.

/
ncan C. Wyllie/
"ai, Golder Associates, Consulting Engineers, Vancouver, Canada
Foreword by Richard E. Goodman
essor
..
,~,._
of Geological Engineering, University of California, Berkeley,

Hall _

London' New York Tokyo' Melbourne' Madras

 Published by Chapman & Hall, 2-6 Boundary Row, London, SEl 8HN

Chapman & Hall, 2-6 Boundary Row, London SE18HN, UK

Van Nostrand Reinhold. 115 5th Avenue, New York NYlOOO3, USA
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South Melbourne, Victori.a 3205, Australia
Chapman & Hall India, R. Seshadri, 32 Second Main Road, CIT East,
Madras 600 035, India

\ !
First edition 1992
1992 Duncan C. Wyllie
Typeset in 10/12 pt Times by Excel Typesetters Company
Printed in England by Clays Ltd., St. rves Pic.
ISBN 041915150 8 (HB) 0442313373 (USA)
';2!.j15
y,<j'L- F
Apart from any fair dealing for the purposes of research or private study,
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The publisher makes no representation. express or implied. with regard
to the accuracy of the information contained in this book and cannot
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A catalogue record for this book is available from the British Library
Library of Congress Cataloging~in-PublicationData
Wyllie. Duncan C.
Foundations on rocklDuncan C. Wyllie.-1st ed.
p. em.
Includes bibliographical references and index.
ISBN.0-419-15150-8. - ISBN 0-442~31337-3 (HB: USA)
1. Foundations. 2. Rock mechanics. 3. Engineering geology.
I. Title.
TA775.W95 1991 91-11913
624.1'5-<1c20 CIP

I
~I
I
I,
 .

Contents.

>Introduction xi
Foreword xiii
./s 'Notation
Note
xiv
xviii

(1-- t 1 Characteristics of rock foundations 1

1.1 Types of rock foundation f" 1
IL - r 1. J.l Spread footiIigs 2
1.1.2 Socketed piers 4
1.1.3 Tension foundations 4
1.2 Performance of foundations on rock 4
1.2.1 Settlement and bearing capacity failures 4
1.2.2 Creep. 5
1.2.3 Block failure 5
1.2.4 Failure of socketed piers and tension anchors 7
1.2.5 Influence of geological structure 7
1.2.6 Excavation methods 7
1.2',7 Reinforcement 7
1.3 Structural loads 8
1.3,1 Buildings 9
1.3.2 Bridges 9
1.3.3 Qag:ts 10
1.3.4 Tension foundations 10
Allowable~ettlement 10
1.4,} Buildings 10
1.4..2 Bridges . 11
1.4.3 Dams 12
1.5 Influence of ground water on foundation performance 12
1.5.1 Dams 14
AU
pgf 14
1.5.2 . Tensioned anchors
1.6 Factor of safety and reliability analysis 14
1.6.1 Factor of safety analysis 15
1.6,2 Limit states design 16
1.6,3 Sensitivity analysis / 16
1.6.4 CoefficienT of reliability 17
1.7 References 21
vi Contents -i
23
23
2 Structural geology
23
2.1 Fracture characteristics
2.1.1 Types of fracture 25
2.1.2 Fracture orientation and dimensions 26
27
2.2 Orientation of fractures
29
2.3 Stereographic projection
2.3.1 Pole plots 30
2.3.2 Pole density 32
2.3.3 Great circles 33
35
2.4 Types of foundation failure
37
2.5 Kinematic analysis
2.5.1 Planar failure 37
2.5.2 Wedge faitures '37
2.5.3 Toppling failures 37
2.5.4 Friction cone 39
39
2.6 Probabilistic analysis of structural geology
2.6.1 Fracture orientation 40
2.6.2 Fracture length and spacing 41
2.7 References
42
42
3 Rock strength and deforrnability 44
3.1 Range of rock strength conditions
45
3.2 Deformation modulus
3.2.1 Intact rock modulus, 47
Stress-strain behaviour of fractured rock 48
3.2.2
3.2.3 Size effects on deformation modulus 50
3.2.4 Fracture spacing and modulus 51
3.2.5 Modulus of anisotropic rock 52
Modulus/rock mass quality relationships 53
3.2.6
54
3.3 Compressive strength
3.3.1 Compressive strength of intact rock 56
3.3.2 Compressive strength of fractured rock 58
Shear strength 59
3.4
3.4.1 Mohr-Coulomb materials 59
3.4.2 Shear strength of fractures 63
3.4.3 Shear strength testing 64
3.4.4 Shear strength of fractured rock ~8
69
3.5 Tensile strength
69
3.6 Time-dependent properties
3.6.1 Weathering 70
3.6.2 Swelling " 71
3.6.3 Creep 73
3.7 References
77
4 Investigation and in situtestillg Uiethods 77
4.1 Site selection .' '. 78
4.1.1 Aerial and terrestial photography
 Contents vii

23 4.1.2 Geophysics 80
23 Geological mapping 81
23 4.2.1 Standard geology descriptions 83
25 . 4.2.2 Fracture mapping 87
26 Drilling 90
27 4.3.1 Diamond drilling 90
29 4.3.2 Percussion drilling 93
30 4.3.3 Calyx drilling 94
32 Ground water measurements 94
33 4.4.1 Water pressure measurements 95
35 4.4.2 Permeability measurements 98
37 . In situ modulus and shear strength testing 101
37 4.5.1 Modulus testing 101
37 4.5.2 Direct shear tests 110
37 References 111
39
39 Bearing capacity, settlement and stress distribution 114
40 Introduction 114
41 Bearing capacity "\ 116
5.2.1 Building codes 116
42 5.2.2 Bearing capacity of fractured rock 117
42 5.2.3 Recessed footings 120
44 5.2.4 Bearing capacity factors 120
45 5.2.5 Foundations on sloping ground 120
47 5.2.6 Bearing capacity of shallow dipping bedded formations 122
48 5.2.7 Bearing capacity of layered formations 124
50 5.2.8 Bearing capacity of karstic formations 126
51 Settlement 128
52 5.3.1 Elastic rock 129
53 5.3.2 Transversely isotropic rock 134
54 5.3.3 Inelastic rock 136
56 Stress distributions in foundations 137
58 5.4.1 Isotropic rock 138
59 5.4.2 Layered formations 142
59 5.4.3 Transversely isotropic rock 142
63 5.4.4 Eccentrically loaded footings 143
References
rs69 145

Stability of foundations 147

69 .6,1 Introduction 147
70 :k.7 Stability of sliding blocks 147
71 ..;3 Stability of wedge blocks 153
73 ;t~f Three-dimensional stability analysis 155
-.:'ig~ Stability of toppling blocks / 156
77 .~6:6 . Stability of fractured rock fuasses 160
77 'j6fl . Seismic design 162
78 '"Q,8 . References 164
 viii Contents

7 Foundations of gravity and embankment dams 165

7.1 Introduction 165
7.1.1 Dam performance statistics 166
7.1.2 Foundation design for gravity and embankment dams 167
7.1.3 Loads on dams 168
7.1.4 Loading combinations 169
7.2 Sliding stability 169
7.2.1 Geological conditions causing sliding 170
7.2.2 Shear strength 170
7.2.3 Water pressure distributions 170
7.2.4 Stability analysis 172
7.2.5 Factor of safety 175
7.2.6 Examples of stabilization 175
7.3 Overturning and stress distributions in foundations 177
7.3.1 Overtuming 178
7.3.2 Stress distributions in foundations 178
7.4 Earthquake response of dams 181
7.4.1 Introduction 181
7.4.2 Sliding stability and overturning' under seismic loadS 182
7.4.3 Finite eleme'nt analysis 184
7.4.4 Displacement analysis 185
75 Preparation of rock surfaces 187
7.5.1 Shaping 187
.fP' 7.5.2 Cleaning and sealing 188
...' 75.3 Rebound 189
7.5.4 Solution cavities 189
7.6 Grouting and drainage 190.
7.6.1 Grouting functions 190
7.6.2 Grout types 191
7.6.3 Mechanism of grouting 191
7.6.4 Drilling method 193 .
/.
7.65 Hole patterns 193
7.6.6 Grout mixes 195
7.6.7 Grout strength 195
7.6.8 Grout pressures 196
7.6.9 Grouting procedures 196
7.6.10 Penneability criteria for grouted rock 197
7.6.11 Monitoring grouting operations 199
7.6.12 'Leaching 199
7.6.13 Drainage 200
7.7 References' 201

r 8 Rock-socketed piers 205

i\
i 8.1 Introduction . ,,/
8.1. IJ"ypesbf deep fou~1ations
8.1.2 Investigationsforsoeketedpiers
205
205
205
I
" 8.2 Load capacitYQfsoclcete~pief~>i~9(5mpression 207
 Contents ix

165 Mechanism of load transfer 207

165 Shear behaviour of rock sockets 209
166 Factors affecting the load capacity of socketed piers 210
167 ;2';4 Socketed piers in karstic formations 217
168 '~sign values: Side-wall resistance and end bearing 217
169 h.l Side-wall shear resistance 218
169 ' '3.2 End-bearing capacity 218
170 "'i~1 deformation 219
170 ' j Settlement mechanism of socketed piers 219
170 ;2 Settlement of side-wall resistance sockets' 221
172 '':3 Settlement of end-loaded piers 222
175 ';4 Settlement of socketed, end-bearing piers 223
175 :5 Socketed piers with pre-load applied at base 226
177 plift 227
178 ;;;.1 Uplift resistance in side-wall shear 228
178 ';5.2 Uplift resistance of belled piers 228
181 :literally loaded socketed piers 228
181 ;:(';.1 Computing lateral deflection with p- y curves 229
182 ;6.2 Socket stability under lateral load 234
184 'eferences 236
185
187 l;rision foundations 238
187 'Iltroduction 238
188 "nchor materials and anchorage methods 240
189 /9.2.1 Allowable working loads and safety factors 241
189 '9.2.2 Steel relaxation 241
190 ).2.3 Strength properties of steel bar and strand 243
190 ,,9.2.4 Applications of rigid bar anchors 243
191 ;\ 9.2.5 Applications of strand anchors 247
191 ,;'9.2.6 Cement grout anchorage 247
193 9.2.7 Resin grout anchorage 251
193 ""9.2.8 Mechanical anchorage 253
195 Design procedure for tensioned anchors 254
195 9.3:1 Mechanics of load transfer between anchor, grout and rock 254
196 9.3.2 Allowable bond stresses and anchor design 256
196 ~c~9;3.3 Prestressed and passive anchors 260
197 9.3.4 Uplift capacity of rock anchors 261
,199 '9.3.5 Group action 268
199 , .. 9.3.6 Cyclic loading of anchors 268
200 9.3.7 Time-dependent behaviour and creep 268
201 9.3.8 Effect of blasting on anchorage 269
:*-;;9.3:9: Anchors in permafrost 270
205, "'Corrosion protection 271
205 ~:c9.4.l Mechanism of corrosion 271
205 ," 9.4:2 Types of corrosion ./ 273
205 904.3 Corrosive conditions 274
207 9.4.4 Corrosion-protection methods 274
 ~ -------------------------~------
Contents
276
,..

'.
-;
'"~

f- 9.5 Installation and testing 277

~
9.5. I Water testing 277
9.5.2 Load testing 280
9.5.3 Acceptance criteria 281
nl I.e 9.6 References
.e 283
.e 10 Construction methods 283
.e 10.1 Introduction 283
S a. e 10.2 Drilling 284
10.2.1 Diamond drilling 286
o 01 10.2.2 Percussion drilling 289
1.01 10.2.3 Rotary drills 289
S.OI 10.204 Overburden drilling 291
10.2.5 Large-diameter drilling 297-'
10.2.6 Directional drilling 295
10.3 ,Blasting and non-explosive rock excavation 295
iO.3.1 Rock fracture by explosives '297
10.3.2 Controlled blasting 299
10.3.3 Blasting horizontal surfaces 299
LOI 10.304 Ground vibration control 303
10.3.5 ' Vibration in uncured concrete "305-
10.3.6 Non-explosive excavation 305
lOA Bearing surface improvement and rock reinforcement 307
1004.1 Trim blasting 307
1004.2 Surface preparation 307
1004.3 Dental concrete 307
p.Ol 100404 Shotcrete 309
1004.5 Pins 309
1004.6 Rock bolts 310
1004.7 Tensioned rock anchors 310
1004.8 Concrete buttress 310
1004.9 Drain holes 310
10.5 Contracts and specifications 311
10.5.1 Components of contract documents 312
10.5.2 Types of contract 313
10.5.3 Rock excavation and reinforcement specifications 317
~.Ol . 10.6 'References
319
Stereonets for hand plotting of structural geology data 323
Appendixl
Appendix n ' Fieldmapping data sheets 326
1.01 AppendixUl Conversion factors 329
Index ,-
 276
277
277
280
281
'troduction
283
283
283
284
286
289 "dations on Rock has been written to fill an apparen t gap in the geotechnical engineer'
289 iterature. Although there is wide experience and expertise in the design and con-
291 '\ion of rock foundations; this has not, to date, been collected in one volume, ',A
292 'ble reason for the absence of a book on rock foundations is that the design and
295 truction of soil foundations is usually more challenging than that of rock foundations.
295 'sequentially, there is a vast collection of literature on soil foundations, and a tendency
297 ssume that any structure founded on 'bedrock' will be totally safe against settleme)lt and
299 *bility. Unfortunately, rock has a habit of containing nasty surprises in the form of
299 logical features such as solution cavities, variable depths of weathering, and clay-filled
303 'Its. All of these features, and many others, can result in catastrophic failure of
/305, 'jl<lations located on what appear to be sound rock surfaces.
305 he main purpose of this book is to assist the reader in the identification of potentially
307 table rock foundations, to demonstrate design methods appropriate for a wide range of
307 logical conditions and foundation types, and to describe rock construction methods. The
307 :ok is divided into three main sections. Chapters 1 to 4 describe the investigation and
307 :'easurement of the primary factors that influence the performance of rock foundations.
~mely, rock strength and modulus, fracture characteristics and orientation, and ground
309
309 :'a,ter conditions. Chapters 5 to 9 provide details of design procedures for spread footings,
310 am foundations, rock socketed piers, and tension foundations. These chapters contain
310 ~9rked examples illustrating the practical application of the deSign methods, The third
310 section, Chapter 10, describes a variety of excavation and stabilization methods that are
310 'applicable to the construction of rock foundations.
311 , The anticipated audience for this book, which has been written, by a practising rock
312 ',mechanics engineer, is the design professional in the field of geotechnical engineering.
313 :i!.'fhe practical examples illustrate the design methods, and descriptions are provided of
317 '(investigation methods that are used widely in the geotechnical engineering community.
, It is also intended that the book will be used by graduate geotechnical engineers as
319 a supplement to the books cuwintly available on rock slope engineering, geological
323 , engineering and rock mechanics{ Foundations on Rock describes techniques that are
326 't",:9Qmmon to a wide selection of projects involving excavations in rock and these techniques
329 i";::liave been adapted and modified, where appropriate, to rock foundation engineering.
'~Ofg.. ~uch of the material' contained in this book has been acquired from the author's
:e,xperience on projects in a wide range of geologic and construction environments. On
,aIL these projects there have, of"course, been many other persons involved: colleagues,
,'"o",ners, contractors and, equally importantly, the construction workers. The author
.:,aSkilowledges the valuable advice and experience that have been acquired from them all.
 xii Introduction

There are many people who have made specific contributions to this book and their
assistance is greatly appreciated. Sections of the book were reviewed by Herb Hawson,
I
i!" Graham Rawlings, Hugh Armitage, Vic Milligan, Dennis Moore, Larry Cornish, Norm
)i
r: Norrish and Upu! Atukorala. In addition a number of people contributed photographs and
computer plots and they are acknowledged in the text. Important contributions were also
made by Ron Dick who produced all the drawings, and Glenys Sykes who diligently
searched out innumerable references. Finally, I appreciate the support of my family who
tolerated, barely, the endless early-morning and late-night sessions that were involved in
preparing this book.

D.C. Wyllie
book and their
Herb Hawson,
Cornish, Norm
hotographs and
tions were also
who diligently
my family who
ere involved in

D.C. Wyllie
310 Wyllie has given us a complete, useful textbook on rock foundations. It is complete
;eoverage of all parts of this important subject and in providing reference material for
W-up study. It is eminently useful in being well organized, clearly presented, and
aI.
6Ck would seem to be the ultimate excellent reaction for engineering loads, and often it
'ut the term 'rock' includes a variety of types and conditions of material, some of which
'~Ilrely not 'excellent' and some that are potentially dangerous. Examples of frequently
rdous rock masses are ,those that contain d~solved limestones, undermined coal-
iing sediments, decomposed granites, swelling shal~s and hIghly jointed or faulted
~t~' or slates. Moreover, the experience record of construction in rocks includes
erous examples of economic difficulties revolving around mistaken or apparently
volent behaviour of rock foundations. Such cases have involved excavation overbreak,
rioration of prepared surfaces, floodin 0 kin b roundwater see a e, accumulation
oulders from excavation, gullyin or i in - f erodible banks,. and misclassification or
'identification of materials in the weathered zone. Another class of difficult problems
:"olve the forensic ide of siting in evaluating potentialities for rock slides, fault move-
ents, or long-term behaviour. '
,'Problems of investigating and characterizing rock foundations are intellectually chal-
~nging; and it may require imagination to tailor the design of a foundation to the particular
orphological, structural and material properties of a given rock site. Thus the field of
ngineering activity encompassed in this book is interesting and demanding. The subject is
.,Worthy of a book on this subject and of your time in studying it.

Richard E. Goodman
Berkeley,
California

.. ~
 Notation

The following symbols are used in this book.

a Earthquake acceleration (fraction of gravity acceleration), correction
factor in settlement calculation.
A Area of sliding plane, cross-sectional area of drill hole casing (m 2 , ft 2 ,
in2 ). I
Moment arm (m, ft).
Surface area of cone (m2, ft2).
Cross-seciional area of drill hole (mm2 , in 2).
width (m, ft) ..
j
Footing width, pier diameter (m, ft).
Burden distance in blast hole layout (m, ft).
Cohesion (MPa, p.s.i.).
c' Factor in settlement calculation.
C Constant in plate load test analysis
C. Dispersion coefficient, factor in settlement calculation.
Ce Factor in calculation of hydrodynamic force on dam
Cn, C'2 Correction factors for foundation shape
. Cs Seismic coefficient.
d Diameter (m, ft).
D Depth of socketed pier, pipe, rock anchor (m, ft).
d. Anchor diameter (m, ft).
d, Explosive diameter (m, ft).
db Drill hole diameter (m, ft).
De Equivalent core diameter.
e Eccentricity in stress distribution along foundation.
Ee Deformation modulus of concrete (GPa, p.s.i.).
Em(bl Deformation modulus of rock mass in base of pier (GPa, p.s.i.).
Em(s) Deformation modulus of rock mass in shaft of pier (GPa, p.s.i.).
Em Deformation modulus of rock mass (GPa, p.s.i.). I
E, .Deformation modulus of intact rock (GPa, p.s.i.).
F Factor of safety.
I. Driving force (N, Ibf).
I, Resisting force (N,Jef).
1$. Ie Resistence factors.
lu,/oL./LL Load factors.
 Notation xv

Distribution function.
Shape factor in permeability measurement.
Factor in calculation of stress distribution in anisotropic rock, gravity
acceleration (mls2 , ftlsec 2 ).
Shear deformation modulus of intact rock (OPa, p.s.i.).
Shear deformation modulus of rock mass (OPa, p.s.i.).
Factor in calculation of shear strength of fractured rock, and stress
distribution in anisotropic rock.
Height, thickness of slab (m, ft).
Head of water, height of water on dam face (m, ft).
Constant water head in permeabiliiy test (m, ft).
Inclination of asperities, roughness angle (degrees).
.tion), correction Influence factor.
Hydraulic gradient
Point load index.
Empirical factor in analysis of socketed piers.
Permeability (mlsec).
Bulk modulus (OPa, p.s.i.).
Rock stiffness of rock in base, shaft of socketed pier (OPalm, p.s.Uin).
Hydrodynamic pressure coefficient, constant in blast vibration
calculations.
Normal stiffness (OPalm, p.s.i.lin).
Shear stiffness (OPalm, p.s.i.lin).
p Rankine earth pressure coefficient.
Xc Critical horizontal acceleration (mls- Z, ftls- Z).
.'K'
T Factor in seismic (geophysical) investigations.
. '1(, Factor for construction type in seismic design.
I Direction cosine.
L Length of un bonded socket, drill hole, outcrop, footing (m, ft).
I. Bond length (m, ft).
I, Free stressing length (m, ft).
m Rock mass strength parameter, direction cosine.
M Moment (Nm, Ibf tt).
1t!e Moment due to earthquake force (Nm, ft lbi).
n Direction cosine.
N Number of analyses, poles, fractures.
Nc,N y , N q , Nu Bearing capacity factors.
Pa, p.s.i.). No, N~ Stability numbers.
Pa, p.s.i.). p, Pult Resistence of soil for laterally loaded pier (Nlm, Ibflft).
P Probability of occurance, proportional ratio.
Po Force on side of block (n) in toppling failure (N, lbi).
Bearing pressure (Pa, p.s.i.).
Foundation load (N, Ibi).
Allowable bearing pressure (Pa, p.s.i.).
Horizontal hydrodynamic force due to earthquake (N, lbf).
Inertial force due to earthquake (N, lbf).
Seepage volume per unitiime (rnOlsec, gallmin);
xvi Notation

Qu
r
Net upward bearing capacity (N, Ibf).
Radius (m, ft).
I
R Radial distance (m, ft), modulus ratio.
Re Radial distance from blast (m, ft).
S Rock mass strength parameter.
S Fracture spacing (m, ft).
I Time (s).
T Basic time lag in permeability tests, factor in seimic testing (s).
Ie Earthquake period (s).
U Uplift pressure (Pa, p.s.i.), relative velocity (mis, ftlsec).
U Uplift force (N, Ibf).
v Velocity (m/sec, ftlsec).
V Water force (N, lbf).
We Mass of explosive per unit length of blast hole (kg/m, Ibm/ft).
W Weight of dam, sliding, toppling block (N, Ibf).
We Weight of rock cone (N, lbf).
W~ Weight of truncated rock cone (N, Ibf).
We Mass of explosive per delay (kg, Ibm).
X Distance along rock bolt, sliding plane, socketed pier (m, ft).
y Velocity, deformation, distance down pier.
Z Factor for seismic design.
Z Radial distance (m, ft).
a Dip direction of plane, trend of line, angle between face and strike of
fracture (degrees).
Factor in blast vibration design.
Angle between fracture and stress direction, base angle in toppling failure
(degrees).
p2 Settlement calculation factor.
"t. Density of rock (N/m" Ibf/ft3 ).
"tw Densi.y of water (N/m 3 , Ibf/ft3 ).
Ii Settlement, closure (mm, in).
A Displacement in radial jacking test (mm, in).
Lias. Relaxation stress loss (Pa, p.s.i.).
Ax Width of toppling block (m, ft).
t Strain.
e Angle, apex angle of cone (degrees).
Micro.
"
V Poisson's ratio.
Viscosity (Nsm- 2 , lbf sec in-2 ).
1\
p Pump constant.
a Normal stress (Pa, p.s.i.).
(Ju(r) Unconfined compressive strength, intact rock (Pa, p.s.i.).
(J'u(m) Unconfined compressive strength, rock mass (Pa, p.s.i.).
a ue Unconfined compressive strength, concrete (Pa, p.s.i.).
a. Radial stress (Pi, p.scf.).
av Overburden pressure (Pa, p.s.i.).
al Major principal stress. (Pa, p.s.i.).
 Notation xvii

Minor principal stress (Pa, p.s.i.).

Tensile stress, strength (Pa, p.s.i.).
Shear stress (Pa, p.s.i.).
Friction angle (degrees).
Dip angle of plane (below horizontal), plunge of line (degrees).
Optimal dip of tensioned anchors (degrees).
Settlement inclination angle (degrees) .
.ng (s). Factor in rock bolt anchor stress distribution.

m/ft).

I, ft).

:e and strike of

toppling failure
 -
Note

The recommendations and procedures contained herein are intended as a general guide and
prior to their use in connection with any design, report or specification they should be
reviewed with regard to the full circumstances of such use. Accordingly, although every
care has been taken in the preparation of this book, no liability for negligence or otherwise
can be accepted by the author or the publisher.

eneral guide and
I they should be
, although every
,nce or otherwise
;ypes of rock foundation
f'are two distin&.uishing features of founda-
n roc~FffSl,lhe ability of the rock to wIth-
')lIuch higher loads than sol!, and second,
efects in the rock which. result in
n th of the rock mass beiJ.lg considerably
an that of the intact rock. The compressive
h of rock may range from less tfiaii""51ViPa
.s.i.) to moretnan' a 30000 .s.i.),
here the roc IS stron substantial I ads can
orted on small s read foot' . However,
I{~e low-strength fracture oriented in a parti-
"(directIon may cause sliding failure of the
. oun at .,/:r- . strength clay's. Figure 1.1 shows how the geo-
ability of rock to sustain significant shear
'nsile loads means that there are many types
'~ctures that can be constructed mOre readily
.ck than they can be on soil. Examples of
structures are dams and arch bridges which
. ce inclined 19ads in the foundation, the
orages for. suspension bridges and other tie-
anchors which develop uplift forces, and
"!socketed piers which. support substantial
sjn both compression and uplift. Some of
e loading conditions are illustrated in Fig. 1.1
~shows the abutment of an arch bridge. The
"jjg-for the arch has an inclined load, while the
'~and the abutment have vertical loads; the
.~l'acity of these footings depends primarily
.e:'coinpressive and shear strength..o Hhe rock
,The wall supporting the cut below the
'W-ellt is anchored with tensioned and grouted
1
Characteristics of
rock foundations
rock bolts; the load capacity of these bolts depends
upon the shear strength developed at rock-grout
interface in the anchorage zone.
If the material forming the foundations of the
bridge shown in Fig. 1.1 was strong, massive,
homogeneous rock with properties sImilar to con-
crete, design and construction of the footings
would be a trivial matter, because .the loads
applied by a structure are generally much less
than the rock strength. However, rock almost
always contains fractures that can range from
joints with rough surfaces and cohesive infillings
that have a relatively high shear strength, to
massive faulted zones containing expansive, low
logical structure can affect the stability of the
foundations. First, there is the possibility of over-
all failure of the abutment along a failure plane
(aa) passing through both the fault;" and intact
rock at the toe of the slope. Second, local failure
(b) of the foundation of the vertical column could
occur on joints dipping out of the slope face.
Third, settlement of the arch foundation may
occur as a result of compression of weak materials
in the fault zone (c). Fourth, weak and fractured
rock in the bolt anchor zone could result in
failure of the bolts (d) and loss of support of the
abutment.
Foundations on rock can be classified into three<
. groups - spread footings, rock', socketed. piers
and tension foundations- depending on the (
magnitude and direction of loading, and the \
geotechnical conditions in the bearing area.
----~
 2 Characteristics of rock foundations
I'
i

.. : : ".".:.' .

Tensioned
"'-"-;2:~:>.c-----rOCk anchors
a

Fractures dipping
out of slope

Figure 1.1 Stability of bridge abutment founded on rock. (a-a) Overall failure of abutment on steeply dipping
fault zone.. (b) Shear failure of foundation on daylighting fractures. (c) Movement of arch foundation due to
compression ~flow-modulus-rock. (d) Tied-back wall to support weak rock in abutment foundation.

Figure 1.2 shows examples of the three types ment characteristics, and is accessible for con-
of foundations an.d the foHowing is a brie; de- struction. The bearing surface may be inclined,
scription of the principalfeatures of each~ 1Jw in which case steel dowels or tensioned anchors
-blJ!lic geotechnical" information required for may be required to secure the footing to the
the design of aH three types of foundation con- rock. For footings that are located at the toe or
~ists of the structural geology; rock strength crest of steep slopes, the stability of the overall
properties, and the ground water conditiont) slopes, taking into account the loads imposed
The application of this data in the design of the structure, must beconsid~red (Fig. 1.2(a.
J
each type of foundation is described in detail Dam foundations are treateU as a special ca
in Chapters 5 to 9. in this book because of the substantial loads
they impose on the foundation, and the high
df . degree of reliability required in their perform-
1.1.1 Sprea ootmgs ance. Loads on dam foundations comprise the
e Spread footingsare<tl1~mostC<JlI\mon type of weight of the dam, which together with the
foundation and are the l~asHiiipensive to :OOn- .. horizontal water force exerts a non-vertical
struct. They can be constructed 9n any surface resultant load on the foundation (Fig. 1.2(b)).
which has adequate bearing capacityiindset*- In addition, water pressures in the foundation
 Types of foundation 3

.....................
~~.:.: ::.:.':.":;".
Tensioned
- - rock anchors

.
.Q
.

(b)

Q



,n steeply dipping
mdation due to
Idation,


,


1
. . , .


"
/
accessible for con- /
:e may be inclined,
r tensioned anchors A
)<~oundation
the footing to the
)Cated at the toe' or
/ " / rock mobilized
by.. anCh?rs

J
(d)
bility of the overall
Ie loads imposed Types of foundations on rock. (a) Spread footing located at crest of steep slope. (b) Dam foundation:~
I"red (Fig. 1.2(a)). #Illtant load on foundation acting in downstream direction. (c) Socketed pier to transfer strueturalload to"
:e'd as a special ca below base of adjacent excavation. (d) Tie-down anchors to prevent uplift of submerged structure.
te substantial loads
ttion, and the high
d in their perform-
ations comprise the j:>"uplift forces which are detrimental to of failure are often' catastrophic. Dams must
together with the !Y.These loads can be much larger than the also be designed to withstand flood conditions,
erts a non-vertical imposed by structures such as bridges.and and earthquake loadings where appropriate.
lation (Fig. 1.2(b. gS,and in addition there is the need for The design of dam foundations is discussed in
s in the foundation Kleve! of safety because the cQnsequences Chapter 7;
 -
4 Characteristics of rock foundations

1.1.2 Socketed piers strength depending on the tensile strength of

th
. ... the rock mass, and on the orientation of the
Where thehloads on 'bInldlYbldual foOtInfgs arhe v~ry geological structure with respect to the cone cc
high and t e accessl e eanng sur ace as In- f K
d . .. y b sur ace. tfi
g
a equkate bdearllm chaPfac~ty, Ith,ma d e In~cessarkY ~ Details of design methods of tension anchors, h,
to sm or n a sat Into t e un er ymg roc including testing procedures and methods of cor-
a?d construct a sockete? pier. For example, In rosion rotection, are described in Chapter 9. fa
Fig. 1.2(c) a spread footIng could not be located p th
on the edge of the excavation made for the exist- fa
ing building, and a socketed pier was constructed 1.2 Performance offoundations on rock Ul

to bear on sound rock below the adjacent foun- th

dation leveL The support provided by socketed Despite the apparently favorable stability COn- cc
piers comprises the shear strength around the ditions for structures founded on strong rock, _th
periphery of the drill hole, and the end bearing there are, unfortunately, instances of foundation a
on the bottom of the hole. Socketed piers can failures. Failures may include excessive settle- in
be designed to withstand both compressive and ment due to the presence of undetected weak th
tensile vertical loads, as well as horizontal loads seams, or deterioration of the rock with time, .
and moments, with minimal displacement. as well as collapse resulting from movement of
~'
.0'
blocks of rock in the foundation. Factors that ~:~' 'R
may influence stability are the structural geology in
1.1.3 Tension foundations of the foundation, ground water pressures, and e!
the methods used during construction to excavate m
(For structures that produce either permanent or and reinforce the rock. al
transient uplift loads" support can be provided The most complete documentation of founda- at
by the weigbt of the structure and, if necessary, tion failures has been made for dams because the a
tie-down anchors, grouted into the underlying consequences of failure are often catastrophic. a!
rock (Fig. 1.2(d)). The uplift capacity of an Also, the loading conditions on dam foundations w
anchor is determined by the shear strength of are usually more severe than those of other tl
the rock/grout bond and the weight of the cone structures so study of these failures gives a good c,
of rock that is developed by the anchor. The insigbt on the behaviour and failure modes of
dimensions of this cone are defined by the 'de- rock foundations. The importance of foundation "
veloped anchor length, and the apex angle of design is illustrated by Gruner's (1964, 1967)
1
the cone. The position of the apex is usually examination of dam failures in which he found
assumed to be at the mid-point of the anchor that one third could be attributed directly to 1
length, and the apex angle can vary from about. foundation failure. The following is a review of n
60 to 120. An apex angle of 60' would be used the stability conditions of rock foundations. v
where there are continuous fractures aligned s
parallel to the load direction, while an angle
of 120' would be used in massive rock, or' rock 1.2.1 Settlement and bearing capacity
'with continuous fractures at rigbt angles to the
load direction) failures '"
In calculatiKg uplift capacity, a very conser- Settlement and bearing capacity type failures
ative assumption can be made ,that the cone is :ife-rarii'In'[oclCoUl may occur where there'are
detached' from the surrounding rock. ,However, tJe<\s af Io\B!!ength'rockor '.-:aVirieif'oe1le1l:tllthe
nless the anClJor isiIlstalledi,!atock.masswitlJ. structure formed by weathering;iicaur 'Orsolu-
cone-shaped fracture pattetIl;sigIlificaIlt uplift ,lIon. The most potentiaIiy hazaido~s conditions
esistance will be provided by the ,r()ckstrimgth are in karsti,,' areas wheresol~ti.on caviti~;may
n the surface ofthe cone; witMhevalueofthis form-Ullcler, 'or' CIose"tb','lhe"st~ct~re
~"_._-"-- -.,,~ -'-."" "-.-"
so.- iliat

1e tensile strength Of on consists of only a thin shell (Jf
he orientation of the ' toe -<;:0mes'andKiikpatrick, 1980,
respect to the cone (and Reynolds, 1981), Rock types
'~~epfilile to"soliiti6nare anhydrite,
'ds of tension anchors, 'urn carbonate and gypsum. The
" and methods of cor- allism of the foundation un"(ler
;ribed in Chapter 9. "ons may be punching and shear
re rarely bending and tensile fail-
, of the water table may accelerate
mdations on rock process and cause failure long after
Ivorable stability can- 'is complete. A related problem is
nded on strong rock, hi bed of competent rock overlying
nstances of foundation Qf much weaker rock possibly result-
;lude excessive settle-' 'Illent as a result of compression of
l of undetected weak
erial (mechanism c in Fig. 1.1).
f the rock with time, 'earing capacity with time may also
Ig from movement of ' , weathering of the foundation rock.
mdation. Factors that" which are susceptible to weathering
the structural geology 'rly cemented sandstones, and shales,
water pressures, and ' they contain sweUing clays. Com-
lllstruction to excavate ',' of weathering are freeze/thaw action,
case of such rocks as shales, wetting
lmentation of founda- , cycles. Foundations which undergo
, for dams because th~ t change in environmental conditions
re often catastrophic. ,'of construction, such 'as dam sites
IS on dam' foundations previously dry rock in the sides of
than those of other 'becomes saturated, should be checked
, failures gives a good \for any materials that may deteriorate
and failure modes of
ortance of foundation,
,runer's (1964, 1967)
es in which he found
attributed directly to 're two circumstances under which Tacks
!lowing is a review of 'ep, thai is experience increasing strain
ock foundations. .. e under the application of a constant
)First, in elastic rock, if the applied stress
'nificant fraction (greater than about 40%)
uing capacity ,,'llniaxial compressive strength au, creep
,ccur, although at these relatively low stress
;.the rate of creellwill decrease with time.
;apacity type failures 'her stress levels (greater than 60% of au),
Jccurwfierefhereare 1~,wiU increase with time and failure may
it'cavitiesoe'flliatlrlhe Ally takelliace. At the stress levels usuaUy
lering';Scour or solu- ,E;~linfoundations it is unlikely tilat, in
liazardooscondiiions j'ock, creep will be significant. --
.s9futi<i.Q c;':~;i;esmay ,~c.oI1d condition for which creep may oc-
the structll~eso_.f!ia..t mductile rocks such as halite and some
Stability of foundations on rock 5
sediments. A ductile material will behave elas-
tically up to its yield stress but is able to sustain
no stress greater than this so that it will fiow
indefinitely at this stress unless restricted by
some outside agency. This is known as elastic-
plastic behaviour and foundations on such ma-
terials should be designed so that the applied
stress is well below the yield stress. Where this
is not possible, the construction methods and
design should accommodate time-dependent
deformations. .
'f.ime-dependent behaviour of rock is discussed
in more detail in Section 3.6.
1.2.3 Block failure
A cOmmon cause of rock foundation failure is
the movement and coUapse of blocks of rock
formed by intersecting fractures (mechanism b
in Fig. 1.1). The orientation, spaCing and length
of the fractures determines the shape and size
of the blocks, as weU as the direction in which
they can slide. The stabiliiy condition of the
blocks depends on the shear strength of the frac-
ture surfaces, and the external forces, which
consist of water, structural, earthquake and
reinforcement loads. Analysis of stability con-
ditions involves the determination of the factor
of safety or coefficient of reliability as described
in more detail in Chapter 6.
An example of a block movement type of
failure occurred in the Malpasset Dam in France
where a wedge formed by intersecting faults
moved when subjected to the water uplift forces
as the dam was fiUed (Lande, 1987). The failure
resulted in the loss of 400 lives. Bridge founda-
tions also experience failure or movement as a
result of instability of blocks of rock (Wyllie,
1979). One of the causes of these failures is the
geometry of bridge foundations with the fre-
quent construction of abutments and piers on
steep rock faces from Which blocks can slide.
Other causes offailure are ground water effects
which include weathering and uplift pressures
on blocks which have a potential to slide, river
scour" and, wave ,action which can undermine
the foundation,' and traffic vibrati~n which can
 6 Characteristics of rock foundations

....
. ... ...'
. .
"
. ' . .
. ...
",'
.. ' .. : ": . .
. .. .
,'
', " . .
...
. '.. . ' . .
'. '.' ..
" ..
. . ". . ' ..
... .
0

" ..
.. .
Joint planes
undercutting .. . . : ..
'. ' , '
'. '" '

. ' . ..' .'

retaining wall . '. . .
foundation
' .. ' '.: : .
:",:. :', :': : .

Figure 1.3 "Retaining wall foundation stabilized with reinforced concrete buttress and rock bolts.

slowly loosen fractured rock. It is standard prac- retaining wall is founded on very strong granit ,
tice on most highways and railways to Tarry out containing sheeting joints dipping at about 40'
regular bridge inspections which will often iden- out of the face. Although the bearing capacity
, tify deteriorating foundations and allow reme- of the rock was ample for this loading condition,
dial work to be carried out. It is the author's movement along the joints and failure of a bloc.:
experience thaI rock wlU usually undergo ob- resulted in rotation of the wall. FortunatelY,
servable movement sufficierittoprovidea warn- early detection of this condition allowed reme-'
.ingof instability before collapseoccul"s. 0>" .' dial work to be carried out. This work comprised,
An example of the influence of structural construction of a reinforced concrete wall to-;
geology on stability is shown in Fig. 1.3- where a replace the failured rock,' and the installation~

ock bolts.
on very strong granite
os dipping at about 40'
;h the bearing capacity
r this loading coIidition,-
ts and failure of a block:..
the wall. Fortunately,
onditionallowed reme-'
It. This work comprised
'rced concrete wall to':-
k, -and the installation'
Vd bolts to prevent further movement
ts.
hre of socketed piers and tension
of socketed piers is usually limited
,., table movement which may occur
'of loss of bond at the rock/concrete
n the side walls, or compression of
'a! at the base of the pier. A frequent
vement is poor Cleaning of the sides
'gf tbe hole. In the case of tensioned
:ss of bond at the rock/grout interface
:Wls of the hole may result in gradual
"por! and eventually excessive move-
ernatively, sudden failure may occur
. of corrosion failure of the steel. The
'reliability of tensioned anchors de-
It large degree on the. details of fabri-
. installation procellflies as discussed
9.
hence of geological structure
'rations of foundation conditions shown
'.1 and 1.3" and the analysis of foun-
'lures, show that geological structure
y a significant feature influencing the
and construction of rock foundations.
knowledge of fracture characteristics -
)on, spacing, length, surface features
)ling properties - are all essential infor-
,tequired for design. The examination of
ctural geology of a site usually requires
~-dimensional analysis which can most
iently be carried out -using stereographic
lpns as described in Chapter 2. This tech-
: an be used to identify the orientation and
'of blocks in the foundation that may fail
jp,g.ortoppling.
..also necessary to determine the shear
;offractures along which failure ,could
1,~.This involves direct shear tests, which
e:carried out in the laboratory on-Pieces of
E}(lsitu on undisturbed samples. Methods-
.;dJesting are described in Chapter 4.
Stability of foundations on rock 7
1.2.6 Excavation methods
Blasting is often required to excavate rock foun-
dations and it is essential that controlled blasting
methods be used that minimize the damage to
rock that will support the planned structure.
Damage caused by excessively heavy blasting
can range from fracturing of the rock with a
resultant loss of bearing capacity, to failure of
the slopes either above or below the foundation.
There are sometimes circumstances, when, for
example, existing structures are in close pro-
ximity or when excavation limits are precise,
in which blasting is not possible. In these situa-
tions, non-explosive rock excavation methods,
which inClude hydraulic splitting, hydraulic
hammers and expansive cement, may be justified
despite their relative expense and slow rate of
excavation.
The effect of geologica!' conditions on foun-
dation excavations is shown iIi Fig. 1.4 where
the design called for a notch to be cut in strong
granite to form a shear key to resist horizontal
forces generated in the backfill. However, the
bearing surface formed along pre-existing joints
and it was impractical to cut the required notch.
Consequently, dowels were installed to anchor
the wall. Only in very weak rock is it possible
to 'sculpt' the rock to fit the structure, and even
this _may be both expensive and ineffective.
Methods of rock excavation are discussed in
detail in Chapter 10.
1.2.7 Reinforcement
The reinforcement of rock to stabilize slopes
above and below foundations, or to improve
bearing capacity, has wide application in rock
engineering. Where the intact rock is strong
but contains fractures which form potentially un-
stable blocks, the foundation can be reinforced
by installing rigid bolts or cables across the fail-
ure plane. The function of such reinforcement
is to apply a normal stress across the slidingsur-
face which increases the frictional resistallce on
the surface; the shear strength of the steel bar
provides little-support in comparison to the fric-
 8 Characteristics of rock foundations

tion component of the rock strength. Another

Traffic (
~ load function of the reinforcement is to prevent (
loosening of the rock mass because reduction
in the interlock between blocks results in a sig-
nificant reduction in rock mass strength. 1
- Where the rock is closely fractured, pumping l
. :: ... ":.'.:'" of cement grout into holes drilled into the foun-
dation can be used to increase the bearing ca-
d
... .' .. pacity and modulus. The effect of the grout is
tI

..
",'
'
.
.....
Design: wall
to limit both interblock movement and closure "
Cl
of fractures under load. Protection of closely n
: ..... ': ..... ,' .. .. "& notched into
rock fractured or faulted rock from weathering and t}
" : . ' : : : : . : ,'" J.
degradation that may reduce bearing capacity in
. .: "" or undermine a foundation can be provided by eJ
... ".: . applying shotcrete - pneumatically applied, fine fa
...
.. .
" ,,"

",,""
"
II
.. ..

aggregate concrete. a&

Methods of construction and rock reinforce- 10
ment are discussed in Chapter 10. of
(a)
co
1.3 Structural loads (9
~:.

The following is a summary of typical loading .' lUI

conditions produced by diffet~lJt+ypes of struc- th,
tures based on United State~6iiildlng codes and 19
design practices (Merritt, 1916). The design ba,
information required oni.leading conditions con- sel
sists of the magnitude' of both the dead and live nif
loads, as well as the direction and point of appli- be
cation of these loads. This information is then sty
'. ',:', :: ".:" :.:':',
...
..:..... /:':' .'. used to calculate the bearing pressure and any ft 3;
'. ' .
.' ......
'
overturning moments acting on the foundation. Th,
An important aspect in foundation design is abl
: ' ... '.,:- ...
' #. .'.' : : ',.. .

. Asbuilt" wall
' .. ' '. ' ..::' . : .' .
.
... , . . . .
'., '
anchored to sloping
rock surface
communication between the structural and foun-
dation engineers on the factors of safety that;
pro
1
'., .

': ..:':::,':. are incorporated in each part of the design. If. buii
"

.... ':. ' .. "

the structural engineer calculates the dead and . ran,
live loads acting on the foundation and multiplies, ' and
this by a factor of safety, it is important that the. (15!
foundation engineers do not apply their own: and
factors of safety. Such mUltiplication of factorS" fam
of safety can result in overdesigned and expen;'. forn
sive foundations. Conversely,-failure toincor%; usa!
porate adequate factors of safety can result inl A
(b) seisl
............, .. '....... '-.-,. '-'-C'-," unsafe foundations. A description of methods oK_.
Figure 1.4 'Construction of rOcldoundatiojE calculating loads imposed by structures on the] strw
(a) attempted 'sculpting' of rock fourtdation to form' foundation (this is usually the responsibility of .~ sno\
shear key, and (b) 'as-built' condition.: . the structural engineers) is beyond the' scope tane

,ck strength. Another
ement is to prevent'
ass because reduction:
blocks results in a sig.'
mass strength.
:ly fractured, pumping,
s drilled into the faun
crease the bearing ca'
effect of the grout is
novement and closure
Protection of closely,
from weathering and
duce bearing capacity,
m can be provided by
.matically applied, fine
on and rock
.pter 10.
lary of typical loading"
lifferent types of struc-
ates building codes an
t, 1976). The design
loading conditions' can'
both the dead and live
etion and point of appli '
ilis information is then'
aring pressure and any
lng on the foundation.'
.n foundation design i~
the structural and foun '
factors of safety tha~
I part of the design. I
calculates the dead and
,undation and multiplies:
it is important that the'
l not apply their own
nultiplication of factorS'
verdesigned and expen"
,rsely, failure to incor7;,
of safety can result in',
:scription of methods of,:
d by structures on the;
Ily the responsibility oC
) is beyon<f,the scope;" 'S)y;but wind and snow are not combined with the magnitude of the impact load diminish-
Structuralloads 9
. This section provides a summary with seismic forces. Seismic forces are taken as
n methods. horizontal concentrated loads acting at each
floor and roof above the foundation, and act
simultaneously in any direction. The sum of the
j'ngs horizontal forces is the total base shear at the
'~ilding foundations consist of the foundation which is given by (Merritt, 1976)
'. f the structural components, and
Base shear = Z K, C:, Q (Ll)
associated with its usage, both of
)osely defined in various building Typical ranges of values, for these four para-
ead'loads, the codes describe a wide meters are as follows; Z is the factor for seismic
struction materials such as various intensity and is 0.25 for zone 1 and 1.0 for tone 3
, partitions, floor finishes and roof (US zones of probable seismic intensity); K, is
:and the minimum loads which they the factor for construction type and is 0.8 for
ption that may be suitable for poor ductile, moment-resisting space frames and 3 for
conditions is the use of lightweight liquid-filled tanks; C, is the seismic coefficient
, concrete which reduces the dead related to the fundamental period of vibration of
crete slabs from 24 Pa per millimetre the structure; and Q is the total foundation load.
'(12.5 p.s.f. per inch) for standard In addition to the base shear developed by
to 17 Pa per millimetre of thickness the horizontal seismic and wind loads, they also
,finch). produce an overturning moment at the foun-
. case is the dead load on buried struc dation level. The foundation must be designed
"'bich a considerable load is exerted by to resist both the base shear and the overturning
,Or - granular fill has a density of about moment by the weight of the structure, the fric-
H20 Ib/ft 3) , and a 3 m (10 ft) thick tion on the base and, if necessary, the installation
II exert a dead load equal to about of tie-down anchors.
rs of an office building. A very sig.
'duction in the foundation loads can'
1.3.2 Bridges
ed by using lightweight fills such as
which has a density of 0.3 kN/m3 (2Ib/ Loads that bridge foundations support consist
of the dead load determined by the size and
;used in road fills on lowstrength soils.
vantage of styrofoam is that it is flamm type of structure, and the live load as defined
'soluble in oil and so must be carefully in' the codes for a variety of traffic conditions.
For example, an HS20-44 highway load, repre"
Ve loads; which are determined by the senting a truck and trailer with three loaded
'usage, are defined in the codes and axles, is a uniform load of 9.34kN per lineal
m 12 kN/m2 (250Ib/fe) for warehouses metre of load lane (0.64 kips per lineal foot)
avy manufacturing areas,' 7.2kN/m2 together with concentrated loads at the wheel
,2) for kitchens and book storage areas, locations for moment and shear. For railway
9.kN/m2 (40Ib/ft2 ) for apartments and bridges, the live.load is specified by the E num
liousing. Live loads are generally uni ber of a 'Cooper's train', consisting of two loco-
:,distributed, but are concentrated for such motives and an indefinite number of freight cars.
'cgarages and elevator machine rooms. Cooper's train numbers range from EI0 to E80;
tional loads result from snow,wind and the E80 loading is for heavy diesel locomotives
-Vents, which vary with the design of the, with bulk freight cars.
'aiid the geographical location:"Wind, For both highway and railway bridges, impact
ji?dive loads are assumed to act simul- loads are calculated as a fraction of the live load,
 10 Characteristics of rock foundations
ing as the span length increases. Methods of cal-
culating impact loads vary with the span length,
method of construction and the traffic type.
Other forces that may affect the foundations are
centrifugal forces resulting from traffic motion,
wind, seismic, stream flow, earth and ice forces,
and elastic and thermal deformations. The mag-
nitude of these forces is evaluated for the par-
ticular conditions at each site.
1.3.3 Dams
Loads on dam foundations are frequently of
much greater magnitude than those on bridge
and building foundations because of the size of
the structures themselves and the forces exerted
by the water impounded behind the dam. The
water forces are usually taken as the peak maxi-
mum flood (PMI'), with an allowance for aq::umu-
lations of silt behind the dam, as appropriate.
Any earthquake loadings can be simulated most
simply as a psuedostatic force proportional to
the weight of the dam. The resultant of these
forces 'acts in' a downstream direction, and the
dam must be designed to resist' both sliding
and overturn1ngunder this loading condition.
There' may also be concentrated compressive
stresses at the toe of the dam and it is necessary
\ to check that these stresses do not cause excessive
deformation.
,A significant difference between dams and
most other structures is the water uplift press-
ures.,that are generated within the foundations.
In most cases there are high pressure gradients
beneath the lieel'of the dam where drain holes
and grout curtains are installed to relieve water
pressures' and' control seepage. The combina-
tion of these load conditions, together with the
high degreeofSafet{required fdr imy dam, re-
quires that the investigation, design and con-
struction of the foundation be both thorough
alid comprehensive,
, Means of defining both differential and absolute';.
1.3.4 Tension foun"da,tions ,settlement are illustrated in Fig. 1.5, together
- with'the terms defining the various components ';
Typical loads on tens[onfd\.lltd#ions'consistof of settlement.
the dead load of the stntettrr :sucll.asbuoyancy
forces generated by submerged tanks and the (a)
tension in suspension bridge cables and trans-
mission lines. Alternatively, the .foundation may
be designed to resist uplift forces generated by ,
overturning moments acting on the structure re-
sulting from horizontal loads such as wind, ice,
traffic and earthquake forces.
1.4 Allowable settlement (b)
. Ii
Undoubtedly the most famous case of founda-
~
tion settlement is that of the Leaning Tower of
Pisa which has successfully withstood a differ-
ential settlement of 2 m and is leaning at an angle
of 5 11' (Mitchell, Vivatrat and Lambe, 1977).
However, this situation would not be tolerated in
most structures, except as tourist attractions! The FIgure t.!
buildings
following is a review of allowable settlement (b) settlel
values for different types of structures. at i; Pmax i
displacem
apart lij; .1
1.4.1 Buildings maximum
Settlement of building foundations that is in- two refere
rotation;
sufficient to cause structural damage, may still
be unacceptable if it causes significant cracking
of architectural elements. Some ".o{'the factors
that can affect settlement are the size and type is the angt
of structure, the properties of the structural the appro:
materials and the subsurface soil and rock, and
the rate and uniformity of settlement., Because
of these complexities, the settlement that will.'j. tural me
cause significant cracking of structural members" often th,
or architectural elements, or both, cannot readily , 'angular
be calculated. Instead, almost all criterea for critical ir
tolerable settlement have been established em- resulted
pirically 'on the basis of, observations of settle- gular dis
ment and damage in existing bUildings (Wahls, buildings
1981). 1956; ani
Damage due to settlement is usually the result " P> 1
of differential settlement, i.e. variations in ver- , P>1
tical displacement at different locations in the ~ \I
building, rather than the absolute ~settlement.:, P < 1
c
In the
that the
Study of cracking of walls, floors and stmc- indicator

)merged tanks and th
ridge cables and trans'
ely, the foundation rna
.[ift forces generated b
ling on the structure re
loads such as wind, ice'
Ifees.
~ent
famous case of found&
.f the Leaning Tower 0
'ully withstood a diffe'
md is leaning at an angr
atrat and Lambe, 1977)
"'ould not be tolerated ,"'
's tourist attractions! Th
of allowable settleme
s of structures.
foundations that is ;"
otural damage, may s
lUses significant crackin
,ts. Some of the facto
:nt are' the size and t
,erties of the structur
Irface soil and rock, an
y of settlement. Becau
the settlement that
19 of structural membe
:s, or both, cannot readiJ
, almost all criterea C
lve been established e
)f observations of setd
,xisting buildings (Wahls
,ment is usually the resul
nt,. Le. variations in 'ven
lifferent locations in the,
the absolute settlement
differential and absolu '
:ed in Fig. 1.5, togeth~
.
1 the various component
f walls,
Allowable settlement 11
direct and diagonal tension developed in the
L
wall as a result of bending (Burland and Wroth,
1974). The proposed limiting values of AIL
for design purposes are in the range of 0.0005
to 0.0015.
1.4.2 Bridges
Extensive surveys of horizontal and vertical
movement of highway bridges have been carried
out to assess allowable settlement values
(Bozuzuk, 1978; Grover, 1978; Walkingshaw,
8
------- 1978). It is concluded that settlement can be
divided into three categories depending on its
effect on the structure:
efinition of settlement terminology for 1. tolerable movements;
ahls, 1981): (a) settlement without tilt; 2. intolerable movements resulting only in poor
'itt with tilt. Pris the vertical displacement riding characteristics; ,
e maximum displacement; clfj is the
t between tWo points i and j with distance 3. intolerable movements resulting'in structural
:the relative deflection which is the damage'.
isplacement from a straight line connecting It is not feasible to specify limiting settl~ment
ro
points; is the tilt, or rigid body
values for each of these three categories because
of.the wide variety of bridge designs and sub-
surface conditions. For example, Walkinshaw
i)-ro reports tolerable vertical movements that ranged
lar distortion; AIL is the deflection ratio, Or from 13 to 450mm (0.5 to 17.7in), although the'
, "mate curvature of the settlement curve. average value was about 85 mm (3.3 in). Intoler-
able vertical movements causing only poor riding
quality averaged about 200mm (7.9in), while
mbers shows that damage was most vertical movements causing structural damage
eresult of distortional deformation, so varied from 13 to 600mm (0.5 to 23.6in) with
'distortion' P has been selected as the an average value of about 250mm (lOin). As a
:,index of 'settlement. These studies have comparison to these results, Fig. 1.6 shows the
ii, in the following limiting values of an- results of the survey carried out by Bozuzuk of
'distortion being recommended for frame bridge abutments and piers on spread footings
gs (Peck, 1976; Skempton and McDonald, , . with lines giving the limits of tolerable, harmful
-'ndPolshin and Tokar, 1957): but tolerable, and intolerable movements.
{I/150 - structural damage probable; The conclusions that can be drawn from these
::-J1300 - cracking of load-bearing or panel studies are that tolerable movements can be as
--:walls likely; great as 50 to 100mm (2 to 4 in), and thatstruc-
,,: U500 - safe level of distortion at which ' tural 'damage may not occur, until movements
.i":';':racking will not occur. are in excess of 200mm (8in). Also, differential
and horizontal movements are more likely to
'~fhe,case of load bearing walls;,it-is-iound cause damage than vertical movements alone.
_"the deflection ratio AIL is a more reliable One possibly reason is that vertical settlement
"'-ator of damage because it is related to the of simply supported spans can readily be cor-
III
fl 12 Characteristics orrock foundations

HORIZONTAL DISPLACEMENT mm

til
3 10 25 50 100 250 soo 1000
:1 10.0 ,,---,----r--.,---r--r-,--,-,--r-.-.---.,
Note: lmm=O,OO3ft
I:i
1000
illl ,
10


500

, 250

>-'
zw
,,
..
-_-.-11
,


100
E
E
>-'
Z
w
> "
..
0
w
~ -;---4-l 50 ~
E 0.1 I NOT TOLERABlE ~
w
00 0 25 00
I
~
~
~> , ", I
f! .r
,,,
0

, w
0
TO LERABLE ,,
10
"
w
>

0,01 0
"", 3

TOLERABLE NOT tOlERABLE

o
I PIER 0

JABUTMENT
Figure 1.6 Engineering performance of
0.01 0,1 1.0 10.0 bridge abutments and piers on spread
HORIZONTAL l:lISPl.ACEMENT. It footings (Bozozuk, 1978).

rected by lifting and shimming at the bearing
points (Grover, 1978). In comparison, horizontal
movements are more difficult to correct, with one
of the most important effects being the locking
of expansion joints.
1.4.3 Dams
Allowable deformation of dams is directly re-
lated to the type of dam: concrete dams are much
less tolerant of movement and deformation than
are embankment dams. There are no general
guidelines on allowable settlements for dams
because the "foundation conditions for each
structure should be examined individually. How-
ever, in. all. Cases, particular attention should
be paid to the preseD.ceofr9ck .types with dif-
fering moduli, or seallls ofweathered and faulted
rock that are more,compr~s~ibiethan thead-
jacent rock.. Either of th.ese ca!i"ditions.maY result-
in differential deforlIiati()r!()Uhe stf!ct~I'':' ' ..
1.5 Influence of ground water o n ,
foundation performance ~
"
The effect of ground water on the perf~rmance~
of foundations should be considered in design,.i.'
and particularly in the case of dams and bridges. 1\
These effects include movement and instability"
resulting from uplift pressures, weathering, scour'"
of seams of weak rock,.and solution (Fig. 1.7). In,
almost all cases, geological structure influences'
ground water conditions because. most intact
rock is effectively impermeable and water flo",-
through rock masses is concentrated in the frac;
tures. Flow quantities and pressure distribution .
are related to the aperture, spacing and continu:
aus length af the fractures: tight, discontinuou.
fractllres will tend to produce low seepage quan'
titiesand high pressure gradients. Furthermore:
the direction of flow wili tend to be parallel
'thelIiain fracture orientation.. contim
'Instability caused by water uplift forces ool';~"'" flow an
 Ground water and foundation performance 13

..
.
.....
.... .

uplift
pressur~
distribution

(a)
Engineering performance:
ments and piers on spread:'
ozozuk, 1978).

~nd water on
IDee
Ground water table
'ater on the performan. lowered by
Sloughing
be considered in desig on walls of pumping
,ase of dams and bridg " drill hole
(b)
novement arid instabilf
~ssures, weathering, seo:
and solution (Fig. 1.7);-
gical structure influen
illS because. most inta
Water surface
.. Overflow weir
Sheet'
pile
"rmeable and water flo wall
concentrated in the fra
IUd pressure distributio_ Uplift """'--Flow
line
ure, spacing and cantin pressure
head Equipotential
ures: tight, discontinuo' line
(c)
:oduce low seepage qua_
, gr,adients. Furthermor: Impervi()us
Iill tend to be parallel
1;7 Typical effects of ground water flow on rock foundations. (a) Uplift presSure developed along
tation. (ins fracture surface. (b) Water flow into hole drilled for socketed pier. (c) Typical flow net depicting water
water uplift forces acti'\' iEiIplift pressure distribution in dam foundation (after Cedergren, 1989)."
-~". . "
 -
14 Characteristics of rock foundations

on potential sliding planes in the foundation is fault may form a barrier to seepage. The study
illustrated in Fig. 1.7(a). The uplift force U act- of seepage paths and quantities, and calculation differel
ing on the sliding plane reduces the effective of water pressure distributions in the foundation tures. I
normal force on this surface, which produces are carried out by means of flow nets (Cedergren, widely
a corresponding reduction the shear strength 1989). A flow net comprises two sets of lines - for a ~
(see Chapter 3). For the condition shown in Fig. equipotential lines and flow lines - that are drawn accepte
1.7(a), the greatest potential for instability is ensures
to form a series of curvilinear squares as shown
when a rapid draw down in the water level occurs to app
in Fig. 1.7(c). The equipotential lines can also'
Adapt3
(V = 0), and there is insufficient time for the be used to determine the uplift pressure under
elude t
uplift pressure to dissipate. a foundation, which is also shown in Fig. 1.7(c).
method
The flow of water through and around a foun-
variabil
dation can have a number effects on stability
1.5.2 Tensioned anchors factor (
apart from reducing the shear strength. First,
reliabili
rapid flow can wash out low-strength infillings Where tensioned anchors are located below the
meters
and develop open fractures that undermine the water table it is necessary to use the buoyant
senting
foundation (Fig. 1.7(a. Second, percolation of weight of the rock in calculating upliftresistance.
the par
water through soluble rocks such as limestone Furthermore, an important factbr iIi design is sis is \\
can cause substantial cavities to develop. Third, provision for protection of the steel against cor- that it (
rocks such as shale may weather and deterio- rosion. Corrosion occurs most rapidly in low-pH parame'
rative with time resulting in loss of bearing ca- and salt-water environments. Protective measures ability (
pacity. Such weathering may occur so rapidly for 'permanent' installations consist of plastic ever, d(
that it is necessary to 'protect surfaces as soon sheaths grouted on to the anchors and PJll-grout '. analysis
as they are excavated, or it may only occur a, encapsulation which produces a crackHresistant, ;. enginee
considerable time after construction. Fourth, high-pH environment around the steel (see
flow of water into an excavation can make clean- Chapter 9).
ing and inspection of bearing surfaces difficult .1.6.1 F
and generally lead to increased construction
1.6 Factor of safety and reliability Design,
costs (Fig. 1.7(b. . tain am
analysis
input p
1 "5 1 D ams Structural and geotechnical designs are usually geology
based on the following two main ,equifemenls.. pressure
In the case of dam foundations it is necessary First, the structure and its components must,. sidered
to control both uplift to ensure stability, and during the intended service life, haye an alj!!_ate such as
seepage to limit water loss (Fig. 1.7(c. Control marginof saft:~gainstcollapse und"-Lth"'_IDJlXi- of the
measures consist of grout curtains and drains mumloads" and forces that ,.mighLr~asg!!ably methodl
to control seepage and reduce wate;: pres~ure, occur, and second th"Lstrn.clt!l~ and its sgm- madeb:
as described in Chapter 7. The rock property "oneilts must serve the designed functions with- The faci
that determines seepage quantities and pressure oilt excessive deformations and deterioration. force -
distribution is permeability, which relates the Co~of the structure and foundation failt!r,L inforcen
quantity of water flow thr<mgh the rock to the include lnstaIiility due to sliding, overturning" slope C(
pressure ..gradient acr()ssi!; Asdisct!ssed at bearing failiii,Ciiplilt'andseepage',-ihe onset "" foundati
the start ofthissectio~, water. flow is concen- ~ excessive' deformation and of deterioration iC
trated in the fracturessose~Pagequantities will ipclude unacceptable..to.tal and differential move-
Fact,
be closelyr<,latedtotl.l(L.g~olpgicalstrufture. ments, cracking and vibration. These two service
For example, seepage losses, may, be high. where/ levels are called ultimate and servicability limit
there are continuot!s'()l'e~;fr.aftt!resthatform states respectively (Meyerhof, 1984). The ran
a seepage path t!nder the <Jail,!, :Wl.lill; a clay-filled .The following is. a discussion on a nt!mber of as prop'

to seepage. The study.'
ltities, and calculation
ions in the foundation'
fflow nets (Cedergren,'
;es two sets of lines _
I lines - that are drawn'
near squares as showIi,
otential lines can also'
uplift pressure under
) shown in Fig. 1.7(c).
are located below the
'Y to use the buoyant
lating uplift resistance.:
nt factor in design is
f the steel against cor:
nost rapidly in low-pH
ts:' Protective measures
ons consist of plastic'
anchors and tull-grout'
luces a crack-resistant,
round the steel (see
Id reliability
:al designs are usually
yo main reqiliF~ ~
its components must;
e life have an aJlliJ!!llte
ollapse un<!e.!tJ.1~lIlal"i:
that !!light. g,asQllllbly,
;Jrul'Lure and its .~,?mJ
esigned functiOos...with
l.IlS.-aIldJieterjoration.
and foundati,0Il_illil1!.re
a sliding, overturnin
Jdseepa'ge:"The'onse.t'
l- and of" deterioIa1i.ort~
1and differentia' move~_
Ition. These two service,
: and servicability limit'
rhof, 1984).
:ussion on a number
t design methods for geotechnical struc-
acto: of sa!~!)' analysis is by far the most
:~ed 'tecl1iligue and factor of safety values
fie of structures are now generally
i'in the engineering community} This
that each type of structure is designed
',ximately equivalent levels of safety.
'()fiS to the factor of safety analysis in-
e limit states and sensitivity analysis
{both of which examine the effect of
, in design parameters on the calculated
{safety. An additional design method,
;'analysis, expresses all the design para-
,~~ probability density functions repre-
Jhe range and degree of variability of
<'eter. The theory of 'reliability analy-
,II developed and its major strength is
iiantifies the variability in all the design
1s and calculates the effect of this vari-
'1the factor of safety (Harr, 1977). How-
,~i>ile the analytical benefits of reliability
.;lit is not widely used in geotechnical
;~g practice (as of 1990)/
,~,;
~~tor of safety analysis
, geotechnical structures involves a cer-
lint of uncertainty in the value of the
ta.meters which include the structural
"material strengths and ground water
'.' Additional uncertainties to be con-
ndesign are extreme loading conditions
"'floods and -seismic events, reliability
nail'tical procedure, and construction
: Allowance for these uncertainties is
induding a factor of safety in design.
or of safety is the ratio of the resistance
(the rock strength and any installed re-
ent), to the displacing, force (down-
.lllp,ments of the applied loads and the
Eio weight).
... :. f' f Resisting forces
~r.zsa ety = Displacing forces
i'_,T-';''''~'--''- .- . _ . - ~
.. '<:,s,bf minimum total factors, of safety
d by Terzaghi and Peck (1987) and
Factor of safety and reliability analysis 15
Table 1.1 Values of minimum total safety factors
Safety factor
Failure type Category
Shearing Earthworks 1.3-1.5
Earth retaining 1.5-2.0
structures,
excavations
Foundations 2-3~
the Canadian Foundation Engineering Manual
(1987) are given in Table 1.1.
, The upper values of the total factors of safety
apply to normal loads and service conditions,
while the lower values apply to maximum loads
and the worst environmental conditions. The
lower values have been used in conjunction
with performance observations, large field tests,
analysis of similar structures at the end of the
service life and for temporary works.
The factors' of safety quoted in Table 1.1 are
employed in engineering practice, and can be
used as a reliable guideline.in the determination
of appropriate values for particular structures
and conditions. However, the design process
still requires a considerable amount of judge-
ment because of the variety of factors that must
be considered. Examples of conditions that
would generally require the use of factors of
safety at the high end of the ranges quoted in
Table 1.1 include:
1. A limited drilling programme that ,does not
adequately sample conditions at the site, or
drill core in which there is extensive mechan-
ical breakage orcore loss;
2. Absence of rock outcrops so that detailed
mapping of geological structure is not
possible;
3. Inability to obtain undisturbed samples for
strength testing, or difficulty in extrapolating
laboratory test results to 'in situ conditions;
() 4. Absence of informatiop on ground watercOll-
", 1.2 ,clitions; and seasblla!'fl\ictuations in ground
water levels;
5. Uncertainty in failure mechanisms of the
foundation and the reliability of the analysis
~ .
 -
16 Characteristics of rock foundations

method; for example, planar type failures serviceability criteria for all materials and types frir
can be analyzed with considerable confidence, of construction. pI<
while the detailed mechanism of toppling Limit states design uses partial factors of safety Fi!
failures is less well understood; which are applied to both the loads and the resist- urt
6. Uncertainty in load values, particularly in the ance characteristics of the foundation materials. fric
case of environmental factors such as wind, The procedure is to multiply the loads by a load sta
water, ice and earthquakes where data on factor (fd) and the resistances, friction and co- ful
prior events is limited; hesion, by resistance factors (f"" fJ as shown 60'
7. Concern regarding the quality of construction, in Table 1.2. The values given in parenthesis
including materials, inspection and weather . apply 'to beneficial loading conditions such as
conditions (equally important are contractual dead loads that resist overturning or uplift.
matters such as the use of open bidding rather In limit states design the Mohr-Coulomb Th,
than prequalified contractors, and lump sum equation fot the shear resistance of a sliding r ties
rather than unit price contracts); surface is expressed as a s
8. Lack of experience of local foundation del
(1.3)
performance; In I
9. Usage of the structures; hospitals, police The cohesion c, friction coefficient tan <I> and ant
stations and fire halls, bridges on major trans- . water pressure u are aU multiplied by partial var
portation routes, and life lines (water, sewer factors with values less than unity, while' the nOr- sen
and power lines) are all designed to higher mal stress (J on the sliding surface is calculated and
factors of safety than, for example, residential using a partial load factor greater than unity ; to I
buildings and warehouses. applied to the foundation load. I

1.6. 2 Limit states design 1.6.3 Sensitivity analysis

In order to produce a more uniform margin of Another means of assessing the effects of the
safety for different types and components of variability of design parameters on the factor
earth structures and foundations under dif- of safety is to use sensitivity analysis. This pro .
ferent loading conditions, the limit states design cedure consists of calculating the factor of safety
method has been proposed (Meyerhoff, 1984, for a range of values of parameters which cannot
Ontario Highway Bridge Design Code 1983 and be precisely defined, such as the water pressure..
National Building Code of Canada 1985). The For example, Hoek and Bray (1981) describe the
..two Canadian Codes are based on unified limit stability analysis of a quarry slope in which sen
states design principles with common safety and sitivity analyses were carried out for both the

Table 1.2 (Meyerholf, 1984) Values of minimum'partial factors

Category Item Load [actor Resistance factor

Loads Dead leads (foc) 1.25 (0.85)

Uye loads,wind, earthquake (fLL) 1.5
.Water'prssure (fv) 1.25 (0.85)
Shear strength CohesioR._
. (stability,earth pressyre) (f,) 0.65 Fig.
Cohesion ... betw
(foundations) (e) ([,)0.5 wate
Frictiou ~rigle (4)) (f.) 0.8 1981

all materials and types
partial factors of safety
the loads and the resist.,'
e foundation materials.'
iply the loads by a load
:ances, friction and co:
:tors (f$' [,) as shown
:s given in parenthesis
ing conditions such a~
"turning or uplift.
a the Mohr-Coulom.
resistance of a slidin
'$ tan <I>
n coefficient tan <I> an
II multiplied by partia
aan unity, while the no .
ing surface is calculate
ctor greater than uni
n load.
sis
:ssing the effects of th
ifameters on the fact
tivity analysis. This pr
lating the factor of safet
parameters which cann.
ch as the water pressur
, Bray (1981) describe t .
aarry slope in which se.
:arried out for both tli
([,) 0.65
(to) 0.5
([.) 0.8
Factor of safety and reliability analysis 17
,.'
;.angle (range 15' to 25') and the water sensitivity analyses for more than three para-
e. - fully drained to fully saturated (see meters is a cumbersome process and it is difficult
). This plot clearly shows that water press- to examine the relationship between each of
've more influence on stability than the the parameters. Consequently, the usual design
',angle. A fully drained, vertical slope is procedure involves a combination of analysis and
6r a friction angle as low as 15', while a judgement in assessing the influence of variability
turated slope is unstable at an angle of on stability, and then selecting an appropriate
"jf the friction angle is 25'. factor of safety.
(An alternative design method is reliability
analysis, which systematically examines the ef-
efficient of reliability
fect of the variability of each. parameter on the
or of safety and limit states analyses stability of the foundatioj.i. This procedure cal-
~.m..JlleSl~ectlQ ns involve selection of culates the coefficient of reliability CR of the
"'value for each of the parameters that foundation which is related to the more com-
'e loads and resistance of the foundation. monly used expression probability of failure PF
" each parameter has a range of values,. by the following equation
method of examining the effect of this
CR = (1 - PF). (1.4)
. .on the factor of safety is to carry out
"analyses (Section 1.6.3) using upper The terna coefficient of reliability is preferred
i bounet values for what are considered for psychological reasons: a coefficient of reli-
. tical parameters. However, to carry out ability of 99% is more acceptable to an owner
than a probability of failure of 1%.
Reliability analysis was first developed in the
1940s in the structural and aeronautical engin-
Fully drained eering fields to examine the reliability of complex
systems. Among its early uses in geotechnical
engineering was in the design of open pit mine
slopes where a certain risk of failure is acceptable
.and this type of analysis can readily be incor-
porated into the economic planning of the mine
(Canada DEMR, 1978; Pentz, 1981; Savely,
1987). Examples of its use in civil engineering
are in the planning of slope stabilization pro-
grammes for transportation systems (Wyllie,
McCammon and Brummond, 1979; McGuffey
et al., '1980), and in design of storage facilities for
hazardous waste (Roberds; 1984, 1986). There
is often a reluctance to use probabilistic design
where there is a limited amount of data which
it is considered may not be representative of
the population. In these circumstances it is poss-
30 40 50 60 70 80 90
ible to use subjective assessment techniques that
Slope face angle'!', (degrees) provide reliable probability values from small
;-~~i.8 S~nsitivity analysis showing the relationship samples (Roberds, 1990).
en factor of safety and slope angle for a-range of The use of reliability analysis in design re-
J?r,~ssilresand friction angles (Hoek and Bray, quires that there be' generally accepted levels
of rcliability for. diffcrcnt types of structure,
 18 Characteristics of rock foundations
'r
',"-
.

at',
~

Table 1.3 Design values for coefficient of reliability ~x) (bi

Category Coefficient of reliabiliry TIl
50=0,5 sit
Cut and fill slopes 0,99 thl
r~1
50= 1
Earth retaining structures 0,999
Foundations 0,9999 rej

-2 -1 1 2 x

as there are for factors of safety. Athanasiou-

(al
JI
Grivas, (1979) provides charts relating factor of s
safety and probability of failure, and Meyerhoff i
(1984) suggests the values for the coefficient of f
reliability given in Table 1.3. H++-H++-H++-M+<l>(Z)++-h a
t
(a) Distribution functions ?,I
l~
In reliability analysis each parameter cart be as-

;~
signed a range of values which is defined by a
probability density function (Fig. 1.9(a). The
most common type of function i.s the normal I=::::L.LJLI-,J-Ll--L.LJLL-'--Y~-l-J'-'::::!~

distribution, the density of which is defined by

fix)
1 1 - ')'
= SDV2ieTsD , (1.5)
~
-2(50) -1(SO) z_
1(80)

Figure 1.9 Properties of the normal distributIOn ~

2(~

rI for'
t~
nl

where: x is the mean value and is given by

(Kreyszig, 1976), (a) Density of the normal distribution~,
with mean x = and various standard deviations (SO), } forA
n (b) Distribution function <I>(z) of the normal t, j
2>
x~l
distribution with mean 0 and standard deviation l . f

X = -n-; (1.6)

SD is the [Of;:: :;]i!tion. given by Conversely it is possible to determine the t

value of a parameter by defining the probability
(a

of its occurrence. This is shown graphically in

SD = x-1
. n
and n is the number of samples.
As shown in Fig. 1.9(a), the scatter in the
data, as represented by the width of the curve, is
measured. by. the standard deviation. Important
propertiesofthisJunction are that the total area
under the curve is~qualtoLO. That is; t!lerds
a probability of unityt~lltall values ofthe para-
meter fall within the. bounds of the curve, Also,
68% of the values will lie within arange-of one
standard deviati0 t1 either side oftile mean and
95% ,,::,!Jyie within two standard deviations either
side ot'ffhe mean. ""'-,.'
(1.7) Fig. 1.9(b), where <fJ(z) is the distribution func
tion with mean 0 and standard deviation L For
example, a value which has a probability of being
greater than 50% of all values is equal to the
mean, and a value which has a probability of
being greater than 16% of all values i$ equal to
the mean minus one standard deviation.
The normal distribution extends to infinity in. (b]
both directions which is often not a realistic ex-:' I
pression of geotechnical data in which the likel)'!) u
upper and lower bounds of a parameter can be r; ~
defined. For these conditions, it is appropriate to ~
use the beta distribution which has finite maxi
mum and minimum points (Harr, 1977). ~
i

~
1 2 x
-++--t7H_<l>(Z)
o I(SD)
e normal distribution
ty of the normal distributio
ISstandard deviations (SDX
'(z) of the.norma1 . deviations. From Fig. 1.9(b), where the margin
Id standard deviation 1.
,ssible to determine t.
'y defining the probabili
s is snown graphically
,) is the distribution fun
standard deviation 1. F,
1 has a probability of be .
all values is equal to t
'hich has a probability
Yo of all values is equal
tandard deviation.
ltion extends to infinity
is often .not a realistic j)
:al data in which the lik.
nds of a parameter canL
lditions, it is appropriate'
:ion which has finite 10
oints (Harr, 1977).
dent of reliability
cient of reliability is calculated in a
~nl\er to that of the factor of safety;
ve magnitude of the displacing and
~rces in the foundation are examined
'''equation 1.2. Two common methods
'ng the coefficient of reliability are the
Cafety, and the Monte Carlo methods.
.n of safety is the difference between
'g and displacing forces, with the
.ing unstable if the margin of safety
{In probabilisitic analysis, these two
istributions rather than single values,
ower limit of the resisting force dis-
(r) is less than the upper limit of the
orce distribution fD( d), then there
iIlty of failure. This is shown as the
'on of Fig. 1.10(a) , with the prob-
ilure being proportional to the area
.d zone. The method of calculating
the shaded zone is to first draw up a
.ility density function of the margin of
r . f(d), f(r)
Coefficient of
Reliability
o;falculation of coefficient of reliability
.a)distributious. (a) Probability density
/thetesistance R and the displacing forces
'<!ation. (b) Probability density funeti'o!> of
_~,~t~een resisting and displacing force
08'; .
Factor of safety and reliability analysis 19
safety; this is the difference between the resisting
and displacing density functions (Canada OEMR,
1978). The area of the negative portion of this
function is the probability of failure, and the
area of the positive portion is the coefficient of
reliability (Fig. 1.10(b)). The probability density
function of the margin of safety is defined by the
mean and standard deviation of the margin of
safety which are calculated from the resisting
and displacing force distributions as follows:
Mean, margin of safety = (J, -ld) (1.8)
Stan~ard deviation, = (S02 + S02)t (1.9)
margm of safety r d
where 1" ld, are the mean values, and SO, and
SOd are the standard deviation of the distri-
butions of the resisting and displacing forces
respectively.
Having determined the mean and standard
deviation of the margin of safety, the coefficient
of reliability can be calculated from the proper-
ties of the standard deviation. For example, if
the mean margin of safety is 2000 MN and the
standard deviation is 1200 MN, then the margin
of safety is zero at 2000/1200, or 1.67 standard
of safety distribution of represented by <I>(z), the
probability of failure is 5%, and the coefficient
of reliability is 95% (Canada OEMR, 1978).
Note that the margin of safety concept dis-
cussed in this section can only be used where the
resisting and displacing forces are independent
variables. This condition would apply. where the
displacing force is the structural load, and the
resisting force is the installed reinforcement.
However, where the resisting force is the shear
strength of the rock, then this force and the dis-
placing force are both functions of the weight of
the foundation, and are not independent vari-
ables. Under these circumstances, it,is necessary
to use Monte Carlo analysis as described below.
(c) Monte Carlo analysis
An alternative method of calculating the co-
efficient of reliability is to use Monte Carlo
analysis (Fig. 1.11). This avoids the integra-
 20 Characteristics of rock foundations

tion
INPUT
whic
case
1. Expressions for total resisting and displacing ex pi
forces Carl
xn )
. mixt
r = r(x 1 X2' X3.' oj

d = d(y" Y2' Y3' . ", Yo) of Vi

dent
2. Density functions of the independent random
variables: 1'1
proc
f(x,), i= 1,2, .. " nand f(y,), i= 1,2, . .. ,m
1. E
al
. ~ 2. G
Fi
Generate (n + m) random numbers between 0 and 1. I a
I C(
. 3. C
! in
is
Select a random value for each Xi', i= 1, 2.... , n 4. R,
and Y;" i = 1, 2, .. m from their cumulative
'j

distributions.
de

~ fOJ
wi

I Calculate the values of. rand d:

I I Repeat N times. I th,

1.7]
Check Yes Mtimes I Alhan
r>d No N-Mtimes
I of
En
Alhan
to
Pol
.
OUTPUT tiOJ
Coefficient of Reliability
Bozoz
Re<
CR=M Wa
Burian
diff
Figtlre 1.11 Flow chart for Mante Carlo simulation to calculate the coefficient of reliability of a structure dan
(Alhanasiou-Grivas, 1980),' On
pp.
Canad:
(19'
Ceder,
Net.

'iions. on the probability distributions
. ecome quite complex, and in the
beta distribution cannot be solved
. e particular strength of Monte
is the ability to work with any
istribution types, and ~ny number
Which mayor may not be indepen-
ther.
Carlo technique is an iterative
'ch has the following four steps:
-, istributions for each of the vari-
". arameters.
..ndom values for each parameter;
'illustrates the relationship between
':number between 0 and 1 and the
ing value of the parameter.
values for the displacing and resist-
i'nd determine if the resisting force
han the displacing force.
.. process at least 100 times and then
the ratio:
(1.10)
is the number of times the resisting
eded the displacing force; and N is
Repeat N times. ,er of analyses.
livas, D. (1979) Probabiiistic evaluation
y of soil structures. ASCE, J. Geotech.
il5(GT9),1091-5.
,.. 'Grivas, D. (1980) A reliability approach
\I<:.Iesign of geptechnical systems. Rensselaer
nic Institute R.esearch Paper, Transporta-
earch Board Conference, Washington DC.
. (1978) Bridge abutments move. Research
,_:'~~7.$, Transportation Research Board,
Dglon,'DC.
. B. and Wroth, C. P. (1974) Allowable and
tiated settlement of structures, including
;',aridsoil"sttucture'interaetibn; Proc. Con!.
liability of a structure
!~",.ent of Structures, Cambridge, Englapd,
8.?4,
p.~rtIl!ent of Energy, Mines and ,Resources
.PitSlope Manual, DEMR, Ottawa., / '
,II, R. (1989) Seepage, Drainage and Flow
rd end,, Wiley, New yark.
. dation Engineering, London, 1, pp. 402-6.
. ,
References 21
Grover, R. A. (1978) Movements of bridge abutments
and settlements of approach pavements in Ohio.
Research Record 678, Transportation Research
Board, Washington, DC.
Gruner, E. (1964) Dam disasters. Proc. Inst. of Civil
Eng., 24, Jan., 47-60. Discussion, 27, Jan., 344.
Gruner, E. (1967) The mechanism of dam failure. 9th
ICOLD Congress, Istanbul, 11, 0.34, R.12, 197-
206.
Haff, M. E. (1977) Mechanics of Pqrticulate Matter- A
Probabalistic Approach McGraW-Bill, New York.
Hoek, E. and Bray,.f. (1981) Rock Slope Engineering,
3rd edn, IMM, London.
James, A. N. and Kirkpatrick, I. M. (1980) Design of
foundations of dams. containing soluble_.!ocks and
soils. Q. J. Eng. Geo!., Lnd., 13, 89='198.
Kaderabek, T. J. 'and Reynolds, R. T. (1981) Miami
limestone foundation design and construction.
ASCE Geotech. Eng. Div., 7(GTI), 859-72.
Kreyszig, E. (1976) Advanced Engineering Mathe-
matics. Wiley, New York, pp. 770-6.
Lande, P. (1987) Malpasset Dam. Proc. International
Workshop on Dam Failures, Purdue VnL, Engin-
eering Geology (ed. Leonards), 24, Nos. 1-4,
Elsevier, Amsterdam.
McGuffey, V., Athanasiou-Grivas, D., lori, }. and
Kyfor, Z., (1980) Probabilistic Embankment De-
sign - A Case Study. Transportation Research
Board, Washington, DC.
Merritt, F. S. (1976) Standard Handbook for Civil
Engineers, McGraw-Hili, New York, Ch. 15.
MeyerIiOf, G. G. (1984) Safety factors and limit
states analysis in geotechnical engineering. Clln.
Geotech. J., 21,1-7. '
Mitchell, J. K., Vivatrat, V. and Lambe, T. W. (1977)
~Foundation performance of the Tower of Pisa.
Proc..ASCE, 103(GT3), ,27-49.
NationafResearch Council oiCailada (1985) National
Building Code of Canada; Ottawa. '
Ontario M,inistry of Transportation and Communica-
tion (1983) Highway Bridge Design Code. Toronto.
Peck, R. B. (1976) Rock foundations for structures.
Proc. Specialty Conf. on Rock Engineering for
Foundations and Slopes, Boulder,. Colorado,
ASCE, n, pp. 1-21.
Pertz, D. L. (1981) Slope stability analySIS techniques
iricorporating uncertainty in ..the criticiU para-
meters. Third Int. Conf. on Stability in Open Pit
Mining, .Vancouver.
Polshin, D. E., and Tokar, R. A. (1957) Maximum
allowable nonuniform settlement of structures.
Proc. 4th Int. Conf. on ,Soil Mechanics and Foun-
 22 Characteristics of rock foundations

Roberds, W. J. (1984) Risk-based decision making Allowable settlement of buildings. Proc. Inst.
in geotechnical engineering: overview of case Civil Eng., Part III, 5, 727-68.
studies. Engineering Foundation Conf. on Risk- Terzaghi, K. and Peck R. (1967) Soil Mechanics in
based Decision Making in Water Resources, Santa Engineering Practice, Wiley, New York.
Barbara, California. Wahls, H. E. (1981) Tolerable settlement of buildings.
Roberds, W. J. (1986) Applications of decision theory ASCE, 107(GTll), 1489-504.
to hazardous waste disposal. ASCE Specialty Walkinshaw, J. L. (1978) Survey of bridge movements
Conf. G EOTECH IV, Boston, Massachusetts. in the western United States. Research Record 678 l
Roberds, W. J. (1990) Methods for developing de- Transportation Research Board" Washington, DC.
fensible subjective probability assessments. Trans- Wyllie, D. C. (1979) Fractured bridge supports stabil-
portation Research Board, Annual Meeting, ized under traffic. Railway Track and Structures,
Washington, DC. July, 29-32.
Savely, J. P. (1987) Probabalistic analysis of intensily Wyllie, D. c., McCammon, N. R. and Brummund, W.
fractured rock masses. Sixth International Congress (1979) Planning of slope stabilization programs !
on Rock Mechanics, Montreal, pp. 509-14. using decision analysis. Research Record 749, c 2.1
Skempton, A. W. and MacDonald, D. H. (1956) Transportation Research Board, Washington, DC.
The
rock
struc
rock
form
singl,
toppl
the f
wher,
causil
colla!
Th<
shape
fractu
Hous<
this cl
likely
would
stabilil
entire I
fractur
shear,
intact I
the ligl
typical
design,
site, an
Anaf
in fou~
the fan
teristics

1. First
fract;
f buildings. Proc.
.7-68.
(1967) Soil Mechanics in
ey New York.
,le ~ettlement of buildings."!
-504. . .
.rvey of bridge movements.
MS. Research Record 678,.
Board, Washington, DC:
red bridge supports stabile'
yay Track and Structures.
N. R. and Brummund, W
ope stabilization program,
;. Research Record 749
1 Board, Washington, DC, of any structure located either in or on
include a thorough examination of the
eology of the site. Even the strongest
contain potentially unstable blocks
sets of fr""tures, or possibly even a
reo These b!8cks may fail by sliding or
. here such blocks occur in a cut above
lion, they may impact the structure,
locks in, the foundation may move
ttlement, or fail entirely resulting in
{the structure.
'otograph in Fig. 2.1 shows a wedge-
. tk of rock formed by two intersecting
,. hat has failed forming a steep cliff face.
ave been constructed along the crest of
'Ild any further excavation at the toe is
Dtause a similar wedge failure which
stroy a number of the buildings. The
of the foundation of these houses is
ependent upon the properties of the
. that is, their orientation, length and
~ngth; and not on the strength of the
,.Ck which has ample capacity to support
.Ioads imposed by the houses. This is a
'#arnple of a situation where foundation
stfocus on the structural geology of the
"d.na! on the rock strength.
~sis-Of the stability of blocks of rock
~!i9ns requires reliable information on
. itNHWO categories of fraCture charac-
:-orientation and dimensions of the
'i,which define the shape and size of
~ '.'"C.,.
2
Structural geology
the blocks, and the direction in which they
may slide (this chapter describes methods
of analyzing data on the orientation and di-
mensions of fractures);
2. Second, the shear strength properties of the
fractures which determine the resistance of the
block to sliding (this is discussed in Chapter 3).
2.1.1 Types of fracture
Geological investigations usually categorize frac-
tures according to the manner in which they were
formed. This is useful for geotechnical engin-
eering because fractures within each category.
have similar properties as regards both dimen-
sions and shear strength properties which can be
used in the initial review of stability conditions
of a site. The following are standard definitions
of the most commonly encountered type of
fractures.
(a) Fault
A fault is a fracture along which there has been an
observable amount of displacement. Faults are
rarely single planar units; normally they occur as
parallel or sub-parallel sets of fractures along
which movement has taken place to a greater or
lesser extent.
(b) Bedding plane
This is a surface parallel to' the surface of de-
position, which mayor may not have a physical
expression. Note that the original attitude of
the bedding plane should not. be assumed to be
horizontal.
 24 Structural geology

Figure 2.1 Intersecting fractures in strong rock produced wedge failure in the foundation of houses along crest of
slope (photograph by Turgut Canli).

, .... . ..::.,"

(c) Foliation implies that the cleavage planes are n.;(controllMi

Foliation is the parallel orientation of platey by mineral particles in parallel orientation. .
minerals, or mineral banding in metamorphic i
rocks. (I) Schistosity I!
This is the foliation in schist or other coarse-.f
(d) Joint grained crystalline rock due to the parallell
A joint is a fracture in which there has been arrangement of mineral grains of the platey or:%
no obserVable relative movement. In general, prismatic type, usually mica. I
joints intersect primary surfaces such as bedding, -)~.
cleavage and sChistosity. A series of parallel joints These descriptions of fracture categories are wellff.
is called a joint set; two or more intersecting sets established in engineering practice and the likelyt
produce a joint system; two sets of joints nearly properties of each can be anticipated from their~
at right angles to one another are said to be categories. For example, faults are major strucj
conjugate. tures containing weak infillings such as crushel'i
rock and clay gouge, whereas joints have lengtp
(e) Cleavage which are much shorter than faults and join..'
Parallel fractures formed in incompeteri"t layets in infillings may be thin and cohesive, or entiref
a series of beds .of varying degrees of competency absent. However, standard geological nam.' F
are known as cleavages. In general, the term alone rarely give sufficient detailed informati~. d
 Fracture characteristics 25

'gn purposes on the properties of a fracture, about 40, and set B dips into the face at a steep
"ly for foundations where particulars of angle. In Fig. 2.2(a) set A is discontinuous and
racteristics as the infilling thickness can more widely spaced than set B. This foundation
'[gnificant influence on settlement. For would be stable because the fractures daylighting
bn, geological descriptions are useful in in the face are not continuous and only one small,
riding the general conditions at a site, but unstable block has been formed on the face. In
pecific geotechnical studies are almost contrast, in Fig. 2.2(b), the fractures dipping out
'quired before proceeding to final design. of the face are continuous and movement of the
entire foundation on these fractures is possible,
with set B forming tension cracks. A typical
cture orientation and dimensions
example of such a condition would be a bedded
important properties of fractures that sandstone containing a discontinuous conjugate
:the shape and size of blocks are: joint set. If the beds dip into the face the foun"
dation would be stable, and if they dip out of the
face at an angle of 40 it is likely that the foun-
dation would slide on the beds.
The conditions shown in Fig. 2.2 also illustrate
the influence of fracture spacing on settlement. If
"sketches in Fig. 2.2 illustrate how the fractures are clean, or contain a sound infilling
;.properties influence the stability of a such as calcite, the spacing of the fractures is such
iI.ln both cases there are two sets of that the footing is predominantly on intact rock.
'set A dips out of the face at an angle'of Consequently, closure of the fractures is unlikely

ion of houses along crest of;

'~ , . ........
, planes are no(controlle; :.
Jaral1el orientation, . .
, >'

' ..
1 schist or other coarse
ck due to the parall
II grains of the platey 6
mica.

racture categories are we

ing practice and the like.
be anticipated from the
Ie, faults are major stru
infillings such as crushe
,hereas joints have le~gt
'ler than faults and JOl
and cohesive, or entire
andard geological nam, ?l~fl.u,ence of fra'ctore length and orientation on the stability ofa foundation: (a) continuous fractures
icient detailed informatiO 'p-(~-stable foundation; (b) continuous fractures dip out of the slope - unstable foundation:
 -
26 Structural geology

to be of concern and settlement will be dependent N'

on the deformation modulus of the intact rock.
However, in the case of highly fractured rock,
settlement may occur as a result of fracture
closure, and settlement would be determined
from the rock mass deformation modulus. As
regards the overall stability of the foundation,
the closely fractured rock may be sufficiently 150'
interlocked to prevent movement of the entire
foundation in a block type failure as shown in
Fig. 2.2(b). However, ravelling of small frag-
ments may occur as a result of frost action or
river scour, and this may eventually undermine
4.0
!
the footing (Fig. 2.2(a)). Q' ~ 01;'$
ISO Ct,
(a) IO~.

2.2 Orientation offractures

The first step in the investigation of fractures in a N
foundation is to analyse their orientation and
identify sets of. fractures, or single fractures,
that .could form potentially unstable blocks of
\)
rock... Information on fracture orientation may Strike:
be obtained 'from such sources as surface and /N60E
underground mapping, diamond drill core and
., geophysics, and it is necessary to combine this
data into a system that is readily amenable
to analysis. This. is facilitated by the use of a
simple and unambiguous method of expressing
the orientation of a fracture. The recommended
terminology fOr orientation is the dip and dip
\
direction which are defined as follows and are r
shown schematically in Fig. 2.3.'

1. Dip is the maximum inclination of a fracture to (b)

the horizontill (angle 1jI). Dip direction:
2. Dip direction or dip azimuthis the direction 150'
of the horizontal trace of the line of dip, Figure 2.3 Terminology defining fracture_orientation
measured clockwise from north (angle a). .(dip and dip direction):' Ca) isometric view; and (b) plan
view.
As will be demonstrated in Section 2.3, the dipl
dip direction system facilitates field mapping and
the plottifig of stereonets,and the analysis of
fracture orientation data. The strike is at right angles to the. dip and dip
Strike, which is an alternative means of defin- direction of the inclinedplilne.Tile relationship.
ing the orientation of a plane, is the tra~e oUhe between the strike and the dip direction is iI .
intersection of an inclined pIane with a horizontal lustrated in Fig. 2.3(b) where the plane has a. Fi
reference plane. strike of N60E and a dip of 30SE. In terms of dip" m

ip
lSE
Dip direction:,
1500
defining fracture.orientatio ~,
,) isometric view; and (b) pi
,t angles to the dip and"
,ed plane. The relations,
nd the dip direction is'
'b) where the plane ha"
dip of 30SE. In terms of
'rection, the orientation of the plane
"hich is considered to be a simpler
e. By always writing the dip as two
he dip direction as three digits, e.g.
there can be no confusion as to which
of figures refers to which measure-
and dip measurements can readily
,into dip and dip direction measure-
'\mapping system is preferred.
, jhe orientation of a line, the terms
,end are used. The plunge is the dip
lth a positive plunge being below the
d a negative plunge being above
tal. The trend is the direction of the
tojection of the line measured clock-
orth, and it corresponds to the dip
i,a plane.
inapping is carried out with a geologi-
J.of which there are several different
'j,Clinton compass is widely available,
i$advantage in that measurement of the
'-direction require separate operations.
-designed to measure strike rather than
~~j1; this requires that a conversion be
~h can be a possible source of error.
,'Xa number of compasses specifically
.jSi structural mapping which allow dip
'''''etion to be measured simultaneously;
,:~XP.hotograph
of a structural compass
g.dipanddip direction of fracture surfaces.
Stereographic projection 27
these compasses are manufactured by the
Breihthaupt Company in Germany and the Showa
Sokki company in Japan. A particular feature of
these structural compasses is the ability to map
accurately a fracture when only a small portion of
a plane is exposed. In these circumstances it can
be difficult to determine the true dip, as opposed
to the apparent dip which is always a flatter angle.
The true dip can be visualized by rolling. a ball
down the plane; the ball will roll down the line
of maximum inclination which corresponds to
the true dip of the plane. The horizontal direc-
tion in which the ball rolls is the dip direction.
Figure 2.4 shows the operation of a structural
compass; the lid is placed on the fracture surface
and the body of the compass is levelled before
reading the dip direction on the compass scale,
and the dip on a scale on the hinge.
2.3 Stereographic projection
The analysis of structural geology orientation
measurements requires a convenient method of
handling three-dimensional data. Fortunately
the stereographic projection, which is used ex-
tensiveIy in the fields of cartography, navigation
and crystallography, is ideally suited to geological
applications. The stereographic projection is a'
procedure for mapping data located on the surface
of a sphere on to a horizontal plane, and can be
used for the analysis of the orientation of planes,
lines and forces (Donn and Shimer, 1958; Phillips,
1972; Goodman, 1976; Hoek and Bray, 1981).
There are several different types of stereo-
graphic projections, but the one most suitable
for geological applications is the equal area net,
or Lambert projection. This is also used by
geographers to represent the spherical shape of
the earth on a flat surface. In structural geology,
a point or line on the surface of the sphere re-
presenting the dip and dip direction of a fracture
can be projected in a similar manner on to a
horizontal surface. In this way.an analysis of
three-dimensional data can be carried out in two
dimensions. An important property of the equal-
area projection is that any solid angle on the
surface of the reference sphere is projected as an
 28 Structural geology
N
Plane
Pole
Great circle - - - - - - -
(a)
equal area on to a horizontal surface. One of the
applications of this property is in the contouring
of pole populations to find the orientation of sets
of fractures as described in Section 2.3.2.
The principle of the projection method is il-
lustrated in Fig. 2.5. The basic element of the
projection is a reference sphere which is oriented
in space, usually with respecttotruenorth.When
a plane (fracture). is'centredinthe reference
sphere,' the intersectionlletween'th.,plane.and
the surface of the sphereis a circle which is
commonly known as a great circhi (Figo..2;5(a)).
The orientation of the greaFcirclejs a unique
I
I
Great circle
Pole
Projection
Projection of of Great cirCle
pole _ _ -====i:::::::o_.l-"",,::::::::-'__.k:::::"'_
(b)
Figure 2.5 Stereographic representation of the
orientation ofa plane. (a) Plane surface located in
lower hemisphere of the reference sphere showing
great circle and pole to plane. (b) Vertical section
through reference sphere showing lower hemisphere,
equal-area projections of great circle and pole. (c) Plan 1
view of reference plane showing projections of great)
circle and pole. 1
representation of the orientation of the plane.
The upper and lower halves of the sphere give r
I
identical inl'ormation and in engineering appli.
cations the usual procedure is to use the lower I
half of the sphere only. The projection is known,
therefore, as a lower hemisphere projection. Note'
that this projection technique only examines thel
orientation of planes and there is no information!.
on their position in space. That. is, it is assumed.; .
that all the planes pass through the centre of the1
reference sphere. If the stereographic projection'"
identifies a plane on which thefo-ufiaation-coul
slide, its location on the geological map woulJ

representation of the
Plane surface located in
~ference sphere showing
me. (b) Vertical section
showing lower hemisphere~:
great circle'and pole. (c) PI,
lowing projections of great.
orientation of the pia
halves of the sphere gi
and in engineering ap.'
:edure is to use the 10"';
I. The projection is kno "
lemisphere proje.etion. No
:chniqueonly examines,;
and there is no informal
pace. Thatis, it is asSU
;s through the centre of,
he stereographic project
which the foundation c~
the geological map wq
,pe examined to determine if it intersected
ation.
rnative means of representing the orien-
'plane is the pole of the plane. The pole
Ilt at which the surface of the sphere
by a radial line in a direction normal
ne. The merit of the pole projection
complete orientation of the plane is
by a single point which facilitates
a large number'of planes compared to
reat circles.
t convenient means of examining the
data provided by the great circles and
'is to project the lines and points on
Ontal reference plane which is a two-
I representation of the surface of the
e equal-area projection for any point
ace of the reference sphere is accom-
'drawing an arc about the lower end
'ical axis of the sphere from the point
montal base plane, (Fig. 2.5(b. Figure
bWS a plan view of the horizontal ref-
'l.ne, and the positions of the pole and
'~ of a plane with a dip of 3D' and a dip
f 150'. The great circle and the pole
me' plane lie on opposite sides of the
,so the dip direction is measured from
;fthe circle for the great circle, and from
'in of the circle for the pole. Also, a plane
low dip has a pole close to the centre of
nee circle, while the great circle for the
e is located close to the perimeter of the
graphic' projections of both planes and
des can be prepared by hand by plot-
Idata on standard sheets which contain
"presenting dip and dip direction values
'dix I). Alternatively, there are computer
S available that will not only plot poles
'tcircles, but will also perform selections
'(jala. This selection feature will prepare
rexample, of only faults, or of only
}Inengths greater than a specified length.
~'plot$ have particular value where there
at quantity of geological data ,and it is
ant"to identify features that have a par-
rgIlificance to stability.
Stereographic pro;ection 29
The analysis of structural geological data by
stereographic methods is usually a three-stage
process as follows:
1. Plot poles to show the orientation of all the
data;
2. Contour the data to find the prominent fracture
sets;
3. Use great circles of the prominent fractures
or fracture sets to show the shape of blocks
formed by the fractures, and the direction in
which they may slide or topple.
Two different types of stereonet, the polar net
and the equatorial net, are used when plotting
this data by hand. The polar plot is used to plot
poles, while the equatorial net can be used to plot
either poles or great circles.
These three stages of the analysis are described
in this section.
2.3.1 Pole plots
Pole plots, in which each plane is represented by a
single point, are the most convenient means of
examining the orientation of a large number of
fractures. The plot provides an immediate visual
depiction of concentrations of poles representing
the orientations of sets of fractures, and the
'analysis is facilitated by the use of different
symbols for different types of fracture. A typical
pole plot generated by a stereographic projection
computer program is shown in Fig. 2.6. This
is a lower-hemisphere, equal-angle projection of
1391 original poles at a site where the rock type
is a highly metamorphosed phyllite. The rock
contains fracture sets comprising the foliation and
two sets of joints; where more than one pole has
the same orientation, a number is plotted showing
the number of poles at that p.oint on the net.
The data can also be plotted with the symbol F
representing a foliation plane, and a J represent-
ing a joint.
The dip direction scale (0' to 360') shown
around the periphery of the pole plot has zero
degrees at the bottom of the plot because the
poles lie at the opposite side of the circle to
the great circles (see Fig. 2.5(c). Therefore the
 30 Structural geology
-
\

Legend
+ 1 Pole
2 2 Poles
3 3 Poles
4 4 Poles
5-9 5.6.7.8.9
A-Z 10.11 ...

Figure 2.6 Pole plot of foliation planes and joints;'lower hemisphere, equal-area projection (plot by
M. Goldbach). .

foliation pianes lying in the NE quadrant and
close to the pedphery of the circle have a dip
direction of between about 120 and 280, and a
dip between about 60 and 80;
Pole plots can alSo be prepared by hand on a
polar net in which the dip and dip directions are
located directly by the radial and circular lines,
respectively' (Appendix I).
2.3.2 Pole density
All natural fractures have a certain amount of
variation in their orientations'whieh"resUlts. in
scattedn the poIeplots.IHhep]oicol1tainsijoles
from a number of fracture sets, it can be difficult
ent sets, and to find the most likely odentation
of each set. However, by contoudng the plot,
the most highly concentrated areas of poles can
more readily be identified. The usual method"
of generating contours is to usethe"Gontoudng:r ;
package contained with most stereographic pro-:}c i:
jection computer programs. However,contouring I E
can also readily be carried out by hand using the,~ a
techniques descdbed by Hoek and Bray(1981).~' f(
Figure 2.7 shows a contour plot of the pOlesfi b
st
plotted in Fig. 2.6. The pole plot in Fig. 2.6 ShOW$!
that the odentation of the foliation planes h~...,
relatively little scatter; the contour plot of thes<!:'F" sl
poles has a maximum concentration of 16% ata; T
dip of 65 and a dip direction of 245. In contrast,: III

to distinguish betweeri the poles Il'orilthe differ- the joint odentations show much more scatter,; of
 Stereographic projection 31

N(180)

~~---'----,
inal poles ~ ~ 1391 original poles
/-= "'>
g S:7"B '\
~~>-85/135 ~~-__ \

r=-,= ;:=-::=-' Foliation

-~
-:m..~ ffi=_ \\
'.11$
t=- =- J

E(270)
r, +
65/245 ,-

. :
- 'c,
- J
.....
:l'
--
-'

E(270)
~\ S5
~J
\ 'i~)o~o ~~
\ ' -:-=-]
. \ Set B---.. #
Legend' (0/,) ~ J
:..:-- 1 to 4 <. ./ Contour plot
is the dip direction
oles to planes
4 to 8
8 to 12
"""z................ L -~
~ lower-hemisphere
equal-area projection
## 12 to 16 ----L-L-~
.18 to max, S(O) (90) Dip direction of poles
to planes

,ction (plot by .,7 Contour plot of the poles shown in Fig. 2.6.

~ most likely orientatio'
by contouring the plo
orated areas of poles ca
fied. The usual metha,
is to use the contourin'
most stereographic pr
ms.However, cont6urii!
,ed out by hand using th
, Hoek and Bray (1981)'
:ontour plot of the pol,
pole plot in Fig. 2.6 sho'
the foliation planes h
the contour plot of the,
,oncentration of 16% at.
;ction of 245'. In eontras,
;how much more scalle
. the pole plot it is difficult to identify
'sets. However, On the contoured plot,
ssible clearly to distinguish two sets of
'Ie joints. Set A has a shallow dip of about
. <La dip direction of about 80' which is
.ection at about 180' to the foliation. Set
oa near-vertical dip and a dip direction
,Ximately at right angles to set A. The poles
B lie On opposite sides of the contour plot
s,e,:some dip steeply to the NW and some
~fo:lhe SE.
._g'j~.7the different pole concentrations are
':by.symbols for each 4% contour interval.
-~icentage concentration refers- --to the
';gfpoles in each .1 % area of the surface
()wer hemisphere. Thus if the computer
counts 28 poles out of a total pf 1391 poles in a
1% area, then the concentration level in that'area
is 2%. By successively counting each area, a
contour plot showing the pole cOncentrations of
all the data can be developed.
A further use of the stereographic projection
program in analysing structural data is to prepare
plots of data selected from the total data collected.
For example, joints with lengths which are only a
small fraction of the foundation dimensions are
unlikely to have a significant influence On stability.
or settlement. Therefore it would facilitate design
to prepare a stereo plot showing only those frac-
tures which have lengths greater than a specified
length. Figure 2.8 is a pole plot of the same data
shown in Fig. 2.6 in which only fractures ,with
 32 Structural geology

N
---'I---'~ 163 original poles

/ ~"')
/ ++ + + + ~\

r
r +
++ + +:
+ + +
+ +: 12~;' \
~~+ + ~ 22

w f : ++++ ~ t:>~:; ~ ~ +: ;;+ +JJ

r
E

+: . .

\ .: .: : "~ ,. :' ... J

+ + ++;+++ + +

+
Legend \ \ : :
1 Pole
+ +
/
-I
2 2 Poles ~
3P o l e s / '
V c
Scatter plot
3
4 . 4 Poles (. V lower-hemisphere
5-9 5,6, 7,8,9 "-..~ . V equal-area projection
A-Z 10.11.... L..-L----
S
Figure 2.8 Seleclivepole plOI of dala in Fig. 2.6 for all fractures with lengths greater than 4m (pial by M.' Wise).

lengths greater than 4m (13 ft) have been plotted.
This plot shows that only 163 fractures, or 12% of
the toial number have lengths greater than 4m,
and that virtually all these fractures are either
the foliation or joint set A. Similar selections
can be made, for example, of fractures that have
a certain type of infilling, or are slickensided, or
show evidence of seepage.
2.3.3 Great circles
Once the orientationofthdracture sets,as well
as important singlfracturessuch as faults, have
been identified on the pol" plots,th~..nextstep
in the analysis is to determine if these fractUres
form potentially unstable',blocks in thefoun
dation. This analysis is' cai-riedout by plotting
great circles of each of the fracture set orien 1
tations, as well as the orientation of the face of
the cut on which the foundation is located. In this
way the orientation of all the surfaces that have
an influence on stability are represented on a
single diagram. Figure 2.9 shows the great circles
of the joint sets identified on the contoured pole
plot in Fig. 2.7. It is usually only possible to have
a maximum of about six great circles on a plot,
because with a greater number, it is difficult to
identify all the intersection points of the circles. J
The procedure for plotting great circles using an',
equatorial net is shown in Appendix L .
The primary purpose of plotting great circles of ,
fracture sets in a foundation is to determine theI
shape of blocks formed by intersecting fractures,:
and the direction in which they will slide. For

1poles
,
\~
+ JE
J I,
) 8[1801
) line of intersection
I
ltter plot
'erhemisphere
Jsl-area projection
tan 4 m (plot by M. Wise).'
f the fracture set orie
,rientation of the face '.
ndation is located. In th
all the surfaces that hi
ty are represented on:
~.9 shows the great circl,
ed on the contoured po!
tally only possible to haX
ix great circles on a plo,
number, it is difficult, '
:tion points of the circl'1,
ting great circles using ~
I in Appendix 1. ,.
of plotting great circles';
jation is to determine t
I by intersecting fracture
Nhich they will slide. F
I,
[901 Dip direction
Wedge:
of great circles
=08/158
,.in Fig. 2.1 the foundation failure only
.,at the location where the fractures inter-
form a wedge with a particular shape
ntation with respect to the face. It is,
e, important to identify such potential
ibefore ,movement and collapse actually
, is requires an ability to visualize the
)mensional shape of the wedge from the
, J the fractures On the face of the original
'The stereographic projection is a con-
means of carrying out the required three-
':onal analysis, keeping in mind that this
, ure examines only the orientation of the
"~s and not their position. If the stereonet
(he possible, occurrence of a potentially
Ue block; examination of the location of the
,)es on the geological map would determine
eyiIitersect the foundation.
::o:i~tersecting planes will form a wedge-
'~:,blbck as shown in Fig. 2.1. The direction
':lithis block may slide is determined by the
:.Qlthe line of intersection, with failure only
'.-possible if the trend is out of the slope face.
,lunge of the line of intersection gives an
""',.,. ,'" the stability condition 'of the block:
Foundation failure 33
Figure 2.9 Plot ofgreat circles representing the three
fractnre sets identified on the contour plot of Fig. 2.7.
the block is unlikely to slide if the plunge is at a
shallow angle. The orientation of the line of inter-
section b.etween two planes is represented by the
point where the two great circles intersect. For.
the data shown on the pole plot (Fig. 2.6), inter-
sections occur between joint sets A and B (1,),
between set.B and the foliation (12 ) and set A and
the foliation (13)' The orientation of the inter-
section line 13 is shown in Fig. 2.9, and the method
of determining the trend and plunge of lines is
described in Appendix 1. For the conditions shown
in Fig. 2,9, the wedge formed by intersection 13
will slide towards a direction of 1580 at a shallow
dip angle of 8 0
2.4 Types offoundation failure
A great circle stereographic plot of fracture sets
can be used to identify the shape of blocks in
the foundation, and m'ake an assessment of their
stability conditions (Fig. 2.10). Four distinct types
of slope failure can be distinguished" and charac-
teristicsof which depend on the relative orien"
tations of the slope face and the fracture (Hoek
and Bray, 1981). For each of the failure types
~~--~-----

34 Structural geology

toppling blocks (Fig. 2.10(c)), the structure dips

there is a distinct method of stability analysis
which takes into account the shape and size of the
block, the shear strength of the sliding surfaces,
water pressures and the foundation loads. These
analysis methods are described in Chapter 6.
The first three block types, plane, wedge and
toppling blocks, have distinct shapes as defined by
the geological structure. The differences between
these three shapes are that in the case of the
planar and wedge blocks (Fig. 2.1O(a) and (b,
the structure dips out of the face, and on the
stereonet the poles are on the opposite side of the
net from the great circle of the face. In the case of
into the face and on the stereonet the poles are on
the same side of the net as the great circle of the
face.
The fourth type of failure, circular failure,
occurs in soil, rock fill or closely fractured rock
containing no continuous fractures dipping out of
the slope (Fig. 2.10(d. For cuts in fractured
rock, the sliding surface forms partially along
fractures that are oriented approximately parallel
to this surface, and partially through intact rock.
Because of the relatively high shear strength of
rock compared to that of fractures, this type of

at<',
(a) I
f
s
N s
fi

f,

c,"
"' w
a, It
la
(b)
N su
ro
....
" ,
\
th
pa
\
\ 2.
I
1 0,
",at
I on
. .'
be
(c) bl,
 Kinematic analysis 35

(c)), the structure dips' N

:reonet the poles are on'
s the great circle of the

tilure, circular failure"

. closely fractured rock Randomly
oriented
fractures dipping out 0 fractures
For cuts in fractured
forms partially alan
I approximately parallel
Illy through intact rock,
high shear strength 0
f fractures, this type 0
LEGEND
N Pole concentrations. Or dip direction of face
as direction of sliding
Great circle representing U 1 direction of toppling
slope face.

