Site Characterization, Part 2

DLS-212, Module 3.2

October 2023 / Version 1

ISABELLA DAM, CA (SOURCE: USACE)
Learning Objectives
• Describe the types of investigations available for site
characterization
• Explore the engineering properties of earth materials
• Identify geologic hazards
• Recognize data gaps and use the observational method

2
Site Investigations

3
Investigations
• Investigations occur throughout design and construction
• Examples:
 Final excavation grade will likely require dewatering, need dewatering
design data
 Changes in design require different borrow source
 Alignment changes
 Issues discovered during initial investigations
 Installation of monitoring instrumentation prior to construction activities

4
Investigations During Construction
• Why we do it:
 To document foundation conditions not accessible until construction
 To detect possible adverse ground conditions so that measures to
reduce or prevent construction difficulties may be employed
 To document as-constructed conditions
• Considerations:
 Flexibility to changing ground conditions
 Keep it simple
 Determine changing needs for instrumentation monitoring
 Need knowledgeable resource for groundwater management

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Types of Investigations

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 Types of Investigations

Non-Intrusive Accessible Non-

(e.g., (e.g., test Accessible
geophysical pits, (e.g.,
methods, trenches) mechanical
surface drilling and
mapping) sampling)

7
Sources: https://en.wikipedia.org/wiki/Ground-penetrating_radar;
https://devingeo.com/home/projects/geotechnical/site-investigation/exploratory-test-pit-excavations/R.
Vanderplas
Non-Intrusive Investigations
Mapping
• Critical first step
• Use to plan subsequent investigations
• Update map based on collected data
• Geologic model
• Sections TO SCALE
• Photogrammetry
• Lidar
• Sunlight angle
• Drones
• Get high in elevation 8
 Non-Intrusive Investigations
Mapping
• Identify the rock formations
and describe their structures
 Limited outcrops usually available
 Information is added from:
o Aerial photography
o Google Earth
o Satellite images
o Boreholes
o Rock samples
o Previous mapping efforts
• Add all data into geographic
information systems (GIS)
9

Source: Steven C. Devin, P.E., G.E. Civil and Geotechnical Engineering Services
Non-Intrusive Investigations
Geophysics
• Surface geophysical methods in early stages
• Downhole investigations
• Rapid collection and correlation of features such as:
 Stratigraphy
 Groundwater
 Bedrock
 Lithology
 Material densities
• Provides data to locate future exploration and drill holes
• Need correct method, varies widely based on geology
• Must ground truth and correlate with data
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 Non-Intrusive Investigations
Geophysics
• Exploring and imaging the subsurface with geophysical
methods can present a problem of scale
Ground- Airborne/
Ground-
Pressure based Airborne Satellite-based
based
Transducers Remote Geophysics Remote
Geophysics
Sensing Sensing

11

Source: J. Rittgers
 Non-Intrusive Investigations
Geophysics
Common methods related to dams and levees
• Ground-based methods: • Airborne methods:
 Electrical resistivity  Fixed-wing/helicopter
tomography surveys
 Ground penetrating radar  Frequency-domain EM
 EM techniques  Time-domain EM
 Seismic tomography /  Gravity/magnetics surveys
surface wave techniques  Scale of features

12

Extracted Cross-Section
Source: J. Rittgers
 Non-Intrusive Investigations
Geophysics

13

Source: USBR (2015)

 Accessible Investigations

No

14

Source: Unknown
 Accessible Investigations
• Advantages:
 Large sample sizes for material testing
 Ideal for borrow area characterization
 Informative to large excavations
 Helps inform rippability
 Fault characterization
 Allows for mapping and characterization of
material contacts

• Be cognizant of:
 The potential for issues (water, location)
 Plan for backfilling (may need strict
guidelines)
o Do no harm 15

Source: USBR
 Accessible Investigations - Safety
Requires a competent responsible engineer or
geologist to evaluate stability
• Use OSHA guidelines for depth to slope
requirements. Identify if excavation is in stable
rock or Type A, B or C soils
• Maximum slopes 1-1/2 to 1 for Type C soil
• Typically benches to see vertical face of trench

16

Sources: C. Wagner; https://www.osha.gov/Publications/osha2226.pdf

 Accessible Investigations
Test Pit Sampling
• Sack samples of various material types
(disturbed)
• In-place density measurement
 Can conduct density tests (sand cones, ring
density, nuclear) and get disturbed material
for determining consistency (degree of
compaction)
• Block samples – great for lab testing
(intact samples) – cost and labor
intensive
• Hand-carved cylinder samples – like
block samples but in a tube 17

