
and create a more uniform settlement condition.
- Shallow settlements. A mat foundation can be recommended when
shallow settlements predominate and the mat foundation would
minimize differential settlements.
- Unequal distribution of loads. For some structures, there can be large
difference in building loads acting on different areas of the foundation.
Conventional spread footing could be subjected to excessive differential
settlement, but a mat foundation would tend to distribute the unequal
building loads and reduce the differential settlements.
- Hydrostatic uplift. When the foundation will be subjected to hydrostatic
uplift due to a high groundwater table, a mat foundation could be used to
resist the uplift forces.
 Posttensioned Slab-on-Grade. Most useful for situations where it is
desirable to limit the amount and width of concrete shrinkage cracks.
 Shallow Foundation Alternatives. If the expected settlement for a
proposed shallow foundation is too large, an option for alternative
foundation support or soil stabilization must be evaluated such as the
following:
- Grading. This can be used to remove the compressible layer and replace it
with structural fill. This is economical if the compressible soil layer is
near the ground surface and the groundwater table is below the
compressible soil layer or the groundwater table can be economically
lowered.
- Surcharge. If the site contains an underlying compressible cohesive soil
layer, the site can be surcharged with a fill layer placed at the ground
surface. Vertical drains, such as wick drains or sand drains can be
installed in the compressible layer to reduce the drainage paths and
speed up consolidation process.
- Densification of soil. There are many different methods of increasing the
density of loose or soft soil. For example in order to increase the density
of loose sand deposit vibro-flotation and dynamic compaction are often
effective. Another option is by compaction grouting which is introducing
a mass of very thick consistency grout into soil, which at the same time
displaces and compacts the loose soil.
Deep Foundations
The most common type of deep foundation is the pile foundation.

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The types of deep foundations are:

 Pile Foundations
Piles are defined as relatively long, slender, column-like members driven
into place (high displacement) or installed in predrilled holes (low
displacement). They can either be wood, steel H-sections, precast concrete,
cast-in-place concrete, concrete filled steel pipe piles and composite type
piles. In terms of support capacity the types are the following:
- End-bearing Pile

The support capacity of this type of pile is derived principally from the
resistance of the foundation material on which the pile tip rests. End-
bearing piles are often used when dense or hard strata underlie a soft
upper layer.
- Friction Pile

The support capacity of this type of pile is derived principally from the
resistance of the soil friction and/or adhesion mobilized along the side of
the pile. Friction piles are often used in soft clays where the end-bearing
resistance is small because of punching shear at the pile tip. A pile that
resists upward loads (i.e. tension forces) would also be considered to be
friction pile.
- Combined End-Bearing and Friction Piles

The support capacity of this type of pile is derived principally from

combined end-bearing resistance developed at the pile tip and frictional
and/or adhesion resistance on the pile perimeter.
- Batter Pile

A pile driven in at an angle inclined to the vertical to provide high

resistance on the pile perimeter.
 Pier Foundations
This is defined as a deep foundation system, similar to a cast in place pile
that consists of a column-like reinforced concrete member. They are also
commonly referred to as drilled shafts, bored piles, or drilled caissons.
 Other Types of Deep Foundations Elements
These include earth stabilization columns such as mixed-place piles,
vibro-replacement stone columns, grouted stone columns and concrete
vibro columns.

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15 Quality Assurance for Field and Laboratory Testing

15.1 Logging and Storage
When transporting soil samples from the site to the laboratory, care is necessary
in order to preserve the desired inherent conditions. In doing so, one must
consider the following:
 Type of sample obtained
 Type of testing and engineering properties required
 The fragility and sensitivity of the soil
 Climatic conditions.
Soil samples obtained from the site can be classified according to the following
schedule in Table 15-1. Based on this table, one can assess how much care the
sample should be handled with. Class D samples shall be packed in cushioned
boxes and protected from extreme heat during transport to the testing
laboratory.

Table 15-1 Sample Laboratory Data Summary

Group Description
A Samples for which only general visual identification is necessary.
B Samples that can be/ will be remoulded.
C Intact samples, naturallly formed or field fabricated.
D Samples that are fragile or highly sensitive.

All samples must be properly identified using tags, labels, and markings prior to
transporting. Identification should include the following information:
 Job name or number, or both
 Sampling date
 Sample/boring number and location
 Depth or elevation, or both
 Sample orientation
 Special shipping or laboratory handling instructions, or both, including
sampling orientation
 Penetration test data, if applicable
 Sample traceability record, if required
A detailed discussion on proper storage is given in:
 ASTM D4220 - preserving and transporting of soil samples.
 ASTM D5079 - preserving and transporting of rock samples.
 ASTM D3213 - handling, storing, and preparing soft intact marine soil.

