Chapter 1

INTRODUCTION

This manual provides guidelines and instructions for

performing and documenting field work. The manual is
a ready reference for anyone engaged in field-oriented
engineering geology or geotechnical engineering. The
manual is written for general engineering geology use as
well as to meet Reclamation needs. The application of
geology to solving engineering problems is emphasized,
rather than academic or other aspects of geology. The
manual provides guidance for:

• Geologic classification and description of rock and

rock discontinuities

• Engineering classification and description of soil

and surficial deposits

• Application of standard indexes, descriptors, and

terminology

• Geologic mapping, sampling, testing, and

performing discontinuity surveys

• Exploratory drilling

• Soil and rock logging

• Acquisition of groundwater data

• Core logging

• Soil logging

• Investigation of hazardous waste sites

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Although the methods described in this manual are

appropriate for most situations, complex sites, conditions,
or design needs may require modification or expansion of
the suggestions, criteria, and indices to fit specific
requirements.

Many of the chapters in this manual will always need

revision because they cover material that changes as
technology changes. Critical comments, especially sug-
gestions for improvement, are welcome from all users,
not just the Bureau of Reclamation.

The appendix contains abbreviations and acronyms

commonly used in engineering geology.

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 Chapter 2

GEOLOGIC TERMINOLOGY
AND CLASSIFICATIONS FOR
GEOLOGIC MATERIALS

Established References for Geological

Terminology

Adaptations or refinements of the Bureau of Reclamation

(Reclamation) standards presented in this and subse-
quent chapters may be established to meet specific design
requirements or site-specific geologic complexity when
justified.

The Glossary of Geology, Fourth Edition [1]1, published by

the American Geological Institute (AGI), 1997, is accepted
by Reclamation as the standard for definitions of geologic
words and terms except for the nomenclature, definitions,
or usage established in this chapter and chapters 3, 4,
and 5.

The North American Stratigraphic Code (NASC) [2] is the

accepted system for classifying and naming stratigraphic
units. However, Reclamation's engineering geology pro-
grams are focused primarily on the engineering prop-
erties of geologic units, not on the details of formal
stratigraphic classification. Stratigraphic names are not
always consistent within the literature, often change from
one locality to another, and do not necessarily convey
engineering properties or rock types. Use of stratigraphic
names in Reclamation documents normally will be
informal (lower case) (see NASC for discussion of formal
versus informal usage). Exceptions to informal usage are
for names previously used formally in the area in discus-
sions of geologic setting or regional geology. Normally,

1
Brackets refer to bibliography entries at end of each chapter.

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the first use of formal names in a report should include a

reference to a geologic map or publication in which the
term is defined.

Geologic Classification of Materials

The following definitions of geologic materials more fully

satisfy general usage and supersede those in the Glossary
of Geology. These definitions are for geologic classifica-
tion of materials. They should not be confused with engi-
neering classifications of materials such as rock and soil
or rock and common excavation.

• Bedrock is a general term that includes any of the gen-

erally indurated or crystalline materials that make up the
Earth's crust. Individual stratigraphic units or units sig-
nificant to engineering geology within bedrock may in-
clude poorly or nonindurated materials such as beds,
lenses, or intercalations. These may be weak rock units
or interbeds consisting of clay, silt, and sand (such as the
generally soft and friable St. Peter Sandstone), or clay
beds and bentonite partings in siliceous shales of the
Morrison Formation.

•Surficial Deposits are the relatively younger materials

occurring at or near the Earth's surface overlying bed-
rock. They occur as two major classes: (1) transported
deposits generally derived from bedrock materials by
water, wind, ice, gravity, and man's intervention and
(2) residual deposits formed in place as a result of
weathering processes. Surficial deposits may be stratified
or unstratified such as soil profiles, basin fill, alluvial or
fluvial deposits, landslides, or talus. The material may be
partially indurated or cemented by silicates, oxides,
carbonates, or other chemicals (caliche or hardpan). This
term is often used interchangeably with the imprecisely

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defined word “overburden.” “Overburden” is a mining

term meaning, among other things, material overlying a
useful material that has to be removed. “Surficial
deposit” is the preferred term.

In some localities, where the distinction between bedrock

and surficial deposits is not clear, even if assigned a
stratigraphic name, a uniform practice should be estab-
lished and documented and that definition followed for
the site or study.

Guidelines for the collection of data pertaining to bedrock

and surficial deposits are presented in chapter 6.

Engineering Classification of Geologic

Materials

General

Geologic classification of materials as surficial deposits or

bedrock is insufficient for engineering purposes. Usually,
surficial deposits are described as soil for engineering
purposes, and most bedrock is described as rock; however,
there are exceptions. Contract documents often classify
structure excavations as to their ease of excavation. Also,
classification systems for tunneling in geologic materials
have been established.

Classification as Soil or Rock

In engineering applications, soil may be defined as gener-

ally unindurated accumulations of solid particles
produced by the physical and/or chemical disintegration
of bedrock and which may or may not contain organic
matter. Surficial deposits, such as colluvium, alluvium,
or residual soil, normally are described using Recla-

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mation Procedure 5005, Determining Unified Soil

Classification (Visual Method) [3]. American Society for
Testing and Materials (ASTM) Standards D2487-85,
Standard Test Method for Classification of Soils for
Engineering Purposes or D2488-84, Standard Practice for
Description and Identification of Soils (Visual-Manual
Procedure), which are based on Reclamation 5000 and
5005 [3] also may be used. Instructions for the
description and classification of soils are provided in
chapter 3. Chapter 11 provides instructions for the
logging of soils in geologic explorations. In some cases,
partially indurated soils may have rock-like
characteristics and may be described as rock.

The United States Department of Agriculture (USDA)

Agricultural Soils Classification System is used for drain-
age and land classification and some detailed Quaternary
geology studies, such as for seismotectonic investigations.

Rock as an engineering material is defined as lithified or

indurated crystalline or noncrystalline materials. Rock
is encountered in masses and as large fragments which
have consequences to design and construction differing
from those of soil. Field classification of igneous,
metamorphic, sedimentary, and pyroclastic rocks are
provided in chapter 4. Chapter 4 also presents a
suggested description format, standard descriptors, and
descriptive criteria for the lithologic and engineering
physical properties of rock. Nonindurated materials with-
in bedrock should be described using the Reclamation soil
classification standards and soil descriptors presented in
chapter 3. Engineering and geological classification and
description of discontinuities which may be present in
either soil or rock are discussed in chapter 5.

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Classification of Excavations

The engineering classification of excavation as either rock

excavation or common excavation or the definition of rock
in specifications must be evaluated and determined for
each contract document and should be based on the
physical properties of the materials (induration and other
characteristics), quantity and method of excavation, and
equipment constraints and size.

Classification of Materials for Tunneling

Classification systems are used for data reports, speci-

fications, and construction monitoring for tunnel designs
and construction. When appropriate for design, other
load prediction and classification systems may be used
such as the Q system developed by the Norwegian Geo-
technical Institute (NGI), Rock Mass Rating System
Geomechanics Classification (RMR), and Rock Structure
Rating (RSR).

The following terms for the classification of rock [4] for

tunneling are suggested:

• Intact rock contains neither joints nor hairline cracks.

If it breaks, it breaks across sound rock. On account of
damage to the rock due to blasting, spalls may drop off
the roof several hours or days after blasting. This is
known as spalling condition. Hard, intact rock may also
be encountered in the popping condition (rock burst)
involving the spontaneous and violent detachment of rock
slabs from sides or roof.

• Stratified rock consists of individual strata with little

or no resistance against separation along the boundaries

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between strata. The strata may or may not be weakened

by transverse joints. In such rock, the spalling condition
is quite common.

• Moderately jointed rock contains joints and hairline

cracks, but the blocks between joints are locally grown
together or so intimately interlocked that vertical walls
do not require lateral support. In rocks of this type, both
the spalling and the popping condition may be
encountered.

• Blocky and seamy rock consists of chemically intact

or almost intact rock fragments which are entirely
separated from each other and imperfectly interlocked.
In such rock, vertical walls may require support.

• Crushed but chemically intact rock has the char-

acter of a crusher run. If most or all of the fragments are
as small as fine sand and no recementation has taken
place, crushed rock below the water table exhibits the
properties of a water-bearing sand.

• Squeezing rock slowly advances into the tunnel

without perceptible volume increase. Movement is the
result of overstressing and plastic failure of the rock mass
and not due to swelling.

• Swelling rock advances into the tunnel chiefly on ac-

count of expansion. The capacity to swell is generally
limited to those rocks which contain smectite, a
montmorillonite group of clay minerals, with a high
swelling capacity.

Although the terms are defined, no distinct boundaries

exist between rock categories. Wide variations in the
physical properties of rocks classified by these terms and
rock loading are often the case.

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Table 2-1, Ground behavior for earth tunneling with steel

supports, provides ground classifications for different
reactions of ground to tunneling operations.

Application and Use of Standard Indexes,

Terminology, and Descriptors

This section and subsequent chapters 3, 4, and 5 provide

definitions and standard descriptors for physical
properties of geologic materials which are of engineering
significance. The ability of a foundation to support loads
imposed by various structures depends primarily on the
deformability and stability of the foundation materials
and the groundwater conditions. Description of geologic
and some manmade materials (embankments) is one of
the geologist's direct contributions to the design process.
Judgment and intuition alone are not adequate for the
safe and economical design of large complex engineering
projects. Preparation of geologic logs, maps and sections,
and detailed descriptions of observed material is the least
expensive aspect and most continuous record of a sub-
surface exploration program. It is imperative to develop
design data properly because recent advances in soil and
rock mechanics have enabled engineers and geologists to
analyze more conditions than previously possible. These
analyses rely on physical models that are developed
through geologic observation and which must be
described without ambiguity.

The need for standard geologic terminology, indexes, and

descriptors has long been recognized because it is
important that design engineers and contractors, as
well as geologists, be able to have all the facts and quali-
tative information as a common basis to arrive at
conclusions from any log of exploration, report, or draw-
ing, regardless of the preparer. Geologic terminology,

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Table 2-1.— Ground behavior for earth tunneling with

steel supports (after Terzaghi, 1977) [4]
Ground classification Reaction of ground to tunneling operation

HARD Tunnel heading may be advanced without roof support.

FIRM Ground in which a roof section of a tunnel can be left
unsupported for several days without inducing a
perceptible movement of the ground.
RAVELING Chunks or flakes of soil begin to drop out of roof at some
point during the ground-movement period.
SLOW RAVELING The time required to excavate 5 feet of tunnel and
install a rib set and lagging in a small tunnel is about
6 hours. Therefore, if the stand-up time of raveling
ground is more than 6 hours, by using ribs and lagging,
the steel rib sets may be spaced on 5-foot centers. Such
a soil would be classed as slow raveling.
FAST RAVELING If the stand-up time is less than 6 hours, set spacing
must be reduced to 4 feet, 3 feet, or even 2 feet. If the
stand-up time is too short for these smaller spacings,
liner plates should be used, either with or without rib
sets, depending on the tunnel size.
SQUEEZING Ground slowly advances into tunnel without any signs
of fracturing. The loss of ground caused by squeeze and
the resulting settlement of the ground surface can be
substantial.
SWELLING Ground slowly advances into the tunnel partly or chiefly
because of an increase in the volume of the ground. The
volume increase is in response to an increase of water
content. In every other respect, swelling ground in a
tunnel behaves like a stiff non-squeezing, or slowly
squeezing, non-swelling clay.
RUNNING The removal of lateral support on any surface rising at
an angle of more than 34E (to the horizontal) is
immediately followed by a running movement of the soil
particles. This movement does not stop until the slope
of the moving soil becomes roughly equal to 34E• if
running ground has a trace of cohesion, then the run is
preceded by a brief period of progressive raveling.
VERY SOFT SQUEEZING Ground advances rapidly into tunnel in a plastic flow.
FLOWING Ground supporting a tunnel cannot be classified as
flowing ground unless water flows or seeps through it
toward the tunnel. For this reason, a flowing condition
is encountered only in free air tunnels below the
watertable or under compressed air when the pressure
is not high enough in the tunnel to dry the bottom. A
second prerequisite for flowing is low cohesion of soil.
Therefore, conditions for flowing ground occur only in
inorganic silt, fine silty sand, clean sand or gravel, or
sand-and-gravel with some clay binder. Organic silt
may behave either as a flowing or as a very soft,
squeezing ground.

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standard descriptors, and descriptive criteria for physical

properties have been established so that geologic data are
recorded uniformly, objectively, consistently, and accu-
rately. The application of these indexes, terminology,
descriptors, and various manual and visual tests must be
applied consistently by all geologists for each particular
project. The need to calibrate themselves with others per-
forming similar tests and descriptions is imperative to
ensure that data are recorded and interpreted uniformly.
The use of these standard descriptors and terminology is
not intended to replace the geologist's or engineer's indi-
vidual judgment. The established standard qualitative
and quantitative descriptors will assist newly employed
geologists and engineers in understanding Reclamation
terminology and procedures, permit better analysis of
data, and permit better understanding by other geologists
and engineers, and by contractors. Most of the physical
dimensions established for the descriptive criteria per-
taining to rock and discontinuity characteristics have
been established using a 1-3-10-30-100 progression for
consistency, ease of memory, conversion from English to
metric (30 millimeters [mm] = 0.1 foot [ft]) units, and to
conform to many established standards used throughout
the world. Their use will improve analysis, design and
construction considerations, and specifications prepara-
tion. Contractor claims also should be reduced due to
consistent and well defined terminology and descriptors.

Alphanumeric values for many physical properties have

been established to enable the geotechnical engineer and
engineering geologist to readily analyze the geologic data.
These alphanumeric descriptors also will assist in compi-
lation of data bases and computer searches when using
computer generated logs. For consistency, the lower the
alphanumeric value, the more favorable the condition
being described. However, alphanumeric codes do not
replace a complete description of what is observed. A

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complete description provides physical dimensions

including a range and/or average in size, width, length or
other physical property, and/or descriptive information.

It is important to start physical testing of the geologic

materials as early as possible in an exploration program;
descriptors alone are not sufficient. As data are inter-
preted, index properties tests can be performed in the
field to obtain preliminary strength estimates for repre-
sentative materials or materials requiring special con-
sideration. The scope of such a program must be tailored
to each feature. Tests which are to be considered include
point load, Schmidt hammer, sliding tilt, and pocket
Torvane or penetrometer tests. These tests are described
briefly in chapters 4 and 5. Indexes to be considered
include rock hardness, durability (slaking), and Rock
Quality Designation (RQD). The type of detailed labora-
tory studies can be formulated better and the amount of
sampling and testing may be reduced if results from field
tests are available.

Units of Measurements for Geologic Logs of

Exploration, Drawings, and Reports

Metric Units

For metric specifications and studies, metric (Interna-

tional System of Units) should be used from the start of
work if possible. Logs of exploration providing depth
measurements should be given to tenths or hundredths of
meters. All linear measurements such as particle or
crystal sizes, ranges or averages in thickness, openness,
and spacing, provided in descriptor definitions in
chapters 3, 4, and 5, should be expressed in millimeters
or meters as appropriate. Pressures should be given in
pascals (Pa). Permeability (hydraulic conductivity)

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should be in centimeters per second (cm/s). In some

cases, local usage of other units such as kilogram per
square centimeter (kg/cm2) for pressure or centimeters
(cm) may be used.

English Units (U.S. Customary)

For specifications and studies using United States cus-

tomary or English units (inch-pound), depth measure-
ments should be given in feet and tenths of feet. Ranges
in thickness, openness, and spacing, are preferred in
tenths or hundredths of a foot, or feet as shown in the
descriptor definitions in chapters 4 and 5. Pressure
should be in pound-force per square inch (lbf/in2 or
PSI). Permeability should be in feet per year (ft/yr). The
exceptions to the use of English units (inch-pound) are for
describing particle and grain sizes and age dating.
Particle sizes for soils classified using American Society
for Testing and Materials/Unified Soil Classification
Systems (ASTM/USCS) should be in metric units on all
logs of exploration. For description of bedrock, particle
and grain sizes are to be in millimeters.

Age Dates

If age dates are abbreviated, the North American Strati-

graphic Commission (NASC) recommends ka for thousand
years and Ma for million years, but my or m.y. (million
years) for time intervals (for example, ". . . during a
period of 40 my . . .").

Conversion of Metric and English (U.S. Customary)

Units

Table 2-2 provides many of the most frequently used

metric and English (U.S. Customary) units for
geotechnical work.

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Table 2-2.— Useful conversion factors— metric and English units (inch-pound)

To convert units in column 1 to units in column 4, multiply column 1 by the factor in column 2.
To convert units in column 4 to units in column 1, multiply column 4 by the factor in column 3.
Column 1 Column 2 Column 3 Column 4

Length
inch (in) 2.540 X 10 1 3.937 X 10-2 millimeter (mm)
2
hundredths of feet 3.048 X 10 3.281 X 10 -3 millimeter (mm)
foot (ft) 3.048 X 10 -1 3.281 meter (m)
mile (mi) 1.6093 6.2137 X 10-1 kilometer (km)
Area
square inch (in2) 6.4516 X 10 -4
1.550 X 10-3 square meter (m2)
square foot (ft2) 9.2903 X 10 -2 1.0764 X 101 square meter (m2)
acre 4.0469 X 10 -1 2.4711 hectare
square mile (mi2) 0.386 X 10 -2 259.0 hectares
Volume
cubic inch (in3) 1.6387 X 10-2 6.102 X 10-2 cubic centimeter (cm2)
cubic feet (ft3) 2.8317 X 10-2 3.5315 x 101 cubic meter (m3)
cubic yard (yd3) 7.6455 X 10 1
1.3079 cubic meter (ms)
cubic feet (ft3) 7.4805 1.3368 x 10-1 gallon (gal)
gallon (gal) 3.7854 2.6417 X 10-1 liter (L)
acre-feet (acre-ft) 1.2335 X 103 8.1071 X 10 -4 cubic meter (m3)
Flow
gallon per minute (gal/min) 6.309 X 10-2 1.5850 X 101 liter per second (L/s)
cubic foot per second (ft3/s) 4.4883 X 102 2.228 X 10-3 gallons per minute (gal/min)
1.9835 5.0417 X 10-1 acre-feet per day (acre-ft/d)
cubic foot per second (ft3/s) 7.2398 X 102 1.3813 X 10-3 acre-feet per year (acre-ft/yr)
2.8317 X 10-2 3.531 X 101 cubic meters per second (m3/s)
8.93 X 105 1.119 X 10-6 cubic meters per year (m3/yr)
Permeability
-7
k, feet/year 9.651 X 10 1.035 X 106 k, centimeter per second
(cm/sec)
Density
pound-mass per cubic foot 1.6018 X 101 6.2429 X 10-2 kilogram per cubic meter
(lb/ft3) (kg/m3)
Unit Weight
pound force per cubic foot 0.157 6.366 kilonewton per cubic meter
(lb/ft3) (kN/m3)
Pressure
pounds per square inch (psi) 7.03 X 10-2 1.4223 X 101 kilogram per square
centimeter (kg/cm3)
6.8948 0.145 kiloPascal (kPa)
Force
ton 8.89644 1.12405 X 10-1 kilonewton (kN)
-3
pound-force 4.4482 X 10 224.8096 kilonewton (kN)
Temperature
EC = 5/9 (EF - 32 E) EF (9/5 EC) + 32 E
=

Grouting
Metric bag cement per meter 3.0 0.33 U.S. bag cement per foot
Water:cement ratio 0.7 1.4 water:cement ratio by weight
by volume
pounds per square inch 0.2296 4.3554 kilogram per square centi-
per foot meter per meter (kg/cm2/m)
k, feet/year 0.1 10 Lugeon

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BIBLIOGRAPHY

[1] The Glossary of Geology, 4th edition, American

Geologic Institute, Alexandria, VA, 1997.

[2] The American Association of Petroleum Geologists

Bulletin, v. 67, No. 5, pp. 841-875, May 1983.

[3] Bureau of Reclamation, Earth Manual, 3rd edition,

part 2, Denver, CO, 1990.

[4 ] Proctor, Robert V., and Thomas L. White, "Earth

Tunneling with Steel Supports," Commercial
Shearing, Inc., 1775 Logan Avenue, Youngstown, OH
44501, 1977.

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 Chapter 3

ENGINEERING CLASSIFICATION
AND DESCRIPTION OF SOIL

General

Application

Soil investigations conducted for engineering purposes

that use test pits, trenches, auger and drill holes, or other
exploratory methods and surface sampling and mapping
are logged and described according to the Unified Soil
Classification System (USCS) as presented in Bureau of
Reclamation (Reclamation) standards USBR 5000 [1] and
5005 [2]. Also, bedrock materials with the engineering
properties of soils are described using these standards
(chapter 2). The Reclamation standards are consistent
with the American Society for Testing Materials (ASTM)
Designation D2487 and 2488 on the USCS system [3,4].
Descriptive criteria and terminology presented are
primarily for the visual classification and manual tests.
The identification portion of these methods in assigning
group symbols is limited to soil particles smaller than
3 inches (in) (75 millimeters [mm]) and to naturally
occurring soils. Provisions are also made to estimate the
percentages of cobbles and boulders by volume. This
descriptive system may also be applied to shale, shells,
crushed rock, and other materials if done according to
criteria established in this section. Chapter 11 addresses
the logging format and criteria for describing soil in test
pits, trenches, auger holes, and drill hole logs.

All investigations associated with land classification for

irrigation suitability, data collection, analyses of soil
and substratum materials related to drainage inves-
tigations, and Quaternary stratigraphy (e.g., fault and
paleoflood studies) are logged and described using the

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U.S. Department of Agriculture terminology outlined in
appendix I to Agriculture Handbook No. 436 (Soil
Taxonomy), dated December 1975 [5].

All soil classification descriptions for particle sizes less

than No. 4 sieve size are to be in metric units.

Performing Tests and Obtaining Descriptive

Information

The USCS groups soils according to potential engineering

behavior. The descriptive information assists with esti-
mating engineering properties such as shear strength,
compressibility, and permeability. These guidelines can
be used not only for identification of soils in the field but
also in the office, laboratory, or wherever soil samples are
inspected and described.

Laboratory classification of soils [1] is not always

required but should be performed as necessary and can be
used as a check of visual-manual methods. The descrip-
tors obtained from visual-manual inspection provide
valuable information not obtainable from laboratory
testing. Visual-manual inspection is always required.
The visual-manual method has particular value in
identifying and grouping similar soil samples so that only
a minimum number of laboratory tests are required for
positive soil classification. The ability to identify and
describe soils correctly is learned more readily under the
guidance of experienced personnel, but can be acquired by
comparing laboratory test results for typical soils of each
type with their visual and manual characteristics. When
identifying and describing soil samples from an area or
project, all the procedures need not be followed. Similar
soils may be grouped together; for example, one sample
should be identified and described completely, with the
others identified as similar based on performing only a
few of the identification and descriptive procedures.

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Descriptive information should be evaluated and reported
on every sample.

The sample used for classification must be representative

of the stratum and be obtained by an appropriate ac-
cepted or standard procedure. The origin of the material
must be correctly identified. The origin description may
be a boring number and depth and/or sample number, a
geologic stratum, a pedologic horizon, or a location
description with respect to a permanent monument, a
grid system, or a station number and offset.

Terminology for Soils

Definitions for soil classification and description are in

accordance with USBR 3900 Standard Definitions of
Terms and Symbols Relating to Soil Mechanics [6]:

Cobbles and boulders—particles retained on a 3-inch

(75-mm) U.S. Standard sieve. The following terminology
distinguishes between cobbles and boulders:

• Cobbles—particles of rock that will pass a 12-in

(300-mm) square opening and be retained on a 3-in
(75-mm) sieve.

• Boulders—particles of rock that will not pass a

12-in (300-mm) square opening.

Gravel—particles of rock that will pass a 3-in (75-mm)

sieve and is retained on a No. 4 (4.75-mm) sieve. Gravel
is further subdivided as follows:

• Coarse gravel—passes a 3-in (75-mm) sieve and is

retained on 3/4-in (19-mm) sieve.

• Fine gravel—passes a ¾-in (19-mm) sieve and is

retained on No. 4 (4.75-mm) sieve.

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Sand—particles of rock that will pass a No. 4 (4.75-mm)

sieve and is retained on a No. 200 (0.075-mm or 75-micro-
meter [µm]) sieve. Sand is further subdivided as follows:

• Coarse sand—passes No. 4 (4.75-mm) sieve and is

retained on No. 10 (2.00-mm) sieve.

• Medium sand—passes No. 10 (2.00-mm) sieve and

is retained on No. 40 (425-µm) sieve.

• Fine sand—passes No. 40 (425-µm) sieve and is

retained on No. 200 (0.075-mm or 75-µm) sieve.

Clay—passes a No. 200 (0.075-mm or 75-µm) sieve. Soil

has plasticity within a range of water contents and has
considerable strength when air-dry. For classification,
clay is a fine-grained soil, or the fine-grained portion of a
soil, with a plasticity index greater than 4 and the plot of
plasticity index versus liquid limit falls on or above the
"A"-line (figure 3-5, later in this chapter).

Silt—passes a No. 200 (0.075-mm or 75-µm) sieve. Soil

is nonplastic or very slightly plastic and that exhibits
little or no strength when air-dry is a silt. For
classification, a silt is a fine-grained soil, or the fine-
grained portion of a soil, with a plasticity index less than
4 or the plot of plasticity index versus liquid limit falls
below the "A"-line (figure 3-5).

Organic clay—clay with sufficient organic content to in-

fluence the soil properties is an organic clay. For classifi-
cation, an organic clay is a soil that would be classified as
a clay except that its liquid limit value after oven-drying
is less than 75 percent of its liquid limit value before
oven-drying.

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Organic silt—silt with sufficient organic content to in-
flu-ence the soil properties. For classification, an organic
silt is a soil that would be classified as a silt except that
its liquid limit value after oven-drying is less than
75 percent of its liquid limit value before oven-drying.

Peat—material composed primarily of vegetable tissues

in various stages of decomposition, usually with an or-
ganic odor, a dark brown to black color, a spongy con-
sistency, and a texture ranging from fibrous to amor-
phous. Classification procedures are not applied to peat.

Classifications of Soils

Group Names and Group Symbols

The identification and naming of a soil based on results

of visual and manual tests is presented in a subsequent
section. Soil is given an identification by assigning a
group symbol(s) and group name. Important information
about the soil is added to the group name by the term
"with" when appropriate (figures 3-1, 3-2, 3-3, 3-4). The
group name is modified using “with” to stress other
significant components in the soil.

Figure 3-2 is a flow chart for assigning typical names and

group symbols for inorganic fine-grained soils; figure 3-3
is a flow chart for organic fine-grained soils; figure 3-4 is
a flow chart for coarse-grained soils. Refer to tables 3-1
and 3-2 for the basic group names without modifiers. If
the soil has properties which do not distinctly place it in

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FINE-GRAINED SOILS

Sandy BASIC with sand

GROUP NAME
Gravelly with gravel

COARSE-GRAINED SOILS

with silt BASIC with sand

GROUP NAME
with clay with gravel

Figure 3-1.—Modifiers to basic soil group names

(for visual classification).

a specific group, borderline symbols may be used. There

is a distinction between dual symbols and borderline
symbols.

Dual Symbols.—Dual symbols separated by a hyphen

are used in laboratory classification of soils and in visual
classification when soils are estimated to contain
10 percent fines. A dual symbol (two symbols separated
by a hyphen, e.g., GP-GM, SW-SC, CL-ML) should be
used to indicate that the soil has the properties of a
classification where two symbols are required. Dual sym-
bols are required when the soil has between 5 and
12 percent fines from laboratory tests (table 3-2), or fines
are estimated as 10 percent by visual classification. Dual
symbols are also required when the liquid limit and
plasticity index values plot in the CL-ML area of the
plasticity chart (figure 3-5, later in this chapter).

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Figure 3-2.—Flow chart for inorganic fine-grained soils, visual method.
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Figure 3-3.—Flow chart for organic soils, visual method.
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Figure 3-4.—Flow chart for coarse-grained soils, visual method.
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Table 3-1.—Basic group names, primary groups

Coarse-grained soils Fine-grained soils

GW - Well graded gravel CL - Lean clay
GP - Poorly graded gravel ML - Silt
GM - Silty gravel OL - Organic clay (on or
GC - Clayey gravel sand above A-line
SW - Well graded sand - Organic silt (below A-line)
SP - Poorly graded sand CH - Fat clay
SM - Silty sand MH - Elastic silt
SC - Clayey sand OH - Organic clay (on or above
A-line)
- Organic silt (below A-line)
Basic group name—hatched area on Plasticity Chart
(Laboratory Classification)
CL-ML - Silty clay
GC-GM - Silty, clayey gravel
SC-SM - Silty, clayey sand

Table 3-2.—Basic group names, 5 to 12 percent fines

(Laboratory Classification)

GW-GM - Well graded gravel with silt

GW-GC - Well graded gravel with clay (if fines =
CL-ML) Well graded gravel with silty clay
GP-GM - Poorly graded gravel with silt
GP-GC - Poorly graded gravel with clay (if fines =
CL-ML) Poorly graded gravel with silty clay
SW-SM - Well graded sand with silt
SW-SC - Well graded sand with clay (if fines = CL-ML)
Well graded sand with silty clay
SP-SM - Poorly graded sand with silt
SP-SC - Poorly graded sand with clay (if fines =
CL-ML) Poorly graded sand with silty clay

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Borderline Symbols.—Borderline symbols are used
when soil properties indicate the soil is close to another
classification group. Two symbols separated by a slash,
such as CL/CH, SC/CL, GM/SM, CL/ML, should be used
to indicate that the soil has properties that do not
distinctly place the soil into a specific group. Because the
visual classification of soil is based on estimates of
particle-size distribution and plasticity characteristics, it
may be difficult to clearly identify the soil as belonging to
one category. To indicate that the soil may fall into one
of two possible basic groups, a borderline symbol may be
used with the two symbols separated by a slash. A
borderline classification symbol should not be used
indiscriminately. Every effort should be made first to
place the soil into a single group. Borderline symbols can
also be used in laboratory classification, but less
frequently.

A borderline symbol may be used when the percentage of

fines is visually estimated to be between 45 and 55 per-
cent. One symbol should be for a coarse-grained soil with
fines and the other for a fine-grained soil. For example:
GM/ML, CL/SC.

A borderline symbol may be used when the percentage of

sand and the percentage of gravel is estimated to be
about the same, for example, GP/SP, SC/GC, GM/SM. It
is practically impossible to have a soil that would have a
borderline symbol of GW/SW. However, a borderline
symbol may be used when the soil could be either well
graded or poorly graded. For example: GW/GP, SW/SP.

A borderline symbol may be used when the soil could be

either a silt or a clay. For example: CL/ML, CH/MH,
SC/SM.

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A borderline symbol may be used when a fine-grained soil
has properties at the boundary between a soil of low com-
pressibility and a soil of high compressibility. For
example: CL/CH, MH/ML.

The order of the borderline symbol should reflect simi-

larity to surrounding or adjacent soils. For example, soils
in a borrow area have been predominantly identified as
CH. One sample has the borderline symbol of CL and
CH. To show similarity to the adjacent CH soils, the
borderline symbol should be CH/CL.

The group name for a soil with a borderline symbol

should be the group name for the first symbol, except for:

CL/CH - lean to fat clay

ML/CL - clayey silt
CL/ML - silty clay

Preparation for Identification and Visual

Classification

A usually dark-brown to black material composed

primarily of vegetable tissue in various stages of decom-
position with a fibrous to amorphous texture and organic
odor is a highly organic soil and classified as peat, PT.
Plant forms may or may not be readily recognized. In
general, the greater the organic content, the greater the
water content, void ratio, and compressibility of peat.
Organic soils are often identified by their odor. To check
for organic content, the soil can be subjected to the
laboratory classification liquid limit test criteria. Organic
soils can also be identified through laboratory loss-on-
ignition tests. Materials identified as peat are not sub-
jected to the following identification procedures.

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Soil identification procedures are based on the minus 3-in
(75-mm) particle sizes. All plus 3-in (75-mm) particles
must be manually removed from a loose sample, or
mentally for an intact sample, before classifying the soil.
Estimate and note the percent by volume of the plus 3-in
(75-mm) particles, both the percentage of cobbles and the
percentage of boulders.

Note: Because the percentages of the particle-

size distribution in laboratory classification
(ASTM: D 2487) are by dry weight and the
estimates of percentages for gravel, sand, and
fines are by dry weight, the description should
state that the percentages of cobbles and
boulders are by volume, not weight, for visual
classification. Estimation of the volume of cob-
bles and boulders is not an easy task. Accurate
estimating requires experience. While exper-
ienced loggers may be able to successfully
estimate the minus 3-in fraction to within
5 percent, the margin of error could be larger for
oversize particles. Estimates can be confirmed
or calibrated with large scale field gradation
tests on critical projects. Given the large pos-
sible errors in these estimates, the estimates
should not be used as the sole basis for design of
processing equipment. Large scale gradations
should be obtained as part of the process plant
designs.

In most cases, the volume of oversize is estimated in

three size ranges, 3 to 5, 5 to 12, and 12 inches and
larger. Cobbles are often divided into two size ranges,
because in roller compacted fill of 6-in compacted lift
thickness, the maximum size cobble is 5 inches. If the
purpose of the investigation is not for roller compacted
fill, a single size range for cobbles can be estimated.

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Estimate and note the percentage by dry weight of the
gravel, sand, and fines of the fraction of the soil smaller
than 3 in (75-mm). The percentages are estimated to the
closest 5 percent. The percentages of gravel, sand, and
fines must add up to 100 percent, excluding trace
amounts. The presence of a component not in sufficient
quantity to be considered 5 percent in the minus 3-in
(75-mm) portion, is indicated by the term "trace." For ex-
ample: trace of fines. A trace is not considered in the
total of 100 percent for the components.

The first step in the identification procedure is to

determine the percentages of fine-grained and coarse-
grained materials in the sample. The soil is fine-grained
if it contains 50 percent or more fines. The soil is coarse-
grained if it contains less than 50 percent fines.
Procedures for the description and classification of these
two preliminary identification groups follow.

Procedures and Criteria for Visual Classification

of Fine-Grained Soils

Select a representative sample of the material for

examination and remove particles larger than the
No. 40 sieve (medium sand and larger) until a specimen
equivalent to about a handful of representative material
is available. Use this specimen for performing the
identification tests.

Identification Criteria for Fine-Grained Soils.—The

tests for identifying properties of fines are dry strength,
dilatency, toughness, and plasticity.

1. Dry strength.—Select from the specimen enough

material to mold into a ball about 1 in (25 mm) in
diameter. Mold or work the material until it has the
consistency of putty, adding water if necessary.

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From the molded material, make at least three test
specimens. Each test specimen should be a ball of
material about ½ in (12 mm) in diameter. Allow the
test specimens to dry in air or sun, or dry by artificial
means, as long as the temperature does not exceed
60 degrees Centigrade (EC). In most cases, it will be
necessary to prepare specimens and allow them to
dry over night. If the test specimen contains natural
dry lumps, those that are about ½ in (12 mm) in
diameter may be used in place of molded balls. (The
process of molding and drying usually produces
higher strengths than are found in natural dry lumps
of soil). Test the strength of the dry balls or lumps by
crushing them between the fingers and note the
strength as none, low, medium, high, or very high
according to the criteria in table 3-3. If natural dry
lumps are used, do not use the results of any of the
lumps that are found to contain particles of coarse
sand.

Table 3-3.—Criteria for describing dry strength

None The dry specimen crumbles with mere

pressure of handling.

Low The dry specimen crumbles with some

finger pressure.

Medium The dry specimen breaks into pieces or

crumbles with considerable finger
pressure.
High The dry specimen cannot be broken with
finger pressure. Specimen will break into
pieces between thumb and a hard surface.
Very High The dry specimen cannot be broken
between thumb and a hard surface.

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The presence of high-strength, water-soluble cement-
ing materials, such as calcium carbonate, may cause
exceptionally high dry strengths. The presence of
calcium carbonate can usually be detected from the
intensity of the reaction with dilute hydrocloric acid
(HCl). Criteria for reaction with HCl are presented
in a subsequent paragraph.

2. Dilatancy.—Select enough material from the

specimen to mold into a ball about ½ in (12 mm) in
diameter. Mold the material, adding water if neces-
sary, until it has a soft, but not sticky, consistency.
Smooth the soil ball in the palm of one hand with the
blade of a knife or spatula. Shake horizontally (the
soil ball), striking the side of the hand vigorously
against the other hand several times. Note the
reaction of the water appearing on the surface of the
soil. Squeeze the sample by closing the hand or
pinching the soil between the fingers and note
reaction as none, slow, or rapid according to the
criteria in table 3-4. The reaction criteria are the
speeds with which water appears while shaking and
disappears while squeezing.

Table 3-4.—Criteria for describing dilatancy

None No visible change in the specimen.

Slow Water slowly appears on the surface of the
specimen during shaking and does not disap-
pear or disappears slowly upon squeezing.
Rapid Water quickly appears on the surface of the
specimen during shaking and disappears
upon squeezing.

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3. Toughness.—Following completion of the
dilatancy test, the specimen is shaped into an
elongated pat and rolled by hand on a smooth surface
or between the palms into a thread about c in
(3 mm) diameter. (If the sample is too wet to roll
easily, spread the sample out into a thin layer and
allow some water loss by evaporation). Fold the
sample threads and reroll repeatedly until the thread
crumbles at a diameter of about c in (3 mm) when
the soil is near the plastic limit. Note the time
required to reroll the thread to reach the plastic
limit. Note the pressure required to roll the thread
near the plastic limit. Also, note the strength of the
thread. After the thread crumbles, the pieces should
be lumped together and kneaded until the lump
crumbles. Note the toughness of the material during
kneading.

Describe the toughness of the thread and lump as

low, medium, or high according to the criteria in
table 3-5.

Table 3-5.—Criteria for describing toughness

Low Only slight pressure is required to roll the

thread near the plastic limit. The thread
and the lump are weak and soft.

Medium Medium pressure is required to roll the

thread to near the plastic limit. The thread
and the lump have medium stiffness.

High Considerable pressure is required to roll the

thread to near the plastic limit. The thread
and the lump have very high stiffness.

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4. Plasticity.—On the basis of observations made
during the toughness test, describe the plasticity of
the material according to the criteria given in
table 3-6 (figure 3-5).

Table 3-6.—Criteria for describing plasticity

Nonplastic A 3-mm thread cannot be rolled at any

water content.

Low The thread can barely be rolled, and the

lump cannot be formed when drier than
the plastic limit.

Medium The thread is easy to roll, and not much

time is required to reach the plastic limit.
The thread cannot be rerolled after
reaching the plastic limit. The lump
crumbles when drier than the plastic
limit.

High It takes considerable time rolling and

kneading to reach the plastic limit. The
thread can be rolled several times after
reaching the plastic limit. The lump can
be formed without crumbling when drier
than the plastic limit.

After the dry strength, dilatency, toughness, and

plasticity tests have been performed, decide on
whether the soil is an organic or an inorganic fine-
grained soil.

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Figure 3-5.—Plasticity chart.
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Identification of Inorganic Fine-Grained Soils.—
Classify the soils using the results of the manual tests
and the identifying criteria shown in table 3-7. Possible
inorganic soils include lean clay (CL), fat clay (CH), silt
(ML), and elastic silt (MH). The properties of an elastic
silt are similar to those for a lean clay. However, the silt
will dry quickly on the hand and have a smooth, silky feel
when dry. Some soils which classify as MH according to
the field classification criteria are difficult to distinguish
from lean clays, CL. It may be necessary to perform
laboratory testing to ensure proper classification.

Table 3-7.—Identification of inorganic fine-grained

soils from manual tests

Group Dry
symbol strength Dilatancy Toughness
ML None to low Slow to Low or thread
rapid cannot be formed
CL Medium to high None to slow Medium
MH Low to medium None to slow Low to medium
CH High to very None High
high

Some soils undergo irreversible changes upon air drying.

These irreversible processes may cause changes in
atterberg limits and other index tests. Even unsuspected
soils such as low plasticity silts may have differing
atterberg limits due to processes like disaggregation.
When tested at natural moisture, clay particles cling to
silt particles resulting in less plasticity. When dried, the
clay disaggregates, making a finer and more well graded
mix of particles with increased plasticity.

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For foundation studies of existing or new structures,
natural moisture atterberg limits are preferred because
the in-place material will remain moist. Natural mois-
ture atterberg limits are especially important in critical
studies, such as earthquake liquefaction evaluation of
silts. On some foundation studies, such as for pumping
plant design, consolidation tests will govern, and natural
moisture atterbergs are not required. For borrow studies,
soils will likely undergo moisture changes, and natural
moisture atterberg limits are not required unless unusual
mineralogy is encountered.

Identification of Organic Fine-Grained Soils.—If the

soil contains enough organic particles to influence the soil
properties, classify the soil as an organic soil, OL or OH.
Organic soils usually are dark brown to black and usually
have an organic odor. Often organic soils will change
color, (black to brown) when exposed to air. Organic soils
normally do not have high toughness or plasticity. The
thread for the toughness test is spongy. In some cases,
further identification of organic soils as organic silts or
organic clays, OL or OH is possible. Correlations between
the dilatancy, dry strength, and toughness tests with
laboratory tests can be made to classify organic soils in
similar materials.

Modifiers for Fine-Grained Soil Classifications.—If

based on visual observation, the soil is estimated to have
15 to 25 percent sand and/or gravel, the words "with sand
and/or gravel" are added to the group name, for example,
LEAN CLAY WITH SAND, (CL); SILT WITH SAND AND
GRAVEL (ML). Refer to figures 3-2 and 3-3. If the soil is
visually estimated to be 30 percent or more sand and/or
gravel, the words "sandy" or "gravelly" are added to the
group name. Add the word "sandy" if there appears to be
more sand than gravel. Add the word "gravelly" if there
appears to be more gravel than sand, for example,
SANDY LEAN CLAY (CL); GRAVELLY FAT CLAY (CH);

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SANDY SILT (ML). Refer to figures 3-2 and 3-3. Note
that the Laboratory Classification follows different
criteria.

Procedures and Criteria for Visual Classification

of Coarse-Grained Soils

A representative sample containing less than 50 percent

fines is identified as a coarse-grained soil.

The soil is a gravel if the percentage by weight of gravel

is estimated to be more than the percentage of sand.

The soil is a sand if the percentage by weight of sand is

estimated to be more than the percentage of gravel.

The soil is a clean gravel or clean sand if the percentages

of fines are visually estimated to be 5 percent or less. A
clean gravel or sand is further classified by grain size
distribution.

The soil is classified as a WELL GRADED GRAVEL

(GW), or as a WELL GRADED SAND (SW), if a wide
range of particle sizes and substantial amounts of the
intermediate particle sizes are present. The soil is
classified as a POORLY GRADED GRAVEL (GP) or as a
POORLY GRADED SAND (SP) if the material is
predominantly one size (uniformly graded) or the soil has
a wide range of sizes with some intermediate sizes
obviously missing (gap or skip graded).

The soil is identified as either gravel with fines or sand

with fines if the percentage of fines is visually estimated
to be 15 percent or more.

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Classify the soil as a CLAYEY GRAVEL (GC) or a
CLAYEY SAND (SC) if the fines are clayey as determined
by the procedures for fine-grained soil identification.

Identify the soil as a SILTY GRAVEL (GM) or a SILTY

SAND (SM) if the fines are silty as determined by the pro-
cedures for fine-grained soil identification.

If the soil is visually estimated to contain 10 percent

fines, give the soil a dual classification using two group
symbols. The first group symbol should correspond to a
clean gravel or sand (GW, GP, SW, SP), and the second
symbol should correspond to a gravel or sand with fines
(GC, GM, SC, SM). The typical name is the first group
symbol plus "with clay" or "with silt" to indicate the
plasticity characteristics of the fines. For example,
WELL GRADED GRAVEL WITH CLAY (GW-GC);
POORLY GRADED SAND WITH SILT (SP-SM). Refer to
figure 3-4.

If the specimen is predominantly sand or gravel but con-

tains an estimated 15 percent or more of the other
coarse-grained constituent, the words "with gravel" or
"with sand" are added to the group name. For example:
POORLY GRADED GRAVEL WITH SAND (GP); CLAY-
EY SAND WITH GRAVEL (SC). Refer to figure 3-4.

If the field sample contained any cobbles and/or boulders,

the words "with cobbles" or "with cobbles and boulders"
are added to the group name, for example, SILTY GRA-
VEL WITH COBBLES (GM).

Abbreviated Soil Classification Symbols

If space is limited, an abbreviated system may be used to

indicate the soil classification symbol and name such as
in logs, data bases, tables, etc. The abbreviated system

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is not a substitute for the full name and descriptive infor-
mation but can be used in supplementary presentations.
The abbreviated system consists of the soil classification
system based on this chapter, with prefixes and suffixes
as listed below.

Prefix: s = sandy g = gravelly

Suffix: s = with sand g = with gravel
c = with cobbles b = with boulders

The soil classification symbol is enclosed in parentheses.

Examples are:

CL, sandy lean clay s(CL)

SP-SM, poorly graded sand (SP-GM)g
with silt and gravel
GP, poorly graded gravel with sand, (GP)scb
cobbles, and boulders
ML, gravelly silt with sand g(ML)sc
and cobbles

Description of the Physical Properties of Soil

Descriptive information for classification and reporting

soil properties such as angularity, shape, color, moisture
conditions, and consistency are presented in the following
paragraphs.

Angularity

Angularity is a descriptor for coarse-grained materials

only. The angularity of the sand (coarse sizes only),
gravel, cobbles, and boulders, are described as angular,

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subangular, subrounded, or rounded as indicated by the
criteria in table 3-8. A range of angularity may be stated,
such as: sub-rounded to rounded.

Table 3-8.—Criteria for describing angularity of

coarse-grained particles

Angular Particles have sharp edges and relatively

planar sides with unpolished surfaces.

Subangular Particles are similar to angular description

but have rounded edges.

Subrounded Particles have nearly planar sides but well-

rounded corners and edges.

Rounded Particles have smoothly curved sides and no

edges.

Shape

Describe the shape of the gravel, cobbles, and boulders as

“flat, elongated” or “flat and elongated” if they meet the
criteria in table 3-9. Indicate the fraction of the particles
that have the shape, such as: one-third of gravel particles
are flat. If the material is to be processed or used as
aggregate for concrete, note any unusually shaped
particles.

Color

Color is an especially important property in identifying

organic soils and is often important in identifying other
types of soils. Within a given locality, color may also be
useful in identifying materials of similar geologic units.
Color should be described for moist samples. Note if color

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Table 3-9.—Criteria for describing particle shape

The particle shape is described as follows, where length,

width, and thickness refer to the greatest, intermediate, and
least dimensions of a particle, respectively.

Flat Particles with width/thickness >3.

Elongated Particles with length/width >3.

Flat and Particles meet criteria for both flat and

elongated elongated.

represents a dry condition. If the sample contains layers

or patches of varying colors, this should be noted, and
representative colors should be described. The Munsel
Color System may be used for consistent color
descriptions.

Odor

Describe the odor if organic or unusual. Soils containing

a significant amount of organic material usually have
a distinctive odor of decaying vegetation. This is espe-
cially apparent in fresh samples, but if the samples are
dried, the odor often may be revived by heating a moist-
ened sample. If the odor is unusual, such as that of a
petroleum product or other chemical, the material should
be described and identified if known. The material may
be hazardous, and combustion or exposure should be
considered.

Moisture Conditions

Describe the moisture condition as dry, moist, or wet, as

indicated by the criteria in table 3-10.

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Table 3-10.—Criteria for describing moisture

condition

Dry Absence of moisture, dusty, dry to the touch.

Moist Damp but no visible water.

Wet Visible free water, usually soil is below water

table.

Reaction with HCl

Describe the reaction with HCl as none, weak, or strong,

as indicated by the criteria in table 3-11. Calcium
carbonate is a common cementing agent. The reaction
with dilute hydrochloric acid is important in determining
the presence and abundance of calcium carbonate.

Table 3-11.—Criteria for describing reaction with HCl

None No visible reaction.

Weak Some reaction, with bubbles forming slowly.

Strong Violent reaction, with bubbles forming immediately.

Consistency

Describe consistency (degree of firmness) for intact fine-

grained soils as very soft, soft, firm, hard, or very hard, as
indicated by the criteria in table 3-12. This observation
is inappropriate for soils with significant amounts of
gravel. Pocket penetrometer or torvane testing may sup-
plement this data.

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Table 3-12.—Criteria for describing consistency of in-place or
undisturbed fine-grained soils

Very soft Thumb will penetrate soil more than 1 in

(25 mm).

Soft Thumb will penetrate soil about 1 in (25 mm).

Firm Thumb will indent soil about 1/4 in (5 mm).

Hard Thumb will not indent soil but readily indented

with thumbnail.
Very hard Thumbnail will not indent soil.

Cementation

Describe the cementation of intact soils as weak,

moderate, or strong, as indicated by the criteria in
table 3-13.

Table 3-13.—Criteria for describing cementation

Weak Crumbles or breaks with handling or little

finger pressure.

Moderate Crumbles or breaks with considerable finger

pressure.

Strong Will not crumble or break with finger pressure.

Structure (Fabric)

Describe the structure of the soil according to criteria

described in table 3-14. The descriptors presented are for
soils only; they are not synonymous with descriptors for
rock.

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Table 3-14.—Criteria for describing structure

Stratified Alternating layers of varying material or

color; note thicknesses.

Laminated1 Alternating layers of varying material or

color with layers less than 6 mm thick; note
thicknesses.

Fissured1 Breaks along definite planes with little

resistance to fracturing.

Slickensided1 Fracture planes appear polished or glossy,

sometimes striated.

Blocky1 Cohesive soil that can be broken down into

small angular lumps which resist further
breakdown.

Lenses Inclusion of small pockets of different soils,

such as small lenses of sand scattered
through a mass of clay; note thicknesses.

Homogeneous Same color and textural or structural

appearance throughout.
1
Do not use for coarse-grained soils with the exception of fine
sands which can be laminated.

Particle Sizes

For gravel and sand-size components, describe the range

of particle sizes within each component as defined in the
previous terminology paragraph. Descriptive terms,
sizes, and examples of particle sizes are shown in
table 3-15.

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Table 3-15.—Particle sizes

Descriptive Familiar example within

term Size the size range
Boulder 300 mm or more Larger than a volleyball
Cobble 300 mm to 75 mm Volleyball - grapefruit -
orange
Coarse gravel 75 mm to 20 mm Orange - grape
Fine gravel 20 mm to No. 4 Grape - pea
sieve (5 mm)
Coarse sand No. 4 sieve to Sidewalk salt
No. 10 sieve
Medium sand No. 10 sieve to Openings in window
No. 40 sieve screen
Fine sand No. 40 sieve to Sugar - table salt, grains
No. 200 sieve barely visible

Describe the maximum particle size found in the sample.

For reporting maximum particle size, use the following
descriptors and size increments:

Fine sand
Medium sand
Coarse sand
5-mm increments from 5 mm to 75 mm
25-mm increments from 75 mm to 300 mm
100-mm increments over 300 mm

For example: "maximum particle size 35 mm"

"maximum particle size 400 mm"

If the maximum particle size is sand size, describe as

fine, medium, or coarse sand; for example, maximum par-
ticle size, medium sand.

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If the maximum particle size is gravel size, describe the
maximum particle size as the smallest sieve opening that
the particle would pass.

If the maximum particle size is cobble or boulder size,

describe the maximum dimension of the largest particle.

Particle Hardness

Describe the hardness of coarse sand and larger particles

as hard, or state what happens when the particles are hit
by a hammer; e.g., gravel-size particles fracture with
considerable hammer blow, some gravel-size particles
crumble with hammer blow. Hard means particles do not
fracture or crumble when struck with a hammer.
Remember that the larger the particle, the harder the
blow required to fracture it. A good practice is to describe
the particle size and the method that was used to
determine the hardness.

Additional Descriptive Information

Additional descriptive information may include unusual

conditions, geological interpretation or other classifi-
cation methods, such as:

Presence of roots or root holes or other organic

material or debris;
Degree of difficulty in drilling or augering hole or ex-
cavating a pit; or
Raveling or caving of the trench, hole, pit, or exposure;
or
Presence of mica or other predominant minerals.

A local or commercial name and/or a geologic interpreta-

tion should be provided for the soil.

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A classification or identification of the soil according to
other classification systems may be added.

Narrative Descriptions and Examples

The description should include the information shown in

tables 3-16 and 3-17, a checklist for the description of
soils. Example descriptions follow.

Table 3-16.—Checklist for the description of soil

classification and identification

1. Group name and symbol

2. Percent gravel, sand, and/or fines
3. Percent by volume of cobbles and boulders
4. Particle size
Gravel - fine, coarse
Sand - fine, medium, coarse
5. Particle angularity
angular subangular subrounded rounded
6. Particle shape
flat elongated flat and elongated
7. Maximum particle size or dimension
8. Hardness of coarse sand and larger particles
9. Plasticity of fines
nonplastic low medium high
10. Dry strength
none low medium high very high
11. Dilatancy
none slow rapid
12. Toughness
low medium high
13. Color (when moist)
14. Odor (if organic or unusual)
15. Moisture
dry moist wet
16. Reaction with HCL
none weak strong

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Table 3-17.—Checklist for the description
of in-place conditions

In-place conditions:

1. Consistency (fine-grained soils only)

very soft soft firm hard very hard
2. Cementation
weak moderate strong
3. Structure
stratified laminated fissured slickened lensed
homogeneous
4. Geologic interpretation and/or local name, if any
5. Additional comments and description
Presence of roots or root holes
Presence of mica, gypsum, etc.
Surface coatings
Caving or sloughing of excavation
Excavation difficulty

Example 1: CLAYEY GRAVEL WITH SAND AND COB-

BLES (GC)—Approximately 50 percent fine to coarse,
sub-rounded to subangular gravel; approximately
30 percent fine to coarse, subrounded sand;
approximately 20 per-cent fines with medium plasticity,
high dry strength, no dilatancy, medium toughness; weak
reaction with HCl; original field sample had about
5 percent (by volume) subrounded cobbles, maximum size
150 mm.

IN-PLACE CONDITIONS: firm, homogeneous, dry,

brown.

GEOLOGIC INTERPRETATION: alluvial fan.

Abbreviated symbol is (GC)sc.

Example 2: WELL GRADED GRAVEL WITH SAND

(GW)—Approximately 75 percent fine to coarse, hard,
sub-angular gravel; approximately 25 percent fine to

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coarse, hard, subangular sand; trace of fines; maximum
size 75 mm, brown, dry; no reaction with HCl.

Abbreviated symbol is (GW)s

Example 3: SILTY SAND WITH GRAVEL (SM)—Ap-

proximately 60 percent predominantly fine sand; approxi-
mately 25 percent silty fines with low plasticity, low dry
strength, rapid dilatancy, and low toughness; approxi-
mately 15 percent fine, hard, subrounded gravel, a few
gravel-size particles fractured with hammer blow;
maximum size 25 mm; no reaction with HCl.

IN-PLACE CONDITIONS: firm, stratified, and contains

lenses of silt 1- to 2-in thick, moist, brown to gray;
in-place density was 106 pounds per cubic foot (lb/ft3), and
in-place moisture was 9 percent.

GEOLOGIC INTERPRETATION: ALLUVIUM

Abbreviated symbol is (SM)g.

Example 4: ORGANIC SOIL (OL/OH)—Approximately

100 percent fines with low plasticity, slow dilatancy, low
dry strength, and low toughness; wet, dark brown,
organic odor, weak reaction with HCl.

Abbreviated symbol is (OL/OH).

Example 5: SILTY SAND WITH ORGANIC FINES

(SM)—Approximately 75 percent fine to coarse, hard, sub-
angular reddish sand, approximately 25 percent organic
and silty dark-brown nonplastic fines with no dry
strength and slow dilatancy; wet; maximum size, coarse
sand; weak reaction with HCl.

Abbreviated symbol is (SM)

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Example 6: POORLY GRADED GRAVEL WITH SILT,
SAND, COBBLES, AND BOULDERS (GP-GM)—Approx-
imately 75 percent fine to coarse, hard, subrounded to
subangular gravel; approximately 15 percent fine, hard,
subrounded to subangular sand; approximately 10 per-
cent silty nonplastic fines; moist, brown; no reaction with
HCl; original field sample had approximately 5 percent
(by volume) hard, subrounded cobbles and a trace of hard,
subrounded boulders with a maximum dimension of
500 mm.

Abbreviated symbol is (GP-GM)scb.

Use of Soil Classification as Secondary

Identification Method for Materials Other
Than Natural Soils

General

Materials other than natural soils may be classified and

their properties identified and described using the same
procedures presented in the preceding subsections. The
following materials are not considered soils and should
not be given a primary USCS soil classification:

Partially lithified or poorly cemented materials

Shale Claystone
Sandstone Siltstone
Decomposed granite

Processed, manmade, or other materials

Crushed rock Slag

Crushed sandstone Shells
Cinders Ashes

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Identification criteria may be used for describing these
materials, especially for describing particle sizes and
shapes and identifying those materials which convert to
soils after field or laboratory processing. Description for-
mat and classification for these materials are discussed
individually in the following paragraphs.

Partially Lithified or Cemented Materials

Partially lithified or poorly cemented materials may need

to be classified because the material will be excavated,
processed, or manipulated for use as a construction
material. When the physical properties are to be deter-
mined for these materials for classification, the material
must be processed into a soil by grinding or slaking in
water (shale, siltstone, poorly indurated ash deposits).

The physical properties and resulting classification

describe the soil type as created by reworking the original
material. Soil classifications can then be used as a
secondary identification. However, the classification
symbol and group name must be reported in quotation
marks in any 1ogs, tables, figures, and reports. If
laboratory tests are performed on these materials, the
results must be reported as shown in figure 3-6.

An example of a written narrative for either a test pit or

auger hole log based on visual classification is as follows:
Symbol Description

Shale Fragments 3.4- to 7.8-foot (ft) Shale Fragments—

Retrieved as 2- to 4-in pieces of shale
from power auger hole, dry, brown,
no reaction with HCl. After slaking
in water for 24 hours, material
classified as "SANDY CLAY (CH)"—

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Figure 3-6.—Sample of test results summary.
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Approximately 60 percent fines with
high plasticity, high dry strength, no
dilatancy and high toughness;
approximately 35 percent fine to
medium, hard sand; approximately
5 percent gravel-size pieces of shale.

Processed or Manmade Materials

Processed, manmade, or other materials are also used as

construction materials, and classification can be used as
a secondary identification. However, for these processed
materials, the group name and classification symbol are
to be within quotation marks. If laboratory tests are
performed on these materials, the results must be
reported as shown in table 3-6.

An example of a written narrative for logs for visual clas-

sification is as follows:

Symbol Description

CRUSHED ROCK Stockpile No. 3 CRUSHED

ROCK— processed gravel and cob-
bles from
P.T. NO. 7; "POORLY GRADED
GRAVEL (GP)"—approximately
90 percent fine, hard, angular,
gravel-size particles; approximately
10 percent coarse, angular, sand-
size particles; dry, tan, no reaction
with HCl.

Special Cases for Classification

Some materials that require a classification and descrip-

tion according to USBR 5000 [1] or USBR 5005 [2] should
not have a heading that is a classification group name.

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When these materials will be used in, or influence, design
and construction, they should be described according to
the criteria for logs of test pits and auger holes and the
classification symbol and typical name placed in quota-
tion marks similar to the previous discussion on second-
ary identification method for materials other than
natural soils. The heading should be as follows:

Topsoil
Landfill
Road surfacing Uncompacted or Compacted
Fill

For example:

Classification

Symbol Description

TOPSOIL 0.0-0.8 meter (m) TOPSOIL—would be

classified as "ORGANIC SILT (OL)."
Approximately 80 percent fines with low
plasticity, slow dilatancy, low dry
strength, and low toughness; approxi-
mately 20 percent fine to medium sand;
wet, dark brown, organic odor, weak reac-
tion with HCl; roots present throughout.

Some material should be described but not given a classi-

fication symbol or group name, such as landfill (trash,
garbage, etc.) or asphalt road. All of the above listed
terms are only examples; this is not a complete list. If the
above materials are not to be used and will not influence
design or construction, only the basic term listed above
need be shown on the logs without a complete description
or classification.

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BIBLIOGRAPHY

[1] Bureau of Reclamation, U.S. Department of the

Interior, USBR-5000, “Procedure for Determining
Unified Soil Classification (Laboratory Method),”
Earth Manual, Part II, 3rd edition, 1990.

[2] Bureau of Reclamation, U.S. Department of the

Interior, USBR-5005, “Procedure for Determining
Unified Soil Classification (Visual Method),” Earth
Manual, Part II, 3rd edition, 1990.

[3] American Society for Testing and Materials, ASTM

D-2487, “Standard Classification of Soils for
Engineering Purposes,” ASTM Annual Book of
Standards, Volume 04.08 on Soil and Rock,
Section 4 - Construction, West Conshohocken, PA,
1996.

[4] American Society for Testing and Materials, ASTM

D-2488, “Standard Practice for Description and
Identification of soils (Visual-Manual Procedure),”
ASTM Annual Book of Standards, Volume 04.08 on
Soil and Rock, Section 4 - Construction, West Con-
shohocken, PA, 1996.

[5] U.S. Department of Agriculture, Agriculture Hand-

book No. 436, Appendix I (Soil Taxonomy), December
1975.

[6] Bureau of Reclamation, U.S. Department of the

Interior, USBR 3900, “Standard Definitions of
Terms and Symbols Relating to Soil Mechanics,”
Earth Manual, Part II, 3rd edition, 1990.

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 Chapter 4

CLASSIFICATION OF ROCKS
AND DESCRIPTION OF PHYSICAL
PROPERTIES OF ROCK

Introduction

Uniformity of definitions, descriptors, and identification

of rock units is important to maintain continuity in
geologic logs, drawings, and reports from a project with
multiple drilling sessions, different loggers and mappers.
Also important is the recording of all significant observ-
able parameters when logging or mapping. This chapter
presents a system for the identification and classification
of rocks and includes standard terminology and
descriptive criteria for physical properties of engineering
significance. The standards presented in this chapter
may be expanded or modified to fit project requirements.

Rock Classification

Numerous systems are in use for field and petrographic

classification of rocks. Many classifications require
detailed petrographic laboratory tests and thin sections,
while others require limited petrographic examination
and field tests. The Bureau of Reclamation (Reclamation)
has adopted a classification system which is modified
from R.B. Travis [1]. While not based entirely on field
tests or field identification of minerals, many of the
classification categories are sufficiently broad that field
identification is possible. Even where differences in the
mineral constituents cannot be determined precisely in
the field, differences usually are not significant enough to
affect the engineering properties of the rock if classified
somewhat incorrectly by lithologic name. Detailed
mineralogical identification and petrographic
classification can be performed on hand samples or core
samples submitted to a petrographic laboratory.

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If samples are submitted to a petrographic laboratory, the

petrographic classification generally will coincide with the
classification according to Travis. The petrographic
igneous rock classifications are somewhat more precise
and include specialty rock types based upon mineral com-
position, texture, and occurrence. For example, a
lamprophyric dike composed of green hornblende
phenocrysts or clinopyroxene in the groundmass could be
classified as spessartite, whereas a lamprophyre
containing biotite with or without clinopyroxene could be
classified as a kersantite. Sedimentary rock
classifications generally include grain size, type of cement
or matrix, mineral composition in order of increasing
amounts greater than 15 percent, and the rock type, such
as medium-grained, calcite-cemented, feldspathic-
quartzose sandstone, and coarse- to fine-grained, lithic-
feldspathic-quartzose gray-wacke with an argillaceous-
ferruginous-calcareous matrix. Metamorphic rock
classifications include specific rock types based upon
crystal size, diagnostic accessory minerals, mineralogical
composition in increasing amounts greater than
15 percent, and structure. Two examples of metamorphic
rock descriptions are medium-grained, hornblende-biotite
schist, or fine- to medium-grained, garnetiferous,
muscovite-chlorite-feldspar-quartz gneiss. The above
classification can be abbreviated by the deletion of
mineral names from the left to right as desired. The
mineral type immediately preceding the rock name is the
most diagnostic.

The term "quartzite” is restricted to a metamorphic rock

only. The sedimentary sandstone equivalent is termed a
"quartz cemented quartzose sandstone."

Samples submitted to a petrographic laboratory should be

representative of the in-place rock unit. For example, if
a granitic gneiss is sampled but only the granite portion
submitted, the rock will be petrographically classified as

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a granite since the gneissic portion cannot be observed or

substantiated by the thin section and hand specimen.
Petrographic classifications can be related to the
engineering properties of rock units and are important.

Geologic rock unit names should be simple, and general

rock names should be based on either field identification,
existing literature, or detailed petrographic examination,
as well as engineering properties. Overclassification is
distracting and unnecessary. For example, use "horn-
blende schist" or "amphibolite" instead of "sericite-
chlorite-calcite-hornblende schist." The term "granite"
may be used as the rock name and conveys more to the
designer than the petrographically correct term
"nepheline-syenite porphyry." Detailed mineralogical
descriptions may be provided in reports when describing
the various rock units and may be required to correlate
between observations, but mineralogical classifications
are not desirable as a rock unit name unless the mineral
constituents or fabric are significant to engineering
properties.

The classification for igneous, sedimentary, metamorphic,

and pyroclastic rocks is shown on figures 4-1, 4-2, 4-3, and
4-4, respectively. These figures are condensed and
modified slightly from Travis' classifications, but the
more detailed original classifications of Travis are
acceptable. Figure 4-5 or appropriate American
Geological Institute (AGI) data sheets are suggested for
use when estimating composition percentages in
classification.

Description of Rock

Adequate descriptors, a uniform format, and standard

terminology must be used for all geologic investigations
to properly describe rock foundation conditions. These

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Figure 4-1.—Field classification of igneous rocks (modified after R.B. Travis [1955]).
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ROCKS
Figure 4-2.—Field classification of sedimentary rocks (modified after R.B. Travis [1955]).
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FIELD MANUAL
Figure 4-3.—Field classification of metamorphic rocks (modified after R.B. Travis [1955]).
 ROCKS

Figure 4-4.—Field classification of pyroclastic rocks.

Blocks are angular to subangular clasts > 64 millimeters
(mm); bombs are rounded to subrounded clasts > 64 mm.
Determine percent of each size present (ash, lapilli,
blocks, and bombs) and list in decreasing order after rock
name. Preceed rock name with the term "welded" for
pyroclastic rocks which retained enough heat to fuse
after deposition. Rock names for such deposits are
usually selected from the lower right portion of the
classification diagram above. (Modified from Fisher, 1966
[2] and Williams and McBirney, 1979 [3]).

paragraphs provide descriptors for those physical charac-

teristics of rock that are used in logs of exploration, in
narratives of reports, and on preconstruction geologic
maps and cross sections, as well as construction or "as-
built" drawings. The alphanumeric descriptors provided
may be used in data-field entries of computer generated

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FIELD MANUAL
Figure 4-5.—Charts for estimating percentage of composition of rocks and sediments.[4]
 ROCKS

logs. Chapter 5 establishes descriptors for the physical

characteristics of discontinuities in rock required for
engineering geologic studies.

All descriptors should be defined and included in a

legend when submitting data for design and/or records of
construction. An example of a legend and explanation is
figure 4-6, Reclamation standard drawing 40-D-6493,
may be used for geologic reports and specifications where
the standard descriptors and terminology established for
rock are used during data collection.

Format for Descriptions of Rock

Engineering geology rock descriptions should include gen-

eralized lithologic and physical characteristics using
qualitative and quantitative descriptors. A general
format for describing rock in exploration logs and legends
on general note drawings is:

• Rock unit (member or formation) name

• Lithology with lithologic descriptors
composition (mineralogy)
grain/particle size
texture
color
• Bedding/foliation/flow texture
• Weathering
• Hardness/strength
• Contacts
• Discontinuities (includes fracture indexes)
• Permeability data (as available from testing)
• Moisture conditions

Example descriptions are presented in a later section.

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Rock Unit Names and Identification

Rock unit names not only are required for identification

purposes but may also provide indicators of depositional
environment and geologic history, geotechnical char-
acteristics, and correlations with other areas. A simple
descriptive name and map symbol should be assigned to
provide other users with possible engineering
characteristics of the rock type. The rock unit names may
be stratigraphic, lithologic, genetic, or a combination of
these, such as Navajo Sandstone (Jn), Tertiary shale
(Tsh), Jurassic chlorite schist (Jcs), Precambrian granite
(Pcgr), or metasediments (ms). Bedrock units of similar
physical properties should be delineated and identified as
to their engineering significance as early as possible
during each geologic study. Planning study maps and
other large-scale drawings may require geologic
formations or groups of engineering geologic units with
descriptions of their engineering significance in
accompanying discussions.

Units should be differentiated by engineering properties

and not necessarily formal stratigraphic units where
differences are significant. Although stratigraphic
names are not required, units should be correlated to
stratigraphic names in the data report or by an
illustration, such as a stratigraphic column.
Stratigraphic names and ages (formation, member) may
be used as the rock unit name.

For engineering studies, each particular stratigraphic

unit may require further subdivisions to identify
engineering parameters. Examples of important
engineering properties are:

• Susceptibility to weathering or presence of

alteration

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Figure 4-6.—Descriptor legend and explanation example.

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• Dominant discontinuity characteristics

• Hardness and/or strength

• Deformability

• Deletereous minerals or beds (such as swelling

susceptibility, sulfates, or clays)

For example, a Tertiary shale unit, Tsh, may be

differentiated as Tsh1 or Tsh2 if unit 2 contains bentonite
interbeds and unit 1 does not, and Tshc could be used as
a unit name for the bentonite beds. A chlorite schist unit,
Cs, may be differentiated as CsA or CsB where unit A
contains higher percentages of chlorite or talc and is
significantly softer (different deformation properties) than
unit B. A metasediment unit, ms, may be further
differentiated on more detailed maps and logs as mssh
(shale) or msls (limestone). All differentiated units should
be assigned distinctive map symbols and should be
described on the General Geologic Legend, Explanation,
and Notes drawings.

Descriptors and Descriptive Criteria for Physical

Characteristics of Rock

Lithologic Descriptors (Composition, Grain Size,

and Texture).—Provide a brief lithologic description of
the rock unit. This includes a general description of
mineralogy, induration, cementation, crystal and grain
sizes and shapes, textural adjectives, and color.
Lithologic descriptors are especially important for the
description of engineering geology subunits when rock
unit names are not specific. Examples of rock unit names
that are not specific are metasediments, Tertiary
intrusives, or Quaternary volcanics.

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1. Composition.—Use standard adjectives such as

sandy, silty, calcareous, etc. Detailed mineral comp
osition generally is not necessary or desirable unless
useful in correlating units or indicating pertinent
engineering physical properties. Note unique
features such as fossils, large crystals, inclusions,
concretions, and nodules which may be used as
markers for correlations and interpretations.

2. Crystal or particle sizes and shapes.—

Describe the typical crystal or grain shapes and
provide a description of sizes present in the rock unit
based on the following standards:

• Igneous and metamorphic rocks.—Table 4-1 is

recommended for descriptions of crystal sizes in
igneous and metamorphic rocks. Crystal sizes
given in millimeters (mm) are preferred rather
than fractional inch (in) equivalents.

Table 4-1.—Igneous and metamorphic rock

grain size descriptors

Average crystal
Descriptor diameter
Very coarse-grained or pegmatitic > 10 mm (3/8 in)
Coarse-grained 5-10 mm (3/16 - 3/8 in)
Medium-grained 1-5 mm (1/32 - 3/16 in)
Fine-grained 0.1-1 mm (0.04 - 1/32 in)
Aphanitic (cannot be seen with <0.1 mm (<0.04 in)
the unaided eye

• Sedimentary and pyroclastic

rocks.—Terminology for particle sizes and their
lithified products which form sedimentary and
pyroclastic rocks is provided in table 4-2. The size

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Table 4-2.—Sedimentary and pyroclastic rock particle-size descriptors

(AGI Glossary)

Sedimentary (epiclastic)
Rounded, subrounded,
USGS Size subangular Volcanic (pyroclastic)
(soils only) in
Particle mm Particle or Lithified Frag- Lithified
size (inches) fragment product ment product*

Boulder Boulder Boulder Block+ Volcanic

300 (12) conglomerate breccia+
256 (10)
Cobble Cobble Cobble Bomb Agglo-
conglomerate merate
75 (3)
64 (2.5)
Coarse
32 (1.3)
gravel Pebble Lapilli
Pebble conglomerate Lapilli
20 (0.8)
tuff
Fine gravel
4.75 (0.19)
4 (0.16)
Coarse sand Granule Granule
conglomerate
2 (0.08)
Very coarse Coarse Coarse
Medium 1 (0.04) sand Sandstone ash tuff
sand 0.5 (0.02) Coarse sand (Very
coarse,
0.42 Medium coarse,
0.25 sand medium fine,
Fine sand 0.125 Fine sand or very fine)
0.074 Very fine
Fines 0.0625 sand
Non- Siltstone Fine ash Fine tuff
plastic Silt Shale
Silt 0.00391

Clay Claystone
Plastic Shale
Clay

+ Broken from previous igneous rock block shaped (angular to subangular).

Solidified from plastic material while in flight, rounded clasts.
* Refer to figure 4-4.

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limits do not correspond to the Unified Soil

Classification System for soil particle size but are
used for the field description and petrographic
classification of rocks. These limits are the
accepted sizes in geologic literature and are used
by petrographic laboratories.

3. Textural adjectives.—Texture describes the ar-

rangements of minerals, grains, or voids. These
microstructural features can affect the engineering
properties of the rock mass. Use simple, standard,
textural adjectives or phrases such as porphyritic,
vesicular, scoriaceous, pegmatitic, granular, well
developed grains, dense, fissile, slaty, or amorphous.
Use of terms such as holohyaline, hypidiomorphic
granular, and crystaloblastic is inappropriate.

Textural terms which identify solutioning, leaching,

or voids in bedrock are useful for describing primary
texture, weathering, alteration, permeability, and
density.

The terminology which follows defines sizes of voids, or

holes in bedrock. However, when describing pits, vugs,
cavities, or vesicles, a complete description which includes
the typical diameter, or the "mostly" range, and the max-
imum size observed is required. For example:

". . . randomly oriented, elliptically shaped vugs range

mostly from 0.03 to 0.06 foot (ft) in diameter,
maximum size 0.2 foot; decreases in size away from
quartz-calcite vein; about 15 percent contain calcite
crystals. . .”
or
". . . cavity, 3.3 ft wide by 16.4 ft long by 2.3 ft high,
striking N 45EW, dipping 85ESW was. . ..”

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• Pit (pitted).—Pinhole to 0.03 ft [d in] (<1 to

10 mm) openings.

• Vug (vuggy).—Small opening (usually lined with

crystals) ranging in diameter from 0.03 ft [d in] to
0.33 ft [4 in] (10 to 100 mm).

• Cavity.—An opening larger than 0.33 ft [4 in]

(100 mm), size descriptions are required, and adjec-
tives such as small, or large, may be used, if defined.

• Honeycombed.—Individual pits or vugs are so

numerous that they are separated only by thin walls;
this term is used to describe a cell-like form.

• Vesicle (vesicular).—Small openings in volcanic

rocks of variable shape formed by entrapped gas
bubbles during solidification.

4. Color.—As a minimum, provide the color of wet

altered and unaltered or fresh rock. Reporting color
for both wet and dry material is recommended since
the colors may differ significantly and cause
confusion. The Munsell Color System, as used in the
Geologic Society of America Rock Color Chart [5], is
used to provide standard color names and assist in
correlation. The chart also provides uniform and
identifiable colors to others. Color designators are
optional unless necessary for clarity, e.g., light brown
(5YR 5/6). Terms such as banded, streaked, mottled,
speckled, and stained may be used to further describe
color. Also describe colors of bands, etc.

Bedding, Foliation, and Flow Texture.—These

features give the rock anisotropic properties or represent
potential failure surfaces. Continuity and thickness of
these features influence rock mass properties and cannot

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always be tested in the laboratory. Descriptors in

table 4-3 are used to identify these thicknesses.

Table 4-3.—Bedding, foliation, or flow texture descriptors

Descriptors Thickness/spacing

Massive Greater than 10 ft (3 meters

[m])

Very thickly, bedded, 3 to 10 ft (1 to 3 m)

foliated, or banded

Thickly 1 to 3 ft (300 mm to 1 m)

Moderately 0.3 to 1 ft (100 to 300 mm)

Thinly 0.1 to 0.3 ft (30 to 100 mm)

Very thinly 0.03 [3/8 in] to 0.1 ft (10 to

30 mm)

Laminated (intensely Less than 0.03 ft [3/8 in]

foliated or banded) (<10 mm)

Weathering and Alteration.—

1. Weathering.—Weathering, the process of

chemical or mechanical degradation of rock, can
significantly affect the engineering properties of the
rock and rock mass. For engineering geology
descriptions, the term "weathering" includes both
chemical disintegration (decomposition) and
mechanical disaggregation as agents of alteration.

Weathering effects generally decrease with depth, al-

though zones of differential weathering can occur and
may modify a simple layered sequence of weathering.

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Examples are: (1) differential weathering within a

single rock unit, apparently due to relatively higher
permeability along fractures; (2) differential
weathering due to compositional or textural
differences; (3) differential weathering of contact
zones associated with thermal effects such as
interflow zones within volcanics; (4) directional
weathering along permeable joints, faults, shears, or
contacts which act as conduits along which
weathering agents penetrate more deeply into the
rock mass; and (5) topographic effects.

Weathering does not correlate directly with specific

geotechnical properties used for many rock mass
classifications. However, weathering is important
because it may be the primary criterion for
determining depth of excavation, cut slope design,
method and ease of excavation, and use of excavated
materials. Porosity, absorption, compressibility,
shear and compressive strengths, density, and
resistance to erosion are the major engineering
parameters influenced by weathering. Weathering
generally is indicated by changes in the color and
texture of the body of the rock, color, and condition of
fracture fillings and surfaces, grain boundary
conditions, and physical properties such as hardness.

Weathering is reported using descriptors presented

in table 4-4, which divides weathering into categories
that reflect definable physical changes due to
chemical and mechanical processes. This table
summarizes general descriptions which are intended
to cover ranges in bedrock conditions. Weathering
tables are generally applicable to all rock types;
however, they are easier to apply to crystalline rocks
and rocks that contain ferromagnesian minerals.
Weathering in many sedimentary rocks will not
always conform to the criteria established in

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table 4-4, and weathering categories may have to be

modified for particular site conditions. However, the
basic horizontal categories and descriptors presented
can be used. Site-specific conditions, such as fracture
openness, filling, and degree and depth of
penetration of oxidation from fracture surfaces,
should be identified and described.

2. Alteration.—Chemical alteration effects are

distinct from chemical and mechanical degradation
(weathering), such as hydrothermal alteration, may
not fit into the horizontal suite of weathering
categories portrayed in table 4-4. Oxides may or may
not be present. Alteration is site-specific, may be
either deleterious or beneficial, and may affect some
rock units and not others at a particular site. For
those situations where the alteration does not relate
well to the weathering categories, adjusting the
description within the framework of table 4-4 may be
necessary. Many of the general characteristics may
not change, but the degree of discoloration and
oxidation in the body of the rock and on fracture
surfaces could be very different. Appropriate
descriptors, such as moderately altered or intensely
altered, may be assigned for each alteration category.
Alteration products, depths of alteration, and
minerals should be described.

3. Slaking.—Slaking is another type of

disintegration which affects engineering properties of
rock. Terminology and descriptive criteria to identify
this deleterious property are difficult to standardize
because some materials air slake, many water slake,
and some only slake after one or more wet-dry cycles.
The Durability Index (DI) is a simplified method for
describing slaking. Criteria for the index are based

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Table 4-4.—Weathering descriptors

Diagnostic features
Mechanical weathering
- Grain boundary
Descriptors Chemical weathering—Discoloration and/or oxidation conditions Texture and solutioning
(disaggregation)
Alpha- primarily for granitics
numeric Fracture and some coarse- General characteristics
descriptor Descriptive term Body of rock surfaces† grained sediments Texture Solutioning (strength, excavation, etc.)§
W1 Fresh. No discoloration, not oxidized. No discoloration or No separation, intact No change. No solutioning. Hammer rings when crystalline rocks
oxidation. (tight). are struck. Almost always rock exca-
vation except for naturally weak or
weakly cemented rocks such as
siltstones or shales.
W2 Slightly weathered to
fresh.*
W3 Sllightly weathered. Discoloration or oxidation is limited Minor to complete No visible separation, Preserved. Minor leaching of Hammer rings when crystalline rocks
to surface of, or short distance discoloration or intact (tight). some soluble are struck. Body of rock not
from, fractures; some feldspar oxidation of most minerals may be weakened. With few exceptions, such
crystals are dull. surfaces. noted. as siltstones or shales, classified as
rock excavation.
W4 Moderately to slightly
weathered.*
W5 Moderately Discoloration or oxidation extends All fracture surfaces Partial separation of Generally Soluble minerals Hammer does not ring when rock is
weathered. from fractures, usually throughout; are discolored or boundaries visible. preserved. may be mostly struck. Body of rock is slightly weak-
Fe-Mg minerals are “rusty,” oxidized. leached. ened. Depending on fracturing,
feldspar crystals are “cloudy.” usually is rock excavation except in
naturally weak rocks such as
siltstone or shales.
W6 Intensely to
moderately
weathered.*
W7 Intensely weathered. Discoloration or oxidation All fracture surfaces Partial separation, rock Texture al- Leaching of soluble Dull sound when struck with
throughout; all feldspars and Fe- are discolored or is friable; in semiarid tered by minerals may be hammer; usually can be broken with
Mg minerals are altered to clay to oxidized, surfaces conditions granitics are chemical complete. moderate to heavy manual pressure
some extent; or chemical alteration friable. disaggregated. disintegration or by light hammer blow without
produces in situ disaggregation, see (hydration, reference to planes of weakness such
grain boundary conditions. argillation). as incipient or hairline fractures, or
veinlets. Rock is significantly
weakened. Usually common
excavation.
W8 Very intensely
weathered.
W9 Decomposed. Discolored or oxidized throughout, Complete separation of Resembles a soil, partial or complete Can be granulated by hand. Always
but resistant minerals such as grain boundaries remnant rock structure may be common excavation. Resistant
quartz may be unaltered; all (disaggregated). preserved; leaching of soluble minerals such as quartz may be
feldspars and Fe-Mg minerals are minerals usually complete. present as “stringers” or “dikes.”
completely altered to clay.

Note: This chart and its horizontal categories are more readily applied to rocks with feldspars and mafic minerals. Weathering in various sedimentary rocks, particularly limestones and poorly indurated
sediments, will not always fit the categories established. This chart and weathering categories may have to be modified for particular site conditions or alteration such as hydrothermal effects; however, the
basic framework and similar descriptors are to be used.
* Combination descriptors are permissible where equal distribution of both weathering characteristics are present over significant intervals or where characteristics present are “in between” the
diagnostic feature. However, dual descriptors should not be used where significant, identifiable zones can be delineated. When given as a range, only two adjacent terms may be combined (i.e., decomposed
to lightly weathered or moderately weathered to fresh) are not acceptable.
† Does not include directional weathering along shears or faults and their associated features. For example, a shear zone that carried weathering to great depths into a fresh rock mass would not require
the rock mass to be classified as weathered.
§ These are generalizations and should not be used as diagnostic features for weathering or excavation classification. These characteristics vary to a large extent based on naturally weak materials or
cementation and type of excavation.

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on time exposed and effects noted in the field

(see table 4-5). These simplified criteria do not
specify whether the specimen or exposure is
wetted, dried, or subjected to cyclic wetting and
drying, and/or freeze-thaw. When reporting
slaking or durability, a complete description
includes the test exposure conditions. For
example, the material could be classified as
having "characteristics of DI 3 upon drying."
Slaking is not the same as the effects of bedding
separation or disaggregation produced by stress
relief.

Table 4-5.—Durability index descriptors

Alpha-
numeric
descriptor Criteria

DI0 Rock specimen or exposure remains intact with

no deleterious cracking after exposure longer
than 1 year.

DI1 Rock specimen or exposure develops hairline

cracking on surfaces within 1 month, but no
disaggregation within 1 year of exposure.

DI2 Rock specimen or exposure develops hairline

cracking on surfaces within 1 week and/or
disaggregation within 1 month of exposure.

DI3 Specimen or exposure may develop hairline

cracks in 1 day and displays pronounced
separation of bedding and/or disaggregation
within 1 week of exposure.

DI4 Specimen or exposure displays pronounced

cracking and disaggregation within 1 day
(24 hours) of exposure. Generally ravels and
degrades to small fragments.

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A field test suitable for evaluating the degree

and rate of slaking for materials, primarily
clayey materials and altered volcanics, is
described below. The slaking test evaluates the
disaggregation of an intact specimen in water
and reflects the fabric of the material, internal
stresses, and character of the interparticle
bonds.

To evaluate slaking behavior, immerse two

intact specimens (pieces of core or rock
fragments consisting of a few cubic inches or
centimeters) in water. One piece should be at
natural water content (wrapped jar sample) and
one piece from an air-dried sample. Test results
should be photographed with labels to identify
specimens and exposure times.

Results of the evaluation should be reported for

each specimen. Describe the behavior of the
specimens as follows:

a. Volume changes.—The volume of the material

reduced to individual particles should be estimated
and compared to the initial volume of material.
The degree of disaggregation is described using the
following descriptive criteria:

None No discernable disaggregation

Slight Less than 5 percent of the volume
disaggregated
Moderate Between 5 and 25 percent of the
volume disaggregated
Intense More than 25 percent but less
than the total volume
disaggregated
Complete No intact piece of the material
remains

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b. Rate of slaking.—The following descriptors are

used to identify the time to slake:

Slow slaking Action continues for several hours

Moderate Action completed within 1 hour
slaking
Rapid Action completed within
slaking 2 minutes
Sudden Complete reaction, action com-
slaking pleted instantaneously

[Generally, slaking applies to rock; disaggregation applies

to soils.]

4. Character of material.—The character of the

remaining pieces of material after the test is
completed is described as follows:

No change Material remains intact

Plates remain Remaining material present as
platy fragments of generally
uniform thickness
Flakes remain Remaining material present as
flaky or wedge-shaped fragments
Blocks remain Blocky fragments remain
Grains remain Remaining material chiefly present
as sand-size grains

No fragments Remaining material entirely disag-

gregated to clay-size particles

Hardness—Strength.—Hardness can be related to

intact rock strength as a qualitative indication of density
and/or resistance to breaking or crushing. Strength is a
necessary engineering parameter for design that

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frequently is not assessed, but plays a role in engineering

design and construction, such as tunnel support
requirements, bit wear for drilling or tunnel boring
machine (TBM) operations, allowable bearing pressures,
excavation methods, and support.

The hardness and strength of intact rock is a function of

the individual rock type but may be modified by
weathering or alteration. Hardness and strength are
described for each geologic unit when they are functions
of the rock type and also for zones of alteration or
weathering when there are various degrees of hardness
and/or strength due to different degrees of weathering or
chemical alteration. When evaluating strengths, it is
important to note whether the core or rock fragments
break around, along, or through grains; or along or across
incipient fractures, bedding, or foliation.

Hardness and especially strength are difficult

characteristics to assess with field tests. Two field tests
can be used; one is a measure of the ability to scratch the
surface of a specimen with a knife, and the other is the
resistance to fracturing by a hammer blow. Results from
both tests should be reported. The diameter and length
of core or the fragment size will influence the estimation
of strength and should be kept in mind when correlating
strengths. A 5- to 8-inch (130- to 200-mm) length of
N-size core or rock fragment, if available, should be used
for hardness determinations to preclude erroneously
reporting point, rather than average hardness, and to
evaluate the tendency to break along incipient fractures
and textural or structural features when struck with a
rock pick. Standards (heavy, moderate, and light
hammer blow) should be calibrated with other geologists
mapping or logging core for a particular project.
Descriptors used for rock hardness/strength are shown on
table 4-6.

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Table 4-6.—Rock hardness/strength descriptors

Alpha-
numeric
descriptor Descriptor Criteria
H1 Extremely Core, fragment, or exposure cannot be
hard scratched with knife or sharp pick; can only
be chipped with repeated heavy hammer
blows.
H2 Very hard Cannot be scratched with knife or sharp
pick. Core or fragment breaks with
repeated heavy hammer blows.
H3 Hard Can be scratched with knife or sharp pick
with difficulty (heavy pressure). Heavy
hammer blow required to break specimen.
H4 Moderately Can be scratched with knife or sharp pick
hard with light or moderate pressure. Core or
fragment breaks with moderate hammer
blow
H5 Moderately Can be grooved 1/16 inch (2 mm) deep by
soft knife or sharp pick with moderate or heavy
pressure. Core or fragment breaks with light
hammer blow or heavy manual pressure.
H6 Soft Can be grooved or gouged easily by knife or
sharp pick with light pressure, can be
scratched with fingernail. Breaks with light
to moderate manual pressure.
H7 Very soft Can be readily indented, grooved or gouged
with fingernail, or carved with a knife.
Breaks with light manual pressure.
Any bedrock unit softer than H7, very soft, is to be described using
USBR 5000 consistency descriptors.

Note: Although "sharp pick" is included in these definitions, descrip-

tions of ability to be scratched, grooved, or gouged by a knife is the
preferred criteria

A few empirical and quantitative field techniques which

are quick, easy, and inexpensive are available to provide
strength estimates. Quantitative strength estimates can

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be obtained from the point load test. A lightweight and

portable testing device is used to break a piece of core
(with a minimum length at least 1.5 times the diameter)
between two loading points. If a new fracture does not
run from one loading point to the other upon completion
of the test, or if the points sink into the rock surface
causing excessive deformation or crushing, the test
should not be recorded. Raw data are given with the
reduced data (equations to empirically convert load data
to compressive strengths are usually supplied with the
equipment). The Schmidt (L) hammer may also be used
for estimating rock strengths; refer to Field Index Tests
in chapter 5. Each of these tests can be used to calibrate
the manual index (empirical) properties described in
table 4-6, and a range of compressive strengths can be
assigned. Depending on the scope of the study and
structure being considered, laboratory testing may be
required and used to confirm the field test data.

Discontinuities.—Describe all discontinuities such as

joints, fractures, shear/faults, and shear/fault zones, and
significant contacts. These descriptions should include all
observable characteristics such as orientation, spacing,
continuity, openness, surface conditions, and fillings.
Appropriate terminology, descriptive criteria and
descriptors, and examples pertaining to discontinuities
are presented in chapter 5.

Contacts.—Contacts between various rock units or rock/

soil units must be described. In addition to providing a
geologic classification, describe the engineering
characteristics such as the planarity or irregularity and
other descriptors used for discontinuities.

Descriptors applicable to the geologic classification of con-

tacts are:

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• Conformable
• Unconformable
• Welded—contact between two lithologic units, one
of which is igneous, that has not been disrupted
tectonically
• Concordant (intrusive rocks)
• Discordant (intrusive rocks)

Descriptors pertinent to engineering classification of con-

tacts are:

• Jointed—contact not welded, cemented, or

healed—a fracture
• Intact
• Healed (by secondary process)
• Sharp
• Gradational
• Sheared
• Altered (baked or mineralized)
• Solutioned

If jointed or sheared, additional discontinuity descriptors

such as thickness of fillings, openness, moisture, and
roughness, should be provided also (see discontinuity
descriptors in chapter 5).

Permeability Data.—Permeability (hydraulic

conductivity) is an important physical characteristic that
must be described. Suggested methods for testing,
terminology, and descriptors are available in the Earth
Manual and Ground Water Manual. Numerical values
for hydraulic conductivity (K) can be determined using
any of several methods. These values may be shown on
drill hole logs. For narrative discussions or summary
descriptions, the numerical value and descriptors may be
used. Descriptors to be used—such as low,

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moderate—are those shown on figure 4-7. Whether

permeability is primary (through intact rock) or
secondary (through fractures) should be indicated.

Example Descriptions

The examples which follow are in representative formats

for describing bedrock in the physical conditions column
of drill hole logs and on a legend, explanation, and notes
drawing.

Core Log Narrative

Several examples of descriptions for core logs are

presented. These examples illustrate format and the use
of the lithologic descriptors but do not include a
description of discontinuities.

Log with Alphanumeric Descriptors and English

Units.—
. . . 12.6 to 103.6: Amphibolite Schist (JKam). Fine-
grained (0.5 to 1 mm); subschistose to massive;
greenish-black (5G 2/1) with numerous blebs and
stringers of white calcite to 0.02 ft thick with
solution pits and vugs to 0.03 ft, mostly 0.01 ft,
aligned subparallel to foliation; very thinly foliated,
foliation dips 65E to 85E, steepening with depth.
Moderately to slightly weathered (W4), iron oxide
staining on all discontinuities. Hard (H3), can be
scratched with knife with heavy pressure, core
breaks parallel to foliation with heavy hammer
blow. Slightly fractured (FD3),. . ..

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Figure 4-7.—Permeability conversion chart.
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Log with Alphanumeric Descriptors Using Metric

Units.—
103.60 to 183.22: Sandstone (TUsa). Ferruginous
quartzose sandstone. Medium-grained (0.25 to
0.5 mm), well sorted, subrounded to rounded quartz
grains are well cemented by silica; hematite occurs
as minor cement agent and as thin coating on
grains. Moderate reddish-brown (10R 6/6).
Moderately bedded, beds 250 to 310 mm thick,
bedding dips 15E to 29E, averages 18E. Slightly
weathered. Hard, cannot be scratched with knife,
core breaks with heavy hammer blow across bedding
and through grains. Moderately fractured. Core
recovered. . ..

172.41-176.30: Claystone (TUc2). Calcareous

montmorillonitic clay with 20 percent subangular,
fine sand-size quartz fragments. Strong reaction
with hydrochloric acid (HCl), grayish pink (5R 8/2).
Moderately to rapidly slaking when dropped in
water. Very thinly bedded to laminated with bed
thickness from 8 to 20 mm. Very intensely
weathered. Very soft, can be gouged with fingernail,
friable, core breaks with manual pressure, smaller
fragments can be crushed with fingers. . . Upper
contact is parallel to bedding, conformable,
gradational, and intact; lower contact is
unconformable, sharp and jointed but tight; dips 35E
. . ..

Legend

The example which follows could be typical of a rock unit

description on a general legend, explanation, and note
drawing. The object is to describe as many physical
properties as possible which apply to the entire rock unit
at the site. If individual subunits can be differentiated,
they could be assigned corresponding symbols and

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described below the undifferentiated description. Those

characteristics in the subunits which are similar or are
included in the undifferentiated unit do not need to be
repeated for each subunit.

Amphibolite Schist - Undifferentiated.—Mineralogy

variable but generally consists of greater than 30 percent
amphibole. Contains varying percentages of feldspar,
quartz, and epidote in numerous, thin, white and light
green (5G 7/4), discontinuous stringers and blebs.
Texture ranges from fine grained and schistose to
medium grained and subschistose. Overall, color ranges
from greenish black (5G 2/1) to olive black (5Y 2/1).
Thinly foliated; foliation dips steeply 75E to 85E NE.
Weathering is variable but generally moderately wea-
thered to depths of 75 ft, slightly weathered to 120 ft, and
fresh below. Where oxidized, moderate reddish-brown
(10R 4/6), frequently with dendritic patterns of oxides on
discontinuities. Hard, fresh rock can be scratched slightly
with heavy knife pressure; fresh N-size core breaks along
foliation with moderate to heavy hammer blow. Foliation
joints are variably spaced and discontinuous, spaced more
closely where weathered. Joint sets are prominent but
discontinuous. (Joint sets are identified in the
specifications paragraphs). Commonly altered 0.1 to 6 ft
along contacts of dikes and larger shears with epidote and
quartz ("altered amphibolite" on logs of exploration).
When altered, harder than amphibolite. Based on drill
hole permeability testing, hydraulic conductivity is very
low to low, with values ranging from 0.09 to 130 feet per
year (ft/yr) averages 1.5 ft/yr in slightly weathered and
fresh rock.

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BIBLIOGRAPHY

[1] Travis, Russell B., "Classification of Rocks," v. 50,

No. 1, Quarterly of the Colorado School of Mines,
Golden, CO, January 1955.

[2] Fisher, R.V., "Rocks Composed of Volcanic Frag-

ments: Earth Science Review, v. I, pp. 287-298, 1966.

[3] Williams, H., and McBirney, A., Volcanology,

published by Freeman, Cooper and Company,
San Francisco, CA. 391 pp., 1979.

[4] Compton, Robert R., Geology in the Field, published

by John Wiley & Sons, Inc., New York, NY, 1985.

[5] Geological Society of America Rock Color Chart,

8th printing, 1995.

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TERMINOLOGY AND DESCRIPTIONS

FOR DISCONTINUITIES

General

Structural breaks or discontinuities generally control the

mechanical behavior of rock masses. In most rock masses
the discontinuities form planes of weakness or surfaces of
separation, including foliation and bedding joints, joints,
fractures, and zones of crushing or shearing. These
discontinuities usually control the strength, deformation,
and permeability of rock masses. Most engineering
problems relate to discontinuities rather than to rock type
or intact rock strength. Discontinuities must be carefully
and adequately described. This chapter describes
terminology, indexes, qualitative and quantitative
descriptive criteria, and format for describing
discontinuities. Many of the criteria contained in this
chapter are similar to criteria used in other established
sources which are accepted as international standards
(for example, International Journal of Rock Mechanics,
1978 [1]).

Discontinuity Terminology

The use of quantitative and qualitative descriptors

requires that what is being described be clearly identified.
Nomenclature associated with structural breaks in
geologic materials is frequently misunderstood. For
example, bedding, bedding planes, bedding plane
partings, bedding separations, and bedding joints may
have been used to identify similar or distinctly different
geological features. The terminology for discontinuities
which is presented in this chapter should be used
uniformly for all geology programs. Additional definitions
for various types of discontinuities are presented in the
Glossary of Geology [2]; these may be used to further
describe structural breaks. The following basic defi-
nitions should not be modified unless clearly justified,
and defined.

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Discontinuity.—A collective term used for all structural

breaks in geologic materials which usually have zero to
low tensile strength. Discontinuities also may be healed.
Discontinuities comprise fractures (including joints),
planes of weakness, shears/faults, and shear/fault zones.
Depositional or erosional contacts between various
geologic units may be considered discontinuities. For
discussion of contacts, refer to chapter 4.

Fracture.—A term used to describe any natural break in

geologic material, excluding shears and shear zones.
Examples of the most common fractures are defined as
follows:

1. Joint.—A fracture which is relatively planar

along which there has been little or no obvious
displacement parallel to the plane. In many cases, a
slight amount of separation normal to the joint
surface has occurred. A series of joints with similar
orientation form a joint set. Joints may be open,
healed, or filled; and surfaces may be striated due to
minor movement. Fractures which are parallel to
bedding are termed bedding joints or bedding plane
joints. Those fractures parallel to metamorphic
foliation are called foliation joints.

2. Bedding plane separation.—A separation along

bedding planes after exposure due to stress relief or
slaking.

3. Random fracture.—A fracture which does not

belong to a joint set, often with rough, highly
irregular, and nonplanar surfaces along which there
has been no obvious displacement.

4. Shear.—A structural break where differential

movement has occurred along a surface or zone of

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failure; characterized by polished surfaces, striations,

slickensides, gouge, breccia, mylonite, or any
combination of these. Often direction of movement,
amount of displacement, and continuity may not be
known because of limited exposures or observations.

5. Fault.—A shear with significant continuity which

can be correlated between observation locations;
foundation areas, or regions; or is a segment of a
fault or fault zone reported in the literature. The
designation of a fault or fault zone is a site-specific
determination.

6. Shear/fault zone.—A band of parallel or subpar-

allel fault or shear planes. The zone may consist of
gouge, breccia, or many fault or shear planes with
fractured and crushed rock between the shears or
faults, or any combination. In the literature, many
fault zones are simply referred to as faults.

7. Shear/fault gouge.—Pulverized (silty, clayey, or

clay-size) material derived from crushing or grinding
of rock by shearing, or the subsequent decomposition
or alteration. Gouge may be soft, uncemented,
indurated (hard), cemented, or mineralized.

8. Shear/fault breccia.—Cemented or uncemented,

predominantly angular (may be platy, rounded, or
contorted) and commonly slickensided rock
fragments resulting from the crushing or shattering
of geologic materials during shear displacement.
Breccia may range from sand-size to large boulder-
size fragments, usually within a matrix of fault
gouge. Breccia may consist solely of mineral grains.

9. Shear/fault-disturbed zone.—An associated

zone of fractures and/or folds adjacent to a shear or

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shear zone where the country rock has been

subjected to only minor cataclastic action and may be
mineralized. If adjacent to a fault or fault zone, the
term is fault-disturbed zone. Occurrence,
orientation, and areal extent of these zones depend
upon depth of burial (pressure and temperature)
during shearing, brittleness of materials, and the in-
place stresses.

Terminology for joint (JT), foliation joint (FJ), bedding

joint (BJ), incipient joint (IJ) or incipient fracture (IF),
random fracture (RF), mechanical break (MB), and frac-
ture zone (FZ) is given on figure 5-9 (drawing No. 40-D-
6499 following later in this chapter). Suggested
abbreviations are in parentheses.

Indexes for Describing Fracturing

Fracture Density

Fracture density is based on the spacing between all

natural fractures in an exposure or core recovery lengths
from drill holes, excluding mechanical breaks, shears, and
shear zones; however, shear-disturbed zones (fracturing
outside the shear) are included. In this context, fracture
is a general term and includes all natural breaks such as
joints, bedding joints, foliation joints, and random
fractures. Fracture density should always be described in
physical measurements, but summary descriptive terms
relating to these measurements are a convenient aid in
communicating characteristics of the rock mass.
Standard descriptors apply to all rock exposures, such as
tunnel walls, dozer trenches, outcrops, or foundation cut
slopes and inverts, as well as boreholes. Fracture

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descriptors presented in table 5-1 and figure 5-9 are

based on drill hole cores where lengths are measured
along the core axis.

When describing fracture density, a percentage of the

types of fractures should be provided. A complete
description for fracture density might read: Slightly
Fractured (FD3), recovered core in 0.8- to 4.7-feet (0.2- to
1.4-meter [m]) lengths, mostly 1.7 feet (520 millimeters
[mm]), 25 percent bedding joints/75 percent joints.

Fracture Frequency

Fracture frequency is the number of fractures occurring

within a unit length. The number of natural fractures is
divided by the length and is reported as fractures per foot
or fractures per meter.

Rock Quality Designation

Rock Quality Designation (RQD) [2] is a fracture index

used in many rock classification systems. To determine
the RQD value, add the total length of solid core that is
4 inches (100 mm) or more long regardless of core
diameter. If the core is broken by handling or the drilling
process (mechanical breaks), the broken pieces are fitted
together and counted as one piece, provided that they
form the requisite length of 4 inches (100 mm). The
length of these pieces is measured along the centerline of
the core. This sum is divided by the length of the run
(drill interval) and recorded on the log as a percentage of
each run. Figure 5-1 illustrates RQD measurements and
procedures.

RQD estimates can be determined from outcrops. RQD =

115 - 3.3 where Jv equals the total number of joints in a
cubic meter. RQD may also be estimated from an

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Figure 5-1.—Rock Quality Designation (RQD) computation.
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Table 5-1.—Fracture density descriptors

Alpha-
numeric Criteria
descriptor Descriptor (excludes mechanical breaks)
FD0 Unfractured No observed fractures.
FD1 Very slightly Core recovered mostly in lengths
fractured greater than 3 feet (1 m).
FD2 Slightly to very
slightly fractured
FD3 Slightly fractured Core recovered mostly in lengths
from 1 to 3 feet (300 to 1,000 mm)
with few scattered lengths less than
1 foot (300 mm) or greater than 3 feet
(1,000 mm).
FD4 Moderately to
slightly fractured1
FD5 Moderately Core recovered mostly in lengths
fractured from 0.33 to 1.0 foot (100 to 300 mm)
with most lengths about 0.67 foot
(200 mm).
FD6 Intensely to
moderately
fractured1
FD7 Intensely fractured Lengths average from 0.1 to 0.33 foot
(30 to 100 mm) with fragmented
intervals. Core recovered mostly in
lengths less than 0.33 foot (100 mm).
FD8 Very intensely to
intensely
fractured1
FD9 Very intensely Core recovered mostly as chips and
fractured fragments with a few scattered short
core lengths.
1
Combinations of fracture densities are permissible where equal
distribution of both fracture density characteristics are present over a
significant core interval or exposure, or where characteristics are "in
between" the descriptor definitions.

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outcrop by determining the sum of solid rock (fracture

free) in lengths 4 inches long or greater along a line that
simulates either a 5- or 10-foot "core run." Detail line
surveys provide the data needed to calculate RQD.
Orienting the lines in different directions reduces
directional bias. Either of these methods offers an
advantage over RQDs determined from drill core, because
all fracture orientations are included. Also, these RQD
values more realistically represent rock conditions.

Description of Fractures

An accurate description of fractures is as important as the

physical characteristics of the rock mass. Fractures affect
and usually control the strength, deformation, and
permeability characteristics of a rock mass. Fractures are
grouped into sets based on similar orientations, and each
set is labeled and described. Along with the physical
measurements, such as attitude, spacing, and continuity,
include information such as composition, thickness, and
hardness of fillings or coatings; characteristics of surfaces
such as hardness, roughness, waviness, and alteration;
healing; fracture openness; and presence of water or
water flow. Joint and fracture properties also may be
useful for correlating purposes. Cleavage (CL) in
metamorphic rocks includes slaty cleavage, crenulation
cleavage, phyllitic structure, and schistosity (after Davis
[4]) and often can be used to evaluate the tectonic setting.

Figure 5-9 may be used for geologic reports or

specifications where the standard descriptors and
terminology established for discontinuities are used
during data collection.

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Format for the Description of Fractures

Identifying and recording the physical characteristics of

fractures during mapping and logging is the least
expensive part of most geologic investigations. An
accurate and concise description of these characteristics
permits interpretation in geologic terms directly
applicable to design and construction. As many of the
characteristics should be described as possible, limited
only by the type of observation. For example, continuity
and waviness cannot be provided for joints observed in
core. Examples of fracture descriptions recorded for a
drill hole log and for an outcrop or exposure are in a
following section. A general format for recording fracture
descriptions follows:

• Orientation
• Spacing
• Continuity
• Openness
• Fillings
Thickness
Composition
Weathering/alteration
Hardness
• Healing
• Surfaces
Roughness
Waviness
Weathering/alteration
Hardness
• Field index test results
• Moisture

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Descriptors for Fracture Characteristics

The following paragraphs present terminology, descriptor

criteria, and descriptors for recording fracture data.
Alphanumeric descriptors are amenable to computer
sorting. Alphanumeric descriptors are not a substitute
for a complete description of the fracture characteristics.

Orientation.—The orientation of all fractures with

respect to applied loads can be critical to deformation or
stability. Seepage or grouting also may be affected or
controlled by orientation. Orientation is usually
measured in the field, and the raw data tabulated and
interpreted. The analysis typically includes stereonets,
contour diagrams, fracture sets, and their areal
distribution. A detailed statistical analysis of the fracture
data may be necessary. Azimuths or quadrants may be
used, but azimuths are becoming the standard, in part
because they are easier to computerize. The American
right-hand rule for dip direction notation is preferred.
The method of measuring the dip of planar dis-
continuities, foliation, and bedding in cores is shown in
figure 5-9. Figures 5-1 and 5-2 illustrate how inclination
of a joint in core from an angle hole can be interpreted as
a horizontal joint (A) or vertical joint (B) by rotating the
core 180 degrees (E). If the core is oriented and the top of
the core is known, the inclination can be recorded as
positive (+) or negative (-) to avoid ambiguity and to assist
in determining sets.

Fracture orientation is recorded as strike and dip, or as

azimuth and dip, preferably using the right-hand rule.
Orientation of planar features with undetermined strike
can be measured directly and reported as dip in vertical
holes. In angle holes, where true dip is not known, the
angle of the plane should be measured from the core axis

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and reported as inclination, i.e., "bedding plane joints

inclined 65 degrees from the core axis."

Spacing.—Spacing affects block size and geometry in the

rock mass. Spacing is a required input to several rock
mass classification systems. When a set can be distin-
guished (parallel or subparallel joints), true spacing can
be measured and is described for each joint set, as shown
on figure 5-2 and in table 5-2. If apparent spacing is
given, label as such.

Figure 5-2.—Comparison of true and apparent spacing.

Continuity.—A continuous joint or fracture is weaker

and more deformable than a short discontinuous fracture
bridged by intact bedrock. Recording trace lengths to
describe continuity is useful in large exposures.
Identification of the more continuous fractures is an
important aspect of formulating rock stability input data,
especially for high cut slopes and in large underground
openings. Record the longest observable trace regardless
of end type and note whether it is a strike (S), dip (D), or
apparent (A) trace. Descriptors for continuity are
provided in table 5-3.

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Table 5-2.—Fracture spacing descriptors

Alpha-
numeric Joint or fracture
descriptor spacing descriptor True spacing
SP1 Extremely widely Greater than 10 feet (ft)
spaced (<3 m)
SP2 Very widely spaced 3 to 10 ft (1 to 3 m)
SP3 Widely spaced 1 to 3 ft (300 mm to 1 m)
SP4 Moderately spaced 0.3 to 1 ft (100 to 300 mm)
SP5 Closely spaced 0.1 to 0.3 ft (30 to 100 mm)
SP6 Very closely spaced Less than 0.1 ft (<30 mm)

Table 5-3.—Fracture continuity descriptors

Alpha-
numeric
descriptor Descriptor Lengths
C1 Discontinuous Less than 3 ft (>1 m)
C2 Slightly continuous 3 to 10 ft (1 to 3 m)
C3 Moderately continuous 10 to 30 ft (3 to 10 m)
C4 Highly continuous 30 to 100 ft (10 to 30 m)
C5 Very continuous Greater than 100 ft (>30 m)

This information alone is not sufficient to completely

assess joint or fracture continuity because trace lengths
may be partially obscured. When performing joint
studies or surveys, record the number of ends (fracture
terminations) that can be seen in the exposure using the
alphanumeric descriptors shown in table 5-4. The size of
the exposure should be noted because this is a
determining factor when surveying for visible ends.

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Table 5-4.—Descriptors for recording

fracture ends in joint surveys

Alpha-
numeric
descriptor Criteria
E0 Zero ends leave the exposure (both ends of the
fracture can be seen in the exposure).
E1 One end can be seen (one end of the fracture
terminates in the exposure).
E2 Both ends cannot be observed (two fracture ends
do not terminate in the exposure).

Openness.—The width or aperture is measured normal

to the fracture surface. This aperture or openness affects
the strength, deformability, and seepage characteristics.
Describe fracture openness by the categories shown in
table 5-5. For drill logs, if actual openness cannot be
measured or estimated, use only open or tight and do not
assign an alphanumeric descriptor.

Characteristics of Fracture Fillings.—Describing the

presence or absence of coatings or fillings and
distinguishing between types, alteration, weathering, and
strength and hardness of the filling material may be as
significant as fracture spatial relationships or planarity.
Strength and permeability of fractures may be affected
by fillings. Descriptions of fracture coatings and fillings
are site specific but must address the following
considerations:

1. Thickness of fillings.—Table 5-6 provides

descriptors for recording the thickness of fracture
fillings or coatings.

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Table 5-5.—Fracture openness descriptors

Alpha-
numeric
descriptor Descriptor Openness
O0 Tight No visible separation
O1 Slightly open Less than 0.003 ft [1/32 inch
(in)] (<1 mm)
O2 Moderately open 0.003 to 0.01 ft [1/32 in to 1/8 in]
(1 to 3 mm)
O3 Open 0.01 to 0.03 ft [1/8 to 3/8 in] (3 to
10 mm)
O4 Moderately wide 0.03 ft [3/8 in] to 0.1 ft (10 to
30 mm)
O5 Wide Greater than 0.1 ft (>30 mm)
(record actual openness)

Table 5-6.—Fracture filling thickness descriptors

Alpha-
numeric
descriptor Descriptor Thickness
T0 Clean No film coating
T1 Very thin Less than 0.003 ft [1/32 in]
(<1 mm)
T2 Moderately thin 0.003 to 0.01 ft [1/32 to 1/8 in]
(1 to 3 mm)
T3 Thin 0.01 to 0.03 ft [1/8 to 3/8 in]
(3 to 10 mm)
T4 Moderately thick 0.03 ft [3/8 in] to 0.1 ft
(10 to 30 mm)
T5 Thick Greater than 0.1 ft (>30 mm)
(record actual thickness)

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2. Composition of fillings.—The mineralogical

classification of fillings, such as quartz, gypsum, and
carbonates, must be identified to convey physical
properties of fractures that may be significant
criteria for design. Soil materials in open fractures
should be described and classified according to the
Unified Soil Classification System (USCS) (see
USBR 5000 and USBR 5005 [5]).

Fractures may be filled or "healed" entirely or over a

significant portion of their areal extent by quartz,
calcite, or other minerals. Veins may be present
without healing the fracture or may have been
broken again forming new surfaces. Soluble fillings,
such as gypsum, may cause foundation or structural
degradation during the facility's expected lifetime.
Fracture fillings must be considered during design,
construction investigations, and monitoring or
potential long-term stability, deformability, and
seepage problems may require expensive
rehabilitation efforts.

Coatings or fillings of chlorite, talc, graphite, or other

low-strength materials need to be identified because
of their deleterious effects on strength, especially
when wet. Some fillings, such as dispersive, erosive,
or micaceous materials, can squeeze, pipe under fluid
flow, and contribute to a loss of strength and
stability. Montmorillonitic clays may swell or cause
swelling pressures. Cohesionless materials, such as
sands and silts, or materials which have been
crushed or altered may run or flow into underground
excavations or serve as seepage conduits.

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3. Weathering or alteration.—Descriptors for

weathering or alteration of fracture fillings
(excluding soil materials) are the same as those used
for rock weathering.

4. Hardness/strength.—Descriptors for hardness/

strength of fillings should be the same as those
presented for bedrock hardness or soil consistency
(chapters 3 and 4). Various field index tests may also
be performed to determine strengths of fillings.
Refer to the Field Index Tests in chapter 4.

5. Healing.—Fractures may be healed or

recemented by one or more episodes of
mineralization or precipitation of soluble materials.
A description of fracture healing or rehealing should
include not only the type of healing or cementing
agent, but an estimate of the degree to which the
fracture has been healed. The subjective criteria and
descriptors shown in table 5-7 should be used to
describe healing.

Characteristics of Fracture Surfaces.—The physical

characteristics of fracture surfaces are very important for
deformability and stability analyses. Dimensional
characteristics such as roughness and waviness (see
figure 5-3) and characteristics, such as weathering and
hardness of the surfaces, are important in evaluating the
shear strength of fractures. Fracture roughness
descriptors are given in table 5-8. Surface characteristics
are less important only when low-strength materials
comprise fracture fillings.

The description of fracture asperities is divided into two

categories: small-scale asperities, or roughness, and
large-scale undulations, or waviness. Figure 5-3 shows
.

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Table 5-7.—Fracture healing descriptors

Alpha-
numeric
descriptor Descriptor Criteria
HL0 Totally healed Fracture is completely healed or
recemented to a degree at least as
hard as surrounding rock.
HL2 Moderately Greater than 50 percent of fracture
material, fracture surfaces, or
healed filling is healed or
recemented; and/or strength of the
healing agent is less hard than
surrounding rock.
HL3 Partly healed Less than 50 percent of fractured
material, filling, or fracture surface
is healed or recemented.
HL5 Not healed Fracture surface, fracture zone, or
filling is not healed or recemented;
rock fragments or filling (if
present) is held in place by iits own
angularity and/or cohesiveness.

examples of these asperities. Descriptors for roughness

and waviness and additional items related to fracture
surfaces follow.

1. Roughness.—The roughness (small-scale asper-

ities) of fracture surfaces is critical for evaluating
shear strengths. Roughness descriptors such as
striated or slickensided should be used whenever
observed. For oriented core or outcrops, the
orientation of striations or slickensides should be
recorded. The rake of striations or slickensides
should be recorded when observed in core from
vertical drill holes which have not been oriented. In

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Figure 5-3.—Examples of roughness and waviness of

fracture surfaces, typical roughness profiles, and
terminology. The length of each profile is in the range of
3 to 15 feet (1 to 5 m); the vertical and horizontal scales
are equal.

Coulomb's equation for shear strength (S = C + N tan

n), the large scale undulations (i) are entered into the
equation as N tan (n + i).

2. Waviness.—Waviness (large-scale undulations)

also should be recorded for fracture surveys along

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Table 5-8.—Fracture roughness descriptors

Alpha-
numeric
descriptor Descriptor Criteria
R1 Stepped Near-normal steps and ridges occur
on the fracture surface.
R2 Rough Large, angular asperities can be
seen.
R3 Moderately Asperities are clearly visible and
rough fracture surface feels abrasive.
R4 Slightly rough Small asperities on the fracture
surface are visible and can be felt.
R5 Smooth No asperities, smooth to the touch.
R6 Polished Extremely smooth and shiny.

exposures. This is done by recording amplitude and

wavelength, or as a minimum, describing as either
planar or undulating.

3. Weathering/alteration.—Weathering or altera-
tion of fracture surfaces is one of the criteria used for
classifying rock mass weathering. Even though it is
inherent in the weathering categories, the actual
description of surface alteration and the associated
loss of strength of the rock needs to be reported.
Qualitative information can be presented when
describing a particular joint set, joint, or fracture.
The condition of the surface(s), such as depth of
penetration and degree of staining or oxidation,
should be recorded.

Moisture Conditions.—The presence of moisture or the

potential for water flow along fractures may be an

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indicator of potential grout takes or seepage paths.

Criteria and descriptors shown in table 5-9 describe
moisture conditions for fractures. The presence or
absence of moisture cannot be determined in core, but
evidence of previous long-term water flow is found in
leaching, color changes, oxidation, and dissolutioning.

Table 5-9.—Fracture moisture conditions descriptors

Alpha-
numeric
descriptor Criteria

M1 The fracture is dry, tight, or filling (where

present) is of sufficient density or composition to
impede water flow. Water flow along the fracture
does not appear possible.

M2 The fracture is dry with no evidence of previous

water flow. Water flow appears possible.

M3 The fracture is dry but shows evidence of water

flow such as staining, leaching, and vegetation.

M4 The fracture filling (where present) is damp, but

no free water is present.

M5 The fracture shows seepage and is wet with

occasional drops of water.

M6 The fracture emits a continuous flow (estimate

flow rate) under low pressure. Filling materials
(where present) may show signs of leaching or
piping.

M7 The fracture emits a continuous flow (estimate

flow rate) under moderate to high pressure.
Water is squirting, and/or filling material (where
present) may be substantially washed out.

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Field Index Tests

Schmidt Hammer tests can be used to estimate the hard-

ness/strength of the rock surfaces along a discontinuity
(which may be weaker than the body of the rock). The
rebound of a spring-actuated projectile is measured from
the surface being tested. The sample should be large
enough, preferably intact or securely fastened to a stable
base (i.e., concrete), so that it does not move during tests.
Unclamped specimens should measure at least 0.7 foot
(200 mm) in each direction. Direct testing on rock
outcrops is usually the best method. Results should be
obtained from both wet and dry surfaces. Ten readings
are taken at various locations on each surface. The five
lowest readings are discounted, and the five highest
readings are averaged to obtain a realistic rebound
number (Schmidt hardness). The hammer is always
oriented perpendicular to the surface being tested. A unit
dry weight must also be determined for the material
being tested. Using the Schmidt hardness and the unit
dry weight, the uniaxial compressive strength of the
sample can be estimated.

