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1
Introduction

1.1 Basic Considerations

1.1.1 Human Activities and the Geologic Interface

The Geologic Environment
The geologic environment interfacing with human activities includes not only the basic
components of soil, rock, and water, but also the associated phenomena referred to as geo-
logic hazards, i.e., flooding, erosion, landslides and other slope failures, ground subsi-
dence and collapse, ground heave, and earthquakes.
Since the first edition of this book was written in 1984, there rightly has been emphasis
on the features of the geologic environment that affect public health; i.e., asbestos, radon,
mold, and other pollutants in water and air. Except for incidental mention, health concerns
with regard to the geologic environment will not be addressed in this book.

Interfacing Impacts
The impact of the geologic environment on human activities can be classified as direct or
indirect. Direct impact occurs during the use of geologic materials in construction, the
removal of materials in excavation, and while making provision for the secure support of
structures, excavations, and slopes. Such activities occur during the construction of build-
ings, dams, roadways, and tunnels that, for the most part, have an impact on their imme-
diate surroundings. Design objectives are economical construction and satisfactory
performance.
Indirect impact occurs during the extraction of materials from the surface, which can
cause adjacent ground subsidence, and extraction from the subsurface, which can cause
subsidence and collapse. Such activities occur during the development of mineral
resources by the subsurface extraction of water, oil, gas, coal, or other minerals that can
impact on areas substantially removed from the activity. The objective is to avoid or con-
trol these consequences of human activity.
Geologic occurrences impacting on human works in the form of floods, slope failures,
ground collapse, and earthquakes can occur naturally or as a result of human activities.
Prior to construction or development, a thorough assessment of the geological environ-
ment must be made to ensure that the interfacing is compatible.

Engineering Assessment
An adequate assessment of the geologic environment is a prerequisite to formulating
effective treatment for the consequences of these interfacing activities. This requires the

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2 Geotechnical Engineering Investigation Handbook, Second Edition

capability to identify and describe rock and soil types, rock mass and soil formation char-
acteristics, groundwater conditions, and to recognize and describe the potential for phe-
nomena such as flooding, erosion, slope failures, ground subsidence and collapse, ground
heave, and earthquakes. The basis for adequate assessment is thorough investigation.
For many years the services required for investigation of the geologic environment for
new construction were performed by “soil and foundation engineers” practicing the dis-
cipline of soil mechanics. The discipline of geotechnical engineering has evolved to include
rock mechanics and geologic engineering as well as soil mechanics to provide a broader
intelligence base for resolving modern problems.

1.1.2 Investigation
Importance
The engineering works interfacing with the geologic environment can be constructed eco-
nomically, can perform safely, and can have a nondetrimental impact on other works only
if all geologic elements are accurately identified and their properties properly measured
and evaluated. Reliable evaluations, however, are possible only when complete and rep-
resentative data are available. Investigation, therefore, is the most important phase of any
construction or development program.

Limitations
It must be recognized that geologic conditions can be extremely complex and variable as
well as subject to changes with time; in addition there are many limitations to state of the
art of geotechnical investigation. There will be occasions when it is not possible to identify
all of the critical aspects of the geologic conditions, regardless of the comprehensiveness
of the investigation. The geotechnical engineer’s familiarity with those aspects of the geo-
logic environment that are unusually complex and variable with a low degree of pre-
dictability, as well as with the limitations of investigational methodology, should lead to
incorporation of conservative measures into design and construction to avoid unsatisfac-
tory results. The consequences of an inadequate investigation may be construction delays
and extra costs, or even structural collapse or other forms of failure.

1.1.3 Objectives
General
This book was written with the objectives of providing a guide to (1) the investigation and
assessment of the geologic environment for practitioners involved with engineering works
for new construction or development, and (2) general solutions of problems that may be
based primarily on intuitive reasoning and experience rather than rigorous mathematical
analysis. Investigation as used herein signifies field exploration, field and laboratory
measurement of properties, and field instrumentation to monitor deformations and
stresses in situ. Effective planning and execution of investigations and interpretation and
evaluation of data require a thorough comprehension of the characteristics of geologic
materials and geologic hazards.

