Geological Engineering

Luis I. Gonzlez de Vallejo

Universidad Complutense de Madrid

Mercedes Ferrer
Instituto Geolgco y Minero de Espaa

with a Foreword by M.H. de Freitas

Imperial College, London

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CRC Press/Balkema is an imprint of the Taylor & Francis Group, an informa business
2011 Taylor & Francis Group, London, UK
Typeset by Vikatan Publishing Solutions (P) Ltd, Chennai, India
Printed and bound in Poland by Poligrafia Janusz Nowak, Poznn
Authorized translation from the Spanish language edition, entitled INGENIERA GEOLGICA by GONZLEZ DE VALLEJO, LUIS, published
by Pearson Educacin, S.A. Copyright Pearson Educacin, S.A., 2002.
English translation by Bill Newton, Pauline Moran and Valerie Stacey from Gabinete Lingstico of the Fundacin General de la
Universidad Complutense de Madrid.
English technical review by M.H. de Freitas, Imperial College, London.
All rights reserved. No part of this publication or the information contained herein may be reproduced, stored in a retrieval system, or
transmitted in any form or by any means, electronic, mechanical, by photocopying, recording or otherwise, without prior permission in
writing from the publisher. Innovations reported here may not be used without the approval of the authors.
Although all care is taken to ensure integrity and the quality of this publication and the information herein, no responsibility is assumed
by the publishers nor the author for any damage to the property or persons as a result of operation or use of this publication and/or
the information contained herein.
Published by: CRC Press/Balkema

P.O. Box 447, 2300 AK Leiden, The Netherlands

e-mail: [email protected]

www.crcpress.com www.taylorandfrancis.co.uk www.balkema.nl
Library of Congress Cataloging-in-Publication Data
Applied for
ISBN: 978-0-415-41352-7 (Hbk)

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Brief CONTENTS
ABOUT THE AUTHORS

xv

CONTRIBUTORS

xvii

FOREWORD

xix

PREFACE

xxi

PART I FUNDAMENTALS
1 Introduction to Geological Engineering
2 Soil mechanics and engineering geology of sediments

3
19

3 Rock mechanics

109

4 Hydrogeology

223

PART II METHODS
5 Site investigation

263

6 Rock mass description and characterization

327

7 Engineering geological mapping

351

PART III APPLICATIONS

8 Foundations

369

9 Slopes

401

10 Tunnels

451

11 Dams and reservoirs

501

12 Earth structures

535

PART IV GEOLOGICAL HAZARDS

13 Landslides and other mass movements

555

14 Seismic hazard

595

15 Prevention of geological hazards

625

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vi

Brief CONTENTS

APPENDIX A Charts for circular and wedge failure analysis

643

APPENDIX B Pressure units conversion CHART

653

APPENDIX C Symbols and acronyms

657

APPENDIX D LIST OF BOXES

663

APPENDIX E PERMISSIONS TO REPRODUCE FIGURES AND TABLES

665

Index

671

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CONTENTS
ABOUT THE AUTHORS

xv

CONTRIBUTORS

xvii

FOREWORD

xix

PREFACE

xxi

PART I FUNDAMENTALS
1 INTRODUCTION TO GEOLOGICAL
ENGINEERING

1.1 Definition and importance of

geological engineering

1.2 The geological environment and its

relation with engineering

1.3 Geological factors and geotechnical

problems

1.4 Methods and applications in

geological engineering

15

1.5 Information sources in engineering

geology

16

1.6 How this book is structured

16

Recommended reading

17

References

17

2 SOIL MECHANICS AND ENGINEERING

GEOLOGY OF SEDIMENTS

19

2.1 Introduction
The nature of soils
Soils in geotechnical engineering

20
20
20

2.2 Soil description and classification.

Phase relationships
Types of soils
Particle size distribution

23
23
23

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Plasticity
Phase relationships

