GEOTECHNICAL INSTRUMENTATION FOR MONITORING FIELD PERFORMANCE =U} 4GEOTECHNICAL INSTRUMENTATION FOR MONITORING FIELD PERFORMANCE John Dunnicliff Geotechnical instrumentation Consultant Lexington, Massachusetts With the Gordon E. Green assistance of: Geotechnical Engineer Seattle, Washington UNIVERSITY OF WAIERLOU LIBRARY C3) WILEY, A Wiley-Interscience Publication John Wiley & Sons New York / Chichester / Brisbane / Toronte / SingaporeCopyright © 1988 by John Wiley & Sons, Inc All sights reserved, Published simultaneously in Canada. Reproduction of translation of any part of thie work beyond that permitted by Section 107 or 108 of the 1976 United States Copyright Act without the permission of the copyright owner is unlawful. Requests for permission or further information should te addressed to the Permissions Department, Jobn Wiley & Sons, loc. Library of Congress Cazaloging in Publication Data: Dupnnictift, Joho. ‘Geotechnical instrumentation for moaitoring field performance! John Dunnicliff with the assistance of Gordon E. Green, “A Wiley-Interscience publication ISBN 0-471.096148 U. Engineering geology—Instruments. 2, Soils—Testing. 1. Green, Gordon EI, Title. TAT0S.D&S 1988 C24.VS1 0 —Al9 2710 Printed in the United States of America 10997654321To the manufacturers of geotechnical instruments, without whom there would be no geotechnical instrumentation for monitoring field performanceFOREWORD Every geotechnical design is to some extent hypo- thetical, and every construction job involving earth, or tock runs the risk of encountering surprises. ‘These circumstances are the inevitable result of working with materials created by nature, often be- fore the advent of human beings, by processes sel- dom resulting in uniform conditions. The inability of exploratory procedures to detect in advance all ‘the possibly significant properties and conditions of natural materials requires the designer to make as- sumptions that may be at variance with reality and the constructor to choose equipment and construc- tion procedures without full knowledge of what might be encountered. Field observations, including quantitative mea- surements obtained by field instrumentation, pro- vide the means by which the geotechnical engineer, in spite of these inherent limitations, can design a Project to be safe and efficient, and the constructor can execute the work with safety and economy. Thus, field instrumentation is vital to the practice of geotechnics, in contrast to the practice of most other branches of engineering in which people have greater control over the materials with which they deal. For this reason geotechnical engineers, unlike their colleagues in other fields, must have more than. casual knowledge of instrumentation; to them itis a ‘working tool, not merely one of the components of research, Notwithstanding its vital role, instrumentation is not an end in itself. It cannot guarantee good design or trouble-free construction. The wrong instru- ‘ments in the wrong places provide information that may at best be confusing and at worst divert atten- tion from telltale signs of trouble. Too much in- strumentation is wasteful and may disillusion those ‘who pay the bills, while too little, arising from a desire to save money, can be more than false econ- omy: it can even be dangerous. Every instrument installed on a project should be selected and placed to assist in answering a specific, question. Following this simple rule is the key to successful field instrumentation. Unfortunately. it is easier to install instruments, collect the readings, and then wonder if there are any questions to which the results might provide an answer. Instrumenta- tion is currently in vogue. Some design agencies and many regulatory bodies mandate instrumenta- tion whether the results might be useful or not. It is a widely held dogma, for instance, that every earth dam should be instrumented, in the hope that some unsuspected defect will reveal itself in the observa- tions and give warning of an impending failure. Part of the criticism directed at Teton Dam following its failure was paucity of instrumentation. Yet, it is extremely doubtful that any instrumental observa- tions could have given timely warning of the partic- ular failure that occurred. Instruments cannot cure defective designs, nor can they indicate signs of im- pending deterioration or failure unless, fortuitously, they happen to be of the right type and in the right place. The engineer should bring the best knowledge and judgment to bear on every geotechnical prob- Jem that arises and should analyze the quality of the information on which a design is based. The cn- gineer should judge not only the way the design will function if the information is essentially correct, but how the gaps or shortcomings might influence the performance of the project. Then, and only then, can specific items be identified that will reveal whether the project is performing in accordance with design assumptions or, if not, in what signifi- cant way the performance differs. Then the criticalvit FOREWORD questions can be framed—the answers to which will fill the gaps or correct the errors in the original de- sign assumptions—and the engineer can determine what instruments, at what locations, can answer those questions. OF course, not all instruments are installed to monitor the safety of a structure or construction ‘operation or to confirm design assumptions. Some are used to determine initial or background condi- tions. Observations of groundwater prior to con- struction, or in situ stresses in rock masses, or of elevations of structures before the start of adjacent construction are examples. Certain types of con- struction, such as the installation of (iebacks, are inherently dependent on instrumentation. Further- more, advancements in the state of our knowledge require large-scale or full-scale observations of an extent and complexity far beyond the requirements of the practicing engineer. Yet, in all these applica- tions, it is equally true that every instrument should bbe selected and tocated to assist in answering a specific question. Instrumentation needs to be kept in perspective. It is one part of the broader activities of observation and surveillance. Trained people, using the best of all instruments, the human eye, can often provide all the information necessary and are always an es- sential part of the field observations on any project, Even when instruments are used because the neces- sary quantities are too small to be observed by eye, or the events are taking place out of the reach of a human being, the findings must be related to other activities. Without good records of the progress of excavation and of details of the excavation and bracing procedures, for example, the results of measurements of deformations or earth pressure associated with a braced cut become almost mean- ingless. Among the most valuable uses of instru- mentation are empirical correlations between con- struction procedures and deformations or pres- sures, correlations that can be