Tilt-type sliding-friction tests are also useful in

estimating the shear strength of fractures. Samples can
be obtained from outcrops or rock core. A representative
sample is tilted, and the angle at which the top of the
sample slides relative to the bottom is measured. This
angle is an approximation of the friction angle. Both wet
and dry surfaces should be tested. The weight, thickness,
and approximate dimensions of the sample parts also are
recorded. A friction angle can be estimated in a similar
manner using three pieces of core. Two representative
pieces of core are used as a base, and the third piece is
placed on top. The base is then tilted until the top piece
of core slides, and this angle is measured.

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Pocket penetrometers may be used to estimate the

strength of soil-like fillings or surfaces. The surface or a
filling is penetrated by the penetrometer to the line on
the penetrometer (about a quarter of an inch), and the
approximate compressive strength is read directly from a
calibrated scale on the penetrometer.
Example Descriptions of Fractures

The examples which follow show a representative format

for recording data. Actual descriptions vary and depend
on whether the observations were recorded from
exposures, drill core, or detailed joint surveys. Data
report descriptions of discontinuities should be expanded
to provide ranges and typical characteristics or additional
significant data for each set or individual fractures from
all observations.

Drill Core.—The following metric example is taken from

a log of a rock core interval from a vertical drillhole; in an
angle hole, orientation would be recorded as inclination
from the core axis:

“. . . Moderately to slightly fractured (35%

bedding joints, 65% joints). Core recovered in
210 to 730 mm lengths, mostly as 300 mm
lengths. Bedding joints dip 30 to 35E, widely
spaced (SP3) at 370 to 790 mm, avg 580 mm; 29
are tight, 6 are open; all are clean; 20 are
moderately rough (R3), 15 are slightly rough
(R4); oxidation penetrates 30 mm from surfaces
(W4); all surfaces can be scratched by moderate
knife pressure (H4). Joint set A dips 50 to 75E,
mostly 60 to 65E, normal bedding; very widely
spaced (SP2) at 0.9 to 1.2 m, avg 1 m; 3 are open,
1 is tight, and 9 are tight and healed by 3 to
30 mm thick, fresh (W1), very hard (H2), quartz-
calcite fillings; the 3 open joints are clean,
slightly rough (R4), oxidation stains penetrate

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60 mm from surfaces (W4) which can be

scratched by light to moderate knife pressure, all
3 show evidence of water flow (W6) . . .. ”

Exposure Mapping.—An example of fracture

descriptions for an exposure, using English units, follows:

“Joint set A-1 strikes N. 20-38E W., mostly N. 20-

25E W.; dips 50-65E NE, averages 54E NE. Very
widely spaced (SP2), 3.8 to 7.3 ft apart, mostly
5 ft apart; most have moderately to highly
continuous (C3 to C4) 25 to 55 ft trace lengths.
Approx. 60% are open to moderately wide (O3 to
O4), ranging in openness from 0.1 to 0.3 ft,
remainder are tight to slightly open (O0 to O1).
Approx. 10% of the joints contain thin, hard
quartz fillings, 25% are clean, and 65% contain
firm fat clay (CH) fillings which can be indented
with thumbnail. All rock surfaces are
moderately weathered with dendritic iron oxide
staining which can be scratched with light to
moderate knife pressure. Most surfaces are
slightly rough (R4) and undulatory, approx. 20%
are rough (R2) and planar. Undulations have
wavelengths of 10 to 20 ft, average 15 ft, and
amplitudes range from 0.2 to 0.5 ft. Clean joints
are dry but show evidence of moisture flow (M3),
most clay filled joints are damp but show no
evidence of flow (M4).”

Fracture Survey.—Statistical evaluations are valuable,

so it is important to collect joint properties for analysis.
This can be readily accomplished using fracture survey
techniques. Data sheets are prepared with appropriate
columns for recording the data, a traverse distance and

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direction are established, and all pertinent data are

measured and recorded. Data are analyzed using
statistical methods. Refer to chapter 7 for detailed
descriptions of discontinuity surveys.

Descriptions of Shears and Shear Zones

Shear, fault, and associated terminology are defined at

the beginning of this chapter. The following describes a
method to classify shears, shear zones, and their
associated features. A format to describe and quantify
shear and fault physical characteristics and example
descriptions is provided. For each discussion, the word
"fault" can be substituted for "shear."

Identification or Naming of Shears

Significant shears should be named for ease of identifi-

cation in logs of exploration, mapping of exposures, inter-
pretations on geologic drawings, discussion in reports,
sample identification, and design treatment. Identifica-
tion of a shear or shear zone by letter/number desig-
nation, such as S-9 (shear zone No. 9) or F-1 (fault zone
No. 1), is recommended. Major splays may be identified
by an appropriate combination of letters and numbers
such as S-la or F-2c. Shears also may be named by their
location such as "powerplant shear," "Salt Creek Shear
zone," or "left abutment fault" if only a few shears are
present in the study area.

Uniform and Structured Shear Zones

The identification and correlation of shears and shear

zones from multiple but separate observations in
boreholes, trenches, and limited outcrops are often
difficult. The identification and description of shear and

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shear zone components and their physical characteristics

are necessary to both assist in correlating observations
and for design analyses. Together with physical meas-
urements of attitude and thickness, the description of the
component parts and internal structure of a shear may be
used for correlation in much the same way that
geophysical signatures or lithology are used to identify
certain stratigraphic units. The composition of a shear or
shear zone at each exposure can be described as either
uniform or structured. Illustrated in figure 5-4 is a
0.5-foot (150-mm) thick uniform shear composed of
40 percent breccia distributed relatively uniformly
throughout 60 percent clay gouge. Although the shear
contains two components, clay gouge and brecciated
fragments, the components are distributed uniformly
throughout the 0.5-foot shear zone.

Figure 5-4.—Uniform shear zone.

In contrast, a structured shear zone is composed of two or

more zones which differ significantly in composition or
physical properties. A structured shear zone could consist
of components similar to the uniform shear described
above with an additional 0.2-foot (60-mm) thick quartz
vein along one contact, as shown on figure 5-5.

A more complex structured shear zone might have a

0.1-foot (30-mm) thick chloritic gouge layer adjacent to
the vein as shown on figure 5-6.

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Figure 5-5.—Structured shear zone

(two zones or layers).

Figure 5-6.—Structured shear zone (three layers).

Numerous small quartz-calcite or other mineral veinlets

commonly occur irregularly distributed throughout
shears. The veinlets do not form distinct layers; there-
fore, they should be considered a percentage component
of a uniform shear as illustrated on figure 5-7.

Figure 5-7.—Uniform shear zone with veinlets.

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Shear zones may have minor or major lateral variations

in the percentages of components within short distances
at an exposure. The shear zone illustrated in figure 5-4
consists of 60 percent clay gouge and 40 percent rock
fragments. Because the various components are not
arranged in layers, the shear is of the uniform type. In
an adjacent tunnel, the same shear zone may consist of
40 percent clay gouge and 60 percent rock fragments. If
the exposure is limited, as in most tunnels or exploratory
trenches, the percentages of the various components
should be averaged, as illustrated on figure 5-8, and the
average composition should be described.

Figure 5-8.—Uniform shear zone (composite).

Descriptors and Description Format for Shears and

Shear Zones

For shears to be uniformly and adequately described, a

brief discussion of each applicable item in the following
list should be included. The recommended format for
describing a shear or shear zone, either uniform or
structured as follows:

• Attitude
• Thickness

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• Composition

Gouge
Percent by volume
Color
Moisture content
Consistency (hardness/strength)
Composition
Occurrence — layers or matrix
Breccia
Percent by volume
Fragment size(s)
Fragment shape(s)
Fragment surface characteristics
Lithology
Hardness/strength

Other components (vein or dike materials)

Percentage
Thickness
Composition (mineralogy, texture, fracturing,
etc.)

• Healing

• Zone strength

• Direction of movement (if determinable)

Attitude.—Measure strike and dip in exposures and

from oriented core, report dip in vertical core, and
measure angle from core axis for inclined drill core.
Report an average figure if only moderate variations are
observed. Provide both a range and average if large
variations in orientation are apparent.

Thickness.—Report the true thickness of the shear or

shear zone. True thickness can be measured directly or
computed. Indicate an average figure for minor
variations, as well as a range and average for significant

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variations. Do not include associated features beyond

the shear contacts (the shear-disturbed zone), or intact
blocks of rock around which the shear has bifurcated as
components of the thickness.

Composition.—Report an average percentage for each

description-format component. The various layers or
zones of structured shears may be indicated by use of
bracketed numbers [i.e., shear 1(1), 1(2)]. Describe each
individual layer or zone in the order it occurs as if each
were a uniform shear.

1. Gouge.—

• Percentage.—Report an average percent by

volume for each exposure or layer.

• Color.—Report color to help distinguish between

several types of gouge or to indicate alteration.
The Munsel Color System can be used to record
both the wet and dry color.

• Moisture content.—Describe the apparent

moisture content upon initial exposure, using the
following terms: wet (visible free water); moist
(damp but without visible water); and dry (absence
of moisture, dusty, dry to the touch).

• Consistency (strength/hardness).—Report
the ease with which gouge can be worked by hand:
Very soft [thumb penetrates gouge more than 1 in
(25 mm) if the gouge occurs in a sufficient
quantity]; soft [easily molded, penetration of
thumb about 1 in (25 mm)]; firm [easily crumbled,
can be penetrated by thumb up to 1/4 in : (5 mm)];
hard (can be broken with finger pressure, no
indentation with thumb, readily indented with

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thumbnail); and very hard (cannot be indented

with thumbnail). Use a pocket penetrometer to
estimate gouge strength.

• Composition.—Report identifiable mineral

types; talc, chlorite, mica. Otherwise, report the
soil classification group name and/or symbol, such
as CH, ML, lean clay, etc.

• Occurrence.—Describe how the gouge occurs,

such as thin coatings on fragments, a matrix, or a
layer.

2. Breccia.—

• Percentage.—Report an average percent by

volume for each exposure or layer.

• Fragment size.—Estimate or measure the

dimension of the most common fragment sizes and
report as a range. Use fractions of an inch and
tenths of a foot or metric equivalents.

• Fragment shape.—Unless the distribution of

several shapes is nearly equal, report the most
common shapes and degree of angularity as shown
in figure 5-9.

• Fragment characteristics.—These should be

included because they affect or provide an
indication of the strength of the zone or help to
identify a particular zone in several exposures or
observations. Descriptions should include striated,
slickensided, polished, rough, chloritic coatings,
and weathering.

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Figure 5-9.—Standard descriptors and descriptive

criteria for discontinuities.

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• Lithology.—The identification of rock

fragments (rock type) is essential, particularly if
different from the surrounding rock mass or if
several rock types are present in the zone.
Indicate if fragments within the zone are altered.

• Fragment hardness/strength.—Describe how

the average-size fragment can be broken across its
least dimension using the following format: can
be broken with (light, moderate, heavy) manual
pressure or hammer blow.

3. Other components (vein or dike material).—

Describe any large veins or dikes which occur within
the shear, either as a component of a uniform shear
zone, usually occurring in the form of branching,
discontinuous veinlets less than 1/2-inch (13-mm)
thick, or as a layer (zone) within a structured shear.
Dikes or large veins should be included as a single
layer of a shear zone if they are bounded by shears.
Also, they should be described as a rock unit. If a
shear occurs only along one border of a dike or vein,
the dike or vein should be described only as a rock
unit.

• Percentage.—Report as an average percent by

volume for the exposure or layer.

• Thickness.—Report as an average or range of

thickness.

• Composition.—Provide a brief description of

mineralogy and texture (e.g., leached, vuggy).
Fracture density may be reported here if
significant.

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Healing.—Small veinlets which are components of a

uniform shear zone and which actually form a bond
between fragments tend to increase the strength of the
shear zone (see following section). Healing should be
determined by attempting to separate fragments
manually or using a rock or pick. If fragments are
bonded by some healing or cementing agent, the shear
zone is described as partly healed (less than 50 percent
of fragments bonded), mostly healed (more than 50
percent of fragments bonded), and totally healed (all
fragments bonded by vein material).

Zone Strength.—When possible, the strength of the

entire shear zone exposed in outcrops, tunnels, and
exploratory trenches should be reported by the ease of
which the sheared material can be dug from the
exposure. The following guide is to be used: can be dug
from wall, floor, or outcrop with light, moderate, or
heavy finger pressure or hammer blow. Strength should
be reported for each significant layer of a shear zone.

Direction of Movement.—If determinable, the amount,

direction, and type of displacement are reported. Type
and direction of displacement (dip-slip, strike-slip,
oblique-slip, normal, reverse, right-lateral) may be
directly observable as shown by drag, tension fractures,
striations, offset "marker units" (such as beds, dikes,
veins, or other structural units). The amount of both
horizontal and vertical separation and, if possible, a net-
slip solution should be included. Regional stress fields
may be used to postulate displacement in the absence of
site observations.

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Example Descriptions for Shears and Shear Zones

The following are example descriptions for both a

uniform and a structured shear zone; actual descriptions
may depend on the type of observation.

A description, using metric units, of a uniform shear in

an angle hole could be:

“21.30 to 22.31: Shear. 210 mm thick, upper

contact inclined 40E, lower contact inclined 61E
from core axis, averages 51E, parallel to
bedding. Composed of approx. 15%, blackish-
green, moist, soft, chloritic clay and 85% 2 to 10
mm thick platy and lens-shaped, subrounded,
polished, intensely weathered (W7)
metasandstone fragments. Fragments break
with light hand pressure. Fragments partly
healed by 1 mm thick quartz-calcite veinlets.”

A structured shear zone in a vertical drill hole core could

be reported in English units as:

“118.6 to 121.9': Shear zone. 2.3 ft thick, upper

and lower contacts dip 40 to 45E, subparallel to
foliation. Zone 1, upper 0.3 ft; consists of 45%
green, moist, soft, chloritic clay gouge and 55%
0.05 to 0.1 ft subrounded, blocky, polished, fresh
dike fragments; fragments break with moderate
hammer blow. Zone 2 is 1.1 ft thick; consists of
very intensely fractured, fresh dike which is
partly healed by 0.01 to 0.3 ft-thick calcite
veinlets and a 0.l ft-thick, vuggy quartz-calcite
vein at base of dike. Zone 3 is 0.5 ft of No
Recovery. Zone 4, the lower 0.3 ft; consists of
70% gray, moist, firm, silty gouge, and 15% 0.01
to 0.03 ft-thick, wedge-shaped, fresh, striated

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horn-blende schist fragments, and 15% 0.02 ft-thick,

angular, blocky, fresh quartz fragments. Fragments
break with light hammer blow.”

Description of Shear-Disturbed Zones

Fractures, fracture zones, drag zones, mineralized

bedrock, and dikes or large veins along which one contact
is sheared but are not themselves sheared or enclosed
within a zone, are not included in the thickness of a
shear or shear zone. The associated zone should be
identified to adequately describe geologic conditions of
engineering significance. For example, the shear-
disturbed zone and an adjacent dike might be described
as:

“. . . The shear is bounded by a 1.5- to 4-ft wide

shear-disturbed zone of very intensely to
intensely fractured chloritized dike (FD8). This
zone averages 3 ft wide along the upper contact
and 2 ft wide in the associated chloritized dike
adjacent to the lower contact. Hydrothermal
alteration consisting of epidote, chlorite, pyrite,
and quartz extends irregularly outward 2 to 7 ft
normal to the shear boundaries.”

BIBLIOGRAPHY

[1] International Journal of Rock Mechanics Mining

Science and Geomechanics Abstracts, v. 15, pp. 319-
368, 1978.

[2] The Glossary of Geology, 4th edition, American

Geologic Institute, Alexandria, Virginia, 1997.

[3] Deere, D.U., and D.W. Deere, “RQD After Twenty

Years,” U.S. Army Corps of Engineers, 1989.

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[4] Davis, George H., Structural Geology of Rocks and

Regions, John Wiley & Sons, 1984.

[5] Earth Manual, Part II, Third Edition, Bureau of

Reclamation, U.S. Department of the Interior, 1990.

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GEOLOGIC MAPPING AND

DOCUMENTATION
Geologic mapping is defined as the examination of
natural and manmade exposures of rock or uncon-
solidated materials, the systematic recording of geologic
data from these exposures, and the analysis and inter-
pretation of these data in two- or three-dimensional
format (maps, cross sections, and perspective [block]
diagrams). The maps and cross sections generated from
these data: (1) serve as a record of the location of factual
data; (2) present a graphic picture of the conceptual
model of the study area based on the available factual
data; and (3) serve as tools for solving three-dimensional
problems related to the design, construction, and/or
maintenance of engineered structures or site characteri-
zation. This chapter presents guidelines for the
collection and documentation of surface and subsurface
geologic field data for use in the design, specifications,
construc-tion, or maintenance of engineered structures
and site characterization studies.

Responsibilities of the Engineering Geologist

An engineering geologist defines, evaluates, and docu-

ments site-specific geologic conditions relating to the
design, construction, maintenance, and remediation of
engineered structures or other sites. This responsibility
also may include more regionally based geologic studies,
such as materials investigations or regional reconnais-
sance mapping. An engineering geologist engaged in
geologic mapping is responsible for:

• Recognizing the key geologic conditions in a study

area that will or could significantly affect hazardous
and toxic waste sites or a proposed or existing
structure;

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• Integrating all the available, pertinent geologic

data into a rational, interpretive, three-dimensional
conceptual model of the study area and presenting
this conceptual model to design and construction
engineers, other geologists, hydrologists, site
managers, and contractors in a form that can be
understood.

The process and responsibilities of engineering geology

mapping are illustrated in figure 6-1.

The engineering geologist needs to realize that geologic

mapping for site characterization is a dynamic process of
gathering, evaluating, and revising geologic data and
that the significance of these data, both to the structure
and to further exploration, must be continually assessed.
The initial exploration program for a structure is always
based on incomplete data and must be modified
continuously as the site geology becomes better
understood. The key to understanding the site geology
is through interpretive geologic drawings such as
geologic maps, cross sections, isopachs, and contour
maps of surfaces. These working drawings, periodically
revised and re-interpreted as new data become available,
are continuously used to assess the effects of the site
geology and to delineate areas where additional explora-
tion is needed. These drawings are used in designs,
specifica-tions, and modeling and maintained in the
technical record of the project.

Development of a Study Plan

Prior to mapping any project, a study plan must be

developed. Depending on the complexity of the site
geology, the nature of the engineered structure, and the
level of

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131

Figure 6-1.—Process of engineering geology mapping.

 FIELD MANUAL

previous studies, the study plan may be preliminary or

comprehensive. Although elements of the plan may be
modified, expanded, or deleted as geologic data become
available, the primary purpose of the study plan—
coordination among all geologists and engineers working
on the project—should be retained. Early study plan
development and agreement to this plan by those
involved in the project are necessary to prevent the
collection of unneeded, possibly costly data and ensure
needed data are available at the correct time in the
analysis, design, and construction process.

Scope of Study

The purpose and scope of the mapping project are

strongly influenced by the primary engineering and
geologic considerations, the level of previous studies, and
overall job schedules. The purpose and scope are
formulated jointly by the geologists and engineers on the
project. Time of year and critical dates for needed
information also will have a great impact on the pace of
data collection and the personnel needed to handle a
mapping project. Discussion of these factors prior to
initiating the mapping program is essential so that only
necessary data are obtained and the work can be
completed on schedule. Items to consider when defining
the scope of a mapping program are:

1. Study limits.—Set general regional and site study

limits based on engineering and geologic needs.

2. Critical features and properties.—Determine the

critical geologic features and physical properties of site
materials that will need to be defined and discuss the
difficulties in collecting data on these features.

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3. Schedules.—Determine schedules under which the

work will be performed and define key data due dates.
Prioritize work to be done. The time of year the mapping
is to be performed, the type of mapping required,
available personnel and their skills, the availability of
support personnel such as drill crews and surveyors, and
budget constraints will influence the work schedule and
must be carefully evaluated.

4. Extent of previous studies.—Collect and study all

available geologic literature for the study area. The ex-
tent and adequacy of previous studies helps to define the
types of mapping required and how data will be
collected, i.e., based on analyses, design, or construction
needs.

5. Photography.—Aerial and terrestrial photo-

graphy should be considered for any project. As a mini-
mum, aerial photographs of the site should be reviewed.
Aerial photographs reveal features that are difficult to
recognize from the ground or at small scales. Extensive
use of terrestrial or aerial photography will require a
different approach to the mapping program. Define
areas where terrestrial photogrammetry could aid
mapping progress. Terrestrial photography of various
types is an integral part of the final study record.

Specific Mapping Requirements

This section provides the basic considerations an

engineering geologist should evaluate prior to starting
any mapping project or portion of a mapping project.

Map Type

Define the types of mapping required and how data are

to be collected, including special equipment needed for

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data collection. The types of mapping required depend

on the study purpose or the type of structure or site that
is to be built or rehabilitated, structure size, the phase of
study (planning through operation and maintenance),
and the specific design needs.

Scales and Controls

Define the required scales for design or construction

needs. Although finished maps can be enlarged or
reduced photographically or by Computer-Aided Drafting
Design (CADD)-generated drawings to any desired scale,
in most cases map text and symbols will have to be
redone for legibility. Selection of an adequate map scale
at the beginning of a mapping project will save time and
energy as well as help ensure that the types of data
needed can be portrayed adequately on the final
drawings. Suggested map scales for various types of
investigations are listed under specific mapping
techniques.

The horizontal and vertical accuracy and precision of

locations on a map depend on the spatial control of the
base map. General base map controls are listed in
decreasing significance: (1) Survey Control or Controlled
Terrestrial Photogrammetry—geology mapped from
survey controlled observation points or by plane table or
stadia; (2) Existing Topographic Maps—control for these
maps vary with scale. The most accurate are large-scale
photogrammetric topographic maps generated from
aerial photographs for specific site studies; (3)
Uncontrolled Aerial/Terrestrial
Photogrammetry—Camera lens distor-tion is the chief
source of error; (4) Brunton Compass/ Tape Surveys—can
be reasonably accurate if measure-ments are taken with
care; and (5) Sketch Mapping— Practice is needed to
make reasonably accurate sketch

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maps. The Global Positioning System can provide ade-

quate position locations depending on the required
accuracy or precision.

Global Positioning System

The Global Positioning System (GPS) is a system of

satellites that provides positioning data to receivers on
earth. The receiver uses the positioning data to calculate
the location of the receiver on earth. Accuracy and type
of data output depends on many factors that must be
evaluated before using the system. The factors that
must be evaluated are: (1) the needs of the project, (2)
the capabilities of the GPS equipment, and (3) the
parameters necessary for collecting the data in an
appropriate form.

Project Requirements

The location accuracy or precision needed by the project

is a controlling factor whether GPS is appropriate for the
project. The actual needs of the project should be deter-
mined, being careful to differentiate with “what would be
nice.” Costs should be compared between traditional
surveying and GPS.

GPS Equipment

Different GPS receiver/systems have different

accuracies. Accuracies can range from 300 ft to inches
(100 m to cm) depending on the GPS system. Costs
increase exponen-tially with the increase in accuracy. A
realistic evalua-tion of the typical accuracy of the
equipment to be used is necessary, and a realistic
evaluation of the needed, not “what would be nice,”
accuracy is important. Possible accuracy and typical
accuracy are often not the same.

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Datums

The datum or theoretical reference surface to be used for

the project must be determined at the start. U.S.
Geologi-cal Survey (USGS) topographic maps commonly
use North American Datum (NAD) 27, but most new
surveys use NAD 83. Changing from one datum to
another can result in apparent location differences of
several hundred feet or meters if not done properly.

Map Projections

The map projection is the projection used to depict the

round shape of the earth on a flat plane or map. The
most common projections used in the United States are
the Transverse Mercator and the Lambert Conformal
Conic. State plane coordinate systems almost
exclusively use one or the other. To use these state
plane projections, location and definition parameters are
necessary. Table 6-1 has the types of projections and the
projection parameters for each state in the United
States. A discussion of map projections and coordinate
systems is in Map Projections - A Working Manual,
USGS Profes-sional Paper 1395[1].

Transverse Mercator.—The Transverse Mercator

projection requires a central meridian, scale reduction,
and origin for each state or state zone.

Lambert Conformal Conic.—The Lambert Conformal

Conic projection requires two standard parallels and an
origin for each state or state zone.

Coordinate System.—The coordinate system is the grid

system that is to be used on the project. The state plane

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Table 6-1.—U.S. State plane coordinate systems – 1927 datum

(T indicates Transverse Mercator: L. Lambert Conformal Conic:
H. Hotine Oblique Mercator. Modified slightly and updated from
Mitchell and Simmons, 1945, p. 45-47)

Projec- Projec-
Area tion Zones Area tion Zones

Alabama_______ T 2 Nevada _______ T 3

Alaska ________ T 8 New
L 1 Hampshire __ T 1
H 1 New Jersey ___ T 1
Arizona _______ T 3 New Mexico ___ T 3
Arkansas ______ L 2 New York _____ T 3
California _____ L 7 L 1
Colorado ______ L 3 North
Connecticut ____ L 1 Carolina L 1
Deleware ______ T 1 North Dakota _ L 2
Florida ________ T 2 Ohio __________ L 2
L 1 Oklahoma _____ L 2
Georgia _______ T 2 Oregon _______ L 2
Hawaii ________ T 5 Pennsylvania __ L 2
Idaho _________ T 3 Puerto Rico &
Illinois ________ T 2 Virgin
Indiana _______ T 2 Islands _____ L 2
Iowa __________ L 2 Rhode Island __ T 1
Kansas ________ L 2 Samoa ________ L 1
Kentucky ______ L 2 South
Louisiana _____ L 3 Carolina ____ L 2
Maine _________ T 2 South Dakota _ L 2
Maryland _____ L 1 Tennessee ____ L 1
Massachusetts _ L 2 Texas ________ L 5
Michigan1 Utah _________ L 3
obsolete _____ T 3 Vermont ______ T 1
current _____ L 3 Virginia ______ L 2
Minnesota _____ L 3 Washington ___ L 2
Mississippi ____ T 2 West Virginia _ L 2
Missouri ______ T 3 Wisconsin ____ L 3
Montana ______ L 3 Wyoming _____ T 4
Nebraska _____ L 2

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Table 6-1.—U.S. State plane coordinate systems – 1927 datum

(continued)
Transverse Mercator Projection
Central Scale Origin3
Zone meridian reduction2 (latitude)
Alabama
East ______________ 85E 50' W. 1:25,000 30E 30' N.
West _____________ 87 30 1:15,000 30 00
Alaska4
2 _________________ 142 00 1:10,000 54 00
3 _________________ 146 00 1:10,000 54 00
4 _________________ 150 00 1:10,000 54 00
5 _________________ 154 00 1:10,000 54 00
6 _________________ 158 00 1:10,000 54 00
7 _________________ 162 00 1:10,000 54 00
8 _________________ 166 00 1:10,000 54 00
9 _________________ 170 00 1:10,000 54 00
Arizona
East _____________ 110 10 1:10,000 31 00
Central ___________ 111 55 1:10,000 31 00
West _____________ 113 45 1:15,000 31 00
Delaware ___________ 75 25 1:200,000 38 00
Florida4
East _____________ 81 00 1:17,000 24 20
West _____________ 82 00 1:17,000 24 20
Georgia
East _____________ 82 10 1:10,000 30 00
West ____________ 84 10 1:10,000 30 00
Hawaii
1 ________________ 155 30 1:30,000 18 50
2 ________________ 156 40 1:30,000 20 20
3 ________________ 158 00 1:100,000 21 10
4 ________________ 159 30 1:100,000 21 50
5 ________________ 160 10 0 21 40
Idaho
East ______________ 112 10 1:19,000 41 40
Central ___________ 114 00 1:19,000 41 40
West _____________ 115 45 1:15,000 41 40
Illinois
East ______________ 88 20 1:40,000 36 40
West _____________ 90 10 1:17,000 36 40
Indiana
East _____________ 85 40 1:30,000 37 30
West _____________ 87 05 1:30,000 37 30

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Table 6-1.—U.S. State plane coordinate systems – 1927 datum

(continued)

Transverse Mercator Projection

Central Scale Origin3

Zone meridian reduction2 (latitude)
Maine
East _____________ 68E 30' W. 1:10,000 43E 50' N.
West _____________ 70 10 1:30,000 42 50
Michigan (old)4
East _____________ 83 40 1:17,500 41 30
Central ___________ 85 45 1:11,000 41 30
West _____________ 88 45 1:11,000 41 30
Mississippi
East ______________ 88 50 1:25,000 29 40
West _____________ 90 20 1:17,000 30 30
Missouri
East ______________ 90 30 1:15,000 35 50
Central ___________ 92 30 1:15,000 35 50
West _____________ 94 30 1:17,000 36 10
Nevada
East ______________ 115 35 1:10,000 34 45
Central ___________ 116 40 1:10,000 34 45
West _____________ 118 35 1:10,000 34 45
New Hampshire ______ 71 40 1:30,000 42 30
New Jersey __________ 74 40 1:40,000 38 50
New Mexico
East ______________ 104 20 1:11,000 31 00
Central ___________ 106 15 1:10,000 31 00
West _____________ 107 50 1:12,000 31 00
New York4
East ______________ 74 20 1:30,000 40 00
Central ___________ 76 35 1:16,000 40 00
West _____________ 78 35 1:16,000 40 00
Rhode Island ________ 71 30 1:160,000 41 05
Vermont _____________ 72 30 1:28,000 42 30
Wyoming
East _____________ 105 10 1:17,000 40 40
East Central 107 20 1:17,000 40 40
West Central 108 45 1:17,000 40 40
West _____________ 110 05 1:17,000 40 40

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Table 6-1.—U.S. State plane coordinate systems – 1927 datum

(continued)

Lambert Conformal Conic projection

Origin5
Standard
Zone parallels Longitude Latitude
Alaska4
10 ___________ 51E50' N. 53E 50' N. 176E00' W.5a 51E 00' N.
Arkansas
North ________ 34 56 36 14 92 00 34 20
South ________ 33 18 34 46 92 00 32 40
California
I ____________ 40 00 41 40 122 00 39 20
II ___________ 38 20 39 50 122 00 37 40
III ___________ 37 04 38 26 120 30 36 30
IV ___________ 36 00 37 15 119 00 35 20
V ____________ 34 02 35 28 118 00 33 30
VI ___________ 32 47 33 53 116 15 32 10
VII __________ 33 52 34 25 118 20 34 085b
Colorado
North _______ 39 43 40 47 105 30 39 20
Central ______ 38 27 39 45 105 30 37 50
South _______ 37 14 38 26 105 30 36 40
Connecticut ____ 41 12 41 52 72 45 40 505d
Florida4
North _______ 29 35 30 45 84 30 29 00
Iowa
North _______ 42 04 43 16 93 30 41 30
South _______ 40 37 41 47 93 30 40 00
Kansas
North _______ 38 43 39 47 98 00 38 20
South _______ 37 16 38 34 98 30 36 40
Kentucky
North _______ 37 58 38 58 84 15 37 30
South _______ 36 44 37 56 85 45 36 20
Louisiana
North _______ 31 10 32 40 92 30 30 40
South _______ 29 18 30 42 91 20 28 40
Offshore _____ 26 10 27 50 91 20 25 40
Maryland ______ 38 18 39 27 77 00 37 505c
Massachusetts
Mainland ____ 41 43 42 41 71 30 41 005d
Island _______ 41 17 41 29 70 30 41 005c

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Table 6-1.—U.S. State plane coordinate systems – 1927 datum

(continued)
Lambert Conformal Conic projection (continued)

Standard Origin5
Zone parallels Longitude Latitude
Michigan
(current)4
North _______ 45E29' N. 47E 05' N. 87E00' W. 44E 47' N.
Central ______ 44 11 45 42 84 20 43 19
South _______ 42 06 43 40 84 20 41 30
Minnesota
North _______ 47 02 48 38 93 06 46 30
Central ______ 45 37 47 03 94 15 45 00
South _______ 43 47 45 13 94 00 43 00
Montana
North _______ 47 51 48 43 109 30 47 00
Central ______ 46 27 47 53 109 30 45 50
South _______ 44 52 46 24 109 30 44 00
Nebraska
North _______ 41 51 42 49 100 00 41 20
South _______ 40 17 41 43 99 30 39 40
New York4
Long Island __ 40 40 41 02 74 00 40 305f
North
Carolina ______ 34 20 36 10 79 00 33 45
North Dakota
North _______ 47 26 48 44 100 30 47 00
South _______ 46 11 47 29 100 30 45 40
Ohio
North _______ 40 26 41 42 82 30 39 40
South _______ 38 44 40 02 82 30 38 00
Oklahoma
North _______ 35 34 36 46 98 00 35 00
South _______ 33 56 35 14 98 00 33 20
Oregon
North _______ 44 20 46 00 120 30 43 40
South _______ 42 20 44 00 120 30 41 40
Pennsylvania
North _______ 40 53 41 57 77 45 40 10
South _______ 39 56 40 58 77 45 39 20
Puerto Rico and
Virgin Islands
1 ___________ 18E 02' N. 18E 26' N. 66E 26' W. 17E 50' N.5g
2 (St. Croix) __ 18 02 18 26 66 26 17 505f, g

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Table 6-1.—U.S. State plane coordinate systems – 1927 datum

(continued)

Lambert Conformal Conic projection (continued)

Origin5
Standard
Zone parallels Longitude Latitude
Samoa _________ 14E16' S. (single) 170 005h — —
South Carolina
North _______ 33E46' N. 34 58 81 00 33 00
South _______ 32 20 33 40 81 00 31 50
South Dakota
North ________ 44 25 45 41 100 00 43 50
South _______ 42 50 44 24 100 20 42 20
Tennessee ______ 35 15 36 25 86 00 34 405f

Note: All these systems are based on the Clarke 1866 ellipsoid and are
based on the 1927 datum. Origin refers to rectangular coordinates.
1
The major and minor axes of the ellipsoid are taken at exactly
1.0000382 times those of the Clarke 1866, for Michigan only. This
incorporates an average elevation throughout the State of about 800 ft,
with limited variation.
2
Along the central meridian.
3
At origin, x = 500,000 ft, y = 0 ft, except for Alaska zone 7, x =
700,000 ft; Alaska zone 9, x = 600,000 ft; and New Jersey, x =
2,000,000 ft.
4
Additional zones listed in this table under other projection(s).
5
At origin, x = 2,000,000 ft, 7 = 0 ft, except (a) x = 3,000,000 ft, (b) x =
4,186,692.58, y = 4,160,926.74 ft, (c) x = 800,000 ft, (d) x = 600,000 ft,
(e) x = 200,000 ft, (f) y = 100,000 ft, (g) x = 500,000 ft, (h) x = 500,000 ft,
y = 0, but radius to latitude of origin = -82,000,000 ft.

system is used by most projects, but latitude/longitude,

universal transverse mercator, or a local coordinate
system may be used.

State Plane Coordinate Systems-changes for 1983

datum.—This listing indicates changes for the NAD
1983 datum from projections, parameters, and origins of
zones for the NAD 1927 datum. State plane coordinates
based on the 1927 datum cannot be correctly converted
to coordinates on the 1983 datum merely by using
inverse formulas to convert from 1927 rectangular
coordinates to latitude and longitude, and then using

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forward formulas with this latitude and longitude to

convert to 1983 rectangular coordinates. Due to
readjustment of the survey control networks and to the
change of ellipsoid, the latitude and longitude also
change slightly from one datum to the other.

These changes are given in the same order as the entries

in the 1927 table, except that only the changes are
shown. All parameters not listed remain as before,
except for the different ellipsoid and datum. Because all
coordinates at the origin have been changed, and because
they vary considerably, the coordinates are presented in
the body of the table rather than as footnotes. Somoa is
not being changed to the new datum.

Table 6-2.—U.S. State plane coordinate systems – 1983 datum

[L indicates Lambert Conformal Conic]
Area Projection Zones
California L 6
Montana L 1
Nebraska L 1
Puerto Rico and Virgin Islands L 1
South Carolina L 1
Wyoming Unresolved
Transverse Mercator projection
Coordinates of origin (meters)
Zone x y Other Changes
Alabama
East 200,000 0
West 600,000 0
Alaska, 2-9 500,000 0
Arizona, all 213,360 0 Origin in Intl. feet1

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Table 6-2.—U.S. State plane coordinate systems – 1983 datum

(continued)
Transverse Mercator projection (continued)
Coordinates of origin (meters)
Zone x y Other Changes
Delaware 200,000 0
Florida
East, West 200,000 0
Georgia
East 200,000 0
West 700,000 0
Hawaii, all 500,000 0
Idaho
East 200,000 0
Central 500,000 0
West 800,000 0
Illinois
East 300,000 0
West 700,000 0
Indiana
East 100,000 250,000
West 900,000 250,000
Maine Lat. of origin 43E40' N.
East 300,000 0
West 900,000 0
Mississippi
East 300,000 0 Scale reduction 1:20,000,
Lat. of origin 29E30' N.
West 700,000 0 Scale reduction 1:20,000,
Lat. of origin 29E30' N.
Missouri
East 250,000 0
Central 500,000 0
West 850,000 0
Nevada
East 200,000 8,000,000
Central 500,000 6,000,000
West 800,000 4,000,000
New Hampshire 300,000 0

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Table 6-2.—U.S. State plane coordinate systems – 1983 datum

(continued)
Transverse Mercator projection (continued)
Coordinates of origin (meters)
Zone x y Other Changes
New Jersey 150,000 0 Central meridian 74E30'W.
Scale reduction 1:10,000.
New Mexico
East 165,000 0
Central 500,000 0
West 830,000 0
New York
East All parameters identical with above New Jersey zone.
Central 250,000 0
West 350,000 0
Rhode Island 100,000 0
Vermont 500,000 0
Wyoming Unresolved

Lambert Conformal Conic projection

Coordinates of origin (meters)

Zone x y Other Changes
Alaska, 10 1,000,000 0
Arkansas
North 400,000 0
South 400,000 400,000
California Zone 7 deleted.
1-6 2,000,000 500,000
Colorado, all 914,401.8289 304,800.6096
Connecticut 304,800.6096 152,400.3048
Florida, North 600,000 0
Iowa
North 1,500,000 1,000,000
South 500,000 0
Kansas
North 400,000 0
South 400,000 400,000
Kentucky
North 500,000 0
South 500,000 500,000

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Table 6-2.—U.S. State plane coordinate systems – 1983 datum

(continued)
Lambert Conformal Conic projection (continued)
Coordinates of origin (meters)
Zone x y Other Changes
Kansas
North 400,000 0
South 400,000 400,000
Kentucky
North 500,000 0
South 500,000 500,000
Louisiana
North 1,000,000 0 Lat. of origin 30E30' N.
South 1,000,000 0 Lat. of origin 28E30' N.
Offshore 1,000,000 0 Lat of origin 25E30' N.
Maryland 400,000 0 Lat. of origin 37E40' N.
Massachusetts
Mainland 200,000 750,000
Island 500,000 0
GRS 80 ellipsoid used
Michigan without alteration.
North 8,000,000 0
Central 6,000,000 0 Long. of origin 84E22'W.
South 4,000,000 0 Long. of origin 84E22'W.
Minnesota, all 800,000 100,000
Montana 600,000 0 Standard parallels, 45E00'
(single zone) and 49E00' N.
Long. of origin 109E30' W.
Lat. of origin 44E15' N.
Nebraska 500,000 0 Standard parallels, 40E00'
(single zone) and 43E00' N.
Long. of origin 100E00' W.
Lat. of origin 39E50' N.
New York
Long Island 300,000 0 Lat. of origin 40E10' N.
North Carolina 609,621.22 0
North Dakota, all 600,000 0
Ohio, all 600,000 0

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Table 6-2.—U.S. State plane coordinate systems – 1983 datum

(continued)
Lambert Conformal Conic projection (continued)
Coordinates of origin (meters)
Zone x y Other Changes
Oklahoma, all 600,000 0
Oregon
North 2,500,000 0
South 1,500,000 0
Pennsylvania, all 600,000 0
Puerto Rico and 200,000 200,000 (Two previous zones
Virgin Islands identical except for x and y
or origin.)
South Carolina 609,600 0 Standard parallels, 32E30'
(single zone) and 34E50' N.
Long. of origin 81E00' W.
Lat. of origin 31E50' N.
South Dakota, all 600,000 0
Tennessee 600,000 0 Lat. of origin 34E20' N.
Texas
North 200,000 1,000,000
North Central 600,000 2,000,000 Central meridian 98E30' W.
Central 700,000 3,000,000
South Central 600,000 4,000,000
South 300,000 5,000,000
Utah
North 500,000 1,000,000
Central 500,000 2,000,000
South 500,000 3,000,000
Virginia
North 3,500,000 2,000,000
South 3,500,000 1,000,000
Washington, all 500,000 0
West Virginia, all 600,000 0
Wisconsin, all 600,000 0
NOTE: All these systems are based on the GRS 80 ellipsoid.
1
For the International foot, 1 in = 2.54 cm, or 1 ft = 30.48 cm.

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Units

English or metric units should be selected as early in the

project as possible. Conversions are possible, but
convert-ing a large 1-foot contour map to meters is no
trivial matter.

Remember that when using several sources of location

data, the reference datum must be known. Systematic
differences in location data are generally due to mixing
datums.

Specific Nomenclature and Definitions

Establish a uniform nomenclature system with written

definitions for rock types, map units, and map symbols
used. The American Geologic Institute Glossary of
Geology [2] is the standard for geologic terms except
where Reclamation has established definitions for its
own needs. These definitions and nomenclature are
discussed in chapters 2 through 5.

Field Equipment and Techniques

General geologic mapping equipment and techniques are

discussed in field geology manuals such as Lahee (1961)
[3] and Compton (1985) [4]. Refer to these texts for dis-
cussions of suggested field equipment and general
geologic mapping techniques.

Use of Computers

Computers are used during a mapping program in four

basic ways: (1) to process and analyze voluminous
numerical data (e.g., joint data), (2) as a tool in the
analysis of basic geologic data (e.g., construction of pre-
liminary or final plan and section views which

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incorporate previously entered geologic data),

(3) Computer Aided Drafting and Design (CADD) of
section and plan views, and (4) in modeling geologic
conditions. How computers will be used in the reduction,
analysis, and drafting of the geologic data generated
during a mapping program needs to be decided early
because records of field data will depend on whether
data are to be stored in digital format and restructuring
these data at a later date is costly, time consuming, and
introduces transcription errors.

Right-of-Way

Right-of-way is needed for any mapping of non-

Reclamation land and should be obtained early to
prevent work delays. Although "walk on" permission
usually is obtained easily, permission for trenching and
drilling may take several months, especially if
archeological or environmental assessment is necessary.

Records

Systematic methods of recording field observations,

traverse data, outcrop data, and trench logs are
important. Suggested sample field book formats are
shown under each section below dealing with specific
mapping procedures, but any format should allow clear
representation of the field data.

Geologic Considerations

The following are some key items that should be

evaluated during a mapping project. The degree of
importance varies with the project but the factors are
common to most.

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Lithology.—Differentiation between the various geo-

logic deposits and lithologies in a study area is basic to
geologic mapping. However, an engineering geologist is
more concerned with the engineering characteristics of
the unit than with its geologic definition, and these char-
acteristics should be the controlling factor in how geo-
logic units are subdivided. For some engineering
geologic purposes, it may be reasonable to consolidate
geologic units with similar engineering properties into a
single engineering geologic map unit. Depending on the
needs of the project, lithologic subunits may be defined
jointly between the engineers and the geologists working
on the job.

After the basic geologic subdivisions for a mapping job

have been agreed upon, detailed descriptions of each
subunit should be compiled and mapping symbols
selected. Map unit definitions usually will apply
specifically to the job or project area and normally will be
modified as additional data are collected. Map symbols
fall into several categories. American Geological
Institute data sheets have a comprehensive tabulation of
symbols.

Geologic contacts.—Two different line types normally

are used on geologic maps to denote the precision and
accuracy of geologic contacts. These are solid and broken
(dashed or dotted) lines. Solid lines usually are used
where exposures are excellent, such as a cleaned
foundation or an area with nearly continuous outcrops.
Solid lines indicate that the contacts are located with a
prescribed degree of accuracy. Broken contacts are used
when unsure of the accurate location of the contact, i.e.,
when the contact is covered by thin slopewash deposits
(dashed line) or where the contact is buried by deep
surficial deposits (dotted line). Confidence levels,
expressed in feet or meters, for both types of contacts
should be stated clearly in the definition of the contact

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line. The mapper should keep in mind the type of geo-

logic data being compiled and use the appropriate line.

Discontinuities.—Discontinuities separate geological

materials into discrete blocks that can control the
stability and bearing capacity of a foundation or slope.
Intersecting discontinuities in cut slopes can form
unstable wedges. Because of the destabilizing or
weakening effects, mapping and adequately describing
discontinuities is critical in engineering geology studies.
The various types of discontinuities and the terminology
for describing their engineering properties are discussed
in chapter 5.

Weathering and alteration.—The mechanical and

chemical alteration of geological materials can signifi-
cantly affect stability and bearing strengths. Adequately
determining weathering depths, extent of altered
materials and the engineering properties of these
weathered and altered materials is critical in
engineering geologic mapping. Refer to chapter 4 for
definitions of weathering and alteration descriptors.

Water.—The location and amount of groundwater to be

expected in an excavation and how it can be controlled is
critical to the overall success of a project.

Geomorphology.—Study of landforms is often the key

to interpreting the geologic history, structure, lithology,
and materials at a site. Exploration programs can be
better designed and implemented using landforms as a
basis. The geomorphic history is important in
determining the relative age of faults.

Vegetation indicators.—Differences in vegetation

types and patterns can provide indirect data on
lithologies, dis-continuities, weathering, groundwater,

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and mineralization. The water holding capacity of soil

developed on one rock (e.g., shale) may differ con-
siderably from the water holding capacity of soil
developed on another type of rock (e.g., sandstone);
consequently, the types of vegetation that grow in these
soils can vary considerably. Minerals present in the
parent rock may affect soil chemistry and may limit
vegetation to types tolerant of highly acidic or alkaline
soils or high concentrations of trace elements.
Vegetation seeking groundwater moving up major joints
and faults will form vegetation lineations that are highly
visible on aerial photographs, particularly color infrared
photo-graphs. In most locations, local conditions have to
be assessed to use vegetative indicators effectively.

Cultural features (manmade).—Cultural features,

such as water, gas or oil wells, road cuts or foundation
excavations, can provide surface and subsurface data
and should be reviewed early in the mapping project.
When data collection through trenching and core drilling
programs is considered, buried utility lines (water, gas,
electrical, sewage, or specialized lines) can be hazardous
or embarrassing when broken. Usually the utility or
owners will locate their lines.

Field checking.—Field checking by both mapper and

independent reviewer is a critical part of the mapping
process. Field checking after a map is complete allows
the mapper to check the interpretations at a given
location with the geologic concepts developed on the map
as a whole. Field checking by the independent reviewer
ensures that the basic field data are correct and conform
to project standards. Periodic field checking of pre-
viously mapped areas can be useful as the mapper's
concept of the site geology changes with the addition of
new surface and subsurface data.

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Site Mapping

Engineering geologic mapping has two phases—mapping

prior to construction and mapping during construction.
In general, the following guidelines are for: (1) general
mapping requirements, (2) suggested equipment, (3) spe-
cific preparations needed for the job, (4) type of documen-
tation needed, and (5) special considerations that the
mapping may require.

General

Detailed site geologic mapping studies generally are done

for most structures or sites. Site mapping requirements
are controlled by numerous factors, the most important
of which are the type and size of structure to be built or
rehabilitated or site to be remediated, the phase of study
(planning through operation and maintenance), and the
specific design needs.

Site mapping studies for major engineering features

should be performed within an approximate 5-mile (8-
km) radius of the feature, with smaller areas mapped for
less critical structures. These studies consist of detailed
mapping and a study of the immediate site, with more
generalized studies of the surrounding area. This
approach allows an integration of the detailed site
geology with the regional geology. The overall process of
site mapping is a progression from preliminary, highly
interpretive concepts based on limited data to final
concepts based on detailed, reasonably well-defined data
and interpretation. This progression builds on each pre-
vious step using more detailed methods of data collection
to acquire better defined geologic information. Typically,
site mapping is performed in two phases:
(1) preliminary surface geologic mapping and (2) detailed
surface geologic mapping. All site mapping studies begin

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with preparation of a preliminary surface geologic map

which delineates surficial deposits and existing bedrock
exposures. The preliminary surface geologic map is then
used to select sites for dozer trenches, backhoe trenches,
and drill holes. Surface geologic maps are then re-
interpreted based on the detailed surface and subsurface
data. If required, detailed subsurface geologic data are
also obtained from exploratory shafts and adits.

Suggested Equipment

The following list of basic equipment should meet most

needs. Not all listed equipment is necessary for every
project, but a Brunton Compass, geologist’s pick, (2-
pound hammer may be necessary for rock sampling),
maps, map board, aerial photographs, notebook, scale,
tape measure, protractor, knife, hand lens, various pens
and pencils, and a GPS should meet most needs.

Preparation

Whether a site mapping program is completed in one

field season or over several years, the overall project
schedule and budget are critical. A critical assessment
should be made of the time available for the mapping
program, the skills and availability of personnel to
accomplish the work, weather conditions, and budget
constraints.

Documentation

Site data are documented on drawings (and associated

notes) generated during the study. The drawings fall
into two general categories—working drawings and final
drawings. Working drawings serve as tools to evaluate
and analyze data as it is collected and to define areas
where additional data are needed. Analysis of data in a
three-dimensional format is the only way the geologist

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can understand the site geology. Drawings should be

generated early in the study and continuously updated
as the work progresses. These drawings are used for
pre-liminary data transmittals. Scales used for working
drawings may permit more detailed descriptions and
collection of data that are not as significant to the final
drawings. Final drawings are generated late in the
mapping program, after the basic geology is well
understood. Many times new maps and cross sections
are generated to illustrate specific data that were not
available or well understood when the working drawings
were made. Final drawings serve as a record of the
investigations for special studies, specifications, or
technical record reports.

Preliminary Surface Geologic Mapping.—The

purpose of preliminary surface geologic mapping is to
define the major geologic units and structures in the site
area and the general engineering properties of the units.
Suggested basic geologic maps are a regional recon-
naissance map at scales between 1 inch = 2,000 feet and
1 inch = 5,280 feet (1:24,000 to 1:62,500), and a site
geology map at scales between 1 inch = 20 feet and 1
inch = 1,000 feet (1:250 to 1:12,000). Scale selection
depends on the size of the engineered structure and the
complexity of the geology. Maps of smaller areas may be
generated at scales larger than the base map to
illustrate critical conditions. Cross sections should be
made at a natural scale (equal horizontal and vertical) as
the base maps unless specific data are better illustrated
at an exaggerated scale. Exaggerated scale cross
sections are generally not suited for geologic analysis
because the distortion makes projection and
interpretation of geologic data difficult.

Initial studies generally are a reconnaissance-level effort,

and the time available to do the work usually is limited.

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Initially, previous geologic studies in the general site

area are used. These studies should be reviewed and
field checked for adequacy and new data added. Initial
base maps usually are generated from existing
topographic maps, but because most readily available
topography is unsuitable for detailed studies, site
topography at a suitable scale should be obtained if
possible. Existing aerial photographs can be used as
temporary base maps if topographic maps are not
available. Sketch maps and Brunton/tape surveys or
GPS location of surface geologic data can be done if
survey accuracy or control is not available or necessary.
Good notes and records of outcrop locations and data are
important to minimize re-examination of previously
mapped areas. Aerial photo-graphy is useful at this
stage in the investigation, as photos can be studied in
the office for additional data. Only after reasonably
accurate surface geology maps have been compiled can
other investigative techniques, such as trenching and
core drilling, be used to full advantage. For some levels
of study, this phase may be all that is required.

Detailed Surface Geologic Mapping.— The purpose

of detailed surface geologic mapping is to define the
regional geology and site geology in sufficient detail so
geologic questions critical to the structure can be
answered and addressed. Specific geologic features
critical to this assessment are identified and studied,
and detailed descriptions of the engineering properties of
the site geologic units are compiled. Project
nomenclature should be systematized and standard
definitions used. Suggested basic geologic maps are
similar to those for preliminary studies, although
drawing scales may be changed based on the results of
the initial mapping program. Maps of smaller areas may
be generated to illustrate critical data at scales larger
than the base map.

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The preliminary surface geology maps are used to select

sites for dozer trenches, backhoe trenches, and drill core
holes. As the surface geology is better defined, drill hole
locations can be selected to help clarify multiple geologic
problems. Detailed topography of the study site should
be obtained, if not obtained during the initial
investigations. Data collected during the preliminary
investigations should be transferred to the new base
maps, if possible, to save drafting time. Field mapping
control is provided primarily by the detailed topographic
maps and/or GPS, supplemented by survey control if
available or Brunton/ tape survey. If not, large scale
aerial photographs of a site area flown to obtain detailed
topography are useful in geologic mapping.

Dozer Trench Mapping

General

Dozer trenches are cut to expose rock or unconsolidated

materials below the surface and major surface creep.
Walls normally should be excavated vertically, free of
narrow benches and loose debris. Upon completion of
excavation, floors must be cleaned below any depth of
ripping, loose rubble should be removed, and a new
surface exposed. Structures such as contacts and shear
zones must be traceable from wall into floor for optimum
determination of their nature and attitude. The
geologist is responsible to ensure the dozer operator
produces a safe finished trench that meets Reclamation
and Occupational Safety and Health Administration
(OSHA) safety standards. If livestock are present,
fencing of the trench with four strands of barbed wire
may be required. After trench logging is completed,
decide whether to leave the trench open or to backfill. At
sites with complex geology, it is desirable to leave the

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trench open for reinterpretation of the trench in light of

newly acquired data. Backfilling of the dozer trench may
be necessary where an open trench would be a safety
hazard. Generally, all trenches should be backfilled and
com-pacted prior to abandonment.

Suggested Equipment

Additional equipment needed may include hard hat,

scraper or putty knife, square-nosed shovel, plastic
flagging, nails, wooden stakes, surveyors chain or tape
measure (feet or meters) and log book. Use putty knife,
shovel, and whisk broom for cleaning trench exposures
and a Brunton tripod for more accurate trench bearings.

Preparation

Prior to working in a dozer trench, the geologist should

inspect the excavation trench walls for failure planes
(obvious or incipient) or loose materials. These should be
removed before mapping starts. An examination of the
whole trench should be made at the start of each work
period. A baseline should be laid out along the toe of the
trench wall or at the top of the excavation. Because
dozer trenches often are not straight, the trench should
be divided into a series of straight segments with
stations established at each point where the trench
changes direction. Each station should be marked by a
stake, tied with flagging, and marked with the trench
number and station letter (e.g., DT-12A). Flagging
strips should be nailed to the wall approximately 6 feet
(2 meters [m]) vertically above or below the station for
another reference point in case minor sloughing buries or
dislodges the stake.

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Documentation

The scale and format selected for logging a backhoe

trench depends on the type of data needed and the
amount of detail to be illustrated. Typical dozer trench
log scales are between 1 inch (in) = 5 feet (ft) (1:100) and
1 in = 10 ft (1 : 200), but scales of 1 in = 1 ft (1: 50) may
be required in critical areas to adequately show
structural and stratigraphic details. If trench geology is
not complex, record trench logs, along with names of the
field party and date in a field book. Determine and
record the bearing, slope distance, and slope angle
between each station. Survey the coordinates and
elevations of each station. Orient the log book so the
sketch and description may be viewed together (see
figure 6-2). Sketch the walls and floors across the top
page of the open log book. Mark the baseline at 5-foot
(1.5-m) intervals and draw a single "hinge line”; wall
above, floor below. Determine the vertical heights of the
trench walls at each station and between stations, if the
profile or thickness of surficial materials changes
between stations.

Sketches should be accurate and illustrate the field

relationship of soil and geologic units and structures.
Use nails and flagging strips to mark obscure contacts or
other features for ready reference during logging.
Designate geologic units by name and symbol. Accurately
plot the attitude of contacts, bedding, foliation or
cleavage, faults, shear zones, and joints where they are
determined using standard symbols, and write a
description. If attitudes are determined from the wall,
they may be projected along strike into the floor, if no
change is apparent in the floor. Note and show the
bedding or foliation wherever relationships are complex
and differ from the recorded attitude (i.e., where surface
creep, drag folds, or disturbed zones are exposed in the
wall). Record unit attitudes that may have been
affected

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Figure 6-2.—Sample trench log.
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by surface creep or slumping. Written descriptions of

soil and rock units and structural zones should be
restricted to the page below the sketch and should not
be written over the sketch. Main heading for written
descriptions are restricted to mappable geologic units.
Intervals are noted where the contacts intersect the
baseline. Indent subheadings within text to describe
lithologic or structural variations within the mappable
unit. An example of heading order is as follows:

DT-58, Sta. B-C, Distance - 27.5', Bearing - S. 45E

W.,
Slope + 2
22.5-50.0': Metasediments (description)
39.9-41.0': Chlorite Schist B (description)
47.5-49.0': Talc Schist (description)
48.2-48.4': Shear Zone (description)

Stratigraphic units should be colored to complete the log.

Photograph the trench to complement the log or to record
specific details within the trench.

Backhoe Trench Mapping

General

Backhoe trenches are excavated to expose rock or

unconsolidated materials below surficial deposits and
major surface creep. Generally, backhoe trenches are
excavated at sites which must be returned to near-
original conditions and where dozer trenching would
produce unacceptable damage. Backhoe trenches often
are excavated in the floor of an existing dozer trench to
deepen the excavation. Walls should be excavated
vertically and free of narrow benches and loose debris.
In most cases, the trench should be about 3 to 3-1/2 feet
wide (1 m) (width of standard backhoe bucket), 10 to 12

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feet (3 to 3.6 m) deep, and slope at one end for easy

access. Upon excavation completion, hydraulic trench
shores are placed and pressurized or wooden shores
constructed to support the trench walls. Shore
construction and spacing must meet OSHA standards
and standards outlined in Reclamation's Construction
Safety and Health Standards manual. At no time should
personnel enter unshored portions of the trench over
5 feet deep. The geologist who oversees the excavation
of the backhoe trench is respon-sible for the construction
of a safe, stable trench.

After trench logging is completed, decide whether to

leave the trench open or to backfill. At sites with
complex geology, leave the trench open, if possible, as
this allows reinterpretation of the trench in light of
newly acquired data. However, backhoe trenches are
prone to sloughing with time, even when supported, and
backfilling of the trench may be necessary for safety
reasons. The coordi-nates and elevation of each end of
the backhoe trench should be surveyed prior to
backfilling.

Suggested Equipment

Standard field equipment is used during backhoe trench

mapping. Additional equipment may include a hard hat,
large knife, flat-blade pick or army trenching tool to
clean off trench walls, putty knife, whisk broom, nails,
flagging, twine, small string level, 100-foot (30-m) long
surveyor's chain or tape, and map board or log book. The
type of backhoe needed depends on how consolidated or
cemented the material is, site accessibility, and depth to
be excavated. Most of the larger, rubber-tired backhoes
are suitable for excavation of typical trenches, but well
consolidated or cemented material, steep site terrain, or
trench depths over about 12 feet (3.6 m) may require a
larger track-mounted hydraulic excavator.

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Preparation

Each day prior to working in a backhoe trench, the

trench along both sides and the trench walls should be
examined for incipient fractures or loose materials,
particularly within the surficial materials. These loose
materials should be removed before work starts.
Hydraulic trench shores should be checked visually for
leakage and for loss of pressure by pushing on them with
a foot. Re-pressure any loose shores and replace leaking
shores. The stability of each shore should be checked
before the mapper's weight is put on it, particularly if
the shore is to be used to examine the upper trench wall
or to climb out of the trench.

A backhoe trench must be cleaned prior to logging.

During excavation, the backhoe bucket may smear clay
and silt along the walls, obscuring structural and strati-
graphic relationships. This smeared zone may be any-
where from a fraction of an inch thick to several inches
thick, depending on the amount of fines and moisture in
the material excavated. The smeared material can be
removed by chipping or scraping with a large knife, flat-
bladed pick, or army trenching tool. If the trench is
excavated in reasonably consolidated material and the
trench is free draining, a high pressure water and/or air
jet will remove this material. Both walls should be spot
cleaned and examined prior to major cleaning to deter-
mine which wall exposes the best geologic data. Usually
only one wall is completely cleaned; the other wall is spot
cleaned during trench logging to expose another view of
critical features or relationships. After a wall is cleaned,
a horizontal base line is established. The baseline is run
at about eye level and constructed by stringing twine
between nails driven into the cleaned trench wall. The
twine can be leveled using a small string level (available
in most hardware stores) prior to driving nails. When
the baseline becomes either too high or too low for

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comfort-able measurements, a vertical offset of the string

line is made and the baseline continued at the new
horizon. In complex, critical areas where accurately
located contacts are needed, a string grid with horizontal
and vertical elements can be constructed off the baseline
to assist in mapping.

Documentation

The scale and format selected for logging a backhoe

trench depends on the type of data needed and the
amount of detail to be illustrated. Typical backhoe
trench log scales are between 1 in = 5 ft (1:100) and 1 in
= 10 ft (1 : 200), but scales of 1 in = 1 ft (1 : 50) may be
required in critical areas to adequately show structural
and stratigraphic details. If trench geology is not
complex, a notebook is suggested. The log book should
be oriented so the sketch and description may be viewed
together. The names of the field party, date, trench
number, location, and other pertinent data should be
recorded. If trench geology is complex and a larger scale
is desired, cut sheets of grid paper attached to a map
board may be used. These sheets are usually redrafted
after trench logging is completed. If the backhoe trench
is wet or wall material is sloughing down onto the map
board, a blank grid sheet can be taped to the map board
and overlain by sheets of mylar. Trench data sketched
onto the mylar will not be smeared as easily, and the
sheets can be erased without tearing. Prints of the
sheets can be made for use in preliminary data
transmittal or as check prints for field checking. Figure
6-3 shows a completed trench log.

Because the log sheets are separated easily, each sheet

should be marked with the names of the field party,
date, trench number, location, and other pertinent data.

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Figure 6-3.—Sample completed trench log.

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Begin trench logging by recording the trench bearing.

Begin at one end of the trench; place a surveyors chain
or tape along the horizontal base line string. Vertical
distance of the trench wall above and below the base line
should be measured every 10 feet (3 m) or so and the
trench outlines sketched. Sketches must be as accurate
as possible to illustrate the field relationships of soil,
geologic units, and structures. Use flagging to mark
obscure contacts or other features for easier logging.

Intervals for the various geologic units and features are

to be noted where the contacts intersect the baseline.
Contacts above and below the baseline are located by two
measurements—the vertical distance from the baseline
and baseline distance—and sketched onto the log.
Geologic units should be designated by name or symbol.
Symbols to illustrate the attitude of contacts, bedding,
fol-iation or cleavage, faults, shear zones, and joints
should be drawn at the point where determined and also
re-corded in the written description. Bedding or foliation
should be depicted and noted wherever relationships are
complex and differ from the recorded attitude (i.e., where
surface creep, drag folds, or disturbed zones are exposed
in the wall). Attitudes on units that may have been
affected by surface creep or slumping should also be so
noted.

Written descriptions of soil and rock units and structural

zones should be restricted to the area below the sketch.
Main headings for written descriptions are restricted to
mappable geologic units. Description format is similar
to that discussed for dozer trench mapping. After trench
logging is completed, geologic units should be colored to
complete the log and the trench field checked. Photo-
graph the trench to complement the trench log or to
record specific details within the trench. The limited
space and poor lighting conditions in a backhoe trench

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many times make it difficult to obtain satisfactory

photos. Generally, cameras capable of closeup focusing
and loaded with fast film work best. Photographs taken
while standing at the top of the trench generally are
marginal because of poor lighting and perspective. The
ends of the trench should be located by GPS or survey.

Construction Geologic Mapping

Geologic mapping during construction is to: (1) identify

and delineate potential or actual construction-related
needs and problems; (2) verify and better define geologic
interpretations made during design studies, particularly
for critical geologic features and properties;
(3) determine if the geologic conditions are as interpreted
during the design phase and ensure that the actual
conditions revealed are as interpreted. If those
conditions are not as interpreted, design modifications
may be required; and (4) provide a record of as-built
conditions in the event of litigation or operational
problems.

To obtain meaningful data for mapping during con-

struction, cooperation and coordination between the
Contractor and the construction staff is required. The
field geologist prioritizes mapping; and when the specific
area is ready for mapping and approval, the staff and
surveyors (if required) should accomplish the work as
quickly as possible. Photographs should be taken using
appropriate photographic equipment. All photographs
should be captioned and dated.

Possible safety hazards that might occur during mapping

should be evaluated, and appropriate precautions should
be taken.

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Large Excavation Mapping

General

Construction considerations prepared before construction

begins should contain guidelines for the mapping of spe-
cific features. The scope and detail of mapping required
at each portion of the site should be determined and
suitable mapping scales determined. Suggested scales
for detailed foundation mapping are 1 in = 5 ft to 1 in =
50 ft (1:50 to 1: 600), generalized foundation invert map
scale 1 in = 20 ft to 1 in = 100 ft (1:20 to 1:1,000).
Detailed, as-built foundation geology maps are used in
final design modification, as a final record, and for use in
possible future operation and maintenance problems.
Mapping can be done on detailed topographic base maps
generated from survey control, GPS, or plane table.
Preferably, geology points are flagged and surveyed by a
survey crew. Terrestrial photography, photogrammetry,
and GPS can also be used to supplement mapping.
Detailed photo-graphy of the entire foundation is
important for inclusion in the final construction geology
report and as a part of the construction record. Use
standard nomenclature and symbols both on maps and
photographs, but be consistent with those used in earlier
studies and specifications. Use a systematic method of
collecting mapping data, then compile these data into a
useful and accurate geologic map.

Detailed, as-built geology maps of cutslopes are required

in delineating and solving major slope stability problems
and in selecting general slope support systems. Recom-
mended scale selection for detailed cut-slope geology
maps are 1 inch = 10 feet to 1 inch = 50 feet (1:100 to
1:600), generalized cutslope geology maps use a scale
1 inch = 20 feet to 1 inch = 100 feet (1:200 to 1:1,000).
Generally, maps are on detailed topographic base maps

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generated from survey control. Geologic points may be

flagged for survey by survey crews. Detailed
photographs of the slopes are important.

Steep Slope Mapping

General

Define the purpose and goal for mapping and research

the stratigraphy and structural geology prior to starting.
Select scaling and safety equipment for specific areas.

Preparation

Special training is required for scaling. While scaling

and mapping, a pocket tape recorder and camera are
useful for documentation.

Suggested Equipment

Use the appropriate scaling equipment and systems.

Standard mapping equipment needs to be reviewed and
modified for scaling operations.

Documentation

Establish ground control for mapping including ter-

restrial photo mapping. Data collected while scaling
should be based on the purpose of mapping and detail
required. Establish general map controls such as grid
controls.

Special Considerations

Select specific portions of an exposure to be mapped.

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Canal and Pipeline Mapping

General

In reconnaissance investigations, surface geologic map-

ping is used to determine the most feasible alignment,
which may be representative of the geologic conditions to
be encountered, the lining requirements, and
construction materials available. Design data
investigations along canal alignments must be detailed
enough to determine the final alignment and all
associated requirements for specifications and
construction.

Preconstruction investigations for canals and pipelines

are less detailed because of the long distances involved.
Consequently, geologic construction mapping is
necessary to verify preconstruction assumptions,
document changes from original assumptions, and
provide data for potential design changes or claim
analyses.

Preparation

General field mapping requirements.

Documentation

Pertinent geologic data that should be shown on the base

maps include: soil and geologic units, all natural and
manmade exposures, geologic structures, springs and
seepage, surface channels, and potentially unstable
areas. Where appropriate, photographs with overlays or
detailed site-specific drawings should be used to show
surface conditions in relation to the canal prism or
associated canal structures. Base maps should be plan
strip topo-graphy or orthophotography with scales of 1 in
= 20 ft (1:400) to 1 in = 100 ft (1:2,000) with associated
topographic profiles.

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Underground Geologic Mapping

General

This is a general guide for recording tunnel geology and

describes mapping requirements and procedures. This
guide and the field geologist's judgement and experience
should permit development of geologic data which
adequately document geologic factors that are significant
to design, construction, and stability of tunnels and
shafts. Some of the necessary data may be obtained
from other project personnel such as engineers,
surveyors, and inspectors. The following items are of
primary impor-tance during the construction or
exploration for a wide range of tunnel and shaft types,
excavation problems, geologic conditions, and contract
administration require-ments. The data recorded and
the emphasis given each item should be determined for
each specific tunnel. (Note: references to tunnels apply
equally to shafts)

Three principal objectives are to:

• Acquire progressive, timely mapping of all

significant geologic features as exposed during the
advance of the tunnel or shaft. These initial fea-
tures are important for subsequent identification of
changes which may take place, such as water flow,
rock slaking, or support behavior, as the heading
progresses and before lining or other completion
measures are undertaken.

• Facilitate periodic transmittal of these data in pre-

liminary form to the office so that conditions being
encountered and their effect on the excavation can
be used in immediate evaluation of current
construction activities and anticipation of future
excavation conditions.

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• Assure that a systematic, clear, record of geologic

conditions is compiled for design reviews and use by
the project and contractor. These data should be
included in the final construction geology report.
These records may prove invaluable during subse-
quent operation and maintenance and in the
planning and design of future tunnels and shafts. If
geologically related problems occur, these data will
be essential in evaluating the conditions.

Accuracy is essential, and consistency of data shown on

tunnel maps is vital. If the maps are used in contract
claim negotiations or in litigation, even a few errors or
inconsistencies may compromise the entire map.

The preparation of an adequate tunnel or shaft geologic

map requires a careful study of geologic structure, lith-
ology, mineralogy, groundwater, and their effects on rock
quality and behavior, tunneling methods, stability, and
support. The preparation of a tunnel or shaft geologic
map is a geologic mapping process; geologic data should
be recorded directly on the map while making the obser-
vations and not described in notes for subsequent
drafting in the office. An appropriately scaled tunnel or
shaft mapping form, prepared prior to starting the
mapping, is essential to systematic data collection. One-
matte-sided mylar tunnel forms should be used in wet
excavations and are recommended as a standard for all
tunnel and shaft mapping. Figures 6-4 and 6-5 are
examples of field mapping forms. The use of mylars in
all tunnels facili-tates copying and immediate use. The
extent or amount of mapping detail for a specific tunnel
or shaft will depend on the driving method, geologic
conditions, and design considerations. For example,
tunnel face (head-ing) maps can be obtained under most
conditions when conventional excavation (drill/blast)
methods are used but are difficult to obtain in tunnels
excavated by tunnel

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173

Figure 6-4.—Tunnel mapping form with key alphanumeric descriptors and mapping data.
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Figure 6-5.—Tunnel mapping form with blocks for title and geologic data.
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boring machine (TBM). TBM excavated tunnels may be

more difficult to map than conventionally excavated
tunnels, depending on the level of detail required,
machine configuration, and the support method.
However, the key rock characteristics relative to tunnel
stability must be mapped. In tunnels where shotcrete or
precast segments are used for support, detailed mapping
may be impossible; this does not cancel the requirement
for mapping and recording of important data on the
geologic conditions. The geologist must obtain required
data with the available resources and under the specific
conditions. These guidelines apply to all tunnel or shaft
excavations regardless of whether the mapping is
performed during project planning, design data acqui-
sition, or construction.

Safety

Underground construction activities are inherently more

hazardous than surface construction. Before working
underground, the specific safety requirements for the
particular tunnel should be determined. Self-rescuer
training commonly is required, and the safety require-
ments as described in the Reclamation Safety and Health
Standards [5] should be reviewed. Additional training or
additional requirements may exist under special
circumstances such as gassy conditions. Before
beginning work, a familiarization tour of the work site
(including the underground workings) should be made
with project personnel, such as an inspector, intimately
familiar with the job. Also, assume that every piece of
equipment and worker is out to get you; you should
always maintain an awareness of what the workers and
equipment are doing around you.

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General Preparation

Tunnel construction is essentially a linear activity. All

access, equipment haulage, and work activities take
place in a line. The mapping process should be planned
such that a minimum number of trips to the heading are
required and a minimum amount of time is spent at the
heading. Geologic mapping can usually be integrated
into an optimum part of the construction cycle.
Unnecessarily spending time at the heading is not only
inefficient but can interfere with the construction
process by adding to an already congested situation.

Available geologic data should be reviewed and

established nomenclature used as appropriate. Geologic
features described in the available literature should be
specifically investigated while mapping, especially those
described in specifications documents. Forms should be
designed to expedite the work as much as possible
(figures 6-4 and 6-5), required mapping equipment must
be available, and the construction cycle should be ana-
lyzed to determine the best and safest time to map.
Tunnel map sheets should be a convenient size such as
8.5 x 11 inches (A4) or 11 x 18 inches (A3). This permits
100 feet (30 m) of tunnel on a scale of 1 inch = 10 feet
(1:200) with sufficient space for concise explanations and
a title block. The geology should be mapped in the
tunnel directly on the matt side of mylar film. This map,
developed in the tunnel, can be edited and copied for
quick transmittal to the office. The value of current data
cannot be overemphasized. Except under very special
conditions, the recording of geologic data in a notebook
without mapping for subsequent preparation of a graphic
tunnel map is unacceptable. Without a graphic
represen-tation during data acquisition, the
interrelationships of geologic data cannot be properly
evaluated, and data are missed or errors are introduced.
Some items listed above will not apply to every tunnel,

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and some items may be shown more appropriately in a

summary tunnel map (figure 6-6). This map presents a
summary of essential engineering and geologic
relationships. Plotting engi-neering and geologic data as
a time line permits direct comparison of geologic
conditions, supports installed, overbreak, excavation
rate, etc., for correlation. Sum-mary sheet scales may
range from 1 inch = 10 to 100 feet (1:100 to 1:1,000)
depending on amount of data and complexity of the
geology. Ongoing maintenance of these data avoids
excessive compilation time after construction is
completed. A summary tunnel map is required on
tunnels for construction records.

When several individuals are mapping and/or contract

requirements hinge on geologic data, e.g., payment based
on ground classification, a project or specific mapping
manual may be necessary. A manual provides an easy
reference for data requirements and format, reduces
inconsistency between geologists, and sets a specific
mapping standard.

Excavation Configuration

Conventionally excavated tunnels are usually a modified

horseshoe shape. Departures from this shape are
usually for a special configuration or when ground
conditions
dictate a circular shape for optimizing support effective-
ness. Machine-excavated tunnels are round if bored
unless a road-header type machine is used. Road-header
excavated tunnels are usually horseshoe shaped for con-
struction convenience. Shafts are almost always round
for optimizing support effectiveness and because most
are drilled or bored either from the surface or raise-bored
from the bottom. Exploratory shafts may be sunk
conven-tionally if shallow. Whatever the shape, the map
format should be designed to minimize the amount of
projection

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and interpretation required. Whenever possible, the full

periphery mapping method should be employed.

Data Requirements

The relationship of the geology to the engineering

aspects of the tunnel or shaft is of primary importance.
If geologi-cally related problems occur, the recorded data
will be valuable to the geologist and engineer in
evaluating the conditions, the cause(s), and in devising
remedial measures. In most cases, geologic
discontinuities, such as joints, faults, bedding, etc., are
the most important factors affecting excavation stability;
and these data are of primary importance. Also, the rock
strength is important in high cover tunnels, and water is
important in many situations. The following data are
most important:

1. Rock Classification.— Lithology and related

features such as foliation, schistosity, and flow structure.
Rock descriptions should be concise; use standard
descriptors.

• Formation boundaries — describe bedding

thick-ness and attitude, areas of soft, or unstable
rock. Give dip and strike unless otherwise noted.
Dips of planes (not necessarily true dip) into tunnel
are desirable in cases where they may influence
excavation stability.

• Physical properties of the rock — determine

hardness by comparison with common or familiar
materials, brittleness, reaction to pick or knife, and
color.

• Alteration — describe degree, type, extent, and

effects on construction. Differentiate between wea-
thering, other alteration, and cementation.

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Figure 6-6.—As-built summary geology tunnel map.

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• Features — describe the size, form (tabular,

irregular), contacts (sharp, gradational, sheared),
and mineralization, if any.

2. Conditions Which Affect Stability of the Rock.—

• Joints or joint systems — describe spacing,

conti-nuity, length, whether open or tight,
slickensides, planarity, waviness, cementation,
fillings, dip and strike, and water.

• Shear zones — describe severity of shearing and

physical condition of rock in and adjacent to the
zone, whether material is crushed or composed of
breccia, gouge, or mylonite; describe gouge
thickness, physi-cal properties, mineralogy and
alteration; dip and strike, and water.

• Faults — give dimensions of fault breccia and/or

gouge and adjacent disturbed or fractured zones,
amount of displacement, if determinable, and the
fault's effect on stability of rock.

3. Effects of Tunneling on Rock.— Comment on: the

condition of rock after excavation, rate of air slaking or
other deterioration of rock where appropriate, rock
bursts, fallouts, development of squeezing or heavy
ground, and time interval between first exposure and the
beginning of these effects. Include the evidence used in
evaluation, and the reaction of different rock types to
conventional blasting or mechanical excavation method.

Periodic re-examination of the tunnel and comparison of

originally mapped conditions with those existing later is
recommended.

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4. Tunnel Excavation Methods.—

Blast pattern — Give example of typical blast round

pattern, type of explosive and quantity per yard
(powder factor) of rock blasted, size of rock fragments,
ease or difficulty of rock breakage and condition of the
walls of the tunnel such as whether half-rounds (half
of peripheral shot holes) are visible. Some of this
infor-mation should be obtainable from the inspectors.

Overbreak — Overbreak and fallout should be mea-

sured as a peripheral average from "B" line (excavation
pay line), where practical, and maximum at specific
stations. Plot average overbreak on the section along
tunnel alignment. Relate this to geologic conditions
and construction methods, particularly blasting
procedure.

Ground behavior — Blockiness, caving, swelling,

and/ or squeezing should be described with evidence
and effects.

Supports — Give size and spacing of ribs, size and

types of struts, and behavior of supports in reaches of
bad ground. Where supports show distress or have
failed, give reason for failure, time after installation
for load to develop, the remedial measures
undertaken, and size and spacing of replaced supports
or jump sets. If a ground classification system is being
used, relate to geologic conditions and support used.
Incorporate some reference to the actual need for
support versus that installed. Use the proper
terminology when describing supports. A good
reference for tunnel supports (and conventional
tunneling) is Rock Tunneling with Steel Supports [6].

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Indicate where special supports such as mats, spiling,

or breast boards are required and geologic reason.
Where rock bolts (or split sets) are used, give spacing,
size, length, type, anchor type, torque loading values,
and quantities used. Note retorquing, if performed.
Locations of rock bolts should be plotted on the
geologic maps.

Machine excavation — In machine-type excavations

(in addition to appropriate items above) give: rate of
advance, pressures used, and description of cuttings or
rock breakage. Describe the effect of cutters and
grippers on rock walls, or other geologically related
problems such as abrasive rock wearing cutters.

5. Hydrogeology .—Water flows should be mapped and

quantities estimated. Daily heading and portal measure-
ments should be recorded. The location of all significant
flows should be plotted on the tunnel map and changes
in rate or duration of flow recorded. If the water is
highly mineralized, obtain chemical analyses of water for
pos-sible effect on concrete or steel linings or
contamination of water being discharged or to be
conveyed by the tunnel.

6. Gas.—The following should be done:

• Determine type, quantity, occurrence, geologic asso-

ciations, and points of discharge should be mapped.

• Samples should be taken. This is usually done by

safety personnel.

• Record actions taken.

7. Instrumentation, Special Tests, Grout, and

Feeler Holes.—Locations and logs (if available) should
be shown on the tunnel maps.

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8. Miscellaneous Excavations.—Geologic maps and

sections of related excavations such as surge tanks, gate
shafts, inlet and outlet portal open cuts are necessary.

Tunnel maps should include brief comments on the

geologic conditions being encountered and their possible
effects.

9. Sampling.—A systematic sampling program of the

tunnel rock is essential to adequately record tunnel
geology. These samples may be 2 in x 3 in (5 cm x 8 cm)
or larger and should be secured in a labeled sample bag
showing station, date, and wall position with an
appropriate description. Rock that easily deteriorates
should be protected with wax or plastic. Sampling at
irregular (and locally close) intervals may be required to
ensure that all important rock, geologic, and physical
conditions are adequately represented. A representative
stratigraphic series of samples should be collected. The
judgement of the geologist who is familiar with the
geology is the best guide in determining the most
appropriate sampling interval.

Thorough photographic coverage provides a visual record

of construction and geologic conditions. Postconstruction
evaluations use construction photographs extensively
and are an important part of the construction record. A
camera should be part of the mapping equipment and
routinely used. Photographs that show typical, as well
as atypical, geologic conditions should be taken
routinely. Identify photographs of significant features by
number on the appropriate map sheet.

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Underground Geologic Mapping Methods

Full Periphery Mapping

The full periphery (or developed surface) mapping

method is widely used in engineering practice and
involves creating a map of the surface of the
underground excavation regardless of shape. The
method produces a map which is virtually free from
distortion and interpretation present in other methods
where geologic features are projected onto a plane or
section. The method has been used successfully in
various types and shapes of excavations (Hatheway,
1982 [7]; U.S. Army Corps of Engineers, 1970 [8];
Proctor, 1971 [9]) and on numerous Reclamation
projects.

The method uses a developed surface created by

"unrolling" or "flattening out" the circumference of the
tunnel or shaft to form a "plan" of the entire wall surface
(figure 6-7). The geologic features are plotted on this
plan. The method is especially effective in that geologic
features of all types can be plotted directly onto the map
regardless of orientation or location with no projection
required. The method is useful for plotting curving or
irregular discontinuities which are difficult to project to
a flat plane as in other methods.

Procedure.—Full periphery mapping generally requires

the assembly of field sheets prior to the actual start of
mapping. This is done for drifts and tunnels by first
drawing in the crown centerline of the plan (figure 6-7).
The bases of the walls or the invert are then plotted at a
circumferential distance from the crown centerline on
the plan. For instance, if the tunnel is 10 feet (3.048 m)
in excavated diameter, the invert centerline will be
plotted 15.71 feet (4.79 m) (in scale) from the crown
centerline. Plot springline at the appropriate
circumferential

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distance from the crown centerline. This process is done

for both walls and produces a plan which represents the
actual wall surface of the excavation. The map layout is
designed to be viewed from above the tunnel. Shaft data
are plotted as viewed from inside the excavation. The
tunnel invert is not mapped because rock surfaces
usually are covered with muck or invert segments. Plot
scales on either side of the plan to provide distance
control while mapping. A longitudinal section view of
the excavation may be added alongside the plan to
provide a space to record types and locations of support,
overbreak, etc. Plot geologic features on the field sheets
(figures 6-4 and 6-5) by noting where the features
intercept known lines, such as where a particular joint
intercepts the crown centerline, the spring line on both
walls, or the base of either wall. The trace of the joint is
sketched to scale between these known points. The
strike and dip of the discontinuity are recorded directly
on the field sheet adjacent to the trace. The locations of
samples, photographs, water seeps, and flows are plotted
on the map (figure 6-8).

The Brunton compass is used to measure dips on the

various discontinuities; but due to the presence of
support steel, rock bolts, utilities, and any natural
magnetism of the wall rock, a Brunton may not be
reliable for deter-mining the strike of the feature. In
this case, the strike may be determined by one of several
methods. The first method is to align the map parallel
to the tunnel where the feature is exposed in the wall
and plot the strike by eye on the sheet parallel to the
strike of the feature in the wall. The second method is
to observe the strike of the feature on the map where it
intersects the crown centerline. At this point, the crown
is essentially hori-zontal, and the trace of the feature at
this point represents the strike. The third method is
slightly more complex but is the most accurate method
of the three.

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Figure 6-8.—Full periphery geologic map example.
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This method requires locating where the feature inter-

sects springline on each wall of the full periphery map.
These points are projected to the corrected springline. A
line drawn between the projected points represents the
strike of the feature. Note that these methods assume
that the tunnel or drift is relatively horizontal. In some
cases, if the excavation is inclined, the apparent strike
can be corrected for the amount of inclination. A fourth
method is to use a gyroscopic compass.

Other Applications.—With minor variations in the

method described above, the full periphery method can
be used equally well in vertical or inclined shafts,
horseshoe shaped drifts and tunnels, and other regular
shaped excavations.

Advantages.—The full periphery method:

• Involves plotting the actual traces of geologic

features as they are exposed in the tunnel. This
eliminates the distortion and interpretation introduced
by other methods where the traces are projected back
to a plane tangent to the tunnel.

• Allows the geologist to observe and plot irregu-

larities in geologic features and make accurate three-
dimensional interpretations of the features.

• Allows rapid and easy plotting of the locations of

samples and photographs.

• Allows easy and rapid recording of the locations of

rock bolts and other types of rock reinforcement.

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Disadvantages.—

• Since the surface of the excavation is generally a

curved surface, the trace of planar features, such as
fractures, faults, and bedding planes, produce curves
when plotted on the map.

• The full periphery method requires that the points

at which features intersect springline be projected to
the original tunnel diameter in order to compute the
true strike of the discontinuity (figure 6-7).

Plan and Section

The plan and section method has been used in engi-

neering practice but has generally been replaced by the
full periphery mapping method. The plan and section
method is still used where data interpretation is
facilitated by the flat plan and sections. The method
creates vertical sections commonly coincident with a wall
or walls of a tunnel or shaft, through centerline, or is
tangent to a curving surface commonly at springline or
an edge of a shaft (figure 6-9). Geologic features are
projected to the sections and plotted as they are mapped.

The method produces a map which is a combination of

direct trace and projection or a projection of the walls
except where the map is tangent to the excavation
(figure 6-10). The plan through tunnel springline and
centerline or shaft centerline is a projection of the
geologic features exposed in the excavation.

Procedure.—The plan and section method generally

requires the assembly of field sheets prior to the actual
start of mapping. This is done for drifts and tunnels by
drawing vertical sections the height of the excavation.

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Figure 6-9.—Map layout of a tunnel for

geologic mapping.

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Figure 6-10.—Relationship of planar feature trace to

map projections.

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The bases of the walls or the invert form the base of the
section with springline plotted and the crown forming
the top of the section. For instance, if the tunnel is 20
feet (6 m) high, the crown will be 20 feet (6 m) from the
invert. Springline is plotted the appropriate vertical
distance from the crown or invert (figure 6-10). This
process may be done for one or both walls, producing one
or two vertical representations of the wall/arch exposure.
Shafts are similar, but the section corresponds to the
wall of a rectangular shaft or is tangent to the shaft wall
at a point, and the map is a projection of the shaft of one
diameter.

A section through tunnel springlines produces a plan

projection of the arch except at the plan intersection with
the wall at springline. The corresponding section
through a shaft produces a vertical projection of the
wall(s) through a shaft or along a diameter. The map
represents the actual wall surface of the excavation only
where the projection intersects the wall.

Scales are added on either side of the sections to provide

distance control while plotting. An additional longitu-
dinal section view of the excavation may be added to pro-
vide a space to record types and locations of support or
overbreak. Geologic features are then plotted on the
field sheets by noting where the features intercept
known lines, such as where a particular joint intercepts
the crown centerline, the spring line on both walls, or the
base of either wall. The trace of the joint is then pro-
jected to the section between these known points. The
attitudes of features are recorded on the field sheet adja-
cent to the trace. The location of samples, photographs,
water seeps, and flows can be recorded by finding their
location on the wall and projecting that location to the
map.

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Advantages.—The plan and section method:

• Produces two-dimensional sections and plans that do

not require conversion. The sections and plans can be
integrated directly with other plans and sections. The
sections and plans are easily understood by individuals
not familiar with full periphery mapping or individuals
who have difficulty visualizing structural features in
three-dimensions.

• Permits direct determination of strikes by spring-

line intersections.

Disadvantages.—Since the surface of the excavation is

generally a curved surface, the trace of planar features,
such as fractures, faults, and bedding planes, are projec-
tions to a plane. The only objective data is where the
map is coincident or tangent to the excavation surface.

The plan and section method requires:

• Plotting and observing geologic features and making

accurate three-dimensional interpretations of the
features by projecting locations to a plane.

• Plotting locations of samples and photographs by

projection.

• Recording locations of rock bolts and other types of

rock reinforcement by projection.

• Plotting is done after data collection and re-

examination of the site is difficult or not practical.

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Face Maps

The geology exposed in an excavation face is plotted

directly on a map. The purpose of the face map is to
provide a quick appraisal of rock conditions and provide
data for special detailed studies. The combination of
wall and face maps will usually give an adequate and
clear permanent record of any complex tunnel geology.
Natural scales such as 1 inch = 1 to 2 feet (1:50) are the
most satisfactory. All significant geologic features which
may affect the stability of the tunnel must be mapped.

Photogrammetric Mapping

Photogrammetric geologic mapping is a specialized

method consisting of the interpretation of close-range
stereophotography of excavation walls. Photogrammetric
control is provided by surveyed targets or by a gnomon or
scale in the photographs. The stereophotos are inter-
preted using photogrammetric software or an analytical
plotter. Feature location accuracy can vary from a few
inches (cm) to one-eighth of an inch (3mm) depending on
equipment and survey control accuracy. The photogram-
metric mapping can be combined with detail line surveys
for small-scale data collection and control.

Exploration Mapping Method Selection

The geologic mapping format for exploratory drifts and

shafts should be determined by data uses. Direct
integra-tion of excavation maps into composite maps of
a dam foundation is much easier if undistorted sections
are available. The maps can be treated in the same
manner as drill hole logs. The disadvantages of plan and
section mapping may be offset by the advantages of easy
inter-pretation and integration into other data bases.

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Construction Mapping.—Full periphery geologic

mapping should be used for routine construction
activities. The advantages of increased speed and
accuracy in production mapping and the reduction of
interpretation offsets the disadvantages.

Summary

This guide to tunnel geologic mapping during construc-

tion has been developed for general use and serves to
standardize procedures and data collection. Items of
primary significance are included, but some are not
adaptable to all tunnels or methods of tunnel excavation.
The judgment of an experienced geologist is the best
guide to the specific items and amount of detail required
to provide pertinent, informative data. To ensure
reliable and useful tunnel geologic studies, all important
geology and related engineering construction data which
may be significant to tunnel construction as well as
in the planning, designing, and constructing of future
tunnels should be considered for inclusion in the tunnel
map and report.

Photogeologic Mapping

General

Aerial photographs generally are used in reconnaissance

geologic mapping, geologic field mapping, and in gener-
ation of photo-interpretive geologic maps. Various scales
of airphotos are valuable for regional and site studies, for
both detection and mapping of a wide variety of geologic
features important to engineering geology.

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Types of Aerial Photographs

Panchromatic (Black and White).—Panchromatic

photography records images essentially across the entire
visible spectrum, and with proper film and filters also
can record into the near-infrared. In aerial photography,
blue is generally filtered out to reduce the effects of
atmospheric haze.

Natural Color.—Images are recorded in the natural

colors seen by the human eye in the visible portion of the
spectrum.

False-Color Infrared.—Images are recorded using part

of the visible spectrum and part of the near-infrared, but
the colors in the resultant photographs are not natural
(false-color). Infrared film is commonly used and is less
affected by haze than other types. False-color photo-
graphy is not the same as thermal-infrared imaging
which uses the thermal part of the infrared spectrum.

Multispectral.—Photographs acquired by multiple

cameras simultaneously recording different portions of
the spectrum can aid interpretation.

Photogrammetry and Equipment

Use stereoscopes to view aerial photographs for

maximum utility and ease of interpretation. Pocket
stereoscopes are useful in the field or office. Large
mirror stereoscopes are useful for viewing large
quantities of photos or photos in rolls. Know the photo
scale, resolution, and exaggeration. Be aware of the
types of distortions inherent in airphotos.

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Compilation of Photogeologic Map Data

Mapping should be done on transparent one-side-matte

mylar overlays and not on the photographs. Any lines,
even if erased, can confuse later interpretations using
the photos. The mapping is then transferred to base
maps minimizing the effects of distortions in photos due
to the camera optics. Orthophoto quadrangles can help
reduce this distortion.

Analysis of Aerial Photographs

General Interpretive Factors

Analysis of aerial photographs involves interpreting

indirect data. In most cases, several factors are used to
interpret geologic conditions. Interpretive factors
usually used in the analysis of aerial photographs are:

Sun Angle.—High or low illumination angles may be

desired, depending on the nature of the features to be
detected.

Photographic Tone.—Variations in color, intensity,

shade and shadows.

Texture.—Frequency of change in tone, evident as

roughness, smoothness.

Color.—True and false-color imagery may be easier to

interpret than panchromatic photographs, depending on
features being observed. For some applications (e.g.,
low sun angle photography), panchromatic photography
is better.

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Geomorphic Shape and Pattern.—Geologic conditions

can be identified by mapping various types of geomorphic
features related to drainage, bedding, and structure.

Vegetation.—Some types of vegetation and vegetal pat-

terns can assist in interpreting geology. Vegetation may
indicate depth of soil, type of soil, available moisture,
and type of bedrock.

Photoanalysis for Reconnaissance

Geologic Mapping

Photo-reconnaissance geologic mapping can be done to

produce a preliminary geologic map of the study area
prior to going into the field to check and verify the
interpreted geologic data or to produce a finished
geologic map with little or no field checking. These maps
are called photo-reconnaissance geologic maps and
photo-interpretive geologic maps, respectively.

Photo-Reconnaissance Geologic Mapping

Photo-analysis prior to field work allows the mapper to

form a preliminary concept of the geology of the study
area and to select areas for detailed examination. Prior
photo-analysis is critical if available field time is limited,
especially when a large area is involved, as in regional
studies, reservoir area mapping, and pipeline or canal
alignment studies.

Photo-Interpretive Geologic Mapping

Geologic maps produced solely from aerial photographs

with little or no field checking are useful when time,
funds, or access are limited or when adverse weather
prevents a more detailed field mapping program. The

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limitations of this form of geologic map are dependent on

outcrop density and degree of exposure, amount of
vegetative cover, contrast of the geologic units, and the
skills of the photogeologic mapper. This type of map is
useful for preliminary or reconnaissance level
evaluations but should never be used for design level
work.

Photoanalysis During Geologic Field Mapping

The location and verification of geologic features in the

field can usually be expedited by using aerial photo-
graphs. Photographs often reveal landforms that are
difficult to see or interpret from the ground, such as
land-slides. Photographs can be used to clarify and
speed up field mapping by allowing a comprehensive
view of the study site and the relationships of the
various geologic features exposed. Alternately viewing
photos and exam-ining outcrops can greatly facilitate
mapping.

Availability of Imagery

Aerial photography is available, commonly in a variety of

scales and types, for essentially the entire conterminous
United States. The principal repositories of publicly
owned airphotos is the EROS Data Center, operated by
the U.S. Geological Survey and the Agricultural
Stabilization and Conservation Service (ASCS) of the
U.S. Department of Agriculture. The USGS has several
regional offices of the Earth Science Information Center
(ESIC). The ESIC operates the Aerial Photography
Summary Record System (APSRS), which is a standard
reference data base for users of aerial photographs. The
APSRS lists aerial photography available from a large
number of government agencies and commercial com-
panies. The lists are comprehensive and categorized by
state and by latitude and longitude. APSRS data are

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available on request from ESIC. ESIC also provides

information about cartographic products other than
imagery.

Some important addresses and telephone numbers are:

USDA-ASCS (801) 524-5856

Aerial Photography Field Office
Customer Services
2222 West 2300 South
P.O. Box 30010
Salt Lake City, UT 84130-0010

USGS (605) 594-6151

EROS Data Center
Sioux Falls, SD 57198

USGS (303) 202-4200

ESIC
Denver Federal Center
Denver, CO 80225

USGS (650) 329-4309

ESIC
345 Middlefield Road
Menlo Park, CA 94025

Aerial Photography Flight Planning

If air photos are not available at the right scale, or of the

right type for an area, specific flights can be made.
Successful airphoto mission planning requires considera-
tion of several factors, including film type, scale, time of
day (sun-angle), time of year, and the size of the area to
be covered. Mission planning should not be done by
someone unfamiliar with the process without assistance.
Specifications should be written to ensure that the
result-ing photographs will be appropriate for the

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intended purpose. Information critical to mission

planning is available from the references listed below.

Time and Cost Estimating

The cost of data acquisition is relatively easy to estimate.

The cost of interpretation is much harder to estimate,
being a function of the time required, which is related to
the size and complexity of the study area and the skill of
the interpreter. The cost of a single drill hole will pay
for a lot of aerial photography and interpretation.

References

A classic text on the use of airphotos in geology was

reprinted in 1985 and should be readily available. Some
of the equipment described is obsolete and it is
essentially limited to discussion of panchromatic
photography. The publication contains numerous
stereopairs with geologic descriptions and is one of the
best works on airphoto interpretation for geologists:

Ray, R.G., Aerial photographs in geologic interpretation

and mapping, USGS Professional Paper 373, 230 p.,
1960.

Other useful references are:

Lattman, L.H., and Ray, R.G., Aerial photographs in

field geology, Holt, Rinehart and Winston, New York, NY
221 p., 1965.

Miller, V.C., Photogeology, McGraw-Hill, New York, NY,

248 p., 1961.

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A reference containing no general discussion of

principles, but with excellent examples of stereopairs of
geologic features, associated topographic maps, and
geologic annotations is:

Scovel, J.L., et al., Atlas of Landforms, Wiley & Sons,

New York, NY, 164 p., 1965.

A broad and lengthy reference covering remote sensing

in general, including much information about aerial
photography of all types, is:

Colwell, R.N., editor, Manual of remote sensing,

2nd edition, American Society of Photogrammetry, Falls
Church, VA, 272 p., 1983.

BIBLIOGRAPHY

[1] U.S. Geological Survey, Map Projections - A Working

Manual, U.S. Geological Survey Professional
Paper 1395, 1987.

[2 ] Jackson, Julia A., editor, The Glossary of Geology,

4th edition, American Geologic Institute,
Alexandria, VA, 1997.

[3] Lahee, Frederic H., Field Geology, 6th edition,

McGraw-Hill, Inc., New York, NY, 1961.

[4] Compton, Robert R., Geology in the Field, John

Wiley and Sons, New York, NY, 1985.

[5] Bureau of Reclamation, Division of Safety, Safety

and Health Standards, Denver Office, Denver, CO.

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[6] Proctor, M.E., and White, T.L., Rock Tunneling with

Steel Supports, Commercial Shearing, Inc., Youngs-
town, OH, 1977.

[7] Hatheway, A.W., “Trench, Shaft, and Tunnel Map-

ping,” Bulletin of the Association of Engineering
Geologists, v. XIX, 1982.

[8] U.S. Army Corps of Engineers, “Engineering and

Design, Geologic Mapping of Tunnels and Shafts by
the Full Periphery Method,” Engineer Technical
Letter No. 1110-1-37, Washington, DC, 1970.

[9] Proctor, R.J., “Mapping Geological Conditions in

Tunnels,” Bulletin of the Association of Engineering
Geologists, v. VIII, 1971.

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 Chapter 7

DISCONTINUITY SURVEYS

General

Physical properties of discontinuities generally control

the engineering characteristics of a rock mass. Accurate
and thorough description of discontinuities is an integral
part of geological mapping conducted for design and
construction of civil structures. It is improbable that any
survey will provide complete information on all the
discontinuities at a site. However, properly conducted
surveys will furnish data with a high probability of
accurately representing the site discontinuities. This
chapter discusses discontinuity recording methodology.
These recording methods can be applied to outcrops, drill
holes, open excavations, and the perimeters of under-
ground openings. The evaluation of discontinuity data is
well described in the literature. For example, plotting
discontinuity data on stereograms, contouring to deter-
mine prominent orientations, and subsequent wedge
analyses are described in Rock Slope Engineering [1] and
Methods of Geological Engineering in Discontinuous Rock
and Introduction to Rock Mechanics [2,3]. “Chapter 5,
Terminology and Descriptions for Discontinuities,” lists
data that are typically recorded in discontinuity surveys.

It is extremely important that the actual discontinuity

descriptors and measurement units be selected to support
the anticipated rock mass classification system(s).
Acquiring incomplete or excessive data may limit data
usefulness in subsequent analyses, and result in
excessive costs due to repeating surveys or from collecting
more data than needed.

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Empirical Methods for Rock Mass Classification

A number of empirical methods have been developed to

predict the stability of rock slopes and underground
openings in rock and to determine the support
requirements of such features. A method for estimating
steel-arch support requirements in tunnels was one of the
first [4], and various methods which address open-cut
excavations and existing rock slopes have been used
since. The Geomechanical Classification (Rock Mass
Rating [RMR]) [5,6] and the Norwegian Geotechnical
Institute (NGI) (Q-system Classification [Q]) [7] are com-
monly used. Both of these methods incorporate Rock
Quality Designation (RQD) [8]. Since both the RMR and
Q-system are based on actual case histories, both systems
can be somewhat dynamic, and refinements based on new
data are widely suggested. Additional information on
RQD, RMR, and the Q-system is provided in chapter 2.

Other predictive methods include the Rock Structure

Rating (RSR) [9] and the Unified Rock Classification
System (URCS) [10]. “Keyblock” analysis [11,12] is a
means of determining the most critical or “key” blocks of
rock formed by an excavation in jointed, competent rock.
An excellent single source of information on the various
classification systems is in American Society for Testing
Materials Special Technical Publication 984, Rock
Classification Systems for Engineering Purposes.

Data Collection

Discontinuity data can be collected using areal or detail

line survey methods. The areal method, which consists
of the spot recording of discontinuities in outcrops within
an area of interest, is of limited use in geotechnical
analyses. Areal surveys should be applied only for
preliminary scoping of a site or in cases where the lateral

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extent of exposed rock is inadequate to perform detail line

surveys. The detail line survey (DLS) method (DLS or
line mapping) provides spacial control necessary to accu-
rately portray and analyze site discontinuities. DLS map-
ping was originally a method of mapping road cuts and
open pit excavations. DLS use has been expanded both in
scope and types of exposures mapped. Each geologic
feature that intercepts a usually linear traverse is
recorded. The traverse can be a 100-ft (30 m) tape placed
across an outcrop, the wall of a tunnel, a shaft wall at a
fixed elevation, or an oriented drill core. In all cases, the
alignment of the traverse and the location of both ends of
the traverse should be determined. The mapper moves
along the line and records everything, as noted in
chapter 5, or as needed to support analyses. Feature
locations are projected along strike to the tape, and the
distance is recorded. Regardless of the survey method,
the mapper must obtain a statistically significant number
of observations. A minimum of 60 discontinuity measure-
ments per rock type is suggested for confidence in
subsequent analyses [14].

The orientation of a discontinuity can be recorded either

as a strike azimuth and dip magnitude, preferably using
the right-hand rule, or as a dip azimuth and magnitude
(eliminating the need for dip direction and alpha
characters required by the quadrant system). According
to the right-hand rule, the strike azimuth is always to the
left of the dip direction. When the thumb of the right
hand is pointed in the strike direction, the fingers point
in the dip direction. The selected recording method
should be used consistently throughout the survey.

Data acquired in a single straight-line survey are

inherently biased. The more nearly the strike of a discon-
tinuity parallels the path of a line survey, the less
frequently discontinuities with that strike will be

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recorded in the survey. This is called line bias. The

number of intersecting discontinuities is proportional to
the sine of the angle of intersection. In order to compen-
sate for line bias, a sufficient number of line surveys at a
sufficient variety of orientations should be conducted to
ensure that discontinuities of any orientation are inter-
sected by at least one survey at an angle of at least
30 degrees. Common practice is to perform two surveys
at nearly right angles or three surveys at radial angles of
120 degrees. True discontinuity (set) spacing and trace
lengths can be obtained by correcting the bias produced
by line surveys [15, 16].

All discontinuities should be recorded regardless of

subtlety, continuity, or other property until determined
otherwise. Data collection should be as systematic as
practicable, and accessible or easily measurable discon-
tinuities should not be preferentially measured. Con-
sistency and completeness of descriptions are also
important. Consistency and completeness are best main-
tained if all measurements are taken by the same mapper
and data are recorded on a form that prompts the mapper
for the necessary descriptors. A form minimizes the
probability of descriptor omission and facilitates plotting
on an equal area projection, commonly the Schmidt net
(figure 7-1), or entering data for subsequent analysis.
Computer programs are available that plot
discontinuities in a variety of projections and perform a
variety of analyses. Whether the plot format is the equal
area projection (Schmidt net) or equal angle projection
(Wulff net), evaluation of the plotted data requires an
understanding of the method of data collection, form of
presentation, and any data bias corrections. References
2 and 3 in the bibliography are good sources of data
analysis background information.

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Figure 7-1.—Equatorial equal area net (Schmidt net).

Different rock types in the same structural terrain can

have different discontinuity properties and patterns, and
the host rock for each discontinuity should be recorded.
This could be an important factor for understanding sub-
sequent evaluations of tunneling conditions, rock slopes,
or the inplace stress field in underground openings.

Figure 7-2 is a form that can be used to record the data in

an abbreviated or coded format. Recording these data
will provide the necessary information for determining
RMR and Q. These codes are derived from the descriptors
for discontinuities presented in chapter 5.

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Figure 7-2.—Discontinuity log field sheet.
 DISCONTINUITY SURVEYS

BIBLIOGRAPHY

[1] Hoek, E., and J. Bray, Rock Slope Engineering, revised

3rd edition, The Institute of Mining, London, 1981.

[2] Goodman, R.L., Methods of Geological Engineering in

Discontinuous Rock, 1976.

[3] Goodman, R.L., Introduction to Rock Mechanics, 1980.

[4] Terzaghi, K., “Rock defects and loads on tunnel sup-

port,”Rock Tunneling with Steel Supports, Commercial
Shearing, Inc., Youngstown, OH, 1946.

[5] Bieniawski, Z.T., Engineering Rock Mass Classifica-

tions, 1989.

[6] Bieniawski, Z.T.,and C.M. Orr, “Rapid site appraisal

for dam foundations by the geomechanics classification,”
Proceedings 12th Congress Large Dams, ICOLD, Mexico
City, pp. 483-501, 1976.

[7] Barton, N., F. Lien, and J. Lunde, “Engineering classi-

fication of rock masses for the design of tunnel support,”
Rock Mechanics, v. 6, No. 4, pp. 189-236, 1974.

[8] Deere, D.U., A.J. Hendron, F.D. Patton, and E.J. Cord-
ing, “Design of surface and near surface construction in
rock,” Proceedings 8th U.S. Symposium Rock Mechanics,
AIME, New York, pp. 237-302, 1967.

[9] Wickham, G.E., and H.R. Tiedemann, “Ground sup-

port prediction model—RSR concept,” Proceedings Rapid
Excavation Tunneling Conference, AIME, New York,
pp. 691-707, 1974.

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[10] Williamson, D.A., “Unified rock classification

system,” Bulletin of the Association of Engineering
Geologists, v. XXI, No. 3, pp. 345-354, 1984.

[11] Goodman, R.E., and Gen-Hua Shi, “Geology and rock

slope stability—application of a “keyblock” concept for
rock slopes,” Proceedings 3rd International Conference on
Stability in Open Pit Mining, Vancouver, June 1981.

[12] Goodman, R.E., and Gen-Hua Shi, Block Theory and

Its Application to Rock Engineering, 1985.

[13] Piteau, D., “Geological factors significant to the

stability of the slopes cut in rock,” Proceedings of the Open
Pit Mining Symposium, South African Institute of Mining
and Metallurgy, September 1970.

[14] Savely, J., “Orientation and Engineering Properties

of Joints in Sierrita Pit, Arizona,” MS thesis, University
of Arizona, 1972.

[15] Priest, S.D., and J.A. Hudson., “Estimation of discon-

tinuity spacing and trace length using scanline surveys,”
International Journal of Rock Mechanics-Mining Sciences
and Geomechanics Abstracts, v. 18, No. 3, pp. 183-197,
1981.

[16] Terzaghi, R.D., “Sources of error in joint surveys,”

Geotechnique, v. 15, No. 3, pp. 287-304, 1965.

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 Chapter 8

EXPLORATION DRILLING
PROGRAMS

Introduction

This chapter is a guide for developing effective and

efficient exploration drilling programs. Drilling
programs that involve extensive soil sampling, rock
coring, instrumentation installations, or in-place testing
commonly have excessive cost overruns and late
completion times. The effort put into developing a well
organized drilling program that explicitly defines drilling
and sampling requirements can lower exploration costs
significantly by eliminating unnecessary or redundant
work and meeting schedules. Good references on drilling
methods and equipment are Groundwater and Wells,
second edition, by Fletcher G. Driscoll, published by
Johnson Division, St. Paul, Minnesota 55112, and
Drilling: The Manual of Methods, Applications, and
Management, CRC Lewis Publishers, Boca Raton,
Florida, 1996.

Planning the Exploration Drilling Program

Developing an exploration program requires a thorough

knowledge of the design requirements, site conditions,
drilling equipment requirements and capabilities, and
soil or rock core testing. It is extremely important that
exploration needs be identified to avoid overdesign of a
program by too many “it would be nice” requests.

A complete and detailed description of the drill site

location, accessibility, work requirements, geology, and
other pertinent information should be made available to
either the drilling contractor or in-house drilling staff.
This information is necessary for an effective and
efficient drilling operation that will accomplish the
program objectives. A major objective is to obtain the
most information and samples possible from each hole by

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optimizing location, drilling and sampling methods,

depth, and completion. For example, a drill hole on the
intersection of dam and outlet works centerlines drilled
to the depth of the deepest data requirement and
sampled for both structures provides data for both
structures.

Most exploration is done in phases, with subsequent

exploration designed to refine the understanding of a
site. Drill holes should be logged as the holes are drilled,
so hole depths and subsequent hole locations can be
changed as exploration progresses. Because an
exploration program evolves as data are acquired,
information should be reviewed and added to maps and
sections as the data become available.

Site Inspection

An onsite inspection of the drilling location should be

made by the geologist, designers, and other essential
members of the exploration team. The purpose of the
onsite inspection is to determine the exploration needed
to provide the data required for design. Data are
required for several design disciplines with different
needs. Having knowledgeable representatives see the
site is important when formulating an exploration
program. Changes and additions to exploration
programs during or after exploration are expected but
can be minimized with careful planning.

During the site inspection, the geologist and designers

should discuss in detail all the design concerns that can
only be solved by analyzing the subsurface geology. The
team should be explicit as to the size, quantity, type, and
quality of soil or rock samples that are necessary to
develop an accurate evaluation of geologic conditions.
The geologist can recommend the type of equipment and

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drilling procedures needed, based on the drilling and

sampling requirements, and to address design concerns
as well as to provide samples needed for laboratory
testing.

The onsite inspection should provide other pertinent

information which is critical to the selection of specific
equipment. The following factors should be addressed
when preparing the exploration plan.

Topography-drill site accessibility.—The type of

drilling equipment most suitable for the work needs to
be determined. Truck-mounted, all-terrain, skid-
mounted, or a combination of several types may be
appropriate. Heavy excavation and hauling equipment
may be required to construct access roads, drill pads,
stream crossings, temporary bridges, or pipe culverts for
river crossings. Explosives and track drills may be
required to prepare drill pads or remove unsafe rock
overhangs from drill sites, and roadbase or rockfill may
have to be to be placed over soft mud or swamp.
Helicopter support may be needed for fly-in rigs and
heavy timber clearing. A source of water for drilling
needs to be identified. Other considerations are whether
there is a relatively close and level area that may be
used as a temporary drill yard/staging area and how
close equipment can be safely driven into the drill area.

Right-of-way, access permits, drilling permits,

construction or clearing permits.—The drilling
locations, whether on public or private land, may require
access permits. Several different types of permits may
be needed, including archeological and environmental
permits. These permits may take considerable time to
obtain and should be acquired as soon as possible. The
limitations of the permits should be determined.
Construction or clearing permits may be needed. Most

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states require special licenses or permits for drill op-

erators who perform water-well drilling and installation.

Protection of the Environment

Environmental, archeological, and biological factors may

place restrictions or conditions on a site. Disposal of the
cleared material should be arranged. The use of drilling
mud requires planning and implementation prior to
drilling. If the drill mud circulation pits can be
excavated, the mud pits may have to be enclosed with
fencing to keep out animals. Drill mud and cuttings as
well as fuel and oil spills or oil change residue will
require disposal. Some drill mud, cuttings, and water
should be stored because the material is considered a
hazardous waste. These materials may have to be
disposed of at approved sites. Crossing shallow streams
can create contamination or turbidity problems. Drill
hole completion and site restoration should be
formulated. Dust abatement may be necessary for travel
over the access roads. Routes through planted fields
should be arranged before travel.

Drilling

Many factors should be considered during the

development of the exploration plan as listed below:

• Are the drill sites on rock

• Can downhole hammers be used to set collar

casing

• Are surficial materials suitable for hollow-stem

auger use

• If the drill hole is to be water-pressure tested,

may drilling mud or air foam be used

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• Are soil samples required

• Can casing or hollow-stem augers be advanced

through the surficial deposits so that rock coring
can be performed

• Can the drill hole be used to combine geophysical

and in-place testing

• Will geophysical testing be required in the drill

hole

• Are angle holes required

• Will the holes require directional drilling control

and then be verified by survey

• Will polyvinyl chloride (PVC) casing have to be

installed for survey confirmation

• Will water pressure tests or permeability tests be

required as the hole is drilled or can the testing be
performed after the hole is completed

• Will the permeability tests require packers and

pressure testing or gravity head pressure

• Will the holes require instrumentation installation

• What are the requirements for the backfill in the

instrumentation drill hole and how is it to be
placed

• Will the outside annulus of the casing require

grouting

• What are the hole completion requirements

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Equipment

• Are the requirements for soil sample and/or rock

core sizes compatible with existing commercially
available equipment

• Will the samples or cores have to be transmitted

to the testing laboratories in sealed liners, split
tube liners, thin-wall steel tubes, or cheesecloth
and wax seals in core boxes

• Are there special concerns for the samples and

their delivery

• Will those concerns require them to be

transported in vibration-free containers

• Should the samples be protected from freezing

• Should the samples be weighed in the field and

the density and moisture content determined
before delivery to the laboratories

• What is the minimum drill equipment that should

be specified considering the total hole depth, size
of core or soil sample requirements, borehole
diameter, and rod size

• What is the minimum mud pump or air

compressor rating that should be specified

• Where is the water source; will water have to be

hauled or can it be pumped to the drill site

• How much water line will have to be laid

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Traffic Control and Safety

• Will the drill locations require traffic control,

detours, barricades, flag personnel, etc., for safety
and public protection

• Will road or highway travel require rerouting

during the drilling program

• Has permission been obtained from local, county,

or state officials to close roads

• Will drilling be performed in high visibility areas

• Will equipment security and vandalism be enough

of a problem to warrant nighttime security
personnel or fencing

Special Considerations

• Will the drilling require excavating or

constructing ramps and drill pads on the slope
face of an earth embankment
• Will the embankment slope face drilling have to
be done with skid-rigs on timber cribbing
platforms or with specialized drills that are
capable of traversing and drilling into
embankment slope faces without excavating
ramps or benches
• Will underground drilling be required
• Establish and include all underground safety
requirements in the drilling specifications
• Size the underground drilling equipment so it will
be suitable for the height and width of the tunnel
or drift

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• Is there potential for large water inflows

• Is there potential to intercept reservoir water
during underground drilling operations
• Will the drilling program require drill setups on
scaffolds or hanging platforms
• Are qualified personnel available to review the
design of any scaffold or hanging platform drill
setup, and will they have the authority to accept
or reject the construction
• Will the drilling program require operation from
a floating plant (barge) or a jack-up platform
• Obtain data for fluctuating river rises or falls,
flow rate, and depth of water under normal flow
conditions
• Will drilling be required in the vicinity of overhead
transmission lines, transformer boxes, or under-
ground buried utilities
• Have all underground utilities been located and
flagged
• Will the program require helicopter service for fly-
in rigs
• Have fly-in hazards been identified prior to start,
such as transmission lines, heavy timber,
turbulent winds, and rough terrain
• Are artesian pressures anticipated
• Are circulation loss zones anticipated
• Have contingency plans been prepared to seal and
contain artesian water flow or large volume water
flow that may be encountered during any drilling
operations

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• Has it been determined how the drill holes are to

be completed, i.e., capped and locked collar casing,
collar casing guard fixtures, or install piezometers
or other monitoring instrumentation, or backfilled
and grouted

Drilling in Dam Embankments

The Bureau of Reclamation's (Reclamation) embankment

design practice minimizes development of stress patterns
within an embankment. Stress patterns could lead to
hydraulic fracturing by drill fluids during drilling.
Certain embankment locations and conditions have a
higher potential for hydraulic fracturing than others, and
improper drilling procedures or methods will increase
the potential for hydraulic fracturing. Site locations and
conditions where hydraulic fracturing by drilling media
are more likely to occur and adversely affect a structure's
performance include the following:

1. In impervious cores with slopes steeper than

0.5H:1V, cut-off trenches, and upstream-inclined
cores.

2. Near abutments steeper than 0.5H:1V, where

abrupt changes in slopes occur, and above boundaries
in the foundation which sharply separate areas of
contrasting compressibility.

3. Near structures within embankments.

4. In impervious zones consisting of silt or mixtures

of fine sand and silt.

Recommended procedures for developing exploration and

instrumentation programs and for drilling in the
impervious portion of embankment dams are as follows:

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1. The embankment design should indicate whether

a hydraulic fracturing potential exists.

2. If a high potential for hydrofracturing exists, the

type of equipment and the method and technique to
be used for drilling must have the approval of the
exploration team. Once drilling has commenced,
drilling personnel are responsible for controlling and
monitoring drill media pressure, drill media
circulation loss, and penetration rate to assure that
the drilling operation minimizes the possibility for
hydraulic fracturing.

3. If a sudden loss of drill fluid occurs during any

embankment drilling within the dam core, drilling
should be stopped immediately. Action should be
taken to stop the loss of drill fluid. The reason for
loss should be determined, and if hydraulic fracturing
may have been the reason for the fluid loss, the
geologist and designer should be notified.

With the exception of augering, any drilling method has

the potential to hydraulically fracture an embankment
if care is not taken and attention is not paid to detail.
Augering is the preferred method of drilling in the core
of embankment dams. Augering does not pressurize the
embankment, and no potential for hydrofracturing
exists. Use of a hollow-stem auger permits sampling in
the embankment and allows sampling/testing of the
founda-tion through the auger’s hollow stem, which acts
as casing.

Drilling methods which may be approved for drilling in

embankment dams if augering is not practical (i.e.,
cobbly fill) are as follows:

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1. Cable tool

2. Direct rotary with mud (bentonite or

biodegradable)

3. Direct rotary with water

4. Direct rotary with air-foam

5. Down-hole hammer with reverse circulation

Selection of any one of the above methods should be

based on site-specific conditions, hole utilization,
economic considerations, and availability of equipment
and trained personnel.

Any drilling into the impervious core of an embankment

dam should be performed by experienced drill crews that
employ methods and procedures that minimize the
potential for hydraulic fracturing. It is essential that
drillers be well trained and aware of the causes of and
the problems resulting from hydraulic fracturing.

Safety

Drilling safety requirements and safety requirements in

general are available in Reclamation Safety and Health
Standards, Bureau of Reclamation, United States
Department of Interior, 1993.