24
26

2.3 Flow of water through soils

28
Total head. Bernoullis Theorem
29
Hydrostatic conditions
29
Ground water flow
30
Basic concepts. Head loss and permeability 30
Hydraulic head and hydraulic gradient
31
Darcys law
31
Steady flow in an isotropic medium
33
Anisotropic soil conditions
36
Permeability and water flow in stratified
soils
38
2.4Effective stress
Soil phases and soil structure
Saturated soils. The principle of
effective stress
Seepage forces and piping
Loading saturated soils
The concept of consolidation
Concepts of loading with
and without drainage
Undrained loading in saturated soils

40
40
41
44
50
50
51
52

2.5 Consolidation and compressibility

Normally consolidated and overconsolidated soils
Horizontal stresses in the ground
Influence of complementary factors on soil
behaviour
The oedometer test

56

2.6 Shear strength of soils

Failure criterion
The direct shear test
Behaviour of soils subjected to shear stress
Granular soils
Clay soils
The triaxial test
The test apparatus

71
71
72
76
76
78
79
79

56
62
63
65

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contents

Types of test
The uniaxial compression test
2.7 Influence of mineralogy and fabric
on the geotechnical properties
of soils
Clay minerals in engineering geology
Physico-chemical properties
Geotechnical properties and mineralogical
composition
Microfabric of clayey soils
Geotechnical properties and microfabric
Summary

81
85

85
86
88
89
89
93
94

2.8 Engineering geological

characteristics of sediments
Colluvial deposits
Alluvial deposits
Lacustrine deposits
Coastal deposits
Glacial deposits
Deserts and arid climate deposits
Evaporitic deposits
Tropical soils
Volcanic soils

94
95
95
95
95
96
97
98
98
99

2.9 Problematic soils

Swelling and shrinking clays
Dispersive soils
Saline and aggressive soils
Collapsible soils
The action of ice and permafrost
Soft sensitive soils
Soils susceptible to liquefaction

100
101
103
104
104
106
106
106

Recommended reading

107

References

107

3 ROCK MECHANICS

109

3.1 Introduction
Definition, objectives and scope
Rock and soil
Rock masses

110
110
112
113

3.2 Physical and mechanical properties

of rocks
Rock characteristics
Physical properties of intact rock
Rock classification for geotechnical
purposes
Rock mass classification
Weathering of rock

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116
116
118
122
124
125

Weathering processes
Weathering of intact rock
Weathering of rock masses
Groundwater
Permeability and water flow
Effects of water on the properties
ofrock masses
3.3 Stress and strain in rocks
Force and stress
Stress on a plane
Stress in three dimensions
Strength and failure
Basic concepts
Failure mechanisms
Stress-strain relationships in rock
Strength criteria
3.4 Strength and deformability
of intact rock
Strength and strength parameters
Effects of anisotropy and pore
pressure on strength
Failure criteria
Mohr-Coulomb criterion
Hoek-Browns criterion
Deformability
Strength and deformability
laboratory tests
Uniaxial compression test
Triaxial compression test
Tensile strength tests
Sonic velocity
Limitations of laboratory tests
3.5 Discontinuities
Influence on rock mass behaviour
Types of discontinuities
Characteristics of discontinuities
Shear strength of discontinuity planes
Barton and Choubey criterion
Discontinuities with infilling
Direct shear strength laboratory test
Permeability and water pressure
3.6 Strength and deformability of rock
masses
Rock mass strength
Failure criteria for isotropic
rock masses
Failure criteria for anisotropic
rock masses

125
126
127
129
129
129
131
131
132
138
139
139
140
141
144
147
147
147
149
149
150
150
154
154
159
162
164
164
165
165
166
168
170
172
175
175
177
179
179
181
186

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 contents

Summary
Rock mass deformability
In situ deformability tests
Geophysical methods
Empirical correlations
Permeability and water pressure
Scale effect
3.7 In situ stress
Origin and types of in situ stress
Geological and morphological factors
which influence the state of stress
Methods for measuring in situ stress
Measuring the direction of stresses by
geological methods
Estimating stress magnitude from
empirical relationships
Instrumental methods for measuring
orientation and magnitude of stress

