Ology For Engineers

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Quarterly Journal oJ Engineering Geology, 30, 293424. 0481-2085/97 $10.00 (@ 1997 The Geological Society
The First G l o s s o p Lecture
Geology for Engineers: the Geological Model, Prediction and Performance

P. G. Fookes
'Lafonia', 11A Edgar Road, Winchester, Hampshire SO23 9SJ, U K
'... if you do not know what you shouht be looking for in a site investigation,
you a r e not likely to find much of value'
(Glossop 1968)
Abstract and discussion on the education, training, research and experi-

ence of geologists and engineers in improving teaching, com-
munication and understanding in the borderland of geology
This First Glossop Lecture explores the borderland between
and engineering. On any site, an experienced and appropriate
geology and engineering, partly historically and through the
geotechnical team is needed to get both the geological and the
attitude and education of the practitioners but mainly by
companion geotechnical models right, to outline objectives and
consideration of site investigation practice and the use of the
questions to be answered and to determine activities to achieve
geological model in the characterization of a site for engineer-
these.
ing purposes. It starts with a historical overview, including the
The current status of development in engineering geology on
work of Glossop, to introduce the subject matter.
a parochial and world scene is briefly judged. At present
The text is illustrated by tables and line drawings, many of
engineering geology is largely seen as a service profession, but
which are block models. All models are annotated so that they
the potential for developments in understanding the earth and
largely speak for themselves. Text boxes are included for
earth's processes for the benefit of mankind through engineer-
readers with less geological or geotechnical knowledge.
ing is exciting. Engineering geology should not lose its distinct
Considered simply, the geology at any one site is a product of
role but communication and interaction with engineering need
its history. The engineering geological environment of the site
fostering.
includes the geological history and the current geomorpho-
logical processes and climatic conditions. The development of
the geological model for any site therefore requires specific
consideration of the regional and local geological and geo- Introduction
morphological history and current ground surface conditions.
This concept is examined from the scale of plate tectonics to the
smallest geological features and micro climate. Simple models Mr Glossop's approach
of various terrains, rock associations and surface environments I have taken the i n t r o d u c t o r y q u o t a t i o n f r o m M r R.
and their effect on the geology and geomorphology are pre- Glossop's 1968 R a n k i n e lecture, as the overall thrust of
sented as geology for engineers, and these are used together
m y lecture.* He goes on to say, 'What you look for
with case histories from Britain and overseas to illustrate the
development of a model for any particular site. Conclusions should be suggested by the natural environment, and by
are drawn, based on experience of the use of models in prac- the nature of the construction problem to be solved'.
tice. Appendices give details of various engineering geological Glossop firmly believed that a detailed p r o g r a m m e of
environments. investigation could not be decided on one day and
At each stage of site investigation, the status and capability a d h e r e d to t h r o u g h o u t its progress. H e also believed
of the model to anticipate are reviewed. Examples are given of
that in the long run, since it was the engineer w h o was
varying approaches to each stage dependent upon the local
geology and the project, and estimates are given of the potential responsible for the solution of the construction problem,
improvement in geological knowledge at each stage depending he should not expect to order a site investigation and
on local circumstances. Geological mapping is an underused then dismiss the m a t t e r from his m i n d until a report
but important component in getting the model right. The came back to his desk.
geologist's role is to get the geology right. M u c h has been written since his words on this subject
The model is also simply examined from risk and uncertainty
in the 1960s. Regrettably, I believe that m a n y site
viewpoints, geometry of local site geology, small scale features,
sampling and also from a cost effectiveness perspective. The investigations are not run with such an outlook. All too
power of the model is more in its ability to anticipate conditions frequently the cost, not even the cost effectiveness,
than to predict them precisely. Anticipation is turned into
reality by the ground investigation. *I have used the technique of text boxes to contain information
A Geological Enviromnental Matrix (GEM) to help which can be omitted by readers knowledgeable in the geologi-
anticipate the geology at any one site is presented and examples cal subject matter without disrupting the narrative. Additional
given of the matrix tested in operation. information on engineering characteristics of soil and rock
The paper concludes with consideration of unforeseen and which might otherwise interrupt the reader has been included
unforeseeable geological conditions in a contractual situation; in Appendices 1--5.
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294 P. G. FOOKES
determines that quick and cheap solutions are those Geological Society, Glossop (1969) examines the border-
most frequently paid for. Time for thinking about the land of geology and civil engineering. He treats this
geology is at a premium. historically, in his clear and logical manner based on his
Modern practice is exemplified by BS5930 ( 1 9 8 1 - hands-on career experience, his love of the subject and
although this edition is now in a state of revision): on his grasp of the historical perspective. Of importance,
Site Investigation. In section 4.1.1, it is stated that 'A site if not the most important of his wishes for the future,
investigation will normally proceed in stages, as follows: was his wish that geology and engineering should move
desk stud)'," site reconnaissance," detailed examination closer together. He saw a blend of the education, field of
for design, including ground investigation, topographic work and shared experience of those entering the pro-
and hydrographic survey and spatial stud)'; follow-up fessions, from both geology and engineering, as the key
investigations during construction'. It also suggests that to the development of engineering and geology. I will
costs of site investigation are low in relation to overall return to this topic.
costs of the project and may be further reduced by Glossop believed that an engineering geologist is a
intelligent forward planning. However, it elaborates geologist who has a thorough understanding of the
little on planning and, in section 7.2, says, 'Before problems which arise in civil engineering and devotes
commencing ground investigation, all relevant information himself to them. It is this view that I have attempted to
collected from the sources discussed in section 2 should be pursue throughout my career and in the following will
considered together to obtain a preliminary conception of try to avoid reinventing the wheel, but much of what I
the ground conditions and the engineering problems that am going to discuss here is not new. I hope to be
may be involved'. Thereafter it is not very expansive on forgiven if I do not attribute original ideas by others
the subject. which now have become more or less commonplace or
In both his Rankine Lecture and his retiring address anecdotal. I have not been able to keep up with the rapid
as Chairman of the Engineering Group of the growth in engineering geology literature (let alone the
Definitions used in this Lecture:

'geology for engineers'
Geological practice carried out for civil engineers. A branch of applied geology, which is the application of
geology to industrial needs and is the particular discipline applied to civil engineering, especially related to the
design, construction and performance of engineering structures interacting with the ground. This does not
necessarily imply the use of engineering geology skills or practice in the identification or resolving of
geological problems in engineering.
'engineering geology'
This is more than geology that is simply useful for civil engineers. It differs from geology for engineers in that
its practitioners have training and experience in ground problems that arise in civil engineering and in the
investigation, classification and performance of soils and rocks related to civil engineering situations; and a
working knowledge of basic soil mechanics, rock mechanics and hydrogeology. Such practitioners provide
engineering geology.
'engineering geomorphology '

Similar to engineering geology; however, specializing in geomorphology, i.e. surface and near-surface
processes and characteristics of the earth's surface.
'geoteehnieal'
Suggested by Glossop (1969) as the subject occupying the borderland between geology and civil engineering
and that its basic discipline is soil mechanics. Common usage now extends this to include rock mechanics.,
i.e. a geotechnical engineer could now be one working in any aspect of ground engineering.
'geological model'
A representation of the geology of a particular location. The form of the model can vary widely and include
written descriptions, two-dimensional sections or plans, block diagrams, or be slanted towards some
particular aspect such as groundwater or geomorphological processes, rock structure and so on.
'geomaterials'
Processed or unprocessed rocks or minerals used in the construction of buildings or structures, including
man-made construction materials manufactured from soils, rocks or minerals (Fookes 1991a).
GEOLOGY FOR ENGINEERS 295
explosion of geology and civil engineering literature) there should be, ideally, nothing that has not been
over the last two decades. Too often I find that papers in discovered. It would be foolish of me to believe that in
journals that I have skimmed through are lightweight practice, on every site, everything that could be discov-
and repetitive and therefore I have tended to retreat into ered has been discovered: for most sites all would not be
my real-world experience and to rely upon summaries by revealed until the tunnel was bored or the excavation
authoritative text books and keynote papers to broaden dug. But I do believe that it should be a realistic goal to
and maintain my knowledge of developments. I also find be able to make a very close approximation to the actual
I often need to rely on 'A Geology for Engineers' by site conditions, particularly if you know what you are
Blyth & de Freitas (7th edn. 1984) or 'Foundations of looking for and what questions to ask. I have called this
Engineering Geology' by Waltham (1994) to remind me approximation the Geological Model and intend to
of what I should already know. explore it more fully later. I start and end the lecture
with thoughts more in keeping with a general profes-
sional overview derived from my own experience in
My approach support of the model.
My approach to field work is to get as much as I can
It was not long after I entered the world of geology for from geological first principles and to try to understand
engineers with only my undergraduate training that I the local geological model of the site. As a geology
realized that the realrock (also realsoil), which is the stuff graduate, I was taught broadly about models as a basic
on which Engineers have to construct, could be quite tool but their power to arrange, explain and predict the
different from schoolrock which is what I was told about geological world was hardly ever discussed explicitly. It
at University, i.e. pristine, fresh material not hemmed in was not until early in my engineering geology career that
by joints or permeated by weathering, groundwater and I found that models became essential to my way of
so on. There was also labrock (and labsoil) which may or thinking and learning about geology.
may not reflect the in situ properties and behaviour of I view myself, and this approach, as largely similar to
siterock. Part of this revelation came through my work a medical G.P. (i.e. not a specialist) in trying to under-
as a young geologist on sites, and part came because I stand the patient. Geology is undoubtedly complex
was fortunate enough to be influenced in the early part when seen in detail and in this lecture, and in nay daily
of my career by Professor A. W. Skempton (of Imperial work, I pretend it is simple, and this sometimes leads me
College) and Mr Ian Higginbottom (at that time of into trouble. As a general practitioner, I am concerned
Wimpey Laboratory) whom I single out for really not to give the impression of more knowledge than I
making me understand that attention to detail and have, not only in geology but also in soil mechanics,
accuracy is never wasted. Similarly, I was lucky in that I rock mechanics, hydrology or any of the disciplines that
was working in the early 1960s for Binnie, Deacon and make up the geotechnician's world. I find that estimating
Gourley on the Mangla D a m Project in West Pakistan, the percentage confidence I have in a certain point
where the quality of geotechnical work, with strong is helpful in discussions with others, geologists or
scientific underpinning, was paramount. This is not to engineers.
say that I have not since had the privilege of work- Civil engineers, unlike most mining and petroleum
ing with and being influenced by other excellent prac- engineers, are mainly concerned with only the top few
titioners and other excellent contractors and consulting tens of metres of the earth's surface. The special con-
engineers. I have, but I find it is generally my more dition of this zone, which I loosely call the engineering
formative years (in the late 1950s and 1960s) which geological environment or, more often, just the geological
spring to mind when I am recalling events. environment, is that the in situ rocks and soils are
Sometimes you hear something said like, 'rocks and affected by the past climates, the present climates and
soils were not made to a BS'. I interpret this as meaning the geomorphological processes now acting on them,
that every rock and soil is different and cannot be relied together with hydrothermal, tectonic and other geologi-
upon. I also believed this to be the case, and subscribed cal processes largely from below, which have affected
strongly to this view for many years. However, I have them. The geological history of the area determines the
come to believe that by and large they are made, not to geological condition of the site. By and large, it is the
a man-made British Standard, but to Nature's equiv- geological events of the Quaternary (Fookes 1991b) that
alent to a BS which follows rules of physics, chemistry, have had the overwhelming influence on the character-
biology, mathematics, engineering and so on. Further, istics of the near surface rocks and soils. Figure 1, a
I believe that in the context of site investigation and in stratigraphical cartoon, shows the principal geological
the understanding of the site, application of geological eras on a normal and log time scale to illustrate this
education and experience should be able to make a point. To help get geological time into perspective, the
moderately close approximation of the actual geological same eras are given on the scale of a 24-hour clock,
conditions from the desk study and that when this is assuming the origin of the world was only a day ago. It
supplemented by ground and laboratory investigation, follows, therefore, that the teaching of geology to
296 P.G. FOOKES
STRATIGRAPHICAL RELATIVEIMPORTANCE
G E O L O G I C A L TIME TO C I V I L E N G I N E E R I N G
Ma Ma
Normal Log
scale scale
Quaternary ("Ice Age") )

Mesozoic ) Quaternary ("Ice Age")
)
(32 secs) 2 )
Palaeozoic
0.2 hr~ 600

Pre Cambrian
(3.2 mins) 10
1000
Mesozoic
(32 mins) 100
2000
Pre Cambrian
3000
1000
3000 1
(24 hrs) (24 hrs)
Origin of Earth Ca. 4500 Ma.
Fig. 1. Concepts of Geological Time.
engineers should contain a basic understanding of the formed. The movement of the plates also relates directly
importance of the Quaternary and its influence on to folding and faulting, earthquake events and other
today's near-surface rock. However~ you may have features on the earth's surface that are of considerable
heard it sai& not always lightheartedly, that some importance to engineering. Therefore, another conten-
university geology schools "... don't teach anything tion here is the belief that the study of these fundamental
above the Cretaceous--above that it's all Drift', i.e. the processes and characteristics should underpin the teach-
last few tens of millions of years are not important in ing of geology for engineers. This is not to say that the
their type of geology. rest of geology should be ignored but, in general, its
On the scale of a site, the performance and character- study is less rewarding for engineering purposes.
istics of materials are generally dominated by small-scale I believe that, from a study of the regional and local
geological features in both soil and rock engineering. On geological conditions and active surface processes,
a regional scale, the concepts of plate tectonics are geology can provide a practical framework to help
fundamental to an understanding of the formation of anticipate ground behaviour and to help make realistic
the earth's surface and how the majority of rocks are assumptions on the properties of its materials. It is this
concept that, by use of the geological model, I intend to taught to engineers, had by then gone its separate way
make the main subject of my lecture which I treat in an as a natural science primarily concerned with the
illustrated narrative form. history of the earth. It had relatively little interest in
the superficial deposits and landforms of principal
concern to engineers--and could not offer any quanti-
tative basis for predicting engineering behaviour. Geol-
Geology and geologists for engineers ogy for engineers sat uneasily, and often still does,
with other more quantitative subjects in an engineering
An historical perspective education. Much has changed in the last three decades
Two centuries ago, two key observations by Hutton but current attitudes and practices still reflect some of
(1788) fuelled the discovery of deep time: firstly, the the earlier difficulties. At the risk of upsetting some of
recognition that granite is an igneous rock, representing the profession, ! believe that an engineering geologist
a restorative uplift (so that the earth cycles endlessly should always be part of the investigation team. Even
rather than eroding into ruin); and secondly, the proper for the smaller sites where the investigation is being
interpretation of unconformities as boundaries between carried out by perhaps only one person, say an en-
uplift and erosion, which provided direct evidence for a gineer, an engineering geologist should be called in for
new geological model of the earth's surface. These a walkover and discussion.
observations indicate episodic renewal rather than short But what geology is needed by the site engineer? To
and unilinear decay (Gould 19881). answer this at its simplest, I believe he needs a .factual
Hutton achieved immortality because the British geological model of the ground in which he is working
tradition tends to claim him as a prime discoverer of and this is best made by a geologist, preferably a good
deep time--all geologists know in their bones that engineering geologist. The engineer also needs the
nothing else from our profession has ever mattered so geology to be characterized in engineering or engineer-
much as time--but the scientific world was not quite ing geology terms and, depending on the project and the
ready for Hutton (he was perhaps not a persuasive scale and complexity of the geology, further evaluation
writer) and the full significance of deep time awaited the could be required of more advanced rock or soil
developments of the Victorian 'Golden Age' of geology mechanics aspects and probably also of groundwater.
and the great text book of Charles Lyell, Princil)les of Studies of these should be carried out either by an
Geology (1830-1833). engineering geologist working with a soil or rock mech-
Lyell triumphed with a detailed compendium for his anician, or vice versa, as appropriate. Specialist infor-
world geological model with factual information about mation or testing may require assistance from more
rates and modes of current geological processes-- specialized engineers or geologists.
proving that the slow and steady operation of ordinary It has been a long process to get to the situation where
events, when extended through deep time, produced engineering geologists and geotechnical engineers,
all geological situations, from the Grand Canyon to although different by education, have become quite close
mass life extinction. Geological students could now in experience and outlook but not yet interchangeable
reject the miraculous events acquired by compression (indeed, for the foreseeable future I do not think they
into the biblical chronology. Gould (1988) considers should be interchangeable: each has separate strengths
the discovery of deep time in the geological version and skills to bring to the team). Glossop's Rankine
of history as one of the greatest triumphs of obser- lecture (1969) was concerned with the rise of geotechnol-
vation and objectivity over pre-conception and ogy and its influence on engineering practice. Although
irrationalism. he was an engineer, his narrative is rich in geological
By the end of the Golden Age, geology had taken on observation. Clearly, ancient civilizations like the
the shape more or less as we know it today. Thereafter, Greeks or, more specifically, the Romans, developed by
there dawned the age of professionals when periodicals experience practical knowledge of foundations for their
multiplied and the number of scientific papers on every buildings and other structures. In western civilizations
aspect of the subject immensely increased--a trend this experience was not surpassed until the eighteenth
continuing today, and with this rise came the logical century with the industrial revolution. Glossop distin-
development of geology for engineers and the rise guishes three periods: the first starting at the end of
of engineering geologists, from about the late 1950s the seventeenth century with work on lateral pressure
onwards. of soils by engineers in France, culminating in the
Soil mechanics did not become a full part of en- researches of Coulomb (1773) and Collin (1846), and
gineering science until the 1930s when courses in the continuing to the beginning of the twentieth century.
subject were first run at Harvard. Its worldwide dis- The ensuing development of classical soil mechanics,
semination did not occur until the 1950s. While the bringing order out of chaos, founded on the work of
importance of geology for engineers was appreciated Terzaghi in the early and middle parts of this century,
long before this and the subject of geology often formed his second period. This led to his third period,
298 P. G. F O O K E S
Rock and soil

Rock
~A consolidated oi" unconsolidated aggregate of minerals or organic matter. The minerals may be all o f one type,
in which case the rock is "monomineralic", or o f many O'pes in which case it is polymineralic. The aggregate of
minerals canJorm b) . . . . ' (Allaby & Allaby 1996).
In the common sense of the word 'rock' refers to mineral materials which are part of the composition of
the earth's crust. "Tire term is used by geologists not only J or... . hard substances.., but also for sands, clays,
etc'.' (De la Beche 1832). The reason for this is clear: '... there is" often so insensible a passage from a soft and
incoherent state to that of stone, that geologists of all countries have found it indispensable to have one technical
term to include both" (Lyell 1852).
Soil
'1. The natural, unconsolidated mineral and organic material occurring above bedrock on the surface o f the
Earth," it is a medium for the growth of plants. 2. In engineering geology, an); loose, soft, and deformable
materhd, e.g. unconsolidated sands" and clays" (Allaby & Allaby 1996).
Application of the term "soir in engineering is related to the development of soil mechanics: uncemented
sediments such as clays, silts and sands are known to the engineer as 'soils' or "earth', in contrast to the
stronger rocks, siltstones, sandstones, limestones, basalts and many others.
It is only recently that our knowledge of soil behaviour in relation to engineering problems has been put
on a reasonably scientific basis. This is due in a large part to Terzaghi who appreciated the role of porewater
pressure in controlling the behaviour of soil and he brought field observations, laboratory experiments and
theory into an integrated philosophy which was first expressed in his celebrated Erdbaumechanik, published
in 1925, in German. The word 'erd' was translated as 'soil'. Glossop (1969) himself says that no alternative
was offered at the time for ~... the subject concerns itself with gravel, sand, silt, clay, and for that matter with
pyroclastic debris, and no short word has yet been suggested which applies unequivocally to such a group of
materials. Thus the term "soil mechanics" became accepted.'
Rocks have been studied increasingly in the same way in relation to engineering problems, and 'rock
mechanics' is now firmly established. The two disciplines, sharing similar theoretical and experimental
approaches, meet in the transition from soil to rock; geological materials on the border may be called strong
soils or weak rocks.
Apart from this overlap, clear distinction can be made between the behaviour of the two materials. The
following quotation may be used as a guide, "Soil is an aggregate o f mineral grains that can be separated by
such gentle means as agitation in water. Rock, on the other hand, is' a natural aggregate oJminerals connected
by strong and permanent cohesive forces. Since the terms "strong" and "permanent" are subject to different
interpretations, the boundap 3' between soil and rock is necessarily an arbitrao, one' (Terzaghi & Peck 1967,
p. 4).
In practical terms, a rock has greater strength and unless weathered does not disintegrate in water. Rocks
usually contain discontinuities (joints, faults and other planes of weakness) which can cause the strength of
the mass to be several orders less than the intact rock. Soil also often has similar 'defects' but their effect on
its behaviour is usually less.
the then current phase, which he considered was m u c h techniques. The discipline parallel to soil mechanics, that
influenced by geological thinking. In Britain at this time, of rock mechanics, has developed b e y o n d all recognition
firms like Soil Mechanics Limited (which, in 1943, with the surge in heavy rock construction and mining
M r Glossop was instrumental in setting up), the worldwide since the 1950s. This has been largely due to
Imperial College Soil Mechanics G r o u p led by Professor the analytical w o r k of Professor H o c k and others in the
A. S k e m p t o n and D r A. Bishop, and the Building R o y a l School of Mines at Imperial College, L o n d o n , in
Research Station at G a r s t o n (see Charles et al. 1996), the late 1960s and 1970s, and by the y o u n g N o r t h
were in the forefront of developing innovative and A m e r i c a n firms like G o l d e r Associates and D a m e s &
practical field and l a b o r a t o r y systems o f evaluation in Moore. They were also in the forefront, developing
soil mechanics. innovative and practical field and l a b o r a t o r y systems
I believe that Glossop's observations of 1968 and of evaluation in rock mechanics. Prior to this, struc-
1969 are still true today. Since his lectures, engineering tures f o u n d e d in rock were usually designed using
geology has developed a place primarily in characteriz- essentially empirical j u d g e m e n t s based on descriptive
ing soil and rock and by d e v e l o p m e n t of geological field geology.
"Geological
Engineer" (?)
(rare in British practice)
Typical Typical
Engineering Soils
Geologist Engineer
GEOLOGY includes original training in physical geology, petrology, structural geology, palaeontology, stratigraphy,
geomorphology, field mapping techniques.
CIVIL ENGINEERING includes training in physics, statics, dynamics, strength of materials, highways, hydraulics,
mechanics, thermodynamics, design courses in structures, public health engineering.
Fig. 2. Areas of expertise based on technical training.
Geologists in civil engineering only three years. I therefore prefer an engineering

geologist to be a good geologist with a good geological
Glossop (1969) suggested that the realization of the degree and postgraduate training together with experi-
importance of geology to their subject by engineers ence. I believe uncompromisingly that to be a good
working in the new field of soil mechanics soon led to engineering geologist you must be a good all-round
the regular appointment of geologists by engineering geologist.
firms. In 1945 there was not a single geologist in the Whilst at the 23rd International Geology Congress
British construction industry but by 1969 every leading in Prague, during the summer of 1968 (when the events
consulting firm and most national contractors were of history spoilt the conference, amongst other things),
employing full-time geologists whose place in the indus- I was discussing the training and outlook of geologists
try was being established. By working constantly with and engineers with Dr Milligan of Dames & Moore
engineers, geologists were acquiring a thorough under- (then of the Atlanta office, I think). Figures 2 to 5 are
standing of the sort of problems that arose and of the cartoons modified from the sketches that Dr Milligan
ways in which these could be overcome so that they used to make his points (I think he said they origi-
could properly describe themselves as 'engineering nated from a Dames & Moore colleague of his). They
geologists'. illustrate the concepts embodied in the discussions
This situation still pertains today and there are still above. Figures 2 and 3 give views on the training and
two types of practitioner--those who took their first outlook of geologists and engineers. Figures 4 and 5
degree in geology and describe themselves as engineering indicate how various individuals can be used in a
geologists and those who took their first degree in geotechnical situation, individually or as a balanced
engineering and invariably describe themselves as team.
engineers, even when working in the field of geology. I do not consider these illustrations to be rigorous,
Both types do excellent work. However, I venture to certainly not black and white, rather shades of grey.
suggest that they are not much closer than they were at Mr Glossop was present in Prague, representing the
the time when Glossop was considering his views, thirty Engineering Group at the Conference, and was wise
years ago. They remain different and both have different enough not to get too seriously embroiled in such specu-
perceptions of their work, I believe, because of their lation. I have included these cartoons to indicate why I
upbringing and outlook. It takes a minimum of three strongly believe that it is necessary to carefully select the
years to formally educate a geologist and a lifetime to most appropriate geotechnicians, by training and experi-
gain experience. This is also true of engineers and it is ence, for the particular work in hand. All too commonly
what brings engineers and geologists together and also I see in consulting practices that a geotechnician is put
keeps them apart. Rare individuals are equally at home on the job because he happens not to be working on any
in engineering and geology, but these are the exception project at that moment and not because he is the best
rather than the rule and to train such a paragon would (i.e. most appropriate) engineer or geologist for that
require a degree in both, not a hybrid degree spread over particular job.
300 P.G. FOOKES
Empirical, Indirect Precise, Specific,

Rule-of-Thumb, Analyses, Rigorous,
Qualitative, Calculative,
Intuitive, Quantitative,
Tends to answer from Experience Tends to answer from Theory
l~!
:~" ;/h'>hY
/ h~,//'////J" "
.,/~- / / //, /it-/,/ /. I Typical Typical
Engineering Soils ...... .~.
: :":>'h hv,,;F>'-/>~:{',G;';I Geologist Engineer
'I
:~" :)'..'h:~)~/->"Y,:'." : I I
(more qualitative than (more intuitive than