Source: B. Simpson, Geologist

 Non-Accessible Investigations
Subsurface geotechnical exploration is performed primarily for
three purposes:
• To determine what distinct masses of soil and rock exist in a
foundation or borrow area within the area of interest
• To determine the dimensions of these bodies
• To determine their engineering properties

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Source: C. Wagner (USACE)

Non-Accessible Investigations
The most common drilling methods for geotechnical investigations include
hollow-stem auger, diamond coring, sonic drilling and mud rotary

• Non-fluid/air-based • Fluid-based methods** • Air-based methods **

recovery methods  Mud rotary  Air rotary drilling
 Hollow-stem auger  Reverse circulation mud  Air rotary down-the-hole
(HSA) drilling rotary drilling hammer
 Sonic drilling  Diamond/mud coring  Down-the-hole hammer
 Continuous flight auger  Water-powered down- (Stratex, Odex,
(CFA) drilling the-hole hammer Symmetrix, Elemex, and
 Cable tool drilling more)
 Direct push ** DO NO HARM  Reverse circulation air
rotary/percussion drilling

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Stand up, Stretch and Move

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 Selecting a Drilling Method and Equipment
Selection of a drilling method requires an understanding of the investigation
and sampling objectives
• Multi-method boreholes
• Advancement rate, time, site
access, health and safety, and
cost
• Most drilling methods maximize
performance for a specific
application

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Source: Edwin Friend

Drilling
• Drilling • Keep in mind:
 Suitable for foundation  Risks (drilling in embankment—
characterization is it absolutely necessary?)
 Holes can be vertical or angled  Locations outside footprint to
 Need angled holes obtain the data
 Suitable in soil and rock  Drilling in embankment limits
methods, sampling and testing
 Is there a plan for remediation if
• New dam site: a problem arises?
 Investigate to a depth of 1.5 to  Drilling plan follows ER-1110-
2 dam heights into foundation 1807 requirements
and abutments
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Sampling and Testing

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 Sampling Selection
Sample selection for laboratory tests and field tests may involve:
1. Soil samples without regard to their in-place condition in
the deposit (disturbed)
2. Soil samples in which the natural in-place conditions are
preserved as well as possible (intact)
3. In situ field tests

1 2

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Source: https://civiconcepts.com/blog/spt-test
 Intact Sampling
• Soil
 SPT, Shelby, Piston, Pitcher,
CME barrel, Mod Cal
• Bedrock
 Coring various sizes
 Single to triple barrel

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Sources: https://www.nap.edu/read/25379/chapter/7#99;
https://pdhonline.com/courses/c250/FHWA_Drilling_Sampling_Soil___Rock___3.pdf
 In-Situ Field Testing
• Standard penetration test (SPT) – coarse grained soil
• Cone penetrometer test (CPT) – soil
• Dilatometer test (DMT) – soil and bedrock
• Prebored pressuremeter test (PMT) – soil and bedrock
• Vane shear test (VST) – fine grained soil
• Becker penetration test (BPT) – coarse grained soil
• Permeability
 Pressure permeability (stable rock)
 Gravity permeability test
 Falling head
 Constant head
 Slug tests
• Downhole camera/optical televiewer
 Discontinuities 26
Source: https://www.researchgate.net/figure/Drilling-of-a-sampling-borehole-after-
Reese-et-al-2006-and-common-in-situ-testing_fig1_323256947
Engineering Properties
of Earth Materials

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 Engineering Properties of Materials
• Gradations
• Unified Soil Classification System (USCS)
classification
• Atterberg limits
• Density
• Consolidation/swell
• Chemical properties
• Permeability and water loss zones
• Artesian pressures and confining layers
• Penetration data (SPT, CPT, vane shear,
Becker penetration tests—drilling methods
can influence results significantly)
• Cementation
• Dispersion potential
• Geophysical logs, where applicable
28

Source: Arild Palmstrom, Hakan Stille, Rock Engineering (2015)

 Engineering Properties of Materials
• Soil gradations are indicators of:
 Compressibility
 Shear strength
 Hydraulic conductivity
 Susceptibility to certain failure
modes

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Sources: USBR (2015); http://sibigar.me/page/hydrometer-analysis-lab-report/gallery/

 Engineering Properties of Materials
• Atterberg limits are a measure
of critical water contents:
 Solid
Shrinkage Limit
 Semi-solid
Plastic Limit
 Plastic
 Liquid Liquid Limit

• Soil plasticity is an indicator

of:
 Potential for volume changes
 Shear strength
 Susceptibility to certain failure
modes