187
187
188
188
189
193
195

Pumping tests
Injection tests
Tracer tests

238
248
249

4.5 Solution methods

Analytical methods
Flow nets
Numerical methods

251
251
252
253

4.6 Chemical properties of water

Chemical quality of groundwater
Physical-chemical processes. Water-aquifer
interaction
Contamination of groundwater
Anthropogenic activities
Mechanisms of ground water contamination

255
255
256
257
257
258

207

Recommended reading and references

259

207

PART II METHODS

201
201
203
205
206

3.8 Rock mass classifications

RMR Classification
Geomechanical classifications inpractice

215
216
216

Recommended reading

220

References

221

4 Hydrogeology

223

4.1 Hydrogeological behaviour

of soils and rocks
Types of aquifers and their behaviour
Piezometric level
Water movement in aquifers

224
224
227
228

4.2 Hydrogeological parameters

Porosity
Storage coefficient
Permeability
Transmissivity

230
230
231
232
233

4.3 Flow. Darcys law and fundamental

flow equations in porous media
Darcys law
Darcys velocity and real velocity
Generalization of Darcys law
Continuity equation for steady flow
Laplace equation
Poissons equation
Flow equation in transitory regime

233
233
234
235
236
236
237
237

4.4 Evaluation methods for hydro

geological parameters

238

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5 SITE INVESTIGATION

263

5.1 Planning and design

Aims and importance
Planning site investigations

264
264
264

5.2 Preliminary investigations

Desk-based study
Aerial photo and remote sensing
interpretation
Aerial photo interpretation
Remote sensing
The walk-over survey
Preliminary site investigation report

268
268
269
269
270
273
275

5.3Engineering geophysics
Surface geophysics
Electrical methods
Seismic methods
Electromagnetic methods
Gravity methods
Magnetic methods
Borehole geophysics
Geophysical logging
Seismic logging inside boreholes
Seismic tomography

275
276
276
277
282
285
285
286
286
287
288

5.4 Boreholes, trial pits, trenches

and sampling
Borehole drilling
Rotary drilling
Auger drilling
Percussion drilling

289
289
289
291
292

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contents

Special boreholes
Number and depth of boreholes
Borehole data presentation
Trial excavations
Geotechnical sampling
Borehole logging

293
293
293
293
294
297

Filling
Seepage

342
343

6.5 Rock mass parameters

Number and orientation of
discontinuity sets
Block size and fracture degree
Degree of weathering

343
344
344
347

6.6 Rock mass classification and

characterisation

349

Recommended reading

349

References

350

7 Engineering Geological Mapping

351

7.1 Definition

352

7.2 Types of maps

Classification
Content of engineering geological maps
Classification and geotechnical
properties of soils and rocks
Hydrogeological conditions
Geomorphological conditions
Geodynamic processes

352
352
354
354
357
357
357

7.3 Mapping methods

Geotechnical zoning
Representing data
Computer aided mapping
Geotechnical cross-sections

358
358
358
360
360

7.4 Data collection

360

7.5 Applications
Land and urban planning
Engineering

361
361
361

Recommended reading

365

References

365

5.5 In situ tests

Standard penetration test (SPT)
Probing penetrometers
Cone penetration test (CPT)
Field vane test
Schmidt hammer test
Point load test
Shear strength test on
discontinuities
Tilt test
Pressuremeter test
Plate loading test on soils
Dilatometer test
Plate loading test on rock
Flat jack test
Seismic methods
Measuring in situ stress
Permeability tests
Permeability tests on soils
Permeability tests on rock

301
301
302
303
305
305
306

5.6 Geotechnical instrumentation

Displacement measurements
Pore pressure and water level
measurements
Stress measurements

319
319

Recommended reading

325

References

325

6 ROCK MASS DESCRIPTION AND

CHARACTERISATION

327

6.1 Methodology

328

6.2 Description and zoning

331

PART III APPLICATIONS

6.3 Intact rock characterisation

Identification
Weathering
Strength

331
332
332
332

8 Foundations

369

6.4 Description of discontinuities

Orientation
Spacing
Persistence
Roughness
Strength of discontinuity wall
Aperture

335
335
336
337
338
340
341

8.1 Introduction
Basic design criteria
Stages in foundation design

370
370
371

8.2 Shallow foundations

Types of shallow foundations
Ultimate bearing capacity
Basic definitions
Calculating the ultimate bearing
capacity