Preparation of Drilling Specifications

and Format

The work requirements should be compiled in a clear

and concise manner for use by the personnel who will

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perform and inspect the work. The following is a

suggested specifications format for drilling contracts.

a. General Description of Exploration Program

(1) Available Geologic Data

(2) Identification of Design Concerns

(3) Generalized Exploration Drilling, Coring,

Testing, Instrumentation Requirements

b. Location of Work

(1) Area Identification

(2) Nearest Community

(3) Emergency Facilities

(4) Nearest Living Quarters/Crew Camp Area

(5) Freight Facilities

(6) Fuel and Supply Business Locations

(7) Travel Routes/Road Restrictions

(8) Public/Private Land Access Routes/Restrictions

(9) Right-of-Way Permits

c. Site Location

(1) Hole Locations

(2) Topography/Accessibility

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(3) Protection of the Environment

(4) Water Source

(5) Waste Disposal Area/Acceptable Waste Disposal

Method

(6) Drill Yard Storage Area—Restrictions

d. Work Requirements

(1) Site Preparation

(2) Collaring Holes—Boring Size—Angle

(3) Casing Requirements

(4) Sample Requirements (Disturbed/Undisturbed)

(5) Sample Sizes and Intervals

(6) Care and Transportation of Samples

(7) Core Sizes and Intervals

(8) Care and Preservation of Rock Core

(9) In-Place Testing Requirements

(10) Instrumentation Requirements

(11) Hole Backfill and Completion

(12) Site Cleanup

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e. Equipment Requirements

(1) Drill Rig Capabilities

(2) Pump/Air Compressor Capabilities

(3) Drilling Media

(4) Sampling/Coring Equipment

(5) In Situ Testing Equipment

(6) Instrumentation Equipment

(7) Core Boxes/Sample Containers

f. Special Drilling Concerns

g. Potential for Program Change, Modification,

or Extension

h. Safety Program/Safety Requirements/Safety

Contingency Plans

i. Exploration Drilling Reports and Logs

j. Labor Checks/Equipment Checks/Cost

Accounting

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 Chapter 9

GROUNDWATER DATA
ACQUISITION METHODS

Introduction

This chapter provides information that will help select,

install, and operate appropriate groundwater instrumen-
tation and to collect, establish, maintain, and present the
groundwater data. Most types of engineering geology
investigations require acquisition and use of
groundwater data. The data required may vary from
simple monthly verification of the water level elevations
along a canal-axis profile to hourly monitoring of
piezometric conditions in multiple zones within a
landslide or embankment. Successful implementation of
a groundwater instrumen-tation program depends on
knowledge of subsurface conditions, preliminary
identification of all probable future uses of the data, and
careful planning of an instrumentation system and data
acquisition program to meet these data requirements.
This chapter will provide the user with:

• A detailed description of methods employed in

designing and installing groundwater monitoring
systems.

• A detailed description of available manual and

automated methods and techniques used in
monitoring ground and surface water.

• A discussion of data base management and data

presentation.

• A listing of more detailed and specific source

material on groundwater data acquisition methods.

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General

The importance of fully evaluating and understanding

geologic factors controlling groundwater flow—including
porosity, storativity, permeability, transmissivity, velo-
city, recharge, and discharge—cannot be
overemphasized. This evaluation needs to be made at the
onset of the exploration program and continually
repeated throughout the investigations. These factors
will ultimately control the type of groundwater
acquisition methods required.

Geologic Controls on Groundwater

Geologic controls on groundwater flow impact the design

of observation systems and must be identified in the
preliminary planning of the instrumentation program.
For example:

1. Permeable materials, such as clastic sediments,

karstic limestone, and fractured rock, control the
type and size of well point, well screen, or
piezometer to be used and must be accounted for in
designing instrumentation for the program.

2. Relatively impermeable materials, such as clays,

silts, shales, siltstones, and massive rock present
special problems which must be accounted for in
selecting the type and size of piezometer to be
installed. Generally these materials require use of
the smallest size piezometer practical because
changes in water level and volume in the hole are
small and require long periods of time to react. Pore
pressure measurements in this type of geologic
environment should be considered, particularly if
short-term periodic—daily or weekly—changes in
groundwater conditions are needed.

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3. Layering, attitude of layers, boundaries, weath-

ering and alteration, and environment of deposition
all influence selection of instrumentation.

Design and Installation of Observation

Wells and Piezometers

Analysis of the Geologic Environment

The presence of variations in the geologic environment

must be anticipated. Perched water tables, artesian
aquifers, sources of recharge and discharge, known
boundaries and barriers, and structural controls such as
fractures, joints, faults, shears, slides, folds, and strati-
graphic contacts should be considered when selecting
instrument types and sizes. The preliminary instrumen-
tation design should be advanced enough to allow
procurement of needed equipment, but flexible enough to
adapt to changes in the environment.

Different types of groundwater observation instruments

provide different data types. Observation wells and
piezometers are selected in accordance with the data
required and the aquifer material and type. To be
useful, reliable, and accurate, the well or piezometer
design must be tailored to the subsurface conditions.
Single or unconfined aquifer zones can be monitored by
using a screened or perforated standpipe or porous tube
piezometer, or by a pore-pressure transducer. Multiple
zones may be monitored using multiple drill holes,
multiple piezometers in a single drill hole, or multiple
piezometer ports in a single standpipe.

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Design

The most important aspect in the design of a

groundwater monitoring well is the purpose and use of
the well; whether for taking water samples, measuring
water levels, geophysical investigations, or a combination
of uses.

The hydrogeologic environment and the type of down-

hole instruments that may be used in the well will
influence the choice of well diameter, casing type, screen
to be used, and the interval to be monitored.

Components of a typical well include a screened interval

surrounded by filter/gravel-pack material isolated by a
bentonite and/or cement grout seal, blank casing to the
surface, and a protective well cover.

PVC is the most widely used material for standpipes

(casing and screens) in monitoring wells. It is relatively
inexpensive and presents few chemical interferences in
water quality sampling. Many other materials are
available for specific uses, including galvanized and
stainless steel, Teflon©, and other plastics.

The diameter of the well depends on the instrumentation

to be installed and the intended use. If the well is to be
sampled, by either pump or bailer, a 3-inch (75-mm)
diameter hole is the preferred size for accuracy and for
complete development of the hole, but smaller sizes can
be used with small bailers and peristaltic pumps. Wells
used for measuring water levels only may be smaller
diameter or may have multiple small diameter
standpipes within a 4-inch (100-mm) to 8-inch (200-mm)
diameter hole. A standpipe designed to accommodate an
M-scope water level sensor can be ¾ inch (19 mm)
diameter. However, if the standpipe is to be

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instrumented with a pneumatic or vibrating wire

piezometer or if a recorder and electric probe will be used
to monitor the water level, then the diameter of the
standpipe depends on the size of the instrument or
transducer to be installed. Lengths of well screen and
casing (PVC perforated and solid standpipe) must have
uniform inner and outer casing diameters. Inconsistent
inner diameters cause problems when instruments with
tight clearance are lowered into the well. The pipe may
need to be reamed to remove the beads and burrs. A
filter pack is generally composed of washed sand and
gravel and is placed within the screened interval. The
interval may extend above the screen depending on the
zone thickness. The pack is designed primarily to allow
water to enter the standpipe while preventing the
movement of fines into the pipe through the slots, and to
allow water to leave the standpipe when water levels
drop. If the well is to be used for sampling, the pack
material should be sterilized to prevent possible
contamination before placement into the well. The
gravel pack should be tremied through a pipe to prevent
bridging. The top of the pack may be checked using a
small diameter tamping tool, or a properly weighted sur-
veyor’s tape.

A seal is installed to create an impermeable boundary

between the standpipe and the casing or drill hole wall.
The seal should be placed in a zone of low permeability,
such as a clay bed above the zone to be monitored. This
ensures that water will not travel vertically along the
casing or drill hole.

Cement grout can shrink due to temperature changes

during curing and may crack. This causes a poor bond
between the grout and the standpipe. A 1-foot (0.3-m)
bentonite seal should be placed preferably as pellets or
by tremieing a bentonite slurry immediately below and

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above the cement grout seal. This helps ensure a

reliable plug. Any seal material (optional with bentonite
pellets) should be tremied into place. This prevents
bridging or caking along the hole wall. The seal must be
reliable so that the screened interval monitors only the
desired groundwater zone.

A drill hole containing multiple standpipes, each mon-

itoring a zone or distinct water bearing strata, may have
several isolating seals. To test the integrity of the seals,
a gravity head test may be performed by adding water to
the shallowest standpipe and continuously measuring
the water level in the next lower piezometer to detect
any leakage through or around the seals. If the water
leaks into the lower interval, the piezometric head will
rise in the lower standpipe.

A protective cover helps prevent damage to the standpipe

and reduces surface water drainage into the backfilled
hole. The casing should extend 5 to 10 feet (1.5 to 3 m)
below ground and be grouted into place. Upon
completion of the monitoring well, standpipe should be
bailed or blown dry and the water level allowed to
recover to a static level. A completion log should be
prepared using the drillers' records, geologic log, and
measurements. The log should include the actual depths
and thicknesses of each component of the well; the
standpipe's total depth; the screened interval, the
isolated interval; the type of filter pack; the depth,
thickness, and type of isolating seals; and a reference
point from which all measurements were taken, such as
top of casing or ground surface. Many excellent
references are available to design and install
groundwater monitoring wells for various purposes.
Refer to these at the end of this chapter for more
detailed instructions.

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Construction Materials

Construction materials for observation wells and

piezometers are dictated by the projected use of the
instrument and the permeability of the aquifer. The
diameter of the standpipe, the type of standpipe used
(metal versus plastic), screen slot size/porous tube type,
and gravel pack material are all variables dictated by
aquifer characteristics.

In a relatively permeable material, the diameter of a

standpipe is not critical; sand or gravel pack around the
well tip may not be required, but the screen slot size may
be critical to the success of the installation. Too small
screen or slot size may restrict instrument reaction to
changes in water levels.

In a relatively impermeable material, pipe diameter may

be critical, a pack material of select sand or fabric wrap
usually is required, and a well point or screen assembly
usually is needed, (0.010-0.020-inch [0.0250.05
centimeter (cm)] slot size). Generally, the smallest
diameter pipe practical should be used in this sort of
monitoring application, keeping in mind that the
standpipe diameter must be large enough to install a
means of measuring water levels. If the volume of the
hole is too large, too much water must move in and out
of the hole to accurately reflect the water level. If rapid
reaction to water level or changes is needed, a pressure
transducer may be more appropriate than an open-tube
piezometer or standpipe.

A variety of materials can be used as the standpipe.

Polyvinyl chloride (PVC) plastic pipe is economical and
easy to install. Plastic pipe is fairly fragile, deformable,
and can be destroyed accidentally during installation.
Metal pipe is more durable for installation but generally

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costs more than plastic, rusts or corrodes, and is subject

to iron bacterial action. Generally, if grout plugs are
used to isolate zones, black pipe is preferred because the
zinc in galvanized pipe can react with the plug and
destroy the seal. The inside diameter (I.D.) of the pipe
depends on the permeability of the aquifer material and
can vary from as small as ½ inch (13 millimeters [mm])
to 2 inches (50 mm) or larger. The diameter of the riser
is critical to instrumentation of the observation well or
piezometer. Generally, ¾-inch (19 mm) pipe is the
smallest practical size that can be used in automated
applications. Reaming of the pipe prior to installation to
remove burrs, weld seams, and blebs of galvanizing
material is a necessary precaution to ensure that the
standpipe will be usable if the pipe I.D. and measuring
device outside diameter (O.D.) are close.

The screen assembly selected for an observation well or

piezometer can be a well point, well screen, porous tube,
or perforated pipe (commercially manufactured or field
fabricated). Screen should be PVC or corrosion-resistant
metal. Slot-size is determined by filter material size and
aquifer material.

The gravel-pack material selected is determined by the

particle sizes of the aquifer material and the size of the
well screen. Concrete sand or reasonably well-graded
sand to pea gravel can be used.

Plug material used to isolate the interval to be monitored

can be tremied cement grout, bentonite pellets, or a com-
bination of the two. A bentonite slurry also may be used
in some instances but must be tremied in place.
Bentonite pellets are preferred if only one isolation
method is used.

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Methods Used to Measure

Groundwater Levels

General

Groundwater measurements (and any instrumentation

readings) should be interpreted concurrently with read-
ing. Erroneous readings and faulty equipment need to
be detected as encountered, and timely interpretation is
a reliable method of bad reading detection. The
person(s) taking the readings must understand the
equipment and gather reliable data from the
instruments. If bad read-ings or faulty equipment are
not detected by concurrent interpretation, months of
irretrievable data can be lost, and erroneous
interpretations or data impossible to inter-pret can
result.

Manual Methods Used to Measure Groundwater

Levels

Chalk and Surveyors' Chain.—Probably the oldest

and one of the most reliable methods for measuring wells
is the surveyors' chain and chalk method. This method
is not recommended where water level depths exceed
several hundred feet (300 m+).

A lead weight may (but not necessary) be attached to a

steel measuring tape (surveyors' chain). The lower 5 feet
(1.5 m) of the tape is wiped dry and covered with solid
carpenter's chalk if the water level is roughly known.
The tape is lowered into the well, and one of the foot
marks is held exactly at the top of the casing. The tape
is pulled up. The line can be read to a hundredth of a
foot (0.003 m) on the chalked section. This reading is
sub-tracted from the mark held at the measuring point,
and the difference is the depth to water.

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The disadvantage to this method is that the approximate

water depth must be known so that a portion of the
chalked section will be submerged to produce a wetted
line. Deep holes require a long surveyor’s chain which
can be difficult to handle.
M-Scope (Electric Sounder).—An M-scope is an
electric sounder or electrical depth gauge consisting of an
electrode suspended by a pair of insulated wires and a
milliammeter that indicates a closed circuit and flow of
current when the electrode touches the water surface.
Usually, AA flashlight batteries supply the current. The
insulated wire usually is marked off in 1-foot to 5-foot
(0.3- to 1.5-m) intervals. The best devices have the
measuring marks embedded directly into the line.
Markers that are attached to the line slip, making it
necessary to calibrate the instrument frequently.

With the reel and indicator wire in one hand and the
other hand palm up with the index finger over the casing
or piezometer pipe, the wire is lowered slowly over the
finger into the piezometer pipe or well casing. By sliding
the wire over the finger, the wire is not cut or damaged
by the sharp casing or piezometer pipe. Several readings
can be taken to eliminate any errors from kinks or bends
in the wire. The water level depth can be measured from
the top of casing using the mark-tags on the insulated
wire and a tape measure marked in tenths and hun-
dredths of a foot. The advantage of this method is that
water level depths in holes several hundred feet deep can
be measured fairly quickly and accurately. The disad-
vantage to this method is that malfunctioning or
mechanical problems develop in the instrument giving
er-roneous water level readings. Before going into the
field, the instrument must be checked for low batteries,
tears, scrapes on the insulated wires, and iron-calcium
buildup on the part of the electrode touching the water
surface.

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Airline and Gauge.—This method uses a small

diameter pipe or tube inserted into the top of the well
casing down to several feet below the lowest anticipated
water level. The exact length of airline is measured as
the line is placed in the well. The airline must be air
tight and should be checked. The airline must hang
vertically and be free from twists and spirals inside the
casing. Quarter-inch (6.3 mm) copper or brass tubing
can be used. The upper end of the airline is fitted with
suitable connections and a Schraeder valve so that an
ordinary tire pump can be used to pump air into the
tube. A tee is placed in the line so that air pressure can
be measured on a pressure gauge.

This device works on the principle that the air pressure

required to push all the water out of the submerged
portion of the tube equals the water pressure of a column
of water of that height. A reference point (e.g., top of
casing or pipe) and the depth to the lower end of the
airline must be known. Air is pumped into the airline
until the pressure on the gauge increases to a maximum
point where all the water has been forced out of the
airline. At this point, the air pressure in the tube just
balances the water pressure. The gauge reading shows
the pressure necessary to support a column of water of
a height equal to the distance from the water level in the
well to the bottom of the tube.

If the gauge reads the direct head of water, the

submerged length of airline is read directly. The total
length of airline to the reference point, minus the
submerged length gives the depth to water below the
measuring point. If the gauge reads in pounds per
square inch, multiply the reading by 2.31 to convert to
feet of water. An accurate, calibrated gauge and a
straight, air-tight airline are important.

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Popper.—A simple and reliable method of measuring

water levels is with a popper. A tape with a popper
attached to the bottom is lowered into the well or casing
until the water is reached, as indicated by a pop. The
popper is raised above and lowered to the water surface
several times to accurately determine the distance. A
popper consists of a small cylinder closed at the top and
open at the bottom. The open bottom causes a popping
sound when the water surface is hit. A 1-inch (in) or
1½-in (25- or 40-mm) pipe nipple 2 to 3 in (50 to 75 mm)
long with a cap on top works satisfactorily.

Pressure Gauge for Monitoring Artesian Wells.—

Additional standpipe or casing can theoretically be ex-
tended to eventually equal the head of the water. A
simple method to determine the artesian head is to
attach a pressure gauge to the casing or the piezometer
pipe. The gauge selected may be read directly or in feet
(meters) of water. Install a tee on the standpipe or on
the casing so that a pressure gauge and valve can be
attached to the tee. The valve may be used to bleed the
pressure gauge to see if the gauge is working and can be
used to measure the flow on the artesian well. When a
pressure reading is taken, a flow measurement should
also be taken. During the winter months, the valve
should be cracked open to allow the well to flow slightly
to prevent the riser pipe from freezing and breaking.
The line to the gauge should be bled of water. If the
pressure gauge used is in lbs/in2, multiply the gauge
reading by 2.31 to obtain the head of water above the
valve.

Continuous Recorders

Stevens Recorder.—The Stevens Recorder (produced

by Stevens Water Resources Products) provides a
reliable and economical way to obtain continuous water

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level data. The recorder is a float type consisting of a 3-

to 6-inch (76- to 152-mm) float connected to a pulley
which turns a calibrated gear-driven drum. A power
source, such as a spring clock or small motor, rotates the
drum at a known rate giving a constant indication of
elapsed time.
Gearing between the float pulley and the chart drum
provide a changeable ratio of water movement to pen
movement on the chart. A time scale is available on the
chart, and continuous recordings may be maintained for
up to several months. When a Stevens recorder is used
in a well, the minimum diameter of the well casing is
4 inches (100 cm). An advantage of the Stevens recorder
is versatility. Hydrographs can be created with scales of
1:1 to 1:20. Most recorders can be set from 4 hours to
several months. Johnson-Keck has a water level sensing
instrument that can continuously record water levels in
½-inch (13-mm) pipe and larger. Transistorized circuitry
is used to control a battery powered motorized reel. The
sensing float is attached to one end of the control wire,
and the other end of the wire is connected to the reel.
The instrument is connected to a Stevens type F or
Stevens type A recorder. The control wire passes around
the recorder pulley, and the sensing device is placed in
the casing. The sensing device seeks the water surface;
and once the water surface is found, the circuitry keeps
the sensing device at the water surface.

Many float recorders can be attached to digital recorders

for continuous records. Data from this type of
instrument can be used and easily interfaced with a
computer system.

Bristol Recorders.—Recorders for monitoring contin-

uous artesian pressures are produced by Bristol Instru-
ment Systems. The Bristol and Stevens recorders are
similar in that pressure and time are recorded on a

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chart. The instrument usually contains diaphragms that

can be adjusted to varying pressure conditions. The
spring-driven clock usually is calibrated for 30 days. The
Bristol recorder is very useful for observing pressure
changes in artesian wells but is limited by freezing
conditions in northern climates. A pressure gauge
installed in the line between the artesian water and the
pressure recorder is very useful. This gauge provides a
good indication of the working condition of the
instrument.

Gas Bubbler Transducer.—Pneumatic or gas bubble

transducers are manufactured by many companies. The
transducers vary from a single readout box to a compli-
cated array of instruments that will measure several
wells at once. A gas is forced through a tube at a
constant rate past a diaphragm. When the pressure of
the gas on the diaphragm and the water pressure on the
other side of the diaphragm are equal, a constant
reading is obtained. This reading equals the amount of
water over the diaphragm. This number multiplied by
2.31 will give the amount of water head over the
instrument. These instruments may be used as a single
unit or connected into an electronic data acquisition
system.

Maintenance.—A good maintenance program is neces-

sary to ensure reliable performance of mechanically
actuated recorders. The instruments and data collected
are only as good as the preventive maintenance. A
routine preventive maintenance program should be
scheduled for all the instruments. In some cases, daily
inspection of recorders is required; however, if the
instrument is working properly, weekly inspections may
be sufficient. Preventive maintenance can often be
accomplished when the charts are changed.

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Methods and Techniques Used to Estimate

Flows from Seeps, Springs, and Small Drainages

A thorough and detailed discussion of weirs, flumes,

stilling wells, and other techniques is presented in
Reclamation’s Water Measurement Manual [1]. Small
seeps, springs, and intermittent drainages are often
encountered in field investigations. These features can
provide key information during design and construction
and may be key indicators of structure performance or
environmental impacts that may affect the project. The
location of drainage features, the rate of flow, and the
time of year of the observation are important
information. Flow can be estimated accurately using the
methods described below:

Estimate the rate of flow in an open channel using

Q=VA, where:

Q = rate of flow
V = velocity
A = cross sectional area of channel

The cross-sectional area is determined by direct meas-

urements where possible. Where impractical, the cross-
sectional area may be estimated or scaled from a topo-
graphic map.

Velocity is determined using a float, a measuring tape,

and a stop watch by timing how long a floating object
takes to travel a given distance. This provides a crude
but reasonably accurate estimate of flow. Other methods
may include a pitot tube or flow meter.

Substitute the values obtained into the Q=VA equation

to obtain the volume of flow.

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Measure flow from small springs and seeps directly by

diverting the flow, or in some manner channel the flow
to a point for collection in a container, such as a bucket.
Determine the rate of flow by timing how long it takes to
fill the container. Select points along a drainage where
abrupt dropoffs occur and use this method. It is better
to measure, however crudely; but if not possible,
estimate the flow. Many more sophisticated methods
can be used to obtain more accurate flow measurements,
if necessary. Determination of the most appropriate
method can be made if preliminary data are available.

Computer-Based Monitoring Systems

General

Water level monitoring may be automated. Monitoring

landslides can require a great number of points and
frequent readings. A variety of data types may be
required, which may include measurements of not only
water levels and pore pressure changes, but deformation
and movement as well. Systems required to collect,
store, format, and present these data are available
allowing realtime analysis of a wide variety of data
types.

Components of a Computer-Based
Monitoring System

1. Many types of instruments including inclinometers,

pressure transducers, strain gauges, water level gauges,
and flowmeters can be used in a monitoring system.
Electronic instruments are available in many sizes and
shapes; preliminary selection of the instrument type

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should be made during the initial design of the system.

The inside diameter of the well must be sized to accept
the transducer.

2. Acquired data is sent from the instrument at the well

to the data logger or processor. This is done by hardwire
from the instrument, line-of-sight radio, satellite radio,
or phone lines.

Data from the monitoring points may be preprocessed in

the field prior to transmittal to the central computer. A
number of microprocessor data scanners that collect and
reduce data can be installed at various field locations.
The central computer queries the field scanners to obtain
periodic updates. The remote scanners can be interro-
gated as frequently as desired. This may include a
continuous data scan mode.

3. Data scanners reduce the instrument output to usable

data. Data scanners can be the end destination for more
simple systems or can be part of a more elaborate
system. Generally, two types of signals are generated by
instruments used in geotechnical monitoring: (a) digital
and (b) analog current or voltages. Data scanners which
accept and reduce data from both types of signals are
available.

Many manufacturers offer complete packages of auto-

mated instrumentation systems, including computer
hardware and software. If the initial observation well
program is designed for automation, most of these
systems will provide the high quality data required.

Special Applications

Many types of instrumentation can be used in a single

drill hole. A multiple use casing collects groundwater

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data from a large number of horizons within a single

drill hole. Casing is available specifically for pore-
pressure observations, or grooved casing can be used so
that the well can be completed for both pressure and
inclinometer measurements. Isolation between horizons
can be accom-plished either by installing a bentonite seal
or by using a packer assembly designed as an integral
part of a monitoring system. Use of a monitoring system
greatly reduces drilling costs, provides detailed
monitoring of critical drill holes, and provides a greater
flexibility than systems previously available. Small
diameter drill holes can be used to obtain a large number
of isolated water level intervals and, depending on the
application, can be very cost effective.

Data Base Management and Data Presentation

Standard forms are available to record field data,

although standard data sheets often must be modified
for specific applications. Data sheets must include
remarks and information that include the monitoring
well num-ber, location, elevation reference points, type
and size of well, dates and times the well was read,
depth to water, and the elevation of the water surface.
Periodic readings of these observation wells over long
periods of time generate numerous data sheets.
Computerization of the data base very rapidly can
become a necessity if data are to be readily available and
easily analyzed.

Data entry and storage in digital format allows

electronic transfer of data and greater flexibility in
developing, analyzing, and presenting data. Data may
be tabulated or presented as time-depth/elevation plots
and interpre-tive drawings such as contours and other
three dimensional plots. Tremendous volumes of data

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can be reduced quickly to a usable format. Use of a

commer-cially available data base allows data use and
manipu-lation without specialized software or training.

Definitions

Aquifer—A body of soil or rock that is sufficiently

permeable to conduct groundwater and to yield
economically significant quantities of water to wells and
springs.

• Confined aquifer—An aquifer bounded above

by impermeable beds, or beds of distinctly lower
permeability than that of the aquifer itself. An
aquifer containing confined groundwater.

• Unconfined aquifer—An aquifer having a

water table. An aquifer containing unconfined
ground-water.

Artesian—An adjective referring to groundwater

confined under hydrostatic pressure.

Artesian aquifer—An aquifer containing water under

artesian pressure.

Aquitard—A confining bed that retards but does not

prevent the flow of water to or from an adjacent aquifer;
a leaky confining bed. An aquitard does not readily yield
water to wells or springs but may serve as a storage unit
for groundwater.

Aquiclude—A body of relatively impermeable rock or

soil that is capable of absorbing water slowly but
functions as an upper or lower boundary of an aquifer
and does not transmit significant groundwater.

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Water table or water level—The surface between the

zone of saturation and the zone of aeration; the surface
of a body of unconfined groundwater at which the
pressure is equal to atmospheric pressure.

Zone of aeration or Vadose zone—Subsurface zone

containing water under pressure less than atmospheric,
including water held by capillarity, and containing air or
gases generally under atmospheric pressure. This zone
is limited above by the land surface and below by the
surface of the zone of saturation or water table.

Saturation—The maximum possible content of water in

the pore space of rock or soil.

Zone of saturation—A subsurface zone in which all of

the interstices are filled with groundwater under
pressure greater than atmospheric. The zone is still
considered saturated even though the zone may contain
gas-filled interstices or interstices filled with fluid other
than water. This zone is separated from the zone of
aeration by the water table.

References

American Geological Institute, Glossary of Geology,

4th edition, Alexandria, VI, 1997.

Bureau of Reclamation, Embankment Dam

Instrumentation Manual, U.S. Department of the
Interior, United States Government Printing Office,
Washington, DC, 1987.

Bureau of Reclamation, Ground Water Manual,

2nd edition, A Water Resources Technical Publication,

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U.S. Department of the Interior, United States

Government Printing Office, Washington, DC, 1995.

Driscoll, Fletcher G., Groundwater and Wells, 2nd

edition, published by Johnson Division, St. Paul, MN
55112, 1987.

Leupold and Stevens Inc., Stevens Water Resources Data

Book, 3rd edition, P.O. Box 688, Beaverton, OR 97005.

Morrison, Robert D., “Equipment, and Application,”

Ground Water Monitoring Technology Procedures, Timco
Manufacturing Inc., Prairie du Sac, WI, 1983.

BIBLIOGRAPHY

[1] Bureau of Reclamation, Water Measurement

Manual, 3rd edition, A Water Resources Technical
Publication, U.S. Department of the Interior,
United States Government Printing Office,
Washing-ton, DC, 1997.

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 Chapter 10

GUIDELINES FOR
CORE LOGGING

These guidelines incorporate procedures and methods

used by many field offices and are appropriate for
"standard" engineering geology/geotechnical log forms,
computerized log forms, and many of the modified log
forms used by various Bureau of Reclamation
(Reclamation) offices.

General

Introduction

This chapter describes the basic methods for engineering

geology core logging and provides examples and
instructions pertaining to format, descriptive data, and
techniques; procedures for working with drillers to obtain
the best data; caring for recovered core; and water testing
in drill holes. The chapter also provides a reference for
experienced loggers to improve their techniques and train
others. Most of the discussions and examples shown
pertain to logging rock core, but many discussions apply
to soil core logging, standard penetration resistance logs,
and drive tube sample logging.

Purpose, Use, and Importance of Quality Core

Logging

The ability of a foundation to accommodate structure

loads depends primarily on the deformability, strength,
and groundwater conditions of the foundation materials.
The remediation of a hazardous waste site can be
formulated only by proper characterization of the site.
Clear and accurate portrayal of geologic design and
evaluation data and analytical procedures is paramount.
Data reported in geologic logs not only must be accurate,

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consistently recorded, and concise, but also must provide

quantitative and qualitative descriptions.

Logs provide fundamental data on which conclusions

regarding a site are based. Additional exploration or
testing, final design criteria, treatment design, methods
of construction, and eventually the evaluation of structure
performance may depend on core logs. A log may present
important data for immediate interpretations or use, or
may provide data that are used over a period of years.
The log may be used to delineate existing foundation
conditions, changes over time to the foundation or
structure, serve as part of contract documents, and may
be used as evidence in negotiations and/or in court to
resolve contract or possible responsible party (PRP)
disputes.

For engineering geology purposes, the basic objectives of

logging core are to provide a factual, accurate, and concise
record of the important geological and physical character-
istics of engineering significance. Characteristics which
influence deformability, strength, and water conditions
must be recorded appropriately for future interpretations
and analyses. Reclamation has adopted recognized
indexes, nomenclature, standard descriptors and
descriptive criteria, and alphanumeric descriptors for
physical properties to ensure that these data are recorded
uniformly, consistently, and accurately. Use of alpha-
numeric descriptors and indexes permits analysis of data
by computer. These descriptors, descriptive criteria,
examples, and supporting discussions are provided in
chapters 3, 4, and 5.

Exploration should be logged or, as a minimum, reviewed

by an experienced engineering geologist. The logger
should be aware of the multiple uses of the log and the
needs and interests of technically diverse users. The

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experienced logger concentrates on the primary purposes

of the individual drill hole as well as any subordinate
purposes, keeping in mind the interests of others with
varied geological backgrounds including geotechnical
engineers, contract drillers, construction personnel, and
contract lawyers. An experienced logger tailors the log to
meet these needs, describing some seemingly minor
features or conditions which have engineering
significance, and excluding petrologic features or geologic
conditions having only minor or academic interest. Less
experienced loggers may have a tendency to concentrate
on unnecessary garnishment, use irrelevant technical
terms, or produce an enormously detailed log which
ignores the engineering geology considerations and
perhaps the purpose for completing the drill hole.
Adequate descriptions of recovered cores and samples can
be prepared solely through visual or hand specimen
examination of the core with the aid of simple field tests.
Detailed microscopic or laboratory testing to define rock
type or mineralogy generally are necessary only in special
cases.

Empirical design methods, such as the Rock Mass Rating

System Geomechanics Classification (RMR) and Q-system
Classification (Q), are commonly used for design of under-
ground structures and are coming into common use for
other structures as well. If these methods are used, the
necessary data must be collected during core logging.

If hazardous waste site characterization is the primary

purpose of the drilling, the log should concentrate on
providing data for that type of investigation.

Drilling and logging are to determine the in-place

condition of the soil or rock mass. Any core condition,
core loss, or damage due to the type of bit, barrel, or other
equipment used, or due to improper techniques used in

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the drilling and handling processes should be described.

Such factors may have a marked effect on the amount and
condition of the core recovered, particularly in soft,
friable, weathered, intensely fractured materials or zones
of shearing. Geologic logs require the adequate
description of materials; a detailed summary of drilling
equipment, methods, samplers, and significant
engineering conditions; and geologic interpretations.
Complete geologic logs of drill holes require adequate
descriptions of recovered surficial deposits and bedrock,
a detailed summary of drilling methods and conditions,
and appropriate physical characteristics and indexes to
ensure that adequate engineering data are available for
geologic interpretation and analysis.

Format and Required Data for the

Final Geologic Log

Organization of the Log

The log forms are divided into five basic sections: a

heading block; a left-hand column for notes; a center col-
umn for indexes, additional notes, water tests and
graphics; a right-hand column for classification and
physical conditions; and a comments/explanation block at
the bottom. Data required for each column are described
in the following discussion and the referenced example
logs. Log DH-123, figure 10-1, and log B-102, figure 10-2,
are the most complete and preferred examples; other
variations are presented but in some cases are not
complete.

Heading

The heading block at the top of the form provides spaces

for supplying project identifying information, feature,

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Figure 10-1.—Drill hole log, DH-123, sheet 1 of 2.

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Figure 10-1.—Drill hole log, DH-123, sheet 2 of 2.

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Figure 10-2.—Drill hole log, B-102, for Standard

Penetration Test, sheet 1 of 3.

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Figure 10-2.—Drill hole log, B-102, for Standard

Penetration Test, sheet 2 of 3.

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Figure 10-2.—Drill hole log, B-102, for Standard

Penetration Test, sheet 3 of 3.

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hole number, location, coordinates, elevation, bearing and

plunge of hole, dates started and completed, and the
name(s) of the person(s) responsible for logging and re-
view. Locations should preferably be in coordinates
unless station and offset are all that is available.

Provide both coordinates and station and offset if

available. The dip or plunge of the hole can be the angle
from horizontal or from vertical, but the reference point
should be noted on the log. Spaces for depth to bedrock
and water levels are also provided. All this information
is important and should not be omitted. Below the
heading, the body of the log form is divided into a series
of columns covering the various kinds of information
required according to the type of exploratory hole.

Data Required for the "Drilling Notes" Column

Data for the left-hand column of all drill hole logs are
similar whether for large-diameter sampling, Standard
Penetration Tests, rock core, or push-tube sampling logs.
These data are field observations and information
provided by the driller on the Daily Drill Reports.
Examples are provided for some of these data headings;
a suggested guideline and preferred order is presented in
the following paragraphs but may differ depending on the
purpose and type of exploration. Headers for data can
indicate whether depths are in feet (ft) or meters (m),
eliminating the need to repeat "ft" or "m" for each interval
entry. An example of the Drilling Notes column is
provided on figures 10-1 through 10-4.

General Information.—This includes headers and data

for the hole purpose, the setup or site conditions, drillers,
and drilling and testing equipment used.

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Figure 10-3.—Drill hole log, DH-SP-2, sheet 1 of 2.

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Figure 10-3.—Drill hole log, DH-SP-2, sheet 2 of 2.

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Figure 10-4.—Drill hole log, SPT-107-2, sheet 1 of 3.

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Figure 10-4.—Drill hole log, SPT-107-2, sheet 2 of 3.

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Figure 10-4.—Drill hole log, SPT-107-2, sheet 3 of 3.

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1. Purpose of hole — Includes reason for drilling

the hole, such as foundation investigation, materials
investigation, instrumentation, sampling, or testing.

2. Drill site or setup — Includes general physical

description of the location of the drill hole.
Information on unusual setups, such as adjacent to
a stream, or drilled from a barge, gallery, or adit,
may help understand the unusual conditions.

3. Drillers — Names of drillers may be significant

for reference or for evaluating or interpreting core
losses, drilling rates, and other drilling conditions.

4. Drilling equipment —

• Drill rig (make and model)

• Core barrel(s), tube(s), special samplers (type

and size)

• Bits (type and size)

• Drill rods (type and size)

• Collar (type)

• Water test equipment (rod or pipe size, hose

size, pump type and capacity, and relative
position and elevation of pressure gauges or
transducers), packers (type—mechanical or
pneumatic)

Example: Skid-mounted Sprague and Henwood

Model 250. NWD3 bottom discharge bit with a
5-ft (1.5-m), split-tube inner barrel. 5-ft (1.5-m)
NW rods. Water tested with NX pneumatic

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packer No. 12 with 1-1/4-inch (in) (32-millimeter

[mm]) pipe, Bean pump with 35-gallons per
minute (gal/min) (159 liters per minute)
maximum volume, and 1-in (25-mm) water
meter. (Water testing equipment can be a
separate heading if desired.)

Drilling Procedures and Conditions.—These headers

and data should include methods, conditions, driller's
comments, and records for water losses, caving, or casing.

1. Drilling methods — Synopsis of drilling, sam-

pling, and testing procedures, including procedures
and pressures for drive or push tubes used through
the various intervals of the hole.

2. Drilling conditions and driller's comments —

Note by interval the relative penetration rate and
the action of the drill during this process (i.e., 105.6-
107.9: drilled slowly, moderate blocking off, hole
advancing 15 minutes per foot [.3 meter]). Unusual
drilling conditions should be summarized. Changes
in drilling conditions may indicate differences in
lithology, weathering, or fracture density. The
geologist needs to account for variations in driller's
descriptions; each driller may describe similar
conditions with different adjectives or percentage
estimates. Any other comments relative to ease or
difficulty of advancing or maintaining the hole
should be noted by depth intervals. Drillers'
comments need to adequately describe conditions
encountered while advancing the hole. Statements
such as "normal drilling" or "no problems
encountered" are not useful.

Differences in drilling speeds, pressures, and

penetration rates may be related to the relative

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hardness and density of materials. Abrupt changes

in drilling time may identify lithologic changes or
breaks and also may pinpoint soft or hard interbeds
within larger units. Often, these may be correlated
with geophysical logs. If the driller provides useful
and accurate records of drilling conditions and
procedures, an accurate determination of the top and
bottom of key marker horizons can be made even
without core.

Drilling progress should be recorded while drilling;

recovery can be improved by relating recovery to
optimum pressures and speeds, as well as providing
data for interpretation. For each run, the driller
should record the time when starting to drill and
when stopping to come out of the hole. Most of these
drilling progress data are qualitative rather than
quantitative values. Controlling factors are not only
the type of materials encountered but also may be
mechanical or driller variables. These variables may
include type and condition of the bit, rotation speed,
drilling fluid pressure, etc. THE PURPOSE OF THE
BORING IS TO OBTAIN THE HIGHEST QUALITY
CORE AND MOST COMPLETE RECOVERY AND
INFORMATION, NOT JUST FEET PER HOUR OR
SHIFT.

3. Drilling fluid — Type and where used (including

drilling fluid additives). This may be combined with
or discussed under the heading, drilling methods.

4. Drilling fluid return — Include interval/percent

return. Drilling fluid return may be combined with
color.

5. Drill fluid color — Include interval/color.

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6. Caving conditions — Intervals of cave with ap-

propriate remarks about the relative amount of
caving are to be noted. When possible, report the
actual caving interval rather than the depth of the
hole.

7. Casing record — Casing depth is the depth of

casing at the start of the drilled interval (see the
example below).

8. Advancement (push-tube or Standard

Penetration Test (SPT) applications) — Include
depth/ interval sampled.

9. Cementing record — Note all intervals

cemented and if intervals were cemented more than
once. This information may be combined with the
casing record, as shown below:

Example of casing and cementing record:

Interval drilled Size Casing depth

(feet) (inch) (feet)
0.0-2.3 6 Cs 0.0
2.3-4.5 6 Cs 2.0
4.5-9.2 6 Cs 4.0
9.2-15.3 NxCs 8.0
15.3-18.7 NxCs 15.0
18.7-33.2 Cmt 12.1-18.7 Cmt

Hole Completion and Monitoring Data.—Data shown

in this section of the left-hand column include hole
completion, surveys, water levels, drilling rates or time,
and reason for hole termination.

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1. Borehole survey data — Include if obtained.

Example of survey data:

Depth Bearing Plunge

59 90E1
79 S 72EW 90E
99 S 75E W 89E
119 S 72E W 89E
Average S 72E W 89E
1
E = degrees.

2. Water level data — Note depths and/or eleva-

tions, water quantities, and pressures from artesian
flows. Water levels or flows should be recorded
during hole advancement, between shifts, or at the
beginning or end of a shift, but definitely should be
recorded at completion of the hole and periodically
thereafter. It may be advantageous to leave space or
provide a note to refer the user to additional readings
provided elsewhere on the log for subsequent
measurements. Computer generated logs allow
convenient updating of water levels long after the
hole is completed.

Examples of drill hole logs illustrate optional format

and subsequent readings. Examples of how to record
data are:

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Depth to
Date Hole depth water
1981 (feet) (feet)
11-02 25.0 6.0
Bailed 100 gal:
Level before 6.0
Level after 21.0
or:
Depth to
Hole depth water
Date (feet) (feet)
11-03-81 25.0 15.0
11-04-81 40.0 29.0
01-05-82 95.2 7.0
01-15-82 95.2 Flowing 25 gal/min
02-03-82 95.2 Flowing 5 gal/min
at 5 pounds per
square inch
(lb/in2)

3. Hole completion — Indicate how hole was com-

pleted or backfilled; if jetting, washing, or bailing
was employed; depth of casing left in hole or that
casing was pulled; location and type of piezometers;
location, sizes, and types of slotted pipes (including
size and spacing of slots) or piezometer risers; type
and depth of backfill or depths of concrete and/or
bentonite plugs; location of isolated intervals; and
elevation at top of riser(s). Hole completion can be
shown graphically (see figure 10-5).

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Figure 10-5.—Drill hole log, DH-DN/P-60-1, sheet 1 of 3.

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Figure 10-5.—Drill hole log, DH-DN/P-60-1, sheet 2 of 3.

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Figure 10-5.—Drill hole log, DH-DN/P-60-1, sheet 3 of 3.

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4. Reason for hole termination — State whether

the hole reached the planned depth or reason why
the hole was stopped short.

5. Drilling time — Total time, setup time, drilling

time, and downtime should be recorded on drillers'
daily sheets and should also be recorded on the drill
log. These records are essential for determining
exploration program costs.

Center Columns of the Drill Log

Computer Logs.—Computer-generated logs offer several

options for the content and format of the log such as
permeability, penetration resistance, or rock properties
which have some differences in format. Examples of each
are shown in figures 10-2 through 10-5.

Standard Geologic Log Form.—The following

discussion pertains to the center columns for the standard
Reclamation log (form 7-1337). The columns shown on
all figures are self-explanatory. The columns can be mod-
ified or new columns added to the existing log form for
recording appropriate indexes or special conditions.

The percolation tests (water-pressure tests) column

should record the general information of the tests.
Additional data may be recorded on "water testing" log
forms or drillers' reports.

Type and size of hole, elevation, and depth columns are

self-explanatory.

Core recovery should be recorded in percent of recovery

by run. Although desirable, core recovery does not
necessarily require a visual graph. Core recovery should
be noted carefully by the driller for each run on the daily

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drill reports; however, this column should be the record

of those measurements determined by the geologist
during logging. Measuring the core while in the split
tube or sampler, if possible, will produce the most
accurate recovery records.

A hole completion column may be added which

graphically portrays how the hole was completed. If used,
an explanation of the graphic symbols should be provided
on the log form.

Rock quality designation (RQD) should be reported by

core run. RQD should be included on the log in graph or
tabular form regardless of the type project. RQD is used
in almost any engineering application of the hole data.
Most contractors are interested in RQD as an index of
blasting performance, rippability, and stability. RQD is
described and explained in chapter 5.

A lithologic log or graphic column is helpful to quickly

visualize the geologic conditions. Appropriate symbols
may be used for correlation of units, shear zones, water
levels, weathering, and fracturing (see figure 10-1).

The samples and testing column should include locations

of samples obtained for testing and can later have actual
sample results inserted in the column, if the column is
enlarged.

Modifications to Standard Log Form.—Modifications

or adaptations of the center columns are permissible and,
in some instances, encouraged. Examples are:

1. The use of a continuation sheet for longer drill

logs saves time and is easier to type. The sheets may
have only one column to continue the right-hand
narrative, or may be divided into two or more

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columns. See sheets 2 and 3 for drill hole SPT-107-2,

figure 10-4, for an example; also see sheet 3 of 3 for
drill hole DH-DN/P-60-1, figure 10-5.

2. The center column may be modified to portray ad-

ditional data such as hole completion, various
indexes, alphanumeric descriptors, or laboratory test
data.

Standard penetration test hole SPT-107-2,

figure 10-4, is a modified penetration resistance log
which shows laboratory test results; a percent
gravel/percent sand/ percent fines column; liquid
limit/plasticity index (LL/PI) column, a field moisture
column, and other modifications. Drill hole DH-SP-2,
figure 10-3, has columns for reporting field density
test results, moisture, porosity, percent saturation,
percent fines/percent sand, LL/PI, and laboratory
classification.

3. Another modification, shown on DH-SP-2,

figure 10-3, is a drawing showing the location of the
hole in relation to the structure being explored.
Diagrams or graphs, such as water levels, may
illustrate data better than a column of figures.

Required Data and Descriptions for the Right-

Hand "Classification and Physical Condition"
Column

General.—An accurate description of recovered core and

a technically sound interpretation of nonrecovered core
are the primary reasons for core logging. The logger
needs to remember that any interpretation, such as a
shear, must be based on observed factual data. The
interpreted reason for the core loss is given, but usually

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it is best to define the area of core loss as the interval

heading. For example:

99.4. to 101.6: No Recovery. Interpreted to be in-

tensely fractured zone. Drillers reported blocking off,
core probably ground up during drilling.

103.4 to 103.7: Open Joint?. Drillers reported 0.3-ft

drop of drill rods during drilling and loss of all water.
Joint surfaces in core do not match.

0.7 to 11.6: Silty Sand. Poor recovery, only 6.2 ft

recovered from interval. Classification based on re-
covered material and wash samples.

0.9 to 3.2: Rockbitted. No samples recovered.

(Usually this would be subheaded under a previous
description, inferring the materials are the same as
the last recovered).

Descriptions of Surficial Deposits.—Surficial deposits

such as slope wash, alluvium, colluvium, and residual soil
that are recovered from drill holes are described using
USBR 5000 and 5005. If samples cannot be obtained,
then description of the cuttings, percent return and color
of drilling fluid, drilling characteristics, and correlation to
surface exposures is employed. Always indicate what is
being described—undisturbed samples, SPT or wash
samples, cuttings, or cores. Descriptors and descriptive
criteria for the physical characteristics of soils must
conform to the established standards. Chapter 11
provides guidelines for soil and surficial deposit
descriptions.

Extensive surficial deposits usually are described using

geologic and soil classifications. Where surficial deposits
are very shallow and not pertinent to engineering
applications for design or remediation or where geologic

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classification such as landslides or talus is preferable,

units may be given genetic or stratigraphic terms only.
For example, Quaternary basin fill, recent stream
channel deposit, Quaternary colluvium, zone 3
embankment, and random fill may be described
generally; or these may be unit headings with group
name subheadings. The format is:

Geologic and group name. i.e., Alluvium, (sandy

silt). Field classification in parentheses if classified,
refer to chapters 3 and 11 for exceptions.

Classification descriptions. Additional

descriptors (particle sizes, strength, consistency,
compactness, etc., from the USBR 5000 and 5005
standards descriptive criteria).

Moisture. (dry to wet).

Color.

If cores or disturbed samples are not available, describe

as many of the above items as can be determined from
cuttings, drill water color, drilling characteristics,
correlation to surface exposures, etc. Remember that for
rockbitted, no recovery, or poor recovery intervals, a
classification and group name should be assigned as a
primary identification.

Description of Rock.—Description of rock includes a

rock unit name based on general lithologic characteristics
followed by data on structural features and physical
conditions. Bedrock or lithologic units are to be delineated
and identified, not only by general rock types but by any
special geological, mineralogical features with
engineering significance, or those pertinent to
interpretation of the subsurface conditions.

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Any information which is characteristic of all of the rock

units encountered normally is included under the main
heading, producing more concise logs. Differences can be
described in various subheadings. Rock core is to be
described in accordance with descriptors and descriptive
criteria presented in chapters 4 and 5. A suggested
format is:

1. Rock name — A simple descriptive name,

sufficient to provide others with possible engineering
properties of the rock type; may include geological
age and/or stratigraphic unit name.

2. Lithology (composition/grain sizes/texture/

color) — Give a brief mineralogical description.
Describe grain shape and size or sizes and texture
using textural adjectives such as vesicular,
porphyritic, schistose. (Do not use petrographic
terms such as hypidiomorphic, subidioblastic). Other
pertinent descriptions could include porosity,
absorption, physical characteristics that assist in
correlation studies, and other typical and/or unusual
properties. Provide the wet color of fresh and
weathered surfaces.

Contacts should be described here also. If the

contacts are fractured, sheared, open, or have other
significant properties, the contacts should be
identified and described under separate subheadings.

3. Bedding/foliation/flow texture — Provide a

description of thickness of bedding, banding, or
foliation including the dip or inclination of these
features.

4. Weathering/alteration — Use established de-

scriptors which apply to most of the core or use
individual subheadings. For alteration other than

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weathering, use appropriate descriptors. These may

or may not be separate from weathering depending
upon rock type and type of alteration. Also, include
slaking properties if the material air or water slakes.
(Weathering may be used as first or second order
headings for some logs.)

5. Hardness — Use established descriptors.

6. Discontinuities — These include shears, joints,

fractures, and contacts. Discontinuities control or
significantly influence the behavior of rock masses
and must be described in detail. Detailed discussions
of indexes and of descriptive criteria, descriptors, and
terminology for describing fractures and shears are
provided in chapter 5 and 7.

Fractures or joints should be categorized into sets if

possible, based on similar orientations, and each set
should be described. When possible, each set should
be assigned letter and/or number designations and
variations in their physical properties noted by depth
intervals. Significant individual joints also may be
identified and described. Physical measurements
such as spacing and orientation (dip or inclination
from core axis), information such as composition,
thickness, and hardness of fillings or coatings;
character of surfaces (smooth or rough); and, when
possible, fracture openness should be recorded. In
drill core, the average length between fractures is
measured along the centerline of the core for
reporting any of the fracture indexes. However,
when a set can be distinguished (parallel or
subparallel joints), true spacing is measured normal
to the fracture surfaces.

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Description of Shears and Shear Zones.—Shears and

shear zones should be described in detail, including data
such as the percentage of the various components (gouge,
rock fragments, and associated features such as dikes and
veins) and the relationship of these components to each
other. Gouge color, moisture, consistency and
composition, and fragment or breccia sizes, shape, surface
features, lithology, and strengths are recorded. The
depths, dip or inclination, and true thickness, measured
normal to the shear or fault contacts, also must be
determined, if possible, along with healing, strength, and
other associated features. A thorough discussion of
shears and shear zones is contained in chapter 5.

Description of Core Loss.—The significance of core loss

is often more important than recovered core. Lost core
may represent the worst conditions for design concepts, or
it may be insignificant, resulting from improper drilling
techniques or equipment. Core losses, their intervals,
and the interpreted reason for the loss should be recorded
on the log.

Written Description Form.—The written description

for physical conditions consists of main headings,
indented subheadings, and text which describes the
important features of the core. Headings and indented
subheadings divide the core into readily distinguishable
intervals which are pertinent to an engineering geology
study. Assigned unit names should correlate with those
unit names used for surface mapping. These headings
may describe portions of the core or the entire core,
depending on how well the headings encompass overall
characteristics. Items characteristic of the entire core in
one hole may be stated under the major heading;
however, in other holes, this same information may have
to be broken out into various subheadings because it is
not applicable to the entire core. In this discussion,

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several logs are referenced as examples. These logs do

not necessarily reflect the established standards, and
each may be deficient in some format or context; they are
existing logs which are included as examples of different
situations which may be encountered. A discussion of
headings follows:

1. Main headings — The main heading usually

divides surficial deposits from bedrock. However,
other methods are also acceptable, for example, the
summary log in figure 10-5.

2. First order heading — The first order headings

may be based on weathering or lithology. When the
initial rock type exhibits more than one weathering
break or the lithologic properties are most
significant, lithology would be the first order
heading. Weathering may be used as first order
headings where significant. If a weathering break
coincides with a lithologic break, or only one
weathering break is present, they may both be
included in the main heading. Depending on
lithologies present, for example, if there is only one
rock type, the first order headings may be based on
fracturing. Lithology, weathering, or fracturing can
also be the subject of the first order heading. In
certain circumstances, a shear or shear zone or other
feature could be given a first order or any lower order
heading in order to emphasize a feature’s presence or
importance. The arrangement which will result in
the simplest log is usually the best and should be
used. The following examples illustrate the use of
first, second, and third order headings. These
examples are not intended to represent examples of
complete logs.

An example in which weathering is preferred as the

first order heading is:

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0.0-5.0: SLOPE WASH (main heading).—General de-

scription could include the total description of the
unit.

5.0-200.0: PALEOZOIC CALAVERAS GROUP (main

heading).

5.0-100.3: Moderately Weathered (first order

heading based on weathering; descriptions of
weathering applicable to all lithologies could be
presented here).

5.0-10.9: Basalt
10.9-20.1: Limestone
20.1-50.3: Shale
50.3-100.3: Sandstone

100.3-150.0: Slightly Weathered

100.3-120.2: Sandstone
120.2-150.0: Shale

150.0-200.6: Fresh Shale

An example in which lithology is preferred as the

first-order subheading is:

0.0-5.0: SLOPE WASH (main heading).—General de-

scription, could include the total description of the
unit.

5.0-200.6: PALEOZOIC CALAVERAS GROUP (main

heading).—General description applicable to all
lithologies.

5.0-100.3: Sandstone (first order heading based on

lithology)

5.0-10.2: Intensely weathered

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10.2-40.1: Moderately weathered

40.1-80.2: Slightly weathered

80.2-100.3: Fresh

100.3-150.1: Fresh Shale (first order heading which

combines weathering and lithology)

150.1-200.6: Fresh Diabase

3. Second order heading — The second order

heading and the associated description contain the
char-acteristics of the rock that are unique to an
interval that is not described in the main and first
order headings. The second order heading usually is
based on weathering if the first order heading is
based on lithology. If the first order heading is based
on weathering, the second order heading would usu-
ally be based on lithology. Fracture data can be
described here if similar throughout the interval; if
not, divide fracture data into third order headings.

4. Third order heading — The third order heading

is usually based on fracture data, subordinate
features, variations in lithology, etc. This includes
variations of rock quality within a certain lithology
due to shears, joints, bedding or foliation joints, or
other discontinuities. Core recovery lengths are an
indicator of fracturing and should be described under
this heading, as in the interval from 87.2 to 101.2 in
DH-123 figure 10-1. If the fractures are mainly
prominent joint sets or other discontinuities, the
spacing and orientation of individual sets, along with
the overall fracture characteristics, should be noted.

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5. Additional indentations — Additional

indentations usually are used to describe important
addi-tional subordinate features, such as veins or
veinlets, variations in lithology, shears, and zones of
non- or poor recovery.

In summary, any information consistent throughout

a higher order heading, but usually included in a
lower one, should be described in the higher order
heading to prevent repetition.

Data Required for the Comments/Explanation

Block

The comments/explanation block at the bottom of the log

form is used for additional information. This may include
abbreviations used, gauge height for packer tests, and
notes. The hole start and completion date should be in
the heading, as well as the date logged. Revision dates of
the log should be noted to ensure that the most recent
version of the log can be identified. (Date logged and any
subsequent revision dates should be entered in this
block). The computer log file name can be recorded in
this block.

Method of Reporting Orientation of Planar

Discontinuities and Structural Features

True dips can be measured directly in vertical holes. The

dips of planar features in vertical holes are recorded as
"dips 60E”or "60E dip" (see drawing 40-D-6499, figure 5-9).
True dip usually is not known in angle holes; and,
orientation is measured from the core axis and called
inclination, i.e., "Joints are inclined 45E from the core
axis" (figure 5-9). If dips are known from oriented core or
other surveys, dips may be recorded instead of inclination

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in angle holes. Figure 5-9 demonstrates how misinter-

pretations can occur; the inclination of a joint in the core
from a 45E inclined angle hole can be interpreted as a
horizontal joint or as a vertical joint by rotating the core.

Core Recovery and Core Losses

Descriptions of core in the Classification and Physical

Condition column should describe the recovered core, not
only by physical measurements (maximum, minimum,
and mostly range or average), but should identify and
include the interpretation for any core losses, especially
if the losses are thought to represent conditions different
from the core recovered. Designers and other users of the
completed log can incorporate into their design all the
factual data that are seen and recorded. What is not seen
or reported (core losses) is more difficult to incorporate
into the design and may well be the most significant
information. Also, core losses and interpretations of the
reasons for their loss are significant engineering data
that may correlate open joints, soft zones, or shears from
boring to boring or from surface features to the
subsurface explorations.

Core losses can result from three generalized conditions:

inaccurate measurements by the drillers; poor drilling
techniques, equipment, and handling; or geologic
conditions. The geologist, using the depth of hole,
recovered core, observations of the core, and drillers
observations, is the individual to make interpretations of
the core loss. All core should be measured by the logger.
If using a split-tube barrel, the core should be measured
while in the barrel and always after core segments are
fitted together (using the midpoint of core ends). Unac-
countable losses should be reconciled, and the location of
the loss determined.

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Tape checks or rod checks are the most reliable and pre-
ferred methods for knowing the exact location of geologic
conditions (top of each run is known with certainty) and
where losses occur. All core runs should be measured and
recorded; gains and losses can be transferred to adjacent
runs and cancel out each other during the process of
determining where the core loss is located. Inaccurate
drillers’ measurements, or locations where portions of the
previously drilled interval was left in the hole (pulled off,
or fell back in and redrilled), can be determined by
examining and matching the end and beginning of each
core run to see if they fit together or show signs of being
redrilled. Gains may be attributed to pulling out the
bottom of the hole, mismeasurement, recovering core left
in the hole from the previous run, or recovery of
expansive, slaking, or stress relieving materials.

Where unaccountable losses occur, the examination of

core to determine the reason for that loss is critical. Poor
drilling methods (excessive pressure, speed, excessive
water discharge from the drill bit, not stopping when fluid
return plugs), inaccurate measurements, or geologic
conditions responsible for core losses should be
determined. Core may have spun in the barrel after
blocking; an intensely fractured zone may have been
ground up; or a shear zone, open joint(s), solution cavity,
or joint fillings may have been washed away. Geologic
interpretation of the core loss is based on examining
recovered core and the fractures present in the core. Drill
water losses and color or changes in the drilling
conditions noted by the driller may suggest an
interpretation of the core loss. Where losses occur near a
recovered clay "seam," clay coats fracture surfaces,
slickensides and/or breccia and gouge are present, the
core loss may be interpreted as a shear or shear zone.
The description should include all the factual
information—discontinuity surface orientations,
slickensides, coatings, gouge and/or fractures; and the

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interpretation that the loss occurred in a shear.

Depending on the confidence in the interpretation based
on the observed conditions, the description can be given
as "shear," or "shear?," or "probable shear zone." When a
portion of a shear zone has been lost during drilling, the
no recovery zone should be described as part of the shear
and the loss or part of the loss included in the shear's
thickness.

Samples

If the geologist selects representative or special samples

for laboratory testing, an appropriate space should be left
in the core box to ensure that when logs are reviewed or
photographs are taken, core recovery is not misleading.
Either filler blocks or a spacer which indicates the top
and bottom depths of the sample and a sample number
can be used to fill the sample space. For N-size cores, a
length of 2- by 2-inch (50- by 50-mm) block or other
spacers that fill the tray work well. These blocks also
should be used to separate core runs. The lettering on
the blocks should be easily readable at a distance. Spray
painting the blocks white or yellow and lettering them
with black waterproof pens enhances visibility and
legibility. The sample interval, and sample number if
desired, must be recorded in the Samples for Testing
column on the log. Portions of the core may be preserved
as representative samples or to protect samples from
slaking or other deterioration.

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Core Photography

General Photographic Methods

Transmittal of core photographs with the final logs is rec-

ommended. The photos may be included in the data
package or as an appendix to the data report. Cores
should be photographed while fresh. Before and after
photographs of materials that slake or stress-relieve are
recommended. The importance of photographing the core
before it has been disturbed in transit and before its
moisture content has changed cannot be overemphasized.
If proper precautions during transport are followed, and
the core is logged in a timely manner, reasonably good
photographs can be obtained away from the drilling site.
This permits the labeling of core features, if desired.

If possible, cores should be photographed in both color

and black and white at 8- by 10-inch (200- by 250-mm)
size. Black and white photographs do not degrade over
time like color photographs. Core photographs should be
submitted with the final logs in the geology data report;
color photographs are best for data analysis.

Many methods are employed for photographing core.

Each box of core can be photographed separately as the
box is first filled or three or more boxes can be
photographed at a time. There are advantages to both
procedures:

• Greater detail and photographs depicting fresher

conditions are the major advantages of photo-
graphing each box individually.

• When photographing several boxes at a time,

transitional features, changes in weathering or
fracturing, or large shear zones can be seen in one
photograph.

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The best method is a combination of the two. Pictures of

individual boxes at the drill site and later pictures of the
entire hole are the best of two worlds.

Individual Box Photography

Any portion of core that is in danger of altering or disag-

gregating because of slaking or "discing" due to stress
relief, expansion, or shrinkage due to changes in moisture
or confinement because of down time, ends of shifts, or
weekends must be boxed and photographed. Under these
circumstances, the core should be photographed while at
or near the material natural condition (even if a box is
only partially filled).

Each photograph should be taken from approximately the

same distance so that the scale of each photograph is
identical. The box should fill the frame of the camera,
thereby obtaining the highest quality resolution or core
detail, and the camera should be held as close to normal
to the core as possible. A tripod should be used if
possible. Tilting the core box and, if necessary, standing
in a pickup bed or other vantage point may be helpful.
Most core boxes can be tilted about 70 to 80E before any
core is in danger of spilling out, so very little additional
height is required. A simple 2- by 4-foot (0.6- by 1.2-m)
wood frame may be constructed, or the core box may be
leaned against a tool box, pickup tailgate, or other stable
object. A Brunton compass can be used to ensure that the
box and the camera are placed at a consistent, uniform
angle. Shadows should be eliminated as much as
possible.

All core should be photographed both wet and dry. In hot

or dry weather, the unphotographed boxed core should be
covered by moist cloth. When ready to photograph, any
dry zones should be touched up using a wet cloth or

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paintbrush. In extremely hot weather, the boxed core can

be sprayed or sprinkled with water. A water hose, garden
sprayer, or spray bottle works well for this operation.
Wait for the water to be absorbed so that there is no
objectionable sheen or glare-producing film of water on
the core at the instant of film exposure.

A labeled lid, letter board, or another frame which shows

feature, drill hole number, photograph, or core box
number, and depths of the top and bottom of the cored
interval should be included in the photograph. A scale in
feet and/or tenths of a foot or meters is helpful.

Photographing Multiple Boxes

As soon as possible after the core is removed from the

barrel and boxed, the core should be photographed. To
facilitate the photography, construct a frame capable of
supporting three or more boxes at a time for use at the
drill yard or core storage yard. Photograph the core dry
then spray with water to bring back the natural moisture
color. The same precautions about glare referred to
previously should be followed.

A frame which shows the project, feature, hole number,

box __ of __boxes, and from—to, as a minimum, should be
used for the photograph. Other optional but
recommended entries may include date photographed,
and a scale.

Special Circumstances

Special photography such as closeups of shear zones or

other special features may be worthwhile. When these
photographs are taken, a common object or scale should
be included to provide the viewer with relative or actual
dimensions.

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When cores are coated with drill mud, a brush, wet rag,
or pocket knife should be used to wash or scrape off the
mud so that materials are their natural color and features
of the core are not obscured. This step obviously must be
taken prior to logging the material.

Photograph Overlays

Acetate or mylar overlays on photographs of core can help

interpretation of exposed features. Details shown may
include labels for shears, weathering, lithologies, or items
of special interest. Other items that may be shown on
overlays are joint sets, and they may be coded by an alpha
or numeric character or by colored ink.

Equipment Necessary for

Preparing Field Logs

The following equipment or supplies are necessary for

adequately preparing geologic logs:
Core recovery sheets and rough log forms or
computer data sheets.—For recording core recovery
and maintaining accurate depth measurements for
determining core loss intervals.

Drillers' reports.—Daily drill reports (figure 10-6) to

check measurements for core recovery, identifying
changes in condition or contacts in intervals of poor
recovery, determining reasons for core loss, and
evaluating openness of fractures.

Knife.—Core hardness/strength characteristics;

cleaning or scraping drill mud from core to allow
logging and measurement of core recovery.

Hammer.—Core hardness/strength characteristics.

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Figure 10-6.—Daily drill report.
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Tape measure or folding ruler (engineering scale

with hundredths of feet or metric as appropriate).—
Recovery measurements, thickness of units, shears
and fillings, and spacing of fractures.

Protractor.—Measuring orientation of contacts,

bedding and foliation, and fracture orientation.

Hydrochloric acid.—Mineral or cementing agent

identification (3:1 distilled water to acid).

Hand lens.—Mineral or rock identification, minimum

10X.

Marking pen.—Waterproof ink for marking core for

mechanical breaks, depth marks on core, sample
marking.

Paintbrush and/or scrub brush, and water.—For

cleaning core and for identifying wet color and
incipient fractures.

Color identification charts (Munsel Color System or

American Geological Institute Rock Color Chart).

Filler block (spacer) material.—For identifying non-

recovery intervals and location of samples and for
recording drill depths.

Sample preparation materials.—Wax, heater,

container, brush, cheese cloth, etc.

Rock testing equipment.—Schmidt hammer, point

load apparatus, pocket penetrometer or torvane.

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Instruction to Drillers, Daily Drill Reports, and

General Drilling Procedures

Communication between the geologist and driller is

extremely important. Establishment of lines of
communication, both orally and in writing, is key to a
successful exploration program.

The role of the geologist in the drilling program is as an

equal partner with the driller at the drill site.
Establishment of this partnership at the beginning of the
drilling program will result in better data. Failure to
establish a good working relationship with the drill crew
often results in unanswered questions and a poor quality
end product. One way to establish good working rapport
is to keep the drillers informed and to plan with them.

Drill Hole Plan

A suggested method for ensuring that a clear

understanding of what the drilling requirements and
expectations are from the drill hole is the preparation of
a drill hole plan. The plan is prepared prior to starting
the hole and after the geologist has used available
interpretive data and has determined whether special
testing and procedures or deviations in standard practice
are required. This document provides the driller with
information about safety, special site conditions, purpose
of the hole, procedures to be followed, water testing
requirements, materials expected to be recovered, any
special sampling or geophysical testing required, and hole
completion requirements.

Guidelines for Drillers

The following guidelines provide a framework for

preparing written instructions for drill crews or for

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contract drill specifications. Also, the guidelines serve to

help geologists correct poor drilling procedures, collect
additional data, or improve core handling and logging.

Drill Setup.—To ensure that drill holes are completed at

the desired location and along the correct bearing and
plunge, the use of aiming stakes and a suitable device for
measuring angles should be provided by the geologist and
used by the drill crews. Drillers should use aiming stakes
set by the geologist or survey crew for the specified
bearing of the drill hole. The rig must be anchored
properly so that it will not shift. If stakes have been
removed or knocked over, they should be replaced by the
geologist. Also, drillers must ensure the hole is drilled at
the designated angle. The geologist should check the
plunge angle with Brunton compass, and/or the drillers
should use an appropriate measuring device.

Daily Drill Reports Preparation.—The drillers should

prepare duplicate daily drill reports using carbon paper
(additional copies of each report may be required on
contract rigs). All copies must be legible and preferably
printed. One copy should be provided to the geologist for
monitoring progress and for preparation of the geologic
log. The drill report has a space opposite each run for
each item of information required; each of these spaces
need to be filled out completely. Data should be added to
the report or recorded in a notebook after each run.
Drillers should record data as it occurs. See
drawing 40-D-6484 (figure 10-6) as an example for
reporting daily drill activities. Many field offices have
local forms on which these data can be recorded.
Comments regarding specific items to be recorded on the
daily reports are contained in the following paragraphs.

1. Recording depths and core loss — Check for

agreement on depths for intervals drilled by

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consecutive shifts. Depths should be recorded in feet

and tenths of feet or to the nearest centimeter, as
appropriate. Tape checks or rod checks may be
required at change of shift or more frequently when
requested by the geologist. The section entitled
“Core Recovery and Core Losses” contains
instructions for proper use of core measurements,
filler blocks (spacers), and tape checks. The driller is
responsible for knowing the depth of the barrel and
the hole at all times. Discrepancies between
intervals drilled and recovery need to be resolved.
Only standard length drill rods should be used. Core
should be measured while it is still in the inner
barrel and after it is placed in the core box.
Record the most correct measurement of the two in
the report. In the event core is left in the hole, the
next run should be shortened accordingly; the left
amount and proper hole entry and startup
procedures should be followed to facilitate recovery.

2. Recording drilling conditions — Make sure

drilling conditions, such as fast or slow, hard or soft,
rough or smooth, even or erratic, moderately fast or
very slow, bit blocks off, etc., are indicated for each
run. Record time in minutes per foot (meter) of
penetration. Any changes in the drilling rate within
a run also should be noted along with intervals of
caving or raveling. If the bit becomes plugged or
blocking off is suspected, the driller should stop
drilling and pull the core barrel. Also, when drill
circulation is lost, the driller should pull and ex-
amine the core.

3. Drilling fluid return and color — The type,

color, and estimated percent of drilling fluids
returned should be recorded for each core run. The
depth of changes in fluid loss or color is particularly

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important. If drilling mud is used, indicate number

of sacks used per shift. In case of total loss of drilling
fluid, it may be necessary to pressure test the
interval.

4. Description of core — Drillers need to describe

the core in general terms; i.e., moderately hard, very
hard, soft, clay seams, broken, color, etc. If familiar
with the rock types, drillers may report more than
just general terminology.

5. Water-pressure testing — Holes in rock are typi-

cally water tested in 10-foot (3-m) intervals at
pressures of approximately ½ lb/in2 (3.5 kilopascals
[kPa]) to 1 lb/in2 (6.90 kPa) per foot (1/3 m) of cover
up to 100 lb/in2 (690 kPa). NOTE: Pressures may be
modified for each site. Factors such as density of
materials, "overburden pressure" or "cover," bedding,
purpose of testing, distances from free faces, water
levels, and artesian pressures all must be taken into
account so that pressure testing does not
unintentionally hydrofracture the foundation or jack
foundation materials. Pressures should be
determined by the geologist. If a range of pressures
is used, and disproportionately high water losses are
obtained at the higher pressures, the pressures
should be stepped down and water losses at the
lower pressures recorded. Water test pressures
should be stepped up 3 to 5 times and then stepped
down. Flow versus pressure should be plotted; and
if the relationship is not linear or smoothly curved,
hydrofracturing or jacking may be occurring. If the
decreasing pressure curve does not follow the
increasing pressure curve, washing, plugging, or
hydrofracturing or jacking may be occurring without
the foundation materials returning to the prewater
test state. Intentionally increasing the pressure
until the foundation is fractured or jacked is a good

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way to determine appro-priate grout pressures.

Gravity tests, overlapping pressure tests, and
variations in the length of the interval tested may be
used to ensure complete test data. For example, a
packer interval of 8 feet (2.4 m) may be used if the
hole is caving too badly to get 10 feet (3 m) of open
hole. Also, if a packer will not seat at 10 feet (3 m)
above the bottom of the hole and there is good rock at
12 feet (3.66 m), a 12-foot test interval may be used.
If losses are above 15 gal/min (1.146 liters per
second [L/sec]), exceed pump or system capacity, or
water is known to be bypassing the packer, reduce
the length of the packer interval and retest.

Losses should be recorded in gallons and tenths of

gal/min (L/sec). The driller should record the water
meter reading at 1-minute intervals, and the test
should be run for a full 5 minutes at each pressure
increment after the flow has stabilized. The driller
should report the average flow in gal/min (L/sec) for
the 5-minute test. Each driller should keep his own
record of the packer data in case questions arise
concerning the testing. A suggested form for
recording data is shown in figure 10-7.

6. Casing or cementing depths — The depth of the

casing or the cemented interval should be shown for
each core run. Do not cement any more of the hole
than is necessary to repair a caving or raveling
interval. The use of additives such as calcium
chloride or aluminum powder, if permitted, will
reduce the set time. These materials should be
added to the water and not to the cement.

7. Recording unusual conditions — All unusual

conditions or events should be noted in the "Notes"

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Figure 10-7.—Water testing record.
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column of the report. This includes such items as

sudden changes in drilling speed, loss of circulation,
drop of drill string (open joints or cavities), casing
and cementing procedures, caving, squeezing, packer
failures, and gas.

8. Recording setups, drilling, and downtime —

Time must be noted on reverse side of report. Type,
number, and size of bit is indicated here also.

9. Recording water level measurements —

Measurement should be recorded at the start of each
day shift and shown on the day shift report. Holes
should be jetted or bailed prior to completion of the
hole to obtain reliable water level data. Immediately
after jetting or bailing, the depth to water should be
recorded.

10. Care of core and core boxes — Split-tube

(triple tube) core barrels should be used. If not used,
the core should not be damaged when extracted from
the core barrel. Do not beat on the barrel with a
metal hammer; use a rubber mallet/hammer or a
piece of wood. The best way to remove core from a
solid barrel is by using a pump to pressurize the
inside of the barrel and extrude the core (stand
back!). The mud pump will work satisfactorily for
this. Core should be extracted from the inner tube
and carefully placed into core boxes by hand. The
use of cardboard or plastic halfrounds is
recommended (see figure 10-8. Core pieces should
be fitted into the core box and fragments should
be arranged to save space. Long pieces may
be broken for better fit in the core box, but
a line should be drawn across the core to
denote mechanical breaks. If 5-foot (1.5-m) core

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Figure 10-8.—Use of half-round to protect core.

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boxes are used, mechanical breaks to fit 5-foot runs

in boxes are reduced. Figure 10-9 shows a typical
core box for N-size core.

Core should be placed in the core box from left to

right, with the top to the left, bottom to the right,
starting at the top of the box so the core reads like a
book. The ends and top of the box should be marked
with black enamel paint or indelible felt pen. Core
blocks, which mark the depths, are placed between
each run and the depth marked. Data on the outside
of the left end of the box should include the project,
feature, drill hole number, box number, and depth
interval in the box.

Filler blocks (spacers) are necessary to properly

record information and minimize disturbance to the
core during handling. Blocks should be placed with
a planed side marked with either black enamel paint
or indelible felt-tip pen; 2- by 2-inch (50- by 50-mm)
blocks work well for N-size core. All core runs must
be separated with blocks properly labeled at the top
and bottom of the run. Sample intervals should be
marked in the boxes using wooden blocks of lengths
equal to the missing core so that the sample may be
returned to the box. Gaps for core losses should not
be left in the core box. Core left in the hole and
recovered on the next run may be added to the
previous run. Filler blocks inserted where
unaccountable core losses occur should show the
length of loss in tenths of feet, as follows: LC (lost
core) 0.3 foot, or NR (no recovery) 0.3 foot. The core
loss block indicates that a certain length of core was
unaccountably lost within a run, and the block
should be placed at the depth of the core loss. If
the point of core loss cannot be determined, the block
can be placed in the core box at the bottom of

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Figure 10-9.—Standard N-size core
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the run, preceding the bottom of run block. Cavities

may be marked on the block. All spacer, sample,
and core loss blocks should be nailed to the bottom
or sides of the box to prevent movement of the core.

At the drill site, core boxes should be lined up,

preferably on boards or planks, in order from top to
bottom, with labels and up side to left, in a safe area
and kept covered with lids. While in the field, do
not place boxes where sliding or caving of slopes is
likely to occur and keep out of the way of vehicles
and equipment. Core boxes, especially those
containing soft, slaking, or intensely fractured core
material, should be covered immediately to prevent
damage by rain or drying. Tray partitions in boxes
should be nailed so that nails do not protrude from
bottom of boxes.

When the core is moved, be careful to prevent

disturbance, breakage, or spilling. Damage to the
core during transportation can be minimized by
using nailed-down spacers and a 3/4- to 1-inch thick
(19-25-mm) foam-rubber pad placed between the top
of the core and the secured core box lid.

Hole Completion.—Completion of the drill hole should

meet the requirements established by the exploration
program and at the direction of the field geologist. Drill
holes usually will be completed either with sufficient
casing or plastic pipe to assure that the hole will stay
open for later water level observations. In areas where
vandalism may occur or when long-term monitoring is
contemplated, a standpipe and suitable cap with lock
should be installed. Completion information should be
indicated on the driller's report. The drill hole number
should be stamped or welded into the casing. If
groundwater observation riser pipes have been installed,

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install a minimum 3-foot (1-m) length of surface casing

with a locking cap as a standpipe to mark the drill hole
and protect the riser pipe. Grouted in place, this
standpipe can also serve to protect the observation well
from infiltration by surface runoff.

Concrete Core Logging

Concrete structures are commonly cored to assess the

quality of concrete or as part of foundation investigations
on existing features. An early macroscopic assessment
of concrete core is warranted for the following reasons:

• Concrete physical condition may suggest changes

in the drilling program or sampling techniques
that would be difficult to modify after drilling is
complete. A different approach in drilling or
sampling techniques may be necessary to
determine the cause of distress or failure.

• Shipping, handling, and sample preparation may

modify the concrete core by inducing, modifying,
or masking fractures or causing core
disintegration.

• Core could be lost or destroyed before reaching

the laboratory.

• Macroscopic examination may provide the

required information eliminating the need for a
petrographic examination.

This section is based on American Society for Testing

Materials Designations (ASTM) C 823-83 and C 856-83.

Purposes of Examination.—Investigations of in-

service concrete conditions are usually done
to: (a) determine the ability of the concrete to perform

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satisfactorily under anticipated conditions for future

service; (b) identify the processes or materials causing
distress or failure; (c) discover conditions in the concrete
that caused or contributed to satisfactory performance or
failure; (d) establish methods for repair or replacement
without recurrence of the problem; (e) determine
conformance to construction specification requirements;
(f) evaluate the performance of the components in the
concrete; and (g) develop data for fixing financial and
legal responsibility.

In addition to the usual drill log information, the

following should be provided, if available:

• Reason for and objectives of the coring program.

• Location and original orientation of each core.

• Conditions of operation and service exposure.

• Age of the structure.

• Results of field tests, such as velocity and

rebound or Schmidt hammer data.

Figure 10-10 is an example of a drill hole log showing the

types of information that can be shown and a format for
a log showing both rock and concrete core.

Examination.—Concrete core is commonly marked in

the field showing the top and bottom depths at the
appropriate ends and at any of the following features.
Below are listed the major items to examine and record:

Fractures — Cracks or fractures in core are best

seen on smooth surfaces and can be accented by
wetting and partial drying of the surface. Old crack
surfaces are often different colors than fresh
fracture

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Figure 10-10.—Log of concrete and rock core.

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surfaces. Old fracture surfaces often have reaction

products or alteration of the surfaces. Fractures
often follow structural weaknesses.

Reacted particles — Rims on gravel or sand are

often caused by weathering processes unless other
factors indicate chemical reactions with the cement
paste. Crushed aggregate with rims probably is due
to chemical reaction with the cement paste.

Reaction products — Crushed aggregate with rims

usually indicates alteration in the concrete, such as
alkali-silica reaction or alkali-carbonate reaction.
Rims in paste bordering coarse aggregate and light
colored areas in the paste may be gel-soaked or
highly carbonated paste adjoining carbonate
aggregate that has undergone an alkali-carbonate
reaction. White areas of fairly hard, dry material or
soft, wet material that has fractured and penetrated
the concrete and aggregate or fills air voids should
be recorded. Alkali aggregate reaction products can
be differentiated from calcium carbonate deposits by
using hydrocloric acid. The reaction products do not
fizz.

Changes in size or type of fine and coarse

aggregate — Sizes, shapes, and types of aggregate
can vary in a structure due to changes in mixes,
placement procedure, or sources and should be
logged.

Voids — Voids (honeycomb, popcorn) are indicators

of trapped air, inadequate vibration, or insufficient
mortar to effectively fill the spaces among coarse
aggregate particles. Voids should be described and
the volume percent estimated.

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Segregation of components — Concrete compo-

nents can become segregated or concentrated during
placement. Large aggregate sizes can separate from
fine aggregate, and paste can separate from the
aggregate, especially near forms or finished
surfaces.

Cold joints or lift lines — Weak joints or zones

can form in concrete due to long periods between
buckets or mixer loads. Poor vibration or poor or
improper preparation of previous lift surfaces can
form zones of weakness or actual planes similar to
joints in rock. These surfaces, called lift lines,
should be described and any material on the
surfaces described. Lift lines can be very subtle and
difficult to locate. Design or construction data often
provide clues as to where to look for lift lines and
construction joints. The core should be examined
wet. Clues to lift line locations are: (1) aligned
aggregate along the surfaces each side of a line,
(2) coarser aggregate above the lift line than is below
the line, (3) different shape, gradation, or
composition of aggregate above and below the lift
line, (4) a thin line of paste on the lift line, and
(5) no aggregate crosses the lift line.

Steel or other imbedded items — Reinforcing steel

and orientations should be described as well as other
materials encountered such as timber, steel lagging,
dirt, or cooling pipes.

Changes in color of the cement — Changes in

paste color can indicate reaction products or changes
in cement type or cement sources and should be
logged.

Aggregate-paste bond — The bond between the

aggregate and cement should be described. A good
bond is characterized by concrete breaking through

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the aggregate and not around the particles. A fair

bond is characterized by concrete breaking through
and around the aggregate. A poor bond has concrete
breaking around the aggregate.

Aggregate rock type — The aggregate rock type

can be important in determining the causes of
concrete problems. For example, limestone often
has chert inclusions suggesting an aggregate
reaction, whereas an igneous rock such as granite
probably will not react with cement. Both the coarse
and fine aggregate should be examined.

Aggregate shape — Aggregate shape is usually

unique to each source. Rounded or subrounded
aggregate is probably natural. Angular (sharp)
aggregate is probably crushed.

Mechanical breaks — Mechanical breaks in the

core and whether the break is around or through the
aggregate should be noted.

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 Chapter 11

INSTRUCTIONS FOR
LOGGING SOILS

General

All subsurface investigations of soils for construction

materials and for most engineering purposes using test
pits, trenches, auger holes, drill holes, or other
exploratory methods should be logged and described
using the standards in USBR 5000 [1] and 5005 [1]
(Unified Soil Classification System [USCS]) in accordance
with the established descriptive criteria and descriptors
presented in chapter 3 and the guidelines presented in
this section.

All investigations associated with land classification for

irrigation suitability, as well as data collection and
analyses of soil and materials related to drainage inves-
tigations, should be logged and described using the
U.S. Department of Agriculture terminology outlined in
appendix I to Agriculture Handbook No. 436 (Soil
Taxonomy), dated December 1975 [2].

Test pits and auger holes may be logged on a form

(figure 11-1), or logs may be computer generated. For
metric design studies and specifications, information is to
be in metric units. For specifications using English units,
the written soil description should use metric units for
the description of soil particle sizes (millimeters instead
of inches). Example word descriptions are shown in
figures 11-2 through 11-11.

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Figure 11-1.—Log of test pit or auger hole.

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Figure 11-2.—Clean coarse-grained soils.

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Figure 11-3.—Fine-grained soils.

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Figure 11-4.—Soil classifications based on

laboratory test data.

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Figure 11-5.—Auger hole with samples taken.

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Figure 11-6.—Reporting laboratory classification in

addition to visual classification.

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Figure 11-7.—Undisturbed soils.

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Figure 11-8.—Coarse-grained soils with fines.

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Figure 11-9.—Coarse-grained soils with dual symbols.

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Figure 11-10.—Reporting in-place density tests and

percent compaction.

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Figure 11-11.—Soil with measured percentages of

cobbles and boulders.

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Formats for Test Pits and Auger Hole Logs

General Instructions

The following subsection provides general instructions for

log format and descriptions. Refer to chapter 3 for
descriptive criteria, classification, and group names and
symbols.
• Capitalize the group name. If cobbles and boulders are
present, include them in the typical name.

• Describe plasticity of fines as:

“approximately 30 percent (%) fines with high
plasticity”
“approximately 60% fines with low to medium
plasticity”
“approximately 10% nonplastic fines”

• Give results of hand tests when performed.

• Use “reaction with hydrochloric acid (HCl).”

• Do not give unnecessary information such as “no odor,”

“no gravel,” and “no fines.”

However, the negative result of a hand test is positive in-

formation and should be reported as “no dilatancy,”
“nonplastic,” “no dry strength,” or “no reaction with HCl.”

For reporting maximum particle size, use the following:

Fine sand
Medium sand
Coarse sand
5-millimeter (mm) increments from 5 mm to 75 mm
25-mm increments from 75 mm to 300 mm
100-mm increments over 300 mm

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For example, “maximum particle size 35 mm” or
“maximum particle size 400 mm” are the correct format
and size increment.

Table 11-1 is a checklist for log descriptors. Format for

descriptions, results, and other information are in the
following subsections.

Table 11-1.—Checklist for the description of soils

in test pit and auger hole logs

1. Group symbol. - Capitalized and shown in the left-

hand column.
2. Depth. - Depths of interval classified, shown in either
meters or feet and tenths of units in second column from
the left.
3. Identification of sample. - Type and size of sample and
origin of sample, shown in third column from the left.
4. Classification and description column. -
a. First paragraph. -
(1) Depth of interval classified
(2) Group name capitalized
(3) Percent of fines sand and gravel by weight
(include trace amounts but not added to
percentage which must equal 100 percent)
(4) Description of particles
(a) Particle size range: describe as either
gravel - fine or coarse, or sand—fine,
medium, or coarse
(b) Hardness of particles (coarse sand and
larger)
(c) Particle angularity (angular,
subangular, sub-rounded, or rounded)
(d) Particle shape (flat, elongated, or flat
and elongated)
(e) Maximum particle size or dimension

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(5) Description of fines
(a) Plasticity (nonplastic, low, medium, or
high)
(b) Dilatancy (none, slow, or rapid)
(c) Dry strength (none, low, medium, high,
or very high)
(d) Toughness (low, medium, or high)
(6) Moisture condition (dry, moist, or wet)
(7) Color (moist color)
(8) Odor (mention only if organic or unusual)
(9) Reaction with HCl (none, weak, or strong)
b. TOTAL SAMPLE (BY VOLUME): second para-
graph, if applicable - i.e., more than 50 per-
cent plus 75-mm material
(1) Percent of cobbles and percent of boulders
(2) Same information as item 4.a (4)
c. IN-PLACE CONDITION: third paragraph
(second paragraph if less than 50 percent
oversize)
(1) Consistency; fine-grained soils only (very
soft, soft, firm, hard, or very hard)
(2) Structure (stratified, lensed, slickensided,
blocky, fissured, homogeneous)
(3) Cementation (weak, moderate, strong)
(4) Moisture (if an in-place condition
paragraph is included, moisture is not
described in the first paragraph)
(5) Color (if an in-place condition paragraph is
included, color is not described in the first
paragraph)
(6) Result of in-place density and/or moisture
tests
d. GEOLOGIC INTERPRETATION: (fourth para-
graph) geologic description including genetic
name, stratigraphic name if known, and any
local name.

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5. Remarks block. - Provide additional description or
remarks such as root holes, other debris found, caving,
degree of difficulty to auger or excavate, reason for
refusal or reached predetermined depth, and water
level information or hole completion.

Figure 11-12 is a field form for logging soils.

Reporting by Method of Classification

Preparation of Logs Based on Visual Classifica-

tion.—List fines, sand, and gravel in descending order of
percent (must add up to 100 percent). For visual classi-
fication, estimate percentages to the closest 5 percent.
Precede the estimated percentages with “approx.,” not
“about.” If a component is present but is less than
5 percent of the total, use “trace.” “Trace” is not included
in the 100 percent.

Preparation of Logs Based on Laboratory Classifi-

cation.—When logs are prepared using laboratory
classifications (based on laboratory tests), the information
must be presented on the log as shown in figure 11-4.
The difference between a laboratory and a visual
classification is depicted in figure 11-6.

The visual classification should not be changed, nor

should the estimated percentages, plasticity description,
or the results of the hand tests (dry strength, dilatancy,
and toughness) be changed to reflect laboratory tests
results. The visual classification is based on the total
material observed; whereas, the laboratory classification
is based on a representative sample of the material.

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FIELD FORM—SOIL LOGGING HOLE NO. ____

DATE _______ PROJECT ___________________ FEATURE ___________________

AREA _________________ DRILLER _________ LOGGED BY __________________

SAMPLE INTERVAL AND TYPE:

Type Moisture
Sample Sample
Interval _________ Sample Weight (Lbs) ______ Interval___________________

Typical Name __________________________________________________________

Group Symbol _________________________________________________________

SIZE DISTRIBUTION, CHARACTERISTICS:

(5-mm increments from 5 to 75 mm, 255-mm increments from 75 to 300 mm, 100mm
increments over 300 mm)

Boulders (>300 mm) __% (vol.) Max. size (mm) __ Hardness __ Angularity _____

Cobbles (75-300 mm) __% (vol.) Max. size (mm) ___ Hardness ___ Angularity ____

Gravel __% Coarse (20-75 mm) __ Fine (5-20 mm) ___ Hardness ___ Angularity __

Sand ___% Coarse ___ Medium ___ Fine ___ Hardness ___ Angularity _____

Fines _____%
Plasticity: Nonplastic _____ Low _____ Medium _____ High _____
Dilatancy: No _____ Slow _____ Rapid _____
Dry Strength: No ____ Low ____ Medium ____ High ____ Very High ____
Toughness: Low _____ Medium _____ High _____

Maximum Size: Fine Sand ____ Medium Sand ____ Coarse Sand ____ ____mm

Moisture: Dry _____ Moist _____ Wet _____

Color _______________ Odor __________ Organic Debris and Type ___________

Reaction with HCl: None _____ Weak _____ Strong _____

EXCAVATING/AUGERING/DRILLING CONDITIONS:

Hardness: Very Soft _____ Soft _____ Hard _____ Very Hard _____

Penetration Action: Smooth ___ Mod. Smooth ___ Mod. Rough ___ Rough ____

Penetration Rate: Very Fast ____ Fast _____ Slow _____ Very Slow _____

PAGE ___ OF ___

Figure 11-12.—Field form - soil logging.

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The specimens for testing are to be samples that repre-
sent the entire interval being described (see USBR 7000
and 7010 [1]). The material collected must be split or
quartered to obtain the specimen that is to be tested in
the laboratory.

Coefficients of uniformity and curvature (Cu and Cc) are

to be calculated and reported on the logs for coarse-
grained materials containing 12 percent or less fines.

Laboratory gradation percentages and Atterberg limits

are to be reported to the nearest whole number.

Procedures for Reporting Laboratory Data in Addi-

tion to Visual Classification and Description.—In
some instances, gradation analyses and Atterberg limit
tests are performed on soil samples in conjunction with
preparation of logs of test pits or auger holes. These data
should be shown on the logs and clearly identified as
laboratory test data.

Specimens for testing are to be from samples that

represent the entire interval being described. If this is
not possible, the location of the sample should be given as
part of the word description. The sample taken should be
split or quartered to get the specimen size required for
testing (figure 11-5, interval 0.0 to 9.8 feet (ft).

Laboratory test data are to be presented in a separate

paragraph. If the test results indicate a different classi-
fication, and therefore different group symbol and/or
group name than the visual classification, give the
laboratory classification symbol and name in this
paragraph (figure 11-6).

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Note: For logs which incorporate the test
results, the statement “Classification by
laboratory” should be placed in the “Remarks”
portion of the log.

Coefficients of uniformity and curvature (Cu and Cc) are

to be calculated and reported on the logs for coarse-
grained materials containing 12 percent or less fines.

All laboratory gradation percentages and Atterberg limits

are to be reported to the nearest whole number.

Reporting Undisturbed (In-Place) Conditions

List in-place conditions on logs of test pits in a separate

paragraph (figure 11-7). Do not give in-place soil condi-
tions (consistency, compactness) on auger hole logs
(unless the holes are large enough to inspect). Instead,
describe difficulty of augering (figure 11-8). Also describe
caving or any other unusual occurrences during drilling
of the auger hole.

In-place density tests are often performed in test pits or

trenches. When a large quantity of logs are reviewed,
density information on the log can save time, even though
additional time is required for preparation of the log.

Results of in-place density tests that are performed in

test pits or trenches are to be included on the log in the
descriptive paragraph on in-place conditions, as
illustrated in figure 11-10.

Results of any laboratory compaction tests (Proctor, mini-

mum and maximum density) performed on the material
from the in-place density tests or from the pit or trench
are to be included on the log.

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For pipeline investigations, the percent of the maximum
dry density or the percent relative density should be in
parentheses on the logs (figure 11-10).

Densities are reported to the nearest 0.1 pound per cubic

foot (lb/ft3) or 1 kilogram per cubic meter (kg/m3).
Moisture content is reported to the nearest 0.1 percent.
Percent of laboratory maximum dry density or relative
density is reported to the nearest whole number.

Geologic Interpretations

Geologic interpretations should be made by or under the

supervision of a geologist. Give geologic interpretation in
a separate paragraph (figure 11-7). Interpretation should
also be included in the narrative section of the materials
portion of the design data submittals.

Description Formats on Test Pit and Auger Hole

Logs for Soils with Cobbles and Boulders

If the soil has less than 50 percent cobbles and boulders

(by volume), give the group name of the minus 75-mm
portion and include cobbles and/or boulders in the group
name (figure 11-11). Use two paragraphs to describe soil.
Refer to chapter 3 for a more complete discussion of
classification and classification group names and symbols.

• Describe the minus 75-mm fraction in the first para-

graph. These component percentages are estimated by
weight.

• Describe the total sample in a second paragraph. These

percentages are estimated by volume. Even if the
percentage of cobbles and boulders is determined by
measurement, use “approx.” in the word description.

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If the soil has more than 50 percent cobbles and boulders
(by volume), list cobbles and boulders first in the name
(figure 11-13). Do not give a group symbol or group name.

• Describe the total sample in the first paragraph.

Percentages are estimated by volume.

• Describe the minus 75-mm fraction in a second

paragraph. Percentages are estimated by weight.

Angular particles larger than 75 mm are described as cob-

bles and boulders, not as rock fragments. A description
of their shape should be provided in the word description.

Description of Materials Other than Natural Soils

Materials which are not natural soils are not described or

classified in the same manner as natural soils. The
section titled “Use of Soil Classification as Secondary
Identification Methods for Materials other than Natural
Soils”, chapter 3, outlines the criteria to be followed and
provides example descriptions for test pit and auger hole
logs. Refer to appropriate sections in chapter 3 for
example format and descriptions. Figures 11-14 through
11-17 show a variety of logs of test pits and auger holes
reflecting miscellaneous conditions.

Format of Word Descriptions for

Drill Hole Logs

The descriptions of surficial deposits and soil-like

materials in geologic logs of exploration holes should use
similar descriptive criteria and format established for test
pits and auger holes except as noted in the following
paragraphs.

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Figure 11-13.—Soil with more than 50 percent

cobbles and boulders.

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Figure 11-14.—Borderline soils.

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Figure 11-15.—Test pit with samples taken.

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Figure 11-16.—Disturbed samples.

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Figure 11-17.—Two descriptions from the same horizon.

(Top) Undisturbed soil containing estimated percent
of boulders. (Bottom) Disturbed soil containing
trace of cobbles.

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Exceptions to Test Pit and Auger Hole
Format and Descriptions for Drill Hole Logs

Unlike test pit logs where geologic interpretations may be

provided at the bottom of the log form, geologic inter-
pretations are required on drill hole logs. The geologic
classification (e.g., Quaternary Alluvium, Quaternary
Glacial Outwash, Quaternary Landslide, Tertiary Basin
Fill Deposits) should be provided as main headings on the
geological drill hole log.

Group names are capitalized in all test pit and auger hole
logs. Where capitalization of the group name would
conflict with main headings on drill hole logs, capitalize
only the first letter of each word of the group name and
the group symbol. If the first letter of each word is not
capitalized, the group name is considered informal usage
only and not a classification.

Classification and word description format for drill hole

logs is similar to those used for test pit logs. Also,
materials recovered from drill holes are generally
considered to represent in-place conditions. These
criteria do not apply when samples are not recovered or
when poor recovery precludes classification (figure 11-18).

Samples Recovered from Wash Borings or as

Cuttings

When drill holes are advanced with a rock bit, water jet,
or other nonsampling methods, a group symbol and name
or classification of the recovered materials should not be
assigned, nor should in-place descriptions, such as
consistency, be used. However, descriptive criteria, such
as particle size, dry strength, and reaction with HCl,
should be provided using the same terminology and
format used for auger holes.

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Figure 11-18.—Drill hole advanced by tri-cone rock bit.
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Descriptions should be preceded by “Recovered cuttings
as . . .” or “Recovered wash samples as. . .” (figure 11-18,
interval 0.0-11.7 ft.

Poor or Partial Recovery

Where poor or partial recovery precludes accurate classi-

fication, a primary classification should not be assigned,
but as much descriptive information as possible should be
provided. Recovered materials, together with drilling
conditions, cuttings, and drilling fluid color or losses, may
be used to interpret reasons for losses and types of
materials lost. However, an appropriate subheading (i.e.,
“Poor Recovery”) should be used (figure 11-19, 2.1 to
3.9 ft.

Materials Other Than Soils and Special Cases

As discussed in chapter 3, “Use of Soil Classification as

Secondary Identification Methods for Materials Other
Than Natural Soils,” exceptions to the test pit and hole
classification and format are also applicable to hole logs.
These special cases include processed or manmade
materials, shells, partially lithified or poorly cemented
materials and decomposed bedrock, and shallow surficial
deposits or soils. Other special categories of soil-like
materials should be classified by USBR 5000 or
USBR 5005[1]. These are soil-like slide-failure zones or
planes; shear or fault zones; bedrock units which are
recovered as soil-like material or consist of soil-like
material; and landslides and talus (figures 11-20, 11-21,
and 11-22).

Format and classification for these exceptions are

described below.

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Figure 11-19.—Log showing poor recovery.
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Figure 11-20.—Log of landslide material (a).

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Figure 11-21.—Log of landslide material (b).
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Figure 11-22.—Log of bedrock.
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Processed or Manmade Materials.—Surficial deposits
such as tailings, crushed rock, shells, or slag are assigned
a genetic name such as filter, bedding, drain material,
shells, tailings, or road base, and a classification group
name and symbol are assigned in quotation marks, for
example: Filter material, “poorly graded sand (SP-SM).”
Soil descriptors are then used to describe the materials.

Where drill holes penetrate embankment materials, main

headings on the drill hole logs should be a classification
of the type of embankment, such as “Zone 3
Miscellaneous Embankment.” The materials recovered in
each interval are classified, and group names and
symbols are provided as subheadings. See 1.0- to 3.9-ft
and 3.9- to 15.4-ft intervals shown in figure 11-19.

Partially Lithified or Poorly Cemented Materials

and Decomposed Rock.—Descriptions of partially
lithified or poorly cemented materials such as siltstone,
claystone, sandstone, and shale or decomposed rock which
are broken down during drilling or field classification
testing should be classified by an appropriate rock unit
name or by geologic formation name, if known, of the in-
place materials. The materials are then described using
descriptors for rock (chapter 4). A soil classification for
the broken down materials should be reported in
quotation marks on the drill logs and all figures, tables,
drawings, or narrative descriptions. The disaggregating
mechanism (e.g., drilling or testing) should be specified
(figure 11-22, interval 17.3 to 67.9 ft).

Shallow Surficial Deposits.—Surficial deposits such as

drill pad or dozer trench fill for drill setups, shallow slope
wash, or topsoil materials which will not be used in, or
influence, design or construction may be classified by
genetic classification (e.g., “fill,” “slopewash,” or “topsoil”).
Complete classification descriptions are not required on
drill hole logs; however, a classification name and/or

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symbol may be assigned and is often desirable. Although
a complete description is not required on each log, an
adequate description of these materials should be
provided in a general legend or explanation drawing and
in the narrative of the report, if not completely described
in drill hole logs.

Slide Failure Zones or Planes, Shear or Fault

Zones, and Interbeds Recovered as Soil-like
Materials.—These features should be described using
geologic names as well as behavior and soil
classifications.

Landslides and Talus.—Surficial deposits such as

landslides and talus should be assigned their genetic
geologic name in the main headings of the drill hole log.
Landslide debris composed primarily of soils is classified
as landslides in the main heading. Soil-like materials
should be classified and group names and symbols
provided in the headings. The materials are then
described using the descriptive criteria for drill hole logs.
Where materials are predominantly rock fragments such
as talus and block slides, the materials should be logged
similar to the method used in figure 11-22.

Equipment Necessary for

Preparing the Field Log

The following is a list of equipment for field testing and

describing materials.

Required equipment:
• Small supply of water (squirt bottle)—for
performing field tests
• Pocket knife or small spatula
• Materials for taking or preserving samples—sacks,
jars, labels, cloth, wax, heater, etc.

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• Hammer—for hardness descriptors
• Tape measure and/or rule (engineer's scale and
metric scale)
• Petrie dish for washing specimens
• Small bottle of dilute hydrochloric acid [one part
HCl (10 N) to three parts distilled water. When
preparing the dilute HCl solution, slowly add
acid into the water following necessary safety
precautions. Handle with caution and store
safely. If solution comes in contact with skin,
rinse thoroughly with water.]
• Rags for cleaning hands
• Log forms

Optional apparatus:

• Small test tube and stopper or jar with lid

• Plastic bags for “calibration samples”
• Hand lens
• Color identification charts
• Paint brush and/or scrub brush and water for
cleaning samples
• Marking pens
• Protractor
• Drillers' reports for drill holes
• Comparison samples (in jars): fine gravel—3/4
inch
to No. 4 sieve; medium sand—No. 4 to No. 10
sieve; and coarse sand—No. 10 to No. 40 sieve
• Small No. 4 and 200 sieves

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Example Descriptions and Format

The examples which follow illustrate the preferred

format, description, and organization, and some of the
more significant exceptions to typical standards.

Laboratory Classifications in Addition to

Visual Classifications

In some instances, laboratory classifications may be

determined in addition to the field visual classification.
This may be done to confirm the visual classification,
particularly when starting work in a new location or
because the classification may be critical.

The laboratory data used must be reported in a separate

paragraph at the end of the work description, as shown in
the examples in figure 11-23. If the laboratory clas-
sification is different from the visual classification, as in
the upper example, give the group symbol in the left-
hand column and the group name in the paragraph on the
laboratory data.

DO NOT CHANGE THE VISUAL CLASSIFICATION OR

DESCRIPTION. The visual classification is based on a
widely observed area in the excavation, whereas the labo-
ratory classification is based on a sample of the material.

If the visual classification was the best judgment of an

experienced classifier, both are correct in what they
represent.

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Figure 11-23.—Geologic interpretation in test pit

(sheet 1).

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Word Descriptions for Various Soil
Classifications

Figures 11-6 to 11-17 illustrate some typical word

descriptions based on the soil classifications.

Logs are generally typed and single spaced. The

examples in this manual are presented double spaced for
legibility.

Samples Taken

In addition to the brief description of the samples taken

under the “classification group symbol” column, a more
complete description of any samples taken from each
depth interval is included in the word descriptions. The
description should include the size of the sample, the
location represented by the sample, and how the sample
was obtained (e.g., quartering and splitting).

Examples of how to report the sample information for a

pit or trench are shown in figures 11-24 through 11-33.

Some examples use the abbreviated method of indicating

the group name with the group symbol. This abbreviated
method is described in appendix X5 in USBR 5000,
“Determining Unified Soil Classification (Laboratory
Method)” [1] and chapter 3.

Reporting Laboratory Data

Classifications Based on Laboratory Data

If the soil classification reported on the logs is based on

laboratory data and not a visual classification, this should
be clearly and distinctly reflected on the log.

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Figure 11-24.—Geologic interpretation in test pit

(sheet 2).

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Figure 11-25.—Geologic interpretation in test pit
using a geologic profile (1).
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Figure 11-26.—Geologic interpretation in test pit

(sheet 3).

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Figure 11-27.—Geologic interpretation in test pit

(sheet 4).

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Figure 11-28.—Geologic interpretation in test pit
using a geologic profile (2).
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Figure 11-29.—Geologic interpretation in test pit

(sheet 5).

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Figure 11-30.—Geologic interpretation in test pit

(sheet 6).

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Figure 11-31.—Geologic interpretation in test pit

(sheet 7).

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Figure 11-32.—Geologic interpretation in test pit

(sheet 8).

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Figure 11-33.—Geologic interpretation in test pit using

a geologic profile (3).

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The laboratory data should be reported on the log form as
shown in the examples in figure 11-4.

The location of the sample and any laboratory tests

performed need to be clearly described.

The coefficients of uniformity and curvature (Cu, Cc) are

to be calculated and reported for coarse-grained soils
containing 12 percent fines or less.

Gradation percentages and Atterberg limits are to be re-

ported to the nearest whole number.

The fact that the classification is a laboratory classi-

fication needs to be indicated in the “classification group
symbol” column.

The words “about” or “approximately” are not used in the

word description.

Soils with More Than 50 Percent Cobbles and

Boulders

If the soil contains more than 50 percent (by volume)

cobbles and/or boulders:

1. The first paragraph describes the total sample

and includes the information on the cobbles and
boulders. The information in the paragraph is the
same as described previously for cobbles and
boulders.
2. The words “COBBLES” or “COBBLES AND
BOULDERS” are listed first in the classification
group name:

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COBBLES WITH POORLY GRADED GRAVEL
COBBLES AND BOULDERS WITH SILTY
GRAVEL
3. A classification symbol is not given. Where a
report or form requires a classification symbol, use
the words “cobbles” or “cobbles and boulders”
instead.
An example of a word description for a soil with more
than 50 percent cobbles and boulders is shown in
figure 11-13.

Special Cases for USCS Classification

Some materials that require a classification and

description according to USCS should not have a heading
that is a classification group name. When these
materials will be used in, or have influence on, design and
construction, they should be described according to the
criteria for logs of tests pits and auger holes, and the
classification symbol and group name should be in
quotation marks. The heading should be as follows:

TOPSOIL
DRILL PAD
GRAVEL ROAD SURFACING
MINE TAILINGS
UNCOMPACTED FILL
FILL

For example:

Classification symbol Description

TOPSOIL 0.0 to 1.6-ft TOPSOIL—would

be classified as “ORGANIC
SOIL (OL/OH).” About 90%

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fines with low plasticity, slow
dilatancy, low dry strength,
and low toughness; about 10%
fine to medium sand; soft, wet,
dark brown, organic odor; roots
present throughout strata;
weak reaction with HCl.

Reporting In-Place Density Tests

In-place density tests are sometimes performed in test

pits in borrow areas so that in-place densities can be
compared with the expected compacted densities for the
embankment. The required volume of material needed
from the borrow area can also be calculated. The in-place
density is also used to evaluate the expansion or collapse
potential for certain soils.

The density should be reported in the paragraph on

in-place condition. Examples of the format are shown in
figure 11-10. The upper example is used when only the
density is determined. The lower example is used when
a laboratory compaction test is also performed to
calculate the percent compaction (or D value if rapid
method is used) (USBR 7240, [1]). For cohesionless soils,
similar information is reported for the maximum index
density, the minimum index density, and the percent
relative density.

If the in-place density test hole spans two (or more) depth
intervals of classification, the data and comments for the
test should be placed in the interval description corre-
sponding to the top of the test hole. At the end of the in-
formation reported, the comment (in all capital letters)
must be added: “NOTE: TEST EXTENDED INTO
UNDERLYING INTERVAL.” An in-place density test
should not span different materials or layers.

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Because the laboratory compaction test is generally
performed on the material removed from the test hole,
note that the data are for a mixture of intervals by
adding, “NOTE: COMPACTION TEST PERFORMED
ON MATERIAL MIXED FROM TWO DIFFERENT
INTERVALS.”

The density units are lb/ft3 or kilonewtons per cubic meter

(kN/m3).

Samples Taken

In addition to the brief description of the samples taken

under the “Classification Group Symbol” column, a more
complete description of any samples taken from each
depth interval is included in the word description. The
description should include the size of the sample, the
location represented by the sample, and for each sample,
how the sample was obtained (e.g., quartering and
splitting).

An example of how to report the sample information for

an auger hole is shown in figure 11-17. An example of
how to report the sample information for a test pit or
trench is shown in the section on word descriptions of
undisturbed samples.

The approximate weight of samples should be stated.

Measured Percentages of Cobbles and Boulders

If the percentages of the plus 3-inch particles are mea-

sured, not estimated, the percentages are reported to

the nearest 1 percent. In the word description for the

plus 3-inch particles, do not use the term “about” before
the percentages.

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The procedure for measuring the percent by volume of
cobbles and boulders is given in the test procedure,
USBR 7000, “Performing Disturbed Soil Sampling in Test
Pits”[1]. This method is rarely used; percentages are
usually estimated. It is not recommended that the
percentages be measured for auger holes, since the mass
of material recovered is generally insufficient to obtain a
reliable gradation of plus 3-inch particles.

Figures 11-23 through 11-33 show a variety of logs of test

pits using both the USCS and the geologic interpretation
of the parent material. Note that USCS indicates that
bedrock has been altered or weathered to a soil-like
material. For engineering considerations, use the USCS
but present the rock conditions as well.

BIBLIOGRAPHY

[1] Bureau of Reclamation, U.S. Department of the

Interior Earth Manual, Part 2, third edition, 1990.

[2] U.S. Department of Agriculture, Agriculture

Handbook No. 436, Appendix I (Soil Taxonomy),
December 1975.

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HAZARDOUS WASTE SITE

INVESTIGATIONS

General

Hazardous waste site investigations are geologic by

nature. Site geology affects how the contaminants enter
and migrate through the environment, controls the
severity of the contamination problem, and determines if
and how the contamination is remediated. An accurate
characterization of site geology is critical for the
successful removal and/or remediation of hazardous
waste.

Investigations at hazardous waste sites use the same

basic tenets of geology commonly applied in other areas
of engineering geologic exploration. Even though these
engineering geologic investigation techniques are
universal, certain specialized criteria and regulations are
required at hazardous waste sites which differ from
traditional geologic work. This chapter assumes that
accepted geologic procedures and equipment are used at
hazardous waste sites and only discusses the variations
in the planning, implementation, and documentation of
geologic field work required at such sites. Documentation
at hazardous waste sites plays a very prominent role and
involves much more effort than other geologic
investigations.

This chapter provides a general overview of documents,

terminology, processes, requirements, and site specific
factors for an investigation. This information can be used
to better prepare or conduct a field program. Much
information provided here is extracted from numerous
Environmental Protection Agency (EPA) guidance
documents. Hazardous waste investigations involve a

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myriad of documents and processes, mostly referred to by

acronyms. See the appendix for an explanation of the
more common acronyms.

In hazardous waste investigations, understanding the

contaminant’s physical and chemical properties is very
important. These properties are useful for predicting
pathways that allow contaminant migration through
complex subsurface conditions. The understanding of
subsurface conditions permits a program designed to
better investigate and sample potentially contaminated
soil, rock, and water.

Common Terminology and Processes

The "typical" hazardous waste site remediation process

involves several investigation phases. Each phase
usually has a different emphasis and a different level of
detail.

In general, there are two sets of regulations involved in

hazardous waste site remediation: Resource Conserva-
tion Recovery Act (RCRA) and Comprehensive Environ-
mental Response, Compensation, and Liability Act
(CERCLA). RCRA regulations are largely confined to
operators and generators of existing facilities, whereas
CERCLA regulations are confined to the investigation of
abandoned sites (Superfund). Although most Bureau of
Reclamation (Reclamation) activities involve CERCLA
investigations, wastes generated during the investigation
may fall under RCRA regulations.

According to EPA guidelines (Guidance for Performing

Preliminary Assessments Under CERCLA, EPA/540/G-
91/013), EPA uses a structured program to determine
appropriate response for Superfund sites. The CERCLA/

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Superfund Amendments and Reauthorization Act of 1986

(SARA) process ideally evolves through the following
phases: (1) discovery, (2) preliminary assessment, (3) site
inspection, (4) hazard ranking, (5) remedial investigation,
(6) feasibility study, (7) record of decision, (8) remedial
design, (9) remedial action, and (10) operation and
maintenance. Removal actions may occur at any stage.

Documentation

Proper documentation at jobs involving hazardous waste

is more important than at more "traditional" geologic
investigation sites. The alleged low concentration values
for risks to human health and the associated costs for
contaminant testing are primary reasons for good
documentation. Soil contaminants are typically reported
in parts per million (ppm) (milligram per kilogram
[mg/Kg]) and water contaminants are typically reported
in parts per billion (ppb) (microgram per liter [µg/L]).
Since relatively low concentration levels may influence a
decision for an expensive cleanup, the prevention of cross
contamination and proper testing procedures is a
necessity. Also, proper documentation is necessary for
legally defensible data.

EPA has established documentation requirements for

investigations. This chapter discusses the various
documents needed by EPA under the Superfund program
with an emphasis on the Sampling and Analysis Plan
(SAP). Other documents such as the Health and Safety
Plan (HASP), Spill Prevention Plan, and Community
Relation Plan are often pertinent to the field operation.

The SAP will assist in preparing the required documents

necessary before actual site work begins. Specific
requirements for individual programs vary greatly, and

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common sense and regulatory concurrence dictate the

level of detail needed. The EPA report Guidance for
Conducting Remedial Investigations and Feasibility
Studies Under CERCLA, Interim Final, October 1988
(EPA/540/G-89/004) provides additional details regarding
EPA-required documentation.

Work Plan (WP)

The WP includes a review of the existing data

(background and study rationale), documents the
decisions to be made during the evaluation process, and
presents anticipated future tasks. The WP also
designates responsibilities and sets the project schedule
and cost. The primary use of the WP is to provide an
agreed procedure to accomplish the work. The WP also
provides other interested agencies (such as local
government agencies) the opportunity to review proposed
work. The WP is placed in the Administrative Record.

The WP may include an analysis and summary of the site

background and physical setting, an analysis and
summary of previous studies and response actions, a
presentation of the conceptual site model (including the
nature and extent of contamination), a preliminary
assessment of human health and environmental impacts,
additional data needs to conduct a baseline risk
assessment, the preliminary identification of general
response actions and alternatives, and the data needs for
the evaluation of alternatives.

Sampling and Analysis Plan (SAP)

The SAP provides the "nuts and bolts" of the procedures

to be used at a site and must be site specific. The SAP
should consist of three parts:

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(1) A Field Sampling Plan (FSP) that provides

guidance for all field work by defining in detail the
sampling and data-gathering methods to be used on a
project.

(2) An Analysis Plan (AP) that describes analysis of

the collected data, such as the contaminant chemical
data, the groundwater quality, and the geologic
setting.

(3) A Quality Assurance Project Plan (QAPP) that

describes the quality assurance and quality control
protocols necessary to achieve Data Qaulity Objectives
(DQOs). Data Quality Objectives are qualitative and
quantitative statements that clarify the study
objective, define the type of data to collect, determine
the appropriate collection conditions, and specify
tolerable decision error limits on the quality and
quantity of data needed to support a decision.

The level of detail contained within the SAP varies.

Depending on the WP, the testing, analysis, and quality
control may be delegated to a differing lead agency or
contractor. Whether the SAP contains individual FSP,
AP, and/or QAPP, the SAP indicates the field personnel
roles and responsibilities, the acquired data goals, the
analytical methods, and how these methods meet the
DQOs. Guidance for the selection and definition of field
methods, sampling procedures, and custody can be
obtained from the EPA report Compendium of Superfund
Field Operations Methods, December 1987
(EPA/540/P-87/001 or National Technical Information
Service [NTIS] publication PB88-181557). This report is
a compilation of demonstrated field techniques that have
been used during remedial response activities at
hazardous waste sites.

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The FSP specifies the actual data collection activities to

be performed. The AP provides the details if changes in
sampling methods or number of samples need to be made.
If the AP is a separate document, the FSP should spell
out in detail exactly how and why samples will be
collected in the field.

Included with the SAP (sometimes as an appendix to the

FSP) are the standard operating procedures (SOPs) to be
used during the investigations. The SOPs describe, in
item-by-item detail, the exact steps to be followed for each
sampling procedure. Included in the SOPs are calibration
and maintenance requirements for equipment to be used.
Manufacturer's recommendations and usage manuals can
serve as part of the individual SOPs. Further details
regarding standardized tasks are given in the EPA
Quality Assurance Technical Information Bulletin
Creating SOP Documents.

The QAPP is a companion document typically written

when the FSP is final. The QAPP ensures that data and
the subsequent analyses are of sufficient quantity and
quality to accurately represent the conditions at the site.
The QAPP often describes policy, organization, and
functional activities not addressed within the work plan.

The following is a suggested SAP format.

Example Sampling and Analysis Plan

FSP
1. Site Background
2. Sampling Objectives
3. Sample Location and Frequency
4. Sample Designation
5. Sampling Equipment and Procedures
6. Sample Handling and Analysis

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AP
1. Objective(s) of the Data Collection
2. Analytical Methods and Software
3. Parameters Available and Required
4. Analytical Assumptions (Boundaries, Estimated
Data)
5. Data Management and Manipulation
6. Evaluation of Accuracy (Model Calibration
and/or Sensitivity Analysis)

QAPP
1. Project Organization and Responsibilities
2. QA Objectives for Measurement
3. Sample Custody
4. Calibration Procedures
5. Data Reduction, Validation, and Reporting
6. Internal Quality Control
7. Performance and System Audits
8. Preventative Maintenance
9. Data Assessment Procedures
10. Corrective Actions
11. Quality Assurance Reports

Health and Safety Plan (HASP)

Each field activity will vary as to amount of planning,

special training, supervision, and protective equipment
needed. The HASP, prepared to support the field effort,
must conform to the Reclamation “Safety and Health
Standards.” The site-specific HASP should be prepared
concurrently with the SAP to identify potential problems
early in the planning stage, such as availability of trained
personnel and equipment. The HASP preparer should
review site historical information along with proposed
activities to identify potentially hazardous operations or
exposures and to require appropriate protective
measures. Appendix B of the Occupational Safety and

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Health Guidance Manual for Hazardous Waste Site

Activities (National Institute for Occupational Safety and
Health/Occupational Safety and Health
Administration/U.S. Coast Guard/U.S. Environmental
Protection Agency, 1985) provides an example of a generic
format for an HASP. Commercial computer programs
that allow preparers to "fill in the blanks" to produce
rudimentary HASPs are also available.

A HASP should include, as appropriate, the following

elements:
1.
Name of site health and safety officer and names
of key personnel and alternates responsible for site
safety and health.
2. Listing of the potential contaminants at the site
and associated risk(s).
3. A health and safety risk analysis for existing site
conditions and for each site task and operation.
4. Employee training assignments.
5. A description of personal protective equipment to
be used by employees for each of the site tasks and
operations being conducted.
6. Medical surveillance requirements.
7. A description of the frequency and types of air
monitoring, personnel monitoring, and environ-
mental sampling techniques and instrumentation
to be used.
8. Site control measures.
9. Decontamination procedures.
10. Standard operating procedures for the site.

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11. A contingency plan that meets the requirements of

29 CFR 1910.120(l)(1) and (l)(2).
12. Entry procedures for confined spaces.
13. Local emergency numbers, notification procedures,
and a clear map (and written instructions) showing
the route to the nearest medical facility capable of
handling emergencies arising from a hazardous
waste site.