Great circle representing , __ /

~plane corresponding to centres
. of pole concentrations.
" .... ....
/

Main types of block failures in foundations and the structural geology conditions likely to cause these
r.Hoek ,and Bray, 1981): (a) plane failure in rock containing continuous fracture(s) dipping out of
d striking parallel to face; (b) wedge failure on two intersecting fractures; (c) toppling failur"in '
N .'\mtaining fractures dipping steeply into the face; (d) circular failure in rock fill, soil and closely
J:k with randomly oriented joints.

ill only occur in closely fractured rock
e'major portion of the sliding surface is
'd of fracture surfaces. It is found that
" failure' occurs under these conditions,
illg surface can be approximated by a
dius circular arc forming a shallow failure
N ,>Stability analysis of this failure mode in
, 'be carried out in an identical manner to
'soil, with the use of appropriate strength
rs.
~inatic analysis
,,,,:,~:.,
'i:;,fypeofblock failure, has been identified
"'Steteonet; the same diagram can also
/tRexamine the direction in which a
,slide and give an indication of possible
stability conditions. This procedure is known as
kinematic analysis. An application of kinematic
analysis is the failure shown in Fig. 2.1 where two
joint planes form a wedge which has slid out of
the face and towards the photographer. If the
slope face had been less steep than the line of
intersection between the two planes, or had a
strike at 900 to the actual strike, then the wedge
formed by the two planes would not have been
able to slide. This relationship between the
direction in which the block of rock will slide and
the orientation of the face isteadily apparent on
the stereonet. However,' while analysis of the
stereonet gives a good indication of stability can
ditions, it does not, account for external forces
such as foundation loads, water pressures or reo
inforcement comprising tensioned rock, bolts,
36 Structural geology

stl
ne
. 2.
'tip < 'VI: A
sliding possible
pi:
fw
toppling fractures HI
wi
Ijff.
., c<
on
Tt
(S)
(a) 2.:
pa
Great circle of . in
slope face,
dip'Vf of
po
sIc
i en
po

20'
-- -- LEGEND,

Daylight envelope for

in!
di]
Pes Pr PAA (90' -\jI,) ~;
al ~ wedges. db
Daylight envelope for is,
20'
DJII]] planar failures. be

--- '~ Toppling envelope.

ini
ha
st,
thl
dil
lin
en
(b)
Figure 2.11 Kinematic analysis of biocks in foundations: (a) fracture sets in foundation; and (b) daylight
2..
envelopesplotted on equal~area projection stereonet.
Ki
ca
An example of kinematic analysis is shown in' pI:
which can have a significantly effect on stability. of
Fig. 2.1l(a) where a footing located at the crest
The usual design procedure is to use kinematic tho
of' a steep slope' which contains three sets of
analysis on the stereonet to' identify pot~ntially do
fractures. The potential for these fractures to,'
unstable blocks, followed by detailed analysis of ki:
form unstable blocks in the foundation depends
these blocks using, the procedures .described in th
on their dip and dip direction relative to the face;
Chapter 6.

LEGEND,
)aylight envelope lor
Nedges.
)aylight envelope for
Jlanar failures.
roppling envelope.
,n; and (b) daylight
~(icallalysis of wedge failures (Fig. 2.1O(b)
;carried out in a similar planner to that of
,natic, analysis is shown falIu.res. In this case the pole of the line
)oting located at the ci~ ~ection of the two fractures is plotted on
,h contains three sets ,.
al for these fractures c
n the foundation depen
'ection relative to the fae
"ditions can be studied on the stereo-
s.
[failure
yunstable planar block is formed by
" hich dips at a flatter angle than the
r) and is said to daylight on the face.
"liding is not possible on plane BB
"',ore steeply than does the face ('lip>
~s,not daylight. Similarly, fracture set
llfb the face and sliding cannot occur
~)anes, although toppling is possible.
:'PI the slope face and the fracture sets
'are plotted on the stereonet in Fig.
'uming that all the fractures strike
e face. The position of these poles
\0 the slope face shows that the poles
'es that daylight (e.g. PAA) , and are
tlnstable, lie inside the pole of the
'(Pr). This area is termed the daylight
rid can be used quickly to identify
unstable blocks.
direction of the fracture sets will also
". ability. Sliding is not possible if the
()n of the fracture differs from the dip
f the face by more than about 20. That
'ck will be stable if lap - arl > 20,
ere will be' a substantial thickness of
9k at one end of the block which will
',cient strength to resist, failure. On the
('this restriction on the dip direction of
.~s IS shown by two lines defining dip
s of (a, + 20) and (a, - 20). These two
. 'gnate the lateral limits of the daylight
,,()n Fig. 2.11(b).
edge failures
t~()iiet and sliding is possible if the pole
(son the face. The direction of sliding of
ically permissible wedges is less restrictive
Tofplane failures because there are two
Kinematic analysis' 37
planes to form release surfaces. A daylighting
envelope for the line of intersection, as shown on
Fig. 2.11(b), is wider than the envelope for plane
failures. The wedge daylight envelope is the
locus of all poles representing lines of intersection
whose dip directions lie in the plane of the slope
face.
2.5.'3 Toppling failures
For a toppling failure to occur the dip direction of
the fractures dipping into the face must be within
about 20 of the dip direction of the face so that a
series of slabs are formed parallel to the face.
Also, the dip of the planes must be steep enough
for interlayer slip to occur. If the faces of the
layers have a friction angle </>i' then slip will only
occur if the direction of the applied compressive
stress makes an angle greater than </>i with the
normal to the layers. The direction of the major
principal stress in the cut is parallel to the face of
the cut (dip angle 'II,), so interlayer slip will occur
on planes with dip up 'lip when the following
conditions are met (Goodman and Bray, 1976):
(90 - 'II,) + </>i < 'lip' (2.1)
These conditions on the dip 'and dip direction
of planes that can develop toppling failures are
defined on Fig. 2.11(b) bythe toppling envelope
which lies at the opposite side of the.stereonet
from the sliding envelopes.
2.5.4 Friction cone
Having determined from the daylight envelopes
whether a block in the foundation is kinematically
permissible, it is also possible to examine stability
conditions on the same stereonet. This analysis is
carried out assuming that the shear strength of the
sliding surface comprises only the friction com-
ponent and that the cohesion is zero. Consider a
block at rest on an inclined plane with a friction
angle of</> between the block and the plane (Fig.
2.12(a)). For an at-rest condition, the force vector
normal to the plane must lie within the friction
cone, When the only force acting on the block is,
gravity, the pole to the plane is in the same
38 Structural geology
-----------------------------------------------
Normal to
plane

\"------:::-:l:-::::::::::-.- Friction
cbne, <1>=350

(al

LEGEND
Envelopes of potential
instability:
\
\
<I>
~ wedges;

plane
/ [J]]]] failures;
/
toppling
~ failures;
envelopes for
WI == 80.
Friction envelopes for
cone \VI = 60.

.
(b)
Figure.Z.12 Combined-kinematic,and simple stability analysis using friction Cone concept: (a) friction cone in
relation to block at rest ona,n:incli.ne~:plane;,andO stereographicprojection of friction cone superimposed on
daylighling envelopes..
 Probabilistic analysis of stnzctural geology 39

the normal force, so the block will be risk of occurrence of this condition would be
'the pole lies within the friction circle. quantified by calculating the mean and standard
lopes on Fig. 2.12(b) show the possible deviation of the dip and dip direction as described
'poles that may form unstable blocks. below.
.ave been drawn for slope face angles A measure of the dispersion, and from this the
'$00 which show that the risk of in- standard deviation, of a fracture set can be cal-
treases as the slope becomes steeper, culated from the direction cosines as follows
,. by the larger envelopes for the (Goodman, 1980). The direction cosines' of any
e; Also, the envelopes become larger plane with dip \jI and dip direction U are the unit
'on angle diminishes. The envelopes ve.ctors I, m and D, where
that, for the simple gravity loading
stability will only occur in a limited
I = sin\jl'cosu
metric conditions. m = sin\jl'sinu (2.2)
n = cOS\jl.
bilistic analysis ofstructural For a number of poles, the direction cosines (IR ,
mR and DR) of the mean orientation of the frac-
ture set are the sums of the individual direction
probabilistic design of foundations cosines, as follows.
to express the orientation and length
~in terms bf probability distributions IR = LJIRI, mR = LmJIRI, DR = LDJIRI,
"as single values. This information will (2.3)
ean value of each parameter as well as where WI is the magnitude of the resultant vector
'lity of its occurrence within a range of and
lues. The probability distribution of
;'" entation can be calculated from the IRI = [(Llf) + (Lmf) + (Lnf)]t. (2.4)
'\vhile the distributions of length and The dip \jIR and dip direction UR of the mean
'e calculated from field measurements orientation are:
D ed in the following sections. The cal-
les of potential
ity:
iues of the mean and standard deviation \jIR = cos-l(nR) J
sign parameters can be input into the
' (f.R = +cOS=:{IRlsi,n \jIR) for mR '" 0 (2.5)
~rlo analysis to determine the coefficient
wedges; \lityas described in Section 1.5. UR = -cos (IRISIn \jIR) for mR < O.
plane A measure of the scatter of a set of fractures
failures;
comprising N poles can be obtained from the
toppling dispersion coefficient Cd which is calculated as
failures; follows:
~~ral variation in orientation of fractures
envelopes for :ll)Jhere being scatter of the poles when
W, = 80,
FOil' the stereonet. It is useful to incor- (2.6)
envelopes for his scatter into the stability analysis of
",,= 60.
cdation because, for example, a wedge If there is very little scatter in the orientation of
, ~ing the mean values of pairs of fracture the fractures, the value of Cd is large, and its
mcept: (a) friction cone in :show that the line of intersection of the value diminishes as the scatter increases.
cti()n con.esuperimposed 6 _esnotdaylight in the face and that the From thedispersioncoefftcient it i~ possible to
'on is stable. However, an analysis using calculate from equation (2.7) the probability that
'bnsother than the mean values may show a pole will make an angle eo Or less than the mean
,eu:Ilstable wedges can be fbrmed. The orientation.
40 Structural geology
--'
e = cos-l[l + (lied) In(l - P)]. (2.7) (a) Fracture length
The method of calcula~ion of the average length,
For example, the angle from the mean defined by of fractures must take mto account the condition
one standard deviation occurs at a probability P
of 0.16. If the dispersion is 20, one standard
in which it is not possible to see the full length >
of fractures because they are longer than the
deviation lies at 7.60 from the mean. dimensions of the rock exposure that is being
. Equation (2.7) is applic~ble when the disper- mapped. If line mapping is being conducted"
SlOn m the scatter IS approxImately uniform about then the number of fractures intersecting the line
the mean orientation, which is the case in joint set can be counted, as well as the number of these
1 in Fig. 2.6. However, in the case of the foliation fractures which have terminations at one end Or
in Fig. 2.6, ~her~ is ~uch less scatter in the dip the other at some point in the face. If the height
than m the dIp dlrectlOn. The standard deviations of the face being mapped is H, the number
in the two directions can be calculated approxi- of fractures is N, and the number of fracture ').
mately as follows from the stereonet. First, two termina,!.ions is Nt, then the approximate mean '
?reat circles are drawn at right angles correspond- length L of the fractures is given by
mg to the directions of dip and dip direction.
[= 2(NINt )H. (2.9)
Then the angles corresponding to the 7% and
?3% levels, P7 and P93 , are determined by count- If the full length of all fractures is visible in the Fig
mg the number of poles in the set and removing face, then the true average length can be meas
the poles outside these percentiles. The equation ured directly; note that equation (2.9) will over-
for the standard deviation along either of the estimate the average length of the fractures under
great circles is as follows (Morriss 1984): .~ dis'
these conditions.
Fracture lengths can be asstimed.?~o follow an bol
SD = tan- I {0.34[tan(P93 ) tan(P7 )]} (2.8)
exponential distribution so that the;~iobability of
- the
More precise methods of determining the stan- a joint having a length greater thli'n a value x hoi
dard deviation ~re described by McMahon (1982), is given by (Kikuchi, Kuroda and Mito, 1987; fral
but ~e appr~xlmate method given by equation len
Morriss, 1984):
(2.8) IS suffiCiently accurate considering the dif- is[
P(F> x) = e-xIL (2.10)
ficulty in obtaining a representative sample of the
fractures in the set. A frequent cause of bias in An example of an outcrop in which there are
the geological data is mapping a single face 'or a total of 17 fractures of one set is shown in '
logging a single borehole with the consequence Fig. 2.13. Of these fractures, only three have./ wh,
that few of the fractures aligned parallel to the no terminations on the face so the number of rec
line of mapping are measured. This bias in the fractures with terminations is 14. If the average the
data c~n be corre~ted ~y applying the Terzaghi height of the outcrop is 10m, then from eq~ation I
correctlOn as descnbed m Section 4.2. an
(2.9) the average length is
PO
gre
L = 2G:) 10 = 24.3m.
2.6.2 Fracture length and spacing
The length and spacing of fractures determines From equation (2.10) the probability of a fracture FOI
the'size of blocks that will be formed in the length exceeding a length of 50 m is \ tur,
foundation, The 4~signs are usually concerned ,P(F> 50) = e- 50124.3 = 13%. spa
with continuous fractures that could form blocks an)
with dimensions greatel10ugh to influence overall
stability of the foundation. They will also 'have a (b) Fracture spacing
range of values that should be consi,dered in the
The spacing of fractures can be measured directly': pc,
on the face, or in boreholes if it is possible 10 ~
stability analysis.

>n of the average len
to account the conditio'
Ie to see the full lengt
"yare longer than th
exposure that is beia
ng is being conducte
ures intersecting the lin
as the number of the
minations at one end '
in the face. If the hei
'ped is H, the num
the number of fractu
I the approximate me'
; is given by
fractures is visible in t'
'age length can be me
equation (2.9) will ov
gth of the fractures und
be assumed to follow
so that the probability
I greater than a value\
Kuroda and Mito, 19
:crop in which there a
of one set is shown
actures, only three ha
" face so the number'
ions is 14. If the avera :l1re.
10m, then from equati 'Ie spacing, like fracture length, follows
1 is
.3m.
1e probability of a fractU,
lthof 50m is .
4,3 = 13%.
s can be measured direc'
eeholes if it is possible'
1/
Fractures with
no terminations
ock outcrop showing fracture lengths and terminations.
the fractures from different sets. In
it is necessary to make a correction to
ments if the traverse line or the drill
',at right angles to the strike of the
he true mean spacing S for a trace
'tersecting N fractures of the same set
y:
(2.11)
, is the angle between the mapping di-
drill hole orientation and the trace of
ential distribution so that the probability
.(lfa spacing between two fractures being
an a specified spacing x is given by:
x) = Se- sx . (2.12)
p)e,if the average spacing of a frac-
..9.5 m, then the probability that
\lter than 1 m will occur between
.,~diires is
References 41
/ 'H~ 10m,
2.7 References
Donn, W. L. and Shimer, J. A. (1958) Graphic Methods
in Structural Geology, Appleton Century Crofts,
New York.
Goodman, R. E. (1976) Methods of Geological Engin-
eering in Discontinuous Rocks, West, 5t PauL
Goodman, R. E. (1980) Introduction to Rock Mech-
anics, Wiley, New York.
Goodman, R. E. and Bray, J. (1976) Toppling of
rock slopes. Proc. Speciality Conf. On Rock
Engineering for Foundations and Slopes, Boulder
Colorado, ASCE, Vol. 11.
Hoek, E. and Bray, J. (1981) Rock Slope Engineering, ,
3rd edn, [MM, London.
Kikuchi, K., Kuroda, H. and Mito, Y. (1987) Stochastic
estimation and modelling of rock joint distribution
based on statistical sampling. Sixth Int. Conf. on
Rock Mechanics, Montreal, pp. 425-8.
McMahon, B. K. (1982) Probabilistic Design in Geo-
technical Engineering, Australian Mineral Foun-
dation, AMF Course 187/82, Sydney."
Morriss, P. (1984) Notes on the Probabalistic Design
a of Rock Slopes, notes for course On Rock Slope
Engineer:ing, Australian Mineral Foundation,
Adelaide, April. ,
Phillips, F. C. (1972) The Use of Stereographic Pro-
jection in Structural Geology,3rd edn, Arnold,
London.
 -
3
Rock strength and)
deformability

than the intact rock properties be used in design.

3.1 Range of rock strength conditions
The rock mass is .tE: in !i'i..fr~tured ~~
Determination of the appropriate strength wtIl almost alwayshave significantly lower sl.!:Wg!h
parameters to use in the design of foundations ~.~~..!.~rm!1!cf)(jcKJ15ecausetne7ractures divide
depends on the type of foundation, the load 11ie rock mass into blocks. The strength of the
conditions, and the characteristics of the rock rock mass will depend on such.factors as the shear
in the bearing an,a. The importance of using the strength of the surfaces of the blocks, their can
appropriate .strength parameter is illustrated in tinuous length, and their alignmenl relative to ..
Fig. 3.1, which shows a number of different foun the load direction. For examI1le..-the...dam-foun . }
dation loading conditions and the rock strength' ,dation shown in Fig. 3.1(13) could fai!J!!...Jlr'
parameters that apply to the design of each. The ]alOng a surtac-"JYI~.p~rtia:ny thrOlIB!!..W.1acLr~~~
following is a list of basic rock strength parameters c- 'and Eartially ..aIoJ}g_e2<j~!jng frJi!ures. Further'
and their applications in foundation design: t ~ore, if the loads are great ~1)~!lJF exte~
L Deformation modulus _ calculation of settle. /~ actures an? ..k~a!,,-in~!iCL~.<>ck:)~.QLit~he..!:2E!<.
' . "mass can dilate resultIng 10 loss of mterlock:
ment (FIg: 3.1(a, . :betwee:n'llie61ocki:lllentfierocKmilsS'stret!E!!J!
2. CompressIve
. strength of. rock.mass
. - beanng . rna=....~e-ulmmlS A' . , Jjd.. fi......t1 'f'" '''t-ht-f'th .
e slgm ,,, can..... y .. rom a 0 ~, e,

\
capacIty of spread footmgs (FIg. 3.1(13' , ... ' ....._... ........ .. c.. _-
. . ' i.!!!...fiii..,i.s5j;J{. FoundatIOns located 10 fractured (
3. CompressIve stren~th of mtact rock - bond rock which are designed using the strength vaIueiJ
stress of socketed pIers and tenSIOned anchors f' t t l t t d' th I 13 t '.r ,
is correlated with intact rock strength (Figs l'k lin atc bsa~p ~fis estle Idn de .a orda ory ~r.~il
31( d' ley 0 e slgm can y un er eSlgne . <n
4. She~; ;t;ength _ stability of sliding blocks, Other conditions th.at may be e?clountered abrl~l
' ' t . f '1 h k foundations contaimng ly unsta,,"
an d punch109 ype al ures w .ere a wea "potentIa ' f ... ,

13 e d un derIles th k"
e roc 10 th" & d t'
e loun a Ion blocks, formed. by. smgle or mtersectmg
. . . rac.tures . .--)'j"
(Fig. 3.1(e,f; that may s.!Ide from the foundatIon (FIg. 3.1(e.
5. Timedependent properties _ settlement may In these t~u~stances, ~he sh~ar streng~ PL /
occur with time. as.a result ofrock creep, or ?,eter~ 0 t e ractures t emse ves must e u~e
L degradatio~oftherockdue to weathering. . ~~c~e:~~/~~:rs~~~~ ~:i:;~;t:l~:n~::a~~;' . (e)

(',\!n determining the rockslrength for each o(~ese out careful geological mapping to identify~ Figurt
i ~I'P.lications, it)s mostimportanLto accounE,for critical geological features and ensure that;, of soft
! th'.'. p.r.e..~nceioffractures;Suchasjoitits; faults of strength testing programme is appropriate"~ end 13,
. beddingp.iailes:'FO?tnosk'(;ndiiionsthisregi.iires the likely mode of failure. . . . fractUl
materi
th.at.. t.~_",o~~'!1ass"~.!rength~ol?ert\es.ratJ1_~,~ Chapter 4 describes methods of in situ mocl~
 'Range of rock strength conditions 43

cr,

,gthand
lity
(b)

perties be u'd in desi

situ fractured rock '
ignificantlyT';-;~-;:st:ie
:ause"ilie fractures di' .......
cks. The strength of',
n such,factors as the sh ....
of the blocks, their
eir alignment relative;
example.,..theJ1anJ-f:
l.1(b) could faiLiJL
rtlalIy throug!Ull!act.r' (d)
~Jl!!Lfradiires. J!!rtli
great enoug!U<L~xt
taCL!:~~~~~<:>LiL!h!' r
oing in loss of inter!
en tlie focKmass' stren
@cE~l!yfi:Qm!!!Jii~of'l
,ons located in fractu
i using the strength val,
ed in the laboratory
y under-designed. ,
It may be encountered'
19 potentially unsta
Ie or intersecting fractu
e foundation (Fig, 3.1C E,
;, the shear strength p
; themselves must be u
the shear strength ot
(I)
the importance of car ,
mapping to identifys, iY:Rock strength parameters related to the design of rock foundations: (a) settlement due to compression
tures and' ensure that.! "~jjjsand intact rock; (b) shear and deformatibn of fractured rock mass; (c)Side-wall bond strength and
ramme is appropriate ,: 'ngofa socketed pier; (d) sbear strength of rock-grout interface; (e) shear failure ana continuous
ure. ". ,ipping out ofthe face; and (f) punching or flexural failure of a thin bed of rock overlying weakec
methods of in situ mod.'
 44 Rock strength and deform ability
-------------------------------------~
and strength testing, and Chapters 5 to 9 describe
the application of the test results to the design of
different types of"foundations.
One of the first decisions to be made in drawing
up a strength'testing programme is whether to
rely solely on laboratory tests, or to carry out
more expensive in situ tests. Laboratory testing is
appropriate where the test sample, which will
usually have dimensions no larger than 100 mm
(4in) diameter, is representative of the rock
properties. Tests that can be carried out in the
laboratory are uniaxial compressive strength
testing, and shear testing to determine the friction
angle of fractures. However, it is rarely possible
to carry out laboratory tests on fractured rock
because of the difficulty in obtaining undisturbed
samples which are large enough, i.e. about 1 m
(3 ft) in diameter, to be representative of the
in situ rock. If a large sample is available, then
correspondingly large testing equipment will be
required to load the sample to stress levels that
will be acting in the foundation. One of the few
laboratories capable of testing fractured rock
masses is the University of California at Berkeley
which has a 0.9m (36in) diameter triaxial cell to
which an axial load of 17.8MN (4 x 106 1b) and a
confining pressure of 5.1 MPa (750 p.s.i.) can be
applied. The cell has been used to test rock fills.
Laboratory tests on fractured rock have been
carried out by Brown (1970), and on simulations.
of fractured rock made up of blocks of materials
such as cement and plaster of paris (Reik and
Zacas, 1978).
In situ testing, which is often carried out in the
design of dams and major .bridges, consists of
borehole jacking tests, plate load tests, and radial
jacking .tests to deterinine rock mass modulus,
and .direct shear tests to determine the shear
strength of fractures. These tests are carried out
where there is access during the exploration pro-
gramme to' a site that is representative of the
foundatioll conditions.
As a back up 10 laboratory or in situ tests, it
is useful to checktiletesLresults against values
calculated fromtheperforrnance of actuatfoun-
dations in similar ge()l()gicalconditio,!s. Ob.ser-
vations of settlement under known loading
conditions will provide info~mationon rock mass
modulus values, while shear strength parameters
can be back calculated from slope failures. While
these observations will provide modulus and
shear strength values of much larger samples than ;..
is possible with in situ testing, the reliability of
the result will depend on the accuracy with which
the loads, water pressures and movements. are
known.
3.2 Deformation modulus
For many structures founded on rock, loads are .,,-
well within the elastic limit of the rock mass. Y
Consequently all deformation and settlement
will occur as soon as the load is applied, and.
there will be no time-dependent effects. Further
more, settlement that does occur will be minimal
and is not considered as a specific item in design. Figu
However, circumstances where foundation 198C
settlement must be considered are large, heaVily
loaded structures, particularly where the rock., undi
conditions vary across the site. Such structures >r mod
include high-rise buildings with individual fool'" ing.
ings on different rock types, and long bridges uren
where differential settlement between piers must and
be controlled. In the case of dams, concrete Def<
structures are, of course, much more susceptible of tl
to damage from differential settlement than cons
embankment dams,.and conditions are most culal
severe where the foundations comprise materials obta
with different moduli. For the conditions shown the ]
in Fig. 3.2, differential settlement can induce DarT
stresses in the concrete. sufficient to develop gave,
craCking. The cracks will develop in the foun (1.7',
dation materials at the points where the concrete calOlI
attempts to bridge across the lower modulus rock rang, I
and concentrates the load on the higher modulus' 3.48
rock. Also, the cyclic loading that often occum. Th I
in dams due to changing reservoir levels can chan
produce permanent displacement as a result of mass!
non-recoverable strain in the foundation rock. \ )
In most structures, the area of the bearingf
3.2.] I
.surface will be greater than the fracture spacing SO!
1
settlement. will be the. result of both the deform! The I
ation of the intact rock and the closure of frac' T intac i
tures. That is, settlement will depend on the rock~ in ill I
mass modulus and not on the intact rock modulus,~ comf!
The difficulty and expense of obtaining large,! most I
 Deformation modulus 45

lear strength paramete'

'am slope failures. \Vhf
provide modulus
nuch larger samples th'
testing, the reliability:;
I the accuracy with wh[
res and movements
-11 .- ... H I E,>E, ,
.//. 4

dulus
E, E,
mded on rock, loads
limit of the rock m'
rmation and settlem'
the load is applied,
pendent effects. Furth
oes occur will be min'
a specific item in desi hear stresses developed in a concrete dam founded on rock with variable modulus (after Goodman,
nces where founda'
sidered are large, hea,
:icularly where the r' d rock mass samples has meant that studies is NQ core with a diameter of 52 mm
the site. Such struct "easurements are made by in situ test- (2 in), and the test sample is cut so that the length
ngs with individual ' test methods include borehole press- to height ratio is 2.0. Since there is some influence
types, and, long brid' late load; flat jacks, pressure chamber of specimen size on strength and modulus, it is
:ment between piers , \"sical testing as described in Chapter 4. preferable to standardize sample dimension.s if
case of dams, conc' jon measurements have also been made possible. It is also necessary to grind the ends of
e, much more suscepti ndations of structures during and after the sample parallel and to use platens with the
erential settlement t, '1m so as to compare the modulus cal- same diameter as the core; these procedures will
nd conditions are rri rom these displacements with those minimize the development of stress concentra-
lations comprise mate' from testing. Guidici (1979) describes tions at the ends of the sample. The 1nternational
For the conditions shO 'Ius testing programme at the Gordon Society of Rock Mechanics Committee on Lab-
il settlement can ind , asmania where the plate jacking tests oratory Tests (1972) gives the following tolerances
,te sufficient to deve, "(Iulus values of between 12 and 40 GPa for cylindrical test specimens:
;vill develop in the f 106 to 5.8 x 106 p.s.i.) while the modulus
(a) The ends of the specimen shall be (Iat to
points where the concr 'd from deformation measurements 0.02mm (0.0008 in);
ss the lower modulus r am about 12 to 24GPa (1.74 x 106 to
(b) The ends of the specimen shall be perpendi-
lad on the higher mod. ~.'p.S.I..
,0 .)
cular to the axis of the specimen within 0.001
loading that often occ' ,ollowing sections describe the modulus
'eristics of a variety of different rock
radian;
ging reservoir levels,
(c) The sides of the specimen shall be smooth
splacement as a result
and free of abrupt irregularities and straight
in the foundation rock'
to within 0.3 mm (0.012 in) over the full
the area of the bea,
length of the specimen.
:han the fracture spacin'
result of both the defe. L method of measuring modulus of Strain measurements are usually made with strain
k and the closure of f~ .~ "is to test pieces of diamond drill core gauges glued to the surface of the sample; With a
mt. will depend on theT ... I compression, with the test being a combination of axial ,and circumferential strain
on the intact rock modll ent of a compressive strength test. The gauges it is possible to measure both the modulus
pense of obtaining lar 1'l11'l10n core size used in geotechnical and the Poisson's ratio of the sample. The stress-
 46 Rock strength and deformability
------------------------------------------
5;;,--..,.--,---,--,--..,.--,---,--,---,---,--,---,

'"
;:!

0
<? ~
0-
6 610~e
b
'"'" ....'"
'"
;;

"
'x
0
T
50MPa
/

'"

'"
N

- DIAMETRAL STRAIN
o - VERTICAL STRAIN
1
O=-=::-~~-:-:=-_.l....::_,-l-_-'-_---'L---=""'_--L_........J--=_L-_...J
-2000 -1750 -1500 -1250 -1000 -750 -500 -250 0 250 500 750 1000
Strain (microstrain)

,figure 3.3 Axial and diametral stress/strain-curves for intact rock tested in uniaxial compression.

strain behaviour of a Tock can be plotted directly An elastic material is one that returns to zero
on .an X- y' piotter during testing as shown in strain at the end of the unloading cycle, although
Fig. 3.3. Note that it is preferable to lise strain the loading and unloading cycles may follow dif
gauges glued to the rock surface to measure di- ferent paths indicating that some energy isdis-\
.Tectlysirain in the rock, rather than such instru- sipated in' the rock mass during the loading
ments as -LVDTs mounted on the platens. The unloading cycles.
reason for this' is that slight imperfections at the The ell!-s~l! calculated from the
contact between the steel and the rock may lead in Fig. 3.3 over the linear portion of the
. to movements' of the platens that are not related strain curve are as follows:
to strain in the rock: .
. The plots in Fig. 3.3 show two cycles ofa com- vfoung's modulus = vertical. stress/strain
pression test on a sample of strong gneissic rock = 50.0 MI'a/61OE - 6
which exhibits approximately linear stress-strain
behaviour, 'no hysteresis, and no permanent de- = 82GPa
(11.9 x 106 p.s.i.);
formation. The rock is Jherefore, showing near-
Perfect elasti<; behaViour. A perfectly elastic v'Poisson'sratio = diametral strain/
material isoile that follo",sthesame path during vertical strain
both the loading 'and unloading cycles; that is,
'hysteresis is zero and allthe eriergystored in the = 150}'; - 6/61OE -: .6
rock during loading is released during unloading. = 0.25.
 Delormarion modulus 47

:iPical elastic constants for in~tact rock

Young's Poisson's Reference

modulus ratio
CPa (p.s.i. x J(I)
37.0 (5.5) 0.23 Brandon (1974)
68.0 (9.9) 0.22 Brandon (1974)
61.0 (8.8) 0.19 Ruiz (1966)
2.80 (0.4) Underwood (1961)
95.2 (13.8) 0.22 Herget (1973)
0.26 (0.04) Brandon (1974)
3.45 (0.5) . 0.42 Ko and Geistle (1976)
68.9 (10) 0.25 Wuerker (1956)
51.7 (7.5) 0.29 Haimson and Fairhurst (1969)
79.9 (11.6) 0.24 Ruiz (1966)
58.6 (8.5) 0.26 Michalopoulos and Triandafilidis (1976)
53.9 (8.5) 0.32 Belikov (1967)
28.5 (4.1) 0.22 Sellers (1970)
29.9 (4.3) 0.31 van der Viis (1970)
21.9 (3.2) 0.38 Kitahra et al. (1974)
53.0 (7.7) 0.09 Parker and Scott (1964)
3.45 (0.5) 0.24 Cording (1967)

500 750 1000

'hows the results of uniaxial compres- formation that occurs on removal of the load.
ompression. ,carried out to determine the elastic With each load cycle at a progressively higher
:n a variety of rock types (Lama and stress, the modulus increases as indicated by the
'1978 a and b). increase in gradient of the stress-strain curves.
one that returns to
. The increase is the result of closure of fractures in
, unloading cycle; altho ~ss-strain behaviour of th~k mllsund is.m.QI~.n().!~gIii~t1ie~case~ofihe
jing cycles may follow'. rela!ively,g.~g~r.volume,ofrockin the plate load
'rock
~ that some energy is ~" These fractures may be both natural fractures
3$S during the loading' "I load-deformation behaviour of two and those opened by the blasting in preparing,
ses subjected to cyclic loading is shown the site. These conditions should be carefully
calCulated from the p. ,;4. Figure 3.4(a) show the results of a evaluated and related to the likely foundation
lear portion of the stre jl test carried out on massive gneiss with conditions of the structure where, the rock may be
ows: ge compressive strength of 110 MPa either more or less stress relieved depending on
,.s.i.) from the Churchill Falls project in such factors as the method of preparation of the
; vertical stress/strain FCanada (Benson, 1970). Figure 3.4(b) bearing surface, and whether geological condi-
; 50.0MPa/610E- 6 ,e:results of Goodman jack tests carried tions at the test site are representative of the
,~Ildstone with a compressive strength of overall foundation.
; 82GPa Pil (580 p.s.i.) on the Peace River in For a distinctly non-linear ,stress-strain re-
(11.9 x Ht p.s.i.); ,<:;anada (Saint Simon, Solymor and lationship, the modulus is defined by either the
liametral strain/ ii19 ). ' tangent ,or the secant to the curve, at the stress'
'erticalstrain hinent features of the series of stress- level to which the rock in the foundation isJikely
~tiQtr~'titves shOwn in Fig. 3.4 ~re, first, to be subjected. The mod,!lus used ,in design
.50 - 6/61OE - .6 !~~$e in gradient of the curve With each ,would n.Qr11lal\y"pe.the.lo.w.erY:alu,~;.iQ~IlH~~t!I.!lt
US. ~ieinent and, second"theperinanent de- the li~ttlement is not underestimated.Since
:..."'"=... . :. .
.~' ."",,,,,~~ .,,, ~ ....~.=,- .",- ~".",,"... ,.~ . "'~ _._.,~.;._,',::~ Co" ',: -,
 48 Rock strength and deformability
~------------------------

24hrs

9 26hrs @
8
7
E-40GPa I <?
a.
Plate 6 e. 20
jack
stress
5 ,
~
00 15
E= 0.72 GPa
00
(MPa) 4 ~
c.
3 10
%
2 a.
OJ
c 5
.~

0.02 0.04 0.06 0.08

'"
aJ 0
0 2 3
(a) Deformation (mm) (b) Oiametral deformation (mm)

Figure 3.4 Typical results of in situ modulus testing: (a) plate load test in gneiss (Benson, 1970); and (b)
Goodman jack test in sandstone (Saint Simon et al., 1979). .'.

foundations are designed with the bearing stress rock, and occasionally by measuring.. the settle
well below that which causes the onset of failure, ment of structures. Because the objective of these
a linear stress-strain relationship is usually tests is to determine the modulus of the very large
assumed. Except in the case of highly non-linear rock masses in foundations, it is necessary to have
rock types, this assumption is acceptable because a means of relating test resuits tQ the mQdulus of
of the difficulty of precisely defining the deform- fQundatiQn-scale rock vQlumes. Of particular
ation character of rock masses. impQrtance is the determinatiQn. of modulus
Another feature of the stress-strain curves in values under earthquake loadings.
Fig. 3.4 is the permanent deformation that occurs The results of many test methods have been.
after the removal of the load. This deformation is cQmpared to determine if relatiQnships can be
the resuit of both closure of fractures, and crush- established between modulus and test volume.
iag of rock in areas of stress concentration. In the It has been concluded that the follQwing appro':
case of. the gneiss the permanent deformation has ximate relationship between moduli measured by
stabilized after two cycles, whereas in the weaker different methQds wiIi generally apply (Raphael.
sandstone, there is additional deformation after and GQodman, 1979):
the third cycle, possibly as the result of rock
'Estatic< Eearthquake<Eseis~ic< Eintact roeb "
fracture.
Structures that are most likely to be subjected where E"atic is Young's mQdulus for rock loaded~ ,
to significant cyclic loading are dams as a result of by plate bearing, borehole jack or dilatometer. i
fluctuations in reservoir level, and the possibility test; Eea~thquake is ~opng's ,modulus for ro~t ,I
of permanent deformation should be considered mass subject to shakmg at b 10 Hz; E,e;,mic.~~l
_I
in design (Fig. 3.5).. Young's modulus for rQck mass subject to shoe!
waves with frequencies of several hundred her~' I
and Eintact rock is Young's, modulus for ~inta ; i
.3.2.3 Size effeetsondefQrmaiiQl1 mQdulus rock specirriens~ -.. i
DeformatiQn modulitestsiareperfQrmed. Qn The basis of this relationship is that inta.
pieces of rock core, on small volumes of in ~itu samples containing no fractures will have' t~_

by measuring the set(
.use the objective of th .'.
modulus of the very I
ms, it is necessary to h
results to the modulu'
volumes. Of partie
termination of mod
e loadings.
test methods have b~
~ if relationships can';
odulus and test volu ~
that the. following app;
lIeen moduli measured!
generally apply (Raph,
< Eseis~ic < Eintact rock~.
; modulus for rock load
hole jack or dilatomet
,ung's .modulus for to.
19at -I-10Hz; Eseismir/
xk mass subject to shp
of several hundred he'.
ung's modulus for illt
elationship is that int
) fractures will havet
Deformation modulus 49
. odulus, while larger, fractured samples (Heuze, 1980). Information on the degree of
flu will have lower modulus values as a fracturing at these sites is not available,
~Iosure of the fractures. Rock masses The conclusions that can be drawn from the
to shock waves (seismic or earthquake) modulus values determined by different methods
. intermediate modulus values where the of testing are, first, that the modulus of fractured
. Is are low and there is less closure of the rock diminishes as the fracture intensity increases.
than that induced by the higher stresses Second, there is considerable scatter in the re-
ad tests. sults, especially when the volume of rock being
. of E"at;c have been compared to results tested is large and the properties variable. As
,,-;eq by seismic testing (E""i,mic), and tests a consequence of this scatter, the relationship
,I~boratory on pieces of intact rock core given in this section between modulus values
.~OCk)' The ratio EseismiclEstatic, which has determined by different methods is only approxi-
'~termined by Schneider (1967) from tests
'fferent sites, was found to vary between
(Fig. 3.6). This ratio, as well as the shear Table 3.2 Ratios Eintact rocklEstatic for various types of
!jth of the seismic wave, increases as the field deformability tests
g of the rock becomes more intense. The
Type oftest Number Mean
seismic/Estatic increases with closer frac-
of tests ratio
ecauseihe valueof E"atic diminishes
ntly as the rock is more readily deformed. Platebearing 27 3.1
'modulus results have been examined to Full scale deformation 14 2.4
:avariety of in situ tests (E"atic), with Flat jacks 10 1.9
i:rtests on pieces oLrock core. (Eintac! Borehole jack Or dilatometer 9 .3.0
Pressure chamber 8 2.2
Itt the same site. The results of 7-S such
Petit sismique 5 2.9
}~ been used to establish values for the Others 5 2.4
.--:iritad rocklEstatic as. shown-in :"Table 3.2
.....

50 Rock strength and deformability

-
Eseismic laSI! v,. The properties of the fractures that determine
ESlatic the relationship between the modulus of the
15 intact rock and that of the rock mass are the
spacing S and stiffness k of the fractures in each ";,
set of fractures. The normal stiffness /sa. '?t a
10 ~.!!1Le_!~~!"fined~the_.I1.Q!'.!!!.i!Lg9.~,!!e_on tmt
occurs on t~e._~QQ!j~ati()Il_':l.La_!!2!.mal str.e_s~.O'!l.I)q
~grven.-bY (fig, 3.7(a)):
5
kn = O'/on (3.1)
Normal stiffness of a fracture tends to be hi Iy
o0!--2---'4"'--*"6----6----=1~0-"'1:'::2-.. n n-Iinear, with the major portion of the clOsure '\
Wavelength of seismic shear wave (m) diking place at low stress levels. - 1
, The deforma!i0n of the fractures is defined by
Figure 3.6 Relation between seismic and static moduli
as a function of shear wave length in hammer seismic their normal andSliear stiffness k n and k, respec-
profiles (Raphael and Goodman, 1979). tiVely,-wIiere kn iLtliiLlQP~J?f normal stress!
1. Concrete.
normal disRlac<;!lle.nL~~'L~~ alJ,f! t i~
2. Van der Kloof (diabase). slope of the shear stress/s.h~~I.~placemeni!lrve
3. Vervoerd (argillite). t/o,:Both-theseparameters can be obtained from
4. Vervoerd (diabase). fl1e results of direct shear tests to determine the
5. Malpasset (schistose gneiss). friction angle of fract~re surfaces. If the spacing,
6. St Cassien (gneiss). of the fractures is S and the modulus of the intact '~
7. St Jean duGard. rock is En then on application of a stress 0', the ,-
8. Gittaz (schist). deformation will be as follows (Fig. 3.7(b)):
9. Besserve (weathered granite).
10. Vouglans. Intact rock - S(O'IE,);
11. Lanoux. Fractures - O'lkn ;
12. Kasseb. . Rock mass - S(O'IEm ).
13. Ta Chien (quartzite/schist)..
The total deformation of a rock mass uRon !!E:'
plication of a stress 0' is th$..ym of the rock
mate and, for final design purposes, results from deformation S( 0'/E,) ana:::tiie joint deformation >'.
a number of test methods are preferred. <rTkn therefore, the modulus of the rock mass /
Em is related to the properties of the intact rock
and the fractures by:
3.2.4 Fracture spacing and modulus Figure
(3:2)( closure
With the very great influence of geological struc- fractuff
ture on the rock mass modulus, it is useful to An application of this equation is as follows:.;
have a method of relating the properties of the The value of E, is determined by laboralOIll
fractures to the relationship between laboratory testing and the value of Em by in situ metli6~L lie
and field modulus values. Goodman and Duncan such as plate load tests. For a particulars~t~~
(1971)' describe sucha.procedure, and Raphael joints with spacing S; the. stiffness can be.jm~i; where'
and Goodman(1979)descfibe.the,application of CilIated. This result can ~hen be.used to estu,n,:[CiK . and k,
~~d~~~~o~ft1:~I:~:;:~~:~ofo~~t~~:~~~gmt~~. :~:c:~~eu~;~~i::S.roCk. mass modulus of di%!11 es:~:
foundation of ildamiii.Califbiilia: ". . .. ,'. ". Similarly, an equation can be developed fof'S Contain
Consider an isotropic and linearly elastic rock rock mass shear modulus .(Om) in the cas~c:n!t differer
with elastic constantsforthejntactrockof E, and shear loading of:the model shown inF'ig. 3,:4: . load (C
 Deformation modulus 51

fractures that deterrnin Asymptota

,n the modulus of t
the rock mass are t
of the fractures in ea
ormal stiffness k n, 0{
e normal closure 0 --- -l
;-o..tll'.1irn;~I;~ressG a' --- T 8"

1cture tends to be h'

or portion of.J.b..J' clos
:s levels.
1e fractures is defined,
iiffiiless k n and k, res .
'S,QRe...Q norm
lrv G/o" an.$L.k.-
16~!!I9jspLaCe=utll.,
ters can be obtained fr s
,ar tests to determine s
e surfaces. If the spa s
the modulus of the in Rock deformation,S s
,lication of a stress 0', .2:.s-l s
E, --f - - + - - - - - - - f / s
follows (Fig. 3.7(b:
cture closure, 6. L. __--f-----------Y
, .if
ko

.....
Total vertical deformation
0' '; 0"
,--s+-~-
as
Er " k" Em

(b)

.Model ofrock mass relating fracture stiffness to rock mass modulus: (a) typical normal stress/normal
s aviour of fracture in rock; and (b) model of fractured rock mass containing one set of uniformly spaced

s equation is as foliO'
Jetermined by laborat
of Em by in situ metli..
ts. For a particular se,
. the stiffness can be..
n lhen be used to estirp
mass modulus of diff~
m can be developed foi,
lulus (Om) in the cas
lodel shown in Fig. 3.7
(3.3) tions will provide some indication of the influence
of the geological structure on the rock maSS
,a~,the shear modulus of the intact rock modulus, and may be of value in inteqJreting the
"Ilear stiffness of the fractures. results of in situ modulus me.asurements.
>(3.2) and (3.3) can be combined to '. ..
'e,deformation modulus of a rock mass
"several sets' of fractures inclined at . 3.2.5 Modulus ofanisotropic rock
-Ilentations with respect to the applied Many rock types e"hibit anisotropic strength and
,ppell and Maurice, 1980). These equa- elastic properties, and it is important that the
...
-
52 Rock strength and deformability
-------------------------~

Tal

40 f:=:~-:.~.L
--' .
1",
-
E(GPa)
90' / \/'/\
20
1'" /' A \,
---160' \
\

/ )(30' \ \
/' \
=0 0 I \
.20 40 60 80
Deformation modulus E(GPa)

figure 3.8 Variation in modulus of elasticity with direction oOoading in anisotropic (schistose) rock
'(Pinto,1970).

values used in design are appropriate for the ment will take place more readily along these
direction of' loading. Typical anisotropic rock planes (Section 3.4). Therefore it is important to
types are the sedimentary-metamorphic se- examine both the direction and type of loading
quence of shale-slate-phyllite-schist which will with respect to the orientation of the geological
usually contain sets of parallel fractures, and in structure in the design of any foundation in'_,
the case of schist and phyllite, have low-strength anisotropic rock: y
mica aligned with these fractures. The mass
modulus of these rock types is likely to be lower
3.2.6 Modulus/rock mass quality
in the direction normal to the orientation of the
predominant geological structure as a result of relationships
B. J
closure of these fractures (Fig. 3.8). With rock mass modulus being highly dependent
Laboratory and in situ testing programmes' on both the geological structure and the size of
have been conducted to determine elastic con- the test sample, Bieniawski (1978) has proposed
stants in directions parallel and perpendicular a method of estimating in situ modulus froin an.
to the orientation of the predominant geological index which characterize,s the oVerall properties -:~
structure in anisotropic rock. The modulus ratio is of the rock mass. This index is known as the ,.
known as the degree of anisotropy, and is given rock mass rating (RMR) and i~ widely used in
the term Eo/E90 - modulus parallel/perpepdicular the assessment of tunnel support requirements
to anisotropy. Surveys conducted by Lama and (Bieniawski, 1976). The advantage of this ap- and
Vutukuri (1978a and b) of rock modulus testing proach is that the index is determined from .-six
programmes show that the modulus is usually readily measured parameters: the compressive the
higher in the direction parallel to the structure' strength ofthe'intact rock, the characteristics of of \
and that the degree of anisotropy varies between theiractures determined by mapping and driWng, calc
abollt 1 and 3 (Table 3.3). 1
Seismic testing to (Ietermine ihe dynamic Table 3.3 Modulus ratios of anisotropic tack dati
modulus shows values of E,o/Eooratio of between sell
1.0 and 1.2. These low ratios can be attributed to Rock type olE9O , Reference adj.
;he fact that, at theJows;resslevels<ofseismic ori(;
testing, there is little clos~reQf openfractures. Clay shale 1.36-2.86 ad
Note that the shear. strengthof'anisotropic Slate 1.7 'reSt
Phyllite 1.28-1..33 Thi
rock types is usually much lQ',Vyi'in tllei direction Schist 1.3~3.2
parallel to the main structure because displace- Witl
 Compressive strength 53

R classification of jointed rock masses (Bieniawski, 1974)

:<~~on parameters and their ratings

For this low ran~c.

>11 MP(l 4-1' MPa 2-4 MPa 1-1 MPa
uniaxial <:uOlpn;ssivc
>1.2 ksi 0,(1-1.2 ksi O.J-Il.(} ksi Il.X-CD ksi
test is prckrrcd
.-------._-_. __ .-

( Uniaxial
compressive >21KI MPa IlMI-2(l(l MP(l ;1I-IlKl MPa 25-$11 Mr,l
lU-:!5
M[>a
J-W 1-3
MPa MP..
strength
---------. ......-_._.--

" 12
-_..._-----_._--_.-
4 2 \I
- ... _---_._---
9t1%_ltKl'y" 75%-90'X, 5U'X,-75% 25%-50% <25%
._-_._-_._----- - ...... - .. _--
2U

>3 m (>lOfl)
17

1-3 m P-IO ft)

"
lJ.3-1 m (1-3 (I)
X

5{l-](K)mm (2-12 in) <511 mOl 2 in)

ohistose) rock -_._-----
2(1
" 25 HI

Slickcncd surfuccs
~~~------~

Very rough Sllft gllllge >5 mOl

,ore readily along th surfaces
Slightly fUugh Slightly Tllugh
Gouge <5 '"mOl thick thick
surfaces surfllees
Not mntinuous
erefore it is importank No separation
SCpamtion < I mm
Hard joint wall roek
Sepllrmion < I mm
Stlft joint wlill roek
'"
Joinlsopen 1-5 mm '"
Joints opcn >5 mm
H;lrd jllint wall Continuous joints Continuous joints
tion and type of load'
"<' -----------
ntation of the geologf
25 2(1 ,
I of any foundation"
General Completely dry
"
M(listoilly W;lter under
(I

Severe water
conditions (interstitial water) modcmte pre~lIrc prllhlem~

Rutings 111 7 4 (I

laSS quality When calculating roek strength using Tahle 3.5. rating = Ill; ground wlltcr pressures aCClluntcd for in slahility ;m;llysi~.,
'1:':(: -.
~'f:adjustment for joint orientations
t-~'"
s being highly depen \;,.
structure and the size' "nd dip
nsofjoiilts
Very favouwble Favourahte F~lir UnfaVlluralllc Very unfuvllunlble

"ski (1978) has propo, .;,,-'----T-"-----r-----j----T-"-------+-~~-----

(I -2 -7 -15 -25
in situ modulus fromx
:eS the overall prope When euleuluting rock strength usingT;lble 3,5. adjustmenl = U: joint orientation accounted fllr in shlbility ;malysis.
; index is known as
~) and is widely used'
lei support requirem~'
,e advantage of this .lihdwater conditions. Table 3.4 shows the be in a direction parallel to the load direction
dcx is determined fr~ :' eters that describe the rock mass and (Chappell and Maurice, 1980).
>---"'"
meters: the compress ng~pomts that are assigned to each range The empirical relationship betwecn the RMR
ock, the characteristics .~~s of the parameters, The RMR rating is rating value and the in situ rock mass modulus is
d by mapping and drilli 'edby adding points for each parameter. shown in Fig. 3.9. For the seven different projects
'nfluence of fracture orientation on foun- studied by Bieniawski in developing this relation-
of anisotropic rock ~Ifol1Oance is taken into account in the ship, Em is given by:
:and stability analyses, rather thanhy
.Em = 2RMR - 100. (3.4)
.Re!erence the RMR valuc. An unfavourable joint
Yi?liwith respect to settlement would be in The obvious deficiency of this equation is that it
Stepanov and Batugin (19, .tion at. right angles to the load direction does not give modulus valucs for RMR values
Bamford (1969) gjn closure of fractures and settlement. less than 50. Additional studies carried out on
Lekhnitskii (1966)
Pinto (1970) litrasts with an unfavourable ~orientation rock masses with qualities ranging from poor to
~~~ct to sliding, where the fractures'would very good indicatcs that the modulus is related
 54 Rock strength and de!ormability
-------------------------
GPa (p,S,i.X106 )
90
12
80
70 10 >
,

In situ
60
8
modulus of 50
deformation
EM(GPa) 40 6

30 4
20
2
10

90 100
Rock mass rating RMR

Figure 3.9 Relationship between in situ modulus and rock mass ratiug (Bieniawski, 1978; Serafun and Pereira,
1983).

to the rock mass rating over the range of about
20 to 85 by (Serafim and Pereira, 1983):
Em = lO(RMR-lOj/40. (3.5)
3.3 Compressive strength
Compressive strength values of rock are used in
the determination of bond strengths at the rock!
concrete interface in drilled piers and tensioned
anchors, and for the bearing capacity of spread
footings. In the case of bond strength values,
. 'empirical relationships have been developed
between compressive strength of intact rock and
working bond strengths that have been found to
operate satisfactorily in practice. In the case of
spread footings where the bearing area is larger
than the spacing between fractures, the bearing
capacity can be calculated from the compressive
strengtJ1 of the rock mass. The following is a
.discussion on methods of determining the com-
pressive strength of both intact rock, and the
machine or a point load tester. The compression ~
machine gives the more precise results but it is ;"
.. necessary to prepare the samples in the manner'
described in Section 3.2.2 on modulus testing.
Determination of approximate compressive'
strength values made with the point load testing
equipment has the advantage that tests can be
conducted on lengths of unprepared core in axial
and diametral directions, as well as on irregular
lumps of rock (ISRM, 1985). The equipment is
,
portable 'and can readily used in the field. ~
principle of operation is that a compressive load
is applied through two conical platens which
cause the rock to break in tension between these
two points. If the distance between the platens'
is D and the breaking load is P, then the point +
load indexJ, is given by: "
I, = PID;, (3.6) ~
_~ Figure
where De, the equivalent core diameter, is given c,, equipn
by: "
"~

l,(~~~
2
rock mass. De = D for diametrial t e s t s j
= 4Ahc for axial, block and lump tests 'i the VI
3.3.1 Compressiv~ strengthofintactrock andA = WD'is the minimum cross-sectional are~~. by a I
The compressive strength of ,intact rock can of a plane through the platen contact points (W i'~i condu
, ' '~~
readily be measured using either, a cOmpression the specimen width). t"
,
 Compressive strength 55

178; Serafim and Pereira,"

I tester. The compress <a)

e precise results but i
1. 1
e samples in the mall.
:.2 on modulus testin '
pproximate compre,' 1.0
~
'ith the point load teS
'antage that tests can.' 0.9
~
i unprepared core in
.s, as well as on irre 0.8
7
1985). The equipmen,
ly used in the field. 0.7
/
s that a compressive 1 V
o conical platens w; 06
2.0 2.50n)
: in tension between th 1.0 1.5
mce between the plat 20 . 30 40 50 6O(mm) Sample Dc
di~meter
load is P, then the P9 Series Q
y: AO SO NO HO drill core
(b)

o Point load testing equipment and point load strength index (ISRM, 1985): (a) point load test
!;:.llIld (b) relationship betweeo,sample equival~nt core diameter De and size correction factor kPLT .

trial tests ,!,,;corrected point load strength index a size-corrected point load strength index by
;~.E()ck specimen or sample is defined as applying a correcHon factor kPLT as follows:
I, block and lump tes :'of 1, that would have 'been measured
aiitetral test with D = 50 mm. For tests 1'(50) = 1, kPLT' (3.7a)
timum cross~sectionaL
platen contact points ( Ci:~~ samples with dimensions different The value of the size correction factor kPLT is
)lIDl, the results can be standardized to shown in Fig. 3.10(b) and is given by:
 56 Rock strength and deformability
1.0
0.8 Iron ore
0.6
~
O'u(max)
Diorite
0.4
0.2
Coal
00 1.0 2.0
Specimen side length (m)
Figure 3.11 Effect of specimen size on measured
uniaxial strength (Heuze, 1980).
k PLT = (D,/50)0.45 (mm).
(3.7b)
It has been found on average that the uniaxial
compressive strength is about 20 to 25 times the
point load strength index. However, tests on
many different types of rock show that the ratio
can vary between 15 and 50, especially for aniso-
tropic rocks. Consequentially, the most reliable
results are. obtained if a series of uniaxial cali-
.bration tests are carried out.
Point load test results are not acceptable if the
failure plane lies partially along a pre-existing
fracture in the rock, or is not coincident with the
line between the platens. For tests in weak rock
where the platens indentthe rock, the test results
should be adjusted by measuring the amount of
indentation and correcting the distance D.
3.3.2 Compressive strength of fractured rock
Fractured rock will, of course, have a much lower
compressive strength than intact rock. Studies
have been conducted on the load capacity of
mine pillars which demonstrate the decrease in
strength that occurs asthe sample size is increased
(Ilieniawski, 1975; Pratt, 1972). These-tests show
that once the side length is greater than about 1m
(3 ft) there is little decrease instrenglh with larger
samples, and that this minimum strength is about
20 to 30% of the maximum strength (Fig. 3.11).
Laboratory testing to determine the compress.
ive strength of fractured rock is difficult because
of the problem in obtaining undisturbed samples
of fractured rock, and then testing a sufficiently
large sample that is representative of. the frac.
ture conditions. To avoid the expense of carrying
out laboratory testing, it is usual to use empirical
relationships between the rock mass strength and
the fracture characteristics. ~
For most foundations, the rock is loaded in a
triaxial stress field consisting of the foundation
3.0 load and the confinement produced by the sur.
rounding rock. Therefore, in calculating the ,}
bearing capacity of the rock, it is necessary to '~
have a strength criterion that is expressed in terms
of the principal stresses acting on the rock, and
takes into account the characteristics of the
fractured rock mass. Such a criterion will allow
the state of str~ss at any point in the foundation . ~.;
to be compared with the rock mass strength at ,
that point, which will identify overstressed areas .
so that the design can be modified accordingly.
This approach is useful in the case of dam foun
dations where the stress distribution is usually
non-uniform across the bearing surface, and
also for foundations located on the crest of steep
slopes.
A strength criterion for fractured rock has been
developed by Hoek (1983) and Hoek and Brown',
(1988) which can be applied readily to the design,
of foundations. This is an empirical criterion thai
has beeh developed by trial and error and is based.
on the observed behaviour of rock masses, model
studies to simulate the failure mechanism 01:
jointed rock, and triaxial compression tes~t
of fractured rock. Hoek's expression . for the!
maximum principal stress 0'1 at failure is '
- r,
0'; = 0'3 + (mO'u(,) 0'3 + S <?ut'~ q~)\
where 0'3 is ihe minimum principle stressf~~'f
confining stress; O'u(,) is the uniaxial compressi~f
strength of the intact rock; and m and ~."~
dimensionless constants. -- '~f, I
It is assumed that the failure process is defiri~A
by the major and minor principal stresses an~t,~
::?:a
-;~t.~
\~~

nimum strength is abd
urn strength (Fig. 3.1'
determine'the compr'
rock is difficult beca)
ling undisturbed samp
hen testing a sufficien
lresentative of the fr
j the expense of ca .
is usual to use empiri
e rock mass strength'
ics.
, the rock is loaded;
listing of the founda'
,nt produced by the s
'are, in calculating)
rock, it is necessary
that is expressed in tel
. acting on the rock, ,
e characteristics of,'
lch a criterion will al
y point in the foundal
1e rock mass strengt
lentify overstressed a'
be modified accordin
in the case of dam fa
ss distribution is. usti
Ie bearing surface, ,
ated on the crest of sf
Jr fractured rock has 0
83) and Hoek and Brg
plied readily to the de~
an empirical criterion .
:rial and error and is b'
Jur of rock masses, mq
te failure mechanism
iaxial compression '(
Jek's expression for'
JSS 0',at failure is
1
... es.rapidly as the rock becomes more
.+ S~(,2
mum principle stress,
; the uniaxial compre~
rock; and m and s Ii:Jbe compressive strengths of the rock
s.
~ failure procesS is deli.
. principal stresses and'
Compressive strength 57
iate principal stress has no particular 4.5
'failure (Jaeger and Cook, 1976).
. ts m and s depend on both the
d !be fracture characteristics. The
.lind s given in Table 3.5 are those 4.0
: rock because of the loosening that
ace excavations made for founda-
g Table 3.5 it is necessary to define
in terms of one of five categories 3.5
'a.nd six categories of rock quality.
ality varies from intact rock, to
eavily fractured rock, or rock fill,
Jegory defined either by a descrip- 3.0
rock mass Or by the RMR quality
Table 3.4). Where possible, the
es determined from equation (3.8)
'ct with other sources of rock strength
"se obtained from the back analysis of
lopes in similar geological conditions.
al shape of strength envelope de-
uation (3.8) is shown in Fig. 3..l2.
radient of this curve clearly demon-
.increasing confining pressure has a
ect on improving the strength' and
acity of the rock. Foundations on
.8 where there is little confining press. 1.5
psening of the rock mass occurs, will
er bearing capacity than foundations
Uniaxial compression
,I,
O'v(m) = (serU(,):?)1/2
'jhuous horizontal surface. The curve in
.,so shows that the uniaxial compressive
f the rock mass O'u(m) is defined by the
>equation:
Uniaxialtension
"
=; (s~(,)2
1
(3.9) O'l(m) = 1f20"u(.)[m ~ (m 2 + 45)112)
0.5
'=st (3.10)
I
.~X3.10) shows that the ratio O'u(mj!O'u(,)
0.5 1.0 1.5
Minor principal stress 0'3
-d'and that the rock mass has essentially
Jj)pressive strength when the fracture Figure 3.12 Strength offracturedrock (Hoek, 1983).
. --ress than about 0.3 m. This relationship
~~.intact rock can be compared With the
..eprease in rock mass strength ""ith speci-
"shown in Fig. 3.11.
 Table 3.5 Approximate relationship between rock mass quality and material constants ~Hoek, 1988)
-
Empirical failure criterion
0'1 == 0"3 + vimcrll (r)0'3 + s(j~(r) La
....lC
<JJ
(j
>-La
....lC U
u..J
-<
....If-.
....l<JJ
<>-
l I
al == major principal effective stress ....l< 0 c<:< 3V)~ <>:<>: 3.
< ..:
0"3 == minor principal effective stress
~~La 0> u.lu~
.t:
c<: u-
au(r) = uniaxial compressive strength of <JJ :to< ~o ~ ~u~~ W
:t....l" ::J f-.o..~ Lac<:"" s: %'"Q
::0
intact rock. and 0", :ClU ~u.l';; \ 01
rn and s are empirical constants.
tU:O
La ~ ~ c.. ~"'?
~....le
U" <JJ~....l ::E~ Oo::~~ fa
<JJ<E <~~
..: < ~~~ c..OCl~ el
..:f-.",
....l"0<> U t; ~
(.f.)
0:;!15 ::0""
U<JJ~
0>-"
C<:(J~ -
....l"""
C""
~5""C
~

."
~
0....l>-11
c<:~c<:t:
VHf) U
p.. (- .s
oU')~
O<-t::~
La f-. ~.~
~ u:l I:: i::
al
fa
zLa~~
~Cl'o; ::J >- Cl ... <::0 U):: I' 01
La" <CBS OC<:La'" u:;: cz:::
Cj ~ ~ ~.
-,~ di
< o...S o~~ U1Up.. <<JJ 0 u.l U .~
zo-: La E uCO" C<:::J'"
C/)
;:J 0 ~ in
O....l~ ti:"~
~ 0 <Z....l ~ dO~
C/)
C<:0<>:~
~ La- La .-
c<: > E E2.9~ Zo La "
Lac<:>-i3 u.lz~ <~Ul~
be
<iii'" _E-<~~
:::\::S c<: f-. La ~ zc'" oz, ~ 3.
UCl~ ....lE-.; <cV)o.~ fi:_ uO-1::
_...l" a
INTACT ROCK SAMPLES
tb
Laboratory size specimens free m 7.00 10.00 15.00 17.00 25.00 pi
: Pi
from discontinuities s 1.00 1.00 1.00 1.00 1.00
* CSIR rating: RMR = 100
t NGl rating: Q = 500
- 3.
VERY GOOD QUALITY ROCK MASS
Tightly interlocking undisturbed rock m 2.40 3.43 5.14 5.82 8.56 -. F;
with.-.unweathered joints at 1 to 3 m. s 0.082 0.082 0.082 0.082 0.082 ,;} te
CSIR lating: RMR = 85 , . sf
NGI rating: Q = 100 in
T
GOOD QUALITY ROCK MASS n,
Fresh to slightly weathered rock, slightly m 0.575 0.821 1.231 1.395 2.052
disturbed with joints at 1 to 3 m. s 0.00293 0.00293 0.00293 0.00293 0.00293
citR raiing: RMR i= 65
. NGlIating: Q = 10 E
o
FAIR QUALITY ROCK MASS ~ b
~
.Several sets ofmoderately weathered m 0.128 0.183 0.275 0.311 0.458 a
joints spaced at 0.3 to 1m. s 0.00009 0.00009 0.00009 0.00009 0.00009
CSIR rating: RMR = 44
NGI rating: Q = 1

POOR QUALITY ROCK MASS

Numerous weathered joints at 30-500 mm, m 0.029 0.041 0.061 0.069 0.102
some gouge. Clean compacted w~te rock s 0.000003 0.000003 0.000003 0.000003 0.000003
CSIR rating: RMR = 23
NGI rating: Q = 0.1

VERY POOR QUALITY ROCK MASS

Numerous h~avily. weathered joints spaced m 0.007 0.010 0.015 0.017 0.025
<50mm with gouge. Waste rock withfines. s 0.0000001 0.0000001 0.0000001 0.0000001 o OOOflll)]
CSIR rating: RMR =3 ,
.'
NGI rating: Q = 0.01
<.~

* CSIR Commonwealth Scientific and Industrial Research Organization (Bieniawski 1.1974).

tNGI Norway Geotechnical Institute.:(Ba:rto:n,1974). . .
 ;(Hoek. (988)
Shear strength 59

strength The foundation will be stable when the ratio tit"

or the factor of safety (FOS), is greater than 1.0,
'ucture a located on a steep slope,
Figure 3,13 also illustrates how the factor of
ateral loads are substantial, shear
safety will diminish if the normal stress is re-
'. e entire foundation can take place
duced by water pressures acting on the shear
the bearing stress is well below the
plane, or the cohesion is lost as a result of heavy
'earing capacity of the rock, The shear
blasting during construction,
ace may, in strongly jointed rock, lie
An indirect method' of determining the co-
~;fracture oriented sub-parallel to the
hesion of intact rock is to measure the ul)i-
";ihe applied load (see Fig, 3.1(e, or
axial compressive strength as well as the tensile
'lil:tured rock follow a paih comprising
,re surfaces and intact rock (see Fig.
,,~ar type failures may also occur where
strength by means of the Brazilian test on discs of
core. This data can be used to generate a Mohr's
circle, the intercept of which with the shear stress
,n~6ed of very weak material underlies
axis gives the cohesion. An application of this
'{the bearing area and a disc of com-
method was in the design of footings located
el!'(punches through into the cavity (see
17,00 on weak limestone beds overlying compressible
~,
1.00 %;
j:~
materials where punching failure of the limestone
was likely (Kaderabek andReynolds, 1981). To
. "i--Coulomb materials account for the reduced strength of the in-place,
,,'
;.'" fractured rock, the design shear strength was
',type failures, the rock can be assumed taken as 20% of the strength determined from the
5,82
0,082 "hr-Coulomb material in which the laboratory results. This indirect method was used
h of the sliding surface is expressed because of the difficulty of performing direct
, e cohesion c and the friction angle <1>, shear tests on intact rock.
rength t developed when an effective
,5S cr' is acting on a sliding surface is:
1.395 3.4.2 Shear strength of fractures
3 0,00293 (3,11)
If structural mapping identifies fractures in a
,(3.11) is expressed as a straight line founda-tion on which shear type failures may
,13 which also shows the relationship take place, it will be necessary to determine the
e available shear strength t and the friction angle and cohesion of the fracture sur-
0.311 r stress acting in the foundation t{, face in order to carry out stability analyses, and
9 0,00009

T
FOS = rJt,
Friction angle ep
0,069 .-/--~-
03 0.000003

. 'C = C + O"jtanq;
0.017 cohesion cIL- --I._-L ...
001 0.0000001 cr,

't~Shear strength of a Mohr-Coulomb material.

 1
60 Rock strength and deform ability
----------
design remedial work if required. Data collected (Patton, 1966). Asperities can be considered ill
in the mapping programme will include informa- their simplest form as a series of saw teeth Of
tion on the roughness of the fracture surface, which the inclination of the face of each tooth is at
and the thickness and characteristics of any in- an angle i. When normal and shear forces arc
filling material because the shear strength para- applied to a block of rock containing a saw-toOth
meters of the fracture are modified by these fracture with no infilling, the shear strength 01
two factors. the fracture is
r = crtan(<j> + i). (3.12)
(a) Friction angle
For a planar, clean fracture in intact rock, the This relationship shows that effective friction
cohesion will be zero and the shear strength angle of a rough surface is equal to the sum of
will be defined solely by the friction angle. The the basic friction angle of the rock and the incli.
following are typical ranges of basic friction nation of the asperities (Fig. 3.14). Methods
angles for a variety of rock types (Barton, 1974; of measuring the inclination angle i of natural
Stimpson, 1975). Generally, fine-grained rock fractures which consider both the direction of
and rock with a high mica content will tend to sliding and the scale of irregularities are described
have a low friction angle, while coarse-grained, in Section 4.2.
strong rock will have a high friction angle. The Another factor to consider in. determining
friction angles listed below should be used as a the friction angle of a rough fracture is that the
guideline only because actual values will vary asperities may be sheared pff as displacement
widely with site conditions. occurs, with a consequent rediicition in the friction
angle. With increasing stress'H,vels, there is a
1. Low-friction rocks - friction angle abont 20 transition from dilation to' shearing, and the
to 27: degree to which the asperities are sheared off will
schists, high mica content depend on both the magnitude of the normal
shale force in relation to the compressive strength
marl of the rock on the fracture surface, and the dis
2. Medium-friction rocks - friction angle about placement distance. A rough fracture that initially
27 to 34: is undisturbed and interlocked, will have a fric
sandstone tion angle of (cr + i); this is known as the peak .
siltstone shear strength. With increasing normal stress and ' ..,!
chalk displacement the asperities will be sheared off. --
gneiss and the friction angle will diminish progressively
slate to a minimum value of t~e'_Qasic, or residu~
3. High-friction rocks - friction angle about 34 friction angle <j> of the rock (Fig. 3; 14).
to 40: Barton (1973) studied the shear strength b&
basalt haviour of artificially produced rough, cle~.
granite . joints and developed the following empiricli
limestorie equation ..
conglomerate
r = cr tan (<j> + JRC 10glOcr;!cr), (3.13)\
. (b) Sulface roughness wh~re JRC is the joint roughness coefficient(0l
All natural rock surfaces arero,ughand irregular Fig, 3.15), crj is the compressive strength of;t!!~
to varying degrees ..Thesesurface irregularities, rock at the fracture surface, and cr is appli~!
which are given the general term asp~rities, pro- normal stress. - -~l
duce interlock betWeenfractiJre surfaces which The term JRCloglOcr;!cr is equivalent to '1/1
can contribute significantly to their shear strength roughness angle i, and is equal to 0 at high st(~
,.-.,-",
.,it:
 Shear strength 61

ties can be consider.

a series of saw teet
the face of each tooth'
nal and shear forces
,ck containing a saw-i
"g, the shear streng:

vs that, effective fri

ce is equal 'to the. su'
of the rock and the,' Dilation
es (Fig. 3.14). Me
nation angle i of nll
ler both the directio
irregularities are desc')

consider in determ'
rough fracture is tha'
ared off as displace
,nt reduciion in the frf
~stress levels, there;.
)0 to shearing, an ~
lerities are sheared 0
magnitude of the m;
the compressive stre
:ture surface, and th:
rough fracture that ini'
edocked, will have aft
this is known as the'
lcreasing normal stres~
:rities will be sheare
will diminish progress
of the basic, or resi
rock (Fig. 3.14),
ied the shear strengt
y produced rough,
1 the following emp'
:10glO a;fa),
t roughness coefticieri
ompressive strength '8
surface, and a. is ap'
o a;fa is equivalent to
I is equal to 0 at high.;
Shearing
"2 , "
of surface roughness and normal stress on the friction angle of a fracture surface.
levels when a;fa = 1, and the asperities are
sheared off. At low stress levels the ratio a;fa
tends to infinity and the roughness component
PLES OF ROUGHNESS PROFILES
of the strength becomes very large. In order
--~I I 50oem-----,1 to ensure that realistic values of the roughness
~:::::~~ ::::l component are used in design, the term (cr"+ i)
ti (a+. J should not exceed about 500 and the useful range
"".. .--1 for the ratio a;fa is between about 3 and 100.
~----I(b)E I (c) Infilling and cohesion
In the preceding section were discussed rough,
",.,----I(e+ I clean fracture surfaces with rock-to-rock contact
and no infilling, in which the shear strength is
i)S~:p:efinition of joint roughness coefficient composed solely of the frict!Qn angle' of the rock
pr,J973). (a) rough undulating- tension
. ;&heeting, rough bedding, JRC = 20;
material. HoWever, if the fracture contains an
!(h'~ulating:'" smooth sheeting, non-pllinar
infilling then the shear strength properties of the
ndtilating bedding, JRC = 10; (e) smooth fracture are often modified, with both the co-
_~t~:planarshearjoints, planar foliation, hesion and friction angle of the surface being
~ing, JRC= 5, ' influenced by the thickness and the strertgthof the
 62 Rock strength and deform ability

infilling (Kutter and Rautenberg, '1979). For

example, for a clay-filled 'fault zone in granite, it
would be assumed that the shear strength of the
fracture would be that of the clay and not of the
granite. In the case of a healed, calcite-filled
fracture, a high cohesion would only be used in
design if it was certain that the fracture would still
be healed after any disturbance caused by blasting
in preparing the foundation. The presence of
infillings in a foundation can have a very signi-
ficant effect on stability and it is most important
that infillings be identified in the investigation

(kPa) (p.s. t.)

400 13
8000
10

300
6000 IClay.,'
infillings .1
c
.;;;0
~
Ii- ..
14,20
:--..,
,~
'"0 200- 9 Fault gouge, _
0 4000 5 shear zones,
L10w strength rock

24 18
100 2000
15 22

.-. .
25 24 19
12

10 20 30 40
Friction angle (degrees)

Figure 3.16 Peak shear strength of filled discontinuities (Hoek and Bray, 1981). Note that pairs of numbers
. indicate iangesof strength.
1. Be-ntonitic shale. ,114. Basa(t; clayey, basaltic breccia.
2~Bentonite seams in chalk. 15. Clay shale; triaxial tests.
3. Bentonite; thin layers. 16. Dolomite, altered shale bed.
4. Bentonite triaxial tests. 17. Diadte/granodiorite; day gouge .
5. Clay, over-consolidated. 18. Granite; clay-filled faults.
6. Limestone, 10..,20mm clay infillings. 19. Granite; sandy-loam fault filling.
7. Lignite and underlying clay contact. 20. Granite; shear zone, rock and gouge.
~. Coal.me.3sures;playmylonite seaIlls. 21. Lignite/marl contact.
"_ 9. Limestone; <1 mill clay-infi.Hings. 22. Limcstone/Illarlnignites; lignite layers.
. lO, r-,.1ontmorillonite Clay: . '. . ' . 23. Limestone; marlaceous joints;.
i 1. Montmorillonite; 80 mm clay seain in chalk. 24. Quartz/kaolin/pyrolusite; remolded triaxial.
12. Schists/quartzites; lOO~ 150mm thick infilling. 25. Slates; finely laminated and altered.
13. Schists/qnartzites;stratificatiori;.thick day. 26. Limestone; lO-20 mm clay infillings.

ppropriate strength p' bays - montmorillonite and bentonitic clays,
n. If the infilling thic' 'J, d'c1ays associated with coal measures have
% of the amplitude of' "ction angles ranging from about 8 to 20 and
m be little or no rock; hesions ranging from 0 to about 200 kPa
lear strength propeni' '000 p.s.f.). Some cohesions were measured
properties of the infilli high as 380kPa (8000 p.s.f.).
Ie results of direct sli' aults, shears and breccias - the material
termine the peak fric' rmed in fault zones and shears in rocks such
lied discontinuities ( ,; granite, diorite, basalt, and limestone will
Lmination of these' i' 'bntain clay as well as granular fragments.
s can be approxima '; ese materials have friction angles ranging
iiom about 25 to 45, and cohesions ranging
:from 0 to about 100kPa (2000 p.s.f.). The
;&>arser grained rocks such as granites tend to
have higher friction angles than finer-grained
limestones.
v
fu~ of the tests also determined residual shear
~Ilgth values. It was found that the residual'
c!.ion angle was only about 2 to 4 less than the
lFfriction angle, while the residual cohesion
51 essentially zero.
ge, _ 'n additional factor to consider regarding
es,
'lir strength is the shear strength/displacement
jth rock
'~viour of the fracture infilling. This behaviour
"be divided into three general categories, as
'ws (Nicholson, 1983):
train softening- fractures which show signi-
ant loss of strength with displacement, or
" e already close to their residual strength.
xamples are brittle infillings such as hard
alcite, faults containing clay mylonites, shear
ones, and bedding plane slips. Also, over-
l that pairs of numbers "onsoldated fnfillings often show significant
train softening, with the decrease in strength
,eing more significant in silts and clays than in
c breccia. , 'nds and gravels.
;ts.
Ie bed. ':.For these types of infillings, residual shear
clay gouge. trengths should be used in design.
olts. (astic-plastic - fractures which show no
'au!t filling. ,ecrease in shear strength with displacement
'ock and gouge. 'lice the maximum shear strength has been
,ched.
:es; lignite layers. train hardening - fractures that show an
JSjOiIlts;
site; remolded triaxial. 'crease in shear strength with displacement
,d and altered. ;p'to a poorly defined break in the curve, after
" clay infilling', '!Iich the stress-deformation slope flattens
Shear strength 63
somewhat, although the shear resistence con-
tinues to increase with displacement.
Both elastic-plastic and strain-hardening in-
fillings will usually be undisturbed, such as near-
surface weathering products, or normally con-
solidated clay. These materials generally are
not susceptible to progressive failure, and peak
strength values may be used in design.
3.4.3 Shear strength testing
The friction angle of a fracture surface can be
determined in the laboratory using the direct
shear box shown in Fig. 3.17. This is portable
equipment that can be used in the field if required,
and is ideally suited to testing samples with di-
mensions up to about 75 mm (3 in), such as NQ
and HQ drill core. The most reliable values are
obtained if a sample with a smooth, planar sur-
face is used because it is found that with an
irregular surface, the test results can be difficult to
interpret.
The test procedure consists first of using plaster
of paris or sulphur to set the two halves of the
,.
sample in a pair of steel boxes. Particular care is
taken to ensure that the two pieces of core are in ,
,
.
'
their original, matched position and the fracture
surface is parallel to the direction of the shear
force. A normal load is then applied using canti-
levers, and the shear load is gradually increased
until a sliding failure occurs. Dial gauges are
used to measure both the shear and normal
displacements from which a pair of plots of
shear displacement against shear stress, and
shear displacement against normal displace-
ment is produced (Fig. 3.18(a)). Examination
of the shear stress/shear displacement plot will
usually show an approximate peak shear stress. '
The normal stress at this shear stress value is
calculated from the applied normal load and
the contact area, with a correction made for the
decrease In contact area that takes place with
shear displacement. The sample is then reset,
the normal load increased and another shear
test conducted.' Each test will produce a pair
of shear stress/normal stress points which are
 64 Rock strength and deformability

'r
b

Vertical a
/1--,.-'". displacement
gauge "

Level arm

Jack
Pump
"
Top box
l
,

/
'>
",

Bottom box

.-_L.~\-~~;-,s.'-"-L-<.~u.J.-i.===Ba",,11 bearing plate

Hanging
weight

Figure 3.17 Equipment for performing direct shear tests on rock fractures with diameters up to about 7-5 mm
in diameter. True vertical displacement = gauge reading X (alb).

plotted to determine the friction angle of the and with higher cohesion, the plaster of paris
surface (Fig. 3.18(b)). holding the sample is likely.' to fail before the
The plots of shear and normal displacement sample shears. '
(os and On respectively) are used to estimate
the surface roughness angle i of the sample as .
follows:
3.4.4 Shear strength of fractured rock
i = tan- 1 (On los)' (3.14)
Structures founded on fractured rock containing
This value of i is then subtracted from the friction no distinct fracture surface on which sliding can
angle calculated from the plot of shear and normal take place, may still fail in shear if the shear
stresses at failure to obtain the basic friction angle strength of the rock mass is exceeded. The failure
of the rock. In some cases, the shear test can be surface will be composed of both natufal fractures
conducted on a sawn sample so that there is no and'Shear failure through intact rock. Because of
roughness component of the friction angle. the difficulty and expense of sampling and testing
Note that the first test on any sample will often large samples of fractured rock, two empirical
give a higher .friction angle than the subsequent methods of determining the fricti6n angle and
tests because the interlock between the surface cohesion of rock masses are described in this
asperities will be sheared off progressively with section. In both methods iHs necessary to cat-
each. test at increasingnonnalloads. The degree egorize the rock mass in terms of the intact rock
to which the asperities' 'are 'sheared' off will, of strength and the characteristics of the fractures.
course, dependon the ratio ,,/cr.Itis rarely poss- This requires considerable experience and it is
ible to measure the cohesion of a surface with:the advisable to compare the strength values obtained
direct shear test because if tile cohesion is very , by both methods to ensure that consistant values
low, it is difficult to obtain an undisturbed sample, are used in design.
 Shear strength 65

Normal stress cr == 1,32 MPa

0.0015

Normal
0.001 Displacement
00
(mm)

0.0005

J plate

01L....--.,-':-::-----:-'.,.._--,-L.,,--~.,.._--......,.----J 0
0.05 0.1 0.15 0.2 0.25 0.3
(a) Shear displacement Os (mm)

up to about 75 mm

(<1>+;) =28S
, the plaster of paris
~ly to fail before th

ractured rock
:tured rock containin
~ on which sliding ca
in shear if the shea
0.5 1.0 1.5 2,0
; exceeded; The failur
f both natural fractures (bl Normal stress 0" (MPa)
.ntact rock. Because 0
)f sampling and testin #;3.18Typical results ofa direct shear test to determine the friction angle of a fracture surface: <aJ plots of
'pisplacement against shear stress and normal displacement; and (b) plot of normal stress against peak shear
d rock, two empiric~l
the friction angle an',
are described in thi
it is necessary to c~E _ - .

erms of the intact ro( ,tit analysis of failures information on the position of the failure surface,
ristics of the fractures ~!ilythe most reliable method of determining' the ground water conditions at the time of failure,
e experience and itl' i'<~ngth of a rock niass is to carry alii aback' and the foundation load if applicable. There are,
trength values obtaine' sisaf a failed slope or foundation. This of course, two unknowns in this analysis: the
e that consistant valUe" " scarrying out a stability analysis with the friCtion angle and the cohesion. By carrying out a
'of safety set at 1.0 and using available number of stability analyses with a range of co-
 66 Rock strength and deformability

hesion values it is possible to calculate a corre-
sponding value for the friction angle (at FOS '" 1)
and prepare a plot of cohesion against friction
angie. From this plot a pair of c/ values can be
selected for design purposes. Hoek and Bray
(1981) describe the back analysis of three differ-
ent slope failures from which rock mass strengths
were determined (Section 1.6.3).
If it is not feasible to carry out a back analysis in
similar geological conditions to that in which the
foundation is to be constructed, it is possible to
use published results as shown in Table 3.6 and
Fig. 3.19. Figure 3.19 shows the results of back
analyses of slope failures in a variety of geological
conditions, and the shear strength parameters
(c1<j> values) calculated at failure. The strengths
are described by dividing the rock mass into
categories depending on the rock strength and
fracture characteristics.
By adding additional points to Fig. 3.19 for
local geological conditions, it is possible to draw
up a readily applicable rock mass strength design
chart for shear type failures.
(b) Curved shear strength envelopes
(Hoek-Brown criteria)
In conditions where the characteristics of a frac-
tured rock mass can be defined in terms of an
RMR rating (Table 3.4), the shear strength can
be defined by a curved envelope given by the
following equation (Hoek, 1983):
~ = (cot<j>i - cos</JilmO'u<,j/8, (3.15)

Table 3.6 Source of shear strength data plotted in Figure 3.19

Point Material Location Slop~ height Reference

number m (ft)

1 Disturbed slates and Knob Lake, Canada Coates, Gyenge and

quartzites Stubbins (1965)
2 Soil Whitman and Bailey (1967)
3 Jointed porphyry Rio Tinto, Spain 50-110 Hoek .
(150-360)
.4 Ore body hanging Grangesberg, Sweden 60-240 Hoek
wall in granitic rocks (200-800)
5 Rock slopes with 300 (1000) Ross-Brown (1973)
slope angles of 50 to 60"
6 Bedding planes in Somerset, Engiand 60 (200) Roberts and Hoek (1972)
limestone
7 London clay England

8 Gravelly alluvium Pima, Arizona

9 Faulted rhyolite Ruth, Nevada
10 Sedimentary series Pittsburgh, Pennsylvania
11 KoaHni~ed granite Cornwall, England 75 (250)
12 Clay shale Fort Peck Dam, Montana
13 Clay shale Gardiner Dam, Canada
14 Chalk Chalk cliffs, England IS (50)
15 Bentonite/clay Oahe Dam, South Dakota
16 Clay Garrison Dam, North Dakota
17 Weathered granites Hong Kong

18 Weathered volcanics

19 Sandstone, sil~~~_o~e
20 Argillite
 Shear strength 67

the rock mass into Disturbed material with Undisturbed soil and
, rock strength and rounded weakly cemented jointed rock masses
particles and appreciable with relatively low
clay mineral ~ontent. clay mineral content.
nts to Fig. 3.19 for
.t is possible to draw
mass strength design Rock masses or fill
containing hard clean
angular interlocking
Ivelopes particles and blocks..

Ifacteristics of a frac-','
fined in terms of an.'
Ie shear strength cail. 5 10 15 20 25 30 35 40 45
lvelope given by the;
1983):
500

Undisturbed hard
rock masses with
no major structural
patterns dipping
Reference towards slope.
400
Undisturbed hard
ates, Gyenge and rock masses with
Ibbins (1965) : no through-going.
litman and Bailey (1967) structures. dipping
towards slope.
,ek 300
Undisturbed jointed
,ek soft rock masses
with few structures
,ss-Brown (1973) dipping towards
'slope
>berts and Hoek (1972) 200
Soft rock masses
:empton and Hutchinsori' or jointed hard
969) rock disturbed by
arnel blasting or excess
.loading.
arnel
amel @ 100
Weathered soft rock
'y (1972) @ or discontinuities
liddlebrooks (1942)
leming et al. (1970) in hard rock.

:utchinson (1970) Clay

soil
leming et al. sand
leming et al. 5 10 15 20 25 30 35 40 45 50
loek and Richards
Friction angle <p (degrees)
loek and Richards
,19 Relationship between friction angles and cohesive strength mobilized at failure for the slopes
Vyllie (1970) listed in Table 3.6 (Hoek and Bray. 1981).
Vyllie
 C 68 Rock strength and deformabi]ity

Mohr envelope cohesion progressively increases with the normal

2.0 stress as a result of the greater confinement of
(cot$;' - cos<pO m~u(r)
t =
the rock mass. ,,
"
m
m 1.5 The procedure for using the curved strength
~ envelopes in stability analysis is to determine the
~ normal stress levels acting on a potential failure
w 1.0
.c
if)
surface in the foundation and calculate the in-
stantaneous cohesion and friction angles at these
t stresses. The stability analysis is carried out in
the normal manner, except that a range of c, )
and <l>i are used corresponding to the variation
-0.5 ~ 10 0.5 03 1.0 0 1.5 2.0 2.5 (Jt 3.' in normal stress distribution along the sliding
V'm
Effective normal stress cr' surface (see Chapter 6).
Figure 3.20 Non-linear Mohr envelope for shear
strength of fractured rock mass (Hoek, 1983). 3.5 Tensile strength
Tensile stresses are very rarely permitted in the
design of structures in rock because the tensile
where t is the shear stress at failure, and <1>1 is the
strength of a fractured rock mass is effectively
instantaneous friction angle at given values of t
zero. Some loading conditions that will result in
and a'. The value of <l>i is the inclination of the
tangent to the Mohr failure envelope at the point the development of tensile stresses are tie-down
(a, t) as shown in Fig. 3.20 and is given by:
anchors for structures subject to uplift loads such ,J.
as towers and submerged tanks, and overturning

<1>,
1
= atn [ (4hcos2e 1]
_ 1)2 ,
where
16[ma' + SCiu (,)]
h =1+ 2 (3.17)
3m aut,)
1
e = -3 {90 + atn[. (h3-1 1)2I]}
The dimensionless constants m and s depend
on the rock type and the degrees of fracturing
. of the rock mass and are defined in Table 3.5 in
Section 3.3. The instantaneous cohesion c, is the
intercept of the .line defining the friction angle
on the shear stress axis and is given by:
The features of the curved shear strength en-
velopeare that at low normal stress .levels, the
blocks of rock are interlocked and the.friction
angle is high, whereasat/ligher normal stress
levels, shearing ofthe[op!<isinitiated with the
result that the friction.~ngI".~il)1inishes. The
(3.16)
moments as a result of high wind/seismic/water
loading on tall structures.
Tensile testing of rock is not commonly carried.
out. Direct testingin pure tension gives the most
reliable results, and can be performed by glueing
steel platens to the ends of a core sample. The.
platens are attached to the testing machine with
(3.18) chains or cables so that there are no bending
moments developed as the load is applied. Indirect
testing methods include bending tests on lengths
of core, and the Brazilian test which involves
applying a compressive stress to a disc of rock.
The indirect test methods are relatively simple to
perform but the test results can be difficult to
interpret. In general, it is recommended that the
test method simulate the loading condition in the
actual foundation as closely as possible.
(3.19)
Lama arid Vutukuri (1978a and b) have carried i
out a survey of tensile strength tests carried out
on laboratory samples of intact rock. Comparison
of these results with compressive strengths shows
that the raho between the tensile and compres-
sive strengths (at/au) lies within a narrow range.
The majority of these rocks have tensile strengths

,ases with the normal.'
eater confinement 0':
; the curved strengt
lis is to determine th'
on a potential failur
and calculate the iti
riction angles at thes'.
ysis is carried out i'
)t that a range of ,"
Lding to the variatio':
,on along the slidin'
arely permitted in
;k because the tensl\
ck mass is effectivet
ions that will result'
, stresses are tie-doW
ect to uplift loads suc
:anks, and overturnin'
gh wind/seismic/wat~
not commonly carrie
tension gives the mos
, performed by glueil\
of a core sample. TJr
e testing machine wi~
there are no bendil\
load is applied. Indire.
ending tests on lengt;
III test which involv'
:ress to a disc of roc'
are relatively simple
llts can be difficult t can be difficult to detect (Fig. 3.21(a)). such as pyrrotite which release sulphuric acid
recommended that tq
oading condition in th
ly as possible. .,
78a and b) have carr[
rength tests carried q
ntact rock. Comparis';
lfessive strengths sM'
Ie tensile and compr,e.
within a narrow rang
ks have tensile streng~
Time-dependent properties 69
'lAre about 4% to 7% of the compressive (a) Disintegration weathering
'i~, while some sedimentary rocks show This is the result of cyclical changes in environ-
i~jios of 14% to 16%, mental conditions such as wetting and drying, and
'test carried out on schist showed ratios of freezing and thawing. In addition, weathering will
,f'6% and 1% in directions perpendicular be accelerated where the foundation is exposed to
'l1llel respectively to the foliation. wind or flowing water resulting in fragments of
~on-linear Mohr strength envelope devel- weathered rock being removed to expose a new
:':'Hoek (1983) also approximates the ten- surface and start another weathering cycle. Rock
"jigth of a fractured rock mass as follows: types which are susceptible to disintegration
:;,:,~::; 2! weathering are sedimentary rocks such as weak
1!,f0.5cru (,j [m - (m + 4,,)2]. (3.20)
f,,:...
sandstones and shales, particularly if they contain
'on of this equatiOn shows that for a' swelling clays, and metamorphic rocks with a high
'iuity rock mass - slightly weathered micaceous content.
~cture spacing 1 to 0.3m (m = 0.575,
,...
293) - and a compressive strength of (b) Decomposition weathering
,ck of 80 MPa, the tensile strength is This refers to the changes in rock produced by
, ately OAMPa (cr'(mjlcru = 0.5%). chemical agents such as oxidation, hydration,
:~-1c: carbonation and the chemical effects of vegeta-
tion. Oxidation is the process whereby oxygen is
",e-dependent properties
added to the minerals composing the rock as seen
t,rgn of a foundation must consider its long- as yellow discoloration in rocks containing iron.
e-rformance because unfortunately, rock An example of hydration, which is the chemical
,s change with time (Deere and Patton, addition of water to minerals, is the decomposi-
ese property changes include weather- tion of the feldspar in granite to .form clay ofthe
ting in loss of bearing capacity, swell- kaolinite type. Carbonation is the solution ofthe
ting in uplift of the structure, and creep rock material by water containing a considerable
"in long-term settlement (Fig. 3.21). The amount of carbon dioxide, which is the case in
'ifis a discussion on the geological and most surface waters. Rock types which have a low
ental conditions that can cause foun- solubility are dolomite, calcite and strong lime-
nditions to change with time. stone, while high-solubility rocks are halite,
gypsum and sylvite.
Vegetation also contributes to weathering
because organic acids formed when vegetation
ring can either be a surface phenomenon decays tend to increase the solution power of
case it may be visible and therefore con- natural water. Another type of decomposition
,lor it may occur beneath the exposed sur- weathering is that of rocks containing sulphides
rcase, the depth and extent of weather- that attacks concrete and steel, and has harmful
','be highly variable and in conditions where environmental effects.
',k is susceptible to weathering, thorough
,Jin', programmes are required to detect Where weathering occurs at depth in the foun-
esiofweakness such as solution cavities, dation,it will preferentially be initiated along
ffannels, compressible 'seams or low- fractures which are the flow paths for ground
"ciiinations. The processes of ,,\,~ather water seepage. Where the rock issoluble, ground
;'givided into those which cause disintegra- water seepage may develop cavities in the foun'
)iqthose which cause decomposition as dation, while in other cases there may be reduc.
<I below (Krynine and Judd, 1957). tion in shear strength as low-strength materials
( I 70 Rock strength and deform ability

Time dependent
behaviour of rock

I
I I

..
':"'~'l'
,
..
,
..'...
.
r~ :"'_".Jr~"""-"",,-
.

III
Rupture
II
Strain _'--;..:;:......::.-T~;"?'
"2

~~_~...,. "L~m.
(a) 1 I
.. .

-l
..
, ,

.-..-..... ","... .""..-:

.
lime

" ..... (c)

(b)

Figure 3.21 Time-dependent effects on rock foundations. (a) Weatheriug: surface disiutegration and solution. (b)
Uplift due to swelling of clay seams. (c) Settlement due to rock creep.

form on the fracture surfaces. Particular attention below the frost level. Shotcrete is discussed in'
should be paid to weathering where construction, Section lOA on construction procedures, while
such as filling of.a reservoir, will change the grouting is discussed in Section 7.5 related to th.e.
ground water conditions resulting in saturation design of dam foundations.
and increased seepage that may accelerate weath-
ering and rock degradati<:m.', .' .
3.6.2 Swelling
. Common methods of controlling weathering of
foundation rock are.toprQfecLtheJol.lndation Thecauses ofswelling in rock canbe divided il!t~;. '
with shotcrete on, exposed sjlrfas,/lrguting to ,two broad categories related either to change,1:
minimize seepage and' buryingithe:foundation in stress conditions, or to chemical reactiC\~;
 Time-dependent properties 71

\;1976). The effect of swell on structures
'coverall or differential heave (Peterson
irs, 1963) (Fig. 3.21(b, as well as the
". ent of external pressures in rigid, buried
s. For example, measurement of swelling
. on Jurassic claystone have recorded
S high as 1400 kPa (200 p.s.i.) after a
f one day (Madsen, 1979) and heaves of
l.n 100 mm (4 in) have been measured
'987). The usual method of foundation
ion on swelling rock is the use of piles
'~hd to below the depth of potential swell-
I
I
, ,iilescribed in Section 8.5, the piles must
montmorillonite, saponite and vermicullite, while
non-swelling clays are kaolinite, illite and chlorite
(Mitchell, 1976). The potential for swelling can be
related approximately to the Atterburg limits and
the clay fraction of the sample. When the plas-
ticity index and the clay content are both greater
than about 20% to 30%, the potential for swelling
may be high (Holtz and Gibbs, 1956; van der
Merwe, 1964). Identification of swelling clays can
also be carried out using X-ray diffraction analysis
which will show the proportions of the different
types of clay present in a sample.
Rocks may also swell as a result of stress relief

"'l' ,
able of withstanding any tensile forces which takes the form of viscoelastic deformation
. .... . ...\ ~d by swelling of the ground through of the rock on removal of the confining stress. For
.
,
, ,
,
"!l'~y pass. Also of importance in design is example, in eastern Canada where the ratio of the
, , a:chment of all ground-supported appur- horizontal to vertical stress field is as high as 4 .~
~~such as services, tunnels and driveways (Sbar and Sykes, 1973), excavation of a few,.
~,
"" '
. .... ".'
r---~
" "'?undergo relative movement with respect metres of overburden can induce the floor of
. e supported structure. excavations to buckle or pop-up (Lee and Lo,
1976). The heave can take the form of some
relief instantaneous movement, followed by creep (see
If~
etwo common causes of stress relief in a Section 3.6.3). ,
ndation. First, changes in ground water
s, as may be caused by filling a reservoir (b) Swelling related to chemical reactions ,"
.-
II.