371
371
372
372

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308
310
311
311
312
313
313
316
316
316
316
317

322
324

373

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 contents

Ultimate bearing capacity in undrained

conditions
Ultimate bearing capacity in drained
conditions
Factor of safety. Safe bearing capacity
Distribution of pressures under shallow
foundations
Stress distribution under loadedareas
Fundamentals. Criteria for use
Point load on an elastic half-space
Vertical stresses under the corner
ofauniformly loaded rectangle
Stresses under a uniformly loaded
circular area
Settlement in soils
General considerations
Immediate and consolidation
settlement
Immediate and primary consolidation
settlements in saturated clays
Settlements in granular soils
Settlements in stiff clays

374
375
375
376
378
378
379
379
380
382
382
382
383
384
384

Geological structure and discontinuities

Hydrogeological conditions
Geomechanical properties of soil and rock
masses
In situ stresses
Other factors

404
405
408
408
409

9.4 Types of slope failure

Soil slopes
Rock slopes
Plane failure
Wedge failure
Toppling
Buckling
Non-planar failure

410
410
411
411
412
413
414
414

9.5 Stability analysis

Introduction
Limit equilibrium methods
Soil slopes
Rock slopes
Stress-strain methods
Geomechanical slope classification
Slope mass rating (SMR)

415
415
415
417
426
432
433
433

9.6 Stabilization measures

Introduction
Stabilization methods
Modifying the geometry
Drainage methods
Resistant structural elements
Walls and retaining elements
Surface protection measures

434
434
435
435
436
439
440
441

9.7 Monitoring and control

443

9.8 Slope excavation

Rippability criteria

445
447

Recommended reading

449

References

449

10 Tunnels

451

10.1 Introduction

452

8.3 Deep foundations

Types of pile
Single piles
Ultimate load capacity of a pile
Pile groups
Negative friction on piles
Laterally loaded piles

385
386
387
389
391
391
392

8.4 Foundations on rock

392

8.5 Foundations in complex geological

conditions
Expansive soils
Collapsible soils
Karstic cavities
Volcanic cavities
Soft and organic soils
Anthropogenic fills

394
394
396
396
396
397
397

8.6 Site investigation

Stages in site investigations

398
398

Recommended reading

400

10.2 Site investigation

453

References

400

9 SLOPES

401

9.1 Introduction

402

9.2 Site investigations

403

9.3 Factors influencing slope stability

Stratigraphy and lithology

404
404

10.3 Influence of geological conditions

Geological structure
Discontinuities
Intact rock strength
Hydrogeological conditions
In situ stress
Methods of analysis
Effects of high stress on tunnelling

454
457
458
459
460
461
462
464

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contents

10.4 Geomechanical design parameters

Geological and geomechanical data
Strength and deformability
Magnitude and direction of
in situ stress
Estimation of K from the TSI index
Sheoreys method
Water inflow and pressure
10.5 Rock mass classifications for
tunnelling
Q System
SRC rock mass classification
Suggested criteria for the application
of rock mass classifications

464
464
465
466
466
471
471
472
472
476
480

10.6 Tunnel support design using

rock mass classifications
Tunnel support based on RMR
classification
Tunnel support based on the Q index

481
483

10.7 Excavability

483

10.8 Tunnel excavation and support

methods in rock
Excavation methods
Stages of excavation
Support systems
Ground improvement
The New Austrian Tunnelling Method
Portals

484
487
489
489
491
491
492

10.9 Tunnel excavation and support

methods in soil
Non-mechanical excavation methods
Semi-mechanical excavation methods
Tunnel excavation with tunnel boring
machines

480

493
493
493
494

10.10 Geological engineering during

tunnel construction

495

Recommended reading

499

References

499

11 DAMS AND RESERVOIRS

501

11.1 Introduction

502

11.2 Types of dams and auxiliary

structures
Types of dams
Embankment dams
Concrete dams
Auxiliary structures

503
503
504
504
506

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11.3 Site investigation

Planning site investigation
Preliminary and feasibility studies
Selecting the type of dam
Design
Construction
Operation
Site investigation methods