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15.2 Handling of Samples in the Laboratory

15.2.1 Specimen Selection

 Any unwanted material should be removed such as crop residue for
sampling locations. Special areas, such as salty areas, eroded knolls, wet
spots, and those without plant growth, should be sampled separately or
avoided.
 Each specimen should be put in a large plastic container, subsampled, and
placed into a plastic-lined soil sampling bag or glass jar. Laboratories will
either supply sampling bags or can direct to suppliers.
 Samples should be shipped or taken to a laboratory as soon as possible.
During any preservation technique, care should be taken to avoid
contamination from dust or foreign particles.
 Ensure that sample is representative of the in-situ soil.

15.2.2 Equipment Calibration

Equipment calibration is necessary in the following situations:
 A new instrument.
 After an instrument has been repaired or modified, or moved to a new
location.
 When a specified time period has elapsed from a previous calibration.
 When a specified usage (operating hours) has elapsed.
 Before and/or after a critical measurement.
 After an instrument has had a shock, vibration, or has been exposed to an
adverse condition which potentially may have put it out of calibration or
damage it.
 As specified by a requirement, such as customer specification and
instrument manufacturer recommendation.

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16 Document Management and Storage

Documents generated from the geological and geotechnical surveys and all
associated documents collected for undertaking these surveys should be
managed and stored in accordance with DPWH document management
requirements.

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17 References & Bibliography

AASHTO LRFD Bridge Design Specifications, 6th Edition, 2012.
American Standard for Testing Materials (ASTM).
Bowles, Joseph E. Foundation Analysis and Design. 5th Edition.
Burland, J. B. (1989): “Small is Beautiful – the Stiffness of Soils at Small Strains,”
the 9th Laurits Bjerrum Memorial Lecture, Canadian Geotechnical Journal,
Vol.26, pp.499-515.
Campanella, R.G. 1994. Field Methods for Dynamic Geotechnical Testing: An
Overview of Capabilities and Needs, Dynamic Geotechnical Testing II, ASTM STP
No. 1213, pp.3-12.
Das, Braja M., Principles of Geotechnical Engineering. 5th Edition.
Day, Robert W., Soil Mechanics and Foundations – Section 6.
Day, Robert W., Foundation Engineering Handbook. Second Edition.
Department of Labor and Employment – Occupational Safety and Health
Standards (DOLE-OSHS)
http://www.oshc.dole.gov.ph/UserFiles/oshc2010/file/occupational_safety_an
d_health_standards.pdf.
Department of Public Works and Highways. Design Guidelines Criteria and
Standards. Volume I. Philippines, 1984.
Design Manual, 7.01 Soil Mechanics, 7.02 Foundations and Earth Structures by
NAVDOCKS, DM-7, Dept of Navy, Naval Facilities Engineering Command, Change
1, September 1986.
Federal Lands Highway Project Development and Design Manual Chapter 6:
Geotechnical, Federal Highway Administration, US Department of
Transportation, Draft February 2011.
http://flh.fhwa.dot.gov/resources/manuals/pddm/Cover.pdf.
H.F. Winterkorn and H.Y. Fang, Foundation Engineering Handbook, Van Nostrand
Reinhold, 1991.
Hoar, R.J. and Stokoe, K.H., II. 1978. Generation and Measurement of Shear Waves
in Situ. Dynamic Geotechnical Testing. ASTM STP 654. pp.3-29.
Geotech Engineering and Testing. http://www.geotecheng.com/soq/forensic.pdf
Guidelines for Managing Electronic Documents.
http://www.tomw.net.au/edgprinc.html.
Jamiolkowski, M et al. 1985. New Developments in Field and Laboratory Testing
of Soils. Theme Lecture, 11th International Conference on Soil Mechanics and
Foundation Engineering, San Francisco.
Ladd, C. C.; Foott, R. (1974), "New Design Procedure for Stability of Soft Clays",
Journal of Geotechnical Engineering 100 (GT7): 763–786
Manual on Foundation Investigation, Part II, Reconnaissance, AASHTO 1978.

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Manual on Foundation Investigation, Part II, Soils, AASHTO 13th Edition, 1982.
Manual on Foundation Investigation, Part III, Foundation Exploration, AASHTO
1978
National Structural Code of the Philippines 2010.Chapter 3 – Excavation and
Foundation.
US Army Corps of Engineers Engineering Design. Geotechnical Investigations.
US Department of Transportation Federal Highway Administration – National
Highway Institute (US DOT FHWA-NHI). Subsurface Investigations – Geotechnical
Site Characterization Reference Manual.
US Department of Transportation Federal Highway Administration – National
Highway Institute (US DOT FHWA-NHI). Soils and Foundations Reference Manual
Volume I.
Warren K. Wray, Editor, So Your Home Is Built on Expansive Soils, American
Society of Civil Engineers, Reston, Va., 1995.
ACI 332R-84, "Guide to Residential Cast-in-Place Concrete Construction,"
American Concrete Institute, Farmington Hills, Mich., 1984. 3. Morris Huffman,
"Hitting Paydirt When There's Poor Dirt," The Concrete Producer, November
1998, pp. 767-769.
Published Studies, Articles in the Internet.
Published Work of Ritesh A. Chinchawade, MIS 121221014 March 17, 2013.
Geotechnical Info.com Career Development.
Education Business, Technology, Published on May 23, 2010.

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