Geology and Geoengineering PDF

Subject CIV3247 Geoengineering 1.
1
Topic 1 : Geology and Geoengineering
TOPIC 1
GEOLOGY AND GEOENGINEERING
TABLE OF CONTENTS
PREVIEW.................................................................................................................... 2
Introduction .............................................................................................................. 2
Objectives................................................................................................................. 2
PREFACE .................................................................................................................... 2
Origin ................................................................................................................... 2
Geology and Pedology .......................................................................................... 2
Geomorphology, landforms and landscapes .......................................................... 3
Particulate Mechanics ........................................................................................... 3
GEOLOGY AND CIVIL ENGINEERING................................................................... 3
CONSTRUCTIONAL AND DESTRUCTIONAL PROCESSES.................................. 4
Emerged Coastal Plains ............................................................................................ 4
Tectonic landforms ................................................................................................... 4
Volcanoes and Intrusions .......................................................................................... 5
Zones of Deposition.................................................................................................. 6
Metamorphism.......................................................................................................... 7
Weathering ............................................................................................................... 7
Mass wasting ............................................................................................................ 8
Erosion ..................................................................................................................... 9
Karsts ....................................................................................................................... 9
GEOLOGICAL CYCLE............................................................................................... 9
GEOLOGICAL TIME.................................................................................................. 9
REFERENCES AND FURTHER READING............................................................. 10
REVIEW QUESTIONS.............................................................................................. 10
Department of Civil Engineering, Monash University

Edition Date: 1/2000
Subject CIV3247 Geoengineering 1.2
PREVIEW
Introduction
All infrastructure and mining projects interact with the ground. The behaviour of soil
and rock and their interaction with the infrastructure are therefore vitally important to
the design, maintenance, safety and life of the project. Properties of these materials can
vary immensely. They exhibit a wide range of behaviour and as a result each major site
must be treated in some ways as unique. The design of foundations, tunnels, retaining
walls, slopes etc are therefore site specific. Experience gained from other sites must be
applied with care and with a thorough knowledge of soil behaviour.
A great deal of information relating to the engineering behaviour of rock and soil can be
determined through knowledge of the material constituents and of its formation. Topic
1 looks at the many geological processes that form rock and soil. As will become
apparent, water has a significant influence on these processes and on the engineering
properties of rock and soil.
Objectives
• To gain knowledge of the various constructive and destructive geological processes
that lead to rock and soil formation
• To understand the roles played by the crust, mantle and core and plate tectonics
• To obtain an appreciation of geological time and a knowledge of the relative ages
• To appreciate the importance of geology to civil engineering construction
PREFACE
Origin
Rocks can be igneous, sedimentary or metamorphic in origin. Their properties are
closely related to the minerals that make up the rock, their formation process and
weathering condition. Rocks are generally in their strongest state when fresh, and
gradually become weaker and softer the greater the weathering. All rock deposits
contain joints, faults and other discontinuities that significantly change the behaviour
and the properties of the mass. These discontinuities dominate the behaviour of the
rock mass.
Most soils are formed by physical and chemical weathering of rocks, the process either
happening in-situ, leading to residual soils, or involving transport processes, by air, ice
or water, followed by deposition in a range of environments, e.g. aeolian, lacustrine,
marine, alluvial, glacial. The properties of a soil reflect the material of its origin, its
mode of transportation, its depositional environment and its subsequent history.
Geology and Pedology

Geology is the scientific study of the earth's crust. Pedology is the scientific study of
soil (Gk. Pedon - ground), not necessarily for utilitarian purposes.

Geomorphology, landforms and landscapes

Geomorphology is the study of the classification, description, nature, origin and
development of present landforms. A landform is any physical form or feature of the
earth’s crust having a characteristic shape and produced by natural causes; e.g. plain,
mountain, slope, dune, plateau. All together, the landforms make up the surface
configuration of the earth. Landscape is an assemblage of landforms, generally that can
be seen in a single view. Landscapes are being transformed continuously by
constructional and destructional processes.
Particulate Mechanics
One feature that differentiates soil and rock from other engineering materials is the non-
continuum nature of the medium, considered at any scale. All ‘soil and rock’, comprise
an assemblage or skeleton of individual particles or grains and their behaviour under
mechanical stress cannot be described adequately by conventional theories of
continuum stress analysis (although it is often used). In addition, the interaction of the
particles with water further complicates their mechanical behaviour, and for these two
main reasons a new branch of engineering mechanics, known as geomechanics - has
developed as the scientific basis of geotechnical engineering.
Unfortunately, soil and rock are often considered as two different groups of materials,
rather than a continuous spectrum. This has seen the development of two almost
separate disciplines in geomechanics : rock mechanics and soil mechanics, both with
their own separate classification systems, testing procedures, analysis and design
methods. This separation can cause considerable problems when designing in weathered
materials that lie somewhere between a "soil" and a "rock". In this subject we will
attempt to marry the two approaches. The terms soil and rock will be retained for
clarity.
The different disciplines have emerged as rock is seen to be essentially an intact

material that is intersected by discontinuities (joints, faults etc). Although the intact
rock blocks are made up of grains, they are generally strongly cemented together. As
the strength of these bonds is (usually) significantly stronger than the strength of the
discontinuities, it is the discontinuities that control behaviour of the rock mass. As a
result, most rock mechanics problems deal with the mechanics of discontinua. Soil on
the other hand is a particular material with only at best very weak bonds between grains.
Although discontinuities may exist, they tend to be of a similar strength to the soil. Soil
mechanics therefore deals with continuum mechanics, treating the soil as a (usually)
homogeneous assemblage of particles.
GEOLOGY AND CIVIL ENGINEERING
Engineering structures rest on/in the earth’s surface. This surface (landscape)
comprising soil and rock is continuously being modified by various constructional and
destructional processes. An understanding of the processes and resulting landforms an
give us some vital clues to the nature and properties of the underlying materials.
Civil Engineering design can accommodate almost any ground conditions which are
correctly assessed and understood.

&
REQUIRED
Waltham
Chapter 1 : pp. 2 - 3
CONSTRUCTIONAL AND DESTRUCTIONAL PROCESSES
Constructional
• Emerged coastal plains
• Tectonic landforms
• Volcanoes and Intrusions
• Oceans and Floodplains
• Metamorphasis
Destructional
• Weathering (physical & chemical)
• Mass wasting (landslips)
• Erosion
• karsts
Emerged Coastal Plains

Can be formed through
• major vertical earth movements or epeirogenic movements
• isotasy
• eustacy – fluctuating sea level (ice ages); e.g. Brighton coastal plain, Tarra
delta, parts of Gippsland plains
Tectonic landforms
Convection currents within the mantle cause plates to move, creating disturbances along
the plate boundaries. These disturbances result in tectonic landforms such as
mountains, fault scarps, garbens, tilted blocks, folds etc.
Movement of plates results in fracturing (faults and joints) and folding of the rock that
forms the surface. Faults are a brittle form of failure, while folds (synclines and
anticlines) are ductile (plastic) behaviour. Joints often form due to folding action.
Joints :
• are fractures or discontinuities along which no movement has occurred
• also form during cooling and along bedding in sedimentary rocks
• are weaknesses that affect engineering properties of the rock mass and
therefore must be accounted for in design and construction
• are pervasive
Faults :
• joints along which movement has occurred
• often contain broken rock (breccia), gauge and slickensides

• types include normal (tension), reverse (compression) and tear

• are often significant weaknesses and sources of water that can be of
significant concern to civil engineering works
Fractures control the engineering properties of the rock mass. Fracture characteristics
that may be important include roughness, aperture, filling, orientation, persistence and
weathering. Joints, faults, folds and other geological structures are covered in more
detail in Topic 4.
&
REQUIRED
Waltham
Chapter 9 : pp. 18 - 19
Volcanoes and Intrusions
Formation processes for igneous rocks : extrusive and intrusive.
Volcanoes :
• located at plate boundaries (along with earthquake zones)
• result in surface pyroclastic and extrusive igneous rocks
• pyroclastic : particles thrown into air during eruption that settle to form ash,
tuff and agglomerate
• magma extruded to the surface to form extrusive igneous rocks (lava); e.g.
rhyolite (acidic), andesite & basalt (basic). Cool quickly on the earth’s
surface generating fine grained rocks. Often contain open vesicules due to
contact with water during cooling. The acidic rocks have comparatively low
viscosity and flows poorly. The basic rocks are less viscous and can flow on
very gentle slopes over vast areas – e.g. basalt plains of Victoria
Intrusions :
• formed when magma solidifies below the crust. Later exposed by erosion of
the earths surface.
• includes batholyths, dykes and sills
• cool very slowly thereby generating large grains
• include granite, diorite, gabbro, porphyry and dolerite (type depends on
acidity)
Minerals :
• quartz, feldspar, muscovite, biotite, mafics (hornblends, augite, olivine)
&
REQUIRED
Waltham
Chapter 10 : pp. 20 – 21
Chapter 2 : pp 4 - 5

Zones of Deposition
Floodplains (alluvial valleys) :
• deposition by streams – size of particle depends on stream velocity
• alluvium characterised by rapid changes in materials
• floods accelerate erosion, move particles down stream, finer particles left on
the flood plain where currents are lower.
• Deltas and coastal deposition (wave action)
&
REQUIRED
Waltham
Chapter 14 : pp. 28 – 29
Oceans :
• sediment is washed down off the land by rivers and streams and is deposited
in the sea. The thickness of sediment builds up over millions of years
forming sedimentary rocks.
• subsequent earth movements lift the sea floor above the surface; erosion and
transportation then tranform the surface exposing the older rocks below.
Lithification is the process of forming sedimentary rocks from transported soil.

Includes three processes :
1. Cementation : filling of voids by mineral cements (silica, iron oxides, calcite
or clay)
2. Recrystallization : small scale solution and redeposition of minerals – e.g. in
limestone
3. Consolidation : decrease in void ratio due to weight of overburden
Sedimentary rocks :
• Usually characterised by bedding (resulting from deposition process).
Bedding often forms a plane of weakness (discontinuity).
• Clastic or Non-Clastic
• Clastic : Rudaceous (coarse grained e.g. conglomerate, breccia)
Arenaceous (medium grained e.g. sandstone)
Argillaceous (fine grained e.g. siltstone, mudstone, shale)
• Non- Clastic : Carbonates (limestone)
Non-carbonates (e.g. flint, chert, coal, lignite, ironstone,
salt and gypsum)
• Minerals : primarily quartz, but also muscovite, kaolonite, illite, smectite,
calcite, dolomite, gypsum, liminite, pyrite.

&
Waltham
REQUIRED Chapter 15 : pp. 30 - 31
Chapter 16 : pp. 32 - 33
Chapter 17 : pp. 34 - 35
Metamorphism
Igneous and sedimentary rock can undergo metamorphasis when exposed to high
temperature (up to about 600oC) and/or pressures (around 500 MPa at 20 km depth).
Changes occur in the solid state, with the resulting type of rock depending on the
original rock and the temperature and pressure conditions.
Types of metamorphism include :

• Regional : involves high temperature and pressure and occurs in
mountainous area due to collisions of plate boundaries
• Thermal or contact : involves high temperature only – baking of rock by
igneous intrusions
Metamorphic rocks :
• Include marble (from limestone); quartzite (sandstone), hornfel, slate, schist
gneiss (clay/mudstone/siltstone depending on type and degree of
metamorphism); granites show little change
• Main minerals : quartz, feldspar muscovite, biotite, chlorite, epidote, calcite,
kaolinite, limonite
Metamorphism causes :
• recrystalisation (e.g. limestone to marble, sandstone to quartzite)
• growth of new minerals (e.g. clay minerals to mica to feldspar and mafics
e.g. basalt to greenstone)
• directional pressure causing growth of grains in direction perpendicular to
maximum pressure – foliation (e.g. gneiss)
• planar weaknesses – parallel micas cause cleavage and schistosity (e.g. slate
and schist).
&
REQUIRED
Waltham
Chapter 5 : pp. 10 - 11
Weathering
Landscapes broken down by chemical and physical processes and erosion

Physical :
• includes temperature changes (freezing and thawing, thermal expansion),
crystal growth, pressure, plant roots, burrowing animals
• cause disintegration of parent material and facilitates chemical weathering
Chemical :
• always in water
• includes hydration, hydrolysis, oxidation, reduction, carbonation and
exchange
• examples include oxidation of Fe to form limonite, deposited in joints,
inhibits groundwater flow; hydrolysis of feldspars to form clay (kaolin) –
forms infill for joints.
Understanding weathering is vital to knowledge of engineering behaviour
Usually more weathered near surface and along joints (why ?).
In general the more weathered a rock, the lower the strength.
Weathering pattern depends on rock type and fracture pattern.
Rocks classified according to weathering status : Fresh (F), Slightly (SW), Moderately
(MW), Highly (HW), Completely (CW), Soil.
Soil that has weathered from a rock insitu without being transported is called a residual
soil.
&
REQUIRED
Waltham
Chapter 13 : pp. 26 - 27
Mass wasting
Gravitational movement of weathered rock down slope without aid of water or wind
(landslips).
Transported material called colluvium.
Often triggered by mans activity or by water.
Can involve very small to immense volumes of material.
Several mechanisms including sliding, toppling, unravelling, slumping, flow.

Controlled by discontinuities (joints, bedding, schistocity, faults etc).
&
REQUIRED
Waltham
Chapter 32 : pp. 64 – 65
Chapter 33 : pp. 66 – 67
Chapter 34 : pp. 68 – 69
Chapter 35 : pp. 70 - 71
Erosion
Sheet erosion – by water flowing down valley sides – severe when vegetation removed
and geological materials uncemented
Stream erosion – materials brought downslope by mass wasting and sheet erosion are
transported by streams. Erosion by streams cause meanders etc.
Karsts
Forms by dissolution of limestone – limestone is only common rock soluble in water –

dissolved by carbon dioxide in rain water.
Form highly variable ground conditions.
Formation of sink holes – when buried karsts lead to surface subsidence.
&
REQUIRED
Waltham
Chapter 29 : pp. 58 – 59
GEOLOGICAL CYCLE
Continuous cycle of weathering, erosion, transportation, sedimentation to break rock

down to soil and then cementation, recrystallization, consolidation, metamorphism or
melting to form soil into rock. See page 7 of Waltham.
GEOLOGICAL TIME
An understanding of geological time is important to determine the history of rocks and
the likely subsurface conditions. The stratigraphic column divides geological time into
periods (Holocene, Pleistocene, Pliocene … etc). These names are also used to identify
the rock. e.g. the bedrock of Melbourne – a siltstone is often referred to as the
“Silurian”. See Waltham page 19.
REFERENCES AND FURTHER READING

Fookes
REVIEW QUESTIONS
1. How old is the surface of the earth as we see it today. What are the main factors that
have contributed to its present form ?
2. Why do the plates move ?
3. Why are areas that are prone to earthquakes and volcanoes close to plate boundaries
?
4. What is the difference between isotasy and eustacy ?
5. Why are granite and basalt the most abundant types of igneous rock?
6. How are igneous rocks classified ?
7. At a depth of 10 km, what temperature (approximately) is required to melt rock ?
What about at the surface ?
8. What is the difference between intrusive and extrusive igneous rocks ? What
characteristic makes them easily identifiable ?
9. What are the main clay minerals and what are their characteristics ? How do you
think these charactersitics would affect engineering structures built on these
materials ?
10. What is the most common mineral ? What elements does it contain ?
11. What do we mean by the term rock mass ?
12. Why is rock more highly weathered closer to the surface and along joints ?
13. What type of soil does basalt weather down to ? What about sandstone and granite ?
14. What is the difference in origin between colluvium, alluvium and a residual soil ?
How do you think their appearance and properties would differ ?
15. What are the main characteristics of a glacial till ?
16. How might you identify an alluvium gravel ?
17. What is the difference between a reducing and oxidising environment with regard to
rock weathering.
18. Can you name the periods of the stratigraphic column in order from youngest to
oldest and the time periods they represent ?
19. What problems would be associated with building a dam and reservoir on
limestone?

Topic 2 : Three Phase Model, Water and Effective Stress
TOPIC 2 – Three Phase Model, Water

and Effective Stress
TABLE OF CONTENTS
PREVIEW 2.2
Introduction ........................................................................................................... 2.2
Objectives.............................................................................................................. 2.2
PREFACE 2.2
CLAY – WATER INTERACTION 2.3
Particle Size and Shape.......................................................................................... 2.3
Influence of mineralogy......................................................................................... 2.3
GROUNDWATER AND SEEPAGE 2.4
SOIL FABRIC – QUANTITATIVE APPROACH – 3 PHASE MODEL
2.5
Some must know definitions : ............................................................................ 2.6
EFFECTIVE STRESSES 2.7
Vertical Insitu Stress.............................................................................................. 2.9
REVIEW QUESTIONS 2.10

PREVIEW
Introduction
In the Level 2 subject - Introduction to Geoengineering - the emphasis was on treating
soil as a granular material without any recognition of the important role played by
water. This was done so that basic soil mechanics principles could be grasped more
readily. Most engineering soils and rocks however contain water in the pore spaces and
variations in the water regime of a soil (and rock) are often the dominating influence on
its engineering behaviour. This subject treats soil (and rock) more realistically as a 3-
phase material, viz solid grains, pore water and pore air (or gas).
The influence of water is investigated through pore water pressure and effective stress,
seepage (only briefly) and clay – water interaction.
Objectives
• To understand the effect that water has on the properties of clay and the role
mineralogy has in this.
• To understand the three phase model of soil and rock and to be able to use it to
determine simple properties such as water content, void ratio, porosity, degree of
saturation etc.
• To introduce the effective stress principle and to be able to use this principal to
determine effective vertical in situ stresses within the ground.
PREFACE
Understanding the influence that water has on the behaviour of soil and rock is of vital
importance. Most failures in geomechanics involve water in some way or another. For
example, most landslips are triggered by water. The strength and deformation
properties of soil and rock change significantly with water content. Expansive clays
swell and shrink with wetting and drying, often leading to large settlements. Water
provides the medium for transporting pollutants through the ground. Water also
introduces a time dependency into soil behaviour, with short term behaviour being
considerably different to that of long term behaviour. For example, can you explain
why a trench dug in clay will be stable for several months and then suddenly cave in,
whereas attempting to dig the same unsupported trench in sand is a useless endeavour as
the sand caves in immediately.
This lecture briefly looks at some of the ways in which water influence soil and rock
behaviour. The principle of effective stress will be introduced here, but expanded on in
future lectures. Seepage and its role in environmental engineering will be dealt with in
CIV3248 Groundwater and Environmental Engineering. However, to fully grasp some
of the concepts covered in this subject it will be necessary to read material that will be
covered in CIV3248 and contained in Holtz and Kovacs.

CLAY – WATER INTERACTION
Particle Size and Shape

Soil and rock are made up of individual particles or grains that can be cemented (e.g.
rocks) or uncemented (e.g.. soil). Particles of soil may consist of a single mineral (e.g.
quartz sand), while granite boulders consist of mineral grains of feldspar, quartz, mafics
and biotite. For soil, particle size can vary from Boulders (>200 mm diameter.) down to
Clays (<2µm).
Most coarse soil grains are observed to be blocky or sub-spheroidal in shape, with
freshly created particles being more angular than those which have been subjected to
long-term weathering. For engineering purposes and correlations it is sufficient to give
each particle a single ‘effective diameter’, the full physical significance of which
depends somewhat on its method of measurement.
On the other hand clays are seen, under electron microscopic examination, to be largely
two dimensional in nature, frequently lamellar or plate shaped and often with striking
geometric symmetry. Needle and tubular (rolled lamellae) particles also occur
relatively frequently. Although clay particle size and shape are relevant to
understanding the interaction of clays with water, they are not normally investigated in
soil engineering practice.
Influence of mineralogy
The lamellar shapes of clay particles reflect the fundamental difference between clays
(cohesive) and sands/gravels/cobbles (cohesionless), namely a difference in
mineralogy. The cohesionless (coarse grained) soils have particles consisting of
primary minerals found in the parent rock, particularly silica for sand grains, while the
cohesive (fine grained) soils comprise particles which are the products of chemical
weathering, and alteration of these primary minerals to produce so-called secondary
minerals, mainly hydrous aluminosilicates. X-ray investigations have revealed the
regular crystal structure of clay minerals, in which two basic layer structures -
tetrahedral (silica) and octahedral (alumina) sheets - are packed together in a variety
of ways to produce a given clay mineral. Substitution of cations with a valency less
than that of silicon or aluminium, into the crystal structure produces variant mineral
types and contributes to an electrical charge imbalance at the crystal surface. To varying
degrees, clay particles behaving as though their faces carry a negative charge, while
their edges carry a lesser positive charge.
Double Layer : The surface of the clay particle is rich in oxygen atoms that form
hydrogen bonds with the closest water atoms. This gives the water a structure that
modifies its properties, and such water is known as the adsorbed water layer. Electrical
neutrality of the system is provided by cations embedded in this water layer. The
attachment of the cations is rather weak, and because they can be replaced by other
cations in the free water, they are referred to as exchangeable cations. This double layer
in which the adsorbed water close to the particle surface is greatly modified in
properties, controls the ease with which particles may move relative to each other and

giving rise to the plasticity of clay soils. The primary factor here is the thickness of the
adsorbed water layer that is affected by the valency of the cations adsorbed, and the
cation concentration in the free water. In some minerals such as Montmorillonite, water
may also penetrate between the crystal layers, causing excessive swelling,.
As the interaction of water and cations with the particle is a surface phenomenon, its
effects will be more noticeable with a greater particle surface area. As particle size
decreases, the specific surface, or surface area per unit mass, increases greatly. The
laminar shape further increases the surface area, explaining why clay properties are
much more influenced by available water than cohesionless soils.
&
REQUIRED
Holtz and Kovacs
Chapter 4 : pp. 77 - 107
GROUNDWATER AND SEEPAGE
Water exists in the ground. The term “water table” is often used to describe the upper
most surface of the water in the ground. For example, consider a container full of dry
sand. If we were to add water to the sand it would fill the voids between the sand grains
up to a certain height from the bottom of the container ie they would be saturated. The
surface that forms the interface between air-filled and water-filled voids is called the
water table. This however is a simplistic view.
In fine-grained soils, capillary forces “pull” water above this level, such that soil above
the water table can still be close to saturated. Plants rely on this effect to obtain water
from the soil. A more accurate term is the “piezometric surface” which defines the level
at which the pore water pressure is zero (relative to atmospheric pressure). The pressure
in the water above the piezometric surface is negative, and can be at a level of tens of
MPa of tension (or suction).
For stationary ground water the piezometric surface is horizontal and below it the pore
pressure increases at a constant rate of 9.81 kPa per metre depth, referred to as a
hydrostatic pressure distribution.
&
Waltham
Chapter 18 : pp. 36 – 37
Holtz and Kovacs
REQUIRED Chapter 6 : pp. 166 - 190
However, if some disturbance to this occurs such as dewatering by pumping, or addition

of a load to the ground, then the ground water will flow, and the pressure distribution
will not be hydrostatic. The movement of water through soil and rock is called seepage.
The majority of seepage in rock is through the discontinuities, whereas in soil it is

through the pores. We assume that seepage is laminar and that it is governed by
Darcy’s Law.
q = vA = kiA
Here seepage velocity v m/s is the total volume flow rate of water q m3/s flowing
through cross-sectional area A m2 normal to the flow, under a hydraulic gradient i,
through a soil with hydraulic conductivity or “permeability”, k m/s. Permeability varies
significantly both within the same soil and from soil to soil – with many orders of
magnitude separating clay (10-9 - 10-11 m/s) and sand (10-6 - 10-3 m/sec). Hydraulic
gradient is the rate of change of total head h in the direction of flow. Total head is
identical to that considered in pipe flow, except that the velocity head is so small that it
can be neglected without error. For small laboratory samples, change in elevation head
will be small, and there the hydraulic gradient is given by just the pore pressure
gradient. Note that under hydrostatic conditions, the total head is constant everywhere,
and hydraulic gradient is zero, the changes in pressure head cancelling the changes in
elevation head.
For in rock, most water travels through joints and other discontinuities, the intact rock
between the joints being much less permeable. The theory developed for seepage
through homogeneous and isotropic soil is not really applicable for such flow in rock,
but nevertheless, seepage theory is still extensively used with apparently good success
for these materials. Are real soils homogeneous and isotropic?
Seepage will be dealt with in second semester in the subject CIV3248 Groundwater and
Environmental Engineering. Nevertheless to fully appreciate soil the material presented
in this subject it will be necessary to carry out the suggested reading.
&
SUGGESTED
Holtz and Kovacs
Chapter 7 : pp. 199 - 205
SOIL FABRIC – QUANTITATIVE APPROACH – 3 PHASE MODEL
The soil fabric, or the arrangement of grains, is often important and sometimes central
to explaining soil behaviour. However, in routine geotechnical engineering the soil or
rock is reduced to a model comprising three lumped component phases, with all the
grains, all the water and all the air collected into single discrete layers.
It is imagined that all the grains in a block of soil or rock are ‘melted’ together and
allowed to resolidify into a single solid block. The total original pore space - the space
between the grains in the real fabric - is called the void space and is represented by the
collected water and air components, and denoted by e. For calculation purposes it is
convenient to choose a lump of soil containing a solids volume, Vs, equal to 1 and a
cross sectional area of the soil block A=1, so that heights on the model are then equal to
volumes (See Figure 1).

A=1
VA
AIR
VV = e
VW
WATER
VS = 1
SOLIDS
Figure 1 : Volumetric relationships
Some must know definitions:
(Fundamental quantities: Vv = volume of voids, Vs = volume of solids, Vw = volume of

water, VT = total volume, Mw = mass of water, Ms = mass of solids, Ma = mass of air,
very small so Ma = 0)
Vv
Void ratio, e e= (usually used for soil)
Vs
Vt
Specific volume v= =1+e
Vs
Vv
Porosity, n n= × 100% (usually used for rock)
VT
Mw
Water content, w w= × 100%
Ms
Vw
Degree of Saturation, S S= × 100%
Vv
MT M s + M w
Bulk density, ρ ρ= =
VT VT
Ms
Solid density, ρs ρs = (range of 2.3 to 2.8, mean 2.65 t/m3)
Vs
Mw
Density of water, ρw ρw = ≈ 1 t/m3
Vw

Ms
Dry density, ρd ρd = (the reciprocal of total volume / solid mass)
VT
Unit weight, γ kN/m3 or kPa/m γ = ρg where g =9.81m/s2

( Unit weight of water is γω = 9.81 kN/m3 or kPa/m )
Unit weight may be dry, bulk, saturated etc depending on density value used. Density is
measured in tonnes per metre cubed (t/m3) and unit weight in kN/m3. Don’t confuse the
two.
Using the 1+e model, relationships between the various parameters ρ, ρd, ρs,γ, γd, γs, w,
SR, e, n, may be readily calculated. For example :
e n ρs ρ s (1 + w )
n= e= ρd = ρ=
1+ e 1− n 1+ e (1 + e)
ρ s + ρ we wρ s
ρ saturated = e= ρd = ρ /(1 + w)
1+ e ρwS
&
REQUIRED
Holtz and Kovacs
Chapter 2 : pp. 10 - 16
@
Activity 2.1
Work through example problems 2.2 to 2.6 (pp. 16
– 24) in Holtz and Kovacs
EFFECTIVE STRESSES
The most important interaction of water with soil (and to a lesser extent with rock) is the
role it plays in influencing stress transfer in soil (and rock) deposits. For a dry soil (in
which the pores are filled with highly compressible air,) any applied load is immediately
transferred to the soil grains, causing an immediate change in dimensions, strength, or
stiffness. If the voids are however completely full of water (which is relatively
incompressible), the situation is changed dramatically. Applied loads or stresses are
then initially carried partly by the soil skeleton and partly by changes in the pore water
pressure. Where the soil skeleton is compressible, the pore space full of water ie
saturated, and the pore water cannot leave the voids, then the pore water pressure will
carry the full change in applied load.