;.'.~;/;1; Ys; {S,.c".:Y;"/O>;
a geologist?) an engineer?)
I:~ ~ 3 ~ ; !
;.:h-> "//,. .; hh,'D~ ;'7::;': I
:7~:%y :~::U.I
,;.- ~';,{:f<!::;:4:":;::
:::<1:; (4;i
l~i~:<~ @ U , . / / .
:,:?;4-;';~ 22-~Y';~( ":: :f:.
As sometimes As sometimes
viewed by viewed by
the engineer the geologist
Fig. 3. Ways of approaching and solving geotechnical problems.
Figures 6 and 7 illustrate the way I see some inter- not be considered black and white, but indicative of
relationships which have developed between various my view of situations which we all see from different
scientific disciplines and engineers. Again, these should perspectives. For geologists (and the other disciplines) to
be of use to civil engineering, the benefits they bring
WAYS OF must exceed their cost, i.e. improve the engineer's
1-'< APPROACHING ~'-1 knowledge more cheaply than by any other way. They
PROBLEMS
must also reduce risk from geological hazards by antici-
Geological: Engineering: pation of their occurrence in situations unforeseen by
Empirical Rigorous Analysis the engineer. The main role of the engineering geologist
Intuitive Theoretical
Relies on Experience
is to get the geology right.
Relies on Calculations or
Qualitative Lab Procedures The strength of engineering geology is its ability to
Quantitative portray the geological characteristics of a site. Even if
there were no research in engineering geology per se,
geology is a rapidly developing subject and each suc-
Engineering
Geology ceeding generation of young geologists knows more
qualitative and more quantitative geology than the
i
Ways of Geological
AREAS
OF
T
preceding. This alone could be enough to push engineer-
ing geology forward as a discipline.
Geomorphology (and geophysics, although some
would argue differently) are branches of the much older
science of geology. Geology is concerned with time. Any
Portraying Engineering EXPERTISE geological model, implicitly, has time built into its
Individual
Talents construction.
By and large, by tradition, geologists, and more
recently geophysicists, are more concerned with the pro-
cesses happening within the earth rather than at its sur-
Engineering face. Geomorphology is the study of the earth's surface.
However, historically in Britain and America, geologists
have had little training in geomorphology, although this
Usually desirable to have approach by two or more individuals rather than one is beginning to change: geomorphology has been taught
generalist. mainly in geography departments. I believe that this
Fig. 4. Conceptual two-way approach to problems: Geology has been an unsatisfactory situation for engin-
& Engineering. eering geologists since geomorphology (particularly
WAYS OF
[~ APPROACHING ~ I
1-'~ PROBLEMS I
Intuitive Theoretical
Empirical Analytical
Geologist
Engineering
Geologist
AREAS
OF
EXPERTISE
Geological
Engineer
Civil
Engineer
CASE I: Generally individuals in 'comers' are specialists and their general use may be
inappropriate. Use when needed, e.g.:
I(A) Micro-palaeontologist I(C) Field engineer
I(B) Field mapper I(D) Stressanalysist
CASE II: Generally too-narrow training if engineer or geologist is to be responsible for

answers in broad application of geological-engineeringfields. Should use
specialist if necessary.
CASE III: The broad-based geotechnical engineer or engineering geologist = broad

knowledge + flexibility in ways of solving problems. Will know when to
call in a specialist.
Fig. 5. Application of approach and expertise to geotechnical problems.
g e o m o r p h o l o g i c a l processes, y o u n g materials a n d land- o f black boxes to s u p p l e m e n t a n d even replace field

f o r m d e v e l o p m e n t ) is f r e q u e n t l y the key to u n d e r s t a n d - o b s e r v a t i o n , the skills o f the field geologist a n d field
ing engineering sites a n d in c o n t r i b u t i n g to the g e o m o r p h o l o g i s t are still a c o r n e r s t o n e , if n o t the m a i n
p e r c e p t i o n o f geological h a z a r d s a n d the e v o l u t i o n o f strength, o f engineering geology. T h e r e is as yet n o
near-surface geological situations. Despite the steady substitute for an i n f o r m e d b r a i n a n d t r a i n e d pair o f
a n d successful rise o f t e c h n o l o g y a n d the d e v e l o p m e n t eyes.
Land forms
Landforms are fashioned from the earth's surface materials by geomorphological processes. As a first
approximation landforms may be thought of as products of complex interaction between the resistance of the
earth's materials on the one hand and the tectonically induced and climatically derived forces of change on
the other. Geomorphological processes, which particularly since the 1950s have been studied in more detail
than before, are concerned with the movement of water, ice, air and material particles. The processes depend
variously on gravity; on water flowing on slopes, in river systems or as tides and waves; on glacial and ground
ice; or on the wind. Each of these forces can be resolved into production of fresh geological materials, often
firstly by erosion, then transportation and finally deposition.
Materials studied by geomorphologists are rocks, weathered rocks, soils and superficial deposits (e.g.
glacial or desert soils, alluvium).
302 P . G . FOOKES
DEEPER
STRONGER SHALLOWER
WEAKER
]] ENGINEERING
GEOLOGY ]I [I GEOMORPHOLOGY
ENGINEERING ]]
,,
WINNING/ MANUFACTURE
PROCESSING
GEOL~OGICAL BIOLOGICAL
MATERIAL MATERIAL
Fig. 6. A schematic relationship between civil engineering, geotechnology and geomaterials.
The world in which the modern engineering geologist theory from many fields, such as hydraulics, thermo-
works is outlined in Fig. 8, which is a simple view of the dynamics or seismology. Like geomorphology and
civil engineer's professional structure. I hope it does not geology, civil engineering is a living and growing disci-
offend too many engineers. Geology for engineers can pline and thus I view the growth of geology for engineers
play a part in each of the three main stages of the project as having an assured future. I believe that the best
work shown and on occasion even in the maintenance engineering geologists are those first trained in geology
and operation stage (Fookes 1967). The main areas of and that the best service that engineering geology can
work for engineering geologists are similar to those of give to civil engineering is the production of the geologi-
consultants and contractors suggested in the figure. cal model with a contribution to the understanding of
No major project today is started without extensive geomorphological and geological processes and to the
and sometimes lengthy prior economic and environ- characterization and understanding of the materials of
mental appraisals, as well as engineering studies, and the the site.
factors affecting its attainment. Feasibility studies will However, the path to this state of perfection is not
cover different engineering solutions depending on the without its problems. For example, for many years,
structure; or the choice of one or more route corridors that champion of Australian geology-for-engineers,
in the case of highways or pipelines. Geology plays a Professor D. Stapledon (e.g. Stapledon 1982, 1983,
part in the preliminary site investigation and is more 1986) has been drawing attention, with constructive
often than not part of a feasibility study but once a observations, to the divisions between geology and
scheme has been adopted, a more extensive geotechnical engineering.
investigation is usually imperative. The following quotation, also concerning Australia, is
During the engineering design of the structure, which from Baynes (1996): 'I suspect that engineering geology is
includes preparation of contract documents and specifi- failing to contribute to geotechnical practice in proportion
cations (and the procedure of tendering, if that is the to its importance, particularly in Australia. This' is not to
route chosen), the results of the investigation usually say that engineering geologists or engineers who think like
carried out at this stage lead directly to the design of geologists are not applying their skills', but that the branch
foundations and substructures of the project. Although of knowledge known as engineering geology seems to
most works have a structural content, civil engineering is have stagnated and is not generating anything relevant,
not solely confined to structural design, and the design new or exciting . . . . In Australia, largely intentionally,
of engineering works may require the application of the distinction between engineers and geologists #l
Examples:-
r
I Environment ~"~"~"~ "I''~ " I ~ ~ [ Geomaterials

I
I [ EN.INEENG]
(Buildings, Structures)
Engineering ~ Engineering
geomorphology ~ -I geology
Geology Engineering
l ~ geotechnology
Structures
Environment
Surface ~ " Surface

geology processes
Surface
engineering materials
Fig. 7. Some interfaces with various disciplines.
MAIN STAGES OF FEASIBILITY -~ ENGINEERING CONSTRUCTION MAINTENANCE

CIVIL ENGINEERING STUDIES DESIGN AND
PROJECT WORK OPERATION
Other Site and Economic Ground Contract Modifications
Associated investigations Investigations Documents,
Activities Project Finance Tendering
MAIN
PROFESSIONAL
GROUPINGS
(Estimated proportions)
Consulting (20%) d~\~\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\

Engineers
Contractors (30%) \\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\~\~\\\\~\\

(inc.TurnkeyProjects)
Public Sector (40%) ~\\\\~\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\~2~

Engineers Directly, or through Consulting Engineers
Research and (10%)

Teaching
\\\\\\\\\\\\\\\\\\\\\ MainAreaof Involvement SecondaryAreaof Involvement Maybe SomeInvolvement

Fig. 8. A geologist's view of the simple overall structure of the Civil Engineering profession.
304 P. G. FOOKES
geotechnical practice has been lost. Whilst in many ways geological mapping, of the characterization of rock and
this" is a laudable situation, if individuals do not consider soil, and of the developments in hydrogeology, rock
themseh,es as geologists the opportunity to nurture mechanics and soil mechanics with engineering geology
divergent geological thinking tends to disappear withhl the inputs. All have helped to reduce engineering risk. But
more focused, convergent engineering th#Tking, hi addition before I get into too deep water concerning risk in the
engineering geologists tend to adopt an engineering following section, I want to end this section on a small
approach--for all the right professional reasons--and hobby horse.
thus tend to abandon their quintessential geological When I first started communicating geology for
nature, and engineers who are good geologists also tend to engineers, I was acutely aware that geologists' jargon
be ve~3' good engineers and their geological capabilities would foster the inherent barrier between geologists and
are, at best, seconda~T characteristics. engineers. I now believe this is much less so, although I
'This situation is possibly reinforced by the Geo- am a strong supporter of the use of plain English
mechanics Society being a branch of the blstitution of wherever possible. I must say immediately, I do not
Engineers [in Australia] with the connections between always practise what I preach! Most engineers, especially
the Australian Geological SocieO' and the Geomechanics those not far along their learning curve, in their daily
Soeietv being poorly developed, and the engineering interaction with geologists complain about geological
group of the Australian Geological SocieO" irrelevant to jargon, but geologists' jargon is as necessary as vocabu-
most practitioners (it has become the environmental lary when learning a foreign language: you cannot have
group). This situation can onh' tend to reduce the geology without it, no more than you could discuss
potential for the transfer of geological thinking into structures without using terms like 'stress and strain',
geomechanics. This may well be veo' different in New 'torsion', 'lateral thrust', and so on. The word 'Triassic'
Zealand, and certainly appears to be different in USA or is much preferable to repeatedly saying, 'appeared at a
UK where engineering geologists have their own learned time about 208 to 245 million years ago', and writing
Societies.' 'dolerite' is better than having to write continually,
I have made this extensive quote so that you can 'basic igneous rock of intermediate grain size, usually
evaluate Dr F. Baynes' precise words and share his occurring in intrusive sills and dykes'.
concern, or otherwise. I feel, from my limited knowledge I believe that too wordy a discourse by the geologist
of Australian practice, that his views are on the right (of which ! am frequently guilty) does numb the
lines. I also feel that it should be a salutary warning for engineer. Geologists must draw what they see, to help
British engineering geologists to maintain their integrity their own understanding of the situation and to help
as a strong independent discipline which is one of service explain it to others. The model therefore needs to be
to the engineer and the works of man. A fashionable mainly visual.
current trend in Britain, and elsewhere, is to lump
together geological studies of surface and near-surface
hazard events and short-term occurrences such as earth- Uncertainty, hazard and risk
quakes, volcanic activity, flooding, coastal and river
changes, tsunamis, hydrocompaction, waste pollution, Typically, some degree of uncertainty will exist in geo-
and even landslips, as a separate subject of 'environ- logical (and geotechnical) knowledge for any site,
mental geology'. Engineers have been working on the because of insufficient data, natural spatial variability
engineering aspects of these topics for centuries. The and even changes within engineering time, There is a
definition of civil engineering within the 1828 Royal need to consider the implications of such uncertainty.
Charter of the Institution of Civil Engineers, London, Figure 9 expresses the simple relationship between
remains valid today. It is of particular interest to geolo- geotechnical data acquired and the various project
gists and geomorphologists: 'Civil engineer#tg is the art stages of site investigation (e.g. comprising desk study,
of directing the Great Sources of Power in Nature for the walkover and main ground investigation which will most
use and convenience of man'. I see no difference in the likely continue into the design stage), design and con-
geology needed to service engineers for this work than in struction. Figure 10 develops case I of Fig. 9 and shows
any other for a geologically based investigation. In other the estimated rates of acquiring geological understand-
words, I consider environmental geology, or geology of ing of a site subject to typical site investigation stages.
the environment, as part of engineering geology. The This is discussed extensively later. Figure 11 is a specific
characterization of such hazards and short-term occur- illustration resulting from my experience of many land-
rences is work for the team which includes, as necessary, slide investigation situations. The message, well under-
geologists, geomorphologists, meteorologists, chemists stood by engineering geologists, geotechnical engineers
and so on, in the service of engineers. and many civil engineers but not always accepted by
Geology in the service of engineers has an excellent clients, is that the earlier the geotechnical knowledge
track record and I believe it fair to say that in Britain we is acquired, the more likely it will help to keep down
can be justly proud of the development of engineering the cost of the design and subsequent construction.
H a z a r d and risk
There are various ways of defining hazard and risk in the literature, e.g. Varnes (1984). In this lecture, I have
modified one developed by Dr G. Hearn (pers. c o m m . 1996) in association with his work on landslides in
Nepal, with TRL (Transport and Research Laboratory):
The terms 'hazard' and 'risk' have often been used synonymously in the published literature, creating a source
of confusion. The term 'hazard' defines the physical attributes of a potentially damaging event and comprises
a set of conditions with the potential for initiating a damaging event. 'Risk' is governed by hazard type, size
and probability of occurrence, the value of the property, structure or population at risk and the vulnerability
to the hazard, should it occur. In other words, 'hazard' describes the event and 'risk' describes the probability
and the consequences of the event occurring.
The Health & Safety Executive (1991) defines risk as:
Risk=Hazard severity x Likelihood of occurrence.
Although 'geological' risk can rarely be fully evaluated, some studies have, for example, attempted to assess
the probability of landslides of given sizes and potential impacts, by reference to the return period of
triggering events such as earthquakes and rainstorms. Even then, the relationship between the seismic event
and the timing and distribution of slope failure is largely unknown; and antecedent rainfall and seasonally
fluctuating groundwater levels are often just as important in triggering deep-seated slope failures as 24 hour
storm rainfall of maximum rainfall intensity.
INFORMATION NEEDED
FOR AS COMPLETE AS
POSSIBLE GEOTECHNICAL
UNDERSTANDING OF AN
ENGINEERING SITE
.._ ll| /
~
/
../
f l
TIME : MONEY
Ground I)esign Construction i In Service
Investigation
1 - IDEAL - Information available before design.

2 - NOT QUITE IDEAL - Information still being obtained during design. May cause costly design changes.
3 - LESS THAN IDEAL - Information still being obtained during construction which may cause expensive design, or
construction method changes.
4 - HIGH RISK SITUATION - Information not discovered by end of construction, absence of which can lead to failure
due to inappropriate design or construction.
Fig. 9. Information-gathering for geotechnical understanding of a project site.
L a t e stage c h a n g e s in design, p a r t i c u l a r l y d u r i n g c o n - c i r c u m s t a n c e s occur. Shortfalls in a c q u i s i t i o n o f d a t a

s t r u c t i o n , i n e v i t a b l y a d d s o m e cost, o c c a s i o n a l l y i n e v i t a b l y l e a d to s o m e risk being s h o u l d e r e d b y the
m a s s i v e costs, especially w h e n u n f o r e s e e n ' p h y s i c a l ' c l i e n t - - b o t h risk in the c o n t r a c t u a l sense, in t h a t
306 P. G. FOOKES
ANTICIPATED
GEOLOGY
100% "'"'""~ . . . . . . . . . . . . . . . .
50% . . . . . . . . . . . . . . . . ~ ' " " " ...........................................
STAGE
Desk plus plus plus
Study Walkover Main Ground Supplementary
Investigation
Fig. 10. Estimated upper and lower bounds of geological information anticipated during the stages of a site investigation.
CONFIDENCE IN SLOPE
INSTABILITYRISK
ANALYSIS
[ Overview by senior
\
experienced person quickly ]
] evaluating a report or by [
[ mini desk/field study.
Beware blind alleys. I /
/
~--m-- / / /
/
/
..................................................................................7
/
/ areful, well designed
/ esk, field and ]
/ boratory study by ]
/ ompetent staff |
/ th senior experienced ]
/ management. J
/
/
/
/
/
/
.......................................................................................
/
/
/
/ DATA G A T t ~ G
TIME
A A+ A
pRELIMINARY FINAL A FINAL
DRAFT REPORT DRAFT REPORT REPORT
PEER REVIEW
Fig. 11. Illustration of development of confidence in analysis of a large, complex slope instability risk.
without full information tenderers may be driven to information. Geological model-building provides a
putting in high bids, and risk in the physical sense of crucial way of investigating interdependent processes
danger, i.e. that related to the consequences of poor and gaps in site knowledge.
An American view of hazards

Hazards are often considered in quite emotional terms, which is understandable given that people and
property are frequently directly affected by them. The following box has been extracted from the 'Citizens'
Guide to Geologic Hazards', prepared for the American Institute of Professional Geologists by Nuhfer,
Proctor & Moser (1993).
'APPLIED I G N O R A N C E versus APPLIED SCIENCE

"PlannhTg" sometimes includes ignor#lg or missing the available geological reports. An example is the
Turnagain Heights residential area in Anchorage, Alaska. Two geologists had made available a preliminary map
and report in 1950 on the quick clays (fine-grained sediments that can be solid one moment but flow like a liquid
after disturbance or shaking) that underlay Anchorage. The U.S. Geological Survey (USGS) published a further
report on this hazard in 1959. The report mentioned the presence of quick clays below the city, and southern
Alaska was well known as an area of J?equent quakes. Planners and developers were unaware of or ignored, this
information, Therefore, "planning" did not provide an awareness of what wouM likely occur to structures built
above the clay when it settled and shifted during an earthquake. Contractors and developers proceeded to buiM
in the hazardous area and citizens purchased the homes, all in ignorance of the deep-seated instability. During
the Good Friday earthquake of March 27, 1964, homes at Turnagain Heights toppled and flowed downhill in a
slipping quagmire that caused millions of dollars of damage. Ironically, new homes were later built atop the same
quick clays--perhaps demonstrating that no mistake is so bad that it cannot be repeated.
In contrast, an hnpressive study that revealed the benefits of geological site evaluations was conducted in 1969
by the City of Los Angeles Department of Building and Safety. It exam#zed the history oJdamage to buildings
from sIope Jililure over a 40-year period. The enlightening revelation of the study was that when both competent
soils engineering and geologic analyses were required and when professionals were required by law to certify their
work, the failure percentages were diminished.from 10 percent before 1952 to 0.15 percent between 1963 and
1969". The resulting reduction in repair costs provided sav#~gs many times the costs of the geological
investigations of the site.
Progressive decrease in losses due to foundation and slope failures within the city of Los Angeles
Status--Pre 1952 Status--195 2- I 96 2 Status--1963-1969

No grading code, no soils Improved grading code, soils Updated grading codes; soils
engineering or engineering geology engineering required, very engineering and engineering
limited geology required but geology required for both design
without formal professional and construction. Design
status or legal responsibility for engineers, soils engineers and
geologists geologists achieve professional
status and assume legal
responsibility
10 000 construction sites 27 000 construction sites 11 000 construction sites
$3 300 000 geotechnical damage at $2 767 000 geotechnical damage $80 000 geotechnical damage at
1040 sites at 350 sites 17 sites
Average loss of $330.00 per site Average loss of $100.00 per site Average loss of $7.00 per site
per number produced per number produced per number produced
$3173.00 average loss to damaged $7905.00 average loss to $4705.00 average loss to
site damaged site damaged site
Failure rate of sites built--10.4% Failure rates of sites built--l.3% Failure rate per sites built 0.15%
As geological input is required, losses due to geologic hazards decrease markedly (modified from Slosson
1969)'
*Legislation in Britain on waste disposal in the ground, and on evaluation of former industrial sites, has
similarly produced an expansion of 'environmental' geology work.
The art of geotechnical engineering has been described but very likely that of the engineering geologist as well.
as the ability to make rational decisions in the face Making a final judgement is therefore difficult but must
of imperfect knowledge, i.e. usually gaps in the data be based on an interpretative process derived from those
acquired. Geotechnical decisions almost always giving an opinion and properly tempered experience,
incorporate uncertainty to one degree or another and with insight and intuition. To help arrive at such judge-
the engineer must rely on judgement, not only his own ments, the engineering geologist must make precise
308 P . G . FOOKES
communication leading to the thorough understanding Today, engineers and geologists continue to assess the
of his views by his project colleagues, and by the client degree of geological uncertainty but it is likely that they
if necessary. This is a primary requirement of his can no longer act as sole arbitrator on whether the
professional work. resultant risk level is acceptable. The situation is grow-
Three decades ago, Casagrande (1965) saw the process ing where judgement of acceptable risk is more and more
of dealing with risk as containing two elements, the first frequently being undertaken by clients, owners, regulat-
having to do with geological uncertainties and the ory bodies, competing pressure groups, the media and
second with acceptable risk: the public at large (e.g. Toll 1996). However, I believe
that this should not be seen as an abrogation of the
the use of imperfect knowledge guided by judgement
engineering geologist's or the engineer's professional
and experience to estimate the probable ranges for all
responsibility.
pertinent quantities that enter into the solution of the
The current need for numerical quantification of
problem
uncertainties derives from the need to communicate risk
the decision on an appropriate margin of safety, or
judgements between the Engineer and the other parties
degree of risk, taking into consideration economic
involved. Geologists often protest that geological uncer-
factors and the magnitude of losses that would result
tainties are too great to be quantified, which is rather
from failure
like objections to estimating large numbers because of
Casagrande did not advocate the use of numerical their magnitude. I am not competent to evaluate the
probability to quantify unknowns and instead relied on large body of statistical theory which provides numerical
verbal descriptions such as 'grave risk' and 'great' un- rules for statistical probability determination, but in
certainties. While the significance of these terms might practice I frequently attempt judgemental probability
be immediately evident to practising engineers and assessment of geological uncertainties with the use of
geologists, they are too ambiguous to allow for accurate guidelines. Such guidelines, for example those on 'over-
communication to others. At this time, there was optimism', 'overconfidence', 'decomposition', 'consist-
little effort to accurately communicate the geological ency' limits and 'normalizing', can raise the probability
uncertainties assessed by the geotechnical team to others assessment process above that of an educated guess.
beyond the designers. Margins of safety in acceptable Details of such guidance can be found in a growing
degrees of risk were then within the sole purview of number of papers, for example those by Roberds
the same engineers or geologists who assessed the (1990), Vick (1992) or an early one, which I found most
uncertainties. helpful, by McMahon (1985). The latter discusses six
types of uncertainty of which he lists three as 'other'
Modern practices uncertainties, namely human error; design changes; over-
The profession has reduced engineering risks since the conservatism. His three technical types of uncertainty
time of Casagrande, for example in its advances in are: an unknown geological condition; the risk of using the
techniques such as the observational approach (e.g. wrong geotechnical data; and the risk that bias and~or
Peck 1969, 1984); major improvements in site investi- variation in the estimated design parameters couM be
gation techniques and in standards of ground interpret- greater than anticipated.
ation and characterization; and in data handling and Estimation of the 'truth' from samples or obser-
synthesis. Risk of course still exists; but see also the vational data requires consideration of the bias and
box on an American view of hazards on the previous closely related properties. The first step in any engineer-
page. ing geology analysis is commonly to subdivide the
The observational method

'In the Ninth Rankine Lecture, Professor R.B. Peck (1969) set out procedures for the observational method
as applied to soil mechanics. The method provides a way of controlling safety while minimizing construction
costs, so long as the design can be modified during construction. Peck identified two applications for the
observational method
(a) ab initio: from inception of the project
(b) best way out: during construction when unexpected site problems develop.
Peck's observational method involves developing an initial design based on most probable conditions,
together with predictions of behaviour. Calculations based on most unfavourable conditions are also made
and these are used to identify contingency plans and trigger values for the monitoring system. Peck proposed
that construction work should be started using the most probable design. If the monitoring records exceed the
predicted behaviour, then the predefined contingency plans would be triggered. The response time for
monitoring and implementation of the contingency plan must be appropriate to control the work.'
Nicholson (1994)
Table 1. Technological factors which can contribute to faih~res with the possibility of overconservatism on the part of
(Jrom Stapledon 1983) their geotechnical advisors than they are with other
sources of risk. This may result in substantial pressures
1 Limit of state of art reached for recommendations to be more optimistic than the
2 Lack of engineering knowledge by geologist technical judgement of the adviser would normally
3 Geological advice incorrect or insufficient allow; such pressures are presumably financial in origin.
4 Inadequate project management machinery
Again, communication and development of the model
5 Inadequate subsurface exploration
6 Communication problem--geological language not are all important, perhaps tempered by a review process.
understood by engineers
7 Error in design or construction Subjective probability assessment
8 Magnitude of project---extraordinary site investigation A developing trend, stemming originally I believe from
problems American practice, is the subjective probability assess-
9 Excessivework load
10 Communications problem--personalities ment on which I will conclude this section since I believe
11 All engineering questions not asked it has merit.
12 Inappropriate geological mapping scales and detail I have been involved only informally with this
13 All geological questions not asked approach in Britain (mainly on assessment of concrete
14 Inadequate standard of collection and recording of structures), though more formally overseas. Such assess-
basic exploratory data ments may need to be made to predict performance
15 Over-reliance on, or misuse of, computers more accurately, or to make a decision where there are
alternatives available, wherever the information is not
statistically sufficient to make objective assessments.
geological model into units which are statistically homo- Subjective probability assessments must be capable of
geneous in the characteristics being studied. In rock being defended should it become necessary to resolve
mechanics as well as in traditional geology, these are controversy adequately at a later date. Roberds (1990)
often referred to as 'domains' and in sedimentary rocks highlighted this technique and discussed potential prob-
or soils they may correspond to beds. Spatial independ- lems which had been identified in subjective probability
ency should show that the values of random samples assessments by individuals, and consensus assessments
taken from the domain are independent of the spacing by groups. He elaborates on procedures for conducting
between them. Spatial dependency will indicate that the appropriate assessments with an increasing capability
value of a random sample is related to the value of its of being justifiable, i.e. capable of being subsequently
neighbours. The statistics of spatially dependent vari- defended if necessary, in a reasonable and straight-
ables (referred to as geostatistics), I believe, were first forward manner. Figure 12 summarizes his views
highly developed in the field of oil reserves (e.g. David on subjective assessment. I hope this concept will per-
1977) and similar procedures are now used in geotech- meate our approach to making important geological
nical problems. Scale effects are common in engineering judgements.
geology. An example of where there might be an effect If you want to see the way risk assessment could go,
would be the orientation of joints on a small scale (say, based largely on American experience, see Jefferies et al.
over an area of 1 m2), but it is more likely that the (1996) who discuss 'where are we, and where are we
orientation of the joints over a large area (say, going?'
200 m x 200 m) would determine the overall stability of
the slope.
Human error is relatively common in our trade and
includes errors in observation, testing, computation and Civil engineers' ground--the skin of the earth
from our personal limitations, and, it is worth saying
again, communication on the part of the engineering To paraphrase the foregoing sections, many, if not most,
geologist (or geotechnical engineer) and errors of under- difficulties in geotechnical engineering arise either from
standing, omission and commission on the part of those an unawareness of ground conditions, or a failure to
implementing the design. However, in my experience, appreciate the influence of known ground conditions
perhaps the most common 'hazard' with the potential on a particular engineering situation. A basic under-
for the most serious error is a management problem, standing of geology and geomorphology is therefore a
that of unreported design changes by the design engineer requirement to aid the solution of the first problem. The
who may alter, for example, the layout of a project second problem requires a specific engineering input.
without reference to the geotechnical team! But see also ! will now discuss the first problem. The purpose of
Table 1, from Stapledon (1983), which lists factors that building the geological model for the site is to counter
can contribute to failures. any unawareness of ground conditions.
I am sure that it is in the experience of many of us that Before the desk study stage is reached, geologists, by
clients or their representatives are far more concerned virtue of training and experience, should be able to
310 P . G . FOOKES
r.............. 7 It". . . . . . . . . . . . . . . . . . . . Ii
i Develop Model l > Define Parameter to be Assessed I Obtain Available Data ]
i. . . . . . . . . . . . . . . . . . . . . . i
r .... 7_--_----_fu--j ..... ,

] Conduct Sensitivity Studies [
L. . . . . . . . . . . . . . . . . . . . . . . . . l Appropriate
Level of
L
Individual Assessment f Assessment ~t] GroupA . . . . . . . . t I
?
Multiple Open Forum 3 Delphi Panel 2 Probability

Self Assessment Informal Expert Formal Expert Informal Expert Encoding l
Opinion Opinion Opinion 4 Convergence, Forced Consensus
Agreed Consensus, or Disagreement Formal Group
Mechanical or Disagreement Evaluation
Aggregation
(group statistics) Convergence,
Agreed Consensus,
Forced Consensus or Disagreement
(higher)
1
(lower)
Relative Cost (higher)
Footnoles: 1. Led by trained analyst. Best, but most expensive. 3. Can be distorted by the dynamics of the group.
2. Systematic and iterative approach between anonymous (to each other) 4. Can involve averaging, more rigorous group statistics and/or
assessors in communication. individuals weighted.
Fig. 12. Summary of Methods for Improving Subjective Probability Assessments.
visualize a model of more or less of any part of the over at the tender stage, did not anticipate that the
earth's surface or subsurface. Detail and accuracy of the weathering or joint pattern would vary as it did.
model would depend on the location and the individual Geology, like beauty, can be largely in the eye of the
geologist. A geologist is trained to visualize the third beholder.
(and fourth) dimension of his data. This improves with Considered simply, the bedrock and superficial
experience; it is what he is good at. Typically, he shares geology at any one site is the product of its geological
this ability with architects: I know that many of my history, i.e. the formation of the component rocks;
engineering colleagues seem to think mainly in two diagenetic, tectonic and weathering disturbances it has
dimensions as far as geology is concerned. The level of received, together with any overlay of alluvial, colluvial,
detail considered in the build-up of the model varies with windblown or other superficial materials. These in turn
the location, the project and the stage reached in the may have been affected by diagenesis, tectonism and
model building. weathering.
Figure 13(a), of a Scottish dolerite quarry, was made These agencies can be identified as rock .forming or
after discussion with the quarry manager of what the rock modifying. The development of the geological
manager saw in his daily work in the quarry. Figure model therefore requires specific consideration of all
13(b) is based on a visiting geologist's field notebook, of the agencies which formed and modified the site rocks
the same quarry to the same scale as Fig. 13(a). and the following subjects therefore need to be con-
Figure 14 is a sketch of an area of Welsh Cambrian sidered during the various stages of the model construc-
volcanic and granite terrain as visualized during an tion. They are listed approximately in the order of
initial walkover survey by an experienced engineer- consideration during an investigation:
ing geologist. The relationship between the many
roches moutonn6es, 'ridge and valley profile' and the plate tectonic history and regional geology
underlying weathering and discontinuity systems which local geology
become clear during subsequent excavation of road Quaternary history
cuts was much as he visualized. However, an import- local climate
ant warning . . . a second and equally experienced local surface processes
engineering geologist, who also made a separate walk- man-made influences
I
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312 P.G. FOOKES
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Fig. 14. Conceptual route of a new road in Wales illustrating the relationship between landforms and underlying geology.
I shall broadly discuss, inter alia, all of these subjects in thickness of the crust beneath the continents is much
the lecture with the exception of the last. more variable but averages around 30 kin; under large
mountain ranges such as the Alps or Himalayas, the
base of the crust can be as deep as 100 kin. Like the shell
Plate tectonics of an egg, the earth's crust is brittle and can break.
Below the crust is the mantle, a dense, hot layer of
The story starts with the formation of rocks, which in semi-solid rock, approximately 2900 km thick, which
turn requires some understanding of the spectacular might be thought of as the white of an egg. At the centre
concept of plate tectonics. Engineering (and geology) of the earth lies the core which might be thought of as
students prior to the early 1970s could not have been the yolk of the egg, and which is nearly twice as dense as
taught about this, but details can be obtained from any the mantle. It has become realized relatively recently
good, modern, geology text book, e.g. Dott & Batten that the earth's core is actually made up of two distinct
(1988). It is of interest to digress a little here (see text parts: a 2200 km thick liquid-like outer core and a
box), to look at the historical development of the study 1250 km solid inner core. As the earth rotates, the liquid
of plate tectonics since it embodies what is probably outer core spins relative to the inner core, creating the
typical of the stormy development of many a geological earth's magnetic field. Figure 15 is a simple portrayal of
theory. It ranks with the Origin of Species and existence this situation.
of Deep Time as one of the three most important It is the earth's internal structure that influences plate
discoveries in geology. tectonics. The upper part of the mantle is cooler and
The size of the earth was known by the Ancient more rigid than the deep mantle: in many ways it
Greeks but it was not until the turn of the Twentieth behaves like the overlying crust and together with the
Century that scientists determined that it was made up crust forms a rigid layer of rock called the lithosphere
of three layers: crust, mantle and core. This layered (from lithos, the Greek for stone). The lithosphere tends
structure has been likened to a boiled egg: the crust, the to be thinnest under the oceans and in volcanically
outermost layer, is rigid and very thin compared with active continental areas, such as the western United
the other two. Beneath the oceans the crust varies little States. It averages at least 80 km in thickness over much
in thickness, generally extending only about 5 km. The of the earth and has been broken up into the moving
314 P. G. FOOKES
Short history of discovery of plate tectonics

