CIVL 6077

Geotechnical Investigation
and Soil Testing

Albert T. Yeung, BSc (Eng) MS PhD

FHKIE FICE FASCE
RPE (CVL, ENV & GEL) CEng PE
Department of Civil Engineering
The University of Hong Kong
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Albert T. Yeung
• Room 6-08 Haking Wong Building
• Phone: 2859 8018
• Fax: 2559 5337
• E-mail:yeungat@hku.hk
albert-yeung@graduate.hku.hk

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Other Instructors

• Ir James W.C. Sze

• Ir K.M. Chan
• Ir H.N. Wong

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He lived without compromising,
served his chosen profession to
the best of his abilities, and died
without having anything to
regret.

Karl Terzaghi
(October 25, 1963)

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Ralph B. Peck
Jean-Louis 6Briaud
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Useful websites
• American Society of Civil Engineers:
www.asce.org
• Institution of Civil Engineers:
www.ice.org.hk
• American Society for Testing and Materials:
www.astm.org
• American Petroleum Institute: www.api.org
• National Research Council of Canada:
www.nrc.ca 10
Useful websites
• HKSAR Government: www.gov.hk
• Buildings Department: www.bd.gov.hk
• Environmental Protection Department:
www.epd.gov.hk
• Civil Engineering and Development Dept.:
www.cedd.gov.hk
• Centre for Research and Professional
Development: www.crpd-hk.com
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 However, we can
save 700 lire and
two months by not
doing a geotechnical
investigation.

Nobody will
know about
it, right?

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How much smarter are we modern geotechnical engineers?
Basic Objectives of Site
Characterization
• To acquire topographical, hydro-
geological, geotechnical and geo-
environmental information that is
relevant to the requirements of a
project

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"Experience soon taught me that one found out
nothing at all except in answer to a question; and
not a vague question either, but a definite one. That
when one dug saying merely "Let us see what there
is here," one learnt nothing, except casually, in so far
casual questions arose in one's mind while digging:
"Is that black stuff peat or an occupation soil?" ...
"Are those loose stones a ruined wall?" That what
one learnt depended not merely on what one turned
up in one's trench but also on what questions one
was asking; so that a man who was asking questions
of one kind learnt one kind of thing from a piece of
digging which to another man revealed something
different, to a third something illusory, and to a
fourth nothing at all."
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R.G. Collingwood (1939)
"What you look for should be
suggested by the natural environ-
ment" because " … if at the very
start the geological structure of the
site is misinterpreted, then any
subsequent sampling, testing and
calculation may be so much labour
in vain."
R. Glossop (1968)
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Site Characterization Flowchart

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Site Characterization
Flowchart

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Purposes of SI
• Selection of type and depth of
foundation suitable for a given
structure
• Evaluation of the load-bearing
capacity of the foundation
• Estimation of the probable
settlement of a structure

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Purposes of SI
• Identification of potential foundation
problems
• Expansive soil
• Collapsible soil
• Sanitary landfill
• Sinkholes
• Determination of the location of
groundwater table and its fluctuation
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Purposes of SI
• Prediction of lateral earth pressure
for structures such as retaining
wall, sheetpile bulkheads, and
braced cut
• Establishment of construction
methods taking change of subsoil
conditions into account

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Requirements
• Statutory requirements
• Technical
• Environmental
• Court evidence
• Contractual requirements
• Specifications
• Design parameters
• Evidence of satisfactory performance
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Procedure of SI
• Planning
• Reconnaissance
• Site exploration or ground
investigation
• Reports

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Planning
• Purposes
• Time available
• Budget available
• Type and number of drilling
equipment
• Type of sampling equipment
• Type of in-situ test 24
Reconnaissance
• Desk study
• Topographic maps
• Geologic maps
• Soil surveys
• Aerial photographs