The Terzaghi concept of an effective stress implies that for any applied stress, although
part is resisted by pore pressure change, the remainder increases the stresses at the
points of contact of the soil grains and is effective in changing the mechanical
behaviour of the soil skeleton. Terzaghi formulated his effective stress law as follows.
THE EFFECTIVE STRESS LAW
σ′ = σ - u
where σ = total or externally applied stress
u = pore water pressure
σ′ = effective stress
(this form of the equation is for soils with SR = 100%)
Effective stress is a measure of the load transfer between particles, and for an
uncemented soil cannot be negative ie in tension. (But pore pressure can be negative.)
It is not necessary for stress change to have occurred for the effective stress law to be
valid. It also applies for the static state in soil deposits that have reached steady state
equilibrium with the water table present.
Drained versus Undrained
For cases of additional applied load caused by engineering operations a further

complication arises, namely the effect of time. Clean sands and gravels are so free
draining that any pore pressure increases from an applied load will dissipate fully as the
load is being applied, so total and effective stresses will be essentially the same. At the
other extreme, clays drain very slowly and months or years are necessary for
construction induced pore pressures to dissipate noticeably. Hence for clays we have
the concept of immediate undrained loading for the initial state and long term, fully
drained loading for ultimate equilibrium. Behaviour in both cases is controlled by the
effective stress law.
&
REQUIRED
Holtz and Kovacs
Chapter 7 : pp. 213 - 225
The piston and spring analog shown below demonstrates these actions.

Piston with drain hole. TOTAL STRESS applied

UNDRAINED (no hole or a very small hole) externally to the sample.
then no water loss, no spring compression and (Utilised in all equilibrium
no change in effective stress, pore water calculations)
carries all the applied load.
DRAINED (A) a very large hole, water
drains quickly, spring compresses and carries Closed-end
all the applied load. cylinder
(B) a small hole, and after
sufficient time, water drains, spring
Elastic spring – soil
compresses and carries all the applied load.
skeleton. Load carried is
the EFFECTIVE STRESS
Water-filled space –
PORE PRESSURE,
measured by standard PISTON AND SPRING ANALOG
pressure gauges
Vertical In situ Stress
The total vertical stress at a depth, d, in a soil or rock mass is obtained by summing the
weights of the materials above that point. Usually we divide the soil or rock mass into
layers of height, hi, and sum the weights of each layer (as determined from bulk density,
n n
σ = ∑ ρi h i g
d
v
d = ∑ hi
1
1
ρi, the gravitational constant, g, and layer height); i.e.
If the water table is at depth, z, below the surface, then the pore pressure at depth d is
given by
u = (d − z ) γ w
where γw = ρwg. (Note g = 9.81 m2/sec). The effective vertical stress, according to the
effective stress law is
σ′v = σ v − u
The term buoyant weight, γ' is used to describe the effective weight of the soil when
completely saturated:
γ' = γ - γw
@
Activity 1.2

REVIEW QUESTIONS
1. Describe the structures of Kaolinite and Montmorillonite. How do their structures
affect the properties of these clay minerals?
2. What do we mean by specific surface and how does it affect interaction between
clay minerals and water?
3. Holtz and Kovacs : p 108 ; Questions 4-4, 4-5 and 4-7.
4. Holtz and Kovacs : pp : 41 – 45; Questions 2-1, 2-3 to 2-32
5. What is meant by the term “hydrostatic pressure” ? The Burnley Tunnel at it
deepest point is approximately 60 m below the ground surface. If the water table is
at 1m depth, what is the water pressure acting on the tunnel if hydrostatic conditions
are assumed ?
6. Holtz and Kovacs : p 274; Questions 7-14 to 7-17

Topic 3 : Soil and rock classification and the continuous spectrum
TOPIC 3 – Soil and rock classification and the

continuous spectrum
TABLE OF CONTENTS
PREVIEW................................................................................................................. 3.2
Introduction ........................................................................................................... 3.2
Objectives.............................................................................................................. 3.2
PREFACE ................................................................................................................. 3.2
ROCK CLASSIFICATION ....................................................................................... 3.3
SOIL CLASSIFICATION ......................................................................................... 3.3
Particle Size........................................................................................................... 3.3
Particle Shape ........................................................................................................ 3.4
Unified Soil Classification ..................................................................................... 3.5
Strength, Consistency and Density......................................................................... 3.5
REVIEW QUESTIONS............................................................................................. 3.6

PREVIEW
Introduction
The engineering properties of soil and rock vary enormously depending on origin, stress
history, mineral composition, degree of weathering, water content etc. Unlike structural
engineers working with steel, we are not operating with only one material, but many
different materials. Like the structural engineer, we must have a good knowledge of the
properties and likely behaviour of the material. The identification and classification of
soil and rock is therefore vitally important so that the engineer has a “feel” for the
material he is working with and so that he can apply his past experience, or just as
importantly, experience by others, with similar materials.
Objectives
• To appreciate the diversity of soils and rocks and be able to identify the main types
of each
• To understand and be able to use the various classification systems used, and have
knowledge of the various tests used to in the classification process
• To appreciate that soil and rock are not distinctly different materials, but are part of
one continuous spectrum in which behaviour gradually changes.
PREFACE
A scientifically based classification system is absolutely essential for clear and
unambiguous contract writing and for the sharing of geotechnical knowledge and
experience. Unfortunately no such system exists for both soil and rock, and many
systems exists for soil or rock alone. This situation has arisen because of the way in
which soil and rock mechanics have developed.
One of the major geotechnical problems that faced early civil engineers was providing
suitable foundations for structures in relatively weak soils. As the structural loads were
often relatively small compared to those imposed by structures today, founding on rock
was not usually perceived as a problem. As a result, civil engineers dealt mainly with
soil behaviour and soil mechanics. On the other hand, rock mechanics arose out of the
mining industry, where the most common problems arose in hard rocks, usually due to
discontinuities or high stresses. As a result, soil and rock mechanics have developed as
largely two distinct disciplines and have developed their own classification systems,
tests etc. This can become a problem when dealing with weathered rocks at the surface,
as these materials sit outside the normal envelope of experience, and the application of
experience from soil or rock mechanics can lead to widely diverging results.
Currently, the two disciplines remain largely separate, but the civil engineer must have a
good appreciation of both areas. For example, when designing in a fissured clay, it is
important that the orientation and strength of the fissures (discontinuities) be
considered. This may often not be appreciated by an engineer dealing only in soil
mechanics. Hopefully with time, the distinction between the two areas (soil and rock
mechanics) will fade, and classification systems, identification procedures, testing etc
will become uniform.

The purpose of this topic is to describe the various classification systems used for soil
and rock. As these systems are currently different, the distinction between soil and rock
will be maintained.
ROCK CLASSIFICATION
Due to the diverse characteristics of rock and soil, it is important that a uniform method
of classification is adopted. Rock is generally classified according to origin (igneous,
sedimentary, metamorphic) and grain size. Generic names such as granite, basalt,
siltstone, sandstone, marble etc are used as the basis of this classification. When these
materials weather to a soil, the name of the parent material is usually lost, and the soil is
classified as either clay, silt, sand or gravel depending on particle size. However, on
geological maps the name of the parent material is retained.
&
Waltham
Chapter 2 : pp. 4 –5
Chapter 4 : pp. 8 – 9
REQUIRED Chapter 5 : pp. 10 – 11
Chapter 13 : pp. 26 - 27
For engineering purposes, rock is usually also classified on the basis of the strength of
the intact blocks and on their weathering condition. Descriptors for strength range from
extremely low to extremely high. Rock strength can be assessed through Unconfined
Compressive Strength testing, Point Load index testing or by observation. Weathering
condition is usually based on observation with descriptors ranging from residual soil,
through extremely, highly, moderately and slightly weathered fresh (see Waltham pg
27).
As previously discussed discontinuities also play a very important role in rock mass
behaviour. A consistent method for describing discontinuities is therefore necessary.
The Iternational Society for Rock Mechanics has published a recommended method for
classifying rock joints. This method takes into account various factors including
discontinuity roughness, alteration, block size, persistence, infill etc.
SOIL CLASSIFICATION
Particle Size
Early soil classifications were based on the most readily observable and measurable
parameter of a particle - its size. At one extreme Ayers Rock, or that part of it visible
above ground level, could be regarded as part of a very large particle, while all clay and
most silt particles are too small to be differentiated with the naked eye. The normal
engineering range is from Boulders (>200 mm dia.) down to Clays (<2µm). Soil
particle size analyses are usually presented as % by weight of particles finer than a
specific size vs particle size in mm (log scale). Examples of particle size distributions

are shown on pages 74 to 76 of Holtz and Kovacs. Note that soil contains a range of
particle sizes, so names such as clayey sand or sandy clay etc are necessary.
Soil classification according to particle size is based on regular alternation of the

numbers 2 and 6.
Soil Type Maximum Size Minimum Size

Boulders >200 200 mm
Cobbles 200 mm 60 mm
Gravel 60 mm 2 mm
Sand 2 mm 0.06 mm
Silt 0.06 mm 0.002 mm
Clay 0.002 mm
The gravel, sand and silt components may also be subdivided into coarse, medium and
fine fractions, again based on 2 - 6 alternation. This size classification is also used to
distinguish mudstones from siltstones and sandstones etc.
&
REQUIRED
Holtz and Kovacs
Chapter 2 : pp. 25 – 33
@
Activity 3.1
Work through example problem 2.7 (pg. 31) in
Holtz and Kovacs
Particle Shape
Most coarse soil grains are observed to be blocky or sub-spheroidal in shape , with
freshly created particles being more angular than long-term weathered ones. For
engineering purposes and correlations it is sufficient to give each particle a single
‘effective diameter’, the full physical significance of which depends somewhat on its
method of measurement.
On the other hand clays are observed, under microscopic examination, to be largely two
dimensional in nature, frequently lamellar or plate shaped and often with striking
geometric symmetry. Needle and tubular (rolled lamellae) particles also occur
relatively frequently. Although clay particle size and shape are relevant to
understanding the interaction of clays with water, they are not normally investigated in
soil engineering practice.

Unified Soil Classification
The widely accepted Unified Soil Classification, based on principles put forward by A.
Casagrande, uses particle size distribution and plasticity of fines to give soils a two
letter classification, e.g. SW for “well graded sand”, CH for “clay of high plasticity”.
In marginal cases double classifications may be used, e.g. CL-ML. Numerical values of
plasticity are obtained from the Atterberg Limits tests for the Liquid Limit, wL, and
the Plastic Limit, wP, giving the universally used Plasticity Index, IP = wL - wP .
&
REQUIRED
Holtz and Kovacs
Chapter 2 : pp. 34 – 41
Chapter 3 : pp. 47 - 76
60
U line
4 IP = 0.9(wL - 8)
0 CH
A line
IP IP = 0.73(wL - 20)
OH
20 or
CL
MH
OL
or
CL-ML ML
ML
0
0 20 40 60 80 100
WL
Figure 1 : Casagrande’s plasticity chart
Strength, Consistency and Density
Fine grained soils (clays and fine silts) are classified on the basis of consistency, while
coarse grained soils (coarse silts, sands and gravels) on density. Consistency is usually
related to the “undrained” shear strength of the soil and uses the descriptors very soft
(undrained shear strength < 12 kPa), soft (12 to 25 kPa), firm (25 to 50 kPa), stiff (50 to
100 kPa), very stiff (100 to 200 kPa) and hard (>200 kPa). Density is quantified through
density index or the “N” value obtained from Standard Penetration Testing (SPT).
Descriptors range from very loose (N<4), loose (4 to 10), medium dense (10 to 30),
dense (30 to 50) and very dense (>50).
The two systems overlap in the hard soil extremely low strength rock range, which can
often lead to confusion.

It should be emphasised that the strength of soil and rock can be significantly affected
by water. The above descriptors are used for soil and rock in their saturated state.
@
Activity 3.2
Work through example problem 3.1 and 3.2 (pp. 62
& 67) in Holtz and Kovacs
REVIEW QUESTIONS
1. Holtz and Kovacs : from page 41 on; Problems 2-2, 2-33 to 2-37.
2. Holtz and Kovacs : from page 72 on; Problems 3-1 to 3-6.
3. Describe the point load index and the uniaxial compressive strength tests on rock.

Topic 4: Geological structures and mapping
TOPIC 4
Geological structures and
mapping.
TABLE OF CONTENTS
PREVIEW 4.2
Introduction ........................................................................................................... 4.2
Objectives.............................................................................................................. 4.2
PREFACE 4.2
ROCK STRUCTURE 4.3

Horizontal limits to rock type………………………..………………………………4.3
Vertical limits to rock type…………………………………………………………..4.3
Planar features……………………………………………………………………….4.4
Orientation of a plane……………………………………………………………….4.5
Non-Planar Structures………………………………………………………………4.5
GEOLOGICAL MAPS 4.6

The base map……………………..…………………………………………………4.6
Geological boundaries………….…………………………………………………...4.6
Map symbols…………………….……………………… ………………………..4.6
Vertical cross sections………………………………………………………………4.6
The legend…………………………………………………………………………..4.7
Publishing details…………… …………………………………………………….4.8
REVIEW QUESTIONS4.7

PREVIEW
Introduction
The utilisation of soil or rock as a structural element, in say a foundation or a tunnel, is
influenced not only by the type of material, but by its extent before another material is
encountered, and the layering and fracturing that both may contain. The dimensions of
the extent of a given material type are highly variable, ranging from millimetres to
kilometres, and an important aspect of site evaluation is the awareness of this value.
Both the material type and its state are the result of the past events at the site, and for
sedimentary material particularly, the effect of the material being placed in layers
becomes part of the rock, as seen in bedding planes, that is, the rock has structure. With
subsequent ground movement, these once horizontal planes may be tilted, fractured or
faulted, adding more variables to the rock structure.
The geological map is one way of recording the type and structure of geoengineering
materials in a region. The usual convention is to show in plan the boundaries of the
surface exposures of the different materials present, with symbols to indicate the major
structures. This is an objective presentation, in that at any point on the plan, all informed
observers would see the material type indicated. Geological maps may show one or
more vertical section along designated bearings. These sections are usually supported by
data from bore holes, supplemented by inferences based on a theory of the material
formation, and so are more subjective than the geological plan. The third significant
feature of the map is the legend that provides a geological classification of the material.
This groups materials according to their age and material type, often with a specific
formation name.
Geological maps exist for all the earths surface, although the scale may be coarse in
some areas. When evaluating the geoengineering characteristics of any site the
geological map is one of the first pieces of available data. At the very least, it will show
the range of conditions possible at the site.
Objectives
• To understand the nature of the structures to be found in soil and rock, and have
knowledge of the basic types of rock structure.
• To understand the nature of the information provided by a geological map, to know
how to read this information, and be aware of its limitations.
PREFACE
The structural properties of soil and rock depend on both the material and its condition,
and for rock, the behaviour of the intact rock piece may be quite different for the larger
rock mass containing defects such as joint planes or other structural features. Another
aspect of a site is the landform, the result of applying the energy of the weather to the
rock type and its structure. Hence, from knowledge of landform, weather and rock type,
the structure may be inferred.

Each site for development involving extensive construction must be investigated

separately. Information provided by the geological map will make the investigation
process more efficient by suggesting what is probably there, and the field work needed
to confirm it.
This lecture looks at the major types of structure found in rock at a macro level rather
than the mineralogical texture, and how information regarding rock type and its
structure for a given area is presented on a geological map.
ROCK STRUCTURE
Horizontal limits to rock type

The horizontal extent of a specific rock formation is first limited by the amount of
material originally created. The basins in which sedimentary rock is formed are finite,
but of variable size, as are the batholiths of plutonic rock. Erosion may remove some of
the rock to expose underlying material, or deposition may cover part of it with a
younger rock. An understanding of the regional geological events may indicate the
nature of the boundaries. The slope of the interface may be steep or flat depending on
the way the boundary was formed.
Vertical limits to rock type

The stress effects of a building are negligible at depths below about three times its
width, and so site information below depths of more than 200m is rarely needed. For
tunnels and caverns, basements and deep foundations, the depth of interest will extend
for about three times the width below their deepest point.
As for the horizontal extent, the vertical extent of a rock is determined by the process of
formation. Because the Civil Engineering depth of interest is relatively small, some rock
formations are effectively infinitely deep. A notable exception is the Basalt found in
many areas around Melbourne, where in many places it may be less than a few metres
thick. (Why?)
Conformity
Where a sedimentary rock is being formed and the nature of the material placed changes
without other interruption, this is a conformable boundary, and is seen in the
sedimentary layers in Melbourne Mudstone where sandstone and claystone layers are
found in contact with each other. If there is a significant time gap between the two
activities then the boundary is an Unconformity.
Nonconformity: The creation process of one rock has ceased. With or without a time
interval, a different rock type is placed in contact with the older. The Lysterfield Hills to
the east of Melbourne are the result of granodiorite intruding into the Melbourne
Mudstone, and the contact between the igneous granodiorite and sedimentary mudstone
is nonconformable.
Other boundaries include the Angular Unconformity where there is a steep slope
between rock types, and Disconformity where there is parallel strata on both sides of
the surface, but a time gap has allowed erosion on the surface of the older rock.

Planar features
Planar features can include bedding planes created during the rock formation, joints due
to tensile failure in stressed rock, and faults where significant sliding has occurred.
Where minor plutonic activity has forced magma forced into existing joints, Sills and
Dykes, are formed in horizontal and vertical joints, respectively.
Bedding planes
Bedding planes are visual features in some sedimentary rock caused variations in the
sedimentary process from time to time, resulting in material of different texture or
chemical composition being placed in succession. The planes indicate the surface of
deposition, usually in water, but sometimes in air, and can become surfaces of weakness
or differential weathering. Older rock is more likely to be tilted from tectonic activity,
as seen in the sandstones of the Grampians Range in western Victoria. The younger
Hawksbury sandstones around Sydney show minimal tilting. Unless the tilting is
extreme, younger material will overlie older.
Joints
Joints are the most common structural feature of most rocks, and have a major influence
on the strength of the rock mass. They are usually caused by tensile stresses.
For example when liquid basalt cools and the shrinkage is restrained by the supporting
material tensile stress generated can form a distinctive set of vertical joints in a
hexagonal pattern. An example of this can be seen at the Organ Pipes National Park on
the west side of Melbourne.
Joints are generally found as a “set” of near parallel fracture planes at a spacing varying
from millimetres to meters. Several sets of joints with different orientations may be
present in the rock mass. Joints may be closed, open or filled with other material, fresh
(unweathered) or weathered, and rough or smooth. Their persistence or lateral extent
may be from tenths to tens of meters.
Faults
Faults, in contrast to joints, have experienced a shear displacement on the rupture
surface. They are much less common than joints but can have a major influence on the
character a site. The length of a fault may vary from meters to hundreds of kilometres,
and the “throw” or shear displacement from tenths to hundreds of meters. The formation
of Port Phillip Bay has been caused by movement of a pair of north - south faults,
Selwyn’s near Dromana, and Rowsley near Bacchus Marsh, creating a trough (or
garben). The reverse action, of uplift between two faults, forms a ridge (or horst). An
example of this is the higher land of the Mornington Peninsular, bounded by Selwyn’s
Fault in the west and Tyabb Fault in the east.
The movement can involve the crushing of a band of material to form a zone of
weakened material. The fault zone may consist of large broken pieces (Breccia), large
voids (allowing a ready flow of water), or may be filled with finely ground material
(gouge). Most of the large faults near Melbourne are inactive, as seen by the degree of
erosion and the infrequency of earthquakes. This is not the case for the faults around the
rim of the Pacific Ocean.
Various terms used to define fault geometry include:

Foot wall - rock below the fault plane

Hanging wall - rock above the fault plane
Throw - relative vertical movement across the fault
Heave - relative vertical movement across the fault
Normal faults are due to tensile stress resulting in the hanging wall moving down
relative to the foot wall. A reverse fault is due compression, resulting in the hanging
wall moving up relative to the foot wall. Transcurrent, or tear faults occur where shear
deformation produces horizontal relative movement. The San Andreas fault in
California, USA is a notorious example of this type. Fault movements can cause rocks
of different age to be found adjacent to each other.
Orientation of a plane
The attitude of a plane of weakness relative to the stress direction will determine the
effect of the plane on rock behaviour. A plane has two degrees of freedom in that it may
be rotated independently about vertical and horizontal axes, and so two directions are
required to specify a particular plane. The strike of a plane is the intersection line of the
plane with a horizontal plane, and this is often an observable feature. However, it is a
clumsy parameter in that for a given strike, additional data is needed to indicate whether
it slopes to the left or right
The dip orientation values are more concise, the dip being the line of maximum
downward slope within the plane. The dip is always normal to the strike, and the plane
is defined uniquely by the dip direction and the dip angle. The dip direction is the
direction of the projection of the dip on a horizontal plane, and the dip angle is that
between the dip and the dip direction.
Inclined plane Horizontal plane
Strike
Dip direction
Dip
Figure 1: Angles defining a plane
The bearing of the dip direction is given by one of two conventions. It can be a single
number as the clockwise angle from north usually in degrees, or as [reference direction]
[angle] [reference direction]. A bearing of 345 degrees is also N15W or W75N. Note
that “north” might be true north, grid north or magnetic north, and should identified.

Non-planar structures
Under some conditions, horizontal compressive stress will cause the rock to buckle or
fold. The scale of this folding may range from tenths of a meter to hundreds of
kilometres. Folding concave up is a syncline, and concave down an anticline. It is also
possible for the axis of the fold to be inclined to the horizontal. Where the upper portion
of a syncline has been eroded away, it leaves the exposure of an inlier of younger rock
surrounded by older rock. Locally, the bedding planes that were formed at the
horizontal become inclined. The Melbourne Mudstones between Kew and Warrandyte
have been folded into a series of syncline and anticlines, with the fold axes being just
east of north. Folds may be as small as a metre or may form synclinal basins hundreds
of kilometres wide.
&
REQUIRED
Waltham
Chapter 6: pp. 12 – 13 Geological structures
GEOLOGICAL MAPS
Geological maps are produced at a variety of scales showing the relationship of

geological features over different areas. For Australia the common scales of government
maps ranges from 1:5,000,000 to 1:25,000. Much of Australia is mapped at 1:250,000,
covering one degree of latitude and one and a half degrees of longitude (110 km x 130
km). Maps at 1:50,000 or 1:63,360 (inch to a mile) are available for some areas.
The base map

The base map on which the geological data is superimposed will contain a selection of
topographical features such as height contours, streams and water bodies, and manmade
features such as roads, townships and quarries. The Australian or other national map
grid may be shown, as well as latitude and longitude and north points.
Geological boundaries
The surface exposure of different formations or rock types may be shown by both
colouring and a letter symbol. These boundaries are determined by surface traverse
supplemented by interpretation of aerial photography
Map symbols
Major planar features such as folds, faults, bedding planes and dykes can be indicated
by a symbol, as may other features such as metamorphism where it occurs in localised
bands.
Vertical cross sections

Vertical sections may be shown for typical portions of the map sheet. The section gives
an indication the relative order in which materials will be found at depth, their typical
relative thickness, and the nature of the interface slope (very steep or very flat?) On very
large scale maps it is possible to infer the shape of the subsurface interface or the

structure (stratum) contours from the plan of the rock outcrop and the ground surface
contours.
&
REQUIRED
Waltham
Chapter 7: pp.14 - 15 Geological maps and
sections
The legend
Maps produced by the Department of Minerals and Energy, Victoria have a legend set
out as a table, with each row referring to the one material with the youngest material at
the top and the oldest at the bottom.
The left most columns can show the geological ages or eras. Moving right, the next
columns can indicate the type of formation process ie sedimentary, igneous or
metamorphic. Here within the appropriate row and column the colour code and letter
symbol for the material may be given. Further to the right can be the Group name eg
Brighton Group or Newer Volcanics, then the formation, bed or seam name eg Red
Bluff Sands. Not every formation belongs to a group, nor might a group be divided into
formations. The right most column will contain a list of the major components of the
formation or group and the letter symbol repeated. The letter symbol may be formed
with the first letter giving the formation age, and the remaining two an abbreviation of
the formation name or rock type eg Dgl for Devonian Lysterfield Granodiorite, found at
Cardinia Reservoir and Churchill National Park.
Publishing details
The publishers and authors of the map have an agenda. If the map was prepared for
mining development then the rock formation where minerals were expected may receive
detailed treatment, and other areas only cursory treatment. Geology is a dynamic
discipline and the way of interpreting the data will change with time. Thus it is
important to see who prepared the map and when it was published
&
REQUIRED
Waltham
Chapter 8:
interpretation
pp.16-17 Geological map
CONCLUSION
Surprises during construction are often due to ignorance rather than error, and a
thorough assessment of all the available geological data, especially the relevant
geological map sheet, is a good start to a successful project. As well as the map there is
the real world, and the geoengineer must be a good observer, and be able to make an
initial assessment of any landscape from observation.

REVIEW QUESTIONS
Obtain a copy of a 1:250,000 geological sheet and answer the following questions.
1. Who published this map, when, and who prepared it?
2. From the location of this sheet, what is the type of climate (rainfall and temperature)
and type of vegetation expected across this sheet?
3. What are the main topography features in this area?
4. Identify the highest point on the map by a selection of its name, map coordinates,
latitude and longitude, or distance and bearing from a significant named feature.
5. What is the approximate length of the major drainage feature shown on the sheet?
6. What is the youngest major rock type exposed on this sheet?
7. What is the oldest major rock type exposed on this sheet?
8. What and when was the geological activity that formed the bulk of the rock found in
this area?
9. What soil / rock type in this area would create the greatest problem for a Civil
engineering development?
10. What is the major structural feature shown on this sheet, and what effect has it had
on the distribution of material?