That continents have not always been fixed in their present positions was suspected long before the Twentieth
Century: the notion was first suggested as early as 1596 by the Dutch map maker, Abraham Ortelius, in his
work 'Thesaurus Geographicus'. Ortelius suggested that the Americas were 'torn away from Europe and
Africa ... by earthquakes and flood' and went on to say, 'the vestiges of the rupture reveal themselves if
someone brings forward a map of the world and considers carefully the coasts of the three [continents]'
(reported in Kious & Tilling 1994).
Ortelius's idea surfaced again in the Nineteenth Century. However, it was not until 1912 that the idea of
moving continents was seriously considered as a full-blown scientific theory----called continental
drtft--introduced in two articles published by the young German meteorologist, Alfred Lothar Wegener. In
his model, he contended that around 200 million years ago, a super continent, Pangaea, began to split apart.
Alexander du Toit (1937), professor of geology at Johannesburg University, and one of Wegener's staunchest
supporters, proposed that Pangaea first broke into large continental land masses, Laurasia in the northern
hemisphere and Gondwanaland in the southern hemisphere. Laurasia and Gondwanaland then continued to
break apart into the various smaller continents that exist today.
The theory of continental drift became the spark that ignited a new way of viewing the earth but at the time
Wegener introduced his theory the scientific community firmly believed continents and oceans to be
permanent features of the earth's surface. Not surprisingly, his proposal was not well received, even though
it seemed to agree with the scientific information available at the time. The fatal weakness in Wegener's
theory was that it could not satisfactorily answer the most fundamental question raised by his critics: what
kind of forces could be strong enough to move such large masses of solid rock over such great distances?
After his death, new evidence from ocean floor exploration and other studies rekindled interest in
Wegener's theory, ultimately leading in the last three decades to the development by geologists and
geophysicists of the theory of plate tectonics and the forces driving the planets.
plates that contain the world's continents and oceans. It Landforms, climate, weathering and
is believed that below the lithosphere is a relatively engineering soils
narrow mobile zone in the mantle called the astheno-
sphere (from asthenes, Greek for weak). This zone is of Ultimately, landforms and their near-surface geology in
hot, semi-solid material which can soften and flow after which the civil engineer works are formed by geological
being subject to high temperature and pressure over and geomorphological processes which derive their
deep geological time. The rigid lithosphere is thought to energy from plate tectonics and from the climate.
'float' or move about on the slowly flowing astheno- Plate tectonic movements include earth crust warping,
sphere. earthquakes, folding, faulting and metamorphism due to
The world's present plates are shown on Fig. 16 and heat flow and volcanism. The effects of these movements
the plate boundary processes in section on Fig. 17. In are currently important in many parts of the world, for
order to keep Fig. 17 simple, only a convergent destruc- example the Circum-Pacific Volcanic/Earthquake Belt,
tive boundary of a continental and oceanic crust is and areas of young growing orogenic mountains like the
shown, together with a divergent oceanic boundary and Himalayas or the Andes. In such areas these effects
sea floor spreading. The text box summarizes the provide additional energy to alter the rate of geomor-
situation. phological processes. As an illustration, if the young
The importance for engineers of the plate tectonics mountains are in a moving upwards phase, then land-
theory is that it explains how and why and where sliding, erosion and river downcutting for example, are
earthquakes occur; where sediments are formed (leading typically more active to keep pace with the uplift. In old
to the ultimate formation of sedimentary rocks); where orogenic mountains (products of former plate move-
igneous rocks are born; where metamorphic rocks are ments) which have now ceased to go up and are being
modified; and where the majority of the world's folding worn down, slopes are becoming progressively flatter
and faulting takes place. It is the master model. and more stable. Similarly, ground level changes, in
The ability of the plate tectonic model to identify relation to sea levels, control river erosion, the risk of
locations where these features are forming now or have coastal inundation and so on.
formed in the past, is perhaps the strongest aspect of this The complex interaction, now and in the geological
geological model-making tool, as it enables the history past, between tectonic and chemical, physical and bio-
of an area to be unravelled, the type and condition of logical factors linked to the climate, ultimately results in
rocks tO be anticipated and a better understanding and the disintegration of bedrock to form new material
prediction of geomorphological processes in areas products. This process is known simply as weathering
related to the tectonic map. and is both selective and differential. It represents the
Plate boundaries
Geologists now have a fairly good understanding of how the plates move and how such movement relates to
earthquake activity. Most movement occurs along narrow zones between plates, where the results of plate
tectonic forces are most evident. There are four types of plate boundaries:
Convergence boundaries--where crust is destroyed as one plate dives under another.

The size of the earth has not changed significantly during the past 600 million years and very likely not since
shortly after its formation, about 4.6 billion years ago. The earth's unchanging size implies that the crust must
be destroyed at about the same rate as it is being created. Such destruction (i.e. recycling)of the crust takes
place along convergent boundaries where the plates are moving towards each other and sometimes one plate
dives, i.e. is subducted under another.
The type of convergence or slow collision takes place between plates, depending on the kind of lithosphere
involved. Convergence can occur between oceanic and largely continental plates or between two largely
oceanic plates or between two largely continental plates.
Divergent boundaries--when new crust is generated as the plates pull apart from each other.
Perhaps the best known of the divergent boundaries is the mid-Atlantic Ridge. The rate of spreading along
the mid-Atlantic Ridge averages about 25 mm a year or 25 km in a million years. Seafloor spreading over the
past 100-200 million years has caused the Atlantic Ocean to grow from a tiny channel between Europe,
Africa and America into today's vast ocean.
Transform boundaries--where the crust is neither created or destroyed as the plates slide horizontally past
each other.
The zone between two plates sliding horizontally past one another is called a transform-fault boundary or
simply a transform boundary. Most transform faults are found on the ocean floor where they commonly
offset the active, spreading ridges of the floor and produce zigzag plate margins. However, a few occur on
land, for example the San Andreas Fault Zone in California. This is about 1300 kin long and in places tens
of kilometres wide. It slices through two thirds of the length of California.
Plate boundary zones--broad belts in which boundaries are not well defined and the effects of plate
interaction are unclear.
Not all plate boundaries are as simple as the main types discussed above. In some regions the boundaries are
not well defined because the plate movement deformation occurring extends over a broad belt. An example
of this would be the Mediterranean-Alpine region between the Eurasian and African plates, within which
several smaller fragments of plates (microplates) have been recognized. Because plate boundary zones involve
at least two large plates, and one or more microplates caught up between them, they tend to have complicated
geological structures and earthquake patterns.
interaction between the lithosphere, the a t m o s p h e r e a n d associations characterized by their part in their plate
the hyposphere as well as the biosphere. The various tectonic and subsequent history. Figures 19, 20 a n d 21
ways in which the rocks are b r o k e n d o w n are well are examples of three landforms which illustrate
d o c u m e n t e d in m o s t m o d e r n textbooks on geology a n d some c o m m o n rock associations, n a m e l y from igneous
g e o m o r p h o l o g y (e.g. Derbyshire et al. 1979, or T a r b u c k activity, from regional metamorphism and from carbon-
& Lutgens 1996). Erosion is the removal (e.g. by wind, ate continental shelf facies sediments in a tropical
water) of w e a t h e r e d material. environment. The latter is in an active state of sedimen-
L a n d f o r m s are c o m p o s e d of all types of rock and soil tary rock f o r m a t i o n and in the two others the existing
m a n y of which I will presume are familiar to engineers rocks are being modified by surface weathering and
w o r k i n g in the b o r d e r l a n d with geology. Various erosion. M a n y other models could be developed a n d
'geology for engineers' textbooks consider rock in models like these are c o m m o n l y f o u n d in textbooks
appropriate detail (e.g. Blyth & de Freitas 1984; M c L e a n a n d papers. I use such models t h r o u g h o u t this lecture to
& Gribble 1985). The rocks are classified into three illustrate the point or points being made. They are
b r o a d principal groups on the basis of their formation: a n n o t a t e d so that they can speak for themselves*.
igneous, metamorphic or sedimentary. See text box. This
b r o a d classification is the starting point to the process of *Some models of terrains have a numerical shorthand added
building geological models. which identifies components comprising the model. Interpret-
It is helpful to note that because of the history of their ation of the shorthand is obtained from the Large Table (Table
formation, rocks of similar types often occur in suites or 2) of the Geological Environment Matrix (GEM) described later.
316 P. G. FOOKES
OROGENIC ContinentalCrust
Ocean MOUNTAINS (~40km thick)
~ ~ Lithosphere:
crust and
uppermost
solid mantle
>" ~" (N70km thick)
Asthenosphere:
Oceenic - - - r e ~ ' ~ ~ T . - d . - ' . v'- plastic moot,o
Crust- __ (~180km thick)
(~5km
thick) 1111,,.,-" t Solid
/
Mantle
_ Liquid
Outer Core
Solid
Inner Core
Scale
Centre of
the Earth 6378km [
Fig. 15. The interior of the earth.
In the main, rocks vary in their resistance to chemical produced, the commonest example of which is perhaps
weathering according to their mineralogical composition the karst landform in limestone terrain.
and porosity and in their mechanical strengths according Unconsolidated rocks (i.e. not lithified) derived from
to their mineral composition and fabric (e.g. Fig. 18). rock weathering, erosion and deposition on the various
The latter includes the disposition of grains, especially landforms are called 'soils' by engineers and engineering
their interlock and the extent of frequency of joints and geologists. Such soils are briefly described in the accom-
bedding planes. Shale, for example, is mechanically panying box and in more detail, together with their
weak but chemically resistant; some limestones are principal engineering characteristics, in Appendix 1.
strong but go into solution relatively easily and solution- In situ rock weathering, in which the weathered
widened openings are formed (e.g. caves) resulting in products suffer little or no transport, produces resid-
karst systems. The process of differential erosion is ual soils often with distinctive layers or horizons
effective in both weathering and erosional activity and with depths down to the weathered rock, and finally
tends to be more effective on mechanically weaker rocks the fresh rock beneath. To study this and other near-
and those more susceptible to thermal breakdown. This surface processes and their effect on rock association
process of differential erosion is reflected in the form of landform models, it is necessary to consider the effects
landscape and its concept has been used in developing of past and present climates. The importance of cli-
the geological models illustrated here. mate to engineering projects can be itemized under
The terms 'structural landform' is applied to three headings:
differential erosion features and to those arising directly
from tectonic events, such as faulting (e.g. fault scarps) the effect of climate on the form, magnitude and
or volcanic action. Sometimes a distinctive property of a frequency of natural processes (e.g. flooding, levels of
rock may be the predominant factor in the landform soil or groundwater salinity, frost action)
~b
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318 P. G. FOOKES
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Y
X
The three principal rock groups (see also Fig. 18)

Igneous rocks originate within the earth's crust and solidify from magma bodies as, for example, some
granites (e.g. Fig. 17). Those which solidify before reaching the surface, form intrusive rocks such as dolerite,
and when lava erupts or flows at the surface it forms extrusive volcanic rock types such as basalt (e.g. Figs
17 and 19). It may be ejected as showers of ash or lumps (volcanic bombs). Slow cooling of igneous rocks
produces large crystals within the rock; quicker cooling produces small. Variations of mineral composition
lead to wide variation of rock type and many different names are given to them which, to a geologist, indicate
composition as well as its mode of formation. The processes involved in this, for the geologist, can all be
conveniently explained by the processes in plate tectonics.
Material form or fabric of rocks may be altered during earth movements by high confining pressures
and/or high temperatures to produce metamorphic rocks (e.g. Fig. 20). Sedimentary rocks modified in this
way are called metasediments.
Sedimentary rocks are those formed at or close to the earth's surface from material derived from
pre-existing rocks, together with material of organic origin. Particles derived from the mechanical breakdown
of other rocks generally followed by transport and deposition by rivers, seas, winds or glaciers form clastic
(i.e. particulate) sediments (e.g. alluvium) which lithify with time to form sedimentary rocks. Deposition of
sediments can also result from chemical reactions and precipitation: for example, some limestones are of this
origin. Sedimentary rocks resulting from accumulation of salts in conditions of evaporation are called
evaporites; rocksalt (sodium chloride) or gypsum (calcium sulphate) are examples. Deposits of organic origin
are skeletons of corals, shells and calcareous matter, e.g. some limestones, peat and coal. A distinctive feature
of sedimentary rocks is their stratification or bedding.
the effect of climate as a weathering agent, for processes of engineering significance. While such gener-
example on building materials, or in rock weathering alized schemes provide a valuable background to present
to produce soils day global weathering conditions, they take no account
the limitations imposed by climate on man, for of the frequency and magnitude of certain events (e.g.
example on engineering operations (e.g. the periods flooding) and are therefore less useful in the study or
closed for construction, resulting from monsoons or prediction of dynamic processes.
subzero temperatures) More recently, the German geomorphologist, Bfidel,
compiled a map of morphoclimatic zones, presented in
No classification of present day climates exists which can more geomorphological terms, which is modified here
be used to define weathering effects precisely. The nature from Kiewiet de Jonge (1984) as Fig. 25. The similarity
of a soil produced by weathering depends not only on between this map and world weathering zones (Fig. 26
the climate but also on the parent material being weath- (after Strakhov 1967)) can easily be seen: I find these
ered and other factors. Figure 22 summarizes the factors maps particularly useful in practice when planning over-
and processes of weathering for all the climates. seas visits. Most global soil maps portray agricultural
The original work on world weathering zones is soils but can be modified to a classification system which
credited to Strakhov (1967) and the principles embodied incorporates engineering characteristics. Such a map,
in his famous global cross-section, modified here as developed by D o o r n k a m p (1986), is presented in Fig. 27.
Fig. 23, where temperature, precipitation and evapora- Again, the similarity of this and Figs 25 and 26 can be
tion are related simply to near-surface weathering. The seen immediately. For further discussion see Brunsden
end product of rock alteration is a weathering profile (1979) and D o o r n k a m p (1986).
and a soil which is the result of the combined effects of Before leaving this section related to climate, I
present and past climates, vegetation, human activity must mention that the local infiltration/evaporation/
and the lithology and structure of the parent materials. transpiration balance on the ground surface and in the
Figure 24 is a simple example showing differences in underlying unsaturated active zone, frequently con-
the weathering profile depending on changes in dis- trols the water table and the degree of saturation of
continuity patterns in two similar rock types in a similar superficial materials, e.g. Fig. 28 for a temperate climate
tropical climate. situation. This may have an effect, for example on the
On a global scale, several attempts have been made to stability of temporary excavations. Water could lead to
relate climate, the geological situation and landform the risk of heave or collapse if soils are wetted or evapo-
development. Tricart & Cailleux (1965) produced a map ration prevented; evaporation may lead to the upward
of morphoclimatic regions developed from a scheme migration of salts in the groundwater. Such a model as
proposed by Peltier (1950) in which he linked regions Fig. 28 forms a basis for the geological understanding of
not only to temperature and rainfall, but also to current a typical near ground surface condition. Appendix 2 is
320 P. G. FOOKES
ROCK MATERIAL
Classified as igneous, metamorphic or sedimentary according to the mode of origin of the rock. Igneous rocks solidified from Magma, either deep within the Earth's crust (plutonic), at shallower
depths in small intrusions such as dykes and sills (hypabyssal) or extruded as lava at the surface (volcanic). Sedimentary rocks formed either from the deposition of fragments (clasts) worn
from pre-existing rocks, or from the accumulation of shells or other organic material, or from the precipitation of chemical compounds directly from solution. Metamorphic rocks formed by
recrystallisation of pre-existing rocks in response to a change (generally an increase) in heat, pressure or volatile content. Rock material may also be changed by weathering, the response to
the low pressures and temperatures and presence of air and water in the near-surface environment. The physical, mechanical and chemicalproperties of intact rock depend on its mineral
composition, texture and fabric.
CONSTITUENT Coarse grained and coarsely crystalline rocks TEXTURE

MINERALS The majority of particles are greater than 2 mm in size and can be seen with the naked eye. Includes most Texture refers to the general physical
Rocks are composed of plutonic igneous rocks (e.g. granite, gabbro) which cooled and crystallised slowly. Quartz and alkali feldspar character of a rock arising from the
minerals which each have may be intergrown (graphic texture). Fracturing around crystal boundaries or along cleavages may reduce interrelationship of its constituent
characteristic physical and the strength of the rock. Also includes breccia (igneous or sedimentary), conglomerate (sedimentary) and mineral particles, including their size,
optical properties and chemical gneiss (regional metamorphic). shape, packing and degree of
composition. Specific gravity, crystallinity. Rocks with very different
hardness and colour, and Medium grained and medium crystalline rocks mineral compositions may have similar
appearance under the The majority of particles are between 0.06 mm and 2 mm in size and can be seen with a hand lens. Includes textures. The texture of igneous rocks
petrological microscope are many hypabyssal igneous rocks (e.g. microgranite, dolerite) which are typically composed of tightly depends principally on the rate at
important diagnostic aids; interlocked mosaic of randomly orientated crystals Also includes sandstones, many crystalline and oolitic which the magma cooled and
simple tests using a steel knife limestones (sedimentary), schists (regional metamorphic) and some hornfelses (contact metamorphic). crystallised. Early-formed crystals in a
(to assess relative hardness) rock are generally bounded by well-
and dilute HCI (to identify e.~. Textures of some medium ~;rained rocks seen in thin section defined crystal faces (euhedral); those
carbonates) are also useful. which formed later have irregular
Different rock types may have outlines (anhedral). The texture of
a similar mineralogy and bulk sedimentary rocks depends on the mode
chemistry. For example, a and distance of sediment transport and
micro granite, arkosic on the conditions of deposition and
sandstone and quartzo- subsequent compaction: poorly
feldspathic schist may all be compacted rocks may contain voids;
composed principally of quartz grains may be separated by a freer-
(q), feldspar (f) and mica (m) grained matrix (i.e. 'floating') or by a
(see thin sections to the right) secondary cement; grains may become
and have a bulk chemistry tightly packed during diagenesis and
dominated by SiO2, A1203, undergo partial solution at their
Na20 and K=O, with lesser mic-ro3r~ni~ clrKosic s~ndsf'onP-. <~ulxcfzo-fe_|dsp~4hic sr_h~sk contacts, so that the porosity of the rock
L lmm A I lmrO i I 1 f"ttm i is reduced and its strength increased.
amounts of FeO, Fe203, MgO,
CaO and H.,O. Deleterious The texture of a metamorphic rock
engineering properties such as depends on the original rock type and
abrasiveness, alkali-silica on the amount of pressure and/or heat
reactivity and swelling/ Fine grained and mieroerystalline rocks that has been applied. For example,
shrinkage result from the The majority of particles are between 0.002 mm and 0.06 mm in size and can be seen under the petrological high pressures and temperatures in
occurrence of particular microscope. Includes many extrusive igneous rocks (e.g. basalt, some rhyolites) which cooled and regional metamorphism allow large
minerals in the ground or in crystallised rapidly. These rocks may contain either large, earlier-formed phenocrysts (porphyritic texture) well-formed crystals to form, whilst
construction materials. or subspherical cavities formed by the expansion of trapped gases (vesicular texture); vesicles may be infiUed contact metamorphic rocks (e.g.
Chemical alteration or with deuteric or secondary minerals to form amygdales. Also includes siltstone and chalk (sedimentary), hornfels) generally have a granoblastic
weathering may create new which may be frost-susceptible, phyllite and slate (regional metamorphic). texture, comprising a mosaic of
minerals (e.g. clays) which are equidimensional anhedral grains.
potentially deleterious in Very fine grained and cryptocrystalline rocks Microscopic examination may be
aggregates. The majority of particles are less than 0.002 mm in size; it may be possible to resolve individual minerals necessary to reveal potential planes of
under powerful magnification, but X-ray diffraction or other techniques may be required for positive weakness such as cleavages and
identification. Includes many extrusive igneous rocks (e.g. some rhyolites); also claystone and chert microfractures which could give it
(sedimentary) and mylonite (dynamic metamorphic). Glassy or amorphous materials such as volcanic glass, directional property variation.
obsidian and opal completely lack crystalline structure. Many siliceous rocks are hard and splintery.
....... [
FABRIC
Fabric refers to the spatial (i.e. three-dimensional) arrangement of the minerals and textural features which constitute a rock, and is therefore a measure of the homogeneity of the material. It
includes flow-banding and the distribution of vesicles in igneous rocks, bedding and the distribution of zones of cementation and leaching in sedimentary rocks (e.g. see Fig. 58), slaty cleavage,
foliation and the preferred orientation of crystals in regional metamorphic rocks. These features may represent potential planes of weakness and may influence properties such as the shape,
strength and soundness of aggregates produced from the rock. Granite, subgreywacke sandstone and quartzo-feldspathic schist which have a similar mineralogy may have very different
mechanical properties because of fabric differences. [Rock mass structure differs from rock fabric in that it includes descriptions and measurements of larger-scale post-depositional features.
such as joints and faults.]
Fig. 18. Schematic outline of rock material characteristics.
an aide-rnOmoire on natural effects of particular import- I have chosen common ones of importance to engineers,
ance for near surface engineering. which occur extensively and result from the inter-
action of the climatic environment and geomorphologi-
cal processes on various rock associations. Again, some
S o m e models of the geological models have a numerical shorthand of the geology
e n v i r o n m e n t s at the Earth's surface added: this can be interpreted from Table 2 described
I will now leave the broad subject of weathering in order later. The broad location of such models world-wide can
to present some idealized models of the skin of the earth. be identified from Figs 25 and 26, and some idea of soil,
-0
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-~-~ ~ v~ o o u~_ ~.~.

~ ~.~
P
!i ._~ ~= ~-~ ~
322 P. G. F O O K E S
-- " ~ +.3
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e.
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: l[ / ' /' ,," , " ... " //C.::.<~

E
, ,~ /~ ~~ , .,..~..,
/ ,
, ,, ,, ,,/:;t..... r -%~
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~ " ' ' ,"."/;.' ",-I! ~: :;:i :
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' : . .... .": ";",':'," .,, ..';..':--. "o ,~ '~

.,.., . .. ..:..-.:/.-L,;.':!... .- .-- z
r'
/ ~. ~i .~i Y';'~"'" .... :~ "~'~ " ii '~I:''~''" "'' '" " ~ ''~ ..'.2"-""
/ ~,.,
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-~.
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~~
el
~. ua
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~~ el -
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u,l
324 P. G. FOOKES
Main controls Weathering Response of material
Physical
Rock/Soil environment Crystallization processes* Disintegration

Climate Wetting and drying* Comminution
Atmospheric The Colloid processes Volume change
Hydrospheric physical (Organic processes) + Grain size change
Local factors, e.g. environment (Sheeting, unloading and Surface area change
topography spalling)* Consolidation
drainage Insolation*
water table Residual
Soil
Chemical Profile
Lithosphere Hydration Unaffected minerals

Lithology Hydrolysis due to lack of time
Parent rock The Solution* or weak agents
Structure chemical Oxidation* ~ Decomposition, recombination,
Climate environment Reduction* and cation exchange
Atmosphere Carbonation* reactions
Leaching
Hydrosphere Chelation ~ Dissolved ions
Crystal structure } ~ Fixation
*Indicates those processes considered to be most applicable to occurring on an engineeringtimescale

Fig. 22. Factors and processes important in weathering (based in part on Brunsden in Embleton & Thornes 1979).
thickness and type from Fig. 27. See also Appendices 1, Derbyshire & Love (1986) and the papers in the 1991
3 and 4 which outline the engineering characteristics of Geological Society Engineering Group Special Publi-
commonly occurring soil types. cation No. 7 on Quaternary Engineering Geology
The models as they stand are generally too simple for (Forster et al. 1991).
the more detailed prediction which is needed on an Figure 30 shows a model of a periglacial environment
engineering site and a more detailed understanding of developed on some of the rock types in southern Britain.
near-surface geology is necessary to build a site model Different periglacial features would predominate in
to be of practical value. This is discussed later. I describe other rock associations. The early use of the term
the models, approximately in order, from pole to 'periglacial' was to designate those areas affected by cold
equator (cf. Fig. 23). conditions that bordered ice sheets. Today the term is
The block model Fig. 29 shows the effect of valley used for a much broader area and it is now generally
glacier ice on an upland environment, but it should be accepted that periglacial environments can occur in
noted that probably many, if not most, engineering soils temperate regimes that include alternations between
of glacial origin encountered in site work are derived terrestrial freezing and thawing. Because such tempera-
from the ice sheets which invaded the lowlands of ture regimes occur at high elevations as well as high
the middle latitudes during the Quaternary. Individual latitudes, periglacial processes can operate in some
or tributary 'alpine' glaciers occupied valleys of the alpine areas of low latitudes, including those straddling
uplands. the Equator. The importance of the freeze-thaw oscilla-
Glaciers are powerful agents of erosion and tions related to periglacial conditions is derived from the
deposition but the style and efficiency of the erosion unique property changes of water as it freezes and
varies with the energy and length of time of activity (i.e. thaws. When freeze and thaw cycles occur in poorly
power) of the glacier, which are related to its size, type drained fine-grained sediments, periglacial processes are
and climatically determined potentials. Important con- especially effective and surface forms such as patterned
siderations to the engineer are the close relationships ground, pingos and solifluction lobes are common and
between the properties of the glacial sediments and those may lead to subsidence and frost heave.
of the subjacent bedrock and locations of former ice The disturbance to the near-surface ground character-
limits. Details of glacial landforms, glacial sediment ized by freeze-thaw processes in periglacial conditions
types and effects on the ground vary with climatic has been considerably more extensive in the past than at
regime, glacier size, local geology and topography; present and therefore fossil periglacial forms are often
glacial environments display a number of distinctive encountered in vast areas that today enjoy more temper-
associations, of which Fig. 29 is only an example. ate conditions. They cover about a quarter of the
For further reading, see, for example, Eyles (1983); world's land surface. For further discussions, see Walker
>.,
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iiL + E ~ = c U1N
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o :ii, + 2,..~ E = ~-00
!iili + _ co' ~o ~ z o -
-~._ ~.~= ~ O
o i +
o ~: + ~c u ~ 3 o m b
~!i, +
i=/:i~ + ,--~o E n-~.
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(3.) aJnloJadwai sessgoOJd uo Sl!OS

s|uaw,,,oo 6uNa~u!6u 3
IOJgUgO
(uJw) uop, o~!d!oaJd

326 P. G. FOOKES
Natural. pipes common, Fracture flow . . Igneous dyke

of[en associated with may dominate /
pre-existing d i s c o n t i n u i t i e s \
~ I
~'][-'~ ~.~,/~Permeobility of saprolitic
Perched water tobies X // ~ " 7-~materiol may be difficult
common on infilled ~ xX . ~ r ~ ' / i p j / x / -r _ to predict - may be high
Regolith discontinuities or due ~ ~_~Lp'r//_Z_.j..----~I~.or low depending on
to differential weathering ~ ' . " ~ ~'~'~ openness ol ,,ex[ure,.. .
/ , . : ~ _ / presence ona properties aT
w,.r e o 0o ,t,o oroOu *.
debris ' __~ L. of different rock types

: [ ~ con cause barriers to flow
~ ~
CONCEPTUAL
ENGINEERING
ELI ~~e~ e 6 debris
.~ ii , "-::.::...
oproNth Regolith
Cr
/7"J.rk'~
~ ' ~./v/~,-~>~Pll +4/I residual debris''"7-.~.l
! , i i t ~,lo" 4
'~ ,~ i /t i'; t,<l'
,' 4-t
+5 ,
i~- ~b</~/(~BIcky j i n t ~ g - I r / ,' 1' / -I
/ Water penetrot o n ~ ' , , '
(a) t SI4otter b~elt / ~1i! some as (o) but

lill.!l;i with more joints
Fig. 24. Models of weathering in granite.
(1986), Higginbottom & Fookes (1970) and papers in surface and vary greatly. The range of climatic con-
Forster et al. (1991), especially the masterly review by ditions is wide, especially in magnitude, frequency, dur-
J.N. Hutchinson (1991), and the other papers in the ation and timing of precipitation, run-off, temperature
Periglacial and Slope Processes section. and wind activity. The nature of bedrock, surface sedi-
Figure 31 is of a semi-arid and temperate upland ments and tectonic activity is as varied as in other
environment, also superimposed on shallowly dipping environments. Aeolian processes (e.g. 'sand-dunes',
sedimentary rocks. Again, such environments are quite 'loess') and aggressive salts are often major problems in
variable depending on climatic regime and a colder one engineering activity. For further details see Cooke
would produce features considerably different from (1986), Fookes & Higginbottom (1980), Fookes et al.
those shown, as would a wetter environment. I draw (1985a) and papers in Fookes & Parry (1995).
your attention to the control on topography and Figure 33 is a model of wet, tropical weathering,
materials exercised by the characteristics of the under- superimposed specifically on the igneous and sedi-
lying bedrock. Further reading on temperate environ- mentary rocks of Fig. 19. See also Figs 23, 24 and 27.
ments (including lowlands like much of southern Engineering practice in tropical residual soils which
Britain) can be found in Gregory (1986); Brunsden & are the product of wet tropical weathering may be
Alison (1986); and Richards (1986), all in Fookes & straightforward and can often be based successfully
Vaughan (1986). It is worth emphasizing that the reader on local experience. However, tropical residual soils
should be aware that response to the type of landform is frequently exhibit special engineering properties and
directly related to the climate and would be sensitive to characteristics which differ from those found in
even small changes of climate which have to be evalu- deposited sedimentary soils, and are a result of the
ated locally. See also the text box in the previous section predominant role of weathering in the genesis of the soil.
on soil types and origin, and Appendixes 2, 3 and 4. As the principles of the engineering science of soil
Figure 32 shows a model of a hot dryland environment mechanics have been developed largely for sedimentary
(i.e. 'desert') again superimposed on shallowly dipping soils, they may not be appropriate for residual soils
sedimentary rocks. Such areas are characterized by a and can cause confusing results when applied to such
precipitation deficit and generally sparse vegetation materials.
defined climatically as being 'extremely arid', 'arid' or The Working Party publications of the Engineering
'semi arid'; they cover at least one-third of the world's Group of the Geological Society which have appeared
Soil types according to origin