Assessment and Problem-Solving

Assessment and problem-solving may be based on intuitive reasoning and judgment in
cases pertaining to groundwater control, slope stabilization, and the control of ground

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Introduction 3

heave, collapse, and subsidence. Although some elements of mathematical analysis for
evaluating foundation settlements, groundwater flow, slope stability, and earthquake
engineering are presented in this work, the main objective is to provide the basis for
understanding the physical phenomena involved as background for comprehending the
need for the various elements of investigation. This book does not aim to provide a basis
for the analysis and design of slopes, retaining structures, closed excavations, foundations,
and ground improvement systems.

Predicting Geologic Conditions

For many practitioners, the basic elements of an investigation include a site visit followed
by test borings. If one has worked in the area before and is familiar with the conditions,
this approach may be adequate. If the study location is new to the practitioners, however,
they should apply the procedures that enable them to predict the significant characteris-
tics of the geologic conditions. Prediction for a given location is based on identifying the
local geology, interpreting the landform of the area, and applying a knowledge of the char-
acteristics of the various soil deposits and rock formations. At this point a comprehensive
subsurface investigation can be planned. It is an objective of this book to assist the practi-
tioner in developing skills in predicting geologic conditions.

1.2 Scope

1.2.1 General
This book is divided into three parts:

● Part I: Investigation Methods and Procedures covers field exploration, field and
laboratory measurements of properties, and field instrumentation.
● Part II: Characteristics of Geologic Materials and Formations covers rock masses,
soil formations, and surface and subsurface water. The emphasis is on origin,
mode of occurrence, or deposition as related to their significance in terrain analy-
sis and the prediction of geologic conditions, including characteristic properties
and their impact on engineered construction.
● Part III: Geologic Hazards covers landslides and other forms of slope failure;
ground subsidence, collapse, and heave; and earthquakes (flooding and erosion
are covered in Part II under “Water”). The causes, effects, modes of occurrence,
and methods of investigation and treatment are described for each phenomenon.

1.2.2 Investigation Methods and Procedures (Part I)

Exploration (Chapter 2)
Test boring has long been the standard investigation procedure in many countries, but
there are various other tools and methods available that can be used to provide compre-
hensive information on geologic conditions.
Data collection and landform (or terrain) analysis are particularly important in cases where
large land areas are involved, or where the project area is unfamiliar to the investigator.

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4 Geotechnical Engineering Investigation Handbook, Second Edition

The preliminary determination of geologic conditions through literature search, landform

analysis, and field reconnaissance is included. Landform analysis is stressed throughout this
volume because of its high value in establishing geologic conditions, in particular in identi-
fying those that are hazardous and in classifying geologic materials based on their origin and
mode of occurrence. When these latter factors are established, it is possible to reach prelimi-
nary conclusions on the engineering characteristics of the various formations.
Landform analysis is based on the interpretation of geologic and topographic maps,
such as the USGS quad sheets, and remotely sensed imagery, be it in the form of satellite,
SLAR, or aerial photographs. For moderate to large land areas, the preparation of an engi-
neering geology map, which depicts surface and shallow subsurface conditions of rock,
soil, water, and geologic hazards, is useful for preliminary site planning and the thorough
programming of the field investigation.
Subsurface sectioning is accomplished by geophysical methods, test borings, and vari-
ous reconnaissance methods involving test pits, augers, and so on. Information over large
areas and areas that are difficult to access is obtained efficiently by means of geophysical
techniques, which can include refraction seismology and electrical methods (on land), and
refraction and reflection profiling (in water). Other techniques employed occasionally are
surveys with gravimeters, magnetometers, and ground-probing radar. There are a number
of simple and economical methods of exploring shallow depths, and a number of proce-
dures for performing test borings on land and in water. The static cone penetrometer, long
used in Europe, is finding increasing application in the United States. Various types of
remote-sensing equipment such as cameras and geophysical methods are available for
providing a continuous log of borehole conditions, particularly in rock masses. Nuclear
probes provide data on in situ water contents and densities. Determining groundwater
conditions is an important aspect of investigation, and reliable data are obtained only by
using proper procedures.
The recovery of samples of the geologic materials for identification and laboratory test-
ing is a major objective of the exploration program. A wide variety of tools are available,
their selection depending on the type of material to be sampled and the use to which the
sample will be put. Sample quality depends on extraction techniques, particularly when
one is sampling soils or coring rock.