Spill Prevention Plan (SPP)

All samples, equipment, cuttings, and other materials

that have been exposed to potential contaminants must
be decontaminated and/or tested and treated according to
Applicable or Relevant and Appropriate Requirement
(ARAR). Contingencies must be made for accidentally
releasing and spreading contaminants into the
environment during field activities at hazardous waste
sites. Contaminants may originate from substances
brought onto the site for specialized testing (e.g.,
standards for chemical testing), from accumulations of
"free" contaminants, or from contaminated natural water
which is released during sampling or investigations.
Sufficient equipment (e.g., drums, absorbents, etc.) must
be onsite to effectively control spills. In addition, key
personnel should be identified for the control of spills.
Paramount to such planning are spill prevention
measures. Spill prevention plans may be incorporated
into appropriate sections of a SAP or HASP, if desired.

Contaminant Characteristics and Migration

A primary difference between conventional engineering

geology investigations and hazardous waste inves-
tigations is that drilling methods may impact the
contaminant sampling results and increase migration

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paths. Lubricants, fuels, and equipment may mask

specific chemical testing or react with the contaminant of
concern (COC). All samples, waste discharges, and
equipment used in the investigations require evaluation
in relation to the potential contaminant(s). The following
unique site factors are also important.

Contaminant Properties

Some contaminants are inherently mobile, for example,

volatile organic compounds (VOCs). When released,
VOCs can migrate rapidly through air, soil, and
groundwater. Other contaminants, such as heavy metal
solids, are less mobile. Heavy metals tend to accumulate
on the surface of the ground. Although heavy metals may
not readily migrate into and through the subsurface,
heavy metals may still migrate through the air as
airborne particles. Understanding the behavior of COCs
is very important because behavior will significantly
influence the ultimate design of the exploration program.
For example, investigations to find gasoline, a light
nonaqueous phase liquid (LNAPL), should concentrate on
the water table surface. Dense, nonaqueous phase liquid
(DNAPL) investigations should concentrate towards the
bottom of the aquifer(s) or water table. Note that some
contaminants react with investigation materials; e.g.,
TCE in high concentrations reacts with polyvinyl chloride
(PVC) pipe.

When possible, the typical contaminant investigation will

estimate the source type and location. The source type
may be barrels, storage tanks, pipelines, injection wells,
landfills, or holding ponds. In investigations that involve
groundwater contamination, the investigation must
address collecting samples of material that may be
moving or have moved off site.

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Identifying the contaminant and its behavior within the

hydrogeologic environment must be kept foremost in
mind while developing the program. Hydrochemical
parameters such as density, diffusivity, solubility, soil
sorption coefficient, volatilization (vapor pressure), and
viscosity may impact the specific contaminant movement.
Biological activities or meteoric waters may impact
various COCs in the subsurface. Some contaminants
degrade over time and under some environmental
conditions. In some instances, the degradation product
(TCE to vinyl chloride) is worse than the original product.

A general introductory geological hazardous waste inves-

tigation reference is the Standard Handbook for Solid
and Hazardous Waste Facility Assessments, by Sara,
1994. A general introductory reference for environ-
mental chemistry is Fundamentals of Environmental
Chemistry, by Manahan, 1993. A reference on DNAPL
materials is DNAPL - Site Evaluation by Cohen and
Mercer, 1993. A reference for groundwater chemical and
physical properties is Groundwater Chemicals - Desk
Reference, by Montgomery, 1996. Toxicological Profile
Series published by the U.S. Department of Health and
Human Resources describes physical, chemical, and
biological processes which effect contaminant fate and
transport.

Geologic Factors

The migration of contaminants is dependent on the

subsurface materials and water. The arrangement of the
geologic materials impacts the direction and flow rate of
the contaminants and groundwater. Geologic factors such
as stratigraphy, structure, and lithology control the
occurrence and movement of water.

Various geologic factors to consider include: depth of soil,

depth to bedrock, depth to the water table, seasonal

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variations in water table, water quality characteristics of

site aquifers, mineralogic compositions of soil and rock,
gradation, consolidation, and fracturing. Contaminant
characteristics, such as property differences between solid
or liquid materials, differences in liquid viscosity, or
differences in liquid density relative to water, may
influence how the contaminants interact with geologic
factors and how the contamination plumes will behave.

Hydrologic Factors

Groundwater flow is a function of precipitation, runoff,

and infiltration (figure 12-1).

Groundwater flow occurs through two zones: the

unsaturated (vadose or aeration) zone and the saturated
zone. Each zone can be either soil or rock. Groundwater
movement is affected by the characteristics of the
material pore spaces (porosity) and the interconnectivity
of the pore spaces (permeability). Water movement
occurs under a hydraulic gradient.

Other terms often used in groundwater are transmissivity

and storativity. Both terms are bulk terms used to
describe the water over the entire hydrologic unit. Trans-
missivity is directly related to permeability. Storativity
is a dimensionless value often incorrectly equated with
specific yield. For a more detailed description, see the
Bureau of Reclamation Water Resource Technical Publi-
cation, Ground Water Manual, second edition, 1995 or
Groundwater, by Freeze and Cherry, 1979.

An unconfined aquifer, often referred to as a "water table"

aquifer, has no overlying confining layer. Water infiltrat-
ing into the ground percolates downward through air-
filled interstices of the vadose zone to the saturated zone.
The water table, or surface of the saturated groundwater

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Figure 12-1.—Aquifer types.
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body, is in contact with the atmosphere through the open

pores of the material above and is in balance with
atmospheric pressure.

A confined, or artesian, aquifer has an overlying,

confining layer of lower permeability than the aquifer.
Water in an artesian aquifer is under pressure, and when
the confining layer is penetrated, the water will rise
above the bottom of the confining bed to an elevation
controlled by the aquifer pressure. If the confining layer
transmits some water into adjacent layers, the aquifer is
said to be a "leaky aquifer." A perched aquifer is created
by beds of clay or silt, unfractured rock, or other material
with relatively lower permeability impeding the
downward percolation of water. An unsaturated zone is
present between the bottom of the perching bed and the
regional aquifer. Such an aquifer may be permanent or
may be seasonal.

Aquifers are typically anisotropic; i.e., flow conditions

vary with direction. In granular materials, the particle
shapes, orientation, and the deposition process usually
result in vertical permeability being less than horizontal
permeability. The primary cause of anisotropy on a
microscopic scale is the orientation of platy minerals. In
some rock, the size, shape, orientation, and spacing of
discontinuities and other voids may result in anisotropy.
These factors should always be considered when modeling
contaminant migration from hazardous waste sites.

After the natural flow conditions at a site are char-

acterized, the presence of artificial conditions which may
modify the flow direction or velocity of groundwater is
determined. Such items as surface water impoundments
and drainages may influence overall groundwater flow
models. Also, if existing water wells are present in the
area, pumping may be drawing the contaminants toward
the wells. All possible influences affecting the

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groundwater flow must be identified to model

contaminant plume migration rates and paths.

Classification and Handling of Materials

Classification of soils for engineering properties is

described in chapter 3. “ Instructions for Logging Soils
and Surficial Deposits” (chapter 11) describes logging
procedures, but there are two significant differences for
hazardous waste investigations.

(1) Logging of the soil is often limited to visual

inspection of cuttings. The sampling protocol may
prohibit the handling or poking of samples. Often
the samples are sealed for chemical testing, and time
for classification is restricted to the period when the
sample is being packaged. Size of samples is kept to
a minimum to reduce the amount of investigation-
derived waste.

(2) All material recovered or generated during an

investigation (samples, cuttings, water, etc.) should
be considered hazardous waste unless proven other-
wise. Material removed should not be considered
“normal” waste unless tested and permitted.

The RCRA “statutory” definition for hazardous waste is

broad and qualitative and does not have clear bounds.
Hazardous waste is defined as material meeting the
regulatory definition contained in 40 CFR 261.3.
However, the definitions of solid and hazardous waste
contained in 40 CFR 261 are relevant only in identifying
the waste. Material may still be considered solid or
hazardous waste for purposes of other sections of RCRA.
Some waste defined under the present regulatory statutes
could become hazardous waste in the future.

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From the RCRA document, the definition of hazardous

waste is any

. . .solid waste or combination of solid wastes

which because of its quantity, concentration, or
physical, chemical, or infectious characteristics
may: (A) cause, or significantly contribute to, an
increase in mortality or an increase in serious
irreversible, or incapacitating reversible, illness;
or (B) pose a substantial present or potential
hazard to humans or the environment when
improperly treated, stored, transported, or
disposed of, or otherwise managed.

The level of contamination acceptable within the subsur-

face is based on a complex formula that involves the risk
of exposure; toxicity, mobility, and volume of contami-
nants; and the cost of remediation. Soil and rock removed
from a site cannot be returned to a site after the
investigation has been completed.

Investigation waste water must be tested and handled

under a different set of rules. If the water is mixed with
cuttings, the material is considered a combination of solid
wastes. If the water is discharged on a site, the water
typically must meet drinking water standards. EPA cur-
rently requires that sole source aquifers have special
project review criteria for Federal actions possibly
affecting designated aquifers. Water withdrawn for
public drinking water supplies currently falls under the
Safe Drinking Water Act (SDWA) (Public Law 93-523)
regulations, as amended and reauthorized (1974). (See
40 CFR 141 G for applicable water supply systems. See
40 CFR 143 for applicable water supply systems.) Note
that the number of regulated constituents and their
respective maximum contaminant levels (MCLs) are
frequently updated.

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Identifying and classifying hazardous waste is described

in Hazardous Waste, by Wagner, 1990. Procedures for
site evaluation are contained in EPA Guidance for
Conducting Remedial Investigation and Feasibility
Studies Under CERCLA, 1988.

Field Sampling Protocol

One of the most difficult parts of any investigation is

collecting representative samples. A sampling strategy
must be efficiently and logically planned which delineates
site location, number of samples collected, types of
samples collected, testing methods to be used, and the
duration and frequency of sampling. The difficulties of
drilling in the “right” location and the problems
associated with collecting representative samples is
similar to traditional investigations. However, for
hazardous waste investigation, the COC must be con-
sidered in both time and space. Statistical considera-
tions should be part of the sampling program. The follow-
ing are references for sampling statistical considerations:

• Harvey, R.P. “Statistical Aspects of Air Sampling

Strategies.” In: Detection and Measurement of
Hazardous Gases; edited by C.F. Cullis and
J.G. Firth. Heineman Educational Books, London,
1981.

• Mason, B.J. Protocol for Soil Sampling: Tech-

niques and Strategies. EPA Environmental
Systems Laboratory, Contract No. CR808529-01-2.
March 30, 1982. EPA-600/54-83-0020.

• Smith, R., and G.V. James. The Sampling of Bulk

Materials. The Royal Society of Chemistry,
London. 1981.

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• Environmental Protection Agency. Handbook for

Sampling and Sample Preservation of Water and
Wastewater. September 1982. EPA 600/4-82-029.

Sampling Strategies

Investigators must determine the correct number and

types of samples to be collected, the proper chemical
testing methods (analytical procedures), and the proper
sampling equipment before field activities begin. Sample
containers, preservatives, sample quantities, and proper
holding times are also dictated by the chosen methods.

Table 12-1 is a list of recommended sampling containers

and holding times for various classes of contaminants in
soils.

Several sampling strategies are available, each with

advantages and disadvantages. Random sampling uses
the theory of random chance probabilities to choose repre-
sentative sample locations. This is appropriate when
little information exists concerning the material, loca-
tions, etc. Random sampling is most effective when the
number of sampling locations is large enough to lend
statistical validity to the random selection.

Systematic random sampling involves the collection of

randomly selected samples at predetermined, regular
intervals (i.e., a grid). The method is a common sampling
scheme, but care must be exercised to avoid over-
sampling of one material or population type over others.

Stratified sampling is useful if data are available from

previous investigations and/or the investigator has
experience with similar situations. This scheme reduces
the number of samples needed to attain a specified
precision. Stratified sampling involves the division of the

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Table 12-1.—EPA recommended sampling

containers, preservation requirements, and holding
times for soil samples

Container1 Holding
Contaminant Preservation2 time3
Acidity P, G 14 days
Alkalinity P, G 14 days
Ammonia P, G 28 days
Sulfate P, G 28 days
Sulfide P, G 28 days
Sulfite P, G 48 hours
Nitrate P, G 48 hours
Nitrate-Nitrite P, G 28 days
Nitrite P, G 48 hours
Oil and grease G 28 days
Organic carbon P, G 28 days
Metals
Chromium VI P, G 48 hours
Mercury P, G 28 days
Other metals P, G 6 months
Cyanide P, G 28 days
Organic compounds
Extractables
Including: Phthalates, nitro- G, Teflon®- 7 days until
samines, organic pesticides, lined cap extraction
PCBs, nitroaromatics, iso-
phorone, polynuclear aroma- 30 days
tics hydrocarbons, haloethers, after
chlorinated hydrocarbons, and extraction
tetrachlorodibenzo-p-dioxin
(TCDD)

Footnotes at end of table.

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Table 12-1.—EPA recommended sampling

containers, preservation requirements, and
holding times for soil samples (continued)

Container1 Holding
Contaminant Preservation2 time3
Purgeables
Halocarbons and G, Teflon®-lined 14 days
aromatics septum
Acrolein and acrylonitrate G, Teflon®-lined 3 days
septum
Orthophosphate P, G 48 hours
Pesticides G, Teflon®-lined 7 days until
cap extraction

30 days after
extraction
Phenols G 28 days
Phosphorus G 48 hours
Phosphorus, total P, G 28 days
Chlorinated organic G, Teflon®-lined 7 days
compounds cap
1
P = polyethylene, G = glass.
2
All samples are cooled to 4 EC. Preservation is performed
immediately upon collection. For composites, each aliquot preserved
at collection. When impossible to preserve each aliquot, samples may
be preserved by maintaining 4 EC until compositing and sample
splitting is completed.
3
Samples are analyzed as soon as possible. Times listed are
maximum holding if analysis is to be valid.

Source: Description and Sampling of Contaminated Soils,

EPA/625/11-91/002 (1991).

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sample population into groups based on sample char-

acteristics. The procedure involves handling each group
or division separately with a simple random sampling
scheme.

Judgement sampling introduces a certain amount of

judgment into the sampling approach and should be
avoided if a true random sample is desired. Judgment
sampling allows investigator bias to influence decisions,
which can lead to poor quality data or improper conclu-
sions. If the local geology is fairly well understood,
judgement sampling may provide the most efficient and
cost-effective sampling scheme; however, regulatory
concurrence, rationale, and proper documentation will be
necessary.

Hybrid sampling is a combination of the types previously

described. For example, an initial investigation of drums
might be based on preliminary information concerning
contents (judgement, stratified) and then random sam-
pling of the drums within specific population groups
(random). Hybrid schemes are usually the method of
choice for sampling a diverse population, reducing the
variance, and improving precision within each subgroup.

After the appropriate sampling scheme has been chosen,

the specific type of samples necessary for characterization
must be identified. The unique characteristics of the site
COCs will play an important role in determining which
media will be sampled. Some sampling devices are
described in this manual or the Earth Manual, parts 1
and 2, USBR, 1990 and 1999. A summary of sampling
devices is shown in table 12-2.

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Table 12-2.—Summary of soil sampling devices

Sampling
device Applications Limitations
Hand-held samplers
Spoons and Surface soil samples Limited to relatively
scoops or the sides of pits or shallow depths;
trenches disturbed samples
Shovels and A wide variety of soil Limited to relatively
picks conditions shallow depths
Augers1
Screw auger Cohesive, soft, or hard Will not retain dry,
soils or residue cohesionless, or
granular material
Standard General soil or May not retain dry,
bucket auger residue cohesionless, or
granular material
Sand bucket Bit designed to retain Difficult to advance
auger dry, cohesionless, or boring in cohesive
granular material soils
(silt, sand, and gravel)
Mud bucket Bit and bucket de- Will not retain dry,
auger signed for wet silt and cohesionless, or
clay soil or residue granular material

Dutch auger Designed specifically

for wet, fibrous, or
rooted soils (marshes)
1
Suitable for soils with limited coarse fragments; only the
stoney soil auger will work well in very gravelly soil.

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Table 12-2.—Summary of soil sampling devices (continued)

Sampling
device Applications Limitations
1
Augers
In situ soil Collection of soil sam- Similar to standard
recovery ples in reusable liners; bucket auger
auger closed top reduces con-
tamination from caving
sidewalls
Eijkelcamp Stoney soils and
stoney soil asphalt
auger
Planer auger Clean out and flatten
the bottom of predrilled
holes
Tube samplers2
Soil probe Cohesive, soft soils or Sampling depth
residue; representative generally limited to
samples in soft to less than 1 meter
medium cohesive soils
and silts
Thin-walled Cohesive, soft soils or Similar to
tubes residue; special tips for Veihmeyer tube
wet or dry soils
available
Soil recovery Similar to thin-walled Similar to
probe tube; cores are Veihmeyer tube
collected in reusable
liners, minimizing
contact with the air
1
Suitable for soils with limited coarse fragments; only the stoney
soil auger will work well in very gravelly soil.
2
Not suitable for soils with coarse fragments.

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Table 12-2.—Summary of soil sampling devices (continued)

Sampling
device Applications Limitations
1
Tube samplers (continued)
Veihmeyer Cohesive soils or Difficult to drive into
tube residue to depth of dense or hard mate-
10 feet (3 meters [m]) rial; will not retain
dry, cohesionless, or
granular material;
may be difficult to
pull from ground
Peat sampler Wet, fibrous, organic
soils
Power-driven samplers
Split spoon Disturbed samples Ineffective in cohe-
sampler from cohesive soils sionless sands; not
suitable for collection
of samples for
laboratory tests
requiring
undisturbed soil
Thin-walled samplers
Fixed piston Undisturbed samples Ineffective in
sampler in cohesive soils, silt, cohesionless sands
and sand above or
below water table
Hydraulic Similar to fixed-piston Not possible to limit
piston sampler the length of push or
sampler to determine amount
(Osterberg) of partial sampler
penetration during
push
1
Not suitable for soils with coarse fragments.

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Table 12-2.—Summary of soil sampling devices (continued)

Sampling
device Applications Limitations
Thin-walled samplers (continued)
Free piston Similar to stationary Not suitable for
sampler piston sampler cohesionless soils
Open drive Similar to stationary Not suitable for
sampler piston sampler cohesionless soils
Pitcher Undisturbed samples Frequently
sampler in hard, brittle, cohe- ineffective in
sive soils and ce- cohesionless soils
mented sands; repre-
sentative samples in
soft to medium cohe-
sive soils, silts, and
some sands; variable
success with cohe-
sionless soils
Denison Undisturbed samples Not suitable for
sampler in stiff to hard cohe- undisturbed
sive soils, cemented sampling of
sands, and soft rocks; cohesionless soils or
variable success with soft cohesive soils
cohesionless materials
Vicksburg Similar to Denison
sampler sampler except takes
wider diameter
samples

In addition, the following references may be consulted for

sample collection methods:
• Environmental Protection Agency. Characterization
of Hazardous Waste Sites - A Methods Manual,
Volume I - Site Investigations. April 1985. EPA
600/4-84-075.

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• Environmental Protection Agency. Characterization

of Hazardous Waste Sites - A Methods Manual:
Volume II. Available Sampling Methods. September
1983. EPA 600/4-83-040, PB84-126929.

• Environmental Protection Agency. A Compendium of

Superfund Field Operation Methods. December 1987.
EPA 540/P-87-001, PB88-181557.

Samples can be either grab or composite samples. Grab

samples are collected at a discrete point, representing one
location and/or time interval. Composite samples are
collected from several sources which are then accumu-
lated to represent a broader area of interest. The
requirements for testing will often dictate which sampling
method is used. For example, composite samples of soil
cannot be used for volatile compounds because portions of
the contaminants may easily volatilize during collection.

Many soil samples are collected as grab samples. Soil

samples should be collected from areas where dumping,
spills, or leaks are apparent. Soil samples should be
collected from areas upstream and downstream from
suspected contaminant entry and in areas where
sediment deposition is significant. Samples can be
collected readily from the first 18 inches (450 mm)
(depending upon the soil type) by using relatively simple
tools, such as spades, scoops, and dredge scoops. If scoops
are used for collecting surface soil samples, purchase
enough scoops to use a new scoop for each sample rather
than decontaminating scoops between samples. Not only
is time saved, but cross contamination is kept to a
minimum. The COC must also be considered. If
sampling for heavy metals, metal scoops should not be
used, or if sampling for semivolatiles, plastic scoops
should be avoided. Samples from greater depths usually
require more elaborate methods or equipment, such as
test pits, hand augers, thin-wall tube samplers, hand or

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power corers, bucket augers, cutting or wash samples,

direct-push tools, etc. The nature of the geologic material
to be sampled will influence significantly the methods to
use, but every effort should be made to reduce the amount
of investigation-derived waste generated from the
sampling method. Direct-push sampling (such as the
Geoprobe®) is preferable in that drill cuttings and drilling
fluids are not generated.

A useful field pocket guide is available from EPA:

Description and Sampling of Contaminated Soils,
EPA/625/12-9/002, November 1991. This guide addresses
soil characterization, description, sampling, and sample
handling. Within this guide are general protocols for soil
sample handling and preparation. The following are
procedures from the guide:

Soil Sample Collection Procedures for Volatiles.—

1. Tube samples are preferred when collecting for

volatiles. Augers should be used only if soil condi-
tions make collection of undisturbed cores
impossible. Soil recovery probes and augers with
dedicated or reusable liners will minimize contact
of the sample with the atmosphere.

2. Place the first adequate grab sample, maintaining

and handling the sample in as undisturbed a state
as possible, in 40-milliliter (mL) septum vials or in
a 1-liter (L) glass wide mouth bottle with a
Teflon®-lined cap. Do not mix or sieve soil
samples.

3. Ensure the 40-mL containers are filled to the top to

minimize volatile loss. Secure the cap tightly, but
do not overtighten.

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4. Examine the hole from which the sample was

taken with an organic vapor instrument after each
sample increment. Record instrument readings.

5. Label and tag sample containers, and record

appropriate data on soil sample data sheets (depth,
location, etc.).

6. Place glass sample containers in sealable plastic

bags, if required, and place containers in iced
shipping container. Samples should be cooled to
4 degrees Centigrade (EC) as soon as possible.

7. Complete chain of custody forms and ship as soon

as possible to minimize sample holding time.
Scheduled arrival time at the analytical laboratory
should give as much holding time as possible for
scheduling of sample analyses.

8. Follow required decontamination and disposal

procedures.

Soil Sample Collection and Mixing Procedures for

Semivolatiles and Metals.—

1. Collect samples.

2. If required, composite the grab samples or use

discrete grab samples.

3. If possible, screen the soils in the field through a

precleaned O-mesh (No. 10, 2-millimeter [mm])
stainless steel screen for semivolatiles, or Teflon®-
lined screen for metals.

4. Mix the sample in a stainless steel, aluminum (not

suitable when testing for aluminum), or glass
mixing container using appropriate tool (stainless
steel spoon, trowel, or pestle).

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5. After thorough mixing, place the sample in the

middle of a relatively inexpensive 1-meter (m)
square piece of suitable plastic, canvas, or rubber
sheeting.

6. Roll the sample backward and forward on the

sheet while alternately lifting and releasing
opposite sides or corners of the sheet.

7. After thorough mixing, spread the soil out evenly

on the sheet with a stainless steel spoon, trowel,
spatula, or large knife.

8. Take sample container and check that a Teflon®

liner is present in the cap, if required.

9. Divide the sample into quarters, and take samples

from each quarter in a consecutive manner until
appropriate sampling volume is collected for each
required container. Separate sample containers
would be required for semivolatiles, metals,
duplicate samples, triplicate samples (split), and
spiked samples.

10. Secure the cap tightly. The chemical preservation

of solids is generally not recommended.

11. Label and tag sample containers, and record

appropriate data on soil sample data sheets (depth,
location, etc.).

12. Place glass sample containers in sealable plastic

bags, if required, and place containers in iced
shipping container. Samples should be cooled to
4 EC as soon as possible.

13. Complete chain of custody forms and ship as soon

as possible to minimize sample holding time.
Scheduled arrival time at the analytical laboratory

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should give as much holding time as possible for

scheduling of sample analyses.

14. Follow required decontamination and disposal

procedures.

Water Quality Sample Collection Methods

Surface Water Collection.—Surface water on or

adjacent to a suspected hazardous waste site can yield
significant information with minimal sampling effort.
Surface water can reveal the presence of contamination
from several pathway mechanisms. If only a knowledge
of the presence or absence of contamination in the water
is needed, the collection of grab samples will usually
suffice. If the water source is a stream, samples also
should be collected upstream and downstream from the
area of concern. Additional monitoring of surface water
is required of seeps, spills, surface leachates, etc. If the
site has National Pollutant Discharge Elimination
System (NPDES) outfalls, the discharges should be
sampled.

Water quality samples are often the most important

material collected at a site. Determining the appropriate
number of samples and appropriate test method is critical
to a successful program. A good guidance document to
develop a water quality sampling program and provide
the reasoning for collecting appropriate water samples is
EPA’s Handbook, Ground Water, volumes I and II,
EPA/625/6-90/016. There are several factors to consider
in the selection of appropriate sampling devices. Time
and money are obvious factors; however, the data use,
formation permeability, water depth, and contamination
type are considerations. Water monitoring goals and
objectives should be addressed, such as:

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• Is the investigation to determine source(s)?

• Are the investigations included for a time critical
removal action?
• Have the potential contaminants been identified?
• Will there be a follow up risk assessment and/or
remediation?
• Are there potential responsible parties (PRPs)
involved?

Water samples can be routinely analyzed for current EPA

listed priority pollutants. Alkalinity, acidity, total
organic halogens, and chemical oxygen demand are often
indicators of contamination. Routine tests can be used as
screening techniques before implementing more costly
priority pollutant analyses. Bioassessment samples, if
needed, are described in Rapid Bioassessment Protocols
for Use in Streams and Rivers, EPA/444/4-89-001. If
technical impracticability (Guidance for Evaluating the
Technical Impracticability, EPA Directive 9234.2-25, or
natural attenuation are potential remediation options,
additional water quality parameters may need testing
consideration.

Groundwater Collection.—Groundwater
contamination is usually difficult and costly to assess,
control, and remove. Monitoring wells sample a small
part of an aquifer, depending on screen size, length,
placement depth, pumping rates, and other factors. The
use of wells and piezometers can introduce additional
problems due to material contamination, inadequate
construction, and uncertainties of the water zone
sampled. Guarding against cross contamination of
multiple aquifers is important. Proper well construction
requires significant skill. General guidelines for design
and construction of monitoring wells can be found in
American Society for Testing Materials (ASTM)

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D5092-90, and guidelines for sampling can be found in

RCRA Groundwater Monitoring Draft Technical
Guidance, EPA/530-R-93-001. For general details on
groundwater quality monitoring well construction, see
figure 12-2. The location of the screen and designing and
development of the screen and sand pack is extremely
important in hazardous waste wells. Meeting the
turbidity requirement of less than five nephelometric
turbidity units (NTUs) is difficult to achieve in the best
circumstances. Drilling exploration and monitoring wells
in sequence from least to most contaminated areas is
good practice because this minimizes the possibility of
introducing contaminants into cleaner aquifers or areas.

Although the Compendium of ERT Groundwater

Sampling Procedures, EPA/540/P-91/007, provides
standard operating procedures for emergency response
teams, the recommended water quality sampling
procedures for groundwater should be in accordance with
EPA’s Low-Flow (Minimal Drawdown) Ground-Water
Sampling Procedures, EPA/540/S-95/504. The Minimal
Drawdown (MD) method requires using a submersible
pump placed within a riser and not operated until the
well has stabilized. The use of bailers and hand pumps,
including automated hand pump systems for water
quality sampling, is discouraged under the MD method.

Limiting water column disturbance is a primary reason

for installing a dedicated submersible pump. Lowering a
temporary sampling device into the water column creates
a mini-slug test. The surge of water may induce sedi-
ments into the monitoring well. As a result, the water
may not meet the five NTU limit that is part of the
requirement for water quality monitoring wells.
Sediments can significantly impact testing. If sediment

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Figure 12-2.—Typical monitoring well

construction for water quality sampling.

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content is great, additional tests, such as comparing total

versus dissolved solids, should be considered.

Some sampling devices may induce volatilization.

Peristaltic pumps, bailers, or hand pumps in low-flow
conditions can impact the test results for semi-volatile
and volatile compounds. Peristaltic pumps may induce
volatilization if the samples are lifted from depths greater
than about 25 feet.

The MD method is the preferred sampling collection

method because the method uses a low pumping rate (as
low as 0.1 liter per minute) and attempts to limit
drawdown to less than 0.3 foot. If the extraction rate
exceeds the ability of the formation to yield water for low
permeability wells, turbulent conditions can be induced
within the borehole. Water may trickle and fall down the
casing. This may potentially increase air exposure and
can entrain air in the water.

Although preferred water quality sampling uses the

MD method, other methods may be acceptable to EPA or
other regulatory agencies. Devices such as bailers or
peristaltic and hand pumps are routinely used at some
sites. However, if these devices are used and surge the
well, water sampling protocols often require that the well
be purged of at least three well volumes of water prior to
collecting a sample.

Whatever sample device is selected, stabilization of

typical water quality parameters, such as pH, redox
potential, conductivity, dissolved oxygen, and turbidity,
are usually required. Which water quality parameters
are specified may be dependent on the site conditions and
regulatory requirements. The water extraction devices
and procedures should be specified in the FSP and

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correlated to match the site conditions, contaminants,

and the regulatory agency requirements.

Vadose Zone.—In addition to sampling aquifers at

hazardous waste sites, significant information can be
obtained by vadose zone sampling. Leachates from COCs
migrate through the vadose zone toward the water table.
Samples collected from this zone can indicate the types of
contaminants present and can aid in assessing the
potential threat to the aquifer below. The various types
of vadose zone monitors can be used to collect water
samples or interstitial pore space vapors for chemical
analyses and to determine directional flow of COCs. The
main advantage is that such sampling is relatively
inexpensive, simple to do, and can begin supplying
information before aquifer monitoring is started. The
types of vadose zone monitors, their applications, and
their use in satisfying the requirements of RCRA are
discussed in Vadose Zone Monitoring at Hazardous Waste
Sites, EMSL-LV KT-82-018R, April 1983.

Geophysical Methods

Geophysical methods can be used effectively at hazardous

waste sites to assist in defining the subsurface character
of the site, to assist in the proper placement of monitoring
wells, to identify buried containers and debris, and to
decrease the safety risks associated with drilling into
unknown buried materials. A good overview of the
subject of geophysical methods for surveying hazardous
waste sites is: Geophysical Techniques for Sensing Buried
Wastes and Waste Migration, prepared for EPA by
Technos, Inc., available from the National Water Well
Association.

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Miscellaneous Methods

Ambient concentrations of volatile and semivolatile

organics, trace metals, and particulate matter in the air
can provide important data on the atmospheric migration
path and the populations at risk and can be used for
source evaluations and personnel monitoring. Portable
monitoring devices such as organic vapor analyzers, stain
detector tubes, or other monitors can detect the presence
of various atmospheric hazards. Other monitors
commonly used at hazardous waste sites are explosi-
meters, oxygen indicators, and personal sampling pumps.

Other specialized sampling techniques may be necessary

at hazardous waste sites to sample media normally not
found in the geologic environment. Wipe samples may be
used to document the presence of toxic materials and to
determine that site or equipment decontamination has
been adequate. Wipe sampling consists of rubbing a
moistened filter paper, such as Whatman 541 filter paper,
over a measured area of 15 in2 (100 cm2) to 10 ft2 (1 m2).
The paper is then sent to a laboratory for analysis.

Sample Analysis

Onsite laboratories and field analytical equipment, such

as portable gas chromatographs (GCs) and immunoassay
kits, can be very beneficial for rapid analyses. Rapid-
analysis equipment, such as GCs, immunoassay, and
colorometric kits, are a cost-effective alternative for
providing qualitative and semi-quantitative chemical
data and for screening large numbers of samples prior to
submittals for laboratory testing. Another beneficial use
of field screening techniques is to provide general
contaminant level data for samples to be tested in the
laboratory. If a sample has a very high contaminant

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concentration, the sample may have to be diluted before

being analyzed to protect the laboratory instruments from
costly contaminant saturation problems.

There are many standardized testing procedures and

methods for hazardous waste evaluation. Table 12-3 lists
some common method series. Each series contains
numerous individual methods. There are over 25 series-
500 (determination of organic compounds in drinking
water) methods. Method 502.1 is for halogenated volatile
organics (purgeable halocarbons) by GC (48 compounds);
Method 502.2 is for nonhalogenated volatile organics by
GC (6 compounds); Method 503.1 is for aromatic and
unsaturated volatile organics (purgeable aromatics) by
GC (28 compounds); Method 507 is for nitrogen and
phosphorus containing pesticides by GC (66 substances).

The following references discuss some of the common

methods:

• Methods for the Determination of Organic

Compounds in Drinking Water. EPA-600/4-
88/039, December 1988 (500 Series).

• Guidelines Establishing Test Procedures for the

Analysis of Pollutants Under the Clean Water Act.
40 CFR Part 136, October 26, 1984 (600 Series,
for effluent - wastewater discharged to a sewer or
body of water).

• Test Methods for Evaluating Solid Waste.

SW-846, 2nd Edition, Revised, 1985 (8000 Series
for groundwater, soil, liquid, and solid wastes).

• Methods for Chemical Analysis of Water and

Wastes. EPA-600/4-79-020, March 1983.

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Table 12-3.—Common laboratory testing methods1

Method testing series Analytes

100 - EPA method Physical properties - water

200 - EPA method Metals - water
300 - EPA method Inorganic, non-metallics - water (i.e.,
alkalinity)
400 - EPA method Organics - water (i.e., chemical oxygen
demand, total recoverable petroleum
hydrocarbons [TRPH])
500 - EPA method Organic compounds in drinking water
600 - EPA method Organic compounds in effluent
900 - EPA method Biologic - water (i.e., coliform, fecal
streptococcal)
1000 - SW-846 method Ignitability, toxicity characteristic leaching
procedure (TCLP), extractions, cleanup,
headspace - solids
3000 - SW-846 method Acid digestion, extractions, cleanup,
headspace - solids
4010 - SW-846 method Screening for pentachlorophenol by
immunoassay - solids
5000 - SW-846 method Organic (purge and trap, gas
chromatograph/mass spectrometer
[GC/MS], sorbent cartridges)
6000 - SW-846 method Inductively coupled plasma (spectrometry)
7000 - SW-846 method Metals - solid waste
8000 - SW-846 method Organic compounds in solid waste
9000 - SW-846 method Inorganics, coliform, oil and grease
extractions - solids
1
This list is not inclusive. Significant overlap and exceptions are present.
Methods listed are basic guides to provide the investigator with the general
structure of the testing method scheme. Numerous individual methods exist
within each series.

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• Standard Methods for the Examination of Water

and Wastewater, 19th edition, Greenberg;
American Public Health Association, Washington,
DC, 1995.

Reference guides are also available from several sources,

such as the Trace Analysis Laboratory Reference Guides
from Trace Analysis Laboratory, Inc., 3423 Investment
Boulevard, No. 8, Hayward, California 94545, telephone
(415) 783-6960.

An important consideration in planning any field

investigation program is scheduling the anticipated
activities. Sufficient time must be allowed for the
peculiarities of hazardous waste work. Several factors
must be considered: (1) time for establishing work zones
and erecting physical barriers, (2) time for establishing
equipment, personnel, and vehicle decontamination
stations, (3) time needed to decontaminate equipment
and personnel, ( 4) loss of worker efficiency due to safety
monitoring, safety meetings, and the use of protective
clothing, (5) documentation requirements and sample-
handling procedures, and (6) inventory and procurement
of specialized sample containers, preservative pre-
paration, and reference standards, and equipment
calibrations.

Safety at Hazardous Waste Sites

A major factor during hazardous waste site investigations

is the safety of both the general public and the site
investigators. The following references may be of
assistance:

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• Interim Standard Operation Safety Guides.

Revised September 1982, U.S. EPA, Office of
Emergency and Remedial Response (OERR).

• Guidance Manual for Protection of Health and

Safety at Uncontrolled Hazardous Substances
Sites. EPA, Center for Environmental Research
Information (ORD) (in draft, January 1983).

• Reclamation Safety and Health Standards.

U.S. Department of the Interior, Bureau of
Reclamation, Denver, Colorado, 1993.

• Chemical Substance Hazard Assessment and

Protection Guide. OWENS/URIE Enterprises,
Inc., Henehan, Urie, & Farlern, Wheat Ridge,
Colorado, 1994.

Sample Quality Assurance and Quality Control

Sample QA procedures confirm the quality of the data by

documenting that integrity is present throughout the
sample history. Several sample types are used. Field
blanks are samples of a "pure" substance, either water,
solid, or air, which are collected in the field using the
same procedures as are used for actual environmental
samples. The purpose of the field blank is to ensure that
outside influences are not contaminating the true
samples (i.e., vehicular exhaust) during sampling. If
"hits" are discovered in the field blank, the question
arises whether contamination not associated with the site
is affecting the true samples.

Trip blanks are samples of a "pure" substance (analyte-

free deionized water which accompanies samples with
volatile contaminants) prepared in a laboratory or other

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controlled area and placed in a shipping container with

environmental samples. The purpose of the trip blank is
to ensure that samples were not cross contaminated
during shipment and storage. "Hits" in a trip blank
indicate that COCs were present in a container to a
degree sufficient to infiltrate into the trip blank sample
jar and, hence, possibly into true samples.

Equipment blanks are used when sampling equipment is

cleaned and re-used for subsequent sample collection.
The blanks verify the effectiveness of field cleaning
procedures. The final rinse for the sampling equipment
is often made with analyte-free deionized water. The
rinse water is run on or through the sampling equipment,
collected in appropriate containers and preserved. These
samples are usually collected on a schedule, such as once
every 10 episodes.

Duplicates are samples collected at the same time, in the

same way, and contained, preserved, and transported in
the same manner as a corresponding duplicate.
Duplicates are used to determine the precision of the
laboratory method and integrity of the sample from
collection through testing. Duplicates are typically
collected once every 10 samples.

Matrix spikes provide the best overall assessment of

accuracy for the entire measurement system. For water
investigation episodes, a laboratory usually prepares the
spike samples, sends them to the site, and the spike
sample(s) are included in the sample handling and
shipping process. The samples are analyzed blind by the
off-site laboratory. Matrix spikes can also be made from
certified mixtures of a contaminant and clean soil in the
field.

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All types of blanks and duplicates must be prepared in

the same sample containers as actual samples including
labeling and identification schemes so that the laboratory
analyzes the sample without knowing that the samples
are quality control (QC) samples (blind testing).

In addition to field QC samples, the analytical laboratory

also uses QC samples. Method blanks are organic-free or
deionized water carried through the analytical scheme
like a sample. Method blanks measure contamination
associated with laboratory activities. Calibration blanks
are prepared with standards to create a calibration curve.
Internal standards are measured amounts of certain
compounds added after preparation or extraction of a
sample. Surrogates are measured amounts of certain
compounds added before preparation or extraction of a
sample to determine systematic extraction problems.
Duplicates and duplicate spikes are aliquots of samples
subjected to the same preparation and analytical scheme
as the original sample. Laboratory control standards
(LCSs) are aliquots of organic-free or deionized water to
which known amounts of analyte have been added. LCSs
are subjected to the sample preparation or extraction
procedure and analyzed as samples.

Field, laboratory, data validation, and report presentation

documents must be meticulously maintained during
hazardous waste site investigations. All field activities
should be recorded in bound, consecutively numbered log
books. Each entry should be made with indelible ink, and
all strike outs should be made by a single line which
allows the original error to be legible and initialed and
dated by the person making the correction. Entries
should include date, weather conditions, personnel
involved with the activity, the type of activity being
performed, unusual circumstances or variations made to
the SOPs, and data appropriate to the activity being

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performed. This is a diary of all activities on a site. The

investigator responsible for the activity is responsible for
maintaining the field log book. An important purpose of
the field log book is to document any changes made to
SOPs. If such changes may affect data quality,
concurrence with managers or regulatory personnel is
required in writing. All records must be under control at
all times. Unique project numbers should be assigned to
all log books, documents, and reports. All records must
be maintained and custody documented so that
unauthorized changes or tampering are eliminated. Log
book entries should be photocopied on a regular schedule
to ensure that field data are not lost if the original book
is lost or destroyed.

Activities during an investigation must be reviewed to

ensure that all procedures are followed. System audits
should consist of inspections of training status, records,
QC data, calibrations, and conformance to SOPs. System
audits are performed periodically on field, laboratory, and
office operations. Each major investigation type should
be subject to at least one system audit as early as
practicable. Performance audits include evaluation and
analysis of check samples, usually from laboratory
activities. Readiness reviews occur immediately prior to
beginning each type of field activity to assess the
readiness of the team to begin work. A checklist of
prerequisite issues, such as necessary equipment,
controlled documents, training, assignments, spare parts,
field arrangements, etc., are discussed and documented.

If any weaknesses or deficiencies are identified, the

investigator must resolve them before field activities
proceed.

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Sample Management

There must be control and documentation of all samples

after the environmental samples are collected in the field.
The proper quantity of a sample must be collected to have
sufficient volume for the subsequent analysis. The proper
sample container and preservative must be used so that
sample integrity is not compromised. Many types of
samples (e.g., volatiles) must be cooled, usually to 4 EC,
throughout their history after collection. The proper
analytical methods must be identified to obtain the
desired result. The laboratory must handle and track the
received samples in a timely and accurate manner to
ensure that the results are correct.

Sample Custody

Sample custody is a prime consideration in the proper

management of samples. Sample custody is designed to
create an accurate, written, and verified record that can
be used to trace the possession and handling of the
samples from collection through data analyses and
reporting. Adequate sample custody is achieved by
means of QA-approved field and analytical
documentation. A sample is considered in custody if the
sample is (1) in one's actual physical possession, (2) is in
one's view after being in one's physical possession, (3) is
in one's physical possession and then locked up or
otherwise sealed so that tampering will be evident, or
(4) is kept in a secure area restricted to authorized
personnel only. Personnel who collect samples are
personally responsible for the care and integrity of these
collected samples until the samples are properly
transferred or dispatched. To document that samples are
properly transferred or dispatched, sample identification

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and chain of custody procedures must be followed.

Sample custody in the field and in transit involves the
steps described below.

Sample Identification.—The sample must first be

properly and uniquely identified. Sample identification
entails establishing a scheme which ensures that each
sample is identified in such a way that one sample cannot
be mistaken for another. Examples of sample labels are
shown in figure 12-3. Labels must be filled out
immediately after the sample is collected to ensure that
containers are not later misidentified. Indelible ink must
be used on all labels, and the writing must be legible. For
samples which require preservation, the sample labels
must have a space on the label reserved for noting the
preservative added, or other treatments, such as filtering,
compositing, etc. Labels can be removed from a sample
jar during shipment, especially if the accompanying ice
melts and saturates the shipping labels. Double-label
samples such as sacked soil whenever possible or
completely wrap the label over the sample bottle with
wide, water-proof tape. Also record the collection of each
sample in the field log book and chain of custody records.

Chain of Custody.—Once all samples for a specific sam-

pling task have been collected, the sampler(s) will com-
plete the chain of custody record (figure 12-4). Specific
procedures for completing this form should be included in
the work plan documents specific to the project. This
record accompanies the samples to their destination. All
samples typically are transferred from the sample
transport container (e.g., cooler) and kept in the exclusion
zone until transferred to a noncontaminated sample
transport container in the contamination reduction zone.
The samples, with accompanying documentation, are

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Figure 12-3.—Soil and water sample identification labels.

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Figure 12-4.—Chain of custody record.
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then prepared for either distribution to the onsite

laboratory or shipment to an analytical laboratory in the
support zone.

When transferring the possession of samples, the

individuals relinquishing and receiving the samples will
sign, date, and note the time on the chain of custody
record. This record documents sample custody transfer
from the sampler to the analyst. Note that some
commercial shippers (such as Federal Express) do not
sign chain of custody records but do prepare separate
shipping documents which indicate receipt of the
cooler(s). When samples are passed among field
personnel while still onsite, chain of custody records do
not need to be signed, as long as physical possession is
retained by identified, responsible personnel during
transit of the container(s).

Packaging

Samples must be packaged properly for shipment and

dispatched to the appropriate laboratory for analysis; a
separate record accompanies each shipment. Samples
within shipping containers will be sealed for shipment to
the laboratory by using custody seals (figure 12-5). Seals
are made of paper, with adhesive backing, so that they
will tear easily to indicate possible tampering. There are
two methods of using custody seals. One method is to
place several sample containers in individual plastic bags
(or boxes) within the shipping container and then place
the custody seal along the only opening of each bag. An
advantage of this scheme is that the seal is not exposed
to outside influences; but the disadvantages are that the
bags are very pliable, and shifting may cause the seal to
break, and the seal may become immersed in water if ice
melts around the bags. The second method is to place the
custody seal on the outside of the cooler, along a seam of

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Figure 12-5—Custody seal.
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the lid. The advantage of this method is that the seal is

stuck to the solid body of the cooler. The main
disadvantage is that the seal is exposed to handling by
the shipping company and other personnel from the field
to the laboratory. The seal must not be broken acci-
dentally because a broken seal will place all the
samples represented by the seal in jeopardy of
disqualification due to tampering. An option may be to
place clear tape over the seal as added protection.

The samples within a container must be packed to avoid

rattling and breakage. Styrofoam "popcorn" or bubble
pack sheeting are acceptable packing materials. Organic
packing materials, including sawdust, should be avoided
due to the possibility of becoming wet from melting ice.
Each sample jar should be wrapped such that jar-to-jar
contact is avoided. Also, it is usually desirable to place
ice at the bottom of the container, and place the samples
above the ice, with a water-proof barrier between the ice
and samples. This way, if the ice melts, there is a
lessened probability of the samples becoming immersed.
If time is available, ice should be double-wrapped, using
several "ice packages" to lessen spillage potential.
Chemical ice packs and dry ice should be avoided, if
possible, to lessen the chance of chemical contamination.
The chain of custody record must accompany each
container and list only the samples contained within the
specified cooler. The original chain of custody record
should be sealed in a "zip-lock" plastic bag and taped to
the inside top of the cooler lid. When the laboratory
opens a cooler, the number and identification of each
sample contained within the cooler must exactly match
the corresponding chain of custody record. A copy of the
chain of custody record is to be retained by the
investigator or site manager, and a copy is also retained
by the laboratory. A three-carbon copy type chain of
custody record is best.

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The water drain at the lower edge of the cooler must be

sealed so there is no possibility of the drain opening. If
any leakage occurs from a cooler containing environ-
mental samples, the shipping company will cease ship-
ment and delay the arrival of the samples, possibly
exceeding the holding times of the contained samples. A
shipping company may have unique requirements; but as
a general rule, the weight of a cooler should not exceed
50 to 70 pounds. If sent by mail, the package must be
receipt requested. If sent by common carrier, a govern-
ment bill of lading can be used. Proper shipment tracking
methods must be in place. Copies of all receipts, etc.,
must be retained as part of the permanent
documentation.

Upon arrival at the laboratory, the containers will be

opened, the custody seals inspected and documented, and
any problems with chain of custody, temperature, or
sample integrity noted. The laboratory custodian will
then sign and date the chain of custody record and enter
the sample identification numbers into a bound,
paginated log book, possibly assigning and cross-
referencing a unique laboratory number to each sample
received. The laboratory then controls the samples
according to the SOPs specified in their work plan
documents.

Decontamination

Decontamination consists of removing contaminants

and/or changing their chemical nature to innocuous
substances. How extensive decontamination must be
depends on a number of factors, the most important being
the type of contaminants involved. The more harmful the
contaminant, the more extensive and thorough decon-
tamination must be. Less harmful contaminants may

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require less decontamination. Only general guidance can

be given on methods and techniques for decontamination.
The exact procedure to use must be determined after
evaluating a number of factors specific to the site.

When planning site operations, methods should be

developed to prevent the contamination of people and
equipment. For example, using remote sampling tech-
niques, using disposable sampling equipment, watering
down dusty areas, and not walking through areas of
obvious contamination would reduce the probability of
becoming contaminated and require a less elaborate
decontamination procedure.

The initial decontamination plan is usually based on a

worst-case situation. During the investigations, specific
conditions are evaluated including: type of contaminant,
the amount of contamination, the levels of protection
required, and the type of protective clothing needed. The
initial decontamination system may be modified by
adapting it to actual site conditions.

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 Chapter 13

SURFACE GEOPHYSICAL
INVESTIGATIONS

Introduction

Surface geophysical surveys have been applied to mineral

and petroleum exploration for many years. A magnetic
compass was used in Sweden in the mid-1600s to find iron
ore deposits. The lateral extent of the Comstock ore body
was mapped using self-potential methods in the 1880s. A
very crude type of seismic survey measured the energy
resulting from blasting operations in Ireland in the late
1800s. The idea that energy travels through a material
with a certain velocity came from this survey. During
World War I, geophysical techniques were used to locate
artillery pieces. Anti-submarine warfare in World War II
led to magnetic and sonar surveys.

The main emphasis of geophysical surveys in the

formative years was petroleum exploration. Technology
developed for oil and gas surveys led to the use of geo-
physical surveys in many important facets of geotechnical
investigations. Geophysical surveys have been applied to
civil engineering investigations since the late 1920s, when
seismic and electrical resistivity surveys were used for
dam siting studies. A seismic survey was performed in
the 1950s in St. Peter’s Basilica to locate buried
catacombs prior to a renovation project. From the late
1950s until the present time, geophysical techniques have
had an increasing role in both groundwater exploration
and in geotechnical investigations. Geophysical surveys
are now used routinely as part of geological investigations
and to provide information on site parameters (i.e., in
place dynamic properties, cathodic protection, depth to
bedrock) that in some instances are not obtainable by
other methods. Values derived from seismic geophysical
surveys are obtained at strain levels different from some
site parameters obtained by other means.

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All geophysical techniques are based on the detection of

contrasts in different physical properties of materials. If
contrasts do not exist, geophysical methods will not work.
Reflection and refraction seismic methods contrast com-
pressional or shear wave velocities of different materials.
Electrical methods depend on the contrasts in electrical
resistivities. Contrasts in the densities of different
materials permit gravity surveys to be used in certain
types of investigations. Contrasts in magnetic suscepti-
bilities of materials permit magnetic surveying to be used
in some investigations. Contrasts in the magnitude of the
naturally existing electric current within the earth can be
detected by self-potential (SP) surveys.

Seismic refraction surveys are used to map the depth to

bedrock and to provide information on the compressional
and shear wave velocities of the various units overlying
bedrock. Velocity information also can be used to calcu-
late in place small-strain dynamic properties of these
units. Electrical resistivity surveys are used to provide
information on the depth to bedrock and information on
the electrical properties of bedrock and the overlying
units. Resistivity surveys have proven very useful in
delineating areas of contamination within soils and rock
and also in aquifer delineation. Gravity and magnetic
surveys are not used to the extent of seismic and
resistivity surveys in geotechnical investigations, but
these surveys have been used to locate buried utilities.
Self-potential surveys have been used to map leakage
from dams and reservoirs.

Geophysical surveys provide indirect information. The

objective of these surveys is to determine characteristics
of subsurface materials without seeing them directly.
Each type of geophysical survey has capabilities and
limitations and these must be understood and considered
when designing a geophysical investigations program.

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Geophysical interpretations should be correlated

with real “ground-truth”data such as drill hole logs.
It is very important that the results of geophysical
surveys be integrated with the results of other
geologic investigations so that accurate interpre-
tation of the geophysical surveys can be made.

The following sections provide the theory behind and

guidelines for uses of geophysical surveys, particularly in
geotechnical investigations. Although this chapter does
not provide all the detail necessary, the theory and inter-
pretation methods involved in geophysical surveying are
included in references in the bibliography. The references
should be used to supplement the materials presented in
this chapter.

Seismic Surveys

Seismic Refraction Surveys

Purpose.—Seismic refraction surveys are used to deter-

mine the compressional wave velocities of materials from
the ground surface to a specified depth within the earth.
For most geotechnical investigations, the maximum depth
of interest will be specified by the nature of the project.
In many cases the objective of a seismic refraction survey
is to determine the configuration of the bedrock surface
and the compressional wave velocities of the underlying
materials. Bedrock may be defined by compressional
wave velocities. The information obtained from a seismic
refraction survey is used to compute the depths to various
subsurface layers and the configurations of these layers.
The thickness of the layers and the velocity contrasts
between the layers govern the effectiveness and the accu-
racy of the survey. Seismic refraction surveys do not
provide all compressional wave velocities or delineate all

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subsurface layers. Seismic refraction interpretation

assumes that layer velocities increase with depth.

Applications.—Seismic refraction surveys have been

used in many types of exploration programs and geotech-
nical investigations. The initial application of these
surveys was mapping of salt domes in the early days of oil
exploration. Seismic refraction surveys are now routinely
used in foundation studies for construction projects and
siting studies, fault investigations, dam safety analyses,
and tunnel alignment studies. Seismic refraction surveys
are also used to estimate rippability (Appendix C). Figure
13-1 is a schematic of a seismic refraction test.

Figure 13-1.—Simplified diagram of a

seismic refraction test.

Seismic Reflection Surveys

Purpose.—Seismic reflection surveys have been used

successfully in petroleum and geothermal exploration
projects and to investigate for shallow coal. The informa-
tion obtained from seismic reflection surveys can be used
to define the geometry of the different subsurface layers
and structural features.

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Applications.—High resolution seismic reflection

surveys provide definitive information on the locations
and types of faults, as well as the location of buried
channels. Shallow, high resolution seismic reflection
surveys are playing an increasingly important role in
geotechnical investigations. When correctly used, seismic
reflection surveys may provide data that seismic
refraction surveys can not (e.g., velocity reversal
information). However, compressional (P) wave velocity
information derived from reflection surveys may not be as
accurate as from refraction surveys. The compressional
wave velocities are needed for the analysis of the
reflection records themselves and for seismic refraction
surveys, uphole velocity surveys, and sonic logs.

Shear Wave Surveys

Purpose.—Shear (S) waves travel through a medium at

a slower velocity than compressional (P) waves and arrive
after compressional waves. Other types of secondary
arrivals also exist due to reflections, combinations of
reflections and refractions, and surface waves. Field sur-
vey techniques are designed to suppress compressional
and unwanted reflected or refracted wave arrivals. The
field procedure optimizes shear wave generation as well
as the polarity of the wave energy.

Applications.—For geotechnical investigations, shear

wave velocities provide information on the low-strain
dynamic properties of a given material. The relationships
between compressional wave velocity, shear wave velocity,
density, and in place dynamic properties of materials are
shown in table 13-1. The compressional wave velocity can
be determined from refraction surveys, the shear wave
velocity from shear wave surveys, and the density from
borehole geophysics or laboratory testing. The cross-hole
seismic method is a common procedure used to determine

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Table 13-1.—Determining moduli and ratios for typical

velocities of earth materials from refraction surveys

Vp = Compressional wave velocity (ft/s) (m/s)

Vs = Shear wave velocity (ft/s) (m/s)
E = Young's Modulus (lb/in2) (MPa)
G = Shear Modulus (lb/in2) (MPa)
K = Bulk Modulus (lb/in2) (MPa)
µ = Poisson's Ratio
D = Density (in situ) (lb/ft3) (kg/m3)

Shear Modulus: G = DVs2

Young's Modulus: E = 2G(1+F)
Bulk Modulus: K = D(Vp-4/3Vs2)
Velocity Ratio: Vp/Vs
Poisson's Ratio: µ = (.05) [Vp/Vs]2-2/[Vp/Vs]2-1\

material dynamic properties. Compressional waves and

shear waves are generated in one drill hole, and the
seismic wave arrivals are received in companion drill
hole(s). The seismic source(s) and receiver(s) are located
at equal depths (elevations) for each recording. Drill hole
deviation surveys are performed in each drill hole to
accurately determine the distances between each of the
drill holes at all recording intervals. For typical seismic
velocities of earth materials, see table 13-2.

Surface Wave Surveys

Purpose.—Surface wave surveys produce and record

surface waves and their characteristics. Surface waves
have lower frequencies and higher amplitudes than other
seismic waves. Surface waves result from the construc-
tive and destructive interference of refracted and reflected
seismic waves. Surface waves that travel along the
boundaries of a body are called Stanley waves. Surface
waves are the slowest type of seismic

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Table 13-2.—Typical velocities of earth materials

Velocity
(meters per
Material (feet per second) second)
Dry silt, sand, loose gravel, 600-2,500 200-800
loam, loose rock, talus, and
moist fine-grained topsoil
Compact till, indurated 2,500-7,500 800-2,300
clays, gravel below water
table*, compact clayey
gravel, sand, and sand-clay
Weathered, fractured, or 2,000-10,000 600-3,000
partly decomposed rock
Sound shale 2,500-11,000 800-3,400
Sound sandstone 5,000-14,000 1,500-4,000
Sound limestone, chalk 6,000-20,000 2,000-6,100
Sound igneous rock 12,000-20,000 3,700-6,100
Sound metamorphic rock 10,000-16,000 3,100-4,900
*Water (saturated materials 4,700 1,400
should have velocities equal
to or exceeding that of
water)

wave, traveling along the boundaries between different

materials. The characteristics must be determined in
addition to recording the waves. Normally, surface waves
are filtered out of seismic data or are ignored. The term.
"ground roll," in the oil exploration industry denotes
surface waves. Special care is taken in seismic reflection
surveys to filter out surface waves because they can
interfere with desired reflections. The different types of
surface waves and their characteristic motions are shown
in figure 13-2.

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Figure 13-2.—Types of surface waves.

Applications.—The principal application of surface wave

surveying for geotechnical investigations is to determine
the type and characteristics of surface waves that can
exist at a site. This information is used to determine pre-
ferred site frequencies and for earthquake design
analysis.

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Vibration Surveys

Purpose.—Vibration surveys measure the vibration

levels produced by mechanical or explosive sources. Once
these levels are determined, structures can be designed to
reduce the possibility of vibration damage.

Applications.—Vibration surveys have been performed

for quarrying and mining operations, excavations,
measuring the effects of traffic on sensitive equipment,
and measuring the effects of aircraft (sonic vibrations) on
urban areas and historical buildings. Many manufactur-
ing and research facilities contain extremely sensitive
equipment with very small vibration tolerances. Vibra-
tion surveys can be very useful in determining the exact
levels of allowable vibration and in designing procedures
to reduce vibration levels produced by construction and
blasting activities. The same type of vibration survey can
be used in quarrying and/or mining operations to reduce
vibration levels while maintaining rock breakage and
fragmentation.

Electrical Resistivity Surveys

The electrical resistivity of any material depends largely

on its porosity and the salinity of the water in the pore
spaces. Although the electrical resistivity of a material
may not be diagnostic, certain materials have specific
ranges of electrical resistivity. In all electrical resistivity
surveying techniques, a known electrical current is passed
through the ground between two (or more) electrodes. The
potential (voltage) of the electrical field resulting from the
application of the current is measured between two (or
more) additional electrodes at various locations. Since the
current is known, and the potential can be measured, an
apparent resistivity can be calculated. The separation

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between the current electrodes depends on the type of

surveying being performed and the required investigation
depth.

For representatives values of resistivity, see table 13-3.

Table 13-3.—Representative values of resistivity

Material Resistivity (ohm-m)

Clay and saturated silt 1-100

Sandy clay and wet silty sand 100-250
Clayey sand and saturated sand 250-500
Sand 500-1,500
Gravel 1,500-5,000
Weathered rock 1,000-2,000
Sound rock 1,500-40,000

Electrical Resistivity Profiling Surveys

Electrical resistivity survey profiling is based on lateral

changes in the electrical properties of subsurface
materials.

Purpose.—Electrical resistivity profiling is used to detect

lateral changes in the electrical properties of subsurface
material, usually to a specified depth. Electrode spacing
is held constant.

Applications.—Electrical resistivity has been used to

map sand and gravel deposits, determine parameters for
cathodic protection, map contamination plumes in
hazardous waste studies, and used in fault studies.

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Electrical Resistivity Sounding Surveys

Electrical resistivity sounding surveys measure vertical

changes in the electrical properties of subsurface
materials. The electrode spacing used for resistivity
sounding is variable, with the center point of the electrode
array remaining constant. The depth of investigation
increases as the electrode spacing increases.

Purpose.—Resistivity soundings are used to investigate

variations of resistivity with depth. Electrode spacing is
varied.

Applications.—Electrical resistivity soundings are com-

monly used for aquifer and aquaclude delineation in
groundwater investigations. The technique has been used
for bedrock delineation studies where there is not a suf-
ficient velocity contrast to permit seismic surveying.
Vertical electrical soundings have been used for large
scale mineral investigations, geothermal investigations,
cathodic protection and toxic waste studies, and in
conjunction with self-potential surveys for seepage
investigations.

Electrical Resistivity Dipole-Dipole Surveys

Dipole-dipole surveying potential electrodes may have any

position with respect to the pair of current electrodes.
When the current and potential electrodes are positioned
along the same line, the array is referred to as an axial
dipole array (figure 13-3). The current electrodes are
separated from the potential electrodes by an interval, n,
which is some multiple of the current and potential elec-
trodes separation, a. The separation of the current and
potential electrodes is normally equal.

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FIELD MANUAL
Figure 13-3.—Dipole resistivity array.
 SURFACE GEOPHYSICAL INVESTIGATIONS

Purpose.—Dipole-dipole arrays are used to determine

both the lateral and vertical changes in electrical
properties of subsurface materials with one electrode
array.

Applications.—The dipole-dipole array has limited

applications in engineering and groundwater geophysics.
This type of electrode array has been used primarily in
mineral and geothermal exploration. The method has
been used to delineate abandoned mines, mapping
saltwater/fresh water interfaces, and mapping buried
stream channels.

Electromagnetic Conductivity Surveys

Electromagnetic Conductivity Profiling Surveys

Electromagnetic (EM) surveying uses time-varying, low

frequency, electromagnetic fields induced into the earth.
A transmitter, receiver, and a buried conductor are
coupled by electrical circuitry through electromagnetic
induction. The characteristics of electromagnetic wave
propagation and attenuation by a material can permit
interpretation of the electrical conductivities of the
subsurface materials.

Purpose.—Since electrical conductivity is the reciprocal

of electrical resistivity, electromagnetic surveys are used
to provide resistivity information on subsurface materials.
Electromagnetic conductivity profiling surveys are spe-
cifically used to determine lateral changes in conductivity
of the subsurface materials.

Applications.—Electromagnetic surveys have been used

primarily for mineral exploration; and with the exception
of magnetic surveys, EM surveys are the most commonly

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used geophysical surveys for minerals. EM surveys have

been used in engineering and groundwater investigations.
The method is found to be particularly useful in mapping
contaminant plumes and buried metallic waste such as
metal drums containing hazardous chemicals. EM sur-
veys are suited to hazardous waste studies because the
surveying procedure does not require equipment to touch
potentially contaminated ground. The method has been
used to locate buried pipes and cables and to locate
landmines.

Electromagnetic Conductivity Sounding Surveys

Purpose.—Electromagnetic conductivity sounding sur-

veys are used to determine vertical changes in con-
ductivity of subsurface material.

Applications.—Electromagnetic sounding surveys can

locate areas of permafrost, gravel deposits, map bedrock
topography, and provide general geological information.
EM sounding and profiling surveys have been applied to
mapping areas of salt water intrusion, archaeological
investigations, and fault studies.

Ground Penetrating Radar Surveys

Purpose

Ground penetrating radar (GPR) surveys have the same

general characteristics as seismic surveys. The depth of
investigation with GPR is extremely shallow when com-
pared to seismic surveys. This disadvantage is partially
offset by the much better resolution of GPR.

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Applications

Ground penetrating radar surveys can be used for a

variety of very shallow geotechnical investigations,
including the locations of pipes or other buried manmade
objects such as timbers, very high resolution mapping of
near-surface geology, and detecting cavities, piping, and
leakage in dams. The applications are limited by the very
shallow penetration depth of the very high radar
frequencies. Silts, clays, salts, saline water, the water
table, and any other conductive materials in the sub-
surface severely restrict or stop penetration of radar.

Self-Potential Surveys

Purpose

Self-potential ([SP] spontaneous potential or natural

potential) is the natural electrical potential existing
within the earth due to many causes. These causes can be
classified broadly into two groups (excluding manmade
causes):

Mineralization Potential.—Mineralization potential is

commonly the result of chemical concentration cells
formed when conductive mineral deposits, such as
graphite or sulfide, are intersected by the water table.
Mineralization potentials are almost always negative and
may have values up to several hundred millivolts. Back-
ground potentials can be either positive or negative and
usually have values of only a few tens of millivolts.

Background Potential.—Background potential is

commonly the result of (a) two electrolytes of different
concentration being in contact with one another,
(b) electrolytes flowing through a capillary system or

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porous media, (c) an electrolyte in contact with a solid,

and (d) electromagnetically induced telluric (large scale
flow in the earth’s crust) currents.

The background potentials developed by electrolytes flow-

ing through a capillary system or porous media (called
electro-filtration or streaming potentials) are used to
study seepage. Water flowing through a capillary system
collects and transports positive ions from the surrounding
materials. The positive ions accumulate at the exit point
of the capillary, leaving a net positive charge. The
untransported negative ions accumulate at the entry
point of the capillary leaving a net negative charge. If the
streaming potentials developed by this process are of
sufficient magnitude to measure, the entry point and the
exit point of zones of concentrated seepage may be
determined from the negative and positive self potential
anomalies.

Applications

Self-potential surveys have been used to map the lateral

extent of mineral deposits and, in some instances, provide
information of the configuration of the deposits. Another
exploration application has been to map the depth to and
configuration of certain geothermal areas. Normally, in
geothermal applications, self-potential surveying is used
in conjunction with other geophysical surveys (gravity,
seismic, and electrical).

In geotechnical investigations, self-potential surveys have

been used to map leakage paths from dams. Self-
potential surveying has also been used to map leaks from
canals and buried pipelines that transport liquids.
Detachment walls and lateral limits of some landslide
masses have been mapped with self-potential surveys.

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Self-potential surveying may play an important role in

hazardous waste investigations and in monitoring leakage
from dams.

Magnetic Surveys

Purpose

Magnetic surveys measure anomalous conditions within

the Earth’s magnetic field. The Earth’s magnetic field
resembles the field of a bar magnet. The field is twice as
strong in the polar regions than at the equator. The
intensity of the field in the polar regions is approximately
60,000 gammas; while at the equator, the intensity is
approximately 30,000 gammas. The Earth’s magnetic
field is not symmetrical but contains many large per-
turbations due to local variations in magnetic materials
and larger magnetic features. Within the Earth’s field,
anomalies on the order of one gamma to several thousand
gammas are detected by magnetic surveys. The smaller
anomalies can be detected with complex instruments, and
the larger anomalies can be detected with simpler instru-
ments and field techniques.

Applications

Magnetic surveys have their widest applications in petro-

leum and mineral exploration programs. For applications
in petroleum exploration, the application is somewhat
simpler because the sources of most magnetic anomalies
lie within the basement complex and the overlying
sediments are often "transparent" to magnetic surveys.

In geotechnical investigations, magnetic surveys have

been used to detect buried barrels of contaminated

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materials and to detect and map buried pipelines.

Magnetic surveys have also been used in archaeological
investigations.

Gravity Surveys

Purpose

Gravity anomalies are the result of contrasts in densities

of materials in the Earth. If all the materials within the
Earth were layered horizontally and were of uniform
density, there would be no density contrasts. Density
contrasts of different materials are controlled by a
number of different factors; the most important are the
grain density of the particles forming the material, the
porosity of the material, and the interstitial fluids within
the material. Generally, soil and shale specific gravities
range from 1.7 to 2.2. Massive limestone specific gravities
average 2.7. While this range of values may appear to be
fairly large, local contrasts will be only a fraction of this
range. A common order of magnitude for local density
contrasts is 0.25. Density contrasts can be determined by
calculating the gravity effect of a known model and
comparing that effect with the observed gravity
determined from a gravity survey.

Applications

Gravity surveys provide an inexpensive determination of

regional structures that may be associated with
groundwater aquifers or petroleum traps. Gravity sur-
veys have been one of the principal exploration tools in
regional petroleum exploration surveys. Gravity surveys
have somewhat limited applications in geotechnical
investigations. Gravity surveys have been used to obtain
information on bedrock depths and the top of rock

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configuration in areas where it has not been possible or

practical to use other geophysical techniques. Micro-
gravity (high-precision) surveys have been used in a few
instances to obtain information on the success of grouting
programs. In these cases, microgravity surveys are per-
formed before and after grouting operations and density
contrasts of the two surveys are compared. Microgravity
surveys have been used for archaeological investigations.

Glossary

Accelerometer – Transducer with output proportional to

acceleration. A moving coil geophone (type of
transducer) with a response proportional to
frequency may operate as an accelerometer.

Acoustic Logging – borehole log of any of several

aspects of acoustic-wave propagation (e.g., a sonic,
amplitude, character, or three-dimensional log).

Air Wave – Energy from a shot which travels in the air

at the velocity of sound.

Amplitude – The size of a signal, either in the ground or

after amplification. Usually measured from the zero
or rest position to a maximum excursion. The
amplitude of a signal has units based on the
measurement of the signal (e.g., acceleration (inch
per square second [in/sec2]), velocity (inches per
second [in/sec]) or displacement (inches [in]).

Analog – (1) A continuous physical variable (such as volt-

age or rotation) that has a direct relationship to
another variable (such as acceleration) with one

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proportional to the other. (2) Continuous as opposed

to discrete or digital.

Anomaly – A deviation from normal or the expected. For

example, a travel time anomaly, Bouger anomaly,
free-air anomaly.

Apparent Velocity – (1) The velocity that a wave-front

registers on a line of geophones. (2) The inverse
slope of a time-distance curve.

Automatic Gain Control (AGC) – The output

amplitude controls the gain of a seismic amplifier,
usually individual for each channel; but sometimes,
multi-channel devices are used.

Basement (Complex) – (1) generally of igneous and

metamorphic rocks overlain unconformably by
sedimentary strata. (2) Crustal layer beneath a
sedimentary layer and above the Mohorovicic
discontinuity.

Bedrock – Any solid rock exposed at the surface of the

earth or overlain by unconsolidated material.

Bit – A binary digit; either a 1 (one) or 0 (zero).

Body Waves – The only waves that travel through the

interior of a body consisting of P-waves and S-waves.

Byte – Word.

Cable – The assembly of electrical conductors used to

connect geophone groups or other instruments.

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Casing – Tubing or pipe used to line drill holes or shot-

holes to keep them from caving.

Cathodic Protection – Electrical corrosion protection

for pile foundations, electrical grounding mats, bur-
ied pipelines, or any metal subject to corrosion.

Channel – (1) A single series of interconnected devices

through which geophysical data can flow from source
to recorder. (2) An elongated depression or geological
feature. (3) An allocated portion of the radio fre-
quency spectrum.

Channel Wave – An elastic wave propagated in a layer

of lower velocity than layers on either side. Energy
is largely prevented from escaping from the channel
because of repeated total reflection at the channel
boundaries or because rays that tend to escape are
refracted back toward the channel.

Character. – (1) The recognizable aspect of a seismic

event, usually displayed in the waveform that
distinguishes the event from other events. Usually,
a frequency or phasing effect, often not defined
precisely and dependent upon subjective judgment.

Common Depth Point (CDP). – The same portion of

subsurface that produces reflections at different
offset distances on several profiles.

Compressional Wave – An elastic body wave with

particle motion in the direction of propagation.
Same as P-waves, longitudinal wave, dilatation
wave, irrotational.

Converted Wave – A wave that is converted from

longitudinal to transverse, or vice versa, upon
reflection or refraction at oblique incidence from an
interface.

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Critical Angle – Angle of incidence, 2c, for which the

refracted ray grazes the contact between two media
(of velocities V1 and V2):

sin 2c = V1/V2

Critical Distance – (1) The offset at which a refracted

event becomes the first break; cross-over distance.
(2) The offset at which the reflection time equals the
refraction time (i.e., the offset at which the reflection
occurs at the critical angle).

Crossfeed (Crosstalk) – Interference resulting from the

unintentional pickup of information or noise from
another channel.

Datum – (1) The arbitrary reference level to which meas-

urements are corrected. (2) The surface from which
seismic reflection times or depths are measured,
corrections having been made for local topographic
and/or weathering variations. (3) The reference level
for elevation measurements, often sea level.

Delay Time – (l) In refraction work, the additional time

taken for a wave to follow a trajectory to and along a
buried marker over that which would have been
taken to follow the same marker hypothetically at
the ground surface or at a reference level. Normally,
delay time exists separately under a source and
under a detector and depends on the depth of the
marker at wave incidence and emergence points.
Shot delay time plus geophone delay time equals
intercept time. (2) Delay produced by a filter.
(3) Time lag introduced by a delay cap.

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Diffraction – (1) Scattered energy which emanates from

an abrupt irregularity, particularly common where
faults cut reflecting interfaces. The diffracted energy
shows greater curvature than a reflection (except in
certain cases where there are buried foci), although
not necessarily as much as the curve of maximum
convexity. Diffraction frequently blends with a
reflection and obscures the fault location or becomes
confused with dip. (2) Interference produced by
scattering at edges. (3) Causes energy to be trans-
mitted laterally along a wave crest. When a portion
of a wave train is interrupted by a barrier,
diffraction allows waves to propagate into the region
of the barrier's geometric shadow.

Digital – Representation of quantities in discrete units.

An analog system represents data as a continuous
signal.

Dipole – A pair of closely spaced current electrodes that

approximates a dipole field from a distant pair of
voltage detecting electrodes.

Elastic Constants –

(1) Bulk modulus, k. – The stress-strain ratio under

hydrostatic pressure.

∆P
k=
∆V / V

where )P = pressure change, V = volume, and )V =

volume change.

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(2) Shear modulus, :. – rigidity modulus, Lame's

constant. The stress-strain ratio for simple shear.

Ft / A
µ=
∆L / L

where Ft = tangential force, A = cross-sectional area,

L = distance between shear planes, and )L = shear
displacement. Shear modulus can also be expressed
in terms of other moduli as:

E
µ=
(1 + σ )
where E = Young's modulus, and F = Poisson's ratio.

(3) Young's modulus, E. – The stress-strain ratio

when a rod is pulled or compressed.

∆F / A
E=
∆L / L

where )F/A = stress (force per unit area), L =

original length, and )L = change in length.

(4) Lame' constant, 8. – a tube is stretched in the

up-direction by a tensile stress, S, giving an upward
strain, s, and S’ is the lateral tensile stress needed to
prevent lateral contraction, then:

S'
λ=
s
This constant can also be expressed in terms of
Young’s modulus, E, and Poisson’s ratio, F:

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σE
λ=
(1 + σ )(1 − 2σ )
Electromagnetic – Periodically varying field, such as
light, radio waves, radar.

End Line – Shotpoints that are shot near the end of the
spread.

Fan Shooting – An early use of the refraction seis-

mograph to find salt domes within a thick, low-
velocity section; detectors located in widely spaced
fan-like arrays radiating from the shot locations.

Filter – (1) A device that discriminates against some of

the input information. The discrimination is usually
on the basis of frequency, although other bases such
as wavelength or moveout (see velocity filter) may be
used. The act of filtering is called convolution.
(2) Filters may be characterized by their impulse
response or, more usually, by their amplitude and
phase response as a function of frequency. (3) Band-
pass filters are often specified by successively listing
their low-cutoff and high-cutoff points. (4) Notch
filters reject sharply at a particular frequency.
(5) Digital filters filter data numerically in the time
domain. Digital filtering can be the exact equivalent
of electrical filtering. Digital filtering is very versa-
tile and permits easy filtering according to
arbitrarily chosen characteristics.

First Break or First Arrival – The first recorded signal

attributable to seismic wave travel from a source.
First breaks on reflection records provide informa-
tion about weathering. Refraction work is based

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principally on the first breaks, although secondary

(later) refraction arrivals are also used.

Frequency – The repeat rate of a periodic wave,

measured in hertz. Angular frequency, measured in
radians per second.

Galvanometer – A coil suspended in a constant mag-

netic field. The coil rotates through an angle propor-
tional to the electrical current flowing through the
coil. A small mirror on the coil reflects a light beam
proportional to the galvanometer rotation.

Geophone (Seismometer, Jug) – Instrument used to

convert seismic energy (vibration) into electrical
energy.

Geophone Station – Location of a geophone on a

spread.

Gravimeter. – An instrument for measuring variations

in gravitational attraction.

Gravity Survey – A survey performed to measure the

gravitational field strength, or derivatives, that are
related to the density of different rock types.

Group Velocity – The velocity at which most of the

energy in a wave train travels. In dispersive media
where velocity varies with frequency, the wave train
changes shape as it progresses so that individual
wave crests appear to travel at velocities (the phase
velocity) different from the overall energy as
approximately enclosed by the envelope of the wave
train. The velocity of the envelope is the group
velocity. Same as dispersion.

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Head Wave – See refraction wave.

Hidden Layer – A layer that cannot be detected by

refraction methods; typically, a low velocity layer
beneath a high velocity layer.

Hydrodynamic Wave – A seismic surface wave

propagated along a free surface. The particle motion
is elliptical and prograde (M2 type Rayleigh or
Sezawa) (e.g., Rayleigh-type wave dependent upon
layering).

Hydrophone (Pressure Detector) – A detector sensi-

tive to variations in pressure, as compared to a
geophone, which is sensitive to motion. Used when
the detector can be placed below a few feet of water
such as in marine or marsh applications or as a well
seismometer. The frequency response of the hydro-
phone depends on the depth beneath the surface.

In-line Offset – Shot points that are in line, but offset to

a spread.

Lead – An electrical conductor (wire cable) used to

connect electrical devices. Geophones are connected
to cables at the takeouts via leads on the geophones.

Love Wave – A surface seismic wave associated with lay-

ering. This wave is characterized by horizontal
motion perpendicular to the direction of propagation,
with no vertical motion.

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Low-velocity Layer (LVL) – The surface layer that has

low seismic velocity.

Magnetic Survey – A survey to measure the magnetic

field or its components as a means of locating
concentrations of magnetic materials or determining
depth to basement.

Mis-tie – (1) The time difference obtained on carrying a

reflection event or some other measured quantity
around a loop; or the difference of the values at
identical points on intersecting lines or loops. (2) In
refraction shooting, the time difference from reversed
profiles that gives erroneous depth and dip
calculations.

Multiple – Seismic energy that has been reflected more

than once (e.g., long-path multiple, short-path
multiple, peg-leg multiple, and ghosts).

Noise – (1) Any undesired signal or disturbance that does

not represent any part of a message from a specified
source. (2) Sometimes restricted to random energy.
(3) Seismic energy that is not resolvable as re-
flections. Noise can include microseisms, shot-
generated noise, tape-modulation noise, and
harmonic distortions. Sometimes divided into co-
herent noise (including non-reflection coherent
events) and random noise (including wind noise,
instrument noise, and all other energy which is non-
coherent). (3) Random noise can be attenuated by
compositing signals from independent measure-
ments. (4) Sometimes restricted to seismic energy

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not derived from the shot explosion. (5) Disturbances

in observed data due to more or less random inhomo-
geneities in surface and near-surface material.

Noise Analysis – A profile or set of profiles used to

gather data for an analysis of coherent noise. Used
to design geophone arrays in reflection surveys.

Noise Survey (Ground Noise Survey) – A survey of

ambient, continuous seismic noise levels within a
given frequency band. This technique is a useful tool
for detecting some geothermal reservoirs because
they are a source of short-period seismic energy.

On-line – Shot points that are not at any point on a

spread other than at the ends.

Original Data – (1) Any element of data generated

directly in the field in the investigation of a site.
(2) A new element of data resulting from a direct
manipulation or compilation of field data.

Oscillograph – A device that records oscillations as a

continuous graph of corresponding variation in an
electric current or voltage.

Oscilloscope – A device that visually displays an

electrical wave on a screen (e.g., on a cathode ray
tube).

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Phase Velocity – The velocity of any given phase (such

as a trough or a wave of single frequency); it may
differ from group velocity because of dispersion.

Plant – The manner in which a geophone is placed or the

coupling to the ground.

Primacord – An explosive rope that can be used to either

connect explosive charges or to detonate separately
as a primary energy source.

Profile – The series of measurements made from several

shotpoints to a recording spread from which a
seismic data cross section or profile can be
constructed.

Radar – An exploration method where microwaves are

transmitted into a medium and are reflected back by
objects or layers. The reflected microwaves are re-
ceived and processed to provide an image of the
subsurface. May be used for shallow penetration
surveys.

Rayleigh Wave – A seismic wave propagated along a

free surface. The particle motion is elliptical and
retrograde.

Ray Path – The path of a seismic wave. A line every-

where perpendicular to wave-fronts (in isotropic
media).

Reconnaissance – (1) A general examination of a region

to determine its main features, usually preliminary
to a more detailed survey. (2) A survey to determine

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regional geological structures or to determine

whether economically prospective features exist,
rather than to map an individual structure.

Reflection Survey – A survey of geologic structure using

measurements made of arrival times of seismic
waves that have been reflected from acoustic
impedance change interfaces.

Refraction Survey – A survey of geologic structure

using compressional or head waves. Head waves
involve energy that enters a high-velocity medium
(refractor).

Refraction Wave (Headwave, Mintrop Wave,

Conical Wave) – Wave travel from a point source
obliquely downward to and along a relatively high
velocity formation or marker and then obliquely
upward. Snell's law is obeyed throughout the tra-
jectory. Angles of incidence and of emergence at the
marker are critical angles. Refracted waves typically
following successively deeper markers appear as first
arrivals with increasing range (shot to detector
distance). Refracted waves following different
markers may have different arrival times for any
given range. Refracted waves cannot arise for angles
of incidence less than the critical angle for any given
marker. At the critical angle, the refracted wave
path (and travel time) coincides with that of a wide
angle reflection.

Refractor (Refraction Marker) – An extensive,

relatively high-velocity layer underlying lower velo-
city layers that transmits a refraction wave nearly
horizontally.

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Resistivity – An electrical property of rock reflecting the

conductivity of an electrical current. Resistivity is
the ratio of electric field intensity to current density.

Resistivity Meter – A general term for an instrument

used to measure the in place resistivity of soil and
rock materials.

Resistivity Survey – A survey that measures electric

fields and earth resistivity of a current induced into
the ground.

Reverse Profile – A refraction seismic profile generated

by shooting both ends of a spread.

Roll-along – A mechanical or electrical switch that

connects different geophones (or geophone groups) to
the recording instruments. The use of a roll-along
switch permits common depth point reflection data
to be easily acquired in the field.

Seismic Amplifier – An electronic device used to in-

crease the electrical amplitude of a seismic signal.

Seismic Camera – A recording oscillograph used to

make a seismic record.

Seismic Cap – A small explosive designed to be deto-

nated by an electric current that detonates another
explosive. These caps are designed to provide very
accurate time control on the shot.

Seismic Velocity – The rate of propagation of seismic

waves through a medium.

Seismogram – A seismic record.

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Self-potential (Spontaneous Potential, Natural

Potential, SP) – The direct current or slowly
varying natural ground voltage between nearby non-
polarizing electrodes.

Shear Wave – A body wave with the particle motion

perpendicular to the direction of propagation. (Same
as S-wave, equivoluminal, transverse wave.)

Shooter – The qualified, licensed individual (powder-

man) in charge of all shot point operations and
explosives on a seismic crew.

Shot Depth – The distance from the surface down to the

explosive charge. The shot depth is measured to the
center or bottom of the charge with small charges.
The distances to both the top and bottom of the
column of explosives are measured with large
charges.

Shot Instant (Time Break, TB, Zero Time) – The

instant at which a shot is detonated.

Shot Point – Location of the energy source used in

generating a particular seismogram.

Signal Enhancement – A process used in seismographs

and resistivity systems to improve the signal-to-
noise ratio by real-time adding (stacking) of
successive waveforms from the same source point.
Random noise tends to cancel out, and the coherent
signal tends to add or stack.

Snell’s Law – When a wave crosses a boundary between

two isotropic mediums, the wave changes direction
such that the sine of the angle of incidence of the
wave divided by the velocity of the wave in the first
medium equals the sine of the angle of refraction of

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the wave in the second medium divided by the

velocity of the wave in the second medium (see
critical angle).

Spread – The layout of geophone groups from which data

from a single shot are simultaneously recorded.

Stanley Wave – A type of seismic surface wave prop-

agated along an interface.

Surface Wave – Energy that travels along or near the

surface (ground roll).

Takeout – The connections on a multiconductor cable for

connecting geophones. May refer to the short cable
leads from the geophones (pigtails).

Time Break – The mark on a seismic record that indi-

cates the shot instant or the time the seismic wave
was generated.

Trace – A record of one seismic channel. This channel

may contain one or more geophones.

Vibration Monitor – A sensitive, calibrated recorder of

ground and structural acceleration and velocity.
Measurements are made to determine vibration
amplitudes and modal frequencies of buildings,
towers, etc., under ambient conditions, as well as to
detect potentially damaging vibrations caused by
blasting, pile driving, etc.

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Vibroseis – A seismic energy source consisting of con-

trolled frequency input into the earth by way of large
truck mounted vibrators. Trademark of Continental
Oil Company (Conoco).

Wave Length – The distance between successive similar

points on two adjacent cycles of a wave measured
perpendicular to the wavefront.

Wave Train – (1) The sum of a series of propagating

wave fronts emanating from a single source. (2) The
complex wave form observed in a seismogram
obtained from an explosive source.

Weathering Spread – A short-spaced geophone interval

refraction spread used to provide corrections to
refraction data caused by delay times in near-
surface, low-velocity materials.

WWV(B) – The National Institute of Standards and Tech-

nology (NIST) radio stations that broadcast time and
frequency standards.

For the definition of other geophysical terms used in this

manual, refer to: Glossary of Terms Used in Geophysical
Exploration, Society of Exploration Geophysicists, Tulsa,
Oklahoma, 1984.

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Bibliography

Mooney, H.M., Handbook of Engineering Geophysics,

Volume 1: Seismic, Bison Instruments, Inc., Minneapolis,
Minnesota, 1984.

Telford, W.M., et al., Applied Geophysics, Cambridge

University Press, New York, New York, 1976.

U.S. Corps of Engineers, Geophysical Exploration for

Engineering and Environmental Investigations,
Engineering Manual EM 111-1-1802, 1995.

U.S. Geological Survey, Application of Surface Geophysics

to Ground-Water Investigations, Chapter D1, Book 2,
Techniques of Water-Resources Investigations of the
United States Geological Survey, 1974.

Van Blaricom, R., compiler, Practical Geophysics II for the

Exploration Geologist, Second Edition, Northwest Mining
Association, Spokane, Washington, 1992.

Ward, S.H., editor, Geotechnical and Environmental

Geophysics, Society of Exploration Geophysics, Tulsa,
Oklahoma, 1990.

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 Chapter 14

BOREHOLE GEOPHYSICAL
AND WIRELINE SURVEYS

Introduction

Wireline surveys determine physical properties in and

beyond the wall of a borehole by devices attached to a
cable, or wireline. Subsurface geologic conditions and
engineering characteristics can be derived directly or
indirectly from the wide variety of measurable properties
available by wireline surveying. Wireline logging tech-
niques commonly are classified by the kind of energy that
is input (active systems) or received (passive systems),
including electric, seismic or acoustic, nuclear, magnetic,
gravity, or optical. Logging tools are also classified
according to whether they are for use in open holes or
cased holes. Data from several methods are often
combined to evaluate a single geologic or engineering
characteristic. This chapter describes the methods and
discusses the application of borehole wireline surveying to
geotechnical exploration and investigation.

Electric Logging Techniques

An electric log is a continuous record of the electrical

properties of the fluids and geologic materials in and
around a borehole. Electric logging is performed in the
uncased portion of a borehole by passing electric current
through electrodes in the logging device, or sonde, and out
into the borehole and the geologic medium. Other
electrodes located on the surface or in the borehole
complete the circuit to the source and recording device.
Electric logging surveys are efficient and cost effective
because the process is automated and several electrical
properties are measured simultaneously by combining
several electrode configurations in the same tool.

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Electric logging techniques can be used in geotechnical

investigations to assess the variation with depth of
geologic materials and associated fluids. Electric logs
from two or more boreholes are used to correlate and
determine the continuity of geologic strata or zones that
have similar electrical properties. Since the electrical
properties depend on physical characteristics, the
porosity, mineral composition, water content (saturation),
water salinity, lithology, and continuity of the bedding
can often be deduced. Borehole electric logs are also the
best source of control for surface electrical surveys by
providing subsurface layer resistivities. Electric log
correlation of continuous layers from borehole to borehole
is relatively simple. The interpretation of physical
properties from electric logs can be ambiguous and
complicated. Different combinations of water content,
salinity, mineralogy, porosity, and borehole peculiarities
can produce similar electric logs.

Spontaneous Potential (SP) Log

The spontaneous potential or SP logging device records

the difference in potential in millivolts between a fixed
electrode at the surface and an electrode in a borehole
(figure 14-1). The measured potential difference changes
as the electrical potential between the borehole fluid and
the fluids in the various strata opposite the sonde
changes. The spontaneous potential device commonly is
incorporated into the multiple-electrode resistivity sonde
so that resistivity and SP logs are acquired simulta-
neously. Figure 14-2 illustrates a typical SP resistivity
log. The recording is a relative measurement of the
voltage in the borehole. Readings opposite shales or clays
are relatively constant and form the shale baseline, or
"shale line." The SP curve typically deflects to the left or
right opposite permeable formations depending on the
salinity of the drilling mud. Sandstone and other porous

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Figure 14-1.—Spontaneous potential survey

elements.

and permeable strata allow the different fluids to mix and

produce salinity of the pore fluid with respect to the
borehole fluid and the clay content of the strata. The
SP peaks are commonly displayed to the left of the shale
line because negative potentials are more commonly
encountered. In fresh water, SP anomalies are typically
inverted (i.e., they appear to the right of the shale
baseline).

SP logs are used in combination with resistivity logs to

define strata boundaries for correlation and to infer the
lithology of the strata as a function of permeability and
resistivity. The shape of the SP curve depends on the
drilling mud used and the geologic strata encountered.
For example, the SP curve for a shale bed would indicate
zero deflection (the shale line in figure 14-2), and the

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Figure 14-2.—Electric log showing SP and

resistivity in different beds.

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resistivity curve would indicate low resistivity because of

bound water in the clay and trapped water in the shale.
Generally, the SP and resistivity curves converge opposite
shale strata (A in figure 14-2) and diverge opposite
permeable fresh water sands (B in figure 14-2). A
limestone bed, which usually is highly resistive but
develops little spontaneous potential, would produce a
large resistivity deflection but a subdued SP peak (C in
figure 14-2). A permeable sand bed with pore water of
high salinity typically would produce little resistivity
deflection but a large negative SP peak (D in figure 14-2).
The determination of lithologies from SP logs should be
done cautiously because many factors contribute to the
magnitudes and directions of the curve deflections. The
SP log is best used with resistivity and other logs to detect
strata boundaries and to correlate strata between
boreholes. The SP log is also used to determine formation
water resistivities.

Single-Point Resistance Log

Single-point resistance loggers are the simplest electrical

measuring devices. A current can flow between a single
electrode placed in a borehole and another electrode at the
ground surface (figure 14-3). The earth between the
electrodes completes the circuit. Single-point resistance
logs are not commonly used in modern logging operations
but illustrate the principal of down-hole electric logging.
The resistance, R, of the circuit (electrodes plus earth) can
be calculated from Ohm’s Law, R = V/I, where V is the
measured voltage drop and I is the current through the
circuit. The resistance of a circuit is determined by the
conductor’s size, shape, and resistivity, p, an intrinsic
property of a material. Resistance of the conductor (the
earth) is a convenient and useful property determined by
pore fluid content, pore fluid composition, lithology, and
continuity of strata. The resistivity of the measured

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Figure 14-3.—Single-point resistivity array.

section of earth is determined from p = KR, where K is a

geometric factor which differs for different electrode
configurations and R is the measured resistance V/I. A
single point resistance log measures an apparent
resistance of a section made up of borehole fluid and the
various individual strata between the borehole and the
ground surface electrode. The multiple electrode arrays
discussed below are designed to narrow and better define
the measured sections so that individual strata are
represented more accurately by the logs.

Multiple Electrode Array Log

Wireline electrical systems using multiple electrode

arrays in the borehole provide better resolution of

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resistivity and associated properties of individual strata

within the subsurface than can be achieved with the
single-point array. Multiple electrode arrays include the
short- and long-normal array, lateral array, and focused-
current or guard logging systems. Current electrodes
usually are designated A and B, and potential electrodes
are designated M and N. "Normal" arrays place the in-
hole current electrode far away, at effective infinity
(figure 14-4A). "Lateral" devices place the two potential
electrodes close together with respect to the in-hole
current electrode (figure 14-4B). Conventional modern
logging systems use a sonde made up of two normal
devices and one lateral device to produce three resistivity
logs and the SP log simultaneously.

The normal resistivity arrays (figure 14-4A) are called

short normal or long normal depending on the spacing of
the in-hole current (A and B) and potential (M and N)
electrodes. The industry standard AM electrode spacing
is 16 inches (in) for the short normal and 64 in for the
long normal. The normal arrays measure the electrical
potential at the in-hole electrode M. The greater the
spacing between the current and measuring electrodes,
the greater the effective penetration (effective penetration
distance = ½ AM) of the device into the surrounding
geologic medium.

The lateral resistivity array is shown in figure 14-4B. The

actual positions of the electrodes may vary from the
circuit shown, but the resistivity measurements are the
same. The lateral array spacing is measured from the
A current electrode to the center (0) of the potential
electrode configuration and is called the AO spacing. The
lateral array measures the potential difference, or
gradient, between the two in-hole potential electrodes and
is also called the gradient array. The influence of the

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Figure 14-4.—Multiple-electrode resistivity

arrays. (A and B are current electrodes.
M and N are potential electrodes.)

geologic medium away from the borehole (the effective

penetration of the system) is greatest for the lateral array
with an 18-foot 8-in spacing and least for a 16-in short
normal array.

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The focused-current, or guard, resistivity device is a mod-

ified single-electrode array in which "guard" current elec-
trodes are placed above and below a central current
electrode and two pairs of potential electrodes
(figure 14-5). Current in the central and guard electrodes
is adjusted so that zero potential exists between the
potential electrodes and the current is thus forced or
focused to flow out into the geologic medium in a narrow
band. The device then measures the potential between the
sonde electrodes and a reference electrode at the ground
surface. Focusing the current into a band of
predetermined thickness gives the focused array much
greater thin bed and stratum boundary resolution than
the other arrays.

Geotechnical applications for multiple-electrode resistivity

arrays include apparent resistivity and an approximation
of true resistivities of individual strata or zones.
Resistivity data aid in the interpretation of surface
electrical surveys, which generally are less expensive to
conduct than down-hole surveys and can be applied over
large areas. Since the depth of penetration of the
measuring circuit into the geologic medium varies with
the electrode spacing, logs of the various arrays (short-
and long-normal and lateral) can be analyzed collectively
to evaluate the effects of bed thickness, borehole fluids,
drilling mudcake, variations in fluids, and permeabilities
of strata at various distances from the borehole. The
curve shapes of the logs for several boreholes permit
correlation of strata and zones from borehole to borehole.
Normal devices produce better boundary definition of
thick strata than do lateral devices, but lateral logs are
more effective in delineating thin strata and thin, highly
resistive zones. The focused logs discriminate more
sharply between different strata, define strata boundaries
better, and give a better approximation of true stratum
resistivity than do normal or lateral logs. Porosity and

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Figure 14-5.— Focused current, or guard,

resistivity array.

water content of strata and salinity of pore fluids can be

calculated from the logs if sufficient information is
obtained.

Microlog

Special purpose electric logging devices are available to

supplement or, in some cases, replace standard resistivity

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logs. The microlog (also called contact log, microsurvey,

and minilog) records variations in resistivity of a narrow,
shallow zone near the borehole wall. The microlog sonde
is equipped with three closely spaced electrodes placed on
a rubber pad which is pressed against the borehole wall
(figure 14-6). Microlog electrode spacings are about 1 to
2 in (2.5 to 5 centimeters [cm]). Depth of investigation for
the microlog is about 3 in (7.5 cm) from the borehole wall.
Normal, lateral, and guard arrays can be configured in
the microlog survey. Porous permeable zones allow the
mud cake to penetrate the strata, and the resulting
microlog will indicate resistivities close to that of the
mud.

Induction Log

Induction logging is performed in dry boreholes or

boreholes containing nonconducting fluids. Induction
logging can be done in holes cased with polyvinyl chloride
(PVC) casing. The induction logger is housed in a sonde
that uses an induction coil to induce a current in the
geologic medium around a borehole. The induction logger
is a focused device and produces good thin-bed resolution
at greater distances from the borehole than can be
achieved with normal spacing devices. A primary
advantage over other devices is that the induction logger
does not require a conductive fluid in the borehole.

Nuclear Radiation Logging Techniques

A nuclear radiation log is a continuous record of the

natural or induced radiation emitted by geologic materials
near the borehole. Nuclear radiation logging is performed
by raising a sonde containing a radiation detector or a de-
tector and a radioactive source up a borehole and record-
ing electrical impulses produced by a radiation detector.

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Figure 14-6.—Microlog resistivity logging device.

Nuclear radiation logging can be used in geotechnical

investigations to correlate strata between boreholes, aid
in determining lithology, and derive or measure directly
many physical parameters of the subsurface materials,

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including bulk density, porosity, water content, and

relative clay content. Most nuclear radiation logging
systems can be operated in cased boreholes, giving them
an advantage over electrical wireline logging systems.
Nuclear logs can also be run in old boreholes, which are
more likely to be cased than recent boreholes. The logs
are among the simplest to obtain and interpret, but the
calibrations required for meaningful quantitative inter-
pretations must be meticulously performed. Nuclear
radiation logging tools should be calibrated in controlled
calibration pits. Under favorable conditions, nuclear
borehole measurements approach the precision of direct
density tests of rock cores. The gamma-gamma density
log and the neutron water content log require the use of
isotopic sources of nuclear radiation. Potential radiation
hazards necessitate thorough training of personnel
working around the logging sources.

Three common wireline nuclear radiation systems are the

gamma ray or natural gamma logger, the gamma-gamma
or density logger, and the neutron logger. The gamma-
gamma and neutron devices require the use of a
radioactive source material. The gamma ray device is a
passive system and does not use a radioactive source. All
the systems employ an in-hole sonde containing the
source and detector. Most devices require a borehole
diameter of at least 2 in (5 cm) and investigate a zone
extending 6 to 12 in (15 to 30 cm) from the borehole.
Applications differ for the three systems and depend on
the properties measured.

Gamma Ray (Natural Gamma) Log

The gamma ray or natural gamma radiation device

provides a continuous record of the amount of natural
gamma radiation emitted by geologic materials near the
sonde. The gamma-ray detector converts incoming

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gamma radiation to electrical impulses proportional to the

number of rays detected and sends the amplified electrical
impulses to the surface. Gamma ray logs generally reveal
the presence of shale or clay beds because clay minerals
commonly contain the potassium isotope K40 ,which is the
primary source of natural gamma radiation in most sedi-
ments. Shales and clays usually produce a high gamma
ray count, or a peak on the log.

The relative density of a stratum is also indicated by

natural gamma ray logs because gamma radiation is
absorbed more by dense materials than by less dense
materials. Gamma ray logging can be conducted in cased
boreholes and is sometimes used in place of SP logging to
define shale (clay) and non-shale (non-clay) strata. The
natural gamma ray and neutron logs are usually run
simultaneously from the same sonde and recorded side-
by-side. The gamma ray log also infers the effective
porosity in porous strata with the assumption that high
gamma counts are caused by clay filling the pores of the
strata. Gamma ray logs are used to correct gamma-
gamma density logs. Gamma ray logs are standard in
radiation logging systems.

Natural Gamma Spectral Log

Spectral logging permits the identification of the

naturally occurring radioactive isotopes of potassium,
uranium, and thorium which make up the radiation
detected by the natural gamma ray detector. Spectral
logging technology allows the detection and identification
of radioactive isotopes that contaminate water resources,
or are introduced as tracer elements in hydrologic studies.

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Density or Gamma-Gamma Log

The gamma-gamma or density logging device measures

the response of the geologic medium to bombardment by
gamma radiation from a source in the sonde. Electrons in
the atoms of the geologic medium scatter and slow down
the source gamma rays, impeding their paths to the
detector. Figure 14-7 illustrates the operation of the
gamma-gamma device. Since electron density is propor-
tional to bulk density for most earth materials, strata
with high bulk densities impede the source gamma rays
more than low density strata and produce correspondingly
lower counts at the detector. The primary use of the
gamma-gamma log is determining bulk density. If bulk
density and grain density are known from samples and if
fluid density can be determined, the porosity can be
calculated. Gamma-gamma logs can also be used for
correlation of strata between boreholes.

Gamma-gamma logging is best conducted in uncased

boreholes using decentralizing devices to keep the sonde

Figure 14-7.—Gamma-gamma logging sonde.

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against the borehole wall. The system is affected by bore-

hole diameter and wall irregularities and must be
carefully calibrated for the effects of hole diameter, decay
of the strength of the radioactive source, natural gamma
radiation in the geologic medium, and borehole fluid den-
sity. A caliper log is commonly run to permit calibration
for hole diameter. Some logging systems simultaneously
display the gamma ray count on one side of the log and
bulk density on the other side, with the bulk density log
automatically corrected for the effects of mud cake and
wall irregularity.

Neutron Log

Neutron logging is an active system that measures the

response of the geologic medium to emission of neutron
radiation from a source located in the sonde. Neutrons
emitted by the source are captured by certain atoms,
especially hydrogen nuclei, in the strata near the sonde.
Figure 14-8 illustrates the operation of the neutron
logging device. Collision of neutrons with atoms of the
geologic medium causes secondary emission of neutrons
and gamma rays, a portion of which are picked up by the
detector. A high concentration of hydrogen atoms near
the source captures a greater number of neutrons and
produces a smaller counting rate at the detector.

Neutron detectors may detect gamma (neutron-gamma) or

neutron (neutron-neutron) radiation. Water and hydro-
carbons contain high concentrations of hydrogen atoms.
If the fluid in the strata is assumed to be water, the
neutron log is an indicator of the amount of water present.
Determination of volumetric water content (weight of
water per unit volume measured) is a principal use of
neutron logging. In saturated materials, the neutron log
can be an indicator of porosity, the ratio of the volume of
void space to the total volume. Bulk densities from
gamma-gamma logs, grain densities from samples, caliper

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Figure 14-8.—Neutron logging sonde.

log data, and natural gamma log information can be com-

bined with the volumetric water contents from neutron
logs to calculate the more commonly used geotechnical
parameters of water content by weight, wet and dry
density, void ratio, porosity, saturation, and lithology.

Neutron logs and natural gamma radioactive logs can be

obtained through thick borehole casing and are usually
run together. Figure 14-9 illustrates the format of the
tandem logs and typical responses for several lithologies.
The response of different lithologies to the natural gamma
and neutron devices is controlled directly by the amount
of radioactive material present (especially the clay
content) and the fluid content and indirectly by the
porosity and bulk density of the material. For example,
the saturated sand of figure 14-9 absorbs neutron
radiation, produces a correspondingly low neutron log
count, and produces a low natural gamma count because
of the lack of clay in its pores.

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Figure 14-9.—Typical curve responses

for nuclear radiation logs.

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Neutron activation or spectral logs provide spectral anal-

yses of the geologic medium near the borehole to detect
the presence of certain elements. The spectral logging
sonde activates a neutron source in bursts of short
duration and activates the gamma ray detector only
during the source bursts. As a result, only certain
radiation ("prompt" gamma rays) is detected. The system
produces a plot of counts versus gamma ray energy.
Peaks on the energy/count plot identify specific elements,
for example carbon, silicon, magnesium, or chlorine.
Spectral logs may have application to groundwater
quality investigations.

Neutrino Log

Neutrino logs are not necessarily a borehole log, but the

method can and often is performed in drill holes.
Neutrino sources are located throughout the universe
with the closest and most useful source being the sun.
Using the sun as a neutrino source eliminates the need
for a special source, and there are no handling and
licensing problems that are often associated with other
nuclear logs. Neutrinos penetrate the earth with little to
no impediment, so neutrino logs can be run at any time of
day or night. Logging tools generally consist of strings of
widely spaced photomultiplier tubes (PMT) placed into
the borehole. High-energy neutrinos passing through the
rock will occasionally interact with the rock and create a
muon. These muons emit Cherenkov light when passing
through the array and are tracked by measuring the
arrival times of these Cherenkov photons at the PMTs.
Resolution is high because the source (Sun) only subtends
half a degree at this distance (93 million miles from
Earth). Neutrino logging is particularly useful in cased
holes and when fluid in the hole is not a factor. New or
old holes can be logged no matter what the hole contains.
These logs are often used for tomography. Tomography is

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particularly useful and convenient because, as the Earth

rotates, the source penetrates a full 360 degrees, similar
to CAT scan or Magnetic Resonance Imaging. A
drawback is that 24 hours is required to run a complete
neutrino tomography log.

Acoustic/Seismic Logging Techniques

Wireline acoustic/seismic logging systems use medium- to

high-frequency acoustic (sonic) energy emitted from a
sonde to image the borehole wall or to obtain seismic
velocities of the geologic material in the wall or in the
formation away from the borehole. Acoustic systems use
sonic energy generated and propagated in a fluid such as
water. Seismic systems use sonic energy propagated
through the ground in geologic materials. The three
systems discussed in this section are the acoustic velocity
logger, an acoustic and seismic energy system; a borehole
imaging device, an acoustic system; and the cross-hole
seismic technique, a seismic technique.

The borehole imaging and acoustic velocity systems are

used in geotechnical investigations to evaluate geologic
conditions including attitude and occurrence of dis-
continuities and solution cavities and in determining the
effective porosity and elastic properties of rock. The
down-hole systems also supply subsurface information for
interpreting surface-applied geophysical surveys. The
frequency of the energy pulse produced by the sonde’s
transducer determines whether the energy penetrates the
borehole wall for acoustic/seismic velocity surveys.
Medium frequencies are used in acoustic/seismic velocity
surveys. The energy is reflected from the wall for imaging
surveys. High frequencies are used in acoustic/seismic
velocity surveys. Borehole imaging velocity devices
generate compressional (P-wave) energy. The acoustic

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velocity device generates primarily compressional energy

but also generates shear (S-wave) energy if the shear
wave velocity exceeds the fluid velocity. The cross-hole
seismic technique generates P- and S-wave energies and
determines their velocities.

Acoustic Velocity Log

The continuous acoustic velocity (sonic) logger measures

and records the velocity of acoustic energy (seismic waves)
in the material adjacent to the borehole. A transmitter
located at one end of the sonde generates an electro-
mechanical pulse that is transmitted through the bore-
hole fluid into the borehole wall and by refraction to a
receiver located at the other end of the sonde
(figure 14-10). The propagation velocities of the seismic
waves can be calculated by travel times and distance
traveled from transmitter to receiver. The devices must
be operated in a fluid-filled borehole. Compressional
wave oscillations set up by the sonde’s transmitter in the
borehole fluid set up, in turn, oscillations in the borehole
wall. Compressional, shear, and surface waves propagate
in and along the wall and then, as compressional waves,
back through the borehole fluid to the receiver.
Compressional waves have the highest velocity and arrive
first, followed by the shear waves and the surface waves.
Devices with two receivers cancel the borehole fluid travel
times so that only the refracted wave paths through the
borehole wall are measured. Single-receiver devices
require the borehole fluid acoustic velocity and borehole
diameter for calculation of seismic velocities. The acoustic
pulses generated at the transmitter are in the lower
ultrasonic range around 20 kilohertz (kHz).

The simplest acoustic logging devices display a single

graphical trace or waveform of the arrival of each pulse

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Figure 14-10.—Elements of a simple wireline

acoustic velocity device.

and are called amplitude-modulated devices. Intensity-

modulated acoustic logging devices record the entire
continuous acoustic wave (see figure 14-11). Intensity-
modulated, or three-dimensional (3-D), devices express
wave frequency by the width of light and dark bands and

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Figure 14-11.—Acoustic log presentations. The intensity
modulated waveform wave frequency by the width of the
band, amplitude by the shading intensity of the band.
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amplitude by the degree of light or dark shading (figures

14-11 and 14-12). The P-wave, S-wave, and surface wave
arrivals can be discerned on the 3-D records. Strata or
zones of different seismic velocity produce contrasting
signatures on the 3-D log. The phyllite zones in
figure 14-12 represent softer materials of lower seismic
velocity than the metabasalts and produce correspond-
ingly later arrival times. Fractures or other discon-
tinuities can often be seen as disruptions in the bands.

Figure 14-12.—Sample of intensity modulated

acoustic log. Lithologies from core samples.

In addition to determining seismic velocities to aid inter-

pretation of seismic surveys, 3-D logs show lithologic
contacts, geologic structure, and solution features. The P-
and S-wave velocities can be used directly to calculate the
dynamic elastic properties of rock, including Poisson’s
ratio, Young’s modulus, and bulk and shear moduli. For
example, Poisson’s ratio is calculated using:

1 2 V p2 − Vs2
µ=
V p2 − Vs2

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where Vp and Vs are the compressional and shear wave

velocities, respectively. The effective porosity of the strata
can also be evaluated.

Acoustic velocity devices require a borehole diameter of

3 in or greater. The in-place geologic materials must have
compressional wave velocities higher than the velocity of
the borehole fluid (approximately 4,800 feet per second
[ft/sec] [1,450 meters per second (m/sec)] for water) for the
waves to be refracted and detected. Soils generally do not
have sufficiently high seismic velocities for acoustic
velocity logging. The wave train (trace) type velocity
loggers often are equipped with a radiation logging device
and caliper on the same sonde for simultaneous acoustic
and natural gamma ray logging and borehole diameter
measurement.

Acoustic Borehole Imaging Log

The acoustic borehole imaging device uses high-frequency

acoustic waves to produce a continuous 360-degree image
of the borehole wall. Physical changes in the borehole
wall are visible as changes in image intensity or contrast.
Proprietary trade names for the acoustic borehole imaging
device include "Televiewer" and "Seisviewer."
Figure 14-13 illustrates the operation of an acoustic bore-
hole imaging device. A piezoelectric transducer and direc-
tion indicating magnetometer are rotated by a motor
inside the tool housing at approximately three revolutions
per second (rps). The transducer emits pulses of acoustic
energy toward the borehole wall at a rate of about
2,000 pulses per second at a frequency of about
2 megahertz (MHz). The high-frequency acoustic energy
does not penetrate the borehole wall, and the acoustic
beams are reflected from the borehole wall back to a
transducer. The intensity of the reflected energy is a
function of the physical condition of the borehole wall,

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Figure 14-13.—Acoustic borehole imaging system.

including texture (rough or smooth) and hardness (a

function of the elasticity and density of the material). The
image is oriented to magnetic north with every revolution
of the transducer. Fractures, cavities, and other open
discontinuities produce low-amplitude acoustic reflections
and are readily discerned in their true orientation, width,
and vertical extent on the image.

The acoustic borehole imaging device can detect discon-

tinuities as small as 1/8 in (3 millimeters [mm]) wide and

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Figure 14-14.—Traces of planar discontinuities

intercepting the borehole (left) as they appear
on the acoustic borehole imaging record (right).

can sometimes distinguish contrasting lithologies.

Discontinuities, contacts, and other linear features
intercepting the borehole at an angle other than
90 degrees produce a characteristic sinusoidal trace that
can be used to determine the strikes and dips of the
features. Figure 14-14 shows how planar discontinuities
of different orientations appear on the acoustic imaging
log. Vugs and solution cavities are displayed as black

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areas, and their traces can be analyzed to determine their

size (in two dimensions) and percentage of the borehole.
The device can also be used to inspect casing and well
screens for defects. The acoustic imaging device must be
operated in a fluid-filled borehole.

Cross-Hole Seismic Test

Cross-hole tests are conducted by generating a seismic

wave in a borehole and recording the arrival of the
seismic pulse with geophones placed at the same depth in
another (receiver) borehole. Source and geophones are
placed at several regular depth intervals in the boreholes
to determine seismic wave velocities of each material.
Compressional and shear wave velocities can be
determined with the cross-hole test. Figure 14-15 illu-
strates the essential features of a cross-hole seismic test.
The seismic source may be either an explosive or a
mechanical device. A vertical hammer device, clamped to
the borehole wall, is the typical source arrangement.
Cross-hole geophones configured in triaxial arrays are
used because directional detectors are necessary to
identify the S-wave arrival. Two or more receiver holes
are sometimes used.

The raw data of cross-hole tests are the times required for
P- and S-waves to travel from the seismic source in one
borehole to the detectors in the receiver hole or holes. The
corresponding P- and S-wave arrival times can be used to
calculate seismic velocities as the ratios of distance to
travel time, assuming the arrivals are direct (non-
refracted) arrivals. If refraction through a faster zone
occurs, true velocities must be calculated, similar to sur-
face refraction seismic calculations.

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Figure 14-15.—Cross-hole seismic test.

Borehole spacing (distance) is critical in cross-hole tests.

Generally, spacing should be no greater than 50 feet (ft)
(15 meters [m]) or less than 10 ft (3 m). Borehole
deviation surveys should be conducted prior to testing to
determine precise spacing between holes at each shotpoint
depth.

Cross-hole tests have several applications in engineering

geology. S-wave cross-hole tests provide data on material
properties for static and dynamic stress analysis. In addi-
tion to providing true P- and S-wave velocities at different
depths, cross-hole surveys can detect seismic anomalies
such as zones of low velocity underlying a zone of higher

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velocity or a layer with insufficient thickness or velocity

contrast to be detected by surface refraction tests.

Seismic Tomography

Tomography is a method of constructing an image of some

physical property inside an object from energy sent
through the object in many directions. Much like medical
tomography (such as a CAT scan) is used to create images
of features inside the human body; geophysical tomo-
graphy is used to create images of features beneath the
ground or within engineered structures. There are
several types of geophysical tomography. Cross-hole
seismic tomography is one of the most common types of
geophysical tomography. Cross-hole seismic tomography
involves sending seismic energy from one borehole to
another. A transmitter is lowered into one borehole, and
the transmitted seismic energy is recorded by a string of
receivers located in the second borehole. The positions of
the transmitter and receivers are varied so that the
seismic energy is transmitted between the two boreholes
over a large depth range and at many different angles.
The arrival times of the transmitted seismic energy are
used to construct an image of seismic P-wave velocity of
the geologic materials between the two boreholes. In
addition, the amplitudes of the transmitted signals may
sometimes be used to construct an image of the apparent
attenuation of the geologic materials. Attenuation is a
measure of the amount of energy loss of the seismic signal
and is related to such factors as material type, degree of
compaction or cementation, porosity, saturation, and
fracturing. Cross-hole seismic tomography may be used
to image geologic features such as solution cavities,
fracture zones, and lithologic contacts. Tomography may
also be used to evaluate engineered structures such as
concrete cut-off walls, grout curtains, and concrete dams.

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Borehole Optical Systems

Borehole optical logging systems include borehole film-

recording cameras and borehole television cameras.
Optical logging systems permit viewing and recording
visible features in the walls of dry or water-filled
boreholes, wells, casing, pipelines, and small tunnels.

Borehole cameras are an important supplement to

geotechnical drilling and sampling programs because the
cameras show geologic and construction features in place
and in relatively undisturbed condition. The aperture
(opening), true orientation (strike and dip), and frequency
(number per foot of borehole) of discontinuities in the rock
mass can be determined with optical logging systems.
The effective or fracture porosity associated with open
discontinuities can be derived also. The occurrence and
size of solution cavities, the rock type from visual
examination of rock and mineral textures and color of the
borehole wall, and the location of stratigraphic contacts
can be determined. Other geotechnical applications
include inspecting contacts of rock or soil against concrete
and of the interior of rock or concrete structures. Optical
logging systems permit viewing soft or open zones in rock
that may be overlooked in normal drilling and sampling
operations. Zones of poor sample recovery or of drilling
fluid loss can be investigated.

Borehole Television Camera.—Borehole television

systems provide real-time viewing of the interior of a dry
or water-filled borehole. The typical system (figure 14-16)
consists of a down-hole probe and surface-mounted cable
winch, control unit, power supply, television monitor, and
video tape unit. The down-hole probe contains a
television camera facing vertically downward toward a
partially reflecting mirror inclined 45 degrees to the axis

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Figure 14-16.—Borehole television logging system.

of the probe. A compass/clinometer used to determine the

orientation of features in the borehole wall and the
inclination of the borehole can be viewed selectively
through the mirror by varying the relative intensities of
lamps located above and below the plane of the mirror. A
motor within the probe rotates the camera and mirror
assembly (or the mirror only) 380 degrees in a
reciprocating fashion (clockwise, then counterclockwise)
as the probe is lowered or raised within the hole. The

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operator controls the motion and logging speed of the

probe. A full image of the borehole wall is obtained with
each rotation.

A viewing head can be attached to the probe to allow axial

viewing of the hole directly ahead. The probe ascent or
descent and camera rotation can be slowed or stopped for
examination of borehole features. The entire viewing
sequence is usually videotaped.

Borehole television systems are commonly used to inspect

large concrete structures and rock for defects, determine
the effectiveness of grouting operations, check the con-
dition of concrete joints, estimate the volume of cavities
within a rock or soil mass, and inspect the screens of
water wells. Television images can be used to determine
attitudes of discontinuities but are less effective for
complete borehole mapping than the borehole film camera
systems that portray the borehole walls as discrete, full-
color, separate images more suitable for detailed study
and measurement.

Borehole Film Camera.—The borehole film camera pro-

duces consecutive, over-lapping, 16-mm color still photo-
graphs of 360 degree, 1-in (25-mm) sections of the walls of
NX or larger boreholes. The system consists of a down-
hole probe and surface- mounted lowering device,
metering units, and power supply. Figure 14-17
illustrates the down-hole probe. The probe consists of a
16-mm camera mounted in line with the probe axis and
facing a truncated conical mirror, which is surrounded by
a cylindrical quartz window. A film magazine and film
drive mechanism are mounted above the camera in the
probe housing. A ring-shaped strobe illuminates the bore-
hole wall in synchronization with the camera’s film
advance. Film advance, probe movement, and strobe
lighting are synchronized to expose a frame every 3/4 in

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Figure 14-17.—Borehole film camera.

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(20 mm) along the hole, so that a photograph with 1/4-in

(6-mm) overlap of every 360-degree, 1-in (25-mm) section
is taken. The truncation of the conical mirror allows the
camera simultaneously to photograph a
compass/clinometer located directly beneath the mirror.
Photographs produced by the camera are viewed
individually (still frame) using a special projector. The
image of the mirror face is projected onto a flat film plane.
The outer ring of the image "doughnut" represents the
base, and the inner ring is the top of the 1-in section of
the borehole wall. Planar discontinuities intersecting the
borehole wall produce a trace on the image like the
shaded curve of figure 14-18 (top). In a vertical borehole,
the outer and inner rings of the image "doughnut" are
horizontal traces. Points of intersection of planar
discontinuities with a ring thus define the strike of the
feature in vertical boreholes. The compass area in the
center of the image of figure 14-18 shows the bearing of
intersecting planes. The dip of the feature can be
determined graphically by counting the number of succes-
sive frames in which the feature appears. A steeply
dipping plane intersects several frames, a gently dipping
plane only a few frames, and a horizontal plane intersects
one frame. The thickness or width of the discontinuity
can also be measured directly from the image. Data from
inclined boreholes must be corrected to true strike, dip,
and width. The NX borehole film camera is a proven tool
for supplying subsurface data in difficult drilling and
sampling situations and for providing complete
quantitative information on discontinuities and borehole
anomalies. Strike can be measured accurately to about 1
degree, dip (or inclination) to about 5 degrees, and
thickness or width of discontinuities to a hundredth of an
inch (0.1 mm) or better.