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Source: https://www.alnaqeeb.me/wp-content/uploads/2019/01/Atterberg-limits-Apparatus-
Cassagrande-Cup-390x220.jpg
 Engineering Properties of Materials
• USCS Classification
 Unified Soil Classification
System
 Describes texture and grain
size of soil
 Most common soil
classification system in
geotechnical engineering
 First developed by
Casagrande for airfield
construction during WWII,
then modified by Casagrande,
USACE and USBR to apply to
dams, foundations and
construction
31

Source: ASTM 2011

 Rock Characterization
• Critical for seepage, stability, and seismic
studies of foundations and abutments
• Standard descriptors for rock discontinuities:
 Type (joint, bedding plane, fracture,
mechanical break, foliation)
 Rock quality designation (RQD)
 Fracture density
 Fracture spacing
 Continuity
 Openness
 Roughness

32

Source: USBR report

 Rock Characterization - Photogrammetry

3D Data

Left camera Right camera

“Off-the-shelf” Ricoh GR II Camera Computer 33

Source: B. Simpson, Geologist

Investigations for Construction Materials
• Investigations are progressive
• Inventory all available natural materials
• Identified by:
 Surface exploration—landforms, geology
 Subsurface exploration—mechanical, geophysical
• Economical and adequate design requires:
 INVENTORY carefully all available materials to be considered
for borrow
 REPORT clearly and fully the significant features of occurrence
and soil properties

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Designing a Dam Materials Usage Plan
• Preliminary Phase (possibilities) • Intermediate Phase
 Descriptive data (economics, feasibility)
 Search a wide area  Confirm earlier data
 Landforms  Limited subsurface exploration
 Road cuts  Inventory of potential sources
 Stream banks  Test for average and extreme
 Previous use properties
 Visual soil and rock
classification

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Designing a Dam Materials Usage Plan (cont.)
• Specification Phase
 Information becomes specific and quantitative
 Extensive explorations
 Samples for laboratory testing for engineering properties
 Material usage
 Borrow selection
 Zoning
 Material processing
 Construction processes
 Shrink/swell

• Construction Phase – detail process for handling and extracting material

from borrow areas
• Test fills 36
Knowledge Quiz

• Socrative
• Question: How much borrow should you have
identified for a dam embankment fill?
• 100%
• 150%
• 200%
• 1,000% 37
 Borrow Selection

38

Source: Figure 6-42, USBR, Design of Small Dams, Third Ed. (1987)
Material Borrow Concepts
• Volume change of borrow material
 Compaction of embankment (shrinkage)
 Swell of bedrock
 Spill from equipment, other use

• Borrow best practices

 Must have more volume in borrow source than the calculated
embankment volume (~150%+)
 The required borrow area may be reduced as more information is
developed about the material
 Waste
 Address shrink/swell
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Earthfill in Water Barrier (Core)

dry unit weight of in−place borrow

Shrinkage =
dry unit weight of the compacted embankment

• If removing material > 5 inches, use unit weight of the

< 5 inches material
• If > 5 inches rock used in embankment, swell will occur
due to voids between rock fragments ~20%

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Knowledge Quiz

• Socrative
• Neat line Need 2,300,000 cy
• 15-foot-thick borrow
• Stripping = 6 inches
• 15% of the material is +5 inches and will need to be removed
• How many acres of land with safety factor of 1.5?

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 Pervious Zones
• Sand and gravel borrow: shrink or swell
• Quarried rockfill: swell
 Blasted rock requires separation for various
zones or removal of fines
 Voids characteristic to the rock gradations
 Quarry sized for swell from intact rock and
waste
 Joints and bedding impact blasting design

42

Source: http://upload.wikimedia.org/wikipedia/commons/a/a1/Blasting_honkanummi_4-6.jpg
 Identification of Potential Hazards
• Landslides
 Understand potential for sliding
 Map potential and active slides
 Monitor movement and water pressure
• Mineral dissolution – gypsum and anhydrite
 Massive or secondary filling
 Dissolution may contribute to increasing
seepage
• Rock and soil erosion
 May be related to overtopping, spillways or other
hydraulic structures
 Geologic considerations: Likelihood for erosion
and extent of erosion

43

Source: Hanson et al. (2003)

Dispersive Soils
• Require laboratory testing to confirm dispersivity
 Crumb test (ASTM D6572)
 Double hydrometer (ASTM D4221)
 Pinhole (ASTM D4647)

• Field identification of potentially dispersive soils

 Deep erosion gullies
 Tunnel erosion (local term: jugging)
 Cloudy water in ponds and puddles after rain (suspended soil particles)
 Soils derived from shales and claystones laid down in a marine
environment
 Sodium salts evident