Topic 5: Site Investigation
TOPIC 5
Site Investigation
TABLE OF CONTENTS
PREVIEW …………………………………………………………….... .2
Introduction .............................................................................................................. 2
Objectives................................................................................................................. 2
PREFACE ……………………………………………………………..…2
Risk
management…………………………………………………………………………..3
SITE INVESTIGATION STRATEGY………………………………… 4

Stages of Site Investigation…………………………………………………………...4
Definition of investigation objective………………………………………………… 4
Evaluation of existing data……………………………………………………………4
Planning and costing of further work…………………………………………………5
Site inspection………………………………………………………………………...6
Subsurface sampling…………………………………………………………… …..7
In situ testing………………………………………………………………………….8
Laboratory testing………………………………………………………………… ..9
Reporting… ………………………………………………………………………...10
Performance check………………………………………………………………… 10
Conclusion…………………………………………………………… 10
REVIEW QUESTIONS………………………………………………..10

PREVIEW
Introduction
Site Investigation is the process of obtaining the necessary and sufficient information
concerning a site, especially but not exclusively, about the subsurface conditions, that
will allow the confident design and economic construction of a given project.
Sites vary concerning area and location. A small site at a location surrounded by
extensive recent development may require minimal site investigation. A large site in a
remote area with no previous construction may need a detailed site investigation.
It might seem that the construction of a conventional house in a Melbourne suburb,

where 1000’s have been constructed previously would need minimal site investigation.
However, the most common litigation issue involving home construction is its
foundations. The need for a site investigation for the construction of a petrochemical
plant on the estuary of a large river is more self evident.
Site investigation is an expensive activity, and all that might be produced physically is a
written report plus a few litres of soil and rock samples. Along with all costs, the client
wishes to keep this cost to a minimum. A site investigation is successful when it allows
the project to be completed on time and under budget. Failure to achieve these goals can
be due to an inadequate site investigation. It has been suggested that the client pays for
the site investigation whether it is performed or not.
Site investigation is a data collection operation, and its efficiency improves when
maximum use is made of the existing data, and the collection of irrelevant data is kept
to a minimum. This efficiency is assisted by using a purposeful strategy of the “assumed
site hypothesis”. An educated guess is made about the site, based on the available data,
and the field work is restricted to the confirmation of this hypothesis. In most cases the
guess is good and a very economical site investigation results. There will be instances
when the site differs from what was expected, and more field work will be needed to
confirm a revised hypothesis. This is better than an uncoordinated set of activities to see
just what might be found.
Objectives
• To understand the need for, and process of, site investigation.
• The ability to plan a site investigation for a given project, on a given site.
• To have a knowledge of the techniques available for use in site investigation in
terms of their benefits, costs and limitations
PREFACE
To commence the design of the geotechnical components of any project it is necessary

to have a knowledge to the significant materials beneath a site in terms of their
horizontal and vertical extent, and their structural properties of strength and stiffness. In
addition, a knowledge is needed of the ground water regime and its relations with the

surface hydrology. There may be small amounts of material, either very weak or very
strong which may or may not have been found by the site investigation, with varying
relevance to the particular project.
In planning a site investigation, both the location of the site and the proposed
development must be known. A report about several sites to evaluate the most suitable
will be different from that used for the final design at the chosen site. The investigation
for 50 kilometres of rural road will be different from that for a 50 storey building on a
60 m square site.
Risk management
A frequent complaint of construction contractors is that the site investigation has been a
waste. This may be because the report agrees with the contractors preconceived notion
of the site, his ability to properly interpret the report, or the report did not get it
completely right. Rarely would a site investigation retrieve more than a cubic metre of
sample. A common early site activity is to move many tens of cubic metres of material
and the amount of available site information increases accordingly. In a well-planned
site investigation, the new data available during construction would be readily
incorporated into the work.
Contractual relevance
Often the site investigation report is included as part of the contract documentation, and
it is important for the report writer to know the consequences of the report. An
important issue is who carries the risk when the actual conditions are more difficult than
anticipated. Is it the contractor who must complete the project at a reduced profit?
An astute contractor may then pad his price to allow for this. Or does the client assume
responsibility for the cost of what he will ultimately own?
The Observational Method

This is a contractual process which acknowledges that site investigation performed at a
reasonable cost is less than perfect or complete, and that further information will
become available during construction. The investigation identifies the significant
performance parameters and these are monitored during construction. Where these
parameters are found to differ significantly form expected levels the contract makes
provision for the appropriate work.
&
REQUIRED
Waltham
Chapter 19: pp.38 – 39 Site Investigation
SITE INVESTIGATION STRATEGY

The basis of an effective and efficient site investigation is to make all the activity
purposeful. By forming an initial hypothesis about the site conditions, further action can
be limited to confirming (or refuting) the hypothesis. Where the initial hypothesis is
based on extensive existing data and personal experience, the subsequent field work to

confirm it may be direct and limited. Even a wrong hypothesis should indicate the
briefest fieldwork necessary to confirm the correct hypothesis.
Stages of Site Investigation

The stages of site investigation include
• Definition of investigation objective
• Evaluation of existing data
• Planning and costing of further work
• Site inspection
• Drilling and sampling
• In situ testing
• Laboratory testing
• Reporting (Has the investigation objective been achieved
• Inspection during construction
• Inspection of the project in service
DEFINITION OF INVESTIGATION OBJECTIVE
The required site investigation will depend on the stage of the project in question
(preliminary report / final design report), the scale of the project ($K100 - $M2000), the
lateral extent (site 100m x 100m / 50m x 100 km) and the project function (500 MW
generator foundations / shipping container storage yard). The size, height and weight of
structure and proposed excavations will indicate the type of report required.
EVALUATION OF EXISTING DATA
Sources of existing data include

• Maps – topographical, geological, from any source and
covering the area of interest
• Aerial photographs
• Investigation reports from neighbouring sites
• History of the area
• Personal experience
Maps
Topographical maps will indicate the nature of the terrain, making some subsurface
conditions more likely and others less likely. Geological maps will indicate the regional
type of soil or rock, and the process of its formation, again limiting the range of
materials that can be expected at the site. Maps of the area produced for any purpose
may provide some insight into the nature of the materials present.
Aerial photographs
The most useful are taken with a vertical camera and in “stereo” pairs with 60% overlap
so that a three dimensional image may be formed. With the necessary resources this
image can be quantified to produce contour information. The image of any site will vary
with the height of the camera (plane /satellite), time of day, time of year, the year taken,

and the type of film emulsion. Landform, drainage, vegetation and land use can be seen
at a variety of scales. In some instances the older photographs may yield relevant
information, such as the operation of a landfill site now covered over..
Investigation reports from neighbouring sites

In areas of extensive development, it is probable that detailed reports exist for
neighbouring sites, and the effort of retrieving them can be well rewarded.
History of the area

Certain prior activities on the site, such as mining, can have an influence on subsurface
conditions. An awareness of the area history will identify such activities,
Personal experience
The personal conduct of investigations at adjacent sites will allow many insights into
the materials at the site in question.
&
REQUIRED
Waltham
Chapter 20: pp40 – 41 S.I. Desk study
PLANNING AND COSTING OF FURTHER WORK
The assessment of the available data will allow the development of an initial hypothesis
of greater or lesser reliability depending on the nature and extent of this data. Given a
total budget for the project and the influence of ground conditions on its successful
construction, the field work budget range will be evident. The minimum activities
needed to confirm the hypothesis must be identified and costed, as will those for
laboratory work and report preparation.
The date when the information is required must be known and faster work in a shorter
time will be more expensive.
Another significant financial issue is the nature of the site. A benign site where the
materials are uniform and strong will involve a much lower site investigation cost than
that at more challenging site where the material distribution is complex and many of
these are very weak. The graph below indicates the nature of these costs, but the catch is
that the nature of the site may not be known before the site investigation is undertaken.
Optimum cost
Total
Project Challenging site
cost $
Benign site
Site Investigation Cost $

SITE INSPECTION
When the clients has accepted the proposed budget then the engineer responsible for the
production of the site investigation report should walk across the site. If the remoteness
of the site and / or a small budget does not allow this then a suitable technician must
observe and report on the site. Feature of importance that might be seen include
• Local topography.
• Vegetation.
• Drainage, water bodies.
• Rock outcrops, cuttings, excavations.
• Regional setting (all of above).
• Performance of neighbouring structures.
• Access, availability of services.
• Geologist traverse
• Anecdotal - afternoon in local pub?
Where the site is very steep and / or densely vegetated, the drilling contractor would
need to consider this in selecting his equipment and submitting his price. Anecdotal
information should always be treated with caution until confirmed from other
independent sources. At regional view of the site is important for understanding the
previous activities, both geological and recent, that have occurred there.
At all sites the presence of buried services must be determined before drilling. Their
rupture by any drilling operation is both dangerous and expensive to repair.
Geological Inspection
For a very large project such as the construction of a large dam, the geology traverse
would be the subject of a separate report. As well as considering the materials present
and geological processes, this could involve measuring joint plane spacing and
orientation, evaluation of land slip potential, and geophysical testing such as seismic
refraction and electrical resistivity.
SUBSURFACE SAMPLING
It is essential to obtain specimens of the significant subsurface materials, firstly for clear
identification of what is present, and secondly, if the specimen is suitable, to be used for
determining the structural properties of this material.
The activities involved in subsurface sampling include

• Identifying where to sample
• Exposing the sampling site
• Collecting the sample
• Identification and transport to the testing laboratory.

Location of sampling points

It is desirable to obtain sufficient samples to be able to establish the nature and
distribution of the significant materials beneath the site. Horizontally the sampling
points would be spread uniformly across the site, except where there was some evidence
of a major vertical interface between different types of material. Vertically samples
should be taken of every significant layer and at intervals no greater than about 2 m.
The sampling should extend down to a depth three times the width of the deepest
footing, below the deepest footing level expected.
Sampling sites will also be influenced by the ease of access, but this should not prevent
sampling at significant points. Sampling over water or on very steep sites is possible but
costly.
Exposing the sampling site

The material at depth to be sampled can be uncovered by any convenient excavation
technique. Under crisis conditions a hand shovel or power backhoe can be used, but it is
generally more efficient to use a site investigation drilling rig. These are smaller than
the units developed for the mining and quarry industries. The latter are optimised for
only drilling holes in hard materials, while the former must operate in a variety of
materials, sometimes in the one hole, and have the facilities for taking specialised
samples of a range of materials. The most basic unit is than hand auger, to be considered
for a few shallow holes at inaccessible sites.
The drill rig has the ability to push or pull the vertical drill rod over about 2m, and
rotate it in either direction at arrange of speeds and torques. Drill rods of one to two
metre lengths couple together to allow hole up to 80m to be drilled.
For firm to stiff clays and moist sands that allow the hole to form unsupported, the
quickest drilling technique is the continuous flight auger that cuts the material and
clears it from the hole in the one action.
Very soft clays and saturated sands must be provided with some support to prevent them
from collapsing. The support can be provided by steel casing that is advanced as the
hole is deepened, or by the pressure from a “drilling mud” slurry. The latter is easier to
use but can result in contamination of the sample. The continuous flight auger can be
awkward in this situation, and just the cutter on plain drill rod is used, with a fluid flush
used to remove the cuttings from the hole. With steel casing either air or water forced
down the centre of the hollow drill rod can be used as the flushing fluid, and an
appropriate pump must be available. With drilling mud, the circulation of the mud
through a sediment tank removes the cuttings.
In the harder materials, either a “rock roller” bit is needed, or coring with a diamond
studded cylindrical bit is used. A fluid flush is needed to remove the cuttings, and in the
latter case, water is needed to keep the diamonds cool.
Because these activities are somewhat glamorous, highly visible and expensive, site
investigation is sometimes referred to as “drilling”. This is a only one of the necessary
components of the data collection process, and does of itself provide some information
from the character of the cuttings and the behaviour during the drilling.

Collecting the sample

Have exposed the subsurface material to the required level and ensured that the surface
at the bottom of the hole is free from cuttings and is undisturbed, soil samples can be
taken by forcing a steel tube into the undisturbed soil, and with care a sample will be
retained in the tube.
For firm to stiff clays a seamless steel cylinder 1 mm thick, 50mm to 100mm diameter,
and 300mm to 500mm long can be attached to the end of drill rod and slowly forced
into the soil by the drill rig. This collects a sample with minimum disturbance, and once
the ends are sealed to prevent moisture loss, the sample, protected by the steel tube may
be taken to a laboratory for testing to determine the structural properties. These thin
walled tube samples are commonly referred to as “undisturbed” as the disturbance level
can be of low significance.
For sands the resistance to penetration of the thin walled tube sampler is great, and
sample loss is common. In this case it is more common to hammer a split spoon sample
into the sand. The sample is disturbed but not contaminated with surrounding material.
The sampler can be disassembled and the specimen removed and stored in a water tight
container, the sampler being reassembled for further use. Where the hammer, sampler,
and technique follow a standard process, this operation gives a “Standard Penetration
Test” or SPT value that correlates well with the in situ properties of the sand.
Where coring is used with the harder materials, a well designed core tube permits the
collection of the core. The core when removed from the coring tube should be stored in
plastic tubes in padded steel boxes to minimise further disturbance to the sample. A
useful feature is to place material such as styrene where any core has been lost. Why?
When sampling in the groundwater care is needed to ensure that the water does not
damage the sample. Soft clay requires special samplers such as the piston sampler or
Bishop sampler.
&
REQUIRED
Waltham
Chapter 21: pp 42 – 43 Site Investigation
Boreholes
Identification and transport to the testing laboratory

During the drilling operation, a record or “ field log” must be kept of all activities
including the hole location, depth, time and type of all samples collected. The samples
themselves should be marked with indelible pen, the tube number recorded or one or
more robust tags attached securely. Why?
As well as who, where, when, how, and why, and the location of samples, the drilling
log should record where changes in material occur as indicated by the cutting or the
operation of the drill. As recorded will be the depths at which ground water is
encountered or changes in ground water flow occurs.

The samples should be stored out of the weather until they are transported to the
laboratory without delay.
Often a hole will be retained so that water level depths can be observed at a later period.
This should be capped to prevent Bart from falling in. Otherwise it should be backfilled
IN SITU TESTING
Although laboratory testing can impose precise conditions on a sample and yield
meaningful parameters, there is always doubt concerning the possible disturbance to the
sample, and more importantly, it representativeness. The mass behaviour of rock and
soil is influenced by the defects such as joints or thin seams of weak material, and the
very nature of these defects makes them difficult to sample.
The alternative is to undertake an in situ test where the test volume is large and
undisturbed. A practical difficulty is that it is hard to control the field test conditions,
and so even though the sample is relevant, the parameters obtained can have an
uncertain meaning.
In situ testing is of two kinds, one where some mechanical loading is applied to the soil,
the other where a geophysical characteristic such as electrical resistivity is measured.
Mechanical Tests
Many of the mechanical tests including those listed below are performed in the borehole
and may be part of the drilling operation.
Vane shear - undrained cohesive strength of soft clay
Hammering - Standard Penetration Test (64 kg) Dynamic cone (9kg) -
pavements.
. Lateral presssure tests - Pressuremeter in bore hole, Camkometer, Flat plate
dilatometer
Other mechanical tests required the development of a significant vertical force,

requiring dead weight (kentledge) or ground anchors to provide the reaction, and
include
Static (Dutch) Cone penetrometer
Trial footing / pile tests, Californian Bearing Ratio
Usually some empirical correlation parameter is needed to relate
Geophysical tests
These tests involve large volumes of material and can be very useful for detecting the
interface between different materials, but their ability to give any quantitative
characteristic is poor.
&
REQUIRED
Waltham
Chapter 22: pp 44–45 S.I.Geophysical Surveys

Laboratory testing
Disturbed samples may be subjected to identification tests such as grading analysis and
Atterberg limits. The undisturbed samples may be used for these tests, and a
representative subset would be used in triaxial and consolidation tests, because the are
expensive and of appreciable duration. Sufficient tests should be done to establish
confident structural characteristics for the significant materials.
Reporting
It may be necessary to report to the client during the drilling operation if it the
information from this suggests that the actual subsurface conditions differ significantly
from the initial hypothesis, and major changes are needed for the filed testing program.
Although the contents of the final report will reflect the nature of the project and the
site, most reports would cover the following issues in the following order.
Introduction - the project , the environment (geology, hydrology, ecology)

Data collection (summary) who, when how
Bore logs - amalgamation of site and laboratory data, plan of hole locations
Table of laboratory and in situ test results
Description of subsurface materials and their distribution.
Design recommendations – conclusions
References and acknowledgements – who helped directly or indirectly
Performance check
Does the report satisfy the performance objective? Is more work needed, and is there
money and time for this work? What is the risk associated with these identified
unknowns?
CONCLUSION
Another view of the site inspection process is that it is there to reduce the number of
surprises during construction. Often the geotechnical consultant will be engaged to
prepare the site investigation report and then their involvement ceases unless a serious
unresolved geotechnical issue arises during construction.
Similarly, on completion of construction, it is rare for monitoring of the structure to

occur when it is in service, unless it is a very sensitive structure such as a power station,
failure has catastrophic consequences such as a large earth dam, or an ordinary structure
suffers some structural distress.
A successful site investigation minimises the cost and duration, and safety, of a
construction project.
REVIEW QUESTIONS
1. The building where you live, and those of all your immediate neighbours are to be
demolished so that a supermarket can be developed on the site. Outline the site
investigation process required for this development.

2. If you can get permission from the owner of the building where you live, and the
surface soil is exposed, collect soil samples from the corners of the block. Use a spade
to dig down 0.5 m and collect an unmixed sample of about 0.5 l, and seal it in a robust
plastic bag wit suitable labelling. Produce a short report on your sampling activity
indicating the site and sample locations, Ease / difficulty of excavation, soil water
condition, and a description of the soil retrieved, and comments on the uniformity of the
site.
3. As a drilling contractor, make a recommendation on how you would obtains soil

samples needed for the construction of an overpass at the Princes Highway –
Wellington Road intersection.

Topic 6 : Engineering Geology of Melbourne and the Yarra Valley
TOPIC 6
ENGINEERING GEOLOGY OF MELBOURNE
AND THE YARRA VALLEY
TABLE OF CONTENTS
PREVIEW................................................................................................................. 6.2
Introduction ........................................................................................................... 6.2
Objectives.............................................................................................................. 6.2
REQUIRED READING ............................................................................................ 6.2

Topic 6 : Engineering Geology of Melbourne and the Yarra Valley
PREVIEW
Introduction
The engineering geology of Melbourne and the Yarra Valley is of paramount
importance to the practice of geotechnical engineering in Melbourne. In this topic, the
main aspects of the geological setting of Melbourne and the geology of the Yarra Valley
are described.
Objectives
• To gain knowledge of geological setting of Melbourne including statigraphy,
structure, hydrogeology and geomorphology
• To understand the geological development of the Yarra Valley and how it has
influenced the development of Melbourne.
REQUIRED READING
There are many papers and text that describe the geological setting of Melbourne. The
following papers from the the book “Engineering Geology of Melbourne” edited by
Peck, Neilson, Olds and Seddon; Balkema (Pubs) have been included on the CD for
your benefit. Consider them to be required reading.
1. “Outline of the stratigraphy of the Melbourne region” by Archbold
2. “Geological structure” by Granger
3. “The hydrogeology of the Melbourne region” by Lane, Lakey and Leonard
4. “Geomorphology of the Melbourne region” by Joyce
5. “Silurian and Lower Devonian” by Sanders
6. “The Mount dandenong Volcanics” by Birch and Wilson
7. “Older Volcanics – Geology” by Anderson
8. “Brighton Group – Geology” by Kenley
9. “The newer volcanics” by Dahlhaus & Rourke
10. “Geology of the Yarra Delta” by Neilson

Topic 7 : Consolidation and the Oedometer Test
TOPIC 7 – Consolidation and the Oedometer Test
TABLE OF CONTENTS
PREVIEW.................................................................................................................... 2
Introduction .............................................................................................................. 2
Objectives................................................................................................................. 2
PREFACE .................................................................................................................... 2
Components of Deformation..................................................................................... 2
Consolidation............................................................................................................ 3
THE OEDOMETER TEST........................................................................................... 4
CONSOLIDATION SETTLEMENT............................................................................ 7
SEDIMENTARY ROCK FORMATION ...................................................................... 9
REVIEW QUESTIONS................................................................................................ 9

PREVIEW
Introduction
The determination of ground movements is one very important aspect of designing
structures, excavations etc in soil and rock. After all, if the structure becomes
unserviceable or cannot fulfil its function due to excessive movements, then it has
effectively failed even though the ultimate limit state has not been reached. Soil and
rock undergo both vertical and lateral movements due to construction activities within
these materials. For example, loads imparted by buildings to foundations will cause
predominantly vertical movements or settlement, excavations will cause stress relief
that will generate both lateral and vertical movements of the ground. Such movements
may be localised (e.g. due to a footing) or occur over a large area (e.g. from addition of
fill over extensive areas or by dewatering or oil and gas removal).
For the current topic we will confine the discussion to vertical settlements over a large
area. Such settlements may be considered to be one-dimensional. The total settlement
that occurs can be split into 3 components, immediate or elastic settlement;
consolidation settlement and secondary compression or creep. The last two components
are time-dependent. In clays the consolidation and creep settlements dominate. This
topic deals with consolidation settlements. Creep settlements are covered in Topic 8.
Objectives
• To understand the process of consolidation and how it affects soil properties
• To become familiar with normally consolidated and over-consolidated behaviour,
and the properties that help estimate consolidation settlement in these materials
• To be able to interpret the Oedometer test, be aware of its limitations and to apply
the results to the estimation of settlement
PREFACE
Components of Deformation
As with any material, when a load is applied to soil/rock (e.g. by a footing), the
soil/rock will deform. Deformation occurs from :
1. deformation of the soil/rock grains
2. compression of air and water in the voids
3. drainage of water and air from the voids (with reduction in void volume).
For saturated clay, the first two components of deformation are small and can be
ignored. Since clay is relatively impermeable, the water can only drain very slowly from
the voids. Therefore, since the porewater is relatively incompressible compared to the
clay skeleton, the porewater initially carries the any increase in applied load a (total
stress change) and an increase in porewater pressure results. This change is added to the
pore pressure present before the load increase occurred. At the instant of load
application the clay is undrained, but water slowly squeezes out because the pore
pressure is no longer in equilibrium. With this flow the porewater pressure decreases

back towards the preload value (often hydrostatic). The soil skeleton now carries an
increasing proportion of the applied load, and is able to deform as the water flow from
the voids allows a smaller void volume. Ultimately the clay is in the drained state and
its density increases. This time dependent process is called consolidation.
Consolidation represents the deformation (volume change) that occurs between the
undrained and fully drained states.
For saturated sand, the same consolidation process occurs. However, as the
permeability of sand is much greater, the process occurs almost instantaneously. As a
result, consolidation is usually ignored, and only drained parameters are considered.
For saturated rock, consolidation also occurs. However, it is not as dominant as it is
soil (and becomes even less so as the rock gets stronger and harder). In strong rock, the
void ratio (and therefore the amount of water in the voids) and compressibility of the
skeleton are small, and the first two components of deformation dominate.
For unsaturated soil and rock, consolidation still occurs, but the compression of air in
the voids allows the process to occur at a much more rapid rate.
Consolidation
Consolidation occurs when soil is subjected to an increase in effective stress; wherein
water is expelled (or drains) from the soil causing a reduction in soil volume. This may
be due to an increase in applied total stress from:
• foundation loading
• placement of fill
• deposition of soil (leading to sedimentary rock formation)
More subtly, a reduction of the environment pore pressure will initiate consolidation.
Ground water extraction by pumping, leading to a lowering of the water table, is the
major cause of regional ground settlement world wide.
Consolidation can therefore be defined simply as the time dependent removal of water
from soil by drainage brought about by effective stress changes. As soil consolidates it
reduces in volume and becomes stronger; both have important ramifications with
respect to the stability and deformation of structures built in or on soil. (For example
the bearing capacity and settlement of footings for a building). Consolidation should
not be confused with compaction.
Compaction is the reduction in volume of soil by the compression and removal of air
from the soil by mechanical means.
Swelling (the opposite of consolidation) occurs when there is a decrease in effective
stress and water moves into the soil, increasing the soil volume. For example :
• due to excavation or erosion reducing the total stress in the remaining soil
• due to raising of the water table and increasing the pore pressure.
&
REQUIRED
Holtz and Kovacs
Chapter 8 : pp. 283 – 289

SUGGESTED
& Holtz and Kovacs
Chapter 5 : pp. 109 - 117
THE OEDOMETER TEST

When a soil layer is loaded vertically over a large area (e.g. by filling), the displacement
of the soil by consolidation around the centre of the fill can be assumed to occur only in
the vertical direction; i.e. in one dimension only. (Why ?) We can simulate this in the
laboratory by the oedometer test (see Figure 1).
Load
Loading Plate
Water Confining
ring
Porous stone
Soil specimen
Porous stone
Base
Figure 1 : Schematic of floating ring Oedometer Apparatus

An undisturbed soil sample (diameter = 75 mm, height, Ho = 20 mm) is carefully
trimmed and placed into a rigid (steel) confining ring. Porous stones of slightly smaller
diameter (to eliminate side friction) placed on top and bottom of the sample confine the
soil but allow water to pass freely into and out of the soil. The assembly is placed in the
oedometer base, the loading plate placed in position and the base filled with water,
ensuring that the top porous stone is completely covered. A sequence of loading
increments is then applied to the specimen, and measurements of deformation with time
are taken during each increment. Figure 2 shows a typical displacement versus time
plot for one load increment from 10 to 20 kPa. The height of the sample and the void
ratio at the start of the increment were 17.25 mm and 2.15 respectively.
Time (min)
0 500 1000 1500
Displacement (mm) .
0
0.5
1
1.5
2
2.5
3
Figure 2 : Displacement – time results from Oedometer test on clay

As the sample is loaded, water is forced from the voids, resulting in a reduction in
volume, height and void ratio. As the cross-sectional area of the sample is constant and
volume change occurs through void reduction, the void ratio of the sample is directly
proportional to the sample height.
Each load increment is maintained until equilibrium is reached, with little or no further
deformation; i.e. at end of primary consolidation, which is defined as the stage where
all excess pore pressures have dissipated. (Note that creep (or secondary
consolidation) will cause further displacements to occur and will therefore cause
problems with the selection of this point). For the example above, consolidation has
ceased at approximately 500 minutes with a displacement of 2.4 mm. Standard methods
for determining the end of primary consolidation will be dealt with in Topic 8.
At the end of primary consolidation, the final load applied can be interpreted in terms of
effective stress (since all excess pore water pressures have dissipated). The load and
deformation data at the end of primary consolidation for each increment can be plotted
on the one graph to give the overall stress/strain behaviour of the soil. This can be
carried out in a variety of ways: plotting percent consolidation or vertical strain against
final effective consolidation stress, p’f, or more usually as final void ratio, ef, against log
p’f. Convention dictates that the effective consolidation stress is plotted on a log axis.
e f = ei +
(1 + ei )( H f − Hi )
Hi
Where (i) and (f) subscripts refer to initial and final values for the increment
respectively. For the time vs displacement plot shown in Figure 2, p’f, =20kPa, Hf
=17.22mm and ei = 2.15, then Hf - Hi = -2.4mm and hence ef =1.71.
The graph so obtained (by

plotting ef against log p’f. 3
for each load increment) is A
essentially the stress-strain 2.5 B
relationship for the soil. A
typical result from an
Void ratio, e
2
oedometer test on soft clay
is shown in Figure 3. The 1.5
D
soil specimen is initially at C
a point to the left of A. At 1
point A the load has been E
increased to 2.5 kPa. The 0.5
load is gradually increased 1 10 100 1000
through points B (5 kPa) to Effective consolidation stress, p ' (kPa)
point C (80 kPa) where the
soil is unloaded to point D Figure 3: Typical e - log p curve for clay.
(5 kPa) and then reloaded to
point E (160 kPa).

Note the following :

• the approximate straight line behaviour between points AB, BC, CD and CE. The
lines AB and CD have similar slopes, as do lines BC and CE. Point B is an
indication of the maximum vertical overburden stress that this sample has
experienced sometime in the past, (approx. 5 kPa in this case) and is called the
preconsolidation pressure. It is denoted by the symbol p’c. Due to the curved
transition between AB and BC, the determination of preconsolidation pressure can
be rather subjective. However, standard techniques are available for estimating this
value (see required reading).
• Soils have a “memory” of the stress and other changes that have occurred during
their history, and these changes are preserved in the soil structure (Casagrande,
1932). Point B represents the point at which the soil is loaded beyond what it has
experienced in the past and the structure of the soil starts to break down and deform
“plastically”. If the load is removed (e.g. point C to D) the soil rebounds
“elastically”. If load is once again applied, the soil will behave in an elastic manner
until it once again reaches it maximum past stress (point C in this case) at which
point plastic behaviour will recommence.
• Disturbance during sampling can drastically affect the shape of the e – log p’ curve.
It is very important that undisturbed samples are collected for testing.
• The initial flatter portion of the curve (section AB) is termed the reconsolidation (or
recompression) curve, and the part after point B is called the virgin compression
(or consolidation) curve (BCE).
• The soil is called normally consolidated (N/C) when the existing effective vertical
overburden pressure lies on the virgin compression curve.
• The soil is called overconsolidated (O/C) if the preconsolidation pressure is greater
than the existing overburden pressure. This may occur because of removal of
overburden by erosion or excavation, change in pore water pressure from changes in
water table (pumping) or artesian pressure or desiccation due to surface drying.
Recent soils tend to be N/C, older (and residual) soils tend to be O/C.
• The soil is called underconsolidated if it has been recently deposited and is not yet
in equilibrium; i.e. it is still consolidating, with pore water pressures greater than the
hydrostatic.
• The overconsolidation ratio (OCR) is the ratio of the preconsolidation stress to the
existing vertical effective overburden stress. That is,
For normal consolidated soils : OCR =1
For overconsolidated soils : OCR >1
For underconsolidated soils : OCR <1
• The slope of the virgin compression line (BCE) is called the compression index, Cc
and is given by :
e1 − e 2
Cc =
 p′ 
log 2 
 p1′ 
• Cc is independent of stress level. Typical values range considerably. However
Terzaghi and Peck (1967) suggested the following correlation with liquid limit (LL)
for clays of low to medium sensitivity:

C c = 0 . 009 ( LL − 10 )
• The slope of the reconsolidation line (AB or DC) or recompression index, Cr, and
the swelling line (CD) or swelling index, Cs, can be determined in a similar manner,
the only differences being that they refer to different portions of the curve. Cr is
usually assumed to be approximately 5 to 10 % of Cc with typical values in the
range 0.015 to 0.035. The lower values are for clays of lower plasticity and low
OCR.
• For non-linear portions of the curve (especially for O/C clays), we define the
coefficient of volume change, mv, which can be determined from :
− de dp (e1 − e2 ) 1
mv = ≈ ≈
1 + eo ( p2′ − p1′ )(1 + eo ) Eoed
• Eoed is the constrained or oedometric modulus and is a measure of the one-

dimensional stiffness of the soil. Note that mv is dependent on stress level, it is not a
fundamental soil constant. Typical values vary from 0.4 to 0.8 MPa-1 for (N/C) soft
clays to 0.1 to 0.2 MPa-1 for (O/C) stiff clays
• The parameters Cc, Cr and mv are useful for determining consolidation settlements.
However, we must make allowance for three dimensional effects where appropriate.
• The behaviour of soil changes markedly from N/C to O/C behaviour
&
REQUIRED
Holtz and Kovacs
Chapter 8 : pp. 289 - 309
@
Activity 7.1
Work through example problems 8.1 to 8.12 (pp.
299 – 322) in Holtz and Kovacs
CONSOLIDATION SETTLEMENT
Consolidation settlements in the field result from a change in the void ratio of the soil
due to a change in effective stress. Such effective stress changes can occur through the
placement of a surcharge (e.g. fill or foundations) or the lowering of the water table. If
this settlement occurs over a large area, then the settlement can be considered to be one-
dimensional and therefore simulated reasonably accurately by the oedometer test. The
settlement, s, can be calculated from (Holtz and Kovacs pp. 309-310)
∆e
s= Ho
1 + eo

The values of Cc and Cr or mv define the e

change in void ratio (or volume of voids)
with effective stress change.
For a normally consolidated soil e1

(referring to Figure 4 and remembering ∆e
that p is plotted on a log scale)
e2 Cc
 p′ 
∆e = e2 − e1 = Cc log 2  ∆p′
 p1′ 
i.e. the change in void ratio is simply the
stress change multiplied by the slope of
the virgin compression line. Settlement
is therefore given by : p′c p′1 p′2 p′
Figure 4 : Settlement of normally

H1  p′ 
s= Cc log 2  consolidated soil
1 + e1  p1′ 
For an over consolidated soil (referring to Figure 5), the change in void ratio will
depend on whether or not the stress change takes the soil past its preconsolidation
pressure and into the normally consolidated range.
e e
e1 Cc e1 Cc
e2 ∆e1
∆e
∆e2
e2
Cr
∆p′
∆p′
p′1 p′2 p′c p′ p′1 p′c p′2 p′
p1′ + ∆p′ ≤ pc′ p1′ + ∆p′ ≥ p′c
Figure 5 : Settlement of over consolidated clay

For p1′ + ∆p′ ≤ p′c the soil remains in the over-consolidated range and
H1 p ′ + ∆p ′ H1 p′
s = Cr log 1 = Cr log 2
1 + e1 p1′ 1 + e1 p1′
For p1′ + ∆p′ ≥ pc′ the soil becomes normally consolidated and both Cr and Cc are used
to estimate settlement :
H1 p′ H1 p′
s = Cr log c + Cc log 2
1 + e1 p1′ 1 + e1 pc′
Sometimes the degree of overconsolidation or the change in stress may vary throughout
a layer. In such a case you will need to divide the layer into a number of sublayers (of
the same or differing height), calculate the settlement of each sub-layer in turn and then
sum the settlements to obtain the overall consolidation settlement. This is best done
using a spreadsheet. Refer to Topic 18 for further details.
&
REQUIRED
Holtz and Kovacs
Chapter 8 : pp. 309 - 340
@
Activity 7.2
SEDIMENTARY ROCK FORMATION
Consolidation is one important component of the formation of sedimentary rocks such

as siltstone and sandstone. These rocks are essentially reconsolidated and cemented
soils. Many behave as highly overconsolidated soils.
REVIEW QUESTIONS
1. Briefly explain the difference between consolidation and compaction.
2. Do you understand what is meant by the terms over consolidated, normally
consolidated, preconsolidation pressure, virgin compression line, recompression line
and unconsolidated.
3. Does sand experience consolidation settlement. How would we estimate it ?
4. What do we mean by the term excess pore water pressures ? Can excess pore water
pressures be negative ? If so, what form of construction activity would generate
such pressures ?
5. Holtz and Kovacs : from page 367 on; Problems 8-1 to 8-20, 8-23, 8-24, 8-27 and 8-
29.