Time
tltegration and solution,.;
'0"J
:hotcrete is discussed'
Iction procedures, Vi'
,ection 7.5 related t,l'
ns.
rock can be divided}
,lated either to cha~
r to chemical react!.
e of dams, or fluctuations in river levels Swelling can result from chemical reactions such 1
. e of bridges, can result in internal non- as hydration, oxidation or carbonation which ," ;..
'um swell. Second, reduction in external create by-products that occupy a larger volume
a result of making a deep excavation, for than the original materials. For example, the
,may cause viscoelastic heave. addition .of water to some types of sulphides can
lng due to reduction of internal forces in cause very larger deformations and pressures
<:>ck can occur in rock types such as mud- (Dougherty and Barsotti, 1972). Hydration
shales and weakly cemented sandstones. causes the conversion of anhydrite (CaSO.) to
rocks may undergo large volumetric in- gypsum (CaSO. 2HzO) which occurs with an
)upon the addition of water in a process expansion in volume which can take place vio-
is unrelated to chemical reaction. Such lently (Brune, 1967). Einfalt, Fecker and Ootz
.is also time dependent. The primary (1979) discuss tests to measure swelling pressure
'., for swelling are cation hydration of the and the use of sodium chloride solutions as drill-
',structure, the attraction of water to the ing fluids to obtain undisturbed samples of these
of particles, and the interaction of particle sensitive materials. Another chemical reaction
._~!d~. All these phenomena are influenced resulting in swelling is the decomposition of
,- "resence Or absence of water. Another ultrabasic, mainly olivine~bearing rock,. into
uencing swell is the cementation of the serpentine (Widerhofer, 1972).
riditsability to resist the tendency for the
!()separate upon contact with water.
3.6.3 Creep
~"l)Iay also occur as the result of swelling
"contained in faults or weathered seams. Creep is the term given to the slow and continu-
(2f~Iays thafexhibit swelling behaviour are ous distortion of rock in response to shearing
 72 Rock strength and deformabiJity
fi
:~:~~~j'O'W~:::~:,::.w:1 -
stresses. Under these conditions rock behaves
partly as a viscous liquid in which the relationship
between the shear stress , and the shear strain
rate 8 is
, = 1]8
where 1] is the dynamic viscosity which has
(3.21)
~~~r:salt ~10 i~1500) -iir
Compaction shale 0 to 20 (0 to 3000) 'ii"n
the dimensions FL-T2. Most rocks exhibit both Limestone 20. to 100 (3000 to 15000). !j'lt.i
instantaneous (elastic) and delayed deformation Sandstone > 100 (> 15 OOO)j~j.
when loaded and are known therefore as visco-
elastic.
Granite 100 ( 15000) 'Ill'
The general form of a complete strain curve for
JII~
found~ !
rock has up to four components (Fig. 3.21(c)).
For stress level crl, there is, first, the instan- Of great importance in the design of
taneous strain due to the elastic deformation tions is the stress level that will initiate creep.ft;
of the rock, and this is followed by three time- is normal practice to design footings such that th~. . .
dependent strain components. During primary bearing pressure is well below that which woul~'
creep (I) the strain rate diminishes with time, develop the onset of creep. As a guideline oie
which is followed by secondary creep (II) during allowable pressures, Table 3.7 shows transitio~
which the strain rate is constant. If the applied pressures from brittle to ductile behaviour at ,I.
stress is near the peak strength, the rock can room temperature. Rock types that are suscep- '\.
exhibit tertiary creep (III) in which the strain tible to creep under low pressures are weak day. ~
rate increases with time and eventually rupture shales and tar sands, while salt will creep at all f
occurs. At lower stress levels (cr2 in Fig. 3.21(c)), stress levels.
deformation will comprise an elastic component, A series of creep tests were conducted by' ,
followed by short period of primary creep after Hardy el al. (1970) on limestone with a uniaxial ~
which the strain is constant. compressive strength (cru ) of 62 to 76 MPa. These
There are two mechanisms to explain creep in tests showed that the no creep occurred at stress
rock, namely mass flow and cracking. Rock types levels less than about 40% of cr u , and that sec-
such as rock salt, compaction shales and tar sands ondary creep was not initiated at stress levels
will creep at low deviator stresses even with below about 60% of cru '
unfissured, intact samples. In the case of salt, The creep behaviour of rock can be simulated
creep involves the movement of dislocations by models comprised of springs and dashpots,
and intercrystalline gliding, while creep in un- with the spring representing elastic strain and
c~mented dayfocks involves migration of water the dashpot representing viscous strain. The best
and movement 'of clay platelets (consolidation). simulation of rock creep is provided by a com-
Bituminous rocks such as tar sand are inherently bination of a spring and a dashpot in series and
viscous, especially at elevated temperatures. another spring and dashpot in parallel known as a
Strong rC)cks such granite and limestone will Burger substance (Fig. 3.22). The axial strain'
exhibit creep atdeviatoric stresses sufficient with time, 01(1), in a Burger substance subjected
to cause new crack growth. An increment .of to a constant axial stresscrl is
applied stress willirt<lucea change in the net-
w~r~ of internaL cmcks with the lengthening of
eXlsl1ng cracks and the initiation of neW ones.
Such a process is non-linear because.. the rock is
changed with each new increment of applied load
(Goodman, 1980), .. . (3.22)
 References 73

nsition for rocks cr,

0",

(0)
10 1500)
to 20 (0 to 3000)
lto 100 (3000 to 15 oooi'
100 (> 15000) }
> 100 ( 15000)

~.

the design of found'

It will initiate creep.,
n footings such that ,
elow that which wou
ep. As a guideline :
e 3.7 shows transitj:
, ductile behaviour}
types that are susce"
>ressures are weak cl,
Ie salt will creep at
ts were conducted
lestone with a unia .
of 62 to 76 MPa. The
:reep occurred at str'
Yo of au, and that (
,itiated at stress lev,
, rock can be simulat'
'springs and dashpQ
,ting elastic strain an
viscous strain. The b:
is provided by a co.
a dashpot in series a:
)t in parallel known a
3.22). The axial ~tr~
ger substance subjeCt:
0"1 is
G,
..
E,
T '-------:::T:-im-e-------i~
(b)
(a)
Simulation of rock creep behaviour (Goodman, 1980). (a) Spring and dashpot model (Burger
simulating creep behaviour for rock loaded in uniaxial compression. (b) Typical creep curve for Burger
elastic strain).
E
=C--::-7 is the bulk modulus (as-
.
o =
(2, 1)
a, 9K + 3G .
(3'.24)
3(1 - 2v) z
'be independent of time), 111 determines
The constants G, and'll are determined from
of delayed viscosity, 'lz determines the equation (3.25), where q is the positive distance
Jscous flow, G, determines the amount between the creep curve and the line asymptotic
d elasticity, and G2 is the elastic shear to the secondary creep curve at any time t.
IOglO(3~J - 2,~~,t
s for the viscoelastic constants can be
10glO q = (3.25)
Cd'by conducting creep tests, either in the
':ry,or in situ by means of radial jacking
A semilog plot of 10glO q versuS t has intercept
'd,plate jacking tests. The general pro-
, , G1
"sto measure both the elastic strain, and (a,/3GIl and slope --23
, . 'll
,n with time from which the strain rate and
[cepts o and B (Fig. 3.22) are deter-
, 'he viscoelastic constants are calculated
'~se measured results using equations
3.7 References
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:,c(
'0', -
2 1 1 )
+ --+-- (3.23) Meek., Sydney, pp, 1--10. " ,
Barton, N. R, (1973) Review of a new shear strength
.. ', 9K 3Gz 3GI
 74 Rock strength and deform ability
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""
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Patton, F. D. (1966) Multiple modes of shear failure
in rock. Proc. 1st Int. Congo on Rock Mechanics,
Lisbon, Vol. 1, pp. 509-13.,
structures on clay shales. Can. Geotech. J., 1(1),
5-15.
Pinto, J. L. (1970) Deformability of schistose rock.
Proc. 2nd Congo Int. Rock Meeh., Belgrade, Vol. 1,
pp.491-6.
Pratt, H. R. (1972) The effect of specimen size on the
mechanical strength of unjointed diorite. Int. J.
Rock Meell. & Min. Sci., 9, 513-29.
Raphael, J. M. and Goodman, R. E. (1979) Strength
and deformability of highly fractured rock. ASCE,
I05(GT11), 1285-300.
 76 Rock strength and deformability
Reik, G. and Zacas, M. (1978) Strength and deform-
ation characteristics of jointed media in true triaxial
compression. Int. J. Rock Mech. Min. Sci. and
Geomech. Abstr., 15, 295-303.
Roberts, D. and Hoek, E. (1972) A stndy of the
stability of a disused limestone quarry face in the
Mendip Hills, England. 1st Int. Conf on Stability in
Open Pit Mining, Vancouver, A1ME, New York,
pp.239-56.
Ross-Brown, D. R. (1973) Slope design in open cast
mines. Ph. D. Thesis, London University.
Ruiz, M: O. (1966) Some technological characteristics
of 26 Brazilian rock types. Proc. 1st Congo Int. Soc.
Rock Mech., Libon, Vol. 1, pp. 115-19.
Saint Simon, P. G. R., Solymar, Z. V. and Thompson,
W. J. (1979) Dam site investigations in soft rocks of
Peace River Valley, Alberta. 4th Int. Conf on Rock
Mechanics, Montreux, pp. 553-60.
Sbar, M. L. and Sykes, L. R. (1973) Contemporary
compressive stress and seismicity in North America,
an example of intra-plate tectonics. Geological
Survey of America, 84(6), 1861-82..
Schneider, B. (1967), Moyens Nouveaux de Recon-
naissance des Massifs Rocheux. Supplement to
Annales de L'Institut Technique de Batiment et des
Travaux Publics, 20(235-6), 1055-93.
Sellers, J. B. (1970) The measurement of rock stress
changes using hydraulic borehole gauges. Int. J.
Rock Mech. Min. Sci., 7, 423-35.
Serafim, J. L. and Pereira, J. P. (1983) Considerations
of the geomechanics classification of Bieniawski.
Proc. IntI. Symp, Eng. Geol. and Underground
Construction., Lisbon, pp. 1133-44.
Skempton, A. W. and Hutchinson, 1. N. (1969) Stability
of natural slopes and embankment foundations.
State of the art report. Proc. 7th Int. Conf on Soil
Mechanics, Mexico, Vol. 1, pp. 291-340.
Stanov, V., Stepanov, V. and Batugin, S. (1967)
Assessing the effect of the anisotropy of rocks On
the accuracy of stress determinations by the relief
method. SOY. Min. Sci., 3, 312-15.
Stimpson, B. (1975) Personal communication. ,,
Underwood, L. B. (1961) Chalk foundations at four ?
major dams in the Missouri River basin. Trans. 8th
Congo on Large Dams, 1,23-47.
van der Merwe, D. H. (1964) The prediction of heave
from plasticity index and percentage clay fraction of
soils. The Civil Engineer in South Africa, 103-7.
van der VIis, A. C. (1970) Rock classification by the
simple har<jness test. Proc. 2nd Congo Int. Soc.
Rock Mech., Belgrade, Vol, 2, pp. 23-30.
Wuerker, R.G. (1956) Annotated tables of strength of
rock. Trans. AIME, Pet. Paper N-663-G.
Whitman, R. V. and Bailey, W. A. (1967) Use of
computers in slope stability analysis. ASCE ];
ofSoil Mech. and Foundation Division, 93, 475-98.
Widerhofer, R. (1972) Method of recent Japanese
tunnel construction through ground of expansive
character. Int. Sym. for Underground Construction,
Lucero, pp. 146-57.
Wyllie, D. C. (1977) Project files.
Ceo!. and Undergrou'"
, 1133-44" 4
.son, J. N. (1969) Stabill
nbankment foundatio;:;
DC. 7th Int. Conf. on Sb
I, pp. 291-340. ,~
Investigation and
and Batugin, S. (19~
e anisotropy of rocks .;:- In SItu testing
erminations by the re".
f
,,312-15.
I communication. methods
halk foundations at ~
ri River basin. Trans.:~
23-47."
) The prediction of he"
Jercentage clay fractiOij'
'n South Africa, 103-7] ,..
:,~.

~ock classification bYJ

oc. 2nd Congo Int.
01. 2, pp. 23-30. '
tated tables of strength'
Paper N-663-G.
y, W. A. (1967) Use;
,ility analysis. AscIi,:
'ion Division, 93, 475-9
:hod of recent Japan
Jgh ground of expansi
nderground Construc~~
files.
,n programmes for foundations follow
. rocedure for geotechnical projects
reconnaissance, "Site selection,pre-
:liIld' ultimately detailed investigations.
!~ive of this work is to refine progres-
~iriformation required for final design. A
'IHrig feature of investigations for rock
,~ris is that it is particularly important to
ticular features of investigation programm,es for
major structures founded on rock because of the
difficulty in sampling and testing large samples
representative of the rock mass. Samples that are
representative of both the intact rock and the
fractures may be as large as 1 m in diameter.
Samples this large are very difficiilt to reCover
undisturbed, and the required testing equipment
would have to exert extremely high forces to even
deform the rock mass. Geological studies are also "

Hhedetails of the structural geology. For
e\ta single feature such as theorIentation
J~y-filled fracture can make the difference
'll'istability and instability. This require-
"~llns that it is usually necessary to carry
~jling programme to investigate sub-surface
"OilS, and in some cases drive exploration
'examine in situ conditions. Figure 4.1
'diamond drill located on a platform on a
liff investigating the foundations for a
'butment. However, drilling may not be
in circumstances where the applied loads
ficantly less than the bearing capacity of
, where there is no possibility of a sliding
'iltire, or where there are extensive out-
,',dthe sub-surface conditions can con-
':;beestablished by interpretation.
,,'Shapter describes investigation methods
kfoundations, with particular emphasis On
;:i:~sting methods "and detailed'structural
"studies. In situ testing is on~ of the par-
an important part of any investigation programme
because of the often critical influence of fracture
planes on stability. These studies will often in-
clude study of aerial photographs, surface and
underground mapping, and diamond drilling.
At the early stages of most projects there may
be some choice available in the site of the struc-
ture. Under these circumstances, one of the
first tasks in the geotechnical programme is to
evaluate alternative sites and to recommend
which is the most favourable. In this reconnaisance
stage of the project the objective of the investiga-
tion would be to concentrate on large-scale geo-
logical features that would influence the overall
stability of the structure such as large landslides,
fault zones and persistent sets of fractures sets
that dip out of any face.in which a steep cut is to
be made. '
Geological information of this nature would
form part of the input for the overall site selection
study that would include alignment studies in the
 78 Investigation and in situ testing methods
-------------------------------------~

sC:
ar
, pI
fa
pr
stl
be
pr
wI
pu

'.. "en;
fie,
for
fac
slie
vel
sea
ler
dis
')in
are
Co:
whi
Figure 4.1 Photograph of a diamond drill investigating rock conditions for a bridge abutment (photograph by in;
Tony Rice).
pro
will
the:
whi
case of bridges on transportation routes, and would have to be followed by more detailed in- of,
the siting ofappurtenant structures, among many vestigations such as surface mapping and drilling. rig!
other factors, in the case of dams. Geological sun
conditions that would justify moving a structure nun
4.1.1 Aerial and terrestial photography
. would be a very significant hazard such as a major min
landslide, movement of which could destroy the The study of stereo pairs of vertical aerial photo- it is
structure. For other geological features such faults graphs and oblique terrestial photographs pro- R
or continuous bedding planes that would only vides much useful information on the larger scale OCC\
cause local instability, remedial measures such as geological conditions at a site (Peterson et aI., tion
rock reinforcement could be carried out during 1982). Often these large features will be difficult Am
construction (see Chapter 10). to identify in surface mapping because they are Pot,
The following is a discussion on some of the 'obscured by vegetation, rock falls or more closely phol
reconnasiance techniques that may be used early spaced fractures. Photographs most commonly the I
in a project, mainly for the purpose of site used in geotechnical eIlgiIleering are black and accu
selection: It is very .rarelhat the information white, vertical photographs takeIl at heights of D
gathered at this stage of a' project would' be betweeIl 500 and 3000m (1500 arid 10 000 ft) with' solie
adequate for use in final design, so these studies scales ranging from 1:10000 to 1:30000. On has
..;.;..~

Yit is necessary to have both high-
'''photographs, with the high-level
eing used to identify landslides,
while the low-level photographs
detailed information on geological
'hough colour photographs are now
ere readily available, they do not
';ifticular advantage over black and
',' phs for geotechnical engineering
'most important uses in foundation
laerial photographs is in the identi-
'i1dslides which have the potential
, ovement, or even destruction of
hich they are constructed. Land-
that are often readily apparent on
, photographs are tension cracks and
t/le crest 'of the slide, hummocky
;jj'Qdy of the slide and areas of fresh
Jii'the toe, including sudden changes
ctions. Figure 4.2 shows a landslide
side of a steep glacial valley in the
ge of western Canada. Area A,
Ius slope, is an ancient slide, while
ment (photograph by, which is a potential slide of similar
,there are a number of te"ion cracks
Sof up to 15m (50ft). Ulwause of
S"are sets of orthogo:lal jmlit'S, one of
'" out of the valley wall at an angle
,d by more detailed{ "qo, and a second vertical set striking at
e mapping and drilliit ,es to the valley that forms side-release
)3y comparing photographs taken a
,fyears apart it may be possible to deter-
ial photography
,rate of movement of a slide, and whether
of vertical aerial pho: }virig in size.
,stial photographs pt ed to landslides are debris flows which
Ition on the larger sC; : mountainous terrain with high precipita-
a site (Peterson et" els such as the north-west coast of North
features will be diffie. , , in Japan, the Alps and Himalayas.
pping because they~ al sites of debris flows are evident on aerial
Jck falls or more close "llphs 'as areas of erosion in steep banks in
~raphs most comIl1~:," " 'teaches of the creeks, as well as fans of
;ineering are black'~ ,ated debris at the toe of the slope.
,hs taken at height," 'Sflows are highly fluid mixtures of water,
'1500 and 10000ftr>Y., iffi"l,,:; arid organicmittter: Thismixtute
'0000 to 1:30000.:-,' :onsistency of wet concrete, consists of
Site selection 79
about 70% to 80% water, and solid material
ranging from clay and silt sizes up to boulders
several metres in diameter. The organic matter
can include bark mulch as well as large trees and
logs swept from the sides of the channel. Debris'
flows usually occur during periods of intense rain-
fall or rapid snow melt and a possible triggering
event can be the failure of a temporary dam,
formed by slope failure or a log-jam, that releases
a surge of water and solid material. Where such
flows originate in streams with gradients steeper
than about 20 to 30, they move at velocities
of approximately 3 to 5m/s (10 to 16ft/s), with
pulses as great as 30m/s (100ft/s). At this speed,
material is scoured from the base and sides of the
channel so the voiume of the flow increases as it
descends. This combination of high density and
high velocity can cause devastation to any man-
made structure in their path. Bridgesconstructed
over creeks which are susceptible to debris flows
must be adequately sized: to' accommodate the
likely flow volume and footings should not be
located in the creek bed unless they are designed
to withstand the likely impact loads (VanDine ,.'
and Lister, 1983; Skermer, 1984).
Other features that are evident on aerial photo-
,,t
graphs are major geological structures such as
faults, bedding planes and continuous joint sets.
The photographs will give some information on
the position; length and continuity of these
features. However, to establish the orientation
(dip and dip direction) of a fracture, it is neces-
sary to fix the positions of a minimum of three,
and preferably four, points on the same surface
(ROSS-Brown et at., 1973). This technique lias
been used predominately with terrestial photo,
graphs where individual fractures with large
exposures can be identified clearly; even on low-
level aerial photographs it is rare to be able to
see exposures of a single fracture surface, except
perhaps in the case of a fault scarp. Structural
mapping from aerial photographS is normally only
carried out when there is no access to the face;
direct surface mapping which allows thecharac-
teristics of each fracture to be examined in
detailed is preferable.
 80 Investigation and in situ testing methods
--------'-----------------------------------
.-
to pro l
weathe,
rock tYI
the pas:
obtaine'
usually
design'
putting
~ ... to spot
ations.
Kof seisn
~ the gro,
({ ~~Wt~~(
the drill
holes. [
'.i
cussion

ti
~. faster te
the prel

~i~~eS~:;
(' determi
h ofJaye,
~. Fractuf<
r shears \
! unless t
& elevatio
1
f fa?lt~(
t' seIsmiC
'\ called a
. Seism
times of
shot po!
in a stni'
/
(b)
/
(a)
sonic v,!
in high,l
underlitj
Figure 4.2 Vertical aerial photograph stereo pairs showing typical features of a major rock slide in a glaciated betweer!
valley: (a) slide scarp; (b) slide debris; (c) tension cracks; (d) valley floor; and (e) talus slope. In a sri
>/-" point, t I
i, tances II
i 'travelIir!
Other information that can be obtained from
aerial photographs is the location of gravel
4.1.2 Geophysics
~. :~dl:~'!
~. pr~::/
deposits, rock outcrops and the study of river Geophysical methods are often used in the pre'
hydraulics for siting dams and bridges. liminary stages of a site investigation programme
~. I

I

)ck slide in a glaciated',.
lope. '.
~ often used in the,
nvestigation progra"
such information as the depth of
the bedrock profile, contacts between
,f significantly different density, and
!ocation of major faults. The results'
.from geophysical measurements are
,w~ufficiently accurate to be used in final
''.they should always be calibrated by
'~n a number of test pits or drill holes
J6k actual properties and contact elev-
:$t geophysical investigations consist
"'or, resistivity surveys carried out on
<'surface as described in this section.
"chniques are also available to meas-
erties of materials in the walls of
e, or alternatively between adjacent
'hole geophysics may be used in per-
.;holes, which are less expensive and
'than diamond drill holes" as part of
'fY investigation of a site.
surveys
purpose of seismic surveys is to
e approximate location and density
"f ,soil and rock (Goodman, 1976).
'jthin the rock such as, joints and
"hot be, detected by seismic methods
". is shear displacement and a distinct
ange of the layer as3"'result of
ent. However, continuous overWater
"'filing using a repeating shock source
lttker may recognize fracture zones.
'surveys measure the relative arrival
fi1$tic waves travelling between a shallow
'Land a humber of transducers set out
., t line along the required profile. The
city of the elastic wave will be greater
.,density layers and if the denser layer
.. a less dense layer, then the contact
the layers will act as a refracting surface.
~dfic range of distances from the shot
etimes of first arrival at different dis-
"oll1the shot point will represent waves
;jllong this surface. This information is
'J&Uhe profile of the contact between the
rs(Fig. 4.3).
!"pth d of the denser bedrock along the
'<be calculated froll1 the data shown in
Geological mapping 81
Fig. 4.3 using equations (4.1) and (4.2) as follows:
(4.1)
d = KT 2 21,
2( V2 - v,)2
where KT = (I, + 12 - T), (4.2)
I is the time for first arrival, and v is the longi- .
tudinal wave velocity.
(b) Resistivity surveys
At locations where the rock types have similar
densities and seismic surveys would. be ineffective,
resistivity surveys can provide information on
variations in the geological structure. Since most
",
rocks are themselves non-conductive, the electri-
cal resistivity of a rock derives mainly from the
salinity of the ground water occupying pores
and fractures. Accordingly, rock formations will
differ in resistivity because of porosity and joint-
ing differences. In faults and shea1'$the water
content may be higher than the country rock and ,
anomalously low resistiyitywill, be measured. ,
Conversely, in porous country rock, a fracture
may act as a drain and appear as an anomaly of "
high resistivity (Stahl, 1973).' .
4.2 Geological mapping
Geological mapping of surface outc~ops or ex-
ploration adits usually furnishes the fundamental
information on site conditions, and is often the
basis for many subsequent engineering decisions
such as relocation of the structure, or the need
for rock reinforcement, as well as the type of
structure that will be bt,lilt. While mapping is a
vital part of the investigation programme, it is
also an inexact process because a certain amount
of judgement is usually required to extrapolate
the small amount of information available from
surface outcrops and drill core to the overall
foundation. This section describes mapping tech-
niques that have been developed to assist in pro-
ducing both consistent results, and information
that can be lIsed directly in design.
 82 Investigation and in situ testing methods
-------------------------~

40
T~36ms

t, (I, - (2 )
30
-------r-------------
o
Time
(ms)
20

o V,~410m/s

10
I~
V, =400m/s

(a) PI 10 20 30 40 P2
Distance (m)

(I, - (2)
+10
V2 3140 m/s
12 - \
,0
(ms)
-10

(b)
30

Kr 20
(ms)
10

(c) 10 20 30 40

.0
o.
1 '. 0.
.. o...:~ :'" ~. o.~.
. 0.;. ,0 ....
f(

p:
'.
'
2 .; " . . o. 4,3m
Depth 3 5.5m Cobbly gravelly sand (V,) . D" Ie
dim)
---
0', '.'0 . '0 " o.
4 ""0 ".0 .;".o'~: gl
5 L~~: .. ;;
. .. ';"~'..~.,~:~--77,lI'l'7,=~-~~~'
., '"'1H'''''
re
6 Bedrock (V2 ) C(
(d)
) in
Figure 4.3 Typical result of a hammer seismic survey 10 determine bedrock profile (data by G. Amada): (a) plot ar
of field data showing time of first arrival; (b) velocity V2 along refractor surface; (c) plot of function KI' along st,
profile; ~nd ,<d) geologicalprofile. st,
4,:
gr,
st;;

ard geology descriptions
roduce geological maps that contain
esign data, is it important to have a
process so that comparable results
------- by different personnel working at
'. To meet these requirements, stan-
.ijj'g procedures have been drawn up by
'<$ll Society Engineering Group (1977)
"rnational Society of Rock Mechanics
.'')Which ha~e the following objectives:
;'~e a language enabling the observer
>'it his general impression of a rock
.'" icularly with regard to its anticipated
r~al behaviour. The language of the
'1 description must be unambiguous;
"observers of a given rock mass should
40 Jhe rock mass in the same way.
'11 as far' as possible quantitive data, of
- "() the solution of definite practical
.r possible, to use simple measure-
iher than visual observations alone.
e a complete specification of the rock
.~ngineering purposes
-
e objectives of a mapping programme
garies of information are collected as
;:'.
~,;,
,C';:,
'_$.'>:"
~Of the rock mass;
:pptionof the rock material;
.... tion of the rock mass.
40
.. .
. ;, :.'.
~s of drawing up the descriptions of the
pal and the rock mass is a three-stage
. 0. ~tstarts with general information col-
4.3m
o
.0. ring reconnaissance surveys, and pro-
!' ~
y,'provides more detailed information
. Aor design. The types of information
, ffi.din,each stage of this process are divided
v!!ps,in which the geological descriptions
ta by G. Amada): (a) R '~6~Lquantitative as possible by relating
.of function KT along:~' -jl~~~riptions to particular ranges of
jiddimensions (Tables 4.1, 4.2 and
:information contained in each" of the
. presents a progressively more detailed
'tbeinvestigation programme as follows:
Geological mapping 83
Group 1 data - descriptive indices that can be
determined by visual examination of the rock,
and can be used primarily for site-selection
purposes;
Gronp 2 data - indices that may be determined by
classification tests requiring little or no sample
preparation, and can be used for preliminary
design;
Group 3 data - indices determined only by
complex testing or requiring extensive sample
preparation, and can be used for final design.
(a) Zoning of the rock mass
The rock mass should be divided into zones or ,",0
geotechnical units whose characteristics may be
considered uniform with regards to the require- ,0
ments of the project. By defining the boundaries
of each zone it is possible to determine the extent
to which the foundation characteristics will vary
across the site, as well as the possible need to
move the structure to avoid materials with in- .-
sufficient bearing capacity, or locations with a ",
potential for sliding failure. . "
,,,
In defining the extent of each zone, the location
and orientation of the boundaries should be
reported so that the true width can 'be calculated ,"
and its position plotted accurately on both plan
and section.
(b) Description of the rock material
The rock material may be considered to be a
continuum or polycrystaIIine solid consisting of
a natural aggregate of minerals. The properties
of the rock material depend upon the physical
properties of the constituent minerals al1d their
type of bonding one to another (Deere and Miller,
1966). The following indices provide a full de-
scription of the rock material (Tables 4.1 and
4.2):
Group 1 - Descriptive indices_
Rock type
Colour
Grain size
Texture/fabric (e.g. crystalline, granular or
glassy)
 ",

Table 4;1 Rock type classification

Geneticgroup Detrital sedimentary
.
fyroe/ostic Chemical Metamorphic
<<
organic Igneous
UsualStrutture VEDDED BEDDED FOLIATED MASSIVE MASSIVE
COMPOSITION
Ughr coloured minerals are quanz. Dark
<
Ora;;' Grains of ro.;k, AI leasl 50% of Alleasl 50% of grains feldspar, mica and feldspar-like minerab minerals
skc; . Quanz, feldspars.
quartz. feldspar grains are of are of fine-grained
<,
(mm)

~
and minerals carbonate
. volcanic rock
micas, acicular
dark rnin<:rals Acid rocks Intermediate rocks Basic rock< Uhrabasic rocks
.
~%c [, 0
Grains are of rock fragnienrs
RQunded grains
MIGMATITE(SI) HORNfELS (61) PEGMATITE PYROXENITE
~
grained 60 Rounded grains: AGGLOMERATE (31) (81) (01)
CONGLOMERATE (10) CALCf-
eo....
grain~
2
Q

""
Angular grains:
BRECCIA (II)
RUDITE
(21)
Angolargrains
VOLCANIC
BRECCIA (32)
SALINE GNEISS(S2) MARBLE (62) GRANITE DIORITE GABBRO
'"'
PERIDOTITE
(02)
ROCKS Allernale layers (11)
. (82) (92)
Halile(4J) of granular and
Anbydrile(42) Ilakey mineral~
Medium Oypsum(43)
grained SERPENTINE
(03)
SANDSTONE Grains are
~ mainly mineral fragllltnlS ~ SCHIST(53) GRANULITE (63)
0 QUARTZ SANDSTONE
B
z<
W
(12): 95%quartz. voids
emply or umenled
ARKOSE (13): 15% quartz. i CAlC-
ARENITE
QUARTZITE (64) MICR().GRANITE
(12)
MICRO-DIORiTE DOLERITE

!
(93)
<
"< up 10 25% fctd~par: voids
emply Or Ulllthtt<! (22)
('"

ARGILLACEOUS
SANDSTONE(l4): 15% w
z
quarlz. 15% + line detrital
I material
~ TUFf'(33) PHYLLITE (54)

r- 0,"

" AMPHIBOLITE (65)
MUDSTONE (15)
~ Fine-grained TUff (34) CHERT(44) SLATE (55)
"~
grained
0 SHAlE(l6): fissik
W mudslone
U
g SILT-STONE(l1): 50% CALC!_

,
fine-grained partides SILTITE FLlNT(45)
0.002 CLAYSTONE (18): 50%
very lil\t-grailltd pankles
(23) MYLONITE (56) RHYOLlTE(7l) ANDESITE (84) BASALT(9-l)
Very fine-grained COAL (46)
V,ry CALCAREOUS
~ TUFF(.35)
lint-
grained ,, 0
w
U
MUDSTONE (19)
CAlCI_ OTIfERS (41)
:i LUTITE
(24)
I---- ""<
0
GLASS
OBSIDIAN and PITCHSTONE TACflYLYTE
(14) (85' (95)
NOles: Numbers can be used to identify r<><:k types on dala sbeelS (see Appendix III).
R(!(w,c(: GrologicQI Sodny "gilturing Group Working Pony (l977)

" .!.A ..,.j

... ... ,.~
~.i'!
.,., (

'" '" ~
 describing rock material

1 2 3

light pinkish pink

dark reddish red
yellowish yellow
brownish brown
olive olive
greenish green
bluish blue
white
greyish grey
black

Particle Retained on BS Equivalent ,,

size sieve no. (approx. soil grade
equivalent)

, :coarse-grained >60mm 2in Boulders and Cobbles

~rse-grained 2-60mm 8 Gravel
'(Uum-grained 60 microns-2 mm 200 Sand
e-grained 2'-60 microns Silt
fine-grained <2 microns Clay

oie: grains >60 microns diameter are visible to the naked eye
1':(
't~rial strengths
;f:' '

Unconfined compressive Field estimation of strength

strength
(MPa) (p.s.i.)

>200 >30000 Requires many blows with geological pick to break

intact sample.
t;~ 100-200 15000-30000 Hand-held sample breaks with one firm blow with
~
hammer end of geological pick.
50-100 7500-15000 Knife cannot scrape or peel surface, shallow
indentation under firm blow from hammer end of
geological pick. ,
25-50 3500-7500 Shallow cuts or scraping with difficulty with knife, pick
point of hammer indents deeply with firm blow.
1-25 150-3500 Can be cut with knife, crumbles under sharp blows
with pick point of hammer.
0.6-1.0 80-150 Very tough, difficult to move with hand pick,
pneumatic spade required for excavation.
0.15-0.6 20-80 Cannot be molded with fingers, or cut with hand
spade, requires hand picking for excavation.
0.08-0.15 1O~20 Very difficult to mould wiihfinger, indented with
finger nail, difficult to cut with hand spade.
0.04-0.08 :5:'-10 Moulds with strong pressure from fingers, showsfaint
marks.
<0.04 <5 Easily moulded with fingers, shows distinct heel marks.

.'a);ith~ compressive strengths for soils are double the unconfined shear strengths;
,(~:>. .strength values "are those given by Hoek and Br~y (1981).
 86 Investigation and in situ testing methods

Table 4.2 (Continued)

D. Weathering/alteration grades

Term Description .

Fresh No visible sign of rock material weathering.

Faintly weathered Discoloration on major discontinuity surfaces.
Slightly weathered Discoloration indicates weathering of rock material and discontinuity
surfaces. All the rock material may be discoloured by weathering and may
be somewhat weaker than in its fresh condition.
Moderately weathered Less than half of the rock material is decomposed and/or disintegrated to a
soil. Fresh or discoloured rock is present either as a continuous framework
or as corestones..
Highly weathered More than half of the rock material is decomposed and/or disintegrated to a
soil. Fresh or discoloured rock is present either as a discontinuous
framework or as corestones .
Completely weathered All rock material is decomposed and/or disintegrated to soil. The original
mass structure is still largely intact.
Residual soil All rock material is converted to soil. The mass structure and material
fabric are destroyed. There is.3 large change in volume, but the soil has not
been significantly transpoiled. Ve
La
~M'
Sit
Weathering Swelling Ve
Alteration Slake durability
Strength
Using these indices, a typical description for a (c) Description of the rock mass c.
rock material would be as follows: The rock mass may be considered as a discon
tinuum in which the rock material is divided into
Grey; fine - grained, crystalline, slightly blocks, layers or columns by planes of weakness
weathered, moderately strong basalt. (or discontinuities). Parameters that could be . Wi
included in a description of the rock mass are as M<
Note that the rock names comes last since this is Ml
follows:
less important than the engineering properties of N,
the rock. V,
Group I - Descriptive indices Ex.,
Group 2-lndices detennined by classification tests Discontinuities Tili
type
-,
Hardness D.
number of discontinuity sets
Durability
location c,
Porosity
orientation (dip/dip direction)
. Density
fracture spacing I
SoniC velocity
seperation of fracture surfaces 2
infilling 3
Group 3 ~.lndices detemJinedby complex testing 4
persistence (continuous lengths)
Modulus of elasticity surface roughness/shape 5
6
Poisson's ratio comments 7
Primary permeability Weathered and altered state
 Drilling 87

An example of a rock mass description using the

descriptive indices is as follows:
Columnar jointed with vertical columns and
Spacing one set of horizontal joints, spacing 'of vertical
joints is very wide, spacing of horizontal joints
>2m
600mm-2m wide, joints lengths are 3 to 5 m (10 to 16ft)
continuity 200-600 ItIm vertically and 0.5 to 1 m (1.5 to 3ft) horizon-
lering and may 60-200mm tally; joint aperture is extremely narrow and
20-60mm the fracture infilling is very soft clay. The
sintegrated to a 6-20mm vertical columnar joints are smootli, while
ous framework <6mm the horizontal joints are very rough.
lisintegrated to a Appendix II provides a discontinuity survey data
inuous sheet that can be used for recording data collected
Block Equivalent during geological mapping.
I. The original size discontinuity
spacings in Group 2 - Indices determined by classification tests
.dmaterial blocky rock
the soil has not Permeability (secondary)"
>8m3 Extremely wide Seismic velocity"
0.2-8m3 Very wide Shear strength"
0.008-0.2 m3 Wide
0.0002-0.008 m3 Moderately wide
<0.0002m3 Less than moderately
Group 3 - Indices determined by complex testing
wide Modulus of elasticity
Permeability (secondary)"
.'
"

.{mass Seismic velocity"

considered as a dis' Shear strength"
Aperture (discontinuities)
: material is divided'i
Thickness (veins, faults)
5 by planes of weakh 4.2.2 Fracture mapping
'ameters that could >200mm
of the rock mass at 60-200mm One of the most important components, of any
20-60mm surface mapping programme is the definition of
6-20mm the structural geology according to the indices
ices 2-6mm given in Group I of the rock mass description.
>0-2mm It is recommended wherever possible, that the
Zero mapping be carried out by the same person or
engineering group who will carry out the design
y sets so that the objectives of the mapping programme,
Degree of roughness are clearly identified and the data collected is
ection) relevent to the design. For example, a large
POlished number of short joints that have little influence,
:urfaces Slickensided on the rock mass strength snould be given much
Smooth less attention during mapping thanone clay-filled
: lengths) Rongh
e Defined ridges * Where indices have been included in both Groups 2 and 3 it
Small steps is because at the design stage, tests may be repeated.. by an
Very'rough alternative method to gain, more reliable data on thesarrte
te index. .
 88 Investigation and in situ testing methods

fault on which the whole foundation could fail.

Fracture
A design engineer analysing the data who is not set
familiar with the site, may not be able to dis- a
tinguish on a contoured stereo net the relative
importance of the many joints and the single
fault. s
As discussed in Chapter 2, the most convenient s
means of expressing the orientation of fractures s
for engineering purposes is in terms of the dip and
dip direction. Special geological compasses are
available with which dip and dip direction can be
measured simultaneously and directly, with no Figure 4.4 Bias-in the occurrence of fractures in roc
need to make any conversions of the readings faces and tunnel walls.
before plotting them on the stereo net. A compass .
made by the Showa Sokki company in Japan is : : ': '~" ..';~;,:
specifically designed for fracture mapping and sp~cing. Th~ bias arises because ~ll fract~res~~';
also has a built-in inclinometer (Fig. 2.4). onented at nght angles to the face Will be vlslble~K
on the face, while few fractures oriented sub, K.}<
(a) Mapping methods
The most common methods of structural mapping parallel
The biastoin the face can
spacing willbebecorrected
visible (Fig.
as follows .}' . . :.~.;.. .
4.4).1
are line and window mapping, both of which can (Terzaghi, 1965): . "
be used either on surface outcrops or in explora-
tory adits. Line mapping comprises stretching a S = Sapp sin a , . (4.3)~f
tape along the face and mapping every fracture where S is the true spacing between frhctures of'.
that intersects the line; line lengths are normally the same set; Sapp is the measured (apparent) ii
between 50 and 100m (150 to 300ft). If the end spacing; and a is the angle between face and f.
points of the line are surveyed, then the location strike of fractures. I~!
of all the fractures can be detennined. Window The number of fractures in a set can be adjusted :i
mapping comprises mapping all fractures within a to account for the relative orientation as follows: 0,
representative segment or window of fixed size,
spaced at regular intervals along the exposure.
The intervening areas are examined for similarity
N = Nappfsin a,
where N is the adjusted number of fractures, and
(4.4) tr
of structure. The length of a window would nor- N app is the measured number of fractures. J.
mally be about 10m (30ft) long. Either of these (

mapping techniques may. be used, depending on
the extent of the face available for mapping, in
the site-selection phase of a project. Once the
final site has been selected, it may be appropriate
to conduct detailed mapping at the foundation
location..
(b) '. Co~rections fort~l\ctu~e orientation
An important factoiio'con$ider in the interpret-
ation of mapping res?ltsis the relativeoritmtation
betweentheface andthefrac~ures. This relative
orientation introdllcesaDialoboth the number
of fractures that are mappihg;'and the fracture
( Figur
(c) Roughness measurements ? geolo
A significant component of the friction angle of a i measl
fracture is the surface roughness, and an import (
ant part of any mapping programme is measure
ment of this parameter. During the preliminary
stages of an investigation programme it is usuaHy , me,
satisfactory to make a visual assessment of the)- by
roughness. angle using the. method described bY;~i. Con:
. Barton (1973) to d~termine JRe values of tYPica.I.. i. .,.i.~ . . . fraS
fractures (see SectIon 3 . 4 . 2 ) . ' 7 f p wh1 1
In the final design stage of a project where a.~~~ att~
few fractures having a Significant effect on stabilitY.iii 1ar!
have been identified, the roughness angle can be; the
l
 Drilling 89

Sapp s"pp
I I a

i,

ence of fractures in

(a)

because all fract

the face will be vi~
ractures oriented i,
be visible (Fig. .
e corrected as fol
,"
25

,1 20
~ between frhctur~
measured (appai 15
lie between face" Design
range
;'fl 10
n a set can be adju
)rientation as foIl' 5

1
d 2d 4d 6d 3d
nber of fractures,1
er of fractures. (b) Measurement plate diameter

.easurement of fracture roughness values with plates of different diameters attache"d to the lid of a:
s gompass, (a) Dip measurements with plates of differing diameters. (b) Relationship between roughness
the friction angle' , ,""Ilts and plate diameters.
.loess, and an im":,
ogramme is meas
Iring the prelimi~
ogramme It is usu f~d accurately using a technique described the measured orientation will be approximately
al assessment of! .)i:er and Rengers (1971). The technique equal to the average orientation of the surface.
method described ,~()J. measuring the orientation of the However, the smaller diameter plates will show
JRe values of tyPo il;;lVith a geological compass to the lid of a scatter in ,the orientation measurements as
,a~~ries of plates of different diameters are the plates lie on irregularities with shorter wave,
)f a project wh~~ :cr#(Fig, 4.5(a. If the diameter of the lengths, lithe, orientation measurements are
'artt effect on stalil :plates is of about the same dimension ~as plotted on a stereo net the degree of scattef'in
Ighness angle ca .~Y~length of the fracture roughness, then the poles about the mean orientation i~ a measure
 90 Investigation and in situ testing methods

of the roughness. Alternatively, a plot of plate it isvery weak, so test pits will rarely prOVide
diameter against angle i will show that short information on subsurface rock conditions.
wavelength asperites Al have higher roughness
angles than those with longer wavelengths A2
(Fig. 4.5(b)). 4.3.1 Diamond drilling
An important factor to consider in the meas- Diamond drilling is the most commOn method
urement of roughness is the minimum wavelength of subsurface exploration; it is used to Obtain
of the irregularities that should be used in design. intact and undisturbed core samples that prOvide
On rough surfaces, short-wavelength (less than information on geological conditions, as Well
10 cm) irregularities may have i values as high as as samples for laboratory testing. Similarly to
30. If the compressive strength of the rock crj surface mapping, it is important to use standard
is significantly greater than the applied normal core logging procedures so that conditions be.
stress cr on the sliding surface, i.e. cr/cr > 10, then tween sites can be compared (Geological Society,
the total friction angle of a surface with a basic 1970).
friction angle of 30, will be about 60. However,
if the compressive strength of the rock at the (a) Core logging
fracture surface is less than about 10 times the A typical core log in Fig. 4.6(a) shows common
normal stress, i.e. cr/cr < 10, then the asperities data which is recorded, Note that on the logs that
Will start to be ground off as sliding takes place qualitative data - RQD and fracture frequency
(refer to Section 3.4.2). (fracture/unit length) - are plotted in the form of ,
As a guideline for design, it is suggested for histograms such that zones of closely fractured or .~
conditions where cr/cr > 10 and where there weak rock appear as wide bars that can readily be '
will be minimal grinding of the asperities, that identified when scanning the log. Fracture fre. ',
i values be measured for asperities with a mini- quency and RQD are defined as follows, with "
mum wavelength of 20 to 40cm (8 to 16iri). For care being taken to distinguish between natural ::k
the example shown in Fig. 4.5(a), the design fractures and drill induced breaks in the core: ;~
roughness would be based on the longer"" wave-
length asperities. For cr/cr values of less than Fracture frequency = number of natural ',j
10 where it is likely that the asperities will be fractures/m
ground off to some extent, reduced i values length of core
would be used. The total friction angle (<l> + i) Sum of lengths of core pieces
used in design would normally not exceed about RQD ,;, with lengths> 100 mm
50.
Total length of core run
It is also important to take a colour photograpb,
4.3 Drilling complete with a legend, scale and colour chart,
Detailed foundation design will usually require of each core box (Fig. 4.6(b)).
more information on the subsurface character-
istics of the bearing material than can be extra- (b) Core recovery
polated from surfa.ce ma.pping. Methods of drilling An important requirement for diamond drilling
that can. be used for subsurface investigations conducted for foundation engineering purposes
include diamond drilling, and occasionally per- is complete recovery of the core. All zones and
cussionor large;piaIlletercalyxdrilling. If ex- seams of weak and fractured rock must be reo .
posures forbedrockina~pi~gare limited, test covered, which requires th" use of techniques
pits may be excavated to expose the underlying that minimize breakage and loss of core. This
rock. Ho~ever, test pits will not be able to pen- be achieved with minimum N size core(45mm~
etrate to a signific.ant depth into the rock, unless 1.775 in. diameter) because core breakage in' ,
 pits will rarely pro
ce rock conditions. SMoSMOQTH R.-Ft.eXUREO
RROUGH UE.UNEVEN
STSTEPPEO WWAVY 9!t
S-SUCKENSIDEO Pl-PI.ANAA C.etJRVEO 3!~!.
ffi
g R.O.D.
%
~:c~.
PEl'l. FT
!;J ",o,:!
='"
g
DISCONTINUity DATA
tyPE AND SURFACE
oeSGflIPTlON
HYDAAUUC
CONDUCTIVITY
k,~
.&-4-34
31(5
BOo.
, most common me 10 1010 10

on; it is used to oil

:ore samples that pr
ical conditions, as:
:>ry testing. SimilarE
nportant to use stati
s so that condition'
ared (Geological So;

'.PL-
,PL
g. 4.6(a) shows co
'late that on the 10 BC.'PL
) and fracture freq . lli
""3
"-'0 BC,R.PL.
lli
ire plotted in the fa BC.R.PL.

H
-
les of closely fractur' ST.R1'L.

Ie bars that can readi 0'1, 'UE. I

1il'
19 the log. Fracture
defined as follows,. ~ 1 ~ R.UE.Pl..

'UE. .... :1
,.

17.00
tinguish between na" 7 ~ RPL

ed breaks in the cor

C
Z .
"

~ number of naturaE
fractures/m ~

length of core "55'

23.00
10 ~

;ths of core pieces

; > lODmm
I of core run
Ike a colour photogr'
, scale and colour c.
.6(b)).

"
ent for diamond dr\
:>n engineering pu
the core. All zon~~"
ctured rock must li,
s the use of techl1)
and loss of core. Till
mm N size core (4?:
:ause core breakag..
 92 Investigation and in situ testing methods
creases with decreasing core size. Core quality
is also enhanced with the use of a triple-tube
core barrel in which the inner' tube is mounted
on bearings that does not rotate during drilling
so there is little spinning or vibration of the core.
In addition, when the core barrel is recovered at
the end of the drill run, the inner tube is pumped
out of the core barrel rather than hammered
out, as is the case with a double-tube barrel.
The usual procedure for logging the core is to
lay the inner barrel, which is split longitudinally,
on a cradle, such as length of L-section steel, so
that the upper half of the barrel can be removed
without disturbing the core. This allows the core
to be logged while it is still in the barrel. Careful
drilling of this type will require that the drillers
work on an hourly rate; drillers working on a
footage basis with a production bonus might tend
to sacrifice quality for quantity.
In highly broken rock standard drilling tech-
niques may not be adequate to obtain good
quality core and in these circumstances it may
be necessary to use a procedure developed by
Rocha (1967). This involves grouting a steel
rod into a pilot hole and then overcoring this
to remove an intergral sample comprising both
the rod and the surrounding core. If the rod is
oriented before it is grouted in place, then it is
also possible to orient the core (see below).
(c) Core orientation
A requirement of diamond drilling that may be
required for foundation engineering is orientation
of the core so that the dip and dip direction of the
fractures can be determined. It may be necessary
to orient a drill core where there is a possibility of
shear failure taking place on continuous fractures,
or settlement due to compression of clay-filled
Seams. In a vertical drill hole the dip of all the
fractures intersected by the hole. can be deter-
mined, but there is no information on their dip
direction. In an inclined drill hole it is not possible
to determine either dip or dip direction of frac-
tures from examinationoLthecore. Methods
of core orientation inClude impression "packers,
which comprise an oriented sleeve that takes an
impression of the fractures that lie on the surface
of the drill hole, and the Christienson- Hugel
method that scribes an oriented longitudinal lin
down the side of the core. e
One of the simplest and most effective cOre
orienting devices is the clay core. barrel (Fig.
4.7(a)) which utilizes a modified inner care barrel
for use with conventional wireline diamond.
drilling equipment (Call et al., 1982). The barrel
is eccentrically weighted with lead and lowered
into an inclined, fluid-filled .borehole so that its
orientation with respect to the vertical is known.
Modelling clay protrudes from the downhole
end of the inner barrel such that it also extends
through the drill bit when the inner and Outer
tubes are engaged. The barrel assembly is pressed
against the hole bottom which causes the Clay
to take an impression of the core stub left from
the p'revious core run. The inner barrel is 'then
retrieved with the wire-line and a conventional
barrel is lowered to continue coring. At the COm
pletion of the run, the recovered core is fitted
together and the core is oriented by matching the .. ',"
piece of core from the upper end of the core run
with the oriented clay imprint. A reference line,
which represents the top ofthe core, is run from
the oriented core stub along the length of the Ma,
core. All the fractures in the core can then be dip
oriented relative to this line and their dip and dip vee
direction calculated if the dip and plunge of the
hole are known (Fig. 4.7(b)). Computer programs
are available to convert directly core fracture
angles to dips/dip directions and plot them on a I
stereo net (Golder Associates, 1988). I
The clay barrel can only be used in inclined I I
j
holes within the dip range of 45 to 70 where the,
weighted barrel will orient itself as it is lowered
down the hole. In shallow vertical holes, the
clay core barrel may be oriented by scribing an
oriented reference line down the side of the drill
rods as they are lowered down the hole.
An essential part of any' oriented core drilling
programme is hole surveying to determine the dip
and plunge of the hole at selected intervals. With
this information, measured fracture orientations'
can, be corrected for the true inclination of the
hole. Hole survey instruments include the SpeflY
Sun and Eastman multi-shoi tools that take

e Christienson -lIJ
ented longitudinal'
ld most effective ',~
day core barrel c'
dlfied mner core b ..
al wireline diamQ
~ at., 1982). The b '
Nith lead and low'
:d borehole so tllli
, the vertical is kn
; from the dow
ch that it also ext
o the inner and <i
Tel assembly is pre
which causes the.
:he core stub left f.
Ie inner barrel iSl
le and a conventi'
ue coring. At the"
,covered core is
iented by matchin"
ler end of the core~
,rint. A reference
If the core, is run
ong the length of:
the core can the
e and their dip and!
dip and plunge o~'
I). Computer progt
directly core frac
os and plot them d
ltes, 1988).
,y be used in incr
of 45 to 70 where; :Orientedcore.
: itself as it is lowe
'w vertical holes,"
riented by scribing' 'llPhs of a compass and dip circle at preset
Nn the side of the
own the hole.
.. oriented core drill
19 to determine the:
elected intervals;" ,
j fracture orientllt"
true inclination 06
,nts include the Spe
shot tools that/'
Eccentrically loaded
inner core tube
Plate welded across upper
end of lifter case
Core lifter with core spring
removed packed with modelling
clay which protrudes 10 mrn
Clay to take inprint'
of core s~ub.
Core stub left at the end
of the previous drilling run.
Reference ang Ie
I
I
I
\ Topof core
\
Direction of drilling
Core orientation procedures. (0) Clay core
dto orient diamond core in inclined drill
I etal., 1982). (b) Dip/dip direction of
1. Instanteous feed rate which is related to the
ervals. The tool is lowered down the hole
"'ireline and the depth recorded at the
atthe photographs are taken. In this way
!ilion of the hole at a number of depths
9J5fained. The Tro-Pari instrument is a
:.B:toor that has the tompass and dip
Qunted on gimbals that are 'locked in
'.ilfter,a time interval that is sufficient to
'cHnstrument to the bottom of the hole.
Drilling 93
Core
Equipotential lines
1--1
Area A
J
Figure 4.8 Definition of permeability in terms of
Darcy's law. ",
4.3.2 Percussion drilling
Percussion drilling using a standard airtrac type
drill is less expensive and has a faster penetration
rate than diamond drilling. However, because no
](
core is obtained it will not provide much more , '
information than the depth to bedrock, and
the approximate variation in rock strength by
observing changes in the penetration rate. This
information would only suffice in the case of ..."
the design of foundations for, structures with
low bearing pressures. However, instrumentation
is available that can be attached to percussion
drill rigs to record continuously and produce
plots of a number o'f different geological par-
ameters during drilling (Lutz and Morey, 1988).
Typical parameters that can be recorded with this
instrumentation include:
mechanical properties of the rock such as
modulus and hardness;
2. Tool thrust which supplements the feed rate
data when cavities are encountered;
3. Tool torque which can be used to identify
gravel and boulder zones;
4. Drilling fluid pressure which is related to the
permeability of'1he formation being drilled;
pressures are high in plastic deposits,such as
clay and low in sands and gravel;
5. Drill string vibration which is related to the
, rock hardness.
 _9_4_I_n_v_e_s_ti_g_a_tl_'o_n_a_n_d_in_s_it_u_te_s_tl_'n_g_m_e_t_h_O_d_S

Percussion drilling with automatic recording in-

J
on at least two of the three parameters, namely
struments could be used to back up a diamond the seepage rate per unit area Q,IA, the preSSure
drilling programme with the core being a ref- gradient i and the permeability k, the usual Units
erence to calibrate the percussion results. of which are m/s. This section describes methOds
of measuring ground water pressure and rock
mass permeability.
4.3 .3 Calyx drilling
At locations where it is necessary to observe (a) Permeability
in situ rock conditions and also to obtain large- The permeability of most intact rock (primar;
diameter cores for testing purposes, core holes permeability) is essentially zero and the flow of
with diameters of 1 to 3 m (3 to 10 ft) can be water in a rock mass (secondary permeability)
drilled with a Calyx drill. This comprises a steel is concentrated in the fractures. Consequently
barrel to which both a thrust and torque can be ground water conditions are highly dependen;
applied. The cutting medium is steel shot which is upon the orientation, length, width and infilling
poured or injected into the annular slot cut by the characteristics of the fractures. In the design of
barrel. After the drill has advanced by about 1 m investigation programmes, as well as drainage
(3ft), the core is broken off either by driving and grouting systems, drill holes should be
wedges into the annulus, or by an explosive oriented to intersect fractures that carry water.
method using a detonating cord placed at the In rock types, such as sedimentary and meta.
bottom of the annulus. The core is removed by .morphic rocks in which there is a predominent
grouting a lifting eye into the top of the care and fracture orientation, ground water flow will
pulling it out with a crane. be concentrated in a direction parallel to the
bedding or foliation. Such rock types will exhibit
anisotropic permeability. That is, the permeability
4.4 Ground water measurements will be significantly greater parallel to the bedding
The main effects of ground water on foundation than perpendicular to it. A modified form of
performance are uplift. pressures that reduce the Darcy's law can be used for anisotropic rock as
shear resistence of fracture surfaces, and seepage follows
that results in loss of storage water, and in
(4.7)
extreme cases, scour of weak seams within the
rock mass. The relationship between the distri- where k j and k z are the permeabilities parallel
bution of water pressures within the rock mass and perpendicular to the predominent fracture
and the rate of seepage through it is given by . set, respectively.
Darcy's law which states that (Fig. 4.8) The permeability of a rock mass is highly
dependent upon the width of the fractures, and it
Q, = kAih , (4.5)
has been shown that the permeability of an array
where Q, is the seepage volume per unit time, k is of smooth, parallel fractures is proportional to the "
the coefficient of permeability, A is the cross- cube of the opening width of the fracture (Louis,1
sectional area of the sample, and ih is the pressure 1967). Therefore blast damage and stress rehef i
gradient and that resultin opening of fractures can have'3 f
=
ih (h1 - hz)ll, (4.6)
significant influence. on seepage . quantitieJ.'\
Another factor to considecis that DarcY's)~%':II
where (h, - hz) is the head loss between the ends is only applicable for low-velocity, laminar'#9,l'-o.!
of the sample, and I is the length ofthe sample. conditiQns. These conditions will usually apPI.~~;J
. The relationships in equations (4,5) and (4.6) the case of jointed rock and in facinoloW~L .
show that the definition of ground water con- limit is known to exist for Darcy's law (T.
ditions within a foundation requires information 1959). However, Darcy's law cannot be use,

lree parameters, na ~ ,k, with
area Q,IA, the pre '"
ability k, the usual "
:ction describes me
ater pressure and
)st intact rock (prj'"
lly zero and the f1;
secondary permeab'
'ractures. Consequ'
s are highly depe
ngth, width and inft
.ctures. In the des(
~s, as welI as drat
drill holes shour'
tures that carry wa
, sedimentary and'
there is a predoIti
round water flow'
irection parallel t
h rock types will e
That is, the perme~
lr paralIel to the be"
t. A modified fa;'
! for anisotropic rag
l permeabilities p
e predominent fra'
a rock mass is hi
h of the fractures, i(
permeability of an '.
res is proportional ti\:
h of the fracture (L',
lamage and stress t.
)f fractures can haY:
n seepage quan~
der is that Darcy';
.v-velocity, laminat'
ons will usually aPR
, and in fact nolo
for Darcy's law (11;:
: law cannot be us"..,
} ..
large-diameter solution openings
~,'steep
gradients. A guideline on appli-
,'rtditions for Darcy's law is when the
Ils;number is less than 1. Reynolds number
given by
{,:
'.'y",vdlT] (4.8)
"'"
,iis the fluid density, v is the velocity, d is
'"'~ter (of a pipe), and T] is the viscosity of
i'~ of the very great influence of the
1':on the permeability of the rock mass,
water studies should consist of in situ
'fitents with as little disturbance of the
'~s as possible. Common investigation
,g(described below consist of the instal-
',piezometers in drill holes to measure
essure and conducting falIing head and
s to measure permeability.
,ater pressure measurements
meter is a system installed in a drill
easure the water pressure existing at a
.over a nominated interval, in a saturated
'; Piezometers can also be used for ground
'll1pling, permeability testing, and as ob-
n wells during pump tests. With careful
. n methods, they will allow long-term
''l"ing of ground water conditions. The
rlld pressure values can be used directly in
!Jind seepage analyses.
,!~ning a piezometer installation, two im-
.t, decisions that have to be made are the
gIl of the point of measurement, and the
~
qdof
,._ .. measuring the piezometric level. First,
~
Cation of the point of measurement is deter-
\I(,by the geometry of the foundation, with
Jessure being measured in lhevicinity of
~}ial failure surface where uplift pressures
}c,ause instability. Also, the measurement
T-llstintersect fractures that communicate
, jjJj~.ally with the general fracture pattern in
';~'!;the appropriate location of the measure-
,,"Ohe is determined, where possible, from
',:1!ation of drill core. ' they expand. In very deep holes .the .balIs can
"econd factor to consider in' piezometer
Ground water measurements 95
installations is the method of measuring the
changes in pressure in the piezometer. If the
volume of water that is required to register a head
fluctuation in a piezometer is large relative to
the rate of entry at the intake, there will be a
time lag introduced into the peizometer readings.
This factor is especially pertinent to head meas-
urements in low-permeability formations (Freeze
and Cherry, 1979). For this reason, piezometers
in rock usually consist of a pressure measuring
device installed in a sealed section of the drill hole.
The volume change within this sealed section,
caused by the operation of the piezometer, should
be very small in order that the response of the
complete installation to pressure changes in the
surrounding rock is rapid. If a device is used that
requires a large volume change for its operation,
the change in pressure induced by this change
in volume may give rise to significant errors in
measurement (Terzaghi and Peck, 1967).
Ground water pressures may be monitored in
open holes if the permeability of the rock mass is
greater than about 10-6 m/s. Rock types such as
coarse-grained sandstones and highly fractured
rock may have permeabilities as high as' 10:-6 mis,
but most competent rocks have permeabilities of
less than 10- 7 m/s. Therefore, open standpipes
are rarely utilized in monitoring of ground water
pressures in rock and one of the types of piezo-
meter installations discussed below is usualIy
used.
(a) Standpipe piezometers
A standpipe piezometer consists of a length of
plastic pipe, with a perforated or porous section
at the lower end which is encased in clean gravel
or sand to ensure good hydraulic connection
with the rock (Fig. 4.9). This section of the
piezometer, which is the point where the water
pressure is measured, is isolated from the rest
of the hole with a seal(s) comprising filter layers
to prevent contamination of the clean sand, and
a laYer of bentonite. The bentonite is usually in
the form of compacted balls that will falI a con-
siderable depth down a water-filIed hole before
be first soaked in oil to form a protective layer
 96 Investigation and in situ testing methods

'.

'. Hole backfilled with 7 m layers of

f - - - gravel separated by 0.5 m plugs of
.' bentonite balls.

Hole backfilled with 7 m layers of

gravel separated by 1 m 'plugs
of bentonite balls.

FIgure 4.9 Typical standpipe piezometer installation.

(,
that delays their expansion. However, cement is assembly and a pair of air lines that connect the \1
preferred as a seal for holes with depths greater valve to the surface. The valve is placed in the tr
than about 300m (lOOOft). sealed section of the piezometer to measure tl

The water level in a standpipe piezometer can the water pressure at that point. The operating al
be measured with a well sounder consisting of a principle is to pump air down the supply line until C
. graduated electrical cable with two bared ends the air pressure equals the water pressure in the sl
and connected to anelectrical circuit consisting of sealed section and the valve opens to start air If

a battery and an ammeter. When the bared ends flowing in the return tube. The pressure required II
come into contact with. the water the circuit is to open the valve is recorded on a pressure gauge tl
closed and a current is registered on the ammeter. at the surface. (I
The advantages of this type of piezometer are' Pneumatic piezometers are suitable for low- tl
that it is simple' and reliable, but it has the dis- permeability' rock installations and are particu' e
advantages that there must be access to the top of lady. useful for foundatiOn installations where Sl

the hole;andtherec~ll be ~igniiicant time lag in
low-permeability tock; '. . .
(b) Pneumatic piezometers
A rapid response time can be. achieved using
PneumatiC piezometerswhich"colllprisea valve
pressures are being measured under the structure n
and access to the collar of vertical drill holes is
(I
not possible. The disadvantages of this type of
p
piezometer are the risk of damage to the lines
either during construction or operation, and the d
0
need to maintain a calibrated readout unit.
 96 Investigation and in situ testing methods
------------------------------------------

'.
.,
.'
" :.
'. '. .Hole backfilled with 7m layers of
'. '.1--- gravei separated by 0.5 m plugs of
.. bentonite balls.

.: .:..
" "
' '

.' ....t - - - O.5m bentonite seal to prtwent

Standpipe tube

.: "'.
movement of water in hole.

..f---- 7 m of gravel backfill.

.'.' .-."
Upper seal .~ 2 m plug of bentonite balls .
Piezometer. {:::l:: 3m- of gravel f bottom 2m of tube slotted
interval : .'.... 1m of gravel 1& capped.
Lower seal ' 1 m plug ?f bentonite balls
..
Hole backfilled with 7m"layers of
gravel separated by 1 m'plugs
of bentonite balls.

Figure 4.9 Typical standpipe piezometer installation..

(e
that delays their expansion. However, cement is assembly and a pair of air Jines that connect the \\
preferred as a seal for holes with depths greater valve to the surface.' The valve is placed in the tr
than about 300m (l000ft). sealed section of the piezometer to measure tb

The water level in a standpipe piezometer can the water pressure at that point. The operating at
be measured with a well sounder consisting of a principle is to pump air down the supply line until C
. graduated electrical cable with two bared ends the air pressure equals the water pressure in the st
and connected to an electrical circuit consisting of sealed section and the valve opens to start air m
a battery and an ammeter. When the bared ends flowing in the return tube, The pressure required It
come into' contact with the water the circuit is to open the valve is recorded on a pressure gauge th
closed and a current is registered on the ammeter. at the surface. (1
The advantages of this type of piezometer are' Pneumatic piezometers are suitable for low th
that it is simple and reliable, but it has the dis- permeability' rock installations and are partieu" el
advantages that there muSt be access to the top of lady. useful for foundation' installations where st
the hole, and thereg?n ,,~significant time lag in pressures are being measured under the structure m
low-permeability rOCK; .. and access to the collar of vertical drill holes is
not possible. The disadvantages of this type of (d
(b) Pneumatic plez()meteii piezometer are the risk of damage to the lines
A rapid response time ca.n be.a~hieved using either during construction or operation, and the di
Pnelimatic piezometers which;comptisea valve need to maintain a calibrated readout unit. of
 Ground water measurements 97

Backing
shoe

Figure 4.10 Multiple completion piezometer

installation (MP System) with probe
positioned'to make pressur~ measurement
(Black et al., 1986; Westbay Instruments):
(a) probe located at measurement port
coupling; and (b) probe measuring fluid
(b) pressure outside coupling.

C.Jronic transducers a generally depressurized ,area. In such circum-

lines that connect~ ,~Bressure measurements with electrical stances, it may be desirable to measure the ground
valve is placed in't ':c~rs allow very rapid response times and water pressure at a number of points in drill a
~zometer to mea' ';prtunity to record and process the results hole. This can be achieved by installing multiple
point, The operatI , 'siderable distance from the structure, standpipe piezometers in a single drill hole with
III the supply line u", types of electrical transducers include bentonite or cement seals between each section
water pressure in, uges and vibrating wire gauges that of perforated pipe, The maximum number of such
lve opens to start 'a ,pressure with a high degree of accuracy, standpipes that can be installed in an NX bore-
The pressure reqult ' , ommended that all transducers be tested hole is three; withmore pipes, placement of filters
:d on a pressure gad 'hlY,and calibfated before installation and effective seals becomes very difficult.
~;' 1987), It should also be kept in mind An alternative method of measuring water
are suitable for 16' e'long-term reliability, of these sensitive pressures at a number of different points in a
ions and are parti' al instruments may not equal that of the drill hole, is to use a multi-port (MP) system,
n installations "'he ,~and provision should be made for their which also allows measurement of permeabilities
~d under the structl(' nee and possible replacement. and retrieval. Of water SflJ!lples '(Black et al.,
vertical drill hole, 1986). The MP system is a modular multiple-level
Itages of this type];, JIII.completion piezometers ground water monitoring device employing a
, damage to the lin opatlons where there are rock types with single, closed access tube with va,lved ports (Fig.
or operation, and] ~ti,n,gpermeabilities, it is possible that zones 4.10). The valved ports are used,to provide access
ed readout unit. .":ground water pressure may exist within to several different levels of a drill hole ill a single
-~ ... _ -
98 Investigation and in situ testing methods
-------------------------
well casing. The modular design permits as many
monitoring zones as desired to be established
in a drill hole. The system consists of casing
components, which are permanently installed in
the drill hole, portable pressure measurement and
sampling probes and specialized tools. The casing
components include casing sections of various
lengths, and two types of valved port couplings
with capabilities to either measure pressure or
take samples. The port assemblies can be isolated
in the drill hole either by pairs of packers, or with
grout or bentonite, to seal the annulus between
the monitoring zones. The MP system has been
used in drill holes up to 1200m (4300ft) deep.
4.4.2 Permeability measurements
Permeability is the fundamental parameter
governing the flow and pressure distribution of
ground water in the rock mass (Cedergren, 1989).
Permeability values are required for a number of
foundation design procedures, inclUding seepage
in dam foundations, and the effect of drainage
and grouting on ground water pressure distri-
butions. Because ground water flow in fratured
rock takes place predominately in the fractures, it
is necessary that permeability measurements be
made in situ; it is not possible to simulate a
fractured rock mass in the laboratory. The follow-
ing is a brief description of the two most common
methods of in situ permeability testing, namely
falling (and constant) head tests, and pumping
. tests. Detailed procedures for permeability tests
are described in the literature (Horslev, 1951) and
the tests themselves are usually conducted by
specialists in the field of hydrology.
(a) Falling-head and constant-head tests
The principle of these tests is to isolate hydrauli-
cally a section of a drill hole, either in a standpipe
piezometer,or in an openhole with inflatable
packers. Water is then introduced into the stand-
; pipe or drill rods so that the water pressure in the
test .section is higher than the equilibrium ground
water pressure with the result that water flows
into the rock surrounding the test section. Per-
meability is determinedbymeasuringth~ rate at
which a known volume of water flows into the
rock under a known head. In the falling-head test
the rate at which the water falls in the rods or pipe
is measured, while in the constant-head test the , ,
volume of water required to keep the water in ,.
the rods at a constant level is measured.
Permeability tests carried out in piezometers
are limited to the section defined by the position
and length of the perforated portion of the piezo.
meter. However, in an open hole the use of
inflatable packers allows tests to be carried out in
any position in the hole and over any length so the
permeability of selected fracture zones can be
investigated.
Permeability measurements can be made during
diamond drilling using a triple packer system that
is lowered through the rods so that the test is
conducted in a portion of the hole below the bit
(Fig. 4.11). The packer system consists of three
inflatable rubber packers, each 1m (3 ft.) long
which is sufficient to minimize the risk of leakage
past the packer. The lower two packers are joined
.by a perforated steel pipe, the length of which
depends on the required test length, while the top
and middle packers are joined by a solid pipe.
The whole packer assembly is lowered down the
drill hole on the wire line through the drills rods.
The lower two packers extend through the bit
into the open hole, while the upper packer is
located in the lower end of the core barrel.
The three packers are then inflated with nitrogen
through a small-diameter plastic tube that runs
down the hole, to seal the packer assembly into
the rods and isolate a length of drill hole below
the bit. If water is introduced into the drill rods it
will flow through the perforated pipe into the rock
isolated by the two lower packers. This flow of
water is measured by monitoring the change of
water level in the drill rods.
The procedure for both the falling-head and
constant-head tests is first to establish the rest
water level which is the static equilibrium level
of the water table at the drill hole location (Fig.
4.12). Th~ pumping of circulation water during
drilling will disturb this equilibrium and the per-
meability results will be in error if insufficient
time is allowed for equilibrium conditions to be

)f water flows into
. In the falling-head ("
rfalls in the rods or pi
constant-head test
j to keep the watet
el is measured. . drill rods
ied out in piezome"
defined by the pos(
ed portion of the pie
open hole the us'
ests tobe carried oti:
d over any length s6\
fracture zones ca '
ents can be made d
'iple packer system '
ods so that the tei
the hole below th ;,
ystem consists of t '
, each 1m (3ft.) I,
nize the risk of leak
. two packers are jof
e, the length of w"
,st length, while the,
oined by a solid p
ly is lowered down.)
through the drills rq.
:xtend through the"
e the upper packe"
d of the core ba}
1 inflated with nitro
plastic tube that ,
~ packer assembly 'i'
gth of drill hole bel
;ed into the drill rod'
rated pipe into the {
'packers. This flo\,\\ -::Perforated.
nitoting the chang~r
.s."
1 the' ialling-heada,
t to establish the.
:tatic equilibriumJe
Irill hole location f
rculation water dti~.
[uilibrium and the '.
in error if insufficI: ,dpermeability tests in conjunction with
,rium conditions tq'o rilling.
Ground water measurements 99
re-established. Once equilibrium has been estab-
lished" water is introduced into the standpipe
(piezometer test) or drill rods (packer test) to
raise the water level by about 1 to 2m (3 to 6ft).
The flow of water is maintained for a period of
Water level in
about 5 to 10 minutes to establish a new equi-
librium condition. For the falling-head test, the
water supply is cut off and the rate at which the
water level in the drill hole falls is measured;
the increase in head should be sufficient for the
test duration to be at least 3 minutes. For the
constant-head test, the inflow rate required to
maintain the water level in the standpipe at a
constant level is measured.
Permeability k is calculated from the results of
falling- and constant-head tests from the follow-
ing two equations
Falling head: k = ~m (4.9)
Bit _---1""""''''1 Constant head: k = :, (~) (4.10)
where: A is cross-section area of the water column
and equais 1tcfI4; d is the inside diameter of
the drill casing; T is the basic time lag which is
defined as the time corresponding to a normalized
recovery of 0.37 (Fig. 4.12(c; Q, is the flow rate
to maintain a constant head; He is the water level,
measured from the Test water level, maintained
during a constant head test; and F, is the shape
factor.
Test interval The shape factor F, depends on the geometry of
the test section in relation to the location of
Inflation_-t_Ul
line impermeable boundaries. For the two conditions
shown'in Fig. 4.13, the shape factors are defined
pipe in terms of the length L and diameter D of the
se,ction of the hole through which the water will
flow into the surrounding rock. The calculation
procedure consists of preparing a semi-log plot of
the ratio HIH o against time, where H o is the
excess head above the static head at time 10 , and,
His the excess head at time 1 (Fig: 4.12(c)). Ifthe
packer arrarigementfor making ratio HIEo is plotted on the logarithmic scale and
Ion the linear scale, then the basic timelagT is
the time corresponding to a HlHo ratio of 0.37,
 100 Investigation and in situ testing methods
~
. .!

q, flow rate to
maintain constant

--...."..,.,jl-
d
_ _,."...,j C head He

-.-f~ 1>0
H,

Static water -r---j

Jevel, t= 00

Figure 4.12 Method of calculating permeability from(a) falling-head test; and (b) constant-head test in a
standpipe piezometer or in a packer test. (c) Plot of head loss against time.

(b) Pumpe<lweUs these limitations are overcome by conducting

The main limitations ofpermeabiIity tests carried pump tests, as described briefly below.
out in drillholes'atetI1aronly.a'smallvolumeof A pump test arrangement consists of a vertical
rock is tested;andirisn<>rp<>ssibleto determine . weUequipped with a pump, and an array of
the directionalanisotiopy<>fthe r<>ckmass.Both piezometers in which the water table elevation

!Iow rate to
aintain constant
~ad He
Cased
hole
Impermeable
formation
r
D F
(b)
ured in the rock mass surrounding the
.. iezometers can be arranged so that
'" of various geological features on
,r' conditions 'can be determined. For
'ezometers could be installed on either
fault, or in directions parallel and
lar to sets of ""continuous fractures
dding planes. Selection of the best
,of both the pumped well and the ob-
ells requires considerable experience
,'ent and should only be carried out
ugh geological investigations have been
procedure consists of pumping water
yrate from the well and measuring the
ater level in both the pumped well and
.ation wells. The duration of the test can
mOils short as 8 hours to as long as several
epending the permeability of the rock
mt-head test in a )leI1the pumping is stopped, the water
all the wells are measured until a static
iLis determined - this is known as the
~t:~ge of the test. Plots of draw down (or
,rcome by conducY, "lagainst time can be used to calculate
'rietly below. 0
ility values using methods described by
nt consists of a ve~l: 11(1989), Todd (1959), Jacob (1950) and
mp, and an array ~5). 0
water table eleval~'c;. eof the cosland time required for pump
In situ modulus and shear strength testing 101
Figure 4.13 Shape factors for the
calculation of permeability from failing head
tests. (aJ Cased hole with perforated section
of length L. Shape factor
!
21tL (k H ) '
F= ( L);m= k v ;L>4D.
log., 2m D
(b) Cased hole through impermeable
formation; the perforated section is of length
L. Shape factor
21tL
(4L);L>4D.
log'D
tests, they are only conducted for the design of
major structures such dams where both seepage
and uplift are of concern. For other structures,
11
.,:
installation of piezometers to measure the ground
water table and conduct-falling head tests usually
provides sufficient information on ground water "
conditions for design purposes.
.,"
4.5 In situ modulus and shear strength
testing
In situ testing of deformation modulus and shear
strength is sometimes required for the design
of foundations for major structures such dams
and bridges. Circumstances where this might
be carried out include foundations comprising
-highly fractured and weak rock that could be
compressed, resulting in settlement of the struc-
ture, or continuous, low-strength fractures on
which sliding could take place. The need for
in situ testing would arise when it is not possible
to obtain undisturbed samples,' or sufficiently
large samples, for laboratory testing.
4.5.1 Modulus testing
While the modulus of intact rock can be deter-
mined by laboratory tests on pieces of core, the
 In situ modl11l1s (/nd shear strength testing
ow rate to
ltain constant
j He
Cased
hole
Impermeable
formation
, F=
e
o F=
(b)
"lDeasured in the rock mass surrounding the
,!' e piezometers can be arranged so that
'fluence of various geological features on
'11 water conditions can be determined. For
'ce, piezometers could be installed on either
6f a fault, or in directions parallel and
;<~dicular to sets of 'continuous fractures
~~s bedding planes. Selection of the best
i"n for both the pumped well and the ab-
,~hon wells requires considerable experience
!J~dgement and should only be carried out
',thorough geological investigations have been
ect out.
';' test procedure consists of pumping water
'steady rate from the well and measuring the
'in water level in both the pumped well and
bservation wells. The duration of the test can
'Jrom as short as 8 hours to as long as several
J{g'Oepending the permeability of the rock
-head test in a " ,':When the pumping is stopped, the water
"Is'in all the wells are measured until a static
level is determined - this is known as the
ery stage of the test. Plots of draw down (or
)me by conductiri> ery) against time can be used to calculate
fly below. ..,.eability values using methods described by
oonsists of a vertiC~ , Ilergren (1989), Todd (1959), Jacob (1950) and
), and an array::::C{
'(1935).
ller table elevati8' cause of the cost and time required for pump
101
Figure 4.13 Shape factors for the
calculation of permeability from falling h'ead
tests. (a) Cased bole with perforated section
of lengtb L. Sbape factor
!
2nL (kH ) '
( L);m= k ;L>4D.
Ibg., 2m D v
(b) Cased hole through impermeable
formation; the perforated section is of length
L. Shape factor
2nL
(4L);L>4D.
log'D
[I
tests, they are only conducted for the design of II
major structures such dams where both seepage
and uplift are of concern. For other structures,
installation of piezometers to measure the ground
water table and conduct-falling head tests usually "."
provides sufficient information on ground water 1,,1'
conditions for design purposes. ,",,-
.'
"II
'"
4.5 In situ modulus and shear strength
testing
In situ testing of deformation modulus and shear
strength is sometimes required for the design
of foundations for major structures such 'dams
and bridges. Circumstances where this might
be carried out include foundations comprising
highly fractured and weak rock that could be
compressed, resulting in settlement of the struc-
ture, or continuous, low-strength fractures on
which sliding could take place. The need for
in situ Jesting would arise when it is not possible
to obtain undisturbed samples, or sufficiently
large samples" for laboratory-testing.
4.5.1 Modulus testing
While the modulus of intact rock can be deter-
mined by laboratory tests on pieces of core, the
 102 InvestIgation and in situ testing methods

modulus of fractured rock masses, which depends

upon both strain of intact rock and closure of 51
the fractures, must be determined by in situ
methods. With all in situ tests there will be
some disturbance of the rock, particularly where
4'
blasting must be used to prepare the site, and the
test must be designed to evaluate the extent of ;;;
this disturbance. Furthermore, excavation of the Piston pump Dilatometer prObe a.
6
foundation may also involve some disturbance to
(a)
a. 31

?
the rock and it is important to make an assess-
ment of the degree of disturbance at the test site
compared to that in the actual foundation.
Three methods of in situ modulus testing are
@@ (J)
- \ a 21
"0

\k\ ~d:-::. ~
.~
described in this section, starting with tests on a0.
<!
small volumes of rock at the periphery of a drill
hole and progressing to large-scale tests con- 11
ducted in tunnels. The choice of the appropriate
testing method will depend on such factors as
(b)
the spacing of the fractures in comparison to the
test volume, the magnitude of the test load in Figure 4.14 Dilatometer for making modulus
comparison to the structural load, and, of course, measurements in boreholes (ISRM, 1987). ,
~,

time and budget constraints. (a) Components of a dilatometer system. (b) Cross- ,~

section showing fabrication details of CSM-type

Fig
dilatometer.
(a) Borehole tests CS
The deformation modulus can be measured in 1. Piston actuator.
boreholes using either a dilatometer or a borehole 2. Vernier.
3. Valve. mil
jack. The advantages of borehole testing are that
4. Pressure transducer. tiV(
modulus measurements can be made remote from S. Pressure readout. dirt
the surface as part of the exploration programme, 6. High-pressure stainless-steel tubing.
and different geological conditions at the site can
4.1
7. Polyurethane rubber. membrane. \
8. Removable end cap. a (
be examined. Also, the tests can be carried out
9. High-pressure connection. kn<
relatively quickly and at a lower cost compared
10. Pipe thread for insertion tool. cor,
to plate load and radial jacking tests. The dis-
11. Fluid passage. an'
advantages of borehole tests are that the volume
rea
of rock tested is small and the measurements are
unl
only in the direction at right angles to the bore-
hole axis which may not coincide with the loading 1966). This latter type, in which the measurement
Ed
direction of the structure. devices are arranged at right angles, has the
(IS
advantage that the anisotropy of the rock can he
The dilatometer measured.
This exerts a uniform radial pressure on the walls Figure 4.14 shows the. components of a
of the drill hole by means of a flexible rubber Colorado School of Mines (CSM) type flexible
an,
sleeve. The expansion of the borehole is meas- dilatometer. The expansion volume of the bore-
ured by the oil or gas flow into the sleeve as the hole is measured with a hand-operated screw
pressure is raised (Goodman et aI., 1968), or pump in which the number. of turns or part
wh
by potentiometers or linear variable differential turns are measured precisely; this requires that
bn
transformers built inside the sleeve (Rocha et al. , the hydraulic system be of rigid construction to
 104 Investigation and in situ testing methods
------=-------------------------------
attain Pi, and m p is the slope of pressureldilation
curve for dilation in air (MPa/turn).
Another correction is required to account for
loss of volume in the hydraulic system that takes
place in inflating and seating the membrane. For
the test measurements shown in Fig. 4.15, the net
corrected number of turns tJ.n,o" is calculated
from
Pi
.6n corr = n - nseat - k, (turns).
.
(4.18)
(b) Borehole jack
As an alternative to the flexible dilatometer, the
borehole jack can be used to measure ro'ck de-
formability in a drill hole. The jack exerts a
directional pressure by means of semi-cylindrical
steel loading platens, with the deformation being
measured with linear variable differential trans-
formers built into the cell. Calculation of the
modulus is carried out in a similar manner to that
of the dilatometer, except that allowance must be
made for the more difficult boundary conditions.
It has been shown by' finite-element analysis
that calculated values of rock modulus should be
corrected to account for the variation in the ratio
between the steel and rock moduli (Heuze and
Salem, 1977). When the modulus of the steel is
much greater than that of the intact rock (Esteell
Erock > 75), the correction
' . factor is negligible
because there is little deformation of the steel
platens as the pressure is applied. However, with
increasing values of the rock modulus, the
modulus value calculated from the jack test E""
is less than the true rock modulus Ero'k and the
correction factors shown in Table 4.4 should be
applied.
Plate load test
The plate load test comprises application of a
compressive stress normal to the rock surface and
measuring the deformation of the rock as the
load is applied. The test can be carried out in
an exploration adit where the opposite wall of
the aditprovides the teactionto the applied load,
and with the load oriented to coincide with the
Table 4.4 Correction factors for
borehole jack modulus measurements
30.0
1.75 7.5
2.38 4.8
2.86 3.9
3.70 3.2
.direction of the structural load, such as the thrust
of the abutment of an arch dam. Alternatively,
the test can be conducted at the surface with reo
action applied by means of a cable anchored at
some depth below the surface (Hiltscher ef al.,
1984). In low-modulus rock where substantial
deformation is expected, the load can be applied
by means of a hydraulic jack. However, the test
can be time consuming and expensive because
of great weight of the jack, and an alternative
means of applying the load is to use flatjacks ".~. F
(
placed between the two reaction surfaces (Fig.
4.16). Although flatjacks are lighter and easier 1
to handle than hydraulic jacks, they have limited 2
expansion capacity (about 5mm or 0.2in), and 3
a series of flatjacks are required if substantial 4
5
deformation is expected. 6
Site preparation consists of removing all rock 7
that may have been loosened by blasting during 8
excavation of the adit and then using grout to 9
create a uniform bearing surface normal to the
load direction. The theoretical basis for the plate
load test is that the load is applied to an infinite
half space, a condition that is not met in a tunnel e.
which consists of a small. hole in an essentially u
infinite volume of rock. In .order to minimize the tl
restraining effect of the surrounding rock on the d
deformation induced by the plate loading test, it u
has' been shown that the width of the tunnel d
should be not less than twice the diameter 01 I: , !I
the loaded plate as shown in- Fig. 4.17 (Misterek tl
et aI., 1974). u
Deformation measurements are made with a ti
tUllllel diameter gauge that registers the increase
in width of the tunnel, and with multi-position n
 106 Investigation and in situ testing methods

re
r~
C

of
COl
(al
res
f"
ter
ag'
USf
, sat
7
, pia
me
ani
or
COl

R 2R R (d)
~.
1Th
.~naJ
......
. f a~'
(b)
,. dm
sm
Figure 4.17 Required dimensions of adit for conducting uuiaxial jacking tests (Misterek el al., 1974, Copyright de,
ASTM reprinted wilh pennission): (a) analysis condition -loading at boundary of semi-infinite elastic solid; and for
(b) site conditious showing required dimensions of tunnel. Note: R is the radius of the loaded area and the pel
diagrams are not to scale. are
sui
me
C(l - v 2 )p , ~ is
E z = C(1 - yZ)p[(r+z
1 2 2)12 -z]
E, = 0 [(r~ + Z2)2 -
, (d + z2)2J 0, ca~

of
+ v)p[('12 + Z2)_12 -
+' z2(1 o (2
'2 + Z2)-';'
2J, _ z(l ;, v)p[z(r2 + z2f! - 1]. (4.20) fol
, tio
(4.19) iac
For measurements at the surface of the rock i" COt
where z = 0, this expression reduces to ,, me
where 0, is the measured deflection at depth z
below the lower surface of the bearing plate; p is I
thl
(4.21) , th,
the applied pressure on the bearing plate; v is i
Poisson's ratio; rris the radius of the hole in the , I
The theoretical solution fora perfectly rigid plate
.','- pre
centre of the bearing plate; r2 is the outer radius
gives the constant C as 11/2, or 1.57. However,
, W,
of bearing plate; and C is a constant (see below).
For a Circular bearing plate with radiusr and no allowance must be made for the slight flexibility 1\ an<
centre hole and deflection measurements 'made at of the plate through which the load is applied '1
depths z below the rock surface, the deformation which results in the deformation being somewThh~1 il
dpaal,
modulus is given by greater than the theoretical deformation. IS
 108 Investigation and in situ testing methods

B~

"'.;', ::.. ",. : , ', <~t?~ .-/.

/
/'

A-A
B.J B-B
Figure 4.18 Radial jacking test: pressure applied with water pressure; exteusometers aligned parallel and
perpendicular to geological structure (Oberti et al., 1986).

1. Extensometer lead wires. 5. Reinforced concrete ring.

2. MPBX- total "Hour. 6. Inflatable rubber ring.
3. Steel tube. 7. Roller to position tube.
4. Waterproof lining.

--\
\
\

Figure 4.19 Details of the arrangement of flat

jacks in a radial jacking test (ISRM, 1981).
1. Circular steel set.
2. Wedge to expand steel set.
3. Central reference beam.
4. Expansion measuring surface. radius '2'
5. Flatjack radius r,.
6. Steel rod.
7. Dialgauge extensometer.
8. Hardwood lagging.
9. Flatjack.
10. Shotcrete lining.
11. Rock surface.
12. Extensometer drill hole.
 11 0 Investigation and in situ testing methods

""''-...-_.L-~-~-=50::-~'---~~-~-1::0=O--+-- Displacement !J.

(~~)
!J.p

Figure 4.21 Typical pressure/displacement curves for radial jacking test (ISRM, 1981).
-
o

Figure
02

SC~L~

\;,
.;~- ._test in (
i 1. Ro
sliding stability, and which contains an infilling 2. Ha
E = pZ7z(1 + v) (4.27) 3. WI
m L\t V ' such as a sensitive clay that would be disturbed
4. Ha
by removing the sample for laboratory testing. 5. St,
where pz is the maximum test pressure, and v is Probably the most important purpose of an in
the estimated value for Poisson's ratio. 6. 30
situ shear test is to determine the cohesion of 7. Di:
As an alternative to equations (4.26) and the fracture infilling because this strength para 8. St,
(4.27), the moduli of undisturbed rock may be meter can have a very significant effect on the 9. Re
calculated taking into account the effect of a stability. It is difficult to obtain an intact, undis- \ 10. Be
fissured and loosened region by using the follow- turbed sample of a fracture containing a soft clay
i n. St)
ing formulae: 12. 50
and determine the peak shear strength in the 13. St,
laboratory. However, in some circumstances,
E = pZ72(1 + v + In 7 3) (4.28) samples may be dug out of the fracture and
Ae v r2 .
recompacted, at the correct moisture content,
E m = pz
-- 7Z - -(1
+ -v 73) ,
+ In- (4.29)
into a laboratory shear box and the approximate
cohesion determined in this manner. An effective
using-!
the te~
At v r2
test programme would consist of a limit number firs.! ta
73
where is the radius,to the.limit of the assumed of in situ tests, backed up by extensive laboratory t: above
fissured and fractured zone, testing. L infillin .
,>,t
A typical in situ direct shear test setup is shown ~' possib!
in Fig. 4.22 (Saint Simon et al., 1979). In the case t,. strong,
4.5.2 Direct shear tests f emph
of tests conducted in adits, the reaction for the
Direct shear tests may be conducted in situ where normal load is obtained from the opposite wall of : the sh
there is a fracture that has a critical influence on the adit. Tests can be conducted on a rock surface coinci(
 References 111

The test procedure would essentially be similar

to that of the laboratory direct shear test in that
a constant normal load is applied and the shear
load is gradually increased until sliding takes
place. The normal and shear displacements are
measured with dial gauges. By having a means of
resetting the sample after each test, it is possible
to conduct tests at a number of different normal
loads and obtaill values of both the peak and
residual strengths (Section 3.4.3).

4.6 References
Barton, N. R. (1973) Review of a new shear strength
criteria for rock joints. Engineering Geology, 7.
>placement .6.
189-236.
Black, W. H., Smith, H. R. and Patton, F. D. (1986)
ffi) 1).8 l-Gm Multi-level ground water monitoring with the MP
System. Proc. NWWA-AGU Conf. on Surface and
Borehole Geophysical Methods and Groundwater
;i/
.:{l'ypical set up for an in situ direct-shear Instrumentation, Denver, CO, pp. 41-61.
air(Saint Simon et ai" 1979), Bourbonnais, J. (1985) New developments in rock ,
j .. testing and monitoring equipment for tunneling !~
anchor. projects. Proc. 5th Annual Canadian Tunneling
ich contains an r ZRJ~ced concrete. Conference, Montreal, pp. 106-25.
that would be disf Call, R. D., Savely, J. P. and Pakalnis, R. (1982)
A simple core orientation device. In Stability in
, for laboratory t,
Surface Mining (ed. C. O. Brawner), SME, AIME,
>rIant purpose of? New York, pp. 465-81.
ermine the cohesl, Cedergren, H. R. (1989) Seepage, Drainage and
ause this strength~ FlownelS, 3rd edn, Wiley, New York.
,ignificant effectb Deere, D. U. and Miller, R. P. (1966) Engineering
obtain an intact,' Classification and Index Properties of Intact Rock.
re containing a so, Technical Report No. AFWL-TR-65-1l6. Air Force
Weapons Laboratory, Kirkland Air Force Base,
: shear strength L
New Mexico.
n some circumst Fecker, E. and Rengers, N. (1971) Measurement of
lit of the fracturb\ large scale. roughness of rock planes QY means of
rrect moisture cort' profilometer and geologica! compass. Proc. Symp.
ox and the appro,,!' lei anchored into the rock adjacent to on Rock Fracture, Nancy, Paper 1-18-
lis manner. An eff;' iteto supply the normal reaction. The Freeze, R. A. and Cherry J. A. (1979) Groundwater,
lnsist of a limit nu' .in the test is to isolate a block of rock Prentice-Hall, New Jersey, p. 234.
Geological Society Engineering Group Working Party
by extensive labot~ 'efracture surface without disturbing the
ii' (1970) The logging of rock cores for engineering
,'.",
'in' weak rock such as shales it may be purposes. Q. J. Eng. Gel., 3,1-24.
;hear test setup is~. _l;Luse hand excavation methods, but in Geological Society Engineering Group Working Party
et al., 1979). In th .rocks .diamond saws would have to be (1977) The description of rock masses for engineer-
.ts, the reaction fo, iE-Wherever possible, the direction of ing purposes. Q. J. Eng. Gel., 10, 355-88.
com the opposite'I!:, F'load .shouid be set up so that it is Golder Associates (1988) Structural geology - stereo-
:fucted on a rocks, . Iwith the likely direction of sliding. graphic analysis package. InternaL report.
 112 Investigation and in situ testing methods
~
Golze, A. R. (ed.) (1977) Handbook of Dam Engineer- instrumentation of rock, ASTM, STP 554, Am S .~'
ing. Van Nostrand Reinhold, New York, pp. 235- Testing and Materials, pp. 35-51. . DC \WJ!llC
40. Oberti, G., Bavestrello, F. and Rossi, R. P. (198 (191
Goodman, R. E. (1976) Methods of Geological En- Rock mechanics investigations, design and &) mOc
gineering. West, St Paul, pp. 102-22. struction of the Ridracoli Dam. Rock Mech COn.
. al/cl
Goodman, R. E., Van, T. K. and Heuze, F. E. (1968) Rock Eng., 19, 11 3- 42 .
The measurement of rock deformability in bore- Patlon, F. D. (1987) Personal communication.
holes. Proc. 10th Symp. on Rock Mechanics, AIME, Peterson, J. E., Sullivan, J. T. and Tater, G. A. ( t
1982
Austin, Texas, pp. 523-55. The use of computer enhanced satellite imagery f
Heuze, F. E. and Salem, A. (1977) Rock deformability geologic reconnaissance of damsites. lCOLD, 14~;
measured in situ - problems and solutions. Int. Congo on Large Dams, Rio de Janiero, 053, R26'
Symp. on Field Measurements in Rock Mechanics, Vol. II, pp. 449-71. '
Zurich, pp. 375-87. Rocha, M. (1967) A method of integral sampling 01
Hiltscher, R., Carlsson, A. and Olsson, T. (1984) rock masses. Rock Mech. 3(1), 1-12. ;,
Determination of the deformation properties of Rocha, M., DaSilveira, A., Grossman, N. and
bedrock under turbine foundations. Rock Mech., DeOliveira, E. (1966) Determination of the de,
17,37-49. formability of rock along boreholes. Proc. 1st ISRM
Horslev, M. S. (1951) Time Lag and Soil Permeability Cong., Lisbon, Vol. I, pp. 697-704.
in Ground Water Measurements. US Corps of En- Ross-Brown, D. M., Wickens, E. H. and Markland, J.
gineers Waterways Experiment Station, Bulletin (1973) Terrestial photogrammetry in open pits: Part
No. 36. 2 - An aid to geological mapping. Trans. IMM
International Society for Rock Mechanics (198Ia) Rock 82(A), 115. '
Characterization, Testing and Monotoring; ISRM Saint Simon, P. G. R., Solymar, Z. V. and Thompson,
Suggested Methods (ed. E. T. Brown). Pergamon W. J. (1979) Damsite investigation in soft rocks of
Press, London. Peace River yal);;y., Alberta, Canada. Prqc~4th Int.
International Society for Rock Mechanics (198Ib) Cant on Rock Mechanics, Montreux, Vol. 2, Int.
Basic geological description of rock masses. Int. J. Soc. Rock Mechanics, pp. 5.53-60.
Rock Mech. Min. Sci. & Geomech. Abstr., 18, Skermer, N. A. (1984) M Creek debris flow disaster.
85_110. Canadian Geotechnical Conference: Canadian Case
International Society for Rock Mechanics (1987) Histories, Landslides, Toronto, pp. 187-94.
Suggested methods for deformability determination Stahl, R. L. (1973) Detection and Delineation of Faulls:
using a flexible dilatometer.lnt. J. Rock Mech. Min.
Sci. & Geomech. Abstr., 24(2), 123-34.
by Surface Resistivity Measurements - Gas Hills
Region, Wyoming. US Bureau of Mines, RI 7824.. i
r
Jacob, C. E. (1950) Flow of Ground Water, in En- Terzaghi, R. (1965) Sources of errors in joint surveys. i.
gineering Hydraulics (ed. H. Rouse), Wiley, New Geotechnique, 15, 287. :..
York, pp. 321-86. . Terzaghi, K. and Peck, R. P. (1967) Soil Mechanics in .,1,-
Louis, C. (1967) A Study of Groundwater Flow in Engineering Practice (2nd edn), Wiley, New York, ~.
Jointed Rock and its Influence on the Stability of pp. 660-73. .
Rock Masses. Doctorate Thesis, University of Theis, C. V. (1935) The relation of the lowering of Ihe
Karlsrue (in German). English translation Imperial piezometric surface, and the rate and duration of I
College (London) Rock Mechanics Research Re- discharge of a well using ground water storage. i
port No. 10, Sept. 1969. Trans. Amer. Geophysical Union, 16, 519-24. I
Luti, J. and Morey, J. (1988) Utilization and Com- Timoshenko, S. and Goodier, J. N. (1951) Theory of
puterization Processing of Exploratory Drilling Par- Elasticity (2nd edn), McGraw-Hill, New York. ;
ameter Recordings. JEAN LUTZ S.A. Technical Todd, D. K. (1959) Ground Water Hydrology. Wiley, I
Literature No. 88-136. New York, pp. 47-9 and pp. 78-114. ,
Misterek, D. L. (1969) Analysis of data from radial Tranter, C. J. and Craggs, J. W. (1945) The sire_
jacking tests. Determination of the in situ modulus distribution in a long circular cylinder when a dIS-
,r
of deformation of rock, ASTM STP 477, Am. Soc. continuous pressure is applied to the curved surface.
for Testing and Materials. pp. 27-38. Phil. Mag., 36, 241-50. ....
Misterek, D. L., Slebir, E. J. and Montgomery, J. S. VanDine, D. F. and Lister, D. R. (1983) DebrIS
(1974)Bureau of Reclamation procedures for con- torrents - a new natural hazard? The Britislr
ducting uniaxial jacking tests. Field testing and Columbia ProfessionalEngineer, 34(12), 9-12.
 References 113

., ASTM, STP 554, AmI Slebir, E. J. and Anderson, F. A. Determination of the in situ modulus of defor~
pp. 35-51. }; i~ methods for determining deformation mation of rock, ASTM STP 477, Am. Soc. for
F: and Rossi, R. P. ( ed by the Bureau of Reclamation. Testing and Materials, pp. 3-26.
;tIgatlOns, design and!
coli Dam. Rock Mec"
,
)oal communication.
. T. and Tater, G. A. ,
Ihanced satellite imag:'
e of damsites. [COLd
. Rio de Janiero, Q51

hod of integral sam~1

:h. 3(1), 1-12.:
A.. Grossman, N:
Determination, of 'th
Ig boreholes. Proc. 1st:
pp. 697-704. .~.
ens, E. H. and Markl!!
grammetry in open pi.'
ical mapping. Trans.';~

ymar, Z. V. and Tho

nvestigatiQn in soft f<f
b~rta. Canada~ PrqG:"1,"
'lECS, Montreux, Vatu
pp. 553-60. :i
Creek debris flow dl
Conference: Canadia"
roronto, pp. 187-94t
on and Delineation of!.
Measurements - 0-"
Bureau of Mines, Rri~.
es of errors i~ joint s'.'

~Iation of the loweringt

Ild the rate and durati
sing ground water s(
ical Union, 16; 519~2
,lier, J. N. (1951) The)
;cGraw-Hill, New Yor
nd Water Hydrology ..
nd p.p. 78-114...
~s, J. W. (1945) Th~:,
~ircular cylinder whe_ri\.
,pplied to the curved .
J.
ster, D. R. (1983)
ltural hazard? The-:-:~
Engineer, 34(12), f...,.~.
 .......,
". 1

5
Bearing capacity, 1

settlement and
stress distribution

5.1 Introduction loads on horizontal surfaces. Where external

loads such as wind, water and seismic forces
Two types of rock foundation, each requmng act on a structure, .overturning moments and (aj
different design procedures, are illustrated in uplift forces may be developed and the foun.
Fig. 5.1. The upper photograph shows spread dation design must accommodate these COn-\;.
footings for a cut and cover structure founded ditions. When uplift forces are developed it''f ~
on an interbedded sequence of very weak sand- may be necessary to install tie-down ancho~
stones and shales. With each footing surrounded as described in Chapter 9.
by a considerable extent of intact rock, the pri- The majority of foundations on rock are spread
mary design task for these foundations is deter- footings at the ground surface, but there are
mination of the allowable bearing pressure and conditions for which this type of footing may not
the magnitude of the settlement. The lower be suitable. These conditions include locations
photograph shows a bridge foundation located where the available bearing area is insufficient
near the crest of a vertical slope in. very strong resulting in excessive contact pressure, or)Y11,ge
granite. The rock has adequate bearing capacity suitable bearin su occur at a considerable
for t~ appli~d loads and settlement will be elastic del' ~.!ndjLis uneconomical to excavate the
and negligible-,- Therefore, the primary design overlying"weak material. In these cases socketed
task is to ensure thai blocks of rock in the foun- piers ",<>aId b~.!e<J!:l!!ed .ee <::h",gter 8).
dation formed by continuous .joints are stable The design of surface footings on rock en
against toppling or sliding. compasses the following examinations of dif
This chapter describes methods for deter- ferent aspects of foundation performance:
mining the bearing capacity and settlement of
footingif"on fractured rock, while Chapter 6 dis- 1. The bearing capacity of the rock to ensure
cusses found,\tion stabilit . that there will be no crushing or creep of the
A artlcu ar feature of spread footings on rock material within the loaded zone;
is that the bearing surface need not be normal to 2. Settlement of the foundation which will result
. the direction of the'applied load because rock from elastic strain of the rock, and possibly
has significant shear strength, and it is possible inelastic compression of weak seams within
to install anchors to provide additionaI"shear the volume of rock compressed by the applied
resistance if required.. Thus, verticalJoads can load;
be supported on sloping rock faces,. or inclined 3. Sliding and shear failure of blocks of rock
 lpacity,
tand
ribution

urfaces. Where
Nater and seismic
verturning moment'
Jeveloped and the"
,ccommodate these'
forces are develop:
install tie-down air:.-
. 9. ,~rf

lations on rock are Ii

I surface, but ther'
s type of footing m~
lditions include loca
:aring area is insu."
)fitact pressure, or "
occur at a consid'
nomical to excavat
i:r;;'these cases sod
I (see Ch?Q!eI~r ,
:e footings on roclI:
og examinations 0,
,tion performance: -;'

y of the rock to en
crushing or creepo
)aded zone;
mdation which will
f the rock, and ps>:
1 of weak seamsW;
)mpressed by the iIf ,1 Photographs of foundations on rock showing different geometrical and geological conditions. (a)
-".tings for a cut and cover structure-founded on very weak, horizontally bedded rock (b) Bridge footing
dlure of blocks ~,r,ong rock containing continuous vertical fractures (photograph by Mark Goldbach).
 116 Bearing capacity, ,settlement and stress distribution
-...........
formed by intersecting fractures within the of foundations in the following geologic'l
foundation. ThlS-condiilon usually occurs conditions:
where the founjatio!Lis 10cat~d.o!,asteejJ
1. Fractured and weathered rock;
slope and the orientation ..Qf...!b.ciractures
2. Shallow dipping bedding planes;
is sliChthat the blocks can slide out of the
3. Layered formations;
free face.
4. Karstic formations.
The performance of a foundation must be
checked with respect to all three of these con-
5.2.1 Buildingcodes
j
-I
ditions because they are independent of each
If:1
other. For example, a footing on very strong For many structures, the required dimension I~l
rock with ample bearing capacity and minimal of the footing bearing area can be detennine:'
settlement may still fail if blocks formed by con- from published tables or building codes which ' fl' .j
tinuous fractures can slide from the foundation. list allowable bearing pressure for various rock :n
Also, a footing on a thin slab of strong rock may types. Table 5.1, from the building code for Ihe (j
exhibit excessive settlement as a result of com- city of Rochester, New York, gives allowable (i~
pression of an underlying soft seam despite the bearing pressures for three classes of rock defined ,~
upper layer having adequate bearing capacity bY their strenbgth,. and deS~rtibe(Gsthe influence of ,tJj"q
and there being no open face on which a sliding fractures on earIng capacI y 00 d man, 1980) ~
failure could take place. Ta?le 5.2 lists allowable bearing pressures for a,., di
varIety of geologIcal condItions defined by rock .:- h~
type and age. .::, _\j~S
5.2 Bearing capacity The bearing pressur!"s listed on Table 5.2 have t .-
been developed from'. observations of existing 11
The usual method of determining allowable
stable structures and incorporate a substantial vol
bearing pressures is to use published tables or
factor of safety so settlement should be minimal i~1
building codes relating allowable values to rock
type. However, in circumstances where the rock
However, the values given are related mainly to ,he
the rock strength, and must be reduced where .
conditions do normatch des.cnptlQos in the codes,
the rock is weathered, fractured, or is non
it is .!!!Q!.e apphcable to use limit equilibrium
homogeneous and contains seams of weak and
or numerical methods mcorporating appropriate
decomposed rock. Usually allowable bearing
rock mass strength parameters. The method used
pressures are determined from the allowable
will depend on such factors as movement toler-
settlement, which in rock is mainly related to
ances and the complexity of geological condi-
the fracture characteristics. Settlement results
tions at the site. Thus, for a low-rise building
from closure of open fractures, and compression
located on a uniform rock type it is common to
of scams containing low-strength infillings.
use the codes to determine the allowable bear-
Where the rock is sound but fractured, the bear
ing pressure, while for a dam or large bridge on
ing pressures given in Table 5.2 can be modified
fractured rock containing seams of compressible
to ensure that settlement is minimal. The effect
rock, more detailed analysis would be required
of fracture intensity On bearing capacity can be
(Rawlings and Wyllie, 1986).
estimated from the ROD of drill core as follows Th
For many rock foundations, the rock is stronger
(Peck et al., 1974): In
than the concrete from which the footing is con-
structed so the bearing capacity of the rock will RQD > 90% - no reduction; int
i
be of no consequence. It is found that bearing 90% > RQD > 50% - reduce bearing f, api
capacity problems usually relate to details of pressure by th,
the structural geology. This section describes factor of about ge,
methods of determining the bearing capacity 0.25 to 0.7; tht
 Bearing capacity 117

1e following ,'sions of the Building Code for Rochester, New York (dates given in parenthesis)

Seamy rock: (11/29/60)

ered rock; If seams of rock or soil having little or no bearing
ding planes; inton and Queens~own shale value occur within the 1.5 m (5 ft) depth below
k: Rochester shale a bearing area *:
: Lockport dolomite and Medina
I. Seams less than 6mm (1/4 in) thick may be ignored.
::""Sandston~ 2. Seams 6to 13 mm (1/4 to 1/2 in) thick occurring
'ii deeper than 1 m (3ft) may be ignored.
~ .the bearing surface passes through at 3. Seams thicker than 13mm (1/2 in) and deeper than
the required dimJ' ft) of rock, the bearing capacity shall be:
,,." 1.5 m (5ft) may be ignored depending npon the
fP.
area can be dete" discretion of the building inspector.
OOidps/ft2) in soft rock; 4. Seams more than 13 mm (112 in) thick occnrring
or building cOdeS'
" Jips/ft2) in medium rock; within a depth of 1.5 m (5 ft), or more than 6 mm
fressure for varioli .. kips/ft') in hard rock; (1/4 in) thick in the first 1 m (3 ft) of depth are
the bUilding code,'. "'t aU 1.5 m are in the same kind of rock) unsatisfactory. The bearing surface is to be lowered
v York, gives all'" ~;
below the bottom of the lowest known seam of
ee classes of rockdJ thickness greater than 13 mm (1/2 in) and further
lescribes the influ~ '~s than six stories or 23 m (76 ft) high, as required to meet these provisions. A new boring
>acity (Goodman;; ,'lif Buildings may reduce the number of or borings shall be reqnired and any seam occurring
, bearing pressurt qilired to be as few as, but not less than, in the new borings shall be examined as above.
" number of bearing areas, if in his or 5. The building inspector may order pressure grouting
nditions defined '
e nattire and condition of the rock of-seams and tests to establish bearing values of
mission. (1/11/66) grouted foundations.
, listed on Table 5(..
observations of l& , ) depth limit for weak seams is a guideline that may not be applicable under all conditions. An estimate on the
ncorporate asub~ influenced by a foundation load can be obtained by assuming that the stress in the rock is insignificant once the
than 10% of the applied stress. For isotropic, elastic rock, the stress distribution in the foundation takes the
ment should be ni; .with a side slope angle of 1H:2V, defining the rate at which the foundation stress diminishes with depth. Under
'en are related In'itt , the 10% stress level occurs at a depth equal to about twice the width of the footing.
must be reduce&
, fractured, or .:1':-
ains seams of we'"
,ally allowableb'
:ed from the allo' - reduce bearing power plants where a high degree of reliability
Ick is mainly relat' pressure by a is required, there are a number of methods of
<tics. Settlement'); factor of about calculating the allowable bearing capacity, as
lctures, and compi,:: 0.25 to 0.1; . described below.
low-strength, infiJ reduce bearing
I but fractured, the', pressure
5.2.2 Bearing capacity of fractured rock
lble 5.2 can be md: further if
It is minimal. The~ extensive clay Calculation of bearing capacity for closely frac-
bearing '0 seams present. tured rock is carried out in" a manner similar to
) of drill core soil mechanics rgsedI!ffiLi!LlYbidL~tjy.e-"!Ld
iCation of the allowable bearing values , ass,ve wedges are developed in the rock under
,~"9,:rand these reduction factors requires tile footing. The shear strength parameters used
-no reduction; 'ou e on subsurface conditions and the in the analysis are those of fractured rock, or
- reduce bearing qn.of some judgement. If it is considered fracture surfaces where the wedge shapes are
pressure by actual rock properties do not meet the determined by the geologiCal structure.
factor of about }>nditions applicable to Table5.2, or for It is assumed that these wedges can be de-
0.25 to 0.7; 'of struCtures such as dams or nuclear fined by straight lines to form active zone A and
 118 Bearing capacity, settlement and stress distribution
--------, ~
Table 5.2 Allowable bearing pressures for fresh rocks according to typical building codes. Reduce values t
account for weathering, unrepresentative fracturing or non-homogeneous rock*. Values from Thorburn (l~f j
and Woodward et ai, (1972), Ontario (1983) )61 I
j

Rock type Age Locations Allowable bearing pressure, (M Pal --------- .~

1 23456789
ill
Granite Ontario
Manhattan schist Pre, Camb New York
Fordham gneiss' Pre, Camb New York
Dolomite L. Paleoz Chicago

Massively bedded UK'
Iimestone t
Mica schist
Limestone
Hard, cemented
shale
Austin chalk
Dolomite
Pre. Camb
U. Paleoz

Cretaceous
L. Paleoz
, Philadelphia
St Louis
UK'

Dallas
Detroit
-
Clay shale
Pierre shale Cretaceous
UK'
Denver

Fox hills sandstone Tertiary Denver

--

Hard, very dense Ontario
glacial till
Eagleford shale Cretaceous Dallas
Solid chalk
Limestone
Cretaceous
U. Paleoz
UK'
Kansas City

---
Mica schist Pre. Camb Washington
Schist and slate UK'
Argillite Pre. Camb Cambridge MA
Newark shale Triassic Philadelphia
Friable sandstone Quarternary Los Angeles
Friable claystone and Tertiary OaklandCA cig
sandstone ,. cii1
~,_ ~': .. -St1'1
o 20 40 60 80 100 120 140 160 180 200 220 f i'l
of
kips/ft. 2 COl
'" a range of pressures 'relates approximately to fresh, massive rock to moderately fractured and weathered rock - see RQD stri
reduction factors, section 5.2.1.
t thickness of beds greater than 1m, joint spacing greater than 2 m; unconfined compressive strength greater than 7.7 MPa (for
cal
lOOmm cube). . Bf<
*Institutionaf Civil Engineers Code of Practice 4. tio
Sound rock such that it rings when struck and does not disintegrate. Cracks are unweathered and open less than to mm.
af

passive zone B, as shown in Fig. 5.2(a). E2La triaxial compression test with the mjljor principal
footing of infinite len th beann on oriwntal ,stre~iIlg,~~:'.{)Etally. T~"_minor principal wi
rock nrface, the rock under the foundation is stress on zone B is zero if the foundation IS at th,
assumed to be m compression similar to a speci- theS"~rface, and if the footingTs-bejow the rock ro
menIn a triaxiaCcornpression test. The'rrtajor surface, the surcharge q, is equal to the average c6
prinCipal stresSIii'zone~ATs equaI to the foun- vertical stress produced by the rock weight. an
st,
dati~ prelsu~e q, if the weigh! of the fock be- At the moment of foundation failure both
neat the 00 mg IS neglected. Zone B is like a zones shear simultaneously and the minor prin'
 Bearing capacity 119

odes. Reduce values'

acting on zone A, O'IA' The minor principal stress
ue, from Thorburn d on zone A is the strength of the rock in zone B,
and is equal to the uniaxial strength of the rock
mass when the surcharge is zero. The uniaxial
"8 pressure, IMPa) compressive strength of a fractured rock mass is
6 7 8 a = (450 + <1>/2)
"u(m) = (SO'U(')')! (5.2)
Wedge B
and the bearing capacity is equal to the major
principal stre'ss in zone A which is given by

1
O'lA = (m,,*) "u(m) + S"*) 2)2 + O'u(m) )
I _1 t
= s2,,*)[1 + (ms , + 1)2). (5.3) .
Maximum The plot in Fig. 5.2(b) shows the relationship
principal
stress
between the strength "iA and the confining
cr, Strength stresses provided by the surrounding rock 0'3A'
=crtA
I
This illustrates that a very significant increase !
in the bearing capacity is produced by a small i
increasein the confining pressure.
Theallowable bearing pressure q, is related
to the rock mass strength by the factor of safety

-
'2 Analysis of bearing capacity of fractured F and the correction factor Cn
,active (A) and passive (B) wedges in I _1 1
)1; and (b) curved rock mass strength _ Cns2"u(d1 + (ms 2 + 1)2) (5.4)
"}q is the bearing pressure, qa is the allowable q. - F
ressure, (j3 is the minor principal stress,
q~, q ~ quo The correction factor Cn is applied to the cal-
< culated allowable bearing pressure to account for
the shape of the foundation and has the values
'"ess "3A in zone A equals the major prin- given in Table 5.3 (Sowers, 1970).
}~ss in zon~ B, "lB' The minor principal For most loading conditions on so~rock
. n zone A is roduce'a v tbe reslslaB< the factor of safety will be 10 the range of 2 to 3
eB to b . wliJcliWill ensure that there is little risk of settle-
essive stren th of the rock mass. The ment. A factor of safety of 3 is used for the dead
, of rock in triaxial com ression ("\> "3) load plus the maximum live load. If part of the
~:defined as a curved envelop'!. (Hoek- live load is temporary such as wind and earth-
t:stren th criterion as described in Sec-
i3:3. Using this criterion, the strength of Table 5.3 Correction factors for foundation shapes
i,'!::":..
. red rock mass is . (L = length, B = width)
r._'_____ 1
,~ (m"*)"3 + sO'uV)')j + 0'3, .(5.1) Foundation shape en Cf2
~'and s are constants which depend upon
,'eaf rock and the degree. to which the Strip (LIB> 6)
Rectangular
1.9 1.0
l;~fracturd (see Table 3.5). "u(,) is the un- 1.12 0.9.
LlB=2
.~d.compressive strength of intact rock, 1.05 0.95
LIB =5
~i;"3 are the major and minor principal Square 1.25 0.85
eg;, Circular 1.2 0.7
~a.lion (5.1) gives the major principal stress
 120 Bearing capacity, settlement and stress distribution
quake, then a factor of safety of 2 can be used
(US Navy, 1982).
In the equations to calculate the allowable
bearing capacity for a fractured rock mass with
the strength defined by curved strength en-
velopes, it is important to distinguish between
the compressive strength of the intact rock and
that of the rock mass. The intact rock strength
O"uV) is determined from laboratory tests on rock
cores, and the degree of fracturing of the rock
mass is accounted for by the constants m and s.
5.2.3 Rece~sed footings
In the case of a footing which is recessed into the
rock surface, it is necessary to modify equation
(5.4) to account for the increase in the stress O"IB
as a result of the confining stress q, applied at
the ground surface. That is, the minor principal
stress 0"3B is equal to q, and the modified values
of the allowable bearing pressure are as follows:
Curved strength envelope:
I
= Cn[(mO"*)O", + sO"u(,/)2 + O",J
qa F ' (5.5)
where 0", = (mO"*l q, + sO"uV/)! + q,. (5.6)
5.2.4 Bearing capacity factors
For weak r~ with little fracturing an expres-
sion for the allowable bearing capacity is the
Bell solution, which is developed/using the same
'princlples as described in Section 5.2.2. This
bearing capacity analysis takes into account the
weight of the rock in the active wedge, as well
as the confinement provided by the surrounding
rock where the footing is recessed below the sur-
face. The Bell solution for the allowable bearing
capacity is
ClI cNe + Cl2 ~y Ny + yDNq
qa = --""--:~---F-:::--\\~-~ . (5.7)
where B is thefooting width, y the rock density,
D the depth of embedment andc the' rock' mass
=~~~~====<:=:c----..-----
.colj~sl~~ corxectton factor Cl2 IS given in
Table 5.3. .'
The terms No Ny and N" are bearing cn': .
factors defined as follows:
------ ~ .
P<tClI\'
I
Ne = 2N~2(N~ + 1) ]
Ny
1 2
= N~2(N~ - 1)
Nq = N~,
where N~ = tan2 (45 + . <1>/2). Figure 53 gIves
.
...
values of the three beanng capacity factors iV,
Ny and N q related to the fnctton angle of th'
rock mass for horizontal bearing surfaces.' e
Note that equation (5.7) can be simplified I
the weight of the wedge of rock in the found '.
tion is ignored, and the footing is at ,the-"urfa~
(q, = 0). It is justified to ignore,th,e",eight'ofthe
rock where it is a small proj5~~~ion.or..tiier6un,
dation load. Under these'conditions, eqilaii~n
(5.7) reduces to
(ClI cNe )
qa = F . (5.9)
5.2.~ndations on sloping ground
For conditions where the foundati.on is located
on a sloping ground surface, it is necessary to
modify the bearing capacity factors to account
for the reduced lateral resistance provI<ieaoy
the smalIer mass of rock on the downslope Side
of the tootmg. Un shallow slopes where the slope
angle is less than @/2, bearing capacity Or settle
ment will Usually control the allowable working .
load on the footing. For slopes' angles greater
than <1>/2, it is seldom necessary to check bearing
capacity because the stability at the slope.will be
the controlling factor (Hong Kong Geotechnical
Office, 1981).
For foundations on sloping ground surfaces,
the allowable bearing pressure is calculated as
follows',;
(f
CfiBY)
( ClIeNeq + --2- Nyq
qa = (5.10) \
F
where N eq and N yq are bearing capacity fnclO~
given in Fig. 5.4. The value of the factor N,
 Bearing capacity 121

nd N q are bearing
)ws:

" )

<!" l
.90 5
~

."""'"
0.
4 c-

0'"
0>
3
.5
; 2
"
( l)
i----No~4
No '=5
1----'-
No'" 5.53 :
\.0 20 40 60 80
~ Slope angle ~o

'" ". 1---.,.-.,-

.......
o
....
H
25 30 35 40 45
Friction angle <po

sloping groundsu; B
pressure
-'-
is calcul~
, .,,2 Figure 5.4 Values for bearing capacity factors for
footings located on sloping ground surface (US Dept of
the Navy, 1982).
'::'2 By N )
2 rq
"".:~ .. -

1~:Bearing capacity factors for footings located

:e bearing capacity;. oi!(alground surface (US Dept of the Navy,
"W'" . .
e value of the faG~
 122 Bearing capacity, settlement and stress distribution

depends on the stability number No which is

defined as
-----
(l~ is i
capa~
No = yR. (5.11)
. c
Note that the calculation of allowable bearing
capacity using the bearing capacity factors as-
sumes that the water table is at a depth at least
equal to' the widt!iof the. footing below the b~ One)
of the foofing. Where the water table is higher , a fOli
I
than this level, stability analyses should !)e carried rock]
out including the effect of water press~res in the ~t' the l
foundation. - , thq
For foundations located on level ground at the ing a;
crest aLi slope, t~e aifowable bearing pressure equai
will be reduced if the foundation is' at a distance nitu<\
le,;"s than atJou( SIX footing widths behind the the rc
crest. The stability of slopes with foundations
located close to .the crest can be checked by
~:~ ~~ :~~~g;~;U:~~~';;::e ~~~~~~sa~faa~I:~ti~;
wedge A and a passive wedge B, respectively.
-J 1
the methods of stability analysis described in Exa~
The minimum principaI stress "3A acting hori. ;
Chapter 6 using factor of safety Of 2 3 so that
zantally on the active wedge A can be calculated \, , ,~;~
deformation will be minimal.
from equation (5,12) as follows (Ladanyi and \ a1te~
Roy, 1971): Ci
5.2.6 Bearing capacity of shallow dipping
yB ) ( c2 ) thei
bedded formations 1
"3A = ( 2 tan '1', N>2 + tan <1>2 (N>2 -(5 )12) ~~\l
In the methods of calculating bearing capacity
described in Section 5.2,2, the failure mechanism from which the allowable bearing pressure is pro~
involved development at' a passive wedge of rock
that induced a confining stress on the rock be-
[ ,,3A N>, + (~)(N>, - 1)] I ~
neath the footing, The magnitude of this con-
fining stress depends on the strength of the rock
qa = ta; '1'1 , (5.13) J 4
2, (
mass comprised of either intact rock, or inter- o
where B is the width of foundation; '1'1 is the dip
locking fragments of intact rock. However, if 3. R
of fracture set 1; c" C2 are the cohesions of
the rock contains sets of fractures that form one
fracture sets 1 and 2 respeCtively; Not.
or more of the surfaces of this wedge, the bear-
ing capacity of the fpundation may be reduced N>! = tan2(45' + <1>,/2); tors
considerably for two reasons. First, the shape
of the wedge will be defined by the orientation N>2 = tan2 (45' + <1>2 12 ); Bui!
of the fractures and the dimensions and surface and <1>1 and <1>2 are the friction angles of fracture" Fro!.
area of the wedge may be limited and, secoIld, sets 1 and 2. /?abOl
the strength of the fractures is usually signifi- If the rock surface around the footing is sub"i be
cantly less 'than that of the rock mass. These j ected to a surcharge pressure q" a~ might be 8tr6:
conditions could result in failure of the foun- the case if the footing were recessed into the
dation as a result of displacement of the passive ground surface, then the bearing capacity's Hoe
wedge. significantly increas~d due' to the confinement
Figure 5.5 shows a foundation containing two provided to the passive wedge'. The surch~rge

,tures dipping at ~;
l base surfaces of~
ve wedge B, res'
lal stress <Y3A acif-
wedge A can be C1U
as follows (Lad"
+ Cc2 ", )(N.2~
'.2
an 't'2~~,
ble bearing pressu'
~)(N.r - l)J}
tan <1>1':.
F If the foundation was recessed a depth of
f foundation; '1'1 isS' ,s=
C2 are the cohet,
""'~'
:spectively;
"ffor a strip footing, the correction fac- influence on the bearing capacity.
'1 /2 );
'2 /2 );
-,
;-'.'
!round the footing'j~
pressure qs, a~ mig
~ were recess'ed 'int:
the bearing capa~l !!Wn strength criteria
due' to the con@e:
'e wedge'. The sure..
Bearing capacity 123
"ted into the analysis of the bearing' strength envelope is calculated using equation
'difying equation (5.12) as follows (5.4). For a factor of safety of 3, and the values
of m, sand <Yut,) given above, the allowable
yB
Ttan'l'l ) N. 2 bearing pressure is calculated to be 1.14MPa
(23.8 ksf).
(5.14) Bell solution
Application of equation (5:7) to calculate allow-
fimproving the' bearing capacity of able bearing capacities from the bearing-capacity
'n a layered formation is to install factors requires values for the rock mass friction
ai-are anchored below the level of angle and cohesion. These two parameters are
'4i~dge and then tensioned against obtained from equations (3.16) to (3.18). For
~;'ce. This has the effect of apply" an average pressure in the foundation of 2 MPa
:'l~i surcharge at the ground surface; (290 p.s.i.), the instantaneous values for the
lJ[4) can be used to calculate the mag- friction angle cohesion are 25' and 0.54 MPa
. "~;;bolting force required to achieve (78 p.s.i.), respectively, and the value of the fac-
.. ~l)earing capacity. tor N. is 2.47. From equations (5.8) the bearing-
~;".
capacity factors are
N e = 10.92 and Ny = 8.02.
From equation (5.7), the allowable bearing press-
is an example comparing the
ure, assuming a strip footing width of 2 m, is
aring capacities calculated by the
ethods described in this section.
(5.9 + 0.18 + 0)
'a 2m wide strip footing bearing on <Ya = 3-
" of a fair-quality limestone in which
~.fracture spacing is 400mm (15.7in) = 2MPa (42ksf).
~ctures contain some clay. The strength
':fof the rock are as follows: This calculation shows that the weight of the rock
R;'~
ij:-,:,: wedge (the second term in equation (5.7)) in the
ned compressive strength of intact foundation has little influence on the allowable
~(,) = 75 MPa or 1l 000 p.s.i. (Table bearing pressure.
i
. strength envelope parameters m = 1m below the ground surface, the third term
0.00009 (Table 3.5). in equation (5.7) becomes 0.'14. Therefore, re'
,:~ensity = 0.022MN/m 3 , or 140lb/cu. ft. cessing the footing to a depth of 1m has litt!>
'nd Cf2 are equal to 1. These results show that the two methods of
calculating bearing capacity give similar values
which are slightly higher than that estimated
todes
bles 5.1 and 5.2, a bearing capacity of from the building codes. This is an indication
o,2MPa (21 to 42 kips ft~2 (ksf can of the conservatism that is built into the build-
feted for rock which is moderately ing codes to account for the range of geological
__~:has a moderate fracture spacing. conditions that can occur.
Shallow dipping beddedformations
able bearing pressure for a.. rock mass If the rock contains two sets of orthogonal joints
trength properties defined by a curved which dip at '1'1 = 60' and '1'2 = 30', the allow"
 124 Bearing capacity, settlement and stress distribution
--------....] I
able bearing capacity is calculated from equation these cases, failure of the upper layer of '1,--1;
(5.13). Assume that the friction angle of both likely to result in a sudden and substantial
rack
" fod
j
these joint surfaces is 250 so that the factor N$ is ment of the foundation if the material settle. not~
2.46. If the cohesion of both joint sets is zero, the lower layer has little load bearing capacity.'~~h, :h.~.
allowable bearing capacity is 0.08MPa (1.7ksf), and Londe (1974) quote "the case of a fa r'k
i.,
,,0.
and if the cohesion is 0.5MPa (72.5p.s.i.), the for a high-rise building with a load of 200~~a~ ,
allowable bearing capacity increases to 1.8 MPa (225000 ton) that punched through a 10 ~ dcP,
(38ksf). This result shows that continuous frac- tlfIck sound lImestone bed. Another p~) I"ye~
tures oriented at angles approximately parallel failure mode is that of settlement of the e~ c uPP9
to the surfaces of the active and passive wedge bined two-layer system; calculation of settlement. ]1lti~
in the foundation will significantly reduce the is described in Section 5.3. nt pre~
allowable bearing capacity. With the upper layer of rock having a si. \. Ih~~
nificantly higher modulus than the lOwer laye: .j( ~m'
5.2.7 Bearing capacity of layered formations the upper layer will carry most of the load aad I c ~
foundation stability will depend primarily Oa " Iheh6
Where a footing is located on a thin slab of strong the capacity of this layer. The usual procedure ~lgeri
rock overlying a considerable thickness of much in the initial stages of design would be to as f~ in
weaker rock, there are three possible failure sume that the upper layer carries all the load'foj
mechanisms. The footing may punch through the since this will produce a conservative design. acitl
stronger, upper layer, or the upper layer could If the moduli of the two materials can accur rhe sl
fail in either buckling or bending (Fig. 5.6). In all ately be defined, then finite element analysis,~. by t~
(',urfae
, wit.h j
meter
bed.:
of a
oolite
weake
occun
other
'.,;;, recess
Q
,/ surfac

~~~"'"'
The c
ure in
(1.871
Ren
1.:'.,,,.,,,
- --- ----=--:.---------::-,:--.:--- Plastic, incompressible :-lT1jl
(b) bearin
Q mth,;'
. with c

.~
"~~i"] ~~g~:reSSible H Figure 5.6 Spread footings on layered rock
',\I.lhe
,..!
{shear
ul

pacity
native-
formations with rigid upper layer and weaker 10
I lower layer (Sowers, 1976): (a) punching
i
failure; (b) bnckling failure; and (c) bending and c
failure. (Kade

f the upper layer 0';"
dden and substanti'
ion if the materi '
oad bearing capaci
late the case of a<
'th a load of 2 ":~ rock mass properties of each
lched through a 10
Ie e, Another;'
of settlement of ;'
n; calculation of se"
153,'
yer of rock havill'
ulus than the lowe
:arry most of the 1"
will depend print
~yeL The usual p'i:~
)f design would b'
layer carries allY
ce a conservative~i
two materials
:n finite element)
(available to resist punching failure,
ted perimeter shear strength at fail-
'pperoolite crust was about 90 kPa
'ead footings on laye~lt
,rigid upper layer and.
-wers, 1976): (a) pune!,:
kling failure; and (e)f;'
ay be carried out to determine
,,the stress distribution between
'jthe foundation design could be
tClingly,
'of failure of the upper layer will
6; ratio of the thickness H of the
,1;:the width B of the footing, If the
-low and the lower layer is com-
Glfas weathered or porous rock,
'\hg type failure may take place,
'he lower layer is plastic and in-
~,~uch as clay or soft shale, then
'gr may buckle (Sowers, 1976), For
~(,f the ratio _HIB and if the lower
t en e u
ing type failure, the bearing ca-
undation is found by multiplying
gth of the rock in the upper layer
area of the failure surface, This
assumed to be cylindrical in shape
equal to the product of the peri-
footing and the thickness of the
(1977) describes punching failures
,footing located on porous Miami
ing a thick bed of consiflerably
',us oolite and sand, One failure
er a 1.5 m (5 ft) thick fill, and an-
a spread footing which had been
the upper bed thus diminishing the
Bearing capacity 125
Where the mode of failure comprises bending
andtension, the--siabilii-y of the foundation is
assessed by comparing the tensile strength of
the rock with the tensile stress level in the lower
side of the slab. The theoretical tensile stresses
in the lower side of the upper layer can be cal-
culated using the methods of Roark (1970), as-
suming that the bearing slab is circular in shape,
is simply supported around the edges and no
support is provided by the underlying, com-
pressible material. The tensile stress cr, in the
centre of the lower surface of a circular slab
loaded with uniform load Q acting over an area
with radius BI2 is (Fig. 5.6(c)):
6M
crt = HZ (5.15)
where M is the maximum moment at the centre
of the slab under the applied load given by
~[(1 + V)IOge(~) + 1]'
M = (5.16)
r is the radius of the circular slab supporting
load, H is the thickness of the slab, and v is
Poisson's ratio for the rock. The value of the
parameter ro depends on the relative dimensions
of the radius of the loaded area and the thickness
of the slab:
B
if B > H, then ro = -
2 ''
,
ifB <H, then ro = [1.6( ~ r + H 2 ]'
- 0.675H. (5.17)
In applying this equation, a decision has to
be made on the appropriate value for the radius
r of the slab if this is not defined by the geology
or topography of the site. A sensitivity analysis
will show that the stress level reaches an approxi_
mate maximum value as the radius increases
aii:Cflli1S will give an indication of the likely stress
levelthat should be used in design.
Kaderabef-ilndRejiiiolds (1981) report that
full-scale load tests were, carried out to try and
induce a beam tension failure, but none occurred
 126 Bearing capacity, settlement and stress distribution
~;
despite ,the theoretical maximum tensile stress conductivity measurements (EM), both of ' i
exceeding the laboratory tensile strength by a provide a continuous profile of the sub IYh".
factor of 2. There has been no reported failure conditions to depths which may range frosur~,r,
of this type in the south Florida area (Kaderabek 2.m to as muc? as 15 m. GPR is. a reflectio:t,,'O
and Reynolds, 1981). mque usmg high-frequency radiowaves that h
vides a graphic profile of subsurface COMr
with the boundaries of cavities being sho~;oo,
5.2.8. Bearing capacity of karstic formations
areas of high reflection. EM measures COnd "
The design of foundations in karstic formations is tivity values as a funetion of the site's porosU~',
one of the most challenging tasks in rock foun- permeability, saturation and specific conducta~!' ,
dation engineering and there are unfortunately of the pore fluids and the natural subsurhto
many instances of failures related to solution materials. Fluid-filled fractures are readily dec "
of limestones and the formation of sink holes tected by thinechnique (Benson, 1984). ,,'Y
e
(Sowers, 1975; Costopolous, 1987). These fail- ,
ures are the result of the location of structures (b) Remedial measures
on undetected sinkholes and, possibly, the sub- If sinkholes are discovered in the foundation
sequent development of sinkholes after con- area, the bearing capacity can be improved by
struction. Successful foundation design in these either bridging or filling. For small sinkholes
conditions requires first the location of sinkholes where there is sound rock around the periphery, '
so that the structure is sited suitably and, second, it is often possible to enlarge and reinforce the
the determination of appropriate bearing values foundation to bridge over the sink hole, using ~
and construction procedures. a conservative bearing capacity. If the arrange i'
The formation of sinkholes is the result of ment of the holes or footings results in some'
chemical solution of limestone by percolating eccentricity of the foundation it rna]! be necess. ,
ground water containing dissolved carbon di- ary' to combine one or more footings to form
oxide which makes the water slightly acidic. a strap or mat foundation. Figure 5.7 shows a
During the early stages of solution, cavities will number of different designs for a series of bridge
tend to fOfm on joints and bedding along which foundations where the load is carried on the peri
the water flow is concentrated and the cavities pheral rock (Katzenbach and Romberg, 1987).
may follow a reasonably regular pattern. As the Other remedial measures consist of filling sink-
solution process develops and the cavities en- holes and placing the footing on the fill. Shallow,~.
large, their size, location and shape become cone-shaped sink holes are cleaned as deep as ;'
impossible to predict with any certainty and possible and plugged with lean concrete forming
careful and detailed investigation programmes a plug that is 1.5 times thicker than its width. If
are required when designing foundation in these drilling with a jack hammer shows that the rock
formations. ' around the pit is sound, then the bearing capacity
of the foundation will not be impaired. Other
(a) Detection of sinkholes fill methods that have been used include graded
The detection and location of sinkholes usually gravel for low-capacity loads (Couch, 1984),
involves application of a number of integrated mixtures of 70% cement, 25% sand and 5% I
techniques starting with' aerialphotogiaphy - bentonite pumped into voids (Klopp, 1969), and
for site reconnaissance, then geophysics for grouting of sand-filled seams (Sowers, 1977).
site-specific studies, and finally drilling for de- Another means of increasing the bearing C3'
tailed design. In many cases it may be necess- pacity where the vertical depth of the sinkholes ; Fi
ary to locate drill holes at each footing or pier is limited, is to use dynamic compaction to break , R
position. Geophysical studies comprise ground up and consolidate the upper layer. Couch (1984) su
penetrating radar (GPR) and electromagnetic reports the use of a 15 t weight dropped from ar
 126 Bearing capacity, settlement and stress distribution
~
despite .the theoretical maximum tensile stress conductivity measurements (EM), both of '
exceeding the laboratory tensile strength by a provide a continuous profile of the sub Which
factor of 2, There has been no reported failure conditions to depths which may range frosurfac,
m
of this type in the south Florida area (Kaderabek 2 m to as much as 15 m. GPR is a reflection 110
and Reynolds, 1981), .
mque usmg 19 - requency ra d'IOwaves that ~.
. h'hf
vides a graphic profile of subsurface condtPto.
5.2.8. Bearing capacity of karstic formations WIt' htheb oun d ' 0 fcavllles
anes " b'
elllg showlioo,
areas of high reflection. EM measures con~ "'I
The design of foundations in karstic formations is tivity values as a funCtion of the site's poros~~'l
,I
one of the most challenging tasks in rock foun- permeability, saturation and specific conducta !. j
nee "1
dation engineering and there are unfortunately of the IPorFe flduidfiS adnd the natural SUbsurface ,i,',.'

many instances of failures related to solution matena s. lU1 - l1 e fractures are readily d.
of limestones and the formation of sink holes tected by this technique (Benson, 1984), c}( 1
(Sowers, 1975; Costopolous, 1987). These fail-
ures are the result of the location of structures (b) Remedial measures
on undetected sinkholes and, possibly, the sub- If sinkholes are discovered in the foundation
sequent development of sinkholes after con- a~ea, the bearing capacity can be improved by
struction. Successful foundation design in these either bndgmg or fillmg, For small sinkholes
conditions requires first the location of sinkholes where there is sound rock around the periphery,
so that the structure is sited suitably and, second,it is often possible to enlarge and reinforce the
the determination of appropriate bearing values foundation to bridge over the sink hole, using ~
and construction procedures. a conservative bearing capacity. If the arrange. i
The formation of sinkholes is the result of ment of the holes or footings results in some'
chemical solution of limestone by percolating eccentricity of the foundation it may be necess
ground water containing dissolved carbon di- ary to combine one or more footings to form
oxide which makes the water slightly acidic. a strap or mat foundation. Figure 5.7 shows a
During the early stages of solution, cavities will number of different designs for a series of bridge'
tend to form on. joints and bedding along which foundations where the load is carried on the peri
the water flow is concentrated and the cavities pheral rock (Katzenbach and Romberg, 1987).
may follow a reasonably regular pattern. As the Other remedial measures consist of filling sink ,
solution process develops and the cavities en- holes and placing the footing on the fill. Shallow, '-r
large, their size, location and shape become cone-shaped sink holes are cleaned as deep as "
impossible to predict with any certainty and possible and plugged with lean concrete forming
careful and detailed investigation programmes a plug that is 1.5 times thicker than its width. If
are required when designing foundation in these drilling with a jack hammer shows that the rock
formations. .' around the pit is sound, then the bearing capacity
of the foundation will not be impaired, Other
(a) Detection of sinkholes fill methods that have been used include graded
The detection and location of sinkholes usually gravel for low-capacity loads (Couch, 1984),.
involves application of a number of integrated mixtures of 70% cement, 25% sand and 5% ,
techniques starting with aerial photography' bentonite pumped into voids (Klopp, 1969), aod
for site reconnaissance, then geophysics for grouting of sand-filled seams (Sowers, 1977),
site-specific studies, and finally drilling for de- Another means of increasing the bearing ea
tailed design. In many cases it may be necess- pacity where the vertical depth of the sinkholes : Fi i
ary to locate drill holes at each footing or pier is limited, is to use dynamic compaction to break; R
position. Geophysical studies comprise ground up and consolidate the upper layer. Couch (1984) ~ su
penetrating radar (GPR) and electromagnetic reports the use of a 15 t weight dropped from t ar
f
:"


.... 0 ,
lents (EM), both at' ,
profile of the su' , '

, ,
'hich may range fr
, GPR is a reflecti " o
o o' 0
ency radiowaves th o . 0 o

, of subsurface co , , ,
o
,

o
f cavities being shd
n. EM measures CO
ion of the site's p$
1 and specific condU o
d the natural sub' (a) (b)
fractures are read;
o (Benson, 1984).