Measurement of Properties (Chapter 3)

The basic and index properties, used for the identification and correlation of engineering
properties, such as permeability, strength, and deformation, are obtained for soil and rock
both in the field and in the laboratory. When representative undisturbed samples can be
obtained, such as from soft to stiff intact clays, their properties are measured in the labo-
ratory. However, there are many materials from which undisturbed samples are difficult
or impossible to obtain, such as clean cohesionless sands, residual soils, glacial till, and
soft or heavily jointed rock masses. For these materials, properties are best measured in
situ. Soft to firm clays and hard-fissured clays are also tested in situ.
Permeability measurements in soils and rock masses are best made by field tests
because of the mass effects of stratification and joints, but numerous correlative data exist,
particularly for soils, to permit estimates that are adequate for many studies.
Shear strength and deformation characteristics are measured by in situ testing with
either full-scale load tests on the surface, load tests in pits or tunnels, or load tests with
instruments lowered into boreholes. Geophysical methods are used to obtain measures of
dynamic properties, and the field data are correlated with laboratory dynamic testing data
to obtain deformation moduli for design. Dynamic testing is also important for evaluating
rock-mass quality.

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Introduction 5

Many types of geologic materials have characteristic engineering properties, and values
are included throughout the chapter as well as elsewhere in the book. The values are use-
ful for preliminary assessments and for the evaluation of the “reasonableness” of data
obtained from field and laboratory testing. Very often, such values are obtained from back-
analysis of a failure condition in the field.

Field Instrumentation (Chapter 4)

General
There are many instruments available to measure, either qualitatively or quantitatively,
surface and subsurface movements, strains, and in situ stresses and pressures. They range
from simple to complex, from low to high cost, from recoverable to expendable to perma-
nent. The selection depends on the importance of the work, the information required, and
the time available for installation and study.

Applications
Instruments are installed to provide information pertaining to the anticipation of the fail-
ure of natural or cut slopes, measurements of the settlement and heave of structures, con-
trol of preloading operations, anticipation of objectionable ground subsidence beneath
structures adjacent to excavations or over tunnels, control of the performance of earth
dams and tunnels, the monitoring of vibrations and seismic forces, and the investigation
of fault activity and surface warping. In many engineering projects, particularly braced
excavations, tunnels in rock, and steep cut slopes in open-pit mines, the monitoring of
deformations permits the use of economical contingent designs with low safety factors
and reduced construction costs. When deformations reach dangerous levels, as predeter-
mined by analysis, additional support can be added to arrest movements, or other proce-
dures invoked, in accordance with the contingency plans already prepared.
For monitoring subsidence over large areas and earthquake activity along faults, devel-
opments are being made in the applications of global positioning systems (GPS) and satel-
lite imagery, such as radar interferometry (difSAR).

1.2.3 Characteristics of Geologic Materials and Formations (Part II)

Rock and Soil: Identification and Classification (Chapter 5)
Rock types are described based on their identification characteristics of mineral content,
fabric, and texture, as having been originally formed as igneous, sedimentary, or meta-
morphic rocks. Rock-mass characteristics, as affected by discontinuities, are introduced to
permit presentation of rock-mass description and classification systems. It is the charac-
teristics of the in situ rock mass with its systems of discontinuities that normally control
response to changing stress fields.
Soils are described based on their general characteristics, mineralogy, and related engi-
neering properties. Mineralogy is more important than is often realized; not all sands are
composed of the essentially indestructible quartz grains, and clay activity depends to a
large extent on mineral composition. Classification systems are presented along with pro-
cedures for identifying and describing the various soil types.