used immediately improve the procedures s0 as to reduce the move- ments or pressures. Thus, highly sophisticated, fully automated installations for obtaining and pre~ senting data, sometimes held in high favor by those intrigued with gadgetry, may fail to serve a useful purpose because the simple visual observations of what may be affecting the readings are overlooked. ‘Not only is instrumentation not an end in itself, but neither is sophistication or automation. The two prime requirements are sensitivity sufficient to pro- vvide the necessary information and reliability to en- sure that dependable data can be obtained through- ‘out the period when the observations are needed. Usually, the most dependable devices are the sim- plest. Tfone can with sufficient accuracy make a direct ual observation with a graduated scale, then a micrometer should not be used. If one can use a micrometer, a mechanical strain gage should not be used. If one can use # mechanical strain gage, an electrical one should not be used. Mechanical in- struments are to be preferred to electrical devices and simple electrical devices depending on simple ‘circuits are to be preferred to more complex elec- tronic equipment. That is, where a choice exists, the simpler equipment is likely to have the best chance for success. Nevertheless, simple instruments are sometimes inappropriate and more complex ones must be used. An open standpipe may be the simplest de- vice for observing a piezometric level, but the point at which the pore pressure needs to be measured may be located where direct access is impossible. A more sophisticated arrangement is then necessary. If one wishes to determine the state of stress in a mass of rock. there is no choice but to install sophisticated equipment to make measurements at a considerable distance from the position of the ob- server, and the strains likely to be observed will be 100 small to detect by any mechanical device. Thus, nothing but a sophisticated system will serve. Not all sophisticated systems are equally reli able, Equipment that has an excellent record of per- formance can be rendered unreliable if a single essential but apparently minor requirement is over- looked during the installation. The best of instruc- tion manuals cannot provide for every field condi- tion that may affect the results. Therefore, even slavish attention (0 instructions cannot guarantee success. The installer must have a background in the fundamentals of geotechnics as well as know!- ‘edge of the intricacies of the device being installed. Sometimes the installer must consciously depart from the installation manual. The installer must also want desperately to do the job well and must often work under difficult and unpleasant conditions, trying to do precision work while surrounded by workers whose teamwork or ‘operation of equipment is being interrupted, or working the graveyard shift in an attempt to reduce such interruptions. Dedication of this sort is the price of success, and it is rarely found at the price tendered by the lowest bidder. Moreover, the in-FOREWORD ix staller can hardly be motivated to be dedicated to the task of installing instruments of inferior quality that are likely to fail prematurely or to produce questionable data, Rugged, reliable instruments are not necessarily expensive, but lowest cost of the hardware is rarely a valid reason for its choice. No arrangement for a ptogtam of instrumentation is a candidate for success if it sets cost above quality of instruments or fee above experience and dedication of the installer. Instruments are discontinuities, nonrepresenta- tive objects introduced into soil/rock structure sys- tems. Their presence or the flows or displacements required to generate an observation alter the very quantities they are intended to measure. The alter ation may be significant or negligible; its extent de- pends on the nature of the phenomenon being ob- served, on the design of the instrument, and on the operations required for installation. The engineer who embarks on a program of field instrumentation needs to understand the fundamental physics and mechanics involved and how the various available which they will be subjected. In addition, the en- sineer needs to know whether corrections can be made by calibration or by theoretical calculations, or whether under the circumstances no valid result is possible. Perhaps the classic examples of the lat- ter eventuality were the attempts in the carly 1920s to measure earth pressures against braced cuts by observing deflections of the wales between struts, a procedure made futile because of the then unsus- pected phenomenon of arching. The same phenom- enon affects to greater or lesser degree the results of all earth-pressure cells. Finally, there must be enough instruments not only to allow for the inevitable losses resulting from malfunction and damage by construction activities, but also to provide a meaningful picture of the scat- ter in results inherent in geotechnics as a conse- ‘quence of variations in geology and in construction procedures. For example, in the early days of con- struction of the Chicago subways, when the loads in the struts for bracing open cuts were measured, it ‘was observed that struts at the same elevation in the same cut carried widely different loads. To some extent the difference was the result of slight differ- ences in soil properties. To a much greater extent, however, the differences were associated with con- struction procedures. When a strut was placed as soon as possible, it always carried a load substan- Wally greater than the load in another strut at the same elevation but not placed until excavation had advanced considerably beyond its future location. If the strut loads had been measured on only a few struts, for example, along a single vertical line, the influence of the construction procedure on strut loads could not have been detected, and entirely erroneous conclusions might have been drawn about the magnitude of the earth pressures resisted by the bracing. Since the variability of the quan- tities measured by geotechnical instrumentation de- pends not only on the kind of measurement itself— whether it be pore pressure, displacement. or load in a structural member—but also on the geology and on details of the construction procedures, the design of a system of measurements requires ma- ture judgment based on experience and understand ing of the geotechnical problems at hand. ‘Use of field-instrumentation therefore requires a thorough grounding in geotechnical principles, a de- tailed conception of the variations that may be ex- pected in the natural or artificial deposit in which the observations are to be made, a realistic notion of the construction procedures likely to be fol- lowed, a thorough knowledge of the capabilities and shortcomings of the instruments themselves, and an appreciation of the practical problems of installa- tion. It also requires a clear perception of the way in which the results of the observations will be ob- tained, recorded, digested, and