,vered in the faun'

Icity can be impro~
ing. For small sill'"
)ck around the peri'
enlarge and reinfo" "
)ver the sink hole} ,
capacity, If the a" LEGEND
footings results in~ , , '

~ Limestone rock
Idation it maj be It
r more footings teli ~ Collapse pipe (d)
tion. Figure 5.7 sh" (e)

:igns for a series of Q

oad is carried on th~,
o Soil

h and Romberg, Hi' ~ Concrete

ures consist of filling,'
,oting on the fill. Sh~
: are cleaned as di'" .J.
ith lean concrete for'
thicker than its wid!
-,~ ~---:-,~,/::r'.I-~'-:-4',-'.~~~-::-"-,, ""',-."..
,', .,...
...i7'":'7-
. . ...

Imer shows that the " .. J. ~.. A" .. I .. ' .. ~)"

then the bearing calla .' ' '.'"1&"
not be impairedcQ
leen used include gt~'
co.

o
,
.
. .
0

, . ,

o . o.
y loads (Couch, lQ
c'
~nt, 25% sand and!.
voids (Klopp, 1969),~'
seams (Sowers,.L;
Teasing the bearing7 (e) (I)
II depth of the sink.h .' Examples of construction procedures for spread footings on karstic terrain (after Katzenbach and
'mic compaction to bf, '~l\i.~erg, 1987): (a) concrete plug; (b) partial replacement of collapse material with concrete; (c) footing
,pper layer. Couch (1'9 foited by underground bridge; (d) shallow foundation with screw jacks for adjustment; (e) load eccentricity;
; t weight dropped " "m inclination of pier.
 128 Bearing capacity, settlement and stress distribution

a height of 18m (60ft) to consolidate the upper in the effective unit weight of the rock has th \ yi l
e
8 to 10 m (25 to 30 ft) of the foundation. effect of increasing the loading on the rock se
Bearing capacity can also be provided by Third, the flow of water may dislodge loosel; su
driving or drilling piles (Fig, 5.8). If the sink- consolidated infilling material. .'

hole is very deep and end bearing piles cannot The I

be used effectively, then batter piles may be culati
required. Where the arrangement of piles results 5.3 Settlement dirior
in their lengths differing by more than about nul11
10%, an elastic analysis is required to estimate For many _lo!!!111j!tjQ.l!......Q!L.!9S,k, the bearing
!Q~~Ij~tl can be considered to be elastic andiso.
each pile's share of the total load (Sowers, 1975).
The bearing capacity of piles will also depend on tropic,so ~~J!lentoc\l!~ as the ioad is appiled, 5.31
the rock conditions at the tip; piles may enter andth~E-~i~_Il.0._tirt1~:d"J)jl[1c1eI1t effect. Under
these conditions, s.""ttl~me)lt can be calculated '~) Elas
t
pits or open joints with the result that they will J/ ment
bend and twist and have a lower bearing capacity usin!l-.eB!ic th"2..fY using appropriate values
f'Or"the m.QJ;!!;1.~_and ~Qiss<m's.r.a!io of the rack inclu
for a specified deflection, than shorter piles. Piles form
mass. The mechanism of settlement of faun.
will also have reduced bearing capacity where 5.9).
dations on rock depends on the com~ined, prop.
they are end bearing on a hard seam above a prise
SJ1~~.. of the !!!l!!.~L!Q91s and the fractures and,
compressible seam, where they strike a sharp ther
depending on these properties, three different
projection and the end is split, or where they tion,
types of settlement can be ielentifted.
punch into porous rock. wher
Note that drainage of limestone foundations 1. S$!!!~@L~]!Wj!g from a SQJ!lbiI\atiQn,of bear
can have a number of detrimental effects on stab- strain of the intact rock, slight. closure and usinl
ility. First, the increased seepage gradients can m.;;;m"lI!:QLir'ii'f.i!ir_~~;;md compre~sion of secti
result in faster rates of solution with consequent any minorcl~y S~."!IlS. If the rocK!'; strong and anal
enlargement of sinkholes which increases the eias!ic;"iind any clay seams present are thin dim,
stress. on the adjacent rock. Second, the increase (less than a few millimetres thick), it can be mas~

assumed that the settlement will also be elastic, be d

2 3 4 5 6 and elastic theory can be used to calculate
I I I, I I
. ..' .
.
settlement. Elastic theory can be applied to
the calculation of the settlement of founda-
:.,. Tabll
tions on isotropic, homogeneous formations, r- an el
J
layered formations and transversely isotropic
!
materials. Shap
2. Settlement resulting from the movement of
blocks of rock due to shearing of fracture eirel
)t. eirel
surfaces. This will most often occur where
Sqm
foundations are located at the crest of a steep Squr
slope and potentially unstable blocks of rock Reel
are formed in the face. In hard rock where Ie
there is little difference between the peak and ./
Figure 5.8 Influence of karstic structure on pile ./
support (after Sowers, 1976). residual strength of the fractures, a smail ./
amount of displacement may be followed by J
1. Long, supported pile.
sudden collapse. ,/.
2. Pile bent and wedged incrack.
3. Pile tipdamaged on sloping rock surface. 3. Time-dependent settlement which includes
4. Pile bearing on piimacle. foundations on ductile rocks such as salt which
5. Pile bent and not supported. strain continuously at any stress level, and
6. Short; supported pile. brittle rocks if the applied stress exceeds the
 Settlement 129
.
,1'
:ht of the rock has th' stress (see Table 3.7). Time-dependent calculate the settlement for the range of moduli
loading on the roc'. ement may also occur if the rock contains that may exist at the site.
r may dislodge looseD ~tantial seams of clay or other plastic rock.
erial. " (a) Homogeneous, isotropic rock
l'ijiowing is a summary of methods of cal-
Where the rock mass is homogeneous and iso-
gsettlement; for complex geological con-
tropic (Fig. 5.9(a, theverlical settlement liv is
r;where none of these methods apply,
gIven by equatlon'(5.18) for arounaationappro-
:'cal analysis may be required.
ximated as one or more uniformly distributed
on...I9ck, the bear! loads acting on circular or rectangular areas
~d to be elastic and i near the surface of a relatively deep stratum
r~ as the ioad is appli' "Iastic rock
(Schleicher, 1926):
'R.ndent effect. Uri' :If
.Jlheory can be used to calculate settle, -- 2
l~nt"~an be calc)! - -,}. a range of geological conditions which Ii = Cd qB(l - v) (5.18)
ing appropriate val' v E '
.;homogeneous, isotropic rock, layered
sSQn's..ratig of the r' brts and transversely isotropic rock (Fig. where q is the uniformly distributed bearing
of settlement of fQ "~ data required for these analyses com, pressure; B is the characteristic dimension of
on the c~!nec!.Pt 'e. rock properties expressed in terms of the loaded' area, whIch for a circular area is
and the fractures'a !filIus and Poisson's ratio of each forma- the diameter, and for a rectan~lar ,area is tj1e
,perties, three diff6t ~position and thickness of each layer, smaller dimension; Cd is a parameter which
e identified. " -l1plicable, and the foundation shape and accounts for the shape of the loaded area and
from a SQ.mbiIL ti ::pressure. When calculating settlement the position of the point for which settlement
~ ~llgEL~!()s~,:i ~. procedures described in the following is being calculated; v is Poisson's ratio; and E
e~, and compressio" .;:"1t is advisable to carry out sensitivity is Young's modulus .
If the rocIlS'siron , .~o determine the influence of the layer Table 5.4 gives values for parameter Cd for
sea!11S present are0 Sns and elastic properties of the rock circular, square and rectangular footings bearing
metres thick), it C~L settlement. Rock mass moduli can rarely on uniform, elastic rock. The use of equation
,ment will also be ellf' .... ined with precision, so it is important to (5.18), together with the appropriate shape and
, ;,"-.
n be used to ca1<:'
eory can be applie"
~ settlement of f09
hape and rigidity factors Cd for calculating settlements of points on loaded areas at the surface of
,mogeneous formati' If space (after Winterkorn and Fang, 1975)
Id transversely isott'.,-,
Centre Corner Middle ofshort side Middle oflong side Average
fro!11 the movemen
to shearing of fra~ 1.00 0.64 0.64 0.64 0.85
lost often occurW 0.79 0.79 0.79 0.79 0.79
~d at the crest ofa:~
1.12 0.56 0.76 0.76 0.95
0.99 0.99 0.99 0.99 0.99
unstable blocks of:
ceo In hard rock V{
:e between the pea~ 1.36 0.67 0.89 0.97 1.15
the fractures ,3'.: 1.52 0.76 0.98 1.12 1.30
ent !11ay be followS 1.78 0.88 1.11 1.35 1.52
2.10 1.05 1.27 1.68 1.83
2.53 1.26 1.49 2.12 2.25
lement which in~. 4.00 3.70
2.00 2.20 3.60
: rocks such as salt.: 5.47 2.75 2.94 5.03 5.15
It any stress level;, 6.90 3.50 3.70 6.50 t\:60
'plied stress excee8
 F"
~
.:.':...

130 Bearing capacity, settlement and stress distribution "t',

B ri,idity
. rp:, Geological
condition
Settlement calculation o
men! 10
.

nM-r .. ..... "

(a) Homogenous,
isotropic,
half space.
(a) Determine shape factor Cd
from Table 5.4;
(b) calculate settlement using equation (5.18).

(a) determine ratios HIB, LIB; ,

41
t
\
1 toth~
(bl Lay'
Tbe set t
wbere tI
1

.B~
(b) Compressible
layer on (b) determine shape factor Cd from (
~~ , rigid base. Table 5.5; t' elastIC t
- . (c) calculate settlement using equation (5.18). I: tropic r
=CO~~-:":-;_~ :_~~~1 E,:v, 1 pJicatior
t geologiC
TlTTlTf 00 rigid "I'
I. A co
such
. .,. . (c) Compressible (a) Determine' ratios (H, + H2 )/B, UB;

rrlrin
over!
... . .. .... bed within
stiffer
(b) calculate weighted modulus E for
upper two beds 2. A re
H] E"v,
formation E= (E,H, + E2 H2 )/(H, + H2 ); withi

t:h::~:
(c) determine shape factor Cd
._:.-: : ;.-:.:".:": :--:;.": :;-.- -H; ~ 2' V2
1>2'
for ratio (H, + H2 )/B from Table 5.5;

TTTTlIl TE"v, (d) calculate settlement using, equation (5.18).

'" ltered il
(d) Stiff bed (a) Determine ratios HIS, 1/2; i,example
overlying (b) determine correction factor a '\. shale wi
compressible from Table 5.6;
formation (c) determine shape factor Cd conditio

rrfifb't 1>2' from Table 5.4; ""afther

(d) calculat~ approximate settlement from moduli
equation (5.18) using elastic
2 V2
;> analysis
parameters 2, v2 for overall
foundation; ~: influenci
00 (ej calculate actual settlement using "onthe~
equation (5.19).

~:
..... ..'..... ... (e) Inclined,
non-uniform
bed of
Use numerical analysis to accurately
model foundation geometry.
) Table 5.;
~X" underlair

~"
compressible
rock.
.-~

. '~E2V2 , l HlB

~ .-.- - - . . . . . . 41-
(f) Transversly
isotropic rock.
Use equations (5.20), (5.21) and (5.22).

__ .-
_.__-_._---
.- - - --
- ..
-
- ..".c .\..
---_._---
---- --
------ _. Eh,E v

--- .,OJ
. -',0::"-

Figure 5~9 Methods of settlement calculation for foundations on isotropic, layered and transverselyi~()t~;~i?lc~~~
rock.
 Settlement 131

';cfactor Cd, allows calculation of settle-
,t calculation 6r a wide range of foundation shapes.
actor Cd 'red formations
ement of footings on layered formations,
nt using equation (5.18).
'e upper layer is relatively thin compared
iB. LIB; tingdimensions, can be calculated using
3.ctOr C~ from eory in a similar manner to that of iso-
nt using equation ck. This section demonstrates the ap-
c, 'of this method to the following three
I conditions (Fig. 5.9(b,c,d)):
presSible layer overlying a rigid base,
's a surface layer of weathered rock
1, + H 2 )IB. LIB;
g fresh rock;
I modulus E for
tively thin bed of compressible rock
H,+H2 ); a formation of stiffer rock; and
~ctor Cd
'of stiff rock beneath which there is a
3 from Table 5.5; ::~
,1 using equation (5.18).!
)licker bed of more compressible rock.
ditions are most likely to be encoun
.sedementary formations where, for
'18, 1IE2; there is a bed of low-modulus clay
)n factor a n a stiffer sandstone. Where the actual
.. at a site do not exactly match any
'dels shown in Fig. 5.9(b,c,d), or the
late settlement from
ng elastic
e not known accurately, a sensitivity
'or overall QuId be carried out to examine the
.of modulus ratios and bed thickness
tt1ement using .\tement magnitude. In most cases the
calculated settlement will be sufficiently accu,
rate when compared with the estimates made of
the modulus values and the allowable settlement
tolerance of the structure. Where the models are
not sufficiently accurate, as may be the case for
inclined beds of varying thickness (Fig. 5.9(e)),
numerical analysis will be required.
(c) Compressible layer on rigid base
The model shown in Fig. 5.9(b) of a compress
ible layer overlying a rigid base can be used, for
example, where there is a zone of weathering
over fresh rock extending to a considerable depth.
The effect of the rigid base is to diminish the
settlement as compared to that produced where
the weathered rock extends to a considerable
depth.
Settlement is calculated using equation (5.18),
with shape factor Cd replacing Cd' Table 5.5
gives values for the factor Cd for a variety of
foundation shapes bearing on an elastic layer
of thickness H underlain by a rigid base; the
values given in the table are applicable to the
centre of the footing (Fig. 5.9(b)). The assump-
tions made in the calculation of the factor Cd
are that at the interface between the compress.)
ible upper layer and the rigid base there are no
horizontal shear stresses acting and there is no
horizontal displacement.

~ to accurately
netry. '.alues of the shape factor Cd for settlement of the centre of a uniformly loaded area on an elastic layer
i,.Y a rigid base (Winterkom and Fang, 1975)
Rectangle shape

LIB =1 LIB = 1.5 LIB =2 LIB =3 LIB =5 LIB = 10 LIB = 00

infinite
strip
:5.21) and (5.22).
'70.09 0.09 0.09 0.09 0.09 0.09 0.09 0.09
0.24 0.24 0.23 0.23 0.23 0.23 0.23 0.23
0,48 0.48 0.47 0.47 0.47 0.47 0.47 0.47
'c',lno 0.75 0.81 0.83 0.83 0.83 0.83 0.83
0i80 0.86 0.97 1.03 1.07 1.08 1.08 1.08
70.88 0.97 1.12 1.22 1.33 1.39 1.40 1.40
"'0;91 1.01 1.19 1.31 1.45 1.56 1.59 1.60
0.94 . 1.05 1.24 1.38 1.55 1.72 1.82 1.83
jjo 1.12 1.36 1.52 1.78 2.10 2.53 00
 132 Bearing capacity, settlement and stress distribution
~
(d) Compressible bed within stiff formation this condition, the surface settlement i5 f
Settlement of a formation consisting of a rela- (c) Wher
uniformly loaded circular footing with di;mo a
paptly a r
tively thin bed of compressible rock underlying B is calculated as follows: 'let
(1 0ft) thl
a bed of stiffer rock (Fig. 5. 9(c)) can be calculated
in a similar manner to that of a compressible
layer overlying a rigid base. The calculation pro-
ov = ao~, (519) ;;:e ~of~~
where a is a correction factor given in Table 56 ;;'. 2GPa, re
cedure assumes that the lower bed is infinite determined by the relative moduli of the t' ; 025 and
and acts as a rigid base, and that the middle and materials (E,IE2 ) and the ratio HlB, where HWi: ~f,dt~o upp'
upper beds act as a single, compressible bed. the thickness of the upper layer (Fig. 5,9(d)l.~:rhe com
Using these assumptions, the shape factor Cd can The term o~ IS the settlement calculated by ~(;is 5m sO
be obtained from Table 5.5, and the settlement assuming that the foundation material is en. %'!.<~om Tal
is calculated using the modulus of the weighted tirely composed of the lower material (elastic ';:;~; settlem
average of the two beds. Thus the effective properties E2 , V2) with the factor Cd determined Jld) Whel
modulus of the two layers is (E,H! + E2H 2 )1 from Table 504. 'l'ielatively
(H, + H 2 ), and the value of H applied in Table
5.5 is (H! + H 2 ). Equation (5.18) is then used Example
- fix
.-"','"
106 p.
~? of more
to calculate the settlement.
The following example demonstrates the use' of 'liment is
This calculation method tends to overestimate
the settlement calculations described in this sec. "YoP Table
the settlement amount b.ecause it does not ac- tion and illustrates the effect of the different '%iJed is 3
count for the load-distributing effect of the upper geological formations on settlement magnitudes. .{jicapd the
stiff layer. The upper layer tends to support a Consider a 2m by 3m (6 by 10ftl rectangular "iipolation)
significant portion of the load and there is less
footing sUPPorting an applied loaf of 40 MN,j,'
load/distributed into the lower, compressible
(9000 kips) so that the uniform applied bear. ,. ::::::::::::
bed (see Fig. 5.19). ing pressure is 6.7MPa (150ksf), Settlement is 'i;
calculated as follows.
(e) Stiff layer overlying compressible formation i'-'.
(a) If the foundation is composed of a uniform
Another geological condition that may be en-
bed of isotropic rock, the shape factor is de- .~,
countered is that of a layer of stiff rock over-
termined from Table 5A. The length-to-width
lying a less stiff material of infinite depth. For S
ratio of the footing is 1.5 and the value of Cd at
the centre of the footing is 1.36. If the modulus
Table 5.6 Elastic di~tortion settlement correction is 2GPa (0.29 x 106 'p.s.i.) and the Poisson's
factor a, at the centre of a circular u~mly loaded ratio is 0.25, the settlement calculated from
area on an elastic layer Ei underlain bya less stiff equation (5.18) is
elastic material Ez of infinite depth; VI = Vl = 0.4
(Winterkorn and Fang, 1975) o= 1.36 x 6.7 x 106 x 2 x (1 - 0.25 2)
v 2 X 109
= 8.5 mm (0.33 in). (al
HIB 1 2 5 10 100
(b) If the relatively compressible material (E
0 1.0 1.00 1.00 1.00 1.00 = 2 GPa) occurs in a bed that is 3 m (10ft) thick
0.1 1.0 0.972 0.943 0.923 0.76 and the underlying material is relatively stiff and
0.25
0.5 .
1.0 0.885 0.779 0.699 0.431 extends to a considerable depth, settlement is . ~ " .
1.0 0.747 0.566 0,463 0.228 calculated using shape factor Cd' From Table 5.5,
1.0. 1.0 0.627 0.399 0.287 0.121 Cd has a value of 0.97 for HlB = 1.5 and LIB
2.5 1.0 0.55 0.274 0.175 0.058
5.0 1.0 0.525 0.238 0.136 0.036
= 1.5. Substituting this value in equation (5.18)
0.200 gives a settlement of 6mm (0.24in), a reduction ,. Figure 5
co 1.0 0.500 0.100 0.010
of about 40% as compared to the isotropic case. homogel
 Settlement 133

'rface settlement 0" Ahe foundation material is predomi- of 0 is 8.5 mm from (a) above, so the settlement
00

liar footing with di
ws:
I factor given in Tail
lative modUli of'
the ratio HIB, whef
'pper layer (Fig. 5'
settlement calcUlaf
undation materiaLf'
e lower material .
the factor Cd dete'
: demonstrates the.:
ions described in
e effect of the dj',
on settlement magn!.
m (6 by 10ft) rect~
appl.ied loar ofJ
Ie umform applie<j'
a (150 ksf). Settle
is composed of a tiii
the shape factodl
5.4. The length-to:
,.5 and the value of)'
19 is 1.36. If the mg
p.s.i.) and the Pot
tlement calculated;:
'bderately stiff rock, but contains a 3 m
'-"bed of compressible rock at a depth
ttlement fs calculated as follows. If
bf the two materials are 10 GPa and
i'ctively, the Poisson's ratios are both
e weighted average modulus of the
eds is 5.2 GPa (0.75 x 106 p.s.i.).
ed thickness of the two upper beds
" ratio HlB is 2.5 and the value of Cd
'5.5 is 1.12. Equation (5.18) gives
tof2.7mm (0.11 in).
'the foundation comprises a layer of
tiff rock with modulus 10GPa (1.45
L) overlying a considerable thickness
, pressible rock (E = 2GPa), settle-
culated using the correction factors
".6 and equation (5.19). If the upper
(10 ft) thick, the ratio HI B is 1.5
rrection factor a is 0.357 (by inter-
r a modulus ratio of 5.0. The value
,
,
,
, ,
, I
,
,,
of the layered system is 0.357 x 8.5 = 3 mm
(0.12 in).
(f) Inclined, variable-thickness beds
The settlement calculation methods described
in this section only apply to horizontal beds of
uniform thickness. For conditions such as that
shown in Fig. 5.9(e), it is necessary to use nu-
merical methods, such as finite element or finite
difference analysis, to calculate settlement.
These methods allow the inclination, thickness
and position of one or more beds to be modelled
accurately, and the incorporation of non-vertical
loads. Another example of the use of numerical
analysis is the calculation of settlement of a series
of bridge piers founded on different levels (Fig.
5.10). Both the horizontal and vertical move-
ments are calculated, as well as the stresses at
any point in the foundation. The analysis shown
,
I I
I / / /
;/ ;/ I~~+-I
/ / / I /

, , / / / I I
i; ,, , ;/;/;/111111 1 I I I I I
06 X 2 x (1 - 0.25,

\,+~'~~-,~
" ,',',''/'/1'''/1
.,.,',/,/,/,/ I
I
, ,,
I I I I

! x 109 .~ ;,;~",,r,r,rl"lll
I I I I I I
I ,, I
I I

I "''''''''111 I I I I I

ompressible materia
,d that is 3 m (10ft) .
'" ""I
111"""
111 1 1 " "
1111'1"1'
1l
/
I I
, I I
I I
I I
11"1"111111

"
111111/"'" ,
I

I
I

I I I
I

I , " ,", "

" "
, ", "
erial is relatively stif
1111I11I1 I I I I I I , , ,

"""11/ I I I I I , , " I I I " I
,ble depth, settl"m"
actor Cd' From Tabl
"'"
""'1'"
",,/
, , ,
I

I
I ,
I
I
I
I
I
I
0
.

,
for HIB = 1.5 and?'
value in equation (' '.
nm (0.24in), a reot! 9~Exarnple of numerical analysis to calculate displacement vectors in a series of stepped foundations on
red to the isotropiC',' "~QUS, isotropic rock (model by U. Atukorala, M. Kelly).
 134 Bearing capacity, settlement and stress distribution

in Fig. 5.10 was performed using the program

FLAC (Itasca, 1987). The most common appli-
The appropriate equation to use is defined by
pZ = ad
~"----
- c'z - 2c'G zh - 2G zh (ad)1T
.'

cation of numerical analysis to foundations is

4Gzh d . (5.!1) .\
in the design of dams, and there is additional
discussion of this topic in Chapter 7. However, The factors a, c,
d and <? are defined by ~i .
( . . .
detailed descriptions of numerical analysis is following equations the ;"$\-
beyond the scope of this book.
hE (l - Vhz Vzh) .
a = (1 + Vhh)(1 - Vhh - 2Vhz Vzh)
(5.22a) Y.
5.3.2 Transversely isotropic rock
The calculation of settlement of foundations
on elastic, transversely isotropic uniform rock,
such as sandstones, shales and schists, which are
free of beds of compressible rock, can be carried
out using equations developed by Gerrard and
Harrison (1970), Kulhawy (1978) and Kulhawy .!lgUre 5.11
"orthogonal
and Goodman (1980). These equations give the f::drcular foo
value of the vertical settlement of a rigid circular where Q is the load applied to the footing; and "
load placed on the horizontal surface of a trans- r is the radius of the loaded area. In the case of h<.
versely isotropic rock mass in which the load axis square or rectangular footings, an equivalent 1;', ~ is I
is coincident with the vertical axis (z). The pro- radius can be calculated from the area of the ~Y, is the
perties of the rock are defined by the vertical and footing, i.e. r = BlrtZ for square a footing of side ,.;Jotact roc!
horizontal deformation moduli (E, and E h , res-
length B. EC
pectively), the shear modulus Gh, between the Note that Gerrard and Harrison give solutions" G, =:
horizontal and vertical planes and the following for settlement of strip footings on orthorhombic .
values of Poisson's ratio: rock, and for other loading cases on transversely I' S,.y,z is t
1. Vhh is Poisson's ratio for horizontal stress isotropic r o c k . ' fractures;
on the complimentary horizontal strain. The deformation and shear moduli, and the of fraclU'
2. Vh' is Poisson's ratio for horizontal stress on Poisson's ratio of the rock mass model illilstrated '.'of fractur
vertical strain. in Fig. 5.11 can be calculated from the elastic A surv
3. V,h is Poisson's ratio for vertical stress on the properties of the intact rock, the spacing of the illaboratOl
I
'.
horizontal strain. fractures, and their normal and shear stiffnesses. iog typic
The equations for the rock mass elastic para , k. and 51
The settlement Ii, is given by one of three equa-
tions depending on the value of the factor pZ,
meters are as follows: i

I
1 1 1 . I. Sands
which is governed by the properties of the rock
- =-+-- (5.23) . kn
mass. The equations for settlement are as follows i Er Sikni
2. Marl)
pZ positive: Ii, 1 1 1 1
~.1. Sha~;
Q(c'+ G hz ) de(e Z _ pZ) -=-+--+--
G ij Or Siksi S jksj
= 2rG hzlc' +d(e + W][c' + dee - wr (5.24)

. .. I
(5.20a) (5.25) l ~~
k
I

a2 ' . ' - Qe(ad)2 (5.20'b) for subscriptsi = x, y, z, with j = y, z, x and T!le ho

p negallve. v, - 2r(ad _ c'z)'
-"the she,
k = z, x,y.
, of settl<
. Z _ . _ Q(c'+ G hz ) de 3 The elastic properties of the intact rock and
p - O. Ii, -2rG (c'
Zh
+ dez)z' . (5.20c) the fractures are defined by the parameters:
. and (5,:
 Settlement 135

:ion to use is defined _ (Ex + E y) (5.27)

Eh -
:'GZh - 2G zh (ad)1 'i
2
,Gzhd G _ (GX< + G yz ) (5.28)
hz - 2
2
end e are
From equation (5.25), the values for the Poisson's
ratios used in the settlement calculation are:
E, Eh (5.29)
Vzh = vrT;
, Vhz = Vhh = vrE, '
,,I'

t-'
I' and the ratio of the vertical to horizontal de
formation moduli is given by

2Vhz Vzh) E Vzh

2Gzh(~d)1 ;
'Gzh +
Jzh d ,C
pplied to the footin~
)aded area. In the '
footings, an equh,
ed from the areab
Jr square a footing q
j Harrison give s~t
footings on orthorI1o
ding cases on trans~t
d shear moduli, ari
lck mass model illiJsf
Ilculated from thee'
rock, the spacing (j'
mal and shear stiffn~
rock mass elastic'~
Z, with j = y,
; of the intact roc
I by the parameters:,'
x -z = -
~del of a fractured rock mass with three
tsets for' calculation of settlement of
with vertical applied ioad.
.' intact rock deformation modulus;
,a~t rock Poisson's ratio; G, is the
hear modulus and
(5.26)
spaCing of each of the three sets of
is the normal stiffness of fracture
ni
.set i; and k'i is the shear stiffness
set i.
of joint stiffness deterniined by both
,'l,nd in situ testing shows the follow-
range of values for normal stiffness
"ar stiffness k, (Kulhawy, 1978):
one, dry sawed joint
;"35.1 OPa/m, k, = 1.290Pa/m;
,.sand-filled joint, 1-2mm thickness
''=1.960Pa/m, k, = 0.780Pa/m;
5iterbed, wet, 2- 5mm thickness
:O.260Pa/m, k, = 0.020Pa/m.
Jzontal deformation modulus E h , and
r.,OIodulus GhZ> used in the calculation
}Il,ent. are found from equations (5.23)
.las follows:
......
;,:-
(5.30)
Eh
Vhz
Example
The following example illustrates the method of
calculating settlement of foundations bearing on
fractured rock.
Consider a vertical bridge pier with a load
of 40 MN and a footing area of 2 m by 2 m
1 '
(r = 2/n! = l.13m) bearing on a moderately weak
sandstone. Laboratory tests conducted on pieces
of core show that the elastic properties of the
intact rock are:
E, = 100Pa; v, = 0.25.
From equation (5.26) the shear modulus (G,)
is found to be 40Pa.
If the rock contains horizontal bedding planes
with clay infilling, and two sets of vertical joints
which are clean and tight, the effect of these
fractures on settlement is as follows. The spac-
ings of these fracture sets, and their normal and
shear stiffnesses determined from in situ direct
shear tests, are:
Bedding planes: S, = 0.25m,
kn , = 20Pa/ro,
k" = 1 OPa/m.
Joints: Sx = Sy = Sh = 0.25 m,
knh = 100Pa/m, k'h = 50Pa/m.
From equations (5.23), (5.24) and (5.25), the
deformation and shear moduli, and Poisson's
ratio of the rock mass are calculated to be "
 136 Bearing capacity, settlement and stress distribution
Ez = 0.48GPa
Ex = 2GPa
Ey = 2GPa
and E h = 2 GPa, Eh/E z = 4.2.
Gxz = 0.198GPa
GyZ = 0.198GPa
and Ghz = 0.198 GPa.
Vzh = 0.012
Vhz = 0.05
Vhh = 0.05.
From equation (5.21), the factor p2 is found
to be 1.48 and the settlement from equation
(5.20b) is 34.1mm.
The influence of the ratio' of the horizontal
(E.) to vertical (E,) moduli on the settlement
of the foundation is shown in Fig. 5.12. With
increasing thickness of the clay infilling in the
bedding ,planes, there is a corresponding de-
crease in the normal and shear stiffnesses (that
is, more compression under applied load). If the
properties of the vertical joints and the value
of E h are unchanged, the ratio Eh/E z will in-
crease. Figure 5.12 shows that the settlement
varies between 10.5 mm when the rock is iso-
tropic (Eh/Ez = 1), to about 62.5mm when E h/
E z = 8.2 (Ez = 0.24GPa).
Equations (5.20) to (5.22) can also be used to
determine the effect of differing properties of the
vertical fractures on the settlement. For example,
consider a rock mass comprising a series of hori-
'zontal slabs each 0.25 in thick, and the horizontal
bedding planes forming these slabs have normal
and shear stiffnesses of 2 and 1 GPa respectively.
The vertical modulus is 0.48 GPa. The horizontal
slabs can be simulated by setting Sx = Sy = 10,
and with the vertical joints having the same stiff-
ness values as in the previous example. The hori-
zontal modulus is 9.1 GPa, and the ratio E h / E z =
19; the shear modulus Ghz = 0.23 GPa_ The
settlement is calculated to be 27'.7mm, which
compares with a settlement of 34.1 mm when the
spacing of all theftactiires is 0.25 m. This shows
that the relatively stiff, horizontal slabs have
some effect in limiting settlement.
~
The settlement of an isotropic rock t
tion c.an be calculated using equations (5~2~nda.
equatIOn (5.18). For example, Fig. 5.12 s~or
that the settlement when the ratio Eh/E _ ow,
, - I'
10.5 mm. In comparison, using equation (5 r,
with a shape factor Cd of 0.79 for a rigid, circ;\8)
footing, a modulus of 2 GPa and a Poisson's rat"
of 0.05, the calculated value of the settlem ro
.
IS 9 mm. -
5.3.3 Inelastic rock
For footings on elasti~ rock, the total settlement ':C
wIll occur as the load IS applIed. However, time.::'
dependent s,:ttlement is likely whe,re the foun. i:flgure 5.1,
datIOn contams seams of compressIble materi~ ;;;:jjotroplc rc
:~~~s~s~::~~~~~~t~~:;:~t~~~~~~~~:d:~~~:::~ib
effects may take place include weathering result .j<
ing in decreased bearing capacity, swelling due, ';~nditiom
to stress relief, changes in iuternal stress con. j r~etIiods I
ditions, or chemical reactions in thel rock. Time. "kto use nUl
dependent properties of rock are discussed in ;','distributir
more detail in Section 3.6. ~LFo,unda
Where the foundation contains compressible ,i'above thE
seams of soil, settlement due' to compression of j:'$ection 3
the soil cal) be determined using conventional soil \of creep'
mechanics principles. Compression is a three <applied sl
stage process comprising distortion, consoli :';is applied
dation and secondary compression. Distortion 'creep thc
occurs as the load is applied and is assumed to ~,.after a ce
be elastic. Consolidation settlement determines f,', ever, if t
the time rate of settlement and depends on the k
which in
pte at which water is expelled from the void i settlemen
spaces in the soil. Thus, water flows readily:: An est
through clean sands so consolidation settlement,:' be made
solIdatlon of clays may take place over a penod ' 'I, subJecte(
of months. Secondary compression occurs as tbe I:: stress co
result of yielding and compression of the soil ':'triaxial s
skeleton and is also time dependent. " ,,'of settle
In computing the rate of compression, the ~;analysis.
stress level in the soil seamCs) can be determined~p:(ltasca,
using the methods described in Section 5.4 whicb f
strain c(
give the stress distributions iu both homogeneouS" ,';-Fig. 5.)(
and layered formations. Where the foundation " can calcl

j
an isotropic rock
using equations (5
example, Fig. 5.12
.
hen the ratio Eh ; E
,
son, usmg equation
I of 0.79 for a rigid,:
2 GPa and a Poisso
,d value of the set!
"
,
:~
; rock, the total setil
is applied. However
is likely where th r
: of compressible'
material such as sal
'~ in which time-dep,
mclude weathering}
ing capacity, swel"
:es in internal stre'
actions in the l rock:~
of rock are discus
3.6. 1
on contains compi'
'nt due to compres~
led using conventio~
Compression is a','
sing ~~~tortion,. ~
comph~ssion, Dis!;,
pplied aiid is assuili
on settl~jhent dete ,.
nent anC! depends 6'
: expelled from the"
hus, water flows r$'
, consolidation settle'
mtaneous, while the.~
take place over ap
'ompression occurs~'
compression of the'
e dependent.,
ate of compression,:.
,am(s) can be deteriii
'ibed in Section 5A"i
ons in both homoge .,:\'10, can incorporate ,plastic materials and
:, Where the foun . ,,)ilculate time,dependent settlement.
Modulus ratio, -r,
2 3 4 5 6 7
60
.'Influence of modulus ratio on settlement of a uniformity loaded circular area bearing on transversely
ck.
cannot be modelled by one of the
'ven in Section 504 it will be necessary
erical analysis to determine the stress
os (see Fig. 5.10).
ations' on ductile rocks, or rocks stressed
\~ brittle-to-ductile transition stress (see
~~6.3) will settle (creep), with the rate
'[.being dependent upon the level of the
',stresses and the time for which the load
:il. As shown in Fig. 3.21, during primary
he strain rate diminishes with time so that
certain period settlement will cease, How-
,. the bearing stress is greater than that
'Zinduces the onset of secondary creep,
:'ent will continue indefinitely.,
:'e'stimate of settlement due to creep can
:,'de using equation (3.21) which gives the
''train which time of a Burger substance
'ed to a constant axial stress. The actual
nductions'in a foundation consist of a
"siress field so a more acurate measure
..Jerrtent can be obtained by numerical
s';The finite difference program FLAC
j 1987), which can analyze stress and
:conditions in foundations as shown in
Stress distributions in foundations 137
Q
8 9
=Cs,
:::Is,
t2::H
~
5.4 Stress distributions in foundations
Most rock, foundations will behave as linear,
elastic materials so it is possible to use elastic
theory to calculate stress distributions that are
induced in the rock. The reasons for using elastic
theory are, first, the availability of solutions for
linear elastic media with boundary cortditions
that approximate those of actual engineering
situations. Secondly, studies have shown that
elastic theory will predict reasonably well actual
stresses measured in the field (Morgan and Scala,
1968; Bozozuk, 1972).
For the design of rock foundations it is necess-
ary to have a means of determining stre.s..dis-
t~Qns for both...isQtrQ12jf._~!l~~!versely
isotropic rock. Typical uses of stress distributions
are 10 the calculation of settlement of layered
formations where it is necessary to determine
the stresses in each layer and the resulting con-
solidation that will take place,
Another use of stress distribution calculations
is in the examination of the interaction between
the stress fields induced, for example, by two
nearby foundations, or a foundation and a nearby
tunnel. Using superposition, it is possible to add
the stresses induced by each structure and deter-
 t ~' ,

138 Bearing capacity, settlement and stress distribution

mine whether there is any portion of the rock Q

that is overstressed. The method of determining
whether the rock is overstressed is shown in Fig.
5.2, where the strength of an isotropic fractured
rock mass is plotted in terms of the principal
stresses GI and G3' The actual principal stresses
acting at any point in the foundation (G" G3 are \
\ r
plotted on this diagram and the factor of safety
F is then the ratio between the strength GIA at \ 1
the applied minor principal stress G3, and the
applied major principal stress Gl> that is
\ I
I
I
\, I
I
F = GIA \
\
I
GI I
R
, ,z
I

+ SG",,)2)l + G3]

\ i "I \':
= [(mGu (,)G3 \ I ~.
(5.31)

\~'T"
GI

kJ
where m, s are constants defined in Table 3.5; t"
and G u (,) is the unconfined compressive strengllf)
of intact rock. - t:
Contours of the factor of safety can be'plotted 0", ~J::
O'n ~'::::l Figure
to show areas that may be overstressed. i,:'Qunifofil
Figure 5.13 Stresses in an elastic halfspace due to a J:;
pOint load at the surface (Winterkorn and Fang, 1975). Ii
vc.
5.4.1 Isotropic rock
F 5.14 aJ
The distribution of stresses within an elastic half- ~Cror th,
space resulting from a point load applied normal a weightless linear elastic medium; they mus, ~~; of de!
to the surface and for small strains, as illustrated be superimposed upon the pre-existing stress," and r i
in Fig. 5.13, is given by Boussinesq (1885). The which are due to the weight, of the material. It
: stress
equations are as follows should be noted from these equations that th, ,appro:
~"t the sa
stresses are independent of the elastic constants,
3Q Z3 3Q 1 } Plot
G
z
= 2; R
5
= 21tz
2
[1 + (~YJ! (a) Distributed loads ~. tours.
The Boussinesq equations can be applied to th,; of th,
stress analysis of foundations if they are modified t'. . . 'and 0
Q [3Z,2 1 - 2v ] to obtain the stresses under a distributed load, " shows
G, = 21t R 5 - R(R + z) This can be achieved by superposition in wIticb :: the c<
the force acting on a differential area is integrated ,~: a dis!
G. = ;(1- 2V)[R(/+ z) - ;3] (5.32) over the entire loaded area. Thus the vertical l~ the CI

't'rz
3Q
= ~.R5
Z2r ~~;:~ ~a~e,~;~ly~n~t aa~~e~s~;: :~:.~.:.J.~n..abiistn33)':..!;~. . dlnstl
.~~.:t~
- .........' (S'
Gz = q /z, , , : . ',;Jthe f(
't'Oz = 't'79 = 0, where /z is an influence factor,II1"Xalue oi'
where v is Poisson's ratio and r, z and Rare which depends upon the shape ofthellp,plied 4 (b) L
dimensions defined in Fig.. 5;13. load and the location at which thestreSs1sre'}ln th,
These stresses are those that would occur in quired (Winterkorn and Fang, 1975)'f.igUI~: -(elasti
 Stress distributions in foundations 139

Q Influence value, I" (x 100)

00~.~1~~~~~~~~I~.0~:::::::~:::2~1~0~;-:--r-;~~fil00
\
\,
,
\ ,, 4 ote: Numbers on curves
indicate value of rib
,
\\
\ ,
\
R
5

7
Q
8~2b

8
z
9

10 L-_....L....u~.LLILJ..J...Il.U

-~Jnfluence diagram for vertical normal stress {5z at various points within an elastic half space under a
,'"" .aded circular area (Winterkorn and Fang, 1975).
3.0 elastic half space du~:
(Winterkorn and Fan['
15 give the values for influence factors stresses at any point consist only of a radial stress
ical normal stress for any combination <5, given by equation (5.34), with the tangential
:lastic medium; the~ ~ and radial distance r under circular and shear stresses <5e and t,e both being zero
>n the pre-existing' . gular uniformly loaded areas. The (Goodman, 1980).
weight of the mate" . 'bution for a square footing can be
n these equations til ated by a circular distributed load of <5, = 2Q cos e (5.34)
mt of the elastic coJ~ ,area. 1tT
g the stress distributions as stress cdn-
'vides a useful visual representation both
lions can be applied';" resses at any point in the foundation, where Q is the line load (MN/m), e is the angle
jations if they are rna e shape of the stress bulb. Figure 5.16 from the vertical, and r is the radial distance
under a distribute' ,'0 vertical stress profiles, one under from the point of application of Q.
by superposition in" re' of the loaded area and the other at The stresses consist of a series of vectors radi-
ifferential area is inte' eof twice the width of the footing from ating from Q, with the length of the vectors being
,d area. Thus the edf the footing. Figure 5.17(a) shows proportional to the magnitude of the stress, and
,ny point beneatha. urs of the vertical normal stress be- being constant along any stress contour. The
pressure q is given~ niformly loaded circular area, and contours of radial stress for a line load consist
',:how the stresses are distributed in of a series of circles tangential to the point of
... eneath the foundation . application of the load and centred at a depth
:nee factor, the vliT Q (Fig. 5.17(b. Stress contours produced by
the shape of the ;{ JOllds 1tT
at which the stres> :,ase.of a line load on an isotropic, linear distributed and line loads are compared in Fig.
md Fang, 1975).E'i _q~ndation (Fig. 5.17(b, the principal 5.17(a) and (b). '
 140 Bearing capacity, settlement and stress distribution'

0,25 Vertical normal stress crz

beneath corner of uniformly
0,24 loaded rectangUlar area
023
022
0,21

0,20

0,19
0,18
!
0,17
0,16
m=Llz
n=B/z
O"z:::: /zp t
I
0.15 For square, m = n
-'
'" 0,14
Note: Numbers shown on
~ curves are m or n
~ 0.13
g 0.12
2'" 0.11
:s
0.10
Q,Q9
0.08
0,07
0.06

0.05
0.04
0.03
0,02

OO~ ~~~~~~~1~============::=j
0.1

Figure 5.15 Influence diagram for vertical normal stress at a point within an elastic half space beneath the corner
of a uniformly loaded rectangular area (Winterkorn and Fang,1975).

Equation (5.34) can also be used to deter-
mine the stress distributions beneath a line
load inclined at an angle to the ground surface
(Fig. 5.18)., Under these conditions, two sets
of circular stress contours aredeveloped,one
set fortensile"stresses and the other for com-
pressive stresses. In. intact rock this stress con-
dition will be of little concern because the rock
will be able to withstand a small tensile stre$
without extensive fracturing of the rock occur-
ring. However, iUhe rock contains sets of frac,
tures that form wedges in the foundation, then
this stress condition may result in movement
of these wedges and failure of the foundation,
A stability analysis of the wedge could be carried ligure 5.
out using the Sarma ,method of analysis in which ~neath I
 Stress distributions in foundations 141

b-r-b-j
::.. _2.5_ q O:rI:jP:I:d__~O~_.cO~.5~
-2 o
-1.6
-1.4
-1.2
-'.1
-1.0 2
-0.9
Stress at
"

r
-0.8 r = 20
"~
0
3
-0.7 Cl CJzlq
zlb = 4

4 e= '>
-0.6
2 0 2
-0.55 ,Ib
-0.5 5 (b)
"- 0.45-
-0.4 6
(a)
- - 0.35-

-93 Distribution of vertical stress due to a loaded circular area on linear elastic half-space: (a) along
; (b) along horizontal lines (after Winterkorn and Fang, 1975).

-0.2 b Q(MN/m)

-0.1
0.7
-0.05 0.5
0.5
0.3 0.4 2
10 0.2
0.3 3 Depth
below
If space beneath 0.1 footing
4 r
0.2
5
0.05 (Jr lQ

nd a small tensile..~
uring of the rock.;""
. ock contains setso~ I, =~
q
0""
q
0.1
~
~
~
(To == 'tr(l == 0
0" 10 = 2.cos6
6
. in the foundation,;'
2 rib
Q
' "'
lay result in' moy.~
(a) (b)
lilure of the foun#
Ie wedge could be{ .T'Stt,f:SS contours for footings located anisotropic linear elastic half-space: (a) vertical normal stresses -
thoo of analysis iiit biformily loaded circular area, radius b; and (b) radial stresses beneath line load.
 142 Bearing capacity, settlement and stress distribution

Line load

q
Potentially unstable
wedge

0.5

1.0 H~-f=----",L-_.,..j ~
Par;
Compression 10 E
Stress at
Fracture sets
~ 1.5 interface for
Figure S.18 Stress conto'urs beneath inclined line load E,/E2 = 0
(i.e., rigid base)
showing zones of compressive and tensile stress.
2.0

the failure surface can be modelled as a series

of straight lines, and the exter~al load applied
in any direction (see Section 6.5). .
5.4.2 Layered formations
In layered formations where a stronger rock over-
lis a much weaker rock, the upper formation
will carry the majority of the load and the stress
levels in this layer will be considerably higher
than those in the lower layer. Stress distributions
in layered systems for elastic materials have been
developed primarily for pavement structures
(Peattie, 1962; Burmister, 1967) and the results
can be applied to geological formations. Figure
5.19 shows how the vertical stress distribution
ina two-layer system varies with the relative
moduli ofthe two layers; at a modulus ratio of
100 virtually all the load is carried in .he upper
layer (Winterkorn and Fang, 1975).
The limitations of stress distribution calcu-
lation methods developed for pavements are
that the layers must be both horizontal and of
uniform thickness. In. the many geological situa-
tions where these conditions are not applicable,
numerical analysis must be used.
5.4.3 Transversely isotropiC rock
The stress distributions determined by. elastic
theory for isotropic rock. are modified, in trans-
2.5
b/H= 1
u, =u2=0.5
3 LLI-LJ_-'-_-L_-'-_
o 0.2 0.4 0.6 0.8 1.0
B
crzlq ~
. I normaI stress beneath centre of i!<' Figure 5
5 19 VertIca
F 19ore.
'f '1 I d d . , pressure
um orml ~ oa e Circular a~ea at the surface of two- I:.::' discontiJ
layer elastIC system (after Wmterkorn and Fang, 1975).
I
versely isotropic rock, by the presence of seB! 'bution
of fractures such as bedding planes, joints and .of frac:
foliation. The orientation of the froactures andr. dlre.ctlC
the friction angle of their surfaces, <l>j, limit the . mchnec
range of directions that the.,stresses can take. i rock fe
According to the definitidtl' of interlayer fric.' cr, witt
tion, the absolute value ot-the angle between zero. I
the direction of the radial. stress and the norm. ponent
to the planes must be eq'ual to or less than ~ 10 the:
(Fig. 5.20). Therefore, the bulb of pressure can'
not extend beyond the lines drawn at an angle
<1>; with the normal to be layers. Because the bnlb The n
of pressure is .confined more narrowly than in radial
isotropic rock, it must continue more deeply" the fra.
meaning that the stresses, are higher at a given
depth below the load than would be the case for
isotropic rock (Goodman, 1980). .
The model used to calculate the stress dis:n
 Stress distributions in foundations 143

where hand g are dimensionless quantities de-

scribing the properties of a transversely isotropic
1 rock mass and are given by:
q
,
\ r- Bulb of pressure
g = [1 + (1 _E]J
v";)koS - (5.37)
I for isotropic rock
h = {( Em 2)[2(1 + v) + _1]
/ 1- v Em k,S .
I

Parallel
loAA
+ 2[g - (1 : V)]r (5.38)
Stress at
interface for where Em is the rock mass modulus; E, v are the
Ej /E2 =0 modulus and Poissons ratio of the intact rock,
(i.e., rigid base)
respectively; S is the fracture spacing; k n , k, are
Bulb of pressure the normal and shear stiffness of the fractures
,1
for the layered
;inesq case) rock respectively, which defines the anisotropy of the
rock mass; and ~ is the angle between the frac-
b/H~ 1 Fracture orientation ture orientation and the radial stress direction.
Ul =u2=O.5 These equations can be used to calculate con-
tours of equal radial stress within the foundation.
0.6 0.8 1.0 Two plots of the radial stresses are shown in Fig.
5.21 which demonstrates the influence of both
q fracture orientation and stiffness ratio on the
'Narrowing and deepening of the bulb of
nal stress beneath to limited shear stress along stress concentrations. For the particular con-
rarea at the surface 'es (Goodman, 1980). ditions shown, the contours are elongated when
Winterkorn and the stiffness ratio (kn / k,) is as great as about
100, and are nearly circular at a stiffness ratio
of 10. These equations were first developed
, by t.he presence ~sists 00 half space containing a set by John Bray (1977) and were checked against
'edding planes, joi 'es inclined at an angle '" to the load model tests previously carried out by Gaziev and
etion of the fractur 10a~d by a line load Q which can be Erlikhman (1971). Applications of these equa-
heir surfaces, <Pj, Ii'; . any angle (Fig. 5.20). The stress in the tions would be in the study of interacting stress
It the stresses can taK .ese load. conditions is entirely radial fields from adjacent footings, or for example
efinition of interlaye: 'e tangential" and shear stresses being stress fields produced by a footing and a .tunnel
lue of the angle be'. the line load is decomposed into com- below the structure.
dial stress and the n" Qx and Qy parallel and perpendicular
, equal to or less i~ .ctures
, the bulb of pressu" 5.4.4 Eccentrically loaded footings
e lines drawn at an>; Qcos", and Qy = Qsin ",. (5.35)
On tall structures, horizontal forces produced
'e layers. Becauseth' Lstress at any point defined by the by such loading conditions as earthquakes, wind
d mOre narrowly.{ .Mce ,r, and angle ~ with respect to and centrifugal traffic loads, induce moments at
;t continue moreil; ~orientation, is given by the foundation level which modify the pressure
ises are higher at.~ distribution beneath the footing. For a strip foot-
han would be the c~S h[ Qxcos~+Qygsin~ ] ing of width B with loads comprising a vertical
an, 1980)." "--: (cos2 ~ - g sin2~) + h2 sin2~ cos2 ~ , load Q and an overturning moment M, the re,
calculate the (5.36) sultant force will lie a distance e from the a"isof
 ~
~sc .

144 Bearing capacity, settlement and stress distribuiion

Q, Qy

1
kn ~10
ks= 100
'J
;j

(a)

q, =

kn
'ks=~1
-,"<10
100
'""->4-lJ !l ,where l
'applied
=M/Q
Unde
Figure 5.21 Contours of radial stress under line 'footing
~o."O loads on transversely isotropic rock calculated ~ 10 checl
equations (5.36) and (5.37): (a) geological not exc,
structure aligned horiz6ii1ally (90' to vertical :' ofthe fe
load); and (b) geol~gib~fStructure alignedat-ll Ihat th,
(b) to vertical load. "'Iandare
'~at ach
'in equat
the footing. The term e is the eccentricity of the If the
loading condition and is equal to M/Q (Merritt, q2 =
B
Q(l- 6e), B "
(5,~1 that is ,
' ~efoot
1976). If the distance e is less than B/6, that is,
the resultant force is within the middle third of while for a rectangular footing with le~gt~p~i~IQe. (Fil
the base of the footing; then the maximum and width B (L > B), and the moment aRl':l\r~}~ ,,~mg
minimum pressures (ql and q2) at the edges of th~ .Iong axis of the ~ooting, the maxll)J!2'ia~ Yhe :xtl
the footings are, (Fig. 5.22(a)) mlOimum pressureS wl11 h e ' ,lax

ql = Q(1",6e).
--S +Jj ,
, (5.39) Q (
ql = BL 1 + B
'6e)
 T I

144 Bearing capacity, settlement and stress distribuiion

Q,

1
kn ~10
ks ~ 100

fa)

q, =

kn
'ks~~l
"'-10
100
"-tI--~ ~ ,where (
'applied
;=M/Q.
Unde,

JP.;"O Figure 5.21 Contours of radial stress under line .fOOling i

loads on transversely isotropic rock calculated by 10 ched
equations (5.36) and (5.37): (a) geological
0
not exce
structure aligned ho.rjzpiitally (90 to vertical ;nflhe fa
load); and (b) geologicl1fstructure aligned aHI Ihat the
fb) to vertical load. . )andard
'Ihat actu
'in equati
the footing. The term e is the eccentricity of the ,',!fthe
loading condition and is equal to M/Q (Merritt, q2 = Q 1-
(
6e ,
) (5.~)lhat is e
1976). If the distance e is less than B/6, that is, B B ,. .. ',. llie footi
the resultant force is within the middle third of while for a rectangular footing with lengtI1T~',Je. (Fig
the base of the footing, then the maximum and width B (L > B), and the momentapjJH~' ling,
minimum pressures (ql and q2) .at the edges of th~ long axis of the footing, the maXiTf'i'he exte
the footings are (Fig. 5.22(a mlOimum pressure.s will be maXll

ql =B
Q(1....6e)
+B (5.39) ql = iL(l + 6e)
BL B 3
 References 145

!~


,
.
.,!~.
'
M

/, .
,

I. .1
" B
Lj>~,
(b)

iiress conditions prodnced by footings snbjected to overturning: (a) 'e < 8/6; (b) e > 8/6,

(5.42) While for a rectangular footing, the maximum

'i. pressure is
:iihe applied vertical load, M is the 2Q
!hent, and e is the loading eccentricity (5.44)
-iit q = 3L(BI2 - e)"
, ~e conditions, the pressure under the For footings on rock the condition where e > 1/6
'f
JUrs of radialstress un~, <'tirely
i';,- .-
compressive and" it is necessary
can readily be accommodated by installing tie-
~ly isotropic rockcalcu,f 'at the allowable bearmg capacIty IS down anchors around the edge of the footing,
Id (5.37): (a) geologica,l "d-in the high-stress areas ,at the edges The anchors, which introduce a stabilizing mo-
orizontally (900 to vert,i 'g, However, this calculation assumes ment to counteract the overturning moment' M,
ogical structnre aligne~' ting is rigid, and the flexibility of are designed with sufficient length to develop a
:iilforced concrete footings means cone of rock in the foundation. The overturning
'essures will be less than those given resistenCs--provided by this cone comprises both
(5.39) to (5.42), the weight 'Or'the cone and the tensile strength
ltant lies outside the middle third, of the rock on the curved surface of the cone.
'/6, bearing is only on a portion of Methods of rock anchor design are discussed
dtensile forces develop along one in Section 9.3.4.
2(&. For this condition on a strip
'ressure distribution is triangular
,:Yer'ii' width of 3(BI2 - e), with 5.5 References
]pressure being: Benson, R. C, (1984) Evaluation of differential settle-
ment or collapse potential. Presentation to, Trfl:n~~
port(ition, ,Research Board, Ann1Jal-,Gollfer~nce,
) (5.43)
Washington, DC.
 146 Bearing capacity, settlement and stress distribution
------------------------~
Boussinesq, M, ], (1885) Applications des potentials,
a l'etude de l'equilibre et du movement des solides Kulhawy, F, H, and Goodmao, R, E, (1981) D ~'
elastique. Gauthier-Villars, Paris.
Bozozuk, M, (1972) The Gloucester Test Fill, PhD
thesis, Purdue University.
Bray (1977) Unpublished notes, Imperial College, Ladanyi, B, and Roy, A, (1971), Some aspects of h
London,
Burmister, D, M, (1965) Influence Diagrams for
Stresses and Displacements in a Two Layer Pave
ment System for Airfields, Contract NBY 13009,
Dept of the Navy; Washington, DC.
Costopolons, S, D, (1987) Geotechnical engineering
work for the restoration of the Temple of Apollo
Epicurius, Bassae, Sixth Int, Can, on Rock Me-
chanics, Montreal, ISRM, pp, 327-30,
Couch, F, B, (1984) Solutions to special problems
in karstic limestone bedrock. Presentation to
Transportation Research Board Symposium, Peattie, K. R, (1962) Stress and Strain Factors for TIl
Washington DC.
Gaziev, E, and Erlikhman, S, (1971) Stresses and
strains ill" anisotropic foundations. proe. Symp.
on rock Fracture, ISRM, Nacy, Paper II-I.
Gerrard, C. M, and Harrison, W, ], (1970) Circnlar
loads applied to a cross-aniso~ropic half-space,
and Stresses and displacements in a loaded or-
thorhombic half-space" Technical papers 8 and 9,
Division _ of Applied Geomechanics, Common-
wealth SCientific and Industrial Organization,
Australia, Australia, 1970, (Reproduced as
Appendices A and B in Poulos and Davis, 1974,)
Goodman, R, E, (1980) Introduction to Rock Me-
chanics, Wiley, New York, pp, 305-8,
Hoek, E, and Lande, P, (1974) The design of rock
slopes and foundations, Third Int, Cong, on Rock
, Mechanics, ISRM, Denver, pp, 2-40,
Hong Kong Government Geotechnical Office (1981)
Geotechnical Manual for Slopes, Hong Kong,
pp,129-34,'
Itasca ,Consulting Group (1987) Fast Lagranian
,Analysis of Continua (FLAC), Version ~,OO,
Minneapolis.
Kaderabek, T, ], and Reynolds, R, T, (1981) Miami
limestone foundation design and construction.
ASCE, 107(GTI), pp, 859-72.
Katzenbach, R, and Romberg, W, (1987) Foundation
of high valley bridges in triassic sediments, Sixth
Int, Cong, on Rock Mechanics, Montreal, ISRM,
pp,419-23,
Klopp, R. ,(1969) Engineering geological problems . US Department of the Navy (1982) Foundations ani Impo
during the foundatio~ of the Biggetal power plant
on karstified' Devonian reef limestones in the
Sauerland, and their solution (in German), Rock
Mech" 1, 145~56, '
Kulhawy,F, H. (1978) Geomechanical model for rock
1
foundation settlement. ASCE, I04(GT2), 211_)'! 1
I
of foundations on discontinuous rock. Proc eS?n jJ
Cont on Structural Foundations on Rock, SYdn~~' ;;f~j
pp, 209-20, "
bearing capacity of rock mass. Proc. 7th Can, I~ t
, d (run
Symp, Rock Mechamcs, E manton,
M
Merritt, F, S, (1976) Standard Handbook for CiVil
Enginee"" McGraw-Hill, New York, pp, 7-24,
Morgan, ], R. and Scala, A. ], (1968) FleXible pav,
ment behaviour and application of elastic theor/. '
a review, Proc, 4th Conf, of the Australian Road
Research Board, Melbourne 4, Part 2, p, 1201.
Ontario Ministry of Transport and Communications
,(1983) Ontario Highway Bridge Design Cod,
Highways Engineering Division, Toronto, p, 141.' 6.
Three-layer ElastiC Systems, Highway Researcll
Board Bulletin, No, 342, on
Peck, R, B" Hanson, W, E, and Thornburn, T, H. i111
(1974) Foundation Engineering, Wiley, New York,
pp,361-3, sttl
Poulos, H, G, and Davis, E, H, (1974) Elastic Solu'"iW(
tions for Rock and Soil Mechanics, Wiley, Ne.ht"
York, pp, 138-64, \, bid
Rawlings, G, E, and Wr:yllie, D, C. (GI986)hBridger on
abutments on roc. k ransportatlOn eotec mque, ~
Vancouver Geotechnical Society, Vancouver.
Roark, R, ],and Young, W, C. (1970) Formal., fact
I.
l~nl
for Stress and Strain, McGraw-Hill, New Yo(k, The i
pp, 325-67, : s~~
Schleicher, F, (1926) Zur theorie des Baugrundei! tion
Der Bauingenieur, 48, 49. i, pan
Sowers, G, F, (1970) Introductory Soil MechaniCs and [sett!
Foundations, Macmillan, New York, pp, 395-6, J B'
Sowers, G, F, (1975) Failures in limestone in hnmidl d' ,I
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Sowers, G, F, (1976) Foundatio~'bearing in weathered! wed;
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Foundations and Slopes, 'ASCE, Geotech, Enll,urec
Div" Boulder CO" Vol. II, pp, 32-41. llrue
Sowers, G, F, (1977) Closure to failures in Iimestoo face
in humid subtropics, ASCE, I03(Fl7), p,,< slere
Paper 11521, 807-13, cond
Thorburn, S, H, (1966) Large diameter piles found~ 'til
in bedrock: Proc, of Symposium on Large Bard h
Piles, Inst. of Civil Eng" London, pp, 95-103, ~ et
Earth Structures, Design Manual 7,2, Alexandna, laHUl
VA, pp, 7,2-130, . . ' meth
Winterkorn, H, F, and Fang, H,-F, (1975) Found''': cribe:
. Engineering Handbook, Van Nostrand Remho and t
New York, pp, 148-66,
,to ASCE, 100(G1'2), 21f
)odman, R. E. (1981) Ii
liscontinuous .rock. Pro:'"
"oundations on Rock, ~-r'
'. (1971). Some aspects"
ock mass. Proc. 7th C "
ics, Edmonton.
Wandard Handbook Ai
Hill, New York, pp. 7:;~
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application of elastic til
Conf. of the Australia:
[bourne 4, Part 2, p. 1
'ansport and Communl
rhway Bridge Design.;
19 Division, Toronto, p.
Stress and Strdln FaCi
Systems. Highway R'
342.'
W. E. and Thornburri
:ngineering, Wiley, No'.
lis, E. H. (1974) Elasi'
Soil Mechanics, Wile'
Wyllie, D. C. (1986)f
Transportation Geot~
lical Society, Vancouv~
ung, W. C. (1970) Eo
~n, McGraw-Hill, Ne~
Zur theorie des Bau'
8,49..
.troductory Soil Mecha.
llan, New York, pp. 39
"'ailures in limestone i
Ol(GT8), pp. 771-87.,
mndation bearing in w~.
'ily Conf. on Rock E
lopes, ASCE, Geotec~
Vol. II, pp. 32-41.
;losure to failures in li.
es. ASCE, l03(FT7).L
3.
1 Large diameter pile(,.
if Symposium on Lare
Eng., London, pp. 95,'
Navy (1982) FoundaIii)
esign Manual 7.2,Ne
Fang, H.-F. (1975) Fo
ook. Van Nostrand R.;
-66.
'gnificant affect of structural geology
ility of rock foundations has been
the examples of foundation failures
Section 1.1. For foundations on
inted rock, bearing capacity failures
sett ement rarely occur, and a more
use of instability is e movement of
ck. The design informatIOn required
geology consists of the orientation,
1spa cing of fractures, andtheir sur-
lling c aracteristics (see Chapter 2).
I!ree parameters define the ,!lape-<lnd
licks in the foundation and the direc-
':lch they can slide, while the last two
"determine the shear strength and
frro rtie,;:
formed by geOlogical structure can be
~io three distinct categories - planar,
gtoppling blocks (Fig. 6.1(a), (b), and
J1trast, in rock which is randomly frac-
1here is no dominant direction of the
~al~rge-radius, shallow curved slip sur-
:~ually formed (Fig. 6.1(d. Typical
'';oepicting each of these four geological
are shown in Fig. 2.10, while Figs
{iiillustrate methods of determining
_~plocks are potentially unstable. It is
,t()_'distinguishbetween the different
Xc!iedlUse each requires a different
~tability analysis. This chapter des-
aiii features of each of these failures
r.~spolldirig method-of stability analy-
6
Stability of
foundations
sis. Also shown on Fig. 6.1 are two geological
conditions which generally form stable founda-
tions. Where the main geological structure is
either parallel to the face (Fig. 6.1(e or dipping
into the face (Fig. 6.1(f, sliding is not possible.
However, for the conditions shown in Fig. 6.1(e),
there is a slight risk of buckling failures if the
slope is high and the beds have an outward con-
vex shape. (Cavers, 1981). Where the .beds dip
into the face the foundation will be stable, but
settlement may occur if the beds contain a com-
pressible infilling.
6.2 Stability of sliding blocks
A planar failure is formed where a fracture is
aligned approximately parallel to the face, and
dips out of the face. If the dip of the fracture is
steeper than the face so that the fracture does not
daylight, or if the dip is somewhat flatter than the
friction angle of the surface, then the foundation
is likely to be stable (Fig. 6.2). However,failnre
may occur on planes which dip more shallowly
than the friction angle when destabilizing forces
such as ground water pressures, non-vertical
foundation loads and seismic forces act on the
foundation. Release surfaces are required at
either side of the block before movement will
take place and these may be formed by a con-
jugate JOInt set striking at right angles to the
face, or by the geometry of the face itself if it
forms an isolated ridge.
Consider a strip footing with an applied load Q
inclined at an angle 'I'Q' at the crest of steep face
 r ,~

,~
',\.
(a) (b)
:r
f
t
fr~,
~

f
:, Figure
1'-'

),ii:f
t which
! If the J
t' out of
~,

I failof thisby
(c) (d) of two
the re
-, , resists
.~

~,

1\
I~
~
f [

00 WI' l
Figure 6.1 Effect of geological structure on foundation stability and settlement: (a) planar sliding failure on sing ' .
fracture; (b) wedge sliding failure on two-intersecting fractures;. (c) toppling failure of steeply dipping slabs; (d) .-
circular failure in closely fractured rock; (e) stable condition with no daylighting fractures; and (f) stable -
condition, but settlement possible.
 Stability of sliding blocks 149

(b)

!Stability of sliding block related to dip of sliding surface.

~liring on a rock fonndation (Fig. 6.3).
~contains a continuous fracture dipping
.~ce, a planar block is formed that may
!~r failure on this surface. The stability
.tkis defined by the relative magnitude
(d) . acting parallel to the sliding surface:
force t, acting up the surface that
'e, and an opposite displacing force td
acting down the surface. The ratio of these two
forces is termed the factor of safety F:
F =!I- (6.1)
k
The forces f, and td are calculated by resolving all
forces acting on the sliding surface into compo-
nents acting parallel and perpehdicular to this

No

Sign convention
, for force directions

(I) -8~
V- N

Figure 6.3 Resolution of forces in

I) planar sliding failurep +8
foundation to determine normal and
,of steeply dipping sla_1?S +N shear components On potentHll-failure
actures; and (f) stabl~Cf surface.
 150 Stability of foundations
surface, assuming that the forces act through the
centre of gravity of the block so that no moments
are developec!. To facilitate resolving forces into
their two components, a convention is adopted
for the direction in which they act such that posi-
tive normal forces act to increase the compressive
force on the sliding plane, and positive shear
forces act down the plane (Fig. 6.3 inset). A
method of resolving forces into their normal and
shear components which automatically determines
the correct sign for the component is described in
the following paragraphs. The first step in calcu-
lating the components is to draw up the foundation
and its loads such that the following conditions
are met:
1. The face is drawn sloping down from left to
right; and
2. The direction in which a force acts is defined
by an angle measured in a clockwise direction
(0' to 360') from a horizontal axis to the right
of the force.
Using these conventions, the normal and shear
components with their correct signs on a plane
dipping at angle 'lip, of any force Q at an angle "'Q
from the horizontal axis are given by;
Normal force, N Q = Q sin ("'Q - 'lip) (6.2)
Shear force, SQ = Qcos('I'Q - 'lip), (6.3)
where "'p is the dip of the sliding surface (0' < "'p
< 90').
This procedure can be applied to the condition
shown in Fig. 6.3 to calculate the resisting forcet,
which is the shear strength of the sliding surface.
For a Mohr Coloumb material, the shear stress
on the sliding plane is given by:
~. = c + NQtan <I> (6.4)
. A
or
,t, = cA + ENtan <1>, (6.5)
where ~ is the shear stress on the sliding surface,
c is the cohesion, <I> is the friction angle, A is the
surface area of ti)e sliding surface, and EN is
the sum of normal forces on sliding surface.
For the foundation shown in Fig. 6.3, EN is
~ ~.;j
the sum of the normal components of t~ ~ ~
and the footing load, both of which are p weigh, :,1
The weight W of the block is determine~s~IV,.,tl
the cross-sectional area of the block and the ~oln .~
weight of the rock. W can be expressed in t nu ~
of force per unit length of foundation Or as a'rlli, ::1
weight. The total normal force acting On t~~'.'lj
plane is l\ J
EN = Wsin(90' - "'p) +
Qsin('I'Q _ 'Vp).
(6.6). :1
The displacing force td is the sum of the COlli. ,;;, 'J
ponents of all forces acting parallel to the failu / ,j
plane. In the case shown III. F'19. 6.3, the shearTO
1
component orQ acts up the plane and is negative
while the shear component of W acts down th;
plane and is positive. The total displacing force is
given by
td = ES
= Wcos(90' - "'p) + Qcos('I'Q - 'lip) (6.7)
and the factor of safety is given by equation (6.1),
Note that for a vertical foundation load ('VQ
= 90'), no other external loads and a cohesion of
zero, as would be the case for a clean, open !igul
fracture, the factor of safety is given by:
F = tan <I> (6.8) Tl
tan 'liP'
\ of a
that is, the limiting stability condition occurn 1forc(
when the dip of the sliding plane equals the fric forCl
tion angle of this surface. liom
If the calculation is carried out on a unit length that
offoundation, all the forces are expressed in units,, folio
of N/m (kips/f!) and the calculation method is I
appropriate for strip footings with uniform geo t l. F
logical conditions along their length. In the case [to v:
of spread footings, it is necessary to select a.. :'
length of the foundation, which may be longer ~ It
than the footing length, on which to carry out the 2. ~ f
stability analysis. The appropriate analysis length t 0
of the foundation will depend on the spacmg of rf(
fractures that form the side faces of the shdwg. f
block, and the weight would be calculated from (
the cross~sectional area of the block, its lenglh
and the rock unit weight.
 Stability of sliding blocks 151

II components of th~i
RESOLUTION OF FORCES
both of which are '
, block is determi
ea of the black and
V can be expressed
:h of foundation Or '
0,
Jrmal force acting;},
:,
T

fd is the sum of
acting parallel to th'
lawn in Fig, 6.3, tli
lp the plane and is lie
)onent of W acts d'
The total displacing;
>~i1
<'

jlp) + Q cos ('I'Q-

Yis given by equatiQ
mcal foundation I'
enal loads and a co '"
he case for a cle~~
, safety is given by::~
'As
"'{4
.'it
,y
:"f
stability condition't
iding plane equals tli'
lee. " own in' Fig. 6.4. The range of forces
carried out on a unitt
'orces are expressed"
the calculation metli
footings with uniform
Ig their length. Inti):
t is necessary tosel
ion, which may b~:J
I, on which to carryp
appropriate analysis],
depend on the spa
e side faces of th~~
would be calculated)
,a of the block, its:i'
:ht.
acting on foundation containing planar fracture dipping out of slope face.
'dple of calculating the factor of safety
(6.10)
'.' of rock in a foundation by resolving
:determine the resisting and displacing
"be extended to more complex condi~ where hw is the head of water at the base of
the tension crack; L is the length of the ten-
e accommodated in this analysis is as sion crack along the strike; Yw is the unit
weight of water; 'I'v is the dip angle of the
water force V; and A is the area of the sliding
ation loads (QI> Q2)' Each force is the plane.
,-sum of the dead and live loads, plus
3. Earthquake force (aW). The effect of earth.
)Lhorizontal forces acting on the struc-
quakes is simulated by a pseudo-static hori-
ch as wind, ice, water and earthquake
zontal force aW equal to a fraction of the
weight of the block. The earthquake accelera-
orces (V, V), The uplift force U acts
tion a is expressed as a fraction of the gravity
potential sliding plane, while the thrust
acceleration appropriate to the seismic zone
-':"acts in the tension crack; bOth these
for the location.
'"~k~:"_-
,actin directions normal to the fractures.
4. Artificial ,support force (T). These forces are
:'1Ili:A hw yw applied by installing rock bolts or .cables
(6.9) anchored in sound rock below the potential
2
 152 Stability of foundations

sliding surface and then tensioning them Slope dimensions: "'p = 40, h w = 3 In,
fber
against the rock face to apply compressive and 2
shear forces on the sliding plane. A' = 38m /m, "'v '" 2~.
of ar
slidir
Figure 6.4 shows a typical foundation which
Shear strength parameters: j prop'
contains a planar fracture on which sliding could cohesion = 0.025 kPa, friction angle ~ 3~ Hod
take place, and issubjected to the load conditions gr avi
The water forces U and V are calculated as:
described above. Resolution of these loads into appll
their shear and normal components and exam- U = 190 x 3 x 0.0098/2 = 2.8MN can t
ination of the directions in which they act, show It
V = (3)2 X 5 x 0.0098/2 x cos (20) = O.2MK} facto
the influence that each has on stability. The forces
U, V, QIH and aW all have negative (upward) The resisting force is calculated from equalio " lengt
normal components that diminish the frictional (6.4) and (6.6) as: ~ ( in th
component of the shear strength, and positive proV1
(downslope) shear components. Therefore all
I, = (0.025 x 190) + [30sin (90 - 40) +O.I! block
these forces reduce the factor of safety. However, x 30sin (0 - 40) + 5sin (90 - 40) ,xcer
the reinforcing force T and the foundation load at ng
+ 2sin (0 - 40) + 30sin (130 - 40) tbey
Q2 have positive normal components and nega-
tive shear components that improve the factor of + 8sin (160 - 40) + 2.8sin (310 - 40) block
safety. . plana
+0.2s1O(20-40)]tan30 ,strip
These equations also show that the suppo~t
provided by the tensioned bolts varies signi- = 4.8 + [57.7] tan 30 t.
wnsi:
it! A fi'
ficantly with the angle at which they are installed,
= 38.1 MN. ' rock
and savings in bolting quantities of up to 50% can
out u
be achieved by installing bolts at the optimum The displacing force is calculated from equation
(Secti
angle. Bolts installed normal to the sliding plane (6.7) as;
will increase the normal force only, but at a flatter Id = [30cos(90 -40) + 0.1 x 30cos(0 -40)
angle than the normal they will both increase
normal force and diminish the displacing force. + 5cos (90 - 40) + 2eos (0 - 40) I 6.3 :
The optimum plunge angle "'Topt for the support + 30cos (130 - 40) + 8cos (160 - 40) ~ For a
force is
+ 2.8cos (310- 40) + 0.2cos (20 - 4011 ( steep
"'Topt = (180 + "'p - 4. (6.11) r late t
= 22.5 MN. ! shape
The factor of safety plana
Example
The stability of the foundation shown in Fig. 6.4
with respect to sliding failure can. be calculated
F = 38.1122.5 I ~a:r~
= 1.7. [ alignt
using equations (6.1) to (6.10). The sliding sur-
face comprises a planar fault with gouge infilling The effect of the bolting force T on the .f.a.eto.'. 011 ~~i~~~
(refer to Fig. 3.16). The following values for the safety can 'be determined by setting T =o,[rom~. the I
forces and force directions are assumed:.
which the new factor of safety is
F = 34.1126.5 = 1.3. ~
,:;.. S;.. ...
.. +.:.- . face s
'r' the fit
Forces: Qlv = 5MN, QIH = 2MN,
. ; ; ; S ! ( L ;. than I
Q2 = 30MN, T= 8MN, * W is calculated from the cross-sectional area ofJ~i~~li~,iog: stabil:
3
a = O.lg, W* = 6MN/m. block, multiplied by the rock unit weight, O.025MN!m ,JI' Th(
the total length of th~ foundation' is 5 m, ~hen t~~i~J~im~~ shape
Angles: "'OIV = 90, "'OIH = 0, "'02 = 130, ~ength of the foundatIon block to be used 10 stablh~ri~~r
IS 5 m, and the values of Wand Aare: ,-,"'_O_';;'_'~7
f
0 the::

"'T= 160. W = 30MN, A = 190m2, ::~:j~~~~~} resol\


"'p = 40', h w = 3 m, eare a number of limitations to the method
z '~lysis described in Section 6,1. Namely, the
4* = 38m /m, "'v = g surface must be planar and the strength
lmeters: rties uniform throughout the foundation,
. at all forces act through the centre of
Pa, friction angle = 3d
of the block. If these conditions do not
d V are calculated as:.S . then the more versatile Sarma analysis
'8/2 = 2,8MN used as described in Section 6.6.
:' important to note that in calculating the
18/2 x cos (20) = O,Z ' reof safety of either a unit length or a specified
"'of foundation using the method described
"'section, it is assumed that no support is
aed by the two surfaces at the ends of the
+ [30sin (90 - 40) +, This is .usually a conservative assumption
0) + 5sin (90 - 40) .i. where the rock contains sets of fractures
''l't angles to the face and oriented such that
) + 30sin (130 - 40); aCt as release surfaces at either end of the
W'Because of this geometric limitation, the
40) + 2.8sin (310 - '
')inethod of stability analysis is best suited to
40)]tan30
F6undations where the structural geology is
130 fent over the full length of the foundation.
:erealistic stability analysis of a block of
:upporting a single footing can be carried
~i~g the three-dimensional wedge analysis
l1h 6.3).
:
I) + 0.1 x 3Ocos (O(
0) + 2cos (0 - 40): lability of wedge blocks
40) + 8cos(160 ~f ,lfooting of limited area on the crest of a
- 40) + 0.2cos if~ce, it is often more appropriate to calcu- 1. The shape of the wedge is defined by five
,;e stability of a three-dimensional wedge-
If: block rather than the two-dimensional
'(block as described in the Section 6.2.
;~ge failure is formed by two intersecting
ieswhich both dip out of the face, but are
~~at an oblique angle to the face (Fig. 6.5). 2. The dimensions of the wedge are defined by
~force T on the &ctakes place on both planes simultaneously
,~c'lirection of the line of intersection between
d by setting T =
safety is lanes, The foundation is likely to be stable if
if&6fintersection is either steeper than the
.,alit does notdaylight, or if it is flatter sured along the trace of plane 1.
:;friCtion angle in a similar manner to the 3. The shear strength of the rock is defined by the
lss-sectional areao(:~, nditions of planar failures.
unit weight, O.025,.:fY!' ethod of stability analysis of a wedge-
tion is 5 m, thenthe:-:'
: to be used in stabilit' JOck follows the same principles as that
d A are: ,~nar block, except that it is necessary to
,~<forces on both of the sliding planes. The
Stability of wedge blocks' 153
analysis procedure is to calculate the weight of the
wedge, and the area of each face. The weight, as
well as all external forces such as the foundation
load, water and support forces, are then resolved
into their normal and shear components acting on
each of the two sliding surfaces of the wedge.
The basic equation for the factor of safety of a
wedge is
t,
Factor of safety = fct' (6.1)
where
t, = N,tan<l>, + N2tan<l>2 + cIA, + c2 A 2
(6.12)
and
td = f'(W, T, E, V).
The function f' denotes the shear component of
these four forces; N" N z are the effective normal
forces on planes 1, 2; A" A z are the areas of
planes 1, 2; <1>" <l>z are the friction angles of planes
1.2; c" C2 are the cohesions of planes 1, 2; W is
the weight of the wedge; T is the support force; E
is the external load; and V is the water force in the
tension crack.
A detailed procedure for calculating the factor
of safety of a three-dimensional foundation block
is given in Hoek and Bray (1981). The data re-
quired for this analysis is as follows.
surfaces: the face of the slope, the upper slope,
the tension crack and the two intersecting
planes forming the sides of the wedge. The
orientation of these surfaces is defined by their
dip and dip direction.
two lengths: the vertical height H from the
apex of the wedge to the intersection of plane
1 with the crest of the cut, and the distance L I
:
of the tension crack behin_d the face as mea-
cohesion and friction angle of the two side ::1
I
planes. The shear strengths of the two planes _. ,.,.' '.1'
can have different values as would be the case, . .'.'
where one fracture is a faultwitlt a clay iIi'" .. 'I
filling, and the other a clean joint.
 154 Stability of foundations

to
Upper slope 6, 6'
Q fo
Tension
crack or
b)

An
calcu
Slope face plan<
F one (
~" resis'
Plane 2
t This
both
nece
For
'\. Line of neat
"\. intersection is il
optil
~,
of iJ
<a)
'"(1)
'?
or
" opti
I'
Q
~/-'
" the'
I::<>
M o/i 1~
!


'""~ If T
[ wed
I: to a
1 brk

\E
~
~
ratl
thr,
rna

(b)

Figure 6.5 Stability ofthree-dimeusional foundation block: (a) isometric view of wedge; (b) cross-secti<iri'Q,C"
wedge through line of intersection of planes 1 and 2. " ,C':'.';"
..."'' "..""," .

4. ,The weight of the wedge is calculated from the

density of the rock and the calculated volume.
5. Water pressures acting on the wedge are
determined by assuming thattheslope is fully
saturated a.nd that the ,forces Uand V are

iIlate varying levels of the water table.
slope -'rial loads on the block consist of the
:ation load and a support force; the
'ftions of both these forces are defined
''it trend and plunge.
~~tant component of' this analysis is
ii6.of the normal forces acting on each
Tis may show that there is no contact on
'fplanes with the result that all the shear
;will be generated on the other plane.
rmation is required in the calculation of
ane 2
'~factor of safety, and the support force
,'to produce a specified factor of safety.
'dge which slides on both planes simulta-
jne of i'c;the support force is minimized if it
ntersection
'ed at the optimum orientation. The
'-trend is parallel to the trend of the line
'';ction between the two planes, and the
i"plunge is equal to (<I> - 'l'i), where <I> is
:,~ge friction angle of the two planes and
~iplunge of the line on intersection.
Jability analysis of the three-dimensional
'19Ck is very versatile and can be applied
~range' of foundation conditions such as
',!ers located on steep slopes, and the hold-
:'~pacity of uplift anchors. If there are a
';':oLexternal loads such as seismic forces
.ij;yertical and horizontal foundation loads,
""nail be combined into a single vector.
~~s where this may not produce an accu-
'\ltion are where the forces do not act
)he centre of gravity of the wedge and
s are produced.
wing is an example of a stability analysis
ge block forming the foundation of a
'er which applies a vertical external load
.... 900 kips) to the wedge. It is assumed
head of water int eological conditions are those shown on
:b. The effectiv~j'fI oriet in Fig. 2.9 and that the wedge is-
)fthe normal C()I)l]" -y the foliation and joint set B, and that
ninus the uplift {q:' section of these two planes is along line
)fthe water, it is,g_ ),8. and dip direction 208). The orien-
Three-dimensional stability analysis 155
Table 6.1 Properties of wedge block
Plane Dip Dip Friction Cohesion
direction angle kPa (p.s';.)
Foliation 65 245 35 25 (3.6)
Joint
Upper slope
85
o
135
200
20 50 (7)
Slope face 75 200
Tension crack 80 180
tation and shear strength properties of the planes
forming the wedge are shown in Table 6.1.
The vertical height of the wedge is 25 m (82ft),
the distance to the tension crack along the line of
the foliation on the upper surface is 6m (20ft),
and the rock density is 25 kN/m3 (160Ib/ft'). His
assumed that the foundation is dry.
With no foundation load acting on the wedge,
the factor of safety is 1.73, and with the vertical
foundation load applied the factor of safety drops
to 1.2. Tensioned rock bolts can be installed to
increase the factor of safety to 1.75. The optimal
orientation for the bolts is at a trend of 28 and a
plunge angle of 34 above the horizontal. For
bolts installed at this orientation the required bolt
force is 2.4MN (540kips). However, if the bolts
are installed at an angle of 10 below the horizon-
tal, the required bolt force increases to 3.2 MN
(720kips), showing the value of installing bolts at
the optimum orientation. However, bolts are
usually installed at a plunge angle below the hori-
zontal to facilitate the grouting operation.
6.4 Three-dimensional stability analysis
In conditions where the shape of a block of rock
in a foundation cannot be defined by the five
surfaces as shown in Fig. 6.5, there are two other
methods of examining the stability of three-
dimensional blocks. Details of the analysis pro-
cedure of both these methods are beY9nd the
scope of this book, but their basic principles are
discussed below.
Goodman and Shi (1985) have developed the
key block theory that is a generalized .tlJree-
dimensional analysis of blocks defined by fracture
 156 Stability of foundations f y
i

---------I -------
....... . ..
"
..

"
II .. ..

.. ,oJ
crest 01 sloPe i~

Retaining
wall

h"-_--;--Failure SUrface
/
Figure 6.6 Identification of removable key block in the L
foundation of a dam (Goodman and Shi, 1985.
Adapted by permission of Prentice Hall, Inc.,
Englewood Cliffs, New Jersey).

Figure 6.7 Three-dimensional analysis of a slope with a

surfaces. The basis of this theory is the definition foundation load at the crest (Hungr, 1987).
of blocks, on the basis of their shape, that can
slide from the surface of an excavation, or are crest. A conventional two-dimensional analysis of
removable. For example, in Fig. 6.6 blocks 2, 3 this slope gives a factor of safety of 1.09, but a
and 4 in a dam foundation cannot slide because three-dimensional analysis gives a factor of safety
they are constrained by block 1 - the key block. of 1.25.
If block 1 was to move, then blocks 2, 3 and 4 of exami
could also move resulting in possible failure in turn'
6.5 Stability of toppling blocks will hav
of the foundation. A stereographic projection
method can be nsed to determine the shape of Toppling failures of foundations may be formed sliding c
the blocks and to identify the key block from where fractures dip into the face and form either a depends
the dip and dip direction of the fractures and the single block, or a series of slabs, such that the strength
excavation faces. centre of gravity of the block falls outside the base forces a
A generalized three-dimensional slope stability (Fig. 6.8). These conditions for toppling are only the cres
analysis has been developed by Hungr (1987) met where the dip angles of both the face and the gravity
wl)ich is based on Bishop's method of two- fractures are steep, and the fJi!'ctures are aligned vided tt
dimensional slope stability analysis. Instead of parallel to the face (Goodman and Bray, 1976), than th,
dividing the slope into slices as used by Bishop, Experiences has shown that considerable move which t
the three-dimensional analysis divides the slope ment may take place as the slabs move horizon- may to
into columns. The analysis procedure cousists of tally, but that overall failure of the slope will not restrain
calculating the vertical force equilibrium equation OCcur until there is shear failure of blocks at the sides 0
for each column and the summary moment equi- toe that act as keystones to constrain the slope. It produc:
librium equation of the entire assemblage of is likely that the amount of movement prior on the
columns. These two equilibrium equations, which overall slope failure will exceed the topple:
neglect the vertical shear forces acting on the tolerance of most structures so it is important to its cent
vertical faces of the columns,' are sufficient con- identify geological structure that is susceptible to of the
ditions to determine .all the unknown forces and toppling (see Fig. 5.16). not tor
to calculate the factor of safety of the slope. The analysis of foundations containing blocks be gre:
Figure 6.7 shows a slope with a surcharge at the which could undergo toppling movement consists with tl

lional analysis of a Slopr
)St (Hungr, 1987). ...
wO-dimenSional anal'
)r of safety of 1.09i'
ysis gives a factor air
,"
lling blocks
:"
undations may be til
, the face and form ej'
's of slabs, such th
)lock falls outside th'
:ions for toppling ar'
's of both the face an'
the fractures are ali"
,adman and Bray,"
that considerablem.
, the slabs move hal" '
Hure of the slope wi"
tr failure of blockSa",
to constrain the siD"'
l! of movement pi""
exceed the displace"
lres so it is import C
ure that is susceptib'l
.).
ations containingbJ:
pling movement cQi[
t
.
~"
7
e
s
;'ing the stability conditions of each block
)arting at the top of the slope. A block
. ~ one of three stability modes: stable,
~ttoppling (Fig. 6.8). The stability mode
,pn the dimensions of the block, the shear
'{parameters of its faces and the external
'cting on it. For example, short blocks at
e~i (blocks 7, 8, 9) for which the centre of
. \Ia1ls inside the base will be stable, pro-
,~~at the friction angle of the base is greater
e. dip of the base. However, taller blocks in
ffiecentre of gravity lies, outside the base
pple (blocks 4, 5, 6), depending on the
tprovided by the shear forces on the two
the block. If the block does topple, it
.;a thrust force against the block below it
l?pe. If this next block is also tall it may
.a result of this thrust force, even though
. of gravity lies inside the base. At the toe
<Jpe. where the blocks are short and will
,Ie (blocks, 1, 2, 3), the thrust force may
enough to cause these blocks to slide,
e result that the overall slope will be
Stability of toppling blocks 157
Figure 6.8 Stability of foundation
containing toppling blocks
(Goodman and Bray, 1976).
unstable. However, if the toe blocks are stable,
the upper blocks may undergo considerable 'dis-
placement, but there will be no overall failure .
If a footing is located on the slope, the effect of
this load is to increase the height of the block.
This may cause a stable block to topple, or ex
acerbate an existing toppling condition by in-
creasing the thrust forces on the lower blocks.
The first step in the stability analysis is to
determine the dimensions of all the blockS as
defined by their width Ax and their height Yn
(Fig. 6.9). Then, starting at the top of theslope,
the forces acting on each block are calculated.
These forces comprise all or some of the
following:
1. The block weight W n of block n;
2. The foundation load Qon the top surface;
3. A force Pn produced as a result of toppling
of the next higher block (n + 1) in the
foundation;
4. The restraint Pn - 1 provided by the next lower
block (n - 1) in the foundation;
 158 Stability of foundations
~

-----
\~'llter
lind b~
VI
V2
V,
AssUrT
equilit
apply,
of bioI
PI/"

f
Figure 6.9 Forces acting on a toppling block. t..
where
. blocks .
, The
5. The shear forces developed on the sides of the zontal axis to the right of the force (the slope i Ihe sl' [1
blocks; drawn sloping down from left to right); <I>,iS.. I.he '. ing at
6. The normal and shear forces Nn and S., friction angle on the sides of the blocks; y~,\z of ea'
respectively, acting on the base of the block; are thedepths of ground w~ter on the uJ:p~t*nd follow t
7. Water pressures acting on the sides and base lower sides of the block; Q IS the foundatlOn}oad 1< I FOI
of. the blocks, the magnitudes of which' are
denoted by the dimensions Yw and zw. in units of
density of rock;
force and
per unit
Yw islength of w~tfr:
of slope;
the density . . I.h,.:.....
y.'.. . i. . S i of
i.e.I
Considering rotational equilibrium, it is.f9~,nd ': 2. FOI
The method of calculating whether a block will that the force Pn - I ., which is just suffiCi~.~.IO. wh,
topple or slide, or be stable, is as follows. First,
by resolving all forces acting on a block into
prevent toppling of block n has the value. '" . J. '. sial
components perpendicular and parallel to the . 1 {'
Pn-I.'=z: Pn(Mn-ill:tan<l>,)
f 3. Wh
lop
base, the normal and shear forces acting on the
n : , o Pn-
base are:
W " :4. Cal
+ -f(YnSinlj/b - ill:COSlj/b)., . det
N n = WnCOSlj/b - (Pn- I - Pn)tan<l>,
leSI
- !(Yw + zwl'Ywill: + V Yw + y (dX? (Yw + (a)
1 3 w 2 2
+ Qsin(lj/Q -Ij/b) (6.15)
(b)
Sn = Wn sin Ij/b - (Pn- I - Pn) - v,z3w + Q[ sin (lj/Q - 1j/6
+ Ky~ - z~l'Yw + Qcos(lj/Q - Ij/b)'
(6.16)
- cos(lj/Q - Ij/b) YnJ}.
. whereWn = y,ill:y., Ij/b is the dip angle ofthe base
of the blocks; Ij/Q is theinclil1.ation of the load where M n and L n define the points of a
measured in a clockwise directiol1. from a hori- of the forces Pn and Pn-I> respecti~
 Stability of toppling blocks 159

orces V" V2 and V, acting on the sides (a) If Pn - l s > Pn-l. t the block is on the point
e of the blocks are of sliding and Pn - l is set equal to Pn - 1 ,,;
(b) If ISnl > Rn tan <Pb the block will be stable;
)rwY~ (6.18) or
. hw(Yw + zw)L\x (6.19) (c) If ISnl < R n tan<pb the block will slide.
hwz~. (6.20) If the bottom block slides, then the overall foun-
g that the blocks are in a state of limiting dation slope will be unstable. However, even if
. m so that equations (6.15) and (6.16) the bottom block(s) are stable and there is no
overall slope failure, considerable displacement
'e force just sufficient to prevent sliding
of the toppling blocks higher in the slope may
n has the value
still take place.
: ~ Pn + {-W(cos'l'ptan<Pb - sin'l'b) Having calculated the forces acting on each
+ V, - V2tan<pb - V, block, it is possible to determine the factor of
safety of the foundation by an iterative process
+ Q[-sin ('I'Q - 'l'b) tan <Pb as follows. The friction angles are progressively
+ cos('I'Q - 'l'b)]} changed until limiting equilibrium conditions are
reached, that is, when the lowest block is just on
(1- tan<ps tan <Pb)-l (6.21) the point of sliding. The friction angle required
es acting on a toppling bl:
the friction angle on the base of the for limiting equilibrium is <P" and if the friction
. f,ability analysis procedure is to examine
angle of the base of the blocks is <Pb' then the
factor of safety is given by
. of the force (the slo' lity condition of each block in turn start-
?m left to right); <Ps is :~tap of the slope. The stability condition F ~ ::- (6.22)
Ides of the blocks; Y l?lock is established according to the
1d water on the uppe, ~icriteria: Methods of stabilizing foundations that can
;; Q is the foundation "~?, 'l'b sliding will not occur on the base undergo toppling movements can be divided into
it length of slope; r, i "plocks, provided no external forces act, two categories, namely modifying the shape of
. is the density of wat the blocks, and installing support (Wyllie, 1980).
al equilibrium, it is i
;= V , .2 " ~ o.
Yhich is just sufficiefr
:ilrt blocks near the crest of the slope If potential instability is recognized before con-
"YnlL\x < cOt'l'b' the blocks will be struction, the blocks can be shortened by exca-
ck n has the value ., vating the upper part of the slope so that centre
.YnlL\x > cOt'l'b this defines the upper of gravity of the blocks falls inside the base.
- L\x tan <Ps) g block, and the forces Pn - 1t and Alternatively, it may be possible to install bolts
.are calculated. through a number of blocks to increase their
~iethe forces Pn - 1,t and Pn - 1 ,s and effective width, or the toe of the slope can be
il1estability conditions by the following supported with tensioned rock bolts anchored in
stable rock below the zone of movement. The
(.<lX)2 (Y
rw-- Zj"
'....:!!. + ....:!i..fr. ""'l.t> Pn - 1 s the block is on the point calculation of the required bolt force can be
2 2 3'~' ppling and Pn - 1 is set equal to Pn - l t ; carried out using equations (6.15) to (6.22) in
1:llock will not slide provided that: which the support is an external force, acting
into the slope, on any number of toe blocks.
Q[sin('I'o - 'l'b) ~.~i>o, and ISnl > R n tan <Pb' The data required for the evaluation af stability
erpart of the slope where the blocks conditions of a foundation with a potentiaLfor
tAll1Q.'Jj)ppling does not occur, the toppling type movement are as follows: .'
QQuced by the upper toppling blocks
: the points of appli~ "'ffiCient to cause the toe blocks to 1. The geology of the foundation is definecl.bY
the dip 'l'p and spacing .<lx of the setof ffaC~llres
Pn-l> respectiveW:.
:.O!':.
 160 Stability of foundations
-----------------------------~
that dip into the face of the slope. It is also
assumed that there is a set of orthogonal frac-
tures that dip out of the face to form the base
of each block.
2. The dimensions of the slope are defined by the
dip angles of the face and the upper slope, and
the vertical distance between the crest of the
slope and the lowest sliding block.
An important parameter in defining the
height of each block is the angle p (Fig. 6.8)
which must be selected from an inspection of
the geological conditions and slope dimen-
sions. It cannot be determined analytically,
and its value is critical to stability. If Pis large,
the blocks will be short and no toppling will
occur, while if P is small, the blocks will be
tall and most blocks will topple.
3. From the geology and the slope dimensions,
the height of each block Yn can be calculated.
4. The shear strength of the rock is defined by
the friction angles of the base and sides of
the blocks (</>b and </>s, respectively). This con-
dition may arise where one set of fractures
is, for example, a set of clay-filled bedding
planes and the other isa set of joints with
rough surfaces.
5. The weight of each block is the product of its
cross-sectional area and the rock density.
6. Water pressures act on the sides and base of
each block with values defined by the elevation
of the water table.
7. The foundation loads Q can act on any
block(s) and can be inclined at any angle; it
should be noted that all forces are expressed as
a force per unit length of the foundation.
6.6 Stability of fra~tured ro~k masses
Where the rock mass contains no dominant
structure, but is randomly or closely fractured, a
slip surface with an approximately circular shape
may develop in a similar manner to failures in
soil. This surface will, pass. both through intact
rock and along existing fractures, Under these
conditions the slip surface will have a large radius
to form a shallow failure, in contrast to more
deep-seated failures that occur in. excavations
/./
made in low-friction, cohesive soils. The anal,
of the stability of cut slopes in both soil and ,.,
using limit equilibrium methods is well develo;' .
(Bishop, 1955; Janbu, 1954; Morgenstern,', 60
Price, 1963; Nonveiller, 1965; Sarma, 1979) a:,
these methods can be applied to a wide range,
conditions.
A method that can readily be applied to t~.
stability analysis of rock foundations is that 0: 50
Sarma (1979), with modifications made by !Joe;'
to calculate the effective normal stress on the base 't
of each slice. The first task in the analysis is to \
define both the position' of the ground surface an, I
the shape of the failure surface by a series ol! 40
straight lines which are given x and Y co-ordinat~ !
(Fig. 6.10). The sliding mass is then divided into I
slices which can be either triangular or qnadri.!
lateral in shape, and the sides of the slices may be
non-vertical. The position of the water table is 30
I
defined by the point at which it intersects the side,
of each slice, and external forces represented by a '"
vector Q at an angle IjIQ (0' to 360' from Ihe ;:
positive x-axis). . :'
The analysis method consists of a c1os~d,form! 2iJ
solution to calculate the critical horizonta(accel.!
eration K c required to induce a state oflirnil l
equilibruim in the slope. The static factor of
safety F is then found by reducing the vaiues of' 0
I
tan</> and c to tan</>/F and elF until Kc"'...O. In
order to determine whether the soluti()~js ac ,
i\
ceptable, a final check is then carried ()!!fias 10 'J
whether all the effective. normal stressef~~cting r
across the bases and sides'bf the slices *i~;'P0si. o
tive. If negative stresses: are found, 'l~tsnce o
geometry is varied until the negative:Sl~e.sses \
1" d " " > ; : ; : S x : ' ; : : . FigUl
are e Immate ':':i~i;.,. ~
The features of the Sarma analysis'lv@ill: are l
particularly applicable to the design:j,"Yqck t i,
foundations are as follows: \ ::
1. The ground surface can be any Sl!k '... 3 1
fined by a series of straight lines.. , s
2. The slip surface can be circular, noni; t
series of plane surfaces or any coIn e
these surfaces. The value of this. 4. I
surface can follow geologicalfeatl!
faults or fracture sets. Where thes
 Stability of fractured rock masses 161

, cOhesive soils. The'

. slopes in both soil aan.
m methods is well de~
lU, 1954; Morgenstet'"
ler, 1965; Sarma 1979
e applied to a wide ra' Q6

n readily be apPlied'
rock. foundations'IS ". 'VQ'

10 dlfications made by,"

IVe normal stress on tft
st task in the analy'
>n of the ground surfi
Q,
lure. surface by a se
e gIven x and yeo-or'>
Ig mass is then divid~
'Ither triangular or'~ LEGEND
?e sides of the slices c y
l(jon of the waterJ Material (kPa) 4>0 (kN/m3 )
t which it intersects;'
cnal forces represente
0
[ill] Overburden 50 30 21
'l'Q (0 to 360 0 f r '

j consists of a clos~i
Ie critical horizonta
r Rock 200 35 26

a induce a state ;; ~ Dyke 100 25 24

Jpe. The static fa~ .

by reducing the viii
. and elF until K ':f
I Schistosity 0 15

..1,-' Water table,

hether. the SOluti~n\ 'Yw = 9.81 kN/m 3

. is then carried oue

ve normal stresses'l
des of the slices ar'l
ses are found tli"
Itil the negati~e s'
:/->-
Sarma analysis w~i~
to the design ~',
ws: ;,:
ca~ be any shapei~
(ralght lines.,i"
Ie circular, non.;citc-"
es or any combifiatt
value of this is th'
ological featureS"
,. Where the slip $,
10 20 30
'.i;',-
,~""', .
;.it}Stability analysis of foundation using the Sarma method.
~;:~.--
.,.;:':'':- ...
l.~~~.fined by the geology, a series of trial
;,:c,es will have to be analysed to find the
"'~."'ith the minimum factor of safety.
lice boundaries can be non-vertical
.t';Jheyfollowgeological features, and
~s'may be either three- or fouNided
'its.';
trength properties, namely friction and
'hi'values, can be assigned. to the base
es of each slice. This means that the
Q ~ External force, kN/m .
40 x
50 60
slip surface and the slice boundaries can be
used to divide the rock mass into geological
regions and the appropriate strength para-
meters assigned to each region.
5. Non-linear rock mass strength parameters, as
defined by the parameters m, s (Table 3.5) and
. O'u,.can used in the analysis in the fOlloVl'ing
manner. The normal stresses acting' all. the
base and sides of each slice are calculated
in the analysis from which instantaneous frip-
 r
162 Stability of foundations
---------------------------------~

tion angles and cohesions can be calculated defined by its intersection points with the .IIi
from equations (3.16) to (3.19). These c and boundaries. The locations of the slices are ,'. '1',,1
<I> values can then be assigned to the appro- pressed in terms of three pairs of co-ordinat,. ~
priate surfaces in the foundation. (x" y,), (x w, Yw), (Xb' Yb)' The foundation loa,\' .\;,1,
6. The effect of water pressure on stability can are applied as vertical external forces Q to slic,\.
be incorporated into the analysis by putting and 6, and tensioned anchors are installed in .11"1_ (.""
luI
in a water table from which the water forces 3. The orientation of the external loads is defin,: ('""
acting on the base and sides of each slice are by the angle \jIQ' Table 6.2 shows the results 01. ,....'
calculated. stability analysis which lists the slice boundary ~ ~:::;
7. Structural loads, and support installed to ordinate positions, the material properties) l~! I:ri~~
reinforce the rock mass are simulated by external forces and the effective normal stress.; '"
applying external loads. These loads can be on the base and sides of the slices. '\I;,"
in any direction and their position is defined The results of the analysis for a variety ni ",;
by the slice on which they act. Thus the slice conditions are: rri~li
((Il1c:
I
I
positions should be selected so that they coin-
1. In an excavated slope with no foundation loa&: "","
cide with the locations of the external loads.
or support the factor of safety is 1.57. ; ""Ie
8. Earthquake accelerations acting on the foun-
2. In an excavated slope with foundation 10a&:\, UI'."
dation can be simulated by applying an exter-
nal force on each slice. For example, if the Q4 = Q6 = 5 ~N, but with no support the ""~'
factor of safety IS 1.29. '",
earthquake acceleration is 5% of gravity, then
a horjzontal force of 0.05 times the weight of
3. In an excavated slope with foundation loads 1-
Q4 = Q6 = 5MN, and with support installed: \:,~~
the slice is applied as an external force. The
total external force acting on each slice is
Q3 ,; 6MN, the factor of safety is 1.49. Iuni'
4. In an excavated slope with founllation loads,.
the vector sum of the structural, support and
Q4 = Q6 = 5 MN, support installed, Q3'
earthquake forces.
6 MN, and cohesion on base of slice, zont
50 Pa, the factor of safety is 1.10. com
indu
Example These analyses show the effect both of extern. at tl
An example of an analysis of the stability of the loads and of material properties on the stability the:
foundation of an arch bridge using the Sarma of the foundation slope. The fourth analysn The:
method is shown in Fig. 6.10; The geological simulates the effect of heavy blasting in the ex 'slop
conditions consist of overburden with a thickness cavation of the benches for the footings: If lhe that
of abolit 15 m overlying a moderately fractured blasting is heavy enough to loosen and shatter ilie plan
schist in which the schistosity.dips into the face at rock, the cohesion may be reduced from 200 to failu
a dip of about 60; At the toe of the slope there is 50 Pa. This reduction 'in',strength results in Ihe Yon
a dyke which has the same orientation as the factor of safety of the foinidation being diminished D
schistosity and is ~omewhat more fractured than from 1.49 to 1.1 and shows the importance 01 lore,
the remainder of the rock. The properties of these controlling blasting operations (see Chapter;10j. to tl
three materials are defined by their cohesions, . faun
friction.. angles and unit weights. The anisotropic Slru,
strength of ,the schist is expressed by assigning 6.7 Seismic design ....,.... plac.
lower strength values, to the sides of the slices Ground motion due to earthquakes mon
which are aligned paralleltQ the schistosity, and' forces that act on both the structure ' of tl
the higher rock strengths to the base of the slices. foundation and it is necessary to exall1"~_ desiJ
The foundation has' been divided into eight combined effect of these forces tod~r~Jfmlne exte
slices, of which the top and bottom slices are the overall stability condition of the fou, TI
triangular, and the positionohhewilter table is Earthquake forces can be assumed to a" inati
 Seismic design 163

ection points with th'

arma non-vertical slice analysis (Hoek, 1985). Foundations on rock; foundation stability with support
atlOns of the slices \
.
three paIrs of co-ord"
at enumber 3
" Yb). The foundationi 2 '. 3 5 9
I external forces Q to s"
0.00 :t(lO n.O\)
4