Rock-Mass Characteristics (Chapter 6)

Rock masses, as originally formed, have characteristic forms, shapes, and structural fea-
tures that are related to rock type. Tectonic activity and other phenomena deform the rock

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6 Geotechnical Engineering Investigation Handbook, Second Edition

mass, resulting in folding and fracturing, which create systems of faults, joints, and other
discontinuities. Differential weathering and erosion attack the mass, resulting in terrain
features indicative of various conditions, and provide the basis for their prediction.
Faults are closely associated with shallow-focus earthquakes. Their recognition and pos-
itive identification, as well as the determination of their activity, are critical elements in
earthquake engineering studies. Faults also create a major weakness zone in rock masses.
Joints, the most common form of discontinuity, control rock-mass behavior in most sit-
uations. A description of their spatial orientations and characteristics is necessary for the
solution of rock-mechanics problems, particularly in closed and open excavations, and in
the construction of concrete dam foundations and abutments.
Residual stresses result in strains and rock bursts in excavations and are an important
element of rock-mass conditions. Unless specifically sought by means of in situ instru-
mentation, their prediction is difficult, although their incidence is often associated with a
particular set of conditions.
Weathering causes rock masses to undergo disintegration and decomposition, com-
pletely changing their characteristics and producing new materials ranging from altered
minerals along joints, to soft and decomposed rock, and finally to residual soil. Various
rock types develop characteristic profiles under given climatic conditions, thus providing
the basis for the prediction of soil types and their general properties when climate and
rock type are known.

Soil Formations: Geologic Classes and Characteristics (Chapter 7)

Soils are classified by origin such as residual, colluvial, and alluvial; subclasses are based
on their mode of occurrence or deposition such as fluvial and lacustrine, and subdivided
as stream channel deposits, floodplains, and tidal marshes. Soils of various origins and
modes of occurrence or deposition have characteristic terrain features of landform,
drainage patterns, and vegetation, which are used as indicators to provide the basis for
their identification, the anticipation of structural features such as stratification, and the
estimation of their characteristic engineering properties. The origin and mode of occur-
rence of the soils most significantly affect their gradation characteristics as well as their
stress history.
Residual soil characteristics reflect parent rock type. For example, relatively thin
deposits of inactive clays are normal in most sedimentary and sialic igneous rocks; thick
deposits of inactive clays are normal in foliated rocks in moist climates; active clays
develop from mafic rocks and marine shales in moist climates. The landform reflects the
parent rock characteristics.
Colluvium frequently originates from residual soils, but can originate from any soil for-
mation on slopes. Colluvium develops characteristic landforms and leaves scars of
denuded vegetation and fresh surface materials after major slope failures. Colluvial soil
slopes can be expected to be unstable, and the formation may be found overlying weak
alluvia.
Alluvium refers to channel deposits that relate to stream shape and gradient, which
influence the carrying capacity of the stream. Only boulders and cobbles remain in the
steep gradients of young streams; gravels and sands in the moderate gradients of mature
streams; and sands, silts, and clays in the small to nil gradients of the pastoral zone (except
during flood stages). The fluvial environment creates floodplains, terraces, and other such
terrain features as back swamp deposits and oxbow lakes, all with their characteristic soil
types. Rivers terminate in lakes and oceans to deposit deltas or to have their sediments
carried by currents for deposition along shorelines such as beaches and spits, or offshore
in deep waters where accumulations may reach great thicknesses. The types of materials