Organic
Formed in place by growth and decay of vegetation.
Wholly organic fibrous and amorphous peat. Organic silts, and clays.
Alluvial
Transportation and deposition in water.
Fine clay to coarse gravel. Coarse particles usually rounded. Soils usually sorted and often show pronounced
stratification, variation in density. Finer soils may contain organic material.
Colluvial
Transportation by gravity, freeze-thaw and water.
Local in origin. Hillside creep, downwash and solifluction deposits. Variable fine grading from clay to fine
gravel. Often termed 'head'.
Taluvial
Transportation by gravity.
Local in origin. Landslide debris, screes and coarse variety of colluvium. Heterogeneous. Widely variable
coarse gradings. Talus can be considered an openwork taluvium.
A eolian and loessial

Transportation and deposition by wind. May be well sorted (i.e. single sized grains) and low density.
Loess, usually silt and fine sand with uniform grading, often contains vertical cracks, joints and root holes.
Glacial
Transportation and deposition from ice or meltwater from ice.
Tills and moraines, usually heterogeneous and can have a wide range of gradings. Outwash (proglacial)
material becomes finer with distance from meltwater source. Finer material usually laminated and varved
(glacial lake deposits).
Volcanic
Ash and pumice deposited during volcanic eruptions.
Silt size particles with larger volcanic debris. Highly angular particles, often vesicular. Weathering often
produces highly plastic clay with usual properties.
Evaporites
Soils from water containing dissolved salts, by precipitation or evaporation, e.g. oolites precipitated from sea
water, gypsum precipitated from sulphate-rich desert playa lakes or coastal sabkhas. Carbonates may form
cemented soils and hard sub-surface crusts.
Residual
Formed in place mainly by chemical weathering of parent rock or soil.
Type depends mainly on climate and weathering process, less on parent material. Pronounced structure
usually bonded, sometimes porous. Heterogeneous and of variable depth. Transitional with parent material.
Fill
Deposited by man.
Loose dumped, hydraulically placed or compacted. Old fills often heterogeneous and may contain organic
and toxic material, and voids associated with human artefacts.
fairly regularly over the last two and a half decades have There are a number of scientific systems of classifi-
been world leaders in many respects and have firmly cation in use for tropical soils, many of which are
placed British engineering geology on the world map. considered in the Working Party Report. The scheme
One of those Working Party Reports (Anon 1990) was that appeared most suitable was the formal French
on Tropical Residual Soils and it is worth elaborating classification, by Duchaufour (1982). This is based
a little to present briefly some of their ideas and firmly on weathering and other processes of pedogenesis
subsequent developments of what is a particularly established by detailed analytical and experimental work
difficult terrain to model. and is relatively straightforward to use for geologists
328 P. G. F O O K E S
I I I 1 ',1 I I
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330 P. G . F O O K E S
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332 P. G. F O O K E S
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+ + + + + + + + + + + + + + + + + + + + ~
~ e.~ ~ ~- ~ ~ ~ oo ~ _ _ ~ - - . ~. ~. ~ ~ . ~ ~ ~. ~ ~. . . .
"o
~ddddddddddddddddddd dddd
i -
+ -I- + -I- -t- -I- -I- + -I- -I- -I- -I- it- -I- -I- -I- -t- -I- -I- -I- -I- -I- + +
uq
=~

i E~
+ + + + + + + + + ~+ + + + + + + + + + + + + +
=~ ~2
+ + + + + + + + + + + + + + + + + + + -I- ~ ~ ~
~0
-I-+-t--I--I-+'I-+-I-++++-I--I--I--I--I-+-I- -I--I--I-+
~,.,le~.~.~.,,~i.~.oo~~"~l~I~-qeq~i~I'~ .i~('~,leq~I I
U.
-I--1--I--I-II-+It-+-t-~-I--I--I--I--I--I--I--I--I-i~ - 4-4-4-4-
,- ~ ~ ~- ~ ~ ~-- oo ~, ~ . ~. ~. ~. ~ . ~ ~. ~. ~. ~ ~. ~ ~.
+ + + + + + + + + ~+ + + + ++ + + + + + + + +
<~
r~
~C
0
+ + -I- -I- -I- + -t- -I- -I- -t- -t- -t- ik -I- + + -I- -t- -t- i~- +4-4-4-
~2
r-a r-T--1 ~1 ~ r-T"l r-c1 r-T'-l~ ~ ~ ~ ~ ~ ~ r..T..l r.T..1 ~ ~ ~ ~ ~

++ ++ + + ++ +~++ + + + ++ + + + + + + + +
+ + + + + 't" '1- + + + + + .--I- + + + --I.- + + --I- + + .-.I.- +
. . . . . . . . . . ~ ~ rq rq ~ ~'~ ~ ~ ~ ~ ~:~F
+ + ~+ + + + ++ + + + + +
. . . . . . . . . . m m m m m m m m m m ~ ~
o
+ " 1 - ' 1 ' - + + + + + + + + + + + + + + + + + +'-t-++
0
2
. . . . . . . . . . t",l~",lt",lt",lt',lt'~'~'~','3~
r~
0
. . . . . . . . . . ~ ~ ~ ~ ~ ~
~q
+ + + + + + + + + ~+ + + + + + + + + + +
+ ~+ + + + ++ + + + + + + + +
. . . . . . . . . . k,'q~"~loqoqo,,.leqr'~eqe~r'~"~
+ + + + + + + + + ~ + + + + ++ + + + +
. . . . . . . . . . ~'-,I ~ --.I ~ k,"-qle~"~ q e~ e~ e~
+ + + + + + + + + + + + + + + + + + + + + + + +
":': ~. ~: x ~- ~ ~: .d d d d d~ ~ ~ ~ ~ ~ ~ ~ ~
o
+ + + + + + + + + + + + + "1"- + + "1- "1'- + + + + '-I- "1'-
r..a
.B
~ 'q er'~ 44 ~'-"- O0 .......... ,,-~ ~P,,I _
e~
.,,-~
-a
i i /
334 P . G . FOOKES
< ~ - .=.
~g 6
._=
~2 ~ 2= E
~ do
# o .= =o
=-~ .~o o= ~ ~ =
"~o o =
o!
U4
"~--'~
O ~ "~
.~#
~ ~ o=
_~ = ~
o
c~
6o ~8 '~ '~ -5 E E8 ~'-"
7
d~ m g-~
c~
~ o ~
~.O O O
o= ~
o
g
"~ ~ ~'- ~= =~ d '= ~ >, ~=~ ~-~
~o E,~.~
o
~g
~,~, -, E . > o~ =8
o
~ ~ ="-
- E o .='u = ~ ~ o ~ N'- > o E ~
O o~
c~
g~ 8
O O
8
,,~
,..~ "~
~ .~
~ 4m o
o=
_~ ," .o "~- m'u = _ ~ =_ o H "T~ o ~ = o~
c~
o
o oe
....~'F-- o ~ ,,~ ~ ~ :. w ?,~, ,~ o ~. o '~
O
~ ~-'o ~"u , ~,.;= ~ o ~ - .~ - ~ o ,'-,-J ,~ ~ .,..., "r,
~ o o~ oo
" .~ ~ ,~ 8 ~
.>- o
N=
,~- .p_ O se
O
-~ ~ =
o s
o . . . . . . . o-~ o ~ ~ ~ o~
~!~ ~
E
~,~"
c-l.. d-
~ ~d
~ ~ -~
+,-~
e4 al
~ o~
\ ~ ~!
"~ < "i
-,~ -~; ~
, l
t
m
S,q
Ec
-,~.
x_.U
"~ s' ~" ~
~'d
o..i .~
.~-~u~ o~ ~ , .~ ~ ~
336 P. G. F O O K E S
J:
@
~3---c
eo uJ
b._cc o - 0
,, g
-A
, .., ~ e o ._~ ,'c
c c
.~ o
_I ~ :]-I
"~xUc )(.E - ~vl
!~: ~ : , . ~ o
I..~ ~
.~_~ ~
~ ~ ~ ;.".\ , -~~
-~-- z.~ >-~
d__ ' I
cE~ ' ,,
~o
.~
~l=lo ~ , ,
-: ? . . ,.',,(~,
X \,~i~i ~ ,q',<,'~'
--",-', ,: . ,.>,~'~ ', ,,~,
>., >
/ d
o
Q o
0
e~
oJ
,'/ ,, / /.
,y: L
Q
"C
6
Vl
..~r
o~Y. "~ ~.1

"C "- d
ol o-- u->'+
-- u=~ UlVl ~ ~ u~
I o'% o
- ~'2
~ ~.-
I ~.~ -o~<
~ ~ (~
=~ ~.~_
/ N
// ~. " . , :~.~ 7 ,,~. i
e.
E ~
~
e~
d>
1
~r~
C VJ
338 P. G. F O O K E S
~L
.co
~~',- ~ }-~ ~
- ~ ~ ~ ~ ~ ~_~
- ~ :~ ~
~\ 1 /1" -
~
x~ ,~
~ ~ ~-.c
u
.~..,
Ld
o4
^
t~
d~
i)
E~
o) el u U
o 0
,j
w
~ ~u'~
"+..+++ ,~+,, ~ '~ .,. +~ g++ +

+._.~ .. "~ ~ ~ ,,+ ~ ~ ~ ~ "
"+"m+:i:.+-+~. ~ p
+.~.~+
,+ +..+-'--. ,t++ .+ + ~ } ++~ ++{+++ +0
+...- ++ d
-0 ++., .-= .+_- ~.~
, +, 0+_+>. -~ ~ : ~ ,, ~.-+;+,+
++Z ~., ._+
.+,.+, 0+_,,., ++ ++ +++0
++-'++'" +
0'+':-" +-+ +-+--++,++ +
-~'~ c + I~ ~ a '~ ,+.-+
m+ u ow-~-
t
.- ~.c
-- t.L
+ + . -+
++ ' m
}++
,: ~+ ,,'J:,- >:-.~. 2 ~++.
~ '" ! + + ++,.z-. .~,,+

-~u~
~~
;.E
,~. :L) %c-.,+
:,:").+
!2 .B
^o
,~ ~.~A~ ~:.~
Y tL
- 4o a z ~
d~
,g.
4,-
+.+.,
+~
1'11
.++~
o
+..p++,~
,i+
PJ
4-
o- -
+_ ~,~ ~ c
"C-~ ~ ~
+~ ..,+ ,~ ~-~ ~ ~--. _, ~ . ~ t ~ ~ ~ ~.-= ~ ~ I_~. ~ ~.~.~~

~ ~ ~+ ~4++-, ~ + i ~ ~ _ ~ - + ~ ~ ~-+~_~?.,+ ~, ,~'+~ - '+ ~
340 P . G . FOOKES
PRIMARY MINERALS [
I
CHEMICALALTERATION
RESISTATES SOLUTIONS GELS SECONDARY MINERALS

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . FLOCCULATION AGEING . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
unaltered colloidal alumino- 2:1 clays:

primary ionic silicate illite
minerals Fe+++oxy- DEHYDRATION chlorites
hydroxide vermiculites
smectites
interstratified clays
ION EXCHANGE
LOSS OF CATION
. . . . . . . . . . . . . . . . . . . . . . . .
1:1 clays:
kaolinites
halloysites
LOSS OF SILICA
. . . . . . . . . . . . . . . . . . . . . . .
A1oxyhydroxides
LOST FROM SYSTEM Fe*+oxyhydroxides
Fig. 34. Processes and products of chemical alteration of minerals in rock weathering (after various sources).
and engineers who are not necessarily conversant with Figure 36 shows examples of different phases of
pedological terminology and techniques. It highlights development on the same slope and emphasizes the need
the soil characteristics, particularly in the solum (i.e. to develop a model that is specific for the particular
weathering grade VI), which influence engineering be- site in such soils. Engineers, and geologists as well for
haviour, e.g. mineralogical composition. It is therefore that matter, can easily be distracted by the somewhat
more relevant to engineering and geology than systems bewildering array of terms used in clay mineralogy. Civil
based on other, often ephemeral, criteria usually of more engineering literature often describes tropical residual
value in agriculture. The Report also emphasizes the soils under two general categories: the black tropical
need to evaluate fully the structural characteristics of the soils and the red tropical soils. Whilst this may be
soils which in some situations, especially weathering a useful first approximation, there can be confusing
grades IV and V (i.e. the saprolite), are of overriding overlapping detail and the engineer should refer to
importance in controlling in situ behaviour. Such the indicators given in the flow chart, Fig. 37. From
structure includes fabric, texture, lithorelics and relic this, simple summaries of the engineering behaviour
discontinuities. of tropical residual soils can be developed using, in
Duchaufour distinguished three phases forming a addition, the disparate experience which has built up
continuum of residual soil mineral development in over the years in various publications. Figure 38 shows
tropical areas. Table 3, developed from Fookes (1994), such a simplification and Tables 3 and 4 attempt to
summarizes these. They are characterized by increasing summarize this situation. The text box and Appendix 5
weathering of primary minerals, increasing loss of silica elaborate on the figures and tables.
and increasing dominance of new clay minerals formed
from dissolved materials (cf. Fig. 34). Table 4 (also
after Fookes 1994) relates the clay mineralogy to the Plate tectonics revisited
Duchaufour soil phases. The very generalized world Before leaving the skin of the Earth, I want to return
distribution of these phases is shown in Fig. 35. The briefly to plate tectonics. Firstly, to emphasize that it is
stage (approximating to the 'maturity' of the soil) at the continental margins where collisions of plates are
reached by the soil profile at any particular site at any active and in the deep geological past some collisions
one time in its continuous phases of development, is have repeatedly occurred in broadly the same area, and
determined by numerous factors including: the age of built up an accretion zone, where the remains of succes-
the land surface; the climate during this period of soil sive plates have become stuck or 'accreted' onto the
development; the composition of the soil parent continental margin. They have done this, for example,
material, and the topography. on the northwest coast of North America. It follows
-30"N
.....
J 30"N-
-30"S
-60'S 60"S-
~ F'errolfitlc soils ~ Fersioll;t;c soils D Andosoils B Vertlsoils
Fig. 35. Engineering residual soils.
that in the centre of large land masses collisions and ing areas such as the hot arid Gulf or Red Sea coasts,
possibly accretion happened a long time ago or perhaps and are shown in the carbonate shelf facies model,
never happened. Such central land mass situations with Fig. 21.
ancient rocks that have not been active geologically for My second point related to tectonics, is that processes
millions of years are called 'cratons'. Cratonic areas occurring today have gone on in the geological past.
have thus often been exposed to geomorphological Indeed, this is a cornerstone of geological teaching and,
weathering processes for up to millions of years. Such for example, the 'New Red' (Permo-Trias) of some 250
areas have on them ancient residual soil profiles and, million years ago in Britain and the 'Old Red' (the
very commonly, duricrusts, i.e. indurated material Devonian) of some 400 million years ago, were formed
produced by cementation or replacement of bedrock in hot desert environments considered to be somewhat
and older weathering deposits, which generally are similar to those of today.
formed over a long period of geological time. Common Figure 39, modified from Lovell (1977), shows how
examples are the bauxite crust formed by concentrating this could have occured in southern Britain. It is gener-
aluminium and the laterite (or ferricrete) crust formed ally considered that the world's climatic belts have been
by concentrating iron. These duricrusts, although broadly similar to the positions they are in today.
residual soils, are not like those described above and However, what is now Britain, on its plate, has been
are considerably stronger and do not have the same moving northwards with time and the figure shows
characteristics. approximately where it was at approximately what
However, not all duricrusts are made over long geological time. This situation has been happening
periods of geological time in cratonic situations. everywhere in the world since plates were formed and
Calcrete can be made in historic time by precipitation of started to move and, therefore, climates of long past
calcium and magnesium carbonates; gypcrete can be geological times, in addition to the climatic history of
made in engineering time by precipitation of calcium the Quaternary (and perhaps a little before), have influ-
sulphate dihydrate, for example. Both calcrete and enced the rocks, climate can therefore relate to the
gypcrete are forming in young, geologically develop- formation of rock as well as its subsequent near surface
342 P. G . F O O K E S
ml
TRANSVERSE VALLEY MODELS HILLSLOPE MODELS

A No apparent regularity, stream channel on A Dissected saprolite hills show;ng truncated
weathered rock - typical of small rivers, profiles, but few or no outcrops - typical of
plateau situations, highly seasonal flow. high and low olateau areas in humid tronics.
Dissected relief on jointed igneous rocks,

B Soprolite thickens beneath interfluves, with variable weathering profiles, often i m m a t u r e , ~
river channels on fresh rock - typical of occasional boulder outcrops - typical of C : ~ / : ~ . ~ - C ~ . ~ ' ~
perennial r;vers, areas of shallow dissection, ro
under forest cover.
Deep profiles above and below hillslope

retaining shallow weathering profile,
occasional boulder outcrops - t.ypicol of ~ ......... .
of
C Saprolite deep below channel, thins towards
interfluves - typical of semi-arld regions,
toluvium, eolluvium filled valleys, and zones
~ : ~ of rock shattering.
.......t v ~ \:<;' Dissected, old weathering mantle uphill;

D Frequent outcrops without regularity, stream massive outcrops on hillslope; talus,
channels in rack sections - typical of toluvium and colluvium downhill - typical
~_ dissected basement areas, often with
,
Vertlcar
t
Scale t
. ,., ....
Om
0 500m
Horizontal
Sco,e
Colluvium ~ Soprolite,
~ Ferricrete ~ Alluvium residual soll I~':~.,"..".iJ Fresh bedrock
GRANITOID ROCKS: COMPLEX TWO-STOREY LANDSCAPE MODEL
Mature Profile of
Weathering on Granite
v/vi .,,=y
iv/iii
1 .... x . :/":" fer..o., n soar form b.t.oen
:.~ ...... , . .
Roman numerals are weotherlng grades.
Fig. 36. E x a m p l e s o f valley a n d hillslope m o d e l s in tropically w e a t h e r e d terrain.

VISUAL D E S C R I P T I O N / T E S T I N G T E R M S IN ENGINEERING GROUP

USAGE W O R K I N G PARTY
ADOPTED TERMINOLOGY
Colour Grading and Plasticity Index Testing
~Cemented Soil LA TERI TE

(Duricrust) BA UXI TE
~Course Fraction FERRALLITIC
|comprising Quartz ~NON-SENSITIVE ..~ L A T E R I T I C
I o r Weathered Si/Ox<2 SOILS
Index Tests for <
~Coarse Grained ____~ Rock Fragments (FERRISOLS)
sensRivityto test
preparation
RED Soil [/ C o a r s e Fraction procedures
YELLOW lincludes -~NON-SENSITIVE/ ~ TROPICAL RED FERRUGINOUS
PURPLE [Concretionary SENSITIVE SOIL S SOILS
L~Particles
Fine Grained Index Tests for
Soil sensitivity to test -- ~ SENSITIVE Si/Ox>2 ~ HALLOYSITE/ FERSIALLITIC
preparation ALLOPHANE ANDOSOLS
procedures
Fine Grained ") B L A C K C O T T O N .

Soil SOIL
BROWN Index
properties
expansive
Tests for ~ ~/EXPLA?SIVE
GREY FERSIALLITIC
BLACK VERTISOLS
Plastic Fines
9Coarse Grained
Soil
Non-Plastic F~es -~NON-EXPANSIVE -~ T R O P I C A L
BLACK SOIL
Fig. 37. Simplified geotechnical/genetic guide to Weathering Grade VI tropical residual soil classification.
WEATHERING WEATHERING GEOGRAPHICAL VOID RATIO STRENGTH SESQUI- IN SITU

GRADE STATE TERM COMPRESS- OXIDES BEHAVIOUR
(BS 5930,1981) IBILITY MAINLY REFERS TO
it
Ferrallitic Soils (includes a! ~a Soil

/ I
VI crusts) b 1 characteristics
Residual Ferruginous Soils Solum I
/
Soil
V
Fersiallitic Soils
Completely weathered
to immature soil
I
I
I
Saprolite
I
I
I / Soil-like character-
istics. Beware
strong influence of
Highly weathered ' fabric, texture and
IV disintegrated rock relic discontinuities
Moderately weathered Rock-like character-

III partly disintegrated rock istics but beware
Weathered rock corestones.
_
Slightly weathered Rock

rock characteristics
Fresh rock Parent rock
....... a no duricrust
b with duricrust, e.g. laterite, bauxite
boundary gradational and locally sequence may be confused, e.g. presence of weathered corestones with fresher material inside core.
Fig. 38. Conceptual geological and engineering changes occurring in an idealized composite weathering profile.
modification. Many rocks in Britain, especially in weathering which occurred on the surface of Britain
southwest England, parts of the Midlands and Central during the later Tertiary times. Elsewhere much of
Scotland, still show evidence of deep sub tropical this profile has been removed by erosion and the
344 P. G . F O O K E S
.,..~
~ "E "-~ : ~
~o~%
6 .~. ~o~
=-
~ ~.~
~o ,o
o.o
0 0 0
%,,
o
=o z
o
~9
A ~ A
o = b
b
"~ o ~ ~ o
~ ~ ~ o

=~.~.~ ~ ~ . ~ = ~
.--
o -~ ~-~
~-~ .~~ ~ ~ = ~~- ~
.E E
~-~
~.~~ . ~~. ~~.~~ ~~-~
'~
.=
~:
~
-~
o
~ - ~ ~ ~-~
~ . ~
~ ,-0 ~
~ ~
o ~
~4 o~
.A
r
~ ~
~ ~'~
._~ .~
,,.C~
~:~o ~~
,.0
C~
~~
N ~N
r~
~0
c~
~ ' ~
~.~
~.~ ~ ~ ~
o .o o "~ .,.., ~ 0 ~
",--m ,-~ ~-~
.,..~ . ~ .~
~.~~

r~
L~ o
"o
0
-~
346 P. G. FOOKES
Residual Soils (any rock + Db+ Dc+ Dd)*

In situ
Wide range of grading, plasticity, mineralogy, etc. depending primarily on weathering processes and stage of
development of the soil. Grading often depends on unweathered quartz particles present. Recementation of
soils may occur.
In the saprolite part of the residual soil profile, (e.g. mainly weathering grades IV and V), the soil fabric,
texture and presence of relic discontinuities may dominate the in situ behaviour.
'Black' soils, usually formed with poor drainage, have high plasticity. Expansive soils with large volume
changes on wetting and drying.
'Red' soils usually formed with good drainage are very variable, but with pronounced structure due to
weathering process. Engineering properties depend more on structure than on grading, mineralogy, etc.
Usually behave as if bonded with structure yielding at a certain stress level. Strength and compressibility
depend on this yield as much as on density. Difficult to obtain 'undisturbed' samples without destroying
structure. May be cemented. Mineralogy and properties can be changed by drying.
Structure usually gives high in situ permeability. Rapid consolidation during construction.
Porous soils existing in dry conditions may collapse on wetting.
Porous soils with a high degree of saturation may be sensitive, giving low undrained strength on remoulding,
which destroys structure. Most likely in soils from volcanic rocks. Problems with operating plant during
excavation, in forming fills, etc.
Soils may be readily eroded by water, severe gullying during heavy rain.
Relic discontinuities from parent rock (often containing iron and manganese salts) of less mature tropical
soils, give planes of low drained strength. Cause slope instability if of critical extent and angle. Very difficult
to determine during site investigation.
Corestones of unweathered rock within weathered profile cause problems in drilling and piling, can influence
excavation method in open cut.
See also Appendix 5.
Fill
Structure destroyed by excavation and compaction and strength due to structure lost. Strength and
compressibility then depend on density achieved by compaction, which depends on water content of source,
rather than its in situ density. High-porosity, high-water-content residual soils show sensitivity, can give very
low undrained strengths and severe working problems.
Compaction and loss of structure usually gives substantial reduction in permeability. General properties as
fill are similar to those of alluvial clays of similar grading and mineralogy, but mineralogy often differs from
that of sedimentary clays.
*Main rock modifying environments, from the Large Table (Table 2) of the Geological Environmental
Matrix (GEM) described later.
activity in the cold and temperate phases of the In the simplest case the geological model might be
Quaternary. considered complete if it were made after only a day's
desk study, or alternatively a walk-over with or without
inspection of existing maps and air photographs. A
study requiring the full range of possible geological and
geotechnical activities would involve months of work
The geological model for a site
and site and laboratory activity. But regardless of the
detail and amount of work involved, the geological
There are no set rules for the development of the model, and its required companion, the geotechnical
geological model. There is no model model. The model, will most likely never be able to achieve the same
geological model is what you make of it and should be qualitative accuracy as the structural engineering design
specifically built for each site. Most commonly, the because of the inherent complexity and inhomogeneity
model will be geological cross-sections with or without of the ground.
surface geological plans, especially on the smaller sites, The strength of the geological model is in providing
such cross-sections often being interpreted only, and an understanding of the geological processes which
perhaps inadequately, from borehole and other sub- made the site. This enables predictions to be made or
surface investigatory data. Some sites, especially larger situations anticipated for which explorations need to be
areas, might have complex block models. sought in the geological materials, geological structure
-o~ c_ ~ cO ~-o
'-~ ~ ~ ~ ~ ~ ~ d3 6"- ~ 4~ -
c4. d~l o~ "O ul ~q ~O'~C - 4-
~ ,.,"R P ., ;--7 .c.~ ~ ~xl ~ ~,~ ~ d.g ~~c .~ .,. -T-~---,

,~+ "~ ~-Z, .~.,~2 ,~,~ ~ "a~ .c~, 2~' ~fi~ 5~ ,~' ~. ,4-~
~ o~ -0 ,~ ~ , *E'c ,.~_~ ~, ~ ~_ ~ ~.-~. ,,_~ ~, ~_ o-~
0... o ..i.. :~ ~ a, tv >,0 ~ "- ten._- ,4 vu
@ 1 ' ' , ~ e e.- .8>..-u>..~
L+ d ~ ,~, ,- \ ' ~ , w w 3--~ 0 o e>c--
~.\ ~,~",L I ~ I , , , , . ~ ~ _
d v .. %~",L - ~ ', ' ~ " n ~
= ~o.. ~
~ \ .-,. "" ~.~,,.'~
~ III I I
/ q,,,9"-
!". ",
~,A,~.~,:
-~= '~=~ .-'~" i
~_~_
-~ c .o.,~
p~
- ~ "-~
v u~O .o_. "%~. ~ /, ~1~ z c--'*'z,~.: Ocd 0 .~ =

' U N 3~d c t d ::1 -~.4..~ .--
.~ a "~ " ~. ,, t, \ ~ / I ~i " : - : ': . . o "~'~~ ~ ~~ o
r'. "- t" ~J I ~ LY.,': >,:a
.-.co ~Z " E ,~, "
i ,. o l \
o o o i i o "% (~
0-, 0 Z ,-, "~ O,n is
i z. " ~ P n - I " !'I- " ] I")

