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Engineering G.I
Engineering G.I
Engineering G.I
Additional guidance materials are also included here and deleted from the
National Engineering Manual (NEM) Part 531.
631.0206 Minimum requirements for sampling and testing of structure sites 2–18
(a) Sampling group A structure sites................................................................. 2–18
(b) Sampling group B structure sites................................................................. 2–19
631.0212 Watershed sediment yield studies for structures and conservation 2–26
practices
(a) Reservoir sedimentation surveys................................................................. 2–26
(b) Sediment storage design for reservoirs and ponds.................................... 2–26
Table 2–3 Approximate vertical-stress values of earthfill structures weighing 100 2–13
pounds per cubic foot
Table 2–4 Presumptive bearing values of soils (approximate maximum safe-load 2–14
values) as related to the Unified Soil Classification System
Table 2–5 Seismic risk and evaluation screening tool for dam sites 2–20
• general geology of the site: surface and subsur- In areas where the soils and geologic conditions are
face earth materials well known, a detailed investigation may not be neces-
• geologic conditions that may affect erosion and sary for small, low-hazard structures. For such struc-
sedimentation tures, the preliminary investigation needs to be suffi-
ciently detailed to provide relevant information on site
• geologic conditions that may influence ground- materials, conditions, and engineering characteristics
water movement and recharge for planning, design, and cost estimates.
• general character of topography and stream
system (a) Purpose
• engineering properties of soil and rock materi-
als The purpose of a preliminary site investigation is to
establish the geologic feasibility of the site and to
• presence and activity of faults determine the extent and precision of detailed subsur-
• general relationship between the geologic con- face investigations required to obtain the information
ditions at the site and known or typical design needed for design and construction.
requirements for the proposed conservation
practice or structure For some sites, the preliminary investigation, together
with experience in the area, may be adequate to deter-
• known or projected mining activities and oil or mine the geologic conditions and engineering charac-
gas extraction teristics of materials. At other sites, enough informa-
tion on subsurface materials may be readily obtained
during preliminary examination from test pits, hand-
auger borings, trenching, or other methods, so that a
detailed subsurface investigation may not be required.
However, a detailed subsurface investigation needs
to be scheduled where information needed for design
cannot be obtained with the tools available during the
preliminary examination.
(b) Assembly of data Color tone, vegetation, landforms, and drainage pat-
terns often are indicators of geologic features, includ-
Before beginning a field study of a site, available geo- ing kinds of rock, fractures, faults, lineaments, sinks,
logic, physiographic, and engineering-experience data and landslides, and of moisture and soil conditions.
are reviewed. Sources of reference data include pub- Stereoscopic prints provide three-dimensional inter-
lications of the U.S. Geological Survey (USGS); State pretations that help to establish the general geology
geological surveys; USDA soil survey reports; special during subsequent field studies, as well as changes
reports and papers in scientific publications; and over time between the dates the images were obtained.
Federal, State, or local engineering experience infor-
mation where available. A base map on a usable scale, (2) Other imagery
topographic sheets, aerial photographs, and geologic LiDAR—Light Detection and Ranging (LiDAR) uses
and soil maps are also helpful. Preliminary information the signature of light reflection to provide extremely
on the location of the proposed structure is essential. detailed maps of the land surface and cover. The digi-
The following site information is needed: tal output can be analyzed and interpreted for creating
detailed surface maps of topography, water bodies,
• purpose of structure or practice and streams. LiDAR maps are available commercially
or can be developed by specific contract, although
• estimates of height of structure and volume of tripod-based LiDAR systems are being developed that
compacted fill required can produce detailed surface exposure maps of rock
• estimated maximum and normal pool eleva- faces, abutments, stream channels, quarries, etc.
tions
Radar—Radar imagery can provide stark contrast im-
• hazard classification of structure ages between land and water, and further definition of
• approximate area in reservoir basin the landscape.
• approximate location of auxiliary spillway(s) Infrared—Heat signatures of soil, rock, and plants
• approximate location of outlet structure can provide important clues about the structure of a
site, where lineaments and fractures occur, and where
The geologist should make use of the general design, plant vigor indicates changes in chemical composition
experience, and performance of structures in the area. of the soils and higher soil moisture.
Interviews with engineers or other technicians familiar
with the design and operation of these structures, and
visits to structures under construction, are particularly
(d) Field study
helpful. Available reports on laboratory analyses of
A preliminary geologic investigation may include a
local materials should be reviewed to determine physi-
shallow subsurface investigation, using a backhoe or
cal and engineering properties for possible application
hand auger, to generally characterize shallow stratigra-
to the site.
phy, soil mechanics properties of underlying geologic
materials, groundwater hydrologic conditions, and
Note that information may be in the form of maps and
other geologic attributes required to complete a geo-
published reports, as well as digital information layers
logic site assessment and support preliminary engi-
and databases.
neering design.