used on the particu» lar project for which the design is being prepared. ‘Small wonder that the need exists fora book dealing comprehensively with this subject. Raton B. PeckPREFACE This is intended to be a practical book for use by practitioners. There is information for afl those who plan or implement geotechnical instrumentation programs: owners, project managers, geotechnical engineers, geologists, instrument manufacturers, specialty geotechnical contractors, civil engineers, and technicians. The book should also be helpful to students and faculty members during graduate ‘courses in geotechnical engineering. ‘A practical book about geotechnical instramenta- tion must go beyond a mere summary of the techni- cal literature and manufacturers’ brochures: it must hold the hands of readers and guide them along the way. This need has created two difficulties for me. First, my own practical experience is that of one person and does not arm me to write a comprehen- sive guide on my own. [have tried to fill this gap by drawing on the experience and opinions of many colleagues, who are identified elsewhere. Second, it is certain that, soon after publication of this book, I will alter some of my opinions as my experience increases. 1 am well aware that the sub- ject of geotechnical instrumentation is a contentious subject, made so by strongly held views among practitioners and by vested commercial interests. ‘The guidelines in this book are an attempt to convey the “best ways” as I see them today. You, the reader, will have your own experience and your ‘own best ways, which may differ from mine. L therefore have a plea: when you see possibilities for improving the content of this book, send me rea- sonable evidence. My address is in the Directory of the American Society of Civil Engineers. Not only will [learn from you, but I will try to disseminate the improvements, perhaps ultimately in a second edition of this book. Length restrictions have strongly influenced the contents. There is no attempt to describe every strament, either currently available or described in published papers. Some available instruments are ‘not well suited to their intended purpose, and the literature abounds with descriptions of prototype ‘gadgets that have found little real use in practice. In selecting information to be included, {have been ‘guided by the title of the book, and thus there is nothing on geotechnical instrumentation for in site measurement of soil and rock properties. Detailed case histories have been exchided in favor of guide- lines directed toward the problem-oriented reader. However, summaries of selected case histories are included in Part 5. Finally, a few words about the organization of the book and how it may be used. The book is di- vided into seven parts, each with a self-explanatory title. Readers looking for an overview may start with the Foreword and Chapter 1, then scan through Chapter 26, The Key to Success. In my view, the greatest shortcoming in the state-of-the- practice is inadequate planning of monitoring pro- grams, and therefore problem-oriented readers should give their first concentrated attention to Chapter 4, Systematic Approach to Planning Moni- toring Programs Using Geotechnical Instrumenta- tion. The various steps in this chapter lead readers to each of the chapters in Parts 2, 3, and 4: Chapter 4 is therefore the hub of the book. ‘The chapters in Part 5, Examples of Instrumentation Applications, ate intended as supplementary chapters to open the minds of readers to the possible role of geotechnical instrumentation ‘on various types of construction projects and to guide them toward implementation. They are not intended as exhaustive summaries, state-of-the-art papers, or “cookbooks.” Ifa reader uses this book by (1) turning to the chapter in Part S that discusses his or her type of project, (2) noting the types of instruments suggested in Part 5, G) noting the sketched layouts in Part 5, (4) studying Part 3, Monitoring Methods, for details of the in- struments, and (5) proceeding with a monitoring program, that reader is misusing the book. Turn back to Chapter 4! Joun DunnictireACKNOWLEDGMENTS 1 would not have been able to write this book without the help of many People. First, Gordon E. Green, Associate, Golder Associates, Inc., Seattle, WA (formerly with Shannon & Wilson, Inc., Seattle, WA), has made an extraor- dinary commitment of time and enthusiasm to this book, He has given many hours to guide me with content and format, to provide a second opinion on numerous issues of judgment, and to make detailed reviews of the chapters in Parts 2, 3, and 4. For this untiring dedication, [can only express my great gratitude. No author could hope for more. Second, some colleagues have coauthored or assisted with sections or chapters. When I felt that my own experience of a subject has been too imited, I asked one or more engineers to help me with the text. Their names and affiliations are given in footnotes on appropriate pages. To these col- Teagues I say, thank you—for enduring my persistent questioning and for helping me to convert my shaky drafls into texts fit for a book. Your roles have been crucial. ‘Third, some colleagues have helped me by providing facts or opinions on ‘a multitude of subjects. These include the following: ‘Arild Andresen Herbert J. Dix ‘Thomas K. Liu William R, Belott James Dorsey C. Leroy McAnear Douglas J. Belshaw Edward J. Drelich Verne C. MeGuffey Bradford P. Boisen Charies N. Easton Jobn B. McRae Jean-Louis Bordes ‘Alex I. Feldman P. Brik Mikkelsen Jean Boucher Bengt H. Fellenius Anthony Minniti ‘Michael Bozozuk Rainer Glotal Dewayne L. Misterek Ed Brylawski Charles W. Hancock, Jr. Lan Mitchell Georgi A. Buckley Leo D. Handfelt Joho G. Morrison ‘Thomas G. Bumala Richard K. Harris Michael W. O'Neill Roy W. Cartson David G. F. Hediey ‘Walter Nold Pierre Carrier Anwar Hirany Ralph B. Peck David J. Clements, Robert D. Holtz Arthur D. M. Penman 5. Barrie Cooke Gary R. Holzhausen Edward C. Pritchett Christopher B.H. Cragg Robert G. Horvath. Red Robinson J. Clive P. Dalton Arthur Ross Richard R. Davidson Birger Schmidt Brian J. Dawes Peter Lang Ernest T. Selig George B. Deardorft Pierre LeFrancois Dale Shoup Elmo B. DiBiagio Jeftrey M. Lingham ‘Tony Simmonds Walter Dieden G. Stuart Littlejohn Patrick D. K. Smithxiv ACKNOWLEDGMENTS: Terry Stevens Peter R. Vauighan, James R. Wheeler Kalman Szalay James Warner Stanley D. Wilson Duncan Tharp Robert C, Weeks Anwar E. Z, Wissa Petur Thordarson William A. Weiler, Jr. Stephen P. Wnuk Amo Thut Clark Welden John R. Wolosick Bengt-Arne Torstensson To these colleagues—thank you for passing on your experience and for guiding me as I tried to resolve so many uncertainties. Fourth, I thank Judy Grande and Sarah Matthews, whose word process- ing skills and responsiveness to deadlines have been outstanding. Last, but never least, my wife, Margaret, and my chikiren, Christopher, Jonathan, and Tanya. Their tolerance and understanding during the 5 years, of writing have made it all possible.CONTENTS