I2.(K) 25.lK)
6

31.1K)
7

43.lKl
"
49.IKl 57.00
anchors are installed' 0.00 11.(11) 20.00 3n,I}() 29.(J() 45.(J() 45.00 57.00 59.tKI
the external loads is d' (l.OO 7.00 9.01l L'i.OIl 26.tK) 41.00 47.tKI 53.tlll 57.00
tl.l}() 4.00 14.00 22.1KJ 28.lK) 39.00 44.!Kl 48.00 59.00
Ie 6.2 shows the resul' 0.00 7.11tl 13.00 21.1K) 29.00 41.00 49.00 53.tKl 57.00
h hsts the slice boun " O.(K) 4.00 9.00 16.01l 23.(}() 36.00 44.tKl 48.00 59.1111
oe material propertie n.oo IS.OO 1.'i.O() IS. til} 15))() 15.00 IS.!K) 30.00 0.00
(UK) (UlO 1l.IlO IO.{)() 1).00 0.00 0.00 SO.IKl O.tK)
he effective normal,' .-._..-.-_.- .. .... _-.,--.-._ ...
'

of the slices. ---_._._-_.. _....... -----_._.. 2--,_... 3 4

.....---.---,_.-_ .. _ ..
5
_---~.- .. _-- '--"
6 7 8
analysis for a 26,1}(1 24.00 26.00 26.00 26.00 26.00 2UKl 21.00
35.()() 25.lK) 35.00 35.lK) 35.00 35,(KI 30.tKl 30.00
zoo.oo Wn,IMl 21}(U}(1 l(II).OO 200.tlll 2(IIUIIl StUlO 50.00
pe with no foundatiori: IUlO 0.00 60tKUK) 50tK).OO 0.00 5(K)O.IK} o.on tWO
0.00 0.00 45.00 l)().(K) OJKl 90.00 0.00 0.00
Or of safety is 1.57. - .. - ... --.. _.
Jpe with foundation j.
, but with no suppo':
110$7 152.68 797.72 505.69 148.91 476.25 19.78 6.49
.29. 0.00 128.69 37.96 2otU)7 251.00 157.28 248.87 15.34
)pe with foundation
and with support ins
:tor of safety is 1.49.'
'pe with foun<llationf'
, support installed ..
On on base of ;Iic or have both horizontal and vertical tion under the combined loads imposed by the
safety is 1.10. . 'nts. The forces acting on the structure structure and the seismic forces acting on the
,base shear and an overturning moment foundation itself. The method of analysis consists
he effect both of ext:
llndatiorl level. Added to these loads are of calculating the factor of safety assuming that
properties On the sta'
ic forces acting on the foundation itself. the earthquake is equivalent to a static force
. >pe. The fourth ana 'rces are significant if there is a steep acting out of the slope. This technique is termed
heavy blasting in th elow the struciure because it is possible pseudo-static analysis. For example, if the design
" for the footings. I "whole foundation can slide on a shear earthquake acceler~tion is 15% of gravity, then
h to loosen and shatte' "dined out of the slope. Examples of slope a horizontal force equal to 0.15 times the weight
y be reduced from 2' . induced by earthquakes are described by of the foundation block is incorporated into the
in strength results in 1978) and Horner et al. (1987). stability analysis as an additional external force
undation being diminf n of foundations subjected to seismic acting on the block. In circumstances where the
shows the importan:~ 'cOnsists first of anchoring the structure vertical and horizontal earthquake motions may
'rations .(see Chapter:, foundation, and second ensuring that the be in phase, a vertical psuedo-static force could
ion itself is stable. Anchoring of the also be applied to the foundation. The resultant
is required to prevent both shear dis- of the two pseudo-static forces is resolved into
,.nt and uplift resulting from overturning components perpendicular and parallel to the
to earthquakes ina:: "' acting on the structure. The calculation sliding surface. The direction of these forces
h the structure an& ; forces is usually part of the structural usually has the effect of decreasing the normal
ecessary to examine;. and they are considered to be additional force and increasing the displacing force, which
'Se forces to deter" ifoads acting on the foundation. reduces the factor of safety.
dition of the founditi econd stage of the design involves exam- Earthquake accelerations used in design are
be aSsumed to act:Il' .)of the stability conditions of the fourlda- specified in. building codes which divide the
,~,',>
'""",.
"':'::'
 IF
I'
164 Stability of foundations
-----------------------~l f
country into a number of zones of probable of rock slopes. Proc. Specialty Conj. Oil!~,
seismic intensity. These zones are based both Engineering for Foundations and Slopes, I3ouRr~,
on historical earthquake records, and on the Colorado, ASCE, Vol. 2, pp. 201-34. I~\
theory of plate tectonics which relates the OCcur- Goodman, R. E. and Shi, G. (1985) Block Theo , ~
rence of earthquakes to relative movement of its Application to Rock Engineering, Prentic2B~:""
crustal plates. Most earthquakes Occur along the
margins of these plates, with few earthquakes
Englewood Cliffs, New Jersey.
Hoek, E. and Bray, J. (1981) Rock Slope Engin" ,
2nd edn, [MM, London.
,

\'
!
being recorded in the central areas. Therefore, Horner, R. B., Lamontagne, M. and WetmiIler R I
the higher risk seismic zones are situated along (1987) Rock and Roll in the North West Terril '."\"
the edges of the plates such as the periphery of - the 1985 Nahanni Earthquakes. Geos ,;%,
the Pacific Ocean - the west coast of North and Energy Mines and Resources, Ottawa, rp, 1_4'11
South America, Japan, the Philippines, New Hungr, O. (1987) An extension of Bishor's simpli~'
Guinea and New Zealand. method of slope stability analysis to three dim I'
sions. Geotechnique, 37, 113-17. e,
The pseudo-static method of stability analysis Janbu, N. (1954) Application of composite slip cirdJ
is widely used in design because it is a simple for stability analysis. Proc. European Cont..1
technique and tends to produce a conservative Stability of Earth Slopes, Stockholm, Vol. I!
result. However, in special cases the earthquake 9 'I
pp. 43- . N. R. and Price, V. E. (1963) The,,,',I' 7. 1 111
is more accurately modelled as a dynamic transient Morgenstern,
force which is used to determine displacement of lysis of the stability of general slip surf,,,,, Dam f
the foundation. Methods of calculating displace- Geotechnique, 15, 79-93. " e'
Nonveiller, E. (1965) The stability aniliysis of sloper , ~.
ment of foundations under earthquake loading with a slip circle of general shape.' Proc. 6th lnt. \1 gram m
are described in Section 7.4. Coni Soil Mech. Foundation Engineering, (, These
Montreal, Vol. 2, p. 552. " ing a f
Sarma, S. K. (1979) Stability analysis of embankmen~ '. abutml
6.8 References , and slopes. J. Geotech. Eng. Div., ASCE, lOS, @!l. al
Bishop, A. W. (1955) The use of the slip circle in the (GTl2), 1511-24. , anaiys]
stability analysis of earth slopes. Geotechnique, 5, Wyllie, D. C. (1980) Toppling of rock slopes: exampl. 'n the
7-17. of analysis and stabilization. Rock Mech. 13,89-98. 1 CO
Cavers, D. S. (1981) Simple method to analyze buck- Youd, T. L. (1978) Major cause of earthquake dam,~ are
ling of rock slopes. Rock Mech., 14, 87-104. is ground failure. Civil Engineering-ASCft.ApnI, leasoi
Goodman, R. E, and Bray, J. W. (1976) Toppling pp.47-51..
1. The
ust
life
dOl
COl
2. Th
the
al~
10:
de
sli
ex
3. TI
Ie
al
di
4. V.
 oc. Specialty Conf.
tndations and S/ope~
'01. 2, pp. 201-34 '
hi, G. (1985) Block Th
,'ck Engineering, Pren ~~
ew Jersey. .
1981) Rock Slope En '
don. g gravity and
agne, M. and Wetmille
I. IIIEthe North West Te"
II arthquakes. Geoi;
esou~ces, Ottawa, Pp.:;
(~~nSlOn of Bishop's sf"
)Ihty analysis to three[;~
37,113-17.
~ation of composite Sli~
. Proc. European CO
Slopes, Stockholm'
, ,
Price, V. E. (1963)
Y of general slip s'
-93.",
.1e stability analysis ()~
general shape. Proc. :,:
Foundation Engr~
;52.:
ility analysis of emba'"
'ch. Eng. Diy., ASC'
)Iing of rock slopes: eJ;
.tlon. Rock Mech. 13
:cause of earthquake',!'
II Engineering-ASC~,
. '~" ,.,
'
~., 7
Foundations of,
embankment dams
"
,
that they will be founded on materials of
differing strengths and deformation moduli
.u.nclations typically require significantly causing differential movement to occur; this is
t~nsive investigation and design pro- most critical for concrete dams.
~~;than do bm mgs, and most bridges. 5. High hydraulic gradients and water pressures
~,()grammes will often comprise the driv- are developed in dam foundations and meas-
~'ploration adits in the foundations and ures must be taken to ensure that the foun-
itts, comprehensive laboratory and in situ dation can withstand these pressures, while
~f!rock strength tes~ a dclailed maintaining seepage quantities at acceptable
.9f gravity and seepage forces induced levels.
undation. Such detailed programmes
hcted for one Of more of the following The photograph in Fig. 7.1 shows the Revelstoke
Dam on the Columbia River in British Columbia,
Canada. The dam is partly a concrete gravity dam
"consequences of failure of a dam are with an embankment section on the right bank.
'lly very severe and can result in loss of The maximum height of the gravity section is
and property damage. Furthermore, most 175m (575ft) comprised of 23 separate blocks
s are a vital part of the infrastructure of a ranging in width from 13 to 26m (43 to 85ft). The
unity. earthfill dam is 1160m (3800ft) long and has a
'lo'ads on dams can be high compared to maximum height of about 126m (413ft); it is
, 'o'n most other structures, and they are located on a terrace at an elevation about 50 m
prion.vertical. The shear component of this (164 ft) above the foundation of the gravity dam.
"FaCting parallel to the dam foundation in a Preparation of the foundation for the gravity dam
~nstream direction can cause the dam to required extensive excavation, partly to locate
'{and the vertical component can result in, the downstream end of the highest dam blo.cks
ssive deformation. below a major shear (Forster, 1986).
'loads are cyclic due to fluctuations in The discussion of dam foundations contained in
'Woir level and the foundations must be this chapter is restricted to gravity and embank-
~to withstand these changing stress con- ment dams. These are the two most common
.0)1s with no deterioration in their strength. types of dams and the general design procedures
,Ii the large size of most dams it is possible are well established. However, each project has
 166 Foundations of gravity and embankment dams
---------------------------------------,

/--
re rlt1e a;
seep3
uplift
, Ke terO!
~ So"r f,

\ E:;'1o~
\ pool
-----
:) TotalS
1---
1. Gra
2. ArC
). But
Them'
Dam'
. Ibat oc
Oftl
been I
four m
fitting,
causes
incidet
and to
, figure,
Figure 7.1 Photograph of Revelstoke Dam on the Columbia River in Canada, a combined concrete gravity and the fo'
earthfill dam (photograph courtesy ofB. C. Hydro). ',61% C
( Of.
. of the
a criti
its unique set of site characteristics that must reported between 1900 and 1978 by ICOLD the Stl
be considered in investigation, design and con- (1979) ,and supplemented by additional cases, rapidl:
struction. The design of. foundations for arch shows that there have been the following number The
dams is beyond the scope of this book. of failures, and deteriorations that required sig analys
nificant repair to' prevent failure: ration
Deter
7.1.1 Dam performance statistics usuall
1. Failures - 10 cases;
opera
An anaysis of dam performance provides a useful 2. Deterioration - 100 cases.
insight on the reliability of dams, and the causes occun
and types of failures and deteriorations, that The types of concrete dams that failed, together ration
Occur. Astudy by Kaloustian (1984) of a total with the average age of each type at failure, are as the Ii:
matel
of 4489 concrete dams on rock foundations as follows:

) and 1978 by !C.
ted by additional c~~
~en the fOllowing nu;;;
'ations that requirerlt
t failure: ,i'
ases.
lms that failed, togetl!.
lch type at failure, ate
:r,
ll.~Ywithin the first five years.
.ailures and dett?riorations of concrete dams on rock foundations (Kaloustian, 1984)
.Reservoir filling
30
28
20
10
1 6
89
1'4,
'''-6 dams with average age of 3.7 years;
";:J dams with average age of 1.3 years;
}- 1 dam with an age of 1 year. .
.recent failure in this list is the Malpasset
.b failed in 1956, and the one prior to
"ied in 1935.
1io failures and deteriorations that have
orded, the causes can be divided into
p;riategories of external effects: reservoir
"ods, seismic events, and other assorted
:>~ble 7.1 shows the distribution of these
'~according both to the external effects,
ytype of failure of deterioration. These
.. arly show that ground water effects in
dation, Le. seepage and uplift (totalling
he incidents) are the most common.
.' the cases, 81 %. occurred during filling
.. servoir, which demonstrates that this is
.'[ time in the life of a dam when both
"ture and its foundation are undergoing
.:~hanging gravity and seepage stresses.
;ditm performance statistics have also been
"~'j() show the time of failure or deterio-
after completion of the dam (Fig. 7.2).
ia'Bon due to loss of foundation strength
.occurred within the first two years of
.n (curve 1); while failures generally
Within four years (curve 2). Deterio-
due to seepage and uplift occurred later in
,e'of the dam but still took place approxi-
Introduction 167
External effects Total
Floods Seismic events Others
4 2 37
2 30
1 21
2 3 15
7
14 3 4 110
7.1.2 Foundation design for gravity and
embankment dams
The general requirements for the design of rock
foundations' for gravity and embankment dams
. are stability against sliding and overturning,
acceptable levels of differential deformation, and
control of seepage and erosion. Depending on
the type of dam and the geological conditions
of the foundation, it is usual that differing
levels of effort are directed to these design tasks
(Bieniawaski and Orr, 1976).
Stability against sliding, both within the foun-
dation, and at thdnterface between the dam and
the foundation, is usually of more concern for
gravity dams than for earthfill dams. Overturning
is only of concern for gravity dams, together with
the development of tensile stresses at the heel and
high compressive stresses at the toe induced by
the moments. Methods of calculating the factor
of safety against sliding and overturning, and
examples of remedial measures taken to prevent
sliding are discussed in Sections 7.2 and 7.3.
Deformation of the rock foundations is not
usually of concern for embankment dams because
the structure can accommodate some differential
deformation that may occur at the boundary be-
tween materials with different moduli. However,
in concrete dams, differential deformation of the
foundation and abutments may be of concern if
this induces excessive stress levels in the concrete
(see Fig. 3.2).
 168 Foundations of gravity and embankment dams

100
COl
prl
vis
80 thl
~. 'ft
wI
Cfl
60
in
fa

I;~I
'<; de
111

20
fa
01
di
Figure 7.2 Time of dam deteriorations~~d
tt
failures after completion of construction
(after Kaloustian, 1984): I. deterioratiom tt
2 3 4 5 6
dueto loss of strength; 2. dam failures; and
Time (years) 3. deteriorations due to seepage and uplift.

Seepage in foundations, and particularly at the
contact between the dam and the foundation,
is of most concern in embankment dams where
uncontrolled seepage can result in scour of the
core material. Methods of preparing rock foun-
dation surfaces are discussed. in Section 7.4,
and procedures for grouting and drainage are
presented in Section 7,6,
7.1.3 Loads on dams
The resultant of the wide variety of loads that
may act on a dam must be resisted by the foun-
dation with no risk of sliding or overturning,
and without excessive deformation. The following
is a summary of typical load conditions, with
particular emphasis on gravity dams.
1. The dead weight consists of the dam structure
plus appurtances such as intakes, gates and
bridges.For concrete dams, the unit weight
of concrete' is approximately 23kN/m 3 3. Internal water pressures comprise upliftforces
(146Ib/ft3) .
2. Water exerts both external forces on the dam,
and internal forces in the foundation and abut-
ments. The external water forces are made up i~
of the head of water acting on the upstream s
face (either normal operating level or peak
maximum flood), the tail water where water
is ponded downstream of the dam, and loads 7.1.
on sloping or horizontal surfaces. The water In ~
forces are modified by wave action, reservoir nati
setup due to steady winds blowing up the. able
reservoir, .ice load.in g at the crest ofthe dam, ( Cor
and the possible accumulation of silt behind , has
the dam (Thomas, 1976). Horizontal silt any
pressure, including the effect of the water, is, of
equivalent to a fluid with a density of up to as ;
13.5kN/m3 (86Ib/ft3 ); vertical silt pressure is Re'
equivlent to a soil with a wet density of up bin
to 19 kN/m3 (121lb/fe). The magnitude of of
ice forces, which act at,the dam water level, fac
should be appropriate for the climatic con
ditions at the site, and will depend on' such t Ca
factors as the thermal expansion of the ice and I I
the wind drag.
in the foundation and abutments, thel1lagni
tude of which depends on the characteristics
C,
of the dam and the foundation, asweJ] as

e of dam deterioration"'.
'rnpletion of constructio
In, 1984): I. deteriora(
rength; 2. dam failure~.
s due to seepage and' 4' .
water forces are m>'
r acting On th up':'
7 ~iity of gravity dams.
operating level 0'-
e tail water whereJ
m of the dam, and.~
utal surfaces. The:';
'y wave action re;'
winds blowi~g "ii.
7
: at the crest of th'
umulation of silt Ii'
19.76). Horizont~
Ie effect of the wilt
with a density of!'
; vertical silt pres.
ith a wet density:);
3
ft ). The magnitu;'
at the dam water:!
e for the climatiC'
ld will depend /orj"
expansion ofthe;i
'.')~
es comprise upli(tt'
abutments, the ....
Is on the charlie!'
foundation, as\f
Sliding stability 169
nditions of the dam/rock contact. The uplift elevation at top of closed spillway gates or
ssures will also be influenced by any pro- at spillway crest where spillway is ungated;
"ons for grout curtains and drainage, and minimum tailwater; dead load and uplift; earth,
'r long-term reliability. silt and ice pressures, as applicable; tempera-
rmal expansion in concrete gravity dams ture load if monolithic joints are grouted.
re the monolith joints are grouted, can Case IV - flood condition: reservoir and tailwater
te a thrust across the joints and result at maximum flood pool elevations; tailwater
ist effects and additional loading of the pressures against spillway sections should be
ridation. These conditions are usually most based on the discharge height against the dam
:he during construction (Jansen, 1988). expected with the type of energy dissipater
:~: effect of seismic forces in foundation provided (however, full tailwater pressure
$i~n is accounted for, as a first approxi- should be used in uplift determination); dead
"'on, by applying an additional external load and uplift, earth, silt and temperature
~'e to the structure acting through the centre loads are considered where applicable; nor-
gravity of the section in a downstream mally, all spillway gates will be open during the
"tion. This force is equai to the product of maximum design flood, but some gates may be
~weight of the dam and a seismic coefficient, closed during lesser floods, depending on the
faliJe of which depends on the seismicity operating plan.
''<lsite. An additional seismic force is the Case V - normal operating condition with earth-
t6dynamic force produced by the reaction quake: earthquake acceleration in the upstream
"e. water on the dam. This technique is direction; other normal operating loads, except
.".. as pseudo-static seismic analysis and no ice pressure.
Sbd. to assess the overturning and sliding
7.2 Sliding stability
The water impounded in a reservoir induces II
:' ading combinations horizontal force on the dam structure that must
be resisted by the shear strength of the rock in the
liiing loads for design purposes, combi- foundation to prevent sliding type failures (Fig.
:161 loads are selected that have a reason-
7.3). Other structures that may be subjected to
ro'bability of simultaneous occurrence.
sliding failure are spillways and gravity intake
!.\~tions of transitory load, each of which
structures which are often perched high on the
ly'a remote probability of occurrence at
abutment of the main dam where the topography
'~ri
.... time, and have negligible probability
.~ , . ~
drops off steeply downstream. A powerhouse
illtaneous occurrence are not considered
located immediately downstream may require a
.onable basis for design (US Bureau of
deep excavation forming a high face below. the
~.tion, 1976). The follOWing load com-
intake structure, and there may be a potential for
#{are normally considered for the design
a sliding failure if downs.tream-dipping geological
ete gravity dams (Jansen, 1988), with
features daylight in this face. Possible stabilization
''R'[safety as discussed in Section 7.2.5:
;:'. measures include excavating additional rock to
'~i&:>flstruction condition: dam completed lower the foundation of the intake structure, or
'ater in the reservoir and no tailwater; joining the intake structure to the powerhouse
4:0(1 the downstream. face. to form a unit with a greater resistance to the
gf1struction condition with earthquake: horizontal thrust of the reservoir water (Peere,
ake acceleration. in the downstream 1976). If these conditions cannot be met, an
~In~ilo reservoir, tailwater or~wind loads. underground powerhouse may be required.
,. normal operating condition: pool The following discussion on sliding stability
 170 Foundations of gravity and embankment dams
---------;
~bility conditions are unfavourable if the. plan~
.-----
are continuous aQd.plallilr,,~9!!tailu!19w-Sl~
or brittle infilling, and J,1!.':~.,EO':;i.!i.<:'!'.s~~
tations that form a we~.ll.e()f_r..()c,~.:~tcan sli~
from the foundation. ~"... =
~~

7.2.2 Shear strength

The shear strength of a potential slidin~ SUrface
ex ressed in terms of the cohesion and fricli
angle of the surface see equation (3.1i). Sh
strength parameters are determined either by I
oratory or in situ testing as described in Secli
4.5.2. However, reliable measurement of
hesion values of low-strength infilling mate
Figure 7.3 Foundation for spillway structure
will usually require in situ testing where the I
containing a fault plane that dips downstream and
daylights in the dowustream excavatiou(after Nieble can be made of the undisturbed fracture.
and Neto, 1983). The shear strength values used in design'
include or exclude cohesion, and may be ei
the peak or residual friction angles. Also,;
relates mainly to gravity dams because this is friction angle may include an i-value, if it is'
often an important design aspect for this dam sidered that the roughness of the fracture'
type. contribute to the total friction angle (see Se '
3.4). The most conservative stren th arame
woul be to assume cohesion of zero ana
7.2.1 Geological conditions causing sliding
sidual friction angle- oek and Londe, 19
The ability of the rock in the foundation to resist Deere (1976) suggests that the factor ofs
sliding failure depends on the structural geology, against sliding should be checked for both .
the shear strength of the fractures, and the uplift and residual values and recommends tha'
pressu~es generated by the head of water in the factor of safety should be not less than 1.1('
reservoir. The characteristics of the structural residual friction angle. .
geology that influence stability are the orientation
and continuity of faults, joints and bedding planes
in the fOundatiOn (Wahlstrom, 1974; Rescher, 7.2.3 Water pressure distributions
1981). Examples <J.tg~ol28!cal conditions in whifh
sliding is possible are shown in Fig. 7.4.
These samples show that there area wide
variety of geological conditions that can result
in sliding failure of dams. The one common con-
" dition in all six cases is th'WlLesence of a weak
plane that daylights atth~.,.ground ~.!.ace down-
sfream of the dam. However, the presence of low-
strength, near-horizontal' fractures that do not
daylight downstream of ;thedam may result in
excessive'displacementofthefoundatioll; Fig. 7.8
shows examples of stabilization .measures under-
taken in these' geological conditions. In general,
 Sliding stability 171

--- - -
- -
---=--;.>~:.~
~::.

otential slidin sUlfa!;

the cohesion and fnc'
(d)
'e equation 3.11)). S'
~ determined either by!
19 as described in Sec
ble measurement ot. - - -===- .:::::::..-
,trength infilling maC
'itu testing where the'
listurbed fracture. .~
al~es used in design;
eSlOn, and may be el
,riction angles. Also'
Ide an i-value, if it is','
ness of the fracture'
'riction angle (see S';~ (b) (e)

ative stren h ararr1

,hesion of zero an .
oek and Londe r
that the factor df ~.
e checked for bothf
d reCOmmends th~'
e not l.ess than 1.1 fil'
-:r,:

distributions

,.Geological conditions in dam foundations that can result in sliding failures (after Wahlstrom, 1974).
" oihted sandstone containin beds of clay shale dipping upstream and daylighting beyond the toe of the
ri al ded limestone with claISJiaJ~}eiiiiiSiIfat da~m dow~m olthe dal!': (c) had
c.ootaioing a faJllt.wilh.<lJQ~~tJ:enllIJJ."tayjJlfillingJh~t\!!~gQ~!'~i'!!!. (d) Conjugate joiny."~
tions that will resu\ti!1 easy shear disloc~~iQ!!.gf the [oSk m;!_s. (e) Sedimentary rocks dipRing
intersected by a fault that daylights beyond the toe of the dam. (f) Folded sequence of sedimentary
jl1g: day sfi31e ~ ---------....- - - ~-.---...__.---------------

,s'of Eiezometric measurements made
;dams~hat--GFains are
clive'in reducing the uplift pressure at
.ralns to a va ue e ualoto. between '2
in .ea 1 ~
able assumption for the pressure distribution
would be two straight-line segments (lines Ain
Fig. 7.5). A more conservallve assiimption,'for
the condition of the drains being inoperative,
would be a constant decrease in head {line .Rin
 172 Foundations of gravity and embankment dams
r
t
--'<~
\~
i I
, I

l~
!~
H"
i-fJ
L-, ,
H Hl
ywH'
U]
~ ...
~"'"
L

yw H '
-----,-/ .. . .., .
~ .. ... ..'"
y.,J-I
Grout
I Drain
curtain
r----- hole
I
I

Y=YWHL~~
AJwater pressure
B distribution .

Figure 7.5 Uplift pressure in spillway foundation, and external water pressures acting oli structure. -

Fig. 7.5). The water pressure in the foundation the principles of the stability of sliding blocks as
produces an uplift water pressure U on the sliding described in Section 6.1. The limit equilibrium
plane. analysis method consists of calculating the resist .
The structure shown in Fig. 7.5 is a spillway ing and displacing forces acting on the sliding
with the gate closed; water forces external to the surface, with the ratio of these two forces being where
structure comprise the driving forces on the gate the factor of safety of the foundation. Figure sliding
and upstream face of the apron (D, D'), a vertical 7.6(a\ and (b) shows two different sliding failure 'prisin!
force on the apron (V), and an inclined force on modes that may take lace in a dam foundation. 'uplift
the ogee (D"). The direction of all these forces is n both cases, the dam length is much greater;net hi
at right angles to the face on which they act, and than its width so---a
two-dimensional analysis 'tailwa
can be carried out on a unit length of the dlIm. 'and d
they are resolved into their vertical and horizontal
components for design purposes. Note that when The equations defining the factor of safety . plus (
the gate is open the driving force is diminished, for each condition are as follows (Nicholson, 'wind I
but flow over the spillway can produce negative '/ ThE
1983) . . '(6.9)
(uplift) pressures along the crest of the ogee. In Fig. 7.6(a) slid~cWuakeplace either atOllg
the horizontal base of the dam (1), or a\QDg..a ',tween
,Fora
-planar fracture that daylights in a f'!fe' down.
7.2.4 Stability analysis stream of the dam (2)-:-TJie factor of sa~ 'the w
The analysis ofstability conditions of a sliding afainstslidin on the honzontal base of [~~ :~
type failure of 11 gravity dam foundation follows (so ace1)~
--
 Sliding stability 173

Figure 7.6 Modes of sliding failure in foundations of
gravily dams (after Underwood and Dixon, 1976):
(a) sliding failure on continuous planes in foundation;
(b) sliding failure wilh passive wedge attoe of dam.

A, (a)

..... v,

19 oli structure.
(b)

. tAl + (kVI - uI)tan<\> (7.1)

creases the normal force on the sliding plane and
, kH I improves the shear resistance.
For, a non-ho~tal sliding ~,!rfacE..=-_(f.ig.
~.isthe cohesion; Al is the area of the 7.6(a), surface 2 with dip of -lJIp) the faciorof
~,.~< ...
'l'Surface; k VI is the vertical force com- safety IS caTci:il.!'.siiigeguaTIOliInTin which
':the weight of the structure, UI is the water tlle total vertical and horizontal forces are re-
orce; <\> is the friction angle; and kH I is the solved into normal and shear forces acting on the
. ontal force clue to the reservoir, and sliding surface. The uplift force Uz acts n9 rl11'!!..!0
,.'pressures if any, acting on the upstream the slidi~g..l_'!.ne and must fie resolved into its
wnstream faces 'of the dam, respectively, vertical and horizontal components .
. her external forces such as silt, ice and
. Jidsas appropriate. cAz + [k Vz coslJlp - Uz + kHz sin IJIp] tan <\>
.'ater forces are calculated from equations F = , kHz COSlJlp - kVZ sinlJlp ..'
'd (6;10) where hw is the total head be- ......- ...--.''-.--~~!.;f.zr-
e. reservoir level and the sliding surface.
..:llllwith a vertical upstream face (uv = 0), ~!".,}hat:-,t..hi'.:-angl'i.lJlp is pos~0'e._~_ the foun-
and negative iFrnnps
. J"r produces only a horizontal force, while "dationc!tPLnJ?tLe.am,
downstream. . .. . ' . , ' - _ .....-
'(ipping upstream face, the water force acting
. 'i~face has a vertical component which in-
In Fig. 7.6(b) the dam has been recessed into
;t.:\
 174 Foundations of gravity and embankment dams
--------------'-----------:---~~
the foundation so that there is a passive wedge of will have a greater shear stiffness than the", ? is
rock at the toe of the dam which provides a (~ee inset Fig. 7.6(b)). Therefore, a small ~~l f~~k'le
resisting force in addition to the shear strength oJ dIsplacement I) wIll develop most of the SOi.~ The.
the base of the dam. The' general equation for resistance along the base of the. dam " \"1'. ~'ding
the factor of safety of a surface composed of n relatively little shear resistance bemg develo~,' .
straight line segments is (Nicholson, 1983): on the base of the wedge '2' Where the slio,,: F ~
surfaces have significantly different stiffnes~l
teiAi COS'l'i + (Vi - Ui COS'l'i) tan <Pi consideration should be given to ignoring ,It' here
F= l
. 1
n
11lfi
' (7.3)
shear strength of the less stiff surface. 'f" the
For a sliding surface comprising a number ;~l' o;e fou
'i (Hi - Vi tan '1';)
;=1 planes, an appropriate limii equilibrium anal}: ~sistar
method would b~ the Sarn:sa method described;' ,he strl
where i is the subscript associated with planar Section 6.5. ThIs analysIs method allows 1\' started
segments along 1he critical failure surface; H is incorporation of a number of external forces a~l. vertical
the total external horizontal force acting on the water pressures, and varying shear strength p~., nificant
slice; and ameters along the sliding surface. (7.7) a
Figure 7.7 shows a dam recessed into a hoa, 'determ
1 _ tan <Pi tan '1'; zantally bedded foundatIon rock where resiSiim, , resistar
tj",i = ----....,,--
F to sltdmg IS pr5'vli:1_.L th~J:'.uck~'!.g stre~ , deterIIl
(7.4) of these slabs arraCk, m addltl.nJ~Uhe sbCl) ',' strut L
T 1 + tan 2 'l'i
strengthoTtJi,,'base'ofthedliili: From iheE;k, discuss'
Because tjo/i is a function of F, calculation of the formula for buckling beams,,-.!!!L~l'proxim~e r Note
factor of safety is an iterative process requiring buckling .!~ist~nc~, is ,giy~l1J2Y (Underwood aod Figs 7.
first an initial estimate of F, which is refined with Dixon, 1976): resistar
each successive iteration, 2 anchor:
f, = (" ~A 2 ' (7.~ exampl
Where the dam is recessed into rock, the aip
angle '1'2 of the base of the passive wedge may be
defined by the structural geology. However, in a
, L) VIZ _
thespi
the Un
sad Or weak rock where the {allure plane is not anchor
defined by ~~:~lstmgJ~!aneof weakness, 0/2 is where: E is the deformation modulus of the intact The an
given by rock; A IS the crossse'Cti6n~~,~rea"of the strut
upstre,
~
(for a unit jeng1honlie-fouI!~lItio.11.? A.e9l".'
the thickiiess);' rTs-m,nengfh of the strut; aril of the
_~2 (45
=
0
-~). (7.5) --- "'''''' ' _ . . . ....... and a
,a!cula
. The angle <Pd is the deve(Cll'.ed angle of internal .. ponent
friction which is equal to was ad
I Buckling slabs . equati,
<Pd = tan-I (F. .tan <p)
(7.6)
J:H
I .. .
II .
. . installa
rather
I . ~ . tv
Note that, Jar the failure condition shown in Fig. . 4

'. . ' , ;
perforl
,eHabl'
7.6(b),the two components of the resisting force
---
may not be additive iUhe two surfaces have
different shear stiffnesses. For example, if the
L----
I
~'.
7.2.5 .
base of the dam is a rough rock surface with A,
In usin
. good COhesion between the rock and the concrete, Figure 7.7 Sliding failure in horizontally bedd'
. sliding
while the base of the passive wedge is a con- foundation with buckling of slab at toe (after ,..
select
tiniIous smooth joint, then the base of the dam Underwood and Dixon, 1976).

;~
hear stiffness than the jd
). Therefore, a small s"
develop most of the '
base of the . dam t>
. ly
resIstance beIng devel'
'edge tz Where the sI
cantly different stiffne
be given to ignorio
less stiff surface.
ce comprising anum
:e limit equilibrium a'
Sarma method descri~
nalysis method alIo"
mber of external forc
varying shear strengt'
ling surface. j ~.some judgement will be required to
I dam recessed into:'
atIon roc were res
j by the bucklin s
k,Tn addition to th
;Tihedam:-Fro~ tn
( beams, the a rQ
J~Ly~gQy- (U';-derw9
-.
:.---
, in horizontally bee!
;of slab at toe (afteri:
(976). ' "
theJ~ast radius of gyration or~a,lfsJrat~
ss',
,appro~,:"ate_over!lD,,~t2L,oi,.s~t~y',9[
or the condition shown in Fig. 7.7 is
~-"---"""" ..",." .. ~-- ....
rcA, + 1:Vtan <I> + I,
1:H
-"'---"
',<I> are the shear strength components
se of the dam, and Al is the area of
3ation. The magnitude of the buckling
<%, will be very sensitive to any fractures in
~(that would open as soon as the strut
'('buckle. Therefore, if the rock contains
'hinting it is likely that fc will be sig-
"('diminished 'from that given in equation
"ii<a realistic value for the buckling
''("Judgement will also be required to
pa realistic value for the length of the
rid the effect of relative stiffnesses as
~bove.
1,);.;._
at for the conditions shown in both
and (c) an improvement in sliding
, an be achieved by installing tensioned
, nstream of the toe of the dam. For
e factor of safety against sliding of
of the Elkhart Dam in Indiana in
,States was increased by installing an
iust block at the toe of the structure.
.,ts' were installed at a dip of 70 in an
,!Jjrection, and tensioned against the top
t\fst block to provide both a vertical
'pntal force. The sliding stability was
,Yconsidering the horizontal COm-
'eanchor force as a passive force that
_o)nenumerator (shear resistance) of
iy,(Jansen, 1988). Where practical;
of the reinforcement in the dam itself,
Owristream of the dam, will allow the
'co oLthe reinforcement to be mOre
Gt~(L
uilibrium analysis to calculate the
l[~agravity dam,.it is n",cessary to
. Hafety to which to design the
Sliding stability 175
foundation. One of the factors that may influence
the selection of an appropriate factor of safety for
a particular dam is the degree of uncertainty in
the load and strength values that are used in the
_.,--,-,----
design. The design values that are often least
(7.8) well defined are the cohesion on either the rock/
concrete contact or a geological feature, uplift
forces in the foundation, and earthquake accel-
erations. This is also discussed in Section 1.6.1.
, The US Army Corps of Engineers (1981) has
established a factor of safety of 2.0 for normal'
static loading condiflons, and 1.3 for seismic
loading conditions. These factors of safety are
accepted provided that a monitoring system is
installed to measure structural movements and
uplift pressures, and that the instrumentation and
drainage are maintained. In circumstances where
the long-term maintenance of the dam is less
certain than those under the jurisdiction of the
Corps of Engineers, the use of higher factors of
safety may be considered.
7.2.6 Examples of stabilization
The following are some examples of dams where
remedial stabilization work, in addition to drain-
age and grouting, has been carried out to prevent
sliding in the foundation. In all these cases the
analysis principles demonstrated in Fig. 7.6 can
be applied, with the details of the stabilization
procedure varied to suit conditions at each site
(Fig. 7.8).
1. Concrete shear keys. The 180m (590ft) high
Itaipu Dam in Brazil is a hollow concrete
gravity dam founded on a series of, basalt
flows. Within the foundation there occurs a
series of sub-horizontal flow contacts contain-
ing contact breccia. In order to prevent sliding
failure on these contacts, concrete shear keys
were, constructed to increase both the shear
strength and the shear stiffness oUhe contacts'
They were formed by excavating eight tunnels '
at about 16 m (52ft) centres, bothparalle(.alld
normal to the dam axis, and fillingthem\'iith '
concrete. The tunnels were 2.5 m (8.2ft) ,,,,ide
and 3.5 to 7m (11.5 to 23ft) high soas(\lcut
176 Foundations of gravity and embankment dams

225m ~---
fig
seqU' '
stone
and a,
;) of thl :
~ patte:
, piles :,
j. Con! !
zJ rex! ji
: dam i
i vatIC
1986.
Ei Om-- I strea:,
strue ,
(aJ
(4.5: :
worl:
well~ \
the :
60 ()( :
hall, ,
of I',
weig i
the I:
the ~ :
4. Exc!'
, aam'
(482 :
an ,II
and!

creti:
I
zom,1
'and i
righ!
dep11
'ZOOl i
(5011
: witt I

r.~ I
,SOy I
, dan l
the I
50'

I

'(7.8(b) founded on a horizontally bedded
"ence of sandstones, siltstones and clay-
e. These rock types are all of low strength
, e highly deformable. The shear strength
foundation was improved by installing a
in of 20 m (65.6 ft) deep bored concrete
'~downstream of the dam (Xu et at., 1983).
ete ballast. The Morris Shepard Dam in
~.js a 57 m (187ft) high, flat slab buttress
!founded on low-permeability shale. In
,c' ovement monitoring results and obser-
's of cracks in the upstream and down-
",spillway foundations showed that the
"re had slid a distance of about 115 mm
) since construction in 1941. Remedial
,nsisted ofinstalling 145 pressure relief
cause there had been no drainage in
inal construction, and placement of
3 (78500 cu. yd) of concrete in the
re of the spillway. The combination
,.~ced uplift pressures and increased
"gf the dam has the effect of increasing
',vertical force and the shear strength of
'planes in the foundatiOli (ENR, 1988).
~iJn and concreting. The Liu-lia-Xia
,;t e e ow lver m China is a 147 m
.!ugh concrete gravity dam founded on
'~sively faulted and folded micaceous
:.blende schist. During construction of
:li'(:!ations selective excavation and con-
'~as carried out in a number of fault
.,::improve both the bearing capacity
'i'; "'rstrength of the rock mass. On the
,dations: <al concrete sfi~ ment, poor rock was excavated to a
te bored piles installed'a"
{,
"f
25m (82ft), and in the main fault
by 4 m (10 by 13 ft) shaft, 15 m
was excavated and then backfilled
ete followed by extensive grouting
1983).
anchors. The Inguri Dam in the
njs ,.a 271.5 m (891 ft) high arch
~don limestone and dolomite with
sure that there is .lpping downstream at an angle of
, (Abrahao et al. l'hefoundation rock also contains
ifes. The spillwa !,joints and is extensively jointed.
ject in China is a Qn 'of the foundation consisted of
gravity structure ,""network of tunnels in the fault
Overturning and stress distributions 177
zones and back-filling these with concrete. A
concrete slab was then poured on the rock
surface at the toe of the dam and tensioned
anchors installed to provide an additional
restraining force (Mgalobelov and Lomov,
1979).
Tensioned anchors were also used in the
construction of the Karakaya Dam in Turkey
which is a 173m (568ft) high concrete arch
dam constructed in a narrow gorge with ap-
proximately 60 side slopes. The foundation
rock is a highly metamorphosed gneiss con-
taining faults and schistosity that dip out of the
sides of the gorge at angles of between 40 and
80 to form a series of potentially unstable
wedges in the abutments. These wedges were
stabilized by installing multi-strand anchors
each stressed to 170 t. In the right abutment a
total of 1200 anchors where installed and a
smaller uumber in the left abutment where the
geological conditions were more favourable to
stability (Gavard and Gilg, 1983). Tensioned
anchors have also been installed in a number
of concrete gravity dams in British Columbia
to improve their stability in the event of earth-
quake loading.
7.3 Overturning and stress distributions
in foundations
In a concrete gravity dam the resultant load on
the foundation is inclined in the downstream
direction which induces both an overturning
moment, and a non-uniform stress distribution
in the rock. Consequently, components of the
design of gravity dams are an analysis of the
stability of the structure against overturning, and
a comparison of the stress levels in the foundation
with the allowable bearing capacity of the rock.
A further component of the stress analysis is to
examine the deformation of the foundation under
the action of the applied loads, and to determine
if these defonnations result in the development of
excessive stress levels in the concrete. This condi-
tion may be most severe if tbe foundation Con-
tains rocks of significantly different deform"tion
moduli resulting in the development of higll stre~t
 178 Foundations of gravity and embankment dams
gradients at the boundary of the rock types (see
Fig, 3.2).
7.3.1 Overturning
Stability against overturning is. determinedJ,y cal-
culating the resultant of the forces acting on the
foundation, and ensuring that this resultant acts
Wffiiinthe middle third of the base (Fig. 7.9). The
resultant acts l!lJ:0j!gh..tl>JLcentre of gravity of the
sfructureand is th"-'Le~lor sum of the total vertical
a'lidliOrizontaTIorces. The total vertical force is
the sum ouge weigh.! ottFe structure, the vertical
componems. .Qf water fore.~.!!!'!ing on mc!inea
surfaces, and uplifUon;es, The total horizoE!&
force is the sum of ~ater, forces on the
upstream an~~ownstream faces, together with
silt, ice'ari'dwinarofcesas-iipPfopnate.
"Theeffeiiof earthquakes on overturning can
be determined by adding a pseudo-static force to
the resultant force vector. This will have the
effect of decreasing the dip of the resultant, and
increasing the value of the eccentricity e (see
Section 5.4.4). For stability against overturning
under earthquake loading conditions, it is usually
~ where
.. I (5.42)), and B is the width of the foundation,
.
.' 'to.
EH
. iiidaced at the heel (see ectlon 5.4.4).TMstrelS
q,
Pressure
distribution along
1---'------------- foundationI
B and s (Table 3.5).
Figure 7.9 Approximate method of calculating'
overturning stability'arid foundation stress distributions (7.10) are that the foundation is ho'"
for concrete gravity dams (after Underwood and
Dixon, 1976).
~ .-----
considered satisfactory that the resultant:
within the base of the structure (Jansen, 19881; .
In practice, it is unlikel that bodily Overt,' sites,
ing a a ravlt am WI'I~~ because -~"Do d to
ol~1 t .
ailur~ occur before this caI1_.take~, for~~t
These, failures will .comprise crushi!1R2Llli.11 ase usu
matenal and crackmg of the upstream mate.t ar
resultmg in increased upliftpreSsiiie aiida~t' slfes:;l,
' m
ductlon . sh '
ear resistance. ----.-:..' ,the
, 'ml
Ani
ability
7.3.2 Stress distributions in foundations \differel
'and to
As a first approximation, the stress distribut~! stress
along the foundation can be calculated from~1981).
sum of the stress produced by the weight of~'IDetho(
structure, and the stresses due to the momen\
This method gives a straight-line distribution~,
tween the toe and the heel of the dam. Assum'
that the length of the dam is considerably grea~
than the Width, the maximum and minim
stresses are defined as:
_ ql =R
LV( 6e)
- 1 +-
B (7~
LV( 6e)
andq2=B 1-li '
LV e
is the sum of vertical forces, is tit<
eccentnclty of foundation loading (see equati.
If the resultant load lieswithin the middle thiro
of the base (e < E/6), the stresses are'~nliill
compreSSIve, w~I1ei'flhe lesultant lies:".uulsii'
the middle third e > BI6),~1 ~ ess~
levels defined by equations (7.9) and (7;~~)can
be compared with the allowable bearingB~ga~I'
of the rock to estimate if excessive 'cle,!ttlJ!l~tlOO
will occur (see Section 5.2.2). This analysii!!':oull
. involve defining the strength of ther(r :;:",!1S 3,
terms of the compressive strengthii
rock, and the rock mass strength p
"
The assumptions made in equatioll
elastic and planar, and that the rj~
However, because of the complex geg
 Overturning and stress distributions 179

tory that the resultanti' ;'and irregular topography of many dam as Zienkiewicz (1988), Wittke et al. (1972) and
he structure (Jansen, 19 is rarely possible to use elastic theory Desai and Christian (1977).
mlikel that bodily ave' 'calculate the stress distributions and de- An example of finite element analysis to deter-
'ill.. will Q~l2.ecause' , ns. Therefore, numerical methods such mine the stresses in the foundation of a gravity
before this can take ,'. element and finite difference analyses, dam is shown in Fig. 7.10. The calculated stress
comprise crus~in of th aily used to identify areas of either tensile levels were compared with the rock mass strength,
,ng of the upstream m or high compressive stress, which exceed as defined by cohesion and friction angle, to
edupHflpreSsure and" "'\\-able stresses in the concrete or rock. determine a factor of safety for each element.
istance. 'drtant feature of numerical analysis is the The analysis showed a significant zone where the
"$ model zones or seams of rock with factor of safety was less than the required value of
[deformation moduli in the foundation, 1.5. Remedial work for the foundation consisted
Jutions in foundation '\"etermine the effect of these seams on of installing fully grouted, untensioned steel
lation, the stress distri "tributions in the concrete (Rescher, dowels which were assumed to have the effect of
,n can be calculated fro escriptions of numerical analysis increasing the cohesion of the rock mass.
roduced by the weight' .' re covered in detail in such references In some circumstances it may be necessary to
,tresses due to the rna'
1 straight-line distributi
le heel of the dam. As
e dam is considerabl
Ie maximum and m'r
.as:
6e)
+-
--B. g8m

_6e)
B'
~

m of vertical forces
dation loading (see e
, width of the foundatl
ld lies'within the mt
/6), the stresses are;
1Illl:e-resn .
> B/6), tensl ess
:see SectIon 5.4.4). Th.,
luations (7.9) and (7,: LEGEND
le allowable bearing . IIIIiIII FOS<1.15
late if excessive defat
.~FOS<1.3
)n 52.2). This analyst.S
strength of the rock: IDIIIl FOS < 1.5
t ft.
'essive strength of f~' Rock strength ."tens,ire stress
mass strength para?,- F~S= S,
82 ':'
made in equations'.~'
foundation is homog
and that the dam\.' -esults of finite-element analysis to calculate stress levels and factors of safety in fouridationof:a
,f the complex geol?~ uer and Spang, 1987).
-'ir
 180 Foundations of gravity and embankment dams
\
\ \
\ \
\
OmlO
Open joints
0.1
(mm/m)
0.2
Extension 0.3
0.4 1 M
2
:::;1\
0.5
0.6
\ 3.46 '-O~.-l-O~.2
mm/m Extension (mm/m)
account for the presence of fractures in the foun-
dation when examining stress distributions. For
example, the Albigna concrete gravity dam in
Switzerland is founded on a strong granite which
contains a set of persistent, healed fractures that
dip downstream at an angle of about 60" (Fig.
7.11). It was discovered from monitoring of the
deflection of the crest of the dam, and seepage
measurements, that the foundation was under-
going elastic-plastic deformation as a result of
the opening of the downstream dipping fractures.
Measurements with a sliding micrometer showed
the extent to which the two fractures closest to
the heel of the.dam opened when the reservoir
level was raised by 30 m(98 ft) to full storage
level. Remedial work for this condition com-
prised emptying the reservoir, cleaning the rock
surface upstream of the dam, and sealing the
fractures with a neoprene sheet 240m long and
12m wide (790 by 40ft) (Kovari and Peter, 1983).
Another example of the effect. of fractures on
stability is the Cannelles concrete arch dam in
Spain. The dam is constructed in a steep-sided
canyon on a limestone foundation; the limestone
. isa strong~oc1<J)llt c()lltaiflsapersistent set of
fractures that have a near-vertical dip and strike
parallel to the canyon. walls., The joints have
thicknesses of between 10 and 300 mm (0.4 and
Figure 7.11 Strainmeasur~mentsalong !
boreholes M, and M, showmg opening'l
M~ 2
fractures in the heel of a dam as a resuJto!
increase in water level from 2137 to 21611li
(Kovari and Peter, 1983). !""-l
11.8in) and contain an infilling of clay aM
irregular limestone concretions. An extensive
in situ testing programme was carried oul !"
determine the shear strength parameters of Ihe
. fractures.
Stability analysis of the abutments was carri~
out using a two-dimensional finite element modd
in a horizontal plane assuming plane strain co.
ditions. The analysis required a detailed descri~
tion of the shear behaviour of the fractur"
the input parameters were the peak and residual. .
shear
.
strengths, the change in strength with Shear(' FIgure
. . section
dlsplacen;'ent, and the normal. and shear sliff afthe!
nesses. Figure 7.12shows the fimte elementm~~. ,butm,
incorporating the concrete arch, and the princip'i
joint sets aligned parallel and perpendicular 10 ., as wel
the canyon wall. The analysis investigated lhe . gouge
stability of the abutments and stabilization meas ',' Siress
ures required to .prevent movement aloug lhe :.to stif
joints. These stabilization measures consisted d '. concre
tunnels filled with concrete at a number of leve~slrains
in the abutments, and a counterfort wall on 'lIe
right abutment (Alonso and Carol, 1985).. .7,4 E
The finite element analysis method for Joml~ "
rock can be extended to three dimensions asu~7.4.1
f
in the design of the Longton 220 m {722 ft)hl~ ;'
arch dam in China (Carrereet aI., 1987).11II ,The tl
model incorporated the dam and the topogr,pIlY, ;quakel

,
I Strain measurements ~
MI and M, showing opeqj
Ithe heel of a dam as are'
water level from 2137 to:
d Peter, 1983). ' earthquake loading. A third cause of damage is
I an infilling of
concretions. An ext
camme was carried '
strength parameters'
f the abutments was',
nsional finite element:
assuming plane strai'
required a detailed d
,ehaviour of the fr~
were the peak and f
hange in strength wit'
lIe normal and she'
lOWS the finite elemeii
crete arch, and the p,'
ralle! and perpendicll
Ie analysis investiga,
lents and stabilizatio.
~vent movement al~ . en:tertain faults in the abutments with
ation. measures CO~_~~ ete~filled galleries to keep stresses ~nd
ncrete at a numbeOj
d a counterfort wallf
ISO and Carol, 1985f
analysis method fC?r'
to three dimensioIi~,;
Longton 220 m (122'
(Carrere et at., 1~'
he dam and the tOR9
Principal
4..--I-l-+H-Il-....----'H'---joint
set
Reinforcement
tunnels
~,'i Finite element model of a horizontal
.'fthe Cannelles Dam showing the orientation
.~~~ipal joint set and stabilization of the
:!s(Alonso and Carol, 1985).
(as the major geological features such as
'UeOfaults with low friction angles. The
analysis showed that it was necessary
"'C;t~~ dam within acceptable limits.
;~quake response of dams
'main hazards to dams from earth-
,\faultmovement, ground motion and
Earthquake response of dams 181
wave action in the reservoir. First, displacement
of a fault running through the foundation is likely
to result in severe damage or even collapse of
the dam. For this reason, detailed geological
investigations are carried out for dams in seismic
regions to identify potentially active faults and
site the dam at a safe distance from such features,
or design the dam to accommodate displacement.
Second, ground motion can induce excessive
stresses and displacements in both the dam and
its foundation resulting in slope failures of em-
bankment dams, and cracking of concrete dams.
For dams founded on rock it is important to
identify blocks of rock in the foundation or
abutments that may move when subjected to
the formation of water waves in the reservoir
(seiche) produced by landslides or rock falls re-
sulting in a large rise in water level that may
overtop the dam.
The following are two examples of earthquake
induced dam failures. The San Fernando Dam in
California is a 44 m high hydraulic earthfill dam.
In 1971 a 6.5 Richter magnitude earthquake
centred approximately 8 km from the dam caused
a rotational slip failure of the downstream face
and part of the crest; fortunately, enough of the
upstream half of the dam remained in place to
contain the water (Jennings, 1971). The Konya
Dam in India is a 91 m high concrete gravity dam
which was damaged by a 6.5 Richter magnitude'
earthquake that generated in the dam a peak
acceleration of approximately 50% of gravity.
The dam sustained a horizontal crack near the
upper third point and many of the appurtences
were. damaged (Hausner, 1970; Chopra and
Chakrabati, 1973).
The San Fernando Dam in California is in an
area of high seismicity where extensive studies of
earthquakes have been made. The experience
gained from the San Fernando Dam and other
well documented seismic everiis; have been used
to improve significantly the design and con-
struction procedures for all structures, including
dams, in areas where earthquakes are common.
However, the Konya Dam in India is in an area of
low seismic activity and it is believed that the
 182 Foundations of gravity and embankment dams

earthquake was related to reservoir filling. Other force resulting from the reaction on the daill .!
~I
r
dams in low seismic areas have also recorded the impounded water. This hydrodynamic '0 0, I
earthquakes during reservoir filling. For example, "~'\'
can be calculated from the Westergaard fo rillul , .
the 128m (420ft) high Kariba Dam on the as follows (Westergaard; 1933): .
Zambezi River in central Africa recorded nine I

earthquakes with magnitudes 5.1 to 6.1 over

Qe = ~Ce ay(hwy)2 (7121'
a three-month period as the reservoir reached
4 2 !
Me = T5Ce ay (hWy)2, (7.nil~
full impoundment (Rothe, 1969). Also, the where: Qe is the horizontal hydrodynamic fo rc, I
Hsinfengkiang Dam in China, which is a 91 m down to depthy; Me is the moment at depthYdu \
(300 ft) high buttress dam, was damaged by a to Qe; hw is the total height of water at dam fa,,'
magnitude 6.1 earthquake in 1962; the damage and Ce is the factor depending principally on Ih; .
consisted of a horizontal crack about 15 m (50 ft) height of the dam and the earthquake period t. ?
below the crest (Shang, 1970). These events show in seconds (t2 is often assumed as 1sec.) ,
that the possible occurrence of earthquakes in
areas of low seismicity should be considered in ke 8 (
Ce = I kN - m - s)
the design of major dams.
[1- 7.7C~:oJY
7.4.2 Sliding stability and overturning under (7.14,)
seismic loads k e 51 (
~= llli-ft-~.

[1- O.72(I~O~J T .
For a concrete gravity dam the stability against
sliding can be determined by limit equilibrium
methods, and the stress distribution in the foun-
(7.l4bl
dation can be estimated by taking moments (see
Section 7.3). As a first approximation, the effect The factor k e accounts for any slope on the f,~
of earthquake loading on sliding stability and of the dam and varies from 1 for a vertical face to
stress distribution can be determined by pseudo- ofor a horizontal face (Fig. 7.13).
static analysis. The analysis procedure consists 90
of applying a constant inertial force as an external

~r
load acting through the centre of gravity of. the 80
structure. This force can be applied in a hori- 70
zontal direction only, but if it is considered that
the horizontal and vertical motions will be in 60
,
phase, then both horizontal and vertical forces 50
could be applied to the structure. This can pro- 0
duce a resultant force acting in a downstream 40
direction, above the horizontal, which is the 30
direction most detrimental to stability. The mag-
nitude of the inertial force Qi is equal to (Jansen, 20
1988): 10
Qi =aW, (7.11) OL--'---,---,---,---'-.L:--'---'--'--'-~.

where: a is the seismic coefficient expressed as a a 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 1.0
fraction of the gravitational acceleration; and W is Hydrodynamic pressure
coefficient ke
the weight of the dam. Figurl
In' addition to the force due to acceleration on Figure 7.13 Value of hydrodynamic pressure .. Inc.):
the dam, it is necessary to add a hydrodynamic coefficient ketor sloping dam faces (Jansen, 1988). deftec
 the reaction on the da"
'. This hydrodynamic!
n the Westergaard fa
lrd, 1933):
,I
I
y)2,
izontal hydrodynamic,
; the moment at depth;
leight of water at dam
epending principally'
d the earthquake Pe"
assumed as 1sec.)

hw
100te
)2JI
I
:"---Jlb - ft
LEGEND
hw
OOOte
)2J' DOWNSTREAM FACE OF MODEL

(aJ
::t:k~
Concrete
:~;..:.~~. Soil
~~; .. Rock
s for any slope on
from 1 for a velrtical
, (Fig. 7.13).

G.'FACTOR ~ +4.4E + 01
ID.L1NES - DISPLACED MESH
4 0.5 0.6 0.7 !'lED LINES - ORIGINAL MESH
fynamic pressure (b)
ient ke
~a'inpleof dynamic; three~di~ensional analysis of a concrete gravity dam (B. C: Hydro,'Sa~d'YeH
rodynamic pressutSr -;,t?0del from downstream- per~pective; and (b) 'vertical section through crest of dam showing ...
lam faces (Jansep,19 $underdynamic loading (deflection at magnification of 44).
 r I
f _g_ra_v_i_ty_a_n_d_e_ill_b_a_n_k_ill_en_t_d_aill_S_'
_1_8_4_F_O_u_n_d_a_t_io_n_s_o_ ~ I_
Pseudo-static analysis is an approximation for
\Jr.
examining stability conditions of a foundation
a]1
subjected to earthquake motions, It will usually
1'5
produce a conservative design because the short-
fJa
duration transient earthquake force is modelled ha
as a constant, unidirectional force, Advantages of di~
pseudo-static analysis are that the acceleration
1"
values are taken directly from the building codes, 5 an.
and the calculation method is relatively straight-
sh'
forward, However, a more realistic evaluation of fra
the effects of earthquakes on dams is the use of 4
dynamic finite element analysis. :' ba!
1. Base of concrete dam. Da
7.4.3 Finite element analysis 2. Verticalface downstream of dam. ap
3. Continuous fracture dipping at 8 downstream. Int,
Dynamic response of dams can be carried out 4. Vertical, diverging faults form release side surfaces
, using finite element analysis to calculate stresses 5. Verticalfracture at heel of dam. .
and strains in the dam and its foundation induced 7.4
(a)
by earthquake accelerations in the foundation. Cal
Figure 7.14 shows an example of a three- by
dimensional dynamic analysis of a concrete grav- ear
ity dam using the program ABAQUS (Hibbitt, is I
Karlsson and Sorensen, Inc., 1987). The model Fail
incorporates the foundation and abutments of the dyn
dam so as to account correctly for the differing the
properties of the soil in the right abutment and 1.0
the rock in the foundation and left abutment. The ,3 81
main purpose of this analysis was to determine rna!
the stress levels in the concrete which were found the
to be. highest at the crest, where the greatest , 1.0
strains were induced. Stress levels in the foun- 2.50 5.00 7.50 : 10.00 I cula
dation rock were not significant in comparison to T(s) mot
the rock strength. TI
Details of the dynamic finite element analysis (b) tratl
method, which are beyond the scope of this book, Figure 7.15 Calculation of factor of safety agai~st!lme of a
are described by Chopra (1978), Fenves and for a rock wedge in a dam foundation undere.att]g~~~e -' hori:
Chopra (1984), Fok et at. (1986) and Jansen loads (Scott and Dreher, 1983): (a) geologYQf';,i;:c: :dura
(1988). A component of these analyses that is foundation; and (b) variatibn offactor of safety;~\lt func
of significance to the calculated stresses in the ground motion history. - its v
dam, is the interaction between the dam and its ...cont
foundation. The effect of including the dam- foundation when subjected to an ,eaii ';I~)eIOI
foundation interaction, in comparison to model- magnitude 6.5 on the Richter scale' ,J:velol
ling the dam with a rigid foundation, is to reduce by three synthetic accelerograms.
. whel
the maximum principal stresses throughout the Dreher, 1983). The factor of safety A
dam monolith. step was calculated by limit equilibril}
Finite element analysis was also used to deter- and was found only to drop belo:"
mine the displacement of a wedge of rock in the occasions during the earthquake for':.
 Earthquake response of dams 185

ross (Fig. 7.15). lfthe maximum dam loads

.- peak inertial forces had been used in a W.lan~."-
'_static analysis, the factor of safety would <x
.. en less than 1.0 and the conclusion might
6een that the foundation was unstable. The _y(t)
Jement of the rock wedge during this 0.05 s
7\vas calculated to be 7..9mm (0.31 in). The
~s can account for the effect of the rate of W~Mg

$splacement on shear strength of the rock

~s (Crawford and Curran, 1982). (a)
:lanalysis results shown in Fig. 7.15 are
;Qn work done at the proposed Auburn Acceleration

1.
"'California, where the foundation contains
:eam of dam. ~tially active fault (US Department of the
dipping at 8 downstream- .f, 1978).
p'.
~,.
lUlts form release side su:
eelofdaro.
,isplacement analysis
(a)
~iion of the factor of safety against sliding Time
.'do-static limit equilibrium methods for (b)

'like loading conditions (see Section 7.4.2)

"jlya conservative method of analysis. Velocity V=agt
::~does not necessarily occur when the
':tiansient stress reaches the strength of
.w,~

;:';and if the factor of safety drops below V~gttan~

"?me time it does not necessarily imply
...~s problem. What really matters is the
.. de of permanent displacement caused at
Js that the factor of safety is less than Time

.p'lmd Whitman, 1986). A method of cal- (c)

5.00 7.50
T(s)
(b)
,ffactor ofsafety agairtl.
Ifoundation under eartH
1~83): (a)geologyof.%,
lion of factor of safety':
ected to an earthcil!
Richter scale repf~
lcceterograms (secf.
ctor of safety at e:i~.
limit equilibrium.:"
a drop below 1.0.'!!!
arthquake for durii..
.',:<
.~displacement as the result of earthquake
#;has been developed by Newmark (1965).
rinciple of Newmark's method is illus-
''Fig. 7.16 which shows the displacement
when the base is subjected to a uniform
].acceleration pulse of magnitude ag and
'to' The velocity of the foundation is a
'pithe time t and is designated y(t), and
liat time t is y. Assuming a frictional
. tween the block and the base, the
q'f?fhe block will be x, and the relative
"ween the block and the base will be u,
(7.15)
J~rtce to motion is accounted for by the
',:the block. The maximum force that can
Figure 7.16 Displacement of rigid block on moving
base (Newmark, 1965); (a) block on moving base;
(b) acceleration plot; and (c) velocity plot.
be used to accelerate the block is the shearing
resistance on the base of the block which has a
friction angle of <1>. This limiting force is pro-
portional to the weight W of the block and is of
magnitude W tan <1>, corresponding to an acceler-
ation of gtan <1>, as shown by the dashed line on
the acceleration plot (Fig. t.16(b)). The shaded
area shows that the ground acceleration pulse
exceeds the acceleration of the block, resulting
in slippage.
Figure7.16(c) shows the velocities as a funcfion
of time for both the ground and the block accel,
 186 Foundations of gravity and embankment dams
erating forces. The maximum velocity for the
ground accelerating force has a magnitude v
which remains constant after an elapsed time of
10. The magnitude of v is given by
v = agIo (7.16)
The velocity due to the ac.celeration of the block
has magnitude gltan q" and after time 1m , the two
velocities are equal. At this time the block comes
to rest with respect to the foundation, that is, U =
O. The value of 1m is calculated by equating the
ground velocity v to the velocity of the block to
give the following expression for the time 1m
v assumed that the yield acceleration diminish~
t = -- (7.17)
m gtanq,'
The displacement om of the block relative to
the ground at time 1m is obtained by computing
the area of the shaded region on Fig. 7.16(c) as
follows
Om = ~vtm - !vto
v2 v2
=
2gtanq, 2ag
2 the block, with the duration of each displacement An in
= v (1 _ tan q,) (7.18)
2gtanq, a'
Equation (7,18) gives the displacement of the
blockin response to a single acceleration pulse
and for infinite ground displacement, and shows
that the displacement is proportional to the square
.. of the ground velocity.
In an actual earthquake, the pulse would be
followed by a number of pulses of varying mag-
nitude, some positive and some negative, which
will produce a series of displacement pulses. This
principle of displacement analysis can be applied
to the case of a transient sinusoidal acceleration
a(t)g illustrated in Fig. 7.17 (Goodman and Seed,
1966). If during some period of the acceleration
pulse the shear stress on the sliding surface
exceeds the shear strength, displacement will take
.place; . Displacement .will, cif coiJrse, take place
much more readily in a down slope direction,
which is illustrated in Fig. 7.17 where the shaded
a~eas are the portion of each pulse in th~
rI.::
dlrectlOn III which movement takes place. D~ ,
placement will take place, on a cohesioni'. +"
surface, when the applied acceleration is gre'"'
than the yield acceleration a y, where at"
ay = tan (q, - '!'p) g - upslope
direction
ay = tan (q, +'!'p) g - downslope ) 0"
direction, Ve
where q, is the friction angle of sliding surfa~ "
and '!'p is the dip angle of sliding surface. ''
For the conditions illustrated in Fig. 7.17, it~
DisplaCE
with displacement, that is, ayl > a y 2 > "y3.
Integration of the yield portions of the accel.
eration pulses give the velocity of the block. It
will start to move at time II when the yield accel.
eration is exceeded, and the velocity will increase
up to time 12 when the acceleration drops below
the yield acceleration. The velocity drops to zero '
at time 13 as the acceleration direction begins to
change from down slope to up slope. Integration 7.5 P
. of the velocity pulses gives the displacement of
pulse being (13 - 11)' the cal
The simple displacement models shown in Figs ensure
7.16 and 7.17 have since been developed to model rock t
more accurately displacement due to actual of the
earthquake motions. For example, Sarma (1975) an Op]
used several .non-rectangular pulses to model mappi
ground motion, and Franklin and Chang (1977), the im
who examined "the effect of erratic ground motion For
on predicted displacement, and have drawn up a '. surfac,
series of design charts from which displacement' becau:
of embankments can be calculated. These tech seepal
niques are used primarily to evaluate the' possible "surfac
permanent deformations of embankment dams the rh
and soil slopes, and are applicable where the soils ential
are not vulnerable to major strength loss, or to .. Also,
the development of high excess pore water press' shaul,
ures at the anticipated level of shaking. When.. consh
these conditions do not apply, more realistiC.' Tetor
results can be obtained using dynamic analysIS .. open
.. Interi
(Seed el al., 1975). .

,f each pulse in the UpSlY
)vement takes place. '
~Iace, On a cohesio~
h~d acceleration is gre~
Lbon ay, where
? - upslope
? - downslope
J ...
o angle of sliding su '
: of sliding surface. '
lustrated in Fig. 7.17;
d acceleration dimini
tis, ayl > a y 2 > a y 3. :~~
ield portions of the
: velocity of the bloc
ne t, when the yield.:
d the velocity will inc
: acceleration drops !l
The velocity drops t9
'fation direction be'
,e.to up slope. Inte'.
gives the displacem
ation of each displac6
,.
l,)
nent models shown i
: been developed to:?
lacement due t05
or example, Sarma,!>.
angular pulses to'!
'anklin and Change
:t of erratic ground.~
ent, and have draw'
from which displa:
Ie calculated. These,
Iy to evaluate the po
os of embankment"
applicable whereti{-
najor strength 10#"
h excess pore water.:
I level of shaking?' '
,Ot apply, more"rce
d using dynamic,,'"
a
c~paration
,,-"",.,
of rock surfaces
"[tant aspect of dam construction is
ful preparation of the bearing surface to
,at the contact is watertigbt and'that the
: adequate bearing capacity. Exposure
al rock surface should also present
unity to carry out detailed geological
.... 0 check on interpretations made during
"tigation and design phases of the project.
, bankment dams the importance of good
reparation cannot be overemphasized
,his may be the main path for water
nee impoundment begins. The bearing
!luld be free of irregularities to minimize
:fJocalized arching in the fill, and differ
~iiI,and' cracking in the embankment.
lffractures underlying erodible material
,'~aled to prevent erosion of the fill. It is
;that one ofthe causes of failure of the
.>in Idaho was inadequate sealing of
}Ires in the foundation (US Dept of the
jl80). For concrete dams, -foundation
Preparation of rock surfaces 187
+8(1)g -8(1)g
Figure 7.17 Integration of ~ccelerogramsto
determine downslope movement (Goodman and
Seed, 1966).
treatment is required to remove material with
insufficient bearing capacity or shearing resist
ance, and to seal fractures to prevent either
excessive seepage or erosion of weak infilling
materials. TJi", following are some examples of
preparation 'work that may be required to the
surface of a rock foundation prior to starting
construction of the .dam (Fig. 7.18).
7.5.1 Shaping
For earthfill dams it is desirable to have a reason
ably uniform rock surface that is free of irregular
knobs, . cavities and overhangs, or excessive
changes in slope (Pratt et al., 1972). The shaping
work can involve both dental concrete to fill
voids or overhangs, and careful blasting for rock
removaL In general; slopes should be trimmed to
maximum angles in the range of 1:1 to 2V:IR.
Where possible, it is desirable to. shape both
the foundation and the abutments so that da"Us
pressed into rather than pulled away frorn.the
contact surfaces under reservoir load. Ifblasting
 r
188 Foundations of gravity and embankment dams
~I
I .----
l
Overhang
removed by ",lOg'
g
trim blasKtin _-------
fractUI
/--/ , ~urfaCI
r
Asf
I NorIl1'
\
\ ex.tenc
() sealed
\ (3ft) (
\
\ with (
Dental Grouted at the
concrete joints tures ~
methC
at the
low- st
jets t,
, theo f
Hoek
Cut
seepa
Wher
key t
Figure 7.18 Preparation of rock foundation surfaces for embankment dam. charg
must
of thl
is requirecl for any of this work, extreme care resistance of the surface. Surfaces that have been blaiti
must be exercised to prevent damage to the foun- polished by glacial action, for example, should be the f(
dation rock from excessive explosive charges roughened by light blasting or chipping. Steps or the c
(controlled blasting is discussed in Chapter 10). abrupt changes in elevation of the foundation usual
As an example of quantifying shaping work, should not be located close to block joints so as 10 heigt
at the Cat Arm earthfill dam in Newfoundland, avoid creating thin wedges under a portion of the enou
Canada, the specifications included the follow- block (Ja!1sen, 1988). (Jam
ing provisions in the foundation preparation Rc
(Humphries, 1987; Thomas, 1976): expo
7.5.2 Cleaning and sealing] dryir
1. General abutment slope not steeper than 4H: I dati.c
The final foundation surface" should be cleaned
3V; , to n
of all loose and broken rock with particular
2. For steps up to 3 m high, slope not steeper " final
attention being paid to zones and seams of weak
than 3V:1H; the,
rock. This usually requires the use of air aud
3. For steps up to 5 m high, slope not steeper In n
water J' ets with sufficient pressure to break up
than 2V:1H; circt
and moveunsuitable materials. For embankmenl
dams, faults and seams of weak .or weathered ,',1" ~~~:;
4. For 1. and 2., when normal to dam axis, foun-
dation must not present a s,mooth continuous
rock are usually cleaned out to a depth ofnot le~,1
surface for more than 30% of the core width.
than three times their width and thenlmckfilled f: :~~~
For concrete dams, the foundation should be with concrete or slush grout. The concreJeshould , FI
reasonably level and if the natural surface dips be highly plastic, and the aggregatedim,nsions Rec
downstream it may be necessary to cut a series of not more than about one third of the ct~CKWldth" dati
steps, dipping upstream, to improve the shearing Placement of the concrete should be cadied oul,,'
 Preparation of rock surfaces 189

ng :'tremie pipe extending to the bottom of the of steeply dipping, transverse (upstream-
d by
,e, and not poured or brushed in from the downstream aligned) fractures in the foundations
SKIing -----
/--/
of concrete dams (Golze, 1977):
.. example of sealing deep fractures, at the
I d = 0.007 bH + 1.5 (metres),
I dy Dam in Tennessee, four open joints
\ Or d = 0.002b + 5 (ft)
\ g to 30 m (100 ft) below the surface were } (7.20a)
() iBy drilling a series of closely spaced, 0.92m for H > 45m
\ ameter calyx holes which were then filled (150ft)
\
\ 'crete. In addition, all weathered rock
rface was removed and the exposed frac-
jjled carefully (Spearman, 1976). Another Or d = 0.3 bH + 1.5 (metres),
"\used to seal narrow, continuous fractures or d = 0.03b + 5 (ft)
for H < 45m } (7.20b)
intang Project in Taiwan, is to wash out
\ "ngth infillings with high-pressure water
c',.(jepths of several tens of metres, and
(150ft)

e. Surfaces that ha,,~
>n, for example, sho"
;ting or chipping. S!~
vation of the foun.~
OSe to block joints sq
ges under a portion;,
,aling ';
lrface should be ci~
:en rock with paiir,
zones and seams of
uires the use of at'
nt pressure to br4
lterials. For emba '
s of weak or weal
out to a depth of~'
vidth and then bat
couto The concrete-os
he aggregate dim.~.'
, third of the cracKir
,te should be carri~
-,~
,the open seams with grout (Cheng 1897;
986).
~tnrenches are used frequently to control
~.in the foundation of embankment dams.
I;>Jasting must be used for excavation of a
~),ch, carefully aligned blast holes; light
;;and appropriate detonation sequences
~used to prevent fracturing and loosening
\IFFounding rock (see Chapter 10). Heavy
'90uld result in increased permeability of
4<!ation rock and limit the effectiveness of
gff. The base width of a cutoff trench is
'lietween one half and one quarter of the
@t. the dam, and the slopes should be flat
'~ensure that there is no arching in the fill
1988).
;, such as shales, which deteriorate on
.' to the atmosphere, and to wetting and
ycles, should be protected during foun-
reparation. One means of doing this is
'the overall excavation to\, just above
,c:leand then progressively to r.em~e
aining rock as the dam is constructed.
lLdams, air and water will continue to
,i,n,the voids in the fill at the foundation
'ij'soft rocks may continue to deteriorate
J1letion of the dam. In these circum-
f.~erock surface can be sealed with
I)trete gravity dams, the US Bureau of
gonprovides the following Tecommen-
ilf;:the required depth of excavation
,
where d is the depth of cleaning, b is the width
of fracture, and H is the height of dam above
general foundation level.
7.5.3 Rebound
Geological processes such as erosion, or exca-
vation as part of the construction work, can result
in rebound of the foundation. Rebound occurs
predominantly in w,,!!K rOclLsj!ch as shales, and
the open fractures may be filled with weathering
products or river silt. The effects of rebound can
include differential mOY~ment of the structure, as
well as the creationoffract.ures in the foundauon
with low shear StXel)gth and high permeability.
The following are three examp!es'ofremedial
work carried out in the case of rebound. At the
Peace Canyon Project in British Columbia the
work comprised excavation and structural grout-
ing (Lauga and Taylor, 1983), at the Garrison
Dam in North Dakota periodic regrouting was
performed (Lane, 1955, 1963), and at the Oahe
Dam in South Dakota deep anchors were installed
and the dam redesigned with increased articu-
lation to accommodate movement (Underwood
et af., 1964).
7.5.4 Solution cavities
Cavities may exist in the foundations ofdams
constructed on soluble rocks such as gypsum,
anhydrite and calcium carbonate (James; and
 190 Foundations of gravity and embankment dams

-.........-
Kirkpatrick, 1980). Such cavities can cause ex- Dam, the large size of the cavities required Ih.
(It)
cessive leakage as occurred at the Keban Dam in they first be filled with rock, gravel, sand and 1.'11
llti
Turkey (Bosovic et al., 1981), or solution of these before the grout was injected (see also Sec:.'''
materials can result in failure such as is suspected 5.2.7). . IOn ur"
! roc:
to have occurred at the Quail Creek reservoir in [rae
Utah where gypsum was found in the foundation
(ENR, 1989). Solution cavities can usually be
7.6 Grouting and drainage ,,rO
i1le:
sealed with cement grout or concrete, provided Grou~i?g of dam foundations to. reduce the per. con
that the exploration programme has adequately meabllIty of the rock, and sometrmes to improv' and
defined the extent of the cavity. At the Keban the modulus, is widely practised. For many siruc' can
tures it is essential for both safety and econOmic
performance. Grouting involves the injection of i
(c)
liquids il!!.9Jmctur~'im!..Y9iclsJn_the rock which Al
then set to fQI!!,-,!~.!able and resistant componenl wit
ofth~ rock mass. By suitable location of injection
cur
drill holes, injection pressuresaltd. the properties in 1
of the injection fluid, it is possible to form a.
I"ml
continous curtain, olanket or bulb of grouted rock ere
and improve the properties of the. rock mass by a wa
desired amoll!!,!. Figure 7.19 shows an example of effi
the use of grouted zones under a buttress dam ,i
(Jaoui et al., 1982). " (d)
! m
7.6.1 Grouting functions th'
str
Grouting can fulfill one or more of the following we
functions, depending on the use of the dam of
and the geological conditions 'of the foundation be
(Casagrande, 1961). an
rit
\ (a) Consolidation grouting SCI
\ This is the improvement of the modulus of the ca
3 rock to reduce deformation under load. Since the
\ co
modulus of the rock mass is highly dependent on th
the closure and displacement of fractures, filling
2 of these fractures with a stable grout will have a F,
significant effect on the modulus. Consolidation n<
grouting is most commonly used in the foun I.
dation of concrete dams, which are sensitive to 2.
differential movement. Consolidation grouting 3
Figure 7.19 Example of consolidation and curtain was carried out in the abutments of the ybril 4
grouting installations in the foundation of a buttress arch da!!J. inPortu~1 which was founded on 5
dam (laouietal., 1982). strong: unaltered granitebut. was experiencing 6
--1. Consolidation gr01:1ting. deformation oLthe Cflntilevers. The grouting was
.......2. Grout curtain. successfull in reducing themaximum deflection
"S. Drain holes. from 65 mm to...5O.m..m (2.6 to 2 in) - an improve' 1
4. Grouting and drail'age gallery. ment of nearly 25% (Serafim, 1964). I

f the cavities req .
ro k UIr
. C , gravel, sand a'
inJected (see al so
. conditions at the site .
lrainage
datiqns to reduce
and sometimes to I.
.
practIsed. For man
both safety and ecd
~ Involves the inJ'e ".
Ld ' jn_t~e rocki
vOids c ermeability grout curtain in combination'
~ and resist~ntcom
ltable locatIOn of IDj'
..,'
essures
" a!Ld__
the pfO....
It IS possible to f6
(~t or bulb of groute'
rtles of the. rock ma~
7.19 shows an exani,
leS under a buttrej:i
ons
or more of the foll~
m the use of thel,
jitions 'of the founJ
ng ".:~
It of the modulus f{
Ion under load. Sind~'
ss is highly depende"
:ment of fractures"
1 stable grout will 'h
T :grouting to fulfill these four functions, there
modulus. Consolid':
ronly used in thel
5, which are sensltl'
Consolidation gr .
abutments of the'
,~h~h was founde'
e but' was experie
le~s. The groutiIi'
:he maximum defl'"
.6 to 2in)~ an imp
'afim, 1964).:
eability control
sed to reduce seepage quantities and
ess ures . For rocks in which the intact
pervious, seepage is concentrated in the
.' and filling the fractures with a stable
)1 reduce substantially the rock mass per-
\fY. This may involve the formation of a
'ous curtain over the full length of the dam
Ii' the abutments, and the curtain may
.a single row, or multiple rowS of holes.
. control
'line of drain holes. downstream of the
.will significantlyrectiice uplift pressures
J~undation. Reduced uplift pressures will
~_thefactor of safety againstsliding. Ref-
::to Fig. 7.5 shows the.'rang,:, of uplift
pressures that may exist depending on the
cy of the grout curtain and drain holes.
lir control
ressure gradients and seepage velocities
.velop, in dam foundations can erode 1011'-
'lh, unconsolidated fracture infillings, as
.5 material at the base of the core in the case
. thfill dams. This is an unstable situation
se as erosion occurs the seepage quantities
',cou r will increase, and eventually the integ-
f the dam may be threatened. Grouting for
rcontrol will require that the holes be placed
fully to intersect the fractures that are of
'ern and to ensure that the consolidation of
infilling is as continuous as possible.
ds..to be:
C?mplete filling of fractures and voids;
I;1)gh mechanical strength of the grout;
,pood bond to rock;
ll.~~istance of the grout to chemical leaching;
pr,edictability of the grouting protess; and
jtiJ;.imited travel of the grout to avoid useless
.=16sses.
efollowing is a general description of usual
tpractices . that will produce the desired
Grouting (lnd drainage 191
results. Unfortunately, there are no standard
grouting procedures because for each installation.
procedures must be modified to suit the geological
7.6.2 Grout types
This discussion of grouting methods mainly con-
cerns cement/water grouts because these are the
materials most often used in rock foundations.
However, a wide variety of other grouts is avail-
able for special applications. For example, hot
asphalt was used at the Stewartville Dam in
Ontario to seal solution cavities in the limestone
foundation under full head conditions. The flow
quantities were so high that cement grout could
not be retained in the large cavities long enough
to set (Lukajic ef al., 1985). Also, sealing of
large cavities with high turbulent flows has
been achieved using organic foams containing
polyurethane (Cambefort, 1977), and fine (0.05
to 0.1 10m wide) cracks have been sealed with
. silicate-based grouts in the foundation of a landfill
containment facility where acid leachate would
have dissolved cement grout (Graf et al.,. 1985).
It is likely that chemical grouts will become
more common in sealing containment facilities for
hazardous wastes where leakage tolerances are
very low and fine fractures have to be sealed.
The use of cement grout is not appropriate
where the fracture width is less than abo'ut
0.251010, or three times the maximum particle
size of the cement, otherwise rapid blinding of
the fracture occurs (K~ro\' 1986). Under these
conditions, it is necessary to use chmical grouts
such as sjJjcgteg, t=esips and acrylamides. These
grouts will penetrate fine fractures, are resistant
to acid attack, have fast set times, and will set
without shrinkage. Their main disadvantage is
their high cost.
7.6.3 Mechanism of grouting
When grout is pumped down a drill hole that
intersects a series' of fractures, the extent to
which the grout will fill the fractures depends on
the physical properties of the grout, namely the
 192 Foundation',' of gravity and eznbanlunent dams
-------------------------------------~,