(c) Use of imagery A field study of the site and the surrounding area
should include a traverse of the valley for about a mile
(1) Aerial photographs above and a mile below the site. The traverse should
Photographs and digital images may be available from include a study of slopes, tributary valleys, landslides
USDA cropland monitoring programs. Other images (active and inactive), faults, springs and seeps, sink-
may be from satellites or high altitude flights. Aerial holes, exposed rock sections, and the nature of un-
photos may also be available from local sources, ven- consolidated overburden. An inspection of upland and
dors, and State and Federal agencies. valley slopes may provide clues to the thickness and
sequence of formations and rock structure. The field • areas of modern deposits (result of accelerated
study should also include inspections of the shape and erosion), or excavations (quarries, mines, etc.),
character of channels and the nature of residual, collu- unstable slopes, slips, and landslides
vial, alluvial, fan, slide, and other kinds of sedimentary
• active mining of sand, gravel, coal, or other
deposits. Any groundwater observations, especially in
minerals; and oil or gas extraction activities
alluvial deposits, should be recorded. Possible sources
and extent
and approximate amounts of borrow material should
be noted. A few hand-auger borings or test pits may be
A geologic evaluation map is a plan view illustration,
needed.
depicting the orientation and location of key geologic
and related features that could significantly affect
All geologic formations visible at the surface should
the performance of a proposed or existing structure
be identified and described, noting their orientation
or practice. Cross sections, profiles, fence diagrams,
and topographic positions. Local dip and strike of the
columnar sections, perspective drawings, and other il-
formations, stratigraphic relationships, or structural
lustrations may be used to represent geologic features.
features should be noted, especially those which could
The map may include profiles, cross sections, or other
lead to problems of seepage, excessive water loss, and
supplemental figures to help illustrate the information.
sliding or collapse of the embankment.
A geologic evaluation map is used to support planning
documents such as an environmental assessment or an
All faults should be identified and mapped by type and
environmental impact statement. It may include pro-
evidence of activity or inactivity. If faults are active
files, cross sections, or other supplemental figures to
or show large displacement, it may be necessary to
help illustrate the information.
relocate the dam or the principal spillway. In addition
to other problems, faults and fault zones may cause
For small structures at low-hazard sites, a site sketch
serious leakage.
may be adequate. A site sketch is typically drawn
freehand or on a geographic information system (GIS)-
Depth to groundwater, depth to bedrock, thickness of
based platform from observation or uncontrolled
recent alluvium and colluvium, and availability of suit-
surveys showing approximate space, scale, and orien-
able borrow material are conditions that may require
tation of the main features of the site or area. The ac-
further investigation and definition.
curacy and scale of a map must be commensurate with
the scope of the project and complexity of the site.
(e) Mapping Digital images may also be used to show important
formation contacts and other site features.
A geologic map of the site should be prepared, using
the best available base maps or aerial photographs. When mapping, an understanding of the area’s geomor-
USGS topographic contour maps provide an excellent phology may be useful in understanding the geologic
mapping base and are available digitally and in hard history of the area. In addition, the mapper may note
copy. Sub-meter Global Positioning System (GPS) changes in vegetation, which may differentiate un-
surveys may be needed. Features to be shown on the derlying soils and rock due to different water holding
map include: capabilities, for example (such as vegetation on shale
vs. sandstone). Vegetation may also indicate shallow
• areal geology of all surface formations, includ- groundwater.
ing delineation of unconsolidated deposits
Maps are prepared on the best available topographic
• texture and classification of surface soils base map or aerial photograph using standard signs
• structure of bedrock, including dip and strike, and symbols, at a chosen scale and projection. The
faults or fractures, fissures, discontinuities, standard is the Digital Cartographic Standard for Geo-
stratification, porosity and permeability, schis- logic Map Symbolization by the Federal Geographic
tosity, and weathered and altered zones Data Committee (FGDC–STD–013–2006) (FGDC 2006).
tory analyses are needed for design and construction. • Subsurface water conditions are known that
This determines the kind, number, and size of samples might materially affect the design of the struc-
needed. The necessary samples are obtained by using ture or the construction operations.
appropriate sampling procedures. Any additional test
• Stability characteristics are known for mate-
holes or special in-place field tests that are needed
rial in the auxiliary or other open spillways and
should be made. Such recommendations are a logical
channels under anticipated flow conditions
outcome of an investigation, depending on the com-
during operation of the structure.
plexity of the site and the hazard classification of the
structure. • Allocated sediment storage will not be exceed-
ed during the design life of the structure.
A detailed geologic investigation may include any com-
bination of the following: The detailed site investigation secures the informa-
tion and supplements the knowledge of the site gained
• conducting subsurface investigations, including through the reconnaissance and preliminary investiga-
exploration holes, trenching, pitting, geophysi- tions.
cal and seismic evaluations
• obtaining soil and rock samples for laboratory (a) Group A structure sites
analysis and performing in situ testing
• analyzing remotely sensed data and imagery The geologist and design engineer jointly develop a
detailed geologic investigation plan that describes
• evaluating the geomorphology, geologic units, what data to collect and how the data will be used to
and structures at and near the site support sound engineering design. Preliminary find-
• developing sediment budgets and sediment ings are reviewed to determine the adequacy of the
storage requirements or sediment management, subsurface investigation, including in situ testing and
including sediment production, transport, and sampling for soil mechanics testing. The data are re-
yield viewed for adequacy for use in all stages of design and
construction.