I
u "
I. .
14)" '
I .
C
-0 >, 0 Z 7
o ~' ~ ~ <
~ ~ ~ ~ R ~ ,,, ~ ~ ~ _~ x< d <

~ e ~ u h F-- ~. u< o (a o u u~
_
a~cld n i J~-I
348 P. G. FOOKES
and the ancient and active geological processes in the The model in site investigation
area. It provides a rational basis for interpretation of the
geology from understanding and correlation of observed My view, after many years of thinking about and
geological features and exposures. Also it can provide an producing models, is that an experienced, competent
indication of the potential variation in the properties of engineering geologist, whose first degree is in geology,
the soil or rock mass and hence possible errors in should be able to make a model from desk study (but
calculations or assumptions, especially those assuming only in an area well served with maps and geological
homogeneity. literature), which would anticipate more than, say, 50%
The geological model grows by being built upon at of the likely geological conditions or, perhaps put more
each stage of a site evaluation. There is an abundance usefully, identify at least 50% of the potential geological
of schemes and diagrams in the literature outlining problems. If a walkover survey is added to the desk
stages of investigation. For the purposes of this lecture, study, then more than, say, 65% of the problems should
I have modified those by Fookes (1967) and Weltman be identifiable. I outline a means of doing this in the
& Head (1983), shown here as Fig. 40. The essence of following section. Figure 10 illustrates this.
this is the progressive accumulation of geotechnical It is also my contention that when the main ground
knowledge of the site by fairly well defined stages, investigation is complete, i.e. use of boreholes, trenches,
commonly starting with the desk study and a site pits, geophysics and whatever other methods are deemed
reconnaissance survey, preliminary ground investi- appropriate, then a minimum of, say, 95% of the geology
gation (not always carried out) and the main ground should be known, i.e. if it is correct to say knowledge of
investigation with review and ongoing work during the geology equates with identification of the potential
construction. This has been the common pattern in problems, then 95% of potential problems should be
British practice at least since the late 1960s (e.g. capable of being identified.
Fookes 1967). It starts with clearly defined engineering The percentages I have used here are judgemental,
objectives developed from the client's requirements. based on experience. I also used a multiple informal
The objectives indicate questions to be answered, i.e. expert opinion (e.g. Fig. 12) group assessment of them.
goals of the geological model for each stage. This This resulted in agreement with the percentages given
should lead to clear geological and engineering targets here. Figure 41(a) to (e), as an example, depict a
and a cost effective programme. geological model of an igneous and sedimentary terrain,
It serves well, provided that there is continuous feed- showing conceptually the increases in information in
back throughout each of the stages. It serves best of each stage of its building. A block model has been used
all when there is a balanced team of geological and to do this, so that the geology can be quickly visualized,
engineering disciplines (cf. Figs 3 to 5), no pressure to and it has been annotated with notes illustrating various
minimize the costs (I know this is too optimistic!) and site investigation studies.
a brief to evaluate the site in as detailed and compre-
hensive manner as required to get it right. The work The preliminary investigation: desk study, initial walkover
should not be considered complete, even if all the and preliminary ground investigation
initial questions have been answered, until the model The geological model plays its part at the desk study
has been reviewed for possible geological errors, and stage where its value is high. At this stage objectives
for geological circumstances unforeseen at the start. If must be outlined and questions identified: activities must
the legal, commercial or technical situation requires be designed with these in mind. The geotechnical team
or indicates it, a subjective probability assessment assembled must be capable of defining the objectives,
may need to be made to assess any remaining uncer- asking the questions and determining the activities. In
tainties. This will reflect the personal opinion and the following stages they must be capable of delivering
judgement, based on all the information available, of the answers.
individuals or groups. Various techniques have been The geologist should be able to picture a greenfield
developed to conduct subjective probability assess- site along the lines indicated in Fig. 41(a), especially
ments to minimize assessment problems and provide after a walkover survey at a location where national
a level of 'defensibility' which I discussed earlier geological and topographic maps exist. For sites in areas
(Fig. 12). with plenty of subsurface ground investigation data
I am discussing here the development of the model already in existence it should be possible to picture the
and hence the role of the geologist in a site investigation geology at least to a preliminary ground investigation
context. This is not to ignore the role of the engineering stage.
geologist in construction (which is where I probably Sources of information drawn upon for the desk study
spend most of my time) which for some time now has are listed in many publications, of which I cite BS5930
been a growing work area for engineering geologists. (1981) as a typical example; Dumbleton & West (1971),
For modern developments, see for example Eddleston updated recently by Perry & West (1996) as TRL Report
et al. (1995a). 192, give details. It is not my intention to elaborate on
CLIENT/CONSULTANT Legend
LIAISON
. . . . .]
ASSESSMENT/APPRAISAL
k._____
]
J
+ ~- decision
T PRELIMINARY .... i i . . . . options
I _ __ _ _ . ~ _ __ __ REPORT
PRELIMINARY DISCUSSIONS WITH

SELECTED SITE INVESTIGATION CONTRACTORS
I ] [ 1
REQUEST FOR LIST OF RATES FOR ] ~' r- TENDER FOR GROUND [
I
GROUND INVESTIGATION INVESTIGATION
t
(Small or straightforward sites) I"-
(Large or complex investigations) [
t ..1 L_
PRELIMINARY
INVESTIGATIONS
MAIN GROUND I SUBCONTRACTE D ]

INTERMEDIATE INVESTIGATION I SPECIAL ACTIVITIES I
PROGRESS ~-- - ~ (e.g. Geophysics,
REPORT "~ t instrumentation, recent I
LABORATORY TESTING t._ developments) I
+I
L.._ I
LIAISON
ENGINEERING FACTUAL
DESIGN REPORT REPORT
-.. . . . . . ]
REDESIGN/ FINAL
-- - - t S U P P L E M E N T A R Y / ~ - - -- -- REPORT
t.... ADDITIONAL I
ISSUE OF TENDER DOCUMENTS FOR

CONSTRUCTION with factual report
+
r ]
FURTHER ~[ -- -- -- REVIEW DURING ~"J FURTHER SITE I
TESTING CONSTRUCTION ---t ~ws+IA~I~ I
I I------
L._ . . . . . . I I.._ 1
U .....
I MNIT~G r t - - -
I PE~RM~NCE ~
l ~" 1 COMPLETE
DEVELOPMENT
1 .I
Fig. 40. Outline o f the site investigation. F o r detail o f the P r e l i m i n a r y Investigations, see Fig. 42 and o f the M a i n G r o u n d
Investigation, see Fig. 43.
350 P.G. FOOKES
(a) fopoflr~hi'c m&p ~ho~os rack
"/'o ~ 4or~s ~ i 4 h [ ~ r ~ leas@., bloc.k.~

on "file..~."J'n+l hillsi~l~_ I=.~1,~o~,
~rof~o~r~4~h,'c m ~ p ~ h o ~ s ro~-K
m= R ~rh~-. o~.'('-cCops .F,~rm o,. ,.Jeo,.ro.,JI.d.
rc~n~'t~
/ o, l r p h o o ~ in,4fc-o.fe-
p s s l b l rc~cJ<:o u t c r o p 3
~ ' ~ I ~,'~d
irldic~- bo.so,.l'F lo.v~ ~1o~
/~kich posf-~l<:~+s ~r=n;i
X i n f r U sl'on
/ /
6it I i've-d o> ~l,.~ ~.. ' "x. - , /I

~L o be~ ~r po~i~ign o F .
~,. .so.n ,.4.~/-o n = b e ~
:"l C~nicure~ ~rorn
;< Cme.m:ir)
ro,=e o.aio~_eae +,=,~-h=. n t r~ ? ~io

3 r ~ its- i~rusion
is hl<lly fo b
,to b~" /T"
.,~../ (~IIVE~ AN INJ~ICA'I"ION OF THE

o ~#-c'-~op' l a i r in 7 ~'ccd-I li. / .
Sc('I.P_ <{~.v~-lopm~PJ~k o n H ~ St~'{~ ~ ~""i--k / ~ J FIELD RF--LAI"ION-~HII>5 ANii THE.
,. HY Dt~(~LO~ lea L RF-GIME
Lal~i-.S~.~l,, ~po<j~o4,I-u'~_ o..n~l
~o~e-~h~.r ~ ; + h |oc41 R i o l o g i - ~ l l
r n e m o l r l puJ~li she.~ ~=x~p~..~ o~r~
Deolo<gic~-t romp ~j~c~ m t m o i in~[,'c~ ~;flteply S'tw.ro pc~tr~ ~,~r a i r p h ~ ( - o s
dippincj s h o . l c s " ~-JiH~ m i n o r -~o.n~;~on~ b~*-Is
(b) S'lT'On~ p i f l k o.nd ..qr(y : ~ ~]r~,'na~l G R A N I T E ,

opl-~ ,~ol,afs (..-I,'_s,<:on't;n~i.ry .x
to=Ks ,=b~e_,J~a I::,y~ro.n{'P~- s-Pon~ runs

~nd hummocky t ~ o i l ) 6 ~ f o_t_.o~{orlo.[
, , " o
.'& ~ 0 ,'. e GtUARI"7.JT6-i~fe.~l in sf~-~m
]~ASALT~ ~.l-h c l o s e l y
~c~_,=l J~uJ~v'eJ'f(~l ope.n
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~u<lrJr~_~l"= :so.mds'~on.P-.( ' ~ . S )
p I u.'l-on e'i '~,~ "~/
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~ r : n i i ~ ~.-s~ume.z:l"fro ! ~ % . :.7 > ' ~'~'~ ..,:..': '
~ $ i rlU~- be_I ot,~

~_~round l l v l l ~q' ..,.~ .~.,.;~ ! ~
pel~+,'vt3y c l o s e l y i o l n t c d
Trorn +h~ ou~f~r~p~ i~i ~ ~,~
I ~ \ !: ~ " ' 'Y
.../..-.;..~.
RELA'I-IVEI-"/ .SIMPLE E.I%I~IPJEERII~J~,
(~EOLi~ItlC.~L UI~JI'T~ .SUG~Ir-'JET~.]:> BY
vP_ry ~s+ronq m~d,'u~ ~ - y 3 A S # , L T c~r E~ISTII~IG R,.OC.K OiJTCROpS Ai~l~ o-rl-tp_~
ANDESITE_~ ~Ji+h clostly s p ~ z ~
-~u.t~vlrqr--0LI joi'rrl-~ I'n~;ilP_d c~;tJ~
ch [orl~P_ ( ~ i,c_or~'nuify ori~r.d'o:h'or~ The, u J o . f K o w ; r s u r v e y ~o,.s caur'r;e~ o u . t
.~+er tr~ d e ~ K ~4-udy in~or-'~-'h'on h ~ d
Fl~+lonstxil~s kin~l~_~r : possi_61y
o~tcr~= fol(o~__d Bs 59~o0q1)
OL s i l l or ~yK~-)
~ " a m ~ n y pla+e-~'~ over~,e,2s)

oJc~-~gr~od1"ons h i n ~ t e m z d 6y c ~ s ~ ~n~mr~rcx~fh H-,~ 6,:+.s+. m o . p . f ~ r i ' K e t..,~.t~ov~"
"~i=,~rm.pl,..'c. ~ p or ~ mop
G E O L O G Y FOR E N G I N E E R S 351
(c)
5e-ophys~=cd
~ r ~ e t e x l e-hH I~_=l r ~ a ~ n
t"o ~ n H r ~ , ;n~h'e.~.~e.~ /
o.ppro~+ma,'t-'e- bound~.r'y o~
p,~+,+.r,c,~ o+~ ~.<.-~,~1 . ,4:{.;:: !75;I" volume_ oi~ 5roun=L ~Jh~ ~iil
con+f'o.l.n lhe ~-oun~t~/n'or~s
~- pr=p~e.+l c:lo.m o+~:t h y d r o -
=,o..~o.it/=,~+.+~*~ p r o v ~ I +_~.__/ (<~st+n a.tlo~.~ +.P,o r + tn~'t'~h'e,5
~ = ~ p y ~n ;n~Jine.d d~yKe
pr.~.s~r+c<t o~" ~uri+-~ v~.lt~y re.ve~.te+<:l ,~'me.p +soi I ~ d THAH PR.EVI<~LY "THou6HT
p.to.nn~.ml u,~;n?t "~he P4~uI'P" o~
(d)
;'>,: 5;; ' "

+ ,
.. .
%..: .... ++
" .~++. i+...... o , . +
6o r,~h,ol~- ....
rni~r~.nite-
9,e,-<,+,~t
. . If/dyKmpf m, ~~ r ~
/,
~ppPoimo.te b~uncto.ry
o~'v'o+~rn oF~ r'o,+",~
~hlch +,~itl ~n+Pmint"h~.
COt~I~IRM-S CoMPI.~.X ~ E O L O ~ Y -
.~A'TA O ~ T A I N E ~ c~N "r'H6 pRoPEI~TII=S
o F TI4~ V A I t l O U S EIJC~I~I~E~I~IG
imF~rfo.nt- c~re~.~ ~h.,r~ f l

qrd,+,n~ c.of~:h'o~s e.re n ~ re.~ine ~-i~e ~L~pIn~/~c~t an~rpre~l~ion.
Thin .s~c'h+on,~ ~ ~o~riou~ noci t y l ~ s
-For-a+..s+,.Sn oF p o ~ r ho~ hm:~v~ b~en ~+o.n"dne.~ in orml+-r~h=
.(~cih.+l-~t,e =~-.,.lo.-h'or~ ~.n,=l-I~ ~'a=nHF~
n n y ~1"e.n'h'Q.Ity +le.lmbe.r;+o$ m+nmr~+
352 P . G . FOOKES
(e)
cons~-~c~'on m~ ~l~m ~ n d
r~a~_rvolr ~n p r ~ o ~ r l s s
, ~ . "
~Jind ~c~rm
'~. . . ::4~--:~-~,.~
,-lel~k o~' r'e~i,4ca~l ~oiI

inve re'l-(~o.l-e.,dP~Jr~h~r
pres~r~c~ ~F srn~c+~'~ in
I~,bo~t-ory inv~'~blS~4-(on~
-~ull ~e.J:~-h c~" bur~o_-',l v'o.ilcy " \ ~cI! I / A~IDrrION'AI-- INFOI~,MATIoN I~F..V'~J~/r--D
PARTICJLARLy I M P O R T A N T A R E A
d~-~ilo~t'n.5 ~ r o u n -J =(~-~kr~n.c~ au~dL~(nc~
Fig. 41 (a) Progressive increase in information during the course of a site investigation Desk Study (superimposed on the
geology shown in Fig. 19). (b) Progressive increase in information during the course of a site investigation--Walkover Survey
(superimposed on the geology shown in Fig. 19). (c) Progressive increase in information during the course of a site
investigation--Geophysical Survey (superimposed on the geology shown in Fig. 19). (d) Progressive increase in information
during the course of a site investigation--Main Ground Investigation (superimposed on the geology shown in Fig. 19). (e)
Progressive increase in information during the course of a site investigation--Additional (supplementary) Ground Investigation
(superimposed on the geology shown in Fig. 19).
techniques of site investigation in this lecture, only to use evaluation considered. Sketch geology mapping may be
site investigation as a vehicle to illustrate the use of the required in the early phases of investigation. In the main
model. However, Fig. 42 is a detailed chart to indicate ground investigation a detailed engineering geology
potential activities at this stage of investigation and to map, i.e. one that includes geology and geomorphology,
act as a check list in the design of the investigation. described in geotechnical terms, may need to be specially
Fig. 41(b) indicates how the geological model might made.
develop after the walkover survey, and Fig. 41(c) after a It is probably reasonable to say that there are few
geophysical survey. It should be noted that not all experienced British practitioners of systems for terrain
investigations are appropriate for or need all types evaluation and therefore a little digression here would be
of geological surveys or have a preliminary ground appropriate. Terrain evaluation is aimed at understand-
investigation for that matter. ing the natural features of the landscape in which the
Study of even the smallest site should start with an landscape is divided into distinct homogeneous units.
examination of maps--topographic, geological, soils Recognition of units at whatever scale being considered
and so on. This is the essential technical introduction to implies that there is a genetic relationship between
the site for the geologist and the engineer. landforms and the processes and materials in their
Britain is very well served by existing geological maps development. These were mainly the surface processes of
and the value of their input for the geological model is the Pleistocene and may be different from those active
high and even higher when supplemented by aerial today.
photography and other forms of remote sensing (e.g. Aitchison & Grant (1967), described in detail by
Anon 1982; Doornkamp et al. 1979; Fookes & Dale Grant (1968), developed the P.U.C.E. terrain classifi-
1992). In overseas locations, where there could be cation scheme for engineering purposes in Australia, the
limited or no geological map coverage, maps may basis of which is that any area of land can be uniquely
have to be specially made (this also could apply in defined in terms of its topography. Work on terrain
some circumstances in Britain, especially where detailed evaluation has been carried out by Britain, for example
mapping is required) and the techniques of terrain the Oxford-Mexi (Military Engineering Experimental
Establishment) System of Classification adopted by the compare with Figs 41(d) and 41(e) and the stages of
TRRL for location of highways in humid tropics (see investigation illustrated in Table 5). Details of the activi-
Lawrence 1972, 1978). It was originally developed for ties at this stage of investigation are given in Fig. 43. It
the savanna lands of Africa where the ground surface is is essential that a comprehensive understanding of the
visible from the air and consequently terrain evaluation geology and geomorphological processes occurring is
is relatively easy. attained. Geological mapping is usually a key compo-
Suffice to say that terrain evaluation has a place in nent of this. Objectives and questions identified in the
feasibility studies and probably in preliminary investi- earlier stages should be achieved and answered.
gations, depending on the location and circumstances. It could be argued that the observational method
However, its value here for us is that the concepts (Peck 1969 and, for example, the papers in the 9th
embodied in its approach are those that the geologist or Geotechnical Symposium in print (Gdotechnique No. 4,
geomorphologist would normally use in mapping or Anon 1994)) is operated to allow for geological un-
even driving or walking around any area. I can do knowns and unknown unknowns as well as to allow for
no better for the interested geotechnician or engineer- shortfalls in ability to analyse the geotechnical situation
ing geologist in this area and that of all engineering for that site. I do not believe that this method should be
geology types of mapping, than to recommend reading used as a reason for not evaluating any site as well as can
Professor W. R. Dearman's (1991) book on Engineering be done by good geological acumen, unless the client
Geological Mapping, which contains a treasure trove of insists (he may have cash flow problems or shortage of
information and data sources, synthesized over many time) and that he understands the risk.
years of study. Full geological understanding allied to planning and
The model at the preliminary stage is the basis on which layout of ground investigations today may still receive
the main ground investigation is planned most cost scant attention. The Proceedings of the recent Inter-
effectively. The footprint of the engineering structure national Conference in London on Advances in Site
should be broadly known at this stage and there should Investigation Practice (Craig 1996) has a section on
be sufficient freedom in most situations for this planning but very little on the development of the
to be moved to suit the most favourable geology. geological model, although the paper by Waller &
Knowledge of the structure to be built will also play a Phipps (1996) is a notable exception to this. However, it
part in the determination of the site investigation pro- is only one paper out of 61 in Craig (1996) and there are
cedures and techniques. Table 5 illustrates the way in several good papers on the newly developing techniques
which the requirements of each phase and the increased of computerized systems in site investigation. Although
knowledge during each phase may affect the overall too many of the papers in the Conference tend to be
success of the project. somewhat repetitive of those published over the last two
I think it a matter of regret that this situation does not or three decades, there is, nevertheless, a feeling that the
always develop satisfactorily and ground investigations industry is moving forward and for engineering geology
are often planned with a routine lay-out of boreholes, I congratulate Norbury & Gosling (1996) on their
perhaps on a grid, or with little notice of the surface practical and thoughtful review of rock and soil descrip-
geology or the realization that the location of subsurface tion, a skill that engineering geologists have been devel-
techniques can be such as to maximize the return of oping, as part of the model, for some decades now.
geological information. I go as far as saying that I
believe that engineering geology mapping, even sketch
mapping (e.g. Fookes 1969; Anon 1972; Dearman & S o m e case histories of the model in
Fookes 1974), is particularly underused in British prac- practice
tice and that the geological report at desk study stage
can often be seen to have a routine section on descriptive I do not want to give the impression that the model is
geology which has little relationship to the subse- solely about the physical ground conditions of a site. A
quent site investigations or the engineering project being model equates with the understanding of the geology
designed. If this state of affairs is present at the desk and geomorphology which should lead not only to
study stage, then it is also very likely to continue trouble-free design, but to trouble-free construction and
through to the preliminary investigation and main performance of the project. I repeat, development of the
investigation stages. I return to this subject later. model is a continuous process throughout the history of
the project and this is particularly true for landslips.
The main ground investigation I have therefore chosen case histories with a landslip
The function of the model during the main investigation theme from my experiences (see also Fig. 11).
should be to ensure that there is as complete as possible
understanding of the geological situation and that there Tqff Vale, South Wales, UK
are no surprises left to be discovered in the late stages of In one of the South Wales glaciated valleys on the Taft
design or construction (e.g. see Figs 9, 10 and 11 and Vale Trunk Road in the late 1960s, a major landslip, the
354 P.G. FOOKES
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356 P. G . F O O K E S
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358 P. G. FOOKES
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360 P.G. FOOKES
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i .~ ~. Ov_.,~l
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362 P. G. F O O K E S
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Taran Slip, was identified in an early phase of the site On the Mangla project, it was the discovery of the shear
investigation. It is of a size roughly approximating to zones and the sequence I have just given, (a) to (g), is
100 hectares and a crude model was developed for its rationalized with hindsight . . . . '
mechanism. This slip was investigated during the main I see no reason to change my words today, except
ground investigation and continued to be investigated perhaps to add, with tongue in cheek, that I now know
during the design which followed, and again during the that the project was built over the subduction zone of
construction in the 1980s, with help from Professor J. the collision of the Indian microplate sliding under the
Hutchinson (Hinch & Fookes 1989a,b). Eurasian plate (so producing the Himalayas), in the
Early forms of glaciated valley models were specially sedimentary rocks approximating to flisch, with intra-
developed for this project (Fookes et al. 1972, 1975b) formational shears--which now would be predicted by a
based in part on the work described in Fookes et al. modern geological model.
(1975a) which I believe introduced the concept of mod-
elling glacial terrain for engineers for the first time (cf. Dharan to Dhankuta Highway, Nepal
Figs 29 and 31). Many subsequent papers and authori- A third example is that from a low-cost mountain
tative books (e.g. Eyles 1983) have taken forward road constructed from 1976 to 1982, from Dharan, a
the modelling of glacial (and periglacial) terrain for market town on the Nepalese Terai, at the start of the
engineering purposes, in a series of tremendous strides. Himalayan foothills, to Dhankuta, a regional capital in
This approach is now very powerful in illuminating an the high foothills to the north. The Himalayas evolved
otherwise dark and difficult area for interpreting site relatively recently through the collision of the small
investigation data successfully. Indian and large Eurasian plates. The sediment filled
This project was also the first, I believe, to use modern subduction zone between them was squeezed with the
field techniques of specific geomorphological mapping ancient local rocks and both were thrust into a series of
and geomorphological modelling for site investigation great folds and slices. The road crosses the resulting
(e.g. Brunsden et al. 1975a,b) making 1975 a vintage extremely rugged terrain with the aid of many slope
year for the model approach. retaining structures and was innovative in its design and
construction techniques for the time. It was funded by
Britain's ODA. The design and construction of this road
Mangla Dam, West Pakistan
have been the subject of several papers including
A second example is that while working on the Mangla
Brunsden et al. (1981) on geomorphological aspects and
Dam project, I noted that it took approximately two
Fookes et al. (1985b) on geology and engineering.
years' work for the following sequence to evolve, follow-
Numerous (in excess of one hundred) pre-existing
ing the discovery of shear zones (intra formational
landslips of various sizes were discovered during the
shears) in the silty clay bedrock during the early part of
construction: course of the construction of the road where a form of
the observational method was being used for design.
(a) initial discovery by field observation; Figure 44 shows, for more general application, an up-
(b) establishment of field relationships and field evalu- dated version of the original geological model con-
ation; structed of the area. It shows a route corridor which
(c) sampling and laboratory testing; achieves vertical distance in a series of carefully selected,
(d) engineering appreciation; relatively stable, steep slopes on which more finance was
(e) renewed field and laboratory work for more geo- expended on the engineering, especially drainage con-
technical information; trol; and horizontal distance on the relatively flat slopes
(f) full engineering appreciation; developed in geological time between periods of uplift.
(g) redesign. The original model was developed during the investi-
gation and construction phases of the project. It pic-
I wrote the following in the Discussion to Binnie et al. tured a more or less ordered assemblage of landforms,
(1968): particularly the occurrence of older features on the
'From all points of view, site investigation must produce upper valley sides and steep lower valley sides affected
enough information for design work to be able to proceed by instability and sediment filled valley floors kept active
and there should be reasonable certainty that any subse- by periods of vigorous downcutting (Fookes et al.
quent inJormation will not unduly change the design or 1985b). Uplift of the mountains continues with a range
interfere with construction. It is on this point that the of around 1 to 5 mm a year.
engineering geologist, as part of the team, must give his The road was seriously damaged by the Nepal earth-
most mature opinion. He requires experience and an quake (an active plate collision zone, e.g. Fig. 16) of 21
appreciation of engineering considerations to do this well. August 1988 (the surface wave magnitude has been
The time at which critical information becomes available assessed as MR 6.6), and subsequently by a locally
has a tremendous influence on the costs above those intense monsoon storm in the same year, on 12th
estimated. "What is critical information?" is the problem. September. The earthquake's effects on slopes varied
364 P. G. FOOKES
significantly according to rock type. The worst affected was to identify possible further geotechnical hazards and
were the steep rock slopes and cliffs of brittle fractured the conditions which gave rise to them, so that rational
quartzite along a ridge crest. The weathered sandstone/ planning and adequate warning could be provided. A
siltstones and metasandstones/phillites did not experi- conventional analysis of the Vancouver landslide was
ence the same intensity of slope failure. However, difficult because of its size and problems of interpreting
detailed field inspections revealed extensive cracking fracture conditions at the time. Nevertheless, a back
of natural slopes above and below the road line. Along analysis was carried out (Read & Maconochie 1992).
the southern half of the road, many major retaining Using this as a model for predicting future (or investi-
structures suffered severe earthquake damage, includ- gating past) landslides was also difficult because of the
ing thirty long and high masonry and gabion struc- detailed, even general, differences between each of
tures which showed significant distress. The monsoon the numerous slopes in the area. A more conceptual
storm primarily affected the Leoti Valley area, causing approach was therefore attempted.
extensive rock and soil and mixed debris slides with A geological and geomorphological model of the area,
fourteen complete road blockages. Bridges and river including its many old landslips, was built up over many
walls and overtopping of tributary river bridges caused months, as folios of plans and sections and computer
further damage and there is evidence to suggest a stored information. These continue to be updated. At
temporary damming of the Leoti Chola by reactivation the time of the landslide, no comprehensive geological
of an existing major slip subsequently breached by the model for geotechnical purposes was in place.
rising river water causing a flood surge (Boyce 1995). In the following, to be brief I have been selective
The story will no doubt continue. of the various extensive collection of information on
the geomorphological work. The key to broadly under-
Ok Tedi Mine, Papua New Guinea standing the geomorphological landforms and pro-
The last case history, illustrating work which influenced cesses in the mining area was by the preparation of
my views on model development, concerns the Ok Tedi structural geology and geomorphological maps from
copper/gold mine situated in particularly rugged terrain aerial photographic interpretation and substantial
in the remote Star Mountains of Papua New Guinea. ground checking of the few accessible critical areas
The start of the mining was at an elevation of over 2000 (mainly by helicopter).
metres, with the mill located on another mountain at Geomorphology maps can be made from various
over 1600 metres, and the town site a further twenty viewpoints, depending on the anticipated problems
miles away at 520 metres. The area has an exceptionally for which the maps were made. The regional geomor-
high rainfall, around 10 000 mm per year, and dense, phological mapping of the mine area aimed to:
tropical equatorial rainforest blankets the region.
characterize landforms by their origin
The major local rocks are usually shallowly dipping
characterize landforms by currently acting geomor-
Mesozoic and Cenozoic continental marine sediments,
phological processes--this provided a guide to rates
mainly calcareous mudstones, siltstones, glauconitic
of landform development and, thus, to the frequency
sandstones and limestones. They have been forcibly
of geomorphological hazards
intruded by stocks of middle Miocene to Pleistocene(?)
identify areas of geomorphological hazard and in
age and in places are overlain by an accumulation of
particular, because of the potential impact of these
volcanoclastic sediments representing detritus from a
geomorphological events, slope failures
rapidly eroding strata volcano of late Miocene to
provide a basis for the interpretation of geomorpho-
Pleistocene age. All are overlain by alluvial flood plain
logical hazards
deposits, recent colluvial and taluvial aprons and chaotic
landslide material, with raised river terraces closer to the
growing mountains. Large scale thrusting is the domi- The total area geomorphologically mapped on 1:10 000
nant structural feature and large blocks of ancient regional scale for the study was about 120 square km
limestones have been overthrust and moved, usually and took about two man-months.
southwards (Jones & Maconochie 1991). Suffice to The geomorphology of the mine area is dominated by
say, it is all part of the young collision zone of the ridge and ravine topography; structurally controlled
Australasian and Pacific plates currently active and landforms (i.e. controlled by the underlying geology
rising (e.g. Figs 16 and 17), structure), and landslides (including mudslides and rock
An unpredicted rock avalanche (the 'Vancouver avalanches).
Landslide') of some 61 million cubic metres (about 160 The youth of the local terrain can be contrasted with
million tonnes) occurred immediately adjacent to the other areas of the Papua New Guinea highland where,
open pit, in August 1989, taking with it a large part of for example, in the Placer Pacific Mine at Porgera in the
the waste dump. This was the catalyst for a multi- Central Highlands, many depositional features older
disciplinary study of the regional setting of the project than 40 000 BP are found. In the Ok Tedi area all of the
on which I consulted. The principal purpose of the study extensive river terraces appear to have been formed in
Table 6. Papua New Guinea case history." summary of rock avalanches in the Ok Tedi catchment
identified in the regional geomorphological study
Avalanche Age Volume Lithology Impact