PART 1 INTRODUCTION Chapter 1 Geotechnical Instrumentation: An Overview / 3 LL What Is Geotechnical Instrument n?, 3 1.2 Why Do We Need to Monitor Field Performance?, 3 1.3 What Capabilities Must the People Have?, 5 14 What Capabilities Must the Instruments Have?, 5 1S Where Have We Been?, 5 16 Where Are We Now?, 5 LF Where Are We Going?, 10 18 The Key to Success, 12 Chapter 2. Behavior of Soil and Rock / 13 2.1 Behavior of Soil, 13 2.2 Behavior of Rock, 23 PART 2 PLANNING MONITORING PROGRAMS Chapter 3 Benefits of Using Geotechnical Instrumentation / 33 3.1 Benefits During Design, 33 3.2 Benefits During Construction, 34 3.3. Benefits After Construction Is Complete, 36 3.4 General Considerations, 36 Chapter 4 Systematic Approach to Planning Monitoring Programs Using Geotechnical Instrumentation / 37 4.1 Define the Project Conditions, 37 4.2 Predict Mechanisms that Control Behavior, 38 43 Define the Geotechnical Questions that Need to Be Answered, 38 4.4 Define the Purpose of the Instrumentation, 38 4.5 Select the Parameters to Be Monitored, 38 4.6 Predict Magnitudes of Change, 38 4.7 Devise Remedial Action, 39 4.8 Assign Tasks for Design, Construction, and Operation Phases, 39 49 — Select Instruments, 40 4.10 Select Instrument Locations, 42CONTENTS 4.11 Plan Recording of Factors that May Influence Measured Data, 43 4.12, Establish Procedures for Ensuring Reading Correctness, 43, 4.13 List the Specific Purpose of Each Instrument, 43 4.14 Prepare Budget, 43 4,15 Write Instrument Procurement Specifications, 44 4.16 Plan Installation, 44 4.17 Plan Regular Calibration and Maintenance, 44 4.18 Plan Data Collection, Processing, Presentation, Interpretation, Reporting, and Implementation, 44 4.19 Write Contractual Arrangements for Field Instrumentation, Services, 44 4.20 Update Budget, 44 Chapter $ Specifications for Procurement of Instruments / 45 5.1 Task Assignment for Procurement, 45 5.2 Specifying Method, 46 5.3 Basis for Determining Price, 47 5.4 Content of Specifications for Procurement of Instruments, 49 Chapter 6 Contractual Arrangements for Field Instrumentation Services / 57 6.1 Goals of Contractual Arrangements, 57 6.2 Definition of Terms, 57 63 Contractual Arrangements for Instrument Installation, 59 64 — Contractual Arrangements for Regular Calibration and Maintenance, 61 65 Contractual Arrangements for Data Collection, Processing, Presentation, Interpretation, and Reporting, 61 66 Content of Specifications for Field Instrumentation Services, 63 PART 3 MONITORING METHODS Chapter 7 Measurement Uncertainty / 75 7.1 Conformance, 75 7.2 Accuracy, 75 7.3 Precision, 75 7.4 Resolution, 76 75 Sensitivity. 76 7.6 Linearity, 76 7.7 Hysteresis, 76 1.8 Noise, 77 19 — Error, 77 Chapter 8 _Instrumentation Transducers and Data Acquisition Systems / 79 81 Mechanical Instruments, 79 8.2 Hydraulic Instruments, 80 8.3 Pneumatic Instruments, 87 84 — Electrical Instruments, 92CONTENTS xvii Chapter 9 Measurement of Groundwater Pressure / 117 9.1 Instrument Categories and Applications, 117 9.2 Observation Wells, 118 9.3 Open Standpipe Piezometers, 118 9.4 Twin-Tube Hydraulic Piezometers, 123 9.5 — Pneumatic Piezometers, 126 9.6 Vibrating Wire Piezometers, 127 9.7 Electrical Resistance Piezometers, 128 98 — Miscellaneous Single-Point Piczometers, 130 9.9 Multipoint Piezometers, 136 9.10 Hydrodynamic Time Lag, 139 9.11 Types of Filter, 141 9.12 Recommended Instruments for Measuring Groundwater Pressure in Saturated Soil and Rock, 141 9.13 Recommended Instruments for Measuring Pore Water Pressure in Unsaturated Soil, 144 9.14 Saturation of Filters, 146 9.15 Installation of Piezometers in Fill, 148 9.16 Installation of Piezometers by the Push-in Method, 148 9.17 Installation of Piezometers in Boreholes in Soil, 150 9.18 Installation of Piezometers in Boreholes in Rock, 163 Chapter 10 Measurement of Total Stress in Soil / 165 10,1 Instrument Categories and Applications, 165, 10.2 Embedment Earth Pressure Cells, 165 10.3 Contact Barth Pressure Cells, 177 Chapter 11 Measurement of Stress Change in Rock / 185 11.1. Applications, 185 11.2 Instrument Categories, 185 11.3 Soft Inclusion Gages, 186 \lL4 Rigid Inclusion Gages, 191 11.5 Recommended Procedures for Measurement of Stress Change in Rock, 195 ‘Chapter 12 Measurement of Deformation / 199 12.1 Instrument Categories, 199 12.2 Surveying Methods, 199 12.3 Surface Extensometers, 209 12.4 Tiltmeters, 216 12.5 Probe Extensometers, 219 12.6 Fixed Embankment Extensometers, 233 12.7 Fixed Borehole Extensometers, 237 8 Inclinometers, 250 .9 Transverse Deformation Gages, 268 12.10 Liquid Level Gages, 275 12.11 Miscellaneous Deformation Gages, 292 ‘Chapter 13 Measurement of Load and Strain in Structural Members / 297 13.1 Instrument Categoties and Applications, 2 13.2 Load Cells, 297CONTENTS 13.3 Surface-Mounted Strain Gages, 306 13.4 Embedment Strain Gages, 320 13.5 Determination of Existing Stress, 326 13.6 Concrete Stress Cells, 327 Chapter 14 Measurement of Temperature / 331 14.1 Applications, 331 Mercury Thermometer, 332 Bimetal Thermometer, 332 Thermistor, 333 Thermocouple, 333 Resistance Temperature Device (RTD), 334 Frost Gages, 335 Other Transducers for Measurement of Temperature, 336 Comparison Among Transducers for Remote Measurements, 336 Installation of Transducers for Measurement of Temperature, 338 PART 4 GENERAL GUIDELINES ON THE EXECUTION OF MONITORING PROGRAMS Chapter 15. Recipe for Reliahility of Performance Monitoring / 341 15.1 Instrument Ingredients in a Recipe for Reliability, 341 15.2 People Ingredients in a Recipe for Reliability, 342 Chapter 16 Calibration and Maintenance of Instruments / 343 16.1 Instrument tion, 343 16.2 Instrument Maintenance, 345 Chapter 17 Installation of Instruments / 347 17.1 Contractual Arrangements for Installing Instruments, 347 17.2. Locations of Instruments, 347 17.3 Detailed Installation Procedures, 348 17.4 Installation at the Ground Surface, 348 17.5 Installation in Boreholes, 348 17.6 Installation in Fill, 358 17.7 Installation in Underground Excavations, 363 178 Protection from Damage, 363 17.9 Acceptance Tests, 364 17.10 Installation Records, 364 17.11 Installation Schedule, 364 17.12 Coordination of Installation Plans, 365 17.13. Field Work, 365 17.14 Installation Report, 366 Chapter 18 Collection, Processing, Presentation, Interpretation, and Reporting of Instrumentation Data / 367 18.1 Collection of Instrumentation Data, 367 18.2 Processing and Presentation of Instrumentation Data, 374 18.3 Interpretation of Instrumentation Data, 382 18.4 Reporting of Conclusions, 384‘CONTENTS xix PART 5 EXAMPLES OF INSTRUMENTATION APPLICATIONS Chapter 19 Braced Excavations / 389 19.1 General Role of Instrumentation, 389 19.2 Principal Geotechnical Questions, 390 19.3. Overview of Routine and Special Applications, 400 19.4 Selected Case Histories, 400 Chapter 20 Embankments on Soft Ground / 407 20.1 General Role of Instrumentation, 407 20.2. Principal Geotechnical Questions, 407 20.3 Overview of Routine and Special Applications, 410 20.4 Selected Case Histories, 410 Chapter 21. Embankment Dams / 