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Figure 14-18.—Projection of borehole wall image

into the film plane from the conical mirror of
the borehole film camera.

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In operation, the borehole film camera probe is lowered to

the bottom of the hole and raised by a hand-cranked
winch at a logging speed of between 5 and 10 feet per
minute (ft/min). A single load of film can photograph
75 to 90 ft of borehole. Since the camera has no shutter
or light metering capability, the aperture must be preset
to satisfy lighting requirements of hole diameter and
reflectivity of the borehole wall. The lens aperture ranges
from f 2.8 for dark rock to f 22 for light colored rock. The
maximum range (depth of field) is about 12 in. Boreholes
larger than NX require centering of the probe in the hole.

Borehole Image Processing System (BIPS)

The Borehole Image Processing System (BIPS) uses direct

optical observation of the borehole wall in both air and
clear-fluid filled holes. The BIPS tool has a small
fluorescent light ring that illuminates the borehole wall.
A conical mirror in a clear cylindrical window projects a
360-degree optical slice of borehole wall into the camera
lens. The tool also contains a digital azimuth sensor that
determines the orientation of the image. The optical
images are digitized and stored.

The BIPS analysis provides color images of the borehole

wall. In a two-dimensional (2-D) projection, planar
features that intersect the borehole wall appear as
sinusoids. Processing allows the borehole wall to be
viewed like a core, regardless of whether core was actually
recovered. Strike and dip of planar features intersecting
the borehole wall are determined during processing.

Other Wireline Systems

This section discusses wireline devices that are available

for supplementary or special purpose applications. These

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systems include the borehole caliper log, directional

surveys, borehole temperature log, borehole gravity log,
magnetic log, and flowmeter log.

Borehole Caliper Log

The borehole caliper log provides a continuous record of

changes in borehole diameter determined by a probe
equipped with tensioned mechanical arms or an acoustic
transducer. Caliper or borehole diameter logs are one of
the most useful and simple of all logs obtained in borehole
geophysics. Caliper logs provide the physical size of a
drill hole and should be run in all borings in which other
geophysical logging is anticipated. Caliper logs provide
indirect information on subsurface lithology and rock
quality. Borehole diameter varies with the hardness,
fracture frequency, and cementation of the various
materials penetrated. Borehole caliper surveys can be
used to accurately identify washouts or swelling or to help
determine the accurate location of fractures or solution
openings, particularly in borings with core loss. Caliper
logs can also identify more porous zones in a boring by
locating the intervals in which excessive mud filter cake
has built up on the walls of the borehole. One of the
major uses of borehole caliper logs is to correct for
borehole diameter effects. Caliper logs also can be used to
place water well screens, position packers for pressure
testing in foundation investigations for dams or other
large engineering structures, and help estimate grout
volumes in solution or washout zones.

Mechanical calipers are standard logging service

equipment available in one-, two-, three-, four-, or six-arm
probe designs. Multiple-arm calipers convert the position
of feelers or bow springs to electrical signals in the probe.
The electrical signals are transmitted to the surface
through an armored cable. Some caliper systems average

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the movement of all the arms and record only the change
in average diameter with depth, and others provide the
movements of the individual arms as well as an average
diameter. The shape or geometry of the borehole cross
section can be determined with the individual caliper arm
readings. A six-arm caliper capable of detecting diameter
changes as small as 1/4 inch in 6-in to 30-in diameter
boreholes produces a record like that shown on
figure 14-19. The six arms are read as three pairs so that
the diameter in three directions is recorded in addition to
the average diameter.

Mechanical calipers are lowered to the bottom of the bore-

hole in closed position, the arms are released, and the tool
is raised. The calipers must be calibrated against a
known minimum and maximum diameter before logging.

The acoustic caliper measures the distance from an

acoustic transducer to the borehole wall. Individual
diameter readings for each of four transducers mounted
90 degrees apart are obtained and also the average of the
four readings. A special purpose acoustic caliper designed
for large or cavernous holes (6 ft to 100 ft in diameter)
uses a single rotating transducer to produce a continuous
record of the hole diameter.

Directional Surveys

In some situations, borehole deviation must be accurately

determined. Several methods of accomplishing this have
been devised. Borehole survey instruments initially
consisted of single or multiple picture (multishot) cameras
that photographed a compass and plumb bob at selected
locations in the borehole. Depths were based on the
length of cable in the borehole. The camera was retrieved
from the hole, and the film developed and interpreted.

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Figure 14-19.—Log of six-arm mechanical caliper.

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A fluxgate compass or gyroscope is commonly used today

to measure azimuth and an inclinometer to measure
deviation from vertical. The information is then
electronically transmitted to the surface via a cable. This
method provides a continuous survey of the hole and not
just checks at intervals. Systems are also available that
use accelerometers and gyroscopic sensors to survey
boreholes and provide real time data via a cable or
ultrasonically via the mud.

Borehole Fluid Temperature Log

The standard borehole fluid temperature logging device

continuously records the temperature of the water or
drilling fluid in an open or cased borehole as a sonde is
raised or lowered in the borehole. The standard, or
gradient device uses a single thermistor (thermal resistor)
that responds to temperature variations in the fluid. A
small change in temperature produces a large change in
resistance, which is converted to a change in electrical
current. A differential device is sometimes used to record
differences in temperature between two positions in the
borehole by the use of two thermistors or one thermistor
and a memory unit within the control module. The log
produced by the temperature device shows temperature as
a function of depth.

Temperature logging is usually performed before standard

geophysical logging operations to permit correction of
other logs (e.g., the resistivity logs) for the effects of bore-
hole fluid temperature. Temperature logs can also be
used to locate the source and movement of fluids into or
out of the borehole and identify zones of waste discharge
or thermal pollution in groundwater. Grouted zones
behind casing can be located by the cement heat of
hydration.

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The temperature probe must be calibrated against a test

fluid of known temperature immediately before tempera-
ture logging. Borehole fluids must be allowed to reach a
stable temperature after drilling operations before logging
can be conducted. Open boreholes take longer to stabilize
because of the differences in thermal conductivity of the
various materials encountered.

Borehole Gravity Log

A borehole gravity meter (or gravimeter) detects and

measures variations in the force of gravity. The device
determines the bulk density of a large volume of soil or
rock between a pair of measuring stations in the borehole
(figure 14-20). The bulk density (D) is proportional to the
measured difference in gravity (G) between the two
stations and inversely proportional to the vertical
distance (Z) between the stations:
∆G
∆G = G1 − G2 ρ=
∆Z

The borehole gravity meter has been used primarily by

the oil industry to determine the porosity (especially
porosity because of fractures and vugs). Porosity is
calculated using standard equations relating bulk
density, fluid density, and specific gravity of solids
(matrix density). Although density and porosity are also
provided by the gamma-gamma density logger (see
“Nuclear Radiation Logging Techniques”), because of the
large volume and radius of investigation, gravity meter
data are less affected by borehole effects such as mudcake
and irregular hole diameter. Gravity meter density
determinations are more representative of the geologic
medium away from the borehole than are gamma-gamma

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logs. The radius of investigation of the gravity meter is

an estimated five times the difference in elevation
between the measuring stations (see figure 14-20).

The borehole gravity meter is not a continuous recording

instrument. The tool must be positioned at a preselected
measurement station, allowed to stabilize, and then a

Figure 14-20.—Elements of borehole

gravity logging.

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measurement taken. Instrument readings are converted

to gravity values using a conversion table. Bulk density
is then calculated using the difference in gravity values
and depth between the two stations. Usually two or three
traverses are made in the hole at repeated stations and
the values averaged. The precision of the method
increases with decreasing distance between measuring
stations.

Surveys may be conducted in cased or uncased holes.

Several corrections to the data are necessary, including
corrections for earth-moon tides, instrument drift,
borehole effects, subsurface structure, gravity anomalies,
hole deviation from vertical, and the free-air vertical
gravity gradient. The instrument should be calibrated to
correct for drift and tides. The borehole gravity logger is
available commercially but is not a standard log. An
apparent advantage over other bulk density/porosity log-
ging methods is the reduction of borehole effects and the
greater sample volume.

Magnetic Log

The magnetic field in an uncased borehole is the result of

the Earth’s magnetic field and any induced or remnant
magnetism. These fields can be directly measured.
Magnetic susceptibility is the degree that a material is
effected by a magnetic field and is the basis for the
logging technique. Susceptibility logs measure the change
of inductance in a coil caused by the adjacent borehole
wall. The magnetic susceptibility is proportional to the
amount of iron-bearing minerals in the rock.

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Flowmeter Log

A flowmeter measures fluid flow in boreholes. A flow-

meter log provides information about locations where
fluid enters or leaves the borehole through permeable
material or fractures intersecting the borehole.

Conventional flowmeters employ a spinner or propellor

driven by fluid moving through the borehole. High resolu-
tion flowmeters such as the heat pulse flowmeter can
measure very low flow rates. Heat pulse flowmeters have
a heating element that heats borehole fluid. The flow rate
and direction of the heated fluid pulse is measured by
detectors located above and below the heat element. Elec-
tromagnetic flowmeters induce a voltage in electrically
conductive borehole fluid moving at a right angle through
a magnetic field. The induced voltage is proportional to
the velocity of the conductive borehole fluid.

Bibliography

Hearst, J. R, and Nelson, P.H., Well Logging for Physical

Properties, McGraw-Hill Book Co., New York, 1985.

Labo, J., A Practical Introduction to Borehole Geophysics,

Society of Exploration Geophysicists, Tulsa, Oklahoma,
1987.

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 Chapter 15

REMOTE SENSING
TECHNIQUES

Introduction

This chapter briefly summarizes the capabilities,

limitations, and requirements of typical remote sensing
techniques. Depending on the nature of the data and the
objective of the study, geologic interpretation of remotely
sensed data may be simple or complicated. Remote
sensing is a tool that makes some tasks easier, makes
possible some tasks that would otherwise be impossible,
but is inappropriate for some tasks. Depending on the
individual situation, remote sensing may be extremely
valuable. Some remote sensing interpretations can
stand on their own with confidence, but for most,
establishing ground truth is essential.

Imaging Systems

There are three main types of imaging systems, two of

which are widely used in terrestrial applications:

Photographic.—Cameras and film are used.

Photography provides the best spatial resolution but less
flexibility in spectral data collection and image
enhancement. Spatial resolution is dependent on alti-
tude, focal length of lenses, and the types of film used.
Spectral resolution is limited to visible and near infrared
wavelengths.

Electronic Spectral Sensors.— Detectors are used,

usually scanners, that may have less spatial resolution
than photographs but can gather spectral data over wide
spectral ranges that enable a wide variety of imaging
processing, mineral, and geologic identification. These
remote sensing systems include satellites, such as
Landsat, airborne sensors carried on aircraft, and

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spectrometers carried on the ground. This type of

remote sensing has several categories, including multi-
spectral, hyperspectral, and imaging spectroscopy.

Vidicon. – A television-type system. Vidicon systems

generally are inferior to other types both spatially and
spectrally. They are used mostly on space probes
because of operational constraints.

Resolution

Two types of resolution are important to remote sensing.

Spatial.— The sharpness of an image and the minimum

size of objects that can be distinguished in the image are
a function of spatial resolution.

Spectral.—The width or wavelength range of the part of

the electromagnetic spectrum the sensor or film can
record and the number of channels a sensor uses defines
spectral resolution. The electromagnetic spectrum is an
ordered array of electromagnetic radiation based on
wavelength. Certain portions of the electromagnetic
spectrum, including the visible, reflective infrared,
thermal infrared, and microwave bands, are useful for
remote sensing applications. Rocks, minerals,
vegetation, and manmade materials have identifying
spectral signatures and distinctive absorptive and
reflective spectral characteristics. Given sufficient
spectral data, digital image processing can generally
identify unique spectral signatures. In practice,
instrument limitations or cost limits on computer
processing may preclude identification of some
materials.

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Photography

The uses of aerial photography in engineering geology

are discussed in Volume 1, chapter 6. A brief description
of types is presented below.

Panchromatic photography records images essentially

across the entire visible spectrum and, with proper film
and filters, also can record into the near-infrared
spectrum. In aerial photography, blue generally is
filtered out to reduce the effects of atmospheric haze.

Natural color images are recorded in the natural colors

seen by the human eye in the visible portion of the
spectrum.

False-color infrared images are recorded using part of

the visible spectrum and part of the near-infrared, but
the colors in the resultant photographs are arbitrary and
not natural. Infrared film commonly is used and is less
affected by haze than other types.

Multispectral photographs acquired by multiple cameras

simultaneously recording different portions of the
spectrum can facilitate interpretation.

Terrestrial photographs acquired on the ground or at low

altitude with photogrammetric cameras can be used to
map geologic features such as strike and dip of joints,
faults, and geologic contacts. This type of geologic
photogrammetry can also be done from historic
construction photographs if enough survey control
features can be located in the photographs and tied to
present control or known points. Terrestrial photogram-
metry has proven useful on several dam projects in
which mapping of geologic features by standard methods
was very difficult or impossible.

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Thermal Infrared Imagery

Thermal infrared systems create images by scanning and

recording radiant temperatures of surfaces. Some
characteristics of thermal image data are generic to
digital image data, and enable computer image
processing. Other characteristics are unique to thermal
infrared images and make thermal image data valuable
interpretive tools.

Thermal infrared imagery can be interpreted using con-

ventional photogeologic techniques in conjunction with
the thermal properties of materials, instruments, and
environmental factors that affect the data. Where
thermal characteristics of a material are unique, thermal
infrared imagery can be easy to interpret and can be a
great help in geologic studies. Thermal characteristics
of a material can vary with moisture content, differential
solar heating, and topography making interpretation
more difficult and ambiguous.

Multispectral Scanner Imagery

Multispectral scanner (MSS) images are a series of

images of the same target acquired simultaneously in
different parts of the electromagnetic spectrum.
MSS images are an array of lines of sequentially scanned
digital data. They may have unique distortions and may
or may not have high resolution or information content.
Scanner systems consist of scanning mechanisms,
spectral separators, detectors, and data recorders.

A digital image is actually an array of numerical data

and can be computer processed for a variety of purposes.
Geometric distortions caused by sensor characteristics
can be removed or distortions can be introduced.

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Computer processing can be used to precisely register a

digital image to a map or another image. Various types
of data (e.g., thermal and visible imagery or a digital
image and digitized gravity data) can be merged into a
single image. Subtle information, difficult to interpret or
even to detect, can sometimes be extracted from an
image by digital processing.

Airborne Imaging Spectroscopy

The “image,” or data, consist of an array of reflected

spectra collected in a two-dimensional array of pixels.
Specific spectral features may be identified and pixels
with the same spectral wavelength feature may be
mapped in colors. Different colors are assigned to
different reflectance spectra, and an image is generated
from these classifications. A number of different
airborne systems are becoming available with various
spatial and spectral characteristics. A few commercially
available systems are capable of recording 10 or more
spectral bands simultaneously, ranging from ultraviolet
to thermal infrared wavelengths. The key factor in
spectral identification of materials, geologic features, or
vegetation is the system’s spectral resolution or number
of channels. Currently, the premier sensor for imaging
spectroscopy is the National Aeronautics and Space
Administration (NASA) Jet Propulsion Laboratory
airborne visible and infrared imaging spectrometer
(AVIRIS). AVIRIS simultaneously collects data over a
spectral range of 0.4 micron to 2.4 microns in 224
channels. The number of channels and very high quality
of data allow discrimination of very small spectral
absorption features and, therefore, the user can
distinguish and map hundreds of types of minerals or
vegetation. The AVIRIS instrument is operated by Jet
Propulsion Laboratory (JPL) onboard a NASA ER-2

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(modified U-2). Commonly operating at an altitude of

63,000 feet, the spatial resolution is approximately
20 meters. The AVIRIS instrument is also operated by
JPL onboard a twin-engine aircraft at lower altitudes.
The spatial resolution is approximately 1 meter. The
size of data sets and the number of separate spectral
bands on some airborne systems may require data
consolidation or careful selection of data subsets for
special processing. Because the Earth’s atmosphere
introduces it’s own spectral absorption features along the
light path from the ground to the sensor, removal of
atmospheric spectral features is essential to proper
analysis of spectroscopy or hyperspectral data. Ground
calibration spectra using a field spectrometer operating
over the same wavelength ranges and resolution
collected at the same time as the overflight is generally
required to achieve the highest quality mapping and
discrimination of materials. Interpretation usually in-
volves normal photogeologic techniques along with
knowledge of spectral characteristics and the data
manipulations applied. The spectral imaging data can
be analyzed with specialized commercially available
software, which relies primarily on statistical analyses
and projection of a few spectral features in an image.
Software being developed at the U.S. Geological Survey
(USGS) Imaging Spectroscopy Laboratory is based on a
comparison of laboratory spectral features of several
hundred minerals and materials in a spectral library.
This software, known as “Tetracorder,” rapidly identifies
and maps all the key spectral features of known
minerals or materials in each pixel of an AVIRIS or other
hyperspectral image. The companion field spectrometer
can also be used in its own right to collect both
laboratory and field spectra of materials for
identification. Applications may include distinguishing
different types of clay minerals (e.g., expansive or not) as
the geologist maps in the field in real time.

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High resolution can be obtained and, with proper band

selection and processing, complex geochemistry, min-
eralogy, vegetation, or other materials information can
be mapped from the imagery. These technologies have
been used very successfully in mapping large areas for
several environmental/engineering geology related
projects. Because of the complexity of the geology and
the size of the area studied, the calibration and analysis
of imaging spectroscopy data is not trivial. The volume
of high quality data that can be collected using imaging
spectroscopy over immense areas in one flight may
provide an advantage over any other traditional method
of mapping in certain applications.

Satellite Multispectral Scanner Imagery

Landsat is the NASA satellite for civilian remote sensing

of the Earth’s land surface. The Landsat MSS records
seven bands at 30-meter resolution. The MSS is useful
for some geological applications, although it is oriented
primarily toward agricultural uses. The Landsat 7 is
equipped also with a thematic mapper (TM) that has
increased spatial and spectral resolution compared to the
MSS.

SPOT, a French satellite, provides panchromatic imagery

with up to 10-meter spatial resolution. MSS imagery is
capable at 20-meter resolution of stereo imaging. Other
commercially available satellites designed for rapid and
repeated imagery of customer-selected sites are also
being put in orbit to produce imagery of any area. In
addition, archives of once classified satellite imagery
gathered by United States spy satellites have become
available to the public and government agencies and may
be a source of data and images.

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Satellite imagery provides a synoptic view of a large area

that is most valuable for regional studies. With
increasing resolution and new sensors, site-specific
geologic mapping with satellite images is also of value to
engineering geology.

Radar Imagery

Radar is an active remote sensing method (as opposed to

passive methods like photography and thermal infrared)
and is independent of lighting conditions and cloudiness.
Some satellite radar imagery is available, like Landsat,
and coverage may be useful for regional geologic studies.
Side-looking airborne radar (SLAR) produces a radar
image of the terrain on one side of the airplane
equivalent to low-oblique aerial photography. Radar
interferometry is a quickly emerging field of radar
remote sensing. Radar interferometry techniques will
detect very small changes in topography, such as those
caused by landslide movements, fault displacements,
erosion, or accretion, and can be mapped remotely over
large areas.

Radar imagery has some unusual distortions that

require care in interpretation. Resolution is affected by
several factors, and the reflectivity of target materials
must be considered. The analysis and interpretation of
radar imagery requires knowledge of the imaging
system, the look direction, and the responses of the
target materials.

Radar can penetrate clouds and darkness and, to some

extent, vegetation or even soil. Distortions, image geo-
metry, and resolution can complicate interpretation, as
can a lack of multispectral information.

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Side Scan Sonar

Side Scan Sonar (SSS) is used for underwater surveys

and not remote sensing in the typical sense of using
aerial or space platforms to image the Earth’s surface.
SSS produces images underwater and may have useful
applications to engineering geologic studies of reservoirs,
dams, and other structures or surfaces hidden by water.
SSS works by sending out acoustic energy and sensing
the return of the acoustic signal. Materials on the bottom
surface under water reflect the signal at different
strengths depending on the material properties and the
angles of incidence and reflection of the signal. The
varying strength of signal return is then used to form an
image. An image of the reflected signal that looks like a
black and white aerial photograph is the output. The
acoustic signal is generated by a torpedo-like instrument
that is towed behind a boat by cable. Resolution of
objects or features on the bottom of a reservoir varies
with the frequency of the signal generated and the height
of the torpedo above the bottom of the water body.

Single- and Multi-Beam Sonar

Other types of sonar devices that can be used to map the

topographic surface of a reservoir bottom include single-
beam and multi-beam sonar. These devices send a direct
acoustic signal and measure the time of return. This is
translated to a depth to the bottom or feature. By
sending continuous signals along a line of survey, a
profile of the bottom is developed. When multiple lines
are tied together in criss-crossing patterns with Global
Positioning System (GPS) positions being recorded
simultaneously, a topographic map of the bottom can be
generated. Multi-beam systems send out multiple beams

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at different angles simultaneously, thereby generating a

topographic surface over much larger areas in greater
detail than single-beam systems.

Applications to Engineering Geology

The most useful form of remote sensing for engineering

geology applications is aerial photography because of its
high resolution, high information content, and low cost.
Various scales of aerial photography are available for
regional and site studies, for both detecting and mapping
a wide variety of geologic features.

Applications of other forms of remote sensing to

engineering geology depend on the nature of the problem
to be solved and the characteristics of the site geology.
Some problems can best be solved using remote sensing;
for others, remote sensing is of little value. In some
cases, the only way to find out if remote sensing can do
the job is to try it.

Appropriate remote sensing data are often not available

for the area of interest, and the data must be acquired
specifically for the project. Mission planning and time
and cost estimating are critical to a remote sensing data
collection program. Numerous factors make planning a
remote sensing mission more complicated than planning
a conventional aerial photographic mission. Remote
sensing mission planning is best done in consultation
with someone with experience in the field.

Estimating the cost of data acquisition is relatively easy.

Estimating the cost of interpretation is a function of the
time and image processing required and is much harder.
Some forms of remote sensing are inexpensive to acquire
and require little processing to be useful. Other forms

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may be expensive to acquire or may require much

processing, perhaps needing experimentation to deter-
mine what will work in an untried situation. The cost
must be weighed against the benefits.

Bibliography

Two excellent reference books on remote sensing and

applications to geology are:

Sabins, F.F., Remote Sensing Principles and Interpreta-

tion, 2nd edition: Freeman, New York, 449 p., 1987.

Siegal, B.S., and Gillespie, A. R., editors, Remote Sensing

in Geology, Wiley & Sons, New York, 702 p., 1980.

For a thorough treatment of remote sensing ("more than

you ever wanted to know about remote sensing"),
including a 287-page chapter on geological applications
with abundant color images, see:

Colwell, R N., editor, Manual of Remote Sensing,

2nd edition, Falls Church, Virginia, American Society of
Photogrammetry, 2724 p., 1983.

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 Chapter 16

WATER TESTING FOR

GROUTING

Introduction

Water testing is necessary for evaluating seepage

potential and for determining whether grouting is
necessary or practical. Water testing for designing a
grout program is often secondary to the main purpose of
the water testing program, which is to determine
permeabilities for seepage evaluation or control. Design
of an exploration program for water testing for grouting
can be significantly different from permeability testing
for the design of a dam or tunnel because of the desired
results, the restricted area of a damsite, or the often
high-cover linear tunnel site. Regardless of the main
reason for the investigations, design of a program for
water testing for grouting should consider:

(1) The type of structure to be built. Water testing

for evaluating and grouting a dam foundation is
significantly different than water testing for a
tunnel. More drill holes are generally available for
testing in dam foundations where seepage potential
is the primary concern and grouting is secondary.
Relatively few drill holes are available for
evaluating tunnel alignments because of the great
depths often necessary and the linear nature of a
tunnel. A great deal of judgment is necessary in
evaluating the data for tunnels because of the small
sample size. Ground conditions are of primary
interest, and permeability and groutability are
secondary, especially if the tunnel will be lined.

(2) The geologic conditions at the site and the

variations betw e e n a r e a s o r r e aches.
Generalizations based on other sites are usually
inaccurate because geologic conditions depend on the

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interrelationship of the local depositional, tectonic,

and erosional history that uniquely determine
geologic conditions important to the permeability
and groutability of a site. Damsite foundation
permeabilities can vary over short distances because
of lithology and fracture changes, faults, or stress
relief in the abutments. Tunnel studies compound
the difficulties because of the linear nature of the
structure, the often high cover, and access problems.
Proper evaluation of water test results requires that
the values be correlated with geologic conditions.
The permeability values should be noted and plotted
on the drill logs along with the water takes and test
pressures. The test interval should be drawn on the
log so that the water test data can be related to
fracture data.

(3) The level of seepage control desired. Seepage

quantities beneath a dam in the arid West may be
insignificant compared to those in an area with
abundant rainfall. Infiltration into a tunnel may be
insignificant in one area but, because of overlying
cultural and environmental features, may be the
controlling factor in a dewatering, excavation, or
lining design. The economic value of the water may
also be a significant factor.

(4) Groutability and permeability are not necessarily

related. A highly fractured rock or a gravel may be
very permeable but essentially ungroutable using
standard cement grout. Water test data must be
correlated with geologic data to properly assess
groutability.

(5) Groutability depends on fracture openness and

number. Connectivity is not necessarily important
because of the relatively limited travel of grout.

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(6) Permeability depends on fracture openness,

number, and connectivity. Highly fractured rock
with low connectivity will have low permeability,
and a slightly fractured rock with high connectivity
can have high permeability.

(7) Exploratory drill hole orientations introduce a

significant bias into water test results. The orienta-
tion of the drill hole relative to the fractures has a
direct effect on the number of fractures intercepted
by the hole. Vertical boreholes intercept very few
vertical fractures and can provide very misleading
water test information on rock mass permeability
and groutability. A vertical hole drilled in a
material that has predominantly vertical fractures
like flat-bedded sediments will not intercept the
fractures that control the rock mass permeability.
Drill holes should be oriented to cross as many
fractures as possible not only for more meaningful
permeability tests but also to get more meaningful
rock mass design parameters. If a preferred hole
orientation is not practical, the results may be
adjusted for the orientation bias.

(8) Water test calculation results can be very

misleading. Water test calculations based on a
10-foot (3-meter [m]) interval with one 1/4-inch
(6-millimeter [mm]) fracture taking water can have
a significantly different seepage and grout potential
than a 10-foot (3 m) interval with dozens of
relatively tight fractures taking the same amount of
water. Each water test must be evaluated
individually to determine what the data really
mean.

(9) Different rock types, geologic structures, or in

situ stresses have different jacking and

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hydrofracture potential and, therefore, different

maximum acceptable water testing and grouting
pressures. Dam foundations are more sensitive to
jacking and hydro-fracturing than tunnels. Dam
foundations can be seriously damaged by jacking
and hydrofracturing. A dam foundation in
interbedded sedimentary rock with high horizontal
in situ stresses is very sensitive to jacking. A dam
foundation in hard, massive granite is almost
unjackable and may have to be hydrofractured
before any movement can take place. Tunnels are
less susceptible to jacking because of overburden
depth and may benefit from jacking open fractures
to provide grout travel and closure of ungrouted
fractures.

(10) Rock mass permeability or groutability cannot

be determined by drill holes alone. Mapping and
analysis of the fractures are necessary factors in
determining seepage potential and groutability.
Drill holes usually do not provide a realistic
characterization of fracture orientations and
connectivity. All these data should be integrated to
determine rock mass permeability or groutability.

(11) Rules of thumb are not good substitutes for

using data and judgment in making decisions in
grouting unless specifically developed for the site
conditions.

(12) Hydraulic models are a tool that can be used to

evaluate seepage potential and groutability but
depend on realistic design and data input
parameters. Water test-derived permeability and
groutability are important parameters for hydraulic
models. Water tests must be carefully evaluated to
ensure that bad test data are not used in models.

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Models large enough to approach characterizing a

site are usually very large and expensive. The
tendency is to build models that are small and
economical and, therefore, have a limited connection
with reality. Realistic parameters are difficult to
obtain in quality or quantity. Few exploration
programs provide a statistically significant sample
size to fully characterize a site, especially tunnels.
Model input parameters and design should be part
of any modeling report so the output can be properly
evaluated.

Procedure

Calculations

Permeabilities can be calculated in lugeons, feet per year

(ft/yr), centimeters per second (cm/sec), or other units
from the same basic field data. Lugeons are used in the
following discussion because these units are commonly
used in the grouting industry. Chapter 17 has a
thorough discussion of testing and calculating in other
permeability units. One Lugeon equals:

(1) 1 liter per minute per meter (l/min/m) at a

pressure of 10 bars
(2) 0.0107 cubic feet per minute (ft3/min) at
142 pounds per inch (psi)
(3) 1 x 10-5 cm/sec
(4) 10 ft/yr

The formula for calculating Lugeons (lu) is:

10 bar 155
.
take × take ×
test pressure ( bars ) test pressure ( psi )

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Take is in liters per meter per minute or cubic feet per

foot per minute. One bar equals 14.5 psi. Takes should
be measured after flows have stabilized and should be
run for 5-10 minutes at each pressure step.

Geologic Data

The geologic data should be examined to determine the

optimum drill hole orientations and locations. Geologic
structure, such as bedding and rock type, can be used to
set the initial maximum water test pressures. Easily
jacked or hydrofractured rock should initially be water
tested at a pressure of 0.5 psi per foot (2.2 kilogram per
square centimeter per meter [kg/cm 2/m]) of overburden
and increased pressures based on stepped pressure tests
or jacking tests.

Stepped Pressure Tests

Stepped pressure tests are the best method of conducting

water tests. Pressures are stepped up to the maximum
pressure and then stepped down through the original
pressures. Comparison of the calculated permeability
values and the pressure versus flow curves for the steps
can provide clues as to whether the flow is laminar, if
jacking or hydrofracturing is occurring, and if fractures
are being washed out or plugged. Single pressure tests
can be misleading because of all the unknown pressure
and flow variables affecting the test. The Lugeon value
for the test interval should be determined by analysis of
the individual test values and not necessarily by an
average. The individual tests are used to determine
what is happening in the rock, and one value of the five
tests is usually the appropriate value to use.

Figures 16-1 through 16-5 are bar chart plots showing

the relationship of pressure to Lugeon values for the

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Laminar Flow
100

80

60
PSI / Lugeons
40

20

0
1 2 3 4 5
Pressure 25 50 100 50 25
Lugeons 21 23 22 23 22
Test

Figure 16-1.—Bar chart showing relationship

of test pressure and Lugeons in laminar flow.

Turbulent Flow
100

80

60
PSI / Lugeons
40

20

0
1 2 3 4 5
Pressure 25 50 100 50 25
Lugeons 38 28 15 27 39
Test

Figure 16-2.—Bar chart showing relationship

of test pressure and Lugeons in turbulent flow.

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Washing

100

80

60
PSI / Lugeons
40

20

0
1 2 3 4 5
Pressure 25 50 100 50 25
Lugeons 21 24 28 33 37
Test

Figure 16-3.—Bar chart showing relationship

of test pressure and Lugeons when fractures
are washing out.

Filling or Swelling
100

80

60
PSI / Lugeons
40

20

0
1 2 3 4 5
Pressure 25 50 100 50 25
Lugeons 32 28 21 16 12
Test

Figure 16-4.—Bar chart showing relationship

of test pressure and Lugeons when fractures
are filling or swelling.

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Jacking or Hydrofracturing

100
90
80
70
60
PSI / Lugeons 50
40
30
20
10
0
1 2 3 4 5
Pressure 25 50 100 50 25
Lugeons 23 21 43 22 21

Test

Figure 16-5.—Bar chart showing relationship

of test pressure and Lugeons when rock is
hydrofractured or joints are jacked open.

more common types of water test results. Figure 16-1

is a plot of laminar flow in the fractures. The
permeability is essentially the same no matter what the
pressure and resultant water take. Figure 16-2 is a plot
of turbulent flow in the fractures. Permeability
decreases as the pressure and resultant flow increases
because of the turbulent flow in the fractures. Figure 16-
3 is a plot of flow in fractures that increase in size as the
water washes material out of the openings. Permeability
increases because fractures are enlarged by the test.
Figure 16-4 is a plot of flow in fractures that are being
filled and partially blocked as water flows or the
fractures are in swelling rock that closes fractures over
time because of the introduction of water by the test.
Figure 16-5 is a plot of testing in rock that is being
jacked along existing fractures or rock that is being
fractured by the highest water test pressure. Flow is
laminar at the lower pressures.

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Combinations of these types of flow can occur and

require careful analysis. If the pressures are increased
to where jacking or hydrofracturing is occurring, the
design grout pressures can be set as high as possible to
get effective grout injection yet preclude fracturing or, if
appropriate, induce fracturing. Hydrofracture tests are
easier to analyze if a continuous pressure and flow
recording is obtained. The resolution of a step test may
not be adequate to separate hydrofracturing from
jacking. Figure 6 is a plot of a continuously recorded
hydrofracture/jacking test.

Hydrofracturing/Jacking Test
900
800
700
600
Pressure

500
400
300
200
100
0
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21

Flow (Q) Pressure - Hydrofrac

Pressure - Jacking

Figure 16-6.—Continuously recorded plot

of pressure and flow.

Back Pressures

Back pressures should be measured after every test to

determine if the hole holds pressure and if fracturing or
jacking has occurred. If the hole holds pressure and
backflow occurs while releasing the pressure, hydro-
fracturing or jacking may have occurred at the test
pressure.

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Test Equipment

Test equipment can affect the test results. At moderate

to high flows, the friction loss caused by the piping and
the packer should be considered. Significant loss of
pressure occurs between the gauge and the packer. At
high flows, the plumbing system “permeability” can be
the controlling factor and not the permeability of the test
interval. If meters and gauges are located in optimum
relation to each other and close to the hole, the
arrangement of pipe, hose, etc., will not seriously
influence shallow tests although sharp bends in hose,
90-degree fittings on pipes, and unnecessary changes in
pipe and hose diameters should be avoided. Laying
the system out on the ground and pumping water
through the plumbing to determine the capacity of the
system is a good idea, especially if using small-diameter
piping or wireline packers.

Water Takes Relative to Grout Takes

Water takes alone may be an indication of whether

grouting is necessary, and Lugeon calculations may not
be necessary after enough water tests with subsequent
grouting provide sufficient data to determine a
correlation. This shortcut is usually used during the
actual grouting because not enough data are available
from exploration unless a test grout section is
constructed. The correlation can change if the geologic
domain in a foundation changes, so any correlation must
be continuously checked.

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Depth of Grouting

Grouting depth for dam foundations is commonly

determined by a rule of thumb related to dam height. A
better method is to base the depth on water test data
and geologic data. Weathered rock and fracture surfaces
are an indication of permeable rock. Grouting to tight,
unweathered rock, where practical, makes more sense
than trying to grout tight, impermeable rock or not
grouting pervious rock because of a rule-of-thumb
approach.

Grouting in tunnels should be based on the thickness of

the disturbed zone around the periphery of the tunnel
and the depth necessary to get the desired results when
grouting natural fractures. A machine-bored tunnel will
have a much shallower disturbed zone than a
conventionally excavated (drill-blast) tunnel and may
require less or no grouting.

Bibliography

Ewart, Friedrich-Karl, Rock Permeability and Grouta-

bility Related to Dams and Reservoirs, lecture notes,
University of Paderborn, Germany, September 1994.

Water Resources Commission N.S.W., Grouting Manual,

3rd edition, Australia, 1980.

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WATER TESTING FOR

PERMEABILITY

General

Most rock and soil contains numerous open spaces where

water may be stored and through which water can move.
Permeability, or hydraulic conductivity, is a measure of
the ease of movement of fluid and gas through the open
spaces and fractures. The properties of soil and rock
have significant impact on water movement through the
interstitial spaces. Water movement through soil and
rock significantly impacts the ability to control water
during construction. The movement of water through
slopes must be known to understand the stability of
slopes. Permeability in this chapter is considered
synonymous with the term hydraulic conductivity and is
a measurement of the groundwater flow through a cross-
sectional area. This chapter discusses how to measure
permeability and how to best determine or estimate
appropriate permeability values.

In addition to permeability, there are other hydrologic

parameters that may impact the understanding of
groundwater but are either more difficult to determine
or are not a significant consideration in most engineering
situations. These other hydraulic parameters of
subsurface materials are transmissivity, porosity, and
storage. For a more detailed explanation of these
hydrologic parameters and the methods used to obtained
the values, see chapters 5, 6, and 10 of the Reclamation
Groundwater Manual.

Transmissivity

Transmissivity is the average permeability multiplied by

the saturated thickness. Transmissivity is particularly
important in areas with multiple aquifers. Determining
the aquifer thickness may not be practical or necessary

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if permeability and recharge are relatively low and the

need for groundwater control is short term.
Transmissivity values are often based on individual
permeability values or averaged permeability values. It
is important that any permeability value used with the
saturated thickness of an aquifer be appropriate and
representative. Since most aquifers are rarely
homogeneous and isotropic, any field derived data must
be qualified by indicating if averaging or selecting the
highest or lowest permeability value for a particular site
is appropriate.

Porosity

Porosity is the percentage of interstitial space within the

soil or rock relative to the total volume of soil or rock.
Porosity is not necessarily directly proportional to
permeability. Porosity is a significant factor in
understanding the stability of soil and rock, but only the
effective porosity, the interconnected pores, contribute to
permeability. Not all pores or interstitial spaces are
connected. Porosities are typically high for sands and
gravels (30-40 percent) with high permeabilities (10 to
10-2 cm/sec). Clays have higher porosities (45-55 percent)
but have very low permeabilities (10-6 to 10-8 cm/sec).
Effective porosity is important in high permeability
materials, but the total porosity is rarely relevant except
in contaminant transport modeling. In the field, porosity
is typically estimated by borehole geophysics.

Storage

Storage is a dimensionless term defined as the volume of

water released from or taken into interstitial spaces in
the soil or rock. Storage is often interchanged with the
terms specific yield, effective porosity, coefficient of
storage, and storativity. The water stored within the
effective porosity is controlled by the material’s ability to

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retain and to release water. Understanding storage is

particularly important in high permeability materials or
localized zones connected with a large source of water.

A glossary of abbreviations and definitions is shown in

table 17-1 that are used in the various permeability
calculations. Not all the parameters listed in the table
are necessary for every calculation. These parameters
are derived from the Groundwater Manual, chapter 10.
Abbreviations used in the figures and text of this chapter
are consistent throughout the chapter. Definitions apply
to angled holes as well as vertical wells.

Geologic Conditions

Understanding and measuring the above parameters is

important, but understanding the hydrogeologic
conditions is essential. Obtaining representative and
appropriate hydrologic values is critical in any site
investigation. Identifying the water bearing zones and
selecting the appropriate test method is very important.
Improper test methods, poor well construction, and
improper isolation can significantly impact any test
design. It is essential that the various aquifers and
boundaries in heterogeneous settings be identified and
that the various water surfaces existing at the site be
located. Obtaining values without a good understanding
of subsurface conditions can be misleading and can
result in surprises once the actual site conditions are
exposed. Obtaining water level data and permeability
values has little value without an understanding of the
factors controlling the groundwater. Proper evaluation
of permeability values requires that the values be
correlated with geologic conditions.

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Table 17-1.—A glossary of abbreviations and

definitions used in permeability calculations

K = Coefficient of permeability in feet (meters) per year

under a unit gradient.
Q = Steady flow into the well in ft3/sec [m3/sec].
H = The effective head of water in the well in feet (m). For
packer tests, determining the effective head is defined
in figure 17-5. The effective head may be natural or
induced.
a = Exposed surface area of the test section in ft 2 (m2). Note
that this area in an uncased borehole or using a single
packer for some tests would include the exposed area at
the bottom of the borehole.
R = Length of test (packer tests) or screened (perforated)
section of well isolated from the adjacent material in
feet (m).
r = The radius to the borehole sidewall.
re = The effective radius to borehole sidewall that is reduced
because of an obstruction such as a slotted riser
(perforated casing), caved material, gravel, or sand
pack.
r1 = The outer radius of a riser or casing.
rc = The inside radius of a riser or casing.
D = Distance from the ground surface to the bottom of the
test section.
U = Thickness of unsaturated materials above the water
surface, including the capillary zone.
Tu = U-D+H = The distance from the induced water surface
in the well to the static natural water surface.
S = Thickness of saturated material overlying a relatively
impermeable layer.
Cu = Conductivity coefficient for unsaturated materials with
partially penetrating cylindrical test wells.
Cs = Conductivity coefficient for saturated materials with
partially penetrating cylindrical test wells.

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Selecting the Appropriate Test

There are numerous ways to determine or estimate

permeabilities. The appropriate method for estimating
permeabilities must be based on the subsurface
conditions and how significantly the values obtained will
impact the project. The required level of understanding
of the subsurface water conditions should be weighed
relative to the cost and the impact on stability and
constructability of the feature and on the changes in
quality and quantity of water important to the site. Soil
classification and Standard Penetration Testing (SPT)
blow counts provide crude estimates of soil
permeabilities. There are numerous geophysical
methods for estimating permeabilities by using
flowmeters, acoustic velocities, and gamma borehole
logging techniques. The Reclamation Ground Water
Manual, chapters 8 and 10, provides detailed
explanations of various test methods for determining
permeabilities. Except for the aquifer tests, most
methods described in this chapter determine the vertical
or horizontal permeability.

The most accurate test method for determining per-

meability is conducting a relatively long-term aquifer
test. This method is not covered in this chapter. A full-
term aquifer test (pumping test as described in chapter
8 of the Reclamation Ground Water Manual) is rarely
justified during initial site investigations because of the
cost and time required to perform an aquifer test and
possibly handle the discharged water. This chapter
discusses the less costly methods used to determine
permeability. These methods are less accurate,
primarily because these tests are too short in duration
and because the interval being tested is not necessarily
“truly” undisturbed, open, dimensioned as assumed, and
representative.

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Stable Boreholes

Packer tests are commonly performed in boreholes

because the tests are inexpensive and can be performed
quickly, with minimal disruption to the primary task of
most site investigations, which is determining the
subsurface materials and geology. The Gravity
Permeability Test Method 1 for consolidated material is
used only within the vadose zone and is the preferred
method if the packer test method cannot be used. The
principal problem of any gravity permeability test
method is that a uniform supply of water is necessary so
that a constant head can be maintained above the static
water surface. The falling head tests should be used in
stable boreholes if the packer test and gravity tests (both
above and below the static water surface) cannot be
performed.

Unstable Boreholes

There are a number of permeability tests that can be

used in unstable materials such as soils that are
noncohesive, uncemented, or unindurated or fractured
rock that collapses into the borehole. Slug tests are used
primarily when water availability or usage is a problem.
Piezometer tests are good where water surfaces are high
and where water bearing units are relatively thin
layered but significant. Unfortunately, the piezometer
test is limited to relatively shallow depths (around 20
feet [6 m]) and is rarely successful in cohesionless or
gravelly or coarser soils. Gravity permeability tests are
used in unstable soils or in rock. Gravity permeability
tests require costly construction techniques, delay or
prevent further advancement of the borehole, and
require a supply of water.

Borehole permeabilities are appropriate for the interval

tested unless the test interval is greater than 10 feet

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(3 m). For intervals greater than 10 feet (3 m), the test

may not be an accurate reflection of the entire saturated
column. The permeability values should be plotted on
the drill log, along with the water take and test
pressures. The test interval should be drawn on the log
so that the water test data can be related to fracture
data.

Permeability Testing in Rock

Permeability tests are routinely performed in rock,

particularly by pressure or packer tests. The
permeability calculation assumes laminar flow in an
isotropic, homogeneous medium. In reality, the test
water take is effectively controlled by fractures because
the intact rock permeability is effectively zero in most
cases. The water may be flowing into one or into many
fractures in the test interval, but the permeability
calculation assumes laminar flow in an isotropic,
homogeneous medium. The length of the test interval is
governed by the rock characteristics. Typically, the test
interval may be 10 feet (3 m) long, but the water can be
going into one ¼-inch (8-mm) fracture. Test intervals
greater than 20 feet (6 m) are inadvisable because,
typically, there are a few fractures or a relatively small
zone that controls the groundwater flow in bedrock. The
calculated permeability of the packer test interval may
be a magnitude different from the actual rock mass
permeability. Only in the case of a highly fractured rock
mass is the calculated permeability relatively reliable
and the result is still a relative or effective permeability.

Orientation.—The orientation of the drill hole relative

to the fractures significantly affects the number of
fractures intercepted by the hole and the perceived
permeability. A vertical hole drilled in a material that
has predominantly vertical fractures such as flat-bedded
sediments will not intercept the predominant control on

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the rock mass permeability. The drill holes should be

oriented to cross as many fractures as possible not only
for more meaningful permeability tests, but also to get
meaningful rock mass design parameters. If hole
orientation is not practical, the results may be corrected
for the orientation bias.

Jacking.—The pressure used for the water test should

consider geologic structure. Flat-lying, bedded
sediments are very susceptible to jacking along bedding
planes. The combination of weak bedding planes,
typically low vertical confining pressures, or high
horizontal in place stresses can result in jacking and
apparently high permeabilities. Test pressures of half
the typical pressure of 1 pound per square inch per foot
(psi/ft) (0.2 kg/cm 2/m) of depth are often appropriate.

Hydrofracturing.—In place stresses in many areas are

not lithostatic and horizontal stresses are significantly
lower than vertical stresses. The theoretical overburden
stress (roughly 1 pound per square inch per foot depth
[0.2 kg/cm2/m]) is typically used to determine the test
pressure. If the horizontal stress is much lower than the
vertical stress, hydrofracturing can occur, resulting in an
induced high permeability value.

Stepped Pressure Tests.—Stepped pressure tests are

an effective method of conducting water tests. Pressures
are stepped up to the maximum pressure and then
stepped down through the original pressures. Compari-
son of the calculated permeability values and the
pressure versus flow curves for the steps can tell you
whether the flow is laminar, if jacking or hydrofracturing
is occurring, and if fractures are being washed out. If
the pressures are increased to where jacking or
hydrofracturing is occurring, the design grout pressures
can be set as high as possible to get effective grout

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injection, yet preclude fracturing or induce fracturing if

desired. Chapter 16 discusses these tests in detail.

Test Equipment.—The test equipment can affect the

test results. At moderate to high flows, the friction loss
and restriction because of the piping (plumbing) and the
packer is important. Significant pressure loss occurs
between the gauge and the packer. At high flows, the
plumbing system “permeability” can be the controlling
factor rather than the permeability of the test interval.
If meters and gauges are located in relation to each other
as recommended, the arrangement of pipe, hose, etc.,
will not seriously influence the tests, although sharp
bends in hose, 90-degree fittings on pipes, and
unnecessary changes in pipe and hose diameters should
be avoided. Laying the system out on the ground and
pumping water through the plumbing to determine the
capacity of the system is a good idea, especially if using
small diameter piping or wireline packers.

In many investigations, information on the permeability

of saturated or unsaturated materials is required.
Permeability within the vadose zone, including the
capillary fringe, is typically estimated by permeameter
or gravity permeability tests. Permeability tests within
saturated materials are typically performed as a falling
head, packer, or aquifer test. Water within the
unsaturated zone is suspended within the material but
is primarily moving downward by gravity. In
unsaturated conditions, the material permeabilities are
obtained by one of several field permeameter tests.
Since the material is not saturated, permeability tests
require more equipment and a lot of water. These tests
measure the volume of water flowing laterally while
maintaining a constant head.

Laboratory permeability tests of subsurface materials

usually are not satisfactory. Test specimens are seldom

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undisturbed, and a specimen typically represents only a

limited portion of the investigated material. Field tests
have been devised that are relatively simple and less
costly than aquifer pumping tests (although aquifer tests
do provide relatively accurate permeability values).
These tests are usually conducted in conjunction with
exploratory drilling or monitoring existing wells.

Permeability testing of existing monitoring wells may

help determine material characteristics when evaluation
of existing data indicates gaps or when it is necessary to
confirm previous assumptions. Properly conducted and
controlled permeability tests will yield reasonably
accurate and reliable data. Several locations may need
to be tested to provide data on spatial variations of
subsurface material characteristics.

The quality of water used in permeability tests is

important. The presence of only a few parts per million
of turbidity or air dissolved in water can plug soil and
rock voids and cause serious errors in test results.
Water should be clear and silt free. To avoid plugging
the soil pores with air bubbles, use water that is a few
degrees warmer than the temperature of the test section.

For some packer tests, pumps of up to 250 gallons per

minute (gal/min) (950 liters per minute [L/min]) capacity
against a total dynamic head of 160 feet (50 m) may be
required.

The tests described below provide semiquantitative

values of permeability. There have been numerous types
of permeability tests devised with varying degrees of
accuracy and usefulness. The tests described below are
relatively simple and generally provide useful
permeability data. If the tests are performed properly,
the values obtained are sufficiently accurate for some
engineering purposes. The tests assume laminar flow

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and a homogeneous medium. These conditions are not

often encountered, and fracture flow is what usually
occurs in rock. The equations given for computing
permeability are applicable to laminar flow. The velocity
where turbulent flow occurs depends, in part, on the
grain size of the materials tested. A maximum average
velocity for laminar flow is about 0.1 foot per second
(ft/sec) (25 millimeters per second [mm/sec]). If the
quotient of the water intake in cubic units per second
divided by the open area of the test section in square
units times the estimated porosity of the tested material
is greater than 0.10, the various given equations may not
be accurate or applicable. The values obtained are not
absolute and can vary from the true permeability by plus
or minus an order of magnitude.

Length, volume, pressure, and time measurements

should be made as accurately as available equipment
will permit, and gauges should be checked periodically
for accuracy. Keep the accuracy of the results in mind
when determining the needed accuracy of the measure-
ments. Results should be reported in feet per year or
centimeters per second for most engineering uses.

In an open hole test, the total open area of the test

section is computed by:

a = 2BrR+Br2

where:

a = total open area of the hole face plus the hole bottom
r = radius of the hole
R = length of the test section of the hole

When perforated casing is used and the open area is

small, the effective radius, re, is used instead of the
actual radius, r.

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ap = total open area of perforations

a = area of each perforation

If fabricated well screens are used, estimates of the screen

open area generally can be obtained from the screen
manufacturer.

Permeability tests are divided into four types: pressure

tests, constant head gravity tests, falling head gravity
tests, and slug tests. In pressure tests and falling head
gravity tests, one or two packers are used to isolate the
test section in the hole. In pressure tests, water is forced
into the test section through combined applied pressure
and gravity head or the tests can be performed using
gravity head only. In falling head tests, only gravity head
is used. In constant head gravity tests, no packers are
used, and a constant water level is maintained. Slug tests
use only small changes in water level, generally over a
short time.

Pressure Permeability Tests in Stable Rock

Pressure permeability tests are run using one or two

packers to isolate various zones or lengths of drill hole.
The tests may be run in vertical, angled, or horizontal
holes. Compression packers, inflatable packers, leather
cups, and other types of packers have been used for
pressure testing. Inflatable packers are usually more
economical and reliable because they reduce testing time
and ensure a tighter seal, particularly in rough-walled,
oversize, or out-of-round holes. The packer(s) are
inflated through tubes extending to a tank of compressed
air or nitrogen at the surface. If a pressure sensing
instrument is included, pressure in the test section is

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transmitted to the surface. Although this arrangement

permits an accurate determination of test pressures,
manual observations should still be made to permit an
estimate of permeability if pressure sensors fail. When
double packers are used, the hole can be drilled to total
depth and then tested. When a single packer is used, the
hole is advanced and tested in increments.

Methods of Testing

In stable rock the hole is drilled to the total depth

without testing. Two inflatable packers 5 to 10 feet (1.5
to 3 m) apart are installed on the drill rod or pipe used
for making the test. The section between the packers is
perforated. The perforations should be at least ¼ inch
(6 mm) in diameter, and the total area of all perforations
should be more than two times the inside cross-sectional
area of the pipe or rod. Tests are made beginning at the
bottom of the hole. After each test, the packers are
raised the length of the test section, and another test is
made of the appropriate section of the hole.

In unstable rock, the hole is drilled to the bottom of each

test interval. An inflatable packer is set at the top of the
interval to be tested. After the test, the hole is then
drilled to the bottom of the next test interval.

Cleaning Test Sections

Before testing, the test section should be surged with

clear water and bailed or flushed out to clean cuttings
and drilling fluid from the hole. If the test section is
above the water table and will not hold water, water
should be poured into the hole during the surging, then
bailed out as rapidly as possible. When a completed hole
is tested using two packers, the entire hole can be
cleaned in one operation. Although cleaning the hole is
frequently omitted, failing to clean the hole may result

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in a permeable rock appearing to be impermeable

because the hole wall is sealed by cuttings or drilling
fluid.

Alternatives to surging and bailing a drill hole in

indurated or consolidated material before pressure
testing include rotating a stiff bristled brush while
jetting with water. The jet velocity should be at least
150 ft/sec (45 m/sec). This velocity is approximately
1.4 gal/min per 1/16-inch- (5.3 L/min per 2-mm-)
diameter hole in the rod. The drill hole should be blown
or bailed out to the bottom after jetting.

Length of Test Section

The length of the test section is governed by the

character of the rock, but generally a length of 10 feet
(3 m) is acceptable. Occasionally, a good packer seal
cannot be obtained at the planned depth because of
bridging, raveling, fractures, or a rough hole. If a good
seal cannot be obtained, the test section length should be
increased or decreased or test sections overlapped to
ensure that the test is made with well-seated packers.
On some tests, a 10-foot (3-m) section will take more
water than the pump can deliver, and no back pressure
can be developed. If this occurs, the length of the test
section should be shortened until back pressure can be
developed, or the falling head test might be tried.

The test sections should have an R/2r ratio greater than

5, where r is the radius of the hole and R is the length of
the test section. The packer should not be set inside the
casing when making a test unless the casing has been
grouted in the hole. Test sections greater than 20 feet
(6 m) long may not allow sufficient resolution of
permeable zones.

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Size of Rod or Pipe to Use in Tests

Drill rods are commonly used to make pressure and

permeability tests. NX and NW rods can be used if the
take does not exceed 12 to 15 gallons per minute (45 to
60 liters per minute) and the depth to the top of the test
section does not exceed 50 feet (15 m). For general use,
1¼-inch (32-mm) or larger pipe is better. Figures 17-1
through 17-4 show head losses at various flow rates per
10-foot (3-m) section for different sizes of drill rod and
1¼-inch (32-mm) pipe. These figures were compiled
from experimental tests. Using 1¼-inch (32-mm) pipe,
particularly where holes 50 feet (15 m) or deeper are to
be tested, is obviously better than using smaller pipe.
The couplings on 1¼-inch (32-mm) pipe must be turned
down to 1.8 inch (45 mm) outside diameter for use in AX
holes.

Pumping Equipment

Mud pumps should not be used for pumping the water

for permeability tests. Mud pumps are generally of the
multiple cylinder type and produce a uniform but large
fluctuation in pressure. Many of these pumps have a
maximum capacity of about 25 gal/min (100 L/min), and
if not in good condition, capacities may be as small as
18 gal/min (70 L/min). Tests are often bad because
pumps do not have sufficient capacity to develop back
pressure in the length of hole being tested. When this
happens, the tests are generally reported as “took
capacity of pump, no pressure developed.” This result
does not permit a permeability calculation and only
indicates that the permeability is probably high. The
fluctuating pressures of multiple cylinder pumps, even
when an air chamber is used, are often difficult to read
accurately because the high and low readings must be
averaged to determine the approximate true effective

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Figure 17-1.—Head loss in a 10-foot (3-m)

section of AX (1.185-inch- [30.1-mm-] inside
diameter [ID] drill rod.

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Figure 17-2.—Head loss in a 10-foot

(3-m) section of BX (1.655-inch
[42.0-mm] ID) drill rod.

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Figure 17-3.—Head loss in a 10-foot

(3-m) section of NX (2.155-inch
[54.7-mm] ID) drill rod.

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Figure 17-4.—Head loss in a 10-foot

(3-m) section of 1¼-inch (32-mm) steel pipe.

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pressure. In addition, mud pumps occasionally develop

high peak pressures that may fracture the rock or blow
out a packer.

Permeability tests made in drill holes should be

performed using centrifugal or positive displacement
pumps (Moyno type) having sufficient capacity to develop
back pressure. A pump with a capacity of up to
250 gal/min (950 L/min) against a total head of 160 feet
(48 m) is adequate for most testing. Head and discharge
of these pumps are easily controlled by changing
rotational speed or adjusting the discharge valve.

Swivels for Use in Tests

Swivels used for pressure testing should be selected for

minimum head losses.

Location of Pressure Gauges

The ideal location for a pressure gauge is in the test

section, but as close to the packer as possible.

Water Meters

Water deliveries in pressure tests may range from less

than 1 gal/min (3.8 L/min) to as much as 400 gal/min
(1,500 L/min). No one meter is sufficiently accurate at
all ranges. Two meters are recommended: (1) a 4-inch
(100-mm) propeller or impeller-type meter to measure
flows between 50 and 350 gal/min (200 and 1,300 L/min),
and (2) a 1-inch (25-mm) disk-type meter for flows
between 1 and 50 gal/min (4 and 200 L/min). Each meter
should be equipped with an instantaneous flow indicator
and a totalizer. Water meters should be tested
frequently.

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Inlet pipes should be available to minimize turbulent

flow into each meter. The inlet pipes should be at least
10 times the diameter of the meter inlet.

Length of Time for Tests

The minimum length of time to run a test depends on the

nature of the material tested. Tests should be run until
three or more readings of water take and pressure taken
at 5-minute intervals are essentially equal. In tests
above the water table, water should be pumped into the
test section at the desired pressure for about 10 minutes
in coarse materials or 20 minutes in fine-grained
materials before making measurements.

Stability is obtained more rapidly in tests below the

water table than in unsaturated material. When
multiple pressure tests are made, each pressure
theoretically should be maintained until stabilization
occurs. This procedure is not practical in some cases,
but good practice requires that each pressure be
maintained for at least 20 minutes, and take and
pressure readings should be made at 5-minute intervals
as the pressure is increased and for 5 minutes as
pressure is decreased.

Pressures Used in Testing

The pressure used in testing should be based on the rock

being tested. Relatively flat-lying, bedded rock should be
tested at 0.5 lbs/in2 per foot (0.1 kg/cm2/m) of depth to
the test interval to prevent uplift or jacking of the rock.
Relatively homogeneous but fractured rock can be tested
at 1 lb/in2 per foot (0.2 kg/cm 2/m) of test interval depth.
Relatively unfractured rock can be tested at 1.5 lb/in2 per
foot (0.3kg/cm 2/m) of test interval depth.

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Arrangement of Equipment

The recommended arrangement of test equipment

starting at the source of water is: source of water;
suction line; pump; waterline to settling and storage
tank or basin, if required; suction line; centrifugal or
positive displacement pump; line to water meter inlet
pipe; water meter; short length of pipe; valve; waterline
to swivel; sub for gauge; and pipe or rod to packer. All
connections should be kept as short and straight as
possible, and the number of changes in hose diameter,
pipe, etc., should be kept as small as possible.

All joints, connections, and hose between the water

meter and the packer or casing should be tight, and
there should be no water leaks.

Pressure Permeability Tests

A schematic of the following two methods is shown in

figure 17-5.

Method 1: The hole is drilled, cleaned, the tools are

removed, a packer is seated the test interval distance
above the bottom of the hole, water under pressure is
pumped into the test section, and readings are
recorded. The packer is then removed, the hole is
drilled the test interval length deeper, cleaned, the
packer is inserted using the length of the newly drilled
hole as the test section, and the test performed.

Method 2: The hole is drilled to the final depth,

cleaned, and blown out or bailed. Two packers spaced
on pipe or drill stem to isolate the desired test section
are used. Tests should be started at the bottom of the
hole. After each test, the pipe is lifted a distance equal
to l, shown on figure 17-5, and the test is repeated until
the entire hole is tested.

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Figure 17-5.—Permeability test for use in saturated or unsaturated consolidated
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Data required for computing the permeability may not be

available until the hole has encountered the water table
or a relatively impermeable bed. The required data for
each test include:

• Radius, r, of the hole, in feet (meters).

• Length of test section, R, the distance between the
packer and the bottom of the hole, Method 1, or
between the packers, Method 2, in feet (meters).
• Depth, h1, from pressure gauge to the bottom of the
hole, Method 1, or from gauge to the upper surface of
lower packer in Method 2. If a pressure transducer is
used, substitute the pressure recorded in the test
section before pumping for the h1 value.
• Applied pressure, h2, at the gauge, in feet (meters), or
the pressure recorded during pumping in the test
section if a transducer is used.
• Steady flow, Q, into well at 5-minute intervals, in
cubic feet per second (ft3/sec) (cubic meters per second
[m3/sec]).
• Nominal diameter in inches (mm) and length of intake
pipe in feet (m) between the gauge and upper packer.
• Thickness, U, of unsaturated material above the water
table, in feet (m).
• Thickness, S, of saturated material above a relatively
impermeable bed, in feet (m).
• Distance, D, from the ground surface to the bottom of
the test section, in feet (m).
• Time that the test is started and the time measure-
ments are made.

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• Effective head, the difference in feet (m) between the

elevation of the free water surface in the pipe and the
elevation of the gauge plus the applied pressure. If a
pressure transducer is used, the effective head in the
test section is the difference in pressure before water
is pumped into the test section and the pressure
readings made during the test.

The following examples show some typical calculations

using Methods 1 and 2 in the different zones shown in
figure 17-5. Figure 17-6 shows the location of the zone 1
lower boundary for use in unsaturated materials.

Pressure permeability tests examples using Methods 1

and 2:

Figure 17-6.—Location of zone 1 lower

boundary for use in unsaturated materials.

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Zone 1, Method 1

Given: U = 75 feet, D = 25 feet, R = 10 feet, r =

0.5 foot, h1 = 32 feet, h2 = 25 lb/in2 = 57.8 feet, and
Q = 20 gal/min = 0.045 ft3/sec

From figure 17-4: head loss, L, for a 1¼-inch pipe at

20 gal/min is 0.76 foot per 10-foot section. If the
distance from the gauge to the bottom of the pipe is
22 feet, the total head loss, L, is (2.2) (0.76) = 1.7 feet.

H = h1 + h2 - L = 32 + 57.8 - 1.7 = 88.1 feet of effective

head, Tu = U - D + H = 75 - 25 + 88.1 = 138.1 feet

The values for X and Tu/R lie in zone 1 (figure 17-6).

To determine the unsaturated conductivity
coefficient, Cu, from figure 17-7:

then:

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Figure 17-7.—Conductivity coefficients

for permeability determination in
unsaturated materials with partially
penetrating cylindrical test wells.

Zone 2

Given: U, R, r, h2, Q, and L are as given in example

1, D = 65 feet, and h1 = 72 feet

If the distance from the gauge to the bottom of the

intake pipe is 62 feet, the total L is (6.2) (0.76) =
4.7 feet.

H = 72 + 57.8 - 4.7 = 125.1 feet

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Tu = 75 - 65 + 125.1 = 135.1 feet

The test section is located in zone 2 (figure 17-6). To

determine the saturated conductivity coefficient, Cs,
from figure 17-8:

Figure 17-8.—Conductivity coefficients

for semispherical flow in saturated
materials through partially penetrating
cylindrical test wells.

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Method 1:

Method 2:

Zone 3

Given:

U,R, r, h2, Q, and L are as given in example 1, D =

100 feet, h1 = 82 feet, and S = 60 feet

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If the distance from the gauge to the bottom of the

intake pipe is 97 feet, the total L is (9.7) (0.76) =
7.4 feet.

H = 82 + 57.8 - 7.4 = 132.4 feet

Method 1:

Method 2:

Multiple Pressure Tests

Multiple pressure tests are pressure permeability tests

that apply the pressure in three or more approximately
equal steps. For example, if the allowable maximum
differential pressure is 90 lb/in2 (620 kilopascal [kPa]), the
test would be run at pressures of about 30, 60, and
90 lb/in2 (210 kPa, 415 kPa, and 620 kPa).

Each pressure is maintained for 20 minutes, and water

take readings are made at 5-minute intervals. The

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pressure is then raised to the next step. After the

highest step, the process is reversed and the pressure
maintained for 5 minutes at the same middle and low
pressures. A plot of take against pressure for the five
steps is then used to evaluate hydraulic conditions.
These tests are also discussed in chapter 16.

Hypothetical test results of multiple pressure tests are

plotted in figure 17-9. The curves are typical of those
often encountered. The test results should be analyzed
using confined flow hydraulic principles combined with
data obtained from the core or hole logs.

Probable conditions represented by plots in figure 17-9

are:

1. Very narrow, clean fractures. Flow is laminar,

permeability is low, and discharge is directly
proportional to head.

2. Practically impermeable material with tight

fractures. Little or no intake regardless of pressure.

3. Highly permeable, relatively large, open fractures

indicated by high rates of water intake and no back
pressure. Pressure shown on gauge caused entirely
by pipe resistance.

4. Permeability high with fractures that are relatively

open and permeable but contain filling material
which tends to expand on wetting or dislodges and
tends to collect in traps that retard flow. Flow is
turbulent.

5. Permeability high, with fracture filling material

which washes out, increasing permeability with time.
Fractures probably are relatively large. Flow is
turbulent.

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Figure 17-9.—Plots of simulated, multiple

pressure permeability tests.

6. Similar to 4, but fractures are tighter and flow is

laminar.

7. Packer failed or fractures are large, and flow is

turbulent. Fractures have been washed clean; highly
permeable. Test takes capacity of pump with little or
no back pressure.

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8. Fractures are fairly wide but filled with clay gouge

material that tends to pack and seal when under
pressure. Takes full pressure with no water intake
near end of test.

9. Open fractures with filling that tends to first block

and then break under increased pressure. Probably
permeable. Flow is turbulent.

Gravity Permeability Tests

Gravity permeability tests are used primarily in uncon-

solidated or unstable materials. Gravity tests are
performed in unconsolidated materials but are typically
performed at greater depths. Gravity tests can be run
only in vertical or near-vertical holes. A normal test
section length is 5 feet (1.5 m). If the material is stable,
stands without caving or sloughing, and is relatively
uniform, sections up to 10 feet (3 m) long may be tested.
Shorter test sections may be used if the length of the
water column in the test section is at least five times the
diameter of the hole. This length to diameter ratio is
used in attempting to eliminate the effect of the bottom
of the borehole. The diameter of the borehole sidewalls
is the outside of any screen and annular packing of sand
and or gravel. After each test, the casing for open hole
tests is driven to the bottom of the hole, and a new test
section is opened below the casing. If perforated casing
is used, the pipe can be driven to the required depth and
cleaned out, or the hole can be drilled to the required
depth and the casing driven to the bottom of the hole and
the hole cleaned out.

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Cleaning and Developing Test Sections

Each newly opened test section should be developed by

surging and bailing. Development should be done slowly
and gently so that a large volume of loosely packed
material is not drawn into the hole and only the
compaction caused by drilling is broken down and the
fines will be removed from the formation.

Measurement of Water Levels Through

Protective Pipe

Measuring water depths inside a ¾- to 1½-inch- (20- to

40-mm-) small-diameter perforated pipe in the hole
dampens wave or ripple action on the water surface
caused by the inflow of water resulting in more accurate
water level measurements. Water may also be
introduced through the pipe and water level
measurements made in the annular space between the
pipe and the casing.

In an uncased test section in friable materials liable to

wash, the end of the pipe should rest on a 4- to 6-inch
(100- to 150-mm) cushion of coarse gravel at the bottom
of the hole. In more stable material, the pipe may be
suspended above the bottom of the hole, but the bottom
of the pipe should be located at least 2 feet (0.6 m) below
the top of the water surface maintained in the hole.

Pumping Equipment and Controls

Pressure is not required in the test, but pump capacity

should be adequate to maintain a constant head during
the test.

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Accurate control of the flow of water into the casing is a

problem on many gravity tests. The intake of the test
section necessary to maintain a constant head is
sometimes so small that inflow cannot be sufficiently
controlled using a conventional arrangement. A precise
method of controlling low flows, such as using needle
valves, is important. Many meters are inaccurate at
very low flows.

Water Meters

Water deliveries in gravity tests may range from less

than 1 gal/min (3.8 L/min) to several hundred gallons per
minute. No one meter is sufficiently accurate at all
ranges. Two meters are recommended: (1) a 4-inch
(100-mm) propeller- or impeller-type meter to measure
flows between 50 and 350 gal/min (200 and 1,300 L/min)
and (2) a 1-inch (25-mm) disk-type meter for flows
between 1 and 50 gal/min (4 and 200 L/min). Each meter
should be equipped with an instantaneous flow indicator
and a totalizer. Water meters should be tested
frequently.

Length of Time for Tests

As in pressure tests, stabilized conditions are very

important if good results are to be obtained from gravity
tests. Depending on the type of test performed, one of
two methods is used. In one method, the inflow of water
is controlled until a uniform inflow results in a stabilized
water level at a predetermined depth. In the other
method, a uniform flow of water is introduced into the
hole until the water level stabilizes.

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Arrangement of Equipment

A recommended arrangement of test equipment, starting

at the source of water, is: suction line; pump; waterline
to settling and storage tank or basin, if required; suction
line; centrifugal or positive displacement pump; line to
water meter inlet pipe; water meter; short length of pipe;
valve; and the waterline to the casing. All connections
should be kept as short and straight as possible, and the
changes in diameter of hose, pipe, etc., should be kept to
a minimum. If a constant head tank is used, the tank
should be placed so that water flows directly into the
casing.

Gravity Permeability Test - Method 1

For tests in unsaturated and unstable material using

only one drill hole, Method 1 is the most accurate
available. Because of mechanical difficulties, this test
cannot be economically carried out at depths greater
than about 40 feet (12 m) when gravel fill must be used
in the hole. When performing the test, after the
observation and intake pipes are set, add gravel in small
increments as the casing is pulled back; otherwise, the
pipes may become sandlocked in the casing. For tests in
unsaturated and unstable material at depths greater
than about 12 meters (40 feet), Method 2 should be used
(described later).

The procedures for testing soil conditions are:

Unconsolidated Materials – A 6-inch (150-mm) or

larger hole is drilled or augered to the test depth and
then carefully developed. A cushion of coarse gravel
is placed at the bottom of the hole, and the feed pipe

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(I) and the observation pipe (O) are set in position

(figure 17-10). After the pipes are in position, the
hole is filled with medium gravel to a depth at least
five times the diameter of the hole. If the drill hole
wall material will not stand without support, the hole
must be cased to the bottom. After casing, the gravel
cushion and pipes are put in, and the casing is pulled
back slowly as medium gravel is fed into the hole.
The casing should be pulled back only enough to
ensure that the water surface to be maintained in the
hole will be below the bottom of the casing. About 4
inches (100 mm) of the gravel fill should extend up
into the casing.

A metered supply of water is poured into the feed

pipe until three or more successive measurements of
the water level taken at 5-minute intervals through
the observation pipe are within 0.2 foot (5 mm). The
water supply should be controlled so that the
stabilized water level is not within the casing and is
located more than five times the hole diameter above
the bottom of the hole. The water flow generally has
to be adjusted to obtain the required stabilized level.

Consolidated Materials – The gravel fill and casing

may be omitted in consolidated material or
unconsolidated material that will stand without
support even when saturated. A coarse gravel
cushion is appropriate. The test is carried out as in
unconsolidated, unstable materials.

Tests should be made at successive depths selected so

that the water level in each test is located at or above the
bottom of the hole in the preceding test. The
permeability coefficients within the limits ordinarily

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employed in the field can be obtained from figures 17-7

and 17-8. The test zone and applicable equations are
shown in figures 17-6 and 17-10.

Data required for computing the permeability may not be

available until the hole has penetrated the water table.
The required data are:

• Radius of hole, r, in feet (meters)

• Depth of hole, D, in feet (meters)

• Depth to bottom of casing, in feet (meters)

• Depth of water in hole, H, in feet (meters)

• Depth to top of gravel in hole, in feet (meters)

• Length of test section, R, in feet (meters)

• Depth-to-water table, Tu, in feet (meters)

• Steady flow, Q, introduced into the hole to maintain a

uniform water level, in ft 3/sec (m 3/sec)

• Time test is started and time each measurement is

made

Some examples using Method 1 are:

Zone 1, Method 1

Given:

H = R = 5 feet,T = 0.5 foot, D = 15 feet, U = 50 feet, and

Q = 0.10 ft 3/sec

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Figure 17-10.—Gravity permeability test (Method 1).
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Tu = U-D + H = 50 - 15 + 5 = 40 feet, also Tu /R =

40/5 = 8

The values for X and Tu /R lie in zone 1 (figure 17-6). To

determine the unsaturated conductivity coefficient, Cu,
from figure 17-7:

Zone 2, Method 1

Given:

H, R, r, U, and Q are as given in example 1, D = 45 feet

Points Tu /R and X lie in zone 2 on figure 17-6.

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To determine the saturated conductivity coefficient, Cs,

from figure 17-8:

From figure 17-10:

Gravity Permeability Test - Method 2

This method may give erroneous results when used in

unconsolidated material because of several uncontrollable
factors. However, it is the best of the available pump-in
tests for the conditions. The results obtained are
adequate in most instances if the test is performed
carefully. When permeabilities in streambeds or lakebeds
must be determined below water, Method 2 is the only
practical gravity test available.

A 5-foot (1.5-m) length of 3- to 6-inch- (75- to 150-mm-)

diameter casing uniformly perforated with the maximum
number of perforations possible without seriously
affecting the strength of the casing is best. The bottom of
the perforated section of casing should be beveled on the
inside and case hardened for a cutting edge.

The casing is sunk by drilling or jetting and driving,

whichever method will give the tightest fit of the casing
in the hole. In poorly consolidated material and soils
with a nonuniform grain size, development by filling the
casing with water to about 3 feet (1 m) above the
perforations and gently surging and bailing is advisable

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before making the test. A 6-inch (150-mm) coarse gravel

cushion is poured into the casing, and the observation
pipe is set on the cushion.

A uniform flow of water sufficient to maintain the water

level in the casing above the top of the perforations is
poured into the well. The water should be poured
through a pipe and measurements made between the
pipe and casing or reversed if necessary. Depth of water
measurements are made at 5-minute intervals until
three or more measurements are within ±0.2 foot
(60 mm) of each other.

When a test is completed, the casing is sunk an

additional 5 feet (1.5 m), and the test is repeated.

The test may be run in stable consolidated material

using an open hole for the test section. Because the
bottom of the casing is seldom tight in the hole and
significant error may result from seepage upward along
the annular space between the casing and the wall of the
hole, this is not recommended. Measurements should be
made to the nearest 0.01 foot (3 mm). The values of Cu
and Cs within the limits ordinarily employed in the field
can be obtained from figures 17-7 and 17-8. The zone in
which the test is made and applicable equations can be
found in figures 17-6 and 17-11, respectively.

Some data required for computing permeability are not

available until the hole has encountered the water table.

The recorded data are supplemented by this information

as the data are acquired. The data recorded in each test
are:

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Figure 17-11.—Gravity permeability test (Method 2).
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• Outside radius of casing, r1

• Length of perforated section of casing, R

• Number and diameter of perforations in length R

• Depth to bottom of hole, D

• Depth-to-water surface in hole

• Depth of water in hole, H

• Depth-to-water table, U

• Thickness of saturated permeable material above

underlying relatively impermeable bed, S

• Steady flow into well to maintain a constant water

level in hole, Q

• Time test is started, and measurement is made

Some examples using Method 2 are:

Zone 1, Method 2

Given:

H = 10 feet, R = 5 feet, r1 = 0.25 foot, D = 20 feet,

U = 50 feet, Q = 0.10 ft3/sec, 128 0.5-inch-diameter
perforations, bottom of the hole is sealed

Area of perforations = 128 B r1 2 = 128B (0.25) 2 =

25.13 in2 = 0.174 ft 2

Area of perforated section = 2 BrR = 2B (0.25) (5) =

7.854 ft2

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Points Tu /R and X lie in zone 1 on figure 17-6.

Find Cu from figure 17-7:

then, Cu = 1,200

From figure 17-11:

Zone 2, Method 2

Given:

Q, H, R, r1, re, U, R/H, and H/re same as Zone 1,

Method 2, D = 40 feet

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Points Tu /R and X lie in zone 2 on figure 17-6.

Find Cs from figure 17-8:

From figure 17-11:

Zone 3, Method 2

Given:

Q, H, R, r1, re, R/H, H/re, U, Cs, and R/re are as given in

Zone 2, Method 2, S = 60 feet

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From figure 17-11:

Gravity Permeability Test - Method 3

This method is a combination of gravity permeability test

Methods 1 and 2. The method is the least accurate, but is
the only one available for gravelly or coarse soils
(figure 17-12).

In some materials, a casing that is beveled and case

hardened at the bottom will not stand up to the driving.
This is particularly true in gravelly materials where the
particle size is greater than about 1 inch (25 mm). Under
these conditions, Method 3 would probably not be
satisfactory because a drive shoe must be used. Using a
drive shoe causes excessive compaction of the materials
and forms an annular space around the casing.

On completion of each test, a 3- to 6-inch-diameter (90-

to 150-millimeter) perforated casing is advanced 5 feet
(1.5 m) by drilling and driving. After each new test
section is developed by surging and bailing, a 6-inch
(150-mm) gravel cushion is placed on the bottom to
support the observation pipe. A uniform flow of water
sufficient to maintain the water level in the casing just at
the top of the perforations is then poured into the well.
The water is poured directly into the casing, and
measurements are made through a 1¼-inch (32-mm)
observation pipe. The test should be run until three or

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Figure 17-12.—Gravity permeability test (Method 3).
 WATER TESTING FOR PERMEABILITY

more measurements taken at 5-minute intervals are

within ±0.2 foot (60 mm) of the top of the perforations.

The values of Cu and Cs, within the limits ordinarily

employed in the field, can be obtained from figures 17-7
and 17-8. The zone in which the test is made and
applicable equations can be found on figures 17-6 and
17-12, respectively.

The data recorded in each test are:

• Outside radius of casing, r1, in feet (meters)

• Length of perforated section of casing, R, in feet

(meters)

• Number and diameter of perforations in length R

• Depth to bottom of hole, D, in feet (meters)

• Depth-to-water surface in hole, in feet (meters)

• Depth of water in hole, in feet (meters)

• Depth-to-water table, in feet (meters)

• Steady flow into well to maintain a constant water

level in hole, Q, in ft 3/sec (m 3/sec)

• Time test is started and time each measurement is

made

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Zone 1, Method 3

Given: Q = 10.1 gal/min = 0.023 ft3/sec, H = R = 5 feet,

D = 17 feet, U = 71 feet, Tu = 54.5 feet, re = 0.008 foot,
and r1 = 1.75 inches = 0.146 foot (nominal 3-inch casing)

These points lie in zone 1 (figure 17-6).

Find Cu from figure 17-7:

then, Cu = 640

From figure 17-12:

Zone 2, Method 3

Given: Q, H, R, U, re, and r1 are as given in Zone1,

Method 3, D = 66 feet and Tu = 10 feet

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These points lie in zone 2 (figure 17-6).

Find Cs from figure 17-8:

From figure 17-12:

Gravity Permeability Test - Method 4

This method can be used to determine the overall average

permeability of unsaturated materials above a widespread
impermeable layer. The method does not detect perme-
ability variations with depth. The method is actually an
application of steady-state pumping test theory.

A well, preferably 6 inches (150 mm) or larger in

diameter, is drilled to a relatively impermeable layer of
wide areal extent or to the water table. If the saturated
thickness is small compared to the height of the water
column that can be maintained in the hole, a water table
will act as an impermeable layer for this test. The well is
uncased in consolidated material, but a perforated casing

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casing or screen should be set from the bottom to about

5 feet (1.5 m) below the ground surface in unconsolidated
material. The well should be developed by pouring water
into the hole while surging and bailing before testing.

Before observation wells are drilled, a test run of the

intake well should be made to determine the maximum
height, H, of the column of water that can be maintained
(figure 17-13) above the top of the impermeable layer. A
1- to 1¼-inch (25- to 32-mm) observation pipe should be
inserted to near the bottom of the intake well to for
water-level measurements. The spacing of the
observation wells can be determined from this test run.

A minimum of three observation wells should be

installed to the top of the impermeable layer or water
table. Suitable pipe, perforated for the bottom 10 to 15
feet (3 to 4.5 m), should be set to the bottom of these
wells. The observation wells should be offset from the
intake well by distances equal to multiples of one-half
the height, H, of the water column that will be
maintained in the intake well.

The elevations of the top of the impermeable layer or

water table in each well are determined, and the test is
started. After water has been poured into the intake at
a constant rate for an hour, measurements are made of
water levels in the observation wells. Measurements are
then made at 15-minute intervals, and each set of
measurements is plotted on semi-log paper. The square

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Figure 17-13.—Gravity permeability test

(Method 4).

of the height of the water level above the top of the

impermeable bed, h2, is plotted against the distance from
the intake well to the observation holes, d, for each hole
(figure 17-14). When the plot of a set of measurements
is a straight line drawn through the points within the
limits of plotting, conditions are stable and the
permeability may be computed.

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Figure 17-14.—Plot of h2 versus d for gravity

permeability test (Method 4).

The data recorded in each test are:

• Ground elevations at the intake well and the

observation wells

• Elevations of reference points at the intake well and

the observation wells, in feet (meters)

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• Distances from center of the observation wells to center

of the intake well, d1, d2, and d3, in feet (meters)

• Elevation of top of impermeable bed at the intake well

and the observation wells, in feet (meters)

• Depths of water below reference point in the intake well

and the observation wells at 15-minute intervals, in
feet (meters)

• Uniform flow of water, Q, introduced into well, in ft3/sec

(m3/sec)

• Time pumping is started and time each measurement

is made

Method 4

Given: U = 50 feet, Q = 1 ft3/sec, H = 30 feet, d1 =

15 feet, d2 = 30 feet, d3 = 60 feet, h1 = 23.24 feet,
h2 = 17.89 feet, h3 = 10.0 feet, h12 = 540 ft2, h22 = 320 ft2,
and h32 = 100 ft2

A plot of d against h2, as shown on figure 17-14, shows

that a straight line can be drawn through the plotted
points, meaning that stable conditions exist and the
permeability may be computed.

From figure 17-13:

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Falling Head Tests

Falling head tests are used primarily in open holes in

consolidated rock. Falling head tests use inflatable
packers identical to those used for pressure testing and
can be used as an alternate method if the pressure
transducer or other instrumentation fails. The method of
cleaning the hole is the same as that described under
pressure testing.

Tests Below the Static Water Level

Tests below the static water level should be done as

follows:

• Use inflatable straddle packers at 10-foot (3-m) spacing

on a 1¼-inch (32-mm) drop pipe (inside diameter =
1.38 inches [35 mm]). Set packers initially at the
bottom of the hole and inflate to 300 lb/in 2 (2,000 kPa)
of differential pressure.

• After packers are inflated, measure the water level in

the drop pipe three or more times at 5-minute intervals
until the water level stabilizes. The stabilized level will
be the static water level in the test section.

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• Pour 2 gallons (8 liters [L]) or more of water as rapidly

as possible into the drop pipe after the water level
stabilizes. One gallon (4 l) of water will raise the water
level in a 1¼-inch (32-mm) pipe 13 feet (4 m) if the
section is tight.

• Measure the water level as soon as possible after the

water is poured in. Measure the initial depth to water,
record the time as soon as possible, and repeat twice at
5-minute intervals. If the rate of decline exceeds 15 feet
(4.5 m) in 13 minutes, the transmissivity of a 10-foot (3-
m) test section is greater than 200 ft2 (18 m2) per year,
and the average permeability is greater than 20 feet
(6 m) per year.

The transmissivity value determined is only an

approximation, but the value is sufficiently accurate for
many engineering purposes.

The equation for analysis is:

where:

T = transmissivity of test section, in ft2/sec (m2/sec)

V = volume of water entering test section in period

)t, in ft3 (m3). (A 1-foot [30-cm] decline in
1¼-inch [32-mm] pipe = 0.01 ft 3 [0.000283 m 3])

s = decline in water level in period )t, in feet

(meters)

)t = period of time, in seconds, between successive

water level measurements (i.e., t1 - to, t2 - t1, etc.)

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• If the log indicates the test section is uniform and

without obvious points of concentrated leakage, the
average permeability of the test section, in feet per
second (m/sec), can be estimated from K = T/R, where
R is the length of the test section, in feet (m). If the log
indicates a predominantly impervious test section, but
includes a zone or zones of concentrated flow, the
average K of the zones can be estimated from K = T/RN,
where RN is the thickness of the permeable zone or
zones, in feet (m).

• After each test, deflate the packers, raise the test

string 10 feet (3 m), and repeat the test until the
entire hole below the static water level has been
tested.

Tests Above the Water Table

Tests above the water table require different procedures

and analyses than tests in the saturated zone. Tests
made in sections straddling the water table or slightly
above the water table will give high computed values if
the equations for tests below the static water level are
used and low computed values if the following equations
are used. For tests above the water table, the following
procedure is used:

• Install a 10-foot- (3-m-) spaced straddle packer at the

bottom of the hole, if the hole is dry, or with the top of
the bottom packer at the water table if the hole
contains water. Inflate the packer.

• Fill the drop pipe with water to the surface, if possible,

otherwise, to the level permitted by pump capacity.

• Measure the water level in the drop pipe and record

with time of measurement. Make two or more similar
measurements while the water-table declines.

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• Upon completion of a test, raise the packer 10 feet (3 m)

and repeat this procedure until all of the open or
screened hole is tested.

The equation for analysis is:

where:

r1 = inside radius of drop pipe, in feet

OO

HQQV=OO?HQT„KPEJ=OO?RKRG

TG  GHHGEVKXG TCFKWU QH VGUV UGEVKQP KP HGGV

OO
HQQV=OO?HQTCKPEJ=OO?JQNG

)V  VKOGKPVGTXCNU
VVVVKPUGEQPFU

UKPJ  KPXGTUGJ[RGTDQNKEUKPG

NP  PCVWTCNNQICTKVJO

*  NGPIVJ QH YCVGT EQNWOP HTQO DQVVQO QH VGUV

KPVGTXCNVQYCVGTUWTHCEGKPUVCPFRKRGKPHGGV

O) (H0, H1, H2 lengths at time of
measurements t0, t1, t2, etc.)

• For the particular equipment specified and a 10-foot

(3-m) test section, the equation may be simplified to:

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Slug Tests

Slug tests are performed by “rapidly” changing water

levels in a borehole. The rapid change is induced by
adding or removing small quantities of water, air, or an
object that displaces the groundwater. The time
required to restore the water level to its original level is
used to calculate the permeability. Slug tests are
typically performed in areas where access or budget is
limited or the extraction or addition of water has a
potential impact to the surrounding area. Slug tests are
appropriate where the aquifer will not yield enough
water to conduct an aquifer test or the introduction of
water could change or impact the water quality. A major
factor in conducting slug tests is ensuring that the water
level during the test reflects the aquifer characteristics
and is not unduly affected by the well construction.
Where the water surface is shallow and clean water is
readily available, water injection or bailing is often the
easiest method. The displacement or air injection
method may be desirable at locations where the water
level is deep and rapid injection or removal of water is
difficult.

A number of slug test methods exist. The choice depends

on the hydrologic and geologic conditions and the well
size and construction.

Selecting the Slug Test

The method of inducing a rise or fall in the water surface

depends on the purpose of the test and conditions at the
site. Where the water level is shallow and clean water
is readily available, water injection or bailing is often the
easiest method. One limitation of the test accuracy is
the initial water flowing down the inside wall of the well.
Causing a rapid rise by displacing water in the well by

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dropping a pipe or weight or injecting air may be

preferable at remote sites where water may not be
readily available. The displacement or air injection
method may also be desirable at locations where the
water level is deep and rapid injection or removal of
water may require collection and treatment or at well
sites that are being used for water chemistry studies.

Conducting the Slug Test

Before introducing the slug, the well’s sidewall, screen,

or filter pack needs to be clear of any obstructions that
will impede the movement of water from the riser to the
surrounding materials. The riser diameter and length
need to be measured as accurately as possible, and the
water level must be stabilized and recorded as accurately
as possible. The water level measurements must begin
immediately following the introduction of the slug.
Where the water level changes slowly, measurements
may be made by using a water level indicator. For most
tests, water levels should be recorded by a pressure
transducer and automatic data logger.

Hvorslev Slug Test

The Hvorslev slug test is the simplest method of

analysis. This analysis assumes a homogeneous,
isotropic, infinite medium in which both the soil and
water are incompressible. It neglects well bore storage
and is not accurate where a gravel pack or thick sand
pack is present. Figure 17-15 is a sketch of the geometry
of this test and the method of analysis. This method is
used where the slug test is conducted below an existing
water surface.

The test analysis requires graphing the change in head

versus time. Head changes are given by (H-h)/H-H 0 and

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Figure 17-15.—Hvorslev piezometer test.

should be plotted semi-log against time. The graph

should approximate a straight line; and at the point 0.37,
the T0 value is defined as the basic time lag. Using the
graphical solution for T0, the dimension of the cavity, and
the appropriate shape factor, F, a solution for
permeability can be found by:

Figure 17-16 provides shape equations for various well

geometries.

Bouwer Slug Test

The Bouwer slug test assumes no aquifer storage and

finite well bore storage. The well can be partially
penetrating and partially screened. The method was

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169

Figure 17-16a.—Shape factors for computing permeability from variable head tests.
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Figure 17-16a (cont.).—Shape factors for computing permeability from variable head
 WATER TESTING FOR PERMEABILITY

Figure 17-16b.—Shape factor coefficient Fs.

originally developed for unconfined aquifers but can also

be used for confined or stratified aquifers if the top of the
screen or perforated section is located some distance
below the upper confining layer. The analysis is based
on the Thies equation and determines permeability, K, of
the aquifer around the well from the equation:

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where:
R = length of the perforated section of the casing or
riser
s0 = the vertical difference between the water surface
inside the well and the static water level at time
zero
st = s at time t
t = time of reading
rc = inside radius of the riser or casing
r = the effective radius of the well, including the
perforated casing, sand or gravel pack, and any
remaining annular space to the sidewall of the
borehole
de = effective radial distance; the distance between
the well and the observation well; the distance
over which the water level, s, returns to the
static level
H = the height of water within the well
S = aquifer thickness
See figure 17-17 for the configuration definition.
The values of de were determined using an electrical
resistance analog network. The effective radial distance
is influenced by the well diameter, well screen length,
well depth, and the aquifer thickness. Various values for
rc, R, H, and S were used in the analog network for
analysis of their impacts on de.

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Figure 17-17.—Slug test on partially penetrating,

screened well in unconfined aquifer with gravel
pack and developed zone around screen.

The term, ln (de/r), is related to the geometry of the test

zone and the amount of aquifer penetration of the well.
Two separate solutions are required to address partially
penetrating wells and fully penetrating wells. For

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partially penetrating wells, an empirical equation relating

ln (de/r) to the geometry of the test zone is:

In this equation, A and B are dimensionless coefficients

that can be read on figure 17-18. An effective upper limit
of ln[(S-H)/r] is 6. If the computed value of ln[(S-H)/r] is
greater than 6, then 6 should be used in the equation for
ln(de /r). When S = H, the well is fully penetrating, and
the value of C should be used from figure 17-18 in the
equation.

Values of the field test data should be plotted as recovery,

s, versus time for each data point reading. The value s
should be plotted on a y-axis log scale, and values for
corresponding time should be plotted on the x-axis. The
points should approximate a straight line, which indicates
good test data. Areas of the data that plot as curves
(usually at the beginning of the test or near the end of the
test) should not be used in the computation.

Piezometer Test

The piezometer test measures the horizontal permeability

of individual soil layers below a water surface. This test

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Figure 17-18.—Dimensionless parameters A, B,

and C as a function of R/re (F for calculation
of ln(de/re)).

surface. This test may apply to large diameter direct

push technology, as well as to any depth that an open
hole can be maintained. This test is preferred over the
auger-hole test described in section 10-6 of the Ground
Water Manual, especially when the soils tested are less
than 1.5 feet (0.5 m) thick and are below the water table.
This method is particularly good for determining which
layer below the capillary zone is an effective barrier.

Equipment

The following items are suggested equipment for the

piezometer test.

• Riser between 1- to 2-inch (24- to 50-mm) inside

diameter for a depth of around 15 feet (4.5 m) and
black iron pipe with smooth inside wall for depths
greater than 15 feet (4.5 m)

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• Equipment capable of installing the riser and cavity

below the riser

• Pump with hose and controller or bailer that will fit

inside the casing

• Bottle brush for cleaning soil film from the inside of

the test riser if the riser is driven without a protective
point that can prevent soils from filling the inside of
the tube

• Water level detector, stop watch, and transducer and

data logger

Procedure

The test layer should be at least 1 foot (30 cm) thick so

that a 4-inch (10-cm) length of cased hole or cavity can be
located in the middle of the layer. This placement is
especially important if a marked difference in the layers
exists above and below the test layer. The differences
may be changes in the percentages of fines (>15 percent),
overall changes in the soil gradations, soil structure, or
degree of cementation or induration within the soil
horizon. After selecting an appropriate interval based on
the soil investigation, an adjacent hole within 2 feet
(0.6 m) of the test hole is advanced to around 2.0 feet
(0.6 m) above the bottom of the 4-inch (10-cm) test
interval, if using direct push technology, or to the top of
the 4-inch (10-cm) interval. Then use a smaller diameter
auger to ream the final 4-inch (10-cm) interval for the
riser pipe. The final 2.0 feet (0.6 m) are driven to ensure
that a reasonably good seal is obtained and also to
minimize the disturbance. The lower 4 inches (10 cm) of
the borehole are exposed, and the cavity must remain
open. After some recovery has occurred, the riser should
be cleaned with a brush to remove any soil film unless

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should be screened within the lower cavity and then

cleaned out by gently pumping or bailing water and
sediment from the piezometer.

After the water surface has stabilized, the transducer is

installed. The riser is bailed or pumped, depending on the
diameter of riser and the depth to water. It is not
necessary to remove all the water in the screened interval,
but the water level should be lowered enough that at least
three readings during the first half of the water rise will
give consistent results.

Calculations

After completing the piezometer test, the permeability is

calculated from:

where:
s1 and s2 = distance from static water level at times t1
and t2, in inches (cm)
t2 - t1 = time for water level change from s1 to s2,
in seconds
Ca = a constant for a given flow geometry, in
inches (cm)
R = length of open cavity, in inches (cm)
d = H-R, distance from the static water level to
the top of the cavity, in inches (cm)
b = distance below the bottom of the cavity to
the top of next layer, in inches (cm)

A sample calculation using this equation is shown in

figure 17-19. The constant, Ca, may be taken from curves

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A sample calculation using this equation is shown in

figure 17-19. The constant, Ca, may be taken from
curves shown in figures 17-19 or 17-20. The curve on
figure 17-19 is valid when d and b are both large
compared to R. When b = 0 and d is much greater than
R, the curve will give a Ca factor for R = 4 and d = 1 that
will be about 25 percent too large.

The chart on figure 17-20 is used for determining Ca

when upward pressure exists in the test zone. When
pressures are present, additional piezometers must be
installed. The tip of the second piezometer should be
placed just below the contact between layers in layered
soil (figure 17-21). In deep, uniform soils, the second
piezometer tip should be placed an arbitrary distance
below the test cavity.

After installing the second piezometer, the following

measurements should be made:

• Distance, d, in feet (m), between the ends of the riser

pipes

• Difference, H, in feet (m), between water surfaces in

the two piezometers at static conditions

• Distance, d’, in feet (m), between the center of the

lower piezometer cavity and the contact between soil
layers in the layered soils

The Ca value from figure 17-20 is used in the equation to

determine the permeability.

Limitations

Installation and sealing difficulties encountered in coarse

sand and gravel are the principal limitations of the

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UV
VG
[
NKV
DK
GC
O
GT
R
GT
GV
QO
G\
RK
T
HQ
GV
JG
U
QP
VK
VC
RW
O
EQ
F
CP
C
CV
&




TG
IW
(K
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Figure 17-20.—Chart for determining Ca if

upward pressure exists in the test zone.

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Figure 17-21.— Sample calculation for the

piezometer test with upward pressure
in the test zone.

piezometer test for permeability. Also, when the riser

bottoms in gravel, a satisfactory cavity cannot be
obtained. The practical limit of hole depth is about
20 feet (6 meters). Deeper holes require larger
diameters (greater than 2 inches [5cm]), and driving the
riser deeper is difficult.

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Details on the equipment requirements and procedures

are provided in chapter 3 of the Drainage Manual.
Permeameter tests are typically restricted to shallow
boreholes or excavations and require time to set up the
equipment and perform the test. Where the
permeability is relatively high (>1,000 feet per year [10-3
cm per second]), these tests require large amounts of
water. With material having permeability values greater
than 106 feet per year (10 cm/sec), laboratory
permeability testing is more cost effective. The samples
are collected and tested in the laboratory in accordance
with Reclamation Procedure 5605.

Bibliography

Bureau of Reclamation, U.S. Department of the Interior,

Drainage Manual, 1993.

Bureau of Reclamation, U.S. Department of the Interior,

Ground Water Manual, 1995.

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 Chapter 18

RIPRAP

Introduction

Riprap is preferably a relatively thin layer of large,

approximately equidimensional, durable rock fragments
or blocks placed on bedding to dissipate water energy and
protect a slope, channel bank or shore from erosion caused
by the action of runoff, currents, waves or ice (figure 18-1).
Bedding is usually a layer of sand and gravel placed
under the riprap to prevent erosion of the material from
under the riprap. Most dam embankments contain at
least one zone that uses rock. Rock is used as riprap for
protection against erosion or as rockfill and filter zones
that strengthen or drain the embankment.

Figure 18-1.—Riprap properly placed on bedding.

The riprap is angular, quarried rock, and the
bedding is rounded stream gravel. The backhoe
is placing and arranging the rock on the bedding.

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The terms “slope protection” and “riprap” are often used

interchangeably, but not all slope protection is riprap.
Soil cement is also commonly used as slope protection.
Riprap is an assemblage of rocks “nested” together to
protect a structure or area from the action of water. The
stability of an assemblage of rocks is a function of the
individual rock’s size, shape, weight, and durability. An
assemblage of rocks depends on the individual rock
characteristics for stability and also on the site conditions,
grading, and thickness. The assemblage of rocks is
designed to minimize voids and thickness of the riprap
layer to keep the volume of material as low as possible.
Proper placement interlocks the individual fragments into
a layer of rocks that resists the action of water.
Figure 18-2 shows what can happen if riprap is not
designed, obtained, and placed properly.

Riprap should be “hand” placed to reduce the void space

and maximize the interlocking arrangement, but rarely is
this economical (figure 18-3). Most riprap is dumped and
falls into place by gravity with little or no additional
adjustment (figure 18-4). Because of this, individual
pieces of riprap must have appropriate characteristics so
that the rocks can be processed, handled, and placed so
that the layer remains intact for the life of the project.

This chapter discusses: (1) riprap source evaluation,

(2) onsite inspection to ensure that the samples are appro-
priate and that specified material is being produced from
the source, (3) presentation of information to designers
and estimators, and (4) waste factors in riprap produc-
tion. A geologic background, a knowledge of blasting
methods and types of explosives, and an understanding of
the equipment involved in the processing, hauling, and
placing of riprap is important to riprap evaluation,
production, and placement. Most of the following discus-
sion applies to rock adequate for aggregate and to larger

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Figure 18-2.—Improperly designed, obtained,

and placed riprap.

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Figure 18-3.—Hand-placed riprap.

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Figure 18-4.—Dumped riprap.

rock fragments used for roads, breakwaters, and jetties.

However, this chapter is oriented toward acquiring
suitable material for riprap.

This chapter should be used in conjunction with

USBR Procedure 6025, Sampling and Quality Evaluation
Testing of Rock for Riprap Slope Protection, and

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USBR Design Standard No. 13 for Embankment Dams

(DS13). Riprap design is discussed in “Chapter 7, Riprap
Slope Protection,” of USBR Design Standard DS13. Other
documents, such as the U.S. Army Corps of Engineers’
Engineering Manual 1110-2-2301, Engineering and
Design - Test Quarries and Test Fills, and Engineering
Manual 1110-20-1601, Engineering and Design -
Hydraulic Design of Flood Control Channels, also provide
information on design and source evaluation. Note: Test
procedures developed to test similar riprap characteristics
by different organizations are not necessarily the same.
The appropriate test procedure should be selected based
on the actual test and the available test equipment.

Evaluation

Much of the following discussion is more guidance than

hard and fast rules or requirements. What is unac-
ceptable riprap at one location may be acceptable at
another site. Remember that a riprap source must be
capable of providing suitable material in sufficient
quantities at a reasonable cost. The three elements in
every source evaluation are: quality, quantity, and cost.

Quality

Rock quality is determined by laboratory testing, but field

personnel input and selection of the samples for testing
are critical in determining the riprap quality. There are
numerous quarries and pits capable of producing
aggregate, but not all sources are suitable for the
production of riprap. Riprap sources must produce riprap
of the necessary weight, size, shape, gradation, and
durability to be processed and placed and then remain
“nested” for the life of the project. Performance on

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existing structures is a valuable method of assessing

riprap quality from a particular source.

Shape

The shape of individual rock fragments affects the

workability and nesting of the rock assemblage. Natural
“stones” from alluvial and glacial deposits are usually
rounded to subrounded and are easier to obtain, handle,
and place and, therefore, are more workable. Rounded
stones are less resistant to movement.

The drag force on rounded stones is less than between

angular rock fragments. Rounded stones interlock more
poorly than do equal-sized angular rock fragments. As a
result, a rounded stone assemblage is more likely to be
moved or eroded by water action. Angular-shaped rocks
nested together resist movement by water and make the
best riprap. The rock fragments should have sharp, angu-
lar, clean edges at the intersections of relatively flat faces.

Glacial or alluvial deposits are used as riprap sources only

if rock quarries are unavailable, too distant, or incapable
of producing the appropriate sizes. Unless the design
slope is at an angle to the wave direction or wave energy
and the erosive action of water on the slope is low,
rounded to subrounded stones are typically used only on
the downstream face of embankments, in underlying
filters, or as the packing material in gabions.

No more than 30 percent of the riprap fragments should

have a 2.5 ratio of longest to shortest axis of the rock.
Stones having a ratio greater than 2.5 are either tabular
or elongated. These tabular or elongated particles
(figure 18-5) tend to bridge across the more blocky pieces
or protrude out of the assemblage of rocks. During
handling, transporting, and placement, these elongated or

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Figure 18-5.—Tabular rock fragment.

tabular rock fragments tend to break into smaller frag-

ments and could significantly change the gradation or
thickness of the protective layer.

Nearly all durable rock types can provide appropriately

shaped material, but not all rock types can be blasted and
processed economically into suitable shapes. Mineral
alignment and fractures within the rock mass are the
primary factors affecting the development of the shape.
Most igneous and some sedimentary rocks are capable of
making suitably shaped fragments. However, secondary
fracturing or shearing will affect the shape. Rocks having
closely spaced discontinuities tend to produce fragments
that are too small. Sedimentary rocks that have bedding
plane partings tend to produce flat shapes. Metamorphic
rocks tend to break along jointing, rock cleavage, or
mineral banding and often produce elongated shapes.

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Weight and Size

The weight and size of individual riprap pieces are

essential factors in resisting erosive water forces. The
weight of the rock fragment is one design element for
riprap but is difficult to obtain in the field for the larger
sizes. The relationship between weight and size is
approximately:

Wn = 0.75 (Dn3

where: Wn - Percentage of total weight of rock where

n percent is smaller
( - Unit weight of rock
Dn - Representative diameter of rock where
n percent is smaller

This formula assumes the shape of the rock fragment is

between a sphere and a cube. The weight and size may be
determined in the laboratory or in the field. The unit
weight of riprap generally varies from 150 to 175 pounds
per cubic foot (2.4 to 2.8 g/cm3) and correlates with surface
saturated dry specific gravity (SSSG). Rock having an
SSSG above 2.6 is typically suitable for riprap.

Determination of the relationship between weight and

size is difficult. Rock is either graded by size or counted
and weighed, but rarely are weight and size correlated.
Rarely does rock break into perfect cubical shapes; and
because of the various shapes and sizes, weighing and
sorting the individual pieces is difficult. The American
Society for Testing and Materials Procedure D-5519 pro-
vides three methods for obtaining size and weight data.

Typically, for sizes up to 36 inches (1 meter) minimum

diameter, rock pieces are sorted by size with a sieve or
template, and the number of individual pieces is counted

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within each group. These piles can then be weighed and

individual pieces adjusted to determine size. For indi-
vidual pieces larger than 36 inches, the size is typically
determined by using a tape to measure the maximum and
minimum size of each piece. The weight is determined
from a chart that assumes the shape is between a cube
and sphere.

Most rock sources are capable of producing suitable

weights and sizes. The size rarely impacts use as a riprap
source unless more than 30 percent of the rocks are
elongated or flat. In special circumstances, the rock
mineralogy and porosity control the weight. The porosity
of some sedimentary and extrusive volcanic rock could
affect the weight. Rock having an SSSG under 2.3 is
typically not considered for riprap. Generally, rock
having a low unit weight is weak and tends to break down
with handling.

Gradation

The desired gradation consists of size fractions of the

individual particles that will nest together and withstand
environmental conditions. The gradation design is based
on the ability of the source(s) to produce appropriate sizes.
Inherent rock mineralogy, cleavage, and fractures control
the size of the rock fragments. Blasting, excavating, and
processing also affect the size. Most acceptable riprap
gradations are obtained by understanding the inherent
rock characteristics, by proper blasting techniques, and by
processing. Rarely can blending rock sizes achieve an
appropriate grading for riprap because the larger frag-
ments tend to separate from the smaller fragments during
handling and processing. Processing is typically limited
to running the rock fragments over a stationary grizzly
(figure 18-6) or sorting with a rock bucket or rock rake
(figure 18-7). Rarely is rock processed with jaw or

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Figure 18-6.—Stationary grizzly. Rock is dumped

on the sloping rails, and the larger material slides
off and is separated from the smaller material
which falls through.

Figure 18-7.—Rock rake. A dozer-mounted

rock rake separates the larger fragments
from the smaller material.
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gyratory crushers except for testing. Segregation of large

and small sizes is controlled by reducing the number and
amount of drops during handling and processing.
Handling should be kept to a minimum.

Most coarse-grained sedimentary and igneous rock

quarries are capable of producing suitable riprap
gradations. The range of gradations from sedimentary
sources depends on the depositional environment. Rock
derived from rapid depositional environments is more
likely to produce well-graded riprap.

Size range is controlled by discontinuities in the rock.

Columnar basalt, some fine-grained sedimentary rock,
and metamorphic rock commonly have inherent planes of
weakness that limit larger riprap sizes. Intensely to
moderately fractured rock rarely produces suitable riprap
gradations.

Durability

Riprap durability affects the ability of a source to provide

a consistent shape, size, and gradation and the ability to
resist weathering and other environmental influences.
Durability is typically determined by laboratory test; but
durability can be assessed by observing surface exposures,
talus, and waste piles or by examining riprap applications
already using the potential source or similar source
materials. Cracking, spalling, delaminating, splitting,
disaggregating, dissolving, and disintegrating are
common forms of rock deterioration. Durability is a
function of the rock’s mineralogy, porosity, weathering,
discontinuities, and site conditions. In rare instances,
environmental considerations such as abnormal pH of the
water may be a controlling factor in selecting an
appropriate riprap source. A high or low pH may
accelerate disintegration of the rock.

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Alteration of minerals, such as feldspars to softer clays,

will impact rock durability. Fine-grained rock types,
rocks having high porosity, and chemically altered rocks
may tend to slake after cyclic wetting and drying or
freezing and thawing. Some rocks tend to break up
because of discontinuities such as bedding plane parting,
cementation or secondary mineralization, unstable
minerals, banding, or foliation. Jointing, rock cleavage,
and bedding plane partings often result in excessive finer
sizes or tabular and elongated rock fragments.

Rock that breaks down either physically or chemically

should be avoided. Obvious examples are most weathered
or altered rocks, rock containing soluble or expansive
minerals, vesicular basalts, shale, claystone, siltstone,
weakly cemented or porous sandstone, schist, or phyllite.
Even durable rocks such as slate and some gneisses may
generally be unusable because other physical
characteristics (cleavage and foliation) will not allow
production of large, nearly equidimensional blocks.

Mechanical breakdown and weathering may be

accelerated by microfracturing from the blasting,
handling, weak cementation or may be the result of
alteration of more stable minerals to clay. In addition,
there appears to be a significant correlation between
porosity, absorption, and durability of rock. Rock that has
more than 2 percent absorption is commonly impacted by
freezing and thawing and by wetting and drying
processes.

Quantity

Every riprap source investigation must provide the

estimated quantity required. Estimating realistic
quantities depends on an understanding of subsurface
geologic conditions. The uniformity of rock and

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discontinuities within a source area must be assessed.

This estimate (often referred to as the reserve) provides
not only the amount of riprap available but also provides
an understanding of wastage resulting from blasting,
handling, processing, haulage, and placement. In strati-
fied deposits such as limestones or sandstones, uniformity
must be evaluated because individual beds often differ in
character and quality. The dip of stratified rocks and
contacts between dissimilar rock types, such as igneous
intrusions, must also be considered. The larger the
individual pieces required, the more difficult it is for any
rock type to supply suitable quantities. Zones or layers of
undesirable clay or shale seams may be so large or
prevalent that selective quarrying or wasting of
undesirable material is required. The geologic conditions,
ability of the rock to produce suitable sizes, and the
potential reserve should be determined.

Existing commercial sources may be capable of producing

riprap but may not be capable of expanding their opera-
tion into similar quality rock. In any new source, the
amount of burden that must be removed, stability of the
cutslopes, uniformity of the rock, depth to water, and
ability to blast or process the rock into the appropriate
gradation must be evaluated. Since riprap is a surface
layer, a smaller sized riprap of increased thickness may
be acceptable, or a less durable riprap may be used with
the understanding that the riprap may require
replacement.

Cost

A primary factor in determining a suitable riprap source

is cost. Design and environmental requirements, access,
subsurface conditions, testing, depth to water, quantity of
suitable rock, and location also affect the cost and should
be assessed early in any source investigation.

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Producing sources should be located first. Using existing

quarries or pits is generally cheaper because there is
considerably less cost associated with permitting,
developing, and evaluating an existing source. An
existing source provides easier access to rock; a history of
the source provides an understanding of the source’s
ability to provide suitable rock; regulatory requirements
are often more easily met; development and processing
costs are often known; and often, some testing of material
has been performed so that the quality is known.
Although existing sources may be known, each of these
elements should be evaluated to ensure that information
is representative and appropriate for the particular
requirement.

In areas where existing sources are not economical,

evaluating the surrounding undeveloped areas or
abandoned pits or quarries should be considered.
Evaluating new or abandoned sources typically involves
considerable expense. A new quarry or pit investigation
involves understanding subsurface conditions; obtaining,
evaluating, and testing subsurface samples; and
evaluating subsurface conditions to determine if
appropriate riprap can be produced. Factors such as the
haul distance, grade, width, and type of roadway should
also be assessed.

Investigation Stages

The complexity of investigations for suitable sources of

riprap is governed by the development stage and design
requirements of the project. Projects are normally
developed in four stages: reconnaissance, feasibility,
design, and construction.

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Reconnaissance

Initial exploration involves field surface reconnaissance

using topographic maps, geologic and groundwater maps
and reports, and aerial photographs. Supplemental infor-
mation is provided by records of known developed sources
of material. Areas having steep topography could have
the best rock exposures. Geology maps provide
generalized locations of rock types. Groundwater maps
provide indications of rock permeability, depths to water,
and information on the need for dewatering or unwatering
within the source area. During field reconnaissance, the
countryside should be examined for exposed rock outcrops
or talus piles. Roadcuts and ditches may also provide
useful exposures. Existing sources and any projects that
previously used the rock source should be examined.

Service records are an excellent indication of the potential

durability of rock. Federal (Reclamation, U.S. Army
Corps of Engineers, Department of Transportation), State
(highway, environmental quality), and county or local
(highway or building) agencies usually maintain lists of
sources. The local telephone "Yellow Pages," Internet,
and construction companies may also provide information.

Data obtained should define the major advantages or

disadvantages of potential material sources within
reasonable haul distance. A reconnaissance construction
material report should be prepared at this stage.

Feasibility

Information acquired during the feasibility stage is used

to prepare preliminary designs and cost estimates.
Sufficient information concerning potential sources should
be gathered to determine whether the rock should be
obtained from an existing source or a new source.

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Selection of sources should be limited to those that may

eventually be used in specifications. Core drilling and
blast tests may be required to confirm fragment size and
quantity of material available in each source. The
potential material sources should be examined to
determine size and character, and particularly to observe
joint and fracture spacing, resistance to weathering, and
variability of the rock. The spacing of joints, fractures,
schistosity, banding, bedding, and other planes of
weakness may control the rock fragment sizes and
shapes. Weathering resistance of the rock will provide a
good indication of durability. Quarry or pit development
and the impacts of groundwater should be addressed.
Particular attention should be given to location and
distribution of unsound seams or beds that must be
avoided or wasted during the quarry operation. A general
location map and detailed report describing the potential
sources and containing estimates of available quantities,
overburden, haul roads, and accessibility should be
prepared. Representative samples of riprap material
from the most promising potential sources should be sub-
mitted to the laboratory for testing. A feasibility con-
struction material report should be prepared at this stage.

Design

Investigations during the design stage furnish data and

information required for the specifications. Sources indi-
cated by feasibility investigations to be suitable are
further investigated to establish quantities, determine the
capability to produce the required gradation, and to deter-
mine uniformity. Depending on project needs, service
records may be used in conjunction with or instead of
laboratory testing. Blast and processing testing should be
considered for new sources. All sampling and testing and
the laboratory’s Riprap Quality Evaluation Report should
be completed at this stage. If additional sources are

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necessary, the new sources must be investigated as

throughly as the original sources.

Construction

Investigations during construction provide field and

design personnel with additional detailed information for
proper source development. This information should be
obtained sufficiently ahead of quarrying or excavating to
provide for proper processing and placing of material. If
unforeseen changes occur in the quality of material in the
source, sampling and quality evaluation testing of the
material may be required to confirm material suitability
or to delineate unsuitable areas.

Reports

Reporting the results of any investigation is important.

The level of detailed information requirements increases
with each successive stage. Adequate information must
be available by the feasibility stage to develop realistic
cost estimates and to properly select sources. A suggested
outline for reports for rock or riprap obtained from any
potential quarry or pit is as follows:

a. Ownership
b. Location of source and project shown on a map
c. General description of site
d. General hydrologic and geologic descriptions
e. Structural geology information (distribution and
arrangement of rock types and discontinuities
within the deposit.)
f. Manner and sizes of rock breakage
g. Estimate of uniformity and wastage

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h. Shape and angularity of source material

i. Hardness and density of source material
j. Degree and extent of weathering
k. Any abnormal properties or conditions not covered
above
l. Estimate of extent, volume, and depth of suitable
deposit(s)
m. Accessibility
n. Photographs
o. Geophysical and geologic data (e.g., drill logs,
borehole geophysical logs, and seismic refraction or
reflection survey data)

If commercial quarry or pit deposits are considered,

obtain, as appropriate, the following information in addi-
tion to the data needed for a new source.

• Name, address, and phone number of the plant

operator
• Location of the plant relative to quarry
• Description of the operation and plant with
emphasis on capabilities for additional riprap
production and maintaining current operation
capabilities
• Blasting methods and problems related to produc-
tion of riprap
• Transportation facilities and any potential
difficulties
• Actual or estimated riprap gradations achieved or
achievable by current or adjusted operations
• Location of scales
• Estimate of reserve and wastage

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• Approximate prices of riprap material

• Service history of material produced
• Any other pertinent information

Sampling

Sampling is often the weak link in any source evaluation.

The samples should represent the nature and condition of
the materials and be appropriate for testing. Sampling is
initiated at the specifications stage of the project.
Sampling should cover the entire riprap source. The
sample size should be at least 600 pounds (275 kilograms)
and represent the quality range from poor to best as found
at the source in the same proportions as the source can
supply. If the material quality is quite variable, it may be
preferable to obtain three samples that represent the
poorest to best quality material available. The minimum
size of individual fragments selected should be at least
0.5 foot (15 cm) square. An estimate of the relative
percentages of material at each quality level should be
made.

Representative samples may be difficult to obtain.

Overburden may limit the areas where material can be
obtained and obscure the true characteristics of the
deposit. Outcrops will often be more weathered than the
subsurface deposits. Samples obtained from talus piles or
outer surfaces of rock outcrops are seldom representative
of quality, quantity, or gradation. Fresh material may be
obtained by breaking away the outer surfaces, or by
trenching, blasting, or core drilling. If coring is the only
method of obtaining samples, the preferred size is
6 inches (15 cm).

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Shipping

Samples of rock fragments can be shipped by conventional

transport such as motor freight. Large rock fragments
should be securely banded to shipping pallets. Smaller
fragments should be transported in bags or containers to
preclude loss, contamination, or damage from
mishandling during shipment.

Testing

The Riprap Quality Evaluation Report is based on

laboratory testing of the shipped representative samples.
The quality evaluation tests include detailed petrographic
examination, determination of physical properties and
absorption, and a rapid freeze-thaw durability evaluation.

Petrographic Examination.—The petrographic exami-

nation follows USBR Procedure 4295 or ASTM Procedure
C 295, which were developed for concrete aggregate. The
decisions concerning specific procedural methods and
specimen preparation depend on the nature of the rock
and the intended use of the rock.

The rock pieces are visually examined and the different

rock facies and types are segregated for individual
evaluation. The following are evaluated:

• Size range
• Fragment shape
• Shape and size control by discontinuities such as
joints, banding, or bedding
• Surface weathering
• Secondary mineralization or alteration
• Hardness, toughness, and brittleness

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• Voids and pore characteristics and their variations

• Texture, internal structure, grain size, cementation,
and mineralogy of the various facies and rock types
• Thin sections, sometimes supplemented by X-ray
diffraction as required

Freeze-Thaw Test.— For freeze-thaw durability testing,

two 7/8-inch (73 millimeter) cubes are sawed from rock
fragments selected by visual inspection to represent the
range from poorest to best quality rock for each rock facies
or type. Because the rock pieces could have significant
physical or structural discontinuities, the number of
cubes obtained for testing will vary from sample to
sample. The samples are photographed, the cubes are
immersed in water for 72 hours, and specific gravities
(bulk, SSSG, and apparent) and absorptions are
determined by USBR Procedure 4127 or ASTM Procedure
C 127. The cubes are reimmersed in water to maintain a
saturated condition for freeze-thaw testing.

Rapid freezing and thawing durability tests are

performed on riprap samples according to USBR
Procedure 4666 or ASTM Procedure D5312. The rock
failure criterion is 25 percent loss of cube mass calculated
from the difference in mass between the largest cube
fragment remaining after testing and the initial cube
mass.

Sodium Sulfate Soundness Test.—Sodium sulfate

soundness tests are performed on riprap samples
according to USBR Procedure 4088 or ASTM Procedure
D5240. The loss after an interval of screening is
determined after at least five cycles of saturation and
drying of the samples. The test is a good indicator of
resistance to freeze-thaw deterioration.