(106 m 3)
Ok Atem <10 000 BP 200 Limestone Ok Atem is an avalanche basin

Daknum > 1000 BP >50 Pnyang Fm No resulting deposit identified
< 10 000 BP
Hindenburg 8800 BP 7000 Limestone 360 m thick in Ok Tedi. Diverted Ok
Gilor and Ok Ningi.
Gundagai < 1000 BP 115 Limestone Diverted Ok Gilor and Sulphide Ck.
Ieru Fm?
Townsville 2500 BP 90 Intrusives? 20 m+ at Ok Gilor
Ok Kam 1977 AD 20 Limestone Aggraded Ok Tedi 2 m to 3 m
Vancouver 1989 AD 61 Limestone Aggraded Ok Tedi
Ieru Fm
Pnyang Fm
the last l0 000 years and no older terraces than 8800 BP include rock falls from the vertical face; mud slides on
have been found even though older colluvial deposits the mudrocks; translational slides, essentially planar
(15 000 BP) occur. This could imply that any earlier movements on failure planes inclined at angles of
major fluvial deposits have been removed from the 45 degrees or less; rotational slides where cohesion of
catchment by subsequent events. the mass generally has been retained, and various
Some of the interpretations of the landscape, stem- undifferentiated landslides.
ming from the development of the model in a brand It is considered that on average a natural landslide,
new, active and growing part of the earth's skin which equal in magnitude to the Vancouver rock avalanche,
had virtually no scientific geotechnical precedent, led to can be anticipated in the large landslide study area
observations and predictions, albeit crude, on future every 30 years.
landslide events. Over the short timescale is was assumed The direct effect of a large natural landslide in the Ok
that the climate (i.e. mainly the heavy rainfall) was Tedi catchment on the mining operation may not be
reasonably uniform in its influence on landslide events. severe, but the indirect effects of a landslide dam
In summary, it was found that and/or river aggradation downstream of the landslide
could be significant.
The ridge and ravine landforms are predominantly the
product of fluvial erosion and are expected to be The relationship established between frequency and
generally in equilibrium. This equilibrium is likely to magnitude of landslides indicated that there were no
be disturbed by mine construction activity and/or simple answers. Table 7 gives estimates of the average
fluvial erosion. volume, area extent and geomorphological conse-
Structural control, especially expressed by geological quences that can be expected in a 30, 100 and 1000 year
dip slopes, also results in landforms susceptible to period based on the 100-year landslide record. The
disturbance by construction activity or toe erosion. probability of the occurrence assumes a normal distri-
Past landslides have influenced the geomorphological bution ( P = I - [ 1 - 1/R] N where R is the recurrence
evolution of the Ok Tedi mine area, particularly interval and N is the number of events). While this
through the emplacement of colluvial deposits result- assumption is clearly very wide, errors are only likely to
ing from rock avalanches. By far the most significant be significant near the tails of the distribution such as in
event in producing the landforms in the eastern part the estimated magnitude of the 1 in 1000 year event.
of the area was the huge Hindenburg Rock Avalanche The estimates given in the table can be compared with
of 8800 years ago, with an estimated volume of 7 km 3. the record of recent landslides. From the estimated ages
A number of mudslides were identified which could be of the landslides in the last twenty years, with volumes
reactivated by natural or man-made trimming of the ranging from 20 to 70 x 106 m 3, it can be seen that in an
toes of slopes or changes in drainage conditions. average 30-year interval in the portion of the Ok Tedi
78 large landslides were mapped in an enlarged area catchment under consideration, one landslide, of the
(600 km 2) of the Ok Tedi catchment, of which at least magnitude of the original Vancouver landslide, could
nine appear to have been active in the last twenty occur.
years. Table 6 gives a summary of the large rock Without the air photo interpretation and other remote
avalanches in the catchment. Other large landslides sensing aids, the fieldwork could not have been carried
366 P. G. FOOKES
Table 7. Papua New Guinea case history: magnitude of future landslides estimated from the 100
year landslide record
Recurrence interval (years) 30 100 1000

Probability of occurrence in a 30 year period 0.64 0.26 0.03
Volume ( x 10 6 m 3) 70 120 >200 ?
Area (kin2) 3.2 4.5 >5 ?
Geomorphological consequences nos. 1 5 1 7 1-8 ?
Geomorphological consequences of large landslides:

No.
1. Cliff or slope retreat; aggradation of lower hillslopes
2. Movement/erosion/removal of older colluvium
3. Stream bed aggradation and/or stream bed incision
4. Stream bank trimming and landslide initiation
5. Channel migration
6. Creation of landslide dams; blockage of rivers
7. Truncation of streams and/or ridges; drainage derangement
8. Landslide modified/altered catchment boundaries; beheaded streams
out with anything like the speed and efficiency that it continue throughout the life of the project, as well as
was. Even so, there were some severe limitations because during and post construction.
of the thick jungle, allowing misinterpretations to occur Models will on occasion suffer from wrong interpret-
(e.g. Fookes et al. 1991). For more detail on the ation and misinformation. In the following section
geomorphology of the area, which for the above was on the geological environment matrix, I attempt to
largely carried out by Professor R. Blong of Macquarie discuss the means by which this possibility can be
University, Sydney, see Hearn (1992, 1994). minimized.
Personal limitations, for example, in experience or
training, and limitations of those on whom we rely
Conclusions f r o m the case histories
should be recognized as they limit our ability to
The four case history summaries represent only a very
predict.
small proportion of my experience over nearly forty
For big projects, the model should be built by a team
years comprising over a decade in which I was a
of carefully selected general practitioners and special-
laboratory assistant, a company engineering geologist,
ists, appropriately qualified and experienced in the
then an academic and currently, for nearly three
anticipated geology and likely geotechnical problems
decades, a consultant in private practice. My daily
of the project. I appreciate that this would be quite
experience is therefore continually being built against a
unrealistic for small jobs and I know that many jobs
variety of backgrounds, working in any one year for
could be priced out of existence at an early phase
several contractors, several consulting engineers and
by attempting or proposing what is seen to be an
a few governmental or institutional organizations, in a
over-expensive investigation.
variety of engineering geology environments around the
Terrain evaluation, remote sensing, geophysics and
world. The case histories chosen were of slope stability
similar subjective techniques in their present stage of
problems which manifest themselves early or late during
development are only as good as the technique and
the life of a project and remain as an ongoing problem.
the analyst. Often terrain conditions determine that
This is by no means uncommon. In each case, geological
the use of a technique is not appropriate or of limited
models not only had to be developed, but became
value. However, such techniques may be very cost
the principal technical weapon in the fight against
effective means of gathering information in many
instability. What these and many other cases have
circumstances. On occasion this may be seen only
taught me, and I speak largely of the ideal rarely
with hindsight.
obtainable in practice, is that:
Engineering geology mapping in its many forms is a
No project in my experience has gone well without the powerful, cost effective technique for the majority of
earliest possible development of a geological model. site circumstances. It will not usually supplant or
There may be bias in this as I most frequently work on replace the need for successful drilling, boring and
projects with problems. pitting, but will invariably be a prime adjunct. The
The geological model should be started at the feasi- best geological cross-sections are those drawn from
bility stage and its development should invariably mapping and drilling used together.
Experienced geologists with ability would be better at Norbury (1993); the Engineering Group of the
the job than less experienced geologists with ability, Geological Society Annual Regional Conferences,
but young geologists with ability may be better than most of which have directly or indirectly discussed the
old geologists with less ability. subject, for example amongst many, the Geological
I have had good and bad experiences with fast-track Society Engineering Group Special Publication No. 2,
methods of design and construction. If a fast-track Hawkins (1986) on site investigation, Special Publi-
method is used while information is still coming in cation No. 3, Cripps et al. (1986) on groundwater, or
from site, then the observational approach will be Special Publication No. 10, Eddleston et al. (1995b) on
necessary. construction.
Projects invariably want site investigation infor- Figures 42 and 43 indicate the areas of work for the
mation gathered very fast (even if there was a lot of engineering geologist during investigations. Table 5 and
time spent in dithering prior to the issue of the tender) Fig. 41(a) to (e) illustrate how this work leads to
and even if large resources are dedicated to the progress in the understanding of the site.
problem, high speed work is often conducive to The Institution of Civil Engineers Site Investigation
making geological and geotechnical mistakes, as the Steering Group's publications on quality assurance and
model needs to be looked at and considered from all systematic approach to site investigation are clearly
angles, pre, during and post construction. aimed at improving and obtaining uniformity in quality
Models can be hugely improved with the benefit of of site investigation work (Anon 1993a,b). However, in
hindsight (e.g. Fookes & Dale 1992). engineering geology fieldwork, much is still left to the
Misunderstandings can arise between geologists and vagaries of the geological exposure and the work of the
engineers because of lack of communication. The field geologist. Much of this is subjective, especially in
geologist should be satisfied that the engineer has early desk study and field reconnaissance phases where
understood his views, and the engineer should be the thrust may be less well defined and the time and
satisfied that he has understood the geologist's views available support limited. It is at this stage that the
and has got the best out of the geologist. model can be of particular help in designing subsequent
To improve model building skills, continual com- site investigation and improving the further conceptual
parison between findings, predictions and assump- and design phases of the project.
tions must be practised by individuals and the This aspect of the work has concerned me on every
profession. project with which I have been associated and I want to
attempt to clarify this by giving a case history of a large
Before I leave the geological model, I want to consider road tunnel in southwest England, which was subject
the vital work of the site geologist in the field, the level of to arbitration and eventually settled out of Court. The
detail required and the availability of information and bedrock of the area consisted of upper Devonian
the personal performance of the geologist. metamorphosed marine sediments with intercalated
igneous rocks (tufts, dykes and lavas). The former
marine sediments are now greenish purple and grey
The gathering of geological data in green slates which were folded and faulted mainly during
the field the Hercynian Orogeny--an ancient plate collision. The
rocks exposed in the area also include altered grey
Surface and subsurface collection of data has continued vesicular igneous rocks and amygdaloidal lavas, felsites
to improve since Mr Glossop's time at Soil Mechanics and felstones. Ussher (1907) shows thrust faults dipping
Limited when they were actively developing modern to the south and roughly coaxial with the cleavage of
field and laboratory techniques. However, since then, the slates. The importance of thrust tectonics in the
classification and descriptive aspects of this work have Hercynian deformation in the area was recognized
been enormously improved by the Working Party by Coward & McClay (1983). Whilst no local major
Reports of the Engineering Group of the Geological thrust faults are marked on the current 1:50 000 British
Society, which include those on logging (Anon 1970), Geological Survey map of the area, it is likely that
engineering geology mapping (Anon 1972), rock mass small-scale thrust faults may occur. Dearman (1963)
classification (Anon 1977) and land surface evaluation recognized a zone of wrench faulting trending north-
(Anon 1982). I believe that revisions of some of these northwest to south-southeast in the area, which could
reports are currently in progress by the Geological be extrapolated to the tunnel location. The evidence
Society. The findings of these reports have permeated for this, however, is sparse. Rocks younger than the
extensively into British and other countries' standards Devonian do not outcrop in the area adjacent to the
and continuing improvements remain a live and active tunnel but were subjected to very long periods of sub-
part of engineering geologists' practice. Witness the tropical weathering during the Tertiary (Fig. 39). This
recent papers, also from Soil Mechanics Limited's was followed by the long periods of periglacial activity
current stable, by Norbury & Gosling (1996) or Spink & during the Quaternary.
368 P. G. FOOKES
The incompleteness of geological information at more boreholes or a contract with reference conditions
various exposures may not always be recognized: I will and financial provision for the observational method,
try to make this clear in the following by diagrams. would have been necessary.
Searching for exposures is often time-consuming and I have chosen this example out of many, because I
frequently unrewarding, but in this case not only were believe it neatly illustrates the difficulties in the design of
more exposures found than were anticipated by inspec- site investigation where time and financial budgets inevi-
tion of topographic and old geological maps, but also tably mean constraints. I do not want to dwell too much
there was a relationship between their condition deter- on financial controls because I hope I am pragmatic
mined largely by the age of the exposure and the enough to know that unless we have them, many
information which they yielded. projects would not be allowed to get beyond the drawing
Figure 45 is a simple section of the location and extent board.
of exposure in the area around the tunnel and the
geology that was interpolated between the locations. The classification of field geological data
Figure 46 shows the geology that could be determined
from four specific types of exposure: firstly, horizontal I now want to tread a somewhat risky path, as I know a
and vertical boreholes from the tunnel site investi- good deal of research has gone into the subject matter
gation proper; secondly, coastal exposures from behind and that there are many excellent publications dealing
a shingle beach, crudely estimated to be around 2000 with it--far too many to list and therefore I will give two
years old; thirdly, from a railway cutting of about 150 comprehensive text book publications, both of which I
years" age, now partly vegetated and covered with slope find most useful in practice: Bell (1992) and Bieniawski
wash debris; and fourthly, a new road works cutting in (1989). The latter I view as a specialist publication on the
good condition. The figure shows the estimates of the subject matter (amongst many) and, being a G.P., I do
geological information gleaned by careful fieldwork not have such specific experience to match that cited.
(which I helped supervise) by an engineering geologist My concern is in the interpretation of classifications in
with a masters degree and about two years' experience. the field, the great majority of which, of course, are
Table 8 summarizes these estimates, and illustrates a carried out by G.P.s of all ages. An exercise on a case
simple concept which I call by a somewhat ungracious was specifically set up by me, using two engineering
term. that of the 'determinability' of the local geological geologists, one with postgraduate qualifications and
experiences, boreholes, pits and so on. The table shows many years' experience, the other without postgraduate
the influence of weathering and erosion by the current qualifications and only a few years' experience. Both
climate of southwest England clearly spoiling the ability were independently shown the same sets of boreholes
to collect data, and the difficulties of getting a complete and exposures and both independently asked to assess
picture from boreholes in the Devonian age rocks, the rock mass rating (RMR system) and rock mass
particularly the information on discontinuities which quality by the Norwegian Q system. Both practitioners
was of critical importance for the tunnel design and were quite familiar with these well-known classification
construction. Figure 47 shows some of this information systems. This exercise, for which they had as much time
portrayed as a histogram to show the decrease in ability as they wanted to do the job well, was on the same
to make observations on discontinuities increasing with southwest England case history as described above.
age of exposure. I was quite surprised and impressed with the results of
Figures 48 and 49 show various systematic attempts at this exercise although, from experience, I should not
building a geological model with all the information have been. Such systems can be considered as analogous
available both from boreholes and from the mapping to large semi-qualitative index tests. As can be seen from
fieldwork. It was concluded from this exercise that more Table 9, one geologist deduced a more pessimistic R M R
borehole information would have been necessary to of 11, indicating potential and immediate collapse, and
portray a sufficiently accurate picture of the eventual permanent support requirement with 75-150 mm mesh
tunnel conditions. Without the development of such a reinforced shotcrete (by correlation with Q); while the
model, the borehole information had been considered other geologist got a more optimistic R M R of 62, with a
adequate. The tunnel was shallow, with complex inter- one month stand-up time and no support required in the
play of differential weathering and changes in attitude of circumstances. Table 10 is equally surprising and again
cleavage and, as an additional complexity, had faults gives a pessimistic Q of 0.0 to 2 in one case and a more
which were difficult to predict and thin igneous bodies optimistic 5.0 in another, again indicating respectively
which appeared effectively impossible to predict. These immediate collapse or a stand-up time of one month. I
conditions meant that even with otherwise reasonable consider that the results are on the extremes of the range
borehole coverage at about 50 m centres, together with of answers likely between two experienced individuals
long horizontal boreholes (which I do not believe had working independently on such an exercise.
previously been attempted in Britain on the scale used in ! should immediately point out that faulted rock with
the investigation) to improve the geological knowledge, strong cleavage is probably the most difficult to assess.
"-d
~o F
e
o "O
J
o
~r
%:
2
o
2
z/
g
E-
..~
2
[]
370 P. G. F O O K E S
c
O .9
o c
O
"~ 0 "~ 0
(" ~ 5"~ Is..
~ ~x-O -~c-~ e
N-O ~o -,-o c
_
,%
. ,,..~
N ""
b.
in
5
o
i,
_q
iii~
e..,
,;/i
o o o
o w. ,,,,,a
z o
p
u
Table 8. Southwest England case history: determinability of geology J?om different location types in relation to a fresh road cutting
75 m long x 25 rn high
Location Approx. Estimated Ability to Ability to Total Overall When

age physical determine determine of percentage of determinable?
(years) visibility large scale small scale 300% determinable
of rock geology geology geology
(%) (geological (geological
domains) styles)
estimate estimate
(%) (%)
Ground -- 10 30 5 45 15 Reasonable
investigation at time of
boreholes tender
Coastal exposures 2000 !0 80 30 120 40 Reasonable
at time of
tender
Railway cutting 150 25 100 50 !75 60 Unreasonable
at time of
tender
Road cutting 9 100 100 100 300 100 Not available
at time of
tender
Relevance to Determines Determines
anticipated overall daily
construction methodology performance
This appears also to be the view of Hock & Brown determined on the basis of a classification system as
(1980) in their pioneering authoritative work, page 15, excavation proceeded. Although classification systems
where they say: 'Both classification systems suggest that have been developed by a number of experts, a special
the influence of structural orientation and inclination is series of classifications were developed for use within the
less significant than one would normally tend to assume relatively narrow band of the rock type particular to
and that a differentiation between favourable and un- Dinorwic. Thus the support is based primarily on the
favourable is adequate for most practical purposes. While detailed geological structure but is varied also according
this may be acceptable for the majority of situations likely to other factors such as tunnel size.' I have interpreted
to be encountered in the field, there are a few cases in this as an observational method in practice. Generaliz-
materials such as slate where the structural features are so ations are inappropriate and inadequate for most major
strongly developed that it would tend to dominate the rock engineering systems. Rock mass classifications
behaviour of the rock mass.' I do not want in any sense to should be developed or adapted in a balanced manner
degrade RQD, Q or R M R systems, all of which I use in from the existing to suit the local project and its geology.
practice and find practical and helpful in the majority of They should not be used blindly with righteous fervour
situations, but I do want to draw attention to some by designers, or geologists for that matter. They are then
possible limitations and the need for their intelligent use. potentially valuable tools in the development of the
For example, Fig. 50 plots the individual cases (as roof model.
span and depth below ground) of the many projects used The world of rock mechanics, of which in the case
to construct and develop the R M R system (Bieniawski history I have exposed only a tiny fraction (and in so
1989). On this has been plotted the dimensions of the doing exposed myself to criticisms of bias by selection,
tunnel in southwest England. As can be seen, it is on the even manipulation), does not really deserve to be treated
edge of the range of the R M R cases, i.e. experience of in a lighthearted manner. Those with considerable
the influence of a shallow and weathered rock cover is knowledge can of course smile: for those with less
limited in this system and may lead to inappropriate knowledge, who would like to know more, I could
predictions. perhaps do no better than recommend the reading of
I believe that Anderson et al. (1977) were saying Rock Mechanics Principles in Engineering Practice by
something similar for Dinorwic which also had well Hudson (1989) as a beautifully illustrated starting point
cleaved rock, 'The reinforcement of the tunnels was to the subject. Hudson, I believe, is also inclined to
372 P.G. FOOKES
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374 P.G. FOOKES
.!g
oc ::~
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--
g~
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e..
c- (-
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g.
..,.,
n-
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ffl
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tD ~Z
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if:
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0 0
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off
0 0 w
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ua_>
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~uJ ~NZ n. uJ n* Z u.
z,-~ ~ z ~ Nn~-~O
Table 9. Southwest England case history: comparison of standup t#ne (RMR system) derived by two experienced engineering
geologists independently
Engineering Estimates Engineering

geologist 1 geologist 2
The uniaxial compressive strength of the intact rock material:

Rating: 4 could be as low as 25 to 50 MPa at BUT is estimated as typically of the order Rating: 7
an unfavourable orientation in the of 50 to 100 MPa
tunnel due to the anisotropy of the
material
Does the cleavage form:

Rating: 3 a true discontinuity set? OR an incipient weakness which Rating: 17
RQD=0% occasionally manifests as fine cracks?
RQD=75%
Rating: 10 The cleavage forms a true, closely to OR The cleavage does not form a true Rating: 20
very closely spaced discontinuity set discontinuity set
The least favourable joint set is well exposed and is smooth and very gently undulating,
the joints open approximately lmm and very rarely containing clay
Rating: 6 Over the scale of the excavation BUT Joints within the rockmass are more Rating: 20
considered the joints could be likely to be tight. Over the scale of
interpreted as being persistent the excavation considered the joints
could be interpreted as being
impersistent
Rating: 4 Some exposures show a little water BUT Joints within the rockmass are more Rating: 10
seepage likely to be tight and less permeable
Adjustment
Rating: - 12 The least favourable joint set dips approximately vertically and strikes approximately Rating: - 12
parallel to the tunnel axis
R M R = 11 RMR = 62
i.e. Rockmass quality description i.e.

Extremely Standup time of unsupported span in exploratory heading Fair rock
poor rock 1 Month
Immediate
collapse
i.e. Permanent support requirements for exploratory heading by correlation with Q i.e.
75 to 150mm of No support
mesh-reinforced required
shotcrete
(Equiv. Dim=4.5) (Equiv. Dim=3.6)
(Support Cat. 34)
the view that rock mass classification systems should Concluding remarks. caveat emptor
be used as a guide and the constant m o n i t o r i n g of the I do need, though, to conclude on the experience
rock mechanics during construction is the best w a y of acquired from the slate case history and m a n y others
assessing conditions. in a b r o a d l y similar vein in relation to the model. It
376 P. G. F O O K E S
Table 10. Southwest England case history." comparison of excavation support ratio ( Q system) derived by two experienced engineering
geologists independently
Engineering Estimates Engineering

geologist 1 geologist 2
Does the cleavage form:

RQD=0% a true discontinuity set? OR an incipient weakness which RQD=75%
(Nominal 10%) occasionally manifests as fine cracks?
Jn=15 Over the scale of excavation considered the least favourable joint set is interpreted as Jn= 12
being:
persistent impersistent
The surface of the least favourable joint set is well exposed and is smooth and very
gently undulating. It is interpreted as:
Jr=l.0 smooth, planar smooth undulating JR=2.0
Ja=4.0 Very rarely some clay is seen in BUT The joint surfaces are typically only Ja=l.0
joints discoioured
SRF=5.0 The excavation will be near surface in a relatively low stress regime. The Q system SRF=2.5
tables give only general guidance due to lack of case data
Jw=0.66 Some exposures show a little water BUT Joints within the rockmass are more Jw= 1.0
seepage likely to be tight and less permeable
Q=0.022 Q=5.0
Extremely Rockmass quality description Fair rock

poor rock
75 to 150 mm of Permanent support requirements for exploratory heading No support
mesh-reinforced required
shotcrete (Support Cat. 34)
Immediate Standup time of unsupported span in exploratory heading by correlation with RMR 1 month
collapse
Excavation Support Ratio (ESR)

Equivalent The excavation will form an access The excavation will be used as a Equivalent
dimension tunnel for the duration of the main pilot tunnel for the main tunnel dimension
4.5m works under construction 3.6m
ESR=I.3 ESR= 1.6
is w o r t h repeating, for me the m o d e l concept is seriously d o u b t if there is any shallow geology

all-powerful, the perfect slave, if you get it right, and the circumstance which has not been e n c o u n t e r e d some-
perfect tyrant if you get it w r o n g and do not realize this. where in the world in f o u n d a t i o n s or excavations. Or, to
A model is an aid to k n o w i n g what to look for. It put it a n o t h e r way, there is potentially no situation
therefore needs checking from all aspects, discussing which is so unique that it is a one-off, and will be a
with colleagues, being self-critical and involving a one-off for ever. There m a y be extremes, because of scale
w o r k i n g practice for its use on y o u r site in y o u r or rarity, but all should be anticipatable by a well
circumstances. devised m o d e l supported by an equally well designed site
The longer the informed brain and the trained pair of investigation. A n i m p o r t a n t ingredient in the design and
eyes w o r k on the model, the better it will become. I execution of a successful investigation is therefore an
independent review by a single person or panel as help to reduce overconservatism to compensate for
appropriate. Such a review or series of reviews should uncertainty, and to identify any blind spots in the
geotechnical team's experience.
Spon (m)
0 10 20 30 40 50
0 i I i i i i I i i The geological model and site investigation
Rood Tunnel:
| 14m spon, 11
ffi
~ t o 16m depth
It was Peck's (1962) philosophical paper which gave me
D~
confidence to see geology at least as an equal partner in
20
the borderland between geology and engineering which
m m
up to that time had been the rapidly developing world of
soil mechanics. Peck said, 'As long as engineers are
40 |'' | content to make recommendations for design and con-
struction solely on the basis of borings, soil tests and
"I
. calculations; as long as virtuosity in theory is considered
more praiseworthy than artistry and practice; as long as
60 education glorifies mathematical science to the exclusion
|
of our heritage of empirical knowledge," as long as re-
""-" " ! search at the desk or in the laboratory is regarded as being
o f higher order than that pursued in the field--as long as
80
m
these conditions exist or to the extent that they exist, the
practice of subsurface engineering may suffer at the hands
of soil mechanics.' I think this situation still pertains
today, less commonly in the larger site investigations
100 |
and to a greater extent in smaller ones, especially where
u boring, soil tests and the resulting calculations
dominate.
In the decade or so that followed Peck, in Britain a
.--. 720
E very strong boost to geology for engineers was given
..IX
by leading professors of soil mechanics, particularly by
Skempton, Rowe, Vaughan, Hutchinson and Chandler.
o 140 Their university laboratories also included research
into details of geology and its influence on soil testing
i and soil behaviour. However, I think it fair to say that
j ::" it was largely the Report series of the UK's Transport
160 and Road Research Laboratory i n the 1970s (which
developed from earlier publications on site investi-
m H gation and geology, for example, by Fookes 1967;
Green 1968; Wakeling 1972; Craig 1973) that focused
180 British investigation practice. It culminated in that
milestone TRRL report LR625 on 'Guidance on
Planning, Direction and Reporting Site Investigations'
by Dumbleton & West (1974) which was probably the
200 ram
first substantial publication in Britain which looked at
|
the interpretation of ground structures; groundwater
configuration; sampling and the choice of borehole
220
positions, and the planning and direction of site inves-
tigation in the form of a guidance manual. Of note
are their many thumbnail sections illustrating simply,
although somewhat stylistically, subsurface situations
i
240 Doto continues to fI
which can easily cause confusion. I illustrate this with
3krn depth
Figs 51 and 52 which show common geological situ-
ations in Britain (or elsewhere for that matter) that can
lead to misinterpretation for those without too much
Fig. 50. Original RMR case history data from Bieniawski geological knowledge and, on occasion no doubt, even
(1989). Note deepest depth. for those with. It needs little emphasizing that the
378 P. G. FOOKES
~o.,H,,e.. ~ F~ i.b I
(~iRANIYE ~ ch,'l le..d
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- ~ ~ / / aor'~ole- /
...Z~2_--~..~~ " i : ] - L - . - ~ " - . ~ / = / ouc.n:,p =.,,r-
6 I r- ,Z\a" ',t" ~ l..,n ~" = l U 7 , / 2 ~ 1 " " ~ /MAR.I~LE "{~(~n~'qf~_ssive~
_~ r ~ x~k ", \ q . ~'.'/.." / / /
i .~ .-\ f " ,. "-, .-7". - "" ~ / .I-/
(CO om~ pofe.nfia.l mi,in+e~f~e-~x~l"ons o~ ,..~.olo,,j7 o f ( b ) ~rom b o r e h ~ l ~ ~via~nc.-
GRAM |TE ~4~

irr'a.~ Lo~r N oRNIz:E L.S
r'o c ~ h e.x:h-3
~ / ~ L . :~ in _~rrl-a,._.~
cxurv_ol~ S " H ISq" a , . , n d inc-r~_cxsin~ ~r~cl~ c~ reclimn~l
r~NEI~5 fne~fmmorph(sm ~ ~l(sturb~unr--~-
~ - "}~lding
_.-.,. --, ,.
cr'campl~ / S
bo~.q,',~,~e, in Z>OLF_mT~- I | . , .
~4~z~ be.el ~ASALT ~V,e ] SH ALE..S co~4Jn le.o~(~uloLc
I b4~:z[..s o~ -..%AMD.-%TONF-
L1-- o-n~ul~kr" u n c o n ~ o r m i y
e..a.rl i e..r ~,~1 u .nc.

p~,r'-l-i~ulo..,r o.re.~.~ b~-I" ,~.ll ,~.~ "~e... SHALES ~ ~~JZ~Sq-oFaF-S
concli+(ons ~le~:d~?e.~ c a O o G c u r in B r i f a i n )
Fig. 51. Problems of interpreting site investigation information in a hypothetical structurally complex region.
difference in interpretation would likely lead to differ- materials encountered'. Detailed advice, again in the
ent engineering designs, one of which could be quite form of guidance manuals, is given in LR369 on Air
inappropriate. Photograph Interpretation for Road Engineers in Britain
The Transport and Road Research Laboratory's con- by Dumbleton & West (1970) and LR403, Preliminary
sistent advice was 'To investigate the characteristics of Sources of Information for Site Investigation in Britain
the subsoil at a given site, the first step is to collect data by Dumbleton & West (1971) (now revised by Perry &
from existing sources and the second is' to make surface West 1996). The authors of this excellent geology and
and subsurface observations on the site, describing the engineering borderland series of publications were
cirri Fa R, AVE. L
1} / +h n ~;~Lndy
"~ I +o~,soi ~ LI i~t E S T o ~ E
c _. / ~' ~L~,y /
/ -- - - ~ ~'~ ~ - - - " 4 - ~ ' 1 ~ int'e.rbegdo_,d

|.";'r !. 'I ~ " [J'~-%.~-.~_.='~._ / ClJNY ~.n=l S I L T ALLLIVILIIVt --
I ] 1 I~ ~ ~ ~ ~ ) ~ ~~ ~ [ b ~ d ~ d ~ ~ )
I ~ ~ ~ ' ~ ~, ~^~
sf-rex~m / _
~ ~
I I I . l t I I - - ( l' [ I [ 1111 ~ I I 1 i l t I Ill' I I I ~ I I I
L---I- - -- : __ - - 4 - - - - \ :
" 1 . . . . -~AIM D SToIxIF_ t
oJ e a ~ NUDSTONE LIN ESTONE__
(a) ~m= eot~.~t~M rni~inerpre+a~+/~ ot~ 8 e ~ orr (b) r~m l:~orch~le eviden,-c
~ . ~ - ~ 4 - h i n invol~+ioa.s in TEI~P,.Ac_E 5AI',/D c~J-,g

ove.rl~irt~ -~il~y ('COY
1 ~ . 1 ; ~ by o1:,4 rol-~+ional _~h'do- ALLUVIOIM-
~ ~ ~ " ". ~ J A T / . ",,X.x: ~ .. . . . ovarian= bun'~:l
~ ~ ~ ~ .\,.9t-.:.,'~ / I ro tape,e-m+ limes+~ne- g~l, S(1"131e--I~T")