417 21.1 General Role of Instrumentation, 417 21.2 Principal Geotechnical Questions, 418 21.3 Long-Term Performance Monitoring of Embankment Dams, 423 21.4 General Guidelines on the Execution of Monitoring Programs for Embankment Dams, 432 21S Selected Case Histories, 435 ‘Chapter 22 Excavated and Natural Slopes / 443 22.1 General Role of Instrumentation, 443 22.2. Principal Geotechnical Questions, 443 22.3 Overview of Routine and Special Applications, 448 2A Selected Case Histories, 448 Chapter 23. Underground Excavations / 453 23.1 General Role of Instrumentation, 453 23.2 Principal Geotechnical Questions, 455 23.3 Overview of Routine and Special Applications, 46] 23.4 Selected Case Histories, 461 Chapter 24 Driven Piles / 467 24.1 General Role of Instrumentation, 467 24.2 Principal Geotechnical Questions, 467 24.3. Overview of Routine and Special Applications, 479 24.4 Selected Case Histories, 479 ‘Chapter 25. Drilled Shafts / 433 25.1 General Role of Instrumentation, 483 25.2. Principal Geotechnical Questions, 483, 25.3. Overview of Routine and Special Applications, 489 25.4 Selected Case Histories, 489 PART 6 THE KEY TO SUCCESS Chapter 26 The Key to Success: The Chain with 25 Links / 493CONTENTS: PART 7 APPENDIXES ‘A. Checklist for Planning Steps / 501 B. Checklist for Content of Specifications for Procurement of Instruments / 505, CC. Checlist for Content of Specifications for Field Instrumentation Services / 507 D. Commercially Available Geotechnical Instruments / 511 E. Details of Twin-Tube Hydraulic Piezometer System / 519 F. Dimensions of Drill Rods, Flush-joint Casing, Diamond Coring Bits, Hollow-Stem Augers, and U.S. Pipe / 527 G. Example of {nstallation Procedure, with Materials and Equipment List ¢ 533 1H, Conversion Factors / 539 References / 541 Index / 563GEOTECHNICAL INSTRUMENTATION FOR MONITORING FIELD PERFORMANCEEvery instrument on a project should be selected and placed to assist with answering a specific question: if there is no question, there should be no instrumentation.Part 1 Introduction Part 1 is intended to serve as a general introduction. Chapter 1 sets the stage for the book, describing the role of geotechnical instrumentation and giving a historical perspective and a look into the future. It is hoped that Chapter 1 will motivate the reader toward a deeper study of the subject. Chapter 2 presents an overview of key aspects of soil and rock behavior, targeted for the practitioners who become in- volved with geotechnical instrumentation programs and who do not have formal training in soil or rock mechanics.CHAPTER 1 GEOTECHNICAL INSTRUMENTATION: AN OVERVIEW 4.1, WHAT IS GEOTECHNICAL INSTRUMENTATION? ‘The engineering practice of geotechnical instrumen- tation involves a marriage between the capabilities of measuring instruments and the capabilities of people. There are two general categories of measuring instruments. The first category is used for in situ determination of soil or rock properties, for ex- ample, strength, compressibility, and permeability, normally during the design phase of a project. Ex- amples are shown in Figure 1.1. The second cale- ‘gory is used for monitoring performance, normally during the construction or operation phase of a proj- ect, and may involve measurement of groundwater pressure, total stress, deformation, load, or strain. Examples are shown in Figure 1.2. This book is concerned only with the second category. During the past few decades, manufacturers of geotechnical instrumentation have developed 2 large assortment of valuable and versatile products for the monitoring of geotechnically related parame- ters. Those unfamiliar with instrumentation might believe that obtaining needed information entails nothing more than pulling an instrument from a shelf, installing it, and taking readings. Although successful utilization may at first appear simple and straightforward, considerable engineering and plan- ning are required to obtain the desired end results. ‘The use of geotechnical instrumentation is not merely the selection of instruments but a com- prehensive step-by-step engineering process begin- ning with a definition of the objective and ending with implementation of the data. Each step is criti- cal to the success or failure of the entire program, and the engineering process involves combining the capabilities of instruments and people. 1,2, WHY DO WE NEED TO MONITOR FIELD PERFORMANCE? The term geotechnical construction can be used for construction requiring consideration of the en- gineering properties of soil or rock. In the design of a surface facility, the ability of the ground to sup- port the construction must be considered. In the design of a subsurface facility. consideration must also be given to the ability of the ground to support itself or be supported by other means. In both cases, the engineering properties of the soil or rock are the factors of interest. The designer of geotechnical construction works with a wide vari- ety of naturally occurring heterogeneous materials, which may be altered to make them more suitable, but exact numerical values of their engineering 3@ © em ® © Figure 1.1, Examples of measuring instruments for in situ determination of sil or rack properties: (2) Piezocone: combined static cone and pore pressure probe (courtesy of Geotechniques International, Inc, Middleton, MA); (b) vane shear equipment (courtesy of Geonor A/S, Oslo, Norway); () sll-boring ppressuremeter (courtesy of Cambridge Insitu, Cambeidge, England); and (d) borehole deformation gage (courtesy of Geokon, Inc., Lebanon, NED.WHERE ARE WE NOW? 5 properties cannot be assigned. Laboratory or field tests may be performed on selected samples to ob- tain values for engineering properties, but. these tests will only provide a range of possible values. The significance of these statements about geotechnical construction can be demonstrated by comparison with steel construction, A designer of a steel structure works with manufactured materials. ‘The materials are specified, their manufacture is controlled, and fairly exact numerical values of en- ‘incering properties are available for design. An ac- ‘curate analysis can be made and design plans and specifications prepared. Then, provided construc- tion is in accordance with those plans, the structure will perform as designed. There will generally be no need to monitor feld performance. Similar remarks apply to reinforced concrete. In contrast, the design of geotechnical construction will be based on judg- ment in selecting the most probable values within the ranges of possible values for engineering prop- erties. As construction progresses and geotechnical conditions are observed or behavior monitored, the design judgments can be evaluated and, if neces- sary, updated. Thus, engineering observations dur- ing geotechnical construction are often an integral part of the design process, and geotechnical in- strumentation is a tool to assist with these obser- vations. 