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Physical Properties.—Material remaining after the

petrographic examination and freeze-thaw testing is
crushed into specific size fractions (USBR Procedure
4702). Representative samples of each size fraction are
tested for bulk, SSGS, and absorption following
USBR Procedure 4127 or ASTM Procedure C 127; abra-
sion is tested using the Los Angeles abrasion test
following USBR Procedure 4131 or ASTM Procedure
C 535. Both the Los Angeles abrasion and sodium sulfate
soundness tests are durability tests. The Los Angeles
abrasion test is used to determine the ability of the rock
to withstand handling and processing and water action.
The sodium sulfate soundness test simulates weathering
of the rock pieces.

Waste in Riprap Production

Production of riprap generally requires drilling, blasting,

and processing to obtain the desired sizes. This section is
a guide to help estimate the amount of waste that can be
expected from riprap production.

Numerous factors in the parent rock contribute to waste

in quarrying operations. The natural factors include:

• Weathering
• Fracturing (joints, shears, and faults)
• Bedding, schistosity, and foliation
• Recementing of planar features

Other important, somewhat controllable contributors to

waste are:

• Construction inspection
• Size and gradation requirements
• Drilling and blasting
• Processing, hauling, and placement

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Factors a through d relate to the geology in the quarry

and probably are the most important factors that govern
what sizes can be produced. Weathering can extend 20 to
60 feet (6 to 18 meters) below the original ground surface.
Weathering breaks down the rock and weakens existing
planar features such as bedding, schistosity, and jointing.
In rocks such as limestone and dolomite, secondary
deposits of calcium carbonate can cement existing joints.
When first examined, this cementation appears to be
sound; but processing the rock can refracture these
planes. Existing quarries, or quarries that have been in
operation for many years, probably will produce material
with less waste because excavations are partly or
completely through the zone of weathering. New
quarries, or quarries where rock production has been
limited, must contend with the weathered zone and will
likely produce a less desirable product.

Gradation Requirements

Gradation requirements and inspection control are

governed by the agency issuing the construction
specifications. Adjustments in gradation or inspection
requirements can drastically change the waste quantities
produced. Except in isolated cases, it becomes more
difficult to produce riprap when rock sizes are increased
and gradations are tightly controlled.

Production Methods

Production methods that include drilling, blasting, pro-

cessing, and hauling also play an important role in the
sizes that can be obtained. Rock that is well-graded and
has a large maximum size can be produced more readily
when using large diameter, widely spaced shot holes.
Close spaced, small diameter shot holes tend to maximize
fragmentation. Blasting agents, delays, and loading

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methods vary considerably and have a significant effect

on how the rock fractures. The most efficient and
economical drilling and blasting methods must be
determined by test blasting and performing gradations on
the blasted product. Test shots should be modified to
achieve the desired product. Production should not start
until it is proven that the required product can be
produced with a minimum of waste.

Many rock types, especially those that are banded (bedded

or schistose) or contain healed joints, can break down
significantly during processing. Some limestones are
especially susceptible to breakdown when the rock is
dropped during blasting and processing operations. Rock
from most quarries will fracture badly when dropped
more than 50 feet (15 meters).

Quarries must tailor their blasting techniques to get the

required gradations. Quarries that normally produce
aggregates for concrete, road metal, and base course
usually have a very difficult time producing a reasonably
well-graded riprap. This is because their normal opera-
tion already has shattered the face at least 100 feet back.
To obtain good riprap, a working face or ledge should be
reserved for riprap production.

The quantity of quarry waste shown in table 18-1 is

typical of riprap quarries. Items that should be con-
sidered when using the table include:
• Waste includes undersize and excessive intermediate
sizes. Oversize riprap is reprocessed to the proper
size.

• Rock produced is reasonably well graded from 6± to

36± inches (.15 to 1 m), and the inspection control is
very strict. Much less waste will be incurred if
smaller rock sizes

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Table 18-1.—Rock types and typical usable

quantities of riprap

Estimated percent
waste to produce
Rock type suitable riprap Remarks

IGNEOUS

Intrusive 25 to 75%
Average 50%±

Extrusive 40 to 85%
Average 60%±

METAMORPHIC

Gneiss 40 to 75% Based on limited data

Average 55%±

Schist 50 to 75% Based on limited data

Average 65%± Very little riprap
would be salvaged in
the weathered zone

SEDIMENTARY

Limestone/ 55 to 85 % Based on several good

Dolomite Average 65%± quarry sites

Sandstone Average 60%± Based on limited data

are required or if the deposit is shot for rockfill or the

specific rock product.

• Drilling, blasting, processing, hauling, and placing

are accomplished by a typical contractor.

• Rock quarried is the best material available and is

not severely fractured or weathered.

• Riprap production is generally limited to new

quarries or unshot ledges or benches.

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 Chapter 19

BLAST DESIGN

Introduction

This chapter is an introduction to blasting techniques

based primarily on the Explosives and Blasting
Procedures Manual (Dick et al., 1987) and the Blaster’s
Handbook (E.I. du Pont de Nemours & Co., Inc., 1978).
Blast design is not a precise science. Because of widely
varying properties of rock, geologic structure, and explo-
sives, design of a blasting program requires field testing.
Tradeoffs frequently must be made when designing the
best blast for a given geologic situation. This chapter
provides the fundamental concepts of blast design. These
concepts are useful as a first approximation for blast
design and also in troubleshooting the cause of a bad
blast. Field testing is the best tool to refine individual
blast designs.

Throughout the blast design process, two overriding prin-

ciples must be kept in mind:

(1) Explosives function best when there is a free face

approximately parallel to the explosive column at
the time of detonation.

(2) There must be adequate space for the broken rock

to move and expand. Excessive confinement of
explosives is the leading cause of poor blasting
results such as backbreak, ground vibrations,
airblast, unbroken toe, flyrock, and poor
fragmentation.

Properties and Geology of the Rock Mass

The rock mass properties are the single most critical

variable affecting the design and results of a blast. The

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rock properties are very qualitative and cannot be suffi-

ciently quantified numerically when applied to blast
design. Rock properties often vary greatly from one end
of a construction job to another. Explosive selection, blast
design, and delay pattern must consider the specific rock
mass being blasted.

Characterizing the Rock Mass

The keys to characterizing the rock mass are a good geol-

ogist and a good blasting driller. The geologist must con-
centrate on detailed mapping of the rock surface for blast
design. Jointing probably has the most significant effect
on blasting design. The geologist should document the
direction, density, and spacing between the joint sets. At
least three joint sets—one dominant and two less
pronounced—are in most sedimentary rocks. The strike
and dip of bedding planes, foliation, and schistosity are
also important to blast design and should be documented
by the geologist. The presence of major zones of weakness
such as faults, open joints, open beds, solution cavities, or
zones of less competent rock or unconsolidated material
are also important to blast design and must be
considered. Samples of freshly broken rock can be used to
determine the hardness and density of the rock.

An observant blasting driller can be of great help in

assessing rock variations that are not apparent from the
surface. Slow penetration, excessive drill noise, and
vibration indicate a hard rock that will be difficult to
break. Fast penetration and a quiet drill indicate a softer,
more easily broken zone of rock. Total lack of resistance
to penetration, accompanied by a lack of cuttings or
return water or air, means that the drill has hit a void.
Lack of cuttings or return water may also indicate the
presence of an open bedding plane or other crack. A
detailed drill log indicating the depth of these various

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conditions can be very helpful in designing and loading

the blast. The log should be kept by the driller. The
driller should also document changes in the color or
nature of the drill cuttings which will tell the geologist
and blaster the location of various beds in the formation.

Rock Density and Hardness

Some displacement is required to prepare a muckpile for

efficient excavation. The density of the rock is a major
factor in determining how much explosive is needed to
displace a given volume of rock (powder factor). The
burden-to-charge diameter ratio varies with rock density,
changing the powder factor. The average burden-to-
charge diameter ratio of 25 to 30 is for average density
rocks similar to the typical rocks listed in table 19-1.
Denser rocks such as basalt require smaller ratios (higher
powder factors). Lighter materials such as some
sandstone or bituminous coal can be blasted with higher
ratios (lower powder factors).

The hardness or brittleness of rock can have a significant

effect on blasting results. If soft rock is slightly under-
blasted, the rock probably will still be excavatable. If soft
rock is slightly overblasted, excessive violence will not
usually occur. On the other hand, slight underblasting of
hard rock will often result in a tight muckpile that is
difficult to excavate. Overblasting of hard rock is likely to
cause excessive flyrock and airblast. Blast designs for
hard rock require closer control and tighter tolerances
than those for soft rock.

Voids and Zones of Weakness

Undetected voids and zones of weakness such as solution

cavities, “mud” seams, and shears are serious problems in

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Table 19-1.—Typical rocks, densities, and unit weights

Range of unit weights

Density U.S.
range customary Metric
Rock type (g/cm3)1 (lb/ft3)2 (kg/m3)3

Limestone 2.5 to 2.8 156 to 174.7 2,500 to 2,800

Schist 2.6 to 2.8 162.2 to 174.7 2,600 to 2,800

Rhyolite 2.2 to 2.7 137.2 to 168.5 2,200 to 2,700

Basalt 2.7 to 2.9 168.5 to 181 2,700 to 2,900

Sandstone 2/0 to 2.6 124.8 to 162.2 2,000 to 2,600

Bituminous 1.2 to 1.5 74.9 to 93.6 1,200 to 1,500

coal
1
Grams per cubic centimeter.
2
Pounds per cubic foot.
3
Kilograms per cubic meter.

blasting. Explosive energy always seeks the path of least

resistance. Where the rock burden is composed of
alternate zones of hard material, weak zones, or voids, the
explosive energy will be vented through the weak zones
and voids resulting in poor fragmentation. Depending on
the orientation of zones of weakness with respect to free
faces, excessive violence in the form of airblast and flyrock
may occur. When the blasthole intersects a void,
particular care must be taken in loading the charge, or
the void will be loaded with a heavy concentration of
explosive resulting in excessive air-blast and flyrock.

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If these voids and zones of weakness can be identified and

logged, steps can be taken during borehole loading to
improve fragmentation and avoid violence. The best tool
for this is a good drill log. The depths of voids and zones
of weakness encountered by the drill should be
documented. The geologist can help by plotting the trends
of “mud” seams and shears. When charging the blasthole,
inert stemming materials rather than explosives should
be loaded through these weak zones. Voids should be
filled with stemming. Where this is impractical because
of the size of the void, it may be necessary to block the
hole just above the void before continuing the explosive
column.

If the condition of the borehole is in doubt, the top of the

powder column should be checked frequently as loading
proceeds. A void probably exists if the column fails to rise
as expected. At this point, a deck of inert stemming
material should be loaded before powder loading
continues. If the column rises more rapidly than
expected, frequent checking will ensure that adequate
space is left for stemming.

Alternate zones of hard and soft rock usually result in un-

acceptably blocky fragmentation. A higher powder factor
seldom will correct this problem; it will merely cause the
blocks to be displaced farther. Usually, the best way to al-
leviate this situation is to use smaller blastholes with
smaller blast pattern dimensions to get a better powder
distribution. The explosive charges should be concen-
trated in the hard rock.

Jointing

Jointing can have a pronounced effect on both fragmenta-

tion and the stability of the perimeter of the excavation.
Close jointing usually results in good fragmentation.

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Widely spaced jointing, especially where the jointing is

pronounced, often results in a very blocky muckpile
because the joint planes tend to isolate large blocks in
place. Where the fragmentation is unacceptable, the best
solution is to use smaller blast holes with smaller blast
pattern dimensions. This extra drilling and blasting
expense will be more than justified by the savings in
loading, hauling, and crushing costs and the savings in
secondary blasting.

Where possible, the perimeter holes of a blast should be

aligned with the principal joint sets. This produces a
more stable excavation, whereas rows of holes
perpendicular to a primary joint set produces a more
ragged, unstable perimeter (figure 19-1). The jointing will
generally determine how the corners at the back of the
blast will break out. To minimize backbreak and flyrock,
tight corners, as shown in figure 19-2, should be avoided.

Figure 19-1.—Effect of jointing on the stability

of an excavation (plan view).

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Figure 19-2.—Tight and open corners

caused by jointing (plan view).

The open corner at the left of figure 19-2 is preferable.

Given the dominant jointing in figure 19-2, more stable
conditions will result if the first blast is opened at the far
right and designed so that the hole in the rear inside
corner contains the highest numbered delay.

Bedding/Foliation

Bedding has a pronounced effect on both the fragmen-

tation and the stability of the excavation perimeter. Open
bedding planes, open joints, or beds of weaker materials
should be treated as zones of weakness. Stemming,
rather than explosive, should be loaded into the borehole
at the location of these zones as shown in figure 19-3. In
a bed of hard material (greater than 3 feet [1 m] thick), it
is often beneficial to load an explosive of higher density
than is used in the remainder of the borehole. To break
an isolated bed or zone of hard rock (3 feet [1 m] thick or
greater) near the collar of the blasthole, a deck charge is
recommended, as shown in figure 19-4, with the deck
being fired on the same delay as the main charge or one
delay later. Occasionally, satellite holes are used to help
break a hard zone in the upper part of the burden.
Satellite holes (figure 19-4) are short holes, usually
smaller in diameter than the main blastholes drilled
between the main blastholes.

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Figure 19-3.—Stemming through weak

material and open beds.

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Figure 19-4.—Two methods of breaking

a hard collar zone.

A pronounced foliation, bedding plane, or joint is

frequently a convenient location for the bench floor. It not
only gives a smoother floor but also may reduce
subdrilling requirements.

Dipping beds frequently cause stability problems and

difficulty in breaking the toe of the excavation. When
bedding or foliation dip into the excavation wall, the
stability of the slope is enhanced. When the dip is out of
the wall, slip planes exist that increase the likelihood of
slope deterioration or failure. Blasthole cutoffs (part of a
column of explosives not fired) caused by differential bed
movement are also more likely. Beds dipping out of the
final slope should be avoided wherever possible.

Although beds dipping into the face improve slope

stability, the beds can create toe problems because the toe
rock tends to break along the bedding or foliation planes.

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Dipping beds such as these require a tradeoff, depending

upon which is the more serious problem—a somewhat
unstable slope or an uneven toe. In some cases,
advancing the opening perpendicular to dipping beds may
be a compromise.

Many blasting jobs encounter site-specific geologic condi-

tions not covered in this general discussion. Good
blasting techniques require constant study of the geology
to make every effort to advantageously use the geology, or
at least minimize its unfavorable effects in blast designs.

Surface Blasting

Blast Hole Diameter

The blast hole size is the first consideration of any blast

design. The blast hole diameter, along with the type of
explosive being used and the type of rock being blasted,
determines the burden (distance from the blast hole to the
nearest free face). All other blast dimensions are a
function of the burden. This discussion assumes that the
blaster has the freedom to select the borehole size. Many
operations limit borehole size based on available drilling
equipment.

Practical blasthole diameters for surface construction

excavations range from 3 (75 mm) to approximately
15 inches (38 cm). Large blasthole diameters generally
yield low drilling and blasting costs because large holes
are cheaper to drill per unit volume, and less sensitive,
cheaper blasting agents can be used in larger diameter
holes. Larger diameter blastholes also allow large bur-
dens and spacings and can give coarser fragmentation.
Figure 19-5 illustrates this comparison using 2- (50-mm)
and 20-inch (500-mm)-diameter blastholes as an example.

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Figure 19-5.—The effect of large and small

blast holes on unit costs.

Pattern A contains four 20-inch (500-mm) blast boles, and

pattern B contains 400 2-inch (5-mm) blast holes. In all
bench blasting operations, some compromise between
these two extremes is chosen. Each pattern represents
the same area of excavation—15,000 square feet
(1,400 m2)—each involves approximately the same volume
of blast holes, and each can be loaded with about the same
weight of explosive.

As a general rule, large diameter blast holes (6 to

15 inches [15 to 38 cm]) have limited applications on most
construction projects because of the requirements for fine
fragmentation and the use of relatively shallow cuts.
However, borehole size depends primarily on local
conditions. Large holes are most efficient in deep cuts
where a free face has already been developed.

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In most construction projects, small diameter drilling

with high-speed equipment provides relatively low unit
costs and permits fairly close spacing of holes. This close
spacing provides better distribution of explosives through-
out the rock mass, which in turn produces better
breakage. An additional advantage of small diameter
blast holes is that the reduction in the amount of each
explosive used in each hole reduces ground vibrations.
Construction blast hole diameters usually vary from 3.5 to
4.5 inches (90 to 114 mm), and the normal drilling depth
is less than 40 feet (12 m). Reclamation generally limits
blast hole diameters for structural excavation drilling to
3.5 inches (90 mm). Blasting patterns usually range from
6 by 8 feet (1.8 by 2.4 meters) to 8 by 15 feet (2.4 by 4.6 m)
and are usually rectangular with the burden being less
than the spacing.

In a given rock type, a four-hole pattern will give

relatively low drilling and blasting costs. Drilling costs for
large blastholes will be low, a low-cost blasting agent will
be used, and the cost of detonators will be minimal. In a
difficult blasting situation, the broken material will be
blocky and nonuniform in size, resulting in higher
loading, hauling, and crushing costs as well as requiring
more secondary breakage. Insufficient breakage at the
toe may also result.

The 400-hole pattern will yield high drilling and blasting

costs. Small holes cost more to drill per unit volume,
powder for small diameter blastholes is usually more
expensive, and the cost of detonators will be higher. The
fragmentation will be finer and more uniform, resulting
in lower loading, hauling, and crushing costs. Secondary
blasting and toe problems will be minimized. Size
of equipment, subsequent processing required for the
blasted material, and economics will dictate the type of
fragmentation needed and the size of blast hole to be
used.

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Geologic structure is a major factor in determining the

blast hole diameter. Planes of weakness (i.e., joints,
shears, or zones of soft rock) tend to isolate large blocks of
rock in the burden. The larger the blast pattern, the more
likely these blocks are to be thrown unbroken into the
muckpile. Note that in the top pattern in figure 19-6,
some of the blocks are not penetrated by a blast hole. In
the smaller bottom pattern, all the blocks contain at least
one blast hole. Because of the better explosives
distribution, the bottom pattern will give better
fragmentation.

Figure 19-6.—The effects of jointing

on selection of blast hole size.

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Airblast and flyrock often occur because of an insufficient

collar distance (stemming column) above the explosive
charge. As the blast hole diameter increases, the collar
distance required to prevent violence increases. The ratio
of collar distance to blast hole diameter required to
prevent violence varies from 14:1 to 28:1, depending on
the relative densities and velocities of the explosive and
rock, the physical condition of the rock, the type of
stemming used, and the point of initiation. A larger collar
distance is required where the sonic velocity of the rock
exceeds the detonation velocity of the explosive or where
the rock is heavily fractured or low density. A top-
initiated charge requires a larger collar distance than a
bottom-initiated charge. As the collar distance increases,
the powder distribution becomes poorer, resulting in
poorer fragmentation of the rock in the upper part of the
bench.

Ground vibrations are controlled by reducing the weight

of explosive fired per delay interval. This is done more
easily with small blast holes than with large blast holes.
In many situations where large diameter blast holes are
used near populated areas, several delays, along with
decking, must be used within each hole to control
vibrations.

Large holes with large blast patterns are best suited to an

operation with: (1) a large volume of material to be
moved, (2) large loading, hauling, and crushing
equipment, (3) no requirement for fine, uniform fragmen-
tation, (4) an easily broken toe, (5) few ground vibration
or airblast problems (few nearby buildings), and (6) a
relatively homogeneous, easily fragmented rock without
many planes of weakness or voids. Many blasting jobs
have constraints that require smaller blast holes.

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The final selection of blast hole size is based on

economics. Savings realized through inappropriate cost
cutting in the drilling and blasting program may well be
lost through increased loading, hauling, or crushing costs.

Blast Patterns

The three drill patterns commonly used are square,

rectangular, and staggered. The square drill pattern
(figure 19-7) has equal burdens and spacing, and the
rectangular pattern has a larger spacing than burden. In
both the square and rectangular patterns, the holes of
each row are lined up directly behind the holes in the
preceding row. In the staggered pattern (figure 19-8), the
holes in each are positioned in the middle of the spacings
of the holes in the preceding row. In the staggered
pattern, the spacings should be larger than the burden.

Figure 19-7.—Three basic types of drill patterns.

Square or rectangular drilling patterns are used for firing

V-cut (figure 19-9) or echelon rounds. The burdens and
subsequent rock displacement are at an angle to the
original free face either side of the blast round in V-cut or
echelon patterns. The staggered drilling pattern is used
for row-on-row firing where the holes of one row are fired
before the holes in the row immediately behind them as
shown in figure 19-9. Looking at figure 19-9, with the
burdens developed at a 45-degree angle to the original

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Figure 19-8.—Corner cut staggered pattern with

simultaneous initiation within rows (blast hole
spacing, S, is twice the burden, B).

Figure 19-9.—V-Echelon blast round

(true spacing, S, is twice the true burden, B).

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free face, the original square drilling pattern has been

transformed to a staggered blasting pattern with a
spacing twice the burden. The three simple patterns
discussed here account for nearly all the surface blasting.

Burden

Figure 19-10 is an isometric view showing the

relationship of the various dimensions of a bench blast.
The burden is defined as the distance from a blast hole to
the nearest free face at the instant of detonation. In
multiple row blasts, the burden for a blast hole is not
necessarily measured in the direction of the original free
face. The free faces developed by blast holes fired on
lower delay periods must be taken into account. As an

Figure 19-10.—Isometric view of a bench blast.

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example, in figure 19-8, where one entire row is blasted

before the next row begins, the burden is measured
perpendicular between rows.

In figure 19-9, the blast progresses in a V-shape. The

true burden on most of the holes is measured at an angle
of 45 degrees from the original free face.

It is very important that the proper burden be calculated,

accounting for the blast hole diameter, relative density of
the rock and explosive, and, to some degree, the depth of
the blast hole. An insufficient burden will cause excessive
airblast and flyrock. Too large a burden will produce
inadequate fragmentation, toe problems, and excessive
ground vibrations. If it is necessary to drill a round
before the previous round has been excavated, it is
important to stake out the first row of the second round
before the first round is fired. This will ensure a proper
burden on the first row of blast holes in the second blast
round.

For bulk-loaded charges (the charge is poured down the

hole), the charge diameter is equal to the blast hole
diameter. For tamped cartridges, the charge diameter
will be between the cartridge diameter and the blast hole
diameter, depending on the degree of tamping. For
untamped cartridges, the charge diameter is equal to the
cartridge diameter. When blasting with ANFO
(ammonium nitrate/fuel oil mixture) or other low density
blasting agents with densities near 53 lb/ft 3 (0.85 g/cm3),
in typical rock with a density near 170 lb/ft3 (2.7 g/cm3,
the normal burden is approximately 25 times the charge
diameter. When using denser products such as slurries or
dynamites with densities near 75 lb/ft3 (1.2 g/cm3), the
normal burden is approximately 30 times the charge
diameter. These are first approximations, and field
testing usually results in adjustments to these values.

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The burden-to-charge-diameter ratio is seldom less than

20 or seldom more than 40, even in extreme cases. For
instance, when blasting with a low density blasting agent
such as ANFO in a dense formation such as basalt, the
desired burden may be about 20 times the charge
diameter. When blasting with denser slurries or
dynamites in low density formations such as sandstones,
the burden may approach 40 times the charge diameter.
Table 19-2 summarizes these approximations.

Table 19-2.—Approximate burden charge

diameter ratios for bench blasting

Material Ratio

ANFO (density 53.1 lb/ft3, 0.85 g/cm3)

Light rock (density ~ 137.3 lb/ft 3, 2.2 g/cm3) 28
Average rock (density ~ 168.6 lb/ft 3, 2.7 g/cm 3) 25
Dense rock (density ~ 199.8 lb/ft 3, 3.2 g/cm 3) 23

Slurry, dynamite (density ~ 199.7 lb/ft3, 3.2 g/cm 3)

Light rock (density ~ 137.3 lb/ft 3, 2.2 g/cm 3,) 33
Average rock (density ~ 168.6 lb/ft 3, 2.7 g/cm 3) 30
Dense rock (density ~ 199.8 lb/ft 3, 3.2 g/cm 3) 27

High-speed photographs of blasts show that flexing of the

burden plays an important role in rock fragmentation. A
relatively deep, narrow burden flexes and breaks more
easily than a shallow, wider burden. Figure 19-11 shows
the difference between using a 6-inch (150-mm) blast hole
and a 12.25-inch (310-mm) blast hole in a 40-foot (12-m)
bench with a burden-to-charge-diameter ratio of 30 and
appropriate subdrilling and stemming dimensions. Note
the inherent stiffness of the burden with a 12.25-inch
(310-mm) blast hole as compared to a 6-inch (150-mm)

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Figure 19-11.—Comparison of a 12¼-inch-

(300-mm) diameter blast hole (stiff burden)
on the left with a 6-inch- (150-mm) diameter
blast hole (flexible burden) on the right
in a 40-foot (12-m) bench.

blast hole. Based on this, lower burden-to-charge-

diameter ratios should be used as a first approximation
when the blast hole diameter is large in comparison to the
bench height. Care must be taken that the burden ratio
is not so small as to create violence. Once the ratio has
been determined, it becomes the basis for calculating
subdrilling, collar distance (stemming), and spacing.

Subdrilling

Subdrilling is the distance drilled below the floor level to

ensure that the full face of rock is removed. Where there
is a pronounced parting at floor level for the explosive
charge to conveniently break, subdrilling may not be
required. In coal strip mining, it is common practice to

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drill down to the coal and then backfill a foot or two before
loading explosives, resulting in a negative subdrill. In
most surface blasting jobs, some subdrilling is necessary
to make sure the shot pulls to grade. In most construction
blasting, subdrilling is generally limited to 10 percent or
less of the bench height. In blasting for civil engineering
structures where a final grade is specified, subdrilling of
the final lift is severely restricted. The final lift in
structural excavations is usually limited to 5 or 10 feet
(1.5 to 3 m). Subdrilling is not allowed in a 5-foot (1.5-m)
lift and is limited to 2 feet (0.6 m) for the 10-foot (3-m) lift.
To prevent damage to the foundation, the diameter of the
blast hole is limited to 3.5 inches (90 mm).

Priming the explosive column at the toe level (bottom of

the drill hole) gives maximum confinement and normally
gives the best breakage. Toe priming usually requires less
subdrilling than collar priming. Toe priming should be
restricted in structural foundations because of the
potential damage to the unshot rock.

Excessive subdrilling is unnecessary, expensive, and may

cause excessive ground vibrations because of the high
degree of confinement of the explosive in the bottom of the
blast hole, particularly when the primer is placed in the
bottom of the hole. In multiple-bench operations,
excessive subdrilling may cause undue fracturing in the
upper portion of the bench below, creating difficulties in
collaring holes in the lower bench. Insufficient sub-
drilling causes a high bottom, resulting in increased wear
and tear on equipment and expensive secondary blasting
or hand excavation in structural foundations.

Collar Distance (Stemming)

Collar distance is the distance from the top of the

explosive charge to the collar of the blast hole. This zone

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usually is filled with an inert material called stemming to

give some confinement to the explosive gases and to
reduce airblast. A well-graded, crushed gravel works best
as stemming, but it is common practice to use drill
cuttings because of availability and economics. Collar dis-
tances that are too short result in excessive violence in the
form of airblast and flyrock and may cause backbreak
(breaking beyond the back wall). Collar distances that
are too long create large blocks in the upper part of the
muck pile. The selection of a collar distance is often a
tradeoff between fragmentation and the amount of
airblast and flyrock that can be tolerated. This is true
especially where the upper part of the bench contains rock
that is difficult to break or is of a different type. The
difference between a violent blast and one that fails to
fragment the upper zone properly may be a matter of only
a few feet of stemming. Collar or direct priming (placing
the primer at or near the collar of the blast hole with the
blasting cap pointing toward the bottom of the hole) of
blast holes normally causes more violence than center or
toe priming and requires the use of a longer collar
distance.

Field experience has shown that a collar distance equal to

70 percent of the burden is a good first approximation.
Careful observation of airblast, flyrock, and fragmen-
tation will enable further refinement of this dimension.
Where adequate fragmentation in the collar zone cannot
be attained while still controlling airblast and flyrock,
deck charges or satellite (mid-spaced) holes may be
required (figure19-4).

A deck charge is an explosive charge near the top of the

blast hole, separated from the main charge by inert stem-
ming. If large blocky materials are being created in the
collar zone and less stemming would cause excessive
airblast or flyrock, the main charge should be reduced

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slightly and a deck charge added. The deck charge is

usually shot on the same delay as the main charge or one
delay later. Do not place the deck charge too near the top
of the blast hole, or excessive flyrock may result.
Alternatively, short satellite holes between the main blast
holes can be used. The diameter of the satellite holes is
usually smaller than the main blast holes, and the
satellite holes are loaded with a light charge of explosives.

Collar distance is a very important blast design variable.

One violent blast can permanently alienate neighbors. In
a delicate situation, it may be best to start with a collar
distance equal to the burden and gradually reduce this if,
conditions warrant. Collar distances greater than the
burden are seldom necessary.

Spacing

Spacing is defined as the distance between adjacent blast

holes, measured perpendicular to the burden. Where the
rows are blasted one after the other as in figure 19-8, the
spacing is measured between holes in a row. Where the
blast progresses at an angle to the original free face, as in
figure 19-9, the spacing is measured at an angle from the
original free face.

Spacing is calculated as a function of the burden and also

depends on the timing between holes. Spacing that is too
close causes crushing and cratering between holes, large
blocks in the burden, and toe problems. Spacing that is
too wide causes inadequate fracturing between holes, toe
problems, and is accompanied by humps on the face
(figure 19-12).

When the holes in a row are initiated on the same

delay period, a spacing equal to twice the burden usually
will pull the round satisfactorily. The V-cut round in

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Figure 19-12.—Effects of too small and

too large spacing.

figure 19-9 illustrates simultaneous initiation within a

row, with the rows being the angled lines of holes fired on
the same delay. The true spacing is twice the true
burden, even though the holes originally were drilled on
a square pattern.

Field experience has shown that the use of millisecond

(ms) delays between holes in a row results in better
fragmentation and also reduces ground vibrations
produced by the blast. When ms delays are used between
holes in a row, the spacing-to-burden ratio must be

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reduced to somewhere between 1.2 and 1.8, with 1.5 being

a good first approximation. Various delay patterns may
be used within the rows, including alternate delays
(figure 19-13) and progressive delays (figure 19-14).
Generally, large diameter blast holes require lower
spacing-to-burden ratios (usually 1.2 to 1.5 with ms
delays) than small diameter blast holes (usually 1.5 to
1.8). Because of the geology complexities, the interaction
of delays, differences in explosive and rock strengths, and
other variables, the proper spacing-to-burden ratio must
be determined through onsite experimentation, using the
preceding values as first approximations.

Except when using controlled blasting techniques such as

smooth blasting and cushion blasting, described later, the
spacing should never be less than the burden.

Hole Depth

In any blast design, the burden and the blast hole depth
(or bench height) must be reasonably compatible. The
rule of thumb for bench blasting is that the hole depth-to-
burden ratio should be between 1.5 and 4.0. Hole depths

Figure 19-13.—Staggered blast pattern with

alternate delays (blast hole spacing, S, is
1.4 times the burden, B).

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Figure 19-14.—Staggered blast pattern with

progressive delays (blast hole spacing, S, is
1.4 times the burden, B).

less than 1.5 times the burden cause excessive air blast
and fly rock and, because of the short, thick shape of the
burden, give coarse and uneven fragmentation. Where
operational conditions require a ratio of less than 1.5, a
primer should be placed at the toe of the bench to assure
maximum confinement. Keep in mind that placing the
primer in the subdrill can cause increased ground
vibrations and unacceptably irregular final grades for
engineering structures. If the use of a hole depth-to-
burden ratio of less than 1.5 is necessary or specified,
consideration should be given to increasing the bench
height or using smaller drill hole diameters.

Hole depths greater than four times the burden are also
undesirable. The longer a hole is with respect to its
diameter, the more error there will be in the hole location
at toe level (hole wandering), the most critical portion of
the blast. A poorly controlled blast will result. Extremely
long, slender holes have been known to intersect.

High benches with short burdens can also create safety

hazards, such as small equipment having to drill the front

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row of holes near the edge of a high ledge or a small

shovel having to dig at the toe of a precariously high face.
The obvious solution to this problem is to use a lower
bench height. There is no real advantage to a high bench.
Lower benches yield more efficient blasting results, lower
drilling costs, less chance of cutoffs, and are safer. If it is
impractical to reduce the bench height, larger rock
handling and drilling equipment should be used,
effectively reducing the blast hole depth-to-burden ratio.

A major problem with long slender charges is the greater

potential for cutoffs in the explosive column. If it is
necessary to use blast designs with large hole depth-to-
burden ratios, multiple priming should be used as
insurance against cutoffs.

Delays

Millisecond delays are used between charges in a blast

round to:

• To ensure that a proper free face is developed to en-

able the explosive charge to efficiently fragment and
displace the rock

• To enhance fragmentation between adjacent holes

• To reduce the ground vibrations created by the blast

Numerous delay patterns exist, several of which are cov-

ered in figures 19-8, 19-9, 19-13, and 19-14. Keep in mind
the following:

• The delay time between holes in a row should be be-

tween 1 and 5 ms per foot (0.3 m) of burden. Delay
times less than 1 ms per foot of burden cause
premature shearing between holes, resulting in

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coarse fragmentation. If an excessive delay time is

used between holes, rock movement from the first
hole prevents the adjacent hole from creating
additional fractures between the two holes. A delay
of 3 ms per foot (0.3 m) of burden gives good results
in many types of rock.

• The delay time between rows should be two to three

times the delay time between holes in a row. To
obtain good fragmentation and to control fly rock, a
sufficient delay is needed so that the burden from
previously fired holes has enough time to move
forward to accommodate moving rock from subse-
quent rows. If the delay between rows is too short,
movement in the back rows will be upward rather
than outward (figure19-15).

• Where airblast is a problem, the delay between holes

in a row should be at least 2 ms per foot of spacing.
This prevents airblast from one charge from adding
to that of subsequent charges as the blast proceeds
down the row.

• For controlling ground vibrations, most regulatory

authorities consider two charges to be separate
events if they are separated by a delay of 9 ms or
more.

These rules-of-thumb generally yield good blasting

results. When using surface delay systems such as deto-
nating cord connectors and sequential timers, the chances
for cutoffs will be increased. To solve this problem, in-
hole delays should be used in addition to the surface
delays. When using surface detonating cord connectors,
the use of 100-ms delays in each hole is suggested. This
will cause ignition of the in-hole delays well in advance of

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Figure 19-15.—The effect of inadequate

delays between rows.

rock movement, thus minimizing cutoffs. The same effect

can be accomplished with a sequential timer by avoiding
the use of electric caps with delays shorter than 75 to
100 ms.

It is best if all the explosive in a blast hole is fired as a

single column charge. When firing large blast holes in
populated areas, two or more delays within a blast hole
can be used to reduce ground vibrations. Blast rounds of
this type can become quite complex.

All currently used delay detonators employ pyrotechnic

delay elements that depend on a burning powder train for
their delay. Although these delays are reasonably
accurate, overlaps have been known to occur. When it is
essential that one charge fires before an adjacent charge,
such as in a tight corner of a blast, it is a good idea to skip
a delay period.

Powder Factor

Powder factor, or pounds of explosive per cubic yard

(kg/m3) of rock, is not the best tool for designing blasts.

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Blast designs should be based on the dimensions

discussed earlier in this chapter. Powder factor is a
necessary calculation for cost accounting purposes. In
construction blasting where the excavated material has
little or no inherent value, powder factor is usually
expressed in pounds of explosives per cubic yard of
material broken. Powder factors for surface blasting can
vary from 0.25 to 2.5 pounds per cubic yards (lb/yd3 [0.1 to
1.1 kg/m3]), with 0.5 to 1.0 lb/yd3 (0.2 to 0.45 kg/m3) being
most typical.

Powder factor for a single blast hole is calculated by the

following:

P. F . =
( )
L(0.340 d ) D 2
27 BSH

P.F. = Powder factor in pounds of explosive per cubic

yard of rock
L = Length of explosive charge in feet
d = Density of explosive charge in grams per cubic
centimeter
D = Charge diameter in inches
B = Burden in feet
S = Spacing in feet
H = Bench height

A comparable formula can be developed for metric

equivalents. Many companies that provide explosives also
publish tables that give loading densities in pounds per
foot of blast hole for different combinations of d and D. A
common nomograph found in most blasting handbooks
can be used to calculate the density in pounds per foot of
borehole. The powder factor is a function of the explosive
type, rock density, and geologic structure. Table 19-3
includes typical powder factors for surface blasting.

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Table 19-3.—Typical powder factors for

surface blasting

Powder factor
Rock breakage
difficulty (lb/yd3) (kg/m3)

Low 0.25-0.40 0.1-0.18

Medium 0.40- 0.75 0.18-0.34

High 0.75-1.25 0.34-0.57

Very high 1.25-2.50 0.57-1.14

Higher energy explosives, such as those containing large

amounts of aluminum, can break more rock per unit
weight than lower energy explosives. Most of the
commonly (lower energy) used explosive products have
similar energy values and, thus, have similar rock
breaking capabilities. Soft, low density rock requires less
explosive than hard, dense rock. Large hole patterns
require less explosive per volume of rock because a larger
portion of stemming is used. Poor powder distribution in
larger diameter blast holes frequently results in coarser
fragmentation. Massive rock with few existing planes of
weakness requires a higher powder factor than a rock unit
with numerous, closely spaced joints or fractures. The
more free faces a blast has to break to, the lower the
powder factor requirement. A corner cut (figure19-8),
with two vertical free faces, requires less powder than a
box cut (figure19-9) or angled cuts (figure19-16) with only
one vertical free face, which, in turn, will require less
powder than a shaft sinking type or parallel cut
(figure19-16) where there are no free faces. In a shaft
sinking cut, it is desirable to open a second free face by

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Figure 19-16.—Types of opening cuts.

creating a V-cut somewhere near the center of the round.

V-cuts are discussed in the “Underground Blasting”
section of this chapter.

When blasted materials have an inherent value per ton,

such as aggregate or ore, powder factors are expressed as
unit weight of explosives per ton of rock or tons of rock per
unit weight of explosive.

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Secondary Blasting

Some primary blasts will result in fragments too large to

be handled efficiently by the loading equipment and will
cause plugging of crushers or preparation plants.
Secondary fragmentation techniques must be used to
break these oversize fragments. If fragments are too large
to be handled, the loader operator will set the rock aside
for treatment. Identifying material large enough to cause
crusher plugging is not always easy. The loader operator
must be knowledgeable enough to watch for material that
is small enough for convenient loading but that is too
large for the crusher.

Secondary fragmentation can be accomplished by:

• A heavy ball (headache ball) suspended from a crane

may be dropped repeatedly on the oversize fragment
until it breaks. This is a relatively inefficient
method, and breaking a large or tough (nonbrittle)
rock may take considerable time. This method is
adequate where the number of oversize fragments is
small.

• A hole may be drilled into the oversize fragment and

a hydraulic wedging device inserted to split the rock.
This is also a slow method but may be satisfactory
where a limited amount of secondary fragmentation
is necessary. An advantage to this method is that it
does not create the flyrock associated with explosives
and, to some degree, with the headache ball method.

• An explosive may be packed loosely into a crack or

depression in the oversize fragment then covered
with a damp earth material and fired. This type of
charge is called a mudcap, plaster, or adobe charge.
This method is inefficient because of the limited

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explosive confinement and the relatively large

amount of explosives required. Other results are
excessive noise, flyrock, and often, inadequate
fragmentation. This method is also hazardous
because the primed charge lying on the surface is
prone to accidental initiation by external impacts
from falling rocks or equipment. External charges
should be used to break boulders only where drilling
is impractical.

• The most efficient method of secondary fragmenta-

tion is through the use of small (1- to 3-inch [25- to
75-mm]) blast holes. The blast hole is normally
collared at the most convenient location, such as a
crack or depression in the rock, and is directed
toward the center of the mass. The hole is drilled
two-thirds to three-fourths of the way through the
rock. Because the powder charge is surrounded by
free faces, less explosive is required to break a given
amount of rock than in primary blasting. One-
quarter pound per cubic yard (0.1 kg/m3) usually is
adequate. Careful location of the charge is more
important than its precise size. When in doubt, it is
best to estimate on the low side and under load the
hole. For larger fragments, it is best to drill several
holes and distribute the explosive charge rather than
place the entire charge in a single hole. All secondary
blast holes should be stemmed. Usually, secondary
blasts are more violent than primary blasts. Any
type of initiation system may be used to initiate a
secondary blast and for connecting large numbers of
oversize fragments. Detonating cord often is used
where noise is not a problem.

Although secondary blasting employs relatively small

charges, the potential safety hazards must not be under-

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estimated. Usually, there is more flyrock, and the flyrock

is less predictable than with primary blasting.

Underground Blasting

Underground blast rounds are divided into two basic

categories:

(1) Heading, drift, or tunnel rounds, where the only

free face is the surface from which the holes are
drilled

(2) Bench or stope rounds, where there is one or more

free faces in addition to the face where the blast
holes are drilled.

In the second category, blast rounds are designed in the

same manner as surface blast rounds. Only the blast
rounds that are in the first category (those with only one
initial free face) are discussed below.

Opening Cuts

The initial and most critical part of a heading round is the

opening cut. The essential function of this cut is to
provide additional free faces where the rock can be
broken. Although there are many specific types of
opening cuts and the terminology can be quite confusing,
all opening cuts fall into one of two classifications—angled
cuts or parallel hole cuts (figure 19-16).

An angled cut, also referred to as a V-cut, draw cut, slab

cut, or pyramid cut, breaks out a wedge of rock to create
an opening that the remaining burden can move into.
Angled cuts are very difficult to drill accurately. The
bottoms of each pair of cut holes should be as close

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together as possible but must not cross. If they cross, the

depth of round pulled will be less than designed. If the
hole bottoms are more than a foot or so apart, the round
may not pull to the proper depth. The angle between the
cut holes should be 60 degrees or more to minimize
bootlegging. One method to ensure getting a standard
angle cut is to supply the drillers with a template with the
proper spacing and angles for the angled holes. The
selection of the specific type of angled cut is a function of
the rock, the type of drilling equipment, and the
philosophy of the blasting supervisor. A considerable
amount of trial and error usually is involved in
determining the best angle cut for a specific site. In small
diameter tunnels with narrow headings, it is often
impossible to position the drill properly to drill an angled
cut. In this case, a parallel hole cut must be used.

Parallel hole cuts, also referred to as Michigan cuts,

Cornish cuts, shatter cuts, burn cuts, or Coromant cuts,
are basically a series of closely spaced holes, some loaded
and some unloaded (figure 19-17) that, when fired,
pulverize and eject a cylinder of rock to create an opening
where the remaining burden can be broken. Because they
require higher powder factors and more drilling per
volume of rock blasted, the use of parallel hole cuts
usually is restricted to narrow headings where there is
not enough room to drill an angled cut.

Parallel hole cuts involve more drilling than angled cuts

because the closely spaced holes break relatively small
volumes of rock. Parallel cuts are relatively easy to drill
because the holes are parallel. Like angled cuts, accu-
rately drilled parallel hole cuts are essential if the blast
round is to be effective. Some drill jumbos have automatic
controls to ensure that holes are drilled parallel. Drill
jumbos of this type are a good investment where parallel
hole cuts will be drilled routinely. A template also may

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Figure 19-17.—Six designs for parallel hole cuts.

be used in drilling a parallel hole cut. The selection of the

type of parallel hole cut also depends on the rock, the type
of drilling equipment, and the philosophy of the blasting
supervisor. As with angled cuts, trial and error usually is
involved in determining the best parallel hole cut for a
specific site.

All types of opening cuts must pull to the planned depth

because the remainder of the round will not pull more
deeply than the opening cut. In blasting with burn cuts,
care must be exercised to prevent overloading of the burn
holes because overloading may cause the cut to “freeze” or
not pull properly. The design of the cut depends on the
type of rock and often must be designed and refined by
trial and error.

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The advantage of a large central hole is that the hole

gives a dependable free face where succeeding holes can
break. This free face is not always obtained with
standard burn cuts. The large central hole ensures a
more dependable and deeper pull of the blast round. The
disadvantages of a large central hole are the requirements
for the proper equipment to drill the large central hole as
well as extra time. Intermediate-sized holes, usually 4 to
5 inches (100-130 mm) in diameter, are sometimes drilled
using the standard blast hole equipment as a compromise.

In some soft materials, particularly coal, the blasted cut

is replaced by a sawed kerf, usually at floor level
(figure 19-18). In addition to giving the material a
dependable void to break into, the sawed cut ensures that
the floor of the opening will be smooth.

Blasting Rounds

Once the opening cut has established the necessary free

face, the remainder of the blast holes must be designed so
that the burden successively breaks into the void space.
The progression of the blast round should provide a
proper free face parallel or nearly parallel to the hole at
its time of initiation. Figure 19-19 gives the typical
nomenclature for blast holes in a heading round.

The holes fired immediately after the cut holes are called
the relievers. The burden between these holes must be
planned carefully. If the burden is too small, the charges
will not pull their share of the round. If the burden is too
large, the round may freeze because the rock will have
insufficient space to expand. After several relievers have
been fired, the opening usually is large enough to permit
the remainder of the blast to be designed, as discussed
under “Surface Blasting.” Where heading rounds are
large, the burden and spacing ratio usually is slightly less

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Figure 19-18.—Blast round for soft rock

using sawed kerf (numbers on loaded
holes show delay in milliseconds.)

than that for surface blasts. In small headings where

space is limited, the burden and spacing ratio will be still
smaller. Trial and error plays an important part in this
type of blast design.

The last holes to be fired in an underground round are the

back holes at the top, the rib holes at the sides, and the
lifters at the bottom of the heading. Unless controlled
blasting is used (discussed below), the spacing between
these perimeter holes is about 20 to 25 blast hole
diameters. Figure 19-20 shows two typical angled cut
blast rounds. After the initial wedge of rock is extracted
by the cut, the angles of the subsequent blast holes are

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Figure 19-19.—Nomenclature for blast holes

in a heading round.

Figure 19-20.—Angled cut blast rounds.

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reduced progressively until the perimeter holes are

parallel to the heading or looking slightly outward. In
designing burden and spacing dimensions for angled cut
blast rounds, the location of the bottom of the hole is
considered rather than the collar.

Figure 19-21 shows two typical parallel hole cut blast

rounds. These rounds are simpler to drill than angled cut
rounds. Once the central opening has been established,
the round resembles a bench round turned on its side.
Figure 19-22 shows a comparison of typical muckpiles
obtained from V-cut and burn-cut blast rounds. Burn cuts
give more uniform fragmentation and a more compact
muckpile than V-cuts. V-cut muckpiles are more spread
out and vary in fragmentation. Powder factors and the
amount of drilling required are higher for burn cuts.

Figure 19-21.—Parallel hole cut blast rounds.

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Figure 19-22.—Fragmentation and shape

of muckpile as a function of type of cut.

Delays

Two series of delays are available for underground

blasting—millisecond delays, the same as those used in
surface blasting; and slow, or tunnel delays. The choice
of delay depends on the size of the heading being blasted
and on the fragmentation and type of muckpile desired.
Slow delays give coarser fragmentation and a more
compact muckpile. Millisecond delays give finer fragmen-
tation and a looser muckpile (figure19-23). In small
headings where space is limited, particularly when using
parallel hole cut rounds, slow delays are necessary to
ensure that the rock from each blast hole has time to be
ejected before the next hole fires. Where delays inter-
mediate between millisecond delays and slow delays is
desired, use millisecond delays and skip delay periods.

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Figure 19-23.—Fragmentation and shape of

muckpile as a function of delay.

In an underground blast round, the delay pattern must be

designed so that at the time of firing each hole has a good
free face where the burden can be displaced. Figure 19-24
shows a typical delay pattern for a burn cut blast round
in a heading in hard rock. Figure 19-25 shows a delay
pattern for a V-cut blast round.

The shape of the muckpile is affected by the order that the

delays are fired (figure19-26). If the blast is designed so
that the back holes at the roof are fired last, a cascading
effect is obtained, resulting in a compact muckpile. If the
lifters are fired last, the muckpile will be displaced away
from the face.

Powder Factor

As with surface blasting, powder factors for underground

blasting vary depending on several things. Powder
factors for underground blasting may vary from 1.5 to

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Figure 19-24.—Typical burn cut blast

round delay pattern (numbers on loaded
holes show delay in milliseconds).

Figure 19-25.—Typical V-cut blast round

delay pattern (numbers on loaded holes
show delay in milliseconds).

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Figure 19-26.—Shape of muckpile as a

function of firing order.

12 lb/yd3 (0.7 to 5.5 kg/m3). Soft, light weight rock,

headings with large cross sections, large blast holes, and
angle cut rounds all tend to require lower powder factors
than hard, dense rock, small headings, small blast holes,
and parallel hole cuts.

Controlled Blasting Techniques

The term, controlled blasting, is used to describe several

techniques that limit damage to the rock at the perimeter
of the excavation by preventing the force of a blast from
continuing into the side walls. Normal blasting propa-
gates cracks into the surrounding rock. These cracks can
reduce the stability of the opening. The purpose of con-
trolled blasting is to reduce this perimeter cracking and,

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thus, increase stability of the final surface. Much of the

following discussion on controlled blasting techniques has
been determined through years of on-the-job testing and
evaluation. The results of controlled blasting are a
function of the geology, especially the number and
orientation of joint and fracture planes and the quality of
the final rock surface that is required.

Line Drilling

Line drilling consists of drilling a row of closely spaced

holes along the final excavation limits and not loading the
holes with explosive. The line-drilled holes provide a
plane of weakness to which the final row of blast holes
can break and also reflect a portion of the blast’s shock
wave. Line drilling is used mostly in small blasting
operations and involves small holes in the range of 2 to
3 inches (50-75 mm) in diameter. Line drilling holes are
spaced (center to center) two to four diameters apart but
are more closely spaced at the corners. The maximum
practical depth to which line drilling can be done is
governed by how accurately the alignment of the holes can
be held at depth (seldom more than 30 feet [10 m]).

To further protect the final perimeter, the blast holes ad-

jacent to the line drill are spaced more closely and loaded
more lightly than the rest of the blast, and deck charges
are used as necessary. Best results are obtained in a
homogeneous rock with few joints or bedding planes or
when the holes are aligned with a major joint plane. Line
drilling is sometimes used in conjunction with presplitting
where the corners are line drilled and the remainder of
the perimeter is presplit.

The use of line drilling is limited to jobs where even a

light load of explosives in the perimeter holes would cause
unacceptable damage. The results of line drilling are

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often unpredictable, the cost of drilling is high, and the

results depend on the accuracy of the drilling.

Presplitting

Presplitting, sometimes called preshearing, is similar to

line drilling except that the holes are drilled slightly
farther apart and are loaded very lightly. Presplit holes
are fired before any of the adjacent main blast holes. The
light explosive charges propagate a crack between the
holes. In badly fractured rock, unloaded guide holes may
be drilled between the loaded holes. The light powder
load may be obtained by using specially designed slender
cartridges, partial or whole cartridges taped to a deto-
nating cord downline, an explosive cut from a continuous
reel, or heavy grain detonating cord. A heavier charge of
tamped cartridges is used in the bottom few feet of hole.
Figure 19-27 shows three types of blast hole loads used for
presplitting. Cartridges ¾ or I inch by 2 feet (19 or
22 mm by 0.6 m) connected with couplers are available.
Manufacturers now produce continuous, small diameter,
long-tubular water gel columns for loading presplit holes.
The diameter of these continuous tubular columns usually
is 1 inch (25 mm), and they come with a built-in downline.
They can be loaded easily in rough and inclined holes.
The continuous column presplit explosives produce
increased loading rates and reduced labor costs.

If possible, stem completely around and between the

cartridges in the blast hole; and, although not essential,
fire in advance of the main blast. The maximum depth
for a single presplit is limited by the accuracy of the
drillholes and is usually about 50 feet (15 m). Depths
between 20 and 40 feet (6 and 12 m) are recommended.
A deviation of greater than 6 inches (152 mm) from the
desired plane or shear will give inferior results. Avoid
presplitting too

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Figure 19-27.—Typical presplit

blast hole loading.

far ahead of the production blast. If possible, presplit a

short section and dig that section out so that the quality
of the presplit can be checked. If the presplit results are
unsatisfactory, adjustments can be made in subsequent
blasts.

Presplitting is usually done in a separate operation and

well in advance of drilling and loading the main blast.
The presplit holes can be fired with the main blast by

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firing the presplit holes on the first delay period. The

increased hole spacing compared with line drilling
reduces drilling costs. Table 19-4 gives parameters for
presplitting.

Smooth Blasting

Smooth blasting, also called contour blasting, perimeter

blasting, or sculpture blasting, is the most widely used
method of controlling overbreak in underground openings
such as drifts and stopes (benches). Smooth blasting is
similar to presplitting in that an additional row of holes
is drilled at the perimeter of the excavation. These holes
contain light loads and are more closely spaced than the
other holes in the round (figure19-28). The light powder
load usually is continuously “string loaded” (loaded end
to end) with slender cartridges or continuous reel explo-
sive is used as shown in figure 19-27. Unlike presplitting,
the smooth blast holes are fired after the main blast.
Usually, this is done by loading and connecting the entire
round and firing the perimeter holes one delay later than
the last hole in the round. The burden on the perimeter
holes should be approximately 1.5 times the spacing.
Table 19-5 gives parameters for smooth blasting.

A compromise for smooth wall blasting is to slightly

reduce the spacing of the perimeter holes, compared to a
standard design, and “string load” regular cartridges of
explosive. The explosive column should be sealed with a
tamping plug, clay plug, or other type of stemming to
prevent the string-loaded charges from being extracted
from the hole by charges on earlier delays. Smooth
blasting reduces overbreak and reduces the need for
ground support. These advantages usually outweigh the
cost of the additional perimeter holes.

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Table 19-4.—Parameters for presplitting

Hole diameter Spacing Explosive charge

(inch) (mm) (feet) (m) (lb/ft) (kg/m)
1.50-1.75 38-44 1.00-1.50 0.3-0.46 0.08-0.25 0.03-0.1
2.00-2.50 50-64 1.50-2.00 0.46-0.6 .08-0.25 0.03-0.1

FIELD MANUAL
3.00-3.50 75-90 1.50-3.00 0.6-1.0 0.13-0.50 0.05-0.23
4.00 100 2.00-4.00 0.6-1.2 0.25-0.75 0.23-0.34

Table 19-5.—Parameters for smooth blasting

Hole diameter Spacing Burden Explosive charge

(inch) (mm) (feet) (m) (feet) (m) (lb/ft) (kg/m)
1.50-1.75 38-44 2.00 0.6 3.00 1 0.12-0.25 0.05-0.55
2.0 50 2.50 0.75 3.50 1.06 0.12-0.25 0.05-0.55
 BLAST DESIGN

Figure 19-28.—Typical smooth blasting

pattern (Burden, B, is larger than spacing, S).
Numbers on holes show delay in milliseconds.

Cushion Blasting

Cushion blasting, also called trimming, slabbing, or

slashing, is the surface equivalent of smooth blasting.
Like other controlled blasting techniques, cushion
blasting involves a row of closely spaced, lightly loaded
holes at the perimeter of the excavation. Holes up to

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6½ inches (165 mm) in diameter have been used in

cushion blasting. Drilling accuracy with this larger size
borehole permits depths of up to 90 feet (27 m) for cushion
blasting. After the explosives have been loaded, stem-
ming is placed in the void space around the charges for
the entire length of the column. Stemming “cushions” the
shock from the finished wall minimizing the stresses and
fractures in the finished wall. The cushion blast holes are
fired after the main excavation is removed (figure19-29).
A minimum delay between the cushion blast holes is

Figure 19-29.—Cushion blasting techniques.

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desirable. The same loading techniques that apply to pre-

splitting are used with cushion blasting. The burden on
the cushion holes should always be less than the width of
the berm being removed.

The large diameter holes associated with cushion blasting

result in larger spacings as compared with presplitting
reducing drilling costs. Better results can be obtained in
poorly lithified and weathered formations than with
presplitting, and the larger holes permit better alignment
at depth. Table 19-6 gives parameters for cushion
blasting.

Riprap Blasting Techniques

Riprap blasting follows the usual rules for blast designs.

A few special techniques can aid production of quality
riprap.

Powder distribution is the key to satisfactory results. If

the above principles of good blast design are followed,
satisfactory results should be achieved. The blast design
must be monitored continually and changed to produce
the best results.

Full column loading is usually the best for initial shots.

The starting burden for riprap production should be
larger than predicted from table 19-1. If a burden of
7 feet (2.1 m) is predicted, a starting burden of
approximately 9 feet (2.7 m) should be tried. Further
adjustments can be made to optimize the breakage.

In typical quarry blasting, a spacing of 1.5 times the

burden is a good first estimate. The spacing should be
about equal to the burden but not smaller than the
burden for riprap. Either a square or a staggered drill

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Table 19-6.—Parameters for cushion blasting

Hole diameter Spacing Burden Explosive charge

(inch) (mm) (feet) (m) (feet) (m) (lb/ft) (kg/m)

FIELD MANUAL
2.00-2.50 50-64 3.00 1.0 4.00 1.2 0.08-0.25 0.03-0.1

3.00-3.50 75-90 4.00 1.2 5.00 1.5 0.13-0.5 0.05-0.2

4.00-4.50 100-115 5.00 1.5 6.00 1.8 0.25-0.75 0.1-0.3

5.00-5.50 127-140 6.00 1.8 7.00 2.1 0.75-1.00 0.3-0.45

6.00-6.50 152-165 7.00 2.1 9.00 2.7 1.00-1.50 0.45-0.7

 BLAST DESIGN

pattern should be used. The square pattern often gives a

coarser product but also may give more erratic toe
conditions. Where possible, rows of blast holes should be
perpendicular to the major vertical plane of weakness
such as the primary vertical joint set.

If a reasonably well graded riprap is specified, it will be

necessary to perform test or trial blasts. The product
should be analyzed for gradation, and further test blasts
made and gradations checked until the specifications have
been met. If insufficient coarse product is produced, the
burden and spacing of subsequent rounds should be
increased by 1 foot (0.3 m) per round until the amount of
coarse product is adequate. If toe problems occur before
the amount of coarse product is adequate, reduce the
burden and spacing again and increase the stemming or
try deck loading in the upper part of the lift.

If too much coarse product is produced, determine

whether the material comes from the top or bottom part
of the bench face. If the material comes from the bottom
or is generally well-distributed, decrease the burden and
spacing in 1-foot (0.3-m) increments until the oversize is
controlled. If the oversize comes from the top, try using
satellite holes (short, smaller diameter holes between the
main blast holes, figure19-4) or less stemming.

It is essential that each blast be laid out accurately and

drilled and loaded so that there is a known baseline to
adjust from if early results are not good. Keeping good
records is essential for later adjustments to the blast
design. Single row firing, at least for the early shots, also
simplifies blast pattern adjustments.

In dry conditions, ANFO will work well. A good, fast,

bottom primer should be used. In wet conditions, an
emulsion, water gel, slurry, or gelatin dynamite should be

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used. The bottom of the blast hole should be primed.

Excessive orange smoke from a blast indicates the need
for a water resistant product or for a better proportional
mix of the ANFO.

Bibliography

Dick, R.A., L.R. Fletcher, and D.V. Andrea, Explosives

and Blasting Procedures Manual. Bureau of Mines
Information Circular 8925, pp. 57-74, 1987.

E. I. du Pont de Nemours & Co., Inc., Blaster’s Handbook.

16th edition, pp. 494, Wilmington, Delaware, 1978.

Glossary

Acoustical impedance - The mathematical expression

characterizing a material energy transfer property.
The product of a material unit density and sonic
velocity.

Adobe charge - See mud cap.

Airblast - An airborne shock wave resulting from the

detonation of explosives; may be caused by burden
movement or the release of expanding gas into the air.
Airblast may or may not be audible.

Airdox - System that uses 10,000 lb/in2 compressed air to

break undercut coal. Airdox will not ignite a gassy or
dusty atmosphere.

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Aluminum - A metal commonly used as a fuel or sen-

sitizing agent in explosives and blasting agents;
normally used in finely divided particle or flake form.

American Table of Distance - A quantity-distance

table published by the Institute of Makers of
Explosives (IME) as pamphlet No. 2, which specifies
safe explosive storage distances from inhabited
buildings, public highways, passenger railways, and
other stored explosive materials.

Ammonium nitrate (AN) - The most commonly used

oxidizer in explosives and blasting agents, NH4NO3.

ANFO - An explosive material consisting of a mixture of

ammonium nitrate and fuel oil. The most commonly
used blasting agent.

ATF - Bureau of Alcohol, Tobacco and Firearms,

U.S. Department of the Treasury, which enforces
explosives control and security regulations.

Axial priming - A system for priming blasting agents

where a core of priming materials extends through
most or all of the blasting agent charge length.

Back break - Rock broken beyond the limits of the last

row of holes.

Back holes - The top holes in a tunnel or drift round.

Base charge - The main explosive charge in a detonator.

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Bench - The horizontal ledge in a quarry face along

where holes are drilled. Benching is the process of
excavating where terraces or ledges are worked in a
stepped sequence.

Binary explosive - An explosive based on two

nonexplosive ingredients, such as nitromethane and
ammonium nitrate. Materials are shipped and stored
separately and mixed at the jobsite to form a high
explosive.

Black powder - A low energy explosive consisting of

sodium or potassium nitrate, carbon, and sulfur.
Black powder is seldom used today because of the low
energy, poor fume quality, and extreme sensitivity to
sparks.

Blast - The detonation of explosives to break rock.

Blast area - The area near a blast within the influence of

flying rock or concussion.

Blaster - A qualified person in charge of a blast. Also, a

person (blaster-in-charge) who has passed test
approved by Office of Surface Mining (OSM) which
certifies the blaster’s qualifications to supervise
blasting activities.

Blasters’ galvanometer - Blasters' multimeter; see

galvanometer, multimeter.

Blast hole - A hole drilled in rock or other material for

the placement of explosives.

Blasting agent - An explosive that meets prescribed

criteria for insensitivity to initiation. For storage, any
material or mixture consisting of a fuel and oxidizer,

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intended for blasting, not otherwise defined as an

explosive, provided that the finished product, as mixed
and packaged for use or shipment, cannot be detonated
by means of a No. 8 test blasting cap when unconfined
(ATF). For transportation, a material designed for
blasting that has been tested in accordance with the
Code of Federal Regulations (CFR) Title 49, Section
173.14a, and found to be so insensitive that there is
very little probability of accidental initiation to
explosion or transition from deflagration to detonation
(Department of Transportation [DOT]).

Blasting cap - A detonator that is initiated by safety fuse

(Mine Safety and Health Administration [MSHA]).
See detonator.

Blasting circuit - The circuit used to fire one or more

blasting caps.

Blasting crew - A crew whose job is to load explosive

charges.

Blasting machine - Any machine built expressly for the

purpose of energizing blasting caps or other types of
initiators.

Blasting mat - See mat.

Blasting switch - A switch used to connect a power

source to a blasting circuit.

Blistering - See mud cap.

Blockhole - A hole drilled into a boulder to allow the

placement of a small charge to break the boulder.

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Booster - A unit of explosive or blasting agent used for

perpetuating or intensifying an explosive reaction. A
booster does not contain an initiating device but is
often cap sensitive.

Bootleg - That portion of a borehole that remains rela-

tively intact after having been charged with explosive
and fired. A bootleg may contain unfired explosive
and may be hazardous.

Borehole (blast hole) - A drilled hole, usually in rock,

that is loaded with explosives.

Borehole pressure - The pressure that the hot gases of

detonation exert on the borehole wall. Borehole
pressure is primarily a function of the density of the
explosive and the heat of explosion.

Bridge wire - A very fine filament wire imbedded in the

ignition element of an electric blasting cap. An electric
current passing through the wire causes a sudden heat
rise, causing the ignition element to be ignited.

Brisance - A property of an explosive roughly equivalent

to detonation velocity. An explosive with a high deto-
nation velocity has high brisance.

Bubble energy - The expanding gas energy of an

explosive, as measured in an underwater test.

Bulk mix - An explosive material prepared for use

without packaging.

Bulk strength - The strength of an explosive per unit

volume.

Bulldoze - See mud cap.

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Burden - The distance to the nearest free or open face

from an explosive charge. There may be apparent
burden and a true burden, the latter being measured
in the direction broken rock will be displaced following
firing of the explosive charge. Also, the amount of
material to be blasted by a given hole in tons or cubic
yards (m3).

Burn cut - A parallel hole cut employing several closely

spaced blast holes. Not all of the holes are loaded with
explosive. The cut creates a cylindrical opening by
shattering the rock.

Bus wires - The two wires joined to the connecting wire

where the leg wires of the electric caps are connected
in a parallel circuit. Each leg wire of each cap is
connected to a different bus wire. In a series-in-
parallel circuit, each end of each series is connected to
a different bus wire.

Butt - See bootleg.

Cap - See detonator.

Capped fuse - A length of safety fuse with an attached

blasting cap.

Capped primer - A package or cartridge of cap-sensitive

explosive that is specifically designed to transmit
detonation to other explosives and which contains a
detonator (MSHA).

Cap sensitivity - The sensitivity of an explosive to initia-

tion, relative to an IME No. 8 test detonator.

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Carbon monoxide - A poisonous gas created by

detonating explosive materials. Excessive carbon
monoxide is caused by an inadequate amount of
oxygen in the explosive mixture (excessive fuel).

Cardox - A system that uses a cartridge filled with liquid

carbon dioxide, which when initiated by a mixture of
potassium perchlorate and charcoal, creates a pressure
adequate to break undercut coal.

Cartridge - A rigid or semirigid container of explosive or

blasting agent of a specified length or diameter.

Cartridge count - The number of 1¼- by 8-inch (32- by

203-mm) cartridges of explosives per 50-pound
(22.7-kg) case.

Cartridge strength - A rating that compares a given

volume of explosive with an equivalent volume of
straight nitroglycerin dynamite expressed as a
percentage.

Cast primer - A cast unit of explosive, usually pentolite

or composition B, commonly used to initiate detonation
in a blasting agent.

Chambering - The process of enlarging a portion of blast

hole (usually the bottom) by firing a series of small
explosive charges. Chambering can also be done by
mechanical or thermal methods.

Chapman-Jougeut (C-J) plane - The plane that defines

the rear boundary of the primary reaction zone in a
detonating explosive column.

Circuit tester - See galvanometer or multimeter.

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Class A explosive - Defined by the U.S. Department of

Transportation (DOT) as an explosive that possesses
detonating or otherwise maximum hazard; such as,
but not limited to, dynamite, nitroglycerin, lead azide,
black powder, blasting caps, and detonating primers.

Class B explosive - Defined by DOT as an explosive that

possesses flammable hazard, such as, but not limited
to, propellant explosives, photographic flash powders,
and some special fireworks.

Class C explosive - Defined by DOT as an explosive that

contains Class A or Class B explosives, or both, as
components but in restricted quantities. For example,
blasting caps or electric blasting caps in lots of less
than 1,000.

Collar - The top or opening of a borehole or shaft. To

“collar” in drilling means the act of starting a borehole.

Collar distance - The distance from the top of the

powder column to the collar of the blast hole, usually
filled with stemming.

Column charge - A long, continuous charge of explosive

or blasting agent in a borehole.

Commercial explosives - Explosives designed and used

for commercial or industrial, rather than military
applications.

Composition B - A mixture of RDX and TNT that has a

density of 1.65 g/cm3 and a velocity of 25,000 feet per
second (7,622 m/sec), when cast. It is useful as a
primer for blasting agents.

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Condenser-discharge blasting machine - A blasting

machine that uses batteries or magnets to energize
one or more condensers (capacitors) whose stored
energy is released into a blasting circuit.

Confined detonation velocity - The detonation velocity

of an explosive or blasting agent under confinement
such as in a borehole.

Connecting wire - A wire, smaller in gage than the lead

wire, used in a blasting circuit to connect the cap
circuit with the lead wire or to extend leg wires from
one borehole to another. Usually considered
expendable.

Connector - See MS connector.

Controlled blasting - Techniques used to control over-

break and produce a competent final excavation wall.
See line drilling, presplitting, smooth blasting, and
cushion blasting.

Cordeau detonant fuse - A term used to define

detonating cord.

Cornish cut - See parallel hole cut.

Coromant cut - See parallel hole cut.

Coupling - The degree that an explosive fills the bore-

hole. Untamped cartridges are decoupled; also
capacitive and inductive coupling from power lines to
an electric blasting circuit.

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Coyote blasting - The practice of driving tunnels

horizontally into a rock face at the foot of the shot.
Explosives are loaded into these tunnels. Coyote
blasting is used where it is impractical to drill
vertically.

Critical diameter - The minimum diameter of any

explosive for propagation of a stable detonation.
Critical diameter is effected by confinement,
temperature, and pressure on the explosive.

Crosslinking agent - The final ingredient added to a

water gel or slurry, causing the material to change
from a liquid to a gel.

Current limiting device - A device used to prevent

arcing in electric blasting caps by limiting the amount
or duration of current flow. Also used in a blasters’
galvanometer or multimeter to ensure a safe current
output.

Cushion blasting - A surface blasting technique used to

produce competent slopes. The cushion holes, fired
after the main charge, have a reduced spacing and
employ decoupled charges.

Cushion stick - A cartridge of explosive loaded into a

small diameter borehole before the primer. The use of
a cushion stick is not generally recommended because
of possible bootlegs.

Cut - An arrangement of holes used in underground

mining and tunnel blasting providing a free face for
the remainder of the round to break.

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Cutoffs - A portion of a column of explosives that has

failed to detonate owing to bridging or a shifting of the
rock formation, often due to an improper delay system;
also a cessation of detonation in detonating cord.

Dead pressing - Desensitization of an explosive caused

by pressurization. Tiny air bubbles required for sensi-
tivity are literally squeezed from the mixture.

Decibel - The unit of sound pressure commonly used to

measure airblast from explosives. The decibel scale is
logarithmic.

Deck - A small charge or portion of a blast hole loaded

with explosives that is separated from other charges
by stemming or an air cushion.

Decoupling - The use of cartridged products significantly

smaller in diameter than the borehole. Decoupled
charges are normally not used except in cushion
blasting, smooth blasting, presplitting, and other
situations where crushing is undesirable.

Deflagration - A subsonic but extremely rapid explosive

reaction accompanied by gas formation and borehole
pressure but without shock.

Delay blasting - The use of delay detonators or

connectors that cause separate charges to detonate at
different times rather than simultaneously.

Delay connector - A nonelectric, short-interval delay

device for use in delaying blasts that are initiated by
detonating cord.

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Delay detonator - An electric or nonelectric detonator

with a built-in element that creates a delay between
the input of energy and the explosion of the detonator.

Delay electric blasting cap - An electric blasting cap

with a built-in delay that delays cap detonation in
predetermined time intervals from milliseconds up to
a second or more.

Delay element - The portion of a blasting cap that

causes a delay between the application of energy to the
cap and the time of detonation of the base charge of
the cap.

Density - The weight per unit volume of explosive,

expressed as cartridge count or grams per cubic
centimeter. See loading density.

Department of Transportation (DOT) - A Federal

agency that regulates safety in interstate shipping of
explosives and other hazardous materials.

Detaline System - A nonelectric system for initiating

blasting caps where the energy is transmitted through
the circuit by a low-energy detonating cord.

Detonating cord - A plastic covered core of high-velocity

explosive, usually PETN, used to detonate explosives.
The plastic covering is covered with various combi-
nations of textiles and waterproofing.

Detonation - A supersonic explosive reaction where a

shock wave propagates through the explosive
accompanied by a chemical reaction that furnishes
energy to sustain stable shock wave propagation.
Detonation creates both a detonation pressure and a
borehole pressure.

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Detonation pressure - The head-on pressure created by

the detonation proceeding down the explosive column.
Detonation pressure is a function of the explosive
density and the square of the explosive velocity.

Detonation velocity - See velocity.

Detonator - Any device containing a detonating charge

that is used to initiate an explosive. Includes, but is
not limited to, blasting caps, electric blasting caps, and
nonelectric instantaneous or delay blasting caps.

Ditch blasting - See propagation blasting.

DOT - See Department of Transportation.

Downline - The line of detonating cord in the borehole

that transmits energy from the trunkline down the
hole to the primer.

Drilling pattern - See pattern.

Drop ball - Known also as a headache ball. An iron or

steel weight held on a wire rope that is dropped from
a height onto large boulders to break them into
smaller fragments.

Dynamite - The high explosive invented by Alfred Nobel.

Any high explosive where the sensitizer is nitrogly-
cerin or a similar explosive oil.

Echelon pattern - A delay pattern that causes the true

burden at the time of detonation to be at an oblique
angle from the original free face.

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Electric blasting cap - A blasting cap designed to be

initiated by an electric current.

Electric storm - An atmospheric disturbance of intense

electrical activity presenting a hazard in all blasting
activities.

Emulsion - An explosive material containing substantial

amounts of oxidizers dissolved in water droplets sur-
rounded by an immiscible fuel. Similar to a slurry.

Exploding bridge wire (EBW) - A wire that explodes

upon application of current. The wire takes the place
of the primary explosive in an electric detonator. An
exploding bridge wire detonator is an electric
detonator that employs an exploding bridge wire
rather than a primary explosive. An exploding bridge
wire detonator is instantaneous.

Explosion - A thermochemical process where mixtures of

gases, solids, or liquids react with the almost instan-
taneous formation of gas pressures and sudden heat
release.

Explosion pressure - See borehole pressure.

Explosive - Any chemical mixture that reacts at high

velocity to liberate gas and heat causing very high
pressures. ATF classifications include high explosives
and low explosives. Also, any substance classified as
an explosive by DOT.

Explosive materials - A term that includes, but is not

necessarily limited to, dynamite and other high explo-
sives, slurries, water gels, emulsions, blasting agents,
black powder, pellet powder, initiating explosives,
detonators, safety fuses, squibs, detonating cord,
igniter cord, and igniters.

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Extra dynamite - Also called ammonia dynamite, a

dynamite that derives the major portion of its energy
from ammonium nitrate.

Extraneous electricity - Electrical energy other than

actual firing current that may be a hazard with
electric blasting caps. Includes stray current, static
electricity, lightning, radio frequency energy, and
capacitive or inductive coupling.

Face - A rock surface exposed to air. Also called a free

face, a face provides the rock with room to expand
upon fragmentation.

Firing current - Electric current purposely introduced

into a blasting circuit for initiation. Also, the amount
of current required to activate an electric blasting cap.

Firing line - A line, often permanent, extending from the

firing location to the electric blasting cap circuit. Also
called lead wire.

Flash over - Sympathetic detonation between explosive

charges or between charged blast holes.

Flyrock - Rock that is propelled through the air from a

blast. Excessive flyrock may be caused by poor blast
design or unexpected weak zones in the rock.

Fracturing - The breaking of rock with or without move-

ment of the broken pieces.

Fragmentation - The extent that a rock is broken into

pieces by blasting. Also the act of breaking rock.

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Fuel - An ingredient in an explosive that reacts with an

oxidizer to form gaseous products of detonation.

Fuel oil - The fuel in ANFO, usually No. 2 diesel.

Fume Classification - An IME quantification of the

amount of fumes generated by an explosive or blasting
agent.

Fume quality - A measure of the toxic fumes to be

expected when a specific explosive is properly
detonated. See fumes.

Fumes - Noxious or poisonous gases liberated from a

blast. May be due to a low fume quality explosive or
inefficient detonation.

Fuse - See safety fuse.

Fuse lighter - A pyrotechnic device for rapid and depend-

able lighting of safety fuse.

Galvanometer - (More properly called blasters’ galva-

nometer.) A measuring instrument containing a
silver chloride cell and/or a current limiting device
that is used to measure resistance in an electric
blasting circuit. Only a device specifically identified
as a blasting galvanometer or blasting multimeter
should be used for this purpose.

Gap sensitivity - The gap distance an explosive can

propagate across. The gap may be air or a defined
solid material. Gap sensitivity is a measure of the
likelihood of sympathetic propagation.

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Gas detonation system - A system for initiating caps

where the energy is transmitted through the circuit by
a gas detonation inside a hollow plastic tube.

Gelatin - An explosive or blasting agent that has a gelati-

nous consistency. The term is usually applied to a
gelatin dynamite but may also be a water gel.

Gelatin dynamite - A highly water-resistant dynamite

with a gelatinous consistency.

Generator blasting machine - A blasting machine

operated by vigorously pushing down a rack bar or
twisting a handle. Now largely replaced by condensor
discharge blasting machines.

Grains - A weight measurement unit where 7,000 grains

equal 1 pound.

Ground vibration - Ground shaking caused by the

elastic wave emanating from a blast. Excessive
vibrations may cause damage to structures.

Hangfire - The detonation of an explosive charge after

the designed firing time. A source of serious accidents.

Heading - The working face or end of an excavation

driven in an underground mine.

Hercudet - See gas detonation system.

Hertz - A term used to express the frequency of ground

vibrations and airblast. One hertz is one cycle per
second.

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High explosive - Any product used in blasting that is

sensitive to a No. 8 test blasting cap and reacts at a
speed faster than that of sound in the explosive
medium. A classification used by ATF for explosive
storage.

Highwall - The bench, bluff, or ledge on the edge of a

surface excavation. This term is most commonly used
in coal strip mining.

Ignitacord – A cordlike fuse that burns progressively

along its length with an external flame at the zone of
burning and is used for lighting a series of safety fuses
in sequence. Burns with a spitting flame similar to a
Fourth-of-July sparkler.

IME - The Institute of Makers of Explosives. A trade

organization dealing with the use of explosives and
concerned with safety in manufacture, transportation,
storage, handling, and use. The IME publishes a
series of blasting safety pamphlets.

Initiation - The act of detonating a high explosive by

means of a cap, mechanical device, or other means.
Also the act of detonating the initiator.

Instantaneous detonator - A detonator that contains no

delay element.

Jet 1oader - A system for loading ANFO into small

blastholes where the ANFO is sucked from a container
and blown into the hole at high velocity through a
loading hose.

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Jumbo - A machine designed to mount two or more

drilling units that may or may not be operated
independently.

Kerf - A slot cut in a coal or soft rock face by a

mechanical cutter to provide a free face for blasting.

Lead wire - The wire connecting the electrical power

source with the leg wires or connecting wires of a
blasting circuit. Also called a firing line.

LEDC - Low-energy detonating cord used to initiate

nonelectric blasting caps.

Leg wires - Wires connected to the bridge wire of an elec-

tric blasting cap and extending from the waterproof
plug. The opposite ends are used to connect the cap
into a circuit.

Lifters - The bottom holes in a tunnel or drift round.

Line drilling - An overbreak control method where a

series of very closely spaced holes are drilled at the
perimeter of the excavation. These holes are not
loaded with explosive.

Liquid oxygen explosive - A high explosive made by

soaking cartridges of carbonaceous materials in liquid
oxygen. This explosive is rarely used today.

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Loading density - The pounds of explosive per foot of

charge of a specific diameter.

Loading factor - See powder factor.

Loading pole - A pole made of nonsparking material

used to push explosive cartridges into a borehole and
to break and tightly pack the explosive cartridges into
the hole.

Low explosive - An explosive where the speed of

reaction is slower than the speed of sound, such as
black powder. A classification used by ATF for
explosive storage.

LOX - See liquid oxygen explosive.

Magazine - A building, structure, or container specially

constructed for storing explosives, blasting agents,
detonators, or other explosive materials.

Mat - A covering placed over a shot to hold down flying

material. The mat is usually made of woven wire
cable, rope, or scrap tires.

Maximum firing current - The highest current

(amperage) recommended for the safe and effective
initiation of an electric blasting cap.

Metallized - Sensitized or energized with finely divided

metal flakes, powders, or granules, usually aluminum.

Michigan cut - See parallel hole cut.

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Microballoons - Tiny hollow spheres of glass or plastic

that are added to explosive materials to enhance
sensitivity by assuring adequate entrapped air
content.

Millisecond (ms) - Short delay intervals equal to 1/1,000

of a second.

Millisecond delay caps - Delay detonators that have

built-in time delays of various lengths. The interval
between the delays at the lower end of the series is
usually 25 ms. The interval between delays at the
upper end of the series may be 100 to 300 ms.

Minimum firing current - The lowest current

(amperage) that will initiate an electric blasting cap
within a specified short interval of time.

Misfire - A charge or part of a charge that has failed to

fire as planned. All misfires are dangerous.

Monomethylaminenitrate - A compound used to sensi-

tize some water gels.

MS connector - A device used as a delay in a detonating

cord circuit connecting one hole in the circuit with
another or one row of holes to other rows of holes.

MSHA - The Mine Safety and Health Administration. An

agency under the Department of Labor that enforces
health and safety regulations in the mining industry.

Muckpile - A pile of broken rock or dirt that is to be

loaded for removal.

Mud cap - Referred to also as adobe, bulldoze, blistering,

or plaster shot. A charge of explosive fired in contact

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with the surface of a rock usually covered with a

quantity of mud, wet earth, or similar substance. No
borehole is used.

Multimeter - A multipurpose test instrument used to

check line voltages, firing currents, current leakage,
stray currents, and other measurements pertinent to
electric blasting. (More properly called blasters’
multimeter.) Only a meter specifically designated as
a blasters’ multimeter or blasters’ galvanometer
should be used to test electric blasting circuits.

National Fire Protection Association (NFPA) - An

industry/government association that publishes
standards for explosive material and ammonium
nitrate.

Nitrocarbonitrate - A shipping classification once given

to a blasting agent by DOT.

Nitrogen oxides - Poisonous gases created by detonating

explosive materials. Excessive nitrogen oxides may be
caused by an excessive amount of oxygen in the
explosive mixture (excessive oxidizer) or by inefficient
detonation.

Nitroglycerin (NG) - The explosive oil originally used as

the sensitizer in dynamites, C3H5(ONO2)3.

Nitromethane - A liquid compound used as a fuel in two-

component (binary) explosives and as rocket and
dragster fuel.

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Nitropropane - A liquid fuel that can be combined with

pulverized ammonium nitrate prills to make a dense
blasting mixture.

Nitrostarch - A solid explosive similar to nitroglycerin

used as the base of “nonheadache” powders.

Nonel - See shock tube system.

Nonelectric delay blasting cap - A detonator with a

delay element capable of being initiated
nonelectrically. See shock tube system; gas detonation
system; Detaline System.

No. 8 test blasting cap - See test blasting cap No. 8.

OSHA - The Occupational Safety and Health Administra-

tion. An agency under the Department of Labor that
enforces health and safety regulations in the
construction industry, including blasting.

OSM - The Office of Surface Mining Reclamation and

Enforcement. An agency under the Department of the
Interior that enforces surface environmental
regulations in the coal mining industry.

Overbreak - Excessive breakage of rock beyond the

desired excavation limit.

Overburden - Worthless material lying on top of a

deposit of useful materials. Overburden often refers to
dirt or gravel but can be rock, such as shale over
limestone or shale and limestone over coal.

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Overdrive - Inducing a velocity higher than the steady

state velocity in a powder column by the use of a
powerful primer. Overdrive is a temporary pheno-
menon, and the powder quickly assumes its steady
state velocity.

Oxides of nitrogen - See nitrogen oxides.

Oxidizer - An ingredient in an explosive or blasting

agent that supplies oxygen to combine with the fuel to
form gaseous or solid detonation products. Ammo-
nium nitrate is the most common oxidizer used in
commercial explosives.

Oxygen balance - A mixture of fuels and oxidizers where

the gaseous products of detonation are predominantly
carbon dioxide, water vapor (steam), and free nitrogen.
A mixture containing excess oxygen has a negative
oxygen balance.

Parallel circuit - A circuit where two wires, called bus

wires, extend from the lead wire. One leg wire from
each cap in the circuit is hooked to each of the bus
wires.

Parallel hole cut - A group of parallel holes, some of

which are loaded with explosives, used to establish a
free face in tunnel or heading blasting. One or more of
the unloaded holes may be larger than the blast holes;
also called Coromant, Cornish, burn, shatter, or
Michigan cut.

Parallel series circuit - Similar to a parallel circuit but

involving two or more series of electric blasting caps.

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One end of each series of caps is connected to each of

the bus wires; sometimes called series-in-parallel
circuit.

Particle velocity - A measure of ground vibration.

Describes the velocity of particle vibration when
excited by a seismic wave.

Pattern - A drill hole plan laid out on a face or bench to

be drilled for blasting.

Pellet powder - Black powder pressed into 2-inch-long,

1¼- to 2-inch diameter cylindrical pellets.

Pentaerythritoltetranitrate (PETN) - A military

explosive compound used as the core load of detonating
cord and the base charge of blasting caps.

Pentolite - A mixture of PETN and TNT used as a cast

primer.

Permissible - A machine, material, apparatus, or device

that has been investigated, tested, and approved by
the Bureau of Mines or MSHA maintained in
permissible condition.

Permissible blasting - Blasting according to MSHA

regulations for underground coal mines or other gassy
underground mines.

Permissible explosives - Explosives that have been ap-

proved by MSHA for use in underground coal mines or
other gassy mines.

PETN - See pentaerythritoltetranitrate.

Plaster shot - See mud cap.

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Pneumatic 1oader - One of a variety of machines

powered by compressed air used to load bulk blasting
agents or cartridged water gels.

Powder - Any solid explosive.

Powder chest - A strong, nonconductive portable con-

tainer equipped with a lid used at blasting sites for
temporary explosive storage.

Powder factor - A ratio between the amount of powder

loaded and the amount of rock broken, usually
expressed as pounds per ton or pounds per cubic yard.
In some cases, the reciprocals of these terms are used.

Preblast survey - A documentation of the existing condi-

tion of a structure. The survey is used to determine
whether subsequent blasting causes damage to the
structure.

Premature - A charge that detonates before intended.

Preshearing - See presplitting.

Presplitting - Controlled blasting where decoupled

charges are fired in closely spaced holes at the
perimeter of the excavation. A presplit blast is fired
before the main blast. Also called preshearing.

Pressure vessel - A system for loading ANFO into small

diameter blast holes. The ANFO is contained in a
sealed vessel where air pressure forces the ANFO
through a hose and into the blast hole; also known as
pressure pot.

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Prill - A small porous sphere of ammonium nitrate

capable of absorbing more than 6 percent by weight of
fuel oil. Blasting prills have a bulk density of 0.80 to
0.85 g/cm3.

Primary blast - The main blast executed to sustain

production.

Primary explosive - An explosive or explosive mixture

sensitive to spark, flame, impact, or friction used in a
detonator to initiate the explosion.

Primer - A unit, package, or cartridge of cap-sensitive

explosive used to initiate other explosives or blasting
agents and that contains a detonator.

Propagation - The detonation of explosive charges by an

impulse from a nearby explosive charge.

Propagation blasting - The use of closely spaced,

sensitive charges. The shock from the first charge
propagates through the ground, setting off the
adjacent charge and so on. Only one detonator is
required; primarily used for ditching in damp ground.

Propellant explosive - An explosive that normally

deflagrates and is used for propulsion.

Pull - The quantity of rock or length of advance excavated

by a blast round.

Radio frequency energy - Electrical energy traveling

through the air as radio or electromagnetic waves.
Under ideal conditions this energy can fire an electric
blasting cap. IME Pamphlet No. 20 recommends safe
distances from transmitters to electric blasting caps.

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Radio frequency transmitter - An electric device, such

as a stationary or mobile radio transmitting station,
that transmits a radio frequency wave.

RDX - Cyclotrimethylenetrinitramine, an explosive

substance used in the manufacture of compositions B,
C-3, and C-4. Composition B is useful as a cast
primer.

Relievers - In a heading round, holes adjacent to the cut

holes, used to expand the opening made by the cut
holes.

Rib holes - The holes at the sides of a tunnel or drift

round that determine the width of the opening.

Riprap - Coarse rocks used for river bank or dam stabili-

zation to reduce erosion by water flow.

Rotational firing - A delay blasting system where each

charge successively displaces its burden into a void
created by an explosive detonated on an earlier delay
period.

Round - A group or set of blast holes used to produce a

unit of advance in underground headings or tunnels.

Safety fuse - A core of potassium nitrate black powder,

enclosed in a covering of textile and waterproofing,
used to initiate a blasting cap or a black powder
charge. Safety fuse burns at a continuous, uniform
rate.

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Scaled distance - A ratio used to predict ground vibra-

tions. Scaled distance equals the distance from the
blast to the point of concern in feet divided by the
square root of the charge weight of explosive per delay
in pounds. When using the equation, the delay period
must be at least 9 ms.

Secondary blasting - Using explosives to break boulders

or high bottom resulting from the primary blast.

Seismograph - An instrument that measures and may

supply a permanent record of earthborne vibrations
induced by earthquakes or blasting.

Semiconductive hose - A hose used for pneumatic

loading of ANFO that has a minimum electrical
resistance of 1,000 ohms per foot, 10,000 ohms total
resistance, and a maximum total resistance of
2,000,000 ohms.

Sensitiveness - A measure of an explosive’s ability to

propagate a detonation.

Sensitivity - A measure of an explosive’s susceptibility to

detonation by an external impulse such as impact,
shock, flame, or friction.

Sensitizer - An ingredient used in explosive compounds

to promote greater ease in initiation or propagation of
the detonation reaction.

Sequential blasting machine - A series of condenser

discharge blasting machines in a single unit that can
be activated at various accurately timed intervals
following the application of electrical current.

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Series circuit - A circuit of electric blasting caps where

each leg wire of a cap is connected to a leg wire from
the adjacent caps so that the electrical current follows
a single path through the entire circuit.

Series-in-parallel circuit - See parallel series circuit.

Shatter cut - See parallel hole cut.

Shock energy - The shattering force of an explosive

caused by the detonation wave.

Shock tube system - A system for initiating caps where

the energy is transmitted to the cap by a shock wave
inside a hollow plastic tube.

Shock wave - A pressure pulse that propagates at super-

sonic velocity.

Shot - See blast.

Shot firer - Also referred to as the shooter. The person

who actually fires a blast. A powderman may charge
or load blast holes with explosives but may not fire the
blast.

Shunt - A piece of metal or metal foil that short circuits

the ends of cap leg wires to prevent stray currents
from causing accidental detonation of the cap.

Silver chloride cell - A low-current cell used in a

blasting galvanometer and other devices to measure
continuity in electric blasting caps and circuits.

Slurry - An aqueous solution of ammonium nitrate, sen-

sitized with a fuel, thickened, and crosslinked to
provide a gelatinous consistency. Sometimes called a

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water gel. DOT may classify a slurry as a Class A

explosive, a Class B explosive, or a blasting agent. An
explosive or blasting agent containing substantial
portions of water (MSHA). See emulsion; water gel.

Smooth blasting - Controlled blasting used underground

where a series of closely spaced holes is drilled at the
perimeter, loaded with decoupled charges, and fired on
the highest delay period of the blast round.

Snake hole - A borehole drilled slightly downward from

horizontal into the floor of a quarry face. Also, a hole
drilled under a boulder.

Sodium nitrate - An oxidizer used in dynamites and

sometimes in blasting agents.

Spacing - The distance between boreholes or charges in

a row measured perpendicular to the burden and
parallel to the free face of expected rock movement.

Specific gravity - The ratio of the weight of a given

volume of any substance to the weight of an equal
volume of water.

Spitter cord - See Ignitacord.

Springing - See chambering.

Square pattern - A blast hole pattern where the holes in

succeeding rows are drilled directly behind the holes in
the front row. In a truly square pattern, the burden
and spacing are equal.

Squib - A firing device that burns with a flash. Used to

ignite black powder or pellet powder.

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Stability - The ability of an explosive material to

maintain its physical and chemical properties over a
period of time in storage.

Staggered pattern - A blast hole pattern where the

holes in each row are drilled between the holes in the
preceding row.

Static electricity - Electrical energy stored on a person

or object in a manner similar to that of a capacitor.
Static electricity may be discharged into electrical
initiators, detonating them.

Steady state velocity - The characteristic velocity at

which a specific explosive, under specific conditions in
a given charge diameter, will detonate.

Stemming - The inert material such as drill cuttings

used in the collar portion (or elsewhere) of a blast hole
to confine the gaseous products of detonation; also, the
length of blast hole left uncharged.

Stick count - See cartridge count.

Stray current - Current flowing outside the desired

conductor. Stray current may come from electrical
equipment, electrified fences, electric railways, or
similar sources. Flow is facilitated by conductive
paths such as pipelines and wet ground or other wet
materials. Galvanic action of two dissimilar metals in
contact or connected by a conductor may cause stray
current.

Strength - An explosive property described variously as

cartridge or weight strength, seismic strength, shock
or bubble energy, crater strength, or ballistic mortar

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strength. Not a well-defined property. Used to ex-

press an explosive’s capacity to do work.

String 1oading - Loading cartridges end-to-end in a

borehole without deforming them. Used mainly in
controlled blasting and permissible blasting.

Subdrill - To drill blast holes beyond the planned grade

lines or below floor level to insure breakage to the
planned grade or floor level.

Subsonic - Slower than the speed of sound.

Supersonic - Faster than the speed of sound.

Swell factor - The ratio of the volume of a material in an

undisturbed state to that when broken. May also be
expressed as the reciprocal of this number.

Sympathetic propagation (sympathetic detonation)

- Detonation of an explosive material by an impulse
from another detonation through air, earth, or water.

Tamping - Compressing the stemming or explosive in a

blast hole. Sometimes used synonymously with
stemming.

Tamping bag - A cylindrical bag containing stemming

material used to confine explosive charges in
boreholes.

Tamping pole - See loading pole.

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Test blasting cap No. 8 - A detonator containing 0.40 to

0.45 g of PETN base charge at a specific gravity of 1.4
g/cm3 primed with standard weights of primer,
depending on the manufacturer.

Toe - The burden or distance between the bottom of a

borehole and the vertical free face of a bench in an ex-
cavation. Also the rock left unbroken at the foot of a
quarry blast.

Transient velocity - A velocity different from the steady

state velocity that a primer imparts to a column of
powder. The powder column quickly attains steady
state velocity.

Trinitrotoluene (TNT) - A military explosive compound

used industrially as a sensitizer for slurries and as an
ingredient in pentolite and composition B. Once used
as a free-running pelletized powder.

Trunkline -A detonating cord line used to connect the

downlines of other detonating cord lines in a blast pat-
tern. Usually runs along each row of blast holes.

Tunnel - A basically horizontal underground passage.

Two-component explosive - See binary explosive.

Unconfined detonation velocity - The detonation

velocity of an explosive material not confined by a
borehole or other confining medium.

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V-cut - A cut employing several pairs of angled holes

meeting at the bottoms used to create free faces for the
rest of the blast round.

Velocity - The rate that the detonation wave travels

through an explosive. May be measured confined or
unconfined. Manufacturer’s data are sometimes
measured with explosives confined in a steel pipe.

Venturi 1oader - See jet loader.

Volume strength - See cartridge strength or bulk

strength.

Water gel - An aqueous solution of ammonium nitrate,

sensitized with a fuel, thickened, and crosslinked to
provide a gelatinous consistency; also called a slurry;
may be an explosive or a blasting agent.

Water stemming bags - Plastic bags containing a self-

sealing device that are filled with water. Classified as
a permissible stemming device by MSHA.

Weight strength - A rating that compares the strength

of a given weight of explosive with an equivalent
weight of straight nitroglycerin dynamite or other
explosive standard, expressed as a percentage.

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 Chapter 20

WATER CONTROL

Introduction

This chapter discusses site conditions that need

dewatering and the extent and basic requirements for
construction dewatering. A more comprehensive discus-
sion of technical requirements and methods for con-
structing dewatering facilities is available in the
Reclamation Ground Water Manual. The subjects that
are discussed include:

C Site review
C Site investigations
C Data collection
C Data interpretation, evaluation, and presentation
C Specifications paragraphs
C Construction considerations
C Supervision and oversight
C Documentation of results (final construction report)

Water control is lumped into two categories—dewatering

and unwatering. Water control is the removal or control
of groundwater or seepage from below the surface
(dewatering) or the removal or control of ponded or
flowing surface water by ditches, surface drains, or sumps
(unwatering). Excavation of materials or construction
near or below the water table or near surface water bodies
usually requires control of the groundwater or seepage.
Control may involve isolation with cutoffs, stabilization by
freezing, grouting, or other methods, or by a combination
of methods. Control of groundwater and seepage usually
involves installation and operation of wells or drains. A
key operation in most water control in unstable materials
is the removal of water from below the ground surface in
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a suitable depth below the working surface. These steps

permit construction “in the dry,” unhampered by the
adverse effects of water.

Understanding what factors control water is critical for

ensuring short-term stability during construction of any
facility and for the long-term stability of any structure.
This chapter discusses what should be considered. If
water is considered a potential problem, any field
investigation must obtain information on the site’s
various potential water sources including seasonal
precipitation and runoff periods and the identification and
understanding of the water bearing zones within a site.
This means not only identifying and determining the
depths and extent of the various water bearing zones and
their water surfaces but also understanding the formation
hydraulic parameters (porosity, permeability, and, when
necessary, storage).

Figure 20-1 illustrates the importance of understanding

the site hydraulic parameters in selecting the appropriate
dewatering method. Using the wrong method for the site
materials can result in a totally ineffective dewatering
system. Figure 20-1 can be used to assess what is the
appropriate dewatering method based on the site
materials.

In excavations in rock, cemented granular materials,

clays, and other stable materials, water removal or
unwatering may be by draining to sumps and using
surface pumps concurrently with or following completion
of the excavation. Subsurface cutoffs such as sheet piling
and slurry walls in soil or soft rock and grouting in rock
are also used to control ground and surface water and for
ground support. Cutoffs are seldom 100-percent effective,
and supplementary dewatering or unwatering is usually
required. Soils are frozen for short periods such as for a

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WATER CONTROL
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Figure 20-1.—Limits of dewatering methods for different materials.

 FIELD MANUAL

temporary excavation, especially in clayey or silty soils

that have low permeability and are difficult to drain.

Unwatering methods are commonly used in soils that

have high porosity but low permeabilities (clayey or silty
soils), bedrock that has solution cavities, and lava tubes
that carry large volumes of water in isolated areas.
Unwatering methods are commonly used to control
surface water.

Unwatering usually is performed in conjunction with

dewatering to ensure control of surface water and to
permit dewatering to proceed unaffected by recharge or
flooding from nearby surface water. Failure to properly
remove or control water during unwatering or dewatering
may result in:

• Unstable natural or excavated slopes

• Unstable, unworkable, or unsuitable subgrade

• Boils, springs, blowouts, or seeps on slopes or in the

subgrade

• Flooding of excavations or structures

• Uplift of constructed features such as concrete slabs

• Dilution, corrosion, or other adverse effects on con-

crete, metals, or other construction materials

• Instability of nearby structures

• Draining surrounding surface water and ground-

water

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• Instability of cutoff facilities such as cofferdams

• Loss of fines from the foundation

• Safety problems

• Delays in construction

• Increased construction costs

Water control may vary widely in scope, magnitude, and

difficulty. Some controlling factors related to the
constructed feature include footprint, foundation depth,
and construction time. Factors related to site conditions
are:

• Subsurface geology including general material types;

bedding, attitudes and lateral extent of bedding; and
attitudes, continuity, and apertures of fractures

• Subsurface hydraulic conditions including permea-

bilities and thicknesses of different materials,
groundwater occurrence, and levels

• Recharge conditions including proximity to surface

water bodies and precipitation

• Other facilities including cofferdams and site access

Conditions that may indicate the need for dewatering and

the possibility for difficult dewatering include:

• Site location adjacent to a large body of surface

water, a stream, a marshy area, or an area subject to
flooding

• An excavation significantly below the water table

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• Complex foundation geology

• An artesian zone immediately below grade

• Existing structures or facilities

• Existing use of groundwater

• Poor quality groundwater

• Presence of hazardous materials

• Thick zones of saturated, low-strength materials such

as silt or soft clay, especially under artesian
conditions

• Presence of cofferdams or other similar features for

which dewatering is needed for stability

• Conditions where failure of dewatering facilities

could result in catastrophic failure of protective or
other features and a hazard to life or property

Sites requiring groundwater or seepage control for

construction or proper operation of a facility should be
identified as early in the planning or design process as
possible.

Exploration Program

Investigations for water control should be part of the

general exploration and design data collection program.
Advantages of conducting investigations together include:

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• Maximizing the use of design data collection and

lowering exploration costs

• Providing dewatering data early in the program

• Using field personnel efficiently

Water control investigations generally cannot be

established in detail until some reconnaissance level
drilling has been done and general subsurface geologic
and hydrologic conditions are determined. General
surface conditions including topography and surface
hydrology should be known. A specialist should be
consulted as early in the program as possible to maximize
the benefits of the obtained data.

Design Data Requirements, Responsibilities,

and Methods of Collection and Presentation

Adequate surface and subsurface data are essential to the

proper design, installation, and operation of water control
facilities. The amount of data required for water control
facilities design may equal or exceed the foundation data
required for design of the structure. Water control
facilities may be designed in-house or by the contractor;
but investigations may be extensive, complex, time
consuming, and beyond the capability of a contractor to
accomplish in the bidding period. An in-house design is
generally better because the time is usually available to
do the job right, the designer has control over the design
data, responsibility for the water control design is clear to
the owner and the contractor, and the contractor can bid
the water control installation more accurately.

Design data for water control facilities should be obtained

regardless of who is ultimately responsible for the design.

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The extent and level of data should be appropriate for the

anticipated water control requirements and facilities. All
subsurface investigations should be sufficiently detailed
to determine the groundwater conditions, including the
depth of the vadose zone and the various potentiometric
water surfaces; and the investigations should provide at
least enough data to estimate the permeability of the soil
or rock. Crude soil permeabilities can be estimated from
blow counts and the visual or laboratory soil
classification. Permeability tests should be considered in
any exploration program. If aquifer tests are required,
the test wells should approximate the size and capacity of
anticipated dewatering wells. Facilities should be
preserved and made available to prospective contractors
for their testing or use, if appropriate.

If the contractor is responsible for the dewatering design,

all field design data should be included in the
construction specifications. Data include details of
drilling and completion of exploratory drill holes, wells,
piezometers, and other installations as well as test data.
Data should be as concise as possible and clearly show the
history, sequence, and location of all exploration. Design
data for water control facilities should be obtained con-
currently with feature design data if possible. Specialists
should be consulted when preparing design data
programs, especially programs for foundation drilling and
aquifer testing. Water control data are an essential part
of the design data package and must be given the
required priority in funds, time, and personnel to
minimize problems such as construction delays and
claims. Where dewatering may have impacts on existing
adjacent structures, wells, facilities, or water resources,
a study of the area surrounding the site may be necessary
to determine and document impacts. In addition to data
involving the constructed feature such as a structure

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layout, excavation depth, and time to construct, other

information is required on site conditions such as:

Surface Data

• Site and surrounding topography at an appropriate

scale and contour interval

• Cultural features on and off site

• Site and surrounding surface geology with descrip-

tions of materials

• Site and adjacent surface water features such as

lakes, streams, swamps, bogs, and marshes

• Plan map of all data points, including locations of

drill holes, test holes, piezometers, observation wells,
test wells, and overlays on the plan of the proposed
feature

Surface information should include data on soil erosion or

resistance or how erosion relates to runoff or the potential
recharge of the groundwater system. Soil infiltration data
from Natural Resource Conservation Service mapping
should be included if available.

Subsurface Data

Subsurface data should include representative

permeabilities, a real distribution of permeabilities, lo-
cation and potential recharge sources or barriers, and
anticipated seasonal changes in the groundwater system.
When a project has a relatively high soil or rock
permeability and the permeable formation extends
laterally over a large area, storage (storativity, effective

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porosity) of the aquifer requires evaluation. Specific data

that may be necessary include:

• General geology of the site and surrounding area

including geologic cross sections that show vertical
and lateral variations in materials

• Logs of drill holes, test holes, and piezometers

showing depths and thicknesses of materials,
descriptions of materials, and results of testing

• Results of material sampling including depths,

descriptions, mechanical analyses, and hydrometer
analyses

• Geophysical logs

• Aquifer or permeability test results including yields

and drawdown with time and static water levels

• Layout of test holes and depths and designs of wells

and piezometers

• Water quality analyses

Other Data

• Climatic data for the nearest station including daily

temperature and precipitation and details on the
occurrence of severe storms

• Streamflow and elevation, lake or reservoir depth,

elevation, and other similar data

• Groundwater levels for monitored observation wells,

piezometers, test wells, drill holes, and pits

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• If a nearby surface water body and the groundwater

are connected, continuous monitoring of both features
for a typical hydrologic cycle

Presentation of Data

The presentation of dewatering data may differ from the

presentation of conventional geologic data because water
control data are subject to a variety of quantitative
interpretations and because water levels, flow, and water
quality vary with time.

Because of the potential for different interpretations, most

dewatering data such as those from aquifer tests and
packer tests are presented as observed field data and as
interpretations. A complete description of the site,
subsurface conditions, and test facilities should be given
along with the data (figures 20-2 and 20-3).

Where time related data are presented, the information

should be in a form that will ensure maximum recognition
and proper interpretation. Hydrographs that plot time
versus water levels mean a lot more than a table of
readings.

Monitoring

Water control activities must be monitored during

construction and, in some cases, up to a year or more
before and following completion of the facility. Details of
the monitoring program including design and layout of
the system, the responsibilities for installing the system,
and monitoring and maintaining records must be included
in the specifications and construction considerations to
ensure adequate reliable data and inform construction
personnel of monitoring requirements.

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Figure 20-3.—Aquifer test data.
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(KIWTG #SWKHGTVGUVRNCP CPFUGEVKQPU

 WATER CONTROL

Monitoring is intended to:

• Provide data on base level conditions

• Confirm that the specifications requirements are
being met
• Maintain a general data base on conditions and
impacts resulting from the dewatering
• Alert personnel to unsuitable, hazardous, or poten-
tially hazardous conditions
• Document conditions in the event of claims or
litigation
• Provide background data for a followup analysis in
the event of a slope, foundation, or structural failure

Monitoring of water control parameters, activities, and

features should include:

• Groundwater levels
• Discharges
• Sediment content of discharges
• Chemical and biologic quality of water discharged
• Horizontal and vertical control on constructed
features and natural and excavated slopes
• Levels and sizes of nearby surface water bodies
• Stability of nearby structures

The monitoring facilities may range from a few

observation wells to a complex system involving sophisti-
cated equipment and continuous and possibly remote
monitoring. The extent, complexity, and capability of
water control facilities depend on the size and complexity

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of the facilities and the hydrologic and geologic conditions

and excavation depths.

Groundwater Monitoring

Monitoring during construction should include ground-

water levels in excavations, areas surrounding the
excavations, and off-site locations. Excavations of any
substantial width (other than trenches) and a depth of
more than a few feet below the anticipated water level
may need groundwater monitoring instrumentation in-
stalled directly in the excavation. Excavations underlain
at shallow depths by artesian conditions may need to be
monitored because of the potential for blowout.

Groundwater Monitoring Locations

Groundwater monitoring instrumentation located within

an excavation may interfere with the contractor during
construction, but monitoring groundwater levels within
an excavation generally justifies inconveniences. Because
the most difficult area to dewater is usually the center of
the excavation, groundwater monitoring instruments
should be located near the center. Special provisions may
be necessary to ensure continued groundwater monitoring
of the facilities during all stages of the excavation. In
some cases, groundwater monitoring instrumentation
may be incorporated into the structure. This may require
that the monitoring instrument be embedded in concrete
such as a wall or pier to permit continuous monitoring
and simplify backfill operations.

Water level monitoring instrumentation should be located

in areas surrounding the excavation to monitor represen-
tative areas and specific problem areas. Groundwater
levels in off-site locations should be monitored to
maintain a general record of conditions and to document

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dewatering. Off-site monitoring is especially important in

areas where groundwater is widely used, where
groundwater levels are crucial to existing activities, or
where there might be subsidence or groundwater level
decline.

Locations of individual water level monitoring instru-

ments must be based on conditions encountered at the
site, construction activities, and the dewatering facilities.
Monitoring instrumentation locations generally will have
to be selected after other features such as dewatering sys-
tems and roads have been located to avoid conflicts and to
ensure representative and reliable monitoring. Instru-
mentation should be installed and functioning long before
construction to obtain trends and base level conditions.
Existing instrumentation may be used for monitoring; but
unless the instrumentation construction and other details
are known, instrumentation designed specifically for the
conditions of the site should be installed as a part of
construction.

Groundwater Monitoring Instrumentation

Instrumentation for monitoring groundwater levels usu-

ally consists of several observation wells or piezometers.
The type of instrumentation, depth, and riser and hole
diameter depends primarily on subsurface conditions,
desired operating life, and type of monitoring. The design
of the instrumentation should be tailored to the
subsurface and data requirements so that measurements
are a true indication of in place conditions.

Observation wells intended to monitor general ground-

water levels can be used in areas where the foundation
material is relatively uniform in depth, there is little or no
layering, and groundwater levels do not vary appreciably

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with depth. Piezometers should be used where layering

exists or perching, artesian, or complex conditions are
expected.

Observation wells and piezometers usually consist of a

section of well screen, perforated pipe, or porous tube
isolated in the zone to be monitored and connected to a
length of standpipe, riser, or casing extending to the
surface. The section of well screen, perforations, or porous
tube must be isolated with a watertight grout or bentonite
seal, and a watertight riser must be used. The diameter
of the screen and standpipe should conform to ASTM
D-5092. Water levels are measured directly in the well or
piezometer by use of tape or electric sounder (M-scope).
Float-type recorders can be used to continuously record
water level fluctuations but may require a minimum 4- to
6-inch (10- to 15-cm) diameter casing or standpipe. A
wide range of electronic and pneumatic instruments is
available for monitoring and recording groundwater
levels.

Special types of monitoring wells or piezometers may be

necessary if hazardous materials are present.

Monitoring Discharges From Dewatering Systems

The discharge from dewatering facilities such as wells,

well point systems, drains, and sump pumps should be
monitored to provide a record of the dewatering quan-
tities. Data should include starting and stopping times,
instantaneous rates of discharge, changes in rates,
combined daily volumes, and, in some cases, water
chemistry, turbidity, and biologic content.

Discharge rates can be monitored by flow meters

(propeller, pitot tube, and acoustic), free discharge

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orifices, weirs, flumes, and volumetric (tank-stopwatch)

methods. Meters must be calibrated using a volumetric
test before flow testing. Measuring devices generally
must be accurate within 10 percent.

Sediment content of dewatering facilities including wells,

well point systems, and drains should be monitored.
Sediment can damage pumping equipment, cause deteri-
oration of water quality in a receiving water body, and
create voids in the foundation that result in well collapse
and foundation settlement.

Sediment content usually is measured in parts per million

by volume of water or in nephelometric turbidity units
(NTU) in water taken directly from the discharge.
Measurement requires special equipment. If the limits
are 50 parts per million or less, a special centrifugal
measuring device is required. If the limits are more than
50 parts per million, an Imhoff cone can be used. A tur-
bidity meter typically measures values less than
2,000 NTUs. Values less than 200 NTUs are generally
acceptable for discharge. If sediment yield increases
rapidly, the facility may need to be shut down to avoid
serious damage or contamination.

The chemical and biologic content of water discharged

from dewatering systems should be monitored by periodic
collection and analysis of samples taken directly from the
system discharge. A single representative sample is ade-
quate if there are a number of discharges from the same
source. If there is pumping from different sources,
multiple samples may be needed. The initial samples
should be taken shortly after startup of the dewatering
system (or during any test pumping done during
exploration) and periodically during operation. Each
sample may need biologic and chemical analyses for
heavy metals, organics, and pesticides. More frequent

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sampling and analyses may be made to determine total

dissolved solids, conductivity, pH, and sediment content
or turbidity.

Monitoring Water and Ground Surfaces and

Structures

Well or Piezometer Design.—Most groundwater moni-

toring for water control investigations is to collect water
level information, but some monitoring is to obtain water
quality information. All monitoring wells should be
constructed according to ASTM D-5092 and constructed
for site conditions and purposes. Geologic conditions,
available drilling equipment, depth to water, and the
frequency of the readings should be factored into the
design of a monitoring well. If a monitoring well requires
daily or weekly readings, the well may require
installation of an automated water level monitoring
system. The type and diameter of riser should be based
on the intended use of the monitoring well. If monitoring
is to continue into construction, protecting the well should
be part of the design. Too often, a piezometer or
observation well is constructed without any serious
attempt to design the well. Typically, monitoring wells
are constructed using 1-inch (2.5-cm) diameter PVC risers
with a screen slot size of 0.010 inch (0.25 mm) or with or
without a 10/20 sand pack. This “low permeability”
monitoring well design is appropriate if the well is
monitored only for water levels and the adjacent sources
of recharge due to precipitation, dewatering, unwatering
activities, or other water bodies is not changing rapidly.

All monitoring wells should be completed using the

appropriate seals, risers, and openings to allow the water
level in the riser or piezometer to respond to the formation
rather than to the water within the riser, the screen, or
the sand pack. Improper or inadequate removal of

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cuttings and drill fluids, or too fine a slot or sand pack,

can delay the response of groundwater within a riser. Too
large openings can result in clogging of the monitoring
well and impact the chemistry of the groundwater. A
water quality monitoring well in soils or decomposed to
intensely weathered bedrock should have a minimum of
2-inch (5-cm) risers with an annular space of at least
2 inches (5 cm). All wells with screen or slots should be
developed, especially if the well is being used to obtain
water quality samples. Clays and humic materials of
colloidal sizes can skew water quality tests.

Ground Surface Monitoring.—The ground surface and

other pertinent points should be monitored for settlement
during dewatering activities. Use standard surveying
methods (at least third order) and temporary benchmarks
or other facilities to maintain survey control. Horizontal
control is necessary in large or deep excavations that may
be susceptible to slope failure. Special instrumentation
with alarm warning capability may be necessary if ground
failure might endanger life or property.

Water Surface Monitoring.—Nearby surface water

bodies, swamps, drains, and other similar features should
be monitored, if appropriate, for elevation and discharge
changes and environmental changes.

Structural Monitoring.—Nearby structures that may

be influenced by settlement or horizontal displacement
caused by groundwater withdrawal should be monitored.
Both horizontal and vertical measurements should be
acquired to detect movement.

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Performance Evaluation During Construction

The performance of the water control facilities should be

evaluated and documented periodically during construc-
tion. This will ensure that the specifications are being
met and that unusual or unexpected conditions are
properly accommodated. Charts and diagrams such as
hydrographs or plots of well or system discharge rates
should be prepared at the start of dewatering operations
and updated throughout the construction period. An
evaluation, along with tables and graphs, should be
included in monthly reports to provide essential data for
final reports. The evaluation should be coordinated with
the design staff to ensure complete understanding of
conditions.

Final Reporting

The final construction report should include a section on

water control. This section should include a chronology of
dewatering and an evaluation of the performance of the
facilities as well as contractor compliance with the
specifications. Problem areas and unusual events such as
pump or slope failures should be documented. Mon-
itoring results, including groundwater levels and
discharge rates, should be presented in the form of
hydrographs and other similar plots or tabulated data.

Bibliography

Bureau of Reclamation, U.S. Department of the Interior,

Ground Water Manual, 2nd Edition, 1995.

Cedergren, Harry R., Seepage, Drainage and Flow Nets,

John Wiley and Sons, Inc., New York, New York, 1967.

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Driscoll, Fletcher, G., Ground Water and Wells, Johnson

Division, St. Paul, Minnesota, 1986.

Joint AEG-ASCE Symposium, Practical Construction

Dewatering, Baltimore, Maryland, May 16, 1975.

Leonards, G.A., Editor, Foundation Engineering,

McGraw-Hill Book Co., Inc., New York, New York, 1962.

Powers, J. Patrick, Construction Dewatering, John Wiley

and Sons, New York, New York, 1981.

U.S. Departments of the Army, the Navy, and the Air

Force, Dewatering and Groundwater Control for Deep
Excavations, TM5-818-5, NAVFAC P-418, AFM 88-5,
Chapter 6, April 1971.

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 Chapter 21

FOUNDATION PREPARATION,
TREATMENT, AND CLEANUP

This chapter discusses foundation preparation for and the

placement of the first several layers of earthfill and
concrete. Preparation includes excavating overburden;
shaping the foundation surface with dental concrete;
filling surface irregularities with slush grout (usually a
cement/water mixture poured in cracks) or dental concrete
(conventional concrete used to shape surfaces, fill
irregularities, and protect poor rock); treating faults,
shears, or weak zones; and cleanup.

Earthfill Dams

Shaping

Shape the foundation to ensure proper compaction of fill

and to prevent stress anomalies in the overlying
embankment. Fractures and resultant seepage problems
in embankment dams may be caused by irregularities in
the foundation such as stepped surfaces, abrupt changes
in slope, and excessively steep surfaces. Embankment
zones may differentially settle adjacent to these areas,
resulting in cracks. Arching occurs near stepped surfaces
resulting in a zone of low horizontal stress adjacent to the
steep surface. Preventing arching is more important in
the upper 1/6 to 1/4 of a dam or in low dams where
stresses are low and tension zones develop along steep or
diverging abutments. Tension zones or areas of low
stresses are susceptible to hydraulic fracturing. The
foundation surface should be shaped by excavating or by
using concrete to obtain a smooth, continuous surface that
minimizes crack potential. When an inclined core is used
in a rockfill dam, the core derives support from the

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underlying filter and transition material. The zone

beneath the filter and transition should be shaped using
core contact criteria.

Foundation outside the core contact must be shaped to

facilitate fill placement and compaction, and unsuitable
weak or compressible materials must be removed.
Impervious materials beneath drainage features which
would prevent drainage features from properly
functioning must also be removed. Materials may move
into the foundation, and erodible foundation materials
may move into the embankment. Appropriately graded
filters between the drainage materials and foundation
may be necessary.

The minimum treatment of any foundation consists of

stripping or removing organic material such as roots and
stumps, sod, topsoil, wood, trash, and other unsuitable
materials. Cobbles and boulders may also require
removal depending on the type of embankment material
to be placed.

The weak points in earthfill dams are generally within

the foundation and especially at the contact of the
foundation with the embankment. Foundation seepage
control and stability features must be carefully supervised
by the inspection force during construction to ensure
conformance with the design, specifications, and good
practice. Water control methods used in connection with
excavating cutoff trenches or stabilizing the foundations
should ensure that fine material is not washed out of the
foundation because of improper screening of wells and
that the water level is far enough below the foundation
surface to permit construction “in the dry.” Whenever
possible, locate well points and sumps outside the area to
be excavated to avoid loosening soil or creating a "quick"
bottom caused by the upward flow of water or equipment

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vibration. Avoid locating sumps and associated drainage

trenches within the impervious zone because of the
difficulty in properly grouting them after fill placement
and the danger of damaging the impervious
zone/foundation contact.

Found cutoff walls or concrete grout caps in the best rock

available. Prohibit or strictly control blasting for the
excavation of these structures to avoid damaging the
foundation. If the material cannot be excavated with a
hydraulic excavator fitted with a rock bucket, a grout cap
or cutoff wall is probably not needed and grout nipples
can be set directly in the foundation. A highly weathered
zone can be grouted effectively by:

• Leaving the foundation high.

• Setting grout nipples through the unsuitable

material. Long grout nipples may be necessary in
poor rock.

• Excavating to final foundation grade after

grouting.

In hard, sound rock, neither a grout cap nor a high foun-

dation is necessary.