!
" ~ll~ps~l root m uet ~-l-~n e GLA~-IAL

a~%'~.~_toA b y T I L L ,-,~fh
voal=,y bul.~'in~ I im4~s-t--ora.
boulde~
(b) Ac-~o.I ~ e o l o s y (6roo~lly m,:,d,,ll=d ,,n Lo~_r-N;,,Iale 3 " , . , , . ~ ; ~ , ~ E=~ Midl=nds)

Fig. $2. Problems of interpreting site investigation information in periglaciated areas of southern England.
invariably Dr M. J. Dumbleton and Dr G. West, of professional life, I have been involved in a site where the
whom Dr West was the geologist. However, nowhere in late stage finding of information has caused delays or
their pioneering series can I find a specific description of embarrassment for design or later for construction or
the development of the geological model, using the even later during service when something has failed (see
special training and skills of the geologist. Figs 9, 10 and 11). In the early 1960s, on the huge
It is probably no exaggeration to say that at least once Mangla Dam in west Pakistan, it was the late discovery
a year, often more, for just about every year of my of interbed shear zones that caused late stage design
380 P. G. FOOKES
changes. These were physically 'discovered' in the field large highway construction projects the final cost was on
by observation. With hindsight, they could have been average 35% above the tender sum. In half of these,
anticipated (see Skempton 1964; Fookes 1965; Binnie increases related to inadequate planning of the ground
et al. 1968). investigation or poor interpretation of the results.
Last year, I was working on a site in eastern England, Money spent on site investigation varies widely,
where it was claimed by one side that the Woolwich and depending on the local geology, the project, the Client,
Reading Beds had unforeseen smectite in their clay and so on. It ranges typically from 0.1 to 2%, sometimes
facies, and the other side said the opposite. I have been even up to 5%, of the total cost of the project.
aware for some years that smectite is present in the There is a small but beginning to grow field where
clayey shallow marine facies of the Woolwich and aspects of planning, investigation, uncertainty and cost
Reading Beds and, indeed, the local literature clearly are looked at in a statistical way. For example, Attewell
states this, and the palaeogeography of the times et al. (1987) in Geological Society Engineering Geology
indicated that volcanic activity (a common origin of Special Publication No. 4 (Culshaw et al. 1987) on
smectitic clay minerals in sediments) occurred in the Planning and Engineering Geology, consider that reduc-
area. tion in uncertainty about ground conditions achieved
The year before that, I was working on the Mercia by site investigation may be related through simple
Mudstone (formerly Keuper Marl) in the east Midlands, probabilistic theory to the consequent loss expected in
where one side claimed that smectite was unforeseen and construction or maintenance. Thus in planning decisions
the other claimed the opposite. I was surprised at its a financial optimum can be identified. This development
presence: nowhere at the time was smectite mentioned is beyond the scope of this lecture and here I treat the
in the readily available literature, as far as I am aware, subject more conceptually, e.g. Figs 10 and 11 give a
although there was one smectite identification simple view of the relationship between information
which speculated that it was deposited in a fissure from acquired and the project stages, and Table 11 outlines
Quaternary ice activity. However, knowledge of desert the relative costs and the order of resulting benefits in
sedimentary environments could lead you to anticipate site investigation, depending upon the stage.
that it might be present, i.e. it was unforeseen but not From these albeit somewhat intuitive judgements, it is
unforeseeable. possible to conclude that the maximum value of the
The year before, it was the presence of karstic lime- geological model is in the earlier stages of the study as
stone in the Carboniferous limestones of Wales which the benefits it would bring are enhanced quality of
one side described as unforeseen and the other side design and improved data from the main ground inves-
described as having been found and identified in the site tigation. As the investigation progresses, so the accuracy
investigation subsurface work. The evidence of karst of the model improves and decisions dependent on it
was fairly abundant in the area. Figures 53(a) and 53(b) change from more qualitative to more quantitative.
are conceptual drawings loosely based on this case Decisions affecting investigation costs are probably bet-
history to illustrate the real problems which commonly ter made at the end of each of the investigation stages
exist with karstic terrains. Figure 54 returns to Newton rather than continuously during the investigation, but
Abbot (Fookes & Hawkins 1988), a large road cut the investigation must be as flexible as possible. As the
mainly in Devonian limestone which had major karst knowledge about the site increases, so the marginal cost
features. This and other similar cases provoked Dr A. B. of gaining more information increases. There is there-
Hawkins and me to develop a fivefold classification of fore a realistic cut-off point for each investigation which
karstic features. I have, with G. Pettifer (pers. comm.), has to be decided.
now updated this, as Fig. 55.
The point I make, most strongly, is that one way or The site geology
another, each situation had the potential, by developing A lot has been written about the many techniques used
the model, to be identified prior to tender! in site investigation for different geological situations
and also the various problems that occur. This is not the
place to attempt any summary of these (the accompany-
Making the geological model ing box illustrates the tip of the iceberg), but I will
explore a little the use of the model in investigating the
Cost and efficiency geological features of the site.
It is a continuing cry from all those involved in site The model building starts with a consideration of the
investigation that construction projects often cost sig- broad conceptual geological environment of the site.
nificantly more than the predicted tender price because Figures 19, 20 and 21 are examples of models of main
of inadequate investigation. The Site Investigation rock-forming environments and Figs 29, 30, 31, 32 and 33
Steering Group (Anon 1993a,b) stressed, yet again, the are examples of models of some of the main rock
magnitude of these problems for engineering situations modifying environments of Table 2 described in the
and reported, by way of example, that in a study of ten following section. Figures 41(a) to 41(e) are an example
of the igneous environment portrayed by Fig. 19, put tigation work stood little chance of much improving the
together as if it were being built up through the stages of information available.
a site investigation. Looking at Figs 56 and 57, the following general
I have included in Appendices 1 to 5 various simple points, inter alia, can be made:
statements on which I originally worked with Prof. P.
During the preliminary investigation (if there is one),
Vaughan in Fookes & Vaughan (1986), which can be
a small number of widely spaced boreholes of ap-
used to predict likely geotechnical problems that could
proximately equal spacing, could be used to give the
be met in the near-surface situations identified, depend-
basic stratigraphical sequence and weathering profile
ing on the conceptual engineering geological environ-
of the bedrock. A geophysical survey should be
ment. The symbol identifying the geological rock
considered (in this case seismic) to determine the
forming and rock modifying environments from Table 2,
depth of the bedrock with the use of boreholes to aid
described later, has been added to each item in these
interpretation. The seismic survey should be carried
appendices where appropriate. A good desk study and
out on a grid plan, or at least between points of the
walkover survey would confirm or further identify the
borehole investigation. Additional boreholes could be
sort of points made in the Appendices and raise new
sunk around areas of geophysical anomalies.
questions and define additional objectives, and elabor-
Use of exploratory pits and trenches is a relatively
ation and answers would come with the preliminary
investigation phase and beyond. cheap (depending on depth) and quick method of
retrieving intbrmation, depending on material type
and groundwater, on the depth of the bedrock and the
Geometric relationship and the geology variability of the superficial deposits and may be more
effective than boreholes at shallow depths. Below
Figures 56 and 57 are simple examples of composite
1.5 m depth of a pit or trench, costs rise because of the
block models which could be from Britain, each showing
need for support (which may inhibit logging) and
more than one rock forming and rock modifying
requirements for extra supervising personnel.
environment, i.e. 'normal' geological situations. The first
Topography should be considered, for example,
is a bedded coal measure sequence overlain by ancient
exploratory trenches or pits laid parallel in a downhill
desert, intersected by faults and incised by a deep buried
sequence would not only reveal the lateral and vertical
valley infilled by glacial and fluvial deposits; and the
variability of the superficial deposits, but in bedrock
second (based on Fig. 19) is of dipping sedimentary
could also indicate in detail the vertical variability and
rocks intruded by a major igneous body with some
weathering.
subtropical weathering. It is emphasized that these
A sequence of trenches, laid parallel to one another
examples are only simple models and many such
and normal to the direction of any suspected buried
hypothetical models of different geological associations
valleys, should be suitable for locating shallow buried
could be quickly sketched. They have been annotated
valleys as well as sampling the ground conditions The
to show conceptual ground investigations for various
engineering projects. spacing of the trenches would be dependent on the site
and the success in locating buried valleys often de-
The layouts of subsurface investigation techniques
pends on the thickness of the valley fill (e.g. collu-
and methods in each model are drawn to illustrate the
vium, terrace alluvium). Boreholes would replace
relationship between the subsurface technique and the
trenches where the alluvium is thick. If the likely
spatial distribution of the geological features within
position of a buried valley is not known, a geophysical
the model. The aim of the site investigation design is to
survey should be carried out in a grid pattern with a
maximize the collection of data and to be cost effective:
relatively wide and equal spacing of boreholes. These
a much greater density of boreholes and pits could be
could highlight areas needing additional investigation.
made on the site if the findings indicated more investi-
gation to be necessary. In variable ground a balance has In the model (Fig. 56), it can be seen that vertical bore-
to be struck between the cost of further investigation holes sunk in relatively flat lying beds will reveal the
and the value to the designer and constructor of the stratigraphy of the site bedrock. Depth and spacing are
information that it is likely to yield. The more variable much dependent on site conditions and type of engineer-
the ground, the less information might be got from any ing project, as indicated in the specific project annotated
one particular borehole or test pit on adjacent con- on the model. As a general rule in flat lying strata,
ditions. Geophysical techniques might help extrapolate boreholes can be fairly widely spaced and sunk to a depth
such information: a geological model would certainly below that of the engineering structure to allow strati-
help. Alternatively, it may be decided that an obser- graphic horizons to be correlated between boreholes.
vational method would be the most appropriate way of In the case of dipping beds (Fig. 57), trenches and
solving potential design and construction problems that boreholes laid out parallel to the dip direction of the
appeared to be based on inadequate geotechnical infor- beds can reveal a complete stratigraphic sequence of a
mation, or because further, but excessively large, inves- site. Additionally, the variation of properties within
382 P.G. FOOKES
4- d

--o =,+
'~.+_ o
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u .... v[.-- ~X_.,
384 P . G . FOOKES
Core{
Unconsolrdo.+e.d do-po~i+~s (~oi1')

I~i,4=t[ -T)e~von~o.n lirn=-s-I-on~ (rr~=K')
/rrguto-r 6.~.Jc9~-e~arl ~ln~lcx-~ir~q

ro~l~heo.d 0oHF,~qer~'eolly -~r~oal-
NW
in~e~r~ f r o m Ix:,r~ol e.vide.nc~., rrl
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In I I I [ I I I I t\ [~ ~I', i ] I , L '
z Iml m~ I ml I l I l [ l I~ o
I m m I ", I;,El / ~Cormo.t-(o n l * v ~ l 3(0~0
Condit'(ons o.nt-iipc~+ed 0.4- ~ l e r -- proje~_f~-~ ~-o e--e_n+r~_l(ne-

cro~S-sec+ion ('~he con=li(c~.~ do noF correspond 4-~ = n y pert,'eul=r
loc=ions o'{' I=or-e-hole.._~ :=J~o pr'~jz=e-t-ed ~z~ c~.n+r~.line_.
O-x'l-re_m~_l irr'o_~ulo_r m ~ r pinno.~l~ tn

d o l i n g . Icl.l'~l..~_xa.po_, uail-{n l~.~...%iv~ / or ~nd [~.v~l_~
in~C/llin~ o~ c~-vi~o_S aLr~a ioin'(-,.S / riQ(r 1Ol , ,
5o
,..a . .a I
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-.30
- 20
I 1 ]k
' ' ' ' ' ' '" ~\ ' ' l( , ,~--- "-" ~L ~ ~ r r f ~ 11 -0
CH 3g~::) d0_~p~ ~ f e e p - (n~/lle.d 375o aCormo.'l'Con levo_l 5(~50
.sid e.d pipe. c.o~v~
(b) Condi+ior~-~ -~uncl ,:turln~ "on~-t-ro~n- approxirr~'kn.~ "t'o , ' e n ' t - r ' e . l i n e .
Fig. 54. Ground conditions encountered in the Humber Lane cutting of the Kingsteignton Bypass, Devon (after drawings in
Fookes & Hawkins 1988).
particular stratigraphic horizons with increased depths position down dip, i.e. information about lower
below the ground surface can be obtained by sampling stratigraphic levels can be obtained at lower drilling
that stratigraphic horizon from a succession of down dip costs by drilling up dip rather than down dip, provid-
boreholes. In unfaulted beds this can be achieved simply, ing there is confidence in the extrapolation of this
provided that the distance between the boreholes is information.
such as to allow stratigraphic overlap (Fookes 1967).
Boreholes positioned up dip penetrate into deeper Trenches laid out parallel to the strike of a bed can
stratigraphic levels than boreholes sunk to a similar reveal a lateral variation in engineering properties
along that bed. Additionally, the vertical variation of To return to Rowe, for his work on sampling and
the bed can be obtained by sampling from top to testing, he collected data from 35 sites, varying from the
bottom of the bed. Ordovician to the Holocene, where fabric of clay soils
Where beds appear to be repeated on data obtained related to field and laboratory behaviour. The cases
from two boreholes, a third borehole, or more, should illustrated the inadequacy of conventional site investi-
be sunk to help interpretation of the sequence. gations. Rowe advocated description and recording of
Correlation and interpretation of folded rock may fabrics, and use of these details, knowledge of the overall
prove difficult with limited borehole information. In geology and water levels in relation to the engineering
folded terrain, observations of outcrop should be problem, to decide the location, quality and size of
made, noting changes in dip or repetition/mirroring specimens for element and model tests, i.e. it is not
of rock types. Again, supplementary boreholes sunk enough simply to use index tests alone for classification.
between two other boreholes containing bedding Advances in sampling and testing in the last two
at different dips may aid in interpretation of such decades are developing the situation. Modern work is
structure. exemplified by that of Vaughan (1994) in his Rankine
The ability to conceive geological models to illustrate Lecture, wherein he stresses the links between the
various points concerned with the overall relatively ground model behaviour and reality, and Atkinson
large-scale geometry of the geology is effectively endless (1996), also on engineering soils, emphasizes carefully
and it is worth saying again, to emphasize what every selected and well designed laboratory work rather than a
good site investigator will know, that each site deserves shotgun scatter, and states, 'I have my own list o f
essential tests. I am sure that it is important to do the
its own specifically designed investigation, dependent
upon the engineering structure and the anticipated routine tests .for classification and description. Then it is
geological conditions of the site. necessary to evaluate a set o f design parameters and there
are three basic types. First, there are material parameters
The geological model would also be particularly
and there are not many o f them. The important ones are
useful in establishing the likely presence of relatively
the parameters which define the critical state line. Second,
small scale geological features which have an approxi-
there are simple state dependent parameters and strength
mate geometrical relationship to the overall geology,
there are not many o f these either. The most important
many of which could be crucial in design, for example
orientation of discontinuities. Figures 58 and 59 are ones are the parameters which define the peak and G O
block models of such geology features. the shear modulus at very small strains. Go is easily
determined in laboratory or in in situ tests for measure-
Small-scale geological features ments o f shear wave velocity and it is a parameter which is
The influence of small-scale geology features on so important that its measurement will soon be routine.
sampling is fairly well documented, particularly in recent Third, there are complex state, history and strain depen-
years. Amongst others in the geotechnical world, Rowe dent stiffness parameters and there is no single value .for
(1972) pioneered much of this work by relating soil any o f these. Much useful information can be obtained
fabric to a range of sampling and testing procedures in .from a set of triaxial stress path tests with measurements
engineering soils. o f small strains. These tests should recreate the in situ
The significance of small-scale features, including state and recent stress history and should apply a set o f
texture and soil fabric, in the hands of a geologically stress paths which represent those for typical elements in
skilled practitioner, reaches beyond sampling and test- the ground. With this information a designer should be
ing. Predictions can be made about the likely variability able to extract characteristic values for the parameters
of the material (rocks and soils;), characteristics of required .for most o f the current simple and complex
discontinuities, engineering properties, origin of the analyses.' I have put test types in bold for emphasis.
material and the changes it has undergone, and the likely Having supported Rowe, Vaughan and Atkinson,
suites of adjacent rocks and soils. Such things should be discussion on the approach to sampling, including the
built into the geological and geotechnical models. use of statistical methods, is a large area into which I will
Figure 58 is a quarry in a horizontally bedded sedi- not venture any further. My own practice is fairly basic.
mentary rock. A trained and experienced geologist In essence, I believe that many, if not most, samples
would know that the environment of deposition of such should be taken to represent homogeneous zones
sediments would have been along the lines shown in the (Terzaghi 1963; Fookes 1971), such samples becoming
model (Fig. 60) of a linear clastic continental shelf facies, the representative sample for that material. Further
i.e. he could predict the likely occurrence of such sedi- samples could be taken elsewhere in the zone with a few
ment detail as shown in insets A, B and C of Fig. 58 samples for tests to explore the material's behaviour and
from his training and experience. This is one of the most many index samples for classification and description,
important points that I can make in relation to the skills and to confirm the homogeneity of the zone.
which a geologist can bring to an engineering situation, To the basic sampling pattern for the homogeneous
cf. also Figs 2 to 5 and especially 13(a) and 13(b). zones must be added specific samples to help evaluate
386 P.G. FOOKES
~~.~
o~ ~ o=~ ~ ~
~. .~ ~ ~
o~ ~ - o ~
r.n
0= o . D.'~
.~~ =~
.~~.~ ~F= ~= o
t~
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:%,I
iI
~_~
N!
.- -=~== .
~8
=.E
~,
.t
~ ~ = ~,~ ~~ . ~
~ .- ,,,
~~ .~
"=8
~.~.'~ ~ . - ~ , _~ ~;~
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. ~
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x ~a ~. =,~ ~'~8 ~.~-~'~

o~" ~ ~ ~..~ ,~ o.~ ~i~
=~. o ~ e . ~
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8 =
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o ~
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388 P. G. FOOKES
Table 11. Relative costs and benefits in site investigation
Activity Relative Information Order of Typical

cost gained benefit comparative
benefit/cost
ratio a
Detailed desk study Low Initial knowledge of the site, avoidance of obvious Very high 2.7
problems
Site walk over Low to Visualisation of the site and recognition of possible Very high 2.7 1.6
medium problems
Preliminary ground Medium Physical evaluation of the site conditions, estimation Depends on the 1.4-0.4 b
investigation (mainly to high of properties, recognition and confirmation of accuracy of the
field observation and possible problems results and can
in situ methods) be either high or
low
Main ground High Main quantitative information for engineering design High 1.0
investigation
(emphasis on
sampling and testing)
Laboratory testing Low to Detailed evaluation of properties High/low 2.3-0.6 b
medium
Supplementary Low to Increased confidence in ground conditions and High 2.1-1.4
ground investigation medium particular suites of properties
Further or special Low Increased confidence in the physical/chemical High 2.1
testing properties tested and existing results
aObtained by ascribing the following arbitrary scores to the qualitative descriptions of costs and benefits: very high 80; high 70;
medium 50; low 30.
b+ In some cases, need for essential items of information would override an unfavourable B/C ratio.
the full geological picture, especially discontinuities and the engineering behaviour of rock in situ. About that
other areas of weakness established by the model which time, Skempton (1964) was developing the concept
do not form part of the homogeneous zones. of residual strength related to the movement history
Continuously varying geological situations, for of discontinuities in the soil.
example graded bedding, could be handled by patterns Figure 59 shows a variety, by no means exhaustive, of
of samples; special situations of clear engineering impor- structural geology features. For the geologist, families
tance, for example a shear zone, would be handled of related features occur in association within various
by special samples taken in a manner related to the structural domains (i.e. areas within which related struc-
geological feature and its mode of testing (Fookes 1967, tural features occur, perhaps repeatedly). The features
1969, 1971). Again, I recommend the work of T R R L within the domain relate not only to the rock types
and their report by Dumbleton & West (1974) for present but also very closely to the deformation history
background reading on sampling related to geological of the domain, i.e. a geologist can, within reason,
models. Bevan (1996), based on this report, has summa- predict, and expect to find, related patterns of folds,
rized sampling plans, which I have further modified, as faults and other discontinuities. Such anticipation is
Table 12. Sequential sampling, I assume, would be the clearly of considerable value in designing an investi-
one in most common use in most site investigation work. gation, geological mapping, core logging and in
developing the model.
Structural geology features For example, in rock investigations, and to a lesser
In 1946, Terzaghi proposed the concept of Rock Mass extent soil investigations although just as important,
Classification. In 1963, he wrote on joints and other there is a wealth of observations which have to be made
discontinuities requiring accurate measurement to ana- on discontinuities. This is a ripe area for requiring
lyse the patterns they make in a seemingly homogeneous efficient arrangement of the layout of boreholes, scan-
body because of the important effect they have on lines and other observational techniques (e.g. Chapter 1
permeability and stability. In the same year Deere of Brown 1981). Amongst many authoritative published
pioneered techniques for rock characterization. This led works on the subject in recent years, Hudson (1989)
throughout the following decade to the growth of rock summarizes in efficient detail characteristics which need
mass as well as rock material classifications to identify to be recorded.
Common problems in site investigation