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Reconnaissance
• Field reconnaissance
• Accessibility of the site
• Topography
• Soil profile
• Bedrock lithology
• Drainage
• Adjacent property owners
• Existing facilities 26
Checklist
• Scope
• Legal and code requirements
• Requirements of structure and
contents
• Construction procedures and
problems
• Site conditions
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Checklist
• Data to be obtained or developed
• Location of proposed facility
relative to existing facilities by
plan and elevation
• Geological conditions
• Site conditions
• Soil conditions
• Groundwater conditions 28
Checklist
• Observation during construction
• General
• Deep excavation
• Deep foundations
• Fills
• Dewatering
• Preloading
• Retaining walls, bulkheads, and other
earth retaining structures
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• Special problems
Checklist
• Observations following Construction
• Settlement at established time intervals
• Lateral displacements or distortion
• Piezometric levels under buildings or in
adjoining areas
• Deflection or displacement of retaining
structures
• Flow measurement from drains
• Special problems
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Ground Investigation
• Boring or drilling of investigation holes
• Sampling of geologic materials
• Sampling of groundwater
• In-situ measurement of soil/rock
properties
• Surface mapping
• Surface, airborne, down-hole or
cross-hole geophysical exploration
• Monitoring of groundwater 31
Purposes of In-situ Testing
• Site investigation
• Measurement of a specific property
of the ground
• Control of construction
• Monitoring of performance and back
analysis

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Use of In-situ Measurements
• Bearing capacity
• Acceptable settlement
• Lateral resistance
• Horizontal deflection
• Hydraulic conductivity
• Stability assessment
• Soil classification
•
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Contamination assessment
In-Situ Geotechnical Tests for Soils

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Other Common In-situ Tests
• Self-Boring Pressuremeter Test
• Borehole Shear Test
• Plate Load Test
• Impression Packer Survey
• Pumping test
• Borehole Permeability Test
• Field infiltration test 35
Specialized In-situ Tests
• Geoenvironmental Cone
• Lateral Stress Cone
• Cone Pressuremeter
• Vibrocone Penetrometer for Liquefaction
• Iowa Stepped Blade
• Vision Cone
• Torsional Impulse Shear Device
• Push-in Total Stress Cells
• Seismic Piezocone Pressuremeter 36
In-situ versus Laboratory Testing
Advantages – In-situ Testing
• Test results can be obtained during
investigation, much earlier than laboratory
test results
• Appropriate methods may be able to test
large volumes of ground, ensuring that the
effects of large particle size and
discontinuities are fully represented
• Estimates of in-situ horizontal stress can
be obtained
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In-situ versus Laboratory Testing
Advantages – Laboratory Testing
• Tests are performed in a well-controlled
environment
• Stress and strain levels are controlled, as
are drainage condition and strain rate
• Effective strength testing is
straightforward
• The effect of stress path and history can
be examined
• Drained bulk modulus can be determined
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In-situ versus Laboratory Testing
Disadvantages – In-situ Testing
• Drainage condition is not controlled
• Stress paths and/or strain levels are often
poorly controlled
• Tests to determine effective stress
strength parameters are expensive and
inconvenient
• Pore pressure cannot be measured in the
tested volume, so that effective stresses
are unknown
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In-situ versus Laboratory Testing
Disadvantages – Laboratory Testing

• Stress release on samples retrieved

• Testing cannot be used whenever samples
of sufficient quality and size are
unobtainable
• Test results are only available some time
after completion of fieldwork

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In-situ Testing is Performed when
• Good quality sampling is impossible, e.g.
granular soils, fractured rock masses, very
soft or sensitive clays, etc.
• The parameter required cannot be obtained
from laboratory tests, e.g. in-situ lateral
stress
• In-situ tests are cheap and quick relative
to the process of sampling and laboratory
testing
• Profiling and classification of soils are 41
required
Interpretation of In-situ Tests

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24th Rankine Lecture
Wroth, C.P. (1984). “The
interpretation of in situ
soil tests.” Géotechnique,
34(4), 449-489.