• Special design considerations for these materials 44

 Dispersive Soils – Crumb Test

45

Source: https://www.agric.wa.gov.au/dispersive-and-sodic-soils/identifying-dispersive-sodic-soils
 Concrete Dams

~ 70 percent of concrete dam failures originate in the abutment or foundation

geology discontinuities or other issues

46
Source: J. Rogers. https://stfrancisdammemorial.org/reassessment-of-the-dam-failure-dr-j-
david-rogers/?v=7516fd43adaa
Concrete Dams
How does the geologist assess abutment and foundation
stability?
• Mapping rock discontinuities
 Joints, bedding, foliation, faults and shears
• Monitoring water pressure—mapping seeps, installing
piezometers
• Assessing rock stabilization and rock support elements
• Informing overtopping erosion investigations and
analysis
• Designing drilling programs to define properties and
obtain samples
• Developing detailed engineering geology drawings
• Understanding foundation failure modes and case
histories 47
Data Gaps and the
Observational Method

48
 Initial Thoughts on Data Gaps
1. “The more time, energy, and effort expended in
examining the subsurface geology of a job site,
the more complex the structure, stratigraphy,
and geomorphology often appears!”
– Dr. David Rogers
2. “Geologists use their imaginations, rooted in
experience and case histories, to provide a
plausible and coherent narrative for
characterization of the subsurface, despite
large knowledge gaps.” – Peter Shaffner
3. “Never forget it is what you don’t recover
from your subsurface sampling rounds
that’s often the most important
information.” – discontinuities
4. Good site characterization involves critical
assessment of the GEOLOGIC and
GEOMORPHIC SETTING. Start here first 49

Source: USACE SWF report

A Few Tips for Identifying Data Gaps
• Case histories
 Dr. J. David Rogers re: the St. Francis Dam failure, who echoes the
importance of understanding and learning from case histories:
o “We will not identify those geologic features or structures which we
are not specifically looking for. We have to have in mind what we
are seeking, realizing that we will seldom be able to recognize
those features with which we’ve had little prior experience.”
• Potential failure modes
• Remember: Rely on your multidisciplinary team
 Communicate routinely
 Ask each team member what they need to reduce uncertainty for their
deliverable
• Desk study
50
Quote
“We would do well to recall and examine the
attributes necessary for the successful
practice of subsurface engineering.

These are at least three: knowledge of

precedents, familiarity with soil mechanics,
and a working knowledge of geology.

Of these, familiarity with precedents is by far

the most important.”

Dr. Ralph Peck 51

Why are Case Histories Important to
Evaluating Data Gaps?
• Often, geologic features that can lead to the failure of the
structure are not directly observable until after the failure has
occurred
• Examples
 St. Francis Dam Camará Dam

 Fontenelle Dam Teton Dam

52
Terzaghi’s Method for Working
• Terzaghi’s method for characterizing a site is fundamental to the practice
of engineering geology and geological engineering:
 Study geology and geomorphology of region surrounding project site
 Gather all forms of existing data, including geological, soils, hydrological,
meteorological
 Identify “data gaps” in geological information
 Make on-the-ground reconnaissance of the site; note dominant erosional processes
 Formulate a working hypothesis regarding the nature of likely subsurface conditions
 Develop plan of site exploration, designed to fill data gaps

• Geology and geological engineering represent empirical fields that are

intrinsically riddled with geologic variability and knowledge uncertainty due
to not having a lens into the subsurface, resulting in potentially large
knowledge gaps
53
Characterizing Uncertainty
• One of the most critical roles of the geologist is to characterize
uncertainty, as geology is often the key condition with unfavorable,
conceivable deviations
• How do you do this? Here are some examples:
 Assess the representativeness of data to the site
 Topography’s and geomorphology’s impact on spatial coverage of data
 Consider the uncertainty and range of results from various drilling and
sampling or material testing methods (e.g., SPTs)
 What materials are likely very difficult to sample and test (e.g., alluvial
materials below the water table)?
 Is there enough testing to provide the range of expected material properties?
 What remains unknown related to the subsurface condition?
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Parting Thoughts
The entire team must remain cognizant of pitfalls to understanding the
subsurface:

1. Plausible not equal to probable.

A. Case histories
2. As new information becomes available, we should remain skeptical and
avoid confirmation bias (e.g., continuity)
3. While geology is often the key condition with unfavorable conceivable
deviations, we root our uncertainty in the context of what is observed or
processes that are understood (e.g., depositional environment)

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Learning Objectives Recap
• Describe the types of investigations available for site
characterization
• Explore the engineering properties of earth materials
• Identify geologic hazards
• Recognize data gaps and use the observational method

56
Questions

57