cohesion (or yield point of visco-plastic fluid) and Grout

hole Grout travels freely along 1.6.4
the viscosity of the grout mix. Viscosity deter- open crack
mines the rate at which grout flows from a hole Grout
d
under a given pressure (the time required to fill , diamo
the fracture), and cohesion determines how far .. and ct
the grout will travel and limits the extent of the Static pressure head (Ph)
along crack, distance d
I satisfa'
grouted zone (Deere and Lombardi, 1985). These with \\
two properties have to be balanced to produce the (a)
lings tI
properties most suitable to the site conditions. Bushin
For example, when grouting fine fractures, a low- precau

~~~':":::==::J::t. (excess:
,~rilli~t
cohesion grout (with high water content) will flow
a considerable distance from the hole, but the
grout may be discontinuous and of low strength,
and may not form an effective seepage barrier. .holes'
water separates out ;recoml
Once a cement grout has been pumped into a of grout at fringe
crack it should form a solid that fills entirely the of penetration to 'be me:
space with no shrinkage. However, while the produce effect similar :':more 1
(b)
chemical action of cement hydration requires a to a river delta
~used.
water: cement ratio of 0.45:1 by volume (or 0.3:1 The
by weight), water in excess of this is required for 'Jractur
making the grout workable and transporting and ;be use
placing it. Some of this excess water will be "and a (
retained in the set grout, but much of it must be .:usual t
removed as the grout sets. This process is known ;diamol
as bleeding. It takes place as the movement of :Hole c
the grout in a fracture slows so that the cement :t~ grot
particles settle and water collects above the ;'runge '
surface of the cement. Unless this bleed water can (c) .' Add
be removed and replaced with more cement, an ;fdiscus~
Figure 7.20 Grout penetration ofhorizontaJ fra
effective seal will not be formed. Figure 7.20 Ph is the pressure in the grout hole; d is the dist~'
shows three stages of grout penetration in a along crack (Houlsby, 1985). (a) Sran ofgrout!'
horizontal crack. At the start of grouting (1);the (b) grout reaches limit of penetration fOt the pa
grout travels freely from the hole along the open pressure and w:c ratio used; and (c) grout stiff~: he tv
crack under the pressure from the grout hole. As radius of pressure transmission contracts, and b amel~
the pressure in the grout builds up, the limit of pockets develop.
erent
penetration is reached and there is no further gme
motion. of the grout (2). At this time, bleed i9I1
starts in a lateral direction, because bleeding in ach
a vertical direction is limited, to form a dis- about one hour 35% of the volume is ~.rjI
continuous grout filling (3). The diagram demon- water, with only 65% of the fracturei'; ir
i'
strates that vertical fractures, in which the bleed grout. For much thinner mixes with w: QJ
. "
water can rise to the surface, can be grouted more 12:1, bleeding takes place within 15 tt!i
readily than horizontal fractures (Houlsby, 1985). the bleed water volume., occupies abolL
The extent .to which grouts bleed is related to the volume of the fracture. In order to,':'
the water: cement ratio of the placement mix. At settlement of the c;mi~nt, bentonite
a w:c ratio of2:l(byvoHiiiie]which is commonly added to the mix ini~e proportion 0
used in grouting operations, after a period of bentonite by weight of cement (see Secti

travels freely along
crack
c pressure head (p )
9 crack, distance d h
~parates Out
at fringe
ration to
effect similar
r delta
ition of horizontal fractuT"
Jut holt::; d is the distance ,7
i). (a) Start of grouting;)'
enetratlOn for the partictil.
'; and (c) grout stiffens' ,
sian contracts, and bJe~cl:;
. The following is a general plan for laying out
,~
the volume is filledlYi
f the fracture containiil
mixes with w;c ratioM'
'e within 15 minutes{:
occupies about 850/;
:e. In order to miniff[,
'ilt, bentonite is'()f~
proportion of 2 ro:J.i
nent (see Section 7.6;6,
"Drilling method
"i holes can be drilled by either percussion or
"ond methods. Percussion drilling is faster
heaper than diamond drilling and produces
actory results as long as thorough cleaning
water is carried out to remove all drill cut-
'that accumulate on the walls of the hole, Air
" g is less effective in removing cuttings. A
ution that must be taken with percussion
, ensure that the holes are parallel so
ere are no gaps in the curtain caused by
ve hole deviation. If the length of the
exceeds about 8 to 10 m (26 to 33 ft) it is
mended that the orientation of the holes
'~suri:d and if deviation is excessive, that is,
than about 10%, that diamond drilling be
,advantages of diamond drilling are that
es in the core can be examined which can
ful in the planning of grouting operations,
, eaner and straighter hole is obtained. It is
at a minimum of 10% of grout holes are
d drilled to obtain geological information.
'ameters have little effect on the results of
ing programme and are usually in the
f 40 to 50 mm (1.5 to 2 in).
tional information on drilling methods is
d in Sections 4.3 and 10.2.
"ole patterns
a categories of grouting to seal seepage,
blanket and curtain grouting, requiredif-
atterns of holes which depend on the
y:of the dam, the geology of the foun-
Ildthe degree of watertightness that must
::Ved.Figure 7.21 shows the arrangement
.oks for blanket and "curtain grouting
)l1the fractured and faulted sandstones,
';'rnudstones and shales in the foundation
"itj1bleball Dam in the UK. In total, the
iidcurtain grouting involved almost
310000ft) of drilling and the injection
J grout (Bruce and George, 1982).
h'curtain and blanket grouting, the first
,mof laying out grout holes is that they
GrOLl ting and drainage 193
be oriented to intersect the main water-bearing
fracture set(s) in the foundation. For example,
if there is a continuous set of steeply dipping
fractures aligned at right angles to the dam axis,
the grout holes would be drilled at a dip of about
600 to 700 and a trend parallel to the dam axis.
(a) Blanket grouting
The rock immediately under the dam may be
more permeable than the rock at depth as the
result of blasting damage during surface prep-
aration, and stress relief causing opening of frac-
tures. This is also the area where high hydraulic
gradients are developed so particular attention is
required to sealing this region of the foundation.
For embankment dams, blanket grouting consists
of drilling holes on a square pattern to cover the
entire area of the core so that the combination of
the blanket and curtain grouting forms a 'T' under
the dam (Sherard et al., 1963). This minimizes the
risk of seepage paths being developed over the
top of the grout curtain which can result in scour
of the core material.
(b) Curtain grouting
In theory, the effectiveness of a grout curtain
in reducing uplift pressures is improved if it is
inclined at about 15 0 upstream so that the seepage
path is lengthened compared to a vertical curtain.
However, this does require the more careful
control of drill hole alignment to ensure that the
holes are parallel and lie in the same plane.
curtain grout holes, the details of which would
depend on the geological condition and degree of
watertightness needed (Deere, 1976).
1. Drill exploration holes using diamond coring
equipment to a depth equal to the full head
(H) on about 30m (100ft) spacing, The core
will provide information on the general
geology of the foundation from which the
details of the grouting plan can be drawn up.
Conduct permeability measurements to assess
the grouting requirements and methods.
2. Drill primary grout holes to a depth of HI2to
 194 Foundations of gravity and embankment dams

Line of grout curtain

--L. --- - - ' = - ---~--

North wing
curtain

(a)

Dam crest

Backfill
~~T===;=d!l'--'
Foundation I 7.6.E
concrete / ~ Extent of branket\ '
- - - -""--"T - - - \ - - _ Whe'
. I I \
RelIef wells --I----r------. Line of grout that I
,, \
, curtain holes
Scale of metres (wat.
o 10 20 30 40 50 8m are l
approx very
(b) sealb
regal
Figure 7.21 Arrangement of blanket and curtain grouting for buttress dam (Bruce and George, 1982), (a) Plan Th
and elevation along line of grout curtain. (b) Section through typical buttress showing relative location of appr,
blanket and curtain grouting. and pressure relief wells. Lorn
r' tight
2H/3; hole spacings may range from 3 to 20m . . I the r
depth than the primary holes if the rock J cohe
(10 to 65ft).
3. Drill secondary grout holes on split spacing becomes tighter with depth. '. . " grau
4. If additional grouting is needed, tertiary and. gooe
so there is progressive closure of the curtain.
possibly quartenary holes are drilled on splil J will
These holes may be drilled to a shallower
spacings (Bruce and George, 1982). Alter, i' Con'
 Grouting and drainage 195

jditional grout curtain "tively, a second row of grout holes is drilled penetrate greater distances in tight fractures,'
but a continuous seal may not be formed. As

~f
';a distance of about 2m (6ft) downstream
'. -_=0 ~ 110wing the same layout as the primary and
,ondary holes,
pacing will be required in low-permeability
ecause the grout will penetrate a shorter
e into the narrow fractures. Generally,
discussed in Section 7.6.2, thin grouts have a high
proportion of excess water when they set and so
much of the volume filled by the mix will consist
of water which must be bled off to form a tight
seal. Both Deere and Houlsby (1982) recommend
the use of thicker, 'stable' mixes in which there is

~.,.. """"'
....' South wing
curtain
er fractures are grouted with the primary minimal settling of the: cement grains. Houlsby's

. . "'"
... ,J"
: :'i"\
Backfill "condary holes, while the finer fractures are
. with the tertiary holes. The final spacing
I"~ '/'/11111111/1 fout holes will depend on the permeability
'.:ci!'/I/r/l ll
WJI 1 M .
-'- aX1':'lum blanket n established for the foundation, and the
groutmg depth 'ment of a continuous curtain or blanket.
uting operation is evaluated by conduct-
Scale of metres
'll head tests in open holes to measure the
o 50 ~ability of the rock mass (see Section 4.4.2),
,~itoring grout takes. Selection of an accept-
'~rmeability criterion for the foundation
~s on the value of the water lost by leakage,
lias the type of dam (see Fig. 7.23 and
" 7.6.9). As shown in the procedure de-
.~)n the previous paragraphs, the general
'~h to effective grouting is to drill holes at a
!ively closer spacing, or to drill multiple
of holes, until the permeability criterion is
~~.
;~,.~
criteria for grout mix are:J
1. A starter mix is selected based on previous
experience, permeability tests and information
on fracture width and wientatig,n. Once grout-
ing has started, successively thicker ixes may
be used depending on how well t e hole has
accepted the grout.
2. At most sites, a ratio of 2:1 :c ratio (by
volume) is suitable for a sta er mix, except in
the following cases:
(a) For fractures with widths of 0.75 mm
(0.03 in) or finer, start with a mix of 3:1;
(b) For fractures with widths of 1.2 to 2.5 mm
(0.5 to 0.1 in), start with a mix of 1:1.
Note, 2:1, 1.5:1, 1:1 w:c by volume equals 1.3:1,
1:1,0.67:1 w:c by weight respectively. Bentonite
is often used in cement grouts to reduce the sedi-

"!-, ~; mentation of the cement particles so that there is

~routmixes
.'" / .
, ';~ement grouts are used, the possible mixes
"~,be used range from 1: 1 to as high as 10: 1
(f~ll1ent ratio). The iow-ratio, thick grouts
.' to fill wide fractures a oids, while
' ,higIi:iatlO grouts ave been used when
',fine fractures where there is concern
';ih" penetration of thicker grouts.
IGeorge, 1982). (a) PIX hi no general agreement on the most
relative location of .-<.cr ate mix to seal tight fractures (Deere and
';,1985). The use of thick grouts to seal
res will result in little penetration into
'[[()unding the hole because of the high
mary holes if Cthemix. However, it is likely that the
depth. ._ dp'es penetrate the fracture will be of
g is needed, tertiai' Ycso effective sealing of the rock mass
holes .are drilled' ~, . f 0 Iy P'I~ holes.
I George, 1982fi' ,;'Jow-cohesion, h!gn-ratio ~outs will
'&..'
less tendency for fractures to be filled partially
with poor-quality grout. The proportion of ben-
tonite added to the mix is usually in the range of
2% to 4% of the weight of cement. It has also
been found that the main effect of bentonite is to
increase the cohesion which limits the penetration
distance. However, the use of fluidizers such
as Intraplast (Sika) enhances the penetration
of grout into fine fractures without the w:c ratio
having to be increased (Deere and Lombardi,
1985).
7.6.7 Grout strength
It is considered that a minimum strength in the
range of 5 to 10 MPa (700 to 1400 p.s.i.) is required
for grout to be able to resist high hydraulic
gradients without scour or piping (Deere, 1982).
 196 Foundations of gravity and embankment dams
It is likely that this minimum strength will also
be required for consolidation grouting where the
grout is being employed to improve the modulus
of the rock mass.
While bentonite is used to reduce the sedimen-
tation of cement grouts, it has the disadvantage
that it will reduce the strength of the grout.
Laboratory studies of grout strengths show that
for thin mixes at a w:c ratio of about 6:1 by
volume, the bentonite lowered the strength by
about 50 to 75%, while for thicker mixes at a
w:c ratio of about 2: 1, the strength was reduced
by about 25% (Burgin, 1979). Samples with a
w:c ratio of 1.5:1 gave 28-day strengths of about
9MPa (1300 p.s.i.), at bentonite contents of
between 2 and 8%. At this w:c ratio there was
little influence of the bentonite content on the
grout strength. Deere considers that a strength of
9MPa (1300 p:sj.) which is equivalent to that
~:~
given in Fig. 7.22 (Houlsby, 1977a). . This ch <ill '~
shows that pressures as great as two or three ti~. r
the overburden pressure can be used in stro~ i
rock. However, grout pressures should be Ie,; ~l
than the overburden pressure in very weak a~!
fractured rock to minimize the deveIoPme
.
of new fractures, and in horizontally bedde~!
rock where the grout could cause heaving at Ihe r
surface. . . i
Another factor to consider in determining t
grout pressures is increasing pressure with each I Maxim
stage of grouting. Deere and Lombari (198'J1 '(" pre ssu
allOP
suggest that the pressure p used In each stage 01 of hole
grouting could be as follows, depending on Sife p
conditions:

1.
2.
3.
4.
primary: p;
secondary: 1.5p;
tertiary: 2p;
quartenary: 2.5p.
I ..
of weak concrete, is the minimum acceptable
strength for most applications.

7.6.8 Grout pressures

Pressures used for grouting should be sufficient to
inject grout into the fractures in the foundation
rock, and achieve some radial penetration over a
period of time of about 15 to 30 minutes. This
pressure should be less than that required to
fracture the rock because it is not desirable to
create new fractures that may not then be filled
com'pletely with grout. One of the factors that
determine the quantity of grout take is the press-
ure drop in the grout along the fracture. Once this
pressure drop equals the applied pressure in the
hole, there will be no further take and grouting
is halted because progressively increasing the
pressure to induce further grout take may force
open fractures in the rock. In tight rock it is
unnecessary to maintain the pressure while the
grout sets because the grout will not flow out of
the fracture once it has been injected. However,
if open .voids are being grouted the pressure.
should be maintained until the grout has taken its
initial set.
A chart relating grout pressure to depth below
the ground surface and the strength of rock is
7.6.9 Grouting procedures
Grouting'is usually carried out in stages using t
r
inflatable or expansion packers to isolate sections I
of the hole. This procedure avoids the situation
that may develop if the full length of the hole
were to be grouted in one operation, where mOSf cost
of the grout is pumped into one open fracture and rem
little grout is injected into the tighter fractures. \ intc
The length of hole that is grouted in any stage) is t
is determined by positioning the packer so that i per
individual fractures can be' 'grouted as desired. 1 Ies~
Grouting lengths vary from as short as 3 m (IOfl) l qm
to as long as 10 m (33 ft), with shorter lengths de!
being used closer to the rock surface and in more pac
fractured rock.
Grouting can either be carried out from the top 7 .(
down, or the bottom up depending on the can
dition of the rock. In poor rock where the drill W
holes will not stay open, grouting is carried oul po
from the top which requires that the hole he' th,
deepened progressively with each stage of grout , da
ing. A packer is used to isolate each section of the..; th
hole so that higher pressures can be used at depth th
without fracturing the near,surface ro.ck. The diS' . d,
advantage of this procedure is that the drilling dl

foulsby, 1977a). This c~
IS great as two or three ti'
mre can be used in sti
It pressures should be;
pressure in very weak"
ninimize the develop~
nd in horizontally be'
could cause heaving atii
, consider in determ,t
:reasing pressure with)
)eere and Lombari ('
.ure p used in each sta
follows, depending oJ!
:edures
:arried out in stages"
1 packers to isolate se'
,edure avoids the situ
the full length of th~
one operation, where'
I into one open fractut
into the tighter frac
tat is grouted in any:
tioning the packer s"
an be 'grouted as d~
from as short as 3 m?
13 ft), with shorter Ie
Ie rock surface and jIi;
be carried out from!,
up depending on th"
poor rock wheretb:
en, grouting is caril,:"
requires that them'
y with each stageii:
) isolate each sectioTI,
ssures can be used.~j?
near-surface rock'"
cedure is that tlieIr
~---~~-~-~---~200
~--.,/150
25 50 75 100 125
10 20 30 40
Vertical depth (0) measured along hole to
bottom of stage
~li. high because the drill rods have to be
td and the grout tubes and packers lowered
'i.hole for each section. The advantage
!,!he grouting can be stopped if the rock
iibility increases with depth to a value
:'~n the minimum required value. In good-
. ~.rock, the grout hole can be drilled to full
"~M then grouted from the bottom up using
!'Sto isolate successive sections of the hole.
':li'~rmeabilitycriteria for grouted rock
"'i'l~lining a grouting programme it is im-
to. determine the level of permeability
. \i1red to suit both the function of the
,itSsafe'operation. For example, where
60 of the dam is flood control, seepage
e foundation is acceptable as long as it
:E'ompromise the safetyoHhe structure
;':.tror piping of loose fracture infillings.
Grouting and drainage 197
Ips.i.)
100
50
Figure 7.22 Typical permissible grout pressures
for various foundation conditions (after Houlsby,
150ft 1977a).
A. One bar per metre depth; B. PB = 4D; C. PB
m = 3D; D. PB = 2D; E. One p.s.i. per foot depth;
F. PB = l.5D; G. PB = lD; PB is the pressure at
the bottom of the stage.
Where there is a significant economic value to the
water stored in the reservoir, and particularly
where it is pumped into the reservoir, seepage
losses are much less acceptable. The permeability
of the rock mass after grouting can be measured
either by conducting falling head tests and cal-
culating the permeability (Section 4.4.2), or by
. monitoring the grout take expressed in weight of
cement per unit length of hole.
Permeability criteria, as suggested by Houlsby
(1977), for grout curtains in the foundations ofa
variety of dam types are shown in Fig. 7.23.
Permeability values can be expressed in 'units of
both lugeons and mis, assuming that 1 lugeon is
equivalent to 1.3 X 10-7 m/s. Lugeon values vary
from less than 1 for rock with occasional, tight
fractures, to 100 for rock containing fractl,lres
with widths up to approximately 6mm (0.25 in).
Details of field test methods to measure.per-
meability are provided in Section4.4. Asshq\Vn
 Permeability
T. '
.
,
"

,~
criteria for

~
rock foundations ill fig
[lugC'
high .,
"od tl
which
'fh c
pressu
Value of awa tl
water lost per oJ
by leakage
is nO'
luring
) for t,
[ugeo
Of
negligible value
me asi

An'
Protection of grOU
foundation unit
against piping
required? '", Ihat I
25 kl l
* Maximum permeability criteria. of hi
as tI i
nes5!
grot I
add "
that l,
on I
Earth/ruckfill Concrete gravity
elm)
I I Arch buttress can i
Wide Core Narrow Core If adequate drainage provided wall
Notes:
1
This is a guide only;
modifications may be necessary to , i
For three rows
of grouting
suit individual sites. 7.1i
(or more) For rock grouting only. Thi
sufficiently de i
close Primarily applies to surface an i
for penetrations regions - at greater depths higher
from outer rows permeabirWes may be permissible. co i
. i
to meet those
from inner"holes.
wll
Even if grQuting 'appears to be .
unnecessary, widely spaced probln t ar I
holes are advisable for checking. err
h;\
Figure?23 Suggested permeability criteria for rock foundatio~s (after Houlsby, 1977a). Si I
Notes: This is aguide only;inodifications may be necessary to suit individual sites. For rock groutingoniy. I
Primarily applies to surface regions- at greater depths higher permeabilities may be permissible. Even if grouting
appears to be unnecessary, widely spaced probing holes are advisable for checking. For a single row curtain. \ ~:
I
 Grouting and drainage 199

. 7.23 the permeability criteria range from
on where seepage must be minimized, to as
s 5 to 7 lugeons where seepage is permitted
ihe foundation comprises sound rock in
',there is no risk of piping.
\;, original lugeon test was conducted at a
hre of 10 bar (150 p.s.i.) and Ilugeon equals
'et take of 1litre per metre length of hole/
inute (Houlsby, 1977b). This pressure level
lkconsidered to be too high because frac-
'jpf the rock may occur at these pressures.
,'Is conducted at lower pressures, a modified
tvalue can be calculated by multiplying the
;"d water take by the ratio:
4inative permeability criterion is based on
a~e expressed in weight of cement take per
4gth of drill hole. Deere (1976) suggests
. out take shouid be no more than 12.5 to
',\(8 to 16Ib/ft) to achieve adequate sealing
':.dams. The advantage of using grout take
')meability criterion is that the effective-
he grout seal can be determined during
operations with no need to perform
] I tests. However, the disadvantage is
,grout take depends to some degree
and determine where extra holes are required to
produce an effective seal.
Equipment is now available to control and
monitor automatically the following functions of
grouting operations in up to six holes simul-
taneously (Demming et al., 1985):
1. cement weight per hour;
2. pressure;
3. flow;
4. flow/pressure;
5. cement weight per hole;
6. water take in volume per minute during water-
pressure tests.
Water/cement ratios can be keyed into the
computer, and nuclear densimeters on the line
monitor actual densities allowing close control of
the grouting operation. The system also has the
capability to generate reports showing, in the
form of histograms, results of all the units listed
above. The control and monitoring equipment,
together with the mixers and pumps, is contained
in a steel shipping container that can readily be
moved around the site. In many installations,
the pumping equipment is on the surface and the
grouting operation is in a tunnel or gallery in the
foundation with a telephone for communication.

J ion pressures and mix ratios, and more 7.6.12 Leaching

'ontrolled permeability measurements
Because grouts are subject to chemical leaching,
using permeability tests employing
their long-term stability must be considered in
Notes:
design, and their performance monitored during
s is a guide only; operations. Leaching corrosion of cement grout
'difications may be
t individual sites. is caused by the dissolution and removal of
onitoring grouting operations
hardened cement compounds by seepage. water
rock grouting only. ')Iation of an efficient grout curtain (Petrovsky, 1982). The main component of
narily applies to sUrf~' ,l.()i.a large degree on precise control hydrated cement is lime (CaO) which can com-
ions - at greater d . ", toring of the grouting process. Precise prise 60 to 65% of the total cement volume in
meabilities may be "'ii~}hegrout mix and injection pressure the form of free calcium hydroxide (Ca(OHh)
w"'1()r example, the water:cement ratio and hydrated calcium compounds such as sili-
rel() be decreased if a wide fracture is cates, aluminates and alumino-ferrites. These
'(in which take would be excessive at hydrated compounds remain stable in the calcium
rj. 6hpressure and water:cement ratio. hydroxide solution at concentrations of about
lock grouting only." ccurate records of grout take, prefer- 1300 mg CaOI! and a pH of 12.0. Leaching
rmissible. Even ilgf :graphically, provide information that of calcium hydroxide is accompanied by the
asingle row curt~r" ,'to evaluate the grouting programme hydrolysis of the hydrated .cement compolinds

200 Foundations of gravity and embankment dams
and the release of lime to the seepage water. The
reduction of CaO content in the cement grout
leads to gradual decomposition of the cement
binder and deterioration of the grout. The re-
moval of 25% of the lime from the grout can
reduce its strength by as much as 50%.
In permeable cement grout, there are three
stages of leaching:
1. First, rapid dissolution of the free calcium
hydroxide occurs at the onset of the leaching
process and the concentration of calcium in the
seepage water is at its highest point.
2. Second, lime is liberated from the hydrated
calcium compounds by the hydrolytic action
of the seepage water, and the calcium con-
centration in the seepage water diminishes.
3. Third, the calcium hydroxide and the hydrated
compounds are dissolved from the deeper
zones in the grout. During this leaChing stage,
the concentration of the calcium in the seepage
water is low and remains relatively constant.
Petrovsky describes a nine-year monitoring pro-
gramme of grout curtains on three concrete
gravity dams in the Soviet Union. By measuring
the calcium content of the water flowing in the
drain holes it was possible to calculate the weight
of calcium lost from the curtains. The gradients of
the grout loss lines in Fig. 7.24 show that the rate
T
[
of loss was significantly higher at dam~! ~
was four years old, in comparison with da UI\IO C'h'
and 3 which were between 12 and 16 yearsm, ! 0ft'
This indicates that the leaching rate decreOld.,' (or ~
with time, and that the leaching process w:" . pOI~1
the secondary stage (as defined in the prev; ", fou 5S
paragraphs) at dam 2, while it was in the tertiOUs i P~h'
stage at dams 1 and 3. While it was consideatl a ~(
"ficant whr~ to'"
th at the. rate 0 f Ioss was not sIgm. he g
compare. 'h h . f'
d WIt t e. quantIty 0 grout in Iheen I Dr
~urtams, I~ the leachmg were to be concentrat~ ;ng i~
m a few hIgh-flow zones, the grout curtain couid l hole!
be weakened at these points. ' 'nter
In any foundation where a grout curtain i ~ay
installed to control seepage and/or uplift, it; strea
important that the performance 'of the Curtain ~ . curta
monitored by measuring seepage volumes in the raog'
drainage system, and by installing piezometen spad
to measure wate.r pressures in the foundation. lioue
If .increases in uplift pressures and seepage vary
quantities can be attributed to deterioration in 35%
the grout curtain, then additional grouting can 1977
readily be carried out if there are galleries in the Tt
foundation or base of the dam. or c:
ture<
and
7.6.13 Drainage
of tI
When grout curtains are installed in dam foun clear
dations, they usually incorporate drains hol~ becc

100 r---r-~-r----.,r----.,r----, 7.7

Abrc
:2

.
6
C
0

Ol
10 " (
p
fi
0 A
rn Figure 7.24 Leaching intensity for dam grout Alo!
0
uj DAM 1 curtains (Petrovsky, 1982). o
::;; n
::J DAM 1: 36m high, 513mlong; 6m deep grout .
u.
0
0.1 DAM 3
/
.t.'
".. '
A
curtain with holeson 1.5 m centres. Total grout \ Bier
(f)
..~". take = 51 tonnes.
a
.... ,,/ "
(f)
0
-J .... DAM 2: 124m high, 1072m long; 60m deep c
grout curtain with holesori 3-5 mcentres. 1
Total grout take 2500 tonnes.
0.01
0.01 0.1
" 1 10 100 1000
DAM 3: 65 m high, 391 m long; 40m deep grout r
Bosl
curtain with holes on 0.5 to 1.4 m centres. I
DRAIN HOLE FLOW (cm'/sec) Total grout take = 12000 tonnes.
 202 Foundations of gravity and embanJ<ment dams
~!
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ASCE, 92, SM2, 125-46. bution of concrete dam foundation failures. Proc.
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Fmlle Element An I
nd. a
me! communication
P. (1974) Surface w' :'
~ Or
_ong. on Rock Mech '.
13-54. "I
~ Engineering of grout'-;~"
:, Geotech. Div. 103'
~ 2.-
Routine interpretati~;~_
. J. Eng. Geol., 9, 303',
:)ptlmum water:cemeri1
Grouting in Geote
of Conf. Sponsored "
enng Division, AScIi!
~ement grouting: wat~~
:. of Session on Issues {,
llorado, ASCE, Geote~
~ .~
Cismic events at Kony~_
ry and pra,ctiq::-.Prob.
ch. , American Instittl
and Petroleum En- ;
7) Filter desigrl, foun'
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oc. Soufh~east States"?
'ashville, TN. .,'
ion .cases collected and':'
'. Trans. ICOLD 1 2<"
rick, I. M. (1980j Des;
:mtaining soluble roeb:
. 13, 1 8 9 - 9 8 . ,
dvanced Daf!l Engine;
In, and Rehabilitation.]:
w York.;.
'nier, G., Gavard, M;'5
,'arnzaourt-Dam, a buiii
oundation problems.',l
.Rio de Janiero, ICOiJ
7-48.
'1) Engineering Feature:!
do Earthquake. Califo"
Pasadena, Califomia.?;~
,tatistical analysis of dt
foundation failures. Pi:
Dams, Coimbra, Portu
19. ..
;al and Microfine grouttn
,eepage Control US At
periment Statio;, Deter-':="
References 203
";. and Peter, G. (1983) Continuous strain foundations of concrete dams. Froc. 3rd Int. Cong.
'ripg in the roek foundation of a large dam. Rock Mech., Denver, pp. 879-97.
'<. echo and Rock Eng., 16, 157-71. Rothe, J. P. (1969) Earthquake and reservoir loadings. .,.
:S. (1955) Designing for foundation move Proc. 4th World Conf. on Earthquake Engineer-
jat Garriso~. 5th Congress on Large ing, International Association for Earthquake
dlCOLD, Paris. Engineering.
;:G. T. (1963) The jetting and grouting of Sarma, S. K. (1975) Seismic stability of earth dams and
~~quartzite at Kariba. Conf. on Grouts, embankments. Geotechnique, 25(4), 743-61.
'<National Society on Soil Mechanics, London, Scott, G. A. and Dreher, K. J. (1983) Dynamic stability '1
;:
'90. of concrete dam foundations. Proc. 5th Int. Congo V
. :, and Taylor, H. (1983) Gravity dam on Rock Mech., Melbourne, ISRM, pp. C227-33.
'tally bedded sedimentary rock. Proc. 7th Seed, H. B., Duncan, J. M. and Idriss, 1. M. (1975)
wedcan Can! on Soil Mechanics and Foun- Criteria and methods for static and dynamic
,'p;ng., Vancouver, pp. 77-91. analysis of earth dams. In Naylor, D. J., Stagg, K.
~:and Whitman, R. V. (1986) Earthquake and Zienkiewicz, O. C. (eds), Criteria and Assump~
'd displacement of sliding blocks. J. Geotech. tions for Numerical Analysis of Dams, Swansea,
,. iv., ASCE, 112(1), 44-59. University College, pp. 564-88.
., Smith, G. and Deans, J. (1985) Use of Serafim, J. L. (1964) The behaviour of arch dams and
r in treatment Of dam foundation leakage, their foundations. Proc. 8th Int. Congo on Large
!:lviIle Dam. Specialty Con! on Rock Eng. Dams; Edinburgh, ICOLD, Discussion on Q.29,
''Qimdations and Slopes, Boulder, CO, ASCE, Vol. V.
echnical Eng. Div., Vol. 2, pp. 76-91. Sheng, c.-K., et at. (1970). Earthquakes induced
lov, Y. B. and Lomov, 1. E. (1979) Stabiliza- by reservoir impounding and their effects, on the
cif'the Inguri arch darn rock foundation. 4th Hsinfengkiang,Pam. Proc. 10th Int. Con! on Large
~".
,(long. on Rock Mech., Montreux, , ISRM, Dams, Madrid', ICOLD.
33-8. Sherard, J. L., Woodward, R. J., Gizienski, S. F. and
'.,N. M. (1965) Effect of earthquakes on dams Clevenger, W. A. (1963) Earth and Earth-Rock
mbankments. Geotechnique, 15(2), 139-60. dams, Wiley, New York, pp. 509-62.
. ';'G. A. (1983) Design of Gravity Dams on Spearman, E. L. (1976) Foundation investigation and
Foundations: Sliding Stability Assessment by treatment for TVA dams. Proc. of Specialty Con!
EqUilibrium and Selection of Shear Strength on Rock Eng. for Foundations and Slopes, Boulder,
ters. Technical Report GL-8313, Geotech- CO, ASCE, Geotechnical Eng. Div., pp. 101-13.
:Laboratory, US Army Engineer Waterways Thomas, H. H. (1976) The Engineering of Large Dams,
riment Station, Vicksburg, MS. Wiley, New York, pp. 55-8. '-'
C. M. and Neto, S. B. (1983) Conceptual Underwood, L. B. and Dixon, N. A. (1976) Dams on ""
chanical models: their evolution during the rock foundations. Specialty Conf. on Rock Eng.
.' and construction of dams. Proc. 5th Int. for Foundations and Slopes, Boulder, CO, ASCE,
. . Rock Meth., Melbourne, ISRM, pp. C213- Geotechnical Eng. Div., Vol. 2, pp. 125-46.
Underwood, L. B., Thor.finnson, S. T. and Black,
, y, M. B. (1982) Monitoring of grout leaching W. T. (1964) Rebound in redesign of Oahe Dam
~tee ,dam curtains in crystalline rock foun- hydraulic structures. J. SoilMech. and'Foundation
ns; Proc. Conf.. on Grouting in Geotechnical Div., ASCE, 90, SM3.
ii'leering, _New Orleans, AstE~ 'Geotechnical US Army Corps of Engineers (1981) Slid;ng Stability
Div., pp. 105-19. of Concrete, Structures. UTechnical Letter No.
. K., McMordic, R. C. and Dumas, R. M. 1l10-2-256.
)Foundations and Abutments - Bennett and US Department of the Int~r.!g! ....~~_~~!!.~ ..9l.Reclamation
., Dams. J. Geotech. Div., ASCE, 98, SM 10, (1976) Design manual for concrete gravity danis. A
';-72. Water Resources Technical.Publication.
fi.o: J. (1981) Geomechanische Modellunter US Department9f t_h~ Interior, Bureau of Reclamation
llngen fur die Grundung von Talsperren (Foun- (1978) Foundation Studies (IYeSign and Analysis of
qn. problems of large dams - geomechanical Auburn Dam, Vol. Il).
el tests), Rock Mech., 14, 117-66. US Department of the Interior, Tet9n Dam Failure
i'M. (1974) Present possibilities of studying Review Gr"lup (1980) Failure of Teton Dam, Final
 .-c,
if
204 Rock-socketed piers
rI'
~[
Report. Supt of Documents, US Govt Printing slopes and foundations in anisotropic, jointed' 't
Office, Washington, DC. by means of the finite element method. De/Of:l.l
Wahlstrom, E. E. (1974) Dams, dam foundations and Geotechnik, 1(1). "'el"
reservoir sites. (Developments in geotechnical enM Xu, L. X., Gong, Z. X. aud Lin, W. P. (1983) SI"' , '
gineering, Vol. 6), Elsevier S. P. c., Amsterdam, __ stability of founda~ion rock with Jihear zon ldl,ni I
Oxford, New York. Int. Cpng. on Rock MecT1., Melbourfie:i~R"" t
V
Westergaard, H. M. (1933) Water pressures on dams
during ea~thquakes. Trans. ASCE, 98, 418-33.
. pp: CZ05-208. . . r
.\1
Zlenklewlcz, O. C. (1988) The Fmlte Element An /. !
Wittke, W.; Rodatz, W. and Wallner, M. (1972) Three in Engineering Science, 3rd edn, McGraw.Bill ~~jll
dimensional calculation of the stability of caverns, York. ,1 C'o\

Sot
ext
sou
ene
sui,
is',:
ma
, loa
,ism
~ . ani
f
f loa
abl

Ii
li ~~ en
ut
tn
en
Fi
st,
pi
th
tu
F
r
)
,
\ 8
! T
t p
!:
r it
I

and Lin, W. P. (1983)
n rock with Jibear zo
Mee ., Melbourfie ,
~.i'piers are constructed in drill holes
g< below the structure to depths where
'~k, that can sustain the applied loads, is
eJed. They are used where there is no
'~earing material at the surface and it
.,110mical to excavate this low-strength
Y.and for conditions where structural
/'?sl.lbstantial and permissible settlements
'ads on drilled piers are usually vertical
:pressive. However, inclined and uplifts
" e accommodated with the use of suit-
.~hs and construction methods.
;,B.l shows a worm's eye view of common
'\::
.
' s of deep foundations where one high-
~g is supported by belled caissons and
piles bearing on or socketed into the
, n both these cases, the load is sup-
',a combination of side-wall shear and
'rig and the full length' of the pier is
nother application for drilled piers is to
structural load to a specified depth by
there is no side-wall shear developed.
shows an example of this type of con-
)lsed to transfer the building load in
. cent to the tunnel. to a depth below
, ,,~nd' avoid inducing stresses on to the
ing. A similar application is shown in
j-Y ,
~~$()f deep foundations ' Information is also required on the compr~tJ.
ti~l difference between piles and drilled
:]hemethod of constructiol). Piles are
,ydrivirig or vibrating the structural
8
Rock-socketed piers
member and displacing the ground, while piers
are installed by drilling a hole which is then filled
with concrete. Drilled piers may be installed en-
tirely in stiff, cohesive soil, Or drilled through the
soil to end bearing on rock, or drilled (socketed)
to some depth into the rock.
8.1.2 Investigations for socketed piers
Drilling large-diameter holes in rock is expensive
and it is important for economy that the length
and diameter of the socket are minimized. This
will usually require that a thorough inve,stigation )
of subsurface conditions be carried out to deter-
mine the depth to sound rock and the quality of
the rock which will be supportIng the load. Of
partIcular importance is the idenhticanon or"geo-
logical features such as zones of shattered or weak
rock, and clay-filled seams. Where piers are being
installed in karstic formations, drilling will usually
be required at most or all pier locations to locate
possible solution cavities. These exploration
drill holes would have to extend well below the
planned bearing level for the end of the pier to
ensure that there are no cavities in the bearing
area. On one highway project, in a narrow gorge
where the rock type was a strong limestone, the
piers had to be extended to depths as great as
60m (200ft) below the planned depth before
cOlIlpetent rock was encountered in which to drill
a 2m (6ft) deep socket (Kay,.1989).
sivestrengthof the rock to determine the bearing
capacity, and the mod!,!us to determine the
settlement characteristics. Compressivestrengtl1 ,
can be measured with laboratory tests91l:,r0ck
 206 Rock-socketed piers
-, ,
j
~I/

l ,
,, ;l
',I
-1
J
,
,
....

,
)

Fig)
loai
;l
~
co
pac
Ho
ro
car
J leSI

I(:r~
~ :: the
, Ofl
. be
lua
sha
Figure 8.1 Typical installations of belled and rock-socketed drilled piers (Macaulay, 1976. Reprinted by of I
permission of Houghton Mifflin CO.). Co
 Load capacity of socketed piers in compression 207
. . applied load in:
..
.
Pier cased
through rock
adjacent to
tunnel
. Situations where support is provided solely in
.
. low-strength overburden material, it may be
...
lZ'End-be~ring drilled pier transfers applied
~~*,.below tunnel invert.
qjjlwhich design values for bearing ca-
.':c1' shear strength can be determined.
~;modulus
li,f-, .
values used in design are the
.~.modulus and it may be necessary to
!)ih 'situ testing, such as pressuremeter
'\f~stablish design values. Alternatively,
~;RUelating rock mass modulus to com-
'~~i~ngth is described in Section 8A
!'!iiiorion groundwater is also useful in
,jlikely construction conditions. The
lthe,ater tablewill determine whether
,,'ilYillbewet or dry, and the permeability
c1'i,Vill determine whether wet shafts can
.~~cJ.liy,This information should be eva-
:1iiii<.lesign because if it is likely that the
~ll~fi()oded,theninspection and cleaning
[976. Reprinted !~tiin:dbase of the shaft will be difficult.
e,~~${ conservative strength values
would have to be used to account for possible
accumulations of cuttings and drill mud on bearing
surfaces,
8.2 Load capacity of socketed piers in
compression
Drilled piers can be designed to support the
L Side-wall shear comprising adhesion or skin
friction on the vertical face of the pier; or
2, end bearing on the material below the tip of
the pier; or
3, a combination of both,
side-wall shear are where the base of the drilled
hole cannot be cleaned so that it is uncertain
that any end-bearing support will be developed,
Alternatively, where sound bed rock underlies
possible to achieve the required support in end
bearing only, and assume that no support is
developed in the overburden, However, where
the pier is drilled some depth into sound rock, a
combination of side-wall shear and end bearing
can be assumed (Kulhawy and Goodman, 1980),
8.2,1 Mechanism of load transfer
The relative magnitude of the support developed
in side-wall shear and end bearing depends on the
following factors, First, the moduli of the mate-
rials in which the pier is socketed and that of the
pier itself, second, the magnitude of loading in
relation to the side-wall shear strength, and,
third, the method of construction, The mech-
anism of load transfer and settlement of a socketed
pier, and the distribution of support between
the side walls of the shaft and end bearing are
illustrated in Fig, 8.3, In this model all the shaft
resistance is replaced by a spring with stiffness k"
and all the end bearing is replaced with a second
spring of stiffness k b , The support provided in
side-wall shear Qs and end bearing Qb are each
equal to the product of the spring stiffness. and.
 208 Rock-socketed piers

Uniform elastic rock in

sides and base of pier.
ks>ko
os>i5 b
Os Ob

Range of
subsurface Uniform'elastic rock in
conditions sides of pier, loose
drilf cuttings or weak
seam at base.
'. ks k6
Ss 6b
Qs>OtJ 0,

Q
CD
.. .'

..

Weak, fractured rock or
soil ill sides of pier,
P
Moder of support si
. base bearing on strong,
massive rock. mechanism: o

kb>ks Q=k.S
if
S>Ob

...
Q b Os
..
' ,
o
Figure"Sj Simplitieq support mechanism for socketed piers showing components of load carried in side shear and Cl
end bearing (Wintetkoin and Fang, 1975). 0

the displacement, 'i.e.. Q,=k, 0, CWinterkorn
and Fang, 1975).
In the fjrst case, much ofthesupport is devel-
oped in the upper part ofthe pier, that is, the
(,
. l if
side-wall resistance per unit displacement is much [,
greater than the end-bearing force developed for if
the same displacement. Thus the spring constanl
k, is stiffer than the spring constant at the base
 Load capacity of socketed piers in compression
deflection of the pier is a combination
c shortening of the pier and deflection of
.Because most of the deflection occurs in
'er part of the pier, that is, 0, is greater
"the portion of support developed in side-
" r is much greater than that developed in
ring.
~ second case, material with very low
~::capacity occurs at the base of the pier,
at the spring constant k b is much less stiff
~" spring constant k,. Provided that the
Sad does not exceed the shear strength of
Q
Walls, most of the displacement will occur
'pper part of the pier and the major por-
!lie load will be carried in side-wall shear.
'e, third case, the pier has been drilled
\frnaterial with a low modulus to end
,
1$n' a much higher modulus material, so
i:~ constant k b is much greater than the
oonstant k,. However, much of the dis-
Jnt will occur due to elastic shortening of
~j' and a relatively small amount due to
'11 of the high-modulus material below the
,\he pier. Under these conditions, most of
3is carried in end bearing.
c;:.'
{::'.'
hear behaviour of rock sockets
~"
'eQretical and field studies of the perform-
;,lcock-socketed piers show that the major
"qf the applied load is usually carried in
a!l_~hear. The peak.shear stress .. developed
Walls of the shaft IS aS,sumed to behave as
'hrCoulomb material as follows:
0.,'- '"
O'tan<l>, (8.1)
,the cohesion between the rock and the
;'& is the normal stress at the rock-
.interface, and <I> is the friction angle
'Jrsurface.
"gi$placement of the pier exceeds the
"lof the interface so that the adhesion
i,lIe friction angle is diminished to the
unit displacementi~,.
,arue <I>,e" the available shear, strength
aring force develope
'~e,ri by:
Thus the spring co
ring constant at t~:' (8.2)
209
Normal stress is induced at the rock-concrete
interface by two mechanisms. First, application
of a compressive load on the top of the pier
results in elastic dilation of the concrete and,
second, shear displacement at the rough surface
of the drill hole results in mechanical dilation of
the interface. If the stiffness of the material sur-
rounding the socket, with respect to normal dis-
placement is constant, then the normal stress will
increase with increasing applied load, and there
will be a corresponding increase in the shear
stress.
The degree of mechanical dilation that occurs is
related to the roughness of the walls of the socket,
as well as the strength of the rock that forms the
irregularities. As shown in equation (3.13), these
irregularities tend to be sheared off as the normal
stress increases so that in rock that is significantly
weaker than concrete, the roughness of the sur-
face may have little influence on the shear stress
developed on the walls of the pier.
Simulations of the behaviour of rock sockets
have been carried out in laboratory tests using a
constant-stiffness direct-shear machine (Ooi and
Carter, 1987). The test samples consisted of
76 mm (3 in) ,diameter sandstone cores with a
concrete cast on one end. The interface between
the rock and the concrete consisted of either
a smooth surface cut with a diamond saw, or a
series of asperities with wavelengths ranging from
10 to 15 mm (004 to 0.6 in) and an amplitude of
2.5 mm (O.lin). The equivalent roughness angle i
of the asperities ranges from 18' to 28'. The
uniaxial compressive strengths of the sandstone
and concrete were respectively 15 to' 20 MPa
(2200 to 2900 p.s.i.), and 40MPa (5800 p.s.i.),
respectively. The effect of bonding of the con-
crete to the rock was examined by casting the
concrete directly to the rock surface on some of
the samples, and by placing a plastic film on the
surface on other samples.
Two plots of Ooi and Carter;s test results show,
(a) typical shear stress/shear displacement curves,
and (b) a summary of the relationship between
shear and normal stresses for both peak and
residual strengths for all rough surfaces, both
bonded and un bonded (Fig. 804). Notethatjn,
 210 Rock-socketed piers
l }
-~--------------------------------_____________I'
3r----r---r--,----,--~ Fig. 8.4 (b) the ratio of normal and sheo
"r SIre
1
k ~ 1.25 MPa/mm scales is about 3.5. The conclusions that Ca
drawn from the test results are: n

II .~ 1. Rough. bonded I 1. There is a distinct peak shear stress that

at a shear displacement of less than o~cu
i

2
. ir:::" .,/"-' ~ (0.04 in) and the residual shear strength a m
,t/,--, '''--..''''''- at a displacement of about 2 to 5 mm (O'~~UI
., ""-- 0.02in).

2. Rough, unbonded
-,-....,
r-'-- 2. Cohesive bonding between the concrete
the rock has a significant effect on the pam
and residual shear strengths as indicatede
3, Smooth. bonded curves 1 (bonded) and 2 (unbonded).
3. A rough rock-concrete interface has a co
siderably higher shear strength than a smoo
oL----'----"--_l-_--'__--1 interface (compare curves 1 and 3).
o 2 3 4, 5 4. The peak shear strength, at low normal sIre '
is almost an order of magnitude higher tha
Shear displacement (mm)
(aJ the residual shear strength (Fig. 8A(b, i
dicative of the significant loss of suppOrt lh
5,----,,----'--,..------, occurs when the bond is broken.

4 8.2.3 Factors affecting the load capacity of

socketed piers
Figure 8.5 shows the results of load tests carri
out on a socketed pier installed through h
silty clay into highly weathered siltstone at asi
in Singapore (Chang and Wong, 1987). Th
-
results illustrate typical performance of socket
Residual piers; the distribution of the axial load is highl
~ non-uniform and the larger portion of the loadk
1 '- ll:CxKJ~ - carried in the strongerrock';:'while the portion 01
~ 40 the load carried in end bearing is relatively small;
o ..------ , , The performance of ,rock-socketed piers h~
o 0.5 1.0 1.5 been studied in laboratory tests, in analytical
studies using finite element analysis, and in full"
Normal stress (MPa)
scale load tests. The laboratbry work has sludi~
Figure 8.4 Shear behaviour of rock-concrete joints model piers and has tested the rock-conerete
tested in constant normal stiffness apparatus (Ooi and interface to determine the factors that influenre ,
Carter, 1987): (aJ typical shear stress-displacement the shear resistance (Ladanyi and Domingue,
curves; and (bJ peak aud residual strength envelopes. '1980; Pells el al., 1980). Finite ,element an~
lyses have been usee! to investigate the influenre
of socket geometry (length-to-diameter ratil)
and the relative modUli between the concrete ani
the rock in the walls'and base of the socket a'
both load capacity and displacement (Rowe elal"
 Load capacity of socketed piers in compression 211

) of normal and shea Axial load. 0 (MN)

The conclusions that:" 0 2 4 6 8 10 12
0 m-----
resuIts are: }'
Medium stiff to
peak shear stress th~ 5 hard si Ity clay
Icement of less tha" C, ~ 40-200 kN/m'
esidual shear streng " , N~ 7-36
10
of about 2 to 5mm;'., llm~----
"l!!
Q;
: between the caner" .s Weak highly
lnificant effect on ' '" weathered
13.
<D Eo = 31 kNfmm 2 siltstone
.r strengths as indie' 0 N= 50-145
B~O,9m
and 2 (unbonded)."
L~24m
ncrete interface hal'
0
lear strength than a!
, curves 1 and 3). e:- OplO (Tip)
"0,10 (Hard clay)
ength, at low normal 0"1 0 50
(; 0,10 (Siltstone)
r of magnitude high!
, strength (Fig. 8A( .,,;
d'jo 100
nificant loss of suppb L
,)Typical distributions of socket and base loads in rock-socketed piers (Chang and Wong. 1987).
and is broken. .~

ing the load capaci~ {C:~->

, nald et al., 1980; Rowe and Pells, 1980). the removal of drill cuttings and other loose ,
Lof the full-scale load tests, measurements material from the bottom of the socket;
results of load tests' ;;1'1 made of the portion of the load carried 6. Layering in the rock and the presence of seams
lier installed throu ~)1ear and that in end bearing. This has with differing strengths and moduli;
Neathered siltstone':\;' ~hieved by constructing piers with soft 7. Settlement of the pier in relation to the elastic
and Wong, 1987).; .,[such as styrofoam at the base to elimi- limit of side-wall shear strength; and
al performance of sa, 1:!.bearing, and by casing the socket to 8. Creep of the material at the rock-concrete
I of the axial load is'\ 'ei'side-wall shear (Seychuck, 1970; Glos interface resulting in increasing settlement
iargerportion of th"" 's, 1983). with time.
r rock'>while the pof esults of this investigation work have
I bearing is relatively. .at the following factors have a significant (a) Effect of socket geometry
)f rock-socketed pie :pn performance, that is; the load ca- The geometry of a rock socket, which is defined
>ratory tests, in an.~, settlement of the pier: by the length-to-diameter ratio, has a significant
,ment analysis, and r effect on the load "apacity of the pier. As the
aboratory work hass, eiry of the socket as defined by the ratio increases from 0, the portion of the load
tested the rock-CQ ctoCdiameter ratio; carried in end bearing diminishes and progres-
, the factors that intl Sof the rock both around the socket sively more of the load is carried in side-wall
(Ladanyi and Doiii ....ow the base; .shear. This is illustrated in Fig. 8.6 where, for the
)80). Finiteelemeri," 'thofthe rock in the walls of the socket condition that the rock has a higher modulus than
to investigate the in', jow the pier; the pier, almost all of the load is carried in side-
(Iength-to-diametet:. l#on of the side walls with respect to 4,
wall shear at an LIB ratio of while only 50% of
Ii between the conci~ :riess, and the presence of drill cuttings or the load is carried in side-wall shear at a ratio ,of,
and base of the soc,' t!'inite cakes; , 1 (Osterberg and Gill, 1973). The implication of
displacement (Row~:, ~:~ition of the end of the pier with respect to this behaviour is that short sockets rely on sound
'tt..~.~-,~,.

I
:r
 212 Rock-socl<eted piers

Percentage of applied load Q carried in side-wall shear

a 20 40 60 80 100

--ErlEc =5
- - ErIEc =O.5

~
v ~ 0.25
20
...
,
'
.. L=8
Q '

~
B

, '..
40
Percentage of
full
socket
...4. L =28
P
Il
length Q .' i S
('
60

80

E!'1 rock, Er

~,~~:
-r -.
~concrele, Ec
100
'~){\Figure 8.
<"r'

>::

Figure 8.6 Distribution of side-wall shear stress in relation to socketlength and modulus ratio (after Osterberg f The pie
and Gill, 1973). '.; has a re
c: .pier wit
,:.;'
~~';'

rock at the base of the pier to provide a substan-
tial portion of the support, whereas in long rock
sockets little of the load reaches the base.
(b) ElTect of rock modulus
As shown in equations (8.1) and (8.2) the shear
. stress developed on the side walls of a socket is
partially dependent on the normal stress acting On
the rock surface. The magnitude of this normal
stress.. is related directly to the stiffness of the
surrounding rock. This is illustrated in Fig. 8.6
which shows the distribution of shear stress along
the walls' of the socket. Where the rock has a
higherlllodulus than theconcrete (,/, = 5), the
socket' is' confined' and 'hi.gh normal stresses are
developed on the side walL As a consequence, a
major portion of the lOad is carried in the upper
part of the socket. In contrast, where the rock has ", (c) ElTe,
a lower modulus than the concrete (,1, = 0.5), .The she
the normal stresses are diminished and the less of ."'of sock,
the load is carried in shear on the sides of the,; 'below t
socket. For the conditions shown in Fig. 8.6, the ;, strength
effect of a reduction in the modulus by one order 'f,weaker
of magnitude causes the shear stress to be more' 7"develop
uniformily distributed down the socket and the "'.meter s
base load to increase from about 8% to 30% oL ;'fwalls of
the applied load. :';, rock, It
The stress distribution down the socket is also. ",,"the wall
influenced by the modulus of the rock at the base''; "i'rock is
of the pier. If the rock has a very low mod .",shear s
then it will support a negligible portion of ,;Figure.
load. Figure '8.7 illustrates two different stress (;'scale pi
distributions depending on. the relative modulliS', \' betwee
<if the rock in the socket, and that below the ba~;, .. develol
 Load capacity of socketed piers in compression 213

Percentage of applied load Q carried in side wall shear

100 a 20 40 60 80 100
a
~

~
_ _ E,lEc = 2, EbJEc = 2

"" ....
'.'
L=B
20 - - E,IEc ~ 2, Eb/Ec ~ 0.0003

B
40
Percentage of ;)
. full length of
socket
/
60 /
L~2B
I
I
/ LEGEND
~3B
80 / L:I Rock, E,
~rock, E, / ~ Concrete, Ec
I _ Base, Eb
/
100
:L;
'(S.7 Effect ofrock modulus at base of pile on distribution ofside-wall shear stress (Osterberg and Gill, 1973).

.';~r with the low-modulus rock in the base ~O~~~~~""TTT",.-,---rrrrTT1l

i~duced bearing capacity compared to the 0.9
0' Mudstone
Shale
}th sound rock in the base. 0.8 Sandstone

)ntrast, where the ( ':~t of rock strength 0.7

:he concrete (E/E,L. ~"ar strength developed on the side walls 0.6 Line of best fit
diminished and th~ , itets and the bearing capacity of the rock 'Ull 0.5
~the .base of the pier are related to the
.
shear on the sideS\ O'u{r) 0.4
ons shown in Fig. .. of the rock mass. Where the rock is F~2.5
~
the modulus by Q, .;ethan the concrete, shear zones will 0.3
"""- "-. ,
Ie shear stress to Ii
down the socket '8
:down the sides of the socket at a dia-
'fightly greater than the asperities on the
0,2 .

'-.
i ..
..
'rom about 8% to' )il1e hole. With increasing strength of the 0.1
'~.shear strength that can be sustained in 0.0 L.i--.LLl.t.lJ.L~L-L.L.L1.JJ...1~0'---i....L.L..u..~
m down the sock . scofthe socket is increased, and when the O"u(r>(MPa)
lius of the rock at rOl1ger than the cOllcrete, the limiting
Figure 8.8 Relation_ship between compressive strength
k has a very low. l1gth'is the strength of the concrete. of rock in socket and side-wall shear resistance
negligible portiO; . :"showsthe results of load tests on full- (Williams and Pells, 1981, courtesyof Researcn ..
rates two differ" '.The full fine shows the relationship Journals, National Research Council Canada).(Ju(r) IS
g on the relative Jhe ultimate average shear stress 'ult the rock unconfined compressive strength. tuttis the
t, and that beloW. <I;iqlhe side wall and the uniaxial strength ultimate side-wall shear stress.
 214 Rock-socketed piers

-,~~~-----------

400mm
(al

,
~
@

.. }

- ."
Figure 8.9 Typical failure mechanism for end-heanng ,liS
piles (Williams et al., 1980): (a) hase of pier hearing at

:.
.
ground surface; and (b) socketed pier with
length/diameter> 2.
.' (I
'1
1. Original position of pier. 11
2. Position of pile after failure of base. d
3. Original ground surface, 11
4. Heave and cracking to 1-1.6m from pier, o
5. Passive ZOne containing heaved slabs. si
6. Plastic zone showing intense fracturing with 51
slickensided surfaces.
SI
7. Conical zone relatively unsheared.
8. Intact rock. I'
9. Truncated conical plug IT

fbI 10. Loading column with base plate. o

(fu(,) of the rock; and the dashed line shows the
same relationship with a factor of safety of 2.5
applied to the shear stress. '
The bearing capacity of the base of the pile
is related to both the rock strength and the geo-
metry of the socket (Fig. 8.9). Where the base of
the pier is at, or close to, the ground surface (Fig.
11. Steel casing with concrete base plate. ir
Ie
sc
8.9(a)), a wedge type of failure is developed and 1.
the pieT undergoes both vertical displacement :r IV
and rotation. Where the depth of embedm~is SI I
greater than tWIce the diameter of Qie socket ' gl
(Fig.. 8.9(6)), a punchmg type failure occnrs 31
and a truncated conical plug of fractured rock j ~;
is formed below the base (Williams et al., 1980).
 Load capacity of socketed piers in compression 215

Load (MN)
2 3 4 5 6 7 8
___ I--Umit of linear
4 \-- ~ ............. elastic behaviour
~-- - 36 hour creep
'\ test
\.
12 \.

16

20

24
Figure 8.10 Comparison of loadl
displacement behaviour for angered and
28 grooved sockets (Horvath et al., 1983,
- - Augered socket courtesy of Research Journals, National
32 - - Grooved socket Research Council Canada).

side-wall and end-bearing stress
9r
k
use in design of piers are given in
~3.
mechanism for
': (a) base of pier bea
:keted pier with 'ilion of side walls
f,
. ratory tests of rock-concrete shear
ehaviour (Fig. 804) clearly show the
~r.
(Hure of base. . in shear strength of rough and smooth
:e. mple 1 in which grooves had been cut
1-1.6 mfrom pier.' k surface shows higher peak and re-
g heaved slabs. ses than sample 3 which was a saw-cut
ltense fracturing wit .. ilar results had been found in full-
as shown in Fig. 8.10 (Horvath et al.
, unsheared.
e tests were conducted in very weak
., ith uniaxial compressive strengths
)ase plate. )Il.Pa(1000 p.s.i.); RQD values ranged
ete base plate. "Jit88% and occasional clay seams up
'll.S in) thick were encountered. The
fe710 mm (28 in) in diameter and
!)ilong. The sockets were drilled
tEte:> produce a relatively smooth
!ice. In half of the test sockets
+"cut:which were between 10 and
1.2 in) deep (in the radial direc-
tl0mm (OAin).long (in. the axial
e:.load/displacement curves in
Fig. 8.10 show that the effect of the grooves is
to reduce the displacement by a small amount
in the elastic range, but there is significantly
less total displacement. In general, the effect of
grooving the walls of the socket is to reduce
brittle failure, that is, the large displacement that
occurs once the elastic range has been exceeded.
Another significant effect on the shear strength
of sockets is the presence of loose drill cuttings
and bentonite cakes on the side walls of the
sockets (Fig. 8.11). Drill cuttings may be removed
by washing the socket with water jets, but ben-
tonite cakes are more difficult to dislodge. Where
bentonite is used to stabilize the walls of the
socket, there is likely to be a cake of bentonite
between the rock surface and the concrete. The
cake was found to be as thick as 40mm (1.6in) in
sockets excavated in mudstone, while in other
cases, the cake was paper thin and did not effect
pier performance (Williams and Pells, 1981). To
take into account the possible effect of bentonite
on the walls of the socket, these tests indicate that .
the design bond strength should be reduced 19
about 25% of. the value assumed for a' dean,
rough socket, if it is not possible to carry
tests to verify performance.
 216 Rock-socketed piers

1,5 ,-------,----,----,----.--,---r---,

Walls washed
1,0 clean
Average (gl Cref
side-walt One of i
shear stress
(MPa) Auger smear an ce oy
, Landan :
i diamete
(15ft) iJ
Cast under
',. The tot
bentonite and the
Figure 8.11 Influence of side-wall condition ance an
15 20 25 30
on socket shear strength (Williams and Pells and 4.8
35
1981, courtesy of Research Journals, Nationa'/ end
Displacement (mm) Research Council Canada).
nearly I
load in
~constru
(e) Condition of end of socket which will reduce the load capacity of the pier. i this pe
If end bearing is assumed in the design of the ,*
The effective side shear resistance and modulus, ' was be
socket, it is essential that the end of the socket be E* of the layered rock mass can be calculated as"'", The
thoroughly cleaned of all drill cuttings and loose the weighted average of the two materials, as ! '' with til
rock. If there is a low-modulus material in the follows (Thorne, 1980; Rowe and Armitage, resistaJ
base of the socket, considerable displacement of ~~. cl~'
the pier will have to take place before end bearing base Ie
is mobilized. It is likely that this displacement will ,* =p,,+ (l-p)" (8.3)
,cause the peak side-wall shear strength to be E* = pE, + (1- p)E" (84)
exceeded so that the actual bond strength will be
8.2.4
the residual strength, resulting in a diminished where: p is the proportion of the shaft which When
load capacity of the pier. consists of low-strength material; '" E, are the . forma
Where it is not possible to clean and inspect the side-wall shear resistance and modulus of low I,
end of the socket, it may be necessary to assume strength material; and 'co
E, are the slde'wall I
that there is no end bearing; this requires that the shear resistance and modulus of higher strength i;
socket be made long enough to carry the full load material. '
in side-wall shear. Where the pier will be loaded partially or
totally in end bearing, it is important that any
(f) Layering In the rock low-strength layers below the end of the socket End-bE
The presence of layers of weak, low-modulus are identified. In some cases it may be necessary pressu
rock both in the socket and below the base of the to drill exploration holes at some or all pier (MPa)
pier must be considered in design. In some cases locations to determine the position and thickness .
occasional layers may be beneficial to the per- of such seams, and also establish criteria for:.1
formance of the pier if they form grooves that acceptable rock below the socket (Gill, 1980)'5)
increase the effective, roughness of the walls Soft seams located at distances greater than about ,:
of the socket. However, the other effect of three socket diameters below the end of the'
low-modulUs layers is to reduce both the shear socket will probably have little effect on bearing,
strength and the modulus of the rock mass, capacity. However, the effect of seams located iO,
 Design values: Side-wall resistance and end bearing 217

ie immediate end-bearing area of the socket tigated to ensure that the end is not bearing on
"uld be evaluated by the use of equations (8.3) a rock pinnacle, or thin seem of rock above a
~ (8.4), or numerical analysis to examine the cavity. If cavities are suspected, exploration drill
(;ilic effect of such layers. holes would be required, with a hole at every pier
if conditions vary across the site. This may result
Creep in different designs being prepared for each pier
of the few available records of the perform- to suit the local geological conditions.
'e over time of socketed piers is provided by If the bearing surface at the tip is sloped, the'
'danyi (1977). The pier was 0.89m (35in) bearing capacity may be improved by cutting a
eter and it was socketed to a depth of 4.57 m bench, or by installing steel dowels into holes
OJ in a horizontally bedded, fractured shale. drilled into sound rock (SowerS, 1976). Alterna-
total applied load was 9.15MN (2060 kips)' tively, the hole can be extended to more com-
the design values for side-wall shear resist- petent rock. Cutting a bench will often require
lence of side-wall condill', and end bearing were 1.035MPa (150 p.s.i.) dewatering of the caisson, which may be difficult
trength (Williams and Pe .83MPa (700 p.s.i.) respectively. The load where the upper part of the hole passes through
.Research Journals, NaP .d bearing was monitored over a period of soil which could blow in if a steep hydraulic
I Canada). y four years and the results showed that this gradient is developed. See also Section 5.2.8.
.,
.' increased by about 65% after the end of
'.~. ction (Fig. 8.12). However, at the end of
8.3 Design valnes: side-wall resistance
oad capacity of the", riod only about 10% of the applied load
resistance t* and md' ing carried in end bearing. and end bearing
mass can be calcula: likely mechanism for this change in load Rock socketed piers can be designed i to carry
)f the two material "me is the gradual shedding of the side-wall compressive loads in side-wall shear only, or end
; Rowe and An1!''' . ce in the more highly stressed upper part bearing only, or a combination of both. The most
ocket, with a corresponding increase in the important factors that influence the design pro-
ad. cedure are the strength, degree of fracturing and
modulus of the rock, the condition of the walls
'Socketed piers in karstic formations and base of the socket, and the geometry of the
socket.
rtion of the shaftI .' socketed piers are to be installed in karstic
material; 'ts , Es 4: ions" the detailed geology must be inves-
ce and modulus ,i:
t r , E r are ~he si~
Jdulus of higher st 1.0

End of
be loaded paiti~ 0.8 construction
it is importanltJ!
)w the end of the;
cases it may be n<
,Ies at some or:,~1
he position andih'.!
Iso establish criftr 100m} Height of
the socket (Giif ~-l- 50 m Structure (m)
;tances greaterth~, Figure 8.12 End-bearing pressure increase
; below the end) with time (LadanYi, 1977, courtesy of
ve little effect dU' 1972 1973 1974 1975 Research Journals, NationatResed,rch
effect of seams!il: Elapsed time, (years) Council Canada). ,.".-;;.~
 218 Rock-socketed piers

safety of about 2 with respect to t~ t

8.3.1 Side-wall shear resistence
shear resistance. However, where the r~~'lI' I S4
In determining the load capacity in side-wall closely fractured so that the rock mass in ;' l .
shear, the simplifying assumption is made that the walls of the socket tends to be loose and hI, S.4
shear stress , is uniformily distributed down a low deformation modulus, the values fo av,' I pie:
the walls of the socket and the allowable load should be reduced from the values given in e~" i Thi:
capacity is given by: tions (8.6) and (8.7). This will allow for the 101:;; the
confining pressures developed around the sOcke i diff
Q = ,,!tBL, (8.5)
A limited. amount of test data indicates thaI;' f ,10C
where Q is the total applied load, " is the allow- should be reduced by as much as 40% where tit: , wal
able side-wall shear stress, B is the diameter of modulus of the' rock mass is approXimately onc' I mel
the socket, and L is the length of the socket. fifth of the modulus of the intact rock (Willia,ri, ' rno'
The diameter of the socket is usnally deter- and Pells, 1981). , us (
mined by the type of drilling equipment that Th'
is available, and the length is selected so that froJ
8.3.2 End-bearing capacity
average side-wall shear stress is not greater than 197
the allowable shear stress. As illustrated in Fig. 8.9, a highly loaded, end'l' wh
An appr()ximate correlation between the bearing socket may fracture a cone of rock beneath full
observed side-wall shear stress and the strength of the end of the pier which will result in excessive ., 1
the rock in the sockets of test piers is shown in settlement. However, tests piers have been : inc
Fig. 8.8. These results, together with additional loaded to base pressures as high as three and .'1.
tests, have been used to develop the following even 10 times the compressive strength of the '11 1.
equations relating the allowable side-wall resist- rock without collapse occuring (Williams, 1980). f."
ance " (MPa) and unconfined compressive rock Test results demonstrate that allowable load
strength cru(,j(MPa) for smooth and grooved capacity' Q, which includes a factor of safety
sockets (Rowe and Armitage, 1987): of about 2 to 3, at the base of the pier is (Rowe
'a = 0.25Ycr ut,j (8.6)
for clean sockets; side-wall undulations between
and Armitage, 1987):

(8.8) :
l 2.
1 mm and 10 mm deep and less than 10 mm wide
(0.04 to 0.4 in deep, <0.4 in wide); and . . I .
where (Jut,) is the unraXIa compresSIve strength 'k
l. 3.
of the rock at the base of the pier, and B is the '
'a = 0.3Ycrut,) (8.7)
diameter of the base of the pier.
for clean sockets; side-wall undulations greater Equation (8.8) is applicable provided that the
than 10 mm deep and 10 mm wide (>0.4 in deep, following three conditions are met:
>0.4 in wide).
Use of equations (8.6) and (8.7) will result in 1. The base of the socket is at least one diameter
the pier behaving elastically with minimal risk below the ground surface;
of excessive settlement. The small difference 2. The rock to a depth of at least one diameter
between these two equations shows that the
roughness of the side walls has little influence
below the base of the socket is either intact or
tightly jointed (no compressible or gouge-filled .!'
seams); and f
.,
a,
on the shear resistance when the applied shear
stresses are well within the elastic. limit (see 3. There are no solution cavities or voids below , te
Fig. 8.10). The main value of roughened sockets the base of the pier. I. S,
is in minimizing settlement if this is critical to IS

performance ofth7 pier.

Equations (8:6) and. (8.7) include a factor of tl
'!
 ----------.',
respect to the ultimate'i'
ever, where the rock i~
at the rock mass in t :
ds to be loose and ha
,dulus, the values for
the values given in equ
lis will allow for the low
,loped around the sock'
est data indicates that
, much as 40% where'
ass is approximately ,
the intact rock (Willi
lacity
.9, a highly loaded,
ure a cone of rock ben
:h will reslJlt in exce'
tests piers have ',6
es as high as three"
'pressive strength a"
ocuring (Williams, i
Ite that allowable;~
[udes a factor of Ii
lase of the pier is C'
.',;
/,';
<lal compressive si~~
of the pier, and BY
the p i e r . ,
licable provided t~~
ns are met: '"'0-
,t is at least one dig
-face; _,
of at least one di
socket is eitherjRl'
npressible or
n cavities or
~".,,~-------------------------------
Axial deformation 219
~':
~'4 Axial deformation face. Under these conditions, the displacements
'r are small and end-bearing resistance is not fully
mobilized.
';4. 1 Settlement mechanism of socketed The axial deformation of a rock-socketed pier
lers loaded in compression can comprise three com-
.' is section describes procedures for calculating
~,vertical settlement of socketed piers for three
ponents, depending on the construction method.
These components are, first, elastic deformation
,,' erent construction methods: side-wall resist- of the head of the pier, second, shear displace-
2e only, end-bearing only, and combined side- ment at the walls of the socket, and third, com-
, resistance and end bearing. The design pression of the rock below the base. For example,
'thods can accommodate rock with differing a pier entirely socketed into rock with end bear-
tlllii in the socket and base of the pier, as well ing on a firm base will settle due to side-wall shear
';'ckets which are recessed below the surface. displacement and end-bearing compression.
~settlement calculations have been developed However, for a pier that extends through a low-
lP%". fiE!.te element a~alyses (Pells and Turner, strength material (soil) and is socketed into the
'19; Rowe and Armitage, 1987), the results of , underlying rock, a portion of the settlement will
J'<,".
'ch have been checked against settlements of result from elastic compression of the concrete in
;scale load tests (Chiu and Donald, 1983). the part of the pier in the soil.
cial deformation of a socketed pier, with The general equation for settlement 1) of the
~~sing load, is a three stage process: top of a socketed pier with side shear resistance at
the surface of a semi-elastic half space is (Fig. 8.14)
:~ormation starts with elastic compression
, .the pier and elastic shear strain at the rock-
1) = J1L, (8.9)
'gut interface. Under these conditions the BErnt')
't6rmation is small and the major portion of
,~applied load is carried in side-wall shear. where Q is the applied load, B is the diameter of
;e pier exhibits elastic behaviour during this the socket,
the Em!,) is the modulus of deformation of
;~e of the loading. ' rock in the pier shaft, and I is the settlement
i!,page starts at the rock-concrete interface influence factor. Values of the rock mass modulus
,;~an increasing portion of the load is trans- have been back analysed from observations of the
{red to the base of the pier. settlement of socketed piers and the following
;!:increasing displacement the rock-concrete correlation between the modulus and the com-
,"lid is broken and a constant frictional shear pressive strength of the rock, (crut,, incorporat-
'Sistance is deyeloped on the walls of the ing a factor of safety of approximately 2, has been
,c.~"t; au'increasing load is carried in end proposed (Rowe and Armitage, 1987) ,
~iing. At this level of displacement, slip Em!,) = llOycru !,) (8.10)
.. ts on the wall of socket and the side-wall
Note that in making an assessment of the value
;~nce exhibits plastic behaviour.
of the rock modulus, the degree of fracturing of
.1Jgh methods of calctlating vertical dis- the rock mass must be considered. Reference
Thave been developed for both elastic to Fig. 3.9 shows the relationship between the
',behaviour of socketed piers (Rowe characteristics of the rock mass and the modulus
(age, 1987), the usual design practice is of deformation; more highly fractured rock will
Lelastic conditions:that OCClJr at small be able to deform more readily and there will be
s. In calculating blastic settlement it less confinement on the socket. ,Where the rock is
'~.' that the pier consists of an elastic highly fractured, judgement will be required to
)\'"lded into the surrounding rock and assess whether it is necessary to reduce the rock.
iI?' occurs at the rock-concrete inter- mass modulus calculated using equation (8.10);
 220 Rock-socketed piers l
---------------------------------, i

SIDE-WAll SHEAR RESISTANCE ONLY

",
Calculate settlement using equation (8.9),
.' with influence factor / obtained from
Fig. 8.14. For recessed piers, apply

,

. reduction factor (RF) from Fig. 8.15 to
calculated settlement.

SETIlEMENT
END BEARING ONLY

OF SOCKETED f - - - Calculate settlement using equation
PIERS (8.12), with reduction factor RF obtained from Fig. 8.16.


.'

l
(
,
I

I
,
'.
"
SOCKETED, END-BEARING PIER,
Calculate settlement using equation (8.9),

Em(S)
with influence factor I obtained from
Fig. 8.17. Figure 8.17 also gives portion

'.
of applied load carried in end bearing.

Em(b)

Figure 8.13 Summary of methods of calculating elastic settlement of side-wall soCkets, end-bearing piers and
complete socketed piers.
 Axial deformation 221

As illustrated in Fig. 8.13, there are a number
idifferent socket conditions depending on the
'6logy of the site and the construction method
iihe pier. The condition of the socket deter-
s the load-transfer mechanism from the
of the pier to the side walls and base, and
31ST ANCE ONLY ulation of settlement requires the use of
ence factors appropriate for each condition.
ing equation (8.9), ~~ence factors are provided for the following
btained from
piers, apply '[socket conditions:
m Fig. 8.15 to
Side-wall' shear resistance only;
. nd bearing only;
Side-wall resistance and end bearing for a
socket in a homogeneous rock; and
Side-wall resistance and end bearing where the
rock in the walls and the base have different
iihoduli.
:'\
12 Settlement of side-wall resistance
\-"
kets
~f:
Cketed piers that support the applied load in
Jation .4wall resistance only may be constructed
: obtained from Fig.
ete the base of the drill hole cannot be cleaned
Zeffectively, or where the rock in the base has
little bearing capacity. Settlement is calculated
using equation (8.9), with the value of the in-
fluence factor I, which is related to the socket
geometry LIB and the modulus ratio R, given in
Fig. 8.14. These values have been calculated for
a Poisson's ratio of 0.25; it has been found that
variations in the Poisson's ratio in the range 0.1
to 0.3 for rock and 0.15 to 0.3 for the concrete
have little effect on the influence factors.
The values for the influence factors shown in
Fig. 8.14 assume that the socket is fully bonded
from the ground surface. However, influence
factors will be reduced where the pier is recessed
below the ground surface because the rock
around the socket is more confined and the
normal stress at the concrete surface is increased.
Recessed sockets are formed by casing the upper
part of the hole or, for conditions where the
socket passes through a layer of weathered rock,
where there is little or no side-wall shear resist-
ance developed. For a recessed socket, the
settlement is given by
QI
o=RF-' (8.11)
BEm(s)
where RF is a reduction factor given in Fig. 8.15.

~G PIER.
B
g equation (8.9), 0.20
:ained from
o gives portion 0.16
I end bearing. 0.12 L..-'-_-'---'_-'-_-'-----'_-'-_-'----J
o 2 3 4 5 6 7 8 9
LIB

.14 Elastic settlement influence factors for side-wall resistence socketed pier (Pells and Turner. 1979,
. 'ofResearchJournals, National Research Council Canada).
~nd-bearing piers
 222 Rock-socketed piers

1.0
DIB~ 1
0.9

~
Reduction
-:
~-I
factor 0.8
for
recessed
0.7 f-
socket
RF
0.6 f-

0.5
a 2 3 4 5 6 7 8
LIB

'1j,
Figure 8.15 Reduction factors for calculation of settlement of recessed sockets (PeBs and Turner, 1979, courtesy (
8
of Research Journals, National Research Council Canada). )' P
R
Ic
i
a,
tion factor are given in Fig. 8.16 for both flexible

l~
8.4.3 Settlement of end-loaded piers
and rigid circular footings; these reduction factors
Where the shaft of the pier is cased such that are for the average settlement of the footing.
no side-wall shear is developed and the load is Using the reduction factors given in Fig. 8.16,
entirely supported in end bearing, the settlement the equation for the settlement of an end-bearing CI
is calculated in a similar manner to that of a pier, including the elastic compression of the pier
footing on the surface. However, the settlement itself is
of the pier will be less than that of a footing at
the surface because the rock in the bearing area e
(8.12)
below the base of the pier is more highly confined o
than the surface rock. This confinement is ac- (
counted for by applying a reduction factor to the where: E c is the concrete modulus; RF' is the i E
settlement equation. The value of the reduction reduction factor for an end-bearing socket; D I:
factor depends on the ratio of the depth of em- is the depth of the pier; Cd is the shape and rigi- k h
bedment D to the diameter of the pier B, and the dity factor as given in Table 5.4 (since piers are b
relative stiffness of the pier and the rock. If the
ratio of the pier modulus to the rock modulus is

pier can be considered to be a rigid footing, while

usually
average
circular

Em(b)
in
settlement
shape,

the
are
the
0.85

deformation
values
for a
for
flexible
greater than about 50 (Ec/Em(b) > 50), then the ing, and 0.79 for a rigid footing). Q is the found.-
tion load; is modulus
Cd lor
fool-

of
if the ratio is less than 50, the pier can be con- rock mass in the pier base, B is the pier diameter, ; c
the
f'

I
I,
t
s

sideredas a flexible footing. Values of the reduc- and v is the rock mass Poisson's ratio. f
 Axial deformation 223

10 1.0
Q
)/8~ 1 FLEXIBLE RIGID
0.9 FOOTING FOOTING 0.9

....
2
EclEm(o) < 50 Ee/Em!b) > 50
4

~04~
0.8 0.8
8 Reduction 0

I R~ 10
factor
lor 0.7 0.7 .
.. Ec "

~o:,
0.25
embedment
RF'
0.6 0.6
H8
5 6 7
0.5 0.25 0.5 Em(b)

04 04
-""""",':
.: 0 2 4 6 8 10 2 4 6 8 10
,
. .. 0/8 0/8
Em(s)
.,....'..
.E c e 8.16 Reduction factors for calculation of average settlement of end bearing sockets (Pells and Turner,
.'courtesy of Research Journals, National Research Council Canada).
Gap -4l;;;;;;;;;t;
8
in end bearing, it is necessary to check that this
4 Settlement of socketed, end-bearing
load does not exceed the bearing capacity of the
rock in the base. The percentage of the load
ttence to Fig. 8.6 shows that a portion of the carried in end bearing can be determined from
.on a socketed pier is carried in end bearing, the lower half of Fig. 8.17, from which the press-
.:ihat the end-bearing load is related to the ure on the rock in the base of the pier can be
g. 8.16 for both flexip ~t geometry and the rock modulus. For these calculated. .
; these reduction faci: }tions, settlement is calculated using equa-
nent of the footing.i :1(8,9), using influence factors for an end-
Example
:tors given in Fig. 8f .:hg, socketed pier given in Fig. 8.17. These
The following are examples of the design pro-
ment of an end-bea" ~have been developed for elastic behaviour
cedures for the different types of socketed piers
compression of thep ~~110 slip along the side walls (Rowe and
discussed in this chapter.
Jfage, 1987). Consider a 1.5 m diameter pier with a vertical
~-e.three sets of curves in Fig. 8.17 show the
compressive load of 10 MN. Assume that the
~(1 -
2
V )], ~.\>h the influence factors of different moduli
concrete has a modulus of 200Pa, and that the
'm(b) . ~'rock in the base, and the rock in the socket
compressive strengths of the rock in the socket
j;':/Em(,). Comparison of Fig. 8.17 (for Em(b)/ and base of the pier are as follows:
e modulus; RF' is\ 1) and Fig. 8.14 shows that the influence
end-bearing socket) '-for a side-wall shear/end-bearing socket Socket compressive strength = 2 MPa.
:d is the shape and-i'l ger value than a socket with no end
Base compressive strength = 20 MPa.
ble 5.4 (since piel' which demonstrates that a pier with end
the values for G.' .n a clean, sound rock surface will settle Base Poisson's ratio = 0.25 .
.85 for a flexible(' "a pier with side-wall resistance only. The
oting). Q is the f(jU; Js'of curves in Fig. 8.17 also show that the Side-wall shear resistance only
,rmation modulus'O, ntwill diminish with increasing modulus' Assume that the hole is drilled with an auger and
, B is the pier dia k at the base. that the rock is sufficientfy massive that it is not
isson's ratio. a portion of the applied load is carried required to use bentonite to stabilize the walls of
 13
1.0 EcIEm(s)
1.2
1 \ Em(b/Em(s) = 0.5

--1 EcIEm{s)
1.0 ----1
0.9
0.8
~ Em(b/Em(s) = 2.0 0.9
Em(b/Em(s) = 1.0
1.1
~(S}
1 ..
1.0
0.8
0.7
0.7
0.9
..

ltr ..:Ec.~
0.6 0.8
0.5
0.6
0.7
Em(s) L
0.4
0.5
0.6
....
- - - - - - - - - 10
0.4 . l..-'--j Q o
10
0.3 0.5

~=-~~
0.3 B
0.2
0.1
-:::::::: 100 0.2 ~i~ 100
250
0.4
0.3
10

0.1 25
50
0.2 100 -,
50

~~
40 30 30
'EcIEm(s)

~
Q 30 Q 20 Q 20
d(%) d(%) 10 ___ 25 Qb(%) 10
100
20 50
25

10~
10 10
10 50
0 1 0 1
25
o 10 1 2 3 4 5 6 7 8 9 10 1 2 3 4 5 6 7 8 9 10
1
1 2 3 4 5 6 7 8 9 10 LIB LIB
(b) (e)
(a) LIB

Figure 8.17 Elastic settlement influence factors and end-bearing ratios for complete socketed piers (after Rowe and Armitage,
1987, courtesy of Research Journals, National Research Council Canada).

--....
1
~,,,,,"'-J'.-c.,'~';".;.:.)'''' ,u, iP"'~,,",,,,~.~~-. _c-
"'~~~~!"~ _~ ~

-J :::;..~. ::::l '7' ~ ~ ~ ~::;:: 0.9;. (i) g a ~ 03 ft. :j s- ~ 2, ';:j 2.., g ~. ~ ~. C. 2. C ;.


ole. Furthermore, equipment is not available
oove or roughen the walls so that drill holes
.mooth. For the condition that the base of the
t cannot be cleaned so that no end bearing
be developed, it is necessary that the socket
ng enough to carry the full applied load in
;iwall shear. From equation (8.6) the working
[stress for rock with a compressive strength
Ml'a and a smooth, clean sockeris 0.35 MPa.
liequired socket length L is calculated from
'lion (8.5) as follows, assuming that the aver-
''cmd stress developed over the full length of
'Jeket is 0.35 MPa;
:ibttlement of the head of the pier assuming
Kbehaviour is calculated from equation
'[{using Fig. 8.14 to determine the influence
[)1 and equation (8.10) to determine the
odulus (E rn <,) = 0.16GPa). In Fig. 8.14 the
. t R = Ee/Ernt ,) = 20/0.16 = 125 and the
"lo-diameter ratio LIB is 6/1.15 = 4, which
"~n influence factor of 0.26. The settlement is
o = 10 x 0.26/(1.5 x 160)
= 0.011 or 11 mm,
., I
re Ernt ,) = 110(2)2
= 0.16GPa
= 160MPa.
,-,--
.pier is cased through an upper 3 m thick
(soil (new total length = 9 m), then the
ent calculation is modified as follows. A
_()ufactor (RF) is applied to the elastic
ent of the socket as given in Fig. 8.15.
Jue of D/B of 3/1.5 = 2 and a modulus
E rnt ,) = 125, the value for RF is appro-
.8. Therefore the elastic settlement of
Us
. settlement must be added the elastic
'on of the recessed, 3 m length of the
h is equal to 0.9 mm.
Axial deformation 225
End-bearing pier
Assume that the purpose of the pile is to transfer
the applied load to the rock at a depth of 6 m
below the ground surface as shown, for example,
in Fig. 8.2. In these circumstances the socket
would be cased through the rock and the entire
load would be carried in end bearing. The applied
bearing pressure IT on the end of the pier is
10
IT = 1[(1.5)2/4
= 5.66MPa.
As shown in equation (8.8), the allowable bear-
ing pressure, including a factor of safety against
fracture of the rock of about 3, for an end-bearing
pier is equal to the uniaxial compressive strength
of the rock. The compressive strength of the rock
below the base of the pier is 20 MPa so the entire
applied load of 10 MN can safely be carried in
end bearing.
The settlement of an end-bearing pile is cal-
culated from equation (8.12), using Fig. 8.16 to
determine the reduction factor (RF). The ratio
of the concrete modulus to the modulus of the
1
rock below the base (Ern(b) = 110.202 = 0.49 GPa)
is 20/0.49 = 41, i.e. less than 50, so it can be
assumed that the base of the pier will act as a
flexible footing. The reduction factor for a flexible
footing on a rock with a Poisson's ratio of 0.25
and a depth-to-diameter ratio of 6/1.5, is 0.7. The
settlement is calculated as:
o = 5.66 CO ~OO
0.7 x 0,85 x 1.5(1 - 0.25 2 )
+ 490
= 0.0017 + 0.0097 m
=' 11.4mm.
These calculations show that settlement due to
compression of the pier is small compared to the
compression of the rock below the base .
Socketed and end-bearing pier
For a pier that is fully socketed into the rock and
whose end is bearing on a clean, sound rock
 T
226 Rock-socketed piers

surface, the load will be supported in both side- For conditions where the design ----------
inAucn. i
wall shear and end bearing. Under these condi- factor is too small for an intersection poi (r
tions the socket length can be significantly shorter . b . h III I:lY
It would e .necessary to mcrease t e allowahle Ih e
than where the load is supported only in side-wall settlement, or decrease the pIer load by installin. Ihr
shear. A design procedure for this type of pier is more piers. For conditions where the desill~ in!C
first to select a socket length which is less than influence factor is too high for an interSecti~:1 the
that required to carry the full applied load in side- point, this would indicate that the allow'''I: ilIa

~
wall shear resistance, and then use Fig. 8.17 to
determine the settlement influence factor and the
end-bearing Iliiid.
. For a socket length of 4m, the ratio LIB is 2.7
and from the upper half of Fig. 8.17(a) (Ern(b/
E rn (,) = 0.49/0.16 = 3) the influence factor / is
about 0.18 when EeIErn (,) 2010.16 = 125. The
settlement is calculated from equation (8.9) as
0.18 x 10
0=
1.5 x 160
= 7.5mm.
The portion of the load carried in end bearing
can also be determined from Fig. 8.17(a). By
extending a vertical line from the point on the
horizontal axis where LIB = 2.7 down to inter-
sect the line representing the ratio EelErn (,) =
125, the ratio Qb/Q is found to .have a value of
about 40%. Therefore, the load carried in end
bearing is 4 MN and the load carried in side-wall
shear is 6 MN. Having determined the' socket
length to achieve a specified settlement, the
final task is to ensure that the side-wall and
end-bearing stresses do not exceed allowable
values, as specified by equations (8.6) and (8.8),
settlement is high and slip will occur along th. car
shaft. If the load on the pier is high enough I~ illl ;
cause slip, then the pier will no longer behave the
elastically and plastic shear will occur -along the lobi
socket. If the value for / IS too low to achieve ' ill e
an intersection, then the required settlement is ' of I
too small for the conditions and either a greater sue
settlement must be accepted or a larger pile int<
diameter used. the
8.5
8.4.5 Socketed piers with pre-load applied at
base Up
'\ ele\
The application of a pre-load stress at the base of 1 loa'
an end-bearing socketed pier has the effect of tv are
reducing settlement, and this technique may be i 10"
used where the rock is poor or where settlement seel i
tolerances are minimal. The upward movement 01 is (
the pier when the pre-load is applied at the base bra
causes a reduction of the load supported by shaft
resista.nce and a more uniform distribution of load
down the shaft, the effect of which is to improve
l P
de.v
soIl
the load-settlement behaviour. Pre-loading the soil
base of .a pier will have no significant effect on f ten:
the load capacity unless consolidation grouting of , cia)

respectively.
An alternative design procedure is to calculate
an influence factor from an allowable settlement
value and then use Fig. 8.17 to determine the
required socket length. Inspection of Fig. 8.17
shows that it will not always be possible to achieve
an intersection between the EelErn (,) lines and the
horizontal line drawn from the required value of
the influence factor. If there is no intersection
between the horizontal line drawn from the / axis
and the modulus ratio curve EeIE rn (,), then the
design value for the influence factor cannot be
achieved. It is then necessary to modify the design
as follows. . grouted to limit settlement.
I
the rock is carried out by extending the grouting! swe
operation to below the base orihe pier. " thie
Pre-loads have been produced by installing' \ [ of,
load cell at the base of test piers (H.orvath el al., unr
1983), and by pressure grouting the base (Simons, are.
1963; Taylor, 1975). In the project described by bre
Taylor, pressure grouting was used' at a site where or
six out of a total of 22 piers were socketed into, 8.1:
volcanic agglomerate comprising basalt gravel Tswe
and boulders in a matrix of weathered ash, while : con
the remainder were end bearing on sound basalt. pip,
The piers in the agglomerate were belled 10 pre
increase the bearing capacity and t!len pressure the
bitl

e the design influence'S
. an intersection pO"0
lOt",
a increase the allowab{~
:he pier load by installilf
tions where the des('
high for an intersectio
cate that the allowaHi
slip will occur along (
e pier is high enougli!:
" will no longer beh
lear will OCCur along;
. I is too low to achF
te required settlemeQ'
ions and either a gre'
:cepted or a larger)
vith pre-load appli~.
-load stress at the, ba"
,d pier has the eff(,
ld this technique m"
poor or where settle.
The upward moveme,
)ad is applied at th~\i
e load supported byE
liform distribution o,~
,ct of which is to inlR
,haviour. Pre-Ioadin
e no significant eff(il
consolidation grou\!
by extending the grQ
base of the pier. ._
produced by instaU
test piers (Horvath:
:routing the base (S(
the project descii~
19 was used at a si%.
)iers were socketed!
comprising basal(
x of weathered asli
I bearing on sound!'
lomerate were bell
Ipacity and tltenJt
lent.
e pressure grouting procedure was to place a
yer of clean gravel at the base of each pier, ~nd
~it cast the concrete wlth group pIpes extending
'hugh the pier to the base., Grout was pumped
b,the gravel at the base, before application of
G.,structural load, at a pressure equal to the
--'mum calculated bearing stress, including
.'hquakes loading. Some uplift of the piers was
>i-ved during grouting, but this was limited by
fide-wall shear resistance of the socket. The
ctive of this procedure was to induce settle-
'in the base of the pier prior to application
"~, structural load. This was considered to be
"ssful in that settlement of the piers socketed
'ihe agglomerate was no greater than that of
'iers founded on sound basalt.
, loads on socketed piers can result where
ted structures are subjected to horizontal
~:? An example of structural uplift loads
.lall transmission-line towers where the
'(torms a point of intersection between two
i)~ of tangent line, and where the tower
signed to withstand loads produced by a
iJ\conductor.
(jiher condition where uplift forces may be
,:ped is with piers drilled through expansive
lid then socketed into rock. Swelling of the
,'n grip and lift the shaft developing high
,lstresses in the pier. Swelling pressures in
aiibe as high as 2MPa (300 p.s.!.), and free
<if
iff,"
such a soil may amount to 20% of the
~~s or more of the thickness of the zone
,ye heaving. There are many examples of
l~tced pier shafts breaking in tension in
.:;here swelling soils are prevalent, with the
,~fteh occuring immediately above the base
tlerr~am (Woodward et at., 1972). Figure
\lisa design suitable for use in areas of
;c1ays. The reinforcement for the pier
pia steel pipe, and this concrete-filled
,he capacity to carry the applied com-
oad. The outside of the pipe down to
\h.of the expansive layer is coated with
'smastic. When the pier is gripped and
Uplift 227
Pi pe coated to
.. break bond and
protect steel from
corrosion
Expans.lve .'
clay
"
Stable ..
rock .,
.. Reinforced
concrete
Figure 8.18 Design of belled pierfor relief of uplift due
to expansion of upper clay layer; the outer layer of
concrete is expected to break in tension near the
bottom of the expansive layer. By Raba-Kistner
Consultants, Inc. (Woodward, et al. , 1972).
NOTE: Pipe mnst develop sufficient bond below rock
level to transfer column load and uplift forces to
concrete shaft and footing.
lifted by the expansive clay, the mastic coating
flows and the upward force in the pier is limited
to the shear strength of the mastic.
In many circumstances where substantial uplift
loads occur, the most economical design is often
the installation of tensioned anchors as described
in Chapter 9. The advantage of the use of ten-
sioned anchors is that they can be installed in
smaller diameter holes than can socketed piers
and by applying a pre-load, the uplift displace-
ment can be controlled.
Socketed piers can be designed to resist uplift
forces either by enlarging or belling the base, Or
by developing sufficient side-wall shear resist-
ance. While belling the base of a pier is common
in soils, this can be an expensive and difficult
operation in rock. Moreover, since a significant
amount of side-wall shear resistance is developed
in rock sockets, it is usually more economical to
deepen the socket in rock than to construct a
shorter, belled socket.
 ,

228 Rock-socketed piers

8.5.1 Uplift resistance in side-wall shear
Uplift load tests have been performed on side-
wall resistance socketed piers to determine their
load/displacement behaviour and the ultimate
load capacity (Webb and Davies, 1980; Garcia-
Fragio et al., 1987). The results of tension tests
conducted by Webb and Davis on concrete piers
socketed into very weak sandstone have been
compared with the results of compression tests
(Fig. 8.10). The two sets of curves have similar
shapes within the linear elastic range. However,
as the load increases and the side-wall bond be-
gins to break down, the tension pier undergoes
large deformation and eventually fails, compared
to the compression pier where settlement is
limited because an increasing proportion of the
load is taken in end bearing.
The results of load/displacement tests per-
formed on tension piers can be used to calculate
the shear stress developed on the side wall, and
the actual displacement can be compared with the
theoretical displacement calculated from elastic
theory for compression piers. The tests by Webb
and Davies indicate that equation (8.6) can be
used to estimate side-wall shear strength for ten-
sile loads provided that the length of the socket is
at least twice the socket diameter.
The measured displacements of the piers tested
-~i
side-wall shear resistance and the load/displace.
ment behaviour.
I
8.5.2 Uplift resistance of belled piers f
In weak rock it is possible to bell the base of to,
pier either to increase the bearing capacity of ~
compression pier, or to resist uplift in the case 01
a tension pier. The uplift capacity of a belled pier
is calculated as follows (FHWA, 1988) and is \
based on the breakout theory for discs (Vesic 1
1971). ' ~
The side-wall shear resistance above the bell '
should be discounted, and the pier should be
designed as an anchor, for which the net upward
bearing capacity is
Qu = AbNu 'b, (8.13)
where A b is the area of bearing surface of the bell
Ab = 4"j[ (2
Bb - B2s ), (8.14) ,
B b is the diameter of bell, B s is the, diameter of
shaft, Nu is the uplift bearing capacity factor; and
'b is the shear strength of the rock mass (see o
t
equation (3.15)). The value of the uplift bearing
capacity factor N u depends on the ratio z/B" c
where the dimension z is defined in Fig. 8.19. This F
I,
assumes that the base of the layer of expansive

I,
in tension by Webb and Davies have been com- t
soil acts as a free surface.
pared with theoretical settlements for compres-
sion tests calculated from elastic theory using When z/B b = 0, Nu = 0,
equations (8.10). and (8.11) (for recessed sockets)
and the influence factors given in Figs 8.14 and
8.15. It is found that the measured displacement
of the socket, taking into account the elongation
of the shaft, is within about 30% of the dis-
placements calculated by elastic theory for
and when z/Bb = 2.5, N u = 9.
These values for Nu are for intact or sligbtly ~ -f
fractured rock; for closely fractured rock N. m (
should be reduced by an appropriate ill!'!'unl
determined by the designer (FHWA, 1988):-..1
~.
'I
;:;0.":.. '
I
'

compression piers. . "::,'-'::,..'

In conclusion, it is suggested that preliminary
design of tension piers, or piers that are only
occasionally subjected to tensile loads, can be
carried out using the equations that have been
developed for the design of compression piers.
However, for piers with substantial tensile loads,
or dynamic tensile loads, full-scale load tests
should be performed to determine the allowable
"-, '
8.6 Laterally loaded socketed pie - ,:;;;~-
Lateral loads on socketed piers may
from wind pressures, current forces ff
water, wave action, earthquakes aIl~:,:::f
of bridges, centrifugal forces and bra
from moving vehicles (Fig. 8.20). Otli'
lateral loading are impacts from ships)

oe and the load/displace:'
: of belled piers
,Ie to bell the base of
he bearing capacity 0
resist uplift in the case
t capacity of a belled p
, (FHWA, 1988) an"
theory for discs (Ve'
esistance above the
and the pier should
or which the net upw"
II, B, is the diamet
,ring capacity factor',
""~
of the rock mass,-,
lue of the uplift be ':-.
ends on the ratio zl-
defined in Fig. 8.19,?
f the layer of expari~
:It.
'",
Nu = 0,
,Nu = 9.
e for intact or sIr'
;ely fractured roc,
in appropriate amg
'er (FHWA, 1988t-'
iOcketed piers
d piers may be d1
rent forces from fl'"
,quakes and, in tIi~.
rces and brakingJ9
~. 8.20). Other CaM.
:s from ships in tIf;
(al
Q
A
I
4' I ' .
r .
. Expansive " 1 4 .:
I ..
' : ' ..
SOIl . ' .
.'
z .
e 8.19 Belled piers to resist uplift forces due to (a) expansive soils and (b) tensile loads.
docks and dolphins, and soil pressures where
'?pier is used to reinforce a slope. The capacity
~,socketed pier to withstand lateral loads de-
1Is on the rigidity of the pier, as well as the
pldeformation characteristics and formation
Cknesses of the rock and soil in which the pier
''['.::'
,~cketed.
;or a pier that passes through a soft soil and
then socketed in sound rock, even a short
'''edment length in the rock can have a signi-
t effect on the lateral deformation. Poulos
) describes a method of calculating the dis-
'ment of laterally loaded piles using elastic
y. This analysis examines the difference in
ction between pinned-tip piles that bear on
ock surface and are free to rotate but not to
rate, and fixed-tip piles that are socketed into
'lick and neither rotate or translate. The
:sisshows that the lateral deflection for fixed-
J!~i can be considerably less than that of
edCtip piles.
'~iipier that is fully embedded in rock with a
glllodulus than that of the pier material, the
Laterally loaded socketed piers 229
Q
(bl
.
..
, '6"""-..-----
.
.
.
, . Z
Weak
rock
,
lateral deformation will primarily be a function of
the rock modulus and deformation is likely to be
minimaL This is generally a stable condition,
except where the rock contains shallow dipping
fractures forming blocks that could move under
the application of the horizontal load (refer to
Fig. 8.24). The force exerted on the blocks of
rock can be calculated using p-y curves (see
Section 8.6.1). The results can be used to deter-
mine the required capacity of rock anchors that
should be installed to prevent movement.
8.6.1 Computing lateral deflection withp-y
curves
The most widely used procedure for designing
laterally loaded piers is the p-y method. The
following is a description of the principle of this
method; analyses usually involve the use of com-
puter programs such as COM624 (FHWA, 1986)
and LATPILE (University ,of British Columbia,
1985) which both use similar algorithms. Details
of the analysis procedure and applications of these
 230 Rock-socketed piers
---------------------------------------.
This method of analysis can be extended beyond
It
the elastic range to analyse movements where the
L11
soil yields plastically and ultimately fails in shear.
d
This can be modelled using p- y curves, which
m
represent the deformation y of the soil at any
10
given depth below the soil surface for horizontally TJ
applied soil reactions p (units kN /m Or lbflft)
<Ie
ranging from zero, to the stage of yielding of Ihe
be
soil in ultimate shear when the deformation pC
increases without any further increase in the po
load. The p-y curves are independent of the
dimensions, shape and stiffness of the pier_and \ Lin
(aJ represent the deformation of a descrete slice of fol
the soil surrounding the pier that is unaffected by
loading above and below it (Tomlinson, 1977).
Tractive/braking,
A. model for a laterally loaded socketed pier wh
Wind wind forces demonstrating the concept ofp-y curves is shown lat.
centrifugal "-....,~"'--J-.- in Fig. 8.21. Each layer of soil and rock has been the
forces
replaced with a spring and the load/deformation per
behaviour of each spring is represented by a p_y pie
curve. The soil or rock reaction p (force per unit _1\1 eqt
length down the socketed pier) is a function of the the
lateral deflection y. The curves in Fig. 8.21 show II! , (
, lat(
(b) 1 rno
, Sa
Figure 8.20 Typical conditions resulting in lateral loads
on socketed piers. (a) Socketed piers installed to

'6,1
stabilize failing slope. (b) Loadings on single-column
support for a bridge (FHWA-IP-84-11).

programs, which are beyond the scope of this Cal.

book, are provided in the program docume,ntation.
p
IlL....--
.----..l....
' c' ,\ ,.
! f." loa,
The application' of a lateral load to a socketed mOt
pier must result in some lateral deflection. The ... J l cam
lateral deflection will, in turn, cause a reaction in
the surrounding rock and soil that acts in the PV 1. 1
opposite direction to the deflection. The mag- ~--- y II
nitude of the reaction in the soil Or rock is a _.~..t,;c-
2. 1
function of the deflection, and the deflection is P_ ~-----,",,--*:'!C:("' ti
dependent on the soil reaction. Thus, calculating 3. V
the behaviour of a .$Ocketed pier under lateral
load involves .the solution of a soil-structure L
interaction problem. In this solution, two con-
Figure 8.21 Model of a socketed pier under I
ditions must be satisfied: the equations of equili- load showing the concept of soil response (p-
brium and compatability between deflection and curves: (a) stress/strain curve for soil; and(b):'
soil reaction. curve for pier. .,
 Laterally loaded socketed piers 231

can be extended beYond: Jow modulus and yielding of the soil in the 5. Bending moment, shear and other aspects of
'e movements where t" h part of the pier, and the higher modulus, the behaviour of the pier are then computed.
ultimately fails in shea ric behaviour of the rock in the socket. The
The procedure described in the following para-
ling p-y curves, whic 'ulus of the soil or rock is given by the secant
graphs to construct p-y curves for clays and
III y of the soil at an p-y curve and is defined as the ratio ply.
granular soils has been developed by Dr J. M.
surface for horizontal! 'deflection of the pier can be modelled most
Duncan, University of California, Berkeley. The
(units kN/m Or lqf/ft rately by defining a p- y curve at the top and
procedure consists of first calculating the ultimate
stage of yielding of th om of each layer since the program inter-
resistance Pull of the soil, and then using strain
when the deformati ~tes soil behaviour between each pair of given
measurements from triaxial tests to determine
urther increase in Is. the shape of the p- y curve. Other methods of
re independent of t . e general behaviour of a socketed pier
:iffness of the pier. a constructing p-y curves have been developed
r lateral load can be obtained by solving the
for sand (Reese el al., 1974), and the American
n of a descrete slice' ~lVing differential equation (Hetenyi, 1946)
ier that is unaffected' Petroleum Institute (API, 1970) has adopted a
,.)d4yldx4 + Qx d 2yldx2 - P - W= 0 (8.15) code for off-shore work based on the work of
it (Tomlinson, 1977).
Y loaded socketed p' Reese, and that of Matlock (1970) for clays.
'fe: Qx is the axial load on the pier; y is the
t of p- y curves is sho
Alternatively, p-y curves can be obtained
tal deflection of the pier at a point x along
f soil and rock has b from the results of in silu pressuremeter tests
gength of the shaft; p is the lateral soil reaction
(Atukorala el al., 1986; Briaud el al., 1982, 1983),
d the load/deformati 'linit length of pier; EI is the flexural rigidity of
or from the back analysis of centrifuge test results
s represented by a P' ~with modulus E and moment of inertia I; I
u on model piers (Barton el al., 1983).
action p (force per 'Js "r4 14 for circular pier with radius r; W is
pier) is a function oft fdistributed load along length of the shaft.
urves in Fig. 8.21 sh jher beam formula which are used to caleu- (a) Pult for clays (su = c, "'u = 0)
'<'the shear stress in the pier V, the bending The ultimate resistance of a clay with shear
'ent M, and the slope of the elastic curve strength c is given by (Matlock, 1970)
Pull = Np c B (8.19)
(8.16) where B = pile diameter; N p = nondimensional
(8.17) ultimate resistance coefficient.
The value of N p , which increases with depth
(8.18) from a value of 3 at the surface, to a value of 9 at a
ulation of the deflected shape of a laterally depth of several pile diameters, is given by
ed pier, as well as the shear and bending N p =3+cr,lc+JxIB (8.20)
ent in the pile involves an iterative process
rising the following steps. where crv is the effective overburden pressure; cry
= YIOI.I x; c is the undrained shear strength of
.,e deflected shape of the pier is assumed by the clay; x is the depth below ground surface; J .
lliecomputer. is an empirical factor which varies from 0.25 for
:rhe p- y curves are entered with the deflec- stiff clay to 0.5 for soft clay.
tions and a set of modulus values is obtained.
jth the modulus values, the differential (b) Pult for cohesion!ess soils (s = 0' tan.p, c = 0)
'pations defining the behaviour of the pier Measurements of the pull-out resistance of rec-
e solved to obtain a new set of deflections. tangular anchor slabs can be used to develop
,eps 2 and 3 are repeated until the deflections values of Putt for piles in cohesionless soil. These
ted pier under lateral>'
,iI response (p- y) . btained are within the given tolerances studies showed that the actual failure surface is
for soil; and (b) p-y .the values obtained from the previous wider than the front of the pile. Consequentially,
@.JIJputation. the ultimate load capacity of a narrOW anchor
 232 Rock -socketed piers
block or a pile is greater than would be calculated
using conventional passive pressure theory which
assumes infinite width. The ultimate resistance is
given by
Poll = Cpkpa,B
where Cp is the correction factor for passive
pressure to account for small width of pile, Cp =
q,/IO; k p is the passive earth pressure coefficient
(Rankine), k p = tan 2 (45 + q,/2); a, is the effective
overburden pressure; B is the pile diameter.
(c) Pull for soils (and fractured rock) with strength
defined by s = c + ... tan <jl
The ultimate resistance for these materials is
calculated in a similar manner to that for cohe-
sionless soils and is given by
Pull = CpapB (8.22)
where Cp is the correction factor;
Cp = 1.5 for 0 < q, < 15;
= q,/IO for q, > 15'
a p is the Rankine passive pressure
a p = 2c tan (45 + ~) + (J, tan2 (45 + ~);
(8.23)
and B is the pile diameter.
(a)
Figure 8.22 Similarity in shapes of (a) stress/strain curve for soil and (b) ap-y curve for a pile
--
When q, = 0, equation (8.22) gives approxi.
mately the same value for Pull as does Matlock's
equation (8.19), and at the surface it gives exactly
the same result, Pull = 3 c B. For q, In the range of
30 to 45', equation (8.22) gives the same result
(8.21)
as equation (8.21) (Duncan, 1977),
(d) Determination of p-y curves
Matlock (1970) drew up a procedure for devel.
T
x
oping p-y curves for saturated clays based on lhe
value of Pull' the size of the pile, and the shape of
the stress/strain curve of the soil. Although lhis
procedure has only been verified for saturated
clays, it appears to provide a rational procedure
for other types of soil provided that the value of
Pull is estimated appropriately, Alternatively, the
procedure developed by Reese et al. (1974) may
be used for the construction of p-y curves for
sand,
Matlock's procedure is based on- the premise
that the stress/strain curve for the soil and the i
p-y curve for the' pile embedded in the .
should bave similar shapes (Fig, 8,22),
curve is approximated by a cubic palrabola
the equation
I
L
Pult
= 0,5 (L)'
Yc
(forL';8),
Yc
where y, is the pile deflection at u"'-"y ,;po",I",!:
(b)
 Laterally loaded socketed piers 233

,n (8.22) gives approxii. M

If Pull as does Matlock'i' ~
e surface it gives exact' V
B. For > in the range'

'. . .
2) gives the same resu
;'--..,..--:-f. 1-:----
'an, 1977). .

.
Granular
curves
a procedure for
~ "

u.
". .'
4.

"

4
4 . fill

x~5.9
!fated clays based on . . ,

400

.
.
he pile, and the shap '.

, the soil. Although
n verified for satur"

. p
300

ide a rational proc{ . .. (kN/m) 200 p-y curves

ovided that the val
,ately. Alternatively .. . . 100
Reese et al. (1974) . . . . x=o
ctian of p- y curve" ..
... 0.01 0.02 0.03 0.04
Socket in
is based on' the p
'.
4'
sandstone y(m)

, ..
rve for the soil a
embedded in th
,es (Fig. 8.22). Th J.-..j
'y a cubic parabo( d

Displacement (mm) Moment (kNm) Shear (kN)

rL
Yc
"';8), o
0'---'--'--'-""''''''''''
2 3 4 o 50 100 150 -50 o 50 100
......-..----,.--..--
;tion at which p =

LEGEND

Socketed
8m pier
Pull
5 6m pier
. ' (no socket)

y
7

a pile embeclde,f,n Illustration of a laterally loaded pier showing deflection, moment and shear force computed by
LATPILE.
 T
JI--
234 Rock-socketed piers

y, = 2.5e,S, (8.25) the shear-strength parameters of the slidin:

faces. Of particular importance is the presence of
and e, is the strain at which
cbontinufothus fradcturels thFat are 0r(ie)ntedto fohrm the :,
(<>, - <>3) = 0.5(<>1 - <>3)ult (8.26) ase 0 ewe ge. n 19. 8 . 24 a a Jomt t at dips
either into or out of the slope could develop an '0:
The steps involved in developing p-y curves are:
unstable wedge, and this condition is exacerbated ""
I. Calculate Pult using whichever equation (8.19), if the rock contains a vertical conjugate joint set
(8.21) or (8.22) is appropriate for the soil that forms release surfaces on the sides of the ;
conditions. wedge. In fUI.I-scal~ load tests carried out by;:
2. Carry out laboratory festing to determine the Maeda (1983) m which the pier was socketed into"
stress-strain behaviour of the soil; find e" a weathered, rhyolitic tUffy breccia with no con.'
using the stress-strain curve for <>3 = <>v at the tinuous joints, the dip angle IJIp of the base 01 the'
required depth. wedge was found to be (Fig. 8.24(a
3. Calculate y, from equation (8.25).
4. Calculate values of P for various values of y "'p = 45' - "', - ~,
using equation (8.24).
The results of an analysis of a laterally loaded where "', is the dip of the slope face, and <I> is the'.:
socketed pier using the program LATPILE are
friction angle of the rock in the socket. ,i.'
shown in Fig. 8.23. The depth of the overburden Note that a negative value for IJIp indicatel;"
is 6 m, and the socket depth in rock is 2 m, for a that the base of the wedge is inclined above th&:;,
horizontal. The tests by Maeda also showed th .
total pier depth of 8 m. The P- y curves at the top
the angle defining the width of the wedge'
(x = 0) and botton (x = 5.9) of the overburden,
approximately equal t045'.
and in the rock (x = 6 to 8) show the significantly
different resistance provided by the overburden Figure 8.24(b) shows a vertical wall with,
horizontal surface at the base. In this case It
and the rock. The three pairs of curves in the
tures dipping away from the wall will not dayli
lower part of Fig. 8.23 show the displacement,
and a potentially unstable wedge will not,
moment and shear force disiributions down the
formed. However, joints dipping towards thil.
pier, and the effect on these parameters of the
do form a wedge and stability calculations'
2 m long socket. For these particular conditions,
Greenway et al. (1986) showed that the capa
the overburden is sufficiently stiff to provide con-
siderable resistance to the lateral loads, and the of the socket to sustain lateral loads is a mi~&jl(
when the dip of the fractures up is in the ra~ge
socket has only a minor effect in reducing the
about 5' to 30'. '"
displacement, moment and shear.
The stability of the rock sockets with th
metries shown in Fig. 8.24 ean be analyse
the principles described in Chapter. '-.
8.6.2 Socket stability under lateral load
lysis involves resolving all forces actin
An important aspect of the design of rock-socketed wedge into vectors parallel to and n6rfti,
piers under lateral load is the stability of the rock sliding surface from which the resisti1]g'
in the socket. Figure 8.24 shows two examples of placing forces and the factor of safeC.
rock wedges formed (a) by a single pier located culated. In the case of the wedge ill..
on a slope face, and (b) at the base of a vertical a conservative assumption would beW
wall supported by a row of piers. The stability of stresses are developed on the two (
the rock socket will be highly dependent on the wedge and that the resistance would b:;'
structural geology of rock because this will define solely on the base. The normal stresS!
the shape and dimensions of the wedge, as well as would be calculated for the
 Laterally loaded socketed piers 235

eters of the sliding su >'

ctance is the presence ~i'
are oriented to form t ...
8.24(a) a joint that di
slope could develop
:ondition is exacerbac'
tical conjugate joint s
:es on the sides of t
j tests carried out
e pier was socketed in
fy breccia with no '
lie IjIp of the base of
'ig. 8.24(a))

(a)
slope face, and <I> is
in the socket.
value for IjIp indic
~e is inclined above -,
ilaeda also showed t
vidth of the wedg
5.
a vertical wall wit' Block
base. In this case ft
1e wall will not dayli'
I Movement
-. .....--- Wedge in so.cket formed
by continuous joints
,Ie wedge will not)
lipping towards the "
lability calculations]
lowed that the capa, Continuous
fracture planes
eralloads is a minim'
res up is in the rang

c sockets with the g

l can be analysed usi
1 Chapter 6. This a
I forces acting on,'
,J to and normal to
1 the resisting andg
ctor of safety arec
, wedge in Fig. 8,2
would be that nosb
1 the two sides oii
Ice would be develq
rmal stress on the
Ie weight of the e'i
'~ie 8.24 Stability of rock sockets under lateral loading. (a) Wedge formed bysingle laterally loaded socket
('ted on slope (after Maeda, 1983). (b) Wedge formed at base of vertical wall supported by a row of socketed
,[s.(after Greenway ef at., 1986).
'>;'-'. :,
'oge.
ii,
In contrast,
-
for the wedge in Fig. 8,24(b), reinforced with tensioned rock bolts anchored to
}factor of safety could be calculated for a unit a depth below the base of the socket. The shear
~g:ih of the wedge, again assuming that no shear force determined by the, program LATPILE
. sistance is developed on the end faces. Poten- would be used to determine the magnitude of the
alYunstable wedges in the socket area could be displacing force acting on the wedge.
 236 Rock socketed piers
-------------------------------------
8.7 References Glos, G. H. and Briggs, O. H. (1983) Rock sackets i J'
soft rock. J. Ceotech. Eng. Div., ASCE, 109(4;'
American Petroleum Institute (1979) Recommended 525 35 .
practice for planning, designing and constructing Green';;ay: D. R., Powell, G. E. and B.ell, G. S. (1986) .-
fixed offshore platforms. Report No. API-RPZA, Rock-socketed caissons for retention of an Urban
Washington, D. C., 10th Edition. road. Proc. of Coni on Rock Engineering and
Atukorala, U. D., Byrne, P. M. and She, J. (1986) Excavation in an Urban Environment, Hong Kong
Prediction of'p-y' Curves from Pressuremeter Tests. Inst. Mining and Met., pp. 173-80. " R
Soil Mechanics Series #108, Civil Engineering Hetenyi, M. (1946) Beams on Elastic Foundations
Department, University of British Columbia. University ofMichigan Press, Ann Arbor, Michigan'
Barton, Y. O. ~nd Pande, G.. N. (1982) Laterally t+Iorvath, R. G.,. Kenney, T. C. and Kozicki, P. (1983j
loaded plies In sand: centrifuge tests and fimte Methods of Improvmg the performance of drilled R
element analyses. Numerical Models in Geomech- piers in weak rock. Can. Geotech. J., 20, 758-72.
anics, A. A. Balkema, Rotterdam, pp. 749-58. Kay, G. B. (1989) Personal communication.
Briaud, J.-L., Smith T. D. and Meyer, B. J. (1982) Kulhawy, F. H. and Goodman, R. E. (1980) Design a!
Pressuremeter gives elementary model of laterally foundations on discontinuous rock. Proc. Inter. Se
loaded piles. Int. Symp. on in situ Testing of Rock national Cont on Structural Foundations on Rock,
and Soils, Paris, May. Sydney, Australia, pp. 209-220. Si,
Briaud, J.-L., Smith T. D. and Meyer, B. J. (1983). Ladanyi, B. (1977) Friction and end bearing tests On
Laterally loaded piles and the pressuremeter: com- bedrock for high capacity socket design: Discussion.
parison of existing methods. ASTM Special Tech- Can. Ceotech. J., 14, 153-5. So
nical Publication on the Design and Performance of ,yLadanyi, B. and Domingue, D. (1980) An, analysis 01
Laterally Loaded Piles and Pile Groups, June. ~ bond strength for rock socketed piers. Proc. In!.
J Chang, M. F. and Wong, I. H. (1987) Shaft friction of' Coni on Structural Foundations on Rock, Sydney, 1
drilled piers in weathered rock.Proc. 6th Int. Coni pp. 363-73. , ,Ta
on Rock Mech. Montreal, ISRM, pp. 313-18. Macaulay, D. (1976) Underground. Houghton Mifflin'
JChiu, H. K. and Donald, I. B. (1983) Prediction of the Co., Boston, MA. ,Th
performance of side resistance piles socketed in Maeda, H. (1983) Horizontal behavior of pier found,.
Melbourne mudstone. Proc. International Congo on tion on a soft rock slope. Int. Congress of Rock
Rock Mech., Melbourne, ISRM, pp. C235-243. Mechanics, Melbourne, ISRM, pp. CI81-4. TO!
>J,' Donald, I. B., Chiu, H. K. and Sloan, S. W. (1980) Matlock, H. (1970) Correlations for laterally loaded
"'{( TheoretIcal analysIs of rock socketed pIles. Proc. piles in soft clay. Proc. 2nd Annual Offshore Tech
International Conf. on Structural Foundations on nology Coni, Paper 1204, Vol. 1, Houston,
Rock, Sydney, pp. 303-16. pp.577-94.
Duncan, J. M. (1977) Course Notes and Consulting Ooi, L. H- and Carter, J. P. (1987) Direct shear be
Experience. University of California, Berkeley. havior of concrete-sandstone interfaces. Proc.6th
Federal Highway Administration (US) (1986) Behavior Int. Conf. on Rock Mech., Montreal, ISRM,
of Piles and, Pile Croups Under Lateral Load. pp. 467-70.
FHWA/RD-85-106, Federal Highway Adminis- Osterberg, J. O. and Gill, S. A. (1973) Load transfer
tration, Dept. of Research, Development and ~ mechanisms for piers socketed in hard soils?r rock.
Technology, McLean, Virginia. Proc. 9th Canadian Sym. on Rock Mech., Montreal,
Federal Highway Administration (US) (1988) Dri/lernd pp. 235-62.
shafts: Construction Procedures and Desig ells, P. J. N. and Turner, R. M. (1979) Elastic sol,
Methods. FHWA-HI88042, Federal Highwa tions for the design and analysis of rock socketed
Administration, Dept. of Research, Development piles. Can. Ceotech. J., 16,481-7. '
and Technology, McLean, Virginia. Pells, P.J. N., Rowe, R. K. and Turner, R. M. (1980),
Garcia-Fragio, A., James, E., Romana, M. and Simic, An experimental investigation into side shear I

D. (1987) Testing the Axial Capacity of Steel Piles
Grouted into Rock. Int. Soc. Rock Mechanics,
Montreal, pp. 267-71.
.', Gill, S. A. ()980) Design and construction of rock
.IZ sockets. Proc. International Conf. on Structural
Foundations on Rock, Sydney, pp. 241-52.
for socketed piles in sandstone. Proc. Int. Conf.
on Structural Foundations on Rock, Sydney,
pp. 291-302.
Poulos, H. G. (1972) Behavior of laterally lo,ded
piles: III _ socketed piles. J. Soil Mech. and Foun'
dation Div., ASCE, 98, SM4, 342-60.

-------~;;
, H, (1983) Rock Sockets;'~
Eng. Div.. ASCE, 109(4J~
J. E. and Bell, G. S. (19;~
for retentIOn of an uro';'\'
on Rock Engineering //"
Environment, Hong Koir.
pp. 173-80.
on Elastic Foundati(/~
!oS
tess, Ann Arbor, Michig"
'. C. and Kozicki, P.(Ig'
the performance of dril!
. Geotech. J., 20, 758~7.
I communication. '.
nan, R. E. (1980) Desim:
:muous rock. Proc. In:
~ural Foundations on Rot
W9-220. i ~ns, H. (ed.) (1963) The Bridge Spanning Lake
11 and end bearing tests~>
y socket design: Discussib
;3-5. '!
" D. (1980) An analys!
socketed piers. Ptoc.
ndations on Rock, Sydi{
al behavior of pier fou '
pe. Int. Congress of Ii
ISRM, pp. C181_4.
ations for laterally loa"
?nd Annual Offshore T;
1204, Vol. I, Houst~
P. (1987) Direct shear r
Istone interfaces. Proc;C
'vlech., Montreal, ISR,
References 237
li~~, 1. c., Cox, W. R. and Koop, F. D. (1974) Practice. ICE, Cement and Concrete Association,
'f)inalysis oflaterally loaded piles in sand. 6th Annual London.
Offshore Technology Conference, Houston, Texas, University of British Columbia (1985) Deflections
',aper, No. 2079. of Laterally Loaded Piles, LATPILE.PC. Civil
~, R. K. and Armitage, H. H. (1987) Theoretical Engineering Program Library, UBC, Vancouver. .
;i>lutions for the axial deformation of drilled shafts Vesic, A. S. (1971) Breakout resistance of objects
.' rock. Can. Geotech. J., 24, 114-25 and 126-42. embedded in the ocean bottom. J. Soil Mech. and
i~, R. K..and Pells, P. J. N. (1980) A theoretical Foundation Div., ASCE, 97, SM9 (Proc. Paper
.u,dy of pile-rock socket behavior. Proc. Int. 8372), 1183-205.
"nf on Structural Foundations on Rock, Sydney, Webb, D. L. and Davies, P, (1980) Ultimate tensile
p. 253-64. loads of bored piles socketed into sandstone rock.
'e, R. K., Booker, J. R. and Balaam, N. (1978) Proc. Int. Conf on Structural Foundations on Rock,
'pplication of the initial stress method to soil- Sydney, pp. 265-70.
fructure interaction. Int. J. of Numer. Meth. in 0 Williams, A. F. (1980) The Design and Performance of
~pg., 12(5), 873-80. Piles Socketed in Weak Rock. PhD Thesis, Monash
huck, J. L. (1970) Load tests on bedrock. Can. University, Melbourne.
,eo/echo J., 7, 464-70. Williams, A. F. and Pells, P. J. N. (1981) Side resist-
ance rock sockets in sandstone, mudstone and
,.w:acaibo in Venezuela. Bauverlag GmbH.,. ~ shale. Can. Geotech. J., 18,502-13.
eisen-Baden, pp. 22-59. f\Williams, A. F., Johnston, 1. W. and Donald, 1. B.
,,<irs, G. F. (1976) Foundation bearing in weathered (1980) The design of socketed piles in weak rock.
Qck. Proc. of Specialty Conf on Rock Eng. for Proc. Int. Conf on Structural Foundations on Rock,
',bundations and Slopes, Boulder CO., ASCE, Sydney, pp. 327-47.
,ieotech. Eng. Div., Vol. II, pp. 32-41. Winterkorn, H. F. and Fang, H.-F. (1975) Foundation
lor, P. W. (1975) Pre-loaded pier foundations for Engineering Handbook, Van Nostrand Reinhold,
"ty building. New Zealand Eng. 15,320-5. New York, pp. 601-15.
, e, C. P. (1980) The capacity of piers drilled in Woodward, R. J., Gardner, W. S. and Greer, D. M.
Proc. Int. Conf. on Structural Foundations on (1972) Drilled Pier Foundations, McGraw-Hill,
Sydney, pp. 223-33. New York, pp. 84-91.
M. J. (1977) Pile Design and Construction

S. A. (1973) Load tranl

:keted in hard soils or rob
on Rock Mech., Montr~

R. M. (1979) Elastic s
analysis of rock sock~
16,481-7.
and Turner, R. M. (I
itigation into side 5
ndstone. Proc. Int.
ions on Rock, Sy'

lavior of laterally 10
S.J. Soil Mech. and
SM4, 342-60.

9.1 Introduction
In contrast to soil, the relatively high shear and
tensile strengths of rock allows rock foundations
to support substantial tension (uplift) loads.
These loads are transferred from the structure
to the foundation rock by steel anchors, com-
prising rigid bars or flexible strand. The anchors
are secured with cement or epoxy grout in a
hole drilled into the foundation, and the head
of the anchor is then embedded in, or bolted
to the structure( In applications' where move-
ment of the structure must be limited, the an-
chors are prestressed. This method of support,
which mobilizes a mass of rock in the foundation
to resist the uplift, is a more efficient support
method for tensile loads than attaching the struc-
ture to a mass' of concrete with a mass equal to
the applied load.
,Figure 9.1 shows the main support towers and'
anchor chambers of a suspension bridge, and an
internal view of one of the anchor chambers.
Each cable consists of 20 strands' which are an-
chored with 12m (40ft) long anchors installed
into a pattern of holes drilled into the rock. The
anchors are secured with mechanical expansion
shells, and then pretensioned against the reac-
tion plate in the, anchor chamber so that there
would be no movement of the anchorage when
the suspension cables were attached. At the com-
pletion of installation, the anchor holes were
fully grouted to protect the cables against cor-
rosion. Note that this installation was carried
out in the 1960s; although the anchors are gen-
erally performing satisfactorily, present practice
L~
9
Tension foundations '
~!. I
'.II~
'';;''':~~',X
would be to use grout anchorages rather i
mechanical expansion shells.
Figure 9.2, as well as Fig. 1.2(d), shows ot
applications of rock anchors to support ten
loads and demonstrates the wide range of I
ing conditions that can be accommodated
rock anchors. In all these applications, the g
eral design and, construction procedure co
prises drilling a hole, or holes, in a directi
parallel to the direction of the applied load
a depth where rock is encountered, and t
anchoring a rigid steel bar or cable in the h
This installation can be as simple as a leng
reinforcing steel fully grouted into the hole
as complex as a bundle of high-strength
cables with two layers of corrosion protec
which is anchored in the lower part of the ,
and then prestressed. The choice of anchor t'
will depend on such factors as the magni
and duration of the load, the potential for
sion, the rock conditions in the anchor zone
physical constraints such as construction ac
The examples shown in Fig. 9.2 illustrate s ,
different conditions for anchor installations
Fig. 9.2(a) the anchors to secure the roc
protection roof would have to be of low ca ,.
because it would be necessary to use a light ,,'
drill that could be lifted into position on the,
face, and a cable anchor that could readil
inserted in the uphole. In contrast, the a
through the gravity dam (Fig. 9.2(b could
much larger capacity because a barge- D1P,..
drill could be used to drill range-diameter-li
and a high-capacity cable anchor assemblyL
be lifted into place using a helicopter or ct~
 Introduction 239

anchorages rather t
,ells.
Fig. 1.2(d), shows at
chars to support ten
the wide range of I
1 be accommodated
se applications, the
'uction procedure c
)r holes, in a direct
I of the applied loa
encountered, and
>ar or cable in the
as simple as a lengt
'outed into the hole,',
e of high-strength sf
of corrosion protedi
, lower part of the 4'
Ie choice of anchor ('
ctors as the magnitir.
, the potential for co'
in the anchor zone,
as construction access
1 Fig. 9.2 illustrate sci'
anchor installations."'
to secure the roc
ve to be of low capa
:sary to use a lightwel
lto position on the s
r that could readil'
n contrast, the anc,
:Fig. 9.2(b)) could
cause a barge-mo" e 9.1 Suspension bridge across the Peace River in northern British Columbia, Canada (courtesy afthe
II range-diameter h ',hColumbia Ministry afTransportation and Highways). (a) View of bridge'with anchor chamber in
, anchor assembly, round; (b) Interior view of anchor chamber showing connections between the 20 individual strands and the
a helicopter or cralie 'of the rock anchors.
 ~.

----------... II//
240 Tension foundations

:l:~IJ~I;
)l.:lrlCh,or
./rht: tol


Ii ;'ot
an c
the
;. Th'
sta
3. De
(b) o be
4. Th
50

I In or
lerial:
lalior.
SO th

~, . be ve
," Th
;on tl
r.. dustl
rhes
bolts
Figure 9.2 Typical applications of rock anchors to such
support tension loads: Ca) anchored roof to protect (lng
roadway from rock falls; Cb) permanent tie-downs fom
installed to improve overturning resistence of dam;
Cc) Rock anchors providing support for tensioned haY<
cable. prot
, Whi
rditit
This chapter discusses the following four as- systems suitable for installation in soil, which lforr.
pects of the design and construction of tensioned usually require the t)se of such techniques as pan
anchors: belled or pressure-grouted anchors, may be gral
found in publications by Hanna (1982) and the this
1. Different types of anchors and anchorage
Federal Highway Administration (1982).
systems that are available on the market,
and their applications; 9.2
2. Design methods to determine the load ca- 9.2 Anchor materials and anchorage rac
pacity of ,mchors; methods ITh
3. Causes of corrosion and the methods used to j( de,
The anchors used for the. typical applications
protect permanent anchors against this; un,
shown in Figs 9.1 and 9.2 are generally fabricated I
4. Test niethods used during construction to
verify anchor performance and capacity.
from rigid steel bars or strand, and anchored
with cement or epoxy grout. This section de-
I rna
The anchors described are mainly suitable for scribes the materials that are available from b~
installations in rock. Descriptions of anchor some specialist manufacturers of anchor products II as

"a: the conditions in which they are most often
'a. These products are suitable for 'permanent'
"ors, the performance of which must meet
allowing criteria;
, high degree of reliability is required for
"6th the materials from which the tieback
'hd head components are fabricated, and
"e completed installation.
\., e applied structural loads may be either
{~tic or cyclic, and may be as high as 5 MN.
'eformation tolerances are low and must
.~predictable.
; e service life should not be less than about
'<:i0 years.
Jcter to meet these requirements, the ma-
""smust be of very high quality, and the instal-
, and testing procedures must" be designed
~at the performances of every anchor can
fified.
i!ere are many types of ;ock bolt available
~"e market that are used in the mining in-
iY and for temporary support in tunnels.
i: products include various types of rigid
"'}with wedge-type anchorages, and bolts
ions of rock anchors to ~as Swellex (Atlas Copco) and Split Set
lchored roof to protec e'rsoll Rand) which are malleable and de-
I permanent tie-downs.'
ning resistence of dam;- 'tas they are installed. Generally these bolts
support for tensioned::, &lengths up to about 3 m, are not corrosion
~cied and are designed to yield at high loads.
~'. these properties are suitable for the con-
~s for which they are designed, their per-
,tallation in soil, .~nce will not meet the requirements for
, of such techniqu ,'anent anchors listed in the previous para-
uted anchors, rna .". Consequently they are not discussed in
y Hanna (1982) an' oak.
listration (1982).
. Allowable working loads and safety
lowable working load of an anchor is the
the typical applic: 'load that the anchor is required to sustain
~ are generally fab",
orma] service conditions; higher loads
r strand, and an': acceptable as long as they only occur
grout. This section U,ently and are within limits as specified
hat are availabktf !~i:CThe allowable working load is expressed
urers of anchor pr~'
..
" ::~
.Jp'ercentage of' the specified characteristic
"~~-'
Anchor materials and anchorage methods 241
strength of the steel. The characteristic strength
is the guaranteed limit below which not more
than 5% of the test results fall; none of the test
results are less than 95% of the characteristic
strength.
The characteristic strength of the steel may be
either the guaranteed ultimate tensile strength
(GUTS), or the yield strength. The yield stress is
the stress at which the permanent strain reaches
0.1% (known as the 0.1% offset stress), and is
equivalent to about 85% of the ultimate tensile
strength. These values are supplied by the ten-
don manufacturer as part of the product specifi-
cation, and it is usually possibly to obtain a mill
certificate which gives the strength results for
the particular batch of steel from which the bar
or tendon was manufactured. Figure 9.3 shows
typical load/extension curves for a seven-wire
strand and a prestressing bar and defines both
the yield and ultimate loads.
The allowable working load is generally taken
to be between 50% and 62.5% of the ultimate
tensile strength, Le. the factor of safety against
}
failure of the anchor material is between 2 and
1.6. Littlejohn and Bruce (1975b) provide an
extensive view of safety factors used in practice
and specified in codes by such countries as the
UK, France, Germany and Switzerland. The
factors of safety used and specified vary from
as low as 1.43 to as high as 2.27, but the trend
appears to be to use a factor of safety of 2 for
most permanent applications. As described in
Section 9.5, the procedure for testing the per-
formance of anchors requires the application
of an overload which can readily be accommo-
dated if the working load is 50% of the ultimate
strength. This also allows the application of
occasional overloads during the service life to
stress levels up to about 62% of the ultimate
strength.
9.2.2 Steel relaxation
A property of steel which may be of significance
to the performance of iensioned anchors is stress
relaxation.! Tensioned anchors may lose load
with time as. a result of both steel relaxation,
 .

242 Tension foundations

1000
---------
7 .----
1
900 ;; 2
.:'~ 3

~ CD
Figure 9.3 Typical stress/strain CUrve
800 for 32 mm diameter prestressing bar as d ":,"0 4
1%
offset 13 mm diameter strand (after Libby, n !:.~ 5
700 I 1977). 6
I 1. 32 mm diameter prestressing bar: 7
600
Load I Nominal area = 792 mm' (1.23io') 8
(kN) Ultimate tensile strength = 883 kN .~~; 9
500 I
(1985001b) ~. 10
1 Yield load at 1% offset = 746kN VfI O
400 I (167700Ib) .
I Elastic modulus = 208 GPa
300 1 (30.2 X 10' p.s.i.)
I 2. 13 mm diameter, seven-wire strand:
200 I Nominal steel area = 99 mrn 2
1 (0.15 in')
2 Ultimate tensile strength = 184 kN
100 1
I (41 400 lb)
Yield load at I % offset = 175 kN
0.01 0.02 0.03 0.04 0.05 0.06 (39300Ib)
Elastic modulus = 201 GPa
Strain (mm/mm) (29.2 X 10' p.s.i.)

as described in this section, and creep of the relative relaxations M at times t of 1, 100, \(J!j.
anchorage as described in Section 9.3.7.1 and 250000 hours a r e .:~1
.. The factors that influence steel relaxation are
1'., = 1; I'.lOO = 2; 1'.1000 = 2.7; 1'.250000 = 5:1;
the stress level, the service temperature, time .\~

after stressing and, in the case of strand, the ten-
dency of the strand to unwind. At stress levels
up to 50% of the ultimate strength, relaxation is
negligible and if an overload is applied during
testing this will reduce the tendency of the strand
to relax during service. For stress levels of 75% of
the ultimate strength and temperatures of 20C, a
load loss of 5-10% of the applied stress occurs in
ordinary stress-relieved steel, while in 'stabilized'
strand the load loss is reduced to 1.5%.
Figure 9.4 shows the relationship between .the
stress relaxation, as a percentage of the initial
stress, and 'time for steel bar, wire and strand ..
This graph shows that the major part of the
relaxation takes place in the first 100 hours.
However, the relaxation will continue with time,
although at a decreasing rate, and the following
The equation defining the loss of stress due.M!
relaxation at normal ambient temperatures."
(Libby, 1977)
A = . 10glO t(a; _ 0 55)
Ll(}r 0'1 10 cry . ,
where I'.a, is the relaxation stress loss at
t hours after stressing, cr, is the initial stress
a y is the 0.1 % offset stress.
Note that this equation is only applicable.
the ratio a;fay is equal to or greaterthao;
because when the initial stress is less than 0,
the 0) % offset stress, relaxation is 'neglig i
In situations where these levels of rei.
are unacceptable, restressing at a timeR
hours will reduce the further relaxatioo to:
one-quarter of its normal value at an initi
 Anchor materials and anchorage methods 243

-- ----
CD @ Figure 9.4 Relaxation of tendon steel
rypical stress/strain cu
,ameter prestressing ba ----- ----- -- and bar from initial stress of O. 7
ultimate tensile strength (after
eter strand (after Libby;'
----- F@--=.--===- Littlejohn and Bruce, 1975),
-------------
E@---------- 1. Range of values for stress relieved
ameter prestressing bar: - ------------- wires.
area = 792 mm' (1.23 ( 2, Alloy steel wires,
tensile strength = 883 ' 3. Range of values for stress relieved
b) strands.
500 1000
dat 1% offset = 746k 4. Range of values for 19 wire strand
b) Time after stressing (hours) (not stress relieved),
odulus = 208 GPa
O"p.s.i.)
ameter, sevenwire str'
steel area = 99 mm 2 ' ,'Yo of GUTS, Another method of reducing Figure 9.5 shows two typical installations of
I 'ation is to overload the anchor at the time bar anchors and illustrates both wedge and grout
tensile strength = 18 "tial stressing and to hold this stress for a type anchorages. The Dywidag threadbar has a
,) ,'d of up to 10 minutes, which disposes of smooth plastic sheath on its upper end where nO
d at 1% offset = 175 $pid initial relaxation (Littlejohn and Bruce, bond is developed (Fig. 9.5(a)). When the bar is
,) ,'YIt is also found that the relaxation rate in- fully grouted this arrangement forms a bond
,odulus = 201 GPa
es at temperatures over 20'C, which may be length I b over which a rock-grout-steel bond op-
0' p,s.L)
fi~ant in some applications. erates, and a free stressing length Ir which allows
strain in the bar during prestressing. The features
iiStrength properties of steel bar and of the continuously threaded bar are that it can be
cut to any desired length and the threads can
~i~'; . withstand rough handling in the field without
.roperties of steel bar and strand anchors damage. The grouted anchorage can be used
:''e required for design are the yield stress, in both weak and strong rock with the length
" liimate tensile stress, the elastic modulus of the anchorage being adjusted according to the
the loss of stress;. the relaxation characteristics, While the strength of the rock (see Section 9.4). The value
Imbient temperat tacturer's specifications should be checked of the free stressing length is the ability of this
}
,:e actual properties of any product, the length of the bar to strain in response to changing
.:: ation given on Table 9.1, which lists the loads in the anchor. Note that this type of instal-
-0.55), .lties for some widely distributed products, lation would not be considered to have sufficient
Iused as a guideline for preliminary design. corrosion protection for a permanent installation,
ation stress loss~. The hollow-core bolt (Fig. 9.5(b)) is anchored
ri is the initial st@ ,with a mechanical wedge anchor that has the
'ess. .~H
'.,. pplications of rigid bar anchors
advantage that the bolt can be installed and ten-
n is only applicali( es of steel bars used as rock anchors in- sioned in one operation, which is in contrast to
to or greater th; formed reinforcing steel, continuously grouted anchors that cannot be tensioned until
stress is less th"L bar, such as Dywidag Threadbar or the grout has set after a period 'of several days.
'elaxation is negli' :all-thread-rod, and hollow-core rock The hole through the centre of the bar is used to
hese levels oird has Williams bar. In almost all appli- grout the bolt either immediately before, or after
essing at a tiIllO':C deformed bar is used because of the tensioning. In a down hole, the grout is pumped
ifther relaxation]', .steel-grout bond strength in com- down the bar until grout return is obtained at the
11 value at an in!t: smooth bar. collar of the hole, while in. an uphole, the .grout
 T
[

244 Tension foundations

'j',!b ll
Hexnut

Anchor nut
---
/'rolf,

Rein!
SIC
Anchor plate
:}:. 401
:. Dywi
421
gr<1
Dywi
, 83~
gr<J
Willi:
Free hoi
stressing COl
length Plate
Prest
(I,)
sir:
15
Sheathing

I
From grout j is pt
pump ~' retu
groe
Grout ':\ attal
inst~
~ tion:
. the:
Mechanical
anchor : of c<
Bond (.: stre1
length
Threadbar (Ib)
VA
of ,
~hi,
bar.
(b)
and

Centring
sleeve

(a)

Figure 9.5 Typical bar anchors with grout and mechanical anchors' (courtesy Dywidag Systems
Form Hardware and Rock Bolt Co.). (a) Dywidag continuous threadbar with grouted anchor
on free stressing length. (b) Williams hollow core bar with mechanical anchor showing "'t''fnati'lei,"
methods for upholes and downholes.

Properties of common types of bar used for permanent rock anchors
Yield stress (/% oJfset)
MPa (kips/in')
400(58)
420(61)
835(121)
371(54)
1570(228)
.:~mped up a iube sealed into the collar until
'In is obtained through the centre hole. This
'ling system eliminates the use of grout tubes
ed to the bar which can be damaged during
. ation of the bar. For permanent installa-
", the anchors are always grouted because
echanical anchor will slip in time as a result
rrosion of the wedge and creep of the highly
d rock around the anchor.
ignificant difference between the two types
char shown in Fig. 9.5 is the manner in
hthe prestressing force is retained in the
dn the fully bonded Williams bar, the nut
'-reaction plate are effectively superfluous
the grout has reached its full strength be-
se the steel is bonded to the rock over the
iI"ngth of the anchor. In contrast, for bars
lie" free stressing length (in the case of the
:')<iag bar) the maintenance of the prestress
. enas on the integrity of the anchor nut and
ieibecause there is no bond developed in the
":Stressing length. Therefore it is important
~rg60d corrosion protection is provided for
Systems into and W '1[~ad of anchors with free stressing lengths.
,nchor and smooth ,.eiriforcing steel is used where the primary
alternative groutin- eli",n of the anchors is to secure a footing to
_~Ksurface and the loading conditions consist
Anchor materiais and anchorage methods 245
Ultimate tensile stress (GUTS) Elastic mOdllll/s
MPa (kipslin 2 ) GPa (p.s.;.)
600(87) 201(29 X 10")
500(72) 201(29 X 10")
1030(149) 205(29.7 X 10")
501 (73) 207(30 X 10")
1770(257) 193(28 X 10")
of purely compressive loads, Or uplift and/or
shear occur only infrequently. The installation
procedure would be to drill a pattern of holes in
the rock foundation, anchor the reinforcing bar
with cement or epoxy grout, and then cast the
footing with the exposed part of the anchors
embedded in the concrete. In the example shown
in Fig. 9.2(c) the anchors could either be em-
bedded in the concrete to form a passive anchor,
or they could be sleeved through the concrete
and then prestressed against the top surface of the
concrete footing. For a discussion on the per-
formance of passive and prestressed foundations
see Section 9.3.
Rigid-bar anchors are commonly installed
where the design working load is in the range
of about 100kN to 600kN (22 to 135 kips), and
where the required length is less than about 8 m
(25 ft). The advantages of bar anchors is the ease
of handling short lengths which can be coupled
together as required, and locking off the applied
stress using a threaded nut which cim be reset if
the bar is later retensioned. The disadvantages
of bar anchors is their limited load capacity (it
is impractical to bundle bars to form higher-
capacity anchors), and the diffiCUlty of handling
long, continuous lengths. Where long anchors
 anchor head
cover
(if required)

moldable tape
for electrical
insulation

waterrtt~ig~h~t
seal-
--.J[~~~~

electrical
~~~

.'
insulation - - - - . . . /
9.2.5 J
reaction Figure
element --------_~ .....~ .stra nd t
coll1pri~
bond I,
'a cor re
Detail I , section
ANCHORAGE , ar~ted

is cenU
SO that
, are full
is to gr
In an (
,semble
Longitudinal Section . ~ take
COMPLETE ANCHOR would
"grout.
. during
, groutit
, , - - - - - - - - - g r o u t tube be per
in the
fabric,
centring sleeve
, one 01
polypropylene sheath ! The
with corrosion inhibitor I the ar
Ii the c,
wire tie ------~l!R-'--'i+_" held il
strand spacer - - - - 4 ' l
(Fig.
into t
grout - - - - - - - " tensio
Th,
corrugated-~--~ \. obtaiJ
sheath
'j' ShOWI
I ber c
Section A A Section 8 8 bund'
UNBONDED LENGTH B,ONDED LENGTH load
requi
Figure 9.6 Typical multi-strand a.nchor with corrosion protection comprising grouted corrugated sleeve.
polypropylene sheath and full grout embedment (courtesy Lang Tendons). 200n

i';quired and access space is restricted, coup-
fcan be used to join short sections of bar.
ever, for long anchors, continuous strand
'be preferred to coupled rigid bars because
"6 time required during installation to couple
"ars and install corrosion protection on the
'lings.
'.,
. . . Applications of strand anchors
6 9.6 shows the components of a multi-
dtendon with a corrosion protection system
"rising a grouted corrugated sheath in the
Hength, .and polypropylene sheaths with
;rrosion-inhibiting grease in the unbonded
.pn. In the anchor section, the strand is sep-
~d by spacers and the entire anchor assembly
'htred in the drill hole with centring sleeves
~t all components of the anchorage assembly
lly encased in grout. The usual procedure
,?groul the corrugated sheath on to the strand
'asselnbly yard and then transport the as-
"'fed anchor to the site for installation. Care
ken not to bend the bonded length which
a"result in cracking and weakening of the
t Where it is necessary to bend the anchor
'hg installation because of space limitations,
~ling both inside and outside the sheath can
"erformed after the assembly has been placed
(he hole. This requires that the anchor be
".cated with two grout tubes, one inside and
outside the sheathing.
e tensioned strand is secured at the head of
anchor by pairs of tapered wedges that grip
cable with serrated inner surfaces and are
.in place by tapered holes in the anchor plate
. 9.7). The wedges are pushed or tapped
. the anchor plate once the strand has been
sioned to the lock-off load.
he required load capacity of the anchor is
.ned by assembling a bundle of strands as
.n in Fig. 9.6. An upper limit for the num-
Of strands that can readily be made into a
dIe is about 25 strands, which have an ultimate
rH
.... capacity in excess of 4 MN (900000 lb), and
Tugated sleeve, ',quire a drill hole with a diameter of at least
".Jl1m (8 in). Since it is not possible to join
Anchor materials and anchorage methods 247
lengths of strand, the entire anchor assembly,
with the corrosion-protection sheaths, has to
be fabricated in one piece, the weight of which
can be considerable. Therefore, when determin-
ing the number of strands to make up a bundle,
an important consideration is the method of
installation. For example, in vertical or steeply
inclined holes, a heavy anchor can often be
lowered into the hole using a crane or helicopter,
while in horizontal or up-holes, smaller anchors
which would be required so that they can be .
pushed up the hole would be required.
9.2.6 Cement grout anchorage
Anchorage methods for tie-backs include mech-
anical wedges, resin grout and cement grout,
of which cement grout IS the mas! common for
permanent installations and is used for a wide
variety of applications. Epoxy resin and mech-
anical wedge anchors can be used to secure low-
capacity rock bolts, that is those with loads of up
to about 200kN (45000Ib), and with lengths not
more than about 8 m (25 ft). The advantages and
disadvantages of these three types of anchorage
are discussed in the following sections.
The advantages of cement grout are the avail-
ability and low cost of the materials, simple
--........
installation procedures;- and its suitability for
a~ wide range of soil and rock conditions. In
addition, cement provides an environment that
protects the steel bar or strand from corrosion
and when properly installed the"str';;gth of the
grout will improve rather that deteriorate with
time. The disadvantages are that grout is brittle
and can be damaged by movement during instal- .
lation and stressing, and in fractured rock it may
flow into even fine fractures (width greater than
about 0.25 mm) resulting in an incompletely
filled hole.
The procedure for the design and installation
of a grout anchor are as follows.
(a) Hole diameter
For economy, the hole diameter must be as small
as possible, while providing a sufficiently thick
annulus of grout to transmit the shear stresses
248 Tension foundations

ture charac
'e. The reSL
'ed in a wid
ided appre
king bond s
'working b(
nfined corr
s which ra
eakrock t(
'grock.lfi
ormly distri
d the requi
"the worki
'phery of th
4rther deta
"; required t
.2 which de,

(,Grout mix
'e required
bhor tension
ough to wit
yeloped arm
't de rade w
i)'osive so th
'the steel. Al
tof
;
a consis1
~
eplaced in I
19ning a grou
he factors te
'tio (w:c), tt
, 'se of additiv,
'~tion, and to
"'The cemenl
ortland cem
"ment (Type
'ment (Type IJ
'~tions, with
'il the rock Cf
yrite, or if tl
;lphate-resist
gllired. Whe]
:000 p.p.m.,
\ihich has a h:
/ Type III cel
fuust be prov
.otting time c

iiture characteristics of the rock in the bond
-e. The results of load tests on anchors in-
'I'd in a wide variety of rock conditions have
'ided approximate values for the allowable
'king bond stress at the rock-grout interface.
>',working bond stress, which is related to the
6nfined compressive strength of the rock, has
!'S which range from about 350 kPa (50 p.s.i.)
'eak rock to a high of 1400 kPa (200 p.s.i.)for
pg rock. If it is assumed that the shear stress is
ormly distributed along the full length of the
!I, the required bond length can be calculated
.' the working bond stress and the area of the
'phery of the drill hole in the bond zone.
urther details on the procedure for calculating
,'required bond length are given in Section
~'which describes the design of rock anchors.
Grant mix
"required properties of the grout used to
'~or tensioned bars are first that it is strong
")lgh to withstand the, high stresses that are
''Ioped around the anchor, second that it does
'fide rade with time, and third that it is non-
:osive so that it does not affect the properties
'he steel. Another consideration is that it must
'~f a consistency that will permit it readily to
',placed'in long, small-diameter holes. In de-
, ing a grout mix to meet these requirements,
~; factors to consider are the water:cement
fio (w:c), the required setting time, and the
"of additives to reduce shrinkage and segre-
range would be us lion, and to improve workability.
Ie high end would be The cement used in grouts can be ordinary
. For example, a bun o'rtland cement (Type I), sulphate-resisting
r of 100rnm could b -iJJent (Type II), or hi-early (rapid setting) ce-
ameter hole in frac! .~nt (Type III). Type I is used for most appli-
diameter hole in rna :lions, with the following possible exceptions.
s lower than 0.4 is" *the rock contains sulphide minerals such as
Ie diameter will be,. . )e, or if the anchor is exposed to seawater,
'quire a higher qua hate-resisting Type II cement would be re-
flush the cuttings: ..' ed. Where the sulphate content exceeds
, , p.p.m., Type V cement should be used
lch has a high resistance to sulphate.
ype III cement would be used where support
tors influencing the .~t be provided shortly after installation; the
th are the strengthi' t!ing time can be reduced from about five or
Anchor materials and anchorage methods 249
six days for Type I cement, to three or four days
for Type III. One of the difficulties in using Type
III cement is that its working time is limited in
warm weather. High-alumina cement should be
avoided because a high water:cement ratio is
required for pumpability which may produce
a low-quality grout.
Water used in grout should generally meet
drinking-water standards, except for the presence
of bacteria. Contaminants that can be harmful to
the performance of grout are sulphates, sugars
and suspended matter (e.g. algae), and chlorides
should be avoided where the grout will be in
direct contact with the steel. The concentrations
of these substances should be less than 0.1% in
the case of sulphates, and less than 0.5% in the
case of chlorides.
The water:cement ratio (by weight) used in the
grout mix has a significant influence in the per-
formance of grout: high water contents result
in reduced strengths and durability,' increased
shrinkage and excessive bleed, as shown in Fig.
9.8. These properties relate both to the bond
strength of the grout and to the protection it pro-
vides against corrosion of the steel. For example,
excessive bleed will result in segregation and the
presence of water in the upper part of the bond
zone. It is found that a w:c ratio of between 0.4
and 0.45 will produce a grout that can be pumped
readily down small-diameter grout tubes and will
produce a strong, continuous grout column.
The setting time of grout is important in sched-
uling tensioning operations, and in quickly pro-
viding support in emergency situations. Figure
9.9 shows the comparative setting times of a
number of grout products. On projects where
a substantial number of anchors are being in-
stalled, crushing tests on 50 mm (2 in) cubes of
grout can be carried out to determine the com-
pressive strength at seven and 28 days. Dywidag
recommends strengths of 20MPa (3000 p.s.i.) at
seven days, and 30MPa (4300 p.s.i.) at 28 days.
On smaller projects where there is insufficient
time to carry out such testing, the strength of the
grout is effectively determined by load/deforma-
tion measurements made during tensioning of
the anchor.
 1 ~-

&
~
fl:
(!J
z
15

RESISTANCE TO FLOW
(SHEAR STRENGTH, kPa)
I:{, have
cosit )
UJ these
a:
ti; factUi
UJ
>
I", manu
Ui
(/)
:;:' ol1nl
UJ
a: J;' cern e
a.
::; 30 28 DAY ':, unles
o COMPRE=:S"'S~IV""'" :"-\-c-- ::: willl
o 20 STRENGTH
,,0.2
~
of th'
BLEED
~ 10 ~ -:;;>.~~_ ... -i: 0 1 CAPACITY
,1 grout
~' expa
I
o L.- =~'__-'---'--'----J
I
tchlo r
Figure 9.8 Effect of water c~ntent on the compressive '.:
, sholl
0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
strength, bleed and flow resistance of grout mixes ':. In
WATER/CEMENT RATIO (by weight) (Littlejohn and Bruce, 1975).
," mate
':wale
i{carri
(p.s.i.) :: shea
(Mpa)
80 Silica fume \j;:chan
non-shrink grout
"in 3
Non-shrink ;'jcflus
10000 grout . far
'if.
i, (DY'
60 ~Ordinary
Portland cement
8000

Fast setting
non-shrink grout
Uniaxial
compressive 40 6000
strength
Target strength
for anchors
4000

20

2000

o 8hr 12hr.l day 3 days 7 days 10 days 28 days

Age of grout

Figure 9.9' Relationship between grout compressive strength and time of curing for yarious anchor grouts (Oee
Construction Products).