The literature contains many case histories which indicate problems due to lack of a good geological model,
or simply lack of geological understanding at the end of the investigatory work. Bevan (1996) reviewed
eighteen case histories. He identified problems in construction projects which repeatedly occurred in the cases
he reviewed. Not all were specifically related to lack of development of the geological model but the lack of
a model shines through many of the references. I have quoted or paraphrased Bevan's analysis, much of
which will be familiar to site investigation practitioners, as it condenses common problems in investigation
with the backing of many refereed publications.
Variability of strata between boreholes and pits, which led to misinterpretation of the ground (Knill &
Jones 1965; Lovegrove & Fookes 1972; Carter & Mills 1976; Dumbleton et al. 1978b; Davies et al. 1981;
West & Ewan 1981).
'Unavoidable instability in highly variable ground' (Fookes 1969; Carter & Mills 1976: Dumbleton et al.
1978b; Dumbleton & Priest 1978; Davies et al. 1981; West & McLaren 1981).
Lack of recognition of features such as joints, faults, and other discontinuities, fill, shafts and mine
workings, that eventually lead to failure (Knill & Jones 1965; Carter & Mills 1976; Dumbleton et al.
1978a; West & Toombes 1978; Davies et al. 1981; Deaves & Cripps 1995).
Changes in the route or position of the project with little or no ground investigation of the new area,
leading to problems (Carter & Mills 1976; Dumbleton & Priest 1978; Davies et al. 1981; West & McLaren
1981).
Poor prediction of geology and physical properties resulting in damage to machinery or increases in cost
and time (Carter & Mills 1976; Dumbleton & Toombes 1978; Davies et al. 1981; West & McLaren 1981).
'Physical difficulties in getting investigation equipment to the site' (West & Ewan 1981).
'Poor interpretation of the data due to insufficient ground investigation' (Anderson 1996; Carter & Mills
1976; Dumbleton et al. 1978b; Dumbleton & Toombes 1978; Davies et al. 1981; West & McLaren 1981).
'Poor recovery from boreholes and block samples due to the nature of the geology' (Fookes 1969;
Anderson 1996; West & McLaren 1981).
He also identified where good practice reported in the case histories avoided or limited potential problems:
'The utilization of all pre-existing information available from previous projects' (Dumbleton et al. 1978b;
West & Toombes 1978; West & McLaren 1981; West 1983; Deaves & Cripps 1995; Pickles & Everton
1996).
'The use of "flexible" management' (Dumbleton et al. 1978b) in order to develop the knowledge required
at each stage of the investigation and the ability to adapt it for any problems that are encountered at any
point' (Knill & Jones 1965; Fookes 1969; Lovegrove & Fookes 1972; Dumbleton & Toombes 1976;
Dumbleton & Priest 1978; West & Ewan 1981; Deaves & Cripps 1995; Pickles & Everton (1996).
'High quality core recovery and interpretation, especially in geologically significant areas' (Carter & Mills
1976; Dumbleton & Toombes 1978; Davies et al. 1981; Pickles & Everton 1996).
'Concentration of investigation in areas assumed to be of engineering significance or predictably
problematic' (Knill & Jones 1965; Dumbleton & Toombes 1976; Anderson 1996; Fookes 1969; Lovegrove
& Fookes 1972; Carter & Mills 1976; Dumbleton & Toombes 1978; West & Toombes 1978; Davies et al.
1981; West & McLaren 1981; West 1983; Pickles & Everton 1996).
The use of successful geophysics to correlate data obtained from ground investigation to increase
confidence in any predictions made (Knill & Jones 1965; Dumbleton & Priest 1978; Dumbleton et al.
1978a; Dumbleton & Toombes 1978; West 1983).
Continued testing and assessment of conditions during construction to aid the prediction of problems,
especially useful in tunnelling (Knill & Jones 1965; Carter & Mills 1976; Dumbleton et al. 1978a,b;
Dumbleton & Priest 1978; Dumbleton & Toombes 1978; West & Toombes 1978; Davies et al. 1981; West
& Ewan 1981; Deaves & Cripps 1995).
Sampling and testing to help understand important physical properties for design. 'Ideally a sampling
pattern should be developed to accommodate geological variability' (Knill & Jones 1965; Fookes 1969;
Lovegrove & Fookes 1972; Carter & Mills 1976; Dumbleton & Toombes 1976; Davies et al. 1981; West
& Ewan 1981; Deaves & Cripps 1995; Pickles & Everton 1996).
'Geological mapping in greater detail at the site or re-mapping areas may be useful. The creation of
geotechnical maps (Fookes 1969) helps in the determination of the sampling pattern' (Knill & Jones 1965;
Fookes 1969; Anderson 1996; Lovegrove & Fookes 1972; West & Ewan 1981; Pickles & Everton 19961).
390 P.G. F O O K E S
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d i ~c.onJ-inoi+i~-s ~ p~i bl T I I V v E . S T I G A T I ( ~ N FOil. DA~/ A N D
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hol~s q-o i n f e . r s ~ c . t - sf-r~-I-~ 6 , o , J n c t ~ r l e ~ ,
j o i n { ~ p l o . n e s , 5t-o.J~ly i n c . K n e . d e t y k e . ~
cLnd ~ v e l ' ~ r ( c a l voldanie n~Ms,
- ~ u p p I ~-rne-n+~.d .by Ion5 clip +f~ncJ~ e.~
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5r~ond inveafL~,~ h' o n
morli~-or cJc~c)~InelL~o.~9-r I~_V~_JS
Fig. 57. Idealized layouts of ground investigations in steeply dipping strata with igneous intrusions and extrusions (see Fig.
41(a) (e) for successive stages of the investigation for the dam and power station, Fig. 19 for details of the geology, and Table
5 and Figs 42 and 43 for ground investigation procedures for large projects).
As a simple example of the effect of discontinuities on considered acceptable at the site investigation stage
site investigations, the Lower Coal Measures through where a good general picture of the structural geology
which the Kielder tunnels were to be driven were known is required. See also Ewan et al. (1981) for further
to have subhorizontal strata and subvertical joints which discussion.
could have caused instability in the tunnel walls. Coates In general:
et al. (1977) state that the angle of the boreholes for
the tunnel investigation was based upon the borehole Discontinuity and other structural geology data can
arrangement that would intersect a large number of first be assessed using air photographs, geological
joints without incurring a significant increase in the hole maps and memoirs at the desk study stage and from
lengths. It was calculated that the chosen angle of 45 field investigation of exposures, especially with use of
required a 40% increase in the borehole length whereas scanline techniques, e.g. investigation of in situ out-
an angle of 30 would have required a 100% increase in crops of quarries/mine workings, road/rail cuttings,
the borehole length. They reported, however, that the and so on. Where possible, location and spacing of
cores recovered did not always give a true representation boreholes should be based upon information gained
of the openness and clay infilling of the joints, the latter at these early stages, particularly from field mapping.
probably being caused by the washing out of the soft Excavations, such as pits, trenches and adits, should
material during drilling. A second simple example, is by be located with care. They may be located to gain
West (1979) who, amongst others, looked at the repro- information on a particular feature or suspect area, or
ducibility of joint measurements in rock. He applied be of a more general nature, simply to examine the
measurement of joint frequency and orientation to the rock and its structure. The orientation should be
Lower Chalk and found that the dip angle, and the dip selected with the engineering and/or geological struc-
direction, could be determined to about plus or minus 6 tures in mind, for example, excavation along the line
for well-defined joints and that the results produced by of a tunnel; or perpendicular to the structural trends
different observers agreed in broad outline. This can be of the site geology.
392 P. G. F O O K E S
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Table 12. Some plans.for sampl#~g
Plan Description Advantages Disadvantages
Statistical Selecting samples so each Gives reliable results with detailed Ignores known information.
sampling homogeneous zone has a calculated sampling and testing. Cannot be used to plan borehole
chance of being taken. and trial pit placement.
'Purposive' Aims to provide answers to a large Takes all known information into Uses judgement rather than
sampling range of questions. account. Samples taken from where statistics. Cannot ascertain
important data is predicted. probability that samples represent
the sampled unit as only a few are
taken, without statistical control.
Search Similar to purposive sampling. Identification of useful, poor or Requires much information to be
sampling Identifies known areas of hazardous zones. known beforehand.
importance.
Sampling Samples are taken at various May better describe soil changes if Use of systematic sampling depth
in depth depths. continually observed so that soil can may cause errors; important
be subdivided. features may be missed.
Sequential Adapts to conditions encountered. Reduces costs as cheapest methods of May become time consuming if
sampling gaining information are used first. many different methods employed.
Useful in planning other boreholes.
Allows the focusing of boreholes in
important areas.
Vertical boreholes are generally satisfactory for from the genesis of the bedrock and any subsequent
obtaining data on horizontal or inclined discontinui- alteration by tectonic and other forces capable of
ties, e.g. normal, reverse/thrust faults and various fold folding, faulting or physically disturbing the bedrock
types--particularly open and/or inclined folds. When by diagenesis, hydrothermal, igneous (intrusive and
sunk in rocks which contain upright discontinuities, extrusive), metamorphic, and other geological activi-
they should be drilled at an inclined angle, e.g. strike, ties which can alter or modify the original rock or, in
slip-faults, which are usually steeply inclined; folds, the case of igneous activity for example, add to it
particularly tight folds with steeply inclined limbs and subaerial weathering and other surface or near-
cleavage. surface influences, including groundwater and fluvial,
Faults may displace and reorientate rock. This makes marine, aeolian, glacial and periglacial processes; ero-
correlation and interpretation particularly difficult. sion and deposition with the formation of superficial
Normal faulting may cause repetition of a sequence of deposits
beds whereas reverse faulting may cause some beds to
be omitted. Careful observations of surface features The history of the site may be complex, with various
need to be made, using geological mapping techniques cycles of rock building, together with unconformities,
and the model developed accordingly. buried landscapes, and so on.
The G E M requires that the particular geological
situation be subdivided into 'building blocks' identified
The geological environment matrix (GEM) by keywords. The information from each building block
is then added together to depict the model for the site.
For many years I have been attempting to review, in my For example, in the site already described above for the
mind at least, for every site on which I work, the likely tunnel in southwest England, the building block key-
geology which might be anticipated, and even the un- words for the model are folded, faulted, tropically and
likely geology providing there was some remote chance subsequently periglacially weathered slates with igneous
that it could be present. Until invited to give this lecture, intrusions.
I had not formalized this approach. This I have now The G E M is based on two tables: a Large (or Main)
done by starting to develop a Geological Environment Table (Table 2) in which four principal rock-forming
Matrix, or G E M for short, to help anticipate occurrence environments are recognized: Continental, Marine, Ig-
of geological conditions and to increase the confidence in neous and Metamorphic, with each being further sub-
the foreseeability of ground conditions using the model. divided into main sub-environments. In the case of
The system is based on the premise that at any the Continental, for example, these are slopes, glacial,
location the geology is the sum of its history: pro-glacial, periglacial, drylands, wetlands, lacustrine,
396 P . G . FOOKES
fluvial, estuarine and coastal. It can immediately be seen [Bb2] and strike-slip faults [Bb3]. The Large Table is
that different geologists might adopt different principal concerned only with the geological aspects of the site.
or main sub-environments, and experience in the use of However, the Small Tables, as well as being concerned
the system would no doubt generate modifications and with the sub-sub-environments, are also concerned with
improvements with use. the engineering, the site investigation and correlation
The Large Table is also divided into five principal with the rest of the system.
rock modifying environments: Burial, Tectonic, Volcanic, In practice, to develop the matrix requires the desk
Weathering and Processes. The environments are defined study to reveal the basic geological information about
as those directly leading to modification of existing rock the site from geological maps, air photographs or, in
(in some cases these are engineering soils) and the five their absence, a walkover survey. For example, suppose
principal environments are further subdivided, for such a study indicated that strongly folded, tropically
example, Burial is subdivided into compaction, dia- weathered turbidites were present. The geological
genesis and metamorphism. The Large Table (Table 2) model could then be constructed as follows: turbidites
is supported by many footnotes which attempt to over- would be part of the Marine Principal Environment [2]
come as many as possible of the geological exceptions of the Rock Forming Environments of Table 2, and
to the rules and to clarify various situations. It is also Continental Slope [2.4] of the Main Sub-Environment.
noted that there may be more than one phase of rock The original sediments would have been Compacted by
modification by the same environment and each of the Burial [Aa] and undergone Diagenesis [Ab] to form
modifications may co-exist in the modified rock. Clearly sandstones and mudstones in the Rock Modifying
the scheme is capable of further and further subdivision Environment of Table 2. Folding possibilities would be
but the table is at the level of division considered to be identified by [Ba] and cross referencing between Small
the simplest workable in conjunction with the rock Tables would allow a prediction of thrusting [Bb] and
forming environments. It is the premise of the system axial plane cleavage [Ac]. In addition, thickening of
that by use of the interaction of the rock forming mudstone and the fracturing of the sandstone in the fold
sub-environments and the rock modifying sub- hinge would be predicted. The occurrence of ground-
environments, any complex geological site condition water flow on faults is stressed in both [Bb] and all the
can be simulated. The strength and weakness of the weathering tables. In this hypothetical case, the rocks
system are that success in recreating the environment have undergone tropical weathering [Dd] and the likely
would depend largely on the ability and knowledge of weathering products and the qualitative assessment of
the geologist or geological team, together with the the state of rock mass could be predicted.
quality of information found during the investigations. Drawbacks to the GEM system need to be more fully
The model would be continually improved from the examined. Those found so far include the fact that
desk study stage onwards with the addition of walk- development of the sub-sub-environment tables may be
over information and subsurface information from carried out in more detail than is necessary since many
available sources and later from specific subsurface published geological texts might provide so much detail
investigation work (cf. Fig. 41(a) to (e)). It would also that their use would be cumbersome. In this case, and
allow many geological situations to be dismissed from indeed this is also true of the whole system, development
the beginning and enable concentration on geological of the sub-sub-tables would only be an aide-m~moire to
possibilities. an experienced geologist. Therefore tables should be
Examples of the GEM shorthand letters and numbers constructed using data relevant to the engineering prob-
identifying the rock forming and rock modifying main lem so they can be well focused: decisions on this require
and environments are shown, by way of illustration, experienced judgement and continuing discussions with
on some of the block models, namely Fig. 19 shows the Engineer. Some situations provide greater geological
various main igneous rock forming sub-environments, challenges than others and in some situations there
i.e. 3.1 (plutonic), 3.2 (intrusive), 3.3 (extrusive) and would be a surfeit of information and in others a
metamorphic 4.1 (temperature); and rock modifying paucity, depending upon geological and engineering
sub-environments, Ca (hydrothermal), Da (periglacial), experience of a local area.
Db (temperate), Dd (wet tropical) and Eb (downwear- The nature of rock modifying sub-environments
ing) of Table 2. Figure 21 shows a modern carbonate changes as the scale and nature of the modifying pro-
shelf facies; Fig. 29 a glacial valley landform; Fig. 30 cesses change. For example, the folding of rocks is to a
periglacial effects in southern Britain, Fig. 32 hot desert certain extent independent of rock type, whereas carbon-
environments. ate diagenesis is directly dependent upon the sediment
Each sub-environment is further divided into sub-sub- type. For practical purposes, there are three basic types
environments and each sub-sub-environment has a of rock-modifying Small Tables:
Small (or Subsidiary) Table created for it (e.g. Table 13).
For example, sub-environment faulting [Bb] would have specific Those that are specific to a particular rock-
a Small Table for reverse faults [Bbl], normal faults forming environment. For example, the table covering
>
<
<'~
O
~E

,.o
"~ -,z
.,..~
~t

2
.=.
a
398 P. G. FOOKES
subsidence due to long wall face coal mining, is sponsored by the Geotechnical and Tunnelling Division
specific to the rock-forming sub-environment which of W.S. Atkins Consultants Limited, Epsom, UK. The
contains coal. resulting theses should be referred to for detail. Time
semi specific Those that are specific to a given rock here permits presentation of only a shortened version of
type but not necessarily to a given rock-forming two of the cases.
sub-environment, e.g. the tropical weathering of
igneous rocks. Limestone in Middle East
non-specific Those that are more or less independent The first study (Gelder 1996) comprised a simple test of
of any rock-forming environment, e.g. folding, fault- the tables to establish a model of the ground conditions
ing, earthquake. above a limestone bedrock in a hot desert in the Middle
East. The engineering need was focused on an assess-
While it is clear that specific rock modifying Small ment of the suitability of the ground to provide engi-
Tables are desirable, many rock-forming Small Tables
neering construction materials, including fill. The study
would make the system cumbersome to use. In addition,
attempted to predict the site conditions prior to field
large amounts of text would be duplicated in many of work and to suggest the best potential site investigation
the Small Tables, further reducing the value of having so
techniques. For the purposes of the exercise, a site which
many tables. had already been investigated some years before was
It is clear that such a system as G E M is likely to
selected. The only knowledge available to the student at
benefit from computerization, the tables being obvious
the time that his model was being made was that the site
candidates for using data base software which will allow
was underlain by Eocene carbonate bedrock (cf. a
keyword search or a search using related tables and
similar modern-day environment of deposition model,
figures. At the moment, GEM is still being developed
Fig. 21); also, that it was not associated with alluvial
and the hard copy approach has several advantages over
fans or dunes and that evaporation and salinity were
the computerized version. The entire Large Table can be
considered the modifying environment, i.e. he was only
presented on a single page, whereas only two or three aware of the sort of information that would have come
columns can be displayed on a computer screen. The
out of a desk study.
figures which accompany the tables can be included with
The student chose not to place the carbonates in
the relevant tables, i.e. all the Small Tables and figures
sub-environment 2.3 (Marine, Shelf, of Table 2) but
for a sub-environment can be kept together. The figures
considered that such rocks were generally homogeneous
could be scanned and stored very efficiently as part of
limestones and as such could be simulated using tables
the G E M on a CD ROM. With careful design, this [Aa 1] and [Ab 1], viz. carbonate compaction and diagen-
method of storage could become a powerful source of esis. A summary of information from the tables which
information which could be accessed rapidly via the
the student considered relevant is shown here in Appen-
geologist's personal computer. There is also the prospect
dices 6.1 and 6.2. Appendix 6.1 is developed from Table
of turning the tables into a robot engineering geologist--
2 and Appendix 6.2 developed from Appendix 6.1 to
I do not think we are quite ready for that--yet! But the make a Small Table. Full details are given in the thesis.
potential is there. It will, however, be some time before a
Using this information and the information that he
non-geologist could use a computerized system effec- abstracted from many figures associated with these
tively. For the moment the value of such a computerized tables, the student made the geological model Fig. 61.
system is to act as an aide-mOmoire to ensure that no When this phase of his work was complete, he was given
relevant sub-sub-environments are missed during the
the results of an earlier field reconnaissance of the site,
recreation of the site geology.
which included drive and walkover examination of
existing excavations and excavation of eight trial pits.
Gelder's cartoon (Fig. 61) and the model (Fig. 62) made
Testing the operation of G E M at the time of the field reconnaissance some years before,
can be favourably compared.
In order to test the applicability of the Large and Small Following is a summary of the surface-downward
Tables, several case histories of project sites were exam- geological succession found at the site, taken from a
ined. Geological models for various sites were developed report written at the time of the original field reconnais-
from the tables on field work in accordance with the sance.
information gained from a selection of small tables 'A. Desert surface comprising sand and up to gravel and
which were fully developed to maximize the design of the cobble sized limestone particles in undisturbed areas.
investigation for the sites. The case studies were carried Elsewhere the surface has been disturbed by man and is'
out independently by a Masters student in engineering now being deflated by the wind. ( R E G O L I T H )
geology from Newcastle University and by two Masters B. Variably cemented gypsum crystals with sand, gravel,
geomaterials students from Queen Mary and Westfield cobble and rare boulder sized particles of limestone.
College, London University. The students' theses were (REGOLITH)

~ G r o u n d level
@ o
Z:5
_ Ground water level

<-? " -Y ....
,..._._._,_
\
; , f J
Hard, well cemented, low porosity limestone; well bedded.
(~ The limestone is well jointed.
Salt growth in the fractures leads to widening close to rock head, blocks of b e d r o c k
are liberated when salt growth occurs along bedding planes. The liberated blocks are set
in e salt matrix (probably gypsum) matrix end decreases in size towards the surface.
A 'snapshot' of the information available from a borehole and o trial pit.

Trial pits are favourable.
Gravel log on the surface makes these deposits easily identifiable by geomorphological
mapping.
Reproduced from Gelder(1996)
Fig. 61. Project in Middle East: conceptual cross section of surface geology in site area.
C. Limestone with gypsum in the joints and bedding clearly have affected the development of the regolith and
fractures resulting in particles generally of cobble and hence the water table would have been much higher at
boulder size arranged in a "crazy paving" pattern. times in the past, allowing the regolith to develop unless
(BEDROCK) eroded. In this respect, the tables have somewhat over-
The development of the regolith varied laterally across the simplified the geological conditions of the site. He con-
site as the distribution of the salt formation varied'. cludes that despite these points, the tables were
The student considered that the GEM tables worked successful in their role of predicting site geology and
particularly well as a desk study in predicting the site suggesting appropriate site investigation, and that his
geology and in suggesting the best site investigation schematic prediction was very similar to the as-found
(which is not presented here but was more or less as had conditions. He gave them a very high success rate
been carried out). (estimated at greater than 95%).
He raised what he calls some 'minor' points. Firstly,
the Small Tables, and the cartoon (i.e. model) of the Tunnel in southwest England
geology produced from them, give no scale to the prob- The second case is a more complex one and I have again
lem other than 'the depth of altered cover will usually be chosen the same tunnel in southwest England described
in the range of trial pits'. The depth of regolith depended previously. Extensive records were made available to the
upon the amount of fractures in the bedrock and the rate student only after his own desk and field study (Gelder
of growth of gypsum: hence no definite depth of regolith 1996).
could be predicted but could be obtained easily from the It was contended that the original site investigation
subsequent site investigation. Secondly, the groundwater had failed to appreciate the geological conditions at the
table is well below the level shown on his cartoon (Fig. site. During construction, problems were encountered
61). Quaternary changes in climate and sea level will with rock of lower quality than predicted in the crown of
400 P.G. FOOKES
~: o ~:~ o-
~ E.-~ ~ o
o ~'o.~ ~
8
o.0
"F.
o
g
o0
~2
*-~"0
Q 0 '
S N
Ground level
Solifluction mantle with gently undulating topography.

(~ Roekheod affected by periglociol shattering and/or tropical weathering.
Note the control of the cleavage. Effects masked by the solifluction sheet.
@ Deep weathering (tropical with possible perlglaciol action) along the thrust faults.
Folding of relict bedding with net dip to the south.
Dyke. Drawn here as vertical, however, dyke pre-dated folding and hence is
unlikely to be vertical. Thick dykes present difficult tunnelling conditions.
Reproduced from Gelder(1996)
Fig. 63. Tunnel in southwest England: conceptual cross section of geology in tunnel area.
the tunnel, and there were problems at the eastern end of He then carried out two-and-a-half days of walkover
the tunnel where unexpectedly large igneous bodies survey which enabled him to modify his model to that
caused excavation difficulties. Several small, closely shown in Fig. 64(a). He makes the point that the figure is
spaced igneous bodies with intercalated water-bearing not to scale, that the level of the tunnel is approximate,
rock of very low quality caused roof falls. Once, such a that there are likely to be several penetrative weathering
roof fall initiated the 'collapse' of a garden. zones parallel to the cleavage and the nature of the
The student carried out a desk study to determine contact locally to be sharp to diffuse. There may also be
which Small Tables were appropriate. The solid geology more than two igneous bodies at the southern end with
is as described earlier, consisting of Upper Devonian associated deterioration of the host rock. Figure 64(b)
metamorphosed marine sediment with intercalated shows the same situation drawn independently, also after
igneous rock affected by folding and faulting in the a desk study and two-and-a-half days' walkover by a
Hercynian Orogeny. These rocks were subject to at least second postgraduate student (Anderson 1996) working
subtropical weathering during the Tertiary, followed by on a different aspect of the same case history. It must
periglacial conditions in the Ice Age. be emphasized that neither student had access to any
Examples devised by the student of the information borehole or other ground investigation data.
deveioped to form the Small Tables are shown here in Figure 65 shows the as-found geology of the tunnel
Appendices 6.3 and 6.4. during construction, together with the original site
Using this information and that from the figures, investigation boreholes, both horizontal and vertical and
which I have not shown but are in his thesis, together the trial adit shown to the students after their produc-
with the information from the desk study, the student tion of Fig 64(a) and (b). Gelder (1996) suggests that the
drew the geological model shown as a sketch section, site investigation failed to appreciate the true nature of
Fig. 63. the weathering at the site. Horizontal lozenges of the
402 P.G. FOOKES
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404 P. G. FOOKES
low-grade material (i.e. poor quality) were predicted Select the relevant rock
only where such material was encountered in vertical Desk Study: Acquire information forming and rock modifying tables,
Use the information to construct
about rock type, structure
boreholes. These boreholes were not configured to estab- and former site uses, etc. a geological model of
the site
lish zones of weathering and the horizontal boreholes
were drilled well below the crown. Thus the ground
investigation was never likely to establish the actual
ground conditions. Use the geological model,
engineering requirements Test the geological model
In making his independent assessment of the tables and site investigation and develop it by a
walkover survey where possible.
for this case history, Gelder says that the model of techniques to optimise the
site investigation
the site geology created from the tables highlighted all
the significant features of the site, while missing some
of the more subtle aspects discovered during the The keywords were found to be a very successful way
walkover survey. He predicted zones of weathering of cross-referencing to ensure that features of the site
parallel to the cleavage, weathering zones associated geology are not neglected. The system needs to be
with the thrust faults, difficult conditions due to hard modified:
igneous rock and the masking of all these features
with a solifluction blanket. Furthermore, he consid- to improve the handling of groundwater conditions
ered that inclined boreholes perpendicular to strike and different project types (e.g. tunnels, basements,
(i.e. dipping north to south) would have detected piles) and consistency between tables and table
more zones of poor rock than the vertical boreholes. format;
From his model, it should have been clear that to consider ancient sedimentary systems (common
problems were most likely to occur near the crown combinations of environments, for example, coal
and that the horizontal boreholes should have measures) in addition to modern-day environments;
examined this area. to enable the ancient rock forming sub-environments
The model from the initial tables did not predict to address both rock composition and form, e.g.
the association of dykes, thrusting and mineralization granite pluton, carbonate reef, and so on. At present
established on the walkover survey, nor did they the tables have columns for this, i.e. lava/precipitate/
predict the zone of several thin dykes with inter- sediment deposited, and igneous/metamorphic/
calated tuff and slate which caused the main roof fall. sedimentary features. The tables demonstrate how the
Neither the desk study nor the walkover survey sug- composition of igneous rocks is repeated for each
gested that small dykes occurred in small groups in different form of intrusion (in several Small Tables). It
the way that they did. However, Gelder believes that may be possible to construct some geological building
had the ground investigation been carried out in
blocks, e.g.:
accordance with his predicted model, there would Igneous rocks: basic, intermediate, acid
have been a better chance of discovering these small Metamorphic rocks: pelite, psammite, quartzite, marble
dykes. He considered that the model produced from Sedimentary rocks: conglomerate/breccia, sandstone,
the GEM tables alone predicted some 70% of the mudstone/shale, limestone/dolomite
ground conditions on the site and over 80% of the
situation after the walkover survey. Gelder makes one In each case, only the composition and properties of the
additional point of note: he believes that an improved rock type are considered. This now makes construction
model, created by an experienced engineering geol- of systems much easier. In addition, all the rock-forming
ogist following a walkover study after a conventional environments can then focus on the form of the deposits,
desk study of that particular site, should have reached e.g. lateral variations between sand and mud in the
a similar conclusion to that which he reached, but delta environment. These building blocks are indepen-
this could have been done independently of the GEM dent of the Small Tables and should be included with the
tables. He says it follows that in this case either the Large Table as part of an independent key to the system
tables replace this stage of the site investigation, or since they affect all sites which include rock (Gelder
the tables would serve as an aide-mOmoire to the 1996).
engineering geologist while on site. In this latter Communication with the engineer at all times is a way
capacity he thought the tables were highly successful. of avoiding over-detailing the Small Tables. It should
After a well designed ground investigation, he be- be possible to construct an Engineering Environment
lieved that over 95% of the information would have Matrix (EEM) which could provide geotechnical factors
been achieved. that are important to any particular development. Such
From this case he concluded that the GEM has a a matrix would allow Small Tables to be focused to the
promising potential as a site investigation tool both in type of engineering project.
the desk study and in the ground investigation stages. Its In conclusion, I therefore offer the Geological
operation is summarized as: Environment Matrix as a system with potential,
certainly as an aide-mdmoire for a busy site engineering lead member is shown in bold. I hope this does not over
geologist. But I reiterate, an experienced and able emphasize the work of the geologist. The team should
engineering geologist would probably be building an include the engineer who will do the eventual design.
interactive matrix in his head. Here I have formalized Changes in approach will be determined, in part at least,
such a process. Geological data, even on a 'simple' site by the new Eurocodes which already require the field
can be formidable and geological data management is geotechnical engineer to take account of the method of
just around the corner for routine investigations and analysis.
is already available for many bigger projects and
organizations. See, for example, Lowe (1995) and other
papers in Giles (1995), another valuable Geological
Society Special Publication. Geology for engineers: concluding discussion
- some ways forward
Intelligent systems The model
Krumbein (1960) notes that there is a 'multiplicity
Before leaving the geological model, site investigations of variables in even the seemingly simplest geological
and GEM, I must mention, albeit briefly, the use of situation'. This must be of concern, therefore, to those
computer software which is rapidly expanding in site building even the simplest geological model. However, I
investigation. have already stated (at the end of section on The Model)
I have suggested earlier that except as an aide- that I believe any near-surface geological feature should
mdmoire, it is premature for the GEM to be computer- be anticipatable by a well-devised model supported by
ized as part of a fully computerized expert system. Such an equally well designed site investigation. In other
a system now would require most careful checking by an words, I think that all potential geological situations on
experienced engineering geologist. Computer programs a civil engineering site should be foreseeable but in the
for three dimensional modelling of geological infor- context of the site investigation carried out may not
mation are becoming increasingly available to engineers actually have been foreseen. Such a situation would
and geologists. Programs for geographic information inevitably lead to arguments in any contract based on
systems (GIS) and object orientated modelling have the the FIDIC 'Clause 12' situation dealing with unforeseen
potential to revolutionize the way in which data is physical conditions and may depend on the relative
gathered, processed and visualized. These advances responsibilities of the parties defined under the con-
require that standards are developed for the transfer of tract. What was foreseen by a reasonable contractor
data, such as the AGS standards developed in UK. The during the tender, may well be quite different from that
GEM could therefore be incorporated in the relatively of a research team which has had plenty of time and
near future into part of a computerized knowledge base specialist expertise. There is also the question of quan-
system (KBS) which offers structured and practical tification, for example the presence of karstic features
advice on the planning of site investigation through an in a limestone foundation may have been foreseeable,
interactive screen layout. but not the detailed configuration of individual solution
The development of a KBS called ASSIST (Advisory cavities, e.g. Figs 53(a) and (b).
System for Site Investigation) is currently being used on Looking back over many years, on numerous contrac-
a trial basis by Severn Trent Limited and an outline tual arguments based around Clause 12, I cannot recall
of its application is given by Oliphant et al. (1996). one where the geology was unforeseeable. In each situ-
Other examples of KBS development are given by ation the geology was not foreseen. It may well be the
Winter et al. (1996) in Craig (1996) and Xue & Smart case that the geology was not foreseen because it was
(1996) in Craig (1996), the latter being more focused quite a rare or difficult to identify feature which would
towards geotechnical testing. Xue & Smart are develop- have required an unrealistic and unreasonably large
ing a computer-based system for the scheduling of tests amount of site investigation to identify. It is in such
classifying groups of tests for a specific number of circumstances, if the model (perhaps assisted by a GEM
samples required. study) predicts the possibility of a rare situation, having
I will end this section by emphasizing again that the a very small chance of being found during construction
fully developed model is the product of teamwork, of the project, then the risk could be taken, or an
perhaps the best intelligent system, even on the smallest observational method of proceeding be considered for
sites (cf. Figs 3 to 5). Table 14 exemplifies this in relation the design and construction.
to the design of the sampling and testing in a large site I think the multiplicity of the variables even in a
investigation and is modified from the work of Bevan seemingly simple geological situation gives potentially a
(1996). Members of the team are engineer (E), engineer- wide range of problems for rock and soil description,
ing geologist (G), laboratory staff (L) and field technical sampling and testing, and of identifying reasonable
staff (F). Where two or more members are identified, the alternative geological possibilities for the whole or parts
406 P.G. FOOKES
Table 14. A scheme for plann#Tg of sampling and testing regimes
Phases of sampling Some questions to be answered

and testing
Objectives of the survey What are the properties to be tested? (L/G)

What specific properties require additional study? (G/E)
Population to be What is the size of the site? (E/G)
sampled What is the number of homogeneous units predicted from preliminary model work? (G/F)
What is the three-dimensional nature of the structure? (G)
Have all the localities that can be assumed to be of relevance to the site been visited? (F/G)
Data to be collected Is any previous data available? (G)
How many samples are necessary for each test? (E/G)
What scope is there for 'extrapolated sampling'? (G)
Is extrapolated sampling feasible? (G)
Degree of precision What are the design parameters? (E)
desired How is 'precision' to be defined? (E)
Methods of sampling What method of sampling will be the most cost effective? (G/F)
Are the methods used going to make the samples unrepresentative? (G)
What degree of disturbance can be expected? (G)
The frame (population Have any problematic areas been located during preliminary model work that suggest concentrated
divided into samplable investigation is required in certain areas of the site? (F/G)
units)
Selection of the sample Is the full variation within each zone that is sampled fully represented? (G)
The pre-test Can an indication of the properties be gained by using a cheaper method than that chosen for the
main investigation? (G)
Organization of Can the investigation be managed to build up the dataset to maximize cost benefit? (E/G)
fieldwork Are the guidelines set by the engineer/geologist being observed? (F)
Summary and analysis What statistics are to be use to summarize the data? (E/G)
of data Have all the requirements of the previous stages been met? (E/G)
Can any errors be detected? (L/E/G)
Is any more data required? (E/G)
How do the results compare with the pre-test/existing data? (E/G)
Information gained for What problems are predicted? (G/E)
future stages of the Are any problems liable to cause severe disruption to the project? (G/E)
project Can these problems be avoided? (G/E)
What are the areas of greatest importance for future study? (G/E)
How can improvements be made on the previous sampling and testing that have been completed?
(G/E/F/L)
Key: E, engineer; F, field technical staff; G, geologist; L, laboratory staff.
of the model. It is essential that each of the variables in m o d e l in such a situation is d e p e n d e n t on only two
the site geology are identified for the designers and for variables:
the sampling and testing p r o g r a m m e ; or h a n d l e d in
h u m a n constraints; the appropriateness and quality of
some statistical manner; or allowed for in a design
the team selected, i.e. the ' b r a i n p o w e r ' b r o u g h t to
m a n n e r . In a sense, the final m o d e l resulting from the
completed site investigation becomes the 'reference con- bear
practical constraint on the investigation: for example
dition' for the project and is an a p p r o a c h which has
financial, time or access
m u c h to c o m m e n d it. R e a s o n a b l e alternatives in the
model could be p r o d u c e d for specific engineering
structures in the project, which could be used as further To return to Glossop (1968), ' . . . if you do not know what
or additional reference conditions. The difficulty with you are looking for, you are not likely to find much o f
this a p p r o a c h is in identifying the reference conditions, value'. Models help you k n o w w h a t to look for: w h e n
i.e. getting the range of real possibilities in the m o d e l you find something that does not fit the model, y o u
correct. This should not be left to a sole geologist but check it out; if it is still out of place, you change the
be the result of t e a m w o r k . I believe the quality of the model. The p o w e r o f the m o d e l is m o r e in its ability to
Table 15. A sequence of acceptance of technical innovation into may be developed and marketed without proof of their
general practice long lasting abilities. The great majority of works are
therefore carried out to the state-of-the-practice and not
1. Identify the problem (minutes to years) to the state-of-the-art; it should be clearly understood
by clients and engineers alike to which state their
2. Research the problem (days to years)
project, be it site investigation or construction, is being
3. Identify the solution in 'academic' papers (months to years) carried out.
It might be argued that engineers and geologists
4. Codify the solution in "engineering" publications (years) should always be aware of academic developments
in their field, but I find that for the busy practitioner
this is hardly practical. In the main, geotechnicians
anticipate