1.3. WHAT CAF PEOPLE HAVE? ES MUST THE Basic capabilities required for instrumentation per- sonnel are reliability and patience, perseverance, a ‘background in the fundamentals of geotechnical en- ineering, mechanical and electrical ability, atten- tion to detail, and a high degree of motivation. 1.4, WHAT CAPABILITIES MUST THE INSTRUMENTS HAVE? Reliability is the overtiding desirable capability for instruments. Inherent in reliabitity is maximum simplicity, and in general the order of decreasing simplicity and reliability is optical, mechanical, hydraulic, pneumatic, electrical. Also inherent in reliability is maximum quality. Lowest cost of an instrument is rarely a valid reason for its cl and unless high quality can be specified adequately, instrument procurement on a low-bid basis will re- main a stumbling block to good ficld performance. 1.5. WHERE HAVE WE BEEN? Figures 1.3-1.15 show examples of past uses of geotechnical instrumentation. The birth of geotechnical instrumentation, as a tool to assist with field observations, occurred in the 1930s and 1940s. During the first 50 years of its life, a general trend can be observed. In the early years, simple mechanical and hydraulic instruments predominated, and most instrumentation programs were in the hands of diligent engineers who had a clear sense of purpose and the motivation to make the programs succeed. There were successes and failures, but the marriage between instruments and people was generally sound. In more recent years, as technology has advanced and the role of geo- technical instrumentation has become more secure, more complex devices with electrical and pneu- matic transducers have become commonplace. Some of these devices have performed well, while others have ntot. At the same time, the technology has attracted an increasingly large proportion of the geotechnical engineering profession, and an in- creasing number of instrumentation programs have been in the hands of people with incomplete motiva- tion and sense of purpose. There have continued to be successes and failures but, in contrast to the early years, a significant number of the failures can be attributed to an unsound marriage between in- struments and people. 1.6. WHERE ARE WE NOW? The state of the art of instrument design is now far ahead of the state of the practice by users, and ‘many more imperfections in current instrumenta- tion programs result from user-caused people prob- Jems rather than from manufacturer-caused instru- ment problems. As users we are fortunate in having access to such a wide variety of good instruments. It is our responsibility to develop an adequate level of understanding of the instruments that we select and to maximize the quality of our own work if we are to take full advantage of instrumentation tech- nology. The greatest shortcoming in the state of the practice is failure to plan monitoring programs in a© @ © © Figure 1.2. Examples of measuring instruments for monitoring field performance: (a) twin-tube hy: raulic piezometer (courtesy of Geotechnical Instruments (U.K. Lid., Leamington Spa, England); () vibrating wire piezometer (courtesy of Telemac, Asniéres, France); (c) vibrating wire stressmeter (courtesy of Geokon, Inc, Lebanon, NH); () load cell (courtesy of Proceq SA, Zirich, Switzerland); (e) embedment earth pressure cell (courtesy of Thor International, Inc., Seattle, WA); (0 surface ‘mounted vibrating wire strain gage (courtesy of Irad Gage, a Division of Klein Associates, Inc, Salem, NH); @) multipoint fixed borehole extensometer (courtesy of Soil Instruments Lig, Uckfield, England); and (h)incfinometer (courtesy of Slope Indicator Company, Seattle, WAY.a GEOTECHNICAL INSTRUMENTATION: AN OVERVIEW Figure 1.5. Installing twin-tube hydraulic piezometers. Usk Dam, England, 1952 (courtesy of Arthur D. M. Penmen). rational and systematic manner, and therefore plan- ning procedures are emphasized in this book. Users of geotechnical instrumentation often have ‘a misconception of the size of the industry th Figure 1.3. Measuring load in a timber strut, using a hydraulic manufactures instruments for performance moni- jack. Open cut for station in clay. Chicago Subway, 1940 (our toring. It is not a large industry: it is in fact very Say of RMB SF small. The manufacturing industry employs be- tween 300 and 400 people worldwide, and the total annual volume of sales is about 30 million U.S. dol lars, This misconception sometimes leads to un- reasonable expectations on the part of users: we cannot expect the manufacturers to make large ex- penditures on research, development, and testing of special instruments, unless justified by the size of the market. Ifthe market is small, special funding is needed. Figure 14. Determination of load in asteelstrut,usiag amechani- Figure 1.6, Installing fixed embankment extensometer with vibra cal strain gage. Open cut for station in clay. Chicago Subway, ing wire transducer. Balderhead Dam, England, 1963 (courtesy af 1948 (courtesy of Ralph B. Peck) Adthur D. M. Penman).WHERE ARE WE NOW? 9 Figure 1.7, Manometer panels for twin-tube hydraulic piezometers. Plover Cove Main Dam, Hong Kong, 1965 (after Dunnicliff, 1968). Reprinted by permission of Institution of Civil Engineers, London. ‘This book includes chapters that describe avail- able methods for monitoring various geotechnically related parameters. The following is a summary rat- ing of our current ability to obtain reliable measure- ments of these parameters, in order of increasing reliability: * Total stress in soil and stress change in rock + Groundwater pressure * Load and strain in structural members * Deformation + Temperature Figure 1.8. Installing fived embankment extensometers in em- Figure 1.9. Bonded resistance tbankment dam. Ludington Pumped Storage Project, Ludington, liner for soft ground tunnel. Port Richmond Water Pollution Con- Mi, 1972. trol Project, Staten Island, NY, 1974.10 GEOTECHNICAL INSTRUMENTATION: AN OVERVIEW Figure 1.10. Installing multipoint fixed borehole extensometer above alignment of rock tunnel. East 63rd Street Subway, New York, NY, 1976. Reliability is strongly influenced by the extent to which measurements are dependent on local char- acteristics of the zone in which the instruments are installed, Most measurements of pressure, stress, load, strain, and temperature are influenced by con- ditions within a very small zone and are therefore dependent on local characteristics of that zone. They are often essentially point measurements, subject to any variability in geologic or other char- acteristics, and may therefore not represent condi- tions on a larger scale. When this is the case, a large number of measurement points may be required be- fore confidence can be placed in the data. On the other hand, many deformation measuring devices respond to movements within a large and represen- tative zone. Data provided by a single instrument can therefore be meaningful, and deformation mea- surements are generally the most reliable and least ambiguous. igure 1.11. Pneumatic piezometer and earth pressure cell on ‘opposite faces of precast concrete ple, prior to concreting, Kechi Interchange, Honoluly, HI, 1977. 