Topic 8 : Time Rate of Consolidation
TOPIC 8 – Time Rate of Consolidation
TABLE OF CONTENTS
PREVIEW................................................................................................................. 8.2
Introduction ........................................................................................................... 8.2
Objectives.............................................................................................................. 8.2
PREFACE ................................................................................................................. 8.2
TERZAGHI’S ONE-DIMENSIONAL CONSOLIDATION EQUATION. ................ 8.2
DETERMINATION OF CV ....................................................................................... 8.4
Displacement vs log(time) – Casagrande (1938) .................................................... 8.4
Displacement vs squareroot (time) – Taylor (1948)................................................ 8.5
SECONDARY COMPRESSION............................................................................... 8.6
REVIEW QUESTIONS............................................................................................. 8.7

PREVIEW
Introduction
In Topic 7, the time dependent behaviour of consolidation was introduced. The
oedometer test was also introduced as one method to determine the likely volume
changes that resulted from the consolidation process. The oedometer test can also tell
us how long it will take for consolidation to occur. This is an important practical
problem, because it is essential that we know how fast a structure will settle.
Objectives
• To understand Terzaghi’s one-dimensional consolidation theory and be able to apply
it to practical problems
• To be able to interpret oedometer tests to determine properties for estimating the
rate at which consolidation occurs
• To differentiate between primary and secondary consolidation and be able to
estimate secondary consolidation settlement.
PREFACE
Consolidation results from the dissipation of excess pore water pressures which
generates movement of pore water within the soil. The amount of water that is
squeezed out is directly proportional to the amount of excess pore water pressure that is
dissipated. It follows then, that the rate of consolidation is directly related to the rate of
excess pore pressure dissipation.
TERZAGHI’S ONE-DIMENSIONAL CONSOLIDATION EQUATION.
As introduced in Topic 2 and will be dealt with in the subject CIV3248 Groundwater
and Environmental Engineering in Semester 2, the movement of pore water is governed
by Darcy’s law. Darcy’s law tells us that the quantity of flow depends on the hydraulic
gradient and the permeability of the soil. By equating the volume change of the soil due
to water egress with the volume change of the soil due to change in effective stress, it is
possible to derive the following differential equation which governs
one dimensional consolidation. Here u is the pore water pressure, cv is
∂ 2 u ∂u
the coefficient of consolidation (a soil “property”), t is time and z cv 2 =
denotes the position where u is determined - u is a function of both z ∂z ∂t
and t.
This equation was first suggested as a model of consolidation by Terzaghi in 1925. It

can also be derived in three dimensions, but for most practical applications the one-
dimensional equation is usually assumed.
Note that the rate of consolidation is governed by the coefficient of

consolidation not the permeability. cv depends on the permeability, k, k
and compressibility, mv, of the soil. This implies that for a soil and rock cv =
with the same permeability, the pore pressures will dissipate faster in the γ wmv
rock because it has lower compressibility (or greater stiffness)
Terzaghi’s consolidation equation can be solved using analytical or numerical

techniques. The solution obtained depends on the boundary conditions. For the
oedometer test, with a sample of height, 2H, the boundary conditions are :
1. Complete drainage at top and bottom of sample; i.e. u = 0 at z = 0 and z = 2H

2. The initial excess pore water pressure ∆u = uI is equal to the applied stress
increment ∆σ; i.e. when t = 0, ∆u = uI = ∆σ = (σ′2−σ′1).
Note the length of the longest drainage path is half the sample height, H, since drainage
can occur to both the top and bottom of the sample.
The solution is obtained as a Fourier series which can be conveniently expressed in the
following form :
∞
z
U z = 1 − ∑ f1  f 2 (T )
n =0  H 
Where Uz is the degree of consolidation at time t at depth z, and T is a non-dimensional

time factor. Uz and T are given by :
e1 − e σ′ − σ1′ u t
Uz = = = 1− T = cv
e1 − e 2 σ′2 − σ′1 ui H dr2
where Hdr is the length of the longest drainage path. The solution is shown graphically
in Figure 1.
0
T=0 .05
T=0 0.1
0
5
0.1
1
0
2 0.2
0
0.3
0
0
0.5
0.4
0
0.6
0.70
0.80
0.848
z
Z= 1 A
H 0.90
1 12
2
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
Consolidation ratio, U z
Figure 1 : Time rate of consolidation curves for two way drainage
This diagram can be used to determine the degree of consolidation throughout the layer.
For example, the degree of consolidation, Uz, at mid height of an oedometer test for
T=0.2 (Point A) is approximately 23%. However at the same time (and time factor) at
other locations, Uz is different. At z/H=0.5, Uz = 44% and at z/H=0.1, Uz = 86%.

Note that other boundary conditions have different solutions. These can be obtained
from most reference books that deal with consolidation.
In most settlement calculations we are interested in the average degree of consolidation

of the entire layer rather than the point values given above. This can be calculated by
finding the area under the appropriate T curve in the above diagram. For problems in
which initial excess pore pressure is constant throughout the consolidating layer, the
following values apply.
Uav 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 0.95 1
T 0.008 0.031 0.071 0.126 0.197 0.287 0.403 0.567 0.848 1.163 ∞
Some useful approximations (Cassagrande, 1938; Taylor, 1948) are:
Uav > 60% T = 1.78 − 0.933log(100−Uav%)
2
π π U % 
U av < 60% T = U av2 =  av 
4 4  100 
In terms of settlements : U av = s( t ) s c
where s(t) is the settlement at any time, t, and sc is the total primary consolidation
settlement at t100.
&
REQUIRED
Holtz and Kovacs
Chapter 9 : pp. 376 – 395
Appendix b-2 : pp. 683 - 690
@
Activity 8.1
DETERMINATION OF CV
The coefficient of consolidation can be determined from the oedometer displacement

and time data or from the consolidation phase of a triaxial test. Only the oedometer test
will be dealt with. The displacement and time data need to be plotted in the form of
displacement vs square root (time) or displacement vs log(time).
Displacement vs log(time) – Casagrande (1938)
1. Determine end of primary consolidation tp (or t100) and d100 by plotting tangents to
curve- see below.

2. Determine true origin of test; i.e. d0 and t0 by the following process : Choose any
two times t1 and t2 where t2 = 4 t1. Determine d2-d1, the settlement increment over
the period t2-t1. d0 is located distance d2-d1 above d1.
3. d50 (or U=50%) is located midway between d0 and d100 . t50 can be read directly of
the log(time) axis.
TH 2dr T50 H dr2
4. Determine cv from cv = =
t t 50
Log time (mins)

0.1 1 10 100 1000 10000
0
d1
d2
0.5 U=0 %
t1 t 2 = 4t 1
Displacement (mm)
1
U=50 %
1.5
t 50 =13.6 min
2 U=100 % Primary consolidation
Secondary
compression
2.5 tp ∆e
3
∆logt
Figure 2 : Displacement versus log time
Displacement vs squareroot (time) – Taylor (1948)
1. Draw straight line through Square root time, t

0.5
(mins)
initial data points. Project 0 10 20 30 40
line back to zero time to 0
establish d0.
0.5
2. Draw second line from d0
with abscissas 1.15 times d 90
Displacement (mm)
1
larger than that of the first
line.
1.5
3. The intersection of this
second line and the 2
t 90 Primary
0.1 d 90 consolidation
laboratory curve defines d90 t 100
Secondary
and t90. compression
2.5
d
0.15d
4. Determine cv from
3
TH 2dr T90 H dr2
cv = = Figure 3 : Displacement versus
t t 90 square root time
Note :
1. cv determined from root time method is usually slightly greater than that determined
from the log time method.
2. cv is not constant, but depends on stress level.
3. For pressures less than the preconsolidation pressure, consolidation occurs quite
rapidly, and cv can be relatively high. However, interpretation can be quite difficult,
as the displacement time graphs do not have the “classical” shapes shown earlier.
Typical values of cv for soft clays range from 0.1 to 0.5 m2/year and gradually
increase with OCR.
Due to soil fabric, roots, small sample size, etc; cv measured in the laboratory tend to
be less than those measured in the field.
&
REQUIRED
Holtz and Kovacs
Chapter 9 : pp. 395 - 405
@
Activity 8.2
Work through example problem 9.9 (pg. 403) in
Holtz and Kovacs
SECONDARY COMPRESSION
Secondary compression or creep occurs at a much slower rate than primary

consolidation and differs from primary consolidation in that it occurs at a constant
effective stress. Nevertheless, creep settlements can be very large.
One method of estimating creep settlement is through the secondary compression

index Cα.
∆e
Cα =
∆ log t
where ∆e is the change in void ratio between times ta and tb, and ∆logt =log tb - log ta.
Cα is usually estimated over one log cycle of time; e.g. from ta = 100 to tb =1000 (or
from 1000 to 10000 etc), then ∆logt = 1 and Cα = ∆e. See Figure 2.
The modified secondary compression index, Cαε, , giving strain rather than void ratio
change, can also be defined as
Cα
Cαε =
1 + ep

Where ep is the void ratio at the start of the linear portion of the e vs logt curve. (e0 is
often used with little loss of accuracy). Both Cα and Cαε can be determined from the
slope of the straight line portion of the displacement vs log(time) curve following the
end of primary consolidation.
Typical values of Cα /Cc :
organic soft clays : 0.05 +/- 0.1

inorganic soft clays : 0.04 +/- 0.1
sands : 0.015 – 0.03
&
REQUIRED
Holtz and Kovacs
Chapter 9 : pp. 405 - 423
@
Activity 8.3
Work through example problem 9.10 – 9.12 (pp.
410 - 423) in Holtz and Kovacs
REVIEW QUESTIONS
1. Which properties of a soil govern the rate at which excess pore water pressures
dissipate ?
2. For the following construction activities, plot on the same graph the expected
variation of pore water pressure (on the vertical axis) with time (on the horizontal
axis) for a point in the soil immediately beneath the construction activity. Assume
that the initial pore water pressure is the same in all cases and that all activities
cause the same local magnitude change in pore water of ∆u. ∆u can be positive or
negative depending on the activity.
(a) Addition of extensive fill overlying a deep deposit of clay
(b) Addition of extensive fill overlying a deep deposit of sand
(c) Addition of extensive fill overlying a shallow layer of clay overlying sand
(d) Footing on deep deposit of clay
(e) Excavation in deep deposit of clay
(f) Lowering of ground water table in clay
(g) Raising of ground water table in clay
3. Holtz and Kovacs : from page 423 on; Problems 9-1 to 9-36

Topic 9 : Shear Strength of Soil and Rock
TOPIC 9 – Shear Strength of Soil and Rock
TABLE OF CONTENTS
PREVIEW................................................................................................................. 9.2
Introduction ........................................................................................................... 9.2
Objectives.............................................................................................................. 9.2
PREFACE ................................................................................................................. 9.2
The Triaxial Test ................................................................................................... 9.2
Influence of Confining Pressure............................................................................. 9.3
MOHR-COULOMB YIELD CRITERION ................................................................ 9.4
HOEK AND BROWN CRITERION (1980) .............................................................. 9.6
JOHNSTON CRITERION......................................................................................... 9.6
HOEK AND BROWN (1997) CRITERION .............................................................. 9.7
INFLUENCE OF ANISOTROPY ............................................................................. 9.9
REFERENCES AND FURTHER READING.......................................................... 9.10
REVIEW QUESTIONS........................................................................................... 9.10

PREVIEW
Introduction
Strength is important for the prediction of performance under load. For example,
without knowledge of the strength of soil to be used in an embankment, it is not
possible to determine a safe batter angle. Soil and rock are significantly stronger in
shear than in tension. Normally, tensile strength cannot be relied upon and is assumed
to be zero. Shear strength is therefore of major interest. Topics 9, 10 and 11 cover
shear strength of soil and rock. This topic introduces the general shear strength
behaviour of these materials and describes a number of common strength criteria used
in geomechanics. Topics 10 and 11 investigate the influence of pore pressures on
strength behaviour.
Objectives
• To understand the basic principles of triaxial testing, principal and Mohr circle
stress plots and strength envelopes
• To gain knowledge of the common failure criteria used in geomechanics
• To understand the influence of discontinuities on the mass strength behaviour of soil
and rock.
PREFACE
In all forms of engineering science, it is important to be able to predict the strength of

the materials involved so that an adequate factor of safety may be maintained against
material failure. Geotechnical engineering is no exception. Unfortunately, unlike man-
made materials, e.g. steel, the strength of soil and rock vary over many orders of
magnitude - from a few kPa for very soft soils to greater than 300 MPa for very hard
rocks. Even two adjacent samples of the sample soil or rock from the one location can
have significantly different strength properties. Strength also varies with test method,
sample condition (disturbed or undisturbed, saturated or partially saturated etc.) test
rate, operator experience and so on.
The Triaxial Test

In most cases we are interested in the shear
strength of soil and rock. One common σ1
method of determining shear strength is by
triaxial testing. This test involves loading a
cylindrical sample in compression. A
confining stress, σ3, (usually constant) is σ3
applied to the curved surface of the sample,
and the sample is brought to failure by
gradually increasing the axial stress, σ1.
The stresses applied to the soil/rock sample
are illustrated in Figure 1. The confining
stress models the insitu stresses present in Figure 1 : Triaxial testing
the ground. Note that the intermediate of geomaterials
principal stress, σ2 = σ3. It is common when testing rock to carry out this test under
unconfined conditions, σ3 = 0. This is called a uniaxial (or unconfined) compressive
strength test or UCS.
Influence of Confining Pressure

By plotting the principal stresses at failure (σ1 vs σ3) we can see the influence of
confinement on strength for various geomaterials – see Figure 2. This is called a
principal stress plot. The line or curves shown on Figure 2 are called strength envelopes
– 3 are plotted, one each for soil, hard soil or soft rock and hard rock. If we view the
principal stress plot as two dimensional space, then the rock or soil is at yield (failure)
when its stress state plots on the strength envelope. If it plots beneath the strength
envelope then it is considered to be “elastic”. The soil or rock cannot exist in a stress
state above (outside of) the strength envelope. Three dimensional stress states are
handled by including a third principal stress axis (σ2) at right angles to σ1 and σ3.
The strength envelopes shown in Figure 2 (and 3) are indicative of shape only. Soil
strength envelopes are usually close to linear, becoming more non-linear (and close to
parabolic) for hard rock. The intercept on the σ1 axis is the UCS, while the intercept on
the σ3 axis is the uniaxial tensile strength (Note : compressive stresses are positive).
The stresses at failure can also be plotted in terms of a Mohr-circle or shear stress, τ,
versus normal stress, σ, plot. These envelopes are constructed by drawing a tangent to
the Mohrs circles at failure. As with the principal stress plot, the strength envelope for
soil is usually close to a straight line with τ intercept c (or cohesion) and slope tanφ
(where φ is called the internal angle of friction). These two parameters can therefore be
used to describe the strength envelope for soil and hence are known as strength
properties. The non-linear envelopes of hard soil/soft rock and hard rock can also be
described by mathematical equations referred to as strength criteria. In this case
different strength properties (other than c and φ) are needed to define the strength
envelope.
τ hard rock
σ1 hard rock
hard soil and

hard soil and soft rock
soft rock
UCS soft soil and sand

soft soil and sand
σ3 σ
σ3 σ1
Figure 2 : Principal stress plot

Figure 3 : Mohr-circle plot

&
Revision
Holtz and Kovacs
Chapter 10 : pp. 431 - 449
REQUIRED
@
Activity 9.1 - Revision
MOHR-COULOMB YIELD CRITERION
This is by far the most commonly applied failure criterion in geomechanics and is given
by the expression
τ = c + σ tan φ
where τ is the shear stress at failure, σ is the normal stress, c is the cohesion and φ is the
angle of friction. This criterion clearly describes a straight line in the shear
stress-normal stress plane as shown above. For this criterion, the relationship between c
and φ, the uniaxial compressive strength, UCS, and the uniaxial tensile strength, σt, are
2 c .cos φ
2 c .cos φ σt =-
UCS = 1 + sin φ
1 - sin φ
It follows that the Mohr-Coulomb criterion gives the following expression for the ratio
of uniaxial compressive to tensile strength
qu 1 + sin φ
=-
σt 1 - sin φ
One of the principal problems associated with the construction of this criterion from
actual test results, particularly in the case of results for rock that often show a fair
degree of scatter, is that a best fit envelope must be fitted as a tangent to a number of
Mohr circles, rather than as a straight line through a number of specific points. This is
not a particularly easy task to achieve by eye nor is it amenable to the use of fitting
techniques such as the method of least squares. Therefore, there may be some
considerable merit in using a plotting technique that gives specific points such as a plot
in the principal stress plane of σ1 and σ3 shown earlier. By constructing a line of best fit
through the failure points, it is possible to define an intercept, I, and a slope, M.
σ1 = I + Mσ 3

The relationship between the same criterion but in different plot format can be derived
by consideration of a Mohr's circle plot. From the geometry of the circle, it may be
shown that
2 ccos φ 1 + sin φ
σ1 = + σ3
1 - sin φ 1 - sin φ
or
σ 1 = UCS + M σ 3
It follows that the intercept on the σ1 axis is given by UCS and the slope by:
1 + sin φ
M=
1 − sin φ
It follows that the cohesion and the angle of friction may be calculated from the
following
q (1 − sin φ)
c= u
2cos φ
and
M- 1
sin φ =
M+ 1
Another useful form of the Mohr-Coulomb criterion is the normalised principal stress
plane. This is useful because it allows a comparison of trends in strength for materials of
quite different strength values. This form is very similar to the principal stress plot
except the axes are divided (or normalised) by the uniaxial compressive strength, UCS,
to give
σin = M σ3 n + 1
In soil engineering, the linear Mohr-Coulomb criterion is normally considered to be a

reasonable representation of actual strength variations. Therefore, its wide-spread use is
well justified. The variations of rock strength, however, tend to show a non-linear
relationship when plotted in the τ - σn or σ1 - σ3 planes, especially for hard rock.
Despite this, because of the relative simplicity of a linear criterion, Mohr-Coulomb it is

often used for rocks for a limited stress range. The Mohr-Coulomb criterion is also very
useful and practical to describe the behaviour of joint behaviour, and peak and residual
strengths, particularly when dealing with various forms of slope stability problems.
&
REQUIRED
Holtz and Kovacs
Chapter 10 : pp. 449 - 458

HOEK AND BROWN CRITERION (1980)
In 1980, Hoek and Brown suggested an empirical strength criterion for rock masses (as
distinct from intact rock). This criterion has been applied in many instances for hard
rock engineering problems but does show some inconsistencies in some areas,
particularly when applied to softer rocks. The basic criterion is given by
σ1n = σ3n + (mi σ3n + s)1/2
where m and s are constants that depend on the properties of the rock and on the extent
to which it has been broken before being subjected to failure stresses. For intact rock, it
has been suggested that s = 1. This reduces the criterion to:
σ1n = σ3n + (mi σ3n + 1)1/2
Hoek and Brown fitted this criterion to a range of test results for various forms of rock
and as a result of this, values of m appeared to be a function of the rock type and varies
between 7 and 25. It would appear that for hard rocks, this criterion gives reasonable
agreement between predicted and measured results. It follows that it should be able to
predict the strength of hard rocks on the basis of a knowledge of the rock type (to select
m) and its uniaxial compressive strength.
One the major shortcomings of the Hoek and Brown criterion is that it is of parabolic
shape and therefore must predict a parabolic envelope for all intact materials. As it is
known that soft rocks have strength envelopes that have much less curvature (i.e. they
are approaching the relatively straight Mohr-Coulomb envelope that is more applicable
for soils), it would appear that the Hoek and Brown criterion may only apply to a
limited strength range of rocks.
On the other hand, the Hoek and Brown criterion has a major contribution to make with
regard to the prediction of the strength of rock masses that contain a range of defects
(that can significantly decrease the strength of the mass below the intact value).
Although the suggestions that were made must be considered a little tentative because
of the very small amount of reliable test data that was available for the purposes of
strength correlations, they do represent a simple method of predicting the strength of a
rock mass.
JOHNSTON CRITERION
In their work on the soft rock Melbourne mudstone, Johnston and Chiu (1984) found
that strength variations were intermediate to the two extremes (straight line and
parabolic) with strength predicted by a curved envelope but not as extreme as a
parabolic envelope. This is perhaps not too surprising when considering the general
properties of soft rocks which are intermediate to soils and hard rocks. Further work by
Johnston (1985) on a range of geotechnical materials showed that there was a general
progression from a linear envelope for soft clays, through increasingly more curved
relationships for stronger materials until a parabolic relationship was found for hard
rocks. The criterion describing this progression is given by:

B
M 
σ1n =  σ3 n + S
B 
where M is a material constant depending on the strength of the material and its type,
and B is another constant which depends on strength alone. The parameter S is similar
in form to the s parameter used in the Hoek and Brown criterion and is equal to 1 for an
intact material. Therefore for intact materials, the criterion reduces to
B
M 
σ1n =  σ3n + 1
B 
By fitting this criterion to a wide range of geotechnical materials ranging from soft clays
through to hard rocks, values of B and M were suggested.
It was found that for soft clay, that B approaches 1, and therefore the criterion reduces o
the Mohr-Coulomb criterion. For hard rock, M increases, and B reduces to about 0.5 to
produce a parabolic envelope very similar to that given by Hoek and Brown (1980).
HOEK AND BROWN (1997) CRITERION
Hoek and Brown (1997) revisited their 1980 criteria to address some of the criticisms
made by Johnston amongst others. Using rock mass classification as a basis they
introduced the concept of the Geotechnical Strength Index or GSI. Their new
generalised criterion for rock mass strength can be stated as
σ
a
 
σ1 = σ 3 + UCS m b 3 + s 
 UCS 
Where m, s and a are all related to GSI by

 GSI − 100 
m b = m i exp 
 28 
For GSI >25 (i.e. good quality rock masses)
 GSI − 100 
a = 0.5 s = exp 
 9 
For GSI <25 (i.e. rock masses of very poor quality)
GSI
s=0 a = 0.65 −
200
This empirical criterion relies on the assessment of the GSI from the two charts, one of
which is shown in Figure 4. Although this process is subjective, it does provide a
consistent basis on which to assess mass strength. It should be noted however that the
criterion is isotropic, and should not be used where mass is likely to be anisotropic due
to preferred orientation of joints etc.

