introduction to geological engineering

GeoloGical enGineerinG

luis i. González de VallejoUniversidad Complutense de Madrid

Mercedes FerrerInstituto Geológìco y Minero de España

with a Foreword by M.H. de FreitasImperial College, London

7007TS-GONZALEZ-1003-01-FM.indd 3 11/23/2010 5:21:51 PM

CRC Press/Balkema is an imprint of the Taylor & Francis Group, an informa business

© 2011 Taylor & Francis Group, London, UK

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Printed and bound in Poland by Poligrafia Janusz Nowak, Poznán

Authorized translation from the Spanish language edition, entitled INGENIERÍA GEOLÓGICA by GONZÁLEZ DE VALLEJO, LUIS, published by Pearson Educación, S.A. Copyright © Pearson Educación, S.A., 2002.

English translation by Bill Newton, Pauline Moran and Valerie Stacey from Gabinete Lingüístico of the Fundación General de la Universidad Complutense de Madrid.

English technical review by M.H. de Freitas, Imperial College, London.

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Library of Congress Cataloging-in-Publication Data

Applied for

ISBN: 978-0-415-41352-7 (Hbk)


BrieF conTenTS

ABOUT THE AUTHORS xv

CONTRIBUTORS xvii

FOREWORD xix

PREFACE xxi

PART I – FUNDAMENTALS 1 INTRODUCTION TO GEOLOGICAL ENGINEERING 3

2 SOIL MECHANICS AND ENGINEERING GEOLOGy OF SEDIMENTS 19

3 ROCk MECHANICS 109

4 HyDROGEOLOGy 223

PART II – METHODS 5 SITE INvESTIGATION 263

6 ROCk MASS DESCRIPTION AND CHARACTERIzATION 327

7 ENGINEERING GEOLOGICAL MAPPING 351

PART III – APPLICATIONS 8 FOUNDATIONS 369

9 SLOPES 401

10 TUNNELS 451

11 DAMS AND RESERvOIRS 501

12 EARTH STRUCTURES 535

PART Iv – GEOLOGICAL HAzARDS13 LANDSLIDES AND OTHER MASS MOvEMENTS 555

14 SEISMIC HAzARD 595

15 PREvENTION OF GEOLOGICAL HAzARDS 625


vi Brief CONTeNTS

APPENDIX A CHARTS FOR CIRCULAR AND WEDGE FAILURE ANALySIS 643

APPENDIX B PRESSURE UNITS CONvERSION CHART 653

APPENDIX C SyMBOLS AND ACRONyMS 657

APPENDIX D LIST OF BOXES 663

APPENDIX E PERMISSIONS TO REPRODUCE FIGURES AND TABLES 665

INDEX 671


conTenTS

ABOUT THE AUTHORS xv

CONTRIBUTORS xvii

FOREWORD xix

PREFACE xxi

PART I – FUNDAMENTALS 1 INTRODUCTION TO GEOLOGICAL

ENGINEERING 3

1.1 Definition anD importance of geological engineering 4

1.2 the geological environment anD its relation with engineering 6

1.3 geological factors anD geotechnical problems 8

1.4 methoDs anD applications in geological engineering 15

1.5 information sources in engineering geology 16

1.6 how this book is structureD 16

recommenDeD reaDing 17

references 17

2 SOIL MECHANICS AND ENGINEERING GEOLOGy OF SEDIMENTS 19

2.1 introDuction 20the nature of soils 20soils in geotechnical engineering 20

2.2 soil Description anD classification. phase relationships 23types of soils 23particle size distribution 23

plasticity 24phase relationships 26

2.3 flow of water through soils 28total head. bernoulli’s theorem 29hydrostatic conditions 29ground water flow 30

basic concepts. head loss and permeability 30hydraulic head and hydraulic gradient 31Darcy’s law 31

steady flow in an isotropic medium 33anisotropic soil conditions 36permeability and water flow in stratified soils 38

2.4 effective stress 40soil phases and soil structure 40saturated soils. the principle of effective stress 41seepage forces and piping 44loading saturated soils 50

the concept of consolidation 50concepts of loading with and without drainage 51undrained loading in saturated soils 52

2.5 consoliDation anD compressibility 56normally consolidated and over- consolidated soils 56horizontal stresses in the ground 62influence of complementary factors on soil behaviour 63the oedometer test 65