1.7. WHERE ARE WE GOING? As we look ahead, there is no reason to believe in a decreasing role for geotechnical instrumentation. Geotechnical design and construction will always be subject to uncertainties, and instrumentation will continue to be an important item in our tool box. However, several current trends can be identified, cach of which will continue in the future and change the state of the practice. First, there is the advent of automatic data aequi sition systems and computerized data processing and presentation procedures. Clearly, these sys tems and procedures have many advantages, yet we must remain aware of their limitations. No auto- matic system can replace engineering judgment. When automatic data acquisition systems are used,WHERE ARE WE GOING? " Figure 1.12. Electrical transducers for monitoring movement of ‘rte eltales during load test of precast concrete pile. Keehi Interchange, Honolulu, HI, 1977, there is a real possibility that visual observations will not be made, that other factors influencing measured data will not be recorded, and that in- formation will therefore not be available for relat- ing measured effects to their likely causes. When computerized data processing and presentation pro- cedures are used, there is a real possibility that en- gineering judgment will be given second place and that correlations between causes and effects will not be made. We should take all possible advantage of this exciting new technology but should never forget that judgment plays an important and often overriding role in the practice of geotechnical en- gineering Second, increasing labor costs in many countries have sharply reduced the availability of competent personnel, This trend of course encourages the use of automatic systems and procedures, yet reduces Figure 1.13. Installing gage with induction coil transducers, for ‘monitoring convergence of slurry trench test panel in sot cay, Alewite Station, Cambridge, MA, 1978. Figure 1.14. Heads of multipoint fixed borehole extensometers, installed to monitor rock movements during full-scale heater test for studies relating to disposal of high-level nuclear waste. Basalt Waste Isolation Program, Hanford, WA, 1980 (courtesy of De partment of Energy).2 GEOTECHNICAL INSTRUMENTATION: AN OVERVIEW Figure 1.15. Reading inclinometer during construction of under water test fil. Chek Lap Kok Replacement Airport, Hong Kong, 1981 (courtesy of Leo O. Handfet) the number of personnel available for exercising en- gineering judgment. Third, the use of design tools such as finite and boundary element modeling techniques leads to a need for field verification. Geotechnical instrumen- tation is likely to play an increasing role in provid- ing a check on these advanced analytic predictions. Fourth, there is a trend to develop and improve transducers and to include built-in features that create redundancy and that provide direct output in engineering units. The trend includes provisions for librations and zero checks. Fifth, there is a trend toward use of new con- struction methods. Examples of innovations in the recent past include earth reinforcement, lateral sup port, and ground modification. These innovations often require field verification before they become widely accepted, and geotechnical instrumentation will always play a role, The above five trends, good or bad, are inevita- ble. There is a sixth trend, which the author views as wholly bad: the procurement of instruments and the awarding of field instrumentation service con- tracts on the basis of the lowest bid. If an in- strumentation program sets cost above quality of instruments, or fee above experience, dedication, and motivation of people, it deserves to be a failure We must work hard to reverse this trend, 1.8. THE KEY TO SUCCESS Full benefit can be achieved from geotechnical in- strumentation programs only if every step in the planning and execution process is taken with great care, The analogy can be drawn to a chain with many potential weak links: this chain breaks down with greater facility and frequency than in most other geotechnical engineering endeavors. The links in the chain are defined in Chapter 26: their strength depends both on the capabilities of measur- ing instruments and the capabilities of people. The success of performance monitoring will be max- imized by maximizing the strength of each link,CHAPTER 2 BEHAVIOR OF SOIL AND ROCK Many practitioners who become involved with geotechnical instrumentation programs do not have formal training in soil or rock mechanics, The pur- pose of this chapter is to present a brief and simple overview of the key aspects of soil and rock behav- ior that relate to the use of geotechnical instrumen- tation. For a thorough treatment of soil behavior readers are referred to Holtz and Kovacs (1981) and Terzaghi and Peck (1967). McCarthy (1977) pres- ents similar material oriented for students at techni- cal colleges. Rock behavior is well described by Blyth and DeFreitas (1974) and Franklin (1988). 2.1, BEHAVIOR OF SOIL 2.1.41. Constituents of Soil Soil is composed of solid particles with intervening spaces. As shown in Figure 2.1, the particles are referred to as the mineral skeleton and the spaces as pore spaces, pores, ot voids. The pote spaces are ‘usually filled with air and/or water. A soil in which the pore spaces are completely filled with water is called a saturated soil. If any gas is present in the pore spaces, the soil is called an unsaturated soil. ‘The tetm partially saturated is sometimes used, but because it’s either sarurated or it isn't, this is not a satisfactory term. 2.1.2. Basic Types of Soi Soil can be categorized into two broad groups: cohesionless soil and cohesive soil. Cohesionless soils include sand and gravel, which consist of frag- ments of rocks or minerals that have not been al- tered by chemical decomposition. Inorganic silt is a fine-grained soil with little or no plasticity and can generally be classified as cohesionless. Organic silt is a fine-grained soil with an admixture of organic particles and behaves as a plastic cohesive soil. Clay is a cohesive soil consisting of microscopic and submicroscopie particles derived from the chemical decomposition of rock constituents. 2.1.3. Stress and Pressure Stress and pressure are defined as force per unit area, with typical units of pounds per square inch (Ub/in.7) or pascals (Pa). Strictly, pressure is a gen- eral term meaning force per unit area, and stress is the force per unit area that exists within a mass. However, in geotechnical engineering, the terms Figure 2.1. Constuents of sil, B1“ BEHAVIOR OF are applied more loosely; for example, as will be discussed later, earth pressure and soil stress are used as synonyms. 2.1.4. Pore Water Pressure When the pore spaces are filled with water (satu- rated soil), the pressure in the water is called the pore water pressure (Figure 2.2). It acts in all direc~ tions with equal intensity. 