• defining structural or cultural features in the
area of interest (may include water wells, oil (1) Intensity of investigations
and gas wells, mine shafts and adits, quarries) Products and outcomes may include, but are not lim-
ited to:
A detailed site investigation provides information on
subsurface conditions that cannot be obtained by sur- • Delineation and determination of engineering
face examination or by shallow subsurface investiga- properties, continuity, relative permeability,
tion. Equipment such as backhoes, bulldozers, power and other characteristics of all materials to
augers, or drill rigs are typically used to perform the specified depth beneath the entire base
detailed site investigations, sampling, and testing. The and abutment area, or area of influence, of the
following information and assessments are required: dam and outlet structures. The structural area
of influence may be far into the abutments or
• Knowledge of the foundation materials and may be the entire reservoir basin under some
conditions is of sufficient scope and quality to geologic conditions or structure purposes.
serve as a basis for geologic interpretation and Stratigraphic and structural discontinuities,
structural design. such as faults, joints, voids, and fractures with
• Fill materials are of suitable quality and are engineering significance must also be charac-
available in sufficient quantity. terized.
• Storage reservoir basins are free from sinks, • Determining the attitude, location, extent, and
permeable strata, and fractures or fissures that character of folds, faults, joints, lineaments,
might lead to moderate or rapid water loss. solution cavities, disconformities, and uncon-
formities. Note also schistosity, slaty cleavage,
and bedding characteristics. In some cases,
angle holes may be needed to define hazardous An engineering geologic map must be drawn to iden-
conditions. tify and spatially represent zones of geologic material
that meet similar engineering performance criteria.
• Delineating the incompressible rock surface,
The map must include the locations of all measure-
where it occurs within the depth of influence of
ments, samples, or observations, and the data col-
the structure.
lected.
• Evaluating the need for hydraulic pressure
testing in rock foundations and abutments of Supplements may include structural contour maps
proposed dams for water storage reservoirs. showing elevations of geologic contacts, tops of key
beds, or other surfaces of interest, and isopach maps
• Assessing the influence of rock mass proper-
showing contoured thicknesses of each mapped unit.
ties on the slope stability of rock materials in
Cross sections, profiles, fence diagrams, columnar
spillway cut slopes.
sections, perspective drawings, and other illustrations
• Determining the extent and character of mate- may be used to represent geologic features. In some
rials to be excavated for open spillways and the cases, a geomorphic map, showing landforms, slope
character and slope stability of the material in stability, and topography is appropriate.
the spillway cut slopes.
(2) Test hole locations and depths
• Locating and determining the depth, thickness,
All soil and rock units need to be characterized be-
continuity, distribution, and engineering prop-
neath the footprint of the structure and the abutments.
erties of the earth materials proposed for use
as fill.
For all earthfill dams in group A, borings at all stations
• Determining the depth to groundwater, sea- within the footprint of the structure must be extended
sonal variation of water table, and extent and to depths equal to or greater than the equivalent pro-
character of aquifers within the zone of influ- posed height of fill associated with the points of boring
ence of the structure. or to hard, massive, unaltered rock or similar limiting
layer.
• Evaluating the need for controlling groundwa-
ter during construction and determine the need
For all concrete dams, borings must extend to depths
for controlling moisture content in borrow
equivalent to at least 1.5 times the proposed effective
material.
height of the dam as measured from the maximum
• Evaluating the seepage potential of the perma- proposed depth of excavation.
nent pool area and dam site of water-holding
reservoir sites. Sufficient borings must be made along the proposed
centerline of dams to provide correlation of geologic
• Evaluating whether economic mineral depos-
materials and to define the rock surface profile. Bor-
its, including sand and gravel, occur within the
ings must extend deep enough into rock to establish
area of influence or would be preempted or
depth to unaltered bedrock.
otherwise impacted by the project. Also assess-
ing the potential impact of current or future
Sufficient borings must be made along the proposed
mining or oil or gas withdrawal from below or
centerlines of risers, inlet structures, or other conduits
near the structure site.
to provide correlation of geologic materials from the
• Assessing the effects of earthquake loading on riser to the outlet and to a depth equal to the zone of
the proposed structure. influence of the structure. At least one test hole must
be placed at the riser, at the intersection of the center-
• Determining reservoir sediment storage re-
lines of the dam and conduit and at the outlet with suf-
quirements based on results of a watershed
ficient holes in between to allow reliable correlation.
sediment yield study.
• Evaluating reservoir slope stability where the Sufficient borings must be made along the centerline
slopes are steeper than 3H:1V. of drop inlets or other conduits to provide reliable cor-
relation of all strata from the riser to the outlet and to
a depth equal to the zone of influence of the structure. Enough borings must be made in the borrow areas to
Where rock occurs within the zone of influence, the in- identify and establish the distribution and thickness of
vestigation must accurately delineate the rock surface all materials to be used for fill. All borrow area borings
below the centerline of the conduit. should extend at least 5 feet below the expected depth
to which material is to be removed, unless consolidat-
The depth of investigation under the footprint of the ed material that is not suitable for fill is found. Deter-
structure must be equivalent to the proposed height of mine the depth to groundwater at the time of boring
the structure unless hard, massive, or otherwise unal- for all borrow area borings.
tered impervious rock is encountered at a shallower
depth. Borings must extend far enough into rock to (3) Structures with permanent storage
determine its character and condition and whether it For structures with permanent storage, undisturbed
is in-place. For all concrete dams, the depth of borings samples of all compressible, fine-grained materials are
will be no less than 1.5 times the height of the con- obtained for consolidation tests. Undisturbed samples
trolled head of the dam. are obtained from the foundation to a depth equivalent
to the maximum height of the dam, as measured from
The minimum depth of borings in weak or compress- the lowest point on the downstream toe to the lowest
ible materials, where the influence of loading by the point on the dam (crest). If compressible materials or
structure may be significant to depths greater than the materials that may undergo liquefaction are suspected
height of the dam, will be determined in consultation to occur at greater depths, extend testing to depths
with the design engineer. Depths of investigation ulti- within the zone of influence.