Figure 4 : Chart used to estimate GSI (after Hoek and Brown, 1997)

INFLUENCE OF ANISOTROPY
Due to a number of features such as bedding, grain

orientations, schistosity, etc., many rock types show
preferred planes of weakness. It follows that rocks often
show strength anisotropy which can have a pronounced
effect on measured strength. This can be demonstrated by
the following simple example.
β
Consider a specimen of rock that has a plane of weakness σ3
inclined at an angle β to the line of action of the minor
principal stress (or to the horizontal in the case shown in
Figure 5). Let the shear strength of this plane be represented
by the Mohr-Coulomb criterion so that at failure: σ1
τ = cω + σ tan φω
Figure 5 : Rock sample
where cω and φω are the cohesion and angle of friction of this with inclined joint
plane of weakness.
From a consideration of the geometry of the Mohr's circle, the general shear stress and
the normal stress on any plane within the sample are given in terms of the principal
stresses, σ1 and σ3, as
 +   -  σ -σ 
σ =  σ1 σ3  +  σ1 σ3  cos 2β τ =  1 3  sin 2β
 2   2   2 
By rearranging these equations, failure in terms of the principal stresses may be

expressed as
2 c + 2 σ3 tan φ
σ1 - σ3 =
(1 - tan φ cot β) sin 2β
From this equation, it may be demonstrated that the minimum deviator stress required to
cause failure is given by :
(σ1 - σ3)min = 2(cω + σ3 tan φ) [ (1 + tan2 φω)1/2 + tan φω ]
and this occurs when

φω
β = 45 +
2
The above equations also show that for β approaching 90o or φω, the deviator stress
approaches infinity. This implies that irrespective of the applied stresses, the sample
will not fail on the plane of weakness for β < φω. However, although the rock substance
of the sample may be much stronger than the plane of weakness, it cannot take infinite
stress. As a result failure must occur through the rock substance and this can be
determined from (for a Mohr Coulomb material) :
τ = cs + σ tan φs σ1
where cs and φs are the cohesion and angle of

friction of the rock substance. This
effectively provides an upper limit to the
strength of the rock as illustrated in Figure 6 σ3
for various confining pressures.
Figure 6 : Variation of strength with

confining pressure and joint inclination
30 60 90 β

Hoek and Brown (1980)
Hoek and Brown (1997)
Johnston (1985)
Johnston and Chiu (1984)
REVIEW QUESTIONS
1. Plot the strength envelopes in both Mohr circle and principal stress plots for the
following soils and rocks
a) clay with c = 5 kPa, φ = 25o
b) sand with c = 0 kPa, φ = 35o
c) intact rock with UCS = 3 MPa, mi = 14
d) rock mass with GSI = 45, mi = 14 and UCS = 5 MPa
e) rock mass with GSI = 15, mi = 14 and UCS = 5 MPa
f) Rock sample of part c) but containing a joint inclined at 30o to minor principal
stress direction.
For each case determine the deviator stress at failure for σ3 = 0 and σ3 = 1 MPa.
2. For Q1 parts c), d) and e), determine the tangent values of c and φ at a confining
stress of 500 kPa.
3. Holtz and Kovacs : from page 485 on; Problems 10-1 to 10-23

Topic 10 : Soil Shear Strength - Undrained
TOPIC 10 – Soil Shear Strength - Undrained
TABLE OF CONTENTS
PREVIEW............................................................................................................... 10.2
Introduction ......................................................................................................... 10.2
Objectives............................................................................................................ 10.2
PREFACE ............................................................................................................... 10.2
COULOMB’S EQUATION..................................................................................... 10.2
LABORATORY STRENGTH TESTING................................................................ 10.3
PRESENTATION OF RESULTS............................................................................ 10.4
THE φU = 0 CASE................................................................................................... 10.4
Skempton’s B parameter ...................................................................................... 10.5
UNDRAINED STRENGTH - DEPTH RELATIONSHIP........................................ 10.6
UNSATURATED SOILS ........................................................................................ 10.6

PREVIEW
Introduction
In Topic 9, some common yield criteria for soil and rock were introduced. The strength
behaviour of soil in particular is very sensitive to pore water pressures and the rate at
which they dissipate. When clay is subjected to an increase in load e.g. by a footing,
failure (if it is to occur) will usually occur soon after loading. However, excavations in
clay may stand for months or years before collapsing. For the footing example, the
short term strength of the clay is important, whereas for the excavation problem, the
long term strength governs. The difference in behaviour is due to the pore water
pressure response. This topic deals with shear strength under conditions where excess
pore water pressures do not have time to dissipate ; i.e. undrained.
Objectives
• To be able to correctly interpret the results of a quick undrained triaxial test to
determine strength and deformation properties
• To understand the behaviour of soil subjected to undrained loading conditions
• To introduce unsaturated soil behaviour
PREFACE
Soil does not have a strength : because it is granular, its tensile strength is usually taken
as zero and, when tested in compression, the failure which results is initiated by shear
stresses, so soil strength is nearly always considered in terms of shear strength. To a
lesser degree the same is true of soft rocks, but hard rocks require special treatment.
Even when considering only shear strength any one soil has a wide range of strengths
depending on loading patterns, water drainage conditions, past stress history and current
environment. To simplify matters strength behaviour is divided into two major
categories governed by the state of pore water drainage, i.e. undrained and drained
COULOMB’S EQUATION
Although the ‘immediate’ or ‘undrained’ condition does not usually involve

considerations of pore water pressure, it is necessary to digress briefly to discuss the
general shear strength equation, to permit explanation of undrained behaviour.
Coulomb, in 1773, tested soils in direct shear and postulated the behavioural equation
now known as the Mohr-Coulomb failure criterion (see Topic 9)
Coulomb’s Equation
s = τf = c + σ tanφ
where s = shear strength, τf = shear stress at failure
c = soil cohesion, σ = normal stress on failure plane and
φ = angle of shearing resistance
In effective stress terms this becomes :-

s = τf = c′+ (σ - u) tanφ′

Coulomb was unaware of effective stresses, yet the form of the equation has proved
very satisfactory for effective stress calculations using the effective normal stress σ′ =
(σ - u) and the effective stress strength parameters c′ and φ′ . Soil strength data are
usually presented on a τ - σ plot, either as Mohr circles or stress paths (see later).
The cohesion is that part of

the soil strength which is τ
independent of applied stress
and has its origins in the
electro-chemical interactions c (σ1 - σ3 )
of the double layer. The φ
friction is that part which is σ3 • σ1 • σ
proportional to applied stress
invalid tensile
and has its origins in the stress region
sliding and rolling of particle
upon particle. Depending on
how a test is interpreted both
c and φ may have ‘apparent’ Figure 1 : Mohr coulomb failure envelope
values very different from
their ‘real’ ones.
LABORATORY STRENGTH TESTING
The two most common tests are the direct shear test and the triaxial compression test,
with the latter being more suited to clays and the former to sands. Clay behaviour is
Axial Load - P more relevant to undrained or short term
conditions so here we will concentrate on
∆L the triaxial test. In this test a cylindrical
sample of soil, L = 2D, is surrounded with
an impermeable latex membrane, placed in
a pressure vessel and subjected to an all-
round pressure, σ3, then rapidly failed by
Latex Soil
increasing the vertical or axial stress, σ1 .
Membrane Specimen Failure is assumed to have occurred when
the principal stress difference (σ1 - σ3) or
deviator stress reaches a peak value or
O-ring
constant state or when the axial strain εax=
Seal ∆L/Lo exceeds say 20%, Lo being the
initial length of the sample.
Cell
Pressure
σ3
The loading to failure typically takes about
ten minutes and during the whole
procedure no water is permitted to drain
from the specimen and no attempts are
Figure 2 : Triaxial test set-up for made to measure the pore pressure
quick undrained test developed in the soil.

&
SUGGESTED
Holtz and Kovacs
Chapter 10 : pp. 458 - 473
PRESENTATION OF RESULTS
During the test readings are taken of Axial Load, P, and Axial Compression, ∆L. P
may have to be corrected for the ‘blow-out effect’ of the cell pressure acting on the
lower end of the loading ram. Graphs are prepared of (σ1 - σ3) versus axial strain in %.
An area correction is also applied to account for lateral bulging of the specimen as the
length decreases, the total volume remaining constant for undrained samples with
S=100.
(σ1 - σ3) = P/A
For S = 100% A = Ao / (1 - ε )
where Ao = initial sample cross sectional area; ε = ∆L / Lo
and Lo = initial sample length
For S < 100% A = Ao (1 + v ) / ( 1 - ε )

where v = volumetric strain = ∆V / Vo and Vo = initial
sample volume (assumes volume increase is positive)
Young’s modulus, Eu can be estimated from the “linear” portion of the (σ1 - σ3) versus
axial strain graph. Some subjectivity may be required in choosing the “linear” portion
of the curve. As the test is undrained, the modulus so determined is the elastic
undrained Young’s modulus. As the sample undergoes no volume change (saturated
samples only) then by definition Poisson’s ratio, νu = 0.5.
THE φU = 0 CASE
A practically very important case occurs when saturated clay specimens sharing the
same stress history - say natural soil samples taken from the same depth at a site - are
tested in undrained compression using a range of cell pressures, σ3, and the results are
plotted as Mohr circles on a total stress plot (because pore pressures and hence effective
stresses are usually not known).
Figure 2 presents an idealised case with no sample variability, extremely rare in
practice, but any clay with S=100% - whether or not it came from below a field water
table - will exhibit φ = 0 behaviour in unconsolidated, undrained compression. The
value of cu may then be used in total stress analyses of short term or immediate stability
of foundations, slopes, etc.

Reasons for φu=0. If two identical

τ Mohr-Coulomb
envelope
specimens of pore space saturated
φu = 0 clay are placed in triaxial cells for
undrained testing and subjected to
c
cell pressures σ3 of 100 kPa and
=cu
200 kPa respectively, what will be
spec.1 spec.2 spec.3
σ the difference between their
effective stresses? The soil
skeleton is several orders of
Figure 2 : UU test results
magnitude more compressible than
water so that, when an external stress increment is applied, almost all of it will be
resisted by an increase in pore pressure, as in the undrained state the skeleton cannot
compress to mobilise more resistance. Therefore ∆u = ∆σ3 , and from the effective
stress law, ∆σ3′ = 0, so both specimens have the same effective stresses and therefore
the same strengths (σ1 - σ3)f, ensuring a φu = 0 result.
The actual pore pressures in the samples after applying the cell pressures will depend on
the initial pore pressure (negative, i.e. less than atmospheric) and the pore pressures at
failure, uf, for our two specimens would differ by 100 kPa. If values of uf were known,
both specimens would plot as identical effective stress Mohr’s circles and no common
tangent could be drawn. The very useful shear parameters cu and φu are therefore not
fundamental soil parameters, but merely products of the method of testing and
interpretation.
Skempton’s B parameter
The pore pressure response of soil can be determined using Skempton’s A and B
parameters. At this stage we will consider only the B parameter which relates the
change in pore water pressure to the change in all-round stress; i.e.
∆u = B ∆σ
For saturated soils, B is close to one and hence if a saturated soil is subjected to an all-
round stress increase of ∆σ1 = ∆σ2 = ∆σ3 = ∆σ = 10 kPa, pore water pressures will
(initially) increase by 10 kPa; i.e. ∆u = 10 kPa and hence ∆σ′ = ∆σ - ∆u = 10 – 10 = 0.
That is the soil will feel no effective stress change, until the excess pore water pressures
can dissipate.
Pore pressure parameter B (Skempton)

For undrained all-round compression of a soil
∆u = B ∆σ and for SR = 100%, B ≅ 1, ∆u =∆σ, ∆σ′=0
In clay it can take a significant period of time for excess pore water pressures to
dissipate, and hence the clay only feels a very gradual change in effective stress. In free
draining sand, the response is considered to be instantaneous.
For stiffer materials such as rock, B <1, and hence not all of a hydrostatic stress change
is taken initially by the pore water.

&
REQUIRED
Holtz and Kovacs
Chapter 11 : pp. 559 – 598
@
Activity 10.2
Work through example problems 11.12 and 11.13
(pp. 567 – 570) in Holtz and Kovacs
UNDRAINED STRENGTH - DEPTH RELATIONSHIP

cu
In a uniform deposit of N.C. clay cu often
∇
varies linearly with depth, particularly if the
drying
water table is close to the ground surface. The crust
strength of the very near surface clay is often depth
stronger as a result of desiccation (drying crust
and large negative pore pressures). cu / γ ′z = const
= cu / p
For O.C. clays the picture is more complex but
often, at least over a limited depth range, cu
may be taken as constant, with something less
than the average of all test values for the soil
layer being used in design.
Figure 3 : Strength / Depth for

N.C. clay.
UNSATURATED SOILS
τ
limit for S = 100%
Many engineering soils exist with
degrees of saturation less than 100%,
e.g. compacted soils for earth fills,
where S may be in the 80 - 90% range.
For these soils the B parameter is
significantly less than 1 and even under
undrained conditions an applied load
will cause some increase in effective σ
stress, leading to measurable friction Figure 4 : Undrained behaviour
angles. of partially saturated soil

At increasing levels of applied stress the degree of saturation increases, as air is forced
into solution in the pore water, causing φu to decrease continuously and approach zero
asymptotically at high cell pressures. For such soils :
τ = c + k1 σk2
At very high pressures the soil reaches 100% saturation and φu becomes 0. The τ-σ
plot may be linearised over a relevant stress range.
REVIEW QUESTIONS
1. Why don’t we usually measure the undrained strength of sand ?
2. Show that the undrained Young’s modulus is equal to the slope of the deviator stress
versus axial strain curve from an undrained triaxial test.
3. Explain why excavations in clay may stand for several months and then suddenly
collapse, whereas in sand they collapse almost immediately.
4. Explain why the undrained strength of normally consolidated clays increases
linearly with depth.
5. Briefly describe the various methods for determining the undrained strength of a
clay and the limitations of each.
6. For what engineering design purposes do we use undrained strength ?
7. Briefly explain why Skempton’s B value decreases below 1 as soil/rock become less
compressible.
8. Explain briefly why you can build sand castles out of wet sand, but not out of dry
sand.
9. Do the deformations measured in an undrained triaxial test contain any component
of consolidation settlement? Briefly explain your answer.

Topic 11 : Soil Shear Strength - Drained
TOPIC 11 – Soil Shear Strength - Drained
TABLE OF CONTENTS
PREVIEW............................................................................................................... 11.2
Introduction ......................................................................................................... 11.2
Objectives............................................................................................................ 11.2
PREFACE ............................................................................................................... 11.2
DRAINED STRENGTH TESTS ............................................................................. 11.2
DIRECT SHEAR TEST .......................................................................................... 11.3
TRIAXIAL COMPRESSION TEST........................................................................ 11.4

PREVIEW
Introduction
In contrast to the material presented in Topic 10 which was concerned mainly with
undrained strength parameters derived from total stress τ - σ plots, this topic considers
effective stress strength parameters derived from drained tests (D) before considering
the third main test type, the consolidated undrained test (CU). Although in the CU
test the compression to failure is carried out under undrained conditions, pore pressures
are measured during the test so that effective stress τ - σ plots may be drawn and the
resulting parameters c′ and φ′ are considered to be slightly conservative approximations
to the truly drained parameters cd and φd . The advantage is that for clays the CU test
may be completed much more rapidly than the D test.
Objectives
• To be able to correctly interpret the results of consolidated undrained and drained
triaxial tests to determine strength and deformation properties
• To understand the behaviour of soil subjected to drained and undrained loading
conditions
• To understand and be able to interpret the results of direct shear tests
• To understand the importance of Skempton’s pore pressure parameters and be able
to apply them to practical situations to estimate pore pressure response
• To understand stress paths and their application
PREFACE
Although the estimation of undrained strength is important in some applications, its
relevance can only be understood in terms of effective stress and pore pressure
response. The undrained strength is not a true property of the soil but a manifestation of
the way in which we test the soil and interpret the test results. The true strength of the
soil should be measured in terms of effective strength, giving rise to effective or
“drained” strength parameters. The term “drained” refers to the dissipation of excess
pore water pressures, not to the complete drainage of water out of the sample.
“Drained” tests are carried out a slow enough rate so that excess pore water pressures do
not build up, but dissipate at the same rate at the total stress being applied. That is, the
soil “feels” the total stress change as an increase in effective stress and not as an
increase in pore water pressure.
DRAINED STRENGTH TESTS
Drained strength may be measured conveniently in either the direct shear box or the
triaxial test. The shear box is suited to both cohesionless soils (sands, gravels) and
clays while the triaxial test is best suited to clays, as the preparation of cylindrical
specimens is difficult for cohesionless soils. An additional advantage for the shear box
is that the maximum length of drainage path is quite short, so that tests may be
completed quickly. Where pore pressure information is required the triaxial test is
universally used.

DIRECT SHEAR TEST
P A specimen of square cross section (normally 60 x 60

mm, L x L) and thickness approximately 1/3 L, is
T placed inside a metal box split into two halves across its
T mid-plane. A vertical normal load, P, is applied by a
∆L convenient mechanism and a motor drive pushes the
lower half of the box, while the top half reacts against a
L load cell which measures the shearing force, T. The
box usually sits inside a water bath for sample
Figure 1 : Direct shear saturation.
test (schematic)
Test Procedure. For a drained test the load P is
applied and the sample allowed to consolidate to say
95% degree of consolidation. A steadily increasing shear displacement is then applied
at a rate consistent with near complete drainage and ∆L, T and ∆H are measured. For
cohesive soils an area correction is necessary for σn and τ. A single test gives values of
σn and τ at failure (peak or large displacement) and two or more tests are required for a
τ - σ envelope to determine cd and φd.
τ σn = N/A = N/60(60 - ∆L) (N/mm2)

•spec. 2 τ = T/A = T/60(60 - ∆L)
• spec. 1 Note that for many silts and all sands and
cd
φd coarser soils cd is 0 and the area correction
is not required for correct φd
σ′
determination.
Figure 2 : Drained direct shear
- Coulomb failure envelope For an undrained test on clay, the test
needs to be carried out quite quickly, so
that pore water pressures do not have time to dissipate. This is actually very difficult to
achieve as there will always be some dissipation of excess pore water pressure due to
the very short drainage path. The results of undrained direct shear tests should therefore
always be treated with caution.
&
REQUIRED
Holtz and Kovacs
Chapter 10 : pp. 458 - 473
@
Activity 11.1
Work through example problems 10.6 and 10.7 (pp.

TRIAXIAL COMPRESSION TEST
More complex equipment is required for drained triaxial tests than for undrained tests.
The specimen must have a porous disc at least at its lower end and often at both ends. A
pressurisable burette (or volume change device) measures water flow to or from the
specimen and a pressure transducer is needed for the CU test to monitor changes in pore
water pressure during compression without significant volume change.
The use of a back pressure, ubp, is

Burette recommended wherever possible. A
Membrane ‘back pressure’ is simply a controlled
water pressure fed through the burette
and into the porous disc/s at the end/s
Specimen of the specimen. Its main functions
are to assist in saturating the specimen
(where relevant) and to provide an
elevated initial pore pressure for
u bp
specimens where the pore pressure is
σ3 Valve expected to decrease during
(σ 3 - ubp ) = σ 3
To read compression and could become too
out
Pore pressure
transducer
negative to measure.
Figure 3 : D and CU triaxial tests
Drained Test - The specimen is first back pressurised with a low difference between
cell pressure, σ3, and back pressure, ubp, such that (σ3 - ubp) = initial estimated effective
stress in specimen. The cell pressure and back pressure are then increased, in equal
increments, until the specified value of back pressure has been reached. A “B – test” is
then carried out to determine if the sample is close to fully saturated. This is done
closing the back pressure valves and increasing the cell pressure by ∆σ. The pore
pressure increase due to the rise in cell pressure is measured and the B value determined
(see Topic 10). If B > 0.95 then the sample is considered to be close to fully saturated
and the test can commence. The first main test phase is the consolidation phase, in
which cell pressure σ3 is increased until the desired (σ3-ubp)=σ3′ has been achieved and
the specimen is then allowed to consolidate. When at least 95% consolidation has
occurred the second main phase, the drained compression phase, is commenced. The
specimen is compressed vertically at a rate compatible with continued almost complete
drainage, i.e. no significant pore pressures can build up in the specimen. Readings are
taken of vertical external load, P, axial compression, ∆L, and volume of water
outflow/inflow, ∆V, until either a peak strength or excessive deformation is reached.
The area correction for calculating (σ1 -σ3) at any stage was given in Topic 10. Note
that (σ1-σ3)=(σ1′-σ3′) for any type of triaxial test, or indeed any stressed soil element.
Typical responses measured during drained triaxial testing for normally consolidated
and over consolidated soils are shown in Figure 4. In general, loose or soft soils display
a ductile deviator stress versus axial strain response. Failure usually occurs by bulging

and throughout the test the sample (σ 1-σ 3)

dense, stiff
expels water (i.e. contracts in
volume). That is the soil is in a
denser state at the end of the
shearing stage than it was at the loose, soft
beginning. For dense or stiff soil
samples, the stress strain behaviour
is more brittle, often displaying
significant softening after peak. The
samples generally fail along a
axial strain %
distinct inclined shear plane. The
angle of inclination of the shear +∆V
dense, stiff
plane depends on the frictional angle
of the soil. The sample may contract
at the start of shearing, but then axial strain %
-∆V
takes on water as it dilates (due to
loose, soft
soil grains sliding over one another).
The sample is therefore less dense at
the end of the test. Figure 4 : Drained triaxial test results
The strength parameters are obtained

from a τ - σ plot using either Mohr circles or stress paths. A stress path is a graph of p
= (σ1′+σ3′)/2 on the x axis against q = (σ1′-σ′3)/2 on the y axis and the stress path failure
envelope yields parameters d (< c) and ψ (<φ). The stress path follows the path to
failure taken by the sample. It is simply the trajectory taken by the top of the Mohrs
circle. The strength (as distinct from the strength parameters) of the sample will depend
on the stress path taken.
q, (σ1′-σ3′)/2 •
• stress
path
c
stress
ψ φ
d path
45
•
σ3 ′
(σ1′ - σ3′) p, (σ1′+σ3′)/2,σ′
c cotφ = d cotψ
NOTE
sinφ = tanψ For cohesionless soils and NC clays
cd = 0 and all strength is ‘frictional’
Figure 5 : Drained failure envelopes for c-φ soils

The drained Young’s modulus and Poisson’s ratio can be estimated from the linear
portion of the stress strain curve and the same portion on the volume change versus
strain curve.
Consolidated Undrained Test - The (σ 1-σ 3) A -ve

test procedure is exactly the same as σ 1′/σ 3′
for the drained test up to the end of
the consolidation phase. Then the A +ve
drainage to the burette is closed off,
locking the ubp into the specimen as
its initial pore pressure for the σ 1′/σ 3′
undrained compression phase. The axial strain %
axial compression is then applied, at
+ ∆u
a much faster rate than for a drained
A +ve
test on the same soil, and the pore
axial strain %
water pressure is recorded in place of
the volume change, which of course A -ve
is now zero for a saturated specimen. - ∆u
Failure may be taken as either the
peak strength, where this clearly
occurs, or the maximum σ1′/σ3′, the Figure 6 : Consolidated undrained
principal effective stress ratio, in triaxial test results
other cases. Results are presented as
plots of (σ1-σ3), σ1′/σ3′ and ∆u
versus εaxial% plus either Mohr circle or stress path τ- σ failure envelopes. Typical
stress and pore pressure versus axial strain curves are shown in Figure 6 for stiff/dense
(A –ve) and soft/loose (A+ve) soils. The A value refers to the second of the Skempton
pore pressure parameters that relates pore pressure change to shear stress. Dense/stiff
materials show a decrease in pore pressure as loading increases where soft/loose soils
show an increase.
Skempton’s general equation governing pore pressure development can be expressed as
[
∆u = B ∆σ3 + A( ∆σ1 − ∆σ 3 ) ]
The value of A depends on soil type and stress path. Typical values are listed on page
603 of Holtz and Kovacs. The pore pressure generated during loading therefore
depends on the mean stress change as well as the change in shear stress (or deviator
stress). This equation can be used to predict pore pressure changes during undrained
loading.
&
REQUIRED
Holtz and Kovacs
Chapter 11 : pp. 599 – 605
Appendix b-3 : pp. 691 -700

@
Activity 11.2
Work through example problem 11.14 (pp. 603) in
Holtz and Kovacs
The failure envelope interpretation is more complex than for the drained test and the
initial effective stress state, σ3′ (= σ1′), is commonly plotted as a point Mohr circle, p,
the effective isotropic consolidation stress, on the σ axis. The effective stresses at
failure are σ3′f and σ1′f and the excess pore pressures generated by shearing at failure is
∆uf.
τ
(σ1-σ3)/2
failure point
stress
• End of test path
•
total
45+φ′/2 Start of test stress
OP
• • • • σ′
p σ1′f σ3
σ3′f (σ1′+σ3′)/2
∆uf ubp
uf
∆uf = Af (∆σ1-∆σ3) = Af (σ1-σ3)
Figure 7 : CU test effective stress failure envelopes
Simple geometric calculations lead to the following expression relating the strength of
the soil to its effective strength parameters and initial confining stress level p :
(σ 1′ − σ 3′ ) f c′ cosφ ′ + p sinφ ′
=
2 1 + (2 Af −1) sinφ ′
For the test shown Skempton’s A parameter is about +0.7, i.e. 0.7 of the circle diameter
plots to the left of point p. For A -ve, all of the circle will plot to the right of p. Note
again that c′=0 for sands and NC clays.
&
Holtz and Kovacs
Chapter 10 : pp. 473 - 484
Chapter 11 : pp. 490 - 639
REQUIRED

@
Activity 11.2
REVIEW QUESTIONS
1. Use elastic theory to derive an equation for estimating Poisson’s ratio from the
volume change and axial strain measured in a drained triaxial test.
2. Are the Young’s modulus and Poisson’s ratio determined from a CUPP test drained
or undrained parameters ? Give reasons for your answer.
3. Holtz and Kovacs : from page 640 on; Problems 11-1 to 11-105.

Topic 12 : Soil Slope Stability
TOPIC 12 – Soil Slope Stability
TABLE OF CONTENTS
PREVIEW............................................................................................................... 12.2
Introduction ......................................................................................................... 12.2
Objectives............................................................................................................ 12.2
PREFACE ............................................................................................................... 12.2
FACTOR OF SAFETY, F ....................................................................................... 12.3
TIME EFFECTS...................................................................................................... 12.3
SHAPES OF FAILURE SURFACES ...................................................................... 12.3
METHOD OF ANALYSIS...................................................................................... 12.4
BISHOP’S SIMPLIFIED METHOD OF SLICES.................................................... 12.5
PARTIAL SUBMERGENCE .................................................................................. 12.5
OTHER SOLUTIONS............................................................................................. 12.6
WEDGE METHODS............................................................................................... 12.6
TENSION CRACKS ............................................................................................... 12.7

PREVIEW
Introduction
Landslips/slope instability is a natural on-going phenomenon (see Topic 1) that involves
slopes moving to a more stable condition. It is often man’s activity that brings about the
instability by increasing slope angles and changing groundwater conditions. Since
many urban areas, infrastructure projects (e.g. roads, railways, dams etc) and mining
projects involve excavation, filling or other changes to the local topography and
groundwater levels, instability is of significant concern. There are many factors that
influence stability, the major ones being soil and rock strength, discontinuities and
planes of weakness, water and external loading. The mechanism via which failure
occurs also varies depending on these conditions. As a result, there are many forms of
analyses. This topic concentrates on instability of soil slopes. Topic 13 deals with
instability of rock slopes.
Objectives
• To understand the factors that affect slope stability and to be able to quantify their
influence in terms of a factor of safety
• To understand and be able to implement Bishop’s modified method for vertical
slices
• To understand the difference between slopes that are excavated and filled, and
which parameters to apply to determine stability in the long and short term.
PREFACE
Slope stability problems in soil and rock engineering may involve heights from 1m to
several 1000m, with volumes of slipping material from a few m3 to several 100 x 106
m3, i.e. from failure of a small trench to mountain landslides.
Not all such instabilities can be successfully analysed currently, but many slopes in the
general range of engineering significance have become amenable to analysis with the
development of improved mathematical techniques and comprehensive computer
programs. Whereas a few decades ago the analysis by hand of a single possible failure
mechanism could take an engineer half a day, now many tens of thousands of
mechanisms may be investigated in that time and in much greater detail.
Slopes of engineering interest may be either natural or man-made, terrestrial or

submarine, stress increasing (e.g. embankments) or stress reducing (excavations),
reinforced or unreinforced and statically or seismically loaded. The most common
mode of failure is by mass movement of a body of soil or rock, either slowly or rapidly,
though liquefaction and flow slides are also important.
Analyses are usually more concerned with estimation of a Safety Factor, F, against
total failure, than with pre-failure deformations, though these may also be estimated
when required, using finite element or difference methods and, where sufficient data is
available, probabilities of failure may also be calculated. Soil and rock slope

behaviours share some common aspects, but also exhibit significant differences and this
topic covers only the matters in common, leaving much of rock slope behaviour for
specialist studies (see Topic 13).
FACTOR OF SAFETY, F
Many definitions of F are possible, but the one almost universally used in practice is a
safety factor on shear strength, i.e.
τ = s/F = c/F + σ(tanφ)/F

where τ = shear stress on slip surface
s = available shear strength
c, φ = appropriate shear parameters
σ = normal stress (total or effective as appropriate)
This criterion must be satisfied at all points along a failure/slip surface or mechanism,
implying that F is constant, though τ and s will vary from point to point. In practice
distributions of τ are difficult to calculate and F is computed indirectly from moment
equilibrium for each element of a failure mechanism.
c/F and (tanφ)/F are referred to as the ‘developed cohesion’ and the ‘developed friction’
respectively, i.e. that proportion of the available cohesion and friction which must be
called into play to just provide stability or equilibrium for the slope. Cohesion and
friction are usually given the same degree of development, 1/F, though this matter is
arguable.
TIME EFFECTS
Slopes are subject to the same considerations concerning time effects as all other
geotechnical structures. This means that slopes in sands or free draining soils will be
analysed using drained or effective stress parameters, while slopes in clays may be
treated as either ‘immediate’ or ‘long term’ problems depending on circumstances. A
temporary cut in clay would be analysed as an immediate or total stress problem without
any pore pressure input, while a slope meant to last for decades could be either a short
or long term problem, depending on whether or not it is ‘built-up’ or ‘excavated’, also
taking into account likely future changes in ground water conditions. Most modern
analysis methods handle all cases with appropriate choice of strength parameters and
pore pressure data input.
SHAPES OF FAILURE SURFACES
Before an analytical method can be applied the shape of the slipping soil mass must be
defined. This shape may be circular, cycloidal, log spiral, near linear, general non-
linear, or combination surfaces, all of these agreeing reasonably well with
measurements of specific failures. For reasons of simplicity and mathematical
tractability, combined with acceptable accuracy, the circular slip was the first to be used
widely.

circular
W slip
surface
S
Figure 1 :Circular slip surface - method of slices
The weight of an element of soil, such as W for the vertical slice shown in Figure 1,
exerts a destabilising or overturning moment about the circle centre O, while the shear
strength S at the base of the slice provides a stabilising or restoring moment. The
balance of these moments summed over the whole sliding mass controls the stability of
the slope.
&
REQUIRED
Waltham
Chapters 32 to 34 : pp. 64 – 69
METHOD OF ANALYSIS
Most commonly used methods of slope stability analysis adopt the relatively brute force
method of limit equilibrium, i.e. a free body of soil is isolated by assuming a failure
surface, based on past experience, and all body and boundary forces are evaluated.
Equations of equilibrium for moments and vertical and horizontal forces are then used
to solve for any unknowns, a process that usually involves one or more assumptions to
make a solution feasible.
A value of F is then calculated from the equation above, but is valid only for the failure
surface postulated. To reveal the minimum and therefore critical value of F it is
necessary to analyse a large number of different failure surfaces - a daunting task pre
computer!
Various researchers have developed methods of increasing complexity based on the

limit equilibrium approach, most of them being extensions of the popular Bishop’s
Simplified Method of Slices (itself developed from the Swedish Method of Slices).
For slips where the failure surface is approximately circular Bishop’s method is still
quite accurate and will be outlined below.