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Environmental Site
Investigation
• A desk study to identify previous
processes or industries on the site and
hence to infer the materials or chemicals
to be encountered
• Design of a site sampling and analysis
program to detect and/or confirm the
location of previous structures, and
distribution of materials and contaminants
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Environmental Site
Investigation
• Identification of materials underlying the
site, through on-site sampling,
observation and testing
• Measurement of the geotechnical and
chemical properties of the ground
materials
• Analysis of materials taken from site
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Environmental Site
Investigation
• Interpretation of the analytical data to
assess the concentrations of
contaminants both one and below the
surface and to draw up a plan of
contaminant ‘hot spots’

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Preliminary Work
• Ordnance Survey maps
• Estate maps
• Enclosure maps
• Parish and town plans
• Parliamentary plans (railway
building)
• Books on local and regional history
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Preliminary Work
• Back-copies of local newspapers
• Contaminated land surveys
• Aerial photographs
• Topography maps
• Geology maps

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Results of the Desk Study
• Previous industrial history
• Processes carried out at the
location
• As-built layout of industrial works
• Building or process modifications
undertaken

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Results of the Desk Study
• Nature and quantities of materials
handled on the site
• Nature of surrounding land use
• Physical features
• Geology and hydrology
• Surface and groundwater regime

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Walk-over Inspection
• Vegetation: absence or poor growth of
vegetation may indicate the presence of
phytotoxic substances, the prevalence of
particular species may suggest the
presence or absence of particular
substances or an abnormal pH value
• Surface materials: Unusual colors may be
due to chemical wastes and residues

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Walk-over Inspection
• Fumes and odors: These are often
readily detectable at very low
concentrations, and many harmful gases
have very distinctive aromas
• Drums and similar containers: These may
contain hazardous substances
• Infilled areas: Old plan, aerial
photographs, etc., will often indicate
such locations
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Ground Investigation
• Sample location
• Number and type of samples
• Sampling depth
• Stage sampling
• Sample retrieved and storage
• Sample size
• Sample testing
• In-situ measurements
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In-situ Measurement
• Chemical concentrations
• Stratification of geologic materials
• Hydraulic conductivity
• Groundwater flow gradient

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Personal Protection

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Codes/Standards of Practice
• BS 5930:2015 - Code of Practice for Site
Investigations
• BS 1377-9:1990 - Methods of Test for
Soils for Civil Engineering Purposes. In-Situ
Tests
• BS EN 1997-2:2007 - Eurocode Code No.
7 Geotechnical Design. Ground Investigation
and Testing