mately depend on the significance of the material and
mass characteristics of earth materials to the overall Samples for compaction and shear tests must be ob-
design. tained from the borrow areas and auxiliary spillway ar-
eas. Investigations should also determine if dissolvable
Hydraulic-pressure tests must be made in rock founda- minerals exist in the dam foundation and abutments
tions and abutments of proposed dams forming stor- (e.g., salt and gypsum).
age reservoirs. This test consists of a holding test of
not more than one psi per foot of depth below ground For all dam sites with permanent storage, the ground-
surface, followed by a pumping test if the pressure water regime and hydraulic characteristics of the
drop in the holding test exceeds 10 psi. entire reservoir area, abutments, and embankment
foundation must be evaluated to determine leakage
All borings must be sufficiently deep and closely potential and the need for reservoir sealing. Where
spaced to establish reliable correlation of strata under significant leakage is suspected, samples must be
the entire base of the structure. The number, depth, obtained of materials underlying the permanent pool
and spacing of holes needed depend on the regular- area to determine reservoir sealing requirements. Po-
ity, continuity, and attitude of strata and character of tential effects, including damages, of seepage from a
geologic structures. reservoir on lands adjacent to or downstream from the
structure must be evaluated.
Where an excavated auxiliary spillway is planned,
investigations must be of sufficient intensity to de- (4) Structures subject to deep subsidence
termine quantity and character of the materials to A geologist must determine whether sinkholes, solu-
be excavated, limits of common and rock excava- tion cavities, underground mine collapse, or the re-
tion, suitability of the excavated material for use in moval of fluids such as petroleum, water, and natural
construction, and erodibility of the resulting spillway gas could impact the design, function, and safety of
channel. Each boring for investigations must extend the dams, particularly by abrupt differential settle-
to a depth of not less than 2 feet below the bottom of ment. The geologist must provide recommendations
the proposed auxiliary spillway. A sufficient number of to the design engineer on identified geologic con-
auxiliary spillway holes must extend a minimum of 30 cerns that need to be addressed in the operations and
feet below the bottom to determine the potential erod- management plan for the structure. Subordination of
ibility of the bulk of the material in the spillway. mineral rights within a limited area at the site does
not necessarily prevent subsidence of the structure. If
studies indicate that the predicted subsidence cannot (c) Preparation for subsurface
be remedied, the site must be abandoned. exploration
(5) Structures underlain by economic mineral (1) Assembling maps, reports, and basic data
deposits or oil and gas deposits Available geologic information may indicate the inten-
The geologist must identify and generally characterize sity of investigation needed. Data collected during the
any economic mineral deposits underlying the dam preliminary geologic examination and the report of
site that might be mined or extracted in the future. investigation should be examined in detail. This study
The geological investigation must encompass an area may determine the need for additional information.
that extends outward beyond the base of the dam,
a horizontal distance equivalent to the depth of the Before the field work is started, the surface geology,
deepest mineral deposit below ground surface. This geologic cross sections, engineering-survey informa-
requirement may be modified as a result of a detailed, tion, and any available preliminary design data should
be plotted on Forms NRCS–35A, –35B, and –35C or
site-specific study by, and at the consequent recom-
their equivalent, so that the geologist can locate and
mendation of, a qualified mining engineer. log the test holes and correlate between them. The
preliminary plan of the proposed structure is prepared
Additionally, oil or gas leases that may involve multiple on Form SCS–35A or equivalent, including the pro-
wells or horizontal wells and hydrofracturing of the posed centerlines of the dam, principal outlet struc-
pay formations may require further investigations. ture, auxiliary spillway(s), the present stream channel,
and a map of the proposed borrow area(s) contain-
Results of the investigation may be used to recom- ing grids or traverse reference. Cross sections of the
mend measures or actions to: borrow area should be recorded as the investigation
proceeds and volumes of suitable borrow material
• prevent the development or removal of such tabulated.
minerals from unmined areas in order to pre-
vent subsidence of the structure (2) Staking and clearing
Locations of the proposed centerline of the dam, cen-
• prevent horizontal oil and gas wells from being terline of the principal spillway, and cross sections of
developed near or underneath the structure or the auxiliary spillway should be staked. Alternate loca-
reservoir tions for the principal spillway should also be staked.
• preserve or build and maintain adequate sup- All gridlines in the borrow area, auxiliary spillway
port to ensure against future subsidence of the cross sections, centerline of the principal spillway, and
structure foundation for mined areas or due to centerline of the dam should be cleared to a width suf-
oil or gas extraction ficient to provide easy access for the exploration equip-
ment. Stream crossings must be located to minimize
riparian damage and to avoid poorly drained areas.
(b) Group B structure sites
• interpret engineering properties of the materi- (3) Determining location and depth of pro-
als posed test holes
Exploratory borings are made along the centerline of
• determine testing and sampling locations the dam, along the centerline of the outlet structure, in
• perform sampling and in situ testing the spillway area, and in the borrow areas. Additional
exploratory borings are needed if relief wells or foun-
• determine what materials need to be sampled dation drains may be required, or if special informa-
for design and construction tion is needed because of site conditions encountered
during the investigation.