BISHOP’S SIMPLIFIED METHOD OF SLICES
In this method the slope is divided as

b slope in Figure 1 into a number of vertical
n slices, usually at least 15 - 20. The
surface
n+1 forces on a typical slice are shown in
∇ Figure 2. Provided a large number of
Xn
slices is used the base of each slice
β phreatic
W surface may be approximated by a straight
En
∇ h
line and the slice weight may be
calculated accurately as W = γbh.
En+1 The total unit weight is used for both
total and effective stress analyses as it
Xn+1 l T is equilibrated against total boundary
forces. The E forces include both soil
and water components, but the X
N = N′ + U
forces are soil shear forces only. The
α sinα = x/R U force is the water force on the base
of length l and is derived from flow
Figure 2 : Force diagram for nth slice net estimates of pore pressure.
By resolving forces vertically to determine N′ values, and summing moments of each

slice about the circle centre, Bishop was able to derive his formula :
∑ [c′b + (W − ub) tan φ′] m

1
F= α
∑ W sin α
where
sin α tan φ′
m α = cos α +
F
As F appears in the formula for mα it cannot be calculated explicitly from Bishop’s
equation and an iterative approach is necessary. A spreadsheet tabular solution is
efficient and usually 3 iterations suffice to give F to two decimal places, which is more
than conventional practice can justify. The above formula is for an effective stress
analysis but is also suitable for a total stress analysis by using cu for c′, φu for φ′ and
zero pore pressures.
PARTIAL SUBMERGENCE
As shown in the Figure 3 a slope may be partially submerged, with an external free
water level above the toe of the slope. Bishop showed how this may be handled for
total and effective stress analyses by drawing a construction line horizontally into the
slope at the level of the external water and using γtotal for soil above this line and γ ′ for
soil below this line, leading to an ‘effective weight’, Weff, for each slice. For effective

stress analyses the actual pore pressure at the base of each slice must be reduced by ∆u
= γw x (height difference between construction line and base of slice), i.e. uexcess = u - ∆u
Bishop’s equation then becomes :
∑ [c′b + (W − u b) tan φ′] m

1
eff exc
F= α
∑ W sin α eff
If this method is used any external water forces on the slope face must then be ignored.
Note that where water seeps into the slope uexces is negative, increasing the factor of
safety
phreatic
surface
ignore external
water use γ
∇
use γ ′
h = ∆u/γw
Figure 3 : Treatment of partial submergence
OTHER SOLUTIONS
Most computer packages offer a range of methods with names such as Spencer’s
Method, Morgenstern-Price Method, General Limit Equilibrium Method, etc and these
are generally extensions of the Bishop method to include a more accurate treatment of
the side forces between slices, the Xn forces being effectively ignored in Bishop’s
solution. They also permit general non circular surfaces and some form of search for
the critical safety factor. Increasingly they include treatment of slope reinforcing and
nailing.
WEDGE METHODS
For profiles containing, for example, thin weak layers, the failure surface is likely to be
highly non-circular and Bishop-style analyses may become inaccurate. Recently there
has been an increase in interest in multi-wedge solutions for such problems and several
such programs have shown that they may be applied also to circular and near circular
failure mechanisms with accuracy equal to or better than the conventional vertical slice
approaches.
Sarma’s multi-wedge method is regularly included in modern packages and Monash

University has produced two very different wedge analyses - GWEDGEM (the General
WEDGE Method) and EMU (the Energy Method Upper-bound).

TENSION CRACKS
When the soil at the slope crest is cohesive it may be wise to include a tension crack in
the analysis. From earth pressure theory (see Topic 15), the maximum depth of crack is
given by zo= 2c/γ√KA where KA = (1-sinφ)/(1+sinφ) and the worst case occurs when the
crack is full of water after a rain storm, the water exerting a destabilising horizontal
force of 1/2 γw zo2 on the vertical side of the crack. This force gives rise to an additional
overturning moment in the analysis.
&
The relevant chapters on slope stability contained in any of the
following books :
Bowles, J.E., Foundation analysis and design. McGraw-Hill
SUGGESTED Das, B.M., Principles of geotechnical engineering. PWS-Kent
Tomlinson, M.J., Foundation design and construction. Pitman
REVIEW QUESTIONS
1. What factors affect the stability of soil slopes ? Which of these has the greatest
affect for a given soil slope ?
2. For the free body diagram shown in Figure 2, show that the factor of safety for a
single slice is given by
[c′b + (W − ub ) tan φ ′] 1
mα
F=
W sin α
3. What are the limitations of the simplified Bishop Method of vertical slices? What
simplifying assumptions does it make ?
4. In an undrained analysis, why is the solution for factor of safety independent of the
position of the piezometric surface ?
5. Determine the depth of tension crack and the extra disturbing force due to water in
the tension cracks for the following soils :
a) stiff clay : c′ = 10 kPa, φ′=27o, γ = 18 kN/m3, water table at the surface
b) stiff clay : cu = 35 kPa, φu=0o, γ = 18 kN/m3, water table at the surface
c) dense sand : c′ = 0 kPa, φ′=37o, γ = 20 kN/m3, water table at the surface
d) stiff clay : cu = 35 kPa, φu=0o, γ = 18 kN/m3, water table at 1m depth
e) stiff clay : c′ = 10 kPa, φ′=27o, γ = 18 kN/m3, water table at 1m depth
6. For the stiff clay in Question 5(a), investigate the influence of depth of water in the
tension crack on disturbing force.
7. What affect does partial submergence have on the safety factor of a slope?
8. If you observed water flowing out from a slope of marginal stability would you be
concerned ? Why ?
9. Why is failure more likely in slope inundated by flood water after the water has
receded ?

Topic 13 : Rock Slope Stability
TOPIC 13 – Rock Slope Stability
TABLE OF CONTENTS
PREVIEW............................................................................................................... 13.2
Introduction ......................................................................................................... 13.2
Objectives............................................................................................................ 13.2
PREFACE ............................................................................................................... 13.2
DISCONTINUITY ORIENTATION ....................................................................... 13.4
STEREOGRAPHIC PROJECTION......................................................................... 13.5
The hemispherical projection of a plane ............................................................... 13.5
BASIC CONSTRUCTIONS FOR HEMISPHERICAL PROJECTION.................... 13.7
Plotting a line....................................................................................................... 13.7
Plotting a plane, its pole and its dip vector ........................................................... 13.7
Defining the line of intersection of two planes ..................................................... 13.8
Determining the angle between two lines in a plane ............................................. 13.9
Plotting of discontinuity orientation data.............................................................13.10
KINEMATIC ANALYSIS OF ROCK SLOPES .....................................................13.11
Circular failure....................................................................................................13.11
Plane failure........................................................................................................13.11
Wedge failure .....................................................................................................13.13
Toppling failure ..................................................................................................13.14
ANALYSIS OF SLIDING BLOCKS......................................................................13.15
Without water .....................................................................................................13.15
With water ..........................................................................................................13.15
With reinforcement .............................................................................................13.16
LANDSLIDES AND SLOPE STABILISATION ...................................................13.16
REFERENCES AND FURTHER READING.........................................................13.16
REVIEW QUESTIONS..........................................................................................13.17

PREVIEW
Introduction
Topic 12 presented an introduction in slope instability and concentrated on soil slopes.
Such slopes can be reasonably modelled assuming failure occurs on a circular slip
surface. The failure of rock slopes on the other hand is controlled not by the strength of
the intact rock, but by the orientation, position strength etc of the many discontinuities
that are contained in the rock mass. For this reason, there are several forms of failure
that must be considered. For each of these, it is necessary to have a good knowledge of
the 3D geometry of the discontinuities and how they influence the stability of the slope.
This topic will briefly introduce the various mechanisms via which rock slopes can fail,
describe a simple method for describing the 3D geometry of discontinuities and the
simplistic rules used to determine if the discontinuities can form a kinematic mechanism
of failure.
Objectives
• To identify the various forms of rock slope failure mechanism and the part played
by discontinuities in forming these mechanisms
• To develop skills in using stereographic projection to analyse the discontinuities
within a rock mass; qnd
• To be able to use these skills to assess the kinematic stability of rock slopes.
PREFACE
Almost everyone is affected by the stability of rock slopes. They exist in road and rail
cuttings, dam abutments, quarries, open pit mines and tunnel portals, etc... Rock falls
and slides from natural and excavated slopes constitute a major source of costs, delays,
injuries and fatalities in mining and construction and in the normal environment of
many communities.
In conjunction with the safety, economic and environmental aspects of the excavation of
a rock slope an extensive list of geological parameters must be considered. The degree
of certainty required of the geological investigation for a rock slope varies widely; e.g. a
rock slope adjacent to a major dam abutment must be designed with a substantial
margin of safety, whereas an opencut mine would be uneconomic if its slopes were
designed by the same criteria. This is reflected by the large number of deep open pit
mines that have experienced major rock slides at some stage in their history.
Recognition that uncertainty must exist in all but the most trivial problems is the first
step in rock (and soil) slope engineering.
It is usually better in the design of rock (and soil) slopes to work from the general to the
particular. In this way, time is not wasted on detailed studies of small sites where
subsequent investigations have shown that an entire mountain side to be unstable; on the
other hand, the working practitioner is likely to deal with many small scale problems for
every major one encountered.

A review of small rock slides shows that one general concept of stability analysis cannot
satisfy all possible cases. Rock material can vary from a homogeneous unbroken mass
to a heterogeneous fractured one with endless combinations of joints, faults, block
patterns, orientations, zoning and fissuring. Depending on the nature of the rock mass
itself, the height and steepness of the
slope, and the ground water
conditions, a number of widely
differing potential modes of failure
may be identified that is plane
sliding, wedge sliding, circular
failure, toppling or any combination
of these (see Figure 1).
Hence each site must be treated
individually and specialised methods
of analysis adopted according to these
modes of failure. The behaviour of a
rock slope where normal stresses are
quite low is dominated by the
Figure 1 : Main failure modes of rock slopes
presence of discontinuities, such as
(after Hoek and Bray)
joints, faults, bedding, foliation etc.
Hence most practical rock slope
designs are based on the
discontinuum approach.
Elasticity approaches to slope

stability are at present severely
limited because our knowledge of
the mechanical properties of rock
masses is so inadequate that the
choice of material properties
becomes a matter of guess-work; i.e.
what is the meaning of E and ν in a
highly discontinuous medium.
However, with the further
development of numerical methods
such as the finite element method
incorporating joint elements and the
discrete element methods, an
improvement in analysis may be
possible.
The influence of discontinuities on

the stability of steep slopes is shown
in Figure 2. If one initially ignores
the unstable slopes it can be seen
from this figure that if joints are
Figure 2 : Discontinuities and slope stability favourable to the slope face, a fairly
(after Hoek and Bray) clear line can be drawn for the

maximum slope height versus slope angle of successfully excavated slopes. Based on
this “experienced” curve, if one decided to excavate a 300 m high slope at an angle of
65°, a very comprehensive investigation would be necessary to show that there would be
no risk of inducing a massive slope failure.
However, while slopes may be stable at steep angles, and heights of several hundred
metres, many flatter slopes fail with only heights of tens of metres as evidenced by the
solid points in the figure above. The
reason is attributed to unfavourable
orientations of controlling
discontinuities in the slope, and the
material properties existing on those
discontinuities. For example, the
variation in the critical height of a
drained vertical slope containing a
planar discontinuity with the
inclination of the discontinuity is
illustrated below. The discontinuity
has the following properties -
cohesion = 96 kPa, friction angle =
20°, bulk density= 2.56 t/m3. Figure 3
shows that under these circumstances,
the rock slope can be theoretically of
infinite height for dips of less than
about 28° and more than 83° but
reduces to a maximum height of
Figure 3 : Slope height versus discontinuity approx. 30 m for dip angles of 55°.
(after Hoek and Bray, 1981)
The following sections describe some of the more common methods for estimating the
stability of rock slopes. The different types of failure (plane sliding, wedge sliding,
circular and toppling) require different methods of analysis.
DISCONTINUITY ORIENTATION
The orientation of a discontinuity is

α
simply the attitude of the
N
discontinuity in space. It has
Dip components of
Dip direction
dip direction (or azimuth) measured
clockwise from true north,
and
strike = α dip the angle between the
dip direction = α + 90
horizontal plane and the line
of the steepest declination of
Figure 4 : Orientation of a discontinuity the plane of weakness.

Orientation is usually expressed as a three digit number followed by a two digit number
in the following format - dip direction/dip; e.g. 035°/27° implies a dip direction of 35°
clockwise from north and a dip of 27° from the horizontal. Other terms which are often
used to define the orientation of discontinuities are :
strike the trace of the intersection of the plane of weakness with a horizontal
reference plane.
plunge is the dip of the line of intersection of two planes of weakness.
trend is the direction of the horizontal projection of a line, measured clockwise from
true north.
Although, the definitions above have been used in the context of planes of weakness,
they apply to any plane.
STEREOGRAPHIC PROJECTION
The orientation of discontinuities can have a large influence on the stability of

engineering and mining works. As engineers, we have to find some way of quantifying
this influence. Unfortunately, since discontinuities are 3 dimensional, visualising the
intersection of discontinuities with each other and with rock slopes or excavations can
be very difficult. It follows that any analysis attempted in three dimensions will be even
more difficult.
Stereographic projection is a graphical method of representing and analysing three-

dimensional features such as planes and lines in two dimensions. It is used widely in
assessing the stability of rock slopes and underground openings. There are several very
good references on stereographic projection including Goodman (1980), Hoek and Bray
(1977) and Priest(1985).
The hemispherical projection of a plane
Consider a sphere (called the reference

sphere) which is free to move anywhere in
space. This sphere can be centred on any
inclined plane (such as a discontinuity) as
illustrated in Fig. 5. The line formed by the
intersection of the inclined plane and the
surface of the sphere will form a circle
(called a great circle) as indicated in Fig. 5.
A line drawn through the centre of the
sphere that is perpendicular to the inclined
plane will intersect the reference sphere at
two diametrically opposing points which
are called poles (of the plane).
We can split the reference sphere into two
hemispheres (one upper and one lower) by
passing a horizontal reference plane Figure 5 : The reference sphere

through the centre of the reference sphere. The pole and the great circle in the upper
hemisphere are repeated in the lower hemisphere. This implies that we only have to
consider one of the hemispheres. In rock mechanics, the lower hemisphere is preferred
and hence this form of projection is called the lower hemispherical projection.
The great circle and the pole can now

be projected back onto the horizontal
reference plane. This is achieved by
connecting all points on the great circle
and the pole with the zenith of the
sphere as shown in Fig. 6. The
projection of the great circle and the
pole are given by the intersection of
these connecting lines with the
horizontal plane. This type of projection
is commonly known as the
stereographic or equal angle
projection. Another type of projection
Figure 6 : Stereoprojection of a great circle which is commonly in use is called the
equal area projection. However, we will
not be using the equal area projection in this course. The plot obtained from a
stereographic projection is called a stereoplot.
To facilitate the plotting of planes and their

poles we use a stereonet (see Fig. 7). The
great circles on the stereonet (the one running
North to South) represent planes of constant
dip. The stereonet also contains a number of
small circles which are the circles centred
around the North and South points. The angle
between any two points on a great circle can
be determined by counting the small circle
graduations along the great circle between the
two points.
Some of the basic constructions which are

needed to use stereographic projection are Figure 7 : Equal angle stereonet
described below.
@
Activity 13.1
Make up your own stereonet by gluing the supplied net onto a
piece of cardboard and pushing a drawing pin through the centre
of the net. Locate the pin by pushing through from the front side
of the net and then reverse the pin (so that the pointy end is on the
same site as the net) and hold in place using sticky tape.

BASIC CONSTRUCTIONS FOR HEMISPHERICAL PROJECTION
Plotting a line
This construction is needed to represent the orientations of lines in space such as the
intersection of two planes, the normal to a plane (or pole) and force vectors.
Recall that a line is usually defined by its plunge (to the horizontal) and its trend (to
North). A line with a plunge of 55° and a trend of 27° is usually represented by 027/55.
On a stereoplot, a line is represented by a single point. The process via which the
location of this point is obtained is as follows. This process is also illustrated by way of
an example; plot the line 027/55.
1. Place a drawing pin at the centre of your stereonet. Then place a piece of tracing
paper over your stereonet such that the tracing paper covers the entire stereonet.
The drawing pins acts as a centre of rotation such that you can rotate your tracing
paper relative to the stereonet. Mark the North point on the tracing paper.
2. Using the graduations around the edge of the stereonet, count of the trend of the
line (i.e. 27° clockwise from North for this example - see Fig. 8a) and mark a
point at this location.
3. Rotate the tracing paper about the drawing pin until this mark lies on the East-
West diameter of the stereonet (see Fig. 8b).
4. Count from the point on the perimeter of the stereonet, along the E-W diameter
the required plunge angle (55° for this example). Mark the point with some
convenient notation (Fig. 8c).
5. Rotate the tracing paper such that the North points are re-aligned.
Fig. 8 : Plotting the line 027/55
Plotting a plane, its pole and its dip vector
This construction is needed to plot discontinuities such as faults, joints, bedding planes,
etc. Recall that a plane is located by its dip direction and dip. It is generally represented

by two numbers separated ba a slash - viz dip direction/dip. A dip vector is a line in the
dip direction (or at 90° to the strike) and plunging at the dip angle.
On a stereoplot, a plane is represented by a great circle and its pole by a point. To

construct these, carry out the following instructions. Again the process is also illustrated
by an example (Fig. 9) - plot the pole, dip vector and great circle for the plane 130/50.
1. Place a drawing pin at the centre of your stereonet. Then place a piece of tracing
paper over your stereonet such that the tracing paper covers the entire stereonet.
Mark the North pint on the tracing paper.
2. Using the graduations around the edge of the stereonet, count of the dip direction
of the plane clockwise from North (130° in this case - Fig. 9a) and mark a point at
this location.
3. Rotate the tracing paper about the drawing pin until this mark lies on the East-
West diameter of the stereonet.
4. Count from the point on the perimeter of the stereonet, along the E-W diameter
the required dip angle (50° in this example - Fig. 9b). Mark this point as the dip
vector. Trace in the great circle which passes through this point.
5. Plot the pole of the plane by counting a further 90° along the E-W diameter. Mark
this point with some appropriate notation (Fig. 9b).
6. Rotate the tracing paper such that the North points are aligned (Fig. 9c).
Figure 9 : Plotting the plane 130/50

Defining the line of intersection of two planes
Two planes intersect in a line, which is represented by a point in a stereoplot. This

procedure is required to determine the lines of intersection of two or more sets of
discontinuities. To determine the trend and plunge of the line of intersection of two
planes carry out the following steps. As an example find the trend and plunge of the line
of intersection of two planes 130/50 and 250/30.
1. Plot the great circle and pole of each plane by the method described above
(Fig. 10a). The line of intersection of the two planes is represented by the point of
intersection of the two great circles.
2. Rotate the tracing paper until the point of intersection of the two planes lies on the
E-W diameter of the stereonet (Fig. 10b). The plunge is obtained by counting the
number of degrees along the E-W axis from the perimeter (either the 90° or 270°
point) - in this example 21°. With the tracing in this position, the poles of the two
planes lie on the same great circle (Fig. 10b). This provides an alternative way of
locating the line of intersection.
3. Rotate the tracing so that the North points are re-aligned.
4. Draw a straight line through the centre of the net and the point of intersection of
the two great circles to the perimeter of the net (Fig.10c). This line is the trend of
the line of intersection - measured at 201° clockwise from North.
Figure 10 : Plotting the line of intersection of two planes 130/50 and 250/30
Determining the angle between two lines in a plane
This can also be used to determine the angle between two planes if the planes have been
defined by their poles. Find the angle between lines with orientations 240/54 and
140/40.
1. Plot the projection of the two lines as described above (Fig. 11a).
2. Rotate the tracing until these two points lie on the same great circle of the
stereonet. The dip direction and dip of the plane containing these two lines can be
ascertained by carrying out the steps outlined in 6.3.2. above in reverse - in this
case 200° and 60° respectively.
3. The angle between the two lines is found to be 64° and is obtained by counting the
small circle divisions between the two points along the great circle (Fig. 11b).
Figure 11 : Determining the angle between the two co-planar lines 240/54 and 140/40.

@
Activity 13.2
Using your own stereonet, work through the
constructions above.
Plotting of discontinuity orientation data
The stereoplot is extremely

useful for presenting
orientation data and
determining stability of rock
slopes and excavations on a
kinematic basis (see later).
However, a stereoplot would
become very crowded if for
each location every
discontinuity that was mapped
had its pole, dip vector and
great circle plotted onto the
stereoplot. As a result, the
poles of the discontinuity are
the only points plotted. Such a
plot is illustrated in Fig. 12.
The discontinuity data is
Figure 12 : Pole stereoplot of discontinuity data plotted as three distinct sets of
points representing joints,
bedding planes and a fault.
To aid interpretation, a contour plot of pole concentrations for bedding planes and joints
is usually drawn up. Faults are usually treated independently. The contour plot for this
data is included in Fig. 13. It is
fairly obvious now that there are
two major joint sets and one
preferred orientation of the
bedding planes. The central
orientations of the two major joint
sets are 347/22 and 352/83, and
that of the bedding planes is
231/81.
In most cases, due to the methods

of mapping, the data obtained from
a mapping exercise is biased.
Corrections must be carried out
before analysing the data to
eliminate this bias. Appropriate Figure 13 : Contour plot of discontinuity data
techniques will be described later.

KINEMATIC ANALYSIS OF ROCK SLOPES
A kinematic analysis uses stereographic projection techniques to determine whether

blocks of rock are free to move; i.e. many steep rock slopes are stable even though they
contain steeply dipping
discontinuities of weak strength.
They are stable because the
potentially unstable rock blocks are
unable to move along a discontinuity
as other rock blocks are in their way.
If these rock blocks were removed,
the slope would fail. The kinematic
analysis is so called because it only
accounts for the possible motion of
the rock blocks and ignores all forces
that are involved. As such it is a very
quick and useful method for
identifying potentially unstable rock
slopes. A more sophisticated analysis
can then be used to analyse the
potentially unstable slopes.
A summary of the types of slope

failure and the associated stereoplots
representing the structural conditions
likely to give rise to these failures is
illustrated in Figure 14. Note that it
is important to include the cut face of
the rock slope in the stereoplot as
failure can only occur as a result of Figure 14 : Failure modes and stereoplots
movement towards the free face
created by the cut. Each type of failure is considered separately below.
Circular failure
This type of failure can arise in overburden soil, waste rock dumps, and highly
weathered or highly fractured rocks where failure is not dominated by geological
features. As such the stereoplot shows a random scatter of poles with no identifiable
structural pattern (see Fig. 14). In such cases a kinematic analysis is not very useful.
Plane failure
Plane failure is a fairly rare occurrence in rock slopes as the geometric configuration (of
discontinuities and excavations) applicable for this type of failure only occasionally
occurs in rock slopes. The geometric considerations for sliding on a single plane are:
• the plane on which sliding occurs must strike approximately parallel (within +/-20°)
to the slope face,

• the failure plane must exit in the slope face; i.e. the dip of the discontinuity must be
less than the dip of the slope face,
• as will be demonstrated in the next section, the dip of the failure plane must be
greater than the angle of friction of the discontinuity,
• the slope must be long enough such that end conditions are negligible or
alternatively, “release” surfaces which provide negligible resistance to sliding must
be present at some point within the rock mass.
Recall that a plane is plotted as a great circle on a stereoplot and can be represented by
its pole N and dip vector D (see Fig 15a). Any block that is able to slide on a single
plane surface, will move down the slope parallel to the dip of the weakest plane; i.e.
parallel to the dip vector D. If the rock slope has a dip of angle, α then a rock block will
slide if the dip vector D points into the free space of the excavation and the dip of the
discontinuity on which sliding is to occur is less than a (Fig. 15b). Both of these
conditions are satisfied on a stereoplot (Fig. 15c) if the dip vector of the discontinuity
falls within the region above the rock slope great circle; i.e. the shaded region in Fig.
15c. For the dip vectors plotted in Fig. 15c, D1will allow sliding and D2 will not. These
rules are also applicable for wedge failure.
Figure 15 : Kinematic analysis of plane failure
Another condition can also be invoked for plane sliding and that is that the discontinuity
must strike within approximately +/-20° of the slope face. This further restricts the
possibilities of plane sliding to the shaded area shown in Fig. 15d.
These rules can also be used to determine the steepest angle that a rock slope can be cut
into a rock mass that contains a particular discontinuity set. This process is illustrated in
Fig. 16. If the discontinuity set is represented by the dip vector D1, then the steepest safe
slope with a specified dip direction (on a kinematic basis only) that can be excavated, is
given by the dip of the great circle passing through D1 and the point on the

circumference of the stereoplot representing the dip direction of the cut slope (of strike
1, 2 3 etc).
The analysis described thus far has only accounted for the possible motion of the rock
slope and has not accounted for the strength of the discontinuities, block size, forces
such as gravity and pore pressure etc..
There are constructions which can be
made on the stereoplot which can
account for some of these influences.
However, we will only look at how
we can include the frictional
resistance of the discontinuity into
this kinematic analysis.
Sliding (due to self weight only) can

only occur if the surface of sliding
dips at a steeper angle than the joint
friction angle φj, (assuming no joint
cohesion). Hence if we draw a circle
of radius 90-φj at the centre of the
Figure 16 : Steepest slope angle for sliding stereonet (called the friction circle) as
shown in Fig. 17, the shaded area
outside this circle contains all lines plunging at angles less than φj. All dip vectors, D,
that fall within this shaded area will not fail by sliding unless other forces, e.g. water
pressure are present. A similar argument and result can be applied to toppling.
Figure 17 : Friction circles for sliding (left) & toppling (right)
Wedge failure
The most common form of failure in rock slopes is wedge failure. This occurs when the
discontinuities strike across the slope and sliding takes place along the line of
intersection of discontinuities (see Fig. 3). Due to the three dimensional aspects of these
types of failures, analysis can be extremely complicated. However, a simple kinematic
analysis can reduce the number of slopes that will need to be analysed by more
sophisticated methods.