~ntent on the compre
stance of grout mixes
). . "II' mixing grouts containing additives, the result in fracture of the rock and reduction in
: Silica fume
non-shrink grout
..... Non-shrink
grout
..... Ordinary
Portland cement
... Fast setting
non-shrink grout
. Target strength
for anchors
Dt!!:CllOle .with grout as shown by the return component system usually consisting of a viscous
tc'gtout at the vent tube sealed in the collar of liquid resin and a catalyst that are packaged
us anchor grouts
:.~.tube en machette, is usually about 8 to 10 m~ 200mm (8in) long and 20mm (0.75in) in dia-
Anchor materials and anchorage methods 251
) Admixtures in diameter with holes drilled through it at re-
'e use of admixtures is usually restricted to gular intervals in the anchor zone. The holes are
'\npounds that reduce shrinkage and bleed, and covered with a flexible rubber sleeve and fixed
've a plasticizing effect that increases the vis- to the pipe to form a one-way valve system .
. sity of the grout. Some common additives with Once the primary grout has attained an initial
ese properties are Methocel 65HG4000 manu- set, the secondary grout is pumped through the
6tured by Dow Chemical, and Intraplas N secondary grout tube to fracture the primary
"nufactured by Sika. The usual concentration grout and penetrate the rock. This operation
Intraplas N in the grout mix is 1% by weight of can be repeated a number of times and produces
ment. Accelerators and retarders are avoided a significant improvement in anchor capacity.
-less tests are carried out to confirm that they The pressure used for secondary grouting
Thave no long-term effect on the performance would depend on the grout take and the pressure
Jhe anchor system, such as degradation of the should only be sufficient to cause the grout to
Ql1t, or corrosion of the steel. In particular, penetrate existing fractures in the rock. (Care
..ansion agents and admixtures containing ,Ishould be exercised that the pressure does not
lorides or sulphIdes, or alummum powder Nexceed the confinmg presure of the rock sur-
Juld be avoided. rounding the anchor zone, because this could
,.terials should be added in the following order: the strength of the rock mass~
ter - cement - additives. Mixing should be
"ied out continuously using a high-speed (f) Centralizers
-,!'r-type mixer equipped with a recirculating It is important that the bond zone be embedded
.amber. Grout which has not been used with- in grout both to produce a high-strength bond
"\30 minutes after mixing is unsuitable be- stress, and to provide continuous corrosion pro-
~e the process of setting has proceeded too teclion for the steel. This is achieved by installing
'iand the additives are no longer effective centralizer sleeves at intervals along the bond
';ywidag, 1973). zone which hold the anchor away form the walls
, of the drill hole and achieve a minimum grout
'Grout pressures cover of about 15 mm (0.6 in). These centralizers
"ck anchors are usually grouted at atmospheric are plastic springs attached to the anchor with
eisure. Pressure grouting is only used where wire that are able to deform as they are pushed
~'r~k is sufficiently loose and fractured that into the drill hole to accommodate variations
Ii'grout will be forced into this rock mass to in drill hole diameter (Fig. 9.10). The spacing
'solidate and strengthen it to form an integral between centralizers is usually between 0.5 and
:iss of grouted rock with the anchor zone. De- 3 m (1.5 to 10ft), depending on the flexibility of
rUing on the degree to which the rock is frac- the anchor and any curvature of the drill hole.
red, the effect of pressure grouting may be
;;ncrease the capacity of the anchorage by as
9.2.7 Resin grout anchorage
yeh as 100%.
:'A..,common procedure for pressure grouting is Resin anchors are used for the installation of
(stall the anchor with two sets of grout tubes. rigid bars with maximum lengths of about 7 to
eZiube for primary grout extends to the distal 8m (23 to 26ft), and maximum tensile loads of
(;I'of the anchor zone and is used to fill the about 200 kN (45000 lb). The anchor is a two-
~hole. The tube for pressure grouting, known together in plastic "sausage' cartridges about
 252 Tension foundations
Figure 9.10 Dywidag bar anchor and corrugated
sheathing, with two types centralizer sleeves to hold bar
from walls of drill hole.
meter (Fig. 9.11). When the two Components are
mixed by driving and spinning the bolt through
the cartridges and shredding the plastic sheath,
they set to from a rigid, non-degrading solid that
anchors the steel bar in the hole. The setting time
for the resin varies from about 5 minutes to as
much as 90 minutes depending on the reagents.
The setting time is dependent on the tempera-
ture, and a fast-setting resin sets in 4 minutes at
a temperature of -5C (23F), and 25 seconds
at 35C (95 OF). The resins have a limited shelf
life and the expiry date 'should be checked at the
start of the project.
The principle advantage of resin anchorage is
the simplicity and speed of installation, with sup-
port being provided within minutes of spinning
the bolt. The disadvantages are the limited length
and tension load of the bolt, and the fact that
only bars can be used. Another disadvantage
is that corrosion-protection sheaths cannot be
used with a resin anchorage because they will be
damaged when the bar is spun to mix the resin.
The installation procedure is first to place in the
drill hole a sufficient number of resin cartridges
to fill the annular space around the anchor. It is
important that the hole diameter is within the
tolerances specified by the cartridge manufac-
Figure 9.11 Resin cartridges; the white strip down side
of cartridges is the hardener.
turer because if the hole is too large mixing of the
. resin will be inadequate. This usually precludes
the use of coupled bolts because the hole size
required to accommodate the couplings will be
too large for complete resin mixing. The bar is
spun as it is driven through the cartridges, and
the spinning is continued for about 30 seconds
after the bar has reached the end of the hole.
The speed of rotation should be at least 60 reo
volutions per minute to achieve full mixing of
the resin, and shredding the plastic cartridges.
This is accomplished by coupling the bolt to the
drill chuck with a dolly and rotating the bolt
with the drill, or using a torque wrench. When r
using fully threaded bars, the direction of rota' ,
tion should auger the resin into the anchor zone; I
the opposite rotation may result in the disl~[
end of the bolt being ungrouted as the reS!fi IS
augered out of the hole. With bolt lengths greater
 Anchor materw!s and anchorage methods 253

'an about 7 to 8 m (23 to 26 ft), most drills can- procedure is to drill a hole to a specified diameter
rotate a fully embedded bolt at the required so that the wedge is gripped by the walls of the
d, which limits the maximum bolt length. hole. When the bolt is torqued, the cone moves
'if the bolt is fully embedded in fast-setting up the bar and expands the wedges against the
in, it cannot be tensioned and the bolt acts walls of the hole to anchor the bar. Note that
'; a passive anchor. A tensioned bolt can be the surfaces of the canes are smooth because
"taIled by using a fast-setting resin (2-4 minute this produces a uniform pressure on the rock in
lting time) in the distal end of the hole, and comparison with serrated surfaces which crush
,:slower-setting resin (15-30 minute setting and break the rock resulting in reduced load
'e) in the remainder of the hole. The bolt is capllcity of the anchorage.
'sioned after the fast resin has set but before -./rhe advantages of mechanical anchors are that
e<slower resin has hardened (Dunham, 1973; installation is rapid, although not as rapid as resin
yeridge, 1974).
, anchors, and tensioning can be carried out as
soon as the anchor has set. Grouting can then be
carried out either using a grout tube attached to
/:8 Mechanical anchorage
,,;' the bar before installation or, in the case of the
'e photograph in Fig. 9.12 shows the details Williams bar, through the centre hole. The dis-
<a Williams mechanical anchor, and the full advantage of the mechanical anchor is that it can
Wlation is shown in Fig. 9.5(b). The com- only be used in medium to strong rock, and the
lIents of the mechanical anchor comprise a maximum working tensile load is about 200 kN
'r of wedges that slide over a tapered cone (45000Ib). Mechanical anchors for permanent in-
'eaded on the end of the bar. The installation stallations must always be fully grouted because

s too large mixing ofl

This usually precll!~!
; because the hole,~
e the couplings will'
esin mixing. The b
ugh the cartridges,
j for about 30 seco'
d the end of the h
lould be at least 60.,
achieve full mixin'
; the plastic cartrid
;oupling the bolt to,
and rotating the"
torque wrench.
, the direction of,
n into the anchorz;
ay result in the d'
19routed as the r e 9.12 Wedge-type mechanical anchor (courtesy of Williams Form Hardware and Rockbolt Co,).
Vith bolt lengths gr
 254 Tension foundations
-------------------~~~- ~

creep and corrosion of the anchorage will result in the shear stress distribution is highly non-line'dr'
loss of support with time. high stresses are concentrated at the top of th:
bond and diminish rapidly down the hole. e
9.3 Design procedure for tensioned The shear stress distribution 'xat the steel.
anchors grout interface along a fully bonded tensioned
anchor, assuming that the steel, grout and rack
When a tensile load is applied to a rock anchor, all behave elastically and there is no slippage
this load is supported by the mass of rock in at the interface, can be defined by the equation
which the anchor is embedded (see the three (Farmer, 1975):
examples in Fig. 9.2). The mechanism by which ,,, -ili
the load is transmitted from the steel bar or 'x=:;:r,'O'oe , (9.3)
strand to the surrounding rock shows that the where: r, is the radius of the bolt; rz is the radius
load capacity of a tensioned anchor depends of the drill hole; 0'0 is the normal stress applied
upon the following factors: at proximal end (closest to rock surface) of the
I. The applied load is transmitted from the steel bond zone; x is the distance from the proximal
anchor to the rock in the walls of the drill end of the anchor zone;
hole by the shear stresses developed at the
steel-grout and grout-rock interfaces. R
n = [ r,(rz _ r,) ,
]t (9.4)
2. Stresses are developed between the rock in
the immediate vicinity of the anchor and the for (rz - r,) < r" i.e. thin grout annulus, or
surrounding rock. The capacity of the rock
to withstand these stresses is significantly n= [ R ]1 (9.5)
influenced by the orientation of fractures
in the rock. rfln( ;~)
3. If the applied load acts in a direction above
for (rz - rtl > r" i.e. thick grout annulus;
the horizontal, the mass of rock in which the GI
bolt is anchored acts as a gravity restraining R = ; : ; E g is the elastic modulus of the grout;
force (Figs 9.2(b) and (c. Where the load S
acts below the horizontal (Fig. 9.2(a, the and E b is the elastic modulus of the bolt. a
cone of rock must be self supporting. The curve in Fig. 9.13 shows a typical dis
tribution for the shear stress in terms of the Fi:
The following is a description of these com-
ponents of anchor performance. dimensionless
has been developed 'x/O'o
ratiosfor mm x/r,.
a 30 and This
(1.2 in) curve 1. .. .
diameter (~a~;
bar grouted with epoxy resin into a 40 mm (1.6in) 1
J9.3.1 Mechanics ofload transfer between diameter drill hole. The elastic moduli of the
anchor, grout and rock epoxy and steel are 2 GPa and 200 GPa (0.29
6

(9.3), which
6
When a tensile load is applied to a steel bar or x 10 and 29 x 10 p.s.i.), respectively. Equation
defines an exponential decay in the'
I' b,
b,
cable that is anchored in rock with a column
of grout (either cement or epoxy resin), shear shear stress, can be used as a guideline to deter- '
stresses are developed at both the steel~grout mine the length of anchor required to dissipate .'.
and grout-rock interfaces (Fig. 9.13). The- the full applied tension within the anchorage.'
distrilffihon of these stresses along the bonded The shear stress is diminished to 1% of its value :.I!.'
length has been studied in laboratory model tests at the top of the anchorage when n is equal to
(Farmer, 1975), full-scale field tests (Golder 4.6, so the bond length lb needed effectively to \
Associates, 1983), and numerical analysis (Rus- dissipate the applied stress is equal to
sell, 1968; Coates and Yu, 1971; Wijk, 1978). All
(9.6)
these results show that under elastic conditions,
 Design procedure for tensioned anchors 255

on is highly non-Iinea~' Q

rated at the top of ill"

y down the hole. . ,
bution ex at the st
fully bonded tensi
e steel, grout and
d there is no slip
lefined by the equa

the bolt; (z is the ra

e normal stress ap'
to rock surface) of o 0.02 0.06 0.08 0.1
mce from the prox ---
x

n grout annulus, a

20

modulus of the g I

llus of the bolt.

3 shows a typicaf
stress in terms of
'0 and x/rio Thiss'
30mm (1.2 in) dia
sin into a 40 mm (1
elastic moduli of
Pa and 200GPa'
, respectively. Equ
'ponential decayi
as a guideline to d
Ir required to dissi
within the ancho
shed to 1% of its
1ge when Q is eq
b needed effectiv
s is equal to
--j r, f--
--l (2 I--
Distribution of shear stress along the length of the anchor zone of a tensioned anchor
"mnpr 1975).
of equation (9.3) allows calculation Equation (9.7) can be used to calculate the load"
total load Q carried by the bonded length carried between any two points X, and X2 (x,
any two points X, and Xz along the < xz) along the bonded length. The load carried
as follows: by the full length of the bond, i.e. x, = 0 andxz =
lb, is approximately equal to the product of the
appl~d tensile stress and the cross-sectional area
j
of .the bar, assuming that the term e "" ,s small
when X2 = lb'
The shear stress distribution curve shown in
Fig. 9.13 assumes no slippage at the interface

(9.7)
and elastic behaviour over the full length oUhe
anchorage. However, as the applied stress is
increased, the shape of the shear stress distri-.
J
 _2~56
_ _T:_e_n_s_'io_n_fo_u_n_d_a_ti_o_n_s 1
o

t
o

t
:=
[ributin
1
... [ributIn
'of cone
';nchor.
;';jS
:.";- m'lel,
'
ishear ,
{tVI "f6oo d Z(
U~;'tress f
0, O'v2 ," :~~erfa(
=--- .,.
ompressio :>< :~ _res
O2
03 - partial . :.; 'i!it,Calcl
L----7'C===:cr.~3 i!~i.pchon
debonding
. . lage p
}',
liesseE
x
-----.::=3~~~~A~'(____:::T'-::'::=~".5 'but
'ond I,(
Figure 9.14 Variation in distributions of tensile stress 4ch tt
along length of anchor zone with increasing applied
rout il
load. 'g bo
d i
eiol
bution curve becomes more linear and a greater dec
portion of the load is caffied at the distal end sile
of the anchor (Fig. 9.14)VAs the load is further ssu
Increased, the bond at tlie pr<lXlmal end of the rib,
anchor will start to fail. Once the bond has been the
broken, the shear strength will be equal to the Figure 9.15 Results of model tests of tensioned anch(j."
friction of the surface. General design practice in cohesionless sand showing distribution of vertical:
is to' select a combination of applied load and stress contours and zones of compression and dilation
anchorage dimensions such that there is no slip- (Hobst and Zajic, 1977).
page, and such that the shear stress does not
. reach the distal end of the anchorage. That is,
the applied load for the conditions shown in of having the bond zone embedded at some de
Fig. 9.14, would be between QI and Q2' below the surface to contain the zone of co'
The shear stresses developed at the interfaces pressed rock. An anchor with the bond. zan
in the immediate vicinity of the bonded length the surface would have diminished cap
will, of course, result in a change in the stress field because the compressed rock would noL
in the material around the anchorage. Figure 9.15 confined. Also, the zone of dilated rock shi
shows the results of model tests of a tensioned how nearby structures may be influenced .
anchor in sand where the anchorage is at some tensioned anchor.
distance below the ground surface (Hobst and
Zajic, 1977). The contours of vertical stress show
9.3.2 Allowable bond stresses and
that there is a zone of compression at the pro-
design
ximal end and above the bond, and a zone of
dilation both at the distal end, and below the The typical distributions of shear stresses"
anchor. This stress distribution shows the value the bond zone shown in Figs 9.l3"an d,
 Design proced"re for tensioned anchors 257

inonstnlte the non-linear nature of this dis- 150mm (6in). If a longer bond length than
liution. However. the exact form of this dis- about 8 m is required, additional, lower-capacity
'l;l1tion is difficult to predict for the wide range anchors should be installed (Pizzi, 1987). The
"conditions that may exist within a tensioned reason for this restriction is that the peak stress
ihor. For this reason a simplifying assumption is developed at the proximal end of the anchor
lntade for design purposes, namely that the and if this stress is greater than the ultimate bond
car stress is ~niformly distributed along the stress, failure of the grout in the proximal end
'ijd zone. The magnitude of this average shear of the anchor will occur regardless of the length
'ss for both the rock-grout and grout-steel of the bond zone.
'ffaces has been established empirically from An approximate relationship between the
;"results of tests on' full-scale and laboratory rock-grout bond stress and the uniaxial com-
hors. pressive strength of the rock has been developed
; Iculation of the bond length is a two- from the results of load tests on anchors installed
ge process that ensures that the working bond in a wide range of rock types and stresses (Little-
isses are not exceeded at either the rock- john and Bruce, 1977). Values for the design, or
'tit or the grout-steel interfaces. First, the working ',,, and ultimate 'a bond strengths are
Jd length and drill-hole diameter are selected given by equations (9.9) and (9.10), respectively.
h that the average shear stress at the rock-
~t interface is less than or equal to the work- 'a = ~~ up to a maximum value of 1.4 MPa,
,;bond strength. Second, the length of the
l\d is checked against the required design (9.9)
'elopment length of the steel which is the em- and
dded length required to support the applied
~ile load. 'u O'u
= 10 up to a maximum value of 4.2 MPa,
,"ssuming that the shear stress is uniformly (9.10)
tributed on the surface of the drill hole form-
"the bond zone, the bond length to is calculated where O'u is the uniaxial compressive strength of
1tests of tensioned ane ,in rock in the bond zone (that of the weakest rock
distribution of vertical in the bond zone if the rock is layered).
:ompression and dilatio (9.8) 'ao
Values of assuming a factor of safety of
3 applied to 'u, which have been used for a
;ire Q is the applied tensile load at the head of variety of rock types and rock strengths are
'eanchor, d is the diameter of the drill hole, and shown in Table 9.2 (Littlejohn and Bruce, 1977;
mbedded at some d Js the working bond strength of the rock-grout PTf, 1985).
tain the ZOne of c " rface. ' Some judgement should be used in the appli-
with the bond, zan ,rain equation (9.8) a combination of bond cation of equation (9.8) and Table 9.2 to ensure
, diminished capii gth and drill-hole diameter is selected such that the bond stress value is suitable for the actual
I rock would nor. 't the shear stresses at the rock-grout inter- conditions ihat may be encountered. Unfavour-
of dilated rock sh eare less than or equal to the working bond able conditions necessitating a low value of '0
lay be influenced b 'ses. Note that equation (9.8) indicates that would include the smooth hole surface produced
"ign, the average bond stress can be matched by diamond drilling as compared to that pro-
he working bond stress by increasing the duced by percussion drilling, a zone of loose,
th of the bond zone or the hole diameter, fractured rock 'in the anchor zone, drill cuttings
equired. However, a practical limit On the smeared on the walls of the hole, holes from
, th of the bond zone is in the range of about which the drill cuttings cannot be cleaned com-
of shear stresses al
n Figs 9.13 and
,10 m (26-33 ft), with rock-drilling equipment pletely, or flowing water. Because the actual
g~lly limiting the drill-hole diameter to about conditions in the hole are likely to be unknown,
';'(
 258 Tension l o u n d a t i o n s f '
-------:.-----.
Table 9.2 Approximate relationship between rock stresses have been derived from pull-out tesls
----
.

type and working bond stress conducted in concrete to determine develop.

ment lengths of bar and strand. DeveloPment
Rock type Working bond stress (",),
lengths, which are the embedded lengths reo
at rock-grout interface
quired to develop the full strength of the bar With
MPa p.s.i. an appropriate factor of safety, are defined by]
the following equations (Canadian Portland
Granite. basalt 0.55 to 1.0 80 to 150 Cement Association, 1984):
Dolomitic limestone 0.45 to 0.70 70 to 100
Soft limestone 0.35 to 0.50 50 to 70 1. For 35 mm diameter bars and smaller
Slates, strong shales 0.30 to 0.45 40 to 70
Weak shales 0.05 to 0.30 10 to 40 O.019A b cry
Sandstone 0.30 to 0.60 40 to 80 td = ,=- F
v O'uc
Concrete 0.45 to 0.90 70 to 130
Weak rock 0.35 to 0.70 50 to 100 but not less than
Medium rock 0.70 to 1.05 100 to 150
O.058db cry
Strong rock 1.05 to 1.40 150 to 200 td = F ;

2. For 45 mm diameter bars

usual practice is to conduct performance tests
26 cry
on selected anchors to' ensure that they meet ld= '=-F;
specified acceptance criteria (see Section 9.5). Valle

The second step in the anchor design is to 3. For 55 mm diameter bars

check that the shear stress developed' at the
steel-grout interface does. not exceed the work- 34 cry .
ing bond stress (BSI, 1985). Values for bond vcr:;; F '

cr" = 30 MP. (4350 p.s.i.)

cr, =420MP. (60900p.s.i.)

Eq(9.11)

Eq(9.14)

Eq(9.13)

1.5 2(in)
20 30 40 50(mm)

Bar or strand diameter

Figure 9.16 Development lengths for steel bar and strand anchored in cement grout; lengths calculate,
.equations (9.11) to (9.15).
 Design procedure for tensioned anchors 259

'ived from pull-out t Q

to determine deYel
nd strand. Developll),
, embedded lengths t
II strength of the bar
,f safety, are define o
ns (Canadian Port
84);

bars and smaller

~/ Approximate
/"-zone of
/" loosened
rock

Smooth Bond
sheathing length
Ib

Eq(9,14)

la)
9.17 Mechanism of support of tension loads by (a) prestressed anchors and (b) passive anchors.

1)
or prestressing strand the specified yield strength of non-prestressed
nm)
0.36db G y reinforcement (MPa); G uc is the specified com-
ld ~ ,r=-F' (9.15) pressive strength of the grout (MPa); db is the
v O'uc
nominal diameter of bar or strand (mm); and
gths calculated 'reo ld is the development length (mm); A b is F is the factor of safety.
'~cross-sectional area of the bat (mm2 ); Gy is A factor of safety F of 1.5 to 2.0 is considered
 260 Tension foundations
appropriate in calculating design development
lengths for tensioned anchors (Fig. 9.16). These
factors of safety will allow for subsurface con-
ditions that are difficult to control compared to
reinforced concrete construction. For example,
the width of the annulus and the thickness of the
grout are likely to be variable unless the anchor is
centred accurately in the hole, and the grout may
be contaminated with drill cuttings, producing a
variable-strength product.
9.3.3 Prestressed and passive anchors
Where tensioned anchors are used to support
tension loads, there are two different design
methods that can be used - prestressed or passive
anchors (Fig. 9.17). The advantages of using pre-
stressed anchors are that the deflection of the
head of the anchor is minimal, they have a some-
what greater load capacity, and corrosion pro-
tection is more reliable than in passive anchors.
This is of particular importance in the case of
anchors subjected to dynamic loads which could
experience fatigue failure if not prestressed.
Figure 9.17 demonstrates the mechanism by
which tie-down anchors support tensile loads.
In Fig. 9.17(a), the anchor comprises two com-
ponents: a bond length lb and a free stressing
length 1,. Over the bond length, bond is de-
veloped between the steel and the cement grout
which secures the tie-down in the hole, while in
the free stressing length, which is encased in a
smooth plastic sheath, no bond is developed.
When a reaction plate is installed at the rock
surface and a tensile load is applied to the head
of the anchor, a zone of rock between the reac-
tion plate and the bond length is compressed
and shear stresses are developed at the boundary
between this compressed zone and the surround-
ing rock. Under these conditions, the uplift ca-
pacity of the anchor depends on the shear stresses
in the bond zone and, in the case of anchors
installed below the horizontal, the weight of the
rock mobilized between the bond zone and
the reaction plate. Another significant feature
of the prestressed anchor is that the most highly
----.........o
stressed portion of the rock mass at the up
per
end of the anchorage zone is confined by tI .
surrounding rock, which enhances the cap'IC'" , ltv
of the anchor. .
Figure 9. 17(b) shows an anchor which i
bonded over its full length and to which no pre'
stress is applied - this is sometimes referred til
as a passive anchor. In this case, the applicatill n
of the structural load causes shear stresses til
be developed in the bond zone at the ground
surface. Since this rock is unconfined, and may
also be weathered and/or fractured by blastin....
in the preparation of the foundation, its capacit;
to withstand the concentrated stresses at the
upper end of the anchor is less than that of the
embedded anchor. The result is likely to be par.
tial debonding of the anchor and displacement
as the load is applied.
Another important difference between the
prestressed and passive anchors is the displace
ment of the head of the anchor on the application
of the structural load. This is illustrated in the
model shown In FIg. 9.18, where the bond is
I
replaced with a spring of stiffness k b and the
shear strength of the rock in which the anchor
is embedded is replaced with a spring of stiff
ness k,. The tensile load Q supported by the
anchor is equal to the product of the spring stiff
ness and the displacement 0. In the case of a Fi
prestressed anchor (Fig. 9.18(a)), the displace
ment of the head of the anchor at loads up to the
level of the pre-load Qp will be limited to the r'
small deformation of the surrounding rock - .
0, = Q,/k,. Once the structural load exceeds the i
prestress load, the displacement of the head of I
the anchor will be equal to elastic elongation App
of the free-stressing length plus the small rock tens
road
deformation. IQI
The displacement Ob of a passive anchor (Fig.
9.18(b)) will be primarily the result of strain of .
the proximal end of the anchor which is less stiff r J,
than surrounding rock. This displacement wIll,
exceed the displacement 0, of the prestressed ,
II
anchor, i.e. 0b > 0,. As the load is increased, I
a progressively longer portion of the anchor zone I
is stressed and the displacement Ob increases. F
The relative load/displacement behaviour 01 P
 Design procedure for tensioned anchors 261

rock mass at the up o

one IS confined by t
I enhances the capa"
t
an anchor which
th and to which no p
; sometimes referred:
his case, the applicat'
auses shear stresses'
nd zone at the gro'
is unconfined, and': --- -,
>r fractured by bla'
foundation, its cap'
ntrated stresses at
is less than that a
esult is likely to be ...L __
Ichor and displace'
"'T k,
ifference between
kr>kb
mchors is the disp :.(5r < (5b
nchor on the applic .
'his is illustrated in'
18, where the bon' when Q<Qp
of stiffness k b and
o~g
;k in which the an , k,
with a spring of
d Q supported by (a)
(b)
)duct of the spring
nt 0. In the case' 9.18 Simplified model of support mechanism of (a) prestressed and (b) passive anchors.
9.18(a, the displ:
nchor at loads up to
will be limited t prestressed and passive anchors is illustrated
Ie surrounding ro in Fig. 9.19.
Ictural load exceed Prestressed
cement of the hea anchor with
free~stressing length 9.3.4 Uplift capacity of rock anchors
:1 to elastic elong'
;th plus the small Figure 9.20 illustrates two common uplift loading
conditions for rock anchors - a pure tension load
. a passive anchor. . (a), and a combination of tension and moment
. the result of stra' Fully grouted,
untensioned anchor
(b). An example of an anchor loaded in pure
nchor which is less tension is the support for a guyed tower, while
This displaceme a combination of both tension and moment is
0, of the prest developed where a tall tower subjected, for
the load is incr~. example, to wind loads is anchored with bolts
Displacement of head of anchor ((5)
tion of the anchod'Q in a circular or square pattern around the base.
[acement Ob incre~ 9.19 Typical relative load/deflection Much of the work in developing design pro-
cement behaviour; 'tformanc:e of prestressed and passive anchors. cedures for these loading conditions has been
 ~.

262 Tension foundations

i
~Momenl
Q
Cone of
I I

I
rock mobilized I I
by anchor
I I

Tension
Compression

(aJ
(bJ
Figure 9.20 Types of loading conditions for uplift anchors: (a) pure tension load; and (b) combined tension and
moment load.

carried out by electrical utilities for the design working bond stresses. Values for working rock-
of foundations for transmission towers (Ghosh, grout bond stresses are given in Table 9.1 and
1976; EPRI, 1983). These are tall structures that formulae for development lengths of embedded as
do not produce high bearing pressures, but must . bars and strand are given by equations (9.11) cO
withstand significant moments induced by wind ~~.1~. d
loads and tension in the conductors. The differ- Having determined the bond length required w<
ent design procedures used for these two loading to resist bond failure, the next step is to check su
conditions is described in the following sections. that the anchor will mobilize ~ sufficient volume on
of rock to support the applied load. The results str
(a) Pure tension loading of uplift test~ on rock anchors show that the up
There are two possible failure modes for anchors mass of rock mobilized around the anchor is de
loaded in pure tension (Fig. 9.20(a. First, bond approximately conical, with the dimensions and
failure may occur at either the rock-grout or shape of the cone being dependent on the struc- up
the grout-steel interfaces or, second, a cone tural geology of the site. A simplifyi~g as~ump' 1\',' ca I
of rock with its apex near the mid-point of the tion can be made that the apex angle IS 90 ,and "th',
bond zone may fail. Design against failure of that the position of the apex is at the mid.point of co ~
the anchor at the grout interfaces requires that the bond length (Fig. 9.20(a. The weight of (1' i
the length of the bond zone, and the diameters the cone can be calculated from these dimen' Sid
of the bar and drill hole are proportioned such sions, and test results' show that the maximum Will
that the average shear stresses are less than the uplift load that is actually supported is as low to !
I
 Design procedme lor tensioned anchors 263

,\Moment
I t
I
I

- ~
Compression
(a)

-I LI
(b)

Figure 9.21 Influence of structural geology on the

shape of cones of rock mobilized by uplift anchors.
Ca) Wide cone formed in horizontal bedded formation.
(b) Narrow cone formed along vertical fractures.
(c) Cc) Surface of cone formed along inclined fractures.
les for working rock'
,en in Table 9, I an"
lengths of embedde 7 and as high as 56 times the weight of the from the top to the bottom of the anchor zone.
by equations (9.11' ne (Saliman and Schaefer, 1968; Littlejohn Narrow apex angles (60) are used in weak rock
af., 1977a). The difference between the cone while in strong rock the apex angle may be as
)ond length require. ight and the actual uplift capacity is that the great as 120 (Radhakrishna and Klym, 1980).
next step is to che . pport is provided by the strength of the rock The shape of the cone is also strongly influenced
:e a sufficient volu ' ;n the surface of the cone. This clearly demon- by the structural geology in the anchor zone as
ied load. The resul " rates that using only the weight of the cone for illustrated in Fig. 9.21. The most fa,vourable case
,hors show that th . lift resistance produces a very conservative is that of a continuous structure aligned at right
'ound the anchor I sign. angles to the anchor (Fig. 9.21(a)), and the least
the dimensions an , A precise design method for the capacity of favourable angle is where the structure is aligned
,endent on the struc' lift anchors cannot readily be developed be- parallel to the anchor (Fig. 9.21(b. It is con-
simplifying assum use the dimensions of the wedge, as well as sidered that the most likely location for the posi-
)ex angle is 90, an " strength of the rock on the surface of the tion of the apex of the cone is the mid-point of
IS at the mid-point , ,Qlle are difficult to define. Littlejohn and Bruce the bond because the shear stress is concen-
a)). The weight (1975a) have made a survey of cone dimen- trated in the upper half of the bond.
from these dime '"ions used on about 20 projects around the world The rock strength that operates on the surface
that the maximu :Which shows that the apex angle varies from 60 of the cone can only be estimated because the
;upported is as 10 }p90, and that the position of the apex varies failure mechanism consists of a complex com-
 I'
264 Tension foundations
I
bination of shear and tensile movements related fractures with respect to the anchor It------------
,',
to the details of the geological structure relative
.
mated that the value of F may vary from?
'Csti
f. the I
1'/8[(
to the direction of the applied load. The range massive rock with the predominant fractur; s~r "
Ihe I
of rock fracture mechanisms that may occur is at right angles to the anchor, to 4 for Clos~11 "
illustrated in Fig, 9.21. Since it would not be fractured rock, or where the fractures are . Y
possible to simulate this failure mechanism in Pdr
allel to the anchor. Where a large number '
laboratory scale tests, the strength developed anchors are to be installed on a project a o~
In c,
on the surface of the cone is best determined there are substantial savings to be realized n
from the results of full-scale uplift tests. Where of tl
having the anchor length as short as Possible In
load tests are not possible, the strength of the would usually be appropriate to conduct a t'e II IhC1
table
rock under these load conditions can be estimated programme to ven'fy t he rock strength. dens
from equation (9.16) which gives the tensile The capacity of an anchor loaded in tensio
hetw
strength of fractured rock (Hoek, 1983). against failure of the cone of rock depends upo~ ,-
the I
the combined weight of rock in the cone and the
(J, = 2(Ju(,) [ m 2 1J p'1
- (m + 4s)2 (9.16) rock strength on the surface of the cone (Fig.
appli
9.22). The buoyant weight W, of the cone is (b) t
where 0', is the working tensile strength on the The
surface of the cone, O'u(,) is the unconfined com- W, = ; tan 2 (~)[D3y; - (D - D w)3 Ywl prise
pressive strength of the rock, m, s are rock mass verti
strength constants (see Table 3.5), and F is the (9.17) whic
factor of safety applied to the rock strength. and the resisting force developed on the curved I in a
A limited number of results of tests on uplift surface area of the cone is I I A f1
anchors (Saliman and Schaefer, 1968; Little- 2
. been
john etal., 1977a; Ismael, 1982) indicates that f, - 0', 1t Dtan (6/2) . (198'
V) - cos (6/2) (9.18)
equation (9.16) gives reasonable values for the has I
strength of fractured rock in tension. A
The value assumed for the factor of safety in The capacity of the cone to resist the tension load:
equation (9.16) would depend on the fracture force Q depends on the direction of the force. faun
intensity of the rock and the orientation of the It Q acts vertically upwards the weight improves metl
to th
pose
The
Q char

l
the
Cone of dista
rock level
Q tribe
the
Depth
in a
to stres
water \. the I
table
Ow
Depth
apex
to P dian
o the I
Apex angle lical
o Iribe
Tl
Figure 9.22 Cone of rock mobilized by tie-down anchor to resist uplift load. the'

~;
, the anchor. It is .es ' load capacity, while if Q acts vertically down-
F may vary from Zt"!l 'ds it diminishes the load capacity, Therefore
'redominant fracture,' uplift capacity Q is given by
mchor, to 4 for ci
e the fractures are . l, _ (IV) + We cos ljIe)
lere a large numbe
Q- F .
(9.19)
dIed on a project , quations (9.17) to (9.18) e is the apex angle
vings to be realize
I as short as possibl'
he cone, D is the depth of the apex below
Jground surface, D w is the depth of the water
,riate to conduct a, ie below the ground surface, y, is the rock
rock strength,
Ichor loaded in tell
'~ity, Yw is the water density, IjIc is the angle
een the vertical upwards direction and
e of rock depends load direction, and F is the factor of safety
'ock in the cone an 'lied to the load.
rface of the cone (
It We of the cone is .Combined moment and tension loading
e load condition shown in Fig. 9.20(b) com-
Ses a combination of a moment M, and a
\cal force Q applied to the tower structure
Ich is anchored with a group of bolts arranged
~veloped on the ~ circular pattern around the base (Fig. 9.23).
is ~full-scale test of this loading condition has
~n carried out by Radhakrishna and Klym
)lO) and the method of calculating the support
'been reported by Ismail (1982).
, structure subjected to vertical and moment
,e to resist the te 'ds induces a distribution of stresses in the
direction of the f ;. dation which can be approximated by the
cds the weight imp ethod shown in Fig. 9.23. The moment applied
.the structure is resisted by a force couple com-
sed of tension T and compression C forces.
e tensile force is mobilized by the rock an-
brs and the compression force is mobilized by
.e rock on which the tower is founded. The
istance between these forces is defined by a
"er arm am which depends upon the load dis-
ution in the foundation and the geometry of
bolt layout. Where the bolts are laid out
circular pattern and the distribution of the
sses across the base of the tower is triangular,
Depth to
'Iever arm is found to be about 0.7 times the
eter of the anchor bolt circle. This value for
apex
D lever arm can be compared with thetheore"
~Lvalue for the case of a triangular stress dis-
,bution in a steel ring subjected to bending.
~he stability of the structure is calculated from
tweight of the truncated cone of rock mobil-
Design procedure for tensioned anchors 265
ized in the foundation, and the strength of the
rock on a portion of the cone surface that is sub-
jected to uplift. Assume that the apex angle of
the cone is 90 so that the truncated cone has
the the dimensions shown in the lower diagram
on Fig. 9.23. The buoyant weight of the mass of
rock in the truncated cone is given by
W; = ;{[(D + ~r (~)']r, -
-
- [(D - Dw+ ~r (~)']rw}.
for e = 90 (9.20)
For a symmetrical distribution of the tension and
compression forces in the foundation, only the
rock on the surface of the uplift half of the cone
will be mobilized to resist the applied loads. The
surface area of one half of the truncated cone,
ignoring the horizontal base of the cone, is
(9.21)
and the resisting force generated on this surface is
(9.22)
where crt is the tensile strength of the rock on the
surface of the cone as defined by equation (9.16).
The vertical force on the wedge is the total of
the applied vertical force Q and the tension force
T induced by the moment. The magnitude of the
force T is determined by taking moments about
the axis of rotation such that
T = --.!!!.....
(a m/2)
3M
= d when am = 0.67d. (9.23)
Therefore the load capacity of the tower foun- I
:!
dation is given by ,I
oiL
Ii"
(T Q) = (W; ; fv)'). (9.24)
Note that the sign of the force Q depends on its
direction and is defined as follows:
 266 Tension foundations

Q +Q:

t -0:
~M Equa',
of bo
dim er
, loads,
Column ;'depet
""
anchored , i,oeces:
with bolts
on circular. pattern Hoduc'
T C toot e:

Truncated Cone
of rock mobilized
by anchors

Tension
o
[JJY"'
I::
411 CompressIon

O+d/2

d/2
(d)
Figure 9.23 Truncated cone of rock mobilized by a group of anchors to resist combined uplift and moment
loading: (a) dimensions of truncated cone; (b) plan of anchors; (c) triangular stress distribution; and (d)
through uplift portion of cone. ..

Q: vertical force upwards in same direction as
tension force induced by the moment;
Q: vertical force downwards.
uation (9.24) can be solved to find the length
bolt required to mobilize a cone of rock with
. ensions sufficient to support the combined
; ds, with the required capacity of the bolts
"pending on the bolt pattern selected. It is also
~essary to check that the compressive stresses
'(Juced on the outer edge of the foundation do
attern
,it
.,,/
exceed the bearing capacity of the rock.
"ample
, nsider an anchor loaded with an uplift force
o 250kN installed in a horizontally bedded lime-
6ne with a uniaxial compressive strength of
MPa (moderately weak rock) and a fracture
~cing of about 0.5 m. The load is coincident
lih the axis of the bolt so there are no moments
'herated in the anchor. The water table is 0.5 m
"low the ground surface (D w = 0.5). Determine
e length of passive, fully grouted anchor re-
.;-red to support this load.
'The first step in the design is to determine the
'ameter of the steel bar that will have a working
'ad of 250 kN. A 25 mm diameter, continuously
'readed bar with an ultimate tensile stress of
'030MPa (see Table 9.1) will have an ultimate
}ength of 506 kN and a working strength, at
0% of ultimate strength, of 253 kN.
From equation (9.9) and Table 9.2, the work-
"ng bond strength at the rock-grout interface for
1mestone with a compressive strength of 30 MPa
.;,ilIbe in the range of 700 kPa to 1MPa. Assume
~value for the working bond strength of 800 kPa
Or design purposes.
Clf the 25 mm diameter anchor (d a) is installed in
J..50 mm diameter drill hole (dh), the value of the
')tio da/d h is 0.5 (see equation (9.2)). Assuming
plift and moment .!fat the bolt is anchored with cement grout, and
'ution; and (d) seeti
:IKat the shear stress is uniformly distributed along
tlle' bond, it can be determined from equation
'~.,8) that the required bond length is 2 m. From
~qtiation (9.11) the required development length,
Design procedure for tensioned anchors 267
assuming a factor of safety of 2, is 0.9 m. This
shows that the rock-grout bond strength is less
than the grout-steel bond strength.
The uplift capacity is the sum of the weight
of the cone of rock mobilized by the anchor
and the strength developed on the surface of
the cone as defined by equation (9.19). If the
density of the rock is 25 kN/m 3 , the apex angle
is 90', and the depth is 1 m (apex at mid-point
of anchor), the buoyant weight of the cone is
24.9 kN. The surface area is 4.4 m2 From Table
3.5, the constants (m, s) defining the rock mass
strength are m = 0.128, and s = 0.00009 and,
from equation (9.16), the working rock strength
in tension on the surface of the cone is about
lOkPa (for F of 2). The total uplift resistance is
the sum of 24.9 kN and 44kN which is less than
the design load. If the bolt length is increased to
4 m so that the cone depth is 2 m, then the cone
weight increases to 186 kN and the surface area of
the cone increases to 17.7 m2 The total resistence
is 363 kN.
Uplift/moment loading
To illustrate the design of a combined uplift and
moment loading, consider a tower with an uplift
load of 250 kN and a moment of 500 kN m. The
base of this tower has a diameter of 2 m and is
anchored with eight bolts equally spaced around
the base. The rock properties are identical to
those described in the example above.
The first step is to calculate the depth of the
truncated rock cone that must be mobilized to
support this loading condition. The tension force
is calculated from equation (9.23) to be 750 kN
and the total uplift force is 1000kN. If it is as-
sumed that the depth below the surface of the
truncated cone is 3.0 m (D = 3.0), and the water
table is again 0.5 m below ground surface (D w
= 0.5), then the weight of the 90', truncated
cone is calculated from equation (9.20) to be
1285 kN. From equation (9.21) the surface area
of one half of the truncated cone is 33 m2 , and
the resisting force due to the tensile strength of
the rock is. 330 kN. From equation (9.24) the
total resisting force exceeds the uplift force by
a factor of safety of 1.6.
 _2_68__T_e_'fl_s_iO_fl_f_o_Ufl_d_Q_tl_'O_fl_S
The load on each bolt is calculated as follows.
The applied uplift load is distributed uniformly
on each bolt and is equal to 250/8 = 31 kN. The
uplift force generated by the moment is con-
centrated on the edge of the foundation and is
distributed between three bolts (Fig. 9.23(b)).
The load on each bolt is approximately 750/3
= 250 kN and the total force on each bolt is
281 kN. For steel with an ultimate tensile strength
of 1030 MPa, a 30 mm diameter bar will have
an ultimate strength of 728 kN. If the maximum
working load is 364 kN (50% of ultimate), a
30 mm bar has adequate capacity for these loads,
with allowance for some non-uniformity in load-
ing. The load on each anchor can be calculated
more accurately by integrating to find the portion
of the force supported by each bolt.
9.3.5 Group action
Where a number of anchors are required to sup-
port the structural load, the combined effect
of the group of anchors must be evaluated. As
shown in Fig. 9.23, the cones of rock mobilized
by each anchor interact where the bolts are
closely spaced to form a single truncated cone.
In order to prevent excessive stress concentra-
tions that could fracture the rock being devel-
oped around the anchors, it is usual practice to
specify both a minimum spacing and a stagger
between the anchors, While there are no codes
defining spacing and stagger, one commonly used
criterion for the minimum spacing is that it should
be the lesser value of three diameters of the
bond zone or Urn (4ft) (FHWA, 1982). Also, 1. Number of anchors to be monitored:
the South African Code of Practice (1972) rec- .
ommends that for anchors spaced apart less than
0.5 times the fixed bond length, the stagger
between alternate anchors should be 0.5 times the
fixed bond length.
Anchors Can also be staggered by installing
them at different angles. This is particularly 2. Frequency of monitoring:
important where there is a persistent set of frac-
tures; the anchors should be oriented so that they
croSs the fractures and are not all aligned either
parallel to or perpendicular to the fractures. 3. Load change tolerance:
-------------T~-
(a) A
9.3.6 Cyclic loading of anchors d,
Conditions that could result in cyclic loading On 'T'Ille-del
tensio~ed anchors may in~lude tidal movement, ,")fsult fn
and WInd and traffic loadIng (Madhloom, 1978;', (trand a
AI Mosawe, 1979). Where the anchorage is in i' ""chor :
highly fractured rock, the cyclic loading may, ':jaxatio
cause loosening and, dilation of the rock mass,)' plied I
and eventual reductIOn III the capacIty of the. iite str
anchor. The installation of prestressed ancho;- Jilo of
under these conditions will maintain the inte - 41imitr
lock between the blocks of rock in the anch' ,1000 I
zone and minimize th~ risk of movement , -'Ong-I
the anchorage. In additIOn, the ':I se of pressu,nly sf
grouting will help to consolidate the rock mass :'toxin
.,jority
,.two J
9.3.7 Time-dependent behaviour and cree :a is g
',wA
On many projects that rely on tensioned anch
for permanent support, there is a requirem '4 she
;: for
for long-term monitoring of both the load',
eteJ
selected anchors, and deformation of the str'
.lure. These two sets of information will be'
value in interpreting the results and deter
ing the cause of any displacement or chang~
load. For example, movement in a direction "
lengthens the anchor together with an incr'
in load would indicate that the anchor is hold,
but there is insufficient anchoring force to
vent movement ofthe structure. ,j
A monitoring specification has been prep
by the Bureau Securitas (1972) which spe,
both the number of anchors that must be
itored and the monitoring frequency as folio
(a) 10% of total anchors installed for
anchors;
(b) 7% of total anchors installed forSi
anchors; ". - -. '-.".
(c) 5% of total anchors installed
anchors.
(a) First year, every three months;
(b) Second year, every six month.s;
(c) Third to tenth year, once a
 Design procedure for tensioned anchors 269

(a) A change in load greater than 20% of the the blasting procedure sO that there is no damage
:hors
design should be investigated, to the anchors. Damage that can be caused by
in cyclic loading 0' e-dependent behaviour of rock anchors will blasting may include fracture of the grout in the
Ide tIdal movemeql" ult from both relaxation of the steel bar or bond zone, overstressing of the bar or strand,
~ (Madhloom, 197' and and creep of the grout and rock in the and disturbance of the head of the an'chor.
the anchorage is char zone. As discussed in Section 9.2.2, Methods of protecting anchors against these
cyclic loading m' axation of the steel will be negligible if the causes of damage are described below.
n of the rock 10' 'lied load is not more than 50% of the ulti-
the capacity of: e strength. At applied loads in excess of (a) Blast damage to bond zone
prestressed anch .~' of the ultimate strength, relaxation will
Detonation of an explosive confined in a drill
maintain the int jimited if the anchor is restressed at a time hole will generate a shock wave in the surround-
rock in the ant' 000 hours. ing rock that will have sufficient energy within a
;k of movement eng-term monitoring of anchor loads com- distance of about 40 to 50 borehole diameters to
the use of pres ~ly shows a 5% to 20% decrease in load over
fracture the rock. At greater distances, the shock
jate the rock 10 'toximately the first six months with the wave will generate ground vibrations that may
Ority of the load being lost in the first one have sufficient magnitude to fracture the grout
two months. After the first six months, the in the bond zone. The resilience of grouted
tl is generally stable or decreases very slowly anchors to blasting is demonstrated in hard-rock
:)NA, 1982; Golder Associates, 1989). Figure mining operations where it is common practice
>n tensioned an' to mine upwards through pre-placed passive
re is a require, ~. shows a typical plot of load loss against
~for anchors comprising 12 x 15.21010 (0.6)
anchors. Despite the high level of explosive
of both the 10 energy to which these anchors are subjected,
mation of the eter Dyf?rm strand with an 8m (26 ft) long
.,or zone In a 1401010 (5.5 in) diameter drill they are still vel)' effective in supporting the
ormation will mine roof.
suIts and dete " The design loads were in the range of 2172
37kN (488 to 525 kips) (Littlejohn and The magnitude of blast vibrations is usually
.ement or chan expressed in terms of the peak particle velocity
lt in a directio e,1979).
of the ground motion, and it is likely that fully
er with an inc set grout can withstand, without significant
Ie anchor is hot Effect of blasting on anchorage cracking, a peak particle velocity of about 100
loring force may sometimes take place close to ten- to 150mm/s (4 to 6in/s). Ground vibrations are
lIre. controlled, at a given distance from the blast,
anchors and it will be necessary to design
1 has been pre.
m) which spe'
that must be" z
~ Initial Load 1\
a load ross (%)
'quency as folic:'
l t'---o_. ._0_._._.-._._.-
(kN) 'I

I
Q
monitored: . ,'. .2 25
2180 1
I installed fort 1) '-'_0--,_,_,
c '-'-'-'-'-
'00
;;;
.2
50

\
2337 2
IirI
" 75 'I
~

'"
installed 2172 5
I'I
a 100
'I
c ~l-
~
o . 1000 hrs 3000 hrs 10 ago hrs
125
months; ~ a 25 50 75 100
~ months; Weeks after lock-olf
nee a year.
dt. 9.24 Long-term load monitoring of anchors (Littlejohn and Bruce, 1979).
 __T:_e_D_s_iO_D_fo_u_D_d_a_tl_'o_D_s
_2_70
by limiting the explosive charge weight deton-
ated per delay. Methods of calculating ground
vibration levels from blasting records, and allow-
able vibration levels for partially set grout, are
described in Section 10.3.4.
(b) Overstressing of bar or strand
Passage of the shock wave through the rock
causes dilation and compression of the rock mass
which will alter the strain in the anchor. This
strain will be transient if the rock behaves elas-
tically. However, if the magnitude of the shock
wave is sufficient to open permanently fractures
which are intersected by the anchor, there will
be a corresponding permanent increase in the
stress in the anchor.
Measurement of ground vibrations with blast
monitoring', equipment Will give an indication
of the magnitude of the transient displacement,
from which the increase in load in the free stress-
ing portion of the anchor can be estimated. If an
anchor is close enough to a blast that it may be
within the possible zone of rock fracture, that is
less than about 40 to 50 blast hole diameters,
controlled blasting techniques such as cushion
blasting or pre-shearing should be used to limit
the rock damage behind the face.
An example of stresses induced.in tensioned
anchors by blasting is given by Littlejohn et al.
(1977b) in which they monitored both the tran-
sient and p.ermanent stress in anchors installed
in the footwall of a coal mine..The anchors had
working loads of 1500 kN (337 kips) and free
stressing lengths of 12m (39ft), and were located
parallel to the rows of blast holes. A row of nine
blast holes, each loaded with 32kg (70Ib) of ex-
plosive and located 5 m (16 ft) from the row of
anchors, was detonated on a single delay.De-
tonation of this explosive charge caused an instan-
taneous increase in anchor load of 100 kN (7%)
and a permanent increase of load of 64 kN (4%).
(c) Flyrock damage
Where there is a possibility of damage to the
head ofa prestressed anchor from flyrock, either
the blast should be covered with blasting mats
or the head protected in an appropriate manner.
-----------_1_
:::.~!~:i
This is particularly important in the
strand because the wedges are highly
and sensitive to damage.
~ ,(hick, ,
" :%0.5 '(
9.3.9 Anchors in permafrost
ianehor
Extensive rock bolting has been carried out in,'ent (
permafrost using both cement and resin anchor.} ppon
ages. The general method used in all these instal;!!' en r
lations is to heat the ground around the anchd JF).
sufficiently to melt the permafrost during t lithe,
time that the cement or resin is setting. Wh' ,t th,
the permafrost reforms, the ground expands ded
develop a contact pressure between the grou'
and the grout that enhances the bond stren '
(Kast and Skermer, 1986). Using this meth
the cement or resin sets normally and the bo'
strengths developed are comparable to th~
obtained in unfrozen ground.
Tests have been conducted in 8 m (26ft) d'
holes in sound, frozen rock using a neat Cim'
Fondu-water grout mix heated to about 1
(55 'F); ciment Fondu has a high heat of hy
tion which counteracts the cooling effect Of
ground. The bar was heated prior to installa
and the permafrost around the hole was m
by circulating steam. It was found that the t
perature in the grout was maintained above fr
ing for up to 18 hours, which compared t,
setting time of the grout of about 5 hours.
tests indicated that an ultimate rock-grout"
strength of about 1 MPa (145 p.s.i.) was.
veloped, while the steel-grout bond stre'
was as high as 7MPa (1015 p.s.i.). These b
values are similar to those for anchors in
rock (see Table 9.2).
Resin has also been used for anchor inst
tions in permafrost with ground tempe!,a.,
down to -30 'C (-22 'F). The procedure,"
circulate hot water in the hole to meltt
around the hole, and to heat the bar an~:
to about 35 'C (95 'F). The bar was then in'
in the normal manner and the resin set ber
temperature of the ground adjacent to th.
dropped below the freezing level (Kasi,l
A detailed testing programme of ane.
stalled in permafrost has also been'
 Corrosion protection 271

in the Johnston and Ladanyi (1972). The material in process of corrosion is complex and not clearly
e highly anchor zone comprised varved silt and clay, understood, particularly in the highly variable
taining ice lenses 2 to 8 mm (0.08 to 0.3 in) conditions that may occur below the ground sur-
.. , at an overall ground temperature of about face. For this reason corrosion-protection mea-
,5'C (31F). The grout mix used for the sures are almost always provided on permanent
i,h0rage consisted of high early strength ce- anchors.
~n carried ou nt (Type 1lI), sand and water mixed in the
:md resin anc 'artions 1:1:0.5. The grout temperature
9.4.1 Mechanism of corrosion
in all these i n placed was between 5 and 14C (40 and
round the an' f). At the completion of the test programme The mechanism of corrosion of prestressing
Ifrost dUring' he anchors were recovered and it was found steel is predominantly an electrolytic reaction
is setting. ' r'the grout was hard and the particles well in which three conditions must be present. First,
ound expand oed, and the surface in contact with the the steel strand or bar must be in contact with
ween the gra 'en soil was not flaky or powdery, Although an electrolyte, which in rock anchors is usually
le bond stren ':primary purpose of this programme was to water. Second, the electrolyte must be in contact
ling this met 'duct creep tests, it appears that a working with an anode and a cathode, and third, there
lIy and the b d strength for these conditions was about must be direct metallic connection between the
larable to th, ~pa (14.5 p.s.i.). anode and cathode (Fig. 9.25). A film of water
is sufficient to develop corrosion, and the cor-
1 8m (26ft)~e: rosion risk increases in flowing water where the
;' Corrosion protection
ng a neat Cim' corrosion products are carried away to expose
d to about 1.~ ~'protection of permanent anchors, and some- a new surface to attack. Humidity is an even
gh heat of hy~ is temporary anchors, against corrosion is more dangecous condition because of the ample
ling effect of': !af the most important aspects of their design supply of oxygen to the corrosion site (Littlejohn
ior to installa' iconstruction. Current practice is to provide and Bruce, 1977).
hole was m.;) arrosion-protection system, appropriate for Where these three conditions exist, corrosion
mdthat the site conditions, for all permanent anchors, as will occur if a current flows between the anode
lined above f tas for temporary anchors where the environ- and the cathode. The rate of corrosion is propor-
I compared ,t is corrosive and there is a chance of failure tional to the magnitude of the cmrent, and cor-
out 5 hours.: ':~g the service life. The importance of cor- rosion occurs as the metal ions go into solution
rock-grout lim protection is demonstrated in the resuits at the anode. There are two mechanisms which
p.s.i.) was .survey of failure of anchorage systems caused will develop a current flow. First, a galvanic
It bond stre 'torrosion (Littlejohn, 1987). A total of 35 micro-cell is set up where the cathode has a
;.1.). These es of corrosion failure have been reported in higher electrical potential relative to the elec-
anchors in <'literature, of which 11 were temporary an- trolyte than does the anode, resulting in the
-'rs; the time to failure varied from six months development of a potential diffecence between
. anchor inst 3.1 years. Failed anchors could be divided into the anode and the cathode (Fig. 9.25(a)). Second,
nd tempera' ",'.allowing three categories:
~.
where stray direct currents are present in the
Jrocedure w' soil, the steel offers a low-resistance path and a
,Corrosion of the bond zone (2 failures);
to melt th portion of the current may leak into the anchor
'(;orrosion of the free stressing length
he bar and., (Fig. 9.25(b)). Where the current leaves the steel
vas then ins
:41 failures); and discharges back into the soil or electrolyte,
orrosion of the head (19 failures).
sin set befo ".:'.' ,
an anode is formed and corrosion pits will form
cent to the< Ilethese failures are only a small fraction of at this point (FHWA, 1982). Potential stmy cuc-
I (Kast, 1989 giinillions of anchors that have been installed, rent soucces are electrified railways, welding
e of ancha, b'psion is almost the only cause of failure once operations, cathodic protection rectifiers and
Jeen carrie.~. ;system has been installed and tested. The electroplating plants. '
 272 Tension foundations
-------------------------------------.
Corrosion products tween
(Fe(OH}z) _ - - - - _ ./Sodium chloride J!lore J
"" - . . .:. x: solution
. under
// .......
Air / (OH)- (OH)- "- ;.. ~t;~ at the:
/ / Fe++ Fe++ " ........... Oxyger
e- ., I e itc?ncen
ti:c.omes
:'centrat
hf the
Mfere
'. ydro
At anode: Ferrous ions go into solution.
At cathode: Hydroxyl ions formed at edge of sodium chloride solution. droge!
H2 0 + 0 + 2e- ~ 2(OH)- ,an el,
Ferrous hydroxide formed where the products of the anodic 'of a g:
and cathodic zones meet Fe++ + 2(OH)- _ Fe (OHh

(a)

d.c.
power
source

Stray current

(b)

Figure 9.25 Representation of corrosion mechanisms: (a) galvanic microcell developed at steel surface-CHan
1982); and (b) stray-current corrosion (FHWA, 1 9 8 2 ) . '

The development of galvanic micro-cells will
occur under a variety of circumstances, all of
which meet the three conditions for corrosion
listed in the previous paragraphs. Anyone, or a
combination, of the conditions described below
may develop around an anchor and result in
corrosion (Hanna, 1982).
1. Inhomogeneities within the metal. Impurities
and regions of varying composition will have
different electrical potentials with the'
that a current flow is generated betwe
ferent regions within the metal.
2. Defects at the metal surface. Cracks y
metal surface, which may develop w ..
steel is stressed, form discontinuities
protective layer and the crack bec?
anodic zone where corrosion may beini
3. Bimetallic cells. Where two metals are;'
tact, the difference in electric potent
 , Corrosion protection 273

'lween the metals generates a current. The where metal ions go into solution. These ions
'litore reactive cell acts as the anode and, react with the water to produce a variety of iron
"nder the right conditions, corrosion occurs oxide corrosion products (rust). As the process
at the anode. continues, the pH of the cathode increases due
o%ygen supply. Where there is a high o%ygen to the accumulation of hydroxyl ions. Simultane-
'ncentration at the surface, the metal be- ously, the pH is lowered within the pit because
mes cathodic and sites of low oxygen con- corrosion products retard the diffusion of oxygen
ntration become anodic. The magnitude into the pit, while chloride ions migrate into
f the current generated is related to the the pit. The rate of corrosion increases as the
'ifference in oxygen concentration. pH decreases.
. ydrogen concentration. A variation in hy-
lulion. llrogen ion concentration, or pH, produces (b) Stress corrosion
.n electrical differential and the formation Stress corrosion cracking is an anodic corrosion
.Qf a galvanic micro-cell. process with the crack forming at anodic sites .
The formation of a crack in a steel under high
:2 Types of corrosion tensile load exposes a fresh metal surface to
attack and the reduction in cross-sectional area
rrosion can occur as general corrosion on may eventually result in brittle failure of the
:lentire surface of the steel, as local corrosion
anchor. There is some indication that high-
:. ing pitting and crevices, and as hydrogen strength steels with a yield stress above 1240MPa
'brittlement. General corrosion Tesults where(180000 p.s.i.), or a Rockwell C hardness greater
-'anode and cathode are approximately equal than 40 are susceptible to stress corrosion cracking
area, and can be beneficial where it forms a (Uhlig, 1971).
:~, continuous and stable coating that protects
~,steel from further attack. Local corrosion (c) Hydrogen embrittlement
,associated with defects and inhomogeneities Hydrogen embrittlement occurs when atomic
,the steel, and also where stressing produces hydrogen resulting from a corrosion reaction
j,aks in a protective surface layer. Hydrogen or cathodic polarization enters the metal lattice
'brittlement occurs where the steel structure at cathodic zones. At a void in the metal the
,'disrupted and weakened by the absorption atomic hydrogen will combine to form molecular
: the metal lattice of atomic hydrogen. The hydrogen in a process that generates, internal
ditions under which these types of corrosion stresses and reduces the ductility of the steel.
velop are discussed below (FHWA, 1982; Sulphide ions at the cathode zone accelerate
eves, 1987). hydrogen embrittlement by 'poisoning' the steel
surface, enabling the atomic hydrogen more
Pitting corrosion easily to penetrate the metal. Hydrogen em-
ting corrosion results from intense local attack brittlement may not be visible on the steel sur-
ntials with the 'an electrolyte. It is one of the most destructive face, and can occur slowly resulting in failure
:nerated betwee ' rms of corrosion because the pit will reduce of the anchor long after installation.
, metal. ecross-sectional area of the highly stressed
riace. Cracks j ' ':el member. Furthermore, once initiated, (d) Bacterial corrosion
ay develop who, e corrosion process within the pit produces Wet clays, marshes and organic soils below the
Jiscontinuities ill 'condition that stimulates further corrosion. water table often contain sulphate-reducing an-
e crack become " e galvanic cell shown in Fig. 9.25(a) shows the aerobic bacteria that will accelerate steel cor-
sion may be initi " , ,nditions that produce pitting corrosiou. The rosion in de-aerated soils. These bacteria exist
wo metals are in." ,~loride ions locally weaken the passive. film pro- where sulphates, moisture and organiy matter
electric potential' !,cting the steel and an anodic zone is developed are present, and are most active at pH levels
 274 Tension foundations II
----------------------------------- ;r----~
oj

between 6.2 and 7.8. They do not survive at
high pH levels. The bacterial corrosion process
involves the reduction of sulphates to sulphides
with hydrogen supplied by the steel and the
formation of rust and weak, porous ferrous
sulphide. This corrosion may be general or local
to form pits.
(e) Corrosion in grout
Embedding an anchor in grout produces alkaline,
high-pH conditions and the formation of a gal-
vanic micro-cell involving oxygen. Local con-
centrations of oxygen at the anode lead to general
corrosion and the formation of a layer of hydrous
ferrous oxide. This is a passive layer that is in-
soluble in solutions with a pH above 4.5. Since
the pH of the grout is above 12.5, the ferrous
oxide inhibits further corrosion. However, the
protective environment provided by the grout
will be diminished if the grout is cracked or por-
ous, allowing penetration of chemicals such as
will usually create a corrosive environment 'nd Rock Bol
(Hanna, 1982): jotection for
"'stallation re.
1. Soils and rocks which contain chlorides;
2. Seasonal changes in the ground water table' .' ~sure that ev
3. Anchorages in marine environments whe'r(:' 'rrnanently.
they are exposed to sea water which contains :The genen
chlorides and s u l p h a t e s ; : . . ptection SYSI
4. Fully saturated clays with high sUlphat~\
content;::k;;'
5. Anchorages passing through different grOllrld1
types which possess different cheniitf
characteristics. ...
The corrosive environments described above ~~~,
be quantified in terms of the pH value and ta'
resistivity of the site. In highly acidic groun~
(pH < 4), corrosion by pitting is likely, wIll!
at pH values between 6.2 and 7.8, sulphal
reducing bacteria flourish. Soil resistivity isk
lated to corrosion potential by the magnitud~~9
the current that can, flow between
, .
the steel art
-',<:"~"

chloride (Cl), sulphite (SO), sulphate (S03), the soil. The lower the resistivity of a soil,! '
and carbonate (C0 3 ) ions that will neutralize the larger the current flow and the greater the Ii material
alkaline conditions. Steel corrosion within a grout rosion potential. As a guideline on corrosive "ection is
ii*,,::
column is a dangerous condition because the pro- ditions, at resistivity values less than 700 oh les a hlg
ducts of corrosion occupy a greater volume than the ground is highly corrosive, while at va :~teel by j
the original metal and large bursting pressures are greater than 5000 ohm em the ground is ous oxide
developed. These pressures may be great enough corrosive (King, 1977). In general the degre"
\.
~nslve, sm
.
to break up the grout column and can lead to loss corrosivity decreases as follows: '!nost app!:
of anchorage. '.'greatest
organic soils> clays> silts> sands> gra
tack, parI
The type of steel used for the anchor also ha ..lng. Bec
9.4.3 Corrosive conditions
influence on corrosion potential. It is found. tusual th:
Investigation programmes for anchoring pro- quenched and tempered prestressing stee' Jinbinatio
jects will usually include a study of the potential susceptible to hydrogen embrittlement carr,' way, th(
for corrosion of the anchor" Because there are and should not be used for pe.rmanent anch, ","rrien! at
many different types of corrosion as described provic
in the previous section, there are also many dif- rout. In
ferent geological and ground water conditions
9.4.4 Corrosion-protection methods .. 'nkage,
that cause corrosion. Furthermore, conditions A number of rock bolt and rock anchor resista
may change with time as a result of changes facturers have developed proprietary cor "incorp
in land use and such events as chemical spills. protection systems that have been teste ate shi
Consequently it is' difficult to determine defini- oughly ina wide range of applications a 1) 9.2.6;.
tively the corrosive nature of a site and the gen- be used with confidence for permanent a. -'()rrosi< '
":::-<'," Ii
eral practice is to provide corrosion protection A partial list of these manufacturers! or botl,
for all permanent anchor systems. Dykerhoff and Widmann (Dywidag),:" 9.261 i
The following list describes conditions that Lang Tendons, and Williams Form Ha atjl
1
~
:l
 Corrosion protection 275

Rock Bolt Co. While the basic method of 1. A corrugated sheath made of high-density
tection for all these systems is very simple, polyethylene (HDPE) is grouted over the
1 chlorides' /;' allation requires close attention to detail to full length of the bar. This operation can be
nd water t~bl;;" , re that every part of the anchor is protected carried out before the bar is inserted in the
ronments w anently. hole by placing the bar on an inclined sur-
'r which cOn!' e general requirements of a corrosion face with the head up and then pumping
'tection system are: grout through the grout cap so that the sheath
is filled from the bottom upwards. Alter-
. ere will be no breakdown, cracking or dis- natively, the sheath can be grouted after
1 olution of .the protection system during the installation in the hole.
"ervice life of the anchor. 2. A smooth plastic sheath, coinciding with
lthe fabrication of the protection system can the free stressing length, is placed over the
.be carried out either in a plant or on site in corrugated sheath. The ends of the smooth
:ribed above,' 'such a manner that the quality of the system sheath are sealed with heat-shrink tubing
H value and:! :can be verified. to prevent grout from entering the annular
y acidic gro" The installation and stressing of the anchor space between the sheaths.
is likely, w ~an be carried out without damage to the 3. Any joints in the bar are protected with
i 7.8, sulph ," rotection system. heat-shrink tubing.
resistivity is. '[j'he materials used in the protection system 4. Two tubes are attached to the sheathing. In
he magnitud :Illust be inert with respect both to the steel an up hole, the vent tube extends to the upper
en the steel ; .,anchor and to the surrounding environment. (distal) end of the anchor while the grout tube
ty of a soil" ,
.\ extends to just behind the bearing plate. In a
greater the ',e material most commonly used for corrosion down hole, the grout tube extends to the lower
m corrosive 'tection is cement grout, primarily because it (distal) end of the anchor and the vent tube
han 700 ohm ~ates a high-pH environment that passivates extends to just behind the bearing plate. The
while' at val" f steel by forming a surface layer of hydrous completed assembly is lowered into the drill
ground is n ~rous oxide. In addition, cement grout is in- hole, taking care not to bend the bar or crack
al the degree jfensive, simple to install, has sufficient strength the grout, by using a rigid cradle set at the
most applications, and has a long service life. same inclination as the drill hole.
sands > grav . 'e greatest drawback to grout is its tendency 5. The reaction plate with holes for the grout
\crack, particularly when loaded in tension or and vent tubes is installed. Attached to the
chor also has ,riding. Because of the brittle nature of grout, underside of the plate is a steel tube that
It is found t iJ,~ usual that the protection system comprises forms a seal between the plate and the plastic
>ssing steels,' ,combination of grout and a plastic sleeve. In sheathing.
~ment corros
,is way, the grout produces the high-pH en- 6. The hole is grouted from the lower end of the
anent ancho' 'ronment around the steel, while the plastic hole until grout return is obtained in the vent
leeve provides protection against cracking of tube.
,thods 'e. grout. In order to minimize the formation 7. After stressing, an anti-corrosion grease is
;shrinkage cracks that would reduce the cor- pumped through a nipple in the plate to pro-
ion resistance of the grout, it is common prac- tect the length of the bar'between the plate
tto incorporate additives in the grout mix to and the plastic sheathing. Also, a cap filled
"inate shrinkage and improve viscosity (see with grease is installed to protect the nut or
tion 9.2.6). wedges from corrosion.' '
corrosion-protection system that can be
d for both bar anchors and strand is shown The corrosion-protection system shown in Fig.
'Fig. 9.26; the components and installation 9.26 will provide three layers of protection -
,cedure are: two layers of grout and the plastic sheathing.
276 Tension foundations

Hexnut However, the portion of the anchor immediatel tbalance b,

below the head is especially vulnerable to Co Y '!defines all
Anchor nut
rosion because, in order to permit stressing an~' ,;nust be w
installation of the locking nut or strand wedges! :hoce' spec
it cannot be grouted prior to stressing, Protectio '>,', product. I
Anchor plate I.
of the head is particularly important because th~!, lIle invitee
portion of the anchor is often exposed to the' 'ion can b,
Anti-corrosion atmosphere, and on marine and river strue."e ancho'
compound tures the heads will be subjected to fluctuati'; ), level
water levels and humid aiL The head is protect ptance ,
with an anti-corrosive grease which can acco" is gives
modate movement of the head due to temp" 'e drillinl
ture fluctuations and cyclic loading; grout wo ' fanchor:
crack under these conditions. 'hieve tl
An alternative to a grouted corrugated sle ~;en bidd
Threadbar
over the full length of a strand anchor is to " pced COl
case the free stressing length in a polypropyl imld be
Cement grout sheath packed with anti-corrosion grease wh lion tha
is then embedded in grout (see Fig. 9.6). ,', succes
system will provide the same level of proteci 'e use 01
as that shown in Fig. 9.26 but the light wei 4uipmenl
and flexibility of the polypropylene sheath fa' etails of
tates handling in the field. '<ecialist I
Smooth
sheathing Corrosion-protection systems "~jects.
grout are available but are not widely ;CompOl
For example, stainless prestressing steels $ually sp,
available (George Clark Ltd, Sheffield U e workiJ
but their cost would prohibit their use ex' he ancho
. h' hi . h G
III 19 Y corrosIve atmosp eres. 'alvanized:;,
' 'od the a
d tl'on d
epoxy coated bars can be used provided car' .,
taken to prevent damage to the coating Q'verify
abrasion against the sides of the drill hole du "ethods
installation. Fibreglass bars may be an alterna eft to th,
in highly corrosive conditions. 'scussed

Corrugated
sheathing 9.5 Installation and testing
The materials from which the anchor is 'is impo
ricated, and procedures used for install' rock
and testing, are usually specified in the con. ii may
documents. These specifications must stri ,ment g
Grout cap
'es grei
essary
,anch<I
Figure 9.26 Corrosion-protection system for an~ be te
comprising two grout layers, a corrugated plastic ::, jectini
sheath, and a grease-filled sleeve for the head (co
Dywidag Systems Int.)
ess of:

------..
lor immediatel{
('
'alance between a 'method' specification that
nerable to cq~" fines all the materials and procedures that
Ilt stressing aii' 'ust be used by the contractor, and a 'perform-
strand wedg' 'ce' specification that simply defines the end
;smg, Protecti' roduc!. If only specialist anchor contractors
ant because " e invited to bid, then a performance specifica-
exposed to , n can be prepared that specifies the capacity of
nd river st 'e anchor, the minimum free stressing length,
,d to f1uctua" 'e level of corrosion protection, and the ac-
,ead is prote 'ptance criteria with respect to load testing.
lich can a 's gives the contractor the flexibility to select
due to temp~ "e drilling method, anchor materials and length
ng; grout wo, '(anchorage that will be both economical and
i:hieve the, required performance. If there is
)rrugated sl ~en bidding on the contract so that inexperi-
anchor is to" nced contractors may perform the work, it
a polypropy , "uld be necessary to write a method specifi-
on grease w tion that defines all aspects of the contract.
, Fig. 9,6). " successful anchoring project can require
vel of protec ,e use of special drilling, grouting and testing
the light wei 'uipment, as well as close attention to all the
~ne sheath f tails of the installation, and for these reasons
ecialist contractors are preferred on anchoring
IS other
ot widely uS
'rojects.
: Components of an anchoring project that are
'ssing steels' 'sually specified are the free stressing length and
Sheffield e working load, the permeability of the rock in
their use ex e anchor zone, the load-testing requirements,
s. Galvanize od the acceptance criteria for these tests. This
provided car ction discusses the testing procedure. uS,ed
he coating verify the performance of the anchor, while
, drill hole du .ethods of drilling and grouting are usually
be an altema ft to the discretion of the contractor, and are
jscussed in Chapter 10.
.5.1 Water testing
e anchor is', tis important that the grout does not leak into
I for install' he rock surrounding the anchor hole because
ld in the co :is may result in a partially grouted anchor.
ns must stri , ment grout may flow into fractures with aper-
es greater than about 0.25 mm and it will be
essary to seal such fractures prior to installing
e anchor. The watertightness of the drill hole
11 be tested by filling the hole with water and
}ijecting it to a pressure of 35 kPa (5 p.s.i.) in
:Xcess of the hydrostatic head as measured at the
(:'i~
InstaIJation and testing 277
top of the hole, The rate at which the water level
falls in the hole is observed and the hole is ac-
ceptable if the seepage rate does not exceed
0.0005 I per mm diameter per m of hole length
per minute (0.001 gal/in/ft/min) (Post Tensioning
, Institute, 1985). If this rate is exceeded, then it is
necessary to grout the hole using a low w:c ratio
grout, to let the grout set for a period of about
8 to 24 hours, and then to redrill the hole. The
watertightness test would then be repeated to
ensure that the fractures had been sealed, and
if necessary the hole could again be grouted and
drilled.
As an alternative to filling the entire hole with
water, packers could be used to isolate a section
of the drill hole and determine seepage condi-
tions at specific locations. This procedure is
probably only required where difficulty is being
experienced in sealing a hole and information
is required, for example, on whether the leak-
age is in the anchor or free stressing length. If
the leakage is concentrated in a fracture zone(s)
then the packers can also be used to grout these
fractures.
Holes which are flowing under Artesian press-
I
ures may also need sealing after drilling if it is
not possible to control the flow by applying a
back pressure during grouting of the anchor.
Failure to seal a flowing hole may result in grout
being washed from the hole and in the formation
of a poor-quality anchorage, The procedure for
grouting a flowing hole would be to seal, with
rapid-setting cement, a pair of tubes into the
collar, with the grout tube extending to the
bottom of the hole and a vent tube at the ground
surface. Each tube would be equipped with
valves to shut' off and maintain a pressure in
excess of the water inflow pressure until the
grout had set. Alternatively, drain holes could be
drilled to lower the pressures prior to installing
the anchor. '
9.5.2 Load testing
The stressing procedure for all permanent
anchors incorporates tests to evaluate their
performance and ensure that they meet specified
278 Tension foundations

~
-=--- J'----
..

! r.;
 --- 1
-------
".--------------------------
1.25 P
Installation and testing 279

Creep
test

P Lock-off

0.75 P

Load
(kN)

0.5 P

0.25 P

AL

O'------~--'----~-'----_--~--~-~-~
2 4 6 8 10 12 14
Displacement (mm)
ghtening the. re 9.28 Results of anchor performance test showing load/displacement measurements.
endent

endent
Dunted :fiension behaviour and are carried out on the AL, 0.25P, AL,
,ement will iSt two to five anchors, and 2% to 5% of the 0.25P, 0.5P, AL,
of the plate 'maining anchors, depending on the total num- 0.25P, 0.5P, 0.75P, AL,
Ifocedure is } anchors on the project. Proof and creep tests 0.25P, 0.5P, 0.75P, P, AL,
. set up on t t~carried out on the remainder of the anchors. 0.25P, 0.5P, 0.75P, P, 1.25P,
.m (3ft) ft .or any anchors that fail either test, an addi- hold for creep test, P, lock-off.
'onal two performance tests are performed, and
xtension mea AL is the alignment load required to take slack
'"failed anchor is either improved to meet the
10r is behavi' out of the system, and P is the design (lock-off)
~9uired load, or is replaced. A lift-off test is
of load wi' )rformed on every anchor.
load. The duration of the creep test is 50 minutes,
me of rock~ with elongation measurements being taken at
ing mobilii 0,0.5, 2, 5, 10, 30 and 50 minutes .
: evaluated" Performance tests . The application of an overload is an important
performan e performance test comprises a cyclic loading part of checking that the anchor has sufficient
)st Tensioni . cedure in the following sequence with an capacity, and this may be increased to 1.5P in
ngation measurement being made at each some circumstances if the load does not exceed
ce and cr~
of the I' rement (Fig. 9.28): 80% of the yield strength of the steel.
 280 Tension foundations

(b) Proof tests at 0.5 and 5 minutes e~ceeds 2mm (O.OXin), II .

The loading sequence for a proof test is as follows: load should be mamtamed for an addition'll
,
Ie
< 4')
minutes and the movement recorded. .
AL, 0.25P, 0.5P, 0.75P, P, 1.25P,
hold for creep test, P, lock off.
(d) Lift-off tests
This loading sequence' is equivalent to the last When the anchor has been locked off at II .
cycle of the performance test shown on Fig. design load, the jack pressure is reduced Ie
9.28. The duration of the creep test is 5 minutes, zero and then reapplied to determine the load I"
with elongation measurements at 0, 0.5, 2 and which the nut or wedges are lifted off the bearil;':
5 minutes. plate. ThIS test IS performed on every anchor. g

(c) Creep tests

9.5.3 Acceptance criteria
At the applied load of 1.25P in the proof tests,
creep-test readings are taken at intervals 0, 0.5, 2 An anchor is acceptable if the results of the
and 5 minutes. If the movement between readings performance, proof, creep and lift-off tests

I!.p (a) (b)

p
,/
/
I
I
,/
/
I
,
I
I
,/
/
/
,/
0.75 P
I
/
,/
I
Load I / LEGEND

,/
(kN)
I
0.5 P I
I
/ - - - - permanent displacement (Ap)

I
I
/1
/; .
elastic displacement (Ae)

- - - - (a) elastic elongation

for a.Bfr
I
I ,'I - . - - (b) elastic elongation
} Acceptance crHeria

for (/r + 0.5/,)

0.25 P
J,,/
t
AL I I

,I.

2 6 8

Displacement (mm)

Figure 9.29 Permanent and elastic displacement of anchor in comparison to acceptance criteria. Iris the free
stressing length, and lb is the bond length.
 References 281

1 (0.08in),' eet specified criteria; acceptance criteria fe- reinforcement. Finnish Soc. of Engineering
1 additional 'mmended by the PTI (1985) for permanent Geology, Annual Con/., Helsinki.
led. ,~> chors are: British Standards Institution (1985) The Struclural Use
of Concrete. BS 8110, Part 1, London.
The total elastic movement measured in per- Bureau Securitas (1972) Ground Anchors. French
formance or proof tests should exceed 80% Code of Practice, Editions Eyrolles, Recom-
<ed off atj mendations TA72.
of the theoretical elastic elongation of the
is reduced: Canadian Portland Cement Association (1984)
free stressing length, and be less than the
line the loa" Concrete Design Handbook. CPCA, Ottawa,
theoretical elastic elongation of the free pp. 178-81.
I off the beai
stressing length plus 50% of the bond length. Coates, D. F. and Yu, Y. S. (1971) Rock Anchor
,very anchor
The creep movement should not exceed 2 mm Design Mechanics. Canada Dept. of Energy Mines
(0.08 in) during the final time increment of . and Resources, Research Report No. R233.
the performance or proof test regardless Dunham, R. K. (1973) Some aspects of resin anchored
of the tendon length and load. rock bolting. Tunnels and Tunneling, July, 376-85.
, results of Dywidag Canada, Ltd (1973) Dywidag Rock Anchor -
; The lift off should show an anchor load within
,d' lift-off t MOllo-bar, Bundle Anchor, Epoxy Anchor. Dycker-
y. 5% of the specified transfer load. hoff & Widmann AG, Munich, W. Germany.
'he first criterion ensures that the rock mass Electric Power Research Institute (1983) Transmission
,. tween the head and the bond zone is mo- Line Structure Foundations for Uplift-compression
Loading. EPRI EL-2870, Project 1493-1 EPRI,
.'jlized by the applied load, and that the major
PallO Alto, CA.
'brlion of the bond stress is developed in the topFarmer, L W. (1975) Stress distribution along a resin
alf of the anchorage. This criterion is shown grouted anchor. Int. J. Rock Mech. & Geomech .
. aphically in Fig. 9.29 where the elastic (Ae) Abstr., 12,347-51.
d permanent (Ap) portions of the measured Federal Highway Administration (US) (1982) Tiebacks.
'splacement are plotted against load for the Report No. FHWA/RD-821047, Washington, DC.
performance test shown in Fig. 9.28. An anchor Ghosh, R. S. (1976) Reinforced Concrete Footing -
Anchored in Rock. Ontario Hydro Research Div-
. eets the acceptance criterion if the elastic dis-
ision Report No. S76-4-K, Toronto, Canada.
placement line falls between the two dashed Golder Associates (1983) Project files: full scale load
lines designated (a) and (b). tests on instrumented anchors .
.', It is generally found Ihat creep in rock anchors Golder Associates (1989) Project files: long term
'is small and that conducting long-term creep tests monitoring results.
is- not warranted. If creep exceeds the limit in Hanna, T. H. (1982) Foundations in Tension - Ground
,l:rilerion 2, the anchor is unacceptable because Anchors. Trans Tech/McGraw-Hili, Clausthal-
Zellerfeld, Germany.
'ihis is an indication of failure of Ihe bond rather Hobst, L. and Zajic, J. (1977) Anchoring in Rock.
Ithan the creep of the surrounding rock. Where an Elsevier, Amsterdam, pp. 38-43.
'anchor fails 10 meet the acceptance criteria, il Hoek, E. (1983) Strength of joinled rock masses.
hlay be possible to improve the bond if Ihere are Geotechnique 33,3, 187-223.
(secondary groul tubes in which pressure grouting Ismael, N. F. (1982). Design of shallow rock-anchored
."an be carried oul. If this is not possible a replace- foundations. Can. Geotech. J., 19, 463-71-
.ent anchor would have to be installed. Johnston, G. H. and Ladanyi, B. (1972) Field tests
of grouted rock anchors' in permafrost. Can.
Geotech. J., 9, 176-94.
Kast, G. (1989) Personal communication.
Kast, G. and Skermer, N. (1986) DEW Line anchors
AI-Mosawe, M. J. (1979) The Effect of Repeated and in permafrost.Geotech. News, 4(4), -30-3.
. Alternating loads on the Behaviour of Dead and King, R. A. (1977) A Review ofSoil Corrosiveness with
-Prestressed Anchors' in Sand. Thesis, University particular Reference to Reinforced Earth. Trans-
iI
of Sheffield, England. port and Road Research Laboratory, Crowthorne, I.1
everidge, R, L W. (1974) In resin anchor in slrata UK, Supplementary Research Report No. 316. .
 282 Tension founda tions

Libby, J. R. (1977) Modern Prestressed Concrete.

van Nostrand ReinhOld, New York.
Vol. 1, pp. 293-310. -----
Madhloom, A. (1978) Repeated loading of piles . ' Y
1J!
Littlejohn, G. S. (1987) Ground anchorages: cor sand. Thesis, University of Sheffield, England. In .' ;
rosion performance. Proc. Inst. of .civil Eng., Pizzi, R. (1987) Personnel communication. .:
Part 1, Vol. 82, pp. 645-62. Post~tensioning Institute (1985) Recommendations ;; r
Littlejohn, G. S. and Bruce, D. A. (1975a) Rock for Prestressed Rock and Soil Anchors, 2nd edn "v.'
anchors - state of the art. Part I: Design. Ground Phoenix. ' r
Eng., 8(4), 41-8. Radhakrishna, H. S. and Klym, T. W. (1980) Be. ','
Littlejohn, G. S. and Bruce, D. A. (1975b) Rock haviour of rock anchored foundations subject to :~"
anchors - state of the art. Part 2: Construction. shear and moment loads. IEEE Trans. on power.,
Ground Eng., 8(4), 36-45. Apparatus and Systems, Vol. PAS-99, No. '2,';
Littlejohn, G. S. and Bruce, D. A. (1976) Rock pp. 7 6 0 - 4 . '
anchors - state of the art. Part 3: Stressing and Reeves, R. B. (1987) Corrosion protection of perc',
testing. Ground Eng., 9(5), 331-41. manent tiebacks. Speciality Conf. on Rock Fall
Littlejohn, G. S. and Bruce, D. A. (1977) Rock Mitigation, Region 10, Federal Highway Admini:,'
anchors - design and quality control. Proc. 16th stra/ion, Portland, Oregon.
Symp. on Rock Mechanics, U. of Minnesota, Russell, J. R. (1968) Stress distributions around rock;
pp.77-88. bolts: elastic stresses. Proc. 10th Symp. on Rock'.
Littlejohn, G. S. and Bruce, D. A. (1979) Long-term Mech., Austen, Texas, pp. 661-6. .
performance of high capacity rock anchors at Saliman, R. and Schaefer, R. (1968) Anchored foot:
Devonport. Ground Eng., 12(7), 25-33. iogs for trartsmission towers. ASCE Annual Meeting::,:!
Littlejohn, G. S., Bruce, D. A. and Deppner, W. and National Meeting on Structural Engineering,)~'
(1977a) Anchor field tests in carboniferous strata. Pittsburgh, PA, Sept. 3-0ct. 4, Preprint 753.
Speciality Session No.4, 9th International Conf. South African Code of Practice (1972) Lateral Suppori
on Soil Mechanics and Foundation Eng., .Tokyo, in Surface Excavations. The South African Instil'
. pp. 82-6. tution of Civil Engineers, Johannesburg.
Littlejohn, G. S., Norton, P. J. and Turner, M. J. Uhlig, H. H. (1971) Corrosion and Corrosion LOn",)!,.,
(1977b) A study of rock,.slope reinforcement at Wiley, New York, p. 134.
Westfield (Scotland) open pit and the effect of Wijk, G. (1978) A theoretical remark on the
blasting,on prestressed anchors. Proc. Conf. on field around prestressed rock bolts. Int. J.
Rock Eng. UniverSity of Newcastle upon Tyne, Mech. & Geomech. Abstr., 15,289-94.
 loading 01 piles'
10
!field, England '"
nication. '>',:,,:
.;;<}
RecommendatioIlS., Construction
A nch ors, 2nd ed-:::V
~,W-~

T. W. (1980) Be;
methods
ndatlOns SUbject (
E Trans. On Pow;
. PAS-99, No.'

protection of pe
on! on Rock Ii
/ Highway Admi
Introduction
lutions around TO
)th Symp. On Ro "he construction of foundations on rock will
-6. usually involve one or more of the following three
68) Anchored 100 tasks. First, there is likely to be some rock exca-
'CE Annual Meeti' '~tion .either by blasting, or a non-explosive
~ctural Enginee;in"
, Preprint 753. m.ethod such as ripping or splitting, which must be
fl2) Lateral Supp done with care to avoid damaging the rock in the
Duth African Ins hearing surface. Second, some reinforcement of
lnesburg. 'the foundation may have to be installed to ensure
Corrosion ContT the long-term stability of the structure. Third, a
iiuitable bearing surface for the structure will have
mark on the stre ,0 be prepared. Often these construction tasks
bolts. Int. J. Ro'
289-94. "will be performed by an independent contractor
whose performance in all this work will depend
':\0 a large degree on the specifications to which
'he is working. Therefore, the construction of a
,stable foundation will depend not only on the
tpreparation of reliable designs, but also on con-
!tract documents that define clearly the work
\'required, and the rights and responsibilities of
'Jhe owner and contractor, and provide a fair level
,of compensation. This chapter describes common
Iconstruction'methods for rock excavations, and
.;;discusses the principles involved in the prepara-
'.Jion of contract documents.
On most rock foundation projects .there is a
requirement to drill holes for such purposes as
.;geological investigation, blasting, the installation
i'of anchors or socketed piers, and the set-up of This section describes common drilling methods .
.~instrumentation. An example of the versatility in and the condi.tions in which they may be used;
drilling equipment is shown in Fig. 10.1 where a
bencher is drilling holes for rock bolts in a vertical
cliff face. The bencher comprises a pneumatic
percussion drifter mounted on a boom equipped
with a chain feed; the boom is attached to the
cliff face with a rock anchor. The drillers are
suspended on heavy-duty canvas belts attached
with carabiners to steel-core, hemp ropes which
are specifically designed for this type of work.
Their supplies are carried in a spider (in the fore-
ground) which is an aluminum basket equipped
with a pneumatic hoist motor; a steel hoist rope
attached to a pin at the top of the cliff allows the
spider to be raised and lowered on the cliff.
Drilling methods that are commonly used on
rock construction projects are diamond, percus-
sion, rotary and auger drilling, with the occa-
sional use of equipment such as the Calyx drill for
large-diameter holes. In selecting the appropriate
drilling equipment, the following site conditions
and requirements should be considered;
1
1. Recovery of intact samples;
2. Length of hole;
3. Diameter of hole;
4. Directional tolerances;
5. Site access;
6. Strength and degree of fracturing of rock;
7. Depth and condition of overburden;
8. Availability of drilling water;
9. Condition of wall of hole;
10. Drilling rates and costs .
284 Construction methods
L-
l
~.~

,'mprisf
mpres:
wered
x and
e drill
, thrust
the dr
ises lei
, d hay,
ametel
, the h(
doft!
)1 is en
9Y ml
;:appl)
fmini
. 6i~O~j
~-'.
'wa
cut ,
g al
ci1:
eal
~
!
~
'i
 -------- 1 ;...--------------------------------------
igure 10.2 Diesel-powered surface diamond drill (courtesy of Boyles Bros. 1989).
comprise a power unit which may be a diesel or
drill compressed-air motor, and a drill head that is
'powered directly from the motor through a gear
iboX and gear train (Fig. 10.2). The function of
to greater depth. the drill head is to rotate the drill string, supply
:pths in excess of iii thrust to the drill bit and to advance the rods
f diamond drilled....':as the drill bit cuts the hole. The drill string com-
an holes becaus~+~ iprises lengths of drill rod which .are flush coupled
n rods used with.~%. 'and have a diameter slightly smaller than the hole
y thrust of a dia-.;i;f i diameter, a COre barrel which retains the drill core
than the impact:;~k i as the hole advances, and the drill bit on the lower
e of appropriate";#. ,end of the core barrel. The cutting face of the drill
ld-drill holes caniS:' : bit is empregnated with diamonds set in a metal
d ground Which.:>;!! : alloy matrix, and the cutting action is achieved
ussion drill. ..
. i:;~ by applying a high rotational speed (about 2000
I drilling are th~ .~f. 'crev/min) and low thrust (30 to 70 kN, or 6700
relative to per]-, 'to 16000 lb).
1 bit cuts a hol~t. It is essential that the bit is flushed continually
1 will result in'~;.i';," "jwith watcr or drilling mud to cool the bit, remove
chors compareCj~'" ',;the cuttings and reduce friction between the drill
".
oe produced bl.~!.' string and the walls of the hole. Where drilling
'ifluid circulation is lost, casing or muds are used
diamond ~:'lo seal fractures and zones of broken, permeable
Drilling 285
ground. Usual practice is to install casing through
the overburden and seat the casing shoe in bed-
rock to form a watertight seal through the per-
meable upper formations. If the drill fluid is lost
in a fracture intersected in the bedrock, various
types of muds can be used to form a cake on the
walls of the hole, or the fracture can be sealed
with grout. However, if it is later planned to
conduct permeability tests in the hole, it is nec-
essary to employ muds that will break down a few
days after use, and can be washed out of the hole
to leave the walls of the hole uncontaminated.
In North America, diamond-coring equipment
dimensions are designated by letters as shown in
Table 10.1. For example, NQTT refers to: N size
core, Q designates wire line equipment, and TT
designates a triple-tube core barrel. Wire line
equipment, which is used for deep drill holes, has
a double-tube core barrel consisting of an inner
core barrel that is retrieved with an overshot
assembly lowered down the hole on a steel cable,
or wire line (Fig. 10.3). This system allows the
core to be retrieved without the time-consuming
 286 Construction methods
-------------------------------------~
~ to 150mm (6in) for surface drills, and fro
I :i
(a) (b) (c)
Figure 10.3 Diagram of wire-line core barrel and
triple-tube assembly: (a) core-barrel retriever;
(b) upper end of core barrel; and (c) lower end of core
barrel and drill bit (courtesy ofAtlas Copco).
process of pulling the rods at the end of every drill
run. A triple-tube barrel contains a split inner
tube that is pumped out of the barrel without
disturbing the core. The split tube is placed on a
cradle and the top half of the tube is removed,
making it possible to log the core with minimal
disturbance. In comparison, the core is removed
from a double-tube core barrel by pumping Or
hammering, which inevitably results in some
1-
disturbance to the core.
1;
10.2.2 Percussion drilling
Percussion drilling is the most common method
of rock drilling because of its relatively low cost,
and the high production rates that can be achieved
(Fig. 10.4). While the predominant use of this
equipment is for drilling blast holes, it is also
to drill holes for rock -anchors, socketed piers
drainage. The two main categories of percussion
drills are pneumatic and hydraulic, with the
drifter either being on the surface (conventional
jack hammer or airtrac) or in the hole (down-the,.
hole (DTH) drills). The common range of hole.
diameters for this equipment is from 35 mm (11 in)
100mm (4in) to 200mm (8in) for DTH drills:.
The maximum length of holes drilled with surface'
mounted drifters is limited to about 30 to 40 Ill"
(100 to 120ft), although efficiency starts to dimin,.:
ish at depths greater than about 20m (65ft). Thi
depth limitation is the result of the difficulty i~
flushing cuttings from the hole, the reduction r
efficiency as a result of loss of energy in the dril
string, and the excessive deviation. Howeve
DTH drills can drill holes to depths of abo
300m (1000ft), because there is no loss of ener
in the drill string.
The principle of percussion drilling is to apply
series of impact forces to a tungsten carbide dri
bit with sufficient energy to crush and break th
rock. With each impact, the bit is rotatedt
expose a new face to the bit, while the cuttings~.
continuously flushed from the hole with air:
water. The minimum flushing or bailing veloci.
for cleaning the cuttings is 1000 to 2000 mls (3.
to 7000 f.p.s.). Thus the drilling rate depends
the following factors: the impact energy,"
thrust on the drill rods, the rotation speed/.
rate at which the cuttings are flushed from;:
hole, the condition of the rock, and the _~
dimensions. All these factors are considere
the selection of the most appropriate
method of drilling for each project.
 ~" Drilling 287
---------. ..: . - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
Y pumping or
mlts in sOme

nmon method
ively low Cost
an be achieved ..,
nt use of this':illii
, it is also used.:>
,s~,

,eted piers and",!'

; of percussion 'o'.'
llic, with the'
(conventional"
ole (down-the_';
range of hole"
n 35 mm (I~in)
ills, and from
)f DTH drills:

d with surface'
Jut 30 to 40nL.
;tarts to dimin"
'm (65ft). This
in
he difficulty
Ie reduction i ". {igure 10.4 Tracked drill equipped with surface mounted hydraulic drifter (Tamrock Drills).
'rgy in the dril
on. However',
'pths of abou In both pneumatic and hydraulic percussion valves that introduce compressed air or hydraulic
, loss of energ rills, impact is applied by means of a recipro- fluid alternatively at each end of the cylinder
cating piston which strikes the bit or drill steel and (Fig. 10.5). The shock wave travels down the drill
ng is to apply' produces a series of high:energy stress waves that steel at a speed of about 5000 mls (the speed of
'n carbide dril '.are transmitted to the bit. The impact rate is in sound in steel), and the shape of the shock wave
and break tho' :the range of 2000 to 3500 blows per minute. The depends on shape and impact velocity of the
is rotated. t 'reciprocating action of the piston is controlled by piston. A pneumatic drill produces a shock wave
the cuttings ar
lIe with air of;
lJailing velocity ,:Table 10.1 Dimensions of diamond drilling equipment (Longyear Drilling Co.)
2000 mls (30(j()
ate depends_ Core diameter mm (in) Casing OD* mm (in) Drill rod OD mm (in)
ot energy, t
tion speed,! ,Q 48.0 (1.89) 26.9 (1.06) 57.1 (2.25) 44.5 (1.75)
Ished from tit . QTT 60.0 (2.36) 33.5 (1.32) 73.0 (2.87) 55.6 (2.19)
and the hot' 'QTT 75.7 (2.98) 45.1 (1.78) 88.9 (3.5) 69.9 (2.75)
" QTT 96.0 (3.78) 61.1 (2.41) 1143 (4.5) 88.9 (3.5)
: consideredH~ , QTT 122.7 (4.83) 83.0 (3.27) 117.5 (4.63)
,riate type ani!
:1. :,',Wire line series dimensions, AW. BW, NW, HW.
288 Construction methods
1~
J
,

i
}Dowl!
rills w!
'uiretr
ton b,j
eTher iI
.".
'tig, II i
'ease~ I
.ed s j
 T
t" Drilling 289
~------ ':;;-----------------------------------------
ameter is limited by the cylinder dimensions to
about 100 mm (4 in). Also, in short holes the
penetration rate of a DTH drill is less than that of
a surface-mounted drill because of the smaller
cylinder diameter of the DTH drifter. In highly
fractured rock, DTH drills should be used with
care because caving of the hole can result in loss
of the drifter.

10.2.3 Rotary drills

Rotary drilling is a versatile drilling method that
can be used to drill holes from 75 mm (3 in) to
430mm (17 in) in diameter, and, in the case of oil
wells, up to several thousand metres deep. The
nrock).
components of a rotary drill are a surface drive
'port (1) and flows
the distribution unit, which may be a standard diamond drill,
h-pressure that applies a torque and thrust to the drill string
y. The oil in the and bit. The thrust applied to the bit may be as
tor (8) prevents high 500kN (llOOOOlb) in hard rock in order to
achieve contact pressures which are high enough
to break the rock. The rotation of the bit, at a
speed of between 30 and 120 rev/min, continu-
Ilion rate, than ously exposes the bit to a fresh rock face.
; drill was to pro: Rotary drills can be employed in very soft rock
~Figure 10.7 Pneumatic, surface mounted, rifte-bar-
ne total energy a~ }otated percussion drill showing rotation mechanism using drag bits, and in very hard rock using roller
g and breakage 0 comprising ratchet and pawls (courtesy Ingersoll-Rand tri-cone bits equipped with tungsten carbide
;1::0. and Society ofMining Engineers, 1973). inserts (Fig. 10.8). In soft rock the bit scrapes the
either dependen' rock, while in hard rock the torque and thrust
ent of the piston: applied to the bit produces a crushing and chip-
Irill rod is rotate ,cost of hydraulic drills and the more expensive ping action. The cuttings are cleaned from the
, by a rifle bar. 'maintenance.
j"
hole by either air or water which is forced down 'I
ows the piston t the drill rods and exhausted up the annulus
1 on the forwar (a) Down-the-hole drills between the drill rods and the wall of the hole.
, is positioned f ;'Drills with the drifter mounted at the surface The primary applications of rotary drills are in
erefore the spee :require that the impact energy produced by the oil wells, and large-diameter blast holes in open-
he range of about; '(piston be transmitted down the drill rIJds to the pit mines. They may be used in geological explo-
changed to suit pit. There is a significant loss of energy in the drill ration to advance the hole through materials such ,i
mdent rotation," ;string, that becomes greater as the hole depth as boulder till and rock where there is no require-
tes independen 2increases. The efficiency of the drill can be im- ment to obtain intact samples. Examination of
:-'proved significantly by mounting the drifter in the the cuttings and recording the advance rate will
II
, and is both.
.ole immediately behind the bit which allows give an indication of the geological conditions.
drills Over pn( oth larger-diameter and deeper holes (at least i,
I-
)tration rates (u
II of the drilli
00 m, or 1000 ft) to be drilled. Other advantages
.f the DTH drills are .lower noise levels, and 10.2.4 Overburden drilling II
11
nd exhaust mi ,educed wear on the drill rods. However, the Where holes must be advanced through a, con-
siderable thickness of overburden overlying the II
,I
, the high capit isadvantages are that the minimum hole di-
 290 Construction methods

y:

fuanufl
; The
:mount
,compr
;tungst
,;' a torq
expan
;'than '
:advan
j'$eate l
'ream l
j'throu
Figure 10.8 Rotary tricone drill bits: (a) soft-formation. (b) medium-formation. (c) hard-formation. (d) tungsten
~'Tube
carbide inserts for very hard formation (courtesy Hughes Tool Co. and Society of Mining Engineers, 1973). '
Th
:"'and:
bedrock, it is often necessary to install casing economies can be realized if the casing instal. 'the I
to prevent the hole from caving. Where the over- lation and rock drilling can be carried out in 0 'end
burden is soft soil, the casing can be pushed or operation using the same drill rig. Drilling s ,
driven, but in situations where the overburden is tems that can perform these dual operations ar.
dense soil or contains boulders, it will be necess- diamond drills, or two percussion methods
ary to advance the casing by drilling. Drilling namely the Tubex (previously Odex) syste'
 Drilling 291

Table 10,2 Drill hole diameters for Tubex drilling

Drill bit Casing ID Hole diameter

number (overburden) (rock)
(mm) (in) (mm) (in)

Tubex 90 102 (4) 85 (3.34)

Tubex 115 126 (5) 110 (4.31)
3 Tubex 140 152 (6) 128 (5)
Tubex 165 181 (7.1) 152 (6)
Tubex 190 205 (8.1) 165 (6.5)
Tubex215 241 (9.5) 203 (8)
Tubex240 260 (10.25) 229 (9)
Tubex 365 387 (15.25) 356 (14)

overburden drilling is complete. Cuttings are

cleaned from the hole using air or water pumped
down the drill rods and returned in the space
igure 10,9 ODEX drilling system for setting casing
through overburden (courtesy Atlas Copeo), between the rods and the casing.