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Introduction 7

deposited reflect currents and water depths. Emergence can cause the formation of coastal
plains or exposed lake beds.
Aeolian deposits of dunes, sand sheets, and loess all have characteristic terrain features
of landforms and drainage patterns, and very typical engineering properties.
Glacial deposits have many characteristic landforms that reflect their mode of deposition
as being directly from the glacier (till) or from meltwaters (stratified drift or outwash). Till,
normally strong and relatively incompressible, is typically associated with a very irregular
ground surface containing numerous lakes and poorly developed drainage systems. Two
important glacial deposits are lacustrine (varved clays) and marine (often sensitive clays),
both of which have identifiable patterns of occurrence and characteristic properties.
Secondary deposits are considered in this work to include duricrusts (laterites, iron-
stone, caliche, and silcrete), permafrost, and seasonal frost. The duricrusts, surficial for-
mations within soil deposits and limited in extent, often have rocklike characteristics.
They form in certain environments under a limited set of conditions.

Water: Surface and Subsurface (Chapter 8)

Flooding is a major geologic hazard. Its prediction is based on hydrological analysis or on
the interpretation of geological conditions. The latter procedure is considered more reli-
able, particularly when precipitation and flood level data are meager. Erosion is another
hazard that wastes the land and results in the unnecessary filling of waterbodies with sed-
iments. Control is an important element of earthwork construction and slope stabilization.
Groundwater has various significant aspects, including several modes of occurrence
(static water table, perched, artesian conditions), subsurface flow, and water quality. The
analysis of flow and the determination of seepage forces through embankments, in slopes,
and beneath excavations are usually done by means of flow nets. Seepage forces are par-
ticularly significant in determining the stability of slopes, earth dams, and excavation bot-
toms. Groundwater control is important in the design and construction of slopes,
basements, tunnels, and pavements. It can be affected by cutoffs and barriers, dewatering,
and drains. Proper filter design is an important element of drainage systems.

1.2.4 Geologic Hazards (Part III)

Landslides and Other Slope Failures (Chapter 9)
The major forms of slope failures (falls, slides, flows, and avalanches) are related prima-
rily to climate and geologic conditions. The elements of slope stability involve slope incli-
nation and height, material structure and strength, seepage forces, and runoff. Each of the
particular forms of failure has its own characteristic features, the recognition of which,
together with an understanding of the elements of stability, provides the basis for predict-
ing potential failures and for formulating treatments.
Prediction based on mathematical analysis is applicable only to failure of slide forms
under certain conditions. In the prediction and treatment of slope failures, the following
factors are considered: the degree of the hazard (basically its magnitude); slope geology
and geometry; surface conditions of seepage, vegetation, and movements (degree of activ-
ity in terms of failure); and rainfall and other weather data. The selection of the treatment
is based on an evaluation of the degree of hazard and the degree of risk (consequences of
failure). Failure may be permitted in certain cases, or stabilization achieved by such meth-
ods as removal of materials, improvement of external and internal drainage, or retention.
Some conditions cannot be stabilized from the point of view of practical considerations
and should be avoided.

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8 Geotechnical Engineering Investigation Handbook, Second Edition

Ground Subsidence, Collapse, and Heave (Chapter 10)

Regional subsidence is caused by earthquakes, the extraction of water, oil, or gas, and sub-
surface mining operations. The result of subsidence can be flooding, faulting, and the dis-
tortion of structures.
Ground collapse results from subsurface mining operations, water table lowering in
cavernous soluble rocks, or the weakening of the intergranular structure of certain soil for-
mations. Surface structures can be lost, destroyed, or distorted.
Subsidence in soils results from leaching, internal erosion from piping, compression under
externally applied loads, or evaporation causing desiccation and shrinkage. It can cause the
distortion of surface structures and the collapse of earthen embankments and slopes.
Surface heave occurs on a regional basis as a result of tectonic forces, and on a local basis
from stress relief during excavation. The expansion of soil and rock, which can result from
swelling characteristics or frost, also contributes to surface heave. Expansion from
swelling or frost can result in the distortion of structures and the weakening of slopes.
Each of these phenomena is characteristic of certain environments and interfacing
elements and, therefore, is predictable. In many cases the most suitable treatment is their
prevention.