The kinematic analysis is essentially the same as for plane failure, except in this case,
the slope will not fail if the line of intersection of the two discontinuities forming the
wedge at a lower angle than the friction angle of the discontinuity surface, i.e. if the
points of intersection I on a stereoplot lie within the shaded area outside the friction
circle as shown in Fig. 8, the slope will be stable. Note however, that if I plots outside
the shaded region it does not necessarily mean that the slope will fail, only that it is able
to fail. In these cases a more sophisticated analysis may be required.
Toppling failure
Unlike the previous mechanisms discussed which describe sliding failures, toppling
failure involves the rotation of columns or blocks of rock about some fixed base.
Goodman and Bray have described three different toppling modes, flexural, block
block-flexural toppling - each of
these are illustrated in Fig. 18. In
general, toppling failure occurs in
rock masses which have well
developed, steeply dipping
discontinuities. The separate rock
blocks break in flexure as they
bend forward (Fig. 18). Sliding or
undermining of the toe of the slope
by erosion initiates the toppling
process and it gradually progresses
back into the rock mass, forming
deep wide tension cracks in the
process. It can be difficult to
recognise a toppling failure from
the toe of the slope.
As indicated above, for toppling to

occur there must be sliding along
discontinuities. By a simple
analysis, it can be shown that if the
discontinuities have an angle of
friction of φj, slip will only occur if
the normals, N, to the
discontinuities are inclined at a less
steep angle than φj. That is, for a
slope of dip α, containing
discontinuities of dip, δ, toppling
failure will occur if (90 - δ) + φj <
α. On a stereographic projection,
Figure 18 : Types of toppling failure. this means that toppling can occur
only if pole, N, lies more than φj
degrees below the cut slope. Also, since the discontinuities must strike approximately
parallel to the cut slope, say within +/- 30°, toppling can only occur if the pole of the
discontinuity falls within the shaded area shown in Fig. 19. This area is bounded by a
great circle φj degrees below the cut slope and striking parallel to it, the horizontal great
circle (the outer edge of the stereoplot) and two small circles perpendicular to the strike
of the cut and 30° from the centre of the net.
Figure 19 : Kinematic analysis of toppling
ANALYSIS OF SLIDING BLOCKS
Without water
Consider the problem of a block sitting on an inclined surface (Fig. 20). The block can
move either by sliding or toppling or a combination of sliding and toppling. Only
sliding will be considered here.
For the case of sliding only, and for a
factor of safety of F = 1, consideration of
force equilibrium gives
R
W sin α = cA + W cos α ⋅ tan φ
W sinα
where α is the slope angle, φ is the angle
W cosα of friction between the block and the
α
W
slope, c is the cohesion between the block
and the slope, A is the base area of the
Figure 20 : Sliding rock block
block and W is the weight of the block.
If c = 0, then α = φ. Note that the values of c and φ depend on the magnitude of normal
force. This leads to non-linear behaviour and more complications. However, for the
time being we will assume that c and φ are constant.
With water
The prediction of water pressure is a rock mass is even more difficult than it is for soils,
and considerable judgement must be used. Consider a similar configuration as that
above, but this time include a water pressure distribution as shown in Fig. 21. Again for
F=1

W sin α +V = cA + (W cosα − U ) tan φ
V where V and U are the total forces on the

V
U block due to water pressure and may be
R
estimated from the following equations.
W sinα
1
α
W cosα U= bhγ ω cosα
2
W
Figure 21 : Sliding rock block 1 2
with water V= h γ ω cosα
2
With reinforcement
Again, consider a similar configuration, except this time introduce a rock anchor (Fig.
22). Assume that a tension force T is imposed into the rock anchor. As in the previous
two cases, for F = 1
W sin α + V − T cos φ = cA + (W cosα − U + T sin β ) tan φ
For minimum T, calculate dT/dβ, which

leads to β = φ.
Alternatively,
V V
U
R β cA + (W cosα − U + T sin β ) tan φ
W sinα T F=
W sin α + V − T cos β
W cosα
α
W Note: F can be increased by increasing T
Figure 21 : Sliding rock block and/or reducing U and V by dewatering.
with water and rock anchor
LANDSLIDES AND SLOPE STABILISATION
&
REQUIRED
Waltham
Chapters 35 to 36 : pp. 70 – 73
Goodman, R.E. 1980. Introduction to Rock Mechanics. John Wiley & Sons, New York.
Hoek, E. and Bray, J.W. 1977. Rock Slope Engineering, Revised Second Edition,
Institution of Mining and Metallurgy.
Priest, S.D. 1985. Hemispherical Projection Methods in Rock Mechanics. George Allen
and Unwen, London.

REVIEW QUESTIONS
1. Determine the trend and plunge of the lines of intersection of two rock joint sets
with dip direction/dip of 146/59 and 266/36. What is the pitch of this line in each of
the planes. (Ans. 219/26, 31o from SW end of plane 1, 49o from southern end Plane
2)
2. Two lines of trend/plunge 124/68 and 227/32 are known to be coplanar. Determine
the obtuse angle between the lines. What is the trend and plunge of the line that
bisects the obtuse angle between the two lines ? What is the orientation of the plane
containing the two lines. What is the apparent dip of this plane in the direction
197o? (Ans. 115o, 068/21, 150/70, 62o)
3. A length of core, from a borehole with an axis of trend/plunge 143/68 contains a
discontinuity plane of dip direction/dip 204/47. It is known that the core has rotated
through a clockwise angle (looking down the axis) of 140o during retrieval from the
hole. What will be the apparent dip direction/dip of the discontinuity plane as the
core emerges from the borehole ? (Ans. 330/82)
4. A rock mass contains the following recurrent discontinuities : bedding strikes
N32oE, dips 75oN58oW, φ = 25o; joint set 1 dip direction/dip 090/65, φ = 28o; joint
set 2 horizontal, , φ = 20o. As part of a feasibility study you are asked to determine
the maximum safe slopes for a circular quarry which is to be formed in this rock
mass. Carry out your analysis at 15o intervals around the quarry.
5. For the rock mass described in the previous question, determine the best orientation
for a highway cut through a ridge in this rock.
6. The block shown is required to have
a safety factor of 1.2 against sliding.
Water filled
If the anchor is inclined at β = φ, crack
what prestress, T, should be put into
the anchor cable ? Investigate the 4m
influence of angle β on the required V

tension in the cable. β
3m T
35ο Rock
γ = 20 kN/m3
φ = 40o , c = 0
7. Calculate the factor of safety 9m

for the slope shown if the
tension crack is half full of
14.8m
water. Investigate the change
in factor of safety as the depth γ = 25 kN/m3
30m
of water in the tension crack
varies. 30o weak bedding plane
30o c′=50 kPa
φ′ = 30o

Topic 14 : Earth Pressures in Soil and Rock
TOPIC 14 – Earth Pressures in Soil and Rock
TABLE OF CONTENTS
PREVIEW............................................................................................................... 14.2
Introduction ......................................................................................................... 14.2
Objectives............................................................................................................ 14.2
PREFACE ............................................................................................................... 14.2
PLASTIC EQUILIBRIUM STATES....................................................................... 14.2
EFFECTS OF DISPLACEMENT............................................................................ 14.4
SLOPING SOIL ...................................................................................................... 14.5
c - φ MATERIALS .................................................................................................. 14.5
FINITE SIZE OF PLASTIC ZONE ......................................................................... 14.5
INFLUENCE OF WATER ...................................................................................... 14.6
WALL ROUGHNESS............................................................................................. 14.6
COULOMB’S WEDGE SOLUTION ...................................................................... 14.6
GENERAL WEDGE METHOD.............................................................................. 14.7
TABULATED SOLUTIONS................................................................................... 14.7
INSITU STRESSESS IN ROCK ............................................................................. 14.7

PREVIEW
Introduction
The stresses within the ground and those imposed by the ground can have a significant
influence on the performance of structures supporting the ground, e.g. tunnels and
underground openings, retaining walls etc. It is usual to assume that the principal insitu
stresses are vertical and horizontal (although this is not always the case as changes to
insitu stresses occur as a result of tectonic movements etc.). While the vertical stress
can usually be estimated reasonably easily and accurately, the estimation of horizontal
stress is much more problematic. The relative magnitudes of vertical and horizontal
stresses also influence design and often govern the mode of failure. This topic
introduces fundamental earth pressure theory. The topic will focus mainly on earth
pressure theory applied to soil, but will also make some comments on earth pressures in
rock.
Objectives
• To gain knowledge on fundamental earth pressure theory
• To understand the concepts of active and passive earth pressure and earth pressure at
rest and to be able to calculate their values.
• To understand the limitations of classical earth pressure theory and be aware of the
range of solutions that are available.
PREFACE
Earth pressures exerted by soils on structures cannot be calculated without an

understanding of plastic equilibrium states in soils, i.e. what are the stresses in a soil
mass on the point of shear failure. These stresses may then be used to calculate forces
on structures such as retaining walls, but there is a major difference in comparison to
above-ground structures where the applied loads are estimates of what are actually
expected to be applied. With sub-surface structures the actual earth loads depend
greatly on the deformations which are allowed to occur and in some cases the design
loads may be significantly less than the loads the structure is carrying. Hopefully what
follows will throw some light on this paradox!
PLASTIC EQUILIBRIUM STATES
For a semi-infinite body of soil with a horizontal ground surface the vertical stress at
any depth, z, is simply the overburden pressure σv=γz (using γ or γ′ as appropriate). The
lateral stress is then σh = Kγz = Kσv . K is a lateral earth pressure coefficient with a
reasonably large range of values from about +0.2 to about +3.0 and in this range of
values three special cases emerge, viz:

(1) Ko - the coefficient of earth pressure at rest

If the soil remains undisturbed the condition is described as at rest or zero
lateral yield. For an ideally elastic soil Ko = ν/(1-ν) so that a Poisson’s Ratio of
0.3 would imply Ko = 0.43. Actual soils have typical values of :
Normally consolidated clay 0.45 ≤ Ko ≤ 0.7
Over consolidated clay 0.6 ≤ Ko ≤ 3.0
Sands and gravels 0.35 ≤ Ko ≤ 0.5
Rocks can have significantly higher and lower values of Ko due to tectonic
movements, stress relief and erosion. There are some cases where Ko has been
measured close to zero.
&
REQUIRED
Holtz and Kovacs
Chapter 7 : pp. 225 - 226
@
Activity 14.1
Work through example problem 7.9 (pp. 226) in
Holtz and Kovacs
(2) KA - the coefficient of ACTIVE earth pressure
This coefficient defines the lowest possible lateral pressure in the mass, with the
whole soil body on the point of shear failure. If, as a thought experiment, a
lateral stress release is allowed to occur throughout the depth of the soil mass the
lateral stress at any point will decrease from Koγz to KAγz, at which point shear
failure occurs and any further lateral expansion takes place at constant stress
KAγz.
τ
FAILURE
From simple geometry
Ξ
KA = (1-sinφ)/(1+sinφ).
Active pressures in rock φ′ (45+φ/2)

are a function of • •σ ′ = Κ σ ′ • σ′
σ3f′ H 0 1 σ1′
discontinuity strength
and orientation. Ka
corresponds to
conditions of normal FAILURE Ξ
faulting where the σ3f′= KAσ1′
major principal stress is
the vertical stress and
failure occurs by Figure 1 : Active limit equilibrium state
horizontal extension.

(3) KP - the coefficient of PASSIVE earth pressure
This coefficient defines the maximum possible lateral pressure in the soil mass.
In this case the lateral pressure is caused to increase steadily so that the original
lateral stress σ3′ = Koσ1′ increases, passing through σ1′ to become the new major
principal stress at KPγz, when shear planes form at (45 - φ/2) to the horizontal. It
may be shown that KP
= (1+sinφ)/(1-sinφ), τ
i.e. KP = 1/KA.
Attempts to continue FAILURE
to compress the soil Ξ
laterally take place at
constant stress KPγz.
φ′
• σv′ = σ3f′
Passive pressures in (45-φ/2)
σ
•
′ •σ ′ σ′
rock are a function of Η 1f
discontinuity strength
σ3′
and orientation. Kp
corresponds to
FAILURE Ξ
conditions for reverse σHf′= KPσv′ = σ1f′
faulting, with the
vertical stress being the
minor principal stress Figure 2 : Passive limit equilibrium state
and failure occurs via
horizontal compression
Note that in the ACTIVE case the soil movement is assisted by gravity, but in the
PASSIVE case the soil movement is against gravity, hence the large difference in the
two limiting pressures. KA and KP as defined above are known as the RANKINE
(1857) earth pressure coefficients.
EFFECTS OF DISPLACEMENT
Very small lateral Pressure on wall

movements are ∆x C
sufficient to mobilise
the fully active state,
while large movements
H
are required to mobilise
the fully passive state. p
P
This has practical A
significance in that B
p o
frequently an additional
safety factor is applied 1 p 0 10
A
to passive resistance to
W all movement ∆x/H %
limit deformations. Away from backfill Towards backfill
Figure 3 : Effect of lateral displacement on earth pressure

SLOPING SOIL
Rankine also produced a closed form solution for the case of a semi-infinite
cohesionless soil mass with ground surface sloping at angle β to the horizontal.
cos β − (sin 2 φ − sin 2 β )

p A = K Aγz = γz cos β
cos β + (sin 2 φ − sin 2 β )
For β=0 (horizontal ground) the Rankine solution implies that there are no shear stresses
on any vertical plane, while for sloping ground the resultant stress on vertical planes is
parallel to the surface, i.e. inclined at angle β above the horizontal. These are matters of
some significance.
c - φ MATERIALS
Bell (1915) extended the Rankine solution for horizontal soil surface to the case of a c -
φ soil, leading to :
(1 − sin φ ) (1 − sin φ )
p A = γz − 2c i.e. pA = KA γz - 2c√KA
(1 + sin φ ) (1 + sin φ )
(This equation had actually been derived by Coulomb in 1776! but is now frequently
referred to as the Rankine-Bell solution.) This equation implies that at the ground
surface the lateral stress is -2c√KA, but as soil has very low tensile strength a tension
crack is assumed to open to the depth at which the theoretical pressure becomes
2c
positive, i.e. to depth zo where z o = .
γ KA
FINITE SIZE OF PLASTIC ZONE
The solutions given above were all for a semi-infinite mass of soil. To be of use in
retaining wall design they must also be
applicable to finite shear zones, as plastic
illustrated in the Figure 4. zone
wall
If we imagine part of the soil, to depth movement
H, to the left of a vertical plane to be
removed and replaced by a wall elastic
structure, if the wall is allowed to zone
displace to the left under the action of
the lateral earth pressures a Rankine
active shear zone will develop behind Figure 4 : Limited zone of plastic equilibrium
the wall and the stresses within this
zone will be exactly the same as for the semi-infinite mass. This principle provides the
basis for retaining wall design. If the wall is pushed into the soil (e.g. bulldozer blade)
then a passive shear zone will form.
INFLUENCE OF WATER
If a water table is present in the soil behind a wall effective soil stresses must be used
for calculating earth pressures. The effective weight is reduced by buoyancy to γ ′,
leading to low values of KAγ′z, but the water exerts a full hydrostatic pressure of 9.81z
at any depth, unmodified by the KA factor, causing large destabilising horizontal forces
on the wall. Therefore it is always good practice to provide adequate wall drainage.
WALL ROUGHNESS
Application of Rankine solutions to retaining walls implies that the wall back is
‘perfectly smooth’, as there must be no shear stresses on vertical planes. In practice
most walls are to some extent ‘rough’ and shear stresses must be mobilised as the soil
slips with a downwards component relative to the wall. For a c-φ soil the soil/wall
interface is characterised by two similar parameters cw (≤ c) and δ(≤ φ), the ‘wall
adhesion’ and ‘angle of wall friction’ respectively. For soil on concrete δ is frequently
taken as 2/3 φ, while cw is either ignored or taken as cw = c up to a cut-off limit of 50
kPa. For a normal stress of σn at a point on a wall back the maximum shear stress
which may be mobilised is given by τmax = cw + σn tanδ. For a slip plane passing
through soil only the equation becomes τmax = c + σn tanφ.
COULOMB’S WEDGE SOLUTION
• • • Coulomb, in his masterly 1776 paper,

PA
max introduced wedge solutions to allow for
rough wall effects, opening the way to
W PA realistic retaining wall design. In a trial
wedge analysis a potential failure plane is
assumed and a force triangle drawn, as
φ W shown in the figure below. Once PA has
δ R been determined from the force triangle
PA θ R various other slopes of failure surface, θ,
are analysed until the one giving the
maximum value of PA is found. For
Figure 5 : Coulomb wedge analysis
purely frictional backfill Müller-Breslau β

(1906) derived an analytical solution for
the geometry as shown in Figure 6, W Soil
eliminating the need for trial graphical H φ, γ
solutions.
δ
Note that in all wedge solutions it is not
PA α θ
necessary for the soil inside the sliding
wedge to be in a state of plastic
equilibrium. The wedge slides as an intact Figure 6 : Coulomb analytical solution
body and only the single slip surface need
(Müller-Breslau)
be on the point of shear failure.

When retaining walls are used to support rock masses, it is important that the orientation
and strength of the discontinuities are considered in the analysis. For example, if a
vertical cut is to be made into a very strong rock mass, then the rock mass will not need
to be supported if there are no joints dipping into the excavation and if toppling is not an
issue. However, if for example, continuous discontinuities exist with a strength of φ =
30o at a dip of 60o (= 45 + φ/2) into the excavation, then the full active earth pressure for
φ = 30o will need to be supported; i.e. the rock mass is no stronger in this regard to a
sand with a friction angle of φ = 30o. For shallower and steeper discontinuity
inclinations, lower values of earth pressure need to be supported. The calculation of
these pressures is based on a wedge analysis similar to that described by Coulomb.
GENERAL WEDGE METHOD
The Coulomb wedge method is readily extendable to more complex, general problems
involving seeping water, layered backfills, surcharge loadings, cw and δ, and tension
cracks. A more complex vector polygon must be drawn, but otherwise the principles
remain the same.
TABULATED SOLUTIONS
The previous U.K. Code for Earth Retaining Structures (CECP2-1951) contained useful
tables of earth pressure coefficients for use in the formula:
pAN = KA ∑ γeff z - KAC.c
where pAN is the normal earth pressure on the back of a vertical wall, with horizontal
ground surface, and the KA and KAC coefficients include the effects of wall roughness.
Graphed solutions for a number of realistic cases are also available in the current U.K.
Code BS8002:1994 or in greater detail in books by Caquot and Kerisel (1948) and
Kerisel and Absi (1990). The graphs and tables also include passive pressures.
&
REQUIRED
Chapter on earth pressure theory in any book
dealing with foundation engineering (e.g. Das).
INSITU STRESSESS IN ROCK

Insitu stresses in rock masses not only result from the weight of over-lying materials,
but are also significantly influenced by tectonic actions, confinement and loading
history (or as more commonly referred to as stress history). In situ stresses may vary
from almost zero to values which approach the uniaxial strength of the rock. The in situ
stress can have a large influence on the behaviour of rock masses and hence is an
important parameter to be estimated in design. For example, in regions of low in situ

stress, rock blocks may fall from the surface of excavations as the low stresses allow
joints to open. On the other land, in regions of high in situ stresses, floor heave in
excavations is likely and there may even be catastrophic results from a sudden and
violent release of stored energy. In situ stresses are compressive. Although some
situations may theoretically arise where stresses should be tensile, these have never
been measured.
In rock mechanics, much more emphasis is placed on the measurement of in situ stress
than in soil mechanics. This is mainly due to the fact that the in situ stress in rock is
comparatively much greater than it is in soil and as a result has a much greater influence
on the design process. This is particularly true for horizontal in situ stresses. In soil (and
rock) the horizontal in situ stress varies between Ka and Kp (active and passive values of
K respectively - see Section 10.3) times the vertical stress, and in general is limited to a
value of approximately 3 times larger than the vertical stress. However, in rock the
horizontal in situ stress can be many times greater than the vertical in situ stress (which
arises due to much greater values of Kp). This becomes very important when designing
and constructing structures in or on rock. For example, when dealing with underground
excavations the following comments are applicable:
• the excavation has its longest dimension aligned with the highest principal stress
• if the in situ stress is very high there may be a need to change the shape of the
excavation to minimise stress concentrations
• cracks propagate in a direction approximately perpendicular to the minor (most
tensile) principal stress and hence there may be a need to design the excavations so
that cracks don’t run into one another
• pressure tunnels can be constructed and operated in rock without lining if the in situ
stress is greater than internal fluid pressure (there may be a need however to line the
tunnel for other reasons such as pollution from seepage etc.).
• be wary of in situ stresses once they reach about 25% of the unconfined compressive
strength as
- minimum stress concentration around a tunnel is approximately 2
- cracking begins in UCS tests at approximately qu/2.0
Other examples include:

• when excavating with explosives on the surface, more efficient yields can be
obtained if the excavation is aligned with the minor principal stress direction.
• measurement of in situ stress can be used as an early warning device of earthquakes
e.g. Newcastle earthquake
• rock properties depend on stress level ⇒ accurate measurement of properties
depends on a knowledge of the in situ stress.

1. BS8002 : 1994 British Standard : Code of practice for Earth retaining structures
2. Das, B.M. 1999. Principles of Foundation Engineering, Fourth Edition, ITP
3. Clayton, C.R.I and Milititsky, J. 1986. Earth pressure and earth-retaining structures,
Surrey University Press.
4. Most other books on foundation engineering.

REVIEW QUESTIONS
1. The stability of swimming pool walls in areas where the water table is high can be
of concern on emptying the pool. Why ?
2. A 5m high retaining wall is supporting medium dense sand with properties of c′ = 0,
φ′ = 30o, γbulk = 16.5 kN/m3 above the water table and γsat = 19.3 kN/m3 below the
water table. The water table behind the retaining wall is at 2.5m depth. Determine
the at rest, active and passive pressure distributions on the wall and the resultant
forces for each case. Briefly explain the situations (e.g. types of wall) in which you
would use the at rest, active and passive distributions that you have derived.
3. A 6m high retaining wall is to support a soil with unit weight γ = 17.4 kN/m3, soil
strength parameters of c′ = 15 kPa, φ′ = 26o. Determine the Rankine active force per
unit length of the wall both before and after the tensile crack occurs, and determine
the line of action of the resultant in both cases.
4. Draw a free body diagram of the forces acting on a soil wedge behind a retaining
wall. Assume that the wall has a height, H, wall friction, δ, soil internal friction
angle of φ and unit weight γ. For different wedge angles, α, determine analytically
the active force per metre acting on the wall. For assumed values of H, δ etc, plot
these values on a graph of force versus wedge angle and confirm that your optimum
solution agrees with the published solution.
5. A 10m high retaining wall supports a rock mass which has joints dipping at 60o into
the excavation. The joints have a friction angle of 40o and the rock mass has a unit
weight of γ = 24 kN/m3. Determine the active force per unit length acting on the
wall for a smooth wall (δ = 0o) and a rough wall (δ = 30o). If the joints dip at 30o
rather than 60o, what will be the active force on the wall?
6. A swimming pool wall is 5m high. The water level inside the pool is at the surface.
The water table in the ground is at 2m depth. What is the net water force acting on
the wall when the pool is full? How does this value change if the pool is emptied ?

Topic 15 : Earth Retaining Structures
TOPIC 15 – Earth Retaining Structures
TABLE OF CONTENTS
PREVIEW............................................................................................................... 15.2
Introduction ......................................................................................................... 15.2
Objectives............................................................................................................ 15.2
RETAINING WALL TYPES .................................................................................. 15.2
DESIGN METHOD ................................................................................................ 15.3
MODES OF FAILURE ........................................................................................... 15.3
DEFORMATION CONSIDERATIONS.................................................................. 15.3
GRAVITY WALL DESIGN.................................................................................... 15.4
BEARING CAPACITY........................................................................................... 15.5
OVERALL SLOPE FAILURE ................................................................................ 15.5
CANTILEVER WALLS.......................................................................................... 15.5
ADDITIONAL LOADINGS ................................................................................... 15.6
OTHER WALL TYPES .......................................................................................... 15.6

PREVIEW
Introduction
The simplest way to hold two areas of soil (or rock) with differing ground levels in a
stable state is to join them with a slope of appropriate angle, however this is very
wasteful of usually valuable surface area. A vertical boundary between the two soils is
therefore commonly required and for most soils the provision of some type of earth
retaining structure or retaining wall is necessary.
The design of retaining walls remains one of the least satisfactory aspects of modern
Geoengineering, partly because of the ill-defined nature of the forces actually acting on
such structures and this problem has created difficulties in adopting partial factor limit
state design methods, though the new U.K. Code BS8002:1994 makes a bold attempt.
The earlier Code, CECP2-1951 used a single lumped safety factor approach which is
still popular in practice and the first Australian Code on retaining structures should be
published soon.
In this Topic, several aspects of geomechanics are combined to enable the analysis and
design of retaining walls. There are many types of retaining walls available, the design
and analysis of each one requiring an understanding of the interaction between the
soil/rock and the wall. Emphasis will again be on walls used to retain soil, however
much the same principles apply to rock.
Objectives
• to apply fundamental earth pressure theory to the design of retaining walls
• to understand the possible modes of failure of retaining walls and to be able to
design against the occurrence of these modes
• to appreciate the important role played by water
RETAINING WALL TYPES
New types or sub-types of retaining walls continue to emerge to take advantage of new
technology, but most may be listed in three main categories, viz
♦ Gravity walls - including mass concrete, masonry, rock walls, crib walls, gabions
♦ Cantilevered walls - including reinforced concrete, diaphragm walls, soldier pile
walls, sheet piling
♦ Reinforced earth - including strip and grid reinforced walls, soil nailing, rock
dowelling
Of course there is some overlap between these categories but the classification is useful.
Choice of the best type for a specific site is based on considerations of cost, aesthetics,
foundation conditions, height difference, cut vs fill, availability of materials, material to
be retained, size of work area and scale of project.

DESIGN METHOD
Once possible types have been selected and strength parameters measured for both
retained soil or backfill and foundation subsoil, earth pressure theory is used to estimate
design forces acting on the structure. The safety factor, or some other index of stability,
is then calculated for the likely modes of failure and compared with acceptable values
established by accumulated experience. A degree of iteration is usually necessary as the
initial dimensions of the wall have to be assumed before calculations can start and if the
wall proves to be either unsafe or overconservative in design these dimension must be
revised. Attention is also given to general matters such as drainage, surface finishes,
etc. Computer programs are available for much of this work, but there is also need for
regular human intervention.
MODES OF FAILURE
The common modes of ‘failure’ are

♦ Sliding on base
♦ Overturning about toe
♦ Bearing capacity failure
♦ Overall slope failure
♦ Excessive deformation and settlement
♦ Structural failure
♦ Loss of toe resistance (sheet piles)
Not all modes need be investigated for all walls, as some may usually be ruled out as
not relevant.
DEFORMATION CONSIDERATIONS
As indicated in the previous lecture, the earth pressures are controlled by the
deformations that are possible. For example if a wall is constructed then backfilled, if
no lateral movement is permitted the earth pressure on the wall back would be close to
the Ko value. If the wall is then allowed to translate, a small movement would drop the
pressure to the KA or active value. In reality, the wall would move sufficiently until the
reduced earth pressure is in equilibrium with restoring forces, particularly base
resistance, and there it would stop. For DESIGN it is usually assumed that at failure the
ACTIVE pressure is mobilised, even though this is the lowest possible pressure the wall
can experience. Shear failure in the soil behind a wall does not imply failure of the
wall!
Passive resistance of the soil in front of the toe of a wall is not always included in the
equilibrium equations for practical reasons, but when it is it is usually reduced by a
factor of 2 because of the large deformations needed for its full mobilisation.
For a basement wall, where both top and base levels are prevented from translating by
the floor structure, at least a Ko stress level should be used. Braced excavation walls
experience unusual deformation patterns and special approaches are required.