Split-tube or thin-wall drive samplers are recom-
mended for exploratory investigations and provide (4) Foundation test holes
Foundation investigations must determine:
an accurate log of unconsolidated, thinly-bedded, and
highly variable materials. • if the site will provide a stable vertical and
horizontal support for the structure
The number, distribution, and size of test holes and
the number of samples needed to establish subsur- • if the subsurface strata have enough strength to
prevent crushing, excessive consolidation, and
face conditions vary widely from one investigation to
plastic flow
another, depending on the variety and complexity of
the conditions. Test holes must be of adequate num- • if water movement through the foundation or
ber and depth for the geologist to delineate and cor- abutments will cause piping, detrimental uplift
pressure, or excessive water loss
relate the underlying strata and for the designer and
the geologist to determine the kinds and locations of Conditions that must be recognized and located in-
samples and testing needed. clude:
Where experience or previous examination indicates • the nature, extent, and sequence of strata
that only shallow test holes are needed, the excavation
• highly dispersed soils
of open pits with hand tools or bulldozers and back-
hoes may be adequate. Where cobbles and boulders • soluble salts
are numerous, backhoe or dozer pits or trenches may • liquefiable soils
be the most practical method of exploration. Where
• aquifers (confined, unconfined, perched)
pits and trenches in the foundation area cannot be left
open, their location and extent should be accurately • any weak bedding planes, joints, faults, voids,
recorded and shown on the plan so that, if necessary, or other structural weaknesses in the underly-
ing formations
they can be reopened and properly sloped and back-
filled during construction.
The spacing and number of test holes needed along blow count, drilling characteristics, or an estimate of
the centerline of the structure or beneath the proposed the density and void ratio of the material.
base depend principally on the complexity of the geol-
ogy. Some of the more important factors are character An example of how to use tables 2–3 and 2–4 to deter-
and continuity of the beds, attitude of the strata, and mine appropriate depths of test holes follows.
presence or absence of joints or faults. Depth, thick-
ness, sequence, extent, and continuity of the different Example: Test Hole Depth Determination for
earth materials must be determined. Foundation Investigation
A convenient system of boring to determine site condi- A test hole has been drilled to the minimum depth
tions is to locate one test hole on the floodplain near of 50 feet in the foundation for a structure designed
each abutment and one on the centerline of the outlet to be 50 feet high. The test hole is still in compress-
structure. Additional holes may then be located be- ible materials. The approximate vertical stress at this
tween these holes, as needed, to establish good corre- depth from a 50-foot structure is 1.9 tons per square
lation of strata. foot (table 2–3). The material at the bottom of the hole
is stiff, inorganic plastic clay (CH). Table 2–4 shows
At least one test hole should be in each abandoned that stiff CH has a presumptive bearing value of 1.5
stream channel that crosses the centerline. At least tons per square foot. This indicates that the formation
one test hole is usually required in each abutment; is subject to deformation under the proposed load
however, several test holes maybe needed to ad- and that exploration must continue to a greater depth
equately define the geologic conditions. It is highly until the vertical stress is equal to or less than the safe
important that enough investigation be carried out to load value. For this example, the test hole needs to be
establish continuity of strata and potentially hazardous extended to a depth of 85 feet.
or defective zones throughout the area underlying the
base of the proposed structure. Pervious, unstable, or (6) Principal-spillway test holes
compressible materials must be identified to a depth Complete information on the strata underlying the
equal to the height of the structure, unless impervious outlet structure is needed for its design. Potential for
and indurated, virtually incompressible material is differential settlement must be assessed, which may
encountered. result in cracking. If the outlet conduit is to be located
on or near rock with an irregular surface, the profile
(5) Foundation loading strength, presumptive of the rock surface must be accurately defined. The
bearing values, and test hole depths number of test holes needed for this purpose depends
Depth of exploration depends on the character of on the configuration of the rock. If the rock surface is
material and on the combined pressure exerted by undulating, numerous test holes may be required so
overburden and embankment. that the needed depth of cradle and the treatment of
the foundation can be determined. Where feasible, use
Table 2–3 shows the approximate vertical-stress values trenching to expose and characterize the nature of the
of earthfill structures weighing 100 pounds per cubic soil/rock interface.
foot.
Test holes are also needed at the proposed riser loca-
Table 2–4 shows the approximate loading values of tion, at the downstream toe of the structure, and at the
earthfill structures by height and depths and the pre- downstream end of the outlet conduit. For other types
sumptive bearing values of various unconfined materi- of outlets, exploration requirements vary widely from
als for different consistencies and relative densities. site to site, but test holes must be adequate to pro-
These values are approximate loads for soil materi- vide the information necessary for the design bearing
als without excessive settlement. Note that a given strength and to assess the potential for sliding.
amount of settlement per unit thickness may be of
minor significance for a thin layer but may be exces- The minimum depth of test holes along the centerline
sive for a thick stratum. The estimate of consistency of the outlet should be equal to the height of the pro-
and relative density must be made from examination posed fill over the outlet conduit, or 12 feet, whichever
of representative samples, standard penetration test is greater, unless unweathered rock is encountered.