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Codes/Standards of Practice
• BS EN ISO 22476-1:2012 - Geotechnical
Investigation and Testing. Field Testing.
Electrical Cone and Piezocone Penetration
Test
• BS EN ISO 22476-2:2005+A1:2011 -
Geotechnical Investigation and Testing.
Field Testing. Dynamic Probing
• BS EN ISO 22476-3:2005+A1:2011 -
Geotechnical Investigation and Testing.
Field Testing. Standard Penetration Test
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Codes/Standards of Practice
• BS EN ISO 22476-4:2012 -
Geotechnical Investigation and Testing.
Field Testing. Ménard Pressuremeter
Test
• BS EN ISO 22476-5:2012 -
Geotechnical Investigation and Testing.
Field Testing. Flexible Dilatometer Test
• BS EN ISO 22476-7:2012 -
Geotechnical Investigation and Testing.
Field Testing. Borehole Jack Test 68
Codes/Standards of Practice
• BS EN ISO 22476-12:2009 -
Geotechnical Investigation and Testing.
Field Testing. Mechanical Cone
Penetration Test (CPTM)
• BS EN ISO 22476-9 - Ground
Investigation and Testing. Field Testing.
Part 9. Field Vane Test
• BS EN ISO 22476-11 - Geotechnical
Investigation and Testing. Field Testing.
Part 11. Flat Dilatometer Test 69
Codes/Standards of Practice
• BS EN ISO 22476-15:2016 -
Geotechnical Investigation and Testing.
Field Testing. Measuring While Drilling
• BS EN ISO 22282-1:2012 -
Geotechnical Investigation and Testing.
Geohydraulic Testing. General Rules
• BS EN ISO 22282-2:2012 -
Geotechnical Investigation and Testing.
Geohydraulic Testing. Water
Permeability Tests in a Borehole Using70
Open Systems
Codes/Standards of Practice
• BS EN ISO 22282-3:2012 -
Geotechnical Investigation and Testing.
Geohydraulic Testing. Water Pressure
Tests in Rock
• BS EN ISO 22282-4:2012 -
Geotechnical Investigation and Testing.
Geohydraulic Testing. Pumping Tests
• BS EN ISO 22282-5:2012 -
Geotechnical Investigation and Testing.
Geohydraulic Testing. Infiltrometer 71
Tests
Codes/Standards of Practice
• BS EN ISO 22282-6:2012 - Geotechnical
Investigation and Testing. Geohydraulic
Testing. Water Permeability Tests in a
Borehole Using Closed Systems
• BS EN ISO 22475-1:2006 - Geotechnical
Investigation and Testing. Sampling
Methods and Groundwater Measurements.
Technical Principles for Execution
• ASTM D1586-11 - Standard Test Method
for Penetration Test (SPT) and Split- 72
Barrel Sampling of Soils
Codes/Standards of Practice
• ASTM D3441-16 - Standard Test
Method for Mechanical Cone Penetration
Tests of Soil
• ASTM D5778-12 - Standard Test
Method for Performing Electronic Friction
Cone and Piezocone Penetration Testing of
Soils
• ASTM D2573/D2573M-15 - Standard
Test Method for Field Vane Shear Test in
Saturated Fine-Grained Soils 73
Codes/Standards of Practice
• ASTM D6066-11 - Standard Practice for
Determining the Normalized Penetration
Resistance of Sands for Evaluation of
Liquefaction Potential
• ASTM D6635-15 - Standard Test Method
for Performing the Flat Plate Dilatometer
• ASTM D3385-09 - Standard Test Method
for Infiltration Rate of Soils in Field
Using Double-Ring Infiltrometer
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Codes/Standards of Practice
• ASTM D5093-15 - Standard Test Method
for Field Measurement of Infiltration Rate
Using a Double-Ring Infiltrometer with a
Sealed-Inner Ring
• ASTM D6391-11 - Standard Test Method
for Field Measurement of Hydraulic
Conductivity Using Borehole Infiltration
• ASTM D4429-09a - Standard Test
Method for CBR (California Bearing Ratio)
of Soils in Place 75
Codes/Standards of Practice
• Guide to Site Investigation - Geoguide 2
(GEO)
• Guide to Rock and Soil Descriptions -
Geoguide 3 (GEO)
• Code of Practice for Foundations 2017
(Hong Kong Buildings Department)
• Foundation Design and Construction (GEO)
• AGS Code of Conduct for Site Investigation
(Association of Geotechnical &
Geoenvironmental Specialists) 76
PNAPs
• Practice Note for Authorized
Persons, Registered Structural
Engineers and Registered
Geotechnical Engineers
• Part A – Administration
• Part B - Application of the BO and
Regulations
• Part C - Advisory
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PNAPs
• PNAP ADM-1: Practice Notes in Force
• PNAP ADM-16: Ground Investigation
Works in Schedule Areas – Approval and
Consent
• PNAP APP-28: Requirements for Qualified
Supervision of Site Formation Works,
Excavation Works, Foundation Works on
Sloping Ground, and Ground Investigation
Works in the Scheduled Areas - Buildings
Ordinance section 17 78
PNAPs
• PNAP APP-49: Site Investigation and
Ground Investigation
• PNAP APP-64: Methods for Testing Hong
Kong Soils (GEOSPEC 3 – Model
Specification for Soil Testing)
• PNAP APP-134: Development in the
Designated Area of Northshore Lantau
• PNAP ADV-2: Legislation and Publications
Affecting the Building Industry
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PNAPs
• PNAP ADV-13: Application for Excavation
Permit for Works on Public Road -
Circulation of Proposal to Utility
Undertakers