GRAVITY WALL DESIGN
As an introductory example of the process a gravity wall will be considered, followed

by extensions to more complex designs.
PA and PP are calculated by the

xPA
methods of Topic 14. PP should be
xW ignored if the depth of soil on the
passive side is less than (0.6 + 0.1H)
to allow for possible future excavation
H W PA in front of the wall. U1 and U2 are
calculated from a flow net or other
suitable method and W is the weight
U1 yPA of the wall. The effective soil base
yU1
PP force is :
A•
S
N′= W + PA vert - U2 (+ PP vert)
N′ U2 The available base shear force, S, may
xN
then be estimated using the Coulomb
xU2 shear strength equation and the
Figure 1 : Gravity wall analysis soil/base shear parameters cbase and
δbase. Many designers ignore cbase
because of the possibility of construction disturbance of this layer and take δbase as equal
to φ (foundation soil) for cast-in-situ walls and 2/3 φ for precast walls. Hence
S = N′ tanδ′ base ( +c′ B) where B = base width

F against sliding failure is the ratio of Restoring Force to Motivitating Force, i.e. FS =
S/(PAhor + U1). Normally FS should be between 1.5 to 2.0 depending on factors such as
the consequences of failure, quality of site investigation, confidence in contractor, etc.
F against overturning failure is the ratio of Restoring Moment to Overturning

Moment, taken about the toe point, A, but N′ is not included, as if rotation is about to
occur the N′ force will have moved across to the toe.
MOT = PA hor yPA - PA vert xPA + U1 yU1 (+ U2 xU2 ?)
MR = WxW + (PP hor yPP ?)
FOT = MR/MOT and again should be between 1.5 and 2.0. Both safety factors are
lumped safety factors with the same degree of reliability implied on all parameters and
it can be argued that some of the terms could appear as either restoring or disturbing
forces, with appropriate changes of algebraic sign.
If FS is too low four approaches are possible :

increase base width B
slope the wall base
use a base key
reduce water pressures

FOT is usually expected to be acceptable if the resultant force on the base falls within the
middle third.
BEARING CAPACITY
The wall base exerts contact stresses on the
c foundation soil and the potential for bearing
capacity failure must be checked. Forces involved
Rv R are shown below :
Vector R is the resultant of all forces on the wall

back plus the wall weight, and its eccentricity at
toe Rh heel
e the base/soil interface may be found by taking
x moments about the toe. Standard bearing capacity
theory may then be applied to determine the safety
Figure 2 : Contact forces factor against bearing failure. Remedial measures
at base include widening the base or using piled
foundations.
OVERALL SLOPE FAILURE
In this mode of failure the retaining wall and a considerable volume of soil surrounding
it move as a unit, as for a typical slope stability failure, and the normal methods of slope
stability analysis apply. Care must however be taken to exclude slip circles that pass
through the wall (except where the wall is segmented or of inadequate construction).
This is usually only a problem for thick deposits of soft clays.
CANTILEVER WALLS
For walls of medium height concrete g a d c

cantilever walls are often used because of
their efficient use of materials. Using the
virtual wall back concept they may
sometimes be analysed in a similar fashion to
gravity walls, frequently using the simple
Rankine solutions.
If the angle θ shown in Figure 3 is ≤ (45 + virtual

φ/2) then a fully active Rankine zone abcda back
will develop as the wall yields to the left to f θ e
i h
produce the necessary stress release and
there are zero shear stresses on the virtual j b
wall back bd. For stability analyses the
composite concrete and soil wall daghijbed Figure 3 : Cantilever wall - virtual
is treated as a smooth backed gravity wall wall back concept
with Rankine pressures applied. If the soil
surface adc slopes at angle β the Rankine solution for a sloping soil mass may be used

with an effective wall friction angle δ = β on the vertical plane. If the heel width ef is
too small to meet the θ criterion then aghijba may be taken as the composite wall, with
forces on ab calculated from a general wedge or other appropriate analysis, using δ = φ
on the sloping virtual wall back ab.
ADDITIONAL LOADINGS
Several other sources of stresses on walls often need to be considered. The main one is
surcharge loading where loads of point, line and area nature are applied to the soil
surface or the wall itself. Elastic stress analysis solutions are available for point and line
loads and a uniform surcharge may be included as an additional height of soil above the
real surface, with ∆h = q/γ, where q = uniform surcharge stress. Some codes
recommend that all walls be designed for a minimum surcharge of 10 kPa. Another
important source of stress is soil compaction behind non-yielding walls and several
semi-empirical methods are available for estimating values.
OTHER WALL TYPES
The embedded walls sub-group of cantilever walls, which rely heavily on passive soil
resistance for their stability, and the currently very popular reinforced and soil nailed
walls require specialised analyses of their own, which may be found in most modern
texts. Small walls for domestic and similar purposes are well treated in commercial
data sheets.
&
REQUIRED
Chapter on retaining walls in any book dealing
with foundation engineering (e.g. Das).

1. BS8002 : 1994 British Standard : Code of practice for Earth retaining structures
2. Das, B.M. 1999. Principles of Foundation Engineering, Fourth Edition, ITP
3. Clayton, C.R.I and Milititsky, J. 1986. Earth pressure and earth-retaining structures,
Surrey University Press.
REVIEW QUESTIONS
1. Why is drainage an import aspect of retaining wall design?
2. Describe briefly the different modes of failure of a gravity retaining wall.
3. The ground surface immediately behind a retaining wall is subjected to a surcharge
loading of 10 kPa. If the soil behind the retaining wall has strength properties of
c′=0 and φ′=30o, determine the active pressure imposed on the wall by the surcharge
load at a depth of 1m, 2m and 5m.
4. What influence does the backfill (material properties, extent of etc) behind a
retaining wall have on the pressures that act on the wall?

Topic 16 : Tunnels
TOPIC 16
Tunnels
TABLE OF CONTENTS
PREVIEW............................................................................................................... 16.2
Introduction ......................................................................................................... 16.2
Objectives............................................................................................................ 16.2
REQUIRED READING .......................................... 16.¡Error! Marcador no definido.

Topic 16 : Tunnels
PREVIEW
Introduction
Tunnelling and underground space development is an important aspect of geotechnical
engineering. With the increased cost of land in urban areas, underground space
utilisation and development are becoming much more viable. This topic introduces
preliminary aspects of tunnel design. The main emphasis is on the design of temporary
lining using classification systems such as Q and RMR.
Objectives
• To gain knowledge of the problems associated with tunnelling in hard and soft
ground
• To be able to apply the Q and RMR rock classification systems to the design of
temporary linings for tunnels
• To become familiar with the various tunnel construction techniques and to be aware
of methods of tunnelling through bad ground
&
REQUIRED
Waltham
Chapter 37 : pp. 74 – 75
Chapter 38 : pp. 76 – 77
&
SUGGESTED
Papers by Leca and Kaiser (on this CD)

Topic 17 : Shallow Foundations
TOPIC 17 – Shallow Foundations
TABLE OF CONTENTS
PREVIEW............................................................................................................... 17.2
Introduction ......................................................................................................... 17.2
Objectives............................................................................................................ 17.2
BEARING CAPACITY........................................................................................... 17.2
Appropriate strength parameters .......................................................................... 17.3
Fine grained cohesive soils (slow draining) : eg. clay....................................... 17.3
Coarse grained granular soils (fast draining) : eg. Sand. ................................... 17.3
Other Considerations ........................................................................................... 17.3
Rigidity............................................................................................................ 17.3
Influence of adjacent footings .......................................................................... 17.4
Position of ground water table .......................................................................... 17.4
Soil strength increasing with depth................................................................... 17.4
Stiff soil overlying soft layer ............................................................................ 17.4
Soft soil overlying stiff layer ............................................................................ 17.5
Eccentric loading ............................................................................................. 17.5
Footings with moments.................................................................................... 17.5
Bearing Pressures ................................................................................................ 17.5
Gross Pressure ................................................................................................. 17.5
Net pressure ..................................................................................................... 17.6
Computer Analyses.............................................................................................. 17.6
SETTLEMENT ....................................................................................................... 17.6
Components of Settlement ................................................................................... 17.6
Total Settlement................................................................................................... 17.7
Methods for estimating settlement........................................................................ 17.7
Corrections for Rigidity and Depth .....................................................................17.10
Poulos and Davis Elastic Method........................................................................17.11
SHALLOW FOUNDATIONS ON ROCK..............................................................17.11
REFERENCES AND FURTHER READING.........................................................17.12
REVIEW QUESTIONS..........................................................................................17.12

PREVIEW
Introduction
Many structures rely on shallow foundations or footings to transmit structural loads to
the ground. The design of such footings must ensure that the ground can safely carry the
load without failing (usually in shear) (ultimate limit state) and free from excessive
deformations (serviceability limit state). The term excessive is relative as the amount of
allowable settlement that different structures can sustain varies considerably. The
geotechnical design of shallow foundations therefore includes two main steps;
determination of bearing capacity and of deformation (usually vertical settlement).
Both topics were introduced in CIV2271 Introductory Geoengineering. This topic
builds on that knowledge and supplements the information contained in the CIV2271
notes.
Objectives
• To be able to determine the bearing capacity of foundations on soil and rock
• To be able to estimate settlements on these foundations
• To understand the importance of short and long term behaviour and to know which
one will be critical to the performance of a foundation
• To understand the difference between net and gross bearing pressure and when they
should be applied
BEARING CAPACITY
Refer to CIV2271 notes Chapter 7 – Bearing Capacity for introductory information. In

the CIV2271 notes, Terzaghi’s bearing capacity equation and Meyerhof’s bearing
capacity factors for a surface strip footing subjected to a vertical load were introduced.
1
qu = cN c + qN q + γBN γ
2
where c = cohesion, q = effective stress at the level of the bottom of the foundation, γ =
unit weight of soil, B = width (or diameter) of foundation and Nc, Nq, Nγ are the bearing
capacity factors which depend on the friction angle of the soil.
These factors need to be modified for footing shape and depth, and load inclination as
well as a number of other influences. The full bearing capacity equation is given by :
1
qu = cFcs Fcd Fci N c + qFqs Fqd Fqi N q + γBFγs Fγd Fγi N γ
2
where Fcs, Fqs, Fγs are shape factors, Fcd, Fqd, Fγδ are depth factors and Fci, Fqi, Fγι are
load inclination factors (see CIV2271 notes).
This equation shows that bearing capacity depends on the soil strength and the geometry
of the footing. The question arises as to which strength parameters should be used to
estimate bearing capacity.

Appropriate strength parameters
The choice of strength parameters for bearing capacity calculations depends largely on
excess porewater pressure considerations. The generation and subsequent dissipation of
excess porewater pressures depends on the soil type and the time taken to complete
construction.
Fine grained cohesive soils (slow draining) : eg. clay

Usually use undrained parameters (cu and φu (=0)) since the time taken for
construction is usually shorter than the time required for the dissipation of excess
porewater pressures. That is, immediately after loading of the footing, all load will be
carried by the porewater. This will generate a local rise in porewater pressure, which
will slowly dissipate (in many clays, it may take several years for excess porewater
pressures to dissipate completely). As the excess pore pressures dissipate (usually
some time after construction has ceased), the soil will consolidate and become
stronger. However at the end of construction, little dissipation of porewater pressure is
likely to have occurred and the strength of the soil will not have changed significantly
from its value before construction. To ensure safety, the undrained properties of the
soil are therefore adopted.
Coarse grained granular soils (fast draining) : eg. Sand.

Due to their free draining nature, no excess porewater pressures can be generated
(except perhaps under very rapid earthquake loading situations where increases in
pore pressure may lead to liquefaction). Hence it is the effective or drained strength
parameters which are usually used ( c’ (=0) and φ’.)
Note however that the friction angle of sand depends on amongst other things, the
density of the sand. Given the difficulty of obtaining undisturbed samples of sand, it
is very difficult to carry out representative strength tests in the laboratory. Instead,
insitu tests (e.g. the standard penetration test or SPT) are usually adopted.
Unfortunately, for most of these tests, friction angle cannot be determined directly but
instead must be inferred from empirical correlations. Such methods introduce
increased uncertainty with regard to strength parameters.
Other Considerations
Rigidity
It is usually accurate enough to assume that strips and pad footings are rigid. The
contact pressure under rigid footings is reasonably uniform. However, as footings
become larger, e.g. rafts, they tend to become more flexible, and contact pressures less
uniform. Local contact pressures under footings can become very high (e.g. under
columns) and may exceed the bearing capacity. Bending moments in the raft can also
exceed design specifications. Special care must be taken with raft foundations and these
will be dealt with at Level 4.

Influence of adjacent footings

The influence of adjacent footings on one another is unclear. Usual procedure is
♦ when centre to centre spacing S > 3B (B is the width of the footing) then influence
can be ignored.
♦ For S < 3B, adjust shape factors to account for overall layout of the footings. (Has
very little influence though).
Position of ground water table

Can have a significant influence. Usually adopt the highest likely location. Choose the
appropriate values of q and γ. Three possibilities :
♦ For GWT at surface, use γ’
♦ For GWT greater than 2B use γ
♦ For 0 < GWT < 2B linearly interpolate between γ and γ’
Soil strength increasing with depth

Meyerhof’s equations are appropriate for soil deposits of constant strength. However,
most soil deposits (especially soft normally or lightly over-consolidated soils) increase
in strength with depth, which can lead to over-estimates of bearing capacity if the
average strength is adopted. Skempton suggests that the average strength can be used if
it is within +/- 50% of the strength of the soil at a depth of 0.67B below the footing.
Engineering judgement needs to be applied for other situations.
Stiff soil overlying soft layer

Usually occurs when a stronger granular
d B soil or compacted fill overlies a layer of
Stiff soil soft clay, or in cases where a crust may
Z form on the surface of a soft clay. Failure
usually occurs by punching through the
stiff soil. Nevertheless, in the absence of
Soft soil
more appropriate solutions, the bearing
capacity equation for generalized shear
failure is usually adopted.
For a footing at depth, d, in a stiff layer of thickness, d + Z, the following steps are
followed :
1. Calculate the bearing capacity for the soft layer (with q = γο(d +z) where γo is the
unit weight of the stiff soil).
2. Increase this value by a factor 1/η, where η is the ratio of the stress at the surface of
the soft layer divided by the contact stress at the base of the footing. η can be
determined from appropriate tables or graphs (e.g. see 2271 settlement notes).
Care must be taken however, because if the stiff layer is very thick, the bearing capacity
can be very large. Obviously, the bearing capacity cannot be greater than the value
obtained for the stiff layer on its own.

Soft soil overlying stiff layer

B
Failure occurs by the soft soil being squeezed
Soft soil
out from beneath the footing. Using plasticity
theory it is possible to derive the following
Z
theoretical solutions :
Stiff soil For a strip footing of width B
for Z/B<0.5 qu net = {B/2Z + π + 1}c
for Z/B>0.5 normal bearing capacity equation
For circular foundation of diameter B
for Z/B<0.17 qu net = {B/3Z + π + 1}c
for Z/B>0.17 normal bearing capacity equation
Eccentric loading
In many footings, the column load is applied
e P eccentrically to the footing. This results in non-
uniform pressure being applied to the soil, with local
pressures being greater than the average pressure.
Meyerhof (1953) suggested a practical solution to this

qmax problem by adjusting the footing dimensions until the
column load becomes a central load. The new footing
dimensions, L’ and B’, for bearing capacity calculations
are therefore L’ = L-2eL and B’ = B-2eB where L and B are the footing’s original
dimensions and eL and eB are load eccentricities in the L and B directions respectively.
Footings with moments

Columns can apply both a moment, M, and P
P
axial loading, P, to a footing. The moment is M
handled by moving the axial load to an e
eccentricity, e, such that M = Pe. The above

solution for eccentric loading can then be
employed.
Bearing Pressures
A footing will be safe in bearing if the allowable net (rather than gross) bearing
pressure applied by the footing is less than the bearing capacity of the soil (reduced by
an appropriate amount by the strength reduction factor – see CIV2271 notes).
Unfortunately structural engineers work with gross bearing pressures, so some care
must be taken when communicating recommendations for allowable bearing pressures.
Gross Pressure
The gross pressure exerted is the total force (including the weight of the footing) acting
at the base of the footing divided by the total plan area of the footing.

Net pressure
The net bearing pressure for bearing capacity is that component of the gross pressure
which requires mobilization of the soil strength to support the foundation. It depends
primarily on foundation geometry and is usually independent of the position of the
water table. Several different cases can be identified :
♦ For a dry excavation with a footing at depth d below the surface, qnet = qgross - γd (γ
is the unit weight of the soil).
♦ For a flooded excavation qnet = qgross - γ’d; and
♦ For an excavation which is much wider than the footing qnet = qgross.
As is explained in the chapter on settlements, the net bearing pressure used for bearing
capacity may be different from that used for settlement calculations.
Computer Analyses
Complex bearing capacity problems can be solved using several computer based
methods including:
♦ limit equilibrium slope stability programs such as GWEDGEM in which the footing
is modeled as a flat slope with a surcharge loading. Solutions can be obtained
relatively quickly with only minimal input data. Program must be able to handle
surcharge loads and non-circular failure surfaces.
♦ Non-linear finite element programs. These programs are very sophisticated and
require considerable experience to obtain reasonable solutions. Considerable effort
is required to generate input data, and solution times can be substantial. Not
generally recommended for design, but useful as a research tool.
♦ Other numerical programs such as FLAC. Can suffer from the same problems as
the finite element programs, but tend to require less input data and smaller
computation times. Again require considerable experience to use.
SETTLEMENT
An introduction to the settlement of shallow footings is provided in the CIV2271 notes.

This topic extends the analysis of settlement of footings.
Components of Settlement
Settlement of soil (and rock) is time dependent and consists of three separate
components (see Topic 7) :
1. Initial or elastic settlement, ρι , occurs immediately on application of the load and
results from the elastic compression of the soil. Elastic settlement (as the name
implies) is completely reversible; i.e. on removal of the load the soil rebounds to its
original position. It is time independent. Exhibited by all soil and rock.
2. Primary consolidation settlement, ρc , is a time dependent process that results
from water being squeezed out of the voids due to effective stress changes in the

soil. It is only partly reversible. The amount and rate of settlement varies with soil
type.
In clay, drainage of excess pore water pressures and therefore primary consolidation
settlement, occur very slowly. As described in Topic 7, the oedometer test can be
used to determine the amount and rate of consolidation. Consolidation settlement is
usually the most dominant component of settlement for most types of clay and can
be many times larger than the initial settlement.
In sand, drainage of excess pore pressures and therefore primary consolidation
settlement, occur very rapidly. It is difficult to separate primary consolidation from
elastic settlement. Therefore it is usual for primary consolidation to be included as
part of the initial settlement. As a result, the initial settlement of sand is not
completely recoverable.
In rock, consolidation settlements tend to be small and are usually ignored or, like
sand, included with initial settlement .
3. Secondary compression or creep, ρσ , is the time dependent (and very slow)

process that follows primary consolidation. It occurs at constant effective stress
(i.e. no drainage of pore water occurs) and is irreversible. Depending on stress
level, it can be significant in clay (usually soft clay for civil engineering
applications), sand and rock (deep underground mining applications). In field
measurements, it can be very difficult to separate primary consolidation and
secondary compression settlements.
Total Settlement
The total settlement, ρΤ , is the sum of the above three components: i.e.
ρT = ρi + ρc + ρs
Methods for estimating each component follow.
Methods for estimating settlement
Initial settlement is usually calculated using elastic solutions (e.g. see Elastic Solutions
by Poulos and Davis). For a shallow footing founded on a layer of “elastic” soil, the
initial settlement of the footing of width, B, can be calculated from
ρi =
(
q gross B 1 − υ 2 )I
ρ
E
where E and ν are the Young’s modulus and Poisson’s ratio of the soil respectively,
qgross is the gross bearing pressure and Iρ is a settlement influence factor which depends
on foundation shape, flexibility and layer depth.
Values of Iρ for a rigid rectangular footing of length, L, founded on the surface of an

infinitely deep “elastic” soil layer are listed in the CIV2271 notes on settlement of

shallow footings. Values of Iρ for other footing types and layer depths can be found in
any one of a number of reference books.
The choice of E and ν depend on the soil. For clay, no drainage has occurred (initially
that is) and the undrained values Eu and νu (=0.5) should be used. For sand, drainage
occurs rapidly. Hence the values that are adopted should reflect the drained behaviour
of the material; i.e. use the drained values E′ and ν′. Rock is usually treated in the same
way as sand. Young’s modulus and Poisson’s ratio for clay and rock can be determined
from the appropriate triaxial test. Values for sand are usually estimated from
correlations with simple field tests such as the Standard Penetration Test (or SPT).
Primary consolidation settlement can be calculated from the results of the oedometer
test.
For normally consolidated clay (p′o = p′c):

Ho  p′ + ∆p′ 
ρ c = Cr log o 
1 + eo  po′ 
where p′c is the preconsolidation pressure, Ho is the initial layer thickness, p′o is the
initial effective vertical stress, eo the initial void ratio, ∆p′ is the change in effective
stress and Cc is the compression index.
For overconsolidated clay (p′o < p′c) :
If p′o+∆p′ < p′c then
Ho  p′ + ∆p′ 
ρ c = Cr log o 
1 + eo  po′ 
else, if p′o+∆p′ > p′c then
Ho p′ Ho p′ + ∆p′
ρ c = Cr log c + Cc log o
1 + eo po′ 1 + eo p′c
where Cr is the recompression index. For situations involving swelling (or effective
stress decrease) the amount of swelling can be estimated from the first of the above two
equations, but with Cr replaced by Cs.
Alternatively, for non-linear e - logp′ responses, the following equation using the
coefficient of volume change, mv, can be used.
ρ c = mv H o ∆p′
The implementation of these equations changes from application to application. As

described below, in order to estimate the consolidation settlement beneath a shallow
footing, each soil layer must be divided into a number of sub-layers. This is because the
effective stress change felt by the soil will vary with depth. Immediately below the

footing, the soil will experience the full net bearing pressure applied by the footing.
However, the soil at greater depth will only experience a portion of the net bearing
pressure. There are a number of analytical solutions that can be used to determine the
variation of stress beneath a uniformly loaded area (which approximates a shallow
footing) on an infinitely deep soil layer. The Boussinesq equation for the vertical stress,
σz, at depth, z, below a uniformly loaded circular area of radius, a is given by :
σz 1
= 1−
( )
3
q 1 + a 2  2
 z 
The vertical stress at depth, z, below the corner of a uniformly loaded rectangular
footing of length, L, and width, B, on an infinitely deep layer is given by
σz 1  2mn m 2 + n 2 + 1 m 2 + n 2 + 2 
−1  2 mn m + n + 1 
2 2 
=  2 + tan 
q 4π  m + n 2 + m 2 n 2 + 1 m 2 + n 2 + 1  m 2 + n2 − m 2 n2 + 1 
  
where m = B/z and n = L/z. To determine the stress below the centre of the footing,
split the footing into quarters and use superposition. That is, determine the stress
beneath the corners of a footing with dimensions L/2 x B/2. The stress below the centre
of a footing L x B will be then be 4 times the stress below the corner of a footing of L/2
x B/2.
Similar solutions exist for other footing shapes and for finite layers (refer to standard
references).
To estimate the consolidation settlement beneath the footing, carry out the following
steps :
1. Divide the soil layer into a number of sub-layers.
2. Determine the initial effective overburden stress, po′ and the change in effective
stress, ∆p′ at the mid-height of each sub-layer.
3. Use the appropriate equation given above to determine the consolidation settlement
of each layer. Note that Ho in this case will be the thickness of each sub-layer
(which may vary from layer to layer). Also, if using the equation involving mv, note
that mv will vary with stress level, and the appropriate value of mv should be used.
4. Sum the settlements from all layers to determine the overall primary consolidation
settlement.
This method is particularly suited to implementation on a spreadsheet.
The process is somewhat simplified for situations in which the effective stress change is
approximately uniform throughout the layer. This will arise when fill is placed over a
large area or the water table is lowered (See Topic 7). In such cases, sub-layering is not
required unless the properties of the layer vary with depth.

Through experience, the above method has been found to give reasonable estimates of
primary consolidation settlement for N/C clays but over-estimates settlement for O/C
clays, especially when the loaded area is small compared to the thickness of the clay
layer. By considering 3D consolidation effects, Skempton and Bjerrum (1957)
suggested that the settlement estimated from the above equation should be reduced by a
factor µ given by :
µ = A + α (1 − A)
Where A is Skempton’s pore pressure parameter and α is a factor that depends only on
geometry. Values for circular (diameter B) and square (width B) footings are :
z/B 0 0.25 0.5 1 2 4 10 ∞

α 1.0 0.67 0.5 0.38 0.30 0.28 0.26 0.25
α 1.0 0.74 0.53 0.37 0.26 0.20 0.14 0.0
where z is the thickness of the consolidating layer. Typical values for A and µ are :
A µ
Sensitive soft clay 1 ~1
N/C clay 0.5 – 1 0.9 – 1
O/C clay 0.25 – 0.5 ~0.5
Heavily O/C sandy clay <0.25 0.25 – 0.3
Secondary compression or creep settlement for a layer of thickness Ho from time ti to

tf can be estimated using the following equations:
Cα t 
ρs = H o log f 
1 + ep t
 i 
or
t 
ρ s = Cαε H o log f t 
 i 
where ep is the void ratio of the soil at the end of primary consolidation (eo is often used
instead).
Corrections for Rigidity and Depth
If it is assumed that a uniform pressure exists over the footing then the footing is
assumed to be flexible. Most footings however are closer to being rigid and hence a
correction needs to be made. The total settlement of a rigid footing is approximately 0.8
of that estimated for the centre of a flexible footing.

Total settlements also reduce as the footing founding depth increases. For a footing of
width, B, founded at depth, d, below the surface, the following correction factors, DF,
are appropriate :
d/B 0 0.5 1 2 3 4 5 >10

DF 1.0 0.95 0.89 0.86 0.84 0.82 0.81 0.8
Note that correction factors apply to total settlements.
Poulos and Davis Elastic Method
Poulos and Davis proposed that the soil could be modelled as a two-phase elastic
material. The initial (undrained) settlement, ρi, is estimated as usual using elastic theory
and undrained values of Young’s modulus, Eu, and Poisson’s ratio, νu. The total final
settlement, ρT (ignoring creep settlements) is also estimated using the same elastic
theory, but replacing the undrained parameters with the drained parameters, E′ and ν′.
The consolidation settlement, ρc, is then the difference between the total final and initial
undrained settlements; i.e.
ρ c = ρT − ρ i
This type of model is particularly suited to computer analysis using numerical methods
such as finite element, finite difference and boundary element techniques. It should be
noted, that because consolidation occurs between the undrained and drained states of the
soil, E′ < Eu.
Care must also be taken in selecting the values of E′ and ν′ especially when dealing
with soft clays that undergo significant volume change during loading. The Poisson’s
ratio adopted must reflect this volume change, otherwise excessively large horizontal
movements may be predicted. Values much lower than 0.3 and perhaps as low as 0.05
may need to be used. Parameters should be determined from laboratory tests (usually
drained triaxial tests) that follow a similar stress path to that experienced by the soil in
the field.
SHALLOW FOUNDATIONS ON ROCK
The design of shallow foundations on rock is usually carried out using the same
techniques as applied to footings on soil. However care must be taken to use
representative rock mass parameters (rather than intact rock values) which can be
estimated using rock mass classifications systems such as GSI and RQD. In cases
where preferential jointing is observed, rock mechanics principles should be applied to
the design to account for the possibility of failure or deformation along these
discontinuities.


1. Das, B.M. 1999. Principles of Foundation Engineering, Fourth Edition, ITP –
Chapters 3 & 4.
REVIEW QUESTIONS
1. Explain why you would use different parameters to determine the bearing capacity
of a footing and the stability of a cut in the same clay.
2. Why is likely that bearing capacity will be overestimated for shallow foundations
situated on normally consolidated clay deposits if the average strength of the clay is
adopted ?
3. Derive the equations for net bearing pressures of dry, flooded and wide excavations
listed on page 17.6.
4. When estimating elastic settlements, why should gross rather than net pressure be
used ?


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Subject CIV3247 Geoengineering 1.

Department of Civil Engineering, Monash University

Geology and Pedology

Department of Civil Engineering, Monash University

Geomorphology, landforms and landscapes

The different disciplines have emerged as rock is seen to be essentially an intact

GEOLOGY AND CIVIL ENGINEERING

Department of Civil Engineering, Monash University

CONSTRUCTIONAL AND DESTRUCTIONAL PROCESSES

Emerged Coastal Plains

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• types include normal (tension), reverse (compression) and tear

Volcanoes and Intrusions

Formation processes for igneous rocks : extrusive and intrusive.

Department of Civil Engineering, Monash University

Lithification is the process of forming sedimentary rocks from transported soil.

Department of Civil Engineering, Monash University

Types of metamorphism include :

Landscapes broken down by chemical and physical processes and erosion

Department of Civil Engineering, Monash University

Understanding weathering is vital to knowledge of engineering behaviour

In general the more weathered a rock, the lower the strength.

Weathering pattern depends on rock type and fracture pattern.

Transported material called colluvium.

Often triggered by mans activity or by water.

Can involve very small to immense volumes of material.

Several mechanisms including sliding, toppling, unravelling, slumping, flow.

Department of Civil Engineering, Monash University

Controlled by discontinuities (joints, bedding, schistocity, faults etc).

Forms by dissolution of limestone – limestone is only common rock soluble in water –

Form highly variable ground conditions.

Formation of sink holes – when buried karsts lead to surface subsidence.

Continuous cycle of weathering, erosion, transportation, sedimentation to break rock

REFERENCES AND FURTHER READING

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TOPIC 2 – Three Phase Model, Water

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Department of Civil Engineering, Monash University

CLAY – WATER INTERACTION

Particle Size and Shape

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GROUNDWATER AND SEEPAGE

However, if some disturbance to this occurs such as dewatering by pumping, or addition

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SOIL FABRIC – QUANTITATIVE APPROACH – 3 PHASE MODEL

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Figure 1 : Volumetric relationships

Some must know definitions:

(Fundamental quantities: Vv = volume of voids, Vs = volume of solids, Vw = volume of

Department of Civil Engineering, Monash University

Unit weight, γ kN/m3 or kPa/m γ = ρg where g =9.81m/s2

Department of Civil Engineering, Monash University

THE EFFECTIVE STRESS LAW

(this form of the equation is for soils with SR = 100%)

Drained versus Undrained

For cases of additional applied load caused by engineering operations a further

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Piston with drain hole. TOTAL STRESS applied

Vertical In situ Stress

ρi, the gravitational constant, g, and layer height); i.e.

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Department of Civil Engineering, Monash University