25 1.2 1.1 1.1 1.0 0.9 0.9 0.8 0.8 0.7 0.7 0.6 0.6 0.6 0.6
30 1.4 1.3 1.2 1.1 1.1 1.0 1.0 0.9 0.9 0.8 0.8 0.8 0.7 0.7 0.7 0.6
35 1.5 1.4 1.3 1.3 1.2 1.2 1.1 1.1 1.0 1.0 0.9 0.9 0.9 0.8 0.8 0.8 0.7
40 1.7 1.7 1.6 1.5 1.5 1.4 1.4 1.3 1.3 1.2 1.2 1.1 1.1 1.0 1.0 1.0 0.9 0.9 0.8 0.8
45 2.0 1.9 1.9 1.8 1.7 1.7 1.6 1.5 1.5 1.4 1.4 1.3 1.3 1.3 1.2 1.2 1.1 1.1 1.0 0.9 0.9
50 2.2 2.1 2.0 2.0 1.9 1.8 1.8 1.7 1.7 1.6 1.6 1.5 1.5 1.4 1.4 1.4 1.3 1.3 1.2 1.2
55 2.4 2.3 2.2 2.2 2.1 2.0 2.0 1.9 1.9 1.8 1.8 1.7 1.6 1.6 1.5 1.5 1.4 1.3 1.3
60 2.6 2.5 2.4 2.4 2.3 2.2 2.2 2.1 2.0 2.0 2.0 1.9 1.9 1.8 1.7 1.6 1.5 1.5
Engineering Geologic Investigations
85 3.6 3.5 3.4 3.4 3.4 3.3 3.2 3.1 3.1 3.0 2.8 2.7 2.6 2.6
90 3.9 3.8 3.7 3.6 3.6 3.6 3.4 3.3 3.3 3.2 3.1 3.0 2.9 2.8
95 4.0 4.0 3.9 3.9 3.8 3.7 3.6 3.6 3.4 3.3 3.2 3.1 3.0
100 4.3 4.2 4.2 4.2 4.1 3.9 3.8 3.8 3.7 3.6 3.5 3.4 3.3
National Engineering Handbook
2–13
Chapter 2 Engineering Geologic Investigations Part 631
National Engineering Handbook
The minimum depth of holes below the riser should be right angles to the centerline of the spillway should be
equal to the difference in elevation between the top of developed if conditions are highly variable or if long
the riser and the natural ground line or 12 feet, which- spillway sections are planned.
ever is greater.
Initially, one cross section should be located approxi-
(7) Auxiliary spillway test holes mately at the control section, one in the outlet section,
The investigation must determine the stability and and one in the inlet section of the spillway. Additional
erodibility of spillway material and provide adequate cross sections can then be located as needed for cor-
information on the extent and volume of the various relation, to locate contacts, or to obtain additional
types of material to be excavated and on the suitability needed data. Test holes should be located on each
of the excavated material for use in construction. The cross section at the centerline and at the boundaries
SITES computer program, “Earthen/Vegetated Aux- of the spillway. Where deep spillway cuts are planned,
iliary Spillway Erosion Prediction for Dams” (USDA additional test holes may be needed to determine the
NRCS and Agricultural Research Service (ARS), and character of the material and water table in the sides
Kansas State University 2010) is used for determin- of the cut. Where consolidated rock is encountered
ing spillway design erodibility. Sampling and testing in the spillway, the rock surface should be carefully
should be consistent with the requirements of this delineated, which may require more test holes and
analytical tool (USDA NRCS, ARS, and Kansas State cross sections.
University 2010). A series of geologic cross sections at
Table 2–4 Presumptive bearing values of soils (approximate maximum safe-load values) as related to the Unified Soil Clas-
sification System
Coarse-grained materials
Relative density1/ N2/ GW GP SW SP GM GC SM ML
(blows/ft)
Tons per square foot
Very loose <4 — — 0.50 0.50 0.25 0.25 <0.25 —
Loose 4–10 1.75 1.75 1.00 1.00 0.50 1.25 0.75 0.25
Medium or firm 10–30 3.50 3.25 2.25 2.00 1.40 2.40 1.75 1.00
Dense or compact 30–50 5.25 5.00 3.75 2.25 2.80 3.50 2.50 1.75
Very dense or very compact 50+ 6.00 5.75 4.50 3.25 3.50 6.25 3.00 2.00
Fine-grained materials
Consistency1/ N2/ SM SC ML CL OL MH CH OH
(blows/ft)
Tons per square foot
Very soft <2 0.25 0.25 — 0.25 — — — —
Soft 2–4 0.50 0.50 0.25 0.50 — 0.25 0.25 —
Medium 4–8 0.75 1.00 0.75 1.00 0.25 1.00 1.00 0.25
Stiff 8–15 1.50 2.25 1.75 2.25 1.00 2.25 1.50 1.00
Very stiff 15–30 2.00 2.75 2.00 2.75 1.50 2.75 1.75 1.25
Hard 30+ 2.50 3.25 2.50 3.25 2.00 3.25 2.25 1.50
1/ Relative density and consistency as related to standard penetration test (table 2–1) of saturated soils.
2/ Standard penetration test
Note that these are approximate values, are used only to guide investigation needs, and not for design criteria.