507
507
508
508
508
508
509
509

11.4 Engineering geological criteria

for dam selection
General criteria
Foundation conditions
Availability of materials
Siting of auxiliary structures
Conditions for embankment dams
Conditions for concrete dams
Environmental considerations

513
513
513
514
514
515
515
515

11.5 Geological materials for dam

construction
Site investigations for dam materials
Types of materials
Cores
Rockfills and ripraps
Filters and drains
Aggregates

516
516
516
516
517
517
517

11.6 Reservoir water tightness

518

11.7 Permeability of dam foundations

Uplift pressures
Erosion
Leakage control

519
519
519
521

11.8 Reservoir slope stability

521

11.9 Engineering geological conditions

for dam foundations
General conditions
Loads on dam foundations
Dam foundation failure mechanisms
Stress distributions in dam foundations
Foundation improvement measurements
Dam foundation problems and possible
remedial measures

523
523
523
524
527
528
529

11.10 Seismic actions and induced

seismicity

532

Recommended reading

533

References

533

12 Earth Structures

535

12.1 Introduction

536

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12.2 Design methodology

537

12.3 Materials
Earthfill embankments
Rockfill embankments
Coarse rockfill

540
540
541
545

12.4 Implementation and control

545

12.5 Embankments on soft soils

548

12.6 Embankments on slopes

550

References and recommended reading

551

PART IV GEOLOGICAL HAZARDS

13 Landslides and other Mass
Movements

555

13.1 Introduction

556

13.2 Slope movements

Types of slope movements
Landslides
Flows
Rock falls
Rock avalanches
Lateral displacements
Causes of slope movements
Rainfall and climatic conditions
Changes in water level
Erosion
Earthquakes
Volcanism
Human actions

556
557
557
560
561
562
562
563
565
567
567
568
569
569

13.3 Investigation of landslides

General field surveys
Analysis of the processes
Detailed investigations
Stability analysis
Monitoring
Alarm systems

570
570
574
576
580
581
582

13.4 Corrective measures

Stabilisation and protection against
rock falls

582

13.5 Collapse and subsidence

Types of movements and their causes
Collapse
Subsidence
Investigation of the processes
Corrective measures

585
585
586
587
587
589

13.6 Prevention of risks from mass

movements

589

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583

Susceptibility and hazard maps

Slope movement maps
Collapse and subsidence maps

591
591
592

Recommended reading

593

References

593

14 SEISMIC HAZARD

595

14.1 Introduction

596

14.2 Faults and earthquakes

Faults as the source ofearthquake
Stick-slip regimes and the seismic cycle
The seismic fault model
Slip rates and recurrence periods
Geological recording of fault activity
The study of seismic faults

596
596
597
598
599
600
600

14.3 Seismicity studies

604

14.4 Seismic hazard analysis

Deterministic method
Probabilistic methods

606
606
608

14.5 Seismic site response

Design earthquake
Seismic parameters of ground motion
Modification of ground motion by local
conditions

609
610
610

14.6 Ground effects induced by

earthquakes
Liquefaction potential
Landslides induced by earthquakes
Fault rupture
14.7 Applications to geological
engineering
Seismic hazard studies applied to site
assessment
Seismic microzonation
Seismic vulnerability assessment

xiii

611
613
613
615
616
617
617
617
619

Recommended reading

622

References

622

15 Prevention of Geological Hazards 625

15.1Geological hazards

626

15.2Hazard, risk and vulnerability

627

15.3Safety criteria in geological

engineering

631

15.4Prevention and mitigation

of geological hazards

638

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xiv

contents

15.5 Hazard and risk maps

639

Recommended reading

641

References

642

APPENDIX A
Charts for circular and wedge
failure analysis

643

APPENDIX B
Pressure units conversion chart

653

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APPENDIX C
Symbols and acronyms

657

APPENDIX D
LIST OF BOXES

663

APPENDIX E
PERMISSIONS TO REPRODUCE FIGURES
AND TABLES

665

Index

671

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