When overburden is stripped to rock, carefully clean the

rock surface and all pockets or depressions of soil and rock
fragments before the embankment is placed. This may
require compressed air or water cleaning and handwork.
Rock surfaces that slake or disintegrate rapidly on
exposure must be protected or covered immediately with
embankment material or concrete. Foundation rock
should be shaped to remove overhangs and steep surfaces
(figure 21-1). High rock surfaces must be stable during
construction and should be cut back to maintain a

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Figure 21-1.—Example foundation treatment

details from specifications.

smooth, continuous profile to minimize differential

settlement and stress concentrations within the
embankment. Final slopes should be 0.5:1 (horizontal to
vertical [H:V]) or flatter. Beneath the impervious zone,
all overhangs should be removed; stepped surfaces steeper
than 0.5:1 and higher than 0.5 foot (15 cm) should be
excavated or treated with dental concrete to a slope of
0.5:1 or flatter. Outside the impervious zone, all
overhangs should be removed, and stepped surfaces
steeper than 0.5:1 and higher than 5 ft (1.5 m) (should be
excavated or treated with dental concrete to a slope of
0.5:1 or flatter.

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Slush grout or joint mortar should be used to fill narrow

cracks in the foundation (figure 21-1). However, they
should not be used to cover exposed areas of the
foundation. Slush grout and joint mortar are composed of
Portland cement and water or, in some cases, Portland
cement, sand, and water. The slush grout is preferably
used just before fill placement to eliminate any tendency
for hardened grout to crack under load. Dental concrete
should be used to fill potholes and grooves created by
bedding planes and other irregularities such as previously
cleaned shear zones and large joints or channels in rock
surfaces. Formed dental concrete can be used to fillet
steep slopes and fill overhangs.

Care should be used during all blasting to excavate or to

shape rock surfaces. Controlled blasting techniques, such
as line drilling and smooth blasting, should be used.

Soil Foundations

When the foundation is soil, all organic or other

unsuitable materials, such as stumps, brush, sod, and
large roots, should be stripped and wasted. Stripping
should be performed carefully to ensure the removal of all
material that may be unstable because of saturation,
shaking, or decomposition; all material that may interfere
with the creation of a proper bond between the foundation
and the embankment; and all pockets of soil significantly
more compressible than the average foundation material.
Stripping of pervious materials under the pervious or
semipervious zones of an embankment should be limited
to the removal of surface debris and roots unless material
removal is required for seismic stability. Test pits should
be excavated if the stripping operations indicate the pres-
ence of unstable or otherwise unsuitable material.

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Before placing the first embankment layer (lift) on an

earth foundation, moistening and compacting the surface
by rolling with a tamping roller is necessary to obtain
proper bond. An earth foundation surface sometimes
requires scarification by disks or harrows to ensure proper
bonding. No additional scarification is usually necessary
if the material is penetrated by tamping rollers.

All irregularities, ruts, and washouts should be removed

to provide a satisfactory foundation. Cut slopes should be
flat enough to prevent sloughing, and not steeper than
1:1. Material that has been loosened to a depth of less
than 6 in (15 cm) may be treated by compaction.
Loosened material deeper than 6 in (15 cm) cannot be
adequately compacted and should be removed.

Foundation materials at the core/foundation contact must

be compacted to a density compatible with the overlying
fill material. A fine-grained foundation should be com-
pacted and disked to obtain good mixing and bond
between the foundation and the first lift of core material.

Fine-grained foundations should be compacted with a

roller. If the foundation is too firm for the tamping feet to
penetrate, the foundation surface should be disked to a
depth of 6 in and moistened before compaction. Smooth
surfaces created by construction traffic on a previously
compacted foundation surface should be disked to a depth
of 2 in (5 cm).

Coarse-grained foundations should be compacted by

rubber-tired or vibratory rollers. Vibratory compactors
create a more uniform surface for placement of the first
earthfill and are the preferred method of compaction.

Cemented and highly overconsolidated soils that break

into hard chunks should not be reworked or disked to mix

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foundation and core material. The first lift of

embankment material should be placed in a manner
similar to that required for rock foundations as described
above.

Soil foundation compaction requirements beneath filter

and shell zones should be the same as those outlined
above, except bonding the foundation to the overlying fill
is not required.

The moisture content of the upper 6 in (15 cm) of a fine-

grained soil foundation should be within 2 percent dry
and 1 percent wet of the Proctor optimum moisture
content for adequate compaction. Coarse-grained
foundation materials should be just wet enough to permit
compaction to the specified relative density, but
saturation is not permitted. Dry materials must be
disked and moistened to provide a homogeneous moisture
content within the specified limits in the upper 6 in
(15 cm) of the foundation. Wet materials must be dried by
disking to bring the upper 6 in of foundation materia1
within the specified moisture content limits. Wet
foundations should be unwatered or dewatered
sufficiently to prevent saturation of the upper 6 in (15 cm)
of foundation material due to capillary rise or pumping
caused by construction equipment travel.

All embankment materials should be protected from

eroding into coarser soil zones in the foundation by
transitions satisfying filter criteria or by select zones of
highly plastic, nonerodible material. Transition zones or
filters on the downstream face of the cutoff trench and
beneath the downstream zones should prevent movement
of fine material in the foundation into the embankment.
Dispersive embankment materials must be protected from
piping into coarse material in the foundation by placing
select zones of nondispersive material between the

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embankment and foundation. Lime-treated or naturally

nondispersive earthfill is appropriate for the first several
lifts of fill material or filters. Except for areas where an
impervious seal between the embankment and foundation
is required, filter zone(s) are the preferred method.

Rock Foundations

Rock foundation surfaces should be moistened, but no

standing water should be permitted when the first lift is
placed. The use of very wet soil for the first lift against
the foundation should generally be avoided, but having
the soil slightly wet of optimum moisture content is
better. Any material more plastic than what is typically
available for embankment construction is commonly used
on the first few lifts. The foundation should be properly
moistened to prevent drying of the soil. On steep,
irregular rock abutments, material slightly wetter than
optimum may be necessary to obtain good workability and
a suitable bond. Be careful when special compaction is
used to ensure that suitable bonds are created between
successive layers of material. This usually requires light
scarification between lifts of compacted material. Where
a rock foundation would be damaged by penetration of the
tamping roller feet, the first compacted lift can be thicker
than that specified. The first lift thickness should never
exceed 15 in (40 cm) loose for 9-in-long (23-cm) tamper
feet, and additional roller passes are probably required to
ensure proper compaction. Special compaction methods,
such as hand tamping, should be used in pockets that
cannot be compacted by roller instead of permitting an
unusually thick initial lift to obtain a uniform surface for
compaction. Irregular rock surfaces may prevent proper
compaction by rollers, and hand compaction may be
necessary. However, where foundation surfaces permit,
a pneumatic-tire roller or pneumatic-tire equipment
should be used near foundation contact surfaces. An

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alternative to using thick lifts is using a pneumatic-tire

roller or loader with a full bucket and disking or
scarifying the lift surfaces to obtain a bond between lifts.
The tamping roller can be used when the fill is sufficiently
thick and regular to protect the foundation from the
tamping feet. Unit weight and moisture should be
carefully monitored in the foundation contact zone, and
placing and compacting operations should be carefully
inspected.

On steep surfaces, ramping the fill aids compaction; about

a 6:1 slope should be used for ramping the fill. The
surfaces of structures should be sloped (battered) at about
1:10 to facilitate compaction.

The basic objectives of foundation surface treatment

within the impervious core are:

• Obtain a good bond between the impervious core

materials and the foundation. The foundation
surface must be shaped by excavation or concrete
placement to provide a surface suitable for
earthfill compaction. Compaction techniques used
for initial earthfill placement should result in
adequately compacted embankment material in
intimate contact with and tightly bonded to the
foundation without damaging the foundation
during placement of the first lifts. A plastic
material is preferred next to the foundation, and
special requirements on the plasticity, gradation,
and moisture content are commonly specified.

• Defend against erosion of embankment materials

into the foundation by filling or covering surface
cracks in the foundation, using blanket grouting,
protective filters, and nonerodible embankment

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materials (natural or manufactured) at the

foundation contact.

• Remove erodible, weak, unstable, compressible,

loose, or pervious materials to ensure a
foundation of adequate strength and appropriate
permeability. When in doubt, take it out. In rock
foundations, defects such as faults, fractures,
erosion channels, or solution cavities or channels
sometimes cannot be completely removed.
Material defects in the rock mass include fault
gouge, rock fragments, soft or pervious soil, or
solutioned rock. These materials require removal
to an adequate depth and replacement with slush
grout, dental concrete, or specially compacted
earthfill.

How the exposed rock surface is treated after removal of

unsuitable overlying materials depends on the type of
rock and the irregularities present. Construction activ-
ities such as using tracked equipment on soft rock
surfaces, using rippers near foundation grade, or nearby
blasting may loosen rock or open joints in originally
satisfactory rock. This type of damage should and can be
avoided to limit excavation and cleanup. The
configuration of exposed rock surfaces is controlled largely
by bedding, joints, other discontinuities, and excavation
methods. Depending on discontinuity orientations, these
features can result in vertical surfaces, benches,
overhangs, or sawteeth. Features such as potholes,
buried river channels, solution cavities, and shear zones
can create additional irregularities requiring treatment.
Unsuitable material must be removed from the
irregularities, and the foundation surface must be shaped
to provide a sufficiently regular surface that earthfill can
be placed without differential settlement. If the
irregularities are small enough and discontinuous both

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horizontally and vertically, overexcavation can be

appropriate. Generally, the foundation surface can be
shaped adequately by conventional excavation or smooth
blasting. When smoothing of irregularities requires
excessively large quantities of excavation or requires
blasting that may damage the foundation, shaping with
dental concrete may be appropriate.

High rock surfaces must be stable during construction

and must be laid back to maintain a smooth, continuous
profile to minimize differential settlement and stress
concentrations. Slopes should be 0.5:1 (H:V) or flatter,
depending on the fill material.

Remove overhangs. Stepped surfaces that are steeper

than 0.5:1 and higher than 1 foot (30 cm) should be
excavated or treated with dental concrete to a resultant
slope of 0.5:1 or flatter, depending on the fill material
(figure 21-1). In the lower portions of a high dam, this
requirement may be relaxed. For example, a vertical
surface less than 20 ft (6.1 m) long and 5 ft (1.5 m) high
might be tolerated if the surface is well within the
impervious zone.

Remove all overhangs under the outer zones of earthfill

dams and under transitions and filters of rockfill dams.
Stepped surfaces that are steeper than 0.5:1 and higher
than 5 ft (1.5 m) should be flattened or treated with
dental concrete to a slope of 0.5:1 or flatter. Beneath the
outer rockfill zones of rockfill dams, nearly vertical
abutment contact slopes have been permitted in high,
steep-walled canyons. Overhangs should be trimmed or
the undercut below the overhang filled with concrete.

If shaping requires blasting, proper blasting procedures

are essential to ensure that the permeability and strength
of the rock is not adversely affected and that the rock can

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stand on the slopes and handle the imposed loads.

Existing fractures and joints in a rock mass, as well as
poor blasting, often result in unacceptable excavated
surfaces. Prior competent review, approval, and enforce-
ment of the Contractor’s blasting plan, control of blasting
details, requirements for acceptabi1ity of the excavated
surface, and control of vibration levels can help obtain the
desired excavation surface.

All loose or objectionable material should be removed by

handwork, barring, picking, brooming, water jetting, or
air jetting. Remove accumulated water from cleaning
operations. When the rock surface softens or slakes by
water washing, compressed-air jetting or jetting with a
small amount of water added to the air should be used.
Loose or unsuitable material in cavities, shear zones,
cracks, or seams should be treated as follows (figure 21-1):

• Openings narrower than 2 in (5 cm) should be

cleaned to a depth of three times the width of the
opening and treated.

• Openings wider than 2 in (5 cm) and narrower

than 5 ft (1.5 m) should be cleaned to a depth of
three times the width of the opening or to a depth
where the opening is 0.5 in (12mm) wide or less,
but not to a depth exceeding 5 ft (5 cm) and
treated.

• Openings wider than 5 ft (1.5 m) are a special case

where the required depth of cleaning and
treatment is determined in the field.

Special cleanup procedures are required for foundation

materials that deteriorate when exposed to air or water
(slake). The foundation must be kept moist if deteriora-
tion is caused by exposure to air and kept dry if

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deterioration is caused by exposure to water. Spray

coating with material (similar to concrete curing
compound) designed to reduce slaking may (but probably
will not) be effective. Cleanup and placing a lean concrete
“mud slab” approximately 4 in (15 cm) thick may be
effective. Usually, removing the last few inches of
material and doing final cleanup just before first
placement of fill is the best approach. A maximum time
interval may also be specified between the time of
exposure of the final grade and the time that the
foundation is protected with earthfill or a suitable
protective coating.

Cleanup outside the core is normally less critical. Loose

material should be removed so that the embankment is in
direct contact with suitable rock. If defects are contained
within the foundation area, they may not require cleaning
and refill. If a defect crosses the entire foundation area,
it may require cleaning similar to the foundation beneath
the core.

Dental concrete is used to fill or shape holes, grooves,

extensive areas of vertical surfaces, and sawteeth created
by bedding planes, joints, and other irregularities such as
previously cleaned out solution features, shear zones,
large joints, or buried channels. Formed dental concrete
can be used to fillet steep slopes and fill overhangs.
Placing a concrete mat over a zone of closely spaced
irregularities is appropriate in local areas that are not
large in relation to the core dimensions. Dental concrete
shaping can be used instead of excavation by blasting or
when excessive amounts of excavation would otherwise be
required.

Slabs of dental concrete should have a minimum

thickness of 6 in (15 cm) if the foundation is weak enough
to allow cracking of the concrete under load (figure 21-1).

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Thin areas of dental concrete over rock projections on a

jagged rock surface are likely places for concrete cracking
and should be avoided by using a sufficient thickness of
dental concrete or by avoiding continuous slabs of concrete
over areas containing numerous irregularities on weak
foundations. Feathering at the end of concrete slabs on
weak foundations should not be permitted, and the edges
of slabs should be sloped no flatter than 45 degrees.
Formed dental concrete should not be placed on slopes
greater than 0.5:1 (H:V). When dental concrete fillets are
placed against vertical or nearly vertical surfaces in weak
rock, feathering should not be permitted, and a beveled
surface with a minimum thickness of 6 in (15 cm) is
required at the top of the fillet.

Concrete mix proportions should provide a 28-day

strength of 3,000 pounds per square inch (21 MPa). The
maximum aggregate size should be less than one-third
the depth of slabs or one-fifth the narrowest dimension
between the side of a form and the rock surface. Cement
type will depend on the concentration of sulfates in the
foundation materials and groundwater. Low-alkali
cement is required for alkali-reactive aggregates. Cement
type should be the same as used in structural concrete on
the job. Aggregate and water quality should be equal to
that required in structural concrete.

The rock surface should be thoroughly cleaned, as

described below, and moistened before concrete placement
to obtain a good bond between the concrete and the rock
surface. When overhangs are filled with dental concrete,
the concrete must be well bonded to the upper surface of
the overhang. The overhang should be shaped to allow air
to escape during concrete placement to prevent air pockets
between the concrete and the upper surface of the
overhang. The concrete must be formed and placed so
that the head of the concrete is higher than the upper

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surface of the overhang. If this is impractical, grout pipes

should be installed in the dental concrete for later filling
of the air voids. If grouting through dental concrete is
done, pressures should be closely controlled to prevent
jacking the concrete or fracturing the fill.

Finished horizontal dental concrete slabs should have a

roughened, broomed finish for satisfactory bonding of fill
to concrete. Dental concrete should be cured by water or
an approved curing compound for 7 days or covered by
earthfill. Earthfill placement may not be permitted over
dental concrete for a minimum of 72 hours or more after
concrete placement to allow concrete time to develop
sufficient strength to withstand stress caused by placing
earthfill. Inadequate curing may result in the concrete
cracking.

Slush grout is a neat cement grout or a sand-cement

slurry that is applied to cracks in the foundation. Cracks
or joints are filled with grout rather than spreading grout
on the surface (figure 21-1). Slush grout should be used
to fill narrow surface cracks and not used to cover areas
of the foundation. Slush grout may consist of cement and
water, or sand, cement, and water. To ensure adequate
penetration of the crack, the maximum particle size in the
slush grout mixture should be no greater than one-third
the crack width. Generally, neat cement grout is used.
The consistency of the slush grout mix may vary from a
very thin mix to mortar as required to penetrate the
crack. The grout preferably should be mixed with a
mechanical or centrifugal mixer, and the grout should be
used within 30 minutes after mixing.

The type of cement required will depend on the

concentration of sulfates in the foundation materials and
groundwater. Low-alkali cement is required for alkali
sensitive aggregates. Cement type should be that

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specified for structural concrete. Sand and water quality

should be equal to that required for structural concrete.

Clean out cracks as described above. All cracks should be

wetted before placing slush grout. Slush grout may be
applied by brooming over surfaces containing closely
spaced cracks or by troweling, pouring, rodding, or
funneling into individual cracks. Slush grout is best
applied just before material placement so cracking will
not occur during compaction.

Shotcrete is concrete or mortar that is sprayed in place.

The quality of the shotcrete depends on the skill and
experience of the crew, particularly regarding the amount
of rebound, thickness, feather edges, and ensuring
adequate thickness over protrusions on irregular surfaces.
Untreated areas can be inadvertently covered because of
the ease and rapidity of placement. Shotcrete should be
used beneath impervious zones only when site conditions
preclude using dental concrete. If shotcrete is used, close
inspection and caution are necessary. Shotcrete is an
acceptable alternative to dental concrete outside the core
contact area.

The fill compaction method used depends on the steepness

of the surface, the nature of the irregularities in the
foundation surface, and the soil material.

A hand tamper may be used to compact earthfill in or

against irregular surfaces on abutments, in potholes and
depressions, and against structures not accessible to
heavy compaction equipment. Hand-tamped, specially
compacted earthfill is typically placed in 4-in (10-cm)
maximum compacted lifts with scarification between lifts.

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Site-specific conditions determine whether hand-

compacted earthfill or filling with dental concrete is the
best solution.

The feet of the roller must not penetrate the first layer of
earthfill and damage the foundation. Penetration can be
prevented by using a rubber-tired roller or loader to
compact the first few lifts above the foundation surface
with scarification between lifts. Earthfill specially
compacted by pneumatic-tired equipment is typically
placed in 6-in (15-cm) maximum compacted lifts.
Placement of horizontal lifts against mildly sloping rock
surfaces can result in feathering of the earthfill lift near
the rock contact. Placement of the initial lift parallel to
the foundation surface (as opposed to a horizontal lift) for
foundation surfaces flatter than 10:1 (H:V) is acceptable
if the compactor climbing up the slope does not loosen or
disturb the previously compacted earthfill.

Core material compacted against steep surfaces is

typically placed in 6-in (15-cm) compacted lifts with
scarification between lifts. Earthfill 8 to 10 ft (2.4 to 3 m)
from a steep surface should be ramped toward the steep
surface at a slope of 6:1 to 10:1 so that a component of the
compactive force acts toward the steep surface.

Earthfill placed against irregular surfaces should be

plastic and deformable so that the material is forced
(squished) into all irregularities on the foundation surface
by compaction or subsequent loading. The first layer soil
moisture contents should range from 0 to 2 percent wet of
optimum. Select material with a required plasticity range
is commonly specified. A soil plasticity index ranging
from 16 to 30 is preferred although not absolutely
necessary.

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Core materials that are erodible include low plasticity or

nonplastic, silty materials and dispersive clays.
Preventing erosion of embankment materials into the
foundation includes sealing cracks in the foundation with
slush grout and dental concrete and using filter zone(s)
between the fine-grained material and the foundation.
Sealing cracks is not totally reliable because concrete and
mortar can crack due to shrinkage or loading. Using
natural or manufactured nonerodible material for the first
several lifts of embankment at the core-foundation contact
is good practice.

If erosion-resistant plastic materials are available, these

materials should be used for the first several lifts along
the foundation contact to avoid placing erodible nonplastic
materials directly against the rock surface. If plastic
materials are not available, the natural soil can be mixed
with sodium bentonite to produce core material to be
placed against the foundation. Laboratory testing should
establish the amount of sodium bentonite required to give
the soil the characteristics of a lean clay.

If nondispersive material is available, it should be used

instead of dispersive material, at least in critical locations
such as along the core-foundation contact. In deposits
containing dispersive material, the dispersion potential
generally varies greatly over short distances. Selectively
excavating nondispersive material from a deposit
containing dispersive materials is frequently difficult and
unreliable. Lime can be added to dispersive materials to
reduce or convert the soil to a nondispersive material.
The amount of lime required to treat the dispersive soil
should be established by performing dispersivity tests on
samples of soils treated with varying percentages of lime.
Adding lime to a soil results in reduced plasticity and a
more brittle soil. The lime content should be the

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minimum required to treat the soil. Do not treat

material that has naturally low plasticity with lime if it
is not necessary.

Concrete Arch Dams

The entire area to be occupied by the base of a concrete

arch dam should be excavated to material capable of
withstanding the loads imposed by the dam, reservoir,
and appurtenant structures. Blasting operations must
not damage the rock foundation. All excavations should
conform to the lines and dimensions shown on the
construction drawings, where practical, but it may be
necessary to vary dimensions or excavation slopes because
of local conditions.

Foundations containing seams of shale, siltstone, chalk,

or mudstone may require protection against air and water
slaking or, in some environments, against freezing.
Excavations can be protected by leaving a temporary
cover of unexcavated material, by immediately covering
the exposed surfaces with a minimum of 12 in (30 cm) of
concrete, or by any other method that will prevent
damage to the foundation.

Shaping

Although not considered essential, a symmetrical or

nearly symmetrical profile is desirable for an arch dam for
stress distribution. However, asymmetrical canyons
frequently have to be chosen as arch dam sites. The
asymmetry may introduce stress problems, but these can
be overcome by proper design. Abutment pads between
the dam and foundation may be used to overcome some of
the detrimental effects of asymmetry or foundation
irregularities. Thrust blocks are sometimes used at

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asymmetrical sites. The primary use of a thrust block is

not to provide symmetry but to establish an artificial
abutment where a natural one does not exist.
Overexcavation of a site to achieve symmetry is not
recommended. In all cases, the foundation should be
excavated in such a way as to eliminate sharp breaks in
the excavated profile because these may cause stress
concentrations in both the foundation rock and the dam.
The foundation should also be excavated to about radial
or part radial lines.

Dental Treatment

Exploratory drilling or final excavation often uncovers

faults, seams, or shattered or inferior rock extending to
depths that are impracticable to remove. Geologic
discontinuities can affect both the stability and the
deformation modulus of the foundation. In reality, the
foundation modulus need not be known accurately if the
ratio of the foundation modulus Ef to the concrete
modulus Ec of the dam is known to be greater than 1:4.
Canyons with extensive zones of highly deformable
materials and, consequently, Ef /Ec ratios less than 1:4
should still be considered potential arch dam sites. The
deformation modulus of weak zones can be improved by
removing sheared material, gouge, and inferior rock and
replacing the material with backfill concrete.

Analytical methods can provide a way to combine the

physical properties of different rock types and geologic
discontinuities such as faults, shears, and joint sets into
a value representative of the stress and deformation in a
given segment of the foundation. This also permits
substitution of backfill concrete in faults, shears, and
zones of weak rock and evaluates the benefit contributed
by dental treatment.

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Data required for analysis are the dimensions and

composition of the lithologic bodies and geologic
discontinuities, deformation moduli for each of the
elements incorporated into the study, and the loading
pattern imposed by the dam and reservoir.

Dental treatment concrete may also be required to

improve the stability of a rock mass. By using data
related to the shear strength of faults, shears, joints,
intact rock, pore water pressures induced by the reservoir
and/or groundwater, the weight of the rock mass, and the
driving force induced by the dam and reservoir, a safety
factor for a particular rock mass can be calculated.

Frequently, relatively homogeneous rock foundations with

only nominal faulting or shearing do not require the
sophisticated analytical procedures described above. The
following approximate formulas for determining the depth
of dental treatment can be used:

d = 0.002 bH + 5 for H _> 150 ft

d = 0.3b+5 for H<150 ft

where:
H = height of dam above general foundation level in
ft
b = width of weak zone in ft
d = depth of excavation of the weak zone below the
surface of adjoining sound rock in ft. In clay
gouge seams, d should not be less than 0.1 H.

These rules provide an estimate of how much should be

excavated, but final decisions must be made in the field
during actual excavation.

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Protection Against Piping

The methods described in the preceding paragraphs will

satisfy the stress, deformation, and stability requirements
for a foundation, but the methods may not provide
suitable protection against piping. Faults, shears, and
seams may contain pipable material. To protect against
piping, upstream and downstream cutoff shafts may be
necessary in each seam, shear, or fault, and the shafts
backfilled with concrete. The dimension of the shaft
perpendicular to the seam should be equal to the width of
the weak zone plus a minimum of 1 foot on each end to
key the concrete backfill into sound rock. The shaft
dimension parallel to the seam should be at least one-half
the other dimension. In any instance a minimum shaft
dimension of 5 ft (1.6 m) each way should be used to
provide working space. The depth of cutoff shafts may be
computed by constructing flow nets and computing the
cutoff depths required to eliminate piping.

Other adverse foundation conditions may be caused by

horizontally bedded clay and shale seams, caverns, or
springs. Procedures for treating these conditions will
vary and will depend on the characteristics of the
particular condition to be remedied.

Foundation Irregularities

Although analyses and designs assume relatively uniform

foundation and abutment excavations, the final
excavation may vary widely from that which was
assumed. Faults or crush zones are often uncovered
during excavation, and the excavation of the unsound rock
leaves depressions or holes which must be filled with
concrete. Unless this backfill concrete has undergone
most of its volumetric shrinkage at the time overlying
concrete is placed, cracks can occur in the overlying

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concrete near the boundaries of the backfill concrete as

loss of support occurs because of continuing shrinkage of
the backfill concrete. Where dental work is extensive, the
backfill concrete should be placed and cooled before
additional concrete is placed over the area.

Similar conditions exist where the foundation has abrupt

changes in slope. At the break of slope, cracks often
develop because of the differential movement that takes
place between concrete held in place by rock and concrete
held in place by previously placed concrete that has not
undergone its full volumetric shrinkage. A forced cooling
of the concrete adjacent to and below the break in slope
and a delay in placement of concrete over the break in
slope can minimize cracking at these locations. If
economical, the elimination of these points of high stress
concentration is worthwhile. Cracks in lifts near the
abutments very often develop leakage and lead to spalling
and deterioration of the concrete.

Concrete Gravity Dams

The entire base area of a concrete gravity dam should be

excavated to material capable of withstanding the loads
imposed by the dam, reservoir, and appurtenant
structures. Blasting should not shatter, loosen, or
otherwise adversely affect the suitability of the foundation
rock. All excavations should conform to the lines and
dimensions shown on the construction drawings, where
practicable. Dimensions or excavation slopes may vary
because of local conditions.

Foundations such as shale, chalk, mudstone, and siltstone

may require protection against air and water slaking or,
in some environments, against freezing. These excava-
tions can be protected by leaving a temporary cover of

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unexcavated material, by immediately applying a mini-

mum of 12 in (30 cm) of mortar to the exposed surfaces, or
by any other method that will prevent damage to the
foundation.

Shaping

If the canyon profile for a damsite is relatively narrow

and the walls are steeply sloping, each vertical section of
the dam from the center towards the abutments is shorter
in height than the preceding one. Consequently, sections
closer to the abutments will be deflected less by the
reservoir load, and sections toward the center of the
canyon will be deflected more. Since most gravity dams
are keyed at the contraction joints, a torsional effect on
the dam is transmitted to the foundation rock.

A sharp break in the excavated profile of the canyon will

result in an abrupt change in the height of the dam. The
effect of the irregularity of the foundation rock causes a
marked change in stresses in the dam and foundation and
in stability factors. For this reason, the foundation should
be shaped so that a uniform profile without sharp offsets
and breaks is obtained.

Generally, a foundation surface will appear as horizontal

in the transverse (upstream-downstream) direction.
However, where an increased resistance to sliding is
desired, particularly for structures founded on
sedimentary rock foundations, the surface can be sloped
upward from heel to toe of the dam.

Dental Treatment

Faults, seams, or shattered or inferior rock extending to

depths that are impractical to remove require special
treatment by removing the weak material and backfilling

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the resulting excavations with dental concrete. General

rules for how deep transverse seams should be excavated
have been formulated based on actual foundation
conditions and stresses in dams. Approximate formulas
for determining the depth of dental treatment are:

d = 0.002 bH + 5 for H _> 150 ft

d = 0.3 b + 5 for H < 150 ft

where:

H = height of dam above general foundation level in

feet
b = width of weak zone in feet
d = depth of excavation of weak zone below surface of
adjoining sound rock in feet. In clay gouge
seams, d should not be less than 0.1 H.

These rules provide guidance for how much should be

excavated, but actual quantities should be determined in
the field during excavation.

Although the preceding rules are suitable for foundations

with a relatively homogeneous rock foundation and
nominal faulting, some damsites may have several
distinct rock types interspersed with numerous faults and
shears. The effect on the overall strength and stability of
the foundation of rock differences complicated by large
zones of faulting may require extensive analysis. Data
required for analysis include the dimensions and
composition of the rock mass and geologic discontinuities,
deformation moduli for each of the elements incorporated
into the study, and the loading pattern imposed on the
foundation by the dam and reservoir.

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Dental treatment may also be required to improve the

stability of the rock mass. A safety factor for a particular
rock mass can be calculated using data related to the
strength of faults, shear zones, joints, intact rock, pore
water pressures induced by the reservoir and/or
groundwater, the weight of the rock mass, and the driving
forces induced by the dam and reservoir.

Protection Against Piping

The methods discussed above can satisfy the stress,

deformation, and stability requirements for a foundation,
but they may not provide suitable protection against
piping. Faults and seams may contain pipeable material,
and concrete backfilled cutoff shafts may be required in
each fault or seam. The dimension of the shaft
perpendicular to the seam should be equal to the width of
the weak zone plus a minimum of 1 foot (0.3 m) on each
end to key the concrete backfill into sound rock. The shaft
dimension parallel to the seam should be at least one-half
the other dimension. A minimum shaft dimension of 5 ft
(1.6 m) each way should be provided for working space.
The depth of cutoff shafts may be computed by
constructing flow nets and calculating the cutoff depths
required to eliminate piping.

Other adverse foundation conditions may be caused by

horizontally bedded clay and shale seams, caverns, or
springs. Procedures for treating these conditions will
vary and will depend on field studies of the characteristics
of the particular condition to be remedied.

Foundation Irregularities

Although analyses and designs assume relatively uniform

foundation and abutment excavations, the final excava-
tion may vary widely from that which was assumed.

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Faults or crush zones are often uncovered during

excavation, and the excavation of the unsound rock leaves
depressions or holes that must be filled with concrete.
Unless this backfill concrete has undergone most of its
volumetric shrinkage at the time overlying concrete is
placed, cracks can occur in the overlying concrete near the
boundaries of the backfill concrete. Shrinkage of the
backfill concrete results in loss of support. Where dental
work is extensive, the backfill concrete should be placed
and cooled before additional concrete is placed over the
area.

Similar conditions exist where the foundation has abrupt

changes in slope. At the break of slope, cracks often
develop because of the differential movement that takes
place between concrete held in place by rock and concrete
held in place by previously placed concrete that has not
undergone its full volumetric shrinkage. A forced cooling
of the concrete adjacent to and below the break in slope
and a delay in placement of concrete over the break in
slope can be employed to minimize cracking at these
locations. If economical, the elimination of these points of
high stress concentration is worthwhile. Cracks in lifts
near the abutments very often leak and lead to spalling
and deterioration of the concrete.

Cleanup

Proper cleaning and water control on a foundation before

placing fill or concrete allows the structure and soil or
rock contact to perform as designed. Good cleanup allows
the contact area to have the compressive and shear
strength and the permeability anticipated in the design.
Poor cleanup reduces the compressive and shear strength
resulting in a weak zone under the structure and
providing a highly permeable path for seepage.

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Cleaning

Foundation cleanup is labor intensive and costly, so it is

routinely neglected. The result is substandard founda-
tions that do not meet design requirements. Rock founda-
tions should be cleaned by:

• Barring and prying loose all drummy rock

• Using an air/water jet to remove as much loose

material and fluff as possible

• Removing by hand loose material that an

air/water jet misses

Soil foundations should be cleaned by removing material

missed by machine stripping that will not be suitable
foundation after compaction.

Foundations of weak rock or firm soil can be cleaned by

placing a steel plate (butter bar) across the teeth of a
backhoe or hydraulic excavator and “shaving” or “peeling”
objectionable material off the surface, leaving a clean
foundation requiring very little hand cleaning.

Water Removal

Water in small quantities can be removed by vacuuming

(with a shop vac or air-powered venturi pipe) or blotting
with soil and wasting the wet material just before fill
placement. Larger water quantities from seeps can be
isolated in gravel sumps and pumped. Grout pipes should
be installed; the sumps covered with fabric or plastic; fill
placed over the fabric; and after the fill is a few feet above
the sump, the sump should be cement grouted by gravity
pressure. Seeps in concrete foundations can be isolated
and gravel sumps constructed and subsequently grouted

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as described above or if the seeps are not too large, the

concrete can be used to displace the water out of the
foundation during placement.

Bibliography

Abutment and Foundation Treatment for High Embank-

ment Dams on Rock, Journal of the Soil Mechanics and
Foundations Division, Proceedings of the American
Society of Civil Engineers, Vol. 98, No. SM10, pp.1017-
1032, October 1972.

Current Practice in Abutment and Foundation Treatment,

Journal of the Soil Mechanics and Foundations Division,
Proceedings of the American Society of Civil Engineers,
Vol. 98, No. SM10, pp. 1033-1052, October 1972.

Earth and Rockfill Dams, New York, John Wiley and

Sons, Inc., 1963.

Foundations and Abutments - Bennett and Mica Dams,

Journal of the Soil Mechanics and Foundations Division,
Proceedings of the American Society of Civil Engineers,
Vol. 98, No. SM10, pp. 1053-1072, October 1972.

Foundation Practices for Talbingo Dam, Australia,

Journal of the Soil Mechanics and Foundations Division,
Proceedings of the American Society of Civil Engineers,
Vol. 98, No. SM10, pp. 1081-1098, October 1972.

Foundation Treatment for Embankment Dams on Rock,

Journal of the Soil Mechanics and Foundations Division,
Proceedings of the American Society of Civil Engineers,
Vol. 98, No. SM10, pp. 1073-1080, October 1972.

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Foundation Treatment for Rockfill Dams, Journal of the

Soil Mechanics and Foundations Division, Proceedings of
the American Society of Civil Engineers, Vol. 98,
No. SM10, pp. 995-1016, October 1972.

Preparation of Rock Foundations for Embankment Dams,

Embankment Dams Engineering, New York, John Wiley
and Sons, Inc., pp. 355-363, 1973.

Treatment of High Embankment Dam Foundations,

Journal of the Soil Mechanics and Foundations Division,
Proceedings of the American Society of Civil Engineers,
Vol. 98, No. SM10, pp. 1099-1113, October 1972.

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 Chapter 22

PENETRATION
TESTING

Introduction

This chapter discusses the Standard Penetration Test

(SPT), Becker Penetration Test (BPT), and Cone Penetra-
tion Test (CPT). Penetration tests are used to determine
foundation strength and to evaluate the liquefaction
potential of a material. SPTs for liquefaction evaluations
are stressed in the discussion. The significant aspects of
the tests and the potential problems that can occur are
included.

History

Penetration resistance testing and sampling with an open

ended pipe was started in the early 1900s. The Raymond
Concrete Pile Company developed the Standard Penetra-
tion Test with the split barrel sampler in 1927. Since
then, the SPT has been performed worldwide. The SPT or
variations of the test are the primary means of collecting
geotechnical design data in the United States. An
estimated 80-90 percent of geotechnical investigations
consist of SPTs.

Standard Penetration Testing

Equipment and Procedures

The SPT consists of driving a 2-inch (5-cm) outside

diameter (OD) “split barrel” sampler (figure 22-1) at the
bottom of an open borehole with a 140-pound (63.6-kg)
hammer dropped 30 inches (75 cm). The “N” value is the
number of blows to drive the sampler the last 1 foot
(30 cm), expressed in blows per foot. After the penetration

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Figure 22-1.—ASTM and Reclamation

SPT sampler requirements.

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test is completed, the sampler is retrieved from the hole.

The split barrel is opened, the soil is classified, and a
moisture specimen is obtained. After the test, the
borehole is extended to the next test depth and the
process is repeated. SPT soil samples are disturbed
during the driving process and cannot be used as
undisturbed specimens for laboratory testing.

The American Society of Testing and Materials standard-

ized the test in the 1950s. The procedure required a free
falling hammer, but the shape and drop method were not
standardized. Many hammer systems can be used to
perform the test, and many do not really free fall. The
predominant hammer system used in the United States
is the safety hammer (figure 22-2) that is lifted and
dropped with the a rope and cat head. Donut hammers
(figure 22-3) are operated by rope and cat head or
mechanical tripping. Donut hammers are not recom-
mended because the hammers are more dangerous to
operate and are less efficient than safety hammers. Auto-
matic hammer systems are used frequently and are
preferred because the hammers are safer and offer close
to true free fall conditions, and the results are more
repeatable.

The SPT should not be confused with other thick-wall

drive sampling methods such as described in
ASTM Standard D 3550 which covers larger ring-lined
split barrel samplers with up to 3-inch (7.6-cm) OD.
These samplers are also know as “California” or “Dames
& Moore” samplers. These drive samplers do not meet
SPT requirements because they use bigger barrels,
different hammers, and different drop heights to advance
the sampler.

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Figure 22-2.—Safety hammer.

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Figure 22-3.—Donut hammer.

The energy delivered to the sampler can vary widely

because of the wide variety of acceptable hammer
systems. Numerous studies of SPT driving systems
indicate that the energy varies from 40 to 95 percent of
the theoretical maximum energy. The “N” value is
inversely proportional to the energy supplied to the

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sampler, and the energy delivered to the sampler is

critical. Because of energy losses in the impact anvil,
energy from the hammer should be measured on the drill
rod below the impact surface. Drill rod energy ratio is
determined by measuring the force-time history in the
drill string. Both acceleration and force-time history can
be measured and are important in determining the
normalized penetration resistance of sands for
liquefaction resistance evaluations (ASTM D 6066).
Common practice is to normalize the SPT N value to a
60-percent drill rod energy ratio. Adjustment factors can
be as large as 20 to 30 percent.

The largest cause of error in the SPT is drilling

disturbance of the material to be tested. This is especially
true when testing loose sands below the water table.
Field studies have shown that “sanding in” can be
prevented by using rotary drilling with drill mud and
upward-deflected-discharge bits and by maintaining the
fluid level in the drill hole at all times. Hollow-stem
augers are especially popular for drilling in the
impervious zones in dams but can cause problems when
loose sand is encountered below the water table. Many
other drilling methods are available for performing SPTs,
and each should be evaluated relative to potential
problems and how the data will be used.

Information Obtainable by SPT

The SPT does provide a soil sample. Sampling is not

continuous because the closest recommended test interval
is 2.5 feet (75 cm). Typical sampling is at 5-foot (1.5-m)
intervals or at changes in materials. The test recovers a
disturbed soil sample that can be classified on site, or the
sample can be sent to the laboratory for physical
properties tests.

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SPT N values have been correlated to numerous soil

properties. In cohesionless soils (sands), the SPT can be
used to predict the relative density of sands (i.e., very
loose, loose, medium, etc.) (table 22-1).

Table 22-1.—Penetration resistance and soil

properties based on the SPT (Peck, et al.)

Sands Clays
(Fairly reliable) (Rather reliable)

Number of Number of
blows per blows per
foot Relative foot
(30 m), N density (30 cm), N Consistency

Below 2 Very soft

0-4 Very loose 2-4 Soft

4-10 Loose 4-8 Medium

10-30 Medium 8-15 Stiff

30-50 Dense 15-30 Very stiff

Over 50 Very dense Over 30 Hard

The SPT has been widely used to predict the allowable

bearing capacity of footings on sand. There are several
empirical methods that are based either on case histories
or on drained modulus of deformation predictions. The
application of these predictions should be tempered by
local experience. There are many proposed methods for
estimating bearing capacity. The methods are probably
slightly conservative and should be applied carefully.

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SPT N values must be corrected for overburden pressures

and the location of the water table.

For clays, the SPT is less reliable for predicting strength

and compressibility, especially for weaker clays. The SPT
is commonly used to assess the consistency of clays by
grouping clays as very soft, soft, medium, etc. Predictions
of undrained strengths should be used with extreme
caution, especially in weak clays, because the SPT barrel
remolds the clay, and the penetration resistance is more
a measure of remolded strength. For evaluating
undrained strength in clays, vane shear, unconfined
compression, or CPTs are better than SPTs. SPT data
should not be used to estimate the compressibility of
clays. To evaluate compression behavior of clays, use
either empirical factors based on water content and
atterberg limits or obtain undisturbed samples for
laboratory consolidation testing.

SPT data routinely have been used for predicting

liquefaction triggered by earthquake loading. If
liquefaction is predicted, the SPT data can be used to
estimate the post-earthquake shear strengths. Extensive
case history data have been collected to evaluate
liquefaction; however, the data are subject to drilling
disturbance errors and the energy delivered by the
hammer system must be known. If drilling disturbance
is evident or suspected, the CPT is an alternative because
the soil can be tested in place. Procedures for evaluating
liquefaction from SPTs are given in Reclamation’s Design
Standards No. 13, Embankment Dams, “Chapter 13,
Seismic Design and Analysis.” SPT N data can be used
to estimate the shear modulus of clean sands, but the
method is approximate. If the shear modulus is needed,
directly measuring the shear wave velocity is preferred.

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Liquefaction occurs when water pressure builds up in

granular soils during an earthquake. Soils mostly
susceptible to liquefaction are “cohesionless” soils,
primarily clean sands and gravels (GP, SP, GW, SW, GP-
GM, SP-SM) and silty sands and gravels (SM, GM). The
term, “sands,” in the following discussion refers to all
these soils. The water pressure buildup results in
strength loss and possibly deformation, slippage, and
failure. Data collected at liquefaction sites have been
used to assess whether a deposit is liquefiable.

Testing Cohesionless Soils

Earthquake induced liquefaction is commonly associated

with sands below the water table. Good drilling technique
is critical to ensuring that the sands are undisturbed
prior to the SPT. Unfortunately, loose sand is one of the
most difficult materials to drill.

If disturbed sands are present, take measures to avoid

continued disturbance. Perform depth checks to assess
the sand depth at the bottom of the drill hole. These
depth checks are made by seeing exactly where the
sampler rests before testing. Depth checks that can be
made during drilling will be discussed below. Do not drill
at excessive rates. Signs of disturbance are excessive
slough in the SPT barrel, drill fluid in the sample, and
failure of the sampler to rest at the proper cleanout depth.
Slough is the disturbed material in the drill hole that
caves from the sidewalls but can include disturbed sand
that heaves or flows upward into the drill hole. Slough
can also consist of cuttings which settle from the drill
fluid before testing.

The SPT sampler must rest at the intended depth. This

depth is to the end of the cleanout bit or the end of the
pilot bit in hollow-stem augers. If the sampler rests at an

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elevation that is 0.4 foot (12 cm) different from the

cleanout depth, disturbance of the soil may be occurring,
and the hole must be recleaned.

There are a number of advantages to the SPT:

(1) The test is widely used, and often local experience

is well developed.

(2) The test is simple, and many drillers can perform

the test.

(3) The SPT equipment is rugged, and the test can be

performed in a wide range of soil conditions.

(4) There are numerous correlations for predicting

engineering properties with a good degree of
confidence.

(5) The SPT is the only in place test that collects a soil
sample.

Although the SPT is commonly used and is a flexible in

place test, there are significant disadvantages. The test
does not provide continuous samples. Different soils in
the SPT interval tend to be logged as one soil, especially
if the soil core is combined into one laboratory test
specimen and laboratory data are used in the logs.
Hollow-stem augers can give disturbed samples between
test intervals, and the intervals between tests can be
logged. The greatest disadvantage to SPTs is the lack of
reproducibility of the test results. Drilling disturbance,
mechanical variability, and operator variability all can
cause a significant variation in test results. The SPT
should not be used unless the testing is observed and
logged in detail. Old data where drilling and test
procedures are not documented should be used with

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extreme caution. Another disadvantage to SPTs is that

progress is slower than other in place tests because of
incremental drilling, testing, and sample retrieval, and
SPTs may be more expensive than other in place tests.
The SPT is influenced by more than just overburden
stress and soil density. The soil type, particle size, soil
age, and stress history of the soil deposit all influence
SPT results.

Drilling Methods

Fluid Rotary Drilling

Rotary drilling with clear water results in N values that

are much lower than N values that are obtained when
drilling mud is used. Two factors are involved: (1) the
water from drilling can jet into the test interval
disturbing the sand, and (2) the water level in the
borehole can drop and the sand can heave up the borehole
when the cleanout string is removed. These two factors
must be minimized as much as is practical.

The best way to drill loose, saturated sands is to use

bentonite or polymer-enhanced drill fluid and drill bits
that minimize jetting disturbance. Also when drilling
with fluid, use a pump bypass line to keep the hole full
of fluid as the cleanout string is removed from the drill
hole. The lack of fluid in the hole is one of the most
frequent causes of disturbed sands. If the soils are
fine-grained, use a fishtail-type drag bit with baffles that
deflect the fluid upwards. A tricone rockbit is acceptable
if gravels or harder materials are present, but adjust the
flow rates to minimize jetting.

Casing can help keep the borehole stable, but keep the
casing back from the test interval a minimum of 2.5 feet

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(75 cm) or more if the hole remains stable. Using a

bypass line to keep the hole full of fluid is even more
important with casing because the chance of sand heave
up into the casing is increased if the water in the casing
drops below natural groundwater level. The imbalance is
focused at the bottom, open end of the casing. In extreme
cases, the casing will need to be kept close to the test
interval. Under these conditions, set the casing at the
base of the previously tested interval before drilling to the
next test interval. Intervals of 2.5 feet (75 cm) are
recommended as the closest spacing for SPTs.

Use drilling mud when the SPT is performed for

liquefaction evaluation when rotary drilling. A
bentonite-based drilling mud has the maximum
stabilizing benefit of mud. Bentonite provides the
maximum weight, density, and wall caking properties
needed to keep the drill hole stable. When mixing mud,
use enough bentonite for the mud to be effective. There
are two ways to test drill mud density or viscosity—a
Marsh Funnel or a mud balance. A mud sample is poured
through a Marsh Funnel, and the time needed to pass
through the funnel is a function of the viscosity. Water
has a Marsh Funnel time of 26 seconds. Fine-grained
soils require mud with Marsh Funnel times of 35 to
50 seconds. Coarser materials such as gravels may
require funnel times of 65 to 85 seconds to carry the
cuttings to the surface. If using a mud balance, typical
drill mud should weigh 10-11 pounds per gallon (lbs/gal)
(1-1.1 kilograms per liter [kg/L]). Water weighs about
8 pounds per gallon (0.8 kg/L).

Exploration holes are often completed as piezometers.

Revertible drilling fluids have been improved, and there
are synthetic polymers that break down more reliably. If
necessary, specific “breaker” compounds can be used to
break down the mud and clean the borehole. If the

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borehole cannot be kept stable with polymer fluid,

bentonite mud should be used and a second hole drilled
for the piezometer installation. Do not combine drill hole
purposes if the data from SPTs or piezometers are
compromised.

Drilling sands with clear water is possible, but only if the

driller is very experienced. As long as drilling is carefully
performed, drilling with water can result in SPT N values
close to those obtained using mud. Disturbance can be
avoided; but without drill mud, jetting disturbance, cave,
and sand heave caused by fluid imbalance are likely.

If the water level in the sand layer is higher than the

ground surface, sand heave is really going to be a
problem. Under these conditions, heavy bentonite mud
(80 to100 sec on the Marsh Funnel) is required. A fluid
bypass to keep the hole full of mud is required, and an
elevated casing or drill pad to hold down the sand can be
used. Some successful mud improvement is possible with
Barite or Ilmenite additives. Mud can be weighted to
about 15 lb/gal with these additives. Sodium or calcium
chloride can be used to give polymer fluid better gel
strength. In artesian conditions, it may not be possible to
keep the sand stable. In these cases, other tests such as
the CPT can be used to evaluate the sand.

When using fluid rotary drilling, circulate the drill fluid

to remove the cuttings. Pull back the cutting bit several
feet, cut fluid circulation, and then slowly and gently
lower the bit to rest on the bottom of the hole. Check to
see if the depth is within 0.4 foot (10 cm) of the cleanout
depth. This check determines if there is cuttings
settlement, wall cave, or jetting disturbance.

The bottom of the borehole normally heaves when the

cleanout drill string is pulled back creating suction. Fluid

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should be added to the drill hole as the cleanout string is

removed to help avoid problems. Once the sampler is
placed, check the sampler depth and compare it to the
cleanout depth. A difference of 0.4 foot (10 cm) is
unsatisfactory. If sands or silty sands heave up into the
borehole, the SPT sampler will often sink through most of
the slough. The only way to check for this situation is to
carefully inspect the top of the sampler and the ball check
housing for slough or cuttings. If the ball check area is
plugged with cuttings, the SPT N value may have been
affected. A thin plastic cover is sometimes used to keep
the slough out of the sampler. The cover is either sheared
off at the first blow or it is shoved up into the sampler.

The fluid rotary method is probably the best method for

determining SPT N values in saturated sands. In the
following sections, two other acceptable drilling methods
are discussed. If these methods do not work, use the fluid
rotary method.

Hollow-Stem Augers

Hollow-stem augers (HSA) have been used successfully to

do SPTs in loose saturated sands. With the proper
precautions, hollow-stems can be used reliably in sands,
but there are some problems with HSAs. The primary
problem with the HSA in loose sands is sand heaving into
the augers. This occurs when the pilot bit or the HSA
sampler barrel is removed in preparation for the SPT.
Sometimes, sand can heave 5 to 10 feet (1.5 to 3 m) up
inside the augers. SPT N values taken with this amount
of disturbance are unacceptable. These problems can be
overcome in most cases by using water-filled augers and
removing the pilot bit or HSA sampler slowly to avoid the
suction. Drilling mud is not usually required and can
cause sealing problems.

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There are two types of HSA systems shown in

figure 22-4—wireline and rod type. With either type of
system, removal of the pilot bit or HSA sampler barrel can
result in sand heaving into the augers. The rod type
system is best at preventing sample barrel rotation
during soil sampling. In sanding conditions, the wireline
system is sometimes harder to operate because the
withdrawal rate of the bit or HSA sampler is harder to
control. Sanding-in also prevents re-latching of the
wireline barrel. Rod type systems are recommended when
drilling in heaving sands. If sand heaves a considerable
height into the augers, the auger will need to be cleaned
or retracted in order to continue drilling using either
system. If the augers have to be pulled up 3 feet (1 m) to
re-latch a pilot bit or sampler barrel, tremendous suction
occurs at the base of the boring, which can disturb the
next SPT test interval.

When using HSAs below the water table, the hole must be
kept full of fluid, just like it must when using fluid rotary
methods. A water or mud source and a bypass line
are required. Some successful techniques for hollow-
stem drilling in flowing sands are:

C When approaching the test interval, slow the auger

rotation to just enough to cut the soil; do not continue
to rotate without advancement near the test interval.
In flowing sands, continued rotation near the test
interval will create a large void around the hole
annulus and increase the chance of caving and
disturbance of the test interval. If high down pres-
sure is used with wireline systems, the pressure
should be relaxed; and the augers should be slightly

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Figure 22-4.—Example of rod-type and

wireline-type hollow-stem augers.

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retracted ½ inch (1 cm) or so to re-latch bits or

barrels. There is no need to release down pressure or
retract the augers with rod-type systems.

C Add water to a level higher than the surrounding

groundwater level before pulling the pilot bit or
sampling barrel. In most cases, water can be added
to the top of the augers without concern for
disturbance. Add water by removing the drive cap
using a hose from the bypass line. When removing
the drive cap on rod-type systems, be careful to
disconnect the drive cap bearing from the inner rods,
or the pilot bit or sampler will be pulled prematurely
before adding water. When using a wireline system,
the latching device can be sent down the hole and
latched before adding water.

The water level is not always maintained at the top of the

column, especially if there is a thick layer of unsaturated
soil above the test zone. Water can leak through the
auger joints, and it may be necessary to add a lot of water.

Pulling the Sampler Barrel.—The sample barrel

assembly is generally 5 feet (1.5 m) long. This barrel does
not have much clearance with the inside of the augers,
especially in the bushing at the base of the augers. With
the augers full of water, reconnect the drive cap to the
inner rods. Pull the barrel slowly up 0.1 to 0.3 foot (3 to
10 cm) and observe the water level in the augers. If water
flows upward, out of the augers, there is a seal between
the augers and the sampler, and the sampler barrel is
acting like a syringe. If water flows from the top with rod
type systems, rotate the barrel or work the barrel slightly
down and up to try to break the seal and vent. For
wireline systems, release the pulling force and re-apply.
Pull slowly and attempt to break the seal. Once the seal
is broken, remove the sampler slowly. Remember, with

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rapid withdrawal rates, suction can be created anywhere

in the auger column. For rod systems, add water during
pulling to account for water level drop. The same rule
applies for wireline systems, but less water is needed.

Pulling the Pilot Bit.—Most pilot bits are seated flush

in a brass bushing in the end (crown) of the augers. The
pilot bit cutting teeth should be set to a lead distance the
same as the outer cutting teeth, so that the body of the
pilot bit sits correctly in the bushing. Do not drill with
the pilot bit in advance of the outer cutting teeth. A
useful procedure in heaving sands is to use a pilot bit one
size smaller than the augers being used. For example, if
a 4.25-inch (11-cm) inside diameter (ID) HSA is used, a
3.75-inch (9.5-cm) ID HSA pilot bit can be used to reduce
vacuum and suction effects.

When drilling with the pilot bit, pull the bit back slowly
about 0.1 to 0.2 foot (3 to 6 cm) to allow any seal in the
bushing to vent. If the bit is withdrawn quickly, suction
will likely occur. If water flows out the top of the augers,
suction is occurring. If suction is occurring, rotate the
pilot bit and work it down and up to try to break the seal.
Once the bit clears the bushing, the tendency to bind is
reduced. Withdraw the pilot bit slowly and add water, to
account for water level drop as the rods are removed.
Remember, with rapid withdraw rates, suction effects can
be created anywhere in the auger column.

If sanding-in cannot be controlled with fluid or slow

pulling, there are special flap valves that can be placed in
the pilot bit seat. Drill without the pilot bit with flap
valves.

Once the sampler has been inserted to the base of the

boring, determine the depth to the sampler tip as a
quality check. If there is more than 0.4 foot (12 cm) of

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slough or heave, the test may not be acceptable. This

guideline is arbitrary, and it is possible to get a reliable
test with as much as 0.5 foot (15 cm) or more slough as
long as the vent and ball check of the sampler are not
plugged. If the SPT barrel is used to test the bottom of
the hole, the sampler will often penetrate loose slough or
heave. Checks with a weighted tape may be more
accurate in determining the depth to the slough. When
using the HSA sampler barrel to core before testing, sand
falling out of the barrel could be the cause of slough inside
the auger. To avoid this problem, use catcher baskets in
the HSA sampler barrel.

When testing at close intervals of 2.5 feet (75 cm) or less,

it may be necessary to add water to the augers as the
SPT sampling string is removed to avoid water level
imbalance and possible heave.

It’s a good idea to combine the continuous sampler of the

HSA with SPT operations. If SPTs are at 2.5-foot (75-cm)
intervals, perform the SPT and then sample the 2.5-foot
(75-cm) and over-sample the 1.5-foot (45-cm) test interval.
This adds some time, but allows continuous sampling.
This sampling method provides a look at the soils between
the test intervals. It is also helpful if recovery is low.

Rotary Casing Advancers

Rotary casing advancers can provide good SPT N values

in sands. The casing advancer method uses drilling fluid
(bentonite and water) as a circulation medium and is a
fluid rotary drilling method. This method is successful
because the large diameter outer rods remain filled with
drill fluid and keep the sand down. The casing advancer
normally has a diamond bit but can be equipped with
tungsten carbide drag bits on the outside edge to over-cut
soil. Typically, an HQ- or HW-size casing advancer is

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used with or without a pilot bit. The pilot bit can be a

tricone bit removed via wire line. Suction is possible
when a pilot bit is removed. If suction occurs, drilling
without a pilot bit should be tried. An advantage of
drilling with a wireline is that when the pilot bit is
removed, the line takes up little volume and results in a
minor drop in fluid level inside the rod column. Since a
good fluid column remains in the rods, a fluid bypass is
not needed. The only problem is that whenever adding
rods to the SPT drill string, fluid flows out of the
advancer.

The casing advancer must be operated very carefully to

avoid sand disturbance. Fluid is pumped down the casing
and up a narrow annulus along the exterior of the casing.
A casing advancer, especially without a pilot bit, is
equivalent to a bottom discharge bit. If excessive fluid
pressures are used or if circulation is lost, jetting or
hydraulic fracturing the material in the SPT test interval
is possible. Drilling the material with a slow advance
rate and with low pressure while maintaining circulation
is necessary to drill successfully with this system. If
circulation return stops, blockage may be occurring; and
if pump pressures increase, hydraulic fracturing could
occur. If the advance rate is too fast, circulation will be
blocked. Water is not an acceptable drill fluid with this
method, and drill mud must be used.

Summary of Drilling Effects

Table 22-2 illustrates the effects of different drilling and

mechanical variables on the SPT N value (items 1
through 5). A typical N value in clean quartz sand is
20 blows per foot (30 cm). The possible range of N for the
material is shown if the material is subject to errors in
testing.

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Table 22-2 shows that drilling disturbance can have

drastic effects on the N value. In fact, zero blows can be
obtained. Zero blows may not be realistic because, in
many cases, loosened sand settles back to the bottom of
the hole. Also, very loose sand normally does not allow
the sampler to settle under the weight of the assembly.
Drilling disturbance usually results in a low N value.
Low blow counts indicate loose, weak soils, and a weak
foundation may be assumed. Erroneous low disturbed
N values can result in costly over design of structures.
The most important aspect of SPT testing is the way the
hole is drilled.

Procedure Variables

The recommended 2.5-foot (75-cm) interval is to ensure

that the next interval is not disturbed. If material that
only has a few thin layers of sand is drilled, continuous
sampling is possible, but difficult, and should not be
attempted unless necessary.

Hammer Blow Rate

The blow count rate is important when soil drainage

needs to be considered. Most test standards request
SPT blows at a rate of 20 to 40 blows per minute (bpm).
Blows at 55 bpm are not likely to have an effect on clean
sand; but at some fines content, blows will be reduced by
the lack of drainage. Blows should be between 20 and
40 bpm if a hammer with a controllable rate is used.
Some hammer systems are designed to deliver blows at a
faster rate. The automatic hammer is designed to deliver
blows at a rate of 50 to 55 bpm. The hammer can be set
to run at 40 bpm by adding a spacer ring to the impact
anvil. If a hammer rate differs from 50 bpm, clearly note
it on the drill logs.

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372

Table 22-2.—Estimated variability of SPT N Values

Typical raw Typical raw
Cause SPT value in SPT value
clean sand in clay
Basic Description N = 20 N=10
Drilling 1. Using drilling mud and fluid bypass 20 10
method 2. Using drill mud and no fluid bypass 0-20 8-10?

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3. Using clear water with or without bypass 0-20 8-10?
4. Using hollow-stem augers with or without 0-20 8-10?
fluid
5. 8-inch (20-cm) diameter hole compared to 17 8-10?
4 inches (10 cm)
Sampler 6. Using a larger ID barrel, without the liners 17 9
e
7. Using a 3-inch (7.6-cm) OD barrel versus a 25-30 10
2-inch (5-cm) barrel
e1 e1
Procedure 8. Using a blow count rate of 55 blows per 20 10
minute (bpm) as opposed to 30 bpm
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Table 22-2.—Estimated variability of SPT N Values (continued)

Typical raw Typical raw
Cause SPT value in SPT value
clean sand in clay
Basic Description N = 20 N=10
Energy Transmission Factors

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e2 e2
Drill rods 9. AW rod versus NW rod 18-22 8-10
4 e3
10. SPT at 200 feet (60 m) as opposed to 50 feet (30 m) 22 5
11. SPT at less than 10 feet (3 m) as opposed to 50 feet 30 15
(30 m) with AW rods
12. SPT at less than 10 feet (3 m) as opposed to 50 feet (30 m) 25 12
with NW rods
Hammer 13. Three wraps versus two wraps around the cathead 22 11
operation
14. Using new rope as opposed to old rope 19 9
15. Free fall string cut drops versus two wrap on cathead 16 8
16. Using high-efficiency automatic hammer versus two 14 7
wrap safety hammer
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Table 22-2.—Estimated variability of SPT N Values (continued)

Typical raw Typical raw
Cause SPT value in SPT value
clean sand in clay
Basic Description N = 20 N=10
Energy Transmission Factors (continued)
Hammer 17. Using a donut hammer with large anvil as opposed to 24 12

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Operation safety hammer
18. Failure to obtain 30-inch (75-cm) drop height (28 inches 22 11
[70 cm])
19. Failure to obtain 30-inch (75-cm) drop height (32 inches 18 9
[80 cm])
20. Back tapping of safety hammer during testing 25 12
e = Estimated value.
1 = Difference occurs in dirty sands only.
2 = It is not known whether small drill holes are less or more efficient; with larger rods, N may be less in clay because of
the weight.
3 = N in clay may be lower because of the weight of the rods.
4 = Actual N value will be much higher because of higher confining pressure at great depth. The difference shown here
is from energy only and confining pressure was not considered.
 PENETRATION TESTING

Limiting Blow Counts

The Reclamation test procedure calls for stopping the test

at 50 blows per foot (30 cm). Other agencies sometimes go
to 100 blows per foot (30 cm) because the ASTM test
standard D 1586 sets a 100-blow limit. The Reclamation
standard is lower to reduce equipment wear.

Using the soil liquefaction criteria for sand at a depth of

100 feet (30 m), 50 blows would not be considered
liquefiable. SPT data are corrected to a stress level of
1 ton per square foot (ton/ft2). In a typical ground mass,
a 1 ton/ft2 stress level occurs at a depth of 20 to 30 feet
(6 to 9 m), depending on the location of the groundwater
table. Blow counts in a sand of constant density increase
with depth. A correction factor is used to adjust for this
overburden effect. In earthquake liquefaction clean sand
N160 values greater 30 blows per foot (bpf) are not
liquefiable. A blow count of 50 bpf at 100 feet (30 m)
corrects to about 30 bpf at 1 ton/ft2. Higher blow counts
would not be considered liquefiable. If testing is deeper
than 100 feet (30 m) it will be necessary to increase the
limiting blow counts to 100. The refusal rule still applies;
if there is no successive advance after 10 blows, the test
can be stopped.

SPT N values in gravels generally are much higher than

in sands. Liquefaction criteria for sands are not reliable
criteria for gravels.

Penetration per Blow or Blows per 0.1 Foot (3 cm)

Penetration for each blow should be recorded when

drilling in gravelly soils. If penetration per blow is
recorded, sand layers can be resolved, and the N value of
the sand can be estimated. The blow count in sand can be
estimated from a graph of penetration per blow. The

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extrapolation is generally reliable if the blows start in

sand. If the interval starts with gravel and then pene-
trates into sand, the extrapolation is less reliable because
the sampler could be plugged by gravel.

The number of blows for 0.1 feet (3 cm) is the minimum

penetration rate data that should be collected. If three
people are present, it is very easy to record “penetration
per blow,” and these data are preferred over the coarser
blows per 0.1 feet (3 cm). To record penetration per blow,
make a form with three columns. In one column, list the
blows 1 through 100. Mark the drill rods in 0.1-foot
(3-cm) intervals or use a tape starting at zero from the
edge of a reference point. In the second column, record
the total penetration as the test is performed. This will
require a reader to call off the total penetration. The
reader can interpolate between the 0.1-foot (3-cm)
increments, or the penetration can be read directly from
a tape. After the test is done the incremental penetration
can be calculated from the cumulative penetration data
and recorded in the third column.

Equipment and Mechanical Variables

Sampler Barrel

The standard sampler barrel is 2 inches (5.1 cm) in OD

and is the barrel that should be used. In private industry,
2.5- (6.4-cm) and 3-inch (7.6-cm) OD barrels are
occasionally used. If sample recovery in coarse materials
is poor, it is acceptable to re-sample with a 3-inch (7.6-cm)
barrel equipped with a catcher.

Gravelly soils generally do not provide reliable SPT data

for liquefaction evaluations that are based on sands.
Other methods use larger samplers and hammers to

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evaluate the liquefaction potential of gravelly soils. The

BPT is used at gravel sites. Often, the BPT is used at
gravel sites after a first round of SPT testing shows
considerable gravels present.

Sampler Shoe

The dimensions of the sampler shoe should meet ASTM D

1586 requirements. Some drill equipment catalogs claim
to have special “heavy duty” sample barrels and shoes.
The “Terzaghi” style does not meet the ASTM and
Reclamation requirements. When buying shoes, check
their dimensions to be sure they meet test requirements.
Figure 22-1 shows both Reclamation and ASTM sampler
requirements.

Shoe ruggedness can be improved by “carburizing” the

metal. This is a process where the shoe is heated in a
carbon gas to improve the surface hardness of the steel.
This makes the shoe more rugged but also more brittle.
Most drill manufacturers supply untreated low carbon
steel such as 1040 alloy. Generally, a local machine shop
can “carburize” the shoe, an inexpensive process.

Sample Retainers

A sample retainer should not be used for liquefaction

studies except in desperation because the effects are
unknown. If the sample cannot be retained, a sample
may be taken with a large diameter split barrel sampler
with a retainer re-driven through the test interval. The
over coring procedure discussed earlier using HSAs could
also be used.

There are several types of retainers available and some

types are better than others. There is a flap valve device
that actually looks like a toilet seat (a small one) that

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places a large constriction inside the barrel. This device

is the least desirable of the retainers if the N value is
important. The basket type catcher is made of curved
fingers of steel, brass, or plastic. This type of retainer is
only a minor constriction because the holding ring fits
into the recessed area between the shoe and the barrel.
The problem with this catcher is that the fingers may not
always fall back into position to hold the core. A better
variation of this catcher is the “Ladd” type retainer that
combines the finger basket with a plastic sleeve. This
retainer is the most successful at retaining flowing sand
because the bag adds extra retaining capability.

Sampler Liners

Most of the SPT samplers in the USA accept liners, but

the liner is usually omitted. To determine if the sampler
will accept a liner, feel for an offset (increased diameter)
inside the shoe. If an offset is present, the barrel is
1½-inch (3.8-cm) ID. Log whether a constant diameter or
an enlarged diameter barrel is used because the sample
type can effect recovery. For liquefaction evaluation, a
constant ID barrel is recommended.

A sampler used without liners is actually better for

recovery. Average recovery of a constant ID barrel is
about 60 percent, and the average for the barrel without
liners is about 80 percent. The difference in N value
between constant and enlarged diameter barrels is not
known, but an increase in blows in the range of 1 to 4 is
likely with a constant ID barrel.

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Sampler Length

A 24-inch- (61-cm-) long split barrel can normally accom-

modate any slough in the drill hole without plugging the
ball check device.

Sampler Vent Ports

The required vent ports for the sampler top subassembly

in ASTM and Reclamation test procedures are inadequate
when drilling with mud. The ASTM standard requires
two G-inch (1-cm) diameter vents above the ball check.
When drilling with mud, the fluid gets loaded with sand
and can easily plug these ports. The sampler and rods fill
with mud as they are lowered into the drill hole. A big
column of drill mud may try to push the sample out if the
ball check does not seat. Drill larger vent ports in the top
subassembly to avoid this problem. Some drillers use a
0.5- to 1-foot (15- to 30-cm) drill rod sub just above the
sampler with extra holes drilled in it to easily drain drill
fluid from the rod column.

Hammers, Anvils, Rods, and Energy Effects

The variables in energy transmission are hammer type,

hammer drop height, hammer drop friction, energy losses
in impact anvil(s), and energy losses in rods. The energy
in the drill rods is called the “Drill Rod Energy Ratio” or
ERi.

Some hammers, especially donut (casing type) hammers

with large anvils, deliver approximately 50 percent of the
total potential energy of a 140-lb (63.6-kg ) hammer
dropping 30 inches (75 cm). The N value is proportional
to the energy delivered, and the N values can be adjusted
to a common energy delivery level. The current practice
is to adjust SPT N values to 60-percent drill rod energy.

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Safety Hammers

There are many kinds of SPT hammers. Pin-guided and

donut type hammers were common in the past, but these
hammers have generally been replaced by the “safety”
hammer which has an enclosed anvil (figure 22-2). There
are also new automatic hammers that improve the
repeatability of delivered hammer energy to the sampler.

The safety hammer provides an economical and safe

method of performing the SPT. The enclosed anvil
removes hazards from flying metal chips, and operators
cannot get their hands in the impact surface. Due to their
inherent geometry, safety hammer energy transmission
can vary only by about 20 percent as long as the hammers
are operated correctly and consistently.

Safety hammers should be designed with a total stroke of

about 32 inches (80 cm), and there should be a mark on
the guide rod so the operator can see the 30-inch (75-cm)
drop. The hammer weight should be 140 pounds
(63.6 kg). These characteristics should be verified on the
hammer. An easy way to weigh the hammer is to place
the total assembly on a platform scale, get the total
weight, then lift the outer hammer off the anvil, and
weigh the guide rod and anvil. The difference in the two
weights is the hammer weight. The hammer weight
should be 140 +/- 2 lb (63.6 kg +/- 0.9 kg). Hammers
should be stamped with an ID number. It is best to keep
a given hammer for a specific drill, especially if the energy
transmission of the drill has been measured in the past.

The assumption is that safety hammers deliver

60-percent drill rod energy with two wraps of rope around
the cathead. Actually, the hammers deliver about 60 to
75 percent depending on their construction. The guide
rod is one factor that affects the energy transmission.

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Some safety hammers come with a solid steel guide rod,

and others use a hollow AW drill rod. The solid guide rod
absorbs energy, and the solid steel guide rod safety
hammer will deliver lower energy than the hollow guide
rod safety hammer. These differences are not enough to
recommend one design over another. Another variable
with safety hammers is a vent. Some hammers have
vents near the top of the hammer. A vent allows some air
to escape as the anvil moves toward the impact surface.
These vents allow the best free fall possible.

Donut Hammers

These hammers are not recommended except in special

cases such as when clearance is a problem. If the testing
is for liquefaction evaluation, it may be necessary to
measure the energy of the donut hammer used. The
donut hammer is supposed to be inefficient, but if the
hammer has a small anvil, efficiencies may be similar to
the safety hammer. The larger anvil absorbs part of the
hammer energy.

Rope and Cathead Operations

Most SPTs are performed using the rope and cathead

method. In this method, the hammer is lifted by a
cathead rope that goes over the crown sheaves. ASTM
and Reclamation standards require two wraps of rope
around the cathead. After the hammer is lifted to the
30-inch (75-cm) drop height, the rope is thrown toward
the cathead, allowing the hammer to drop as freely as
possible.

Three wraps will reduce the drill rod energy by about

10 percent and will result in a higher N value. As the
rope gets old, burned, and dirty, there is more friction on
the cathead and across the crown sheaves. New rope is

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stiffer and is likely to have higher friction than a rope

that has been broken in. A wet rope may have less
friction, but the energy differences are small enough that
it is not necessary to stop testing in the rain. Rain should
be noted on the drill report and log. Frozen rope may
have considerably more friction. Under wet and freezing
conditions, exercise the rope and warm it up prior to
testing.

Consistent rope and cathead operations depend on having

well maintained crown sheaves on the mast. Crown
sheaves should be cleaned and lubricated periodically to
ensure that they spin freely.

Automatic Hammers

Automatic hammers are generally safer and provide good

repeatability. Central Mine Equipment (CME) made one
of the first automatic hammers commercially available in
the United States. This hammer uses a chain cam to lift
a hammer that is enclosed in a guide tube. The chain cam
is driven with a hydraulic motor. The drop height of this
hammer depends on the chain cam speed and the anvil
length. Problems with this hammer system primarily
result from the speed not being correctly adjusted. The
hammer should be run at 50 to 55 bpm to obtain a 30-inch
(75-cm) drop. There are blow control adjustments on the
hammer, and there is a slot on the side of the hammer
casing to observe the hammer drop height. Be sure the
hammer is providing a 30-inch (75-cm) drop by adjusting
the blow control.

The CME automatic hammer is designed to exert a down

force on the rods. This down force from the assembly is
about 500 lbs (227 kg). A safety hammer assembly
weighs from 170 to 230 pounds (77 to 104 kg). In very

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soft clays, the sampler will more easily sink under the
weight of the assembly, and with the automatic hammer,
the blow counts will be lower.

The Foremost Mobile Drilling Company hammer “floats”

on a wireline system. The drop mechanism does not
depend on rate. Energy transfer is about 60 to 70 percent.

Energy transfer of some automatic hammers is signi-

ficantly higher than rope and cathead operated hammers.
The CME hammer can deliver up to 95 percent energy.
This could result in very low blow counts in sands.
Energy corrections are usually required for automatic
hammers. The Mobile Drilling Company hammer is less
efficient because of a large two-piece anvil.

If an automatic hammer is used, report detailed

information on the hammer use. Report make, model,
blow count rates, and any other specific adjustments on
the drilling log. In liquefaction investigations, the energy
transfer must be known. For some hammer systems, such
as the CME and Mobile Drilling Company, the energy
transfer is known if the hammers are operated correctly,
but for some systems, energy measurements may be
required.

Spooling Winch Hammers

Mobile Drilling Company developed a hammer called the

“Safety Driver.” This hammer system used a steel wire-
line cable connected to an automated spooling winch with
magnetic trip contacts. The contacts sensed when the
hammer was lifted 30 inches (75 cm), and the hammer
then dropped with the spool unrolling at the correct rate
for the dropping hammer.

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Energy measurements of this hammer system show some

extreme energy variations. Apparently, the contacts and
spooling systems require continual adjustment to operate
correctly. This type of hammer system is not recom-
mended because of energy transmission problems.

Drill Rods

Any rod from AW to NW size is acceptable for testing.

There is some concern about whipping or buckling of
smaller AW rods at depths greater than 75 feet (23 m). In
these cases, use BW rods or larger. There is not much
difference in energy transfer between AW and NW rods.
The type of rod changes a blow count in sand only by
about two blows and maybe less.

SPT drill rods should be relatively tight during testing.

Energy measurements on differing locations of the drill
rods do not show significant energy loss on joints that are
loose. There has to be a real gap on the shoulders to
cause significant energy loss. This is because when the
rod is resting in the hole, the shoulders of the joints are in
contact. There is no need to wrench tighten joints unless
rod joints are really loosening during testing. Be sure to
firmly hand tighten each joint.

Drill Rod Length

When using very short rods, energy input to the sampler

is attenuated early because of a reflected shock wave. The
driller can usually hear this because there is a second
hammer tap. The early termination of energy is a
problem to depths of 30 feet (9 m), but the correction is
small and is often ignored. The energy termination is also
a function of the size of the drill rods. There is some
energy loss for drill rod strings longer than 100 feet
(30 m), and a correction is necessary. A constant density

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sand will have an increasingly higher penetration

resistance as depths increase. This is because the
confining pressure increases in the ground mass with
depth.

Summary

How Good is the SPT Test

Figure 22-5 is a summary graph of a study performed in

Seattle by the American Society of Civil Engineers
(ASCE). In this study, several private geotechnical firms
and agencies drilled SPTs at the same site. Six drills
were used. Some had safety hammers, and others had
automatic hammers. One drill was equipped with a
300-lb (136-kg) safety hammer.

The graph shows a wide variation in raw N value versus

depth. The soil conditions at the site are not well
documented. Some gravel layers are present. Note that
the spooling winch system resulted in unreliably high
SPT N values.

The variability of SPT drilling can be reduced if drillers

are aware of the problems inherent to the SPT. Inter-
pretation of the data improves if all unusual occurrences
during SPTs are reported. Drill logs should clearly
describe in detail the equipment used.

Liquefaction studies are done in loose sands below the

water table. Unfortunately, this material is the hardest
to drill without disturbance. Fluid rotary drilling is the
preferred approach for keeping the sand stable. HSAs
and casing advancer systems have also been successfully
used.

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Figure 22-5.—Results of SPT with six

different drills—ASCE Seattle study.

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The drilling part of SPTs is the most important.

Generally, disturbance from improper drilling technique
results in lower N values.

Energy transfer effects can be important, especially if

highly efficient automatic hammers are used.

Becker-Hammer Penetration
Testing for Gravelly Soils

Introduction

The BPT is used to test the density of materials that are

too coarse for the SPT or the CPT. Gravel can cause
misleading results in the SPT and CPT. Because the
diameter of the BPT penetrometer tip is much larger than
that of the SPT sampler or the cone penetrometer, gravel-
sized particles do not seriously affect the BPT.

The BPT consists of driving a plugged steel casing into

the ground using a diesel pile-driving hammer. The blows
per foot (30 cm) of penetration are recorded and adjusted
for driving conditions. An empirical correlation is then
used to estimate equivalent SPT values. The BPT is
performed with a Becker Drills, Ltd. model AP-1000 or
B-180 drill rig, equipped with an International
Construction Equipment (ICE) model 180 closed-end
diesel hammer. The standard configuration uses 6.6-inch
(16.8-cm) OD double-wall casing and a plugged “crowd-
out” bit. Some ICE 180 hammers are marked “Linkbelt.”

The BPT is rapid and economical to perform. Production

can reach 500 feet (150 m) per day. A disadvantage is
that no sample is retrieved with the BPT, so other
sampling, such as SPT or coring, is also required.
Another disadvantage is the uncertainty in interpretation

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of the data. Since the BPT is generally used to estimate

equivalent SPT blow counts, significant uncertainty is
introduced by that step, in addition to the uncertainty
that exists in predictions of soil behavior from N values.

The penetration resistance of soils is influenced by a large

number of factors, including soil type (grain-size
distribution, plasticity, particle sizes, particle shapes),
density, confining stress, energy delivered to the
penetrometer, size and shape of the penetrometer, and
friction on the sides of the penetrometer. The BPT differs
from the SPT test in many ways, and correlation between
BPT and SPT data is not consistent. The BPT is not
performed in an open hole with a diameter greater than
the rod diameter, and the penetrometer tip is not open
like a SPT tip, so there is substantial friction on the drill
string. This greatly complicates the analysis. Like the
SPT, the BPT may give misleading results in soils
containing boulders, cobbles, or even large amounts of
gravel coarser than about 1½ inches (4 cm).

The effect of fines in the relationship between Becker

penetration resistance and liquefaction potential has not
been established by experiment or field performance. The
effect of fines is generally assumed to be similar to what
occurs with the SPT. Since the BPT does not return a
sample, it is often necessary to estimate the fines content
from nearby drill holes or to neglect the potential benefit
of fines.

Role of BPT in Exploration

In soils containing gravel, measured SPT or CPT resist-

ance may be misleadingly high, and there is potential for
damage to CPT equipment. CPT equipment generally
cannot be advanced through thick gravel layers with more
than about 30 percent gravel, depending on the size of the

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gravel and the density of the soil. Results may be

misleading with smaller gravel contents. BPTs are rarely
performed at the start of an investigation and are
generally done after SPTs or CPTs have been attempted
and found to be inappropriate because of too much gravel.
BPT testing generally should not be relied on as the sole
basis for liquefaction evaluation without site-specific
verification of the SPT-BPT correlation, corroboration by
shear-wave velocities, or other liquefaction resistance
predictors.

A Becker drill can also be used for other tasks such as

installation of instrumentation or holes for geophysical
testing. Some soil is compacted around each Becker hole,
and the holes may be more prone to deviate from vertical
than holes drilled by conventional methods. The extent of
densification is not known, so if the holes are to be used
for geophysical measurements (such as shear-wave
velocity), vary the spacings to evaluate the effect of
compaction around the hole. Rotary drilling can also be
done inside the double-wall Becker casing to socket
installations such as inclinometers into bedrock. This is
more expensive than standard Becker testing because of
delays and the need for a second rig. Becker rigs do not
have rotary drilling capability.

Equipment

Becker drills can be operated with a variety of equipment

configurations, but for penetration testing, the standard
testing setup is as follows:

• Drill rig: Becker Drills, Ltd. model AP-1000 rig

• Hammer: Supercharged ICE model 180 diesel

hammer

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• Casing (rods): 168-mm (6.6-in) OD, double-wall

• Drive bit: Crowd-out plugged bit

The correlation between BPT and SPT data proposed by

Harder and Seed relies on the use of the standard
equipment configuration. The method proposed by Sy
requires that at least the last two conditions be met. All
four conditions should be met because analyses by the
Sy method would probably be duplicated by the Harder-
Seed method for preliminary calculations and/or
verification. Harder and Seed determined that open-bit
tests were inconsistent and erroneously low relative to the
closed-bit standard. The older model B-180 and HAV-180
rigs, equipped with the same hammer, transfer about
50 percent more of the energy to the drill string than do
AP-1000 rigs. This factor has been tentatively confirmed
by energy measurements, but it is preferable to avoid the
issue by specifying the use of AP-1000 rigs only.

The diesel hammer does not provide consistent energy to

the drill string. This is because the energy depends on
combustion conditions, which are affected by fuel
condition, air mixture, ambient pressure, driving
resistance, and throttle control. The closed-end diesel pile
hammer is equipped with a “bounce chamber” where air
is compressed by the rising ram after each blow; the air
acts as a spring to push the ram back down for the next
blow (unlike the more common open-ended diesel hammer
that uses gravity alone to return the ram). Measuring the
bounce-chamber pressure provides an indirect measure of
combustion energy.

Harder-Seed Method of BPT Interpretation

The Harder-Seed method of interpreting the BPT uses

measurements of bounce-chamber pressure as an

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indication of the energy imparted to the rods by each

blow. The bounce-chamber pressure is used to adjust the
blow count for the actual combustion condition to that
produced by a hypothetical constant combustion
condition. The measured bounce-chamber pressure must
be adjusted at altitudes above 1000 feet (300 m). The
throttle should be kept wide open and the supercharger
should be operated any time data are being recorded.
Some drillers prefer to use a smaller throttle opening or
no supercharger at the beginning of driving when the
blowcounts are smaller, producing high blow counts. If
the blowcounts required for analysis are near the surface,
the driller should be instructed to keep the throttle wide
open. Instances where full throttle and supercharger are
not used should be recorded in the field notes.

The bounce chamber pressure needs to be monitored

continuously during testing. An electronic recording
system is available to monitor the bounce chamber. The
pressure gauge provided by the hammer manufacturer
can be used to record the data manually, but the gauge
reading is sensitive to the length of hose used to connect
the gauge to the hammer.

If a B-180 or HAV-180 rig is used, the data can be

adjusted by multiplying by the factor 1.5 to account for
the difference in energy transmitted to the rods. This
factor is supported by few data and is considered
approximate. An AP-1000 rig is preferred.

Testing for the Harder-Seed Method of

Interpretation

The Harder-Seed method requires that the number of

blows to drive BPT rods each foot (30 cm) of depth and
bounce-chamber pressure during that interval be

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recorded. Record the driving conditions and note if the

drillers pull the rods back to loosen them up to reduce the
driving friction.

Sy Method of BPT Interpretation

The method proposed by Sy and Campanella is more

rigorous, but more costly and time-consuming. Friction
on the sides of the rods may contribute a substantial
portion of the driving resistance. A pile-driving analyzer
(PDA) is used to record acceleration and rod force during
individual blows of the hammer. The PDA also measures
the driving energy for each blow. The force and accelera-
tion histories are then analyzed to separate the resistance
to driving contributed by the bearing capacity of the tip
and by the side friction using a computer program called
CAPWAP. PDA operation and CAPWAP analyses are
usually done by the contractor.

The PDA measurement eliminates concern about the

performance of the hammer, effects of altitude, or loss of
energy between the hammer and the rods. At least in
theory, analyses should eliminate the effects of varying
amounts of side friction on the blow count. The primary
drawback is the need for PDA measurements and special
analyses. These substantially increase the cost of the
testing program and slow the process of testing and
interpretation.

The side friction can also be measured directly by

pullback tests, where the force required to pull the rods
back a few inches is measured by a load cell. This
measurement can be substituted for some of the CAPWAP
data, but it is not recommended that CAPWAP calcu-
lations be completely eliminated. CAPWAP data is the
standard from which the method was developed.

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Testing for the Sy Method of Interpretation

The Sy method requires:

Using the PDA, record rod force, acceleration, and

transmitted energy. Record the number of blows for each
1-foot (30-cm) interval of BPT driving. Record driving
conditions, and note if the drillers pull the rods back to
loosen them up to reduce the driving friction.

Discussion of Methods

For routine investigations of typical alluvial materials

that do not have dense material overlying them, a PDA is
generally not necessary, and the Harder-Seed approach
should usually be sufficient. In cases where drill rod
friction is likely to be a problem (penetration through
compacted fill or deep deposits), the Sy method may be
better. BPTs can be done after pre-drilling and casing or
after pre-driving the BPT with an open bit through
compacted fill overlying the tested layers. This reduces
the friction but does not necessarily provide valid
predictions of SPT N60 with the Harder-Seed method and
may cause them to be low.

With either method, the field notes should mention any

time that the drillers pull back the rods to reduce the
friction. There is no way to explicitly account for this in
the Harder-Seed method. When using the Sy method, the
locations for calculations should be selected with the
pullbacks in mind. Ideally, pullbacks should be done only
before and after critical layers are penetrated. This way,
the rod friction can be interpolated between analyzed
zones with no pullbacks between them to invalidate the
interpolation. Zones to be tested and pullbacks should be
discussed with the drillers prior to each hole. Substantial
uncertainties exist both in the correlations to estimate the

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equivalent SPT N60 and in the correlations to estimate soil

behavior from the SPT blow count.

Contracting for Becker Drilling Services

In addition to the usual specifications requirements, the

work statement for BPT should address:

C Work requirements — explain general work

requirements.

C Purpose and scope — state which portions of the work

are for liquefaction assessment and which are for
instrumentation or other purposes.

C Local conditions and geology — describe anticipated

drilling conditions and potential problem areas.

C Equipment and personnel to be furnished by the con-

tractor — specify complete details on the equipment:
rig model numbers, hammers, superchargers, and
double wall pipe for rods. See above for details.

C Drilling requirements — list special considerations

such as staking, calibration requirements, and
refusal criteria.

C Hole completion — describe all hole completion or

abandonment procedures.

C Driller’s logs — list requirements for the driller’s

report, including forms to be used.

C Field measurement — specify method of measure-

ment of depths for payment.

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In the contract for PDA work, specify the following:

C Purpose and scope of testing.

C Estimated number of feet of driving to be monitored

by PDA.

Cone Penetration Test

Test History

The CPT was introduced in northern Europe in the 1930s

to facilitate the design of driven pile foundations in soft
ground. Early devices were mechanical penetrometers
that incrementally measured the cone tip resistance. In
the 1960s, mechanical cones, known as Begemann friction
cones, were developed. This penetrometer measured both
the tip resistance and the side resistance along a sleeve
above the cone tip (figure 22-6). At about this same time,
the CPT was introduced in North America. Using
technology from the rapidly advancing electronics
industry, an electric cone penetrometer was developed
that used electrical transducers to measure the tip and
side resistance (figure 22-7). Most of the work today is
performed with electronic cone penetrometers, and the
manual does not discuss mechanical systems. The use of
electronics allows the incorporation of additional sensors
in the cone system, including those for pore water stress,
temperature, inclination, acoustic emissions, down-hole
seismic, and resistivity/conductivity. In the 1990s,
sensors such as laser or other energy-induced fluorescence
spectroscopy sensors, membrane interface probes, and
even video cameras have been added to detect
groundwater contamination. Penetrometers capable of
measuring dynamic or static pore water pressures are
called piezometric cones or piezocones (CPTU). CPT

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Figure 22-6.—Mechanical cone

penetrometers.

Figure 22-7.—Typical electrical

cone penetrometers.

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has continued to gain wide acceptance as an effective site

investigation tool in North America.

Test Procedure

The procedures for performing CPTs are standardized in

Reclamation procedures USBR 7020 and 7021 and
ASTM D-5778 and D-6067. The test is highly
reproducible as opposed to SPTs. Test standards call for
a cone tip 35.7 mm in diameter with a 10-square-
centimeter (cm2) projected area and an apex angle of
60 degrees. The friction sleeve is 150 cm2. Larger
diameter penetrometers of 15-cm2 projected area are
sometimes used in very soft soils. Smaller diameter
penetrometers are sometimes used for laboratory studies
of soils.

The cone is advanced at a constant rate of 20 mm per

second. Since the penetration resistance depends
significantly on the advance rate, the push rate must be
checked in the field. The basic equipment required to
advance any cone penetrometer is a hydraulic jacking
system. Trucks or vehicles built for CPT are typically
used; but, in some cases, the hydraulics of rotary drill rigs
are used. Semi-portable equipment has been developed
for remote site testing. Rigs can be mounted on trucks,
tracked vehicles, trailers, barges, or diving bells,
depending on accessability. The capacity of cone rigs
varies from 100 to 200 kilonewtons (kN) (11.2 to
22.4 tons). The upper bound is the maximum allowable
thrust on the cone penetration rods.

Electronic cone penetrometers have built in load cells to

measure the tip and side resistance simultaneously
(Figure 22-7). Bonded strain gauges typically are used in
the load cells because of their simplicity and ruggedness.
The load cells commonly have a range of 90 kN (10 tons)

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for tip resistance and 9 kN (1 ton) for side resistance. The

load cell capacity can be varied, depending on the
strength of the soils to be penetrated. The load cells are
usually connected by an electric cable passing through the
drill rods to a data acquisition system at the surface.
Cordless models are also available that transmit sonically
and “Memo” cones that store the data internally until
retrieved at the surface. Data are recorded digitally,
which greatly enhances the use of CPT results in
engineering applications. The data can be sent in daily by
e-mail to the engineer and geologist.

Nearly all electronic cone penetrometers are equipped

with a pore pressure element. This pore pressure sensor
is typically located between the tip and the friction sleeve.
The element can record dynamic water pressure as the
cone is being pushed, as well as static water pressures
during pauses in testing. The typical capacity of the
water pressure transducer is 2.2 kN (500 lb/in2), and the
accuracy of water pressure head is about ± 3 cm (0.1 foot).
Cones are almost always equipped with inclinometers.
The inclinometers are used to monitor rod bending during
push and are an essential part of protecting the cone from
damage. The inclinometer can be monitored by computer,
and pushing can be stopped if bending is excessive. Cone
rods can bend as much as 10 to 20 degrees. If the cone is
used to detect bedrock or hard layers, this error can be
significant. The inclinometer is not directional, so the
error from bending can only be estimated.

Advantages and Disadvantages

The CPT has several advantages over other routine in

place tests. The tests are rapid and inexpensive compared
to other geotechnical profiling techniques. Penetration
rates of 3 feet (1 m) per minute are common in many soils.
Penetration is stopped only to add sections of push rods,

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except when pore water stress dissipation measurements

are made with the piezocone. With electrical equipment,
continuous profiles are recorded and plotted as
penetration progresses, and operator effects are
minimized. As discussed below, the test results have been
correlated to a variety of soil properties. Digital data
acquisition with electrical cones enhances interpretation
and provides continuous profiles of soil property
estimates.

Although the tests are applicable to a wide range of soil

conditions, penetration is limited in certain ground
conditions. Well-cemented soils, very stiff clays, and soils
containing gravel and cobbles may cause damage to the
penetrometer tips.

The CPT can be used at nearly any site because portable

devices are available. Portable hydraulic jacking systems
can be used for soft soils in locations not accessible to
standard rigs.

The CPT has several disadvantages. The test does not

provide soil samples. The test is unsuited for well-
cemented, very dense and gravelly soils because these
soils may damage the relatively expensive penetrometer
tips.

Local experience with this test is less than that with the
SPT. Although the test is rapidly gaining acceptance in
the United States, some drilling contractors do not have
the equipment or experience necessary to perform the
test. The equipment is expensive and may not be
available in some locations. Maintaining the electronics
for the CPT and CPTU equipment may be a problem in
some test locations.

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Data Obtainable

The CPT is primarily a logging tool and provides some of

the most detailed stratigraphic information of any
penetration test. With electronic cones, data are typically
recorded at 5-cm-depth intervals, but data can be recorded
at closer spacings. Layers as thin as 10 mm can be
detected using the CPT, but the tip resistance can be
influenced by softer or harder material in the layer below
the cone. Full tip resistance of an equivalent thicker layer
may not be achieved. The penetration resistance of the
soil is a function of the drainage conditions during
penetration. In sands that are drained, the penetration
resistance is high, but in clays that are undrained, the
penetration resistance is low.

A typical CPT data plot is shown in figure 22-8.

CPT plots should show all recorded data (i.e., Tip
Resistance, qc , Sleeve Resistance, fs , Pore pressure, u,
and for this example, cone inclination and temperature).
CPT data should be plotted to consistent scales on a given
project so that the plots can be more easily evaluated.

The CPT does not obtain a soil sample. However, the soils
may be classified by comparing the tip resistance to the
ratio of tip to sleeve resistance which is known as the
friction ratio, Fr . Friction ratio should also be shown on
the summary plots. Figures 22-9 and 10 show commonly
used relationships to estimate the “soil behavior type.”
Clay soils have low tip resistance and high friction ratio,
while sands have high tip resistance and low friction
ratio. Mixed soils fall in zones 4 through 7. There are
also classification methods that incorporate the dynamic
pore water pressure generation. The CPT cannot exactly
classify soil according to the Unified Soil Classification
System. Experience at many sites shows that soils give
consistent signatures; and even though the soil behavior

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Figure 22-8.—Example CPT data plot.

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Figure 22-9.—Chart for estimating

the soil behavior type.

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Figure 22-10.—Chart for estimating the soil

behavior type and the coefficient of permeability.

type is generally correct, the soil types should be

confirmed with a sample boring. Soil behavior type
prediction in the unsaturated zone is less reliable but
often still useful. The summary plot in figure 22-8 also
shows the soil behavior group on the right side bar.

Soil permeability can be estimated from CPT because the

tip resistance is a function of drainage during penetra-
tion. The permeability estimate is generally within an
order of magnitude, which is suitable for most
groundwater and seepage studies (figure 22-10).

Numerous correlations of CPT data to strength and

compressibility of soils have been developed. These
correlations are based primarily on tip resistance but are
also supplemented by sleeve friction and dynamic pore
water pressure data.

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CPTs in clean sands have been performed in large

calibration chambers where the density and confining
pressure have been controlled. Based on the chamber
data, the relative density and friction angle of sand can be
estimated using relationships such as those shown in
figure 22-11. The tip resistance at a constant relative
density increases with increasing confining pressure.
Once the relative density is estimated, the friction angle

Figure 22-11.—Relationships between cone tip

resistance, relative density, and effective
vertical stress.

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can be estimated. The compressibility of the sand

depends on the mineralogy of the sand particles. Highly
compressible sands may contain soft particles. If mica is
present in the sand at percentages as low as 5 percent,
the compressibility will increase. Samples of the sand to
determine mineralogy may be necessary. These estimates
for sands are not applicable to sands containing more
than 10 percent fines.

The CPT can be used to estimate the undrained strength,

Su, for clays because the CPT is like a cone bearing test in
rapid, undrained loading. Figure 22-12 shows that the
cone factor, Nk, must be estimated for clay. Typically, a
factor of 12 to 15 is used. The factor can be refined by
cross correlating with sampling and unconfined
compression testing or by vane shear testing.

Compressibility of soils can be estimated by the CPT test,

but the consolidation behavior should be confirmed by
sampling and laboratory testing.

Figure 22-12.—Empirical cone factor, Nk ,

for clays.

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The CPT is the best method for estimating the

liquefaction resistance of sandy soils. The SPT is also
used but has many problems in drilling and with
equipment. The CPT tests the sand in place without
disturbance, and the test is highly repeatable.
Figure 22-13 shows the chart used to estimate
liquefaction triggering. The chart is based on “clean
sands,” but the method includes conversion of dirty sands
for evaluation. If the CPT can be used for liquefaction
evaluation, it should definitely be considered in the
exploration plan. SPT should still be performed at a few
sites, but the CPT can be used to rapidly and economically

Figure 22-13.—Comparison of various cyclic

resistance ratio (CRR) curves and field data.

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map the extent of liquefiable strata. CPT is also used

extensively for evaluating ground improvement of
liquefiable deposits.

The cone is like a miniature pile and is used for

evaluating pile capacity. CPT tests are often performed
at the abutments of bridges for pile design. Numerous
methods exist for estimating pile capacity.

Economics

Equipment costs for CPT range from low for mechanical

devices to high for piezocones, and generally two
technicians are required to perform CPTs. These
personnel should have a working knowledge of the
equipment, but highly trained technicians are not
required. The equipment mobilization is similar to that
required for the SPT, but portable devices can be used for
remote locations. Unit costs are difficult to estimate
because the tests provide continuous or nearly continuous
measurements. Rig costs are comparable to costs for the
SPT, with an added capital cost to convert a conventional
drilling rig for CPT testing. However, 200 feet (60 m) of
penetration per day is typical; and in some cases,
maximum production of 400 feet (120 m) per day is
possible. This cost is the lowest of any geotechnical
drilling, sampling, and logging method.

Bibliography

Harder, L.F., Application of the Becker Penetration Test

for Evaluating the Liquefaction Potential of Gravelly Soils,
NCEER Workshop on Evaluation of Liquefaction
Resistance, held in Salt Lake City, Utah, 1997.

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Harder, L.F. and Seed, H.B., Determination of Penetration

Resistance for Coarse-Grained Soils Using the Becker
Hammer Drill, Report No. UC/EERC-86-06, NTIS PB87-
124210, Earthquake Engineering Research Center,
College of Engineering, University of California, Berkeley,
California, May 1986.

Peck, Ralph B., Foundation Engineering, Second Edition,

John Wiley & Sons, 1973.

Rausche, F., Goble, G.G., and Likins, Jr., G.E., Dynamic

Determination of Pile Capacity, Journal of Geotechnical
Engineering, ASCE, Vol. 111, No. 3, pp. 367-383, 1985.

Sy, A. and Campanella, R.G., Becker and Standard

Penetration Tests (BPT-SPT) Correlations with
Consideration of Casing Friction, Canadian Geotechnical
Journal, 31(3): 343-356, 1994.

Sy, A., Campanella, R.G., and Stewart, R.A., BPT-SPT

Correlations for Evaluation of Liquefaction Resistance of
Gravelly Soils, Static and Dynamic Properties of Gravelly
Soils, ASCE Special Publication 56, M.D. Evans and R.J.
Fragazy, Editors, American Society of Civil Engineers,
New York, New York, 1995.

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 Chapter 23

HANDLING AND TRANSPORTING

ROCK AND SOIL SAMPLES

Introduction

Subsurface sampling is expensive and time consuming, so

it makes sense to obtain all information possible from the
investigative process and the retrieved samples. After
expending the money and effort to obtain subsurface
information, the samples should not be subjected to
unacceptable temperature, rough handling, shoddy
packaging, or harsh transportation methods. Any type of
mishandling of a sample may make the sample useless for
testing or logging, and the investigation may have to be
repeated.

There are certain procedures in the handling and

transporting of samples that should be a part of every
investigation. However, some programs might require
more demanding techniques in the handling of samples
than others, depending on the types and ultimate uses of
the samples. Proper handling results in lower overall
costs when the cost of repeating an investigation is
considered.

The care and handling required for samples collected for

hazardous or toxic material investigations can vary
considerably, and details for this type of sampling are not
provided in this chapter. Information on required
volumes of material, types of storage containers, methods
of collection and preservation, and maximum holding
periods should be obtained from the appropriate
regulatory agency.

Poor samples are sometimes the result of poor drilling

practices rather than mishandling. Compression
fracturing of core, "spun" core, or uneven or wavy core
surfaces may indicate that drilling techniques are

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inappropriate for the conditions. Problems should be

noted in the logs and corrections or improvements should
be made immediately, if practicable, to the drilling
procedures.

When samples requiring extreme care are obtained,

personnel involved in the investigation must be totally
familiar with the following procedures, and they must
have a clear understanding of which geologic features are
to be sampled and why they are to be sampled.

The geologic characteristics and the intended use of the

rock and soil samples determine the extent and type of
care required. If engineering properties are to be
determined, the sample must be handled and preserved
so that the properties are not significantly influenced by
mechanical damage, changes in chemistry, and
environmental conditions such as moisture and
temperature.

Design requirements for samples range from geologic

logging to complex and critical testing in the laboratory.
Priorities for multiple uses or different types of tests must
sometimes be established when available samples are
limited and when a use or test precludes another test.
When the required level of protection is unknown,
overprotection is better than underprotection. If the
sample is intended for geologic logging only, the care and
preservation may be entirely different from that which
would be needed if testing in the laboratory is required.
Even though the sample has been geologically logged,
other studies might be necessary, and continuous care in
handling and proper storage may be required.

Samples can range from highly disturbed to relatively

undisturbed. The methods of obtaining soil samples vary
and may range from "grab" samples to samples obtained

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 HANDLING AND TRANSPORTING SAMPLES

by highly refined drilling and sampling techniques. Soil

can be difficult to sample whether by drilling or test pits,
and obtaining an “undisturbed” sample of soil can be an
ordeal. To obtain good “undisturbed” (minimally-
disturbed) soil samples, extensive knowledge and exper-
ience with numerous types of soil sampling equipment,
drilling methods, and drilling fluid additives is necessary.

Specific procedures for the disposal of rock core and

samples depend on several factors; see chapter 24 for
guidelines.

Sample Protection

The following describes recommended procedures for

handling rock and soil samples (samples). The sample
groupings are based on the type of testing to be
performed, rather than any physical condition of the
samples, and generally conform with ASTM Standards.
Groups 1 through 4 deal with rock core, but note that the
change to soil-like characteristics is transitional rather
than abrupt. Table 23-1 summarizes the procedures.

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Figure 23-2.—Core storage area with boxes

neatly arranged and separated by spacers for
ventilation. Note core photography frame
in center of photograph.

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 HANDLING AND TRANSPORTING SAMPLES

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 HANDLING AND TRANSPORTING SAMPLES

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VJKPYCNN VWDGU KU YKVJ RNCUVKE QT OGVCN GZRCPFCDNG
RCEMGTUUGCVGFQPVJGUQKNUWTHCEG6JGUGFGXKEGUVKIJVN[
CDWVVKPIVJGUQKNYKNNMGGRVJGUQKNHKTON[HKZGFKPRQUKVKQP
KPVJGVWDG+HYCZGFYQQFFKUMUCTGWUGFCFKUMUNKIJVN[
UOCNNGTVJCPVJGKPUKFGFKCOGVGTQHVJGVWDGUJQWNFDG
KPUGTVGFKPGCEJGPFQHVJGVWDGDGKPUPWIEQPVCEVYKVJ
VJGUQKNCPFVJGPDGUGCNGFYKVJYCZ5GXGTCNVJKPNC[GTU
QH YCZ CTG RTGHGTTGF QXGT QPG VJKEM NC[GT  6JG HKPCN
VJKEMPGUUUJQWNFDGCVNGCUVKPEJ
OO

1VJGTURCEGTUQTRCEMKPIOCVGTKCNUGZVGPFKPIHTQOVJG
YCZGFYQQFFKUMQTYCZGFUQKNUWTHCEGVQVJGVWDGGPFCTG
PQVTGEQOOGPFGFDGECWUGVJGUGECPCNNQYVJGUCORNGUVQ
OQXGKPVJGVWDGU#P[RCEMKPIOCVGTKCNOWUVDGPQPCD
UQTDGPV CPF OWUV UWRRQTV VJG UCORNGU VJTQWIJQWV
UJKROGPVCPFUVQTCIG

/GVCNTWDDGTQTRNCUVKEGPFECRUUJQWNFDGUGCNGFYKVJ
VCRG(QTNQPIVGTOUVQTCIG
NQPIGTVJCPOQPVJVJG
VCRGFGPFECRUUJQWNFDGFKRRGFKPYCZCRRN[KPIVYQQT
OQTGNC[GTU'PFENQUWTGUUQNGN[QHEJGGUGENQVJCPFYCZ
UJQWNFEQPUKUVQHCNVGTPCVKPINC[GTUQH
COKPKOWOQHVYQ
GCEJEJGGUGENQVJCPFYCZ

%[NKPFTKECNEWDKECNQTQVJGTUCORNGUYTCRRGFKPRNCUVKE
QTHQKNUJQWNFDGRTQVGEVGFYKVJCOKPKOWOQHVJTGGEQCVU
QH YCZ CPF EJGGUGENQVJ  %[NKPFTKECN CPF EWDG UCORNGU
YTCRRGFKPEJGGUGENQVJCPFYCZUJQWNFDGUGCNGFYKVJC
OKPKOWO QH VJTGG CNVGTPCVKPI NC[GTU  %[NKPFTKECN

418

[email protected]
 HANDLING AND TRANSPORTING SAMPLES

UCORNGUCPFUOCNNEWDGUCORNGURNCEGFKPECTVQPUOWUV
DG RQUKVKQPGF UQ VJCV YCZ ECP DG RQWTGF EQORNGVGN[
CTQWPFVJGUCORNG6JGYCZUJQWNFHKNNVJGXQKFDGVYGGP
VJG UCORNG CPF EQPVCKPGT YCNN  6Q HCEKNKVCVG JCPFNKPI
YJGP RNCEGF KP ECTVQPU NCTIG EWDG UCORNGU UWEJ CU
YCZGF DNQEM UCORNGUUJQWNFDGGPECRUWNCVGFKPFCOR
UCYFWUV TCVJGT VJCP YCZ  )GPGTCNN[ YCZGF UCORNGU
UJQWNF DG YTCRRGF KP RNCUVKE QT HQKN DGHQTG DGKPI
UWTTQWPFGFD[YCZKPCECTVQP

6JGUG UCORNGU OC[ DG VTCPURQTVGF D[ CP[ CXCKNCDNG

VTCPURQTVCVKQP  6JG UCORNGU UJQWNF DG UJKRRGF CU
RTGRCTGF QT RNCEGF KP NCTIGT EQPVCKPGTU UWEJ CU DCIU
ECTFDQCTFQTYQQFDQZGUQTDCTTGNU#RRTQRTKCVGRCEMKPI
UJQWNFDGRTQXKFGFVQRTGXGPVDTGCMCIGQTRWPEVWTKPIQH
VJGKPFKXKFWCNUCORNGYTCRRKPIQTEQPVCKPGT

)TQWR%6JGUGCTGKPVCEVPCVWTCNQTHKGNFEQORCEVGF
UCORNGUHQTFGPUKV[FGVGTOKPCVKQPUQTHQTUYGNNRTGUUWTG
RGTEGPV UYGNN EQPUQNKFCVKQP RGTOGCDKNKV[ VGUVKPI CPF
UJGCTVGUVKPIYKVJQTYKVJQWVUVTGUUUVTCKPCPFXQNWOG
EJCPIGOGCUWTGOGPVU

6JGUGUCORNGUCTGRTGUGTXGFCPFVTCPURQTVGFKPUGCNGF
OQKUVWTGRTQQH EQPVCKPGTU  %QPVCKPGTU UJQWNF DG VJKEM
GPQWIJ CPF UVTQPI GPQWIJ VQ RTGXGPV DTGCMCIG CPF
OQKUVWTGNQUU6JGEQPVCKPGTV[RGUKPENWFGRNCUVKEDCIU
QT RCKNU INCUU QT YCVGTRTQQH RNCUVKE LCTU HQT FKUVWTDGF
UCORNGUCPFVJKPYCNNGFVWDGUCPFNKPGTU%[NKPFTKECN
CPFEWDGUCORNGUUJQWNFDGYTCRRGFKPUWKVCDNGRNCUVKE
HKNOQTCNWOKPWOHQKNCPFEQCVGFYKVJUGXGTCNNC[GTUQH
YCZ CPF EJGGUGENQVJ CEEQTFKPI VQ VJG KPUVTWEVKQPU HQT
)TQWRUCORNGU5QOGUQKNUOC[EQTTQFGCNWOKPWOHQKN
CPFFKTGEVEQPVCEVYKVJCNWOKPWOHQKNUJQWNFDGCXQKFGF
YJGTGUCORNGEQORQUKVKQPOKIJVECWUGCFXGTUGGHHGEVU
6GORGTCVWTG UGPUKVKXG )TQWR % UCORNGU UJQWNF DG
KPUWNCVGFUKOKNCTVQ)TQWR

419

[email protected]
 FIELD MANUAL

5CORNGUVTCPURQTVGFQPUGCVUQHXGJKENGUECPDGRNCEGFKP
ECTFDQCTFDQZGUQTUKOKNCTEQPVCKPGTUCPFUCORNGUPGGF
VQDGRCEMGFVQRTGXGPVDWORKPITQNNKPICPFFTQRRKPI

+HVJGUCORNGUCTGPQVVTCPURQTVGFQPXGJKENGUGCVUVJG
KPFKXKFWCNUCORNGUUJQWNFDGRNCEGFKPYQQFOGVCNQT
QVJGTV[RGUQHUWKVCDNGUJKRRKPIEQPVCKPGTUVJCVRTQXKFG
EWUJKQPKPIQTKPUWNCVKQPHQTGCEJUCORNG6JGEWUJKQPKPI
OCVGTKCN UJQWNF EQORNGVGN[ GPECUG GCEJ UCORNG  6JG
EWUJKQPKPIDGVYGGPVJGUCORNGUCPFYCNNUQHVJGUJKRRKPI
EQPVCKPGTUUJQWNFJCXGCOKPKOWOVJKEMPGUUQHKPEJ

 OO  # OKPKOWO VJKEMPGUU QH  KPEJGU
 OO
UJQWNF DG RTQXKFGF QP VJG EQPVCKPGT DQVVQO  9JGP
TGSWKTGFVJGUCORNGUUJQWNFDGMGRVKPVJGUCOGRQUKVKQP
KPYJKEJVJG[YGTGUCORNGFHTQOVJGVKOGVJG[NGCXGVJG
ITQWPF WPVKN VGUVKPI KU EQORNGVGF  5RGEKCN EQPFKVKQPU
UJQWNFDGRTQXKFGFUWEJCUHTGG\KPIEQPVTQNNGFFTCKPCIG
QTUWHHKEKGPVEQPHKPGOGPVVQOCKPVCKPUCORNGKPVGITKV[

)TQWR&5CORNGUVJCVCTGHTCIKNGQTJKIJN[UGPUKVKXG
CPF VJCV TGSWKTG VGUVU KP )TQWR % CTG  CUUKIPGF VQ
)TQWR&6JGTGSWKTGOGPVUHQT)TQWR%OWUVDGOGVKP
CFFKVKQPVQVJGHQNNQYKPITGSWKTGOGPVU5CORNGUUJQWNF
DGJCPFNGFCPFUVQTGFKPENWFKPIFWTKPIVTCPURQTVCVKQP
KPVJGUCOGQTKGPVCVKQPKPYJKEJVJG[YGTGUCORNGF

Storage Containers

%QPVCKPGTUUJQWNFDGFGUKIPGFVQKPENWFG

(QTEQTG

%QTGDQZGUOWUVDGEQPUVTWEVGF TKIKFN[GPQWIJVQ
RTGXGPVHNGZKPIQHVJGEQTGYJGPVJGDQZKURKEMGFWR
D[KVUGPFU9QQFKURTGHGTTGFCPFUJQWNFDGŠKPEJ

PQOKPCN
OOVJKEM2CTVKVKQPUDGVYGGPEQTG

420

[email protected]
 HANDLING AND TRANSPORTING SAMPLES

TQYUUJQWNFDGHKTON[HKZGFKPRNCEGVQKPETGCUGVJG
UVKHHPGUU QH VJG DQZ  6JG NKF UJQWNF JCXG UVTQPI
JKPIGUCPFJCURUQTHCUVGPGFYKVJUETGYU&QPQV
FTKXG PCKNU KP VJG NKF  #P GZCORNG QH EQTG DQZ
EQPUVTWEVKQPKUUJQYPKPHKIWTG

6JGEQTGDQZUJQWNFDGFGUKIPGFHQTVJGCPVKEKRCVGF
FKCOGVGT QH EQTG KPENWFKPI CP[ RCEMKPI CPF
EWUJKQPKPIOCVGTKCNU+HVJGEQTGDQZKUVQQNCTIGHQT
VJG EQTG URCEGTU QT RCEMKPI OCVGTKCN UJQWNF DG
RNCEGFKPVJGDQZVQUWRRQTVVJGEQTGCPFRTGXGPV
VJGEQTGHTQOOQXKPIKPVJGDQZ+HVJGEQTGDQZKU
VQQ UOCNN HQT VJG EQTG VJG EQTG UJQWNF PQV DG
JCOOGTGFKPVQVJGDQZ

(QTUQKNUKP)TQWRU%CPF&CPFHQTTQEMKP)TQWRUCPF
KHTGSWKTGF

6JG EQPVCKPGT UJQWNF DG EQPUVTWEVGF UQ VJCV VJG

UCORNGUECPDGOCKPVCKPGFKPVJGUCOGRQUKVKQPCU
YJGPUCORNGFQTRCEMGF

6JG EQPVCKPGT UJQWNF KPENWFG UWHHKEKGPV RCEMKPI

OCVGTKCN VQ EWUJKQP QT KUQNCVG VJG UCORNGU HTQO
XKDTCVKQPCPFUJQEM

6JGEQPVCKPGTUJQWNFKPENWFGUWHHKEKGPVKPUWNCVKPI
OCVGTKCNVQRTGXGPVHTGG\KPI

Shipping Containers

6JGHQNNQYKPIHGCVWTGUUJQWNFDGKPENWFGFKPVJGFGUKIPQH
UJKRRKPIEQPVCKPGTU

2N[YQQF
RTGHGTCDN[OCTKPGRN[YQQF‡QTŠKPEJ

VQOOVJKEMOC[DGWUGFHQTUJKRRKPI

421

[email protected]
 FIELD MANUAL

EQPVCKPGTU6JGVQR
EQXGTUJQWNFDGJKPIGFCPF
NCVEJGF QT HCUVGPGF YKVJ UETGYU  6JG GPVKTG
UJKRRKPIEQPVCKPGTUJQWNFDGNKPGFYKVJKPUWNCVKQP
COKPKOWOQHKPEJGU
OOVJKEMHQTRTQVGEVKQP
CICKPUVHTGG\KPIQTVGORGTCVWTGHNWEVWCVKQP

/GVCNUJKRRKPIEQPVCKPGTUUJQWNFJCXGEWUJKQPKPI
CPF KPUWNCVKPI OCVGTKCN UKOKNCT VQ YQQF UJKRRKPI
EQPVCKPGTU CNVJQWIJ UNKIJVN[ ITGCVGT VJKEMPGUUGU
CTG CRRTQRTKCVG  %WUJKQPKPI YKVJ C URTKPI
UWURGPUKQPU[UVGOQTCP[QVJGTOGCPUVJCVRTQXKFG
UKOKNCTRTQVGEVKQPKUCEEGRVCDNG

$WNM5V[TQHQCOYKVJUNQVUQTRQEMGVUKPVJGUJCRGQH
VJG UCORNG VWDG QT NKPGT UJQWNF DG GPENQUGF KP C
RTQVGEVKXGQWVGTDQZQHRN[YQQFQTECTFDQCTF

2TQRGTN[NKPGFEQPVCKPGTUEQPUVTWEVGFQHNCOKPCVGF
HKDGTDQCTF RNCUVKE QT TGKPHQTEGF ECTFDQCTF QWVGT
YCNNUCTGCEEGRVCDNG

Core Handling

6JG HQNNQYKPI RTQEGFWTGU CTG PGEGUUCT[ VQ GPUWTG VJCV

TQEM EQTG KU HKTON[ HKZGF KP VJG EQTG DQZ CPF KU
CRRTQRTKCVGN[NCDGNGFHQTKPURGEVKQPCPFNQIIKPI

1TKGPVVJGEQTGDQZYKVJVJGUNQVUJQTK\QPVCN2NCEG
VJGEQTGKPVJGEQTGDQZUVCTVKPIYKVJVJGUJCNNQYGUV
FGRVJCVVJGWRRGTNGHVJCPFEQTPGTCPFRTQITGUUKPI
CETQUU CPF VJGP FQYPYCTF CU KP TGCFKPI C DQQM
YKVJ VJG FGGRGUV FGRVJ CV VJG NQYGT TKIJV JCPF
EQTPGT

2NCEGEQTGDNQEMUCVVJGGPFUQHGCEJTWPYKVJVJG
FGRVJENGCTN[YTKVVGPQPVJGO

422

[email protected]
[email protected]

Figure 23-3.—Example core box construction.