Earthquakes (Chapter 11)

The elements of earthquakes include the energy source or cause, the position of the source
in the Earth (focus and epicenter), the seismic waves generated by the source, the ground
motion resulting from the waves, the characteristics of intensity and magnitude, and the
attenuation or amplification of the intensity.
Surface effects are numerous and include faulting, dynamic soil behavior (such as subsi-
dence and liquefaction), slope failures, tsunamis and seiches, and the shaking of structures.
Design studies require an evaluation of regional seismic risk, the identification of possi-
ble faults, the development of the design earthquake, and the selection of ground response
factors such as the acceleration due to gravity, frequency content, duration, and the influ-
ence of local soil conditions. Suitable treatment requires resistant design.
Volcanos are also considered in this chapter. In recent years, lahars have been recog-
nized as a major hazard to persons living even many kilometers away from a volcano.

1.2.5 Appendices
● The Earth and Geologic History (Appendix A): The Earth’s crust and surface are
undergoing constant change, usually scarcely perceptible, as a result of global
tectonics. The nomenclature of geological history is useful for indexing forma-
tions and for making correlations between widely separated geographic loca-
tions. Ages are determined by radiometric dating, for which there are a number
of procedures.
● USGS Quads, Aerial Photographs, Satellite and SLAR Imagery (Appendix B):
USGS Quad Sheets and stereo-pairs of aerial photographs in this book.
● English to Metric to the International System (Appendix C): Conversions from
English to metric to SI units and metric to English to SI units are given.
● Symbols (Appendix D): Symbols used in the text are summarized and identified.
● Engineering Properties of Geologic Materials: Data and Correlations (Appendix E):
A synopsis of the tables and figures from the text providing data and correlations
for rock, soil, and groundwater is presented. Rock and soil properties are keyed
to index or basic properties, compression, expansion, and strength.

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Introduction 9

1.3 Geotechnical Investigation: Objectives, Stages, Scope, and Planning

1.3.1 Basic Objectives

The basic objective of a geotechnical investigation is the characterization of the geologic
environment. Included are the determination of the following:

1 Lateral distribution and thickness of the soil and rock strata within the zone of
influence of the proposed construction or development.
2. Groundwater conditions, considering the seasonal changes and the effects of
extraction due to construction or development.
3. Physical and engineering properties of the soil and rock formations, and ground-
water quality.
4. Hazardous conditions, including unstable slopes, active or potentially active
faults, regional seismicity, floodplains, ground subsidence, collapse, and heave
potential.
5. Ground response to changing natural conditions and construction or develop-
ment brought about by surface loadings from structures, unloadings by surface or
subsurface excavations, or unloadings from the extraction of mineral resources.
6. Suitability of the geologic materials for aggregate and for the construction of
pavements and embankments.

1.3.2 Stages of Investigation

Investigations are performed in a number of stages, each with a different objective, and
each requiring interpretation, analysis, and evaluation.

● Stage 1: General geologic conditions are identified through the retrieval of exist-
ing data, the interpretation of remote-sensing imagery (landform analysis), and
field reconnaissance. Engineering geology maps are prepared.
● Stage 2: Subsurface sections are prepared from exploration data obtained by test
borings and pits, geophysical methods, etc.
● Stage 3: Samples of the soils and rocks are recovered for identification and labo-
ratory testing.
● Stage 4: Measurements of engineering properties are made in the laboratory and
in situ.
● Stage 5: Instrumentation is installed to monitor ground and structural response
to changing field conditions.

1.3.3 Phases of Investigation

Investigations can be divided into a number of phases based on their purpose, with vari-
ous investigation stages in each phase. In general, phases range from feasibility to prelim-
inary design, final design, construction, and postconstruction.

Feasibility
A feasibility phase is imperative when the investigator has no prior experience in the proj-
ect area, when the site is located in virgin or rural country, or for large important projects.