Borings for auxiliary spillway investigations must (9) Reservoir-basin test holes
extend to a depth of not less than 2 feet below the bot- Subsurface exploration may also be required in the
tom of the proposed auxiliary spillway. Investigations reservoir basin, if water-holding is to be a function,
for rock excavation must be of sufficient detail to es- and in the general area of the structure site. The loca-
timate quantities of rock that can be commonly exca- tion, number, and depth of these test holes depend
vated, ripped, or require blasting. This usually requires on the specific problems to be assessed or solved. If
drilling equipment, even where delineation of the rock cavernous or permeable strata are encountered that
surface has been accomplished by using a bulldozer or may adversely influence the functioning or stability of
backhoe. Material to be excavated should be carefully the structure, further investigations are needed.
logged, noting any structural features such as:
(10) Foundation-drain and relief-well test
• rock material strength holes
If permeable materials are encountered along the cen-
• weathering
terline of the proposed structure, foundation drains,
• density of fractures (crushed, intensely frac- relief wells, or both may be needed and their locations
tured, etc.) (recorded as Rock-Quality Designa- investigated. Relief wells are usually located at or near
tion (RQD) in core samples) the downstream toe of a structure. Foundation drains
may be located between the centerline and the down-
• thickness of beds
stream toe, depending on the specific problems and
• attitude, character, and condition of bedding conditions. Foundation drainage methods and/or relief
and joint planes (type, shape, roughness, and wells may be necessary to control uplift pressure, to
type of infill such as clay, calcite, etc.) facilitate consolidation, or to prevent piping. Deep
foundation drains, consisting of trenches backfilled
• schistosity
with properly designed filter materials, can be used as
• cleavage an economical alternative for relief wells. This method
is suited to stratified or lenticular materials and where
• flow banding
aquifers can be tapped feasibly by excavation.
• cavities and solution channels, and strength,
degree, and kind of cementation. (11) Stream-channel test holes
If the stream channel contains boulders, roots, debris,
These factors influence the method and cost of exca- and organic matter, it may be necessary to remove
vation. Under some combinations of these conditions, these materials from beneath the structure as “special
rock can be ripped and removed. Other combinations stream-channel excavation.” Usually, excavation is
may require special equipment or blasting. required to prevent leakage through the foundation,
from the upstream toe of the structure to a point two-
(8) Borrow area test holes thirds of the distance from the centerline to the down-
Proposed borrow areas are investigated to identify stream toe. Channel investigations provide informa-
and classify the materials for quantity, location, and tion on the depth, nature, quantity, and location of the
suitability for use in constructing the dam. From these deposits to be removed.
investigations, the location and quantities of desirable
materials and the areas in which borrow areas pits The stream channel may be a local source of sand or
may be most conveniently developed can be deter- gravel for use in foundation drains, filter blankets, and
mined. The location and approximate extent of any roadways. The geologist should carefully log, sample,
undesirable materials must be determined. Depth to and compute quantities of these materials and their
groundwater, if reached, must be recorded. All borings potential suitability, including anticipated washing and
should extend at least 5 feet below the expected depth screening requirements.
of removal of material, unless consolidated material is
encountered that is not suitable for use. Usually about (12) Other investigations
three test holes per acre are adequate to determine Test holes may be needed at other locations to deter-
borrow area suitability. mine the continuity of materials upstream and down-
stream throughout the foundation and reservoir area.
Information may be needed on the depth, nature, quan- 3. Geologic formations and surficial depos-
tity, location, and extent of undesirable deposits within its
the foundation area, such as organic soils, liquefiable a. Names and ages (e.g., Jordan
soils, very soft silts and clays, and boulders. Structural member, Trempealeau Formation,
features, such as faults and contacts, may need to be Cambrian Age; Illinoisan till; Recent
accurately located and their attitude mapped through alluvium)
the site area. b. Description
c. Topographic position
4. Structure
(e) Report of detailed geologic a. Regional and local dip and strike
investigation b. Faults, joints, unconformities, etc.
5. Evidence of landslides, seepage,
The detailed geologic investigation report must clearly springs, etc.
document the methods of the investigation and the 6. Sediment and erosion
information obtained, including copies of all field logs, a. Gross erosion, present and future,
maps, cross sections, and conclusions. The following by source
outline can be used in preparing the narrative report. b. Delivery rates
c. Sediment yield
(1) Geologic investigation report outline d. Storage requirements and distribu-
I. Introduction tion
7. Downstream-channel stability
A General a. Present channel conditions
1. Date of exploration b. Anticipated effect of the proposed
2. Personnel engaged in exploration structure
3. Watershed (name and location) II. Subsurface geology
4. Site number
5. Site group and structure class A. Embankment foundation
6. Location 1. Location and types of test holes and
7. Equipment used (type, size, makes, number of samples of each type col-
models, etc.) lected
8. Site data 2. Depth, thickness, and description of
a. Size of drainage area above site pervious or low-volume-weight strata.