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Schedule Areas
Schedule Area 1 – Mid-levels
• PNAP APP-30: Development in Mid-levels
Scheduled Area - Buildings Ordinance
section 2(1), Building (Administration)
Regulation 8(1)(bb)(vii) and 8(1)(1)
Schedule Area 2 – North-western
New Territories
• PNAP APP-61: Development in Area
Numbers 2 & 4 of Scheduled Areas 81
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Schedule Areas
Schedule Area 3 – Railway Protection
Areas
• PNAP APP-24: Mass Transit Railway
Protection – Railways Ordinance - Mass
Transit Railway (Land Resumption and
Related Provisions) Ordinance, Buildings
Ordinance Scheduled Area No. 3
Schedule Area 4 – Ma On Shan
• PNAP APP-61: Development in the Area
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Numbers 2 & 4 of Scheduled Areas
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Schedule Areas
Schedule Area 5 – Sewage Tunnel
Protection Areas
• PNAP APP-62: Sewage Tunnel Works -
Sewage Tunnels (Statutory Easements)
Ordinance Section 17A and Scheduled
Area Number 5, Buildings Ordinance, Cap
123

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Establishment
of State-of-
the-Practice
for
Scaffolding
Platform
for Slope Site
Investigation
Works 86
 HKCA SICC Code of Professional
Practice for Ground Investigation
• To maintain and improve their technical
competence to adopt and promote good
practice in Ground Investigation
• To set examples of good practice in all
areas related to its business
• To adopt the principles of recognized codes
of practice and other industry standards
• To afford the highest priority to the
safety of its employees and others involved
in or affected by its works 87
 HKCA SICC Code of Professional
Practice for Ground Investigation

• To provide training for employees at all

levels of the company and to promote
their participation in industry recognized
accreditation schemes
• To adopt procedures to minimize the
effects of their site activities on the
environment during and after completion of
their work

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 HKCA SICC Code of Professional
Practice for Ground Investigation
• To utilize subcontractors and suppliers
wherever possible who have achieved
certification or accreditation to relevant
ISO of HKAS standards
• To be co-operative in business relationships
to achieve mutual trust and understanding
such that Clients can be advised when
appropriate if an alternative scope of work
is more likely to achieve their objectives or
initial findings of the investigation indicate
a revised scope of work is necessary 89
 HKCA SICC Code of Professional
Practice for Ground Investigation
• To utilize appropriate, well maintained and
calibrated equipment to achieve the
objectives of quality and safety
• To ensure adequate field and overall
supervision is provided by staff of
appropriate experience and that continuity
of staffing is provided at appropriate
levels throughout all phases of the
investigation

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 HKCA SICC Code of Professional
Practice for Ground Investigation
• To be committed to the development and
implementation of mechanisms for the
efficient interchange of information such
as the AGS Format for the “Electronic
Transfer of Geotechnical Data from
Ground Investigations”
• To uphold the highest principles of
professional integrity to prepare and
submit clear and concise reports that
include all the relevant information from
the investigation 91
 HKCA SICC Code of Professional
Practice for Ground Investigation
• To promote the highest standards of
professional integrity within their
organization and to institute disciplinary
proceedings against any employees who
falsify or manipulate data with the
intention to mislead

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 HKCA SICC Code of Professional
Practice for Ground Investigation
• To uphold the principles and minimum
requirements for qualification on the
Works Bureau lists of Approved Specialist
Contractors and not to allow non-
registered contractors to meet these
requirements by the loan or hire of
licenses

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