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10 Geotechnical Engineering Investigation Handbook, Second Edition

The purpose is to identify potentially hazardous or unfavorable conditions such as active

faults, unstable slopes, sinkholes, and deep deposits of weak soils that would cause con-
struction to be either risky from the aspect of safety, or extraordinarily costly. Investigation
is made with stage 1 and often with parts of stages 2 and 3.
The data obtained have a number of useful applications. At a high-hazard site, the deci-
sion may be made to abandon it and search for one with more favorable conditions. If the
site is marginal, preliminary planning can consider optimum utilization of favorable areas
and the avoidance of unfavorable areas to minimize construction costs. Depending upon
the nature of the project, unfavorable areas may be characterized by shallow rocks, a shal-
low water table, deposits of weak soils, or expansive or collapsible soils. On sites with no
obviously severe constraints, preliminary designs and cost estimates may be prepared.
The data gathered provide the basis for intelligent planning of more detailed investiga-
tions, because the selection of proper methods and tools is highly dependent on geologic
conditions.

Preliminary Design Phase

The preliminary design phase usually proceeds when the locations, dimensions, and load-
ings of the proposed construction have been defined. Its purpose is the comprehensive
determination of the distribution of the geologic materials and their engineering charac-
teristics, and the evaluation of hazardous or constraining conditions.
Investigation includes stages 2, 3, and 4, and on many projects may be combined with
the feasibility phase. In routine, straightforward projects, investigation may only involve
a preliminary phase.
The data obtained are used for the selection and dimensioning of foundations, retain-
ing structures, groundwater control, slope stabilization, and tunnel and pavement sup-
port systems. If the project involves mineral extraction, the effects on the surface are
evaluated and methods formulated to avoid detrimental effects such as subsidence and
collapse.

Final Design Phase

Sites with difficult conditions are subject to a final design phase. The designer may be
required to change building locations or dimensions or to confirm or modify designs, pri-
marily to realize economies. The purpose of this phase is to procure supplementary data,
usually from additional undisturbed samples for laboratory tests or full-scale load tests, to
confirm or improve design criteria. Investigation requires detailed information and uses
stages 2, 3, and 4.

Construction Phase
Unforeseen geologic conditions may be encountered, common on projects with deep exca-
vations or deep foundations, or unconventional designs may be used with contingency
plans. Either case requires additional investigation during the construction phase.
Investigation stages 2, 3, 4, and frequently 5 are performed.
Instrumentation is installed to monitor changing groundwater levels; stability and
movements of slopes and retaining structures; settlements of fills, embankments, and
foundations; ground subsidence and its effect on adjacent structures; and deformations
and stresses in underground support systems. Instrumentation provides an early warning
system and the data base for decisions for invoking contingency plans when deformations
and stresses exceed those anticipated during design.

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Introduction 11

Postconstruction Phase
Instrumentation (stage 5) is good practice for heavy foundation loading or other condi-
tions in which settlements are anticipated for retaining structures in critical locations, and
for slopes, dams, and tunnels. The purpose is to provide an early warning system for
potentially troublesome conditions, and to provide data to advance the state of the art and
reduce the degree of conservatism in future projects.

1.3.4 Study Planning

The basic considerations in study planning are the lateral and vertical extent to which the
proposed construction or development will significantly influence the geologic environ-
ment (or be influenced by the environment).

Lateral Extent of Influence

The lateral extent of influence of the proposed construction can vary from the immediate
area of the project to many meters beyond if dewatering of excavations is anticipated, to
an entire valley or region where deep mineral extraction is planned, to several hundred
kilometers where area seismicity is of concern.

Vertical Depth
For structures on or near the surface, the vertical influence is a function of several vari-
ables. These can include: (1) the size and loading of the structure that imposes changes on
the natural stress conditions to some significant depth; (2) unfavorable geologic conditions
that require explorations to depths adequate to define suitable support for deep founda-
tions; and (3) excavations that require explorations to some distance below their maximum
depth to determine groundwater, rock, and soil conditions, both within and below the
excavation zone. Deep excavations for tunnels or mines and the deep extraction of fluids
require a knowledge of geologic conditions between the point of excavation or extraction
and the surface, and at times between even deeper points and the surface.

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