2.6 shear strength of soils 71failure criterion 71the direct shear test 72behaviour of soils subjected to shear stress 76

granular soils 76clay soils 78

the triaxial test 79the test apparatus 79


types of test 81the uniaxial compression test 85

2.7 influence of mineralogy anD fabric on the geotechnical properties of soils 85clay minerals in engineering geology 86physico-chemical properties 88geotechnical properties and mineralogical composition 89microfabric of clayey soils 89geotechnical properties and microfabric 93summary 94

2.8 engineering geological characteristics of seDiments 94colluvial deposits 95alluvial deposits 95lacustrine deposits 95coastal deposits 95glacial deposits 96Deserts and arid climate deposits 97evaporitic deposits 98tropical soils 98volcanic soils 99

2.9 problematic soils 100swelling and shrinking clays 101Dispersive soils 103saline and aggressive soils 104collapsible soils 104the action of ice and permafrost 106soft sensitive soils 106soils susceptible to liquefaction 106


references 107

3 ROCk MECHANICS 109

3.1 introDuction 110Definition, objectives and scope 110rock and soil 112rock masses 113

3.2 physical anD mechanical properties of rocks 116rock characteristics 116physical properties of intact rock 118rock classification for geotechnical purposes 122rock mass classification 124weathering of rock 125

weathering processes 125weathering of intact rock 126weathering of rock masses 127

groundwater 129permeability and water flow 129effects of water on the properties of rock masses 129

3.3 stress anD strain in rocks 131force and stress 131stress on a plane 132stress in three dimensions 138strength and failure 139

basic concepts 139failure mechanisms 140

stress-strain relationships in rock 141strength criteria 144

3.4 strength anD Deformability of intact rock 147strength and strength parameters 147

effects of anisotropy and pore pressure on strength 147

failure criteria 149mohr-coulomb criterion 149hoek-brown’s criterion 150

Deformability 150strength and deformability laboratory tests 154

uniaxial compression test 154triaxial compression test 159tensile strength tests 162sonic velocity 164limitations of laboratory tests 164

3.5 Discontinuities 165influence on rock mass behaviour 165types of discontinuities 166characteristics of discontinuities 168shear strength of discontinuity planes 170

barton and choubey criterion 172Discontinuities with infilling 175Direct shear strength laboratory test 175

permeability and water pressure 177

3.6 strength anD Deformability of rock masses 179rock mass strength 179

failure criteria for isotropic rock masses 181failure criteria for anisotropic rock masses 186

viii CONTeNTS


summary 187rock mass deformability 187

In situ deformability tests 188geophysical methods 188empirical correlations 189

permeability and water pressure 193scale effect 195

3.7 In sItU stress 201origin and types of in situ stress 201geological and morphological factors which influence the state of stress 203methods for measuring in situ stress 205

measuring the direction of stresses by geological methods 206estimating stress magnitude from empirical relationships 207instrumental methods for measuring orientation and magnitude of stress 207

3.8 rock mass classifications 215rmr classification 216geomechanical classifications in practice 216


references 221

4 HyDROGEOLOGy 223

4.1 hyDrogeological behaviour of soils anD rocks 224types of aquifers and their behaviour 224piezometric level 227water movement in aquifers 228

4.2 hyDrogeological parameters 230porosity 230storage coefficient 231permeability 232transmissivity 233

4.3 flow. Darcy’s law anD funDamental flow equations in porous meDia 233Darcy’s law 233Darcy’s velocity and real velocity 234generalization of Darcy’s law 235continuity equation for steady flow 236laplace equation 236poisson’s equation 237flow equation in transitory regime 237

4.4 evaluation methoDs for hyDro-geological parameters 238

pumping tests 238injection tests 248tracer tests 249

4.5 solution methoDs 251analytical methods 251flow nets 252numerical methods 253

4.6 chemical properties of water 255chemical quality of groundwater 255physical-chemical processes. water-aquifer interaction 256contamination of groundwater 257anthropogenic activities 257mechanisms of ground water contamination 258

recommenDeD reaDing anD references 259

PART II – METHODS 5 SITE INvESTIGATION 263

5.1 planning anD Design 264aims and importance 264planning site investigations 264

5.2 preliminary investigations 268Desk-based study 268aerial photo and remote sensing interpretation 269

aerial photo interpretation 269remote sensing 270

the walk-over survey 273preliminary site investigation report 275

5.3 engineering geophysics 275surface geophysics 276

electrical methods 276seismic methods 277

electromagnetic methods 282gravity methods 285magnetic methods 285

borehole geophysics 286geophysical logging 286seismic logging inside boreholes 287seismic tomography 288

5.4 boreholes, trial pits, trenches anD sampling 289borehole drilling 289

rotary drilling 289auger drilling 291percussion drilling 292

CONTeNTS ix


special boreholes 293number and depth of boreholes 293borehole data presentation 293

trial excavations 293geotechnical sampling 294borehole logging 297

5.5 In sItU tests 301standard penetration test (spt) 301probing penetrometers 302cone penetration test (cpt) 303field vane test 305schmidt hammer test 305point load test 306shear strength test on discontinuities 308tilt test 310pressuremeter test 311plate loading test on soils 311Dilatometer test 312plate loading test on rock 313flat jack test 313seismic methods 316

measuring in situ stress 316permeability tests 316

permeability tests on soils 316permeability tests on rock 317

5.6 geotechnical instrumentation 319Displacement measurements 319pore pressure and water level measurements 322stress measurements 324


references 325

6 ROCk MASS DESCRIPTION AND CHARACTERISATION 327

6.1 methoDology 328

6.2 Description anD zoning 331

6.3 intact rock characterisation 331identification 332weathering 332strength 332

6.4 Description of Discontinuities 335orientation 335spacing 336persistence 337roughness 338strength of discontinuity wall 340aperture 341

filling 342seepage 343

6.5 rock mass parameters 343number and orientation of discontinuity sets 344block size and fracture degree 344Degree of weathering 347

6.6 rock mass classification anD characterisation 349


references 350

7 ENGINEERING GEOLOGICAL MAPPING 351

7.1 Definition 352

7.2 types of maps 352classification 352content of engineering geological maps 354

classification and geotechnical properties of soils and rocks 354hydrogeological conditions 357geomorphological conditions 357geodynamic processes 357

7.3 mapping methoDs 358geotechnical zoning 358representing data 358computer aided mapping 360geotechnical cross-sections 360

7.4 Data collection 360

7.5 applications 361land and urban planning 361engineering 361


references 365

PART III – APPLICATIONS 8 FOUNDATIONS 369

8.1 introDuction 370basic design criteria 370stages in foundation design 371

8.2 shallow founDations 371types of shallow foundations 371ultimate bearing capacity 372

basic definitions 372calculating the ultimate bearing capacity 373

x CONTeNTS


ultimate bearing capacity in undrained conditions 374ultimate bearing capacity in drained conditions 375

factor of safety. safe bearing capacity 375Distribution of pressures under shallow foundations 376stress distribution under loaded areas 378

fundamentals. criteria for use 378point load on an elastic half-space 379vertical stresses under the corner of a uniformly loaded rectangle 379stresses under a uniformly loaded circular area 380

settlement in soils 382general considerations 382immediate and consolidation settlement 382immediate and primary consolidation settlements in saturated clays 383settlements in granular soils 384settlements in stiff clays 384

8.3 Deep founDations 385types of pile 386single piles 387ultimate load capacity of a pile 389pile groups 391negative friction on piles 391laterally loaded piles 392

8.4 founDations on rock 392

8.5 founDations in complex geological conDitions 394expansive soils 394collapsible soils 396karstic cavities 396volcanic cavities 396soft and organic soils 397anthropogenic fills 397

8.6 site investigation 398stages in site investigations 398


references 400

9 SLOPES 401

9.1 introDuction 402

9.2 site investigations 403

9.3 factors influencing slope stability 404stratigraphy and lithology 404

geological structure and discontinuities 404hydrogeological conditions 405geomechanical properties of soil and rock masses 408In situ stresses 408other factors 409

9.4 types of slope failure 410soil slopes 410rock slopes 411

plane failure 411wedge failure 412toppling 413buckling 414non-planar failure 414

9.5 stability analysis 415introduction 415limit equilibrium methods 415

soil slopes 417rock slopes 426

stress-strain methods 432geomechanical slope classification 433

slope mass rating (smr) 433

9.6 stabilization measures 434introduction 434stabilization methods 435

modifying the geometry 435Drainage methods 436resistant structural elements 439walls and retaining elements 440surface protection measures 441

9.7 monitoring anD control 443

9.8 slope excavation 445rippability criteria 447


references 449

10 TUNNELS 451


10.2 site investigation 453

10.3 influence of geological conDitions 454geological structure 457Discontinuities 458intact rock strength 459hydrogeological conditions 460In situ stress 461

methods of analysis 462effects of high stress on tunnelling 464

CONTeNTS xi


10.4 geomechanical Design parameters 464geological and geomechanical data 464strength and deformability 465magnitude and direction of in situ stress 466

estimation of K from the tsi index 466sheorey’s method 471

water inflow and pressure 471

10.5 rock mass classifications for tunnelling 472Q system 472src rock mass classification 476suggested criteria for the application of rock mass classifications 480

10.6 tunnel support Design using rock mass classifications 480tunnel support based on rmr classification 481tunnel support based on the Q index 483

10.7 excavability 483

10.8 tunnel excavation anD support methoDs in rock 484excavation methods 487stages of excavation 489support systems 489ground improvement 491the new austrian tunnelling method 491portals 492

10.9 tunnel excavation anD support methoDs in soil 493non-mechanical excavation methods 493semi-mechanical excavation methods 493tunnel excavation with tunnel boring machines 494

10.10 geological engineering During tunnel construction 495


references 499

11 DAMS AND RESERvOIRS 501


11.2 types of Dams anD auxiliary structures 503types of dams 503

embankment dams 504concrete dams 504

auxiliary structures 506

11.3 site investigation 507planning site investigation 507

preliminary and feasibility studies 508selecting the type of dam 508Design 508construction 508operation 509

site investigation methods 509

11.4 engineering geological criteria for Dam selection 513general criteria 513foundation conditions 513availability of materials 514siting of auxiliary structures 514conditions for embankment dams 515conditions for concrete dams 515environmental considerations 515

11.5 geological materials for Dam construction 516site investigations for dam materials 516types of materials 516

cores 516rockfills and ripraps 517filters and drains 517aggregates 517

11.6 reservoir water tightness 518

11.7 permeability of Dam founDations 519uplift pressures 519erosion 519leakage control 521

11.8 reservoir slope stability 521

11.9 engineering geological conDitions for Dam founDations 523general conditions 523loads on dam foundations 523Dam foundation failure mechanisms 524stress distributions in dam foundations 527foundation improvement measurements 528Dam foundation problems and possible remedial measures 529

11.10 seismic actions anD inDuceD seismicity 532


references 533

12 EARTH STRUCTURES 535


xii CONTeNTS


CONTeNTS xiii

12.2 Design methoDology 537

12.3 materials 540earthfill embankments 540

rockfill embankments 541coarse rockfill 545

12.4 implementation anD control 545

12.5 embankments on soft soils 548

12.6 embankments on slopes 550

references anD recommenDeD reaDing 551

PART Iv – GEOLOGICAL HAzARDS13 LANDSLIDES AND OTHER MASS

MOvEMENTS 555


13.2 slope movements 556types of slope movements 557

landslides 557flows 560rock falls 561rock avalanches 562lateral displacements 562

causes of slope movements 563rainfall and climatic conditions 565changes in water level 567erosion 567earthquakes 568volcanism 569human actions 569

13.3 investigation of lanDsliDes 570general field surveys 570analysis of the processes 574Detailed investigations 576

stability analysis 580monitoring 581alarm systems 582

13.4 corrective measures 582stabilisation and protection against rock falls 583

13.5 collapse anD subsiDence 585types of movements and their causes 585

collapse 586subsidence 587

investigation of the processes 587corrective measures 589

13.6 prevention of risks from mass movements 589

susceptibility and hazard maps 591slope movement maps 591collapse and subsidence maps 592


references 593

14 SEISMIC HAzARD 595


14.2 faults anD earthquakes 596faults as the source of earthquake 596stick-slip regimes and the seismic cycle 597the seismic fault model 598slip rates and recurrence periods 599geological recording of fault activity 600the study of seismic faults 600

14.3 seismicity stuDies 604

14.4 seismic hazarD analysis 606Deterministic method 606probabilistic methods 608

14.5 seismic site response 609Design earthquake 610seismic parameters of ground motion 610modification of ground motion by local conditions 611

14.6 grounD effects inDuceD by earthquakes 613liquefaction potential 613landslides induced by earthquakes 615fault rupture 616

14.7 applications to geological engineering 617seismic hazard studies applied to site assessment 617seismic microzonation 617seismic vulnerability assessment 619


references 622

15 PREvENTION OF GEOLOGICAL HAzARDS 625

15.1 geological hazarDs 626

15.2 hazarD, risk anD vulnerability 627

15.3 safety criteria in geological engineering 631

15.4 prevention anD mitigation of geological hazarDs 638


xiv CONTeNTS

15.5 hazarD anD risk maps 639


references 642

APPENDIX A CHARTS FOR CIRCULAR AND wEDGE

FAILURE ANALySIS 643

APPENDIX B PRESSURE UNITS CONVERSION CHART 653

APPENDIX C SyMBOLS AND ACRONyMS 657

APPENDIX D LIST OF BOXES 663

APPENDIX E PERMISSIONS TO REPRODUCE FIGURES

AND TABLES 665

INDEX 671


introduction to geological engineering

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