, Shoulder.
. Bittube.
. Guide.
'4: Reamer.
:5: Pilot bit.
manufacturell by Sandvick, and the Klemm drill.
, The Tubex bit, which is used with either surface-
'!Daunted or down-the-hole percussion drills,
comprises a reamer mounted on a cam behind a
'tungsten carbide insert pilot bit (Fig. 10.9). When
",a torque is applied to the drill rods the reamer
iexpands the pilot hole to a diameter just larger
than the casing and the shoulder on the guide
,~dvances the casing. When the casing has been
'seated in bedrock and the torque is reversed, the
creamer contracts and the bit can be withdrawn
,ation, (d) tungsten )hrough the casing. Hole diameters drilled with
"ers, 1973), ,:Tubex bits are shown in Table 10.2.
~, The Klemm drill uses a two-tube drilling system
,;,and a top-drive hammer to rotate and impact both
the casing insta 'tthe outside casing and the inside drill rods. The
carried out in on ,tend of the casing is equipped with a ring bit to
I rig, Drillingsys '('ream out the pilot hole drilled with the tungsten
ual operations ar ,,'carbide bit on the drill rods. The drill rods can
cussion method, {be advanced independently in the rock once the
Iy Odex) syste ;'casing has been seated in the bedrock and the
'f--
10.2.5 Large-diameterdrilling
Large-diameter (greater than about 0.6m, or 2ft)
drill holes may be required for such purposes as
detailed in situ inspections of damfoundations, or
the installation of rock-socketed piers. Holes of
these dimensions can be drilled with augers (in
soft rock) or percussion methods where no core
recovery is required, or, by the Calyx method if
there is a need to recover core.
Augers are used in overburden and soft rock
with compressive strengths up to 30 MPa (4350
p.s.i.) where the material is strong enough for
the walls of the hole to stand unsupported. The
advantages of augering are the high penetration
rates, the low noise levels, and that no flushing
medium is required to remove cuttings from the
hole. In short holes, continuous-flight augers are
used where the excavated material is brought to
the surface by the rotating flights and the drill
string is not brought to the surface until the hole
is complete. For larger holes, the 2 to 3 m (6 to
10 ft) long auger is lowered into the hole on the
drill string (Fig. 10.10). When the hole has been
advanced a short distance the auger is retracted
with the excavated material and discharged by
reversing the rotation direction.
 292 Construction methods
Figure 10.10 Auger drill holes for rock-socketed piers
for a bridge foundation (diagram courtesy ofAtlas
Copeo).
For large-diameter holes in strong
1~
rock,~ I,
speciality drill called the 'Super drill' can be used '
(Fig. 10.11). This is a large-size DTH hammer; "
equipped with a button bit that can drill hOles
with diameters up to about 0.75m (30in) and to
depths of several hundred metres. This drill can f
be used to install rock-socketed piers and hOles ,,'
:,'
for high-capacity multi-strand tensioned anchors.
Where core samples are required, the Calyx Y
drilling system provides cores with a diameter up,:
to 3 m (10 ft), and a clean hole that is suitable for\"
geological mapping. The drill consists of a blunt-',
nosed steel barrel that is rotated in the hole. The>'!
cutting medium is steel shot which is poured oi!l
injected into the hole and is trapped beneath th~:;:
blunt bottom of ihe barrel. The tumbling and'!"
rolling action of the shot cuts the rock. The core::!?
which is removed about every metre, must be!"
broken off the bottom of the hole. This can bJ)'
accomplished by driving a wedge between t1ie''f:
core and the wall of,the hole, or by detonating ~,ll'
ring of primacord around the lower end of the'
core. The core is then removed by drilling a hor'"
in the top and installing a eye so that the core ca"
be lifted out with a crane.
10.2.6 Directional drilling Directi,
An important advance in drilling technology' in the oil
the ability to control the direction of drill hole! freqU<
Directional drilling allows holes to be drilled i, ",tion. Figu
both rock and soil with lengths of up to aboo ',. drilling rl
2000 m (5500 ft) in which both the path that t .:. long hole
drill follows, and the end point, can be specifi .. ~'highway.
to tolerances of about 1% of the length of t j angle off
~,while the
hole. This allows, for example, curved holes to
drilled to by-pass obstructions, or long, strai :;. the floor
holes to be drilled which would otherwise wan' The co
j;;~ystem w
off line. Applications of directional drilling;'
:iL~~re,:
clude controlling the direction of deep inv .';
gation and drainage holes, drilling multiple Ii
from a single set up, and some instrumental.' A tric
installations. Directional drilling could also Ahea
used where there is no access to a location,wh 150re
a straight hole can be drilled, where a precise, direct
is a b,
point is required, or to place instrumenta'
cables in a secure hole under a structure. be set
 ----~
11 _------------------ D_r_il_h_I1~g_2_93
I strong rock, a
drill' can be used
ze DTH hammer >-
at can drill hales '
5m (30in) and to
es. This drill can
j piers and holes
,nsioned anchors ,.
[uired, the Caly~,
ith a diameter upt.
hat is suitable for}
>osists of a blunt' 'c'
I in the hole. The:
1ich is pOured or.
pped beneath the'
he tumbling and"
e rock. The core': ,
metre, must be>
lole. This can b'
jge between thi
r by detonating ~,
ower end of th"
by drilling a h C' Figure 10.11 O.6m (2ft) diameter Superdrill for drilling socket holes in hard rock (Ingersoll Rand Co.).
that the care

Directional drilling technology was developed string. The direction of the hole is controlled
19 technologyi .in the oil industry where several production wells by setting the direction and angle of the bend
)0 of drill hal . are frequently drilled from the same surface loca- in the sub.
to be drilled . hion. Figure 10.12 shows an example of a oil well 3. A string of standard drill rods. The rods do not
of up to abo drilling rig being used to drill a 500 m (1650 ft) rotate during drilling but are used to apply a
he path that t .long hole for a telephone cable under a major thrust to the bit, to convey drilling mud to the
can be specifi~ highway. The entry point for the hole is at a dip rotary mud motor and the drill bit, and to
oe length of th angle of 60 and is located on a steep valley slope, set the direction of the bent sub (coupler
Jrved holes to Ii .. while the exit point is horizontal and located in between two types of drill rod). The rotary
or long, strai " the floor of the valley. motor is powered by the mud pumped down
therwise wan The components of the directional drilling the drill rods, which then passes through the
anal drilling . '.. s.ystem used with the drill rig shown in Fig. 10.12 bit to clean the cuttings from the hole.
of deep inve,
Ig multiple h The most efficient and accurate method of de-
instrumenta( A tricone drill bit (refer to Fig. 10.8). tecting the position of the drill hole is the MWD
; could also Eo A head assembly containing a low-speed (70 to (measurement while drilling) method. The MWD
a location whO' 150rev/min)., high-torque rotary motor which system comprises a 10 m (31 ft) long non-magnetic
lre a precise ex, directly drives the bit. Behind the motor there stainless steel drill collar located behind the head
instrumentatC is a bent sub which allows a bend of up to 2 to assembly and bent sub. Within this collar are
tructure, be set between the head and the following drill housed magnetometers, which detect the orien-
 294 Constmction methods
------------------------- L
I-.iitol is3nP
\ (1650
, . ',~,

Rock
datio
: hat
'10 fe
''"is tt
'beca
'exca
;the
the
.very
grm
T
are
effi<
,in I
:and
(sIn
\iOl
f..an<
: bla
.
,("
. me
:ran
"~_'fOI

Figure 10.12 Directional drilling system drilling 200 mm (8 in) diameter hole under highway to exit in valley floor
(Sierra Drilling).

tation of the collar relative to the earth's magnetic
field, and accelerometers which detect the dip of
the collar relative to the earth's gravitational
field. Electrical outputfrom the magnetometers
and accelerometers is encoded into a binary signal
that is pulsed up the mud column to the surface.
By frequent monitoring of the azimuth and dip
readings, it is possible to calculate the position of
the end of the drill hole and its position relative to
the required alignment. If a change in direction is
required, the drill string is rotated to reset
orientation of the bent sub.
The precision with which a hole can be directed.:::
along a specified path depends on the accuracy _.
with which its position can be determined, and'
the minimum radii through which it can be turned.
The minimum radius for a 75 mm (3 in) diameter
drill hole is about 100m (300ft) and the hole can,.
be drilled as a continuous curve, or a series of
curves and tangents. Experience has shown that.
 -
1 fr---------------------------------------
Blasting and nonexplosive rocl, excavation 295
it is possible to achieve directional control of 2
'0 3m (6 to 10ft) over a hole length of 500m
J1650 ft) (Golder Associates, 1989).
, within a few microseconds from a solid to a high-
10.3 Blasting and non-explosive rock
~xcavation
Rock excavation is often required on rock foun-
.ation projects to remove, for example, material
at may not have sufficient bearing capacity, or
to form a level bearing surface. While blasting
;5 the most common rock excavation method
because of its relatively low cost, non-explosive
~xcavation methods such as ripping, splitting and
he use of hydraulic breakers are suitable where
the rock is weak, or where there is a need for
ery precise control of excavation limits and/or
ground vibration levels.
2 The requirements of any excavation method
,are the use of procedures that break the rock
fficiently, while controlling damage to the rock
jll the bearing surface and on the slopes above
~nd below the foundation, and to any nearby
}ructures (Atkins and Sowers, 1984). This sec-
)ion describes the basic mechanics of blasting,
and how they may be applied to the design of
blasts where there is a need to control rock frag-
,mentation and ground vibrations. Also discussed
iare non-explosive excavation techniques suitable
'{lor rock foundation projects. . of the borehole develops fractures aligned par-
1\
t in valley floor
Rock fracture by explosives
.jBlasting operations comprise the following three
'tasks.
i 1. Drilling blast holes with an appropriate di-
:an be directed c. ameter, and laid out in a regular pattern as
I the accuracy 'i'; defined by the burden and spacing;
termined, an :'2. Loading the holes with a suitable type and
can be turned. '''i quantity of explosive; and
3 in) diamete. 'i;]. Detonating the holes in a precise sequence.
d the hole ca
or a series 0 . IThe design of all these parameters depends on
as shown th';-' ~'.the mechanism by which rock is broken by explo-
sives, and an understanding of this mechanism
as described below is essential in the design of
blasts.
When an explosive is detonated, it is converted
temperature gas. When confined in a blasthole,
this very rapid reaction causes pressures that can
exceed 100000 atmospheres to be exerted against
the walls of the borehole. The explosive energy is
transmitted into the rock mass in the form of a
shockwave which travels at a velocity of several
thousand metres per second. Rock breakage,
which depends on both the energy of the shock
wave, and to a greater extent on the gas pressure,
is a three-stage process, as follows: first, crushing
occurs in the immediate vicinity of the borehole;
second, radial fractures are developed; and third,
movement of the fractured rock mass takes place
towards the free face (Fig. 10.13).
The following is a more detailed description
of the rock fracture mechanism illustrated in
Fig. 10.13 (Hemphill, 1981; FHWA, 1985). As
the shock wave enters the rock surrounding the
borehole, the material is crushed in compression
for a distance of one to two borehole diameters
(Fig. 10. 13(a). However, this effect is limited
because, with the expansion of the compressive
wave front, the stress level quickly decays below
the dynamic compressive strength of the rock. At
this stage the high gas pressure and the expansion
allel to the borehole axis in the form of a series of
radial cracks that may extend to distances. up to
40 to 50 borehole diameters (Fig. 10.13(b.
Effective rock breakage will still occur if the
radial cracks do not extend to the free face.
lf there is a free face within a distance of about
30 borehole diameters of the hole, a portion of
the shock wave is refiected from the face and
this results in some spalling of rock o'n the free
face (Fig. 1O.13(b)). Furthermore, the relief
provided by the free face, combined with the
force exerted by the expanding high pressure
gas, causes movement of the rock that has been
broken and weakened into wedge-shaped pieces
by the formation of the radial cracks. This move-
ment of the rock mass extends the radial cracks
 296 Construction methods
----~-
Zone of
I
to the free face resulting in fragmentation of thej, ,10 3 2 (
crushed rock rock mass (Fig. 10. 13(c. ..
This mechanism of rock fracture clearly shows) In makir
Radial the importance of the presence of a free face : is often J
fracture Free at the correct distance from the blast hole, fa; ~cedures
face efficient blasting operations. If the hole is located c, bearing:
in a large volume of rock with no free face, there ' ~:,Excessiv,
will be no breakage other than the crushing and ;capacity,
formation of the radial cracks, and possibly Some . the foune
(a) cratering at the surface. On the other hand, if the:;, :pf a roc
hole is too close to the face, the explosive energy'- ~xcessive
will not be confined by the rock, resulting iti' cut has:
venting of the high-pressure gases and the crea.; ,trolled b
~'::.. . I
tion of excessive fiyrock and noise. ,,' ,.verhca,
The distance between the nearest free face and' , Contn
the blast hole is termed the burden, which .lsi spaced,
I approximately related to the explosive diamet~' loaded,
II Spalling by the following empirical relationship (FHWA' onated iJ
1985):';
I I
\ \
\ \ B, = 0.012(2 x ~~: + 1.5) d"
\
(b)

where Be is the burden distance in metres, SOe

the explosive specific gravity, SO, is the ro
specific gravity, and d, is the explosive diamet
in mm. Alternatively,

Rock
~~""",:;:::; ....\ .movement

--
(c)
Figure 10.13 Mechariismofrock breakage by
explosives: (a) crushing and formation of radial
fractures; (b) rock spalling on free face; and (c)
movement of fractured rock at free face.
where Be is in feet and de is in inches.
In a blast consisting of a number of multih'
rows, it is necessary that the holes be delOnat
in a sequence starting with the holes closest
the free face. With a suitable delay inte
between rows, there is sufficient time for fra,'
and displacement of the rock in each row to.,
a free face for the succeeding row. If this in .
is too short, the result is excessive airblas,
. rock fracture behind the blast holes, while
interval is too long, the muck pile is scat
An appropriate delay interval in'millisec6
about 10 to 12 times the burden in metresr
 ----
ation of the
1 :'--------------------------------------

"10.3.2 Controlled blasting

Blasting and non-explosive rock excavation 297

main blast. The principle of controlled blasting is

closely related to the mechanism of rock fracture
early shoWs :..' , ,In making a rock excavation for a foundation it described in Section 10.3.1. An explosive load is
I free face .is often necessary to use controlled blasting pro- used that generates a shock wave and gas pressure
5t hole, fo; '.' cedures that limit damage to the rock in the that is just sufficient to break the rock between
Ie is located , bearing surface and any surrounding rock cuts. drill holes, but not to cause crushing or to develop
face, there. :Excessive damage can result in reduced bearing radial fractures in the rock behind the face. This is
'ushing and 'capacity, and instability of slopes above or below achieved by two methods. First, an explosive is
ssibly some" ,the foundation. Figure 10.14 shows a photograph used with a relatively low detonation velocity -
hand, if the lof a rock cut in very strong granite in which about one half the velocity of high-strength
sive energy~ :,.excessive blasting energy in the upper part of the nitroglycerine-based gelatin dynamites. Second,
'esulting in "'cut has severely fractured the rock, while con- the explosive diameter is less than that of the drill
d the crea.( itrolled blasting in the lower half has formed a hole'so there is an air gap between the explosive
,~
: vertical, stable face. and the rock in the walls of the drill hole. The
ee face and
I, which is':
* , Controlled blasting involves drilling closely dimensions of the air gap are given by the de-
i,spaced, carefully aligned drill holes, which are coupling ratio which is the ratio of the borehole
e piameter ;:loaded with a light explosive charge, and det- diameter to the explosive diameter. At a decoup-
p (FHWA' :onated in a specified sequence with respect to the ling ratio of 2, the pressure level in the borehole

multi-hoI
detonate'
closesflo,
y interval
Jr fracture;
,w to for.
tis interVii
rblast a
hile if
scattere'
~econds'
res. 10.14 Comparison of rack conditions on pre-sheared (lower) and heavily blasted (upper) rock faces.
 298 Construction methods 'J

~
" some distar
is about an order of magnitude less than that forms a fracture, coincident with the final row of
when the explosive is packed into the hole, i.e. drill holes, across which the radial cracks from the l shear can b
at a decoupling ratio of I. main blast cannot travel. The preshear holes can ).' blasting. TJ
Rock fracture along a required design line is either be detonated on the same delay, or on , ,. in closely I
achieved when a low-energy shock wave pro- separate delays if there is a need to control ground l
relief for t
duced by a low-strength, decoupled explosive vibrations in the area outside the blast. 1, blasting.
intersects a nearby drill hole. The hole acts as The approximate explosive load per unit length
a stress concentrator, and the shockwave is re- of drill hole (we) to produce a clean presplit line ,
flected from this free face. Under the right con- without damage to the wall is given by equation '. (c) Line dr
\0 Line drillir
ditions this will result in the formation of a clean
(10.2). The actual explosive load should be ad-
fracture between the holes with no cracking of the justed to account for the rock strength and degree '; spaced, ca,
rock behind the face (Langefors and Kihlstrom, of fracturing. rline, some
1967). There is some flexibility allowed in the ~; These hal,
l, fracture to
12~00
detonation of the final line holes: they can be
We = (kg/m) (hole diameter in mm); ; during the
detonated on the same delay, or on different
delays without significantly effecting the final '.adjacent II
= ~; (Ib/ft) (hole diameter in in)
result. Also, they can be detonated before or controlled
(10.2) lof careful
after the holes in the main blast (see below).
Where there is a need for very closely con- , rock faces
trolled blasting, one or more unloaded holes can where d h is the drill hole diameter (mm or in). A partil
be drilled between the loaded holes to 'guide' the Using this explosive load, the appropriate hole cavation 0
fracture along the required line. The general spacing on the preshear line is about 10 to 12 of both c
times the hole diameter.
objective in the design of a controlled blast is for , line holes'
the distribution of explosive energy on the face ,guides for
to be as uniform as possible. This is achieved by (b) Trim blasting .'shear hole
drilling accurately aligned and evenly spaced In trim blasting, the final raw of holes is deton- . a loaded
holes, and by distributing the explosive up the full
ated last in the sequence, either as the last row in rock in tl
length of the hole using small-diameter and/of a production blast or after the production blast. (Fig. 10,1
spaced charges. To minimize poor results caused Thus the trim blast removes rock broken by the unloaded
by deviation of the drill holes, the maximum main blast and forms a, stable face along the trim situation I
depth of drill holes is usually limited to about 8 m
line, The spacing between trim blast holes can
(26 ft). be slightly greater than that for presplit holes
Three common methods of controlled blasting because in the case of trimming, there is a free
are preshearing, trim blasting and line drilling. face to provide relief for the blast. In the layout
The main features of these three methods are of trim blast holes, an approximate spacing and:' A comm'
described below, together with approximate burden are 16 and 20 times the drill hole diameter' 'ects is the
equations for the hole spacing and explosive respectively. The explosive load can be estimated' 'to create
charge. These equations should be considered as from equation (10.2). 'footing. 1
guidelines because it is essential that the strength The choice between the use of preshear anif' jng opera
and fracture characteristics of the rock mass be trim blasting is often decided by operationa 'final surf,
taken into account when designing a blast. conditions. First, for a preshear. the total burd ,and that 1
should be about 2-3 times the hole depth . '::the beari'
(a) Preshearing , ensure there is adequate weight of rock to confi ~)ng, clear
In preshearing, the row of holes along the final the explosive force; instances of displacement t;will be a
face are detonated before the main 'blast, or on the entire burden by the preshear have bee .\:concrete
,~_the othel
the first delay interval of the main blast. This recorded. Secondly, the ground vibration levels:
 l~ 2_9_9
B_l_a_s_ti_D_g_a_D_d_D_o_D_-e_x_p_lO_S_'i_v_e_I_o_c1_<_e_x_c_'Q_V_Q_tl_'O_D__

the final row of i'some distance from the blast produced by the pre- expensive trim blasting of the high points to bring
cracks from the shear can be greater than those produced by trim the ,surface to grade.
'shear holes can )., blasting. Thirdly, trim blasting is often preferred One method of producing a stable bearing sur-
e delay, or On , in closely fractured rock because there is more face close to the required grade is to use inclined,
)control ground :relief for the explosive gases than in preshear rather than vertical blast holes (Fig. 10.16). Usual
blast. blasting. blasting practice is to use vertical holes which are
Iper unit length sub-drilled to below the required final excavation
:an presplit line level. The cratering effect at the bottom of each
'en by equation (c) Line drilling blast hole then produces a rock surface that is at
I should be ad- ~'Line drilling comprises producing a line of closely no point higher than the required grade. The sub-
Igth and degree 'spaced, carefully aligned holes along the final wall drill depth for vertical holes is about one third of
line, some of which may be loaded with explosive. the burden. However, with the use of inclined
<,These holes act as stress concentrators causing a holes, the sub-drill depth can be reduced, and the
'fracture to form preferentially between the holes irregularity of the rock surface diminished. In
eter in mm); during the passage of the shock wave produced by addition, there is greater relief on inclined holes
-adjacent loaded holes. Although this method of than on vertical holes with the result that there is
I in)
controlled blasting is expensive due to the amount less damage to the rock in the foundation area.
'of careful drilling required, it can produce stable The disadvantages of inclined holes are the slight
. rock faces cut to close dimensional tolerances. extra drilling length, the greater difficulty in
r (mm or in). A particular use of line drilling is for the ex- controlling hole direction, and the increased
'propriate hole 'cavation of tight corners (Fig. 10.15). In the case possibility of hanging the drill steel in the hole,
tbout 10 to 12 , of both convex and concave slopes, unloaded especially when drilling broken ground.
dine holes are drilled in the corner area to act as
,(guides for the shock wave produced by the pre-
10.3.4 Ground vibration control
",.:~', : shear holes. On the concave slope (Fig. 10.15(a)),
holes is deton' :0i' 'a loaded hole is required to break the confined As the shock wave produced by the detonation of
the last row in:'' 'rock in the corner, while on the convex slope an explosive spreads out into the rock in the
}duction blast.::!' :(Fig. 1O.15(b)) all the holes in the corner are direction away from the free face, its energy will
broken by theiSf! \ unloaded because there is ample relief in this diminish below that required to break the rock.
along the trim:t situation (Ou Pont, 1964). However, the energy level will still be sufficient to
,last holes cani4: generate ground vibrations that may propagate to
presplit hOles considerable distances from the blast. Any struc-
there is a free i;;. 10.3.3 Blasting horizontal surfaces
tures located within this vibration area will be
. In the layoul;~ subjected to this motion and may be damaged if
Ie spacing andX~; 'A common operation on rock foundation proj- the vibration levels exceed certain thresholds. In
hole diameter'::,;j)' ',.ects is the excavation of an irregular rock surface addition, humans are very sensitive to ground
n be estimated'} ':::: ;: to create a level bearing area for the structural vibrations and may be disturbed at distances con-
,:::,,: ;'footing. The two main requirements of the blast- siderably greater than those which cause damage
preshear and - :_, ): ing operation under these conditions are that the to structures. This section describes methods of
y operational,.,,' ,. ,final surface be within close elevation tolerances, determining ground vibration levels and provides
e total burdeii,'24i,' i'and that there be minimal damage to the rock in damage thresholds for a number of types of
10le depthi ,co ''-,ihe bearing area. If there is excessive overblast- structure.
'ock to confil1' )'jng, cleaning of the rock surface of broken rock The detonation of an explosive charge near a
splacement 0 <will be a time-consuming operation, and extra free surface generates two body waves and one
ar have been ",concrete will be needed to fill the overbreak. On surface wave as a result of the elastic response of
'ation levels a' other hand, under excavation will require the rock. The faster of the two waves propagated
 300 Construction methods
1-
Pr'eshear holes on normal spacing
J
o ..

;':;

t
::<~~\
,,
,

.-
,/
.- .-
(a)

LEGEND

Rock to be

o
. excavated.
Loaded holes.

Unloaded holes.

,/
,/
,/
,/
,/
,/

,/
III II
.- , / II
,/

(b)

Figure 10.15 Layout afpre-shear and line holes to excavate rock in tight corners: (a) pattern when excavation is
inside pre-shear plane; and (b) pattern when excavation is outside pre-shear plane. . <importan
"isurface,
slowly w
within the rock is called the primary or P wave perpendicular to the direction of or.s wav
which is a compressive wave thai produces par- The surface wave, which is slower than either The w
ticlemotion in the direction of propagation. The P or S wave, is named after Rayliegh logical cc
slower body Wave is called the secondary or S its existence, and is known as the R wave. r'o o the calcl
means 0
wave which is a shear wave that produces motions terms of vibration damage, the R wave is the mos,
 1
---~--------------------------
Blasting and non-explosive rock excavation 301

LEGEND

Design grade
_L--C.L_ Approximate extent of
, overexcavation
\
\ (b)
\
\
\
\
I
I
I
I
\
\
\
\
\
\
\
\ '
- - --~V_V:_W'-~ubdrill
~Figure 10.16 Comparison of extent of over~excavation when using vertical and inclined blast holes to excavate'
}foundation: (a) inclined blast holes; and (b) vertical blast holes.

excavation is
!important because it propagates along the ground
'::'surface, and because its amplitude decays more
_slowly with distance travelled than either the P
-or S wave.
han either The wide variations in geometrical and geo-
,hwho Jogical conditions on typical blasting sites preclude
~ R wave. - the calculation of ground vibration _levels by
lve is the ,;!'leans of elastodynamic equations. Therefore,
the most reliable predictions are given by empir-
ical relationships developed from the measure-
ment of vibration levels produced by full-scale
blasts.
The potential of damage to a structure from
blast vibrations is related to the response of the
structure to passing vibrations. Damage occurs
when differential movement between structural
 _3_02__C_o_n_'_'t_l_u_ct_i_on_m_e_th_o_d_s

members or between different points in the same

~ 1---
tical, longitudinal and transverse - and it is nec_
structural member causes strains to develop essary to measure all three components and use
which, in turn, cause cracking (Dowding, 1985), the greatest, termed the peak particle ,,"locity
The strain induced in a structure is related both (PPV), to assess damage potential. The magni_ .
to the magnitude, and to the frequency of the tude of the PPV is related both to the radial
vibration, distance from the blast (R e ) and to the explosive
Numerous studies that examined the level of weight (We) detonated per delay by;
ground vibrations that induce damage in struc- n
tures, and particularly in residential structures,
have shown that damage potential can most
PPV = ke ( vW;;)-13<,
R

readily be correlated with the particle velocity

(Siskind et aI., 1976; Siskind et aI., 1980; Stagg,
1984), The particle velocity is a measure of the
velocity of particles of ground during passage of
the shock wave, and not the propagation velocity
of the shock wave itself.
The stress wave has three components - ver-
where ke and Pc are constants which have to
determined by measurements of vibrations
each particular blast site; the term (RetViV;;)
known as the scaled distance,
Equation (10.3) plots as a straight line
log-log paper in which kc is the intercept on

1000
r k.=800
50o \
400 \
30 0 \
200 \ 1
\-~.~
\ -15 'i-.
100 ' . 0) Dam.
''t~~!. , est pro:
50 0 - ' - - - ' - \ 1 \
vibration
40
30
-
I
. 1tructure
tion leve
to huma
I
1\
20
Peak
particle I
velocity 10
(mm/s) I \
5
4
I
3 I
2
SO=6.35
!
I
1
i
1 2 3 4 5 10 20 304050 100

Scaled distance (SD) :~.

Figu~ 10.17 Typical plot of. measured peak particle velocity versus scaled distance for a series of blasts.
 -
d it is nec_
1 ;--------=----~==~~~
ielocity axis at a scaled distance of 1.0, and P, is
Bl,,",,""d ,""",,1'","" rod< """"etlan 303

The velocity of 50mm/s (2in/s) is used as a

Its and use 'he slope of the line (Fig. 10.17). The results of damage threshold for a wide range of structures
!e "elocity. ibratiM measurements for surface blasts show and is accepted as a practical limit in many blast-
he magni_ . at values ofthe constants k, and P, are (Oriard, ing operations. For the results shown in Fig.
the radial 971; Golder Associates, 1989); 10.17, it was necessary that the scaled distance
~ explosive exceeded 6.35 m/kgo.5 to ensure that the velocity
k, = 400 to 1600, P, = -1.5 units; PPY -
was below 50 mm/s.
mmls, Re -'- m, We - kg; The frequency of the vibration is also of im-
(10.3) ke = 50 to 200, Pc = -1.5 units; PPY - portance in assessing damage potentiaL If the
principal frequency, that is the frequency of
inls, Re - ft, We - lb. greatest amplitude pulse, is approximately equal
. or preshear blasts where the eplosive is more to the natural frequency of the structure, then
ighly confined, the constant ke can reach values there is a greater risk of damage than if the prin-
f 6400 (metric) or 800 (imperial). cipal and natural frequencies are significantly
i Equation (10.3) can be solved to predict ground different (Dowding, 1985). The natural frequency
ibration levels for a particular blast. Alterna- of two-storey residential buildings is in the range
'vely, the maximum allowable explosive weight of 5 to 20 Hz, and the natural frequency decreases
r delay can be calculated to ensure vibration with increasing height of the structure. The prin-
evels will be below a certain threshold level at a cipal frequency of a blast will vary with such
ecified distance from the blast. Where equation factors as the type of blast, the distance between
10.3) shows that vibrations will be close to criti- the blast and the structure, and the' material
al levels,' it is preferable to measure actual through which the ground vibrations traveL
1brations to establish reliable values for the Typical construction blasts produce vibrations
, nstants ke and Pc. with principal frequencies in the range of about
50 to 100 Hz. It is found that large quarry blasts
a) Damage thresholds ~~ produce vibrations with lower principal fre-
est programmes have determined tIlarmreshold quencies than do construction blasts, that prin-
vibration levels that may result in damage to cipal frequencies decrease with increasing distance
tructures of various types, as well as the vibra- due to frequency attenuation, and that vibrations
Jon levels that are perceptible and objectionable measured in rock have higher frequencies than
(0 humans (Table 10.3). those measured in soiL
;:"
10.3.5 Vibration in uncured concrete
[fable 10.3 Peak particle velocity damage threshold
Jevels On some construction projects there may be a
need to carry out blasting operations close to
;Threshold Description of damage uncured concrete. Under these circumstances
;~~/ocity mmls
;(inls)
explosive charge weights per delay should b~
designed to keep ground vibrations to within
.3-5 (0.12-0.2) Vibrations perceptible to humans limits which are determined by the age of the
.;. 33-50 (1.3-2) Vibrations objectional to humans concrete, the distance of the concrete from the
O (2) Limit below which risk of damage to blast, and the type of structure. Figure 10.18 and
structures, even old buildings, is Table 10.4 show an approximate relationship
very slight 5%). Also, no between allowable peak particle velocity levels
damage to underground utilities. and the concrete age (Oriard, 1980). At ages less
Damage to restrained, monolithic
concrete walls. than 4 hours, the concrete has not yet set and
St5.
somewhat higher vibration levels are permissible
304 Constlllction methods
-------~
I----
4 5 10 24 50 72100 168 240 500 1000 (hrs) rable 10.4
400 ~istanCe cr
'3 7 (days)
(i)
350 14 )., imefrom
latching
300 12 hours)
250 10

200 8

150 6

all,"--
,
10
8
(m/sec)
b . --- 6

.: 4

Time from balching (hours)

Figure 10.18 Approximate maximum allowable vibration levels in uncured concrete (Oriard and Coulson. 1980)
(i) non-structural fill, mass concrete; and (ii) structural concrete walls, slabs.
a is for 0 to IS m (50ft). and
b is for greater than 75 m'(250ft)

than during Ihe period of between 4 and 24 hours
when Ihe concrete is taking its initial set.
Figure 10.18 also shows that vibration levels
must be reduced with increasing distance. Con-
crete can withstand higher vibration levels ,at
higher frequencies, because at low frequencies
greater deflections will be induced in the struc-
ture. This is of particular concern for structural
walls of freshly poured concrete. Vibration fre-
quencies decrease as the distance from the blast
increases because there is an attenuation;
frequency with distance. The result of this'
quency attenuation is that, at equal curing ti'
higher vibration levels are permitted at d'
distances as shown by the two series of r
marked 'a' and 'b' on Fig. 1 0 . 1 8 . ;
In critical conditions it is recommended.:
vibration measurements and strength tes
conducted to confirm the performance 0
concrete and the relationships given in Fig. 1
 Bearing surface improvement and rock reinforcement 305
,r - - - - - - - - - - - - - - - - - - - - - _
(} (hrs) able 10.4 Illustration of maximum particle velocity pressure is sufficient to generate fractures that
(days) istance criteria for blasting near uncured concrete will form preferentially between the drill holes
14 that act as stress concentrators. These methods
imefrom Nons/rue/ural fill Structural walls,
and mass concrete structural
produce the best results in massive rock or con-
a/ching
12 ~ours) mmls (in Is) concrete slabs crete; in fractured rock it can be difficult to con-
mm/s (in Is) trol the direction of the cracks.
10 The advantages of hydraulic splitters and
to-4 100 (4) df 50 (2) d f expansion agents are lack of noise and vibration,
8 '4-24 25 (1) d f 6(0.25) df and the precise control over excavation limits.
4-72 40 (1.5) d f 25 (1) df The disadvantages are that both these methods
6 72-168 75 (3) d f 50 (2) df
are slow and costly and are not suitable for the
68-240 200 (8) df 125 (5) df
.yer 240 375 (15) d f 250 (10) df excavation of large volumes of rock. Most expan-
sion agents require a period of about 5 to 12 hours
2 distance factor to account for frequency attenuation to break the rock.
1.0 when distance is 0 to 15 m (0 to 50 ft);
1000 0.8 when distance is 15 to 50 m (50 to 150 it);
0.7 when distance is 50 to 80 m (150 to 250ft); 10.4 Bearing surface improvement and
0.6 when distance is over 80m (over 250 ft);
rock reinforcement
10
Prior to construction of a footing it may be nec-
essary to take steps, depending on the geological
(in/sec)
p.3.6 Non-explosive excavation
and geometrical conditions at the site, to prepare
6 here an excavation must be made to close a suitable bearing surface, and reinforce the
imensional tolerances, or where vibration levels foundation rock. The purpose of this work would i'"
4
ust be restricted to very low levels, it may be be to ensure that the rock has adequate bearing
,ppropriate to use non-explosive excavation capacity, and that there is no excessive movement
2
ethods rather than blasting. Three common or weathering of the foundation rock during the
days 'ethods are impact hammers, hydraulic splitters, design life of the structure. In addition to stabil-
Dhrs d expansion compounds. Of these three, im- ization work carried out at the time of construc-
pact hammers are the most efficient and in some tion, remedial work may also be necessary during
circumstances can be more economical than the structure's service life. Remedial work is most
,lasting. However, the disadvantages of this often required in climates where the rock is sub-
',method are that the hammer is mounted on an jected to frequent freeze/thaw cycles or heavy
fxcavator boom, and space is required to accom- precipitation, or where the rock is susceptible to
modate the excavator. Another disadvantage is weathering.
jhe loud and continual noise generated during Figure 10.19 shows examples of a variety of
:its operation. surface preparation and reinforcement measures
". Excavation with both hydraulic splitters and that may be applicable on rock construction
attenuation expansion agents involves drilling closely spaced projects (Wyllie, 1979, 1991; Cheng, 1987;
)sult of this .oles (about 150 to 200 mm, or 6 to 8 in spacing) Romana and IzquierdO, 1987; FHWA, 1982). In
"al curing ';iilong the required excavation line and then Fig. 10.19 the footing is located on a bench cut
mitted at clo ~pplying a high internal pressure to the bore- into a steep rock face. The rock contains a set of
, series of lin ,oles. In the case of the hydraulic splitter the joints that dip out of the slope face at an angle of
"internal pressure is developed' by a wedge that about 300 ' and there is a potential for sliding
:ommended th 's pushed by hydraulics between two tapered failures on these surfaces. The rock also contains
trength tests. :platens. In the case of expansive cement, the a fault that is parallel to the major joint set, and
armance of 'pressure is developed when the cement is mixed weathering of the broken rock below the fault has
ren in Fig. 10.t 'With water and confined in. a borehole. This formed a cavity in the rock face. In the bearing
 --
306 Construction methods
~

area there is
that dips at
The block f,
I , I
I 4
).; land the seal
I
unstable un<
I
, I
The followiI
, . illtion work
,
3

, .. ieclures for
rovided in

(:
'The format
Cay requin
ive excav.
earing SUI
'irection 0
aency of It
be no irreg
bearing pn
area of th.
ncentrat:

Following
surfacesh,
ioose and
or water h
9 a blasted.
:duce an ~
here are
lied with
by a doz(
Figure 10.19 Surface preparation and reinforcement afrock foundation.
racks is \
1. Trim blast to create level bearing surface. 6. Tensioned rock anchors to reinforce crest of
2. Loose-and broken rock cleaned from bearing foundation.
su-rface. 7. Tensioned, multi-strand anchors installed to preVe-'
3. Lean concrete till in seam of weak rock. shear failure on fault dipping out of slope face. "
4.Shotcrete with drain holes to control rock 8. Concrete buttress to support cavity.
weathering and frost action. 9. Drain hole to prevent build up of water pressure ..
5. Pins to prevent loosening and moveJ!1ent of jointed behind buttress.
rock.
 1",~, :,," Bearing surface improvement and rock reinforcement 307
-------- r - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
area there is a seam of crushed and sheared rock cordingly, and a more extensive dental concreting
:hat dips at an angle of about 65 into the face. programme may be required.
The block formed by the intersection of the fault
nd the seam of sheared rock will be potentially
10.4.4 Shotcrete (4)
unstable under the loads applied by the structure.
he following is a brief description of the stabili- Shotcrete is pneumatically applied, fine-aggregate
\
ation work illustrated in Fig. 10.19; design pro- mortar (less than 13 mm or 1/2 in aggregate size)
edures for the work illustrated in Fig. 10.19 are that is usually placed in a 75 to 100 mm (3 to 4in)
rovided in Chapters 5, 6 and 9. thick layer (ACl, 1983). When applied on surface
excavations, the primary functions of shotcrete
are to prevent loosening and weathering of the
~0.4.1 Trim blasting (1)
surface rock; negligible support of the overall
rhe formation of a planar, level bearing surface slope is provided. The effectiveness of shotcrete
inay required controlled blasting or a non-explo- depends to a large degree on the condition of the
'ive excavation method. Where possible, the rock surface to which it is applied. The surface
earing surface should be at right angles to the should be free of organic matter, soil and broken
irection of th", applied load so there is no ten- rock, and should also be damp to ensure good
dency of the footing to slide. Also, there should adhesion between the shotcrete and the rock.
" e no irregular protrusions or cavities so that the The shotcrete applications shown in Fig. 10.19
bearing pressure will be uniform across the full will prevent the seepage of run-off water under
rea of the footing, and there will be no stress the footing, and will also prevent loosening of the
oncentrations induced in the footing. rock along the crest of the bench on which the
footing is located. It is, important that there
be drain holes through the shotcrete to prevent
~0.4.2 Surface preparation (2)
build up of water pressures; the drain holes are
Wallowing excavation of the rock, the bearing usually about 0.5 m long on 1 to 2 m centres. In
:$urface should be cleaned thoroughly of all broken, massive rock the drain holes should be drilled
.Ioose and weathered rock using high-pressure air before the shotcrete is applied so that the holes
or water hoses. Note that levelling of the base of can be located to intersect fractures along which
i a blasted excavation with a dozer will rarely pro- seepage water is flowing. The holes are tem-
,'duce an adequate structural bearing surface. If porarily plugged with rags or wooden plugs while
there are any cavities in the surface they will be the shotcrete is applied.
tillea with broken rock that cannot be compacted For all permanent applications, shotcrete
'by a dozer because the bearing pressure of the should be reinforced to reduce the risk of crack-
tracks is very low. ing and spalling. The two most common types of
'Ce crest of
reinforcement are welded wire mesh and steel
nstalled to prevenlt'~ fibres. Wire mesh is the more common reinforce-
'10.4.3 Dental concrete (3)
)f slope face. ment method but steel-fibre reinforcement is
y. 'If the bearing surface is intersected by a seam of gaining acceptance because of the rednced instal-
water pressure 'crushed or faulted rock, this can be sub-excavated lation time and, on irregUlar rock surfaces; the
)0 a depth equal to at least twice its width and final product is superior.
hen back filled with lean concrete. This proce-
, ure will probably be satisfactory where the fault Wire mesh reinforcing
width is not more than about one quarter to one Wire mesh is usually fabricated from 3.5 mm
third of the footing width. If the fault width is (0.13 in or 10 gauge) diameter wire on minimum
greater than one third of the footing width, the 100 mm (4 in) centres and is attached to the rock
design bearing pressure should be reduced ac- surface with threaded pins, complete with a nut
 308 Construction methods

and washer. The pins are grouted into holes

drilled in the rock on about 1 to 2 m (3 to 6 ft)
centres, and located at low points to hold the
mesh close to the rock face so that the mesh will
be encased entirely in shotcrete. Wire mesh can
only be used on reasonably uniform surfaces
because its stiffness prevents it from being attached
closely to irregular surfaces. It is usually not
acceptable to use the more flexible chain link
mesh because the 50 mm (2 in) opening size is too
small for complete penetration of the aggregate,
with the result that voids may be formed behind
the mesh. An alternative method of installing
mesh is to place it between two layers of shot-
crete, with the first layer creating a smoother
surface to which the mesh can be attached closely.
Steel-fibre reinforcing .
The installation of mesh to reinforce shotcrete
is time consuming and labour intensive. In com-
parison, shotcrete containing steel fibres as the
reinforcement medium can be applied in a single
pass on irregular surfaces and the extra cost of
the fibres is more than compensated for by the
saving in installation time over mesh. Widely
used fibres are manufactured from high-strength
carbon steel with dimensions of 30 to 38 mm (1.2
to 1.5in) long and 0.5mm (0.02in) equivalent
diameter. The fibres are deformed or have crimped
t~
ends to resist pull-out and their principal fUnet: 110rmlY distril
is to increase significantly the tensile and post- ,ballmg that v
crack strength of the shotcrete compared to non- partially reinl
reinforced shoterete (Fig. 10.20). Shoterete prop_ is to add the
erties are specified as follows: \\0 wet mix m
packaged in
1. Compressive strength - usually about 20 MPa I A further
(2900 p.s.i.) at 3 days and 30MPa (4350 p.s.i.) !lbe use of a r
at 7 days; the mix as ,
2. First-crack flexural strength - (4.5MPa or'650 (tJSBM, 19~
p.s.!.at 7 days);. . . i t h a parti
3. Toughness mdex whIch determmes the post:, ) cigarette
crack strength. The procedure for the caleu:. siiica fume r
l~ting toughness indices. Is and 110 is shawn on;::.) to half a
FIg. 10.20; toughness mdlces of Is = 4 and'A:"nd covers
110 = 6 are suitable for most applications. ., 'ater. The]
Shotcrete is tested by cutting samples. from ami, ~rength in
0.6 m (24 in) square by 0.1 m (4 in) thick test panet'?~" Typical!
that is shot at the same time and with the sam~.;\' ,esses are
mix and pump as the production shotcrete. The';"
.~sed when
samples are tested in a compression machine" ~ite in read
to determine the compressive strength, and f. . bags (1~
bending to determine the flexural strength and" e nozzle
the Is and 110 indices (ASTM, 1985).,\. hen usrn
Steel-fibre reinforced shotcrete can be applied he mix il
using standard shotcrete equipment, although tho' .ontent b,
wear to the pump and hose is somewhat greate
than when used tq place non-fibre mix. Pumpin
of steel-fibre mix requires that the fibres be

Toughness Indices
J _ AOAB
5 - A
OACO

I _ AOAB
10 - A
OAEF
'C ~Temeht
.3'" iSilica f\IIT
; -Blended.
c .' Steel fibr
, :Accelera
,I Figure 10.20 Load/deformati .,Super-pl,
, characteristics of steel-fibre::'
, ~~:~Water
reinforced shotcrete.
'D
J. Without fibres.

===2:3&~=5.5?1
2. 1% vol. fibres.
5.5& - - - - - - j 3. 2% vol. fibres.
Deformation. 4. 3% vol. fibres.
 Bearing smface improvement and roci< reinforcement 309
____r-------------------------------------
nction .' ormly distributed in the shotcrete mix to avoid
, post- ailing that would block the pump or produce a
o non- U partially reinforced product. The usual procedure
: prop~"" is to add the fibres in the ready-mix plant, e,ither
'to wet miX In a mIxer truck, or to dry mIx WhICh IS
packaged in 1 m' bags.
:OMPa " A further advance in shotcrete technology is
N.J.) he use of a micro-silica additive which is added to
the mix as a partial replacement for the cement
'tUSBM, 1984). Silica fume is an ultra-fine powder
'with a particle size approximately equal to that
of cigarette smoke. When added to shotcrete,
;:silica fume reduces rebound, allows thicknesses of
'~p to half a metre to be applied in a single pass,
'and covers surfaces on which there is running
,water. There is also an increase in the long-term
strength in most cases.
, Typical shotcrete mixes for wet and dry pro-
cesses are shown in Table 10.5. The wet mix is
{used where the shotcrete can be supplied to the
'site in ready-mix trucks, while dry mix is supplied
'n bags (1 mJ capacity) and the water is added at
,the nozzle under the control of the nozzleman.
{When using dry mix, better results are achieved if
the mix is pre-moisturized to about 4% water
content before it is placed in the pump.
the blocks. The function of the pins is to prevent
movement of blocks on the face because progres-
sive loosening and loss of interlock on the frac-
tures surfaces could result in a much larger failure.
The required size of pin to support a block, which
depends upon the block dimensions, and the dip
and shear strength properties of the sliding plane,
can be determined by limit equilibrium methods
!
!
(see Chapter 6). In these calculations it can be !
assumed that the pin supplies a reSisting force, Ij
acting up the sliding plane, that is equal to the
shear strength of the steel. The working strength !,
~
, of steel in shear is about 25% of the yield strength.
The pins comprise a row of steel-reinforcing
bars fully grouted into holes drilled to a depth of I
about 0.3 to 0.6 m (1 to 2ft). The diameter of the
bars may range from about 25 to 50mm (l to 2in)
and the spacing depends on the support force
required. The bars are fully encased in concrete,
both to protect the steel from corrosion, and to
provide support that will prevent any movement
of the block. Pins are usually only used to support
blocks up to about 2m (6ft) thick; it is more
efficient to support larger blocks with tensioned
rock bolts which provide both a resisting force
and normal force on the sliding plane.

,1004.5 Pins (5) 1004.6 Rock bolts (6)

; Where there is a pOSSibility of blocks sliding on The rock bolts shown in Fig. 10.19 are installed
. fractures dipping out of the slope face, the slope just below the' crest of the bench on which the
can be stabilized with pins installed at the toe of footing is located. The function of these bolts is to

. Table 10.5 Typical shotcrete mix designs (Wood, 1989)

Components Dry mix kglm" (Ib/f?) (% by wt) Wet mix kg/m3 (Ib/fr) (% by wt)

,;::-Cement 420 (26) 18.5 460 (29) 18.6

,,{ Silica fume additive 42 (2.6) 1.9 42 (2.9) 1.7 ! :
"';';"'''l!!'iTBlended aggregate 1735 (108) 76.4 1735 (108) 70.3
~Steel fibres 59 (3.6) 2.6 59 (3.7) 2.4
~:"Accelerator 13 (0.8) 0.6' 13 (0.8) 0.5'
~~,"Super~p}asticizer Required
bre :>Water Controlled at 160 (10) 6.5
nozzle

2269 100 2469 100

::':_- * or volume equivalent.
 _3_1_0_C_ou_st_I_U_c_ti_o_u_m_e_th_o_d_s ------------J_----
prevent loosening and movement of the rock in the fractured rock below the fault plane. The lthe contract.
this area which is both highly stressed, and sus- buttress fulfills two lunCti.ons: first to retain and . have t.he same
ceptible to relaxation because of its proximity to protect the area of weak rock, and second toA a set of docun
the vertical face. Movement of the rock in this support the overhang. The loads on the buttress .''Particular. ~or
area could result in loss of support along the outer are low so it is not necessary that the concrete (paslc decisiol
edge of the footing. be reinforced. However, in order that the but- ;the docum~nt
These bolts could be either tensioned or un- tress prevent relaxation of the rock, it should be ,.or fixed-pnct
tensioned depending on the geological conditions. founded on a clean rock surface and anchored to '9pen to all c
If the rock contains sets of fractures dipping the base using steel pins to prevent sliding. Also, tractors (pre,
out of the face and there has already been some the top should be poured so that it is in continu_ or .end-prodt
movement on these fractures, tensioned bolts ous contact with the underside of the overhang. IS sechon
would probably be required to increase the shear In order to meet this second requirement, it may,peCI~calions
strength of the surface. However, if the rock is be necessary to place the last pour through a hOle :"ects. mvolvm
generally massive and undisturbed, the installa- drilled downwards into the cavity from the rock cusslon.1S m
tion of untensioned, fully grouted bolts to mini- face, and use a non-shrink agent in the pour.contractl?g
mize long-term loosening of the rock may be 1972; Cnmm
satisfactory. Details of design and installation
10.4.9 Drain holes (9)
procedures for rock bolts are given in Chapter 9. . 0.5.1 Con
It is possible that ground water seepage will be
concentrated at the fault zone and the underlying ,; .,
10.4.7 Tensioned rock anchors (7) area of fractured rock. If this is the case, drain . mg prmclpal
The tensioned rock anchors shown in Fig. 10.19 holes would be required through the buttress t~;;i Advertis< .'.
are installed to prevent a sliding-type failure of ensure that water pressures do not build up be-'lZ. Informal
the wedge of rock fonned by the intersection hind the concrete. It is usual for the drain hole to ,;3. Proposal
of the fault dipping out of the slope face, and the be cased with a perforated plastic pipe to prevent' 4. Contract
subvertical seam of fractured rock. Because of it from caving. The orientation and position oftheS. Bond fO!
the high probability of movement of this wedge drain holes should be selected so that they inter- '6. General
under the applied structural loads, it would be sect the major fractures that are carrying the . ~ oil. Special!
necessary that the anchors be installed and ten- water. Since most intactTock has essentially zero,; 'S.. Technic~
sioned prior to construction of the footing. This permeability, holes which do not intersect frac, ",; ,
procedure would prestress the foundation by tures will not be effective drains. For the condi-, ". :All these i
providing normal and shear stresses on the po- tions shown in Fig. 10.19, drain holes inclined at .[generally h
tential sliding plane and prevent movement when the same angle as the fault would produce limited ':"; !'constructio:
the structural load is applied. A very important drainage compared to the flatter hole showo't ;-As a guic
aspect of the design of these anchors is the deter- which intersects a number of these fractures. .\ ;governmen
mination of the length required to en.sure that .. 'have draw:
they are anchored below the depth of the deepest
potential failure plane. This' would require both
10.5 Contracts and specificationsf~J~:v:~i~~n~
careful mapping of the rock face and a vertical The success of a construction project can often.L':'~ j;summary ,
diamond drill hole to identify all possible faults depend as much on the contract and specific~;_:;'i} .',general i?
with this orientation. tions that define the work, as on the design of th~"\::.: ." speclficatiC
project itself. The importance of contracts iSi;t.:(, .
first, that they define the work to be performe~~!1::: .(a) Gener,
10.4.8 Concrete buttress (8)
and, second, that they are legal documents tha,tc@-""i .."eThe ge?~l
The concrete buttress shown in Fig. 10.19 has prescribe the' rights and responsibilities of thO':~;';; /.responslbl
been constructed to fill a cavity in the rock face owner and the contractor. The contract must als3li;:(;(0,:"ner ar
that has developed as the result of weathering of comply with all laws which may be applicable WH;~; +qUlrement
j;~~~!
;':;~1E$; ~I
-.:?~ --
 ,
___ r
Contracts and specifications 311

" fault plane. The the contract. While most construction contracts relationships, and the authority of the engineer.
first to retain and ave the same basic format, every project requires Where the general conditions are standard docu-
ck, and second to ~ set of documents that specifically addresses the ments that are published by the contracting
ads on the buttress articular conditions of the work. Some of the agency, and it is necessary to make modifications,
, that the concrete asic decisions that are required in preparing additions or deletions to suit the requirements
'rder that the but. ' e documents are the type of contract, Le. unit of the project, these items constitute the special
rock, it should be r fixed-price contracts, whether bids will be provisions.
'e and anchored t 'pen to all contractors or only to selected con- Particular items that are usually included in the
o
vent sliding. Also :: . ctors (prequalification), and whether method general provisions are:
tat it is in continu!' or end-product specifications will be prepared.
, o~ the overhang. is section discusses these aspects of contract 1. Definitions and abbreviations of terms used in
qUlrement, it rna)' .pecifications with particular reference to proj- the specifications.
)ur through a hole ,0 'ects involving rock excavation, Also, the dis- 2. Bidding requirements which include prequa-
'ity from the rock '; cussion is mainly directed to North American lification, delivery of proposal, bonding and,
lt in the pOur. tontractingpractices (Berman and Crossland, for public agencies, a noncollusion affidavit.
972; Crimmins et al., 1972). Prequalification is documentary evidence of
capability and financial standing, or particular
experience in a portion of the work such as
r seepage will b&'E,;i, 10.5.1 Components of contract documents socketed piers ot high-tension anchors.
nd the underlying'!",,! Contract documents usually consist of the follow- 3. Contract and subcontract procedure which
IS the case, draiiii"'; jng principal components (Merritt, 1976): includes award and execution of the contract,
:h the buttress ( ". Advertisement for bids; requirements for contract bond, submission
not build up be~,. '. Information to bidders; of progress schedule, recourse for failure
the drain hole toA' to execute the contract, and provisions for
c pipe to pre,vent. Proposal form; subletting contracts.
Contract-agreement form;
ld position of th~ 4. Scope of work is a description of the work to
Bond forms;
) that they inter,'" ,6. General provisions; be performed, and such items as work space
Ire carrying the;l: '7. Special provisions; available for equipment and materials., final
; essentially zero '" '8., Technical specifications. site clean up, and maintenance of traffic where
It intersect fnic:', required. Also, a limit is set on the deviation
. For the condi- 'All these items, apart from the last two, will of actual quantities from estimated quantities
holes inclined at 'generally have similar formats regardless of the without change in the, contract price (see
produce limited " construction project aild the type of contract. Section 10.5.3).
;
'er hole shown "~'l As a guideline in preparing contracts, most 5. Control of work which includes the authority
of the engineer, the plans; specifications and
se fractures. """;':: ,government agencies, utilities and corporations
,'I':;' ,:have drawn up standard documents which they working drawings. Also included are proce-
tions
:li,:;; ,:have found to be applicable to the type of work dures for inspection and testing of the work,
-...:::~ in which they are involved. The following is a handling of defective work, contractor's claims
oject can often : . . summary of the items that are included in the for change orders, and final acceptance of the
t and specifica,",~Iif ',' general and special provisions, and the technical completed work.
ile design of tlj~'tf:: "J specifications. 6. Legal and public relations covers all provisions
If contracts is' for legal relations between the contractor and
) be performe (a) General and special provisions owner and between the contractor and the
Jocuments that :The general provisions set out the rights and general public. Also covered are liability and
ibilities of th" 'responsibilities of the parties to the contract insurance provisions, and compliance with
ltract must al " (owner and contractor) and the surety, the re- applicable laws such as public safety, explo-
e applicablet quirements governing their business and legal sives and blasting, accident prevention, public
 312 Construction methods

safety, public utilities and pollution abatement.

7, Prosecution and progress includes provisions
the contractor a specified amount of money:
each unit of work completed. The units of work ,with the
1-1,
tractor to

for commencement and completion of the may be any items whose quantities can be deter-'\,; , where tht
work, suspension of the work, unavoidable mined such as cubic metres of rock, lineal metre 'i the prole
delays, default of the contract, liquidated of rock bolt, or cubic metres of grout. Payments ; cost-plus
damages and extension of time. are usually made by the owner at specified inter- lor fixed-!
8, Measurement and payment includes provi- vals during construction, with the amount of each ,; with SalT
sions for measurement of quantities, scope payment depending on the value of the work "
of payment, payment for changes in plans, completed during the prior time period. "(d) Targ
procedures for partial and final payment, ':provisiOi
termination of contractor's responsibility, (b) Lump-sum contract ,This typt
and guarantee against defective work, If the owner knows exactly the quantities of work '{uncertai
to be accomplished, and these quantities can be ,[procedu
(b) Technical specifications shown accurately on the drawings, a lump-sum \owner a
These give details of the general and special contract can be let. Payments are usually made On _.an inee
conditions effecting the performance of the a monthly basis with the amount of each payment :agrees t
work, materials to be used, construction details, depending on the value of work completed in the !actual c
measurement of quantities under the scheduled prior time period. Note that a lump sum contract 'for hea,
items of work, and the method of payment for can be let, with a portion of the work such as ,accordi]
these items. grouting, awarded on a unit-price basis. under t
,
;is great
(c) Cost-p!us-a-fixed-fee-contract "if the a
10.5.2 Types of contract ,jncreas,
Where a contractor has a particular skill required
Factors for consideration in the selection of the for the project, a cost-reimbursement type con- Desr
most appropriate type of contract for a project tract may be negotiated, the most common of i.by the
are the certainty with which site conditions and which is the cost-plus-a-fixed-fee type. Under the an uPSt
quantities can be defined, the required flexibility terms of this contract, the owner agrees to pay the <receivi
in the construction work, and the time available contractor specified costs, usually on-site costs ! be littl
Y projec
to prepare and negotiate a contract. Fundamental incurred by the contractor in carrying out the
to the selection of the appropriate type of con- work, plus an additional fee. The fee is a profit- " may b<
tract is determining how the risk should be shared plus management fee to reimburse the contractor
between the owner and the contractor; this for the costs incurred at the head office resulting ,ii: 10.5.:
depends on the uncertainties that may be en- from the construction olthe project. Items covered ';', speci!
countered during the course of the work, The by the fee include, but are not limited to, salaries,.".!
basic contract types are unit-price and lump-sum, rent, taxes, and interest on money borrowed to The,
with various types of negotiated contracts that finance the project. ,,-- excav
may be used under special circumstances. The In order to negotiate a fixed fee or. a project, it,: " provh
following are descriptions of common types of is necessary that the scope of work be clearly." proje'
contract and the conditions in which they may defined and the required completion date estab,''''? techn
be applicable. lished. The terms of the contract must also s"'k"", bed I
out the methods for control and approval 01.-,,,,' the p
(a) Unit"price contract expenditures, and procedures for establishin; It is
This is the most common type of contract for rock actual costs. However, in an emergency situatio~,:~)Y,' these
excavation work, and is used when it is not poss- where the scope of work is not clearly defined,;:r~ mapi
, the n
ible to delineate on the drawings the exact quan- the contract may be negotiated with a fee thati~!~~lt
titieno be included in the contract. The terms of a percentage of the cost. The disadvantage of thiS!';"""':
this contract provide that the owner will pay to contract is that there is no incentive for the cori,,'!;'''''''
.-:f~",_;
 ..,.... Can!mct" and specifications 313
,
------
money for ttractor to control costs because the fee increases (a) Geotechnical data
lits of work with the construction cost. In circumstances The. technical specifications for a rock excava-
In be deter_ ,where the scope of the work can be established as tion project should include a geotechnical report
inea! metre ,the project progresses, the previously negotiated describing the geology, ground water and mate-
:. Payments 'cost-plus contract can be converted to lump-sum rial properties of the site. The information is
cified inter_ or fixed-fee contract. This will provide the owner sometimes divided into factual data and inter-
'unt of each ,with some protection against overruns. pretative data as follows. Factual data comprises
f the work mapping results, drill logs and the results of in situ
,d. (d) Target-price contract (shared-savings and laboratory .tests, with no projections or
provisions) interpretation of the data. Interpretative data
,This type of contract, which is used where there is may show such information as projection of data
:ies of work ":uncertainty regarding site conditions or work between drill holes, possible ground water inflow
ities can be ,; : procedures, provides some protection for the rates, stable slope angles of excavations and the
I lump-sum 0' 'owner against overruns by giving the contractor support methods that may be required. The
Ily made on :,an incentive to control costs. The contractor purpose of providing two sets of data is to dif-
ch payment ,agrees to a target price which is made up of the ferentiate clearly between data that has been
leted in the "actual cost of doing the work plus a variable fee verified, and interpretations of this data based
1m COntract ...for head-Office expenses and profit. The fee varies on judgement and previous experience at this
'rk such as according to whether the final costs is over or and similar sites. The reports should clearly state
is. ;}i:;,
'under the target estimate cost. That is, if the cost the limitations of the data provided. For example,
'",' is greater than the target, the fee is reduced, and freezing temperatures and heavy rain may change
"is"'Y : if the actual cost is less than the target the fee is conditions from those described in the report, and
:ill requiredBi~ ; i n c r e a s e d . ' interpolations of data between drill holes may be
t type con- J) Despite the incentives to control costs provided incorrect.
:ommon of ''', ':by the variable fee, it is still advisable to include
Under the ::2'" an upset price on the contract. If the contractor is (b) Definition of rock and soil
s to pay the.";; ;,receiving a minimal fee for the work, there may The ratio of excavation costs of rock and soil may
n-site costs'" : be little incentive for timely completion of the vary from as low as 2 for bulk excavation, to as
ng out the ':; i project. In fact, the final cost of doing the work high as IS for sites with small rock quantities to be
is a profit-' ., may bear little relation to the target price. excavated to tight tolerances. It is usual practice
, contractor' to pay unit rates for excavation quantities and this
::e resulti~g 'Jf;; requires that the contract contains a definition of
ms covered ii::. the rock and soil for payment purposes. This can
to, saIaries,,::;.;~:f~ readily be accomplished at sites where over-
arrowed tQ~:~'2j burden (soil) overlies sound bed rock and the
boundary between the two materials can be deter-
mined by mapping, drilling and geophysics. How- .
ever, where there is a continuous gradation
between 'rock' and 'soil', or the boundary is
highly irregular, it is often difficult to draw up an
unambiguous definition that clearly distinguishes
between the two materials.
The ease with which rock can be excavated
depends on both the strength of the intact material
and the degree of fracturing, so both these prop-
erties should be incorporated in any definitions
of materials that are included in the contract.
 314 Construction methods

1a r----..---,.-.,-__._.... T""T.,.,,---r--,----,,....,-.~~--_,_-,___.___._~_,_,_,
3211
1-
1 'E:
fie:
~J!'
16.4ft'
an
on
fie
fol
R,
BLAST TO FRACTURE of
so
1.0 3ft m
te
1.

0.1

2
BLAST TO LOOSEN

DIG

0.01 L-_ _-L_ _-'-__'---'----L--'-w..J.L_~"_----L---'----L--'-J...LJ.L

_ _.l___'__'L_I_L.w..l.J
0.01 0.1 1.0
(14.5) (145)

Pointed load strength I, (MPa)

(p.s.;.)

Figure 10,21 Possible excavation methods related to strength and degree of fracturing of rock (modified from
US Navy, 1982).

Figure 10.21 shows an approximate relationship
between the method of excavation - digging,
ripping or blasting - and the material properties
as defined by the strength of the intact rock
and the fracture. frequency (see Section 4.3.1).
The boundaries shown on this chart depend, of
course, on the excavation equipment used by
the contractor, and some calibration. in local
conditions .will be required before it can be used
with confidence to define materials for paJ/m"n(
purposes.
An alternative material classification, th
defines the material according .to the equipme,
with which it can be excavated, has been dra",;
up by the US Bureau of Reclamation. This class;
fication, which is given in full below, can be use;
as a gujdeline in preparing a classification to s'!
local conditions. .
 ...,.
'Except as otherwise provided in these speci-
fications, material excavated will be measured
and classified in excavation, to the lines shown
on the drawings or as provided in these speci-
fications, and will be classified for payment as
follows:
Rock excavation. For purposes of classification
of excavation, rock is defined .as sound and
solid masses. layers or ledges of mineral
3# matter in place and of such hardness and
texture that it:
1. Cannot be effectively loosened or broken
1.6ft
down by ripping in a single pass with a late
model tr.actor-mounted ripper equipped
with one digging point of standard manu-
facturer's design adequately sized for
use with and propelled by a crawler type
tractor rated between 210- and 240-net
4in
flywheel horsepower, operating in low
gear, or
2. In areas where it is impractical to classify
by use of a ripper described above, rock
2in
excavation is defined as sound material of
such hardness and texture that it cannot be
loosened and broken down by a 6-pound
drifting pick. The drifting pick shall be
class D, Federal Specification GGG-H-
506d, with handle not less than 34 inches
in length.
All boulders or detached pieces of solid
fock more than 1 cubic yard in volume will be
classified as rock excavation.
fied from Common excavation. Common excavation
includes all material other than rock excava-
tion. All boulders or detached pieces of solid
rock less than 1 cubic yard in volume will be
for payment classified as common excavation.'
(c) Risk
On most projects involving rock excavation there
is likely to be some uncertainty as to the condi-
tions that will be encountered; a single continuous
fracture may cause failure of a slope designed at a
steep angle, or a zone' of faulted rock may be
encountered in the bearing area of a foundation.
Contracts and specifications 315
,
It is usually considered that it is beneficial, to both
the cost and progress of the project, that there is
an apportionment of risk between the owner and
the contractor for these uncertainties.
The sharing of risk is most conveniently ac-
commodated by the type of contract that is used
on the project. For example, in circumstances
where there is uncertainty as to the conditions
that may be encountered, the contractors will
submit high bids if they have to assume all the
risk for construction costs regardless of the con-
ditions encountered. However, if the owner is
prepared to cover some of the risk by paying
specified unit prices for items for which the quan-
tities are uncertain, the total cost of the project is
likely to be lower. For example, the documents
may simply state that a foundation excavation
shall have certain minimum dimensions and con-
sist of 'sound rock', for which a lump-sum pay-
ment will be made. In these circumstances, the
contractor assumes all the risk and his bid must
cover contingencies for such factors as dewatering,
slope support and improvement of the rock if it
has inadequate bearing capacity. However, if
unit prices are paid for approved quantities of all
these items, the total contract price is likely to
be lower because the contractors have greater
asurance that they will be paid for the work
performed.
(d) Dispute Review Board
In order to reduce the often lengthy and costly
resolution of construction claims in the courts,
there is increasing support for an alternative
method using a Dispute Review Board (Coffee,
1988; Stanley, 1989). The Board is usually com-
posed of three members, one chosen by the
owner, one by the contractor and a third who
chairs the group, by the two members themselves.
The Board meets at the site once every three
months approximately, and also receives copies
of progress reports in order to stay informed
about the job and areas of potential dispute ..
Figure 10.22 shows the mechanism for resolu-
tion of a dispute involving the D RB, together
with the maximum times permitted for each of the
activities. The operation and functions of the
 316 Constmetion methods

An,
Initiate
'existing only ir
,binding experii
Verbal settlement bid on
order methods
from limitec
Owner Owner
owner Reject install,
written written Organize
instructions decision for hearing these I

,:. for th,

Contractor Contractor ORB
written written recommendation
the cc
request protest bility
(Time varies)
achie,
.,. design
! and t
o 2 3 4 6 57 8 9 10 11 12 13 14 15 contre:
Time in weeks returr
c=JDecision or event--.Activity .. (Maximum time permitted
Other
in specification, can be shorter)
out t,
Figure 10.22 Process for resolution of construction disputes involving a disputes review board, DRB and h
(Stanley, 1989).
(g) E
Board are defined in the contract documents. The A fae
balanced bids can be provided by including a
objective of this process is to resolve disputes as clause in the contract that requires that the unit tract
they occur, when the facts and the personnel prices be renegotiated if the actual quantity by th
involved are readily available. Furthermore, the differs from the estimated quantity by more than ment
work continues while the dispute is resolved, so, say 20%. This clause will also protect the con- speci
the schedule is maintained, the job is completed tractor in the event that the actual quantity is prefe
and final payment made promptly. substantially less than the estimate and the bid whic
price is insufficient to cover the mobilization that
(e) Variation in quantities costs. are t
It is rarely possible to define precisely in the disc!
contract the quantities or all items on the project: (f) Prequalification requ
, and/
Quantities that are often difficult to define are On rock excavation projects it may be desirable
rock and common excavation quantities, rock to have the work performed by a contractor who ence
bolt lengths, and shotcrete and grouting volumes. is experienced, for example, in presplit blasting Met
While the use of a unit-price' contract allows and control of ground vibrations. This may be the
flexibility in payment for actual quantities, it is achieved by including in the bidding reclui,renler,ts own
also desirable to have a mechanism for protection a clause specifying that the 'contractor supplies
against 'unbalanced' bids. documentary' evidence of previous experience 10.1
An unbalanced bid is a high unit price with a in this work, and that the personnel with
substantial profit margin that is bid for an item experience will be working on the project. This ACI
that only has a small quantity in the contract. process of prequalification may not be possible a
Therefore, the price of this item will not signi- projects for some government agencies who
f,
Ami)
ficantly effect the' total bid price. However, if
during construction the actual quantity of this unit
to accept bids from all contractors. In these
circumstances it may be necessary to prepare
,I
becomes much greater than that originally esti- specifications that are somewhat more detailed', 11
mated, there may be substantial increases in than on contracts where only experienced con- Ji
the overall project cost. 'Protection against un- tractors are invited to submit bids. AS'
 .,....
An additional type of prequalification involves
lte
ting only inviting selected contractors with particular
ling -\., experience in certain specialist operations to
ement bid on a project. For example, there are only a
lods
limited number of contractors experienced in the
ljeet
installation of high-tension anchors, and only
these contractors may be invited to submit bids
l for the work. However, in these circumstances
the contractor may also be given the responsi-
bility of determining the anchor length and for
achieving the required load capacity, while the
F designer only specifies the minimum working load
J and the free stressing length. In this way the
15 contractor assumes some risk on the project in
return for not having to bid on an open contract.
l!-
Other specialist operations that may not be put
out to open bidding are shotcreting, grouting
and high scaling.
(g) End-product and method specifications
ding a A factor to consider in the preparation of a con-
le unit tract is the extent to which the methods to be used
by the contractor will be prescribed in the docu-
uantity
ments. That is, whether 'end-product' or 'method'
'e than
,e con- specifications will be prepared. In most cases it is
ltity is preferable to prepare end-product specifications,
he bid which specify the structure that is to be built, so
ization that the construction methods and equipment that
are employed by the contractors are left to their
discretion. Method specifications would only be
required where an unusual structure is to be built,
. and/or where the contractors have little experi-
sirable
)r who ence in the required construction procedures.
,lasting Method specifications result in the majority of
nay be the risk being assumed by the designer and the
,ments owner.
opplies
~rience
10.6 References
th this
t. This ACl (1983) Specification for Materials, Proportioning,
ible on and Application of Shotcrete. ACI 506.2-77,
o have Revised 1983.
these American Society of Civil Engineers (1989) Avoiding
Irepare and resolving disputes in underground construction.
ASCE Technical Committee on Contracting Prac-
etailed tices, Underground Technology Research Council,
. d con-
June.
ASTM (1985) Flexural Toughness and First-crack
References 317
Strength of Fiber-reinforced Concrete (Using Beam
with Thirdpoint Loading). ASTM standards Vol.
04.02, C 1018-85.
Atkins, K. P. and Sowers, G. F. (1984) Tunneling
under building with thin rock cover. J. Geote"ch.
Eng., ASCE, 110(3), 311-17.
Atlas Copco (1978) Product Manual, 3rd edn, Atlas
Copco AB, Stockholm.
Berman, T. and Crossland, S. H. (1972) Construction
Business Handbook, McGraw-Hili, New York,
Ch.14. I
I
Boyles Bros Drilling Co. (1989) Product data. 'I
Cheng, Y. (1987) New development in seam treatment !
of the Feitsui arch Dam foundation. Proc. of Int.
Conf, Montreal, Int. Soc. of Rock Mechanics,
pp.319-26.
Coffee, J. D. (1988) Dispute review boards in ,
.,,
Washington State. Amer. Arbitration Assoc. J.,
December.
Crimmins, R., Samuels, R. and Monahan, B. P.
(1972) Construction Rock Work Guide. Wiley-
Interscience, New York.
Dowding, C. H. (1985) Blast Vibration Monitoring and
Control. Prentice-Hall, Englewood Cliffs, NJ.
Du Pont of Canada (1964) Controlled Blasting.
Wilmington, Delaware.
Federal Highway Administration (US) (1982) Tiebacks.
FHWA, US Department of Transportation, Report
No. FHWA/RD-82/047.
Federal Highway Administration (US) (1985) Rock
Blasting. FHWA, US Department of Transporta-
tion, Contract No. DTFH 61-83-C-00ll0.
Federal Highway Administration (US) (1989) Rock
Slopes: Design, Excavation, Stabilization. FHWA,
US Department of Transportation.
Golder Associates (1989) Project files .
Hemphill, G. B. (1981) Blasting Operations. McGraw-
Hill, New York.
Langefors, U. and Kihlstrom, B. (1967) The Modern
Technique of Rock Blasting, Wiley, New York.
McGregor, K. (1967) The Drilling of Rock. CR Books,
London. .~
Merritt, F. S. (ed.) (1976) Standard Handbook for Civil
Engineers, McGraw-Hili, New York, Ch. 3-4.
Oriard, L. L. (1971) Blasting effects and their control
in open pit mining. Proc. Second Int. Conf. on
Stability in Open Pit Mining, Vancouver, A1ME,
New York, pp. 197-222.
Oriard, L. L. and Coulson, 1. H. (1980) TVA Blast
Vibration Criteria for Mass Concrete. Minimizing
Detrimental Construction Vibrations, ASCE,
Preprint 80-175, pp. 103-23.
Romana, M. and Izquierdo, F. A. (1987) Reinforce-
ment of slopes under Denia Castle, Spain. Proc. of
 318 Construction methods
I
Inl. eonf., Montreal; Int. Soc. of Rock Mech.,
pp.485-9.
Siskind, D. E., Stachura, V. J. and Raddiffe, K. S.
(1976) Noise and Vibrations in Residential Structures
from Quarry Production Blasting. US Bureau of
Mines, Report of Investigations 8168.
December, pp. 58-60.
Tamrock (1983) Handbook of Underground Drilling,
Tamrock Drills, Finland.
US Bureau of Mines (1984) Selecled Pneumalic Guniles
for use in Underground Mines: a Comparative
Engineering Analysis. USBM, Dept. of the Interior,
J
Siskind, D. E., Stagg, M. S., Kopp,J. W. and Dowding, Information circular 8984.
C. H. (1980) Slruclure Response and Damage Pro- US Department of Navy (1982) Design Manual 7.1,
duced by Ground Vibralions from Surface Blasling. Soil Mechanics, NAVFAC DM-7,1, Alexandria,
us Bureau of Mines, Report oflnvestigations 8507. Virginia.
Society of Mining Engineers (1973) Mining Engineering Wood, D. F. (1989) Sholerele - sleel fibre reinforced
Handbook, Vol. 1. SME of AIME, New York, with silica fume additives. Tunnelling Association of
Ch. 11. Canada Newsletter, April.
Stagg, M. S., Siskind, D. E., Stevens, M. G. and Wyllie, D. C. (1979) Fractured bridge supports sta- i'!
Dowding, C. H. (1984) Effecls of Repealed Blasling bilized under traffic. Railway Track and Structures,
on a Wood Frame House. US Bureau of Mines, July, pp. 29-32.
Report of Investigations 8896. Wyllie, D. C. (1991) Rock slopes stabilization and pro-
Stanley, E. M. (1989) Dispute review boards, a better tection measures. 34th Ann. M. AEG, Chicago, r
way. Civil Engineering ASCE, New York, October. f Analysis
plotting I
fracture.
sets, for
the scatl
second s
j represen
,; major fr
, directior
t tural da
j provide,
t,
I.l PI(
Poles ca
I.l) on '
periphe
along rz
It shoul
Fig. I.l
dip-di,re
circle al
directio
scale inl
measur
dir~c:ly I

POSltlOll
The
sheet c
and m'
positiol
 d Drilling, APPENDIX I
aie G unites
omparative Stereonets for hand
he Interior,

tanua/ 7./, plotting of structural

\..Iexandria,

~ reinforced
geology data
sociation of

Ipports sta~
! Structures,

on and pro-
;, Chicago,
Analysis of structural geology data involves first mark is then made representing a pole for each
plotting poles representing the orientation of each fracture. Poles for shallowly dipping fractures lie
fracture. This plot will help identify fracture close to the centre of the circle, and poles of
sets, for which both the average orientation and steeply dipping fractures lie close to the periphery
the scatter (dispersion) can be calculated. The of the circle.
second step in the analysis is to plot great circles
representing the average orientation of each set, 1.2 Plotting great circles
major fractures such as faults and the dip and dip
direction of the cut face. Hand plotting of struc- Great circles are plotted on the equitorial net
tural data can be carried out on the stereonets (Figs. 1.2 and 1.3), but they cannot be plotted
provided in this Appendix. directly on this net because the true dip can only
be scaled off the horizontal scale of the net. The
plotting procedure for great circles consists of the
1.1 Plotting poles following steps in which shallowly dipping planes
Poles c,m be plotted on the polar stereonet (Fig. plot close to the periphery of the net, and steeply
1.1) em which the dip direction is indicated on the dipping planes plot as large radius circles close to
periphery of the circle, and the dip is measured the centre.
along radial lines with zero degrees at the centre. 1. Lay a piece of tracing paper on the net with a
It should be noted that the stereonet shown on thumb tack through the centre point so that
Fig. I.1 is a lower hemisphere plot in which the the tracing paper can be rotated on the net.
dip-direction scale starts at the bottom of the 2. Mark the north direction of the net on the
circle and the north arrow corresponds with a dip tracing paper.
direction of 180. The reason for setting up the 3. Locate the dip direction of the plane on the
scale in this manner is that if the field readings, as scale around the circumference of the net and
measured with a structural compass, are plotted mark this point on the tracing paper. Note that
directly on the stereonet, the poles are correctly the dip direction scale on the equatorial net for
positioned on a lower hemisphere plot. plotting great circles starts at the north point
The procedure for plotting poles is to lay a at the top of the circle and increases in a
sheet of tracing paper on the printed polar net, clockwise direction. .
and mark the north direction and each qUa,drant 4. B-otate the tracing paper until the dip direction
position around the edge of the outer circle. A mark coincides with one of the horizontal axes
320 Appendix I

350 o 10

30

,
80 ,';

'. 280

90
.
~g,

270

250

The in
which
formec
. cedure
of inle
 Appendix I 321
....
:t .

60

80
p
r
90 i.
~tl90 80 70 60 50

270

100 h.

120

Figure 1.2 Equitorial equal area net for plotting poles and great circles (drawn by C. M. St John, Royal School of

Mines, London). 1. Locate the line of intersection between two

planes which is represented by the point at
1.3 Lines of intersection which the two great circles intersect.
lted by a
The intersection of two planes is a straight line 2. Draw a line from the centre of the net through
ltre of the
which defines the direction in which a wedge, the point of intersection and extending to the
formed by these two planes, will slide. The pro- circumference of the net.
two north 3. The trend of the line of intersection is given by
cedure for determining the orientation of the line
;le of the
of intersection between two planes is;
 322 Appendix I
1
EQUATORIAL PROJECTION
the position where the line drawn in step 2
intersects the scale on the circumference of the .
It
nM. ~ ..
4. Rotate the tracing paper until the line drawn in .
step 2 lies over one of the horizontal axes of
the net (dip directions 90' or 180').
5. The plunge of the line of intersection is read
off the scale on the horizontal axis with a
horizontal plunge having a point of intersection
at the circumference and a vertical plunge at The two
the centre of the net. appendi>
. by the (
as descri
of rock
Chapter
The I
data list
this bool

Figure 1.3 Polar and equitorial projections of a sphere

(Hoek and Bray, 1981).
 1 ...
~-e-~-~-~h-d APPENDIX II
A" .,
irawn in
axes of
Field mapping data
[ is read sheets
with a
rsection
unge at The two field mapping sheets included in this and 4,2 (Geological mapping), Section 2,2 defines
appendix (Figs II. 1 and 11.2) have been developed the terms dip and dip direction, and Section 4,2
by the Geological Society Working Party (1970) contains tables giving more details of the. indices
as described in a paper entitled 'The description describing the rock mass, Section 4.2 also de-
of rock masses for engineering purposes' (see scribes methods of zoning of the rock mass into
Chapter 4 references), geotechnical units whose characteristics may be
The procedures for collecting the geological considered uniform, and the observations and
data listed on these two forms are described in tests used to define the rock material and rock
this book in Sections 2.2 (Orientation of fractures) mass.


ROCK M!\S$ DESCRIPTION DATA SHEET

GENERAL INFORMATION
0', M<>"~ Year
~~'l I [ I I I
51" I I I [ I I I
I Dale ~ Operator D Method of
location
0 Co-ordinalaS
or chamage
I
Northings or chainaga

I I I [
Easlings

II I [ ! [ II
Elevation

I I I [ ! I
(melres)
1. By co-ordlnales
2. Chainage
3 On atlached map!
drawing/photograph

.'"
Locality 0
1. NalUfsl exposure
2. ConslructiOll e::avaJron
3 Trial pit
4. Trench
5. Adit
6. Tunnel

ROCK MATERIAL INFORMATION

Sizeo'
locality

1. >lOm 2
2 5_10m2
3 1_5m2
4 <1m 2
5. line SUMly
0 No. of supplementary sheets
of discontinuity data
W Sketch
0 o
Phologra~
No
1. Yes
0 Field lests

Specify type
0
-I : ,

: ::::::: : :::: : I
: :

Colour ITIJ Grainsize 0 Comptessive

strength
0 Method of determining
compressive strength
0 R<x:ktype W
t. Very coarse (>60mm) 1. Very SIIong lock MP, p.S.1
1. Light 1. pinkish 1. pink 1. Measured
2. Coarse (2-60mm) 2. Strong rock >200 >30000
2 Dark 2. reddish 2. red .2, Assessed
3, yetlowish 3. yellow 3. Medium (60,,-2mm) 3. Moderately sllong rock 100-200 15000-30000
4.
5.
brownish
olive
4. brown 4. Fine (2-60,,)
5. Very line 21J}
4. Moderalelyweakrock
5. Very weak rock
50-100 7500-15000
25-50 3500-7500
-----------------
5. olive
6 greenish 6 gleen 6.VerystiUsoil 1-25 150-1500
7. StiUsoil 0.6-1.0 80-150 ~u~~~~~~:c~ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _
7 bluish 7. blue
8. greyish 8 white 8 Firm soil 0.15-0.6 20-80
9. $all soil 0.06-0.15 10-20
9
O.
grey
btack 10. Very soft soil 0.04-0.06 5-10 -----------------
<0.04 <5

ROCK MASS INFORMATION LINE SURVEYS TO DETERMINE DISCONTINUITY SPACINGS

Plunge Trend Length of No. oj

01 tine of line line (melres) fracwres Spacing Remarks

Fabric
1. Blocky
2. Tabular
a Columnar
0 Blocksize

L
2.
3
4.
0
Very large (>8in 3)
Large (O.2-8m3j
Medium (0,008-02m~
Small {O.0002-0008 )
Statao!
weal!>ering
1
2
3
4.
Fresh
Slightly
Moderately
Highly
D No, 01 major
discontinuity sets
0
Li"" : ; I : ; ; : ; \~ : : : : : : : : : : : : I
LIIle 2

line 3
\
5 Very small/<O,OOO2m3j 5 Completely Discontinuity spacing I. Ext. wide 2m) 4 Mod, wide {60-200mm) 7 Very nanow (6mm)
2. Very wide (600mm-2m) 5 Mod. naifOW {20-60mm}
, 6. Residual soH
3 Wide (200-600mm) 6 Narrow (6-20mm)

Figure 11.1 Rock mass description data sheet (Geol. Soc. Eng. Group Working Party, 1977).

~!L; 'itilbJitiili": ' '431.-

i .1:iL:LL 3 m~\\w.l.; _.,., .v.~,_:- __. ~
 -_.- ~"""~ \ ..........v . vv............ 115. UI vup VV Vi KllIg rany, I ' l l ).

.. ;i i;'::;r :, . ;;j; ;r ; i I ." 1 Y,~.

'fWJ!'~!'l,n'.;iil:r.,
""<;"..
. ,..-"
,.
. "
I> "'..i"ii,J (,"'" ", . ,,~,~.;t,~.
'&~A- , ' J hAt
. k~~!1Imc' Uit.XA ';..j i..;.KA .<1
, ~"

DISCONTINUITY SURVEY DATA SHEET

GENERAL INFORMATION
D,y Month Year

~I I I I 1
51
" I I I I I I I I
I Date ~ Operator W Discontinuily data
sheel No.
CJ CJ of

NATURE AND ORIENTATION OF DISCONTINUITY

~ ~fi >
'l ,l.$O> ~i~ ",If
&~"i$c:f'$q.'
,<::- 0> '" ....
~Q;{
e>,{f Jt:tI
s~,$J<;'
.:.'<>
Ii if
~"'f
Chain age or No. Type Dip Dip direction Persistence "'{' .$ ~ ~ "'$ l' :# Remarks

, , , , , . , , , , , , , , , , , , , , , , , I

I 1'1 I I I I I I , I I I [ I I , I , '" , , [ [ , I , , [ I I I

I I , I , I I I I I I I I I , . , , , , , , , , . [
I I I I

, I I I I I I I I I I [ , I , , , I , , , , , , , , I I , I I I I

I I '
, , , , , , , , , , , , , , , [ I [

, I , I I I I , , [ I , , I , , , , , , , , , , , , , , , , [ I I

, , , , , , , , , , , , , , , , , , [

,. [
I , I , , , , , , , , , , , , , , , , , , [ I [ I

I I I , , , , , , , , , . , " , , , , ,
r I I , I I I I I I I I , I I I [ , , , , , I I I I I [ [ I ' I
, [ , I , , , , , , , , , , , , , , , , , , , I , I [

[ , I I I I I [ I I ' , , , , , , , , , , , , , I
Type Dip. Dip direclion Persistence Aperture Nature of infilling Compressive strength of infilling RO,ughness Waviness Water
and Tiend of . Mp, p.s.i.
0. Faull zone lineation (Expressed In 1. Wide (>200mm) 1. Clean 1 Very strong rock >200 >30000 1. POlished Express wavelength 1. Dry
1. Faull . metres). 2. Mod. wide (60-200mm) 2. Surface staining 2 SllOng rock 100-200 15000-30000 2 Slickensided & amptitude in 2. Seepage
2. Joint (Expressed In degrees} 3. Mod. narrow (20-60mm} 3. Non-cohesive 3. Moderately strong rock SO-loo 7500-15000 3 Smooth melres
3. Cleavage 4. Narrow (6-20mm} 4. Inactive clay Or clay matrix 4. Moderately weak rock 25-50 3500-7500 4 Rough Flow
4. Schistosity 5. Very nalrow (2-6mm} 5. Swelling clay or clay matrix 5. Very weak rock 1-25 150-3500 5 Detined ridges 3 <lQml,sec
5. Shear 6. Ext narrow 2mm) 6. Cemented 6. Very still soil 0.6-1.0 80-150 6. Small steps 4 10-100mllsec
6. Fissure 7. Tight 7. Chlorite, tate Or gypsum 7. Still soil 0,15-0.6 20-80 7. Very rough 5, 0.1-1I1sec
7. Tension crack. 8 Others - specify 8. Film soil 0,08-0,15 10-20 6. t -10 Iisec
8. Foliation 9. Soft soil 0.04-0.08 5-10 7. 10-100 I/sec
9. Bedding . . 10 Very soft soil <0.04 <5 8 >100 IJsec

Figure IL2 Discontinuity survey data sheet (Geol. Soc. Eng. Group Working Party, 1977).

->o.------c~~_-_ _ _._.. __
,',1"7 ......~'''''''''.,;,;,;.;,,'';,;,;.;,;,.;.., ~.; ~~_. _.~~.,,~._w_

-.-:"'C-~..'.'.:,i'.;'''''"'77?:;~:''=""===.~,,=-" __ ~_~_,,.<_
c~
 I
APPENDIX III
Conversion factors
~,t Imperial tI

pound
MASS DE
ton per cui
. (20001b

ton per cui

(22401b
-of pound per

pound per
Imperial unit Sf unit Sf unit Conversion factor Conversion factor
symbol (imperial to Sf) (Sf to imperial)

LENGTH , FORCE
mile. kilometre km I mile = 1.609 km 1 km = 0.6215 mile ton force<
foot . 'metre m I foot = 0.3048 m 1 m = 3.2808 foot ton fOTce w
'

millimetre mm I foot = 304.80 mm 1 mm = 0.003281 foot l--," kip force

inch millimetre mm I inch = 25.40 mm 1 mm = 0.03937 inch pound for
AREA ton flft-:
square mile . square kilometre km' I mile' = 2.590 km' 1 km' = 0.3861 mile' ton flft -;
hectare ha I mile' = 259.0ha 1 ha = 0.003861 mile' pound for
acre hectare ha I acre = 0.4047 ha 1 ha = 2.4710 acre HYDRA I
square metre m' I acre = 4047 m' .1 m' =0.0002471 acre centimetr
square foot square metre m' Ift' = 0.09290 m' 1m'= 10.7643ft' second I
square iIich' square millimetre mm' 1 inch' = 645.2 mm' 1 mm' = 0.001550 inch' foot per y i
i
VOLUME i
cubic yard cubic metre m' 1 yd' = 0.7646 m' 1 m' = 1.3080 yd' foot per s i
cubic foot cubic metre m' 1 ft' = 0.02832m' 1m' = 35.3150 ft' FLOWRI
litre litre 1 ft' = 28.321 I litre = 0.03531 ft' cubic fob I
cubic inch cubic millimetre
cubic centimetre
litre
mm 3
cri1 3
lin' = 16387 mm'
1 in' = 16.387 em'
1 in' = 0.016391
I mm' = 61.024 x 10- 6 in'
1em' = 0.06102 in'
1 litre = 61.02 in' cubic.foo
II
Imp. gallon cubic metre m' 1gal = 0.00456 m' 1 m' = 220.0 gal
litre I 19a1 = 4.5461 1 litre = 0.2200 gal I
pint litre I 1 pt = 0.5681 1 litre = 1.7606 pt gallon pe i
US gallon cubic metre m' 1 US gal = 0.0038 m' 1 m' = 263.2 US gal PRESSel
litre 1 1 US gal = 3.81 11 = 0.263 US gal ton force!
foot (4\
MASS II
ton ton'oe t. 1 ton = 0.9072 tonne 1 ionne = 1.1023 ton ton forc~ J
(2000Ib) kilogram kg 1 ton = 907.19 kg 1 kg = 0.001102 ton foot (;,
'I
ton (2240Ib) 1016.1 kg = 0.000984 ton pound f~ I
kip kilogram kg 1 kip = 453.59 kg 1kg = 0.0022046 kip squaq f-
,I
;1
I
 -
1~. Appendix III 327

~J
Imperial unit 51 unit SI unit Conversion factor Conversion factor
symbol (imperial to SI) (SI to imperial)

pound kilogram kg lib = 0.4536 kg I kg = 2.20461b

MASS DENSITY
ton per cubic yard kilogram per kgim' 1 ton/yd' = 1186.49 kg/m J 1 kg/m' = 0.0008428 ton/yd'
(20001b) cubic metre I ton/yd' = 1.1865 tlm J . I tim' = 0.8428 ton/yd J
tonne per cubic
metre
ton per cubic yard 1 ton/yd J = 1328.9 kg/m' I kg/m' = 0.00075 ton/yd J
(22401b)
Ilb/ltJ = 16.02 kg/m' = 0.062 421b/ltJ
f'} pound per cubic loot kilogram per
cubic metre
kg/em' 1kg/em'

tonne per cubic tim J Ilb/lt' = 0.01602 tim' 1tlm J = 62.42Ib/ft'

metre
pound per cubic inch gram per cubic g/em' lIb/in' = 27.68 g/em J I g/em J = 0.03613lb/in'
'r centimetre
tonne per cubic tim' Ilb/inJ = 27.68 t/m J 1tim' = 0.036131b/in'
metre
FORCE
ton loree-2000 Ib kilonewton kN 1 tonI = 8.896 kN 1 kN = 0.1124 tonI
ton loree-2240 lb = 9.964kN = 0.1004 tonI
1 kipl = 4.448 kN I kN = 0.2248 kipl
"-
<~ kiploree
pound force
kilonewton
newton
kN
N lIbl = 4.448 N IN = 0.22481bl
ton lilt - 2000 Ib kilonewton kN/m 1 tonl/lt = 29.186kN/m 1kN/m = 0.03426tonl/lt
tonf/lt-2240lb
pound loree per loot
HYDRAULIC CONDUCTIVITY
centimetre per
per metre
netwon per metre

metre per"second
N/m

mls 1emls
= 32.68kN/m
Ilbl/lt = 14.59N/m

= 0.01 mls
= 0.0306 tonf/ft
1 N/m = 0.068 531bl/ft

1mls = 100em/s
I
I
second (em Is)
loot per year (ft/yr) metre per second mls 1 ftfyear = 0.9665 1m/s= 1.0346 x 10"lt/year
" x 1O-'m/s
loot per second (It/s) metre per second mJs 1 ftfs = 0.3048 mls . 1 mls = 3.2808 ft/s
FLOW RATE
cubic foot per minute cubic metre per m3/s lft'/min = 0.000 471 9 m'ls 1m'ls = 2119.093ft'/min
in 3 second
litre per second Us I ItJ/min = 0.47191/s l1/s = 2.1191 It'/min
cubic foot per second cubic metre per mJ/s llt'/s = 0.02832 m'/s lm'ls = 35.315It'/s
second
litre per second lis llt'/s = 28.32litre/s 11/s = 0.03531 It'/s
gallon per minute litre per second Us 1 gallmin = 0.075 771/s Ills = 13.2 gal/min
PRESSURE, STRESS
i
ton force per square kilopaseal kPa 1 tonl/ft' = 95.76 kPa I kPa = 0.01044 ton 11ft' I
foot (2000Ib)
ton force per square
loot (2240 Ib)
pound loree per
square loot
pascal
kilopaseal
Pa
kPa
1 ton 11ft' = 107.3 kPa

lIbl/lt' = 47.88 Pa
Ilbf/ft' = 0.04788 kPa
1 kPa = 0.00932 tonllt'
1 Pa = 0.020 891bl/ft'
1 kPa = 20.891bl/lt'
H
'J I
I
i

II I

I,
328 Appendix III

Imperial unit SI unit SI unit Conversion factor Conversion factor

symbol (imperial to SI) (SI to imperial)
---
pound force per pascal Pa Ilbflin' = 6895 Pa I Pa = 0.000 1450 Ibf/in'
square inch kilopascal kPa Ilbflin' = 6.895 kPa 1kPa = 0.1450 Ibf/in'
WEIGHT DENSITY'
pound force per kilonewton per kN/m' Ilbf/ft' = 0.157kN/m' I kN/m' = 6.37lbf/ft'
cubic foot cubic metre
* assumin"g a gravitational acceleration of 9.807 m/s2
ENERGY
foot Ibs joules J lft.lbs = 1.355 J IJ = 0.7376ft.lbs

Anhy.
Aniso
Anod
Artes
Aspe'
Atter

Back
Basa
Basil
Bear i

bel
bl'
dd
fr J
. k: I
I, , i
"I
sl ;
s1 J

"I
Be;!
Bel
Bel
Bel
I
Bel
B, I

B'I

~
I
 Index
J

Active/passive wedges 117 modulus test 101,104 sliding stability 150

. Adit, see Tunnel preshearing 298 wedge 152
Aerial photographs 79 rock anchor damage 269 Cohesionless soil 231
Allowable bearing pressures, see rock fracture mechanism 295 Compressive strength of rock 42,
Bearing capacity 118 scaled distance 302 53,85,119,218,257
Anhydrite 5,71,189 sub-drill 299 asperities 61
Anisotropic r~ck 52, 106 trim blasting 298,307 fractured rock 56
Anode 271 vibration frequency 303 intact rock 56
Artesian pressure, 277 vibration particle velocity 302 shotcrete 308
Asperities 60, 64, 88, 209 vibrations in uncured concrete Concrete
Atterburg limits 71 303 . blasting damage 303
Blasting mats 270 buttress 310
Back analysis 44 Boussinesq equations 138 Conglomerate 60
Basalt 60,175,226 Brazilian tension test 59 Consolidation 136
Basic time lag 100 Breccias 63 Contracts
Bearingcapacity 113,116,119 Bridge 101, 113 blasting 314
bedding formations 123 arch bridge 1 components of Contract
building codes 116 failure 1,5 documents 311
dipping formations 122 settlement 11,44 cost-Plus-a-Fixed-Fee 312
fractured rock 117 suspension bridge 238 definition of rock and soil 313
. karstic formations 126 .Buckling failure 124 dispute Review Board 315
layered formations 124 Building codes 116,122,163 end product 311,317
recessed footing 120, 122 Burger substance 72,137 factual data 313
slab 125 General and Special Provisions
sloping ground 120 Calcite 61,69 311
wedge 122 Calcium carbonate 5,189 interpretative data 313
Bearing capacity factors 120 Calyx drilling, see Drilling lumpSum 312
Bearing surface improvement 187, Carbonation 69,71 measurement and payment 312
305 Cathode 271 method specifications 311,317
Bedding 23,78,79,94 Cement, see Grout prequalification 316
Bell solution 120, 123 Centre of gravity 157 ripping 314
Bending failure 124 Centrifugal force 10, 142,228 risk 315
Bentonite 62,96, 126, 192 Chalk 60 rock excavation and
socketed piers 215 Chloride 249,274 reinforcement 313
Blasting 162,187,189,295 Chlorite 70 target price 313
burden 296 Christienson-Hugel 92 technical Specification 312
controlled blasting 297 Clay 61,70,125,231,274 types of Contract 312
damage 7; 94, 297 Claystone 70 unit-price 312 .'
damage thresholds 303 Cleavage 24 variation in quantities 316
free face 296 . Coal 270 Conversion Factors 326
ground vibration control 299 Coefficient of reliability 5, 17, 39 Core
horizontal surfaces 299 Cohesion 59,61,64, 162 orientation 90
line drilling 299 in situ test 110 photograph 90
 330 Index

recovery 90 seepage and uplift 167 Reve/stoke Dam 165

Correction factor seismic events 167 San Fernando Dam 181
borehole jack 103 time offailure 167 Stewartville Dam 191
footing shape 119 Dam foundation Teton Dam 187 1
plate bearing test 106 blasting 189 Wimbleball Dam 193
settlement 132 bored concrete piles 176 Darcy's Law 93
Corrosion 14, 238 buckling strength 174 Debris flow 79
bacterial corrosion 273 cleaning and sealing 188 Deere, D. U. 170,195,196
hydrogen embrittlement 273 concrete ballast 177 Deformation modulus 42,44,212
in grout 274 concrete shear keys 175 anisotropic rock 51
pitting corrosion 273 cutoff trench 189 back analysis 45
rock anchors 271 displacement (earthquake) 184, borehold jack 103
stress corrosion 273 186 dilatometer 101
Corrosive environment 272 drains 171, 200 earthquake 48
Creep 47,71,137 excavation and concreting 177 fractured rock 49, 50
ductile rocks 5 internal water pressures 168, in situ testing 101
elastic rock 5 170 intact rock 45,48
rock anchors 281 neoprene sheet 180 plate load test 104
Curved rock strength envelope, see preparation of rock surfaces radial jacking test 106
Hoek-Brown strength 180,187 rock mass 50, 52 "a
criterea rebound 189 settlement 135
Cut and cover 113 recessed foundation 174 size effect 48
Cyclic loading 44, 48, 268 seepage 167,180,191 stress concentrations 179
shaping 187 Density 86
Dam shear strength 170 Dental concrete 187,307
arch 166, 167 slush grout 188 Diamond drilling, see Drilling
buttress 167 solution cavities 189 Dip 26,86,87,90,319
dam-foundation interaction 184 stabilization 175 Dip direction 26,37,86,87,90,
earthquake response 181 tensioned anchors 177 319
factor of safety (sliding) 172, Dam perfo'rmance statistics 166 Direct sheartest 63,110
175,179 Dams Dispersion coefficient 39
failures and deteriorations 166 Albigna concrete gravity dam Dolomite 69,177
finite element am,lysis 179,180, 180 Drainage 97,200,277,307,310
184 Cabril arch dam 190 Drill core 91,116
gravity dams 167 Cannelles concrete arch dam Drill hole surveying 92
overturning 178 180 Drilling 15,89,283
stress di~!ribution 178 Cat Armearthfill dam 188 auger 291
'f
in situ testing 101 Elkhart Dam 175 bencher 283
loads Garrison Dam 189 calyx 90, 93, 291, 292
combinations 168,169 Gezouba Project 176 clay COre barrel 92
ice 168,173 Gordon Dam 45 diamond drilling 77,90,.98,193,
seismic 169 Hsinfengkiang Dam 182 284,310
silt 168,173 Inguri Dam 177 directional drilling 292
water 168 Itaipu Dam 175 down-the-hole (DTH) drill 286,
wind 169,173 Karakaya Dam 177 289
pseudo-static analysis 184 Kariba Dam 182 drilling mud 285
reliability 166 Keban Dam 190 intergral sample 90
rock anchors 175 Konya Dam 181 large diameter drilling 291
sliding failure 169, 172 Liu-Jia~Xia dam 177 overburden drilling 289
stability against sliding/ Longton arch dam 180 percussion drilling 93,193,286
overturning 167 Malpasset Dam 5,167 rotary drill 289
tailwater 169,173 Morris Shepard Dam 177 super drill 292
thermal expansion 169 Normandy Dam 189 triple tube core barrel 90,286
Dam failure OaheDam 189 TubeJC(previously Odex) system'
floods 167 Peace Canyon Project 189 290
reservoir filling 167 Quail Creek 190 Durability 86
 Index 331

Dynamic compaction 126 mean length 40 asphalt 191

Dywidag Threadbar 243,274 mean spacing 41 cement grout 191
orientation 25 chemical grout 191
Earthquake 143,151,162,228. persistence 86 organic foam 191
displacement analysis 185 position 25 Grouting procedures 196
fault displacement 181 roughness 60, 87, 88, 209 Gypsum 5,69,71,189
hydrodynamic force 182 spacing 25,40,50,86
pseudo-static analysis 151,163, Friction angle 64, 160, 161 Halite 5,69
212 169,178,182 residual 63 Hardness 86
stability analysis 162 rock type 59 Heat shrink tubing 275
Eccentricity 144 sliding stability 150 Heave 70,71
Elastic material 46 stress distribution 142 Hoek, E. 124,264
Electrolyte 271 wedge 153 back analysis 64
"Electromagnetic conductivity. 126 Friction cone 37 dam foundation 170
Erosion 189 stability analysis 16,160
Expansion agents (rock breakage) Geologic structure 7 tensile strength 69
305 Geological mapping 81 wedge failure i53
Exponential distribution 40,41 Geophysics 80, 126 Hoek-Brown strength criterea 58,
resistivity survey 81 59,68,119,123; 161
'"actor of safety 5,15,59, 119 seismic survey 81 Hong Kong 120
3-D slope 156 Gneiss 60 Hydration 70,71
bearing capacity 119 Goodman, R. E. 37,142,155,156, Hydraulic jack 104
circular failure 160 186 Hydraulic splitter 305
design values 15,175,179 Goodman jack 47 Hysteresis 46
embedment length 258 Granite 60,70,72, 113
planar failure 149 Great circle, see Stereographic Illite 70
socketed piers 218 projection In situ testing 77, 101,180
I, toppling failure 159 Ground penetrating radar 126 Inelastic rock 136
uplift 264 Ground water 12,93,151, 154,158 Infilling 61,94
wedge failure 153 scour 12 elastic-plastic 63
1 Failure type solution 12 in situ test 110
circular 34,160 uplift forces 12, 168 strain hardening 63
) planar 34,37,147 weathering 12 strain softening 63
sliding 170 Grout 70,96,97,189,190 Intraplas N 251
toppling 34,37,156-60 bentonite 195,196
wedge 24,33,34,35,37,122, Blanket grouting 193 Joint 24
153,214,234 bleeding 192 Joint roughness coefficient 61',88
"
Fault 1,23,62,78,79,81,87 cohesion 192,195 Joint set 79
Fibre glass bar 276 consolidation grouting 8, 190
i'ield Mapping Data Sheet 323 curtain grouting 193 Kaolinite 69,70
193, Finite difference analysis 131 drilling method 193 Karsticformation 4,205,217
Finite element analysis 103,124 fluidizers 195 Key block theory ,155
dynamic 184 grout mix 195 Kinematic analysis 35
86, socketed piers 219 hole patterns 193
Flatjacks 104 leaching 200 Landslide 78,79
Flexural strength 308 monitoring 199 Leaching 199
Flow net 14 penetration 192 Limestone 59,60,69,71,126,128,
Flyrock 270 permeability control 191 177,180,205
Foliation 24 permeability criteria 197 Limit equilibrium analysis 172
Foundation failures 4,166 pressure 196 Limit states 15, 16
Fracture scour control 191 Lirie of intersection 33.321
characteristics 23 strength 195 Line mapping 87
daylight 25,37, 147, 170 uplift control 191 Loads
'm' frequency 90 viscosity 192 base shear 9
infilling 61,86,170 water:cement ratio 192, 195 bridge 9
length 40 Grout types buildings 9
 332 Index

dam foundations 10, 169 Plate load test 47 creep 254,268,280,281

dead load 9, 119 Plate tectonics 163 cyclic loading 268
impact loads 9 Plunge 27, 33 dam 175,189
live load~, 119 Point load testing 54 displacement of the head 260
tension fOlindations 10 Poisson's ratio 45,46,86,103 effect of blasting 269
Load-deformation behaviour, Pole plot, see Stereographic embedment lengths 258
fractured rock 47 projection 319 group action 268
Lugeon 197 Polyethylene (HOPE) 275 grout pressures 251
LVOT 46 Polypropylene 276 guaranteed ultimate tensile ce
Porosity 86 strength 241
Margin of safety 19 Pressure gradient 93 hole diameter 247-8 do
Marl 60 Primary permeability 86 load transfer mechanism 254 eI;
Methocel 251 Probability load/extension measurement he
Mica 52, 60, 69 of failure 17 278
Modulus of elasticity 46,86,102, structural geology 40 moment/tension loads 265 in<
103 Pseudo-static seismic analysis 151, optimum plunge angle 152, 155
Mohr-Coulomb material 58,148, 163,169,178,182 passive anchors 260 la)
207,230 Punching failure 124, 125 permafrost 270 .slir
Monte Carlo Analysis 19,39 Pyrrotite 69 polypropylene sheaths 247 sti
Montmorillonite 62, 70 pre-stressed anchors 260
Mudstone 70 Radial stress 143 rock cone 262,263,264,265 tin
Multi-position extensometers 105, Random number 21 shear stress distribution 254 Shal,
107 Recessed footing 120, 173 steel relaxation 241,269
Reconnaissance 78 steel/grout bond 258
New York 116 Reduction factor 222 strand anchors 247
Newmark, N. M. 185 Reinforcement of rock 7, 305 strength properties 243
Non-explosive excavation 295,305 Release surfaces 153 testing
Normal distribution . Reliability analysis 17 performance test 279
mean 18 Resin anchor 252, 254 proof test 280 fn
. standard deviation 18 Retaining wall 6 lift-off test 280 fn
Reynolds number 94 tie-down 145 She,
Olivine 71 Rigidity factor 129 toppling failure 159 Sh01
Oolite 125 Rock anchor 2,7,14,151,284, uplift capacity 261 sil
Overturning moment 143-5,178, 309,310 water testing 277 st,
229,265 acceptance criterea 281 working bond strength 257,271 wi
Oxidation 69,71 anchor length 248 yield stress 241 Silts
anchor materials 240 Rock mass Sing
Packers 98, 196,277 anchor type zoning 83 Sink
Peck, R. B. 116 cement grout 243,247 rating (RMR) 52,57 re
Permanent deformation 47 , mechanical 243,253 strength 42 Site
Permeability 14,87,93,97, 100, resin 251,270 Roughness angle 64 Size
195,310 bearing capacity 123 RQD 90, 116,215 Siak
anisotropic rock 94 cement grout Slat
constant head test 98 admixtures 251 Salt 71 Slid
falling head test 98 anchorage 243,247 Sandstone 60,69,70,113,131,
pump tests 100. bleed 249 177,209,228 Soc:
Phyllite 52 grout mix 249 Saponite 70 bi
Piezometer 94 Ciment Fondu 270 Sarma, S. K. 160, 186 b~
electrical-transducers ,96 centralizers 251 Schist 52,60,177 c,
.j
Multi-port (MP) system 96 corrosion Schistosity 24
multiple standpipe 96 conditions 274 Scour 5,93 - \'1 \
pneumatic 96 failure 254 Seaw&ter',';249
standpipe 95 .mechanism 271 Seed;'H,!1/186
time lag 95 ':'-'.' <1 prQtection methods 245,274, Seepage' 14; 93, 97, 167, 180, 191
Piles 128 .. "~ 275 Seiche 181 .
Pins (rock reinforcement) 302 . .\ \', ~~esF3' Seismic velocity. 81, 87
 Index 333

Sensitivity analysis 15, 16 creep 217 Stress distribution 137

Serpentine 71 end bearing capacity 218 eccentricallY,loaded fOCitings 143
,etllement 10,26, 113, 116, 128 factors affecting load capacity elastic isotropic rock 138' .
260 angular distortion 11 211 layered formation's 142
bridges 11, 44 groundwater 207 line load 139
buildings 10,44 influence factors 221 transversely isotropic rock 142
compressible bed within stiff investigation 205 Stress relief 70, 94
formation 132 karstic formation 217 Strike 26
Ie compressible layer on rigid base lateral loads 228 Structural compass 27
131 LATPILE 229,234 Structural geology 23,147,263,
dams 12,44 load capacity in compression 319
254 elastic rock 129 207 Sulphates 249
lent homogeneous, isotropic rock load transfer 207 Sulphides 71
129 p-y curve 230,232 Surface roughness 88,209
i5 inclined, variable thickness beds recessed socket 221 Swelling 70,86
;2, 155 133 rock layering 216 clay 69,227
layered formation 131 rock modulus 212 pressures 70
, sliding 128 rock strength 213 Sylvite 69
17 stiff layer overlying compressible settlement 219
formation 132 end bearing 222 Tar sand 71
265 time dependent 128, 136 side wall resistance 221 Tensile strength 68, 125
154 Shale 61,69,71,113,125,131, side wall shear/end bearing fractured rock 264
189,217 223 Tension foundations 3, 4, 238
Shape factor 100 side wall roughness 209 Termination of fractures 40
settlement 131 side wall shea r resistance 209, Terrestial photograph 79
:~ . L,t'
i;'Shear modulus 50, 102, 135 218 Terzaghi, K. 117
Terzaghi correction 88
,
Shear strength, rock 42,58,60,87, socket geometry 211
93, 101 socket stability 234 Thermal deformation 10
fractured rock 64 ultimate resistance (lateral) 231 Three dimensional stability
fractures 59 uplift load 227,228 analysis 155
Shear strength, steel 309 Soluable rock types 5 Time dependent properties 69
, Shotcrete 8, 70, 307 Solution cavities 190,191 Toppling, see Failure type
silica fume 309 Sonic velocity 86 Transmission tower 227,262
steel fibre reinforcing 308 Sowers, G, F, 125,126,128 Trend 27,33
57,271 wire m'esh reinforcing 307 Spread footings 2,56 Tunnel 104, 106, 110
Siltstone 60 Stability of foundations 4,5,147
","'C1'II",_ 'Singapore 210 Stainless prestressing steels 276 Uniaxial compressive strength 45,
Standard deviation 40 ' 58,73
Sink hole 126
remedial measures 126 Stereo net 87, 88, 320- 2 V-notch weir 201
Site selection 77 Stereographic projection 27 Vermicullite 70
Size effects 48, 56 contour plot 30 VSL anchors 274
Slake durability 86 equal area net 27
Slate 61 equatorial net 29,322 Weathering 5,42,81,86
Sliding stability 113,147-52, great circle 28,32,319 decomposition 69
[31, 169-175,230,235 polar net 29,322 disintegration 69
Socketed pier 4,213 pole 29 freeze/thaw action 5
base pre-load 226 pole plot 29,319 Wedge failure, see Failure type
belled,uplift 227,228 Stiffness 50,103,135,180 Well sounder 96
condition of Stiffness ratio 143 Williams all-thread-rod 243
end of socket 216 Strain gauges 45 Williams bar 253
side walls 215 Strength testing 44 Window mapping 87
i~

191