(square miles and acres) Give detailed data on aquifers or water-
b. Maximum pool depth bearing zones
(1) Sediment pool 3. Depth and description of firm founda-
(2) Flood pool tion materials
(3) Other pools 4. Location, depth, thickness, and descrip-
c. Structure tion of any questionable materials
(1) Maximum height 5. Description of abutment materials, in-
(2) Length cluding depth and thickness of pervious
(3) Location of spillway layers or aquifers
(4) Volume of fill 6. Location, attitude, pattern, and other
9. Special methods used pertinent data on any geologic struc-
B. Surface geology and physiography tural features such as joints, bedding
1. Physiographic area planes, faults, and schistosity
2. Topography 7. Location of water table and estimated
a. Steepness of valley slopes rate of recharge (high, medium, low)
b. Width of floodplain 8. Permeability of abutments
as part of the geologic and engineering investigation of the exceedance probabilities listed in table 2–6 may be
the dam site is a function of local and State laws and used, assuming a shear-wave velocity that reasonably
regulations, regional seismic hazards, the potential characterizes the site.
consequences of dam failure, and other site-specific
characteristics that influence the performance of the For significant or high-hazard dams, a site-specific
dam under earthquake loading. seismo-tectonic study, performed in accordance with
the “Federal Guidelines for Dam Safety: Earthquake
Where State or local laws and regulations require a Analysis and Design of Dams,” (Federal Emergency
particular method of analysis, that method must be Management Agency (FEMA) 2005) may be performed
used. Where no method is specified, a probabilistic in lieu of using the loadings shown above, if allowed
determination of minimum earthquake loading using by State or local law.
Table 2–5 Seismic risk and evaluation screening tool for dam sites
Probable ground
acceleration (PGA)
with 2% probability of Hazard class Effective dam
exceedance in 50 years (NEM Part 520, height Additional seismic
(%g) Seismic risk Subpart C, Dams) (ft) evaluation required?
<10 Low All Any No
<35 No
Low
≥35 Yes
<20 No
10 to <20 Medium Significant
≥20 Yes
<20 No
High
≥20 Yes
20 to <40 High All Any Yes
≥40 Very High All Any Yes
Significant –2,500 2%
(c) Liquefaction
feet from the ground surface and the 10-per-
For dam sites where additional seismic evaluation is cent-per-50-year PHGA is greater than 0.3 g.
required, the preliminary engineering geologic inves- The standard penetration test (SPT) is the pre-
tigation must include an assessment of liquefaction ferred method for field testing of liquefaction
potential, including the following: potential. If other tests are used, they must be
calibrated with SPT measurements taken from
• historic occurrences of liquefaction in the dam the project site.
site area
• geomorphic map that delineates active deposi-
tional areas, including stream channels, active
floodplains, marshes, and estuaries, and inac-
tive depositional units, such as older terraces
• highest groundwater level anticipated to occur,
assuming as-built conditions
• distribution of surficial geologic units and soils,
with an emphasis on Quaternary-age, uncon-
solidated to moderately consolidated deposits
Groundwater conditions may influence the design, If permeable materials are discovered in the founda-
construction, and operation of a structure. Where tion, abutment, and reservoir areas, their locations,
groundwater is at or near the ground surface, special thickness, elevation, and continuity are determined.
design features may be needed to ensure stability. Where permeability is a critical factor, values for the
In addition, special construction procedures may be coefficient of permeability are obtained either by field
needed. Shallow groundwater during the time of exca- tests or by laboratory tests on undisturbed samples.
vation may eliminate some areas from consideration
as a source of borrow material. The following techniques can also be used to charac-
terize groundwater conditions:
If the water table is deep, obtaining adequate supplies
of water to use in construction may be a problem. • dye tracers—water-soluble organic dyes, such
Artesian water may also create special problems as sodium fluorescein, have been used success-
(groundwater under pressure that rises up in a well, or fully to determine groundwater flow paths
may actually flow at the ground surface). Impounding • monitoring wells—used for short- or long-term
water in the reservoir, even temporarily, may modify determination of groundwater levels; some test
groundwater conditions. New springs may be created, holes may be secured as temporary monitoring
the flow of springs within the reservoir area may be wells as needed
reversed, and springs may emerge at new locations.
Additionally, unsaturated rock or soil materials may • piezometers—measure pressure conditions
become saturated, significantly changing their engi- for specific subsurface zones; are also used to
neering characteristics and behavior. Other changes in monitor changes in pressure over time
the location and movement of groundwater may occur. • pressure tests—locate permeable zones
Groundwater geology and groundwater hydrology • pumping-in tests—determine the value of the
guidance is found in NEH 631.30 through NEH 631.33 coefficient of permeability
(USDA NRCS 2010b). • pumping-out tests—reveal changes in water
levels, springs, etc.
Investigation procedures
The following investigations or studies may be needed
Springs and seeps must be identified and characterized to provide information for planning, designing, and
at the structural site and in the reservoir area. Samples implementing structure, systems, and conservation
should be taken for analysis, and locations and eleva- practices:
tions of springs and seeps mapped, noting source of
the water, volume of flow, its quality, whether flow is • agricultural drainage and irrigation water man-
perennial or seasonal, and location of the recharge agement activities
area. • engineering drainage for excavation, dewater-
ing of foundations, borrow areas, quarries,
For all test holes, elevation of the water table must be buildings, and mines
recorded and plotted on geologic cross sections and
profiles. Logs should specify at what depth free water • seepage evaluations for blankets, drains, filters,
is reached, or if artesian groundwater conditions are and grouting
encountered. A water table (potentiometric surface) • engineering subsurface drainage for slope sta-
contour map may need to be prepared. Seasonal fluc- bility
tuation of the water table and the source of this infor-
mation should be noted. Water levels in test holes are