2.1.5. Total and Effective Stresses Total stress is the total force transmitted across given area, divided by that area. Thus, if a 2-foot square piece of wood is placed on the ground surface and @ person weighing 200 pounds stands on the ‘wood, the total stress in the ground immediately below the wood is increased by 50 Ib/ft?. Effective stress can be explained by use of an analogy. Figure 2.3a shows saturated soil placed in a cylindrical container with a cross-sectional area, wate surface Porous i SOIL AND ROCK Figure 2.2, Pore water pressure caught in 10 * fill (after Partially Integrated, 1962). in plan, of 1 square inch. Figure 2.3b shows an anal- ogy in which the resistance of the mineral skeleton to compression is represented by a spring, and the porous piston is replaced by an impermeable piston with a valved orifice. The orifice represents the re- sistance to the flow of water through the soil. The piston is assumed to be weightless, and the water is incompressible. Initially, the valve is closed. The spring has a stiffness of 10 Ibvin., meaning that a force of 10 pounds is required to produce an axial 10m ons seu a Sones fe Ares 1 in? fearon tin of sito ” 1 « @ fo 0 Figure 2.3. Spring analogy for soll behavior.BEHAVIOR OF SOIL 5 Table 2.1. Shaving of Applied Force Force on Force Carried Force Carried Valve Piston by Spring. by Water Figure 2.3, Condition Position ‘aby by aby ©) Initial Closed 0 0 0 © 10 fb force Closed 10 0 10 applied @ Piston Open 0 4 6 descended 04 in. © Piston Open 10 8 2 descended 08 in, o Piston Open 10 0 ° descended Loin. deflection of 1 inch. In Figure 2.3c, a 10-pound force has been applied to the piston. The water is not free to escape; therefore, the spring cannot compress and cannot carry the newly applicd force. The war ter must therefore carry all the force, and the pres- sure gage will show an increase immediately as the force is applied. If the valve is now opened, water will pass through the orifice and the piston will de- scend. Figures 2.3d and 2.3e show intermediate steps, and Figure 2.3f shows the condition when the piston has descended 1 inch and there is no further flow of water. Because the spring has now been compressed | inch, it must be carrying a force of 10 pounds. The spring is now carrying all the force, and the pressure gage has returned to the same reading as in Figure 2.3b. Table 2.1 summarizes the steps and shows the sharing of applied force be- tween the spring and water. It can be seen from the table that the sum of the forces carried by the spring, and the water is always equal to the force on the piston. Effective stress is defined as the force acting be- ‘tween the points of the mineral skeleton per total area. Because a cross-sectional area of 1 square inch has been chosen in the above analogy. all the forces in Table 2.1 are numerically equal to stresses. in tbfin.? if real soil is considered. By thinking now in terms of stresses, it can be seen that the force on. the piston represents the total stress, the force car- ried by the spring represents the effective stress, and the force carried by the water represents the pore water pressure. The following relationship al- ways applies: total stress = effective stress + pore water pressure. ‘Terzaghi's principle of effective stress. The following symbols are normally used: Total stress, 0 Effective stress, of Pore water pressure, 1 Thus, ora tu Forees and stresses are plotted in Figure 24a. It ‘can be seen from the figure that the rates of pressure change decrease as time increases: this is consistent with the observation that the flow of water through the orifice in the piston decreases as the water pres- sure in the container decreases. 2.1.6. Consolidation The process of gradual squeezing out of water, with the accompanying transfer of total stress to effec- tive stress and decrease in pore water pressure, is called consolidation. Figure 2.4b shows the vol- ‘ume change that occurs during consolidation. The amount by which the pore water pressure exceeds the equilibrium pore water pressure is called the excess pore waier pressure, and the gradual de- crease of this pressure is often referred to as dissi- ation of pore water pressure. Asa practical example of consolidation, consider6 BEHAVIOR OF SOIL AND ROCK Force cari by water or pore ‘mater presre Force cared by sing. of ‘etectve stress Sees, tin? Vowne Tine o Figure 2.4. (a) Sharing of applied force and stress, (b) Volume change. a layer of fill for a highway embankment, placed on a clayey foundation soil. As the fill is placed, pore water pressure in the foundation immediately in- creases and then starts to dissipate, resulting in set- dement. The rate of settlement depends primarily on the permeability of the foundation soil. Perme- ability is a measure of the rate at which water can move through the soil. Cohesive soils have lower permeability than cohesionless soils, and therefore consolidation and settlement of cohesive soils occur more slowly 2.1.7. Shear Strength thas been shown above that effective stresses in- crease as consolidation progresses. Because an in- crease of effective stress means that the grains within the mineral skeleton are pressing more tightly together, it becomes increasingly harder to cause sliding between the grains. As an analogy, a brick can be placed on a concrete floor and pushed sideways to cause it to slide. If a second brick is now placed on top of the first brick, it takes more sideways force to cause sliding. It is therefore evi- dent that the ability of a soil to resist sliding is re- lated to the effective stress: the larger the effective stress in a particular soil, the greater is its shear strength. The shear strength is a measure of the resistance to sliding between grains that are trying to move laterally past cach other. It-can now be seen that the gain in shear strength during the consolidation process can be monitored by measuring pore water pressure. 2.1.8. Normally Consolidated and ‘Overconsolidated Soil A normally consolidated soil is one that has never been subjected to an effective stress greater than the existing overburden pressure. Examples include ‘ocean and lake-bed clays. An overconsolidated soil is one that has been subjected to an effective stress greater than the existing overburden pressure, Ex- amples include clays such as London clay, where thousands of feet of overburden have been eroded. 2.1.9. Difference Between Pore Water Pressure and Groundwater Level ‘The groundwater level is defined as the upper sur- face of a body of groundwater at which the pressure is atmospheric. Figure 2.5 shows three perforated pipes installed in a soil within which there is no flow of groundwe- ter; therefore, groundwater pressure increases uni- formly with depth. When such equilibrium condi- tions exist, the level of water within the pipe will rise to the groundwater level. independent of the location of the perforations, ‘Now consider what happens when a layer of fill placed above the sand shown in Figure 2.5. Grovmanater g me ley “The vera ioe, with perforations ‘ear bottom Figure 2.5. Groundwater level when there is no flow of zround- water.