 HANDLING AND TRANSPORTING SAMPLES

4WPUQHNGUUVJCPRGTEGPVEQTGTGEQXGT[UJQWNF
DGUJQYPD[URCEGTDNQEMURNCEGFKPVJGEQTGDQZCV
VJG UWURGEVGF OKUUKPI KPVGTXCN CPF ENGCTN[
KFGPVKHKGF

#HVGT RJQVQITCRJKPI CPF CHVGT UCORNGU CTG

RTGRCTGFUCORNGUTGOQXGFHTQOVJGEQTGUJQWNFDG
TGRNCEGF D[ C URCEGT DNQEM GSWCN KP NGPIVJ VQ VJG
EQTG TGOQXGF  6JG DNQEM UJQWNF DG NCDGNGF
UCORNG CPFFGRVJUUJQWNFDGPQVGFCPFRNCEGFKP
VJGEQTGTWP

$TGCMKPIVJGEQTGUJQWNFDGCXQKFGFDGECWUGKVOC[
TGFWEGVJGPWODGTQHCXCKNCDNGVGUVURGEKOGPU+HKV
KUPGEGUUCT[VQOCMGEQTGHKVKPVJGEQTGDQZPQVGQP
DQVJVJGFCKN[FTKNNTGRQTVCPFVJGIGQNQIKENQICPF
OCTMQPVJGEQTGVQKPFKECVGOGEJCPKECNDTGCMCIG

+HPGGFGFCFFUWHHKEKGPVURCEGTDNQEMUVQRTGXGPVVJG
EQTGHTQOUJKHVKPIFWTKPIUWDUGSWGPVDQZJCPFNKPI

(KIWTGKUCPGZCORNGQHRTQRGTN[DQZGFCPFNCDGNGF
EQTG

Identification of Samples

#NN UCORNGU YJGVJGT TQEM QT UQKN OWUV DG RTQRGTN[

KFGPVKHKGF CPF VJG HQNNQYKPI KPHQTOCVKQP UJQWNF DG
YTKVVGPQPVJGUCORNGQTEQPVCKPGT

2TQLGEVPCOG
(GCVWTGPCOG
*QNGRKVQTVTGPEJPWODGT
6QRCPFDQVVQOFGRVJUQHUCORNGKPVGTXCN
5CORNKPIFCVG
5CORNGPWODGT

423

[email protected]
 FIELD MANUAL

+PCFFKVKQPVQVJGCDQXG

%NGCTN[CPFRTQOKPGPVN[OCTMUCORNGUEQPVCKPKPI
UWURGEVGFQTMPQYPJC\CTFQWUOCVGTKCNU

#VVCEJUCORNGVTCEMKPIQT EJCKPQHEWUVQF[ HQTO

KHTGSWKTGF 

%NGCTN[ OCTM UCORNGU VJCV OWUV DG JCPFNGF CPF

UVQTGFKPVJGUCOGQTKGPVCVKQPCUUCORNGFUVCVKPI
VJCVTGSWKTGOGPVCPFVJGTGSWKTGFQTKGPVCVKQP

Transportation Requirements and Procedures

(QTCNNOQFGUQHVTCPURQTVCVKQPVJGNQCFKPIVTCPURQTVKPI
CPFWPNQCFKPIQHUJKROGPVEQPVCKPGTUUJQWNFDGUWRGT
XKUGFCUOWEJCURQUUKDNG6JGHQNNQYKPITGSWKTGOGPVU
CPFRTQEGFWTGUUJQWNFDGEQPUKFGTGFYJGPVTCPURQTVKPI
EQTG

4GOQXGVJGUCORNGHTQOVJGFTKNNUKVGDGHQTGKVJCU
C EJCPEG VQ HTGG\G JGCV WR QT DG FCOCIGF D[
CEVKXKVKGUCVVJGFTKNNUKVG

*CPFNG UCORNGU IGPVN[ FWTKPI NQCFKPI CPF

WPNQCFKPI0GXGTFTQRDQZGUQTVWDGUUNKFGVJGO
IGPVN[ KPVQ RQUKVKQP  +H C DQZ QT VWDG KU FTQRRGF
TGEQTFVJKUHCEV

6TCPURQTV D[ CP CRRTQRTKCVG XGJKENG VQ RTGXGPV

FCOCIG D[ OGEJCPKECN XKDTCVKQP UJQEM HTGG\KPI
CPFJKIJVGORGTCVWTGUCNQPIVJGGPVKTGVTCPURQTV
TQWVG+PUQOGECUGUKVOC[DGPGEGUUCT[VQTGOQXG
VJG EQTG HTQO VJG XGJKENG CPF RNCEG KV KP C OQVGN
TQQO QT UWKVCDNG UVQTCIG CTGC CV PKIJV WPNGUU VJG

424

[email protected]
 HANDLING AND TRANSPORTING SAMPLES

XGJKENGECPDGNGHVKFNKPIVQMGGRVJGUCORNGUCVCP
CRRTQRTKCVGVGORGTCVWTG

+HTQWIJVGTTCKPOWUVDGETQUUGFRTQVGEVUCORNGUKP
VJG )TQWR  CPF )TQWR & ECVGIQTKGU D[ RCFFKPI
CTQWPF VJG UKFGU DQVVQO CPF VQR QH VJG EQTG
EQPVCKPGTU

6TCPURQTVCVKQP D[ RCUUGPIGT ECT QT CKT HTGKIJV

TCVJGTVJCPXCPQTVTWEMOC[DGOQTGCRRTQRTKCVG
HQT HTCIKNG EQTG  *QYGXGT KH CKT HTGKIJV KU WUGF
GPUWTG VJCV VJG UCORNGU CTG VTCPURQTVGF KP C
JGCVGFRTGUUWTK\GFEQORCTVOGPV+HVJGEQTGKUVQ
DGVTCPURQTVGFKPVJGDGFQHCVTWEMVJGTGUJQWNFDG
PQ JGCX[ QDLGEVU VJCV EQWNF UNKFG QT TQNN KPVQ VJG
UCORNGEQPVCKPGTU

6JG FTKXGT QH VJG XGJKENG ECTT[KPI VJG UCORNGU

UJQWNFDGVJQTQWIJN[KPUVTWEVGFKPVJGTGSWKTGFECTG
QHVJGUCORNGU

6JGXGJKENGECTT[KPIVJGUCORNGUUJQWNFDGKPIQQF
OGEJCPKECNEQPFKVKQP#DTGCMFQYPQPVJGVTCPU
RQTV TQWVG EQWNF NGCXG VJG UCORNGU GZRQUGF VQ
GZVTGOGYGCVJGTEQPFKVKQPU

%QOOGTEKCN ECTTKGTU UJQWNF DG WUGF QPN[ YJGP

UCORNGUCTGPQVUGPUKVKXGVQUJKRRKPIFCOCIGCPF
KPJQWUG HQTEGU CPF GSWKROGPV CTG WPCXCKNCDNG
%QOOGTEKCN ECTTKGTU UJQWNF DG WUGF QPN[ KH VJG
ECTTKGTKUECRCDNGQHFGNKXGTKPIVJGUCORNGUKPVJG
FGUKTGF EQPFKVKQP  6JG UCORNG EWUVQFKCP UJQWNF
GPUWTGVJCVCNNUCORNGECTGTGSWKTGOGPVUCTGENGCTN[
KPFKECVGFQPVJGNCFKPIFQEWOGPVU

425

[email protected]
 FIELD MANUAL

Upright Handling and Shipping of Samples

(QT UQOG V[RGU QH UVWFKGU QT VGUVKPI UWEJ CU VJQUG
RGTHQTOGFQPNKSWGHKCDNGUCPFUCPFUGPUKVKXGENC[UVJG
UCORNGUOWUVPGXGTNGCXGVJGXGTVKECNQTWRTKIJVRQUKVKQP
+H UCORNGU UJQWNF PGXGT NGCXG VJG XGTVKECN QT WRTKIJV
RQUKVKQPVJGHQNNQYKPIUJQWNFDGEQPUKFGTGF

5CORNGUVJCVOWUVTGOCKPKPVJGXGTVKECNRQUKVKQP
UJQWNF DG QDVCKPGF YKVJ C VJKPYCNN RWUJVWDG
UCORNGT6JGUGUCORNGUCTGVJGGCUKGUVVQJCPFNG
QPEGVJG[CTGQWVQHVJGITQWPF6JGGPFUECPDG
GCUKN[UGCNGFYKVJGZRCPFCDNGRCEMGTU

+H VJKPYCNN RWUJ VWDG UCORNGU CTG PQV VCMGP

UCORNGNGPIVJUCPFFKCOGVGTUUJQWNFDGMGRVVQC
OKPKOWO5KZKPEJ
EOFKCOGVGTEQTGVJCVKU
HGGV
ONQPIKUCDQWVVJGOCZKOWOUK\GVJCV
UJQWNFDGQDVCKPGF5CORNGUNCTIGTVJCPVJKUCTG
XGT[FKHHKEWNVVQJCPFNGKPCP[RQUKVKQP

5CORNGUUJQWNFPGXGTDGTGOQXGFHTQOVJGNKPGTQT
UCORNKPIVWDG

5CORNG VWDGU UJQWNF DG OCTMGF UQ VJCV VQR CPF

DQVVQOCTGGCUKN[FKUEGTPCDNG

4CEMU VJCV YKNN JQNF VJG UCORNGU KP CP WRTKIJV

RQUKVKQPOWUVDGFGUKIPGFCPFDWKNVHQTVJGUK\GQH
UCORNGDGKPIVCMGP

5CORNGU VJCV OWUV DG VTCPURQTVGF EQOOGTEKCNN[

UJQWNF DG RCEMGF KP C YQQF DQZ 6JG[ UJQWNF DG
KPUWNCVGF CICKPUV VGORGTCVWTG EJCPIGU CPF
RTQVGEVGF CICKPUV OQXGOGPV YKVJKP VJG DQZ  6JG
RCEMKPI DQZ UJQWNF DG ENGCTN[ OCTMGF VQ KPFKECVG
YJKEJ UKFG KU VQ TGOCKP WR VJCV VJG EQPVGPVU CTG
HTCIKNG CPF VJCV VJG EQPVGPVU TGSWKTG RTQVGEVKQP
HTQOHTGG\KPI

426

[email protected]
 HANDLING AND TRANSPORTING SAMPLES

5VQTCIG'PXKTQPOGPV

#NN UCORNGU UJQWNF DG ITQWRGF CEEQTFKPI VQ UVQTCIG

TGSWKTGOGPVUCPFUVQTGFUQVJCVCKTECPEKTEWNCVGCTQWPF
VJGUCORNGQTUCORNGEQPVCKPGT
HKIWTG5CORNGU
VJCV CTG UGPUKVKXG VQ OQKUVWTG NQUU UJQWNF DG UVQTGF CV
TQQOVGORGTCVWTG
 u(u%CPFCVCRRTQZKOCVGN[
RGTEGPVTGNCVKXGJWOKFKV[*KIJGTNGXGNUQH TGNCVKXG
JWOKFKV[ ECP ECWUG HWPICN ITQYVJ  5CORNGU KP OGVCN
VWDGU UJQWNF DG RTQEGUUGF CU UQQP CU RTCEVKECN VQ
OKPKOK\G UCORNG EJCPIGU VJCV OKIJV QEEWT DGECWUG QH
KPVGTCEVKQPDGVYGGPVJGUCORNGCPFVJGOGVCNQHVJGVWDG

9QQFDQZGUEQPVCKPKPIUCORNGUUJQWNFDGRTQVGEVGFHTQO
TGRGCVGFYGVVKPICPFFT[KPI6JKUEQWNFECWUGYCTRKPI
CPF FGNCOKPCVKPI QH VJG YQQF  6JG DQZGU UJQWNF DG
RTQVGEVGFCICKPUVFCOCIGD[KPUGEVUCPFTQFGPVU

Recommended Equipment

(QNNQYKPI KU C NKUV QH GSWKROGPV PGEGUUCT[ VQ RTQEGUU

JCPFNGCPFVTCPURQTVGKVJGTTQEMQTUQKNUCORNGU

8KP[NKFGPG EJNQTKFG
5CTCP YTCR HKNO CNWOKPWO
HQKNYCZFQYPURQWV28%QTUKOKNCTVWDKPI

5VQXGVQOGNVYCZ

.WEKVGQT28%VWDKPI

5CYFWUVTWDDGT5V[TQHQCOQTOCVGTKCNQHUKOKNCT
TGUKNKGPE[VQEWUJKQPVJGEQTG

/KUEGNNCPGQWU GSWKROGPV UWEJ CU CFJGUKXG VCRG

CPFYCVGTRTQQHHGNVVKROCTMGTU

427

[email protected]
 FIELD MANUAL

9QQFFKUMURTGYCZGFKPEJ
OOVJKEMYKVJC
FKCOGVGTUNKIJVN[NGUUVJCPVJGKPUKFGFKCOGVGTQH
VJGVJKPYCNNVWDG

6CRGGKVJGTYCVGTRTQQHRNCUVKEQTFWEVVCRG

%JGGUGENQVJ

%CRUGKVJGTRNCUVKETWDDGTQTOGVCNVQDGRNCEGF
QXGTVJGGPFQHVJKPYCNNVWDGU

2NCUVKE QT OGVCN GZRCPFCDNG GPF ECRU VQ UGCN VJG

GPFU QH UCORNGU YKVJKP VJKP YCNN VWDGU D[
OGEJCPKECNN[ GZRCPFKPI CP 1  TKPI CICKPUV VJG
VWDGYCNN

2NCUVKE QT INCUU LCTU YKFGOQWVJGF YKVJ TWDDGT

TKPIGF NKFUQTNKFUNKPGFYKVJCEQCVGFRCRGTUGCN
EQOOQPN[ ‡ RKPV
 OKNNKNKVGT =O.? CPF SWCTV

O.

$CIUGKVJGTRNCUVKEQTDWTNCRYKVJYCVGTRTQQHNKPGT

2NCUVKERCKNUYKVJCKTVKIJVNKFU

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 HANDLING AND TRANSPORTING SAMPLES

5JKRRKPIEQPVCKPGTUGKVJGTDQZQTE[NKPFTKECNV[RG
QHRTQRGTEQPUVTWEVKQPVQRTQVGEVCICKPUVXKDTCVKQP
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 Chapter 24

CARE, RETENTION, AND DISPOSAL

OF DRILL CORE, SOIL, AND
ROCK SAMPLES

General

These guidelines for the care, retention, and disposal of

drill core, soil, and rock samples apply to (1) foundation
exploration for structures, such as dams, canals, tunnels,
powerplants and pumping plants, (2) construction
materials investigations including riprap and borrow, and
(3) safety of existing structures investigations. Sample
retention and disposal guidelines for concrete aggregate,
pozzolan, land classification, drainage (except for
drainage structures), and hazardous waste studies are
excluded.

These guidelines are intended to maximize care of

samples and cores, minimize storage costs, meet mini-
mum technical requirements, and avoid unnecessarily
long storage periods. Special circumstances or needs may
require modification of the guidelines.

These guidelines apply to rock and soil core and samples

taken without special sampling sleeves, tubes, or con-
tainers. When undisturbed samples taken in sleeves or
containers or undisturbed hand-cut samples are
specifically intended for laboratory examination or testing
to supply design data, the samples should be taken,
prepared, cared for, and handled in accordance with
USBR 7100 [1] and USBR 7105 [2]. Undisturbed samples
should be shipped immediately to avoid deterioration and
changes in physical properties. Chapter 23 describes
proper procedures for protecting and shipping samples.
Appropriate logs, sample data sheets, or other pertinent
information should be submitted with the samples.

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Location of Storage Facilities

The preparation of an adequate log or description of the

core or samples should be done before storing and sub-
sequently disposing of samples. If the sampled material,
such as slaking shales, breaks down upon drying and
loses in-place characteristics during storage, it may be
better to drill new holes than to store large quantities of
core that will seldom be looked at or will lead to wrong
interpretations if inspected or tested after years of
storage.

The following are the general requirements for storage of

core and samples:

1. Provide minimum storage conditions. (See the

next section, “Conditions of Storage.”)

2. Eliminate unsupervised storage. The storage

facility should be at or near the site of a project or
investigation.

3. Minimize transferring core and samples from one

storage facility to another because work on a
structure site or project progresses through suc-
cessive stages of investigation and construction.

4. Provide accessibility so that minimum travel is

required for examination of the core and samples.
Frequent inspection may be necessary for design
purposes and for prospective bidders on construc-
tion specifications.

5. Survey existing unused space before constructing

or acquiring new space or use space initially
provided for other purposes but adaptable to core
and sample storage. For example, the lower

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floors and galleries of many powerplants and

some pumping plants or buildings erected for
temporary use during construction have storage
space.

Storage During Investigations

Core and samples should be kept at the nearest existing

storage facility. A new storage facility should be estab-
lished only if required by the location, the amount of core
and number of samples anticipated, and the duration of
investigation or access convenience. In some instances
during periods when actual drilling and sampling opera-
tions are in progress, temporary storage at the site may
be required to facilitate logging, selection of samples, or
ready reference while geologic, soils, or other field studies
are in progress. Temporary onsite storage should be
limited to short periods of actual need and should prevent
damage or deterioration of the core and samples.

When a field office maintaining core storage facilities is

closed following preliminary investigations, core and sam-
ples no longer required should be discarded (see section
entitled Retention of Rock Core and Samples), and the
remaining core and samples should be transferred to an
appropriate location. When exploration is resumed, the
core should be examined to determine whether the
samples are still useful or whether redrilling is necessary.

Storage During Construction

Core and samples should be stored locally during con-

struction. The core and samples provide foundation and
materials data to geologists, designers, and construction
personnel during construction and claim processing.

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At the close of construction, special samples should be

selected for possible future testing (See the section on
“Retention of Rock Core and Samples”). Sample selection
is better when personnel familiar with the core, samples,
and foundation conditions are available.

At the close of construction, arrangements should be made

for continued storage of core and samples until applicable
core and sample retention criteria have been met. The
core and samples should remain at the local storage
facility, if practical.

Storage During Operation and Maintenance

Any transfer of a structure from one organization to

another should include arrangements for core and sample
storage until the applicable standard core and sample
retention periods are met.

Conditions of Storage

The minimum conditions for core and sample storage are:

1. Protection against wetting and drying but not

against temperature changes. Cores that might
be damaged by drying or freezing should be
appropriately protected.

2. Protection against unauthorized access, damage,

vandalism, and snake or rodent infestation.

3. Grouping core boxes and samples by drill hole

number, investigation site, and project and stack-
ing to permit reasonably easy access and exami-
nation. The core and samples should be
accessible without excessive unstacking and
moving of adjacent core boxes and samples. The

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safe height of core box or sample stacks depends

on the strength of the boxes and reasonable ease
of handling. Core box racks should be provided
only when repeated reexamination and study are
anticipated and when the time saved by having
the boxes separated in units of four or five boxes
would be cost effective.

4. The office responsible for storage should maintain

adequate records including copies of final logs,
photographs, inventory, and location map of the
core and samples stored at each core and sample
storage location. The records should include the
name of the feature or investigation site, drill
hole number, number of boxes and samples, and
whether the cores or samples have been tested.

Length of Storage

Proposed Structures or Projects

All core and samples collected during site investigations

should be kept until the proposed structure, unit, or pro-
ject is built and has performed satisfactorily for a period
of time or is abandoned. The following are exceptions.

Appraisal.—Core and samples obtained in investigations

for dams, canals, etc., should be disposed of at the end of
appraisal stage investigations, such as the abandonment
of a proposed structure site or completion of recon-
naissance designs and estimates, except in special cases.

Feasibility.—Disturbed soil samples from borrow pit

investigations obtained during feasibility stage investiga-
tions and not used for testing should be discarded at the
end of the investigations unless interest in the project is

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sufficient to ensure continuing development. If, at the

end of 1 year, further development work has not
materialized, the samples should be discarded on the
assumption that deterioration makes tests on the samples
unreliable.

Undisturbed soil samples can be discarded after 1 year.

Design Investigations and Completed Structures

or Projects

Requirements for length of storage for various types of

samples and core are as follows:

Borrow Pit Investigations for Design.—Borrow pit

soil samples collected for design investigations should be
retained until construction is complete and all claims are
settled except as the samples are consumed in routine
testing.

Borrow Investigations for Construction Control.—

Soil samples collected for construction control investiga-
tions and field laboratory testing should be discarded
after completion of the field laboratory testing and all
claims are settled.

Record Samples from Fill.—Samples collected for

record tests and not consumed should be retained unless
the number of samples is more than necessary to repre-
sent the materials used for construction.

Foundation Core and Samples.—Foundation core and

samples obtained during design and construction investi-
gations and not consumed in testing may be disposed of
when the following requirements are met:

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1. Canals and distribution systems including pipe-

lines, minor or small engineering structures, and
low dikes or embankments are trouble free for
1 year.
2. Large or major engineering structures such as
dams, powerplants or pumping plants, main
feeder canals, and main power conduits are
trouble free for 5 years. The 5-year time period
should begin after operating level reservoir filling
for large dams. Representative core and samples
from a few representative drill holes should be
kept for the life of the structure.
3. Contractual negotiations and settlement of claims
which might involve reinspection or testing of the
core or samples are complete.
4. Initial safety of dams analysis, modification, and
construction activities are complete.

Disposal of Core and Samples

Photographs and an adequate log or description of the

core and samples should be available before disposal.
When the minimum retention periods and other
requirements outlined above have been met, concurrence
of the design and operation and maintenance (O&M)
offices should be obtained by the office responsible for the
core or samples before any core or samples are discarded.

The responsible office should consider giving the State

Geologist’s Office, technical schools, colleges, museums, or
similar groups the opportunity to select samples or retain
the core.

The recommended disposal procedure is to place per-

manent markers in the core boxes, wrap the boxes in
plastic, and bury the boxes in a marked location.

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Retention of Rock Core and Samples

If selected cores or samples are retained as representative

of the foundation and dam, appropriate assistance in
selecting the samples is necessary. Assistance can
usually be obtained from the design office.

To facilitate storage, handling, and inspection, standard

core box sizes and labeling procedures should be used.
Core boxes should withstand a reasonable amount of
careful handling, stacking, and shipping when filled with
rock core.

To help identify the boxes when stacked, information

should be shown on one end and the top of each core box.
Temporary labeling of core boxes used while drilling a
hole should be replaced with permanent labeling of core
boxes which will remain legible after handling, stacking,
or storing for long periods. A map or an index file of drill
hole core should be maintained which shows the location
of drill hole core if the boxes are stored in a large or con-
gested storage area.

Bibliography

Bureau of Reclamation, U.S. Department of the

Interior, USBR-7100, “Obtaining Undisturbed Block
Samples by the Hand and Chain Saw Methods,” Earth
Manual, Part II, 3rd edition, 1990.

Bureau of Reclamation, U.S. Department of the

Interior, USBR-7105, “Performing Undisturbed Soil
Sampling by Mechanical Drilling Methods),” Earth
Manual, Part II, 3rd edition, 1990.

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 Chapter 25

GLOBAL POSITIONING
SYSTEM

System Description

The Navigation Satellite Time and Ranging (NAVSTAR)

Global Positioning System (GPS) is a space-based satellite
radio navigation system developed by the U. S. Depart-
ment of Defense (DoD). GPS receivers provide land,
marine, and airborne users with continuous three-
dimensional (3D) position, velocity, and time data (PVT).
This information is available free of charge to an
unlimited number of users. The system operates under
all weather conditions, 24 hours a day, anywhere on
Earth. The Union of Soviet Socialist Republics developed
a similar system that is generally not used because it is a
duplication of the NAVSTAR function.

GPS System Design

The GPS system consists of (1) the space segment, (2) the
control segment, and (3) the user segment.

Space Segment.—The space segment consists of a

nominal constellation of 24 operational satellites
(including 3 spares) that have been placed in 6 orbital
planes 10,900 miles (20,200 kilometers [km]) above the
Earth’s surface. The satellites are in circular orbits with
a 12-hour orbital period and an inclination angle of
55 degrees. This orientation provides a minimum of five
satellites in view at any time anywhere on Earth. Each
satellite continuously broadcasts two low-power, spread-
spectrum, RF Link signals (L1 and L2). The L1 signal is
centered at 1575.42 megahertz (MHz), and the L2 signal
is centered at 1227.6 MHz.

Control Segment.—The control segment consists of a

Master Control Station (in Colorado Springs) and a

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number of monitor stations at various locations around

the world. Each monitor station tracks all the GPS satel-
lites in view and passes the signal measurement data
back to the Master Control Station. Computations are
performed at the Master Control Station to determine a
precise satellite ephemeris and satellite clock errors.
These data are then uplinked to the individual satellites
and, subsequently, rebroadcast by the satellite as part of
a navigation data message.

User Segment.—The user segment is all GPS receivers

and their application support equipment such as
antennas and processors. This equipment allows users to
receive, decode, and process the information necessary to
obtain accurate position, velocity, and timing measure-
ments. These data are used by the receiver’s support
equipment for specific application requirements.

GPS Basic Operating Concepts

Satellite Signals.—The satellites transmit their signals

using spread-spectrum techniques that employ two
different spreading functions: a 1.023-MHZ coarse/
acquisition (C/A) code on L1 only and a 10.23-MHz
precision (P) code on both L1 and L2. The two spreading
techniques provide two levels of GPS service: Precise
Positioning Service (PPS) and Standard Positioning
Service (SPS). SPS uses C/A code to derive position, while
PPS uses the more precise P-code (Y-code).

C/A Code.—The C/A code is a 1,023 bit nonrepeating code

sequence with a clock rate of 1.023 MHZ. The satellite
repeats the code once every millisecond. Each satellite is
assigned a unique C/A code that is chosen from a set of
codes known as Gold Codes.

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P(Y)-Code.—The P-code consists of a 2.36e+14 bit

nonrepeating code sequence with a clock rate of
10.23 MHZ. The entire code would take 267 days before
a repetition occurs; however, each satellite is assigned a
unique 1-week segment of this code that restarts every
Saturday/Sunday midnight.

The P-code has a number of advantages over C/A code.

(1) The P-code rate is 10 times faster; therefore, the
wavelength is 1/10th as long, giving the P-code a much
higher resolution. (2) The higher rate spreads the signal
over a wider frequency range (see figure 25-1). This
frequency spreading makes the P-code much more
difficult to jam. (3) By encrypting the P-code (creating
Y-code), the receiver is not susceptible to spoofing (false
GPS signals intended to deceive the receiver).

The drawback of P-code is that it is relatively difficult to

acquire because of its length and high speed. For this
reason, many PPS receivers first acquire C/A code, then
switch over to the P(Y)-code. Y-code is an encrypted

Figure 25-1.—Satellite signal structure.

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version of P-code that is used for anti-spoofing (A-S).

Because of the similarity of these two codes, they are
referred to collectively as P(Y)-code.

Navigation (NAV) Message

Superimposed on both the P-code and the C/A code is a

navigation (NAV) message containing satellite ephemeris
data, atmospheric propagation correction data, satellite
clock-bias information, and almanac information for all
satellites in the constellation.

The navigation message consists of 25 1,500-bit frames

and is broadcast at 50 bits per second. It takes 30 seconds
to receive a data frame or 12.5 minutes to receive all
25 data frames. Each satellite repeats its own ephemeris
data and clock bias every frame along with a portion of
the almanac. The receiver will receive the critical acquisi-
tion information within 30 seconds, but a full almanac
will require 12.5 minutes to download.

Signal Acquisition.—The GPS satellites use Bi-Phase

Shift Keyed (BPSK) modulation to transmit the C/A and
P(Y)-codes. The BPSK technique involves reversal of the
carrier phase whenever the C/A or P(Y)-code transitions
from 0 to 1 or from 1 to 0.

To the casual observer, the very long sequence of ones and

zeros that make up the C/A and P-codes appears random
and blends into the background noise. For this reason,
the codes are known as pseudo-random noise (PRN).

In actuality, the C/A and P-codes generated are precisely

predictable to the start time of the code sequence and can
be duplicated by the GPS receiver. The amount the
receiver must offset its code generator to match the

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Figure 25-2.—Satellite ranging intersections.

incoming code from the satellite is directly proportional to

the range between the GPS receiver antenna and the
satellite.

By the time the spread-spectrum signal arrives at the

GPS receiver, the signal power is well below the thermal
noise level. To recover the signal, the receiver uses a
correlation method to compare the incoming signals with
its own generated C/A or P(Y) codes. The receiver shifts
its generated code until the two codes are correlated.

Satellite Ranging.—The receiver continuously deter-

mines its geographic position by measuring the ranges
(the distance between a satellite with known coordinates
in space and the receiver’s antenna) of several satellites
and computes the geometric intersection of these ranges.
To determine a range, the receiver measures the time
required for the GPS signal to travel from the satellite to
the receiver antenna. The resulting time shift is
multiplied by the speed of light, arriving at the range
measurement.

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Because the resulting range measurement contains

propagation delays caused by atmospheric effects as well
as satellite and receiver clock errors, the measurement is
referred to as a "pseudorange." A minimum of four
pseudorange measurements are required by the receiver
to mathematically determine time and the three compo-
nents of position (latitude, longitude, and elevation). The
solution of these equations may be visualized as the
geometric intersections of ranges from known satellite
locations (see figure 25-2). If one of the variables, such as
elevation, is known, only three satellite pseudorange
measurements are required for a PVT solution, and only
three satellites would need to be tracked.

GPS Accuracy

GPS accuracy has a statistical distribution that depends

on a number of important factors, including dilution of
precision (DOP) satellite position and clock errors,
atmospheric delay of the satellite signals, selective
availability (SA), signal obstruction, and multipath
errors.

Dilution of Precision

Geometric Dilution of Precision (GDOP) is a measure of

the amount of error due to the geometry of the satellites.
The errors in the range measurements that are used to
solve for position may be magnified by poor geometry.
The least error results when the lines of sight have the
greatest angular separation between satellites.

There are four other DOP components that indicate how

the geometry specifically affects errors in horizontal
position (HDOP), vertical position (VDOP), position
(PDOP), and time (TDOP). DOPs are computed based on

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the spatial relationships between the satellites and the

user and vary constantly due to the motion of the
satellites. Lower DOPs mean more accurate estimates.
A PDOP less than six is necessary for accurate GPS
positioning.

Satellite Position and Clock Errors

Each satellite follows a known orbit around the earth and

contains a precise atomic clock. The monitor stations
closely track each satellite to detect any errors in the orbit
or the clock. Corrections for errors are sent to each
satellite as ephemeris and almanac data. The ephemeris
data contain specific position and clock correction data for
each satellite while the almanac contains satellite
position data for all satellites. The NAV set receives the
ephemeris and almanac data from the satellites and uses
these data to compensate for the position and clock errors
when calculating the NAV data.

Atmospheric Delay of Satellite Signals

Electromagnetic signals (such as GPS signals) travel at

the speed of light, which is always a constant in a vacuum
but not in the atmosphere. There are two layers of the
Earth’s atmosphere that affect satellite signals, the
ionosphere and the troposphere.

The ionosphere is a 90-mile (150-km) thick layer of the

upper atmosphere in which ultraviolet radiation from the
sun has ionized a fraction of the gas molecules, thereby
releasing free electrons (ions). The shape of the iono-
sphere and its electron density varies with latitude, time
of day, time of year, number of sunspots, solar flares, and
other cosmic activity. The magnitude of the error caused
by ionospheric effects can translate to a position error as
large as 130 ft (40 m).

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The troposphere is the dense, humid layer of atmosphere

near the surface of the Earth. This layer refracts the
satellite signals in proportion to the humidity and density
of the air. The magnitude of the tropospheric error can be
as small as 8 ft (2.3 m) at the zenith, or as large as 65 ft
(20 m) at 10 degrees above the horizon.

There are two ways to compensate for the atmospheric

delays: modeling and direct measurement. The iono-
spheric and tropospheric delays are inversely proportional
to the square of the frequency. If a receiver can receive L1
and L2 frequencies, it can measure the difference between
the two signals and calculate the exact atmospheric delay.

Most receivers currently use mathematical models to

approximate the atmospheric delay. The tropospheric
effects are fairly static and predictable, and a model has
been developed that effectively removes 92-95 percent of
the error. This reduces the total two-dimensional (2D)
position error caused by the troposphere to around 8 ft
(2.0 m).

The ionosphere is more difficult to model because of its

unusual shape and the number of factors that affect it. A
model has been developed that requires eight variable
coefficients. Every day, the control segment calculates the
coefficients for the ionospheric model and uplinks them to
the satellites. The data are then rebroadcast in the NAV
messages of the C/A and P(Y)-codes. This model can
effectively remove 55 percent of the ionospheric delay,
reducing the total 2D position error caused by the
ionosphere to around 25 ft (7.5 m).

Selective Availability and Anti-Spoofing

GPS satellites provide two levels of navigation service:

Standard Position Service and Precise Position Service.

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SPS receivers use GPS information that is broadcast in

the clear and is available to anyone in the world. This
information may contain built-in errors that limit the
accuracy of the receiver. This is a security technique
called Selective Availability (SA). These SA errors are
variable. In normal conditions, the U.S. Government
guarantees that these errors do not exceed 100 m
horizontal, 140 m vertical, and time accuracy of
340 nanoseconds, 95 percent of the time. There are times
when an SPS receiver error exceeds these limits.
SPS receivers are for civil use, and SA may or may not be
on.

PPS receivers use the same information as SPS receivers.

PPS receivers also read encoded information that contains
the corrections to remove the intentional SA errors. Only
users who have crypto keys to decode this information get
the PPS accuracy. U.S. Government agencies and some
Allies are authorized to have these crypto keys. A
receiver with valid crypto keys loaded and verified is a
PPS receiver.

To protect authorized users from hostile attempts to

imitate the GPS signals, a security technique called anti-
spoofing is also used. This is an encrypted signal from the
satellites that can be read only by PPS receivers.
SPS receivers are not capable of using anti-spoofing. A
receiver with valid crypto keys loaded and verified reads
this encrypted signal and operates in a spoofing
environment.

GPS Signal Obstruction

Normal operation of the GPS receiver requires

undisturbed reception of signals from as few as four
satellites (in normal 3D mode) or three satellites in fixed-

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elevation mode. The signals propagating from the

satellites cannot penetrate water, soil, walls, or other
similar obstacles.

The antenna and the satellites are required to be in "line-

of-sight" with each other. GPS cannot be used for under-
ground positioning in tunnels, mines, or subsurface
marine navigation. In surface navigation, the signal can
be obscured by buildings, bridges, trees, and other matter
that might block an antenna’s line-of-sight from the
GPS satellites. In airborne applications, the signal can be
shaded by the aircraft’s body during high banking angles.
For moving users, signal shading or temporary outages
are generally transitory and should not degrade the
overall positioning solution.

The GPS receiver uses five channels to minimize the

effects of obstruction. During normal operation, four
channels track the four primary GPS satellites while the
fifth channel tracks the remaining visible satellites and
recovers the ephemeris data for each satellite. If one or
more of the primary satellites are obscured, the receiver
contains the data to support rapid acquisition of
alternative satellites.

If only three satellites can be tracked, receivers may fea-

ture an “Elevation Hold” mode and continue to navigate
as previously noted. The accuracy of the PVT in this
mode will not be greatly affected unless the elevation
changes. The receiver will use either the last computed
elevation or an elevation provided by the user or host
system. The accuracy of the “Elevation Hold” mode
depends on the accuracy of the elevation provided to the
receiver.

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Multipath Interference

Multipath errors result from the combination of data from

more than one propagation path. These errors distort the
signal characteristics of the range measurements and
result in pseudorange errors. These errors depend on the
nature and location of a reflective surface peculiar to each
user location. The effects are less detrimental for a
moving user because small antenna movements can
completely change the multipath characteristics.

The receiver is designed to reject multipath signals. First,

the active patch antennas are designed to have a sharp
gain roll-off near the horizon while providing nominal
gain for the primary satellite signal. Since most multi-
path signals are reflected from ground structures, they
tend to be attenuated. Second, the antenna is right-hand
polarized. When a right-hand polarized GPS signal is
reflected off a conductive surface, the signal becomes left-
hand polarized and rejected by the antenna. The receiver
also has hardware and software designed to reduce the
effects of any multipath interference errors.

Differential GPS

Differential GPS (DGPS) may be used to eliminate the

effects of SA and correct certain bias-like errors in the
GPS signals. A Reference or Base Station Receiver
measures ranges from all visible satellites to its surveyed
position. Differences between the measured and
estimated ranges are computed and saved for post
processing or transmitted by radio or other signals to
differential equipped receivers. Sub-meter to centimeter
position accuracy is possible using local base station
differential GPS.

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Quality of Measurement

The accuracy with which positions are determined using

GPS depends on two factors—satellite geometry and user
measurement accuracy.

Satellite Geometry

Satellite geometry effects on specific position solutions

can be expressed as dilution of precision. DOP is used to
describe the contribution of satellite geometry to total
positioning accuracy. An ideal satellite constellation
would not dilute the positioning accuracy.

Ideal Satellite Constellation

The term, “current satellite constellation,” refers to the

satellites being used in the current position solution.
When the current satellite constellation geometry is ideal,
the DOP value is 1. This means the current satellite con-
stellation contributes a “dilution factor” of 1 to positioning
accuracy. Most of the time, the satellite geometry is not
ideal, which means the current satellite constellation
geometry "dilutes the precision" of the positioning
accuracy. As the satellite constellation becomes less ideal,
the adverse effect on positioning accuracy is greater. The
dilution will change over time as satellites travel along
their orbits, as different satellites are used to solve for
GPS position, and as the user moves.

DOP Effects

The effect of satellite geometry is not equally distributed

in all three positional vectors (x, y, and z in Earth-
centered, Earth-fixed coordinates). Several DOP related
values are commonly used. Table 25-1 shows expected
values for HDOP, VDOP, and others. The range given for

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Table 25-1.—Expected values of dilution of precision

68-percent 95-percent
probability of probability
DOP Description obtaining of obtaining

HDOP Horizontal DOP is the 1.50 1.78

satellite geometry
factor in the 2D hori-
zontal position solution.

VDOP Vertical DOP is the 2.08 2.70

satellite geometry
factor in the vertical
position (elevation)
solution.

PDOP Positional DOP is the 2.56 3.23

satellite geometry
factor in the 3D position
solution.

PDOP =  2 2

 HDOP + VDOP 

TDOP Time DOP is the N/A N/A

satellite geometry
factor in the time
solution.
HTDOP Horizontal and time N/A N/A
DOP is the satellite
geometry factor in the
2D horizontal position
and time solutions.
HTDOP = SQRT (HDOP2 + TDOP2)

GDOP Geometrical DOP is the 2.79 3.61

satellite geometry
factor in the 3D position
and time solutions.
GDOP = SQRT (HDOP2 + VDOP2 + TDOP2)

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VDOP, HDOP, GDOP, and PDOP assumes a 5-degree

antenna mask (signals 5 degrees or more above the
horizon) and a 24 satellite constellation.

Unique user conditions, such as more than 5 degrees of

antenna masking (e.g., in deep canyons), satellite outages,
and poor constellation choice may result in a degraded
DOP.

Quality Indicators

The indicators of solution quality are computed based on

several things. These include uncertainties in receiver
measurement processes, current satellite constellation
geometry, and errors as reported by the satellites, such as
the User Range Accuracy (URA) index. There are dif-
ferent measures of quality. A quality indicator must be
selected based on the requirements of the application and
how meaningful that measure will be. Some measures of
quality indicators are shown below.

Circular Error Probable.—Circular Error Probable

(CEP) is an estimate of horizontal accuracy that expresses
the radius of a circle in the horizontal plane that will
contain at least 50 percent of the GPS 2D positional
solutions. CEP is generally expressed in meters; a
smaller value indicates a higher quality 2D position
solution. CEP is not desirable as a quality measure for
navigation systems because a 50-percent probability is too
small. This measure can be useful in some applications,
for example, a bombing run where a better than
50-percent chance of hitting a target is required. CEP is
not available from all GPS units. However, CEP may be
estimated by the following equation.

CEP = 0.8323* EHE

EHE is the expected horizontal error.

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R95.—R95 is similar to CEP except that the circle

contains at least 95 percent of the GPS 2D positional
solutions. R95 is generally expressed in meters, and a
smaller value indicates a higher quality 2D position. R95
is better than CEP as a measure for navigation systems
because a 95-percent probability is more commonly
associated with navigation requirements. R95 is not
available from all GPS units. However, it may be
estimated by the following equation.

R95 = 1.731 * EHE

Spherical Error Probable.—Spherical error probable

(SEP) is an estimate of 3D accuracy that is the radius of
a sphere that will contain at least 50 percent of the GPS
3D positional solutions. SEP is generally expressed in
meters, and a smaller value indicates a higher quality 3D
position solution. SEP is not desirable as a quality mea-
sure for navigation systems for the same reason that CEP
is not; a 50-percent probability is too small. A spherical
model of errors is not well suited to the GPS model
because error probabilities in the horizontal plane are of
a smaller scale than those in the vertical plane (compare
HDOP to VDOP). This leads to more of a football shaped
error distribution than a spherical distribution. SEP is
not available from all GPS units.

Expected Position Error.—Expected position error

(EPE) is a 1-sigma calculation of 3D position solution
estimate of error. EPE is expressed in meters, and a
smaller EPE indicates a higher quality position solution.
Similarly computed values are often referred to,
including:

EHE, Expected Horizontal Error

(1-sigma estimate of 2D error)

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EVE, Expected Vertical Error

(1-sigma estimate of one-dimensional error)

EPE = ( EHE 2 + EVE 2 )

EPE is one of the best available indicators of quality for
navigation systems.

EPE can also be output as Figure of Merit (FoM). (See

below.)

Root Mean Square.—Root Mean Square (RMS) is a

1-sigma calculation of error in position. Horizontal RMS
is equivalent to EHE, vertical RMS is equivalent to EVE,
and 3D RMS is equivalent to EPE.

The above is true only if the mean values of the error

components are zero or the biases of the errors can be
independently determined and removed.

Figure of Merit.—Figure of Merit (FOM) is an

expression of EPE, as shown in table 25-2.

From a historical perspective, FOM was created at the

inception of GPS to provide users with a simple and quick
method of indicating the solution accuracy; it is still
widely used in many military applications today. It does
not have the granularity to take advantage of the
significant improvements in accuracies that may be
achieved today. FOM is available from some GPS units
on the display.

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Table 25-2.—FOM related to EPE

EPE
FOM (meters)
1 < 25
2 < 50
3 < 75
4 < 100
5 < 200
6 < 500
7 < 1,000
8 < 5,000
9 5,000

Expected Time Error.—Expected Time Error (ETE) is

a calculation of time error that is computed similarly to
EPE. ETE is a 1-sigma estimate of time solution error.
ETE is expressed in seconds, and a lower ETE indicates
a higher quality time solution. Some GPS units calculate
and output EPE in the form of Time Figure of Merit.

Time Figure of Merit.—Time Figure of Merit (TFOM)

is an expression of ETE as shown in table 25-3.

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Table 25-3.—TFOM related to ETE

TFOM ETE

1 < 1 nanosec
2 < 10 nanosec
3 < 100 nanosec
4 < 1 microsec
5 < 10 microsec
6 < 100 microsec
7 < 1 millisec
8 < 10 millisec
9 ≥ 10 millisec

User Measurement Accuracy

Several factors are involved in the receiver’s ability to

accurately measure the distance to the satellites. The
most significant factors in user measurement accuracy
are space and control segment errors, atmospherics, and
user equipment (UE) errors. These errors are generally
grouped together and referred to as User Equivalent
Range Error (UERE).

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User Equivalent Range Error

User Equivalent Range Error represents the combined

effect of space and control segment errors (satellite vehicle
position [ephemeris] and clock errors), atmospherics
(ionospheric and tropospheric), and user equipment
errors (receiver measurement uncertainties). UERE
cannot be broadcast by the satellites and can be estimated
only at the receiver. The point that sets UERE apart from
other measures of error is that UERE does not take into
account any satellite geometry effects, such as HDOP or
VDOP. Table 25-4 shows a typical error budget for a
P(Y)-code GPS receiver.

Table 25-4.—Typical GPS receiver error budget

Accuracy factor Error

Space and control segment 4.0 m

Ionospheric 5.0 m

Tropospheric 2.0 m

Receiver noise 1.5 m

Multipath 1.2 m

Miscellaneous 0.5 m

UERE = (4 2
+ 52 + 22 + 15
. 2 + 12
. 2 + 0.52 ) 7.0 m

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Space and Control Segment Errors

Satellites provide an estimate of their own satellite

position and clock errors. Each satellite transmits an
indication of these errors in the form of User Range
Accuracy (URA).

URA is a value transmitted by each GPS satellite that is

a statistical indicator (1-sigma estimate) of ranging
accuracies obtainable from that satellite. URA includes
all errors that the space and control segments are
responsible for—for example, satellite clock error and
SA error. URA has very coarse granularity, however.

The URA value is received in the form of an index related

to URA as shown in table 25-5.

The URA index broadcast by each satellite will change

over time. In practice, the control segment will upload
correction data to each satellite at least once every 24
hours. When a satellite first receives its upload, it should
have a very low URA index. The amount of error will
increase over time, because of things such as satellite
clock drift, and the URA index for that satellite will grow.
Some satellites’ URA index will grow more rapidly than
others.

In practice, authorized PPS users should expect to see

URA index values in the range of 0 to 5. More commonly,
values of 2-4 should be expected. The values depend on
the length of time since the last control segment upload to
that satellite.

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Table 25-5.—URA index and values

URA URA
index (meters)

1 0.00 < URA <= 2.40

2 2.40 < URA <= 3.40

3 3.40 < URA <= 4.85

4 6.85 < URA <= 9.65

5 9.65 < URA <= 13.65

6 13.65 < URA <= 24.00

7 24.00 < URA <= 48.00

8 48.00 < URA <= 96.00

9 96.00 < URA <= 192.00

10 192.00 < URA <= 384.00

11 384.00 < URA <= 768.00

12 768.00 < URA <= 1,536.00

13 1,536 < URA <= 3,072.00

14 3,072.00 < URA <= 6,144

15 6,144 < URA (or no accuracy prediction available)

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Wide Area GPS Enhancement

Wide Area GPS Enhancement (WAGE) is a feature

available in Precise Positioning Service PLGR+96
receivers. The WAGE feature uses encrypted satellite
data to reduce some space and control segment errors.

Each satellite broadcasts WAGE data that are valid for

6 hours after that satellite receives a data upload. These
data may be used to correct satellite clock errors on other
satellites that have not received an upload recently.
These clock corrections are used to reduce the error
caused by satellite clock biases when a period of time has
passed since the last upload to those satellites. It takes
approximately 12.5 minutes to download a complete
WAGE data set. Only WAGE data from the most recently
updated satellite are used in PLGR.

Atmospheric Errors

Atmospheric errors are those caused by the satellite

RF signal passing through the earth’s atmosphere. These
errors include ionospheric and tropospheric delays.

Ionospheric delay affects the GPS signal as it passes

through the earth’s ionosphere. The ionospheric delay to
GPS signals is very dynamic and depends on the time of
day, the elevation angle of the satellites, and solar flare
activity. Single frequency receivers use a modeled
estimate of the range error induced by GPS navigation
signals passing through the Earth’s ionosphere. It is very
difficult, however, to estimate the error in this model.

Dual frequency receivers measure this delay by tracking

both the GPS L1 and L2 signals. The magnitude of
the delay is frequency dependent, and the absolute

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delay on either frequency can be scaled from the

differential delay between L1 and L2.

Tropospheric delay is the expected measure of range error

induced by GPS navigation signals passing through the
Earth’s troposphere. This measure is based on satellite
elevation. Unlike the ionospheric delay, the tropospheric
delay is very predictable, and there is very little error in
the compensation.

User Equipment Errors

User equipment errors are those uncertainties in the

measurements that are inherent in the receiver’s
collection and computation of measurements. Several
factors influence these uncertainties, including the GPS
hardware, the design of the tracking loops, the code type
being tracked (C/A or P(Y)), and the strength of the
satellite signals. These uncertainties are taken into
account in the Kalman filter processing done in a PLGR
when computing EPE and ETE.

Multipath effects are caused by a signal arriving at the

receiver site over two or more different paths. The dif-
ference between the path lengths can cause them to
interfere with one another in the receiver. Buildings,
parking lots, or other large objects may reflect a signal
from a satellite, causing multipath effects. Signal aver-
aging can be used to minimize the effects of multipath
signals.

Error Source Summary

There are many factors that influence the accuracy of

GPS measurements. Many of the factors do not
contribute large errors but cumulatively are important.

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In practice, the three major sources of error are

(1) performing the survey when satellite geometry is poor,
(2) using equipment not designed to provide the desired
accuracy, and (3) mixing datums and coordinate systems.

Satellite Geometry

The most useful error measurement available is position

dilution of precision (PDOP). PDOP is a number derived
from the geometry of the visible satellites and changes as
the satellites move in their orbits. The smaller the PDOP
number, the better the satellite geometry. The PDOP
value should be six, or preferably less, for accurate GPS
work. Some GPS units display the PDOP or an accuracy
estimate in real time. Software is available that calcu-
lates the PDOP for any planned GPS survey and should
be used before conducting the survey to determine
whether accurate GPS work is possible at the planned
location and time. The software also can be used to
determine satellite positions and whether terrain or other
obstructions will affect the survey. Presurvey planning,
especially relative to PDOP, can make the difference
between a mediocre or failed GPS survey and a successful
survey.

Equipment

Using inappropriate equipment is another major factor in

GPS survey problems. The accuracy of the equipment
must be known, and the equipment must be used
properly. A small, inexpensive hand-held GPS unit can
provide an accuracy of 10s of feet when selective
availability is off and approximately 100 feet (30 m) when
SA is on. A PLGR (military GPS) can provide similar
accuracy when SA is on. A mapping grade GPS unit can
provide 1- to 2-ft (0.5-m) accuracy if the data are post-
processed and 3-ft (1-m) real-time accuracy if a satellite

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differential correction signal is available. Centimeter or

survey-grade accuracy is possible with a local differential
base station providing real-time or post-processing
correction of rover data. Do not expect more accuracy
than the equipment can deliver. Manufacturer estimates
of accuracy are generally better than what is commonly
encountered in the field.
The equipment must be well maintained. Many appar-
ently satellite related problems are caused by equipment
malfunctions, poorly charged batteries, or faulty cable
connections.

Datums and Coordinate Systems

An apparent GPS problem is introduced by collecting or

comparing position data based on different datums or
coordinate systems. Many old topographic maps and
surveys use the 1927 North American Datum (NAD27),
and most new survey data are based on the 1983 North
American Datum (NAD83). Also, some sites use a local
reference system that is not related to a regional datum
or coordinate system. Systematic errors are a good indica-
tion of a datum problem. Software is available that very
accurately converts between datums and coordinate
systems and is very useful for diagnosing and correcting
problems. Chapter 6 of Volume 1 contains a discussion of
datums, map projections, and coordinate systems.

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 APPENDIX

ABBREVIATIONS AND ACRONYMS

COMMONLY USED IN
BUREAU OF RECLAMATION
ENGINEERING GEOLOGY
AND RELATED
TO HAZARDOUS WASTE

(Many are modified from A.A.P.G. Committee

on Stratigraphic Correlations)

Acronyms and Abbreviations Commonly Used

in Bureau of Reclamation Engineering Geology

A Apparent trace

acre-ft Acre-feet

acre-ft/d Acre-feet per day

acre-ft/yr Acre-feet per year

AGI American Geological Institute

AP Analysis Plan

APSRS Aerial Photography Summary Record

System

ARAR Applicable or Relevant and Appropriate

Requirement

ASCS Agricultural Stabilization and

Conservation Service

ASTM American Society for Testing Materials

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ASTM/USCS American Society for Testing Materials/

Unified Soil Classification System

b As a suffix, with boulders

BJ Bedding joint

c As a suffix, with cobbles

CADD Computer assisted design and drafting

CERCLA Comprehensive Environmental

Response, Compensation, and
Liability Act

CH Fat clay

CL Lean clay

CL Cleavage

CL-ML Silty clay

cm Centimeter

cm2 Square centimeter

cm/s Centimeter per second

COC Contaminant of concern

D Dip trace

DI Durability Index

DLS Detail line survey

DNAPL Dense, nonaqueous phase liquid

DQOs Data Quality Objective

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EPA Environmental Protection Agency

ft Foot

ft2 Square foot

ft3 Cubic foot

ft3/s Cubic foot per second

ft/yr Feet per year

FJ Foliation joint

FSP Field Sampling Plan

FZ Fracture zone

g As a prefix, gravelly; as a suffix, with

gravel

gal Gallon

gal/min Gallon per minute

GC Clayey gravel

GC-GM Silty, clayey gravel

GC/MS Gas chromatograph/mass spectrometer

GC Gas chromatograph

GM Silty gravel

GP Poorly graded gravel

GP-GC Poorly graded gravel with clay

GP-GM Poorly graded gravel with silt

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GPS Global Positioning System

GW Well graded gravel

GW-GC Well graded gravel with clay

GW-GM Well graded gravel with silt

H1 Extremely hard

H2 Very hard

H3 Hard

H4 Moderately hard

H5 Moderately soft

H6 Soft

H7 Very soft

HASP Health and Safety Plan

HCl Hydrochloric acid

ID Inside diameter

IF Incipient fracture

IJ Incipient joint

in Inch

in2 Square inch

in3 Cubic inch

JT Joint

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 ABBREVIATIONS

k Hydraulic conductivity

kPa Kilopascal

kg/cm2 Kilogram per square centimeter

km Kilometer

kN Kilonewton

kN/m3 Kilonewton per cubic meter

L Liter

lbf/in2 Pound-force per square inch

lb/in2 Pounds per square inch

lb/ft3 Pounds per cubic foot

LCS Laboratory control standard

LL/PI Liquid limit/plasticity index

LNAPL Light nonaqueous phase liquid

L/sec Liter per second

m Meter

m2 Square meter

m3 Cubic meter

m3/s Cubic meter per second

m3/yr Cubic meter per year

MB Mechanical break

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MCL Maximum contaminant level

mg/Kg milligram per kilogram

MH Elastic silt

mi Mile

ML Silt

mm Millimeter

NAD North American Datum

NASC North American Stratigraphic Code

NCC National Cartographic Information

Center

NGI Norwegian Geotechnical Institute

NPDES National Pollutant Discharge

Elimination System

NTIS National Technical Information Service

NTU Nephelometric turbidity unit

OD Outside diameter

OERR Office of Emergency and Remedial

Response

OH Organic clay

OL Organic silt

OSHA Occupational Safety and Health

Administration

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Pa Pascals

PRP Possible responsible party

PCB Pentachlorobenzene

ppb Part per billion

ppm Part per million

PSI Pound-force per square inch

PT Peat

PVC Polyvinyl chloride

QAPP Quality Assurance Project Plan

QC Quality control

RCRA Resource Conservation Recovery Act

Reclamation U.S. Bureau of Reclamation

RF Random fracture

RMR Rock Mass Rating System Geomechanics

Classification

RQD Rock Quality Designation

RSR Rock Structure Rating

S Strike trace

s As a prefix, sandy; as a suffix, with sand

SAP Sampling and Analysis Plan

SC Clayey sand

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SC-SM Silty, clayey sand

SDWA Safe Drinking Water Act

SM Silty sand

SOP Standard operating procedures

SP Poorly graded sand

SP-SC Poorly graded sand with clay

SPT Standard Penetration Test

SP-SM Poorly graded sand with silt

SW Well graded sand

SW-SC Well graded sand with clay

SW-SM Well graded sand with silt

TBM Tunnel boring machine

TCE Trichloroethlyene

TCLP Toxicity characteristic leaching

procedure

TRPH Total recoverable petroleum

hydrocarbons

URCS Unified Rock Classification System

USCS Unified Soil Classification System

USDA United States Department of Agriculture

USGS United States Geological Survey

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VOC Volatile organic compound

WP Work plan

yd3 Cubic yard

µg/L microgram per liter

µm Micrometer

EC degrees Centigrade

EF degrees Fahrenheit

Commonly Used Acronyms and Abbreviations

Related to Hazardous Waste

ARAR Applicable or relevant and appropriate

requirement

AST Above ground storage tank

AP Analysis plan

BADT Best available demonstrated technology

BAT Best available technology or best

available treatment

CAA Clean Air Act

CERCLA Comprehensive Environmental Response,

Compensation, and Liability Act
(Superfund)

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CERCLIS Comprehensive Environmental Response,

Compensation, and Liability
Information System

COD Chemical oxygen demand

CRP Community Relations Plan

CRZ Contaminant reduction zone

CWA Clean Water Act (aka FWPCA)

DQO Data quality objectives

EPA Environmental Protection Agency

FS Feasibility study

FSP Field sampling plan

HASP Health and safety plan

HRS Hazard ranking system

HS Head space (analysis)

IDL Instrument detection limit

IDLH Immediately dangerous of life and

health

LEL Lower explosive limit

LFL Lower flamability limit

LUST Leaking underground storage tank

MCL Maximum contaminant level (SDWA)

MDL Method detection limit

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MSDS Material safety data sheet

NCR Nonconformance report

ND Nondetect

NFRAP No further remedial action planned

NPDES National Pollutant Discharge Elimination

System

NPL National Priority List

NTIS National Technical Information Service

OSWER Office of Solid Waste and Emergency

Response

PA Preliminary assessment

PCB Polychlorinated biphenyl

PEL Permissible exposure limit or personal

exposure limit

PPB Parts per billion

PPM Parts per million

PPT Parts per trillion

PPTh Parts per thousand

PRP Potentially responsible party

PS Point source

PVC Polyvinyl chloride

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PWS Public water supply or public water

system

QA Quality assurance

QAPP Quality assurance project plan

QC Quality control

QL Quantitation limit

RA Remedial action or removal action or risk

assessment

RCRA Resource Conservation Recovery Act

RD Remedial design

RfD Reference dose

RI Remedial investigation

RMCL Recommended maximum contaminant

levels

RME Reasonable maximum exposure

ROD Record of decision

RP Responsible party

RPM Remedial project manager

RQ Reportable quantity

SAP Sampling and analysis plan

SAR Start action request

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SARA Superfund Amendments and

Reauthorization Act of 1986

SAS Special analytical services

SDWA Safe Drinking Water Act

SF Slope factor

SI Site inspection

SOP Standard operating procedures

SQG Small quantity generator

STEL Short-term exposure limit

STP Sewage treatment plant

SVOC Semivolatile organic chemical

(Compound)

SWDA Solid Waste Disposal Act

TCE Trichloroethylene

TCL Target compound list

TCLP Toxicity characteristic leaching procedure

TD Toxic dose

TDS Total dissolved solids

THC Total hydrocarbons

TIC Tentatively identified compound

TLV Threshold limit value

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TOA Trace organic analysis

TOC Total organic carbon or total organic

compound

TOX Total organic halogens

TPY Tons per year

TRPH Total recoverable petroleum

hydrocarbons

TSCA Toxic Substances Control Act

TSDF Treatment, storage, and disposal facility

TSS Total suspended solids

UEL Upper explosive limit

UFL Upper flamability limit

UST Underground storage tank

VOC Volatile organic chemical (compound)

WP Work plan

WSRA Wild and Scenic Rivers Act

WWTP Wastewater treatment plan

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 APPENDIX A

ABBREVIATIONS AND ACRONYMS

COMMONLY USED IN
BUREAU OF RECLAMATION
ENGINEERING GEOLOGY

AGC automatic gain control

AN ammonium nitrate
A-S anti-spoofing
ASCE American Society of Civil Engineers
ASTM American Society for Testing
Materials
ATF Bureau of Alcohol, Tobacco, and
Firearms
AVIRIS Airborne Visible and Infrared Imaging
Spectrometer
BIPS Borehole Image Processing System
bpf blow per foot
bpm blow per minute
BPSK bi-phase shift keyed
BPT Becker Penetration Test
C/A coarse/acquisition
CDP common depth point
CFR Code of Federal Regulations
cm centimeter
cm2 centimeter squared
CME Central Mine Equipment
cm/sec centimeter per second
CPE Circular Probable Error
CPT Cone Penetration Test
CPTU piezometric cones or piezocones
CRR cyclic resistance ratio
DGPS differential GPS

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DoD U.S. Department of Defense

DOP dilution of precision
DOT Department of Transportation
DS13 U.S. Bureau of Reclamation Design
Standard No. 13 for Embankment
Dams
EBW exploding bridge wire
EHE expected horizontal error
EM electromagnetic
EPE expected position error
ERi drill rod energy ratio
ETE expected time error
EVE expected vertical error
FoM Figure of Merit
Fr friction ratio
fs sleeve resistance
ft feet
ft/sec feet per second
ft3/min cubic feet per minute
ft3/sec cubic feet per second
gal/min gallons per minute
GDOP geometric dilution of precision
g/cm3 grams per cubic centimeter
GPR ground penetrating radar
GPS Global Positioning System
HDOP horizontal dilution of precision
HSA hollow-stem auger
ICE International Construction Equipment
ID inside diameter
IME Institute of Makers of Explosives
in inch

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in/sec inch per second

JPL Jet Propulsion Laboratory
kg kilogram
kg/cm2/m kilograms per square centimeter per
meter
kg/L kilogram per liter
kg/m3 kilogram per cubic meter
kHz kilohertz
km kilometer
kPa kilopascal
L liter
lb/ft3 pounds per cubic foot
lb/in2 pounds per square inch
lb/gal pounds per gallon
lb/yd3 pounds per cubic yard
LEDC low-energy detonating cord
L/min liter per minute
L/min/m liter per minute per meter
lu Lugeon
LVL low-velocity layer
m meter
m2 square meters
MHz megahertz
mL milliliter
mm millimeter
mm/sec millimeters per second
m/sec meters per second
m3/sec cubic meters per second
ms millisecond
MSHA Mine Safety and Health
Administration

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MSS multispectral scanner

NAD27 1927 North American Datum
NAD83 1983 North American Datum
NASA National Aeronautics and Space
Administration
NAV navigation
NAVSTAR Navigation Satellite Time and
Ranging
NFPA National Fire Protection Association
NG nitroglycerin
NIST National Institute of Standards and
Technology
NTU nephelometric turbidity unit
OD outside diameter
O&M operation and maintenance
OSHA Occupational Safety and Health
Administration
OSM Office of Surface Mining
P compressional wave
PDA pile-driving analyzer
PDOP position dilution of precision
PETN pentaerythritoltetranitrate
PMT photomultiplier tube
PPS Precise Positioning Service
PRN pseudo-random noise
psi pounds per square inch
psi/ft pounds per square inch per foot
PVC polyvinyl chloride
PVT position, velocity, and time data
qc tip resistance
RMS root mean square

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rps revolutions per second

S shear wave
SA selective availability
SEP spherical error probable
SLAR side-looking airborne radar
SP self-potential, spontanious potential
SPS Standard Positioning Service
SPT Standard Penetration Test
SSS side scan sonar
SSSG surface saturated dry specific gravity
TDOP time dilution of precision
TFOM Time Figure of Merit
TM thematic mapper
TNT trinitrotoluene
ton/ft2 ton per square foot
UE user equipment
UERE User Equivalent Range Error
URA User Range Accuracy
USGS U.S. Geological Survey
VDOP vertical position dilution of precision
WAGE Wide Area GPS Enhancement
°C degrees Centigrade
°F degrees Fahrenheit
3D three-dimensional
2D two-dimensional

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NOMOGRAPH RELATING THE

DENSITY OF AN EXPLOSIVE IN G/CC,
THE DIAMETER OF THE EXPLOSIVE
IN INCHES, AND THE POUNDS OF
EXPLOSIVE PER LINEAL FOOT

“Column Diameter” equals hole diameter for poured and pumped blasting
products. (For cartridged products, estimate the explosives column
average diameter, based upon cartridge diameter and amount of tamping
or slump.) For example: a line drawn through the 0.8 gm/cc point (for
ANFO) and the 3-inch column diameter point intersects the “weight” line at
about 2.5 lb/ft.

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 APPENDIX C

CHART SHOWING RIPABILITY

VERSUS SEISMIC VELOCITY FOR
A D11N BULLDOZER

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 APPENDIX D

CHARTS SHOWING WEIGHT

OF MATERIALS REQUIRED FOR
TYPICAL LABORATORY TESTS

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478

Weight of material required for individual soil tests - sheet 1 of 7

(footnotes are at the end of the table)

Practical field Recommended

Nominal sample4 minimum test sample4 Required
Designation description Maximum particle minimum
No. of test size1,2,3 English Metric English Metric test specimen Comments

USBR 5300 No. 40 (425 µm) 0.1 lb 40 g 10 g

FIELD MANUAL
ASTM D 2216
No. 4 2 lb 800 g 200 g
USBR 5305
ASTM D 4959 in 9 lb 4 kg 2.2 lb, 1 kg
G
Moisture
Same as test specimen
content ¾ in 18 lb 8 kg 4.4 lb, 2 kg
USBR 5310
ASTM D 4944
1½ in 26 lb 12 kg 6.6 lb, 3 kg
USBR 5315 *Or more to obtain a
ASTM D 4643 3 in 26 lb 12 kg 6.6 lb, 3 kg*
representative sample

USBR 5320
Specific
Method A 100 g oven
gravity No. 4 5 lb 2.3 kg 1.1 lb 500 g
dried
minus No. 4
ASTM D 854
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Weight of material required for individual soil tests - sheet 2 of 7

(footnotes at end of table)

Recommended minimum
Nominal Maximum Practical field sample4 test sample4 Required
Designation description particle minimum test
No. of test size1,2,3 English Metric English Metric specimen Comments

in 20 lb** 9.1 kg** 4.4 lb, 2 kg**

G
USBR 5320 Specific **Required
¾ in 30 lb** 14 kg** Same as 6.6 lb, 3 kg**
Method B or C gravity and weight of plus

APPENDIX D
test
absorption No. 4 particles,
1½ in 50 lb** 23 kg** specimen 11 lb, 5 kg**
ASTM C 127 plus No. 4 air dried
3 in 200 lb** 91 kg** 40 lb, 18 kg**

USBR 5330 or
USBR 5335 Gradation: 100 g oven
No. 4 5 lb 2.3 kg 1.1 lb 500 g
minus No. 4 dried
ASTM D 2487 *10 lb
recommended
in 5 lb* 2.3 kg* 200 g*, ** for large
G

If not air dried, need test mechanical

2.4 lb,
USBR 5325 ¾ in 15 lb 6.8 kg specimen weight plus sieve shakers
Gradation: 1.1 kg*, **
amount equivalent to
gravel sizes
ASTM D 2487 1½ in 100 lb 45 kg weight of moisture content 20 lb, 9.1 kg** **Air dried

4
3 in 200 lb n/a 91 kg 150 lb, 68 kg**
479
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480

Weight of material required for individual soil tests - sheet 3 of 7

(footnotes at end of table)

Recommended minimum
Nominal Maximum Practical field sample4 test sample4 Required
Designation description particle minimum
No. of test size1,2,3 English Metric English Metric test specimen Comments

FIELD MANUAL
USBR 5350 *Or more, as
LL - 1 point 100 g** required, to have
ASTM D 4318 120 g of air-dried soil
(150 g if shrinkage
USBR 5355 limit is included)
LL - 3 point 100 g**
ASTM (none) **Air dried
No. 4 5 lb* 2 kg* 1.1 lb*, ** 500 g*, **
USBR 5360
Two 8-g wet-weight
Plastic limit 20 g**
specimens
ASTM D 4318

USBR 5365
Shrinkage
30 g**
limit
ASTM D 427
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Weight of material required for individual soil tests - sheet 4 of 7

(footnotes at end of table)

Recommended minimum
Nominal Maximum Practical field sample4 test sample4 Required
Designation description particle minimum
No. of test size1,2,3 English Metric English Metric test specimen Comments

USBR 5400 Dispersivity

ASTM (none) (crumb,

USBR 5405 pinhole,

APPENDIX D
No. 4 5 lb 2.3 kg 1.1 lb 500 g 500 g
ASTM D 4647

USBR 5410 double

ASTM D 4221 hydrometer)

Minimum
No. 4, or
and/or 100 lb 45 kg 25 lb 12 kg 25 lb, 12 kg
G

¾ in
maximum
USBR 5525 index unit
and/or weight
(wet or dry 1½ or 3 in 150 lb 68kg 75 lb 34 kg 75 lb, 34 kg
USBR 5530
maximum)
ASTM D 4564
No. 4, or
(Wet and 100 lb 45 kg 50 lb 23 kg 50 lb, 23 kg
G

¾ in
dry
maximum)
1½ or 3 in 200 lb 91 kg 150 lb 68 kg 150 lb, 68 kg
481
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482

Weight of material required for individual soil tests - sheet 5 of 7

(footnotes at end of table)

Practical field Recommended minimum

Nominal Maximum sample4 test sample4 Required
Designation description particle minimum
No. of test size1,2,3 English Metric English Metric test specimen Comments

USBR 5500 Laboratory

FIELD MANUAL
compaction: No. 4 200 lb 91 kg 50 lb** 23 kg** 50 lb, 23 kg** **Air dried
ASTM D 2937 minus No. 4

Laboratory
compaction:
USBR 5515 350 lb* 159 kg* 350 lb* 159 kg* 225 lb, 102 kg
gravelly soils
3 in
(one specimen) *Or more as needed
ASTM (none)
to have at least 50 lb
3 specimens 900 lb 409 kg 900 lb 409 kg 900 lb, 409 kg of minus No. 4 and at
least 50 lb of plus
Permeability
USBR 5600 No. 4 50 lb 23 kg 15 lb 7 kg 15 lb, 7 kg No. 4
minus No. 4

ASTM D 2434 Permeability

3 in 350 lb* 159 kg* 350 lb* 159 kg* 225 lb, 102 kg
gravelly soils
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Weight of material required for individual soil tests - sheet 6 of 7

(footnotes at end of table)

Practical field Recommended minimum

Nominal Maximum sample4 test sample4 Required
Designation description particle minimum

APPENDIX D
No. of test size1,2,3 English Metric English Metric test specimen Comments

USBR 5700 One-dimensional

ASTM D 2435 consolidation,

USBR 5705 Expansion or No. 4 15 lb 7 kg 3 lb 1.4 kg 1.5 lb, 0.7 kg

ASTM D 3877

USBR 5715 Uplift

ASTM D 3877
483
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484

Weight of material required for individual soil tests - sheet 7 of 7

Practical field Recommended minimum

Nominal Maximum sample4 test sample4 Required
Designation description particle minimum
No. of test size1,2,3 English Metric English Metric test specimen Comments

USBR 5740 Triaxial K0 (usu- No. 4 20 lb 9.1 kg 4 lb 1.8 kg 2 lb, 0.9 kg One 2-in-dia specimen
ASTM D 2850 ally performed in
conjunction with

FIELD MANUAL
¾ in 100 lb 45 kg 50 lb 23 kg 45 lb, 20 kg One 6-in-dia specimen
other triaxial
tests)
1½ in 200 lb 91 kg 170 lb 77 kg 150 lb, 68 kg One 9-in-dia specimen
USBR 5745 UU
ASTM D 2850 No. 4 65 lb 30 kg 16 lb 7.3 kg 8 lb, 3.6 kg Four 2-in-dia specimens
USBR 5740 CU or
ASTM D 2850 ¾in 200 lb 91 kg 200 lb 91 kg 180 lb, 82 kg Four 6-in-dia specimens

USBR 5755 CD
ASTM (none) 1½ in 700 lb 318 kg 700 lb 318 kg 600 lb, 273 kg Four 9-in dia specimens

1
Maximum particle size present in original sample.
2
No. 4 fraction means either maximum particle in original sample was No. 4 or smaller or a representative portion of the minus No. 4
fraction of the original sample is required.
3
Metric equivalents are: No. 4 sieve - 4.75 mm, inch - 9.5 mm, ¾ inch - 19.0 mm, 1½ inch - 37.5 mm, 3 inch - 75 mm and 5 inch - 125 mm.
G

4
To permit quartering, the field sample should be 4 times the required weight of the test sample. The test sample is sized to yield the
$

required number of prepared test specimens.

 APPENDIX D

Weight of material required for combinations of soil tests -

sheet 1 of 1
Minimum sample
required
Maximum
Test combinations 1 particle size2,3 English Metric
No. 4
Laboratory G in 50 lb 23 kg
classification
¾ in
(gradation, Atterberg
limits) 1½ in 100 lb 46 kg
3 in 200 lb 91 kg
No. 4 50 lb 23 kg
Physical properties -
Cohesive soil G in
(gradation, Atterberg
¾ in 100 lb4 46 kg4
limits, specific
gravity, laboratory 1½ in
compaction
3 in 200 lb4 91kg4
Physical properties - No. 4
Cohesionless soil 100 lb 46 kg
G in
(gradation, Atterberg
limits, specific ¾ in
gravity, maximum
1½ in 200 lb 91 kg
and minimum index
unit weight) 3 in
Soil-cement (for
1½ in 2,000 lb 908 kg
3 cement contents)
1
Assumes field sample will be used for more than one
test. If sample is divided to provide separate test samples,
add up values for individual soil tests.
2
Maximum particle size present in original sample.
3
Metric equivalents are: No. 4 sieve - 4.75 mm, G inch -
9.5 mm, ¾ inch - 19.0 mm, 1½ inches - 37.5 mm, 3 inches -
75 mm, and 5 inch - 125 mm.
4
Or more, as needed to have 50 lb of minus No. 4.

485

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 FIELD MANUAL

In place density test requirements - test apparatus and

minimum excavation

Cohesive materials
Minimum
Maximum required
particle size volume Apparatus and template
(in) (ft3) opening

¾ 0.25 8-in sand cone

1½ 0.5 12-in sand cone

20-in sand cone or

3 1
24-in-square frame

5 2 30-in square frame

8 8 4-ft-diameter ring

12 27 6-ft-diameter ring

18 90 9-ft-diameter ring
>18 Determine on a case-by-case basis

Cohesionless materials

¾ 0.25 20-in sand cone

1½ 0.5 24-in-square frame

3 1 33-in-square frame

5 2 40-in-diameter ring

8 8 62-in-diameter ring

>8 Determine on a case-by-case basis

486

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 APPENDIX D

Weight of material required for slope protection tests

Minimum required
Reclamation sample
designation
No. English Metric Comments

The minimum dimension

of individual rock
fragments selected
should be at least 0.5 feet
6025
(15 cm). If source
Design
600 lb 275 kg material quality is
Standard
variable, the sample
No. 13
should include rock
fragments representing
the quality range of the
source material.

487

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 APPENDIX E

USEFUL CONVERSION FACTORS

METRIC AND ENGLISH UNITS
(INCH-POUND)
To convert units in column 1 to units in column 4, multiply column 1 by the factor in column 2.
To convert units in column 4 to units in column 1, multiply column 4 by the factor in column 3.
Column 1 Column 2 Column 3 Column 4

Length
inch (in) 2.540 X 10 1 3.937 X 10-2 millimeter (mm)
2
hundredths of feet 3.048 X 10 3.281 X 10 -3 millimeter (mm)
foot (ft) 3.048 X 10 -1 3.281 meter (m)
mile (mi) 1.6093 6.2137 X 10-1 kilometer (km)
Area
square inch (in2) 6.4516 X 10-4 1.550 X 10-3 square meter (m2)
square foot (ft2) 9.2903 X 10 -2 1.0764 X 101 square meter (m2)
-1
acre 4.0469 X 10 2.4711 hectare
square mile (mi2) 0.386 X 10 -2
259.0 hectares
Volume
cubic inch (in 3) 1.6387 X 10-2 6.102 X 10-2 cubic centimeter (cm2)
cubic feet (ft3) 2.8317 X 10-2 3.5315 x 101 cubic meter (m3)
cubic yard (yd 3) 7.6455 X 101 1.3079 cubic meter (ms)
cubic feet (ft3) 7.4805 1.3368 x 10-1 gallon (gal)
gallon (gal) 3.7854 2.6417 X 10-1 liter (L)
acre-feet (acre-ft) 1.2335 X 103 8.1071 X 10 -4 cubic meter (m3)
Flow
gallon per minute (gal/min) 6.309 X 10-2 1.5850 X 101 liter per second (L/s)
cubic foot per second (ft 3/s) 4.4883 X 102 2.228 X 10-3 gallons per minute (gal/min)
1.9835 5.0417 X 10-1 acre-feet per day (acre-ft/d)
cubic foot per second (ft 3/s) 7.2398 X 10 2
1.3813 X 10-3 acre-feet per year (acre-ft/yr)
2.8317 X 10-2 3.531 X 101 cubic meters per second (m3/s)
8.93 X 105 1.119 X 10-6 cubic meters per year (m 3/yr)
Permeability
k, feet/year 9.651 X 10-7 1.035 X 106 k, centimeter per second
(cm/sec)
Density
pound-mass per cubic foot 1.6018 X 101 6.2429 X 10-2 kilogram per cubic meter
(lb/ft3) (kg/m3)
Unit Weight
pound force per cubic foot 0.157 6.366 kilonewton per cubic meter
(lb/ft3) (kN/m3)
Pressure
pounds per square inch (psi) 7.03 X 10-2 1.4223 X 101 kilogram per square
centimeter (kg/cm3)
6.8948 0.145 kiloPascal (kPa)
Force
ton 8.89644 1.12405 X 10-1 kilonewton (kN)
pound-force 4.4482 X 10-3 224.8096 kilonewton (kN)
Temperature
°C = 5/9 (°F - 32 °) °F = (9/5 °C) + 32 °
Grouting
Metric bag cement per meter 3.0 0.33 U.S. bag cement per foot
Water:cement ratio 0.7 1.4 water:cement ratio by weight
by volume
pounds per square inch 0.2296 4.3554 kilogram per square centi-
per foot meter per meter (kg/cm2/m)
k, feet/year 0.1 10 Lugeon

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 Index

A
abandoned mines, 13
absorption, 87, 88, 195, 203, 205
abutment contact slopes, 331
abutment pads, 339
accelerometers, 77
acoustic
beams, 61
borehole imaging device, 61, 62
caliper, 75
energy, 57, 61, 91
energy (seismic waves), 57
imaging, 63, 64
imaging device, 64
logging, 19, 57, 58
logging devices, 57, 58
signal, 91
transducer, 74, 75
velocity devices, 61
velocity logger, 56
waves, 61
active remote sensing, 90
adjusting the blow control, 382
adobe charge, 241, 264
aerial photography, 85, 90, 92, 198
aggregate, 184, 188, 203, 207, 240, 334, 335, 431
air injection method, 166, 167
air jetting, 332
air/water jet, 348
air-powered venturi pipe, 348
alkali sensitive aggregates, reactive, 334, 335
alteration of minerals, 195
alternate delays, 233
aluminum foil wrapping, 415
American Society of Testing and Materials, 353
amplitude-modulated devices, 58
ANFO (ammonium nitrate/fuel oil mixture), 226
angled cut, 239, 243, 244, 245, 247, 249

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 FIELD MANUAL

angular-shaped rocks nested together, 189

anti-spoofing, 442, 446, 447
aperture, 67, 73
apparent
attenuation, 66
resistance, 42
resistivity, 9, 45
appraisal stage investigations, 435
aquaclude delineation, 11
aquifer, 2, 11, 108, 111, 115, 116, 166, 168, 171-173,
306, 308, 309,
aquifer tests, 111, 116, 306, 309
archaeological investigations, 14, 18, 19
arch dam sites, 339, 340
arching, 321
arrival times, 31, 55, 60, 64, 66
artesian conditions, 304, 313, 363
artificial abutment, 340
ASTM D 1586, 377
ASTM D-5778, 397
ASTM D 3550, 353
atmospheric delay, 444-446
atmospheric spectral features, 88
automated spooling winch, 383
automated water level monitoring system, 317
automatic data logger, 167
automatic hammer, 371, 373, 380, 382, 383, 385, 387
axial dipole array, 11

B
backfill concrete, 340, 342, 343, 347
backflow, 104
background potentials, 15, 16
backhoe, 183, 348
ball check housing, 364

492

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 INDEX

bar magnet, 17
Barite, 363
barring, 332, 348
basement complex, 17
basket type catcher, 378
Becker Drills, Ltd. model AP-1000, 389
Becker Penetration Test (BPT), 351
bedding, riprap, 183, 190, 195
bedding planes, 114, 210, 215, 254, 325, 333
bedrock
delineation studies, 11
depths, 18
topography, 14
Begemann friction cones, 395
bench blasting, 219, 227, 233
bench floor, 217
benches, 234, 235, 257, 298, 330
bentonite, 315, 338, 361-363, 369
BIPS analysis, 73
blanket grouting, 329
blast and processing testing, 199
blast hole size, 218, 221, 223
blast tests, 199
blasthole cutoffs, 217
blasting procedures, techniques, 192, 207, 209, 218,
233, 253, 254, 259, 261, 264, 325, 331
blotting with soil, 348
blow count rate, 371, 372
blow counts, 111, 306, 371, 375, 383, 388, 391
blowout, 302, 313
boils, 302
bond, 325, 326, 328, 329, 334
bonding of fill to concrete, 335
borehole
caliper log, surveys, 74
deviation, 75
diameter, 49, 52, 57, 61, 74

493

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 FIELD MANUAL

effects, 74
electric logs, 38
film camera probe, 73
film camera systems, 69
fluid, 38, 39, 42, 45, 52, 57, 61, 77, 78, 81
acoustic velocity, 57
temperature, 77
gravity log, 74, 78
gravity logger, meter, 78, 79, 80
imaging, 56, 61-63
device, 56, 61, 62
velocity devices, 56
mapping, 69
peculiarities, 38
permeabilities, 112
spacing (distance), 65
television systems, 69
temperature log, 74
wireline surveying, 37
bounce chamber, 390, 391
bounce-chamber pressure, 390, 391
bound water, 41
boundary definition of thick strata, 45
Bouwer slug test, 168
box cut, 239
brooming, 332, 336
buckling of smaller AW rods, 384
bulk and shear moduli, 60
bulk density, 49, 51-53, 78, 80, 290
log, 52
bulk density/porosity logging methods, 80
bulk-loaded charges, 226
burden-to-charge diameter ratio, 211
buried
channels, 5, 333
manmade objects, 15
metallic waste, 14

494

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 INDEX

pipelines, 14, 16, 18, 21

stream channels, 13
burning powder train, 237
bypass line, 361, 362, 365, 367

calcium chloride, 363

calculated permeability values, 100, 114
calibration
chambers, 404
for hole diameter, 52
pits, 49
caliper, 52, 61, 74-76
caliper log, 52, 74
camera, 32, 67-73, 75, 85, 395, 413
canals (and distribution systems), 16, 431, 435, 437
canyon profile for a damsite, 344
capillary
fringe, 115
rise, 327
system, 15, 16
zone, 110, 175
CAPWAP, 392
carburizing, 377
care of samples, 431
cased boreholes, 37, 49, 50, 55
casing advancer method, 369
casing advancer systems, 385
cat head, 353
cathodic protection, 1, 10, 11, 21
cavities, 15, 56, 62, 63, 66, 67, 69, 210, 211, 302,
330, 332
cement, 77, 96, 184, 206, 321, 325, 334, 335, 348
cementation, 66, 74, 176, 195, 204, 206
centrifugal mixer, 335

495

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 FIELD MANUAL

channels, 5, 13, 84, 87, 188, 325, 330, 333, 448

channels in rock surfaces, 325
cheese cloth, 415-417
chemical and biologic
content of water, 316
quality of water discharged, 312
chemical concentration cells, 15
Cherenkov
light, 55
photons, 55
chronology of dewatering, 319
claims, 306, 312, 433, 436, 437
clay plug, 257
cleanout bit, 359
cleanup procedures, 332
clock errors, 440, 444, 445, 457, 458, 460
closed-end diesel pile hammer, 390
CME automatic hammer, 382
coefficient of storage, 108
cofferdams, 303, 304
cold protection, 412
collar distance, 222, 228-231, 271
color of the borehole wall, 67
commercial
quarry or pit deposits, 201
sources, 196
compaction, 66, 140, 153, 321, 322, 326-329, 336, 337,
348, 389, 417
techniques, 329
compass/clinometer, 68, 71
compressed air or water cleaning (air jetting), 323, 332
compression fracturing of core, 409
compression packers, 118
compressional
energy, 57
(P) wave velocity, 5
wave oscillations, 57

496

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 INDEX

wave velocities, 3, 5, 61
waves, 5, 6, 57
concrete, 66, 67, 69, 203, 207, 302, 313, 321, 323-325,
329-331, 333-343, 345-349, 351, 431
backfill, 342, 346
backfilled cutoff shafts, 346
cracking, 334, 335
grout caps, 323
joints, 69
modulus, 340
conductive fluid in the borehole, 47
conductivity, 13, 14, 32, 78, 107, 110, 132, 134, 146,
147, 317, 395
cone tip resistance, 395
connectivity, 96-98
cone tip resistance, 395
construction
specifications, 206, 306
traffic, 326
contact log, 46
contacts of rock or soil against concrete, 67
contaminant plumes, 10, 14
continuity of geologic strata, 38
continuity of the bedding, 38
continuous acoustic velocity (sonic) logger, 57
continuously recorded hydrofracture/jacking test, 104
contour blasting, 257
contrasting lithologies, 63
contractor compliance, 319
contractual negotiations, 437
control segment, 439, 446, 456-458, 460
controlled blasting techniques, 233, 253, 254, 259, 325
conventional flowmeters, 81
conventionally excavated (drill-blast) tunnel, 106
core
box, 411, 412, 413, 415, 416, 420-423, 434, 435,
437, 438

497

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 FIELD MANUAL

contact area, 336

contact criteria, 322
drilling, 199, 202
materials, 329, 338
storage facilities, 433
core/foundation contact, 326, 338
coring, 202, 377, 387
corner cut, 239
cornish cuts, 244
correlate strata, 41, 45, 48, 51
corrosion, 21, 302
CPT, 351, 358, 363, 387, 388, 395, 397-401, 403,
405-407
crack potential, 321
cracks in the foundation, 325, 329, 335, 338
cross-hole
geophones, 64
seismic tomography, 66
test(s), 64, 65
crowd-out plugged bit, 390
crown sheaves, 381, 382
crypto keys, 447
curing compound, 333, 335
curve shapes, 45
cushion blasting, 233, 259-262, 272-274
cushion holes, 261, 273
cushioning material, 416, 420
cutoff
depths, 342, 346
facilities, 303
shafts, 342, 346
trench(s), 322, 327
wall, 323
cutoffs, 217, 235-237, 274, 299, 300
cylindrical and cube samples, 417-419

498

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 INDEX

D
daily drill report, 423
dam foundation, 95, 98, 106, 350
dam height, 106
damp sawdust, 419
damsite foundation permeabilities, 96
deck charge, 215, 230, 231
deck of inert stemming material, 213
deformation, 340-342, 345, 346, 357, 359
moduli, 340, 341, 345
degree of compaction, 66
delay
interval, 222
pattern, 210, 251, 252, 276
delineating thin strata, 45
densities of materials in the Earth, 18
density
contrasts, 18, 19
logger, 49, 78
logging device, 51
dental
concrete, 321, 324, 325, 330, 331, 333-338, 345
fillets, 334
treatment, 340, 341, 344-346
concrete, 341
work, 343, 347
depth
of geologic materials, 38
of investigation, 11, 14, 47
of investigation for the microlog, 47
of penetration, 45
design data, 304-306, 351, 431
collection program, 304
Design Standards No. 13, Embankment Dams, 358
detecting cavities, 15

499

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 FIELD MANUAL

determination, 18, 41, 52, 119, 133, 191, 203, 408, 417
of lithologies from SP logs, 41
of physical properties, 38, 203
of the relationship between weight and size, 191
of volumetric water content, 52
detonating cord, 236, 242, 255, 272, 274-277, 282, 284,
connectors, 236
deviation surveys, 6, 65, 288, 297
dewatering, 96, 198, 299, 300, 302-306, 309, 312,
314-320
design, 306
facilities, 299, 304, 314-316
wells, 306
diesel pile-driving hammer, 387
differential GPS (DGPS), 449
differential
movement, 343, 347
settlement, 324, 330, 331
digital processing, 84, 87
dilution, 302, 444, 450, 451, 462
factor, 450
of precision (DOP), 444
direct (non-refracted) arrivals, 64
directional
detectors, 64
surveys, 74, 75
discontinuity (discontinuities), 20, 56, 62, 63, 67, 69, 71,
190, 194-196, 200, 203, 204, 330, 340, 341, 345
disk-type meter, 126, 141
disks, 326, 418, 428
disturbed zone, 106
dispersive clays, 338
dispersive
embankment materials, 327
material(s), 338
soil, 338
dispersivity tests, 338

500

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 INDEX

disposal guidelines, 431

disposing of samples, 432
ditches, 198, 299
double packers, 119
down-hole probe, 67, 69
drag force, 189
drainage trenches, 323
draining, 300, 302
surrounding surface water and groundwater, 302
drawdown with time, 308
draw cut, 243
drill hole deviation surveys, 6
drill jumbos, 244
drill rod energy ratio, 356, 379
drilling
fluid loss, 67
mud, 38, 39, 361, 362, 364, 372
mudcake, 45
drive cap, 367
drive shoe, 153
driving friction, 392, 393
drop pipe, 162-165
drummy rock, 348
dry boreholes, 47
dual frequency receivers, 460
durability tests, 204, 205
durable rock types, 190
dynamic elastic properties of rock, 60
dynamites, 226, 227, 285, 294
D-6067, 397

E
earthquake
design analysis, 8
liquefaction, 375

501

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 FIELD MANUAL

Earth’s magnetic field, 80

effective porosity, 50, 56, 61, 108, 308
effects
of bed thickness, 45
of mud cake, 52
of traffic, 9
on sensitive equipment, 9
EHE, 452-454
electric
log, 37, 38
log correlation, 38
sounder (M-scope), 315
electrical
current, 9, 26, 32, 77, 292, 293
field, 9
properties, 2, 10, 11, 13, 37, 38
resistivity, 1, 2, 9-11, 13
surveys, 38, 45
electrode(s), 9-11, 23, 33, 37, 41, 43-45, 47
array, 11, 13, 42, 45
spacing, 10, 11, 43, 45
electrolyte, 16
electromagnetic (EM)
conductivity, 13, 14
profiling surveys, 10, 13, 14
induction, 13
radiation, 84
spectrum, 84, 86
surveying, 13
wave propagation, 13
electromagnetically induced telluric, 16
(large scale flow in the earth’s crust) currents, 16
electron density, 51, 445
electro-filtration, 16
electro-mechanical pulse, 57
embankment, 183, 188, 321-329, 333, 338, 349,
350, 358

502

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 INDEX

embankment layer (lift), 326

embankment zones, 321
energy
losses in rods, 379
transfer effects, 387
energy/count plot, 55
EPE, 453-455, 461
erodible
foundation materials, 322
nonplastic materials, 338
erosion, 90, 183, 291, 307, 329, 330, 338
channels, 330
erosional history, 96
erosive
action of water, 189
water forces, 191
erosion-resistant plastic materials, 338
ETE, 455, 456, 461
evaluating
an existing source, 197
subsurface conditions, 197
excavated slopes, 302, 312
excavating, 192, 200, 266, 321-323, 338
excavation, 96, 211, 213-215, 217, 220, 229, 253, 254,
257, 259, 260, 272, 280-282, 286, 289, 297, 299,
300, 302, 303, 307, 313, 323, 329-333, 339-343,
345, 347
existing quarries, 197, 206
expandable packers, 418, 426
exploration program(s), 4, 17, 95, 99, 304, 306

F
fabricated well screens, 118
falling head test(s), 112, 118, 120, 162
false-color infrared images, 85

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fault(s), 5, 23, 85, 96, 205, 210, 321, 330, 340-342,

344-347
investigations, 4
studies, 10, 14
feasibility stage, 198, 200, 435
feathering (edges), 334, 336, 337
feathering of the earthfill lift, 337
feeder canals, 437
field
laboratory testing, 436
spectra, 88
spectrometer, 88
surface reconnaissance, 198
fill material, 326, 328, 331
fillet steep slopes, 325, 333
film, 67, 69-73, 75, 83-85, 176, 412, 415, 417, 419, 427
film-recording cameras, 67
filter(s), 25, 85, 189, 322, 327-329, 331
criteria, 327
pack, 167
zone(s), 328, 338
first lift, 326-328
fishtail-type drag bit, 361
flap valves, 368
flooding, 302, 303
flow in fractures, 103
flow nets, 319, 342, 346
flowing sands, 365
flowmeter(s), 74, 81, 111
log, 74, 81
fluff, 348
fluid
content, 41, 53
density, 51, 78
flow, 81
temperature logging device, 77
velocity, 57

504

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 INDEX

fluid-filled borehole, 57, 64

fluxgate compass, 77
focused
device, 47
logs, 45
focused-current, or guard, resistivity device, 43, 45
foliation, 195, 205, 210, 215, 217
FOM, 454, 455
forced cooling, 343, 347
Foremost Mobile Drilling Company hammer, 383
formation water resistivities, 41
foundation
and abutment excavations, 342, 346
contact surfaces, 328
data, 305
depth, 303
materials, 322, 326, 327, 332, 334, 335
modulus, 340
strength, 351
studies, 4
surface, 321, 322, 326, 329-331, 336, 337, 344
fracture(s), 60, 62, 74, 78, 81, 97, 98, 100, 103, 106, 107,
113, 114, 120, 137-139, 190, 192, 199, 207, 236,
239, 260, 303, 321, 330, 332
changes, 96
orientations, 98
zones, 66
fracturing, 66, 98, 104, 115, 190, 205, 229, 231, 278,
321, 335, 370, 409
the fill, 335
fragmentation, 9, 206, 209, 212-214, 218-222, 226, 227,
230, 232, 234-236, 239, 241, 242, 249, 250, 278
free face, 209, 218, 219, 223, 225, 226, 231, 235, 239,
243, 246, 251, 273, 276, 278, 282, 287, 294, 297

505

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 FIELD MANUAL

freeze-thaw
deterioration, 204
durability testing, 204
testing, 204, 205
freezing, 195, 204, 299, 339, 343, 382, 420-422, 424,
426, 428, 434
French satellite, 89
frequency
(number per foot of borehole) of discontinuities, 67
fresh water, 13, 39, 41
sands, 41
friction
loss, 105, 115
ratio, Fr, 400
sleeve, 397, 398
frozen rope, 382
fs, 171, 400
full column loading, 261
fully penetrating wells, 173

G
gabions, 189
gamma
radiation, 49-52
ray(s), 49, 50-52, 55, 61
gamma borehole, 111
logging techniques, 37, 38, 47, 56, 78, 111
gamma ray
count, 50, 52
detector, 50, 55
energy, 55
logs, 50
gamma-gamma
density log(s), 49, 50

506

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 INDEX

density logger, 78
logs, 51, 52
gelatin dynamite, 263, 280
geologic photogrammetry, 85
geologic structure, 31, 60, 100, 114, 209, 238
Geometric Dilution of Precision (GDOP), 444
geometric distortions, 86
geophones, 20, 27, 32, 34, 64
geophysical
surveys, 1-3, 14, 16, 56
tomography, 66
geotechnical
exploration, 37
investigations, 1-3, 5, 8, 15-18, 38, 48, 56, 351
geothermal
applications, 16
areas, 16
exploration, 4, 13
investigations, 11
glacial or alluvial deposits, 189
Global Positioning System (GPS), 91, 439-450, 452-455,
457, 458, 460-463
GPR, 14
gradation requirements, 205, 206
grading for riprap, 192
grain density, 18, 51
graphite, 15
gravel
deposits, 10, 14
sumps, 348
gravimeter, 26, 78
gravity
anomalies, 18, 80
effect, 18
meter, 78, 79
meter density, 78

507

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 FIELD MANUAL

permeability test, 112, 142, 147, 153, 157

values, 80
grizzly, 192
ground
conditions, 95, 399
failure, 318
roll, 7, 34
support, 257, 300
surface electrode, 42
groundwater
aquifers, 18
geophysics, 13
investigations, 11, 14
levels, 308, 312-315, 318
in excavations, 300, 313
maps, 198
monitoring, 313, 314
monitoring instrumentation, 313, 314
occurrence, 303
quality investigations, 55
withdrawal, 318
ground-truth, 3
grout
cap, 323
injection, 104, 114
nipples, 323
pipes, 335, 348
potential, 97
program, 95
travel, 98
groutability, 95-98
grouting, 19, 69, 95, 98, 99, 105, 106, 299, 300, 323,
329, 335
depth, 106
in rock, 300
in tunnels, 106

508

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 INDEX

operations, 19, 69
pressures, 98
guard arrays, 47
gyratory crushers, 194
gyroscope, 77
gyroscopic sensors, 77

H
hammer drop
friction, 379
height, 379, 382
hammer type, 379
hammers, 379
(casing type) hammers, 379
hand
cleaning, 348
compaction, 328
tamper(tampering), 328, 336
tighten each joint, 384
Harder-Seed method, 390, 391, 393
harrows, 326
haul distance, 197, 198
hauling, 184, 205, 206, 208, 214, 220, 222, 223
HAV-180 rig, 391
hazardous materials (chemicals), 14, 275, 304, 315, 424
hazardous waste studies (investigations), 10, 14, 17,
431
HDOP, 444, 450-453, 457
headache ball, 241, 276
heading round, 243, 246, 248, 291
heat pulse flowmeter, 81
heavy grain detonating cord, 255
high resolution seismic reflection, 5
high-energy neutrinos, 55
high-frequency acoustic energy, 61

509

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 FIELD MANUAL

hole wandering, 234

hollow
AW drill rod, 381
guide rod safety hammer, 381
hollow-stem, 356, 359, 360, 364-366, 372
augers (HSAs), 364, 365, 377, 385
horizontal
displacement, 318
permeability, 111, 174
plane, 71, 452, 453
hydraulic
conductivity, 107
excavator, 323, 348
fracturing, 321, 370
models, 98
wedging device, 241
hydrofracture tests, 104
hydrofractured rock, 100
hydrofracturing, 98, 100, 104, 114
hydrogen atoms (nuclei), 52
hydrologic studies, 50
hyperspectral data, 88
hydrographs, 309, 319

I
igneous rock, 194
Ilmenite additives, 363
Imhoff cone, 316
impact anvil, 356, 371, 379
impeller-type meter, 126, 141
impervious materials, 322
impervious zone(s), 323, 324, 331, 336, 356
foundation contact, 323
inclined core, 321
inclinometer, 398

510

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 INDEX

inert stemming materials, 213

infiltration, 307
inflatable (straddle) packers, 118, 119, 162
initial lift, 328, 337
inspection control, 206, 207
investigations during the design stage, 199
ionosphere, 445, 446, 460
irregular rock surfaces, 328

J
jacking, 97, 98, 100, 104, 114, 127, 335, 397, 399
tests, 100
jetting and driving, 147
joint
mortar, 325
sets, 210, 214, 340

K
kerf, 246, 247, 282

L
Landsat, 83, 89, 90
lateral, 1, 10, 13, 16, 24, 43-45, 47, 303, 308
array (resistivity), 43, 44
array spacing, 43
device(s), 43, 45
logs, 45
lava tubes, 302
layer velocities, 4
leakage paths, 16
leather cups, 118
left-hand polarized, 449

511

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 FIELD MANUAL

lifts, 328, 329, 336-338, 343, 347

lime, 328, 338, 339
line drilling, 254, 255, 257, 272, 282, 325
linear features, 63
lining design, 96
liquefaction, 351, 356, 358, 359, 362, 375-378, 381, 383,
385, 388, 389, 394, 406-408
evaluation(s), 351, 362, 376, 378, 381, 389, 406
resistance, 356, 389, 406-408
resistance evaluations, 356
triggering, 406
lithologic contacts, 60, 66
lithology, 38, 39, 41, 48, 53, 74, 96
litigation, 312
load cells, 397, 398
local differential base station, 463
location
map of the core and samples, 435
of drill hole core, 438
of stratigraphic contacts, 67
logging tools, 37, 49, 55
long-normal, 43, 45
loss of fines, 303
low
permeabilities, 108, 302
plasticity, 338, 339
low-alkali cement, 334, 335
Lugeon value, 100

M
machine stripping, 348
machine-bored tunnel, 106
magnetic
features, 17
log, 74, 80

512

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 INDEX

materials, 17, 28
north, 62
surveys, 2, 13, 17, 18
susceptibility, 80
material properties for static and dynamic stress
analysis, 65
mechanical
breakdown, 195
calipers, 74, 75
penetrometers, 395
metal expandable packers, 418
methods for obtaining size and weight data, 191
Michigan cuts, 244
microlog, 46, 47
electrode spacings, 47
sonde, 47
survey, 47
microsurvey, 46
microwave bands, 84
military GPS, 462
millisecond delays, 235, 250
mineral
composition, 38
deposits, 15, 16
exploration, 13, 17
textures, 67
mineralogy, 38, 192, 194, 204, 405
minilog, 47
model input parameters, 99
monitoring
during construction, 313
leakage, 17
of water control parameters, 312
well design, 317
wells, 116, 315, 317
mortar, 295, 325, 335, 336, 338, 344
movement by water, 189

513

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 FIELD MANUAL

ms delays, 232, 233, 236

MSS, 86, 89
mud cake, 47, 52
mud pumps, 121
mud slab, 333
mudcap, 241
multiple
aquifers, 107
electrode arrays, 42, 43
pressure tests, 127, 136, 137
multiple-arm calipers, 74
multiple-electrode resistivity
arrays, 45
sonde, 38
multispectral photographs, 85
multi-beam sonar, 91
multi-beam systems, 91
muon, 55

N
N value, 356, 364, 370, 371, 374, 375, 378, 379, 381,
385
NAD27, 463
NAD83, 463
natural color images, 85
natural electrical potential, 15
natural gamma
log, 53
logger, 49
radiation, 49, 50, 52
ray detector, 50
ray logging, 61
ray logs, 50
natural potential, 15, 33

514

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 INDEX

Navigation Satellite Time and Ranging

(NAVSTAR), 439
near infrared wavelengths, 83
near-infrared spectrum, 85
neat cement grout, 335
needle valves, 141
negative subdrill, 229
nephelometric turbidity units (NTU), 316
neutron
activation, 55
detectors, 52
devices (source), 49, 53, 55
log(s), 50, 52, 53
logger, 49
radiation, 52, 53
water content log, 49
new quarry or pit investigation, 197
Nk, 405
nonconducting fluids, 47
nondispersive earthfill (material), 327, 328, 338
nonerodible embankment materials, 330
normal
array(s), 43, 44
devices, 43, 45
resistivity arrays, 43
spacing devices, 47
NTU, 316
nuclear borehole measurements, 49
nuclear logs, 49, 55
nuclear radiation logging
systems, 49
tools, 49

515

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 FIELD MANUAL

O
objectives of foundation surface treatment, 329
observation well(s), 158, 160, 161, 172, 307, 308, 312,
314, 315, 317
observed gravity, 18
office responsible for the core or samples, 437
oil exploration, 4, 7
open discontinuities, 62, 67
open holes, 37, 162
open-ended diesel hammer, 390
optical logging systems, 67
optimum
drill hole orientations, 100
moisture content, 327, 328
orange smoke, 264
organic material, 322
orientation of the drill hole relative to the fractures, 113
outcrops, 198, 202
overburden (depth), 98, 100, 114, 199, 202, 286, 321,
323, 358, 361, 375
overexcavation, 331, 340
overhangs, 323-325, 330, 331, 333, 334

P
packer, 105, 110, 112, 113, 115, 116, 118-120, 126, 128,
130, 138, 164, 165, 309
packer(s), 74, 105, 115, 118-120, 128, 130, 162, 164,
418, 426
seal, 120
test(s), 110, 112, 113, 116, 309
packing material, 189, 418, 421, 428
pails, 417-419, 428
panchromatic photography, 85
parallel hole cuts, 243-245, 253
partially penetrating wells, 173, 174

516

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 INDEX

PDA measurement, 392

PDOP, 444, 445, 451, 452, 462
peeling, 348
penetration
per blow, 375, 376
resistance, 351, 356, 358, 385, 388, 397,
400, 408
penetrometer, 387, 388, 395, 397, 399
tip, 387, 388
perforated pipe, 140, 315
performance, 188, 319, 388, 392
on existing structures, 189
performing gradations on the blasted product, 207
perimeter
blasting, 257
cracking, 253
holes of a blast, 214
permafrost, 14
permanent
labeling, 438
markers, 437
permeabilities, 45, 95, 96, 99, 108, 111, 112, 114, 115,
147, 302, 306, 307
permeabilities of strata, 45
permeability, 39, 95-100, 103, 105, 106, 107-119, 121,
126, 128, 130, 131, 133, 136-139, 142-145,
147-149, 153, 154, 157, 159-161, 163, 164, 166,
168, 170, 171, 174, 177-179, 181, 182, 198, 300,
302, 306-308, 316330, 331, 347

coefficients, 143
of the soil, 306
test(s), 97, 112-116, 118, 121, 126, 128, 131, 138,
139, 142, 145, 147, 149, 153, 154, 157, 159, 160,
179, 306, 308

517

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 FIELD MANUAL

permeable, 38, 39, 41, 47, 81, 96, 106, 120, 137, 138,
150, 164, 307, 347
path, 347
sand bed, 41
permeameter, 115, 182
pervious rock, 106
petrographic examination, 203, 205
petroleum
exploration, 1, 17, 18
traps, 18
pH, 194, 317
photographs, 69, 71, 83, 85, 198, 201, 227, 435, 437
photography, 83, 85, 90, 92, 411, 414
frame, 414
photomultiplier tubes, 55
physical properties, 2, 37, 38, 81, 203, 205, 340, 356,
431
piezoelectric transducer, 61
piezometer(s), 178, 306-308, 314, 315, 362, 363
permeability test, 179
pile-driving analyzer, 392
pilot bit, 359, 364, 365, 367, 368, 370
cutting teeth, 368
seat, 368
pipable material, 342
pipelines, 16, 18, 21, 67, 295
piping, 15, 105, 115, 327, 342, 346
pit development, 199
planar discontinuities, 63, 71
plastic
bags, 298, 417, 419
material, 329
pails, 418, 428
plasticity, 329, 337-339, 388, 415
PLGR, 460-462
PLGR+96 receivers, 460
PMT, 55

518

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 INDEX

pneumatic instruments, 315

pneumatic-tire(d)
equipment, 328, 337
roller, 328, 329
points of high stress concentration, 343, 347
Poisson’s ratio, 24
polar regions, 17
polymer-enhanced drill fluid, 361
(poly)urethane foam, 416
pore
fluid content, 41
spaces, 9
water, 41, 341, 346, 395, 399, 400, 403
water stress, 395, 399
dissipation measurements, 399
porosity, 9, 18, 38, 45, 49-53, 56, 61, 66, 67, 78, 80, 107,
108, 117, 192, 194, 195, 300, 302, 308
porous
media, 16
permeable zones, 47
tube, 315
position dilution of precision (PDOP), 462
positive ions, 16
potassium isotope K40, 50
potential electrodes, 11, 43-45
power conduits, 437
powerplants, 431, 433, 437
powder factor, 211, 213, 237-239, 251, 283, 289
PPS accuracy, 447
precipitation, 300, 303, 308, 317
Precise Position (Positioning) Service (PPS), 440, 446,
460
preferred site frequencies, 8
presentation of information, 184
preshearing, 255, 289
presplitting, 254-258, 261, 272, 274, 289

519

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 FIELD MANUAL

pressure
transducer, 130, 131, 162, 167, 398
versus flow curves, 100, 114
principal joint sets, 214
production blast, 256
progressive delays, 233, 234
propagation velocities, 57
protecting and shipping samples, 431
Protection against wetting and drying, 434
protective
filters, 329
outer box, 422
pseudorange, 444, 449
pseudo-random noise (PRN), 442
pump bypass line, 361
pumping caused by construction equipment travel, 327
pyramid cut, 243
pyrotechnic delay elements, 237
P- and S-wave energies, 57
P- and S-waves, 64
P-code, 440-442
P-wave, 56, 60, 66

R
R95, 453
radar
interferometry, 90
remote sensing, 90
radiation
detector, 47
logging device, 61
logging systems, 49, 50
radioactive
isotopes, 50

520

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 INDEX

material, 53
source (material), 47, 49, 52
ramping the fill, 329
rapid freeze-thaw durability evaluation, 203
real-time viewing, 67
rebound, 336
receiver measurement uncertainties, 457
recharge conditions, 303
record tests, 436
rectangular pattern, 223
reference electrode, 45
reflectance spectra, 87
reflected shock wave, 384
refraction, 2-6, 21, 22, 25-28, 31-33, 35, 57, 64, 66, 201
refusal rule, 375
relationship between weight and size, 191
relative
clay content, 49
density, 50, 226, 327, 357, 404, 417
remote sensing, 83, 84, 89-93
interpretations, 83
representative
permeabilities, 307
samples, 199, 202, 203, 205
requirements
for length of storage, 436
for storage of core and samples, 432
reservoir load, 344
resistance
of a circuit, 41
of the conductor, 41
resistivity, 1, 2, 9-11, 13, 32, 33, 38-48, 77, 395
deflection, 41
logs, 39, 43, 46, 77
measurements, 43
revertible drilling fluids, 362
RF Link signals, 439

521

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 FIELD MANUAL

right-hand polarized, 449

rippers, 330
rippability, 4
riprap, 183-189, 191, 192, 194-197, 199-208, 261, 263,
291, 298, 431
characteristics, 188
durability, 194
evaluation, production, and placement, 184
fragments, 189
quality, 188, 189, 199, 203
Quality Evaluation Report, 199, 203
quarries, 207
source(s), 184, 188, 189, 192, 194-196, 202
evaluation, 184
investigation, 195
riser and hole diameter, 314
rock
abutments, 328
breakage, 9, 200, 239
bucket, 192, 323
characteristics, 113, 184, 192
durability, 195
failure criterion, 204
foundation(s), 327, 328, 330, 339, 341, 344, 345,
350
surfaces, 328
fragments, 183, 187, 189, 190, 192, 195, 203, 204,
323, 330
mass
design parameters, 97, 114
permeability, 97, 98, 113, 114
quarries, 189, 194
rake, 192, 193
rockfill dams, 331, 349, 350
roller, 326, 328, 329, 337
passes, 328

522

[email protected]
 INDEX

rotary
casing advancers, 369
drilling, 356, 361-363, 369, 385, 389
rounded stone assemblage, 189
rover data, 463
rubber-tired roller, 337

S
SA, 444, 447, 449, 458, 462
Safety Driver, 383
safety
hammer, 353, 373, 374, 380-382, 385
of dams analysis, 437
saline water, 15
salinity, 9, 38, 39, 41, 46
of pore fluids, 46
salt water intrusion, 14
saltwater/fresh water interfaces, 13
sample
data sheets, 431
retention (criteria), 431, 434
selection, 434
size, 95, 99, 202
sampler
shoe, 377
tip, 368
sand
heave, 362, 363
pack, 110, 167, 317, 318
sanding in (sandlocked), 142, 356
sand-cement slurry, 335
satellite(s), 83, 89, 90, 215, 230, 231, 263, 317, 318,
439-452, 456-458, 460-463
differential correction signal, 463
vehicle position, 457

523

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 FIELD MANUAL

saturated
low-strength materials, 304
materials, 7, 52, 110, 115
sand, 10, 53
saturation, 38, 53, 66, 204, 325, 327
sawdust, 416, 419, 427
sawed kerf, 246, 247
sawteeth, 330, 333
scarification, 326, 328, 336, 337
scarifying the lift surfaces, 329
schistosity, 199, 205, 206, 210
screen slot size, 317
screening of wells, 322
screens of water wells, 69
sculpture blasting, 257
sealing samples, 415
secondary arrivals, 5
blasting, 214, 220, 229, 241, 242, 292
emission of neutrons and gamma rays, 52
fragmentation, 241, 242
fragmentation techniques, 241
sediment content, 312, 316, 317
seepage, 11, 16, 95-98, 148, 299, 304, 319, 321, 322,
347, 403
control, 96, 304, 322
evaluation, 95
investigations, 11
potential, 95, 98
quantities, 96
seeps, 302, 348, 349
seismic
anomalies, 65
energy, 26, 28, 29, 35, 56, 66
pulse, 64
P-wave velocity, 66
refraction interpretation, 4
signal, 32, 66

524

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 INDEX

source, 6, 64
stability, 325
surveys, 3, 14, 60
tomography, 66
velocities, 6, 56, 57, 60, 61, 64
wave(s), 6, 25, 27, 30, 31, 32, 34, 57, 64, 288
velocities, 64
Seisviewer, 61
Selective Availability (SA), 444, 446, 447, 462
selective quarrying, 196
self-potential surveys, 2, 11, 15, 16
sequential timers, 236
service history of material produced, 202
settlement during dewatering activities, 318
settlement of claims, 437
shaft sinking cut, 239
shale baseline (line), 38, 39
shape of individual rock fragments, 189
shatter cuts, 244
shaving, 348
shear wave velocity (velocities), 2, 5, 6, 57, 61, 64, 358
shear waves, 6, 57
shell zones, 327
shipping containers, 420-422, 429
shop vac, 348
short normal array, 44
short rods, 384
shotcrete, 336
shotpoint depth, 65
shrinkage, 338, 342, 343, 347
Side Scan Sonar (SSS), 91
side-looking airborne radar (SLAR), 90
single
column charge, 237
frequency receivers, 460
packer, 110, 119
single-beam systems, 92

525

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 FIELD MANUAL

single-electrode array, 45
single-point array, 43
single-receiver devices, 57
siting studies, 1, 4
slab cut, 243
slabbing, 259
slake (slaking), 195, 323, 332, 333, 339, 343, 432
slashing, 259
slope
failure, 318
protection, 184, 187, 188
sloughing, 139, 326
slug tests, 112, 118, 166
slush grout, 321, 325, 330, 335, 336, 338
mix, 335
small-strain dynamic properties, 2
smooth blasting, 233, 257-259, 272, 274, 294, 325, 331
sodium sulfate soundness test, 204, 205
soil
cement, 184
foundation compaction requirements, 327
infiltration data, 307
liquefaction criteria, 375
solar flare(s) activity, 445, 460
solid steel guide rod, 381
solution
cavities, 56, 63, 66, 67, 210, 211, 302, 330
features, 60, 333
sonde, 37, 38, 43, 45, 47, 49-53, 55-57, 61, 77
electrodes, 45
sonic
energy, 56
vibrations, 9
SP log (logging), 38, 41, 43, 50
SP peak, 41
space segment, 439

526

[email protected]
 INDEX

spacer
blocks, 423
ring, 371
spacing-to-burden ratio, 232, 233
spalling, 194, 343, 347
special purpose electric logging devices, 46
specific gravity (gravities), 18, 78, 191, 204, 294, 297
spectral
analyses, 55
bands, 87, 88
data, 83, 84
logging sonde, 55
logs, 55
ranges, 83
resolution, 83, 84, 87, 89
signatures, 84
spectrometers, 84
spontaneous potential, 15, 33, 38, 41
spoofing, 441, 442, 446, 447
environment, 447
spray coating, 333
spring suspension system, 422
springs, 74, 302, 342, 346, 439
square drill pattern, 223
SSGS, 205
SSSG, 191, 192, 204
stability requirements, 342, 346
staggered pattern, 223, 224, 295
Standard Penetration Test (SPT), 351
Standard Position Service, 446
standard surveying methods, 318
standing water, 328
standpipe, 165, 315
Stanley waves, 6
static
pore water pressures, 395
water levels, 308

527

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 FIELD MANUAL

Station Receiver, 449

statistically significant sample size, 99
steeply dipping plane, 71
stemming, 213, 215, 222, 227-230, 239, 257, 260, 263,
271, 274, 295, 296, 298
stemming column, 222
stepped
pressure tests (step test), 100, 104, 114
surfaces, 321, 324, 331
stereo imaging, 89
storage, 107-109, 128, 142, 167, 168, 265, 266, 281, 283,
289, 295, 300, 307, 409, 410, 414, 415, 418, 420,
424, 427, 431-436, 438
costs, 431
facility, 432-434
of core, 432, 434
periods, 431
storativity, 108, 307
stove to melt wax, 427
straddle packer, 164
strain gauges, 397
strata boundaries, 39, 41, 45
stratum boundary resolution, 45
stream gravel, 183
stress
anomalies, 321
caused by placing earthfill, 335
concentrations, 324, 331, 340
relief, 96
strike and dip of planar features (strikes and dips), 63,
73
string loaded, 257
stripping, 322, 325, 348
of pervious materials, 325
operations, 325
structural concrete, 334, 336
Su, 405

528

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 INDEX

subdrilling requirements, 217

subsurface cutoffs, 300
subsurface
geologic conditions, 37, 195, 305
hydraulic conditions, 303, 305
layer resistivities, 38
materials, 2, 10, 11, 13, 48, 107, 112, 115
suitable riprap source, 196
sulfates, 334, 335
sulfide, 15
sump pumps, 315
sumps, 299, 300, 322, 323, 348
sunspots, 445
supplementary dewatering, 300
surface
and subsurface data, 305
cracks, 329, 335
in the foundation, 329
drains, 299
electrical surveys, 38, 45
saturated dry specific gravity (SSSG), 191
water, 299, 300, 302, 303, 307, 309, 312, 318
wave(s), 5-8, 27, 34, 57, 60
surveying, 8
survey control, 85, 318
susceptibility logs, 80
swelling rock, 103
swivels, 126
S-wave, 33, 57, 60, 64, 65
arrival, 64
cross-hole tests, 65
Sy method, 390, 392, 393
synthetic polymers, 362

529

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 FIELD MANUAL

T
talus, 7, 194, 198, 202
piles, 198, 202
Televiewer, 61
tamped cartridges, 226, 255
tamping (tamper)
feet, 326, 328, 329
plug, 257
roller(s), 326, 328, 329
roller feet, 328
TDOP, 444, 451
television cameras, 67
temperature
changes, 426, 434
device, 77
logging, 77, 78
probe, 78
variations in the fluid, 77
temporary
labeling, 438
storage, 433
tension zones, 321
tensioned mechanical arms, 74
test
blasting (blasts), 207, 263, 267, 281, 286, 297
grout section, 105
pressure(s), 96, 100, 103, 104, 113, 114, 119
wells, 110, 133, 134, 306-308
testing subsurface samples, 197
TFOM, 455, 456
theoretical overburden stress, 114
thermal
infrared, 84, 86, 87, 90
systems, 86
wavelengths, 87
properties of materials, 86

530

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 INDEX

thermistor (thermal resistor), 77

thick-wall, 353
thickness of the riprap, 184
thrust blocks, 339
tight, impermeable rock, 106
timbers, 15
time-varying, low frequency, electromagnetic fields, 13
top of rock configuration, 19
topographic maps, 198, 463
total dissolved solids (TDS), 317
total porosity, 108
toxic waste studies, 11
tracer elements, 50
tracked equipment, 330
tracking, 424, 460, 461
transferring core, 432
trapped water, 41
travel times, 57
trial blasts, 263
triaxial arrays, 64
tricone
bit, 370
rockbit, 361
trimming, 259
troposphere, 445, 446, 461
true orientation (strike and dip), 67
true P- and S-wave velocities, 65
true velocities, 64
tunnel alignments, 95
tunnel delays, 250
tunnel studies, 96
tunnels, 67, 95, 98, 99, 106, 244, 273, 291, 431, 448
turbidity, 116, 315-317
turbulent flow, 103, 117, 127
two-dimensional (2-D) projection, 73

531

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 FIELD MANUAL

U
UERE, 456, 457
ultraviolet radiation, 445
uncased boreholes, 51
unconfined compression, 358, 405
underground blast rounds, 243
underwater surveys, 91
undisturbed soil samples, 436
undrained strength in clays, 358
uniformity of rock, 195
unsaturated conductivity coefficient, 132, 146
unsuitable subgrade, 302
unsupervised storage, 432
unwatering (methods), 198, 299, 300, 302, 317
uplift of constructed features, 302
URA, 452, 458, 459
USBR 7020, 397
user
equipment (UE) errors, 456
Equivalent Range Error (UERE), 456
Range Accuracy (URA), 452, 458
segment, 439, 440

V
vacuuming, 348
vadose zone, 112, 115, 306
vane shear, 358, 405
testing, 405
variable head tests, 170
variations in fluids, 45
VDOP, 444, 450-453, 457
velocity
contrast, 11, 66
reversal, 5

532

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 INDEX

vertical
electrical soundings, 11
hammer device, 64
surfaces, 330, 333, 334
very high resolution mapping of near-surface geology,
15
vibration
damage, 9
levels, 9, 332
protection, 412
vibratory compactors (rollers), 326
videotaped, 69
vinylidene chloride, 415, 427
visible spectrum, 85
void ratio, 53
vugs, 63, 78

W
WAGE, 460
wall
irregularity (irregularities), 52
of a borehole, 37
washout zones, 74
wastage, 196, 200, 201
waste piles, 194
water
action, 189, 205
content, 38, 46, 49, 52, 53, 358, 417
content (saturation), 38
by weight, 53
of strata, 46
control, 299, 303-306, 309, 312, 317, 319, 322, 347
data, 306, 309
facilities, 305, 306, 312, 319

533

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 FIELD MANUAL

investigations, 305, 317

methods, 322
energy, 183
gel columns, 255
jetting, 332
level monitoring instrumentation, 313
meters, 126, 141
quality, 166, 308, 309, 316-318, 334, 336
analyses, 308
removal, 300, 348
salinity, 38
table, 7, 15, 119, 127, 130, 144, 148, 150, 155, 157,
158, 164, 175, 299, 303, 356, 358, 359, 365, 385
take(s), 96, 103, 105, 113, 127, 136
test(s), 98, 100, 105, 114
calculation, 97
data, 96, 106, 113
information, 97
pressure, 103
results, 96, 97, 103
washing, 332
watertight riser, 315
wavelength range, 84
wavy core surfaces, 409
wax, 412, 415-419, 427
waxed wood disks, 418
weight of the rock fragment, 191
well(s), 67, 69, 109, 110, 116, 133, 134, 158, 160, 161,
173, 174, 299, 306-308, 312, 314-318, 322
collapse, 316
point systems, 315, 316
points, 322
screen(s), 64, 74, 118, 172, 315
well-graded riprap, 194, 207
wet
and dry density, 53

534

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 INDEX

foundations, 327
rope, 382
whipping, 384
Wide Area GPS Enhancement (WAGE), 460
wireline (wire line), 370
acoustic/seismic logging systems, 56
devices, 73
electrical systems, 42
nuclear radiation systems, 49
packers, 105, 115
wood shipping containers, 422
workability and nesting of the rock assemblage, 189

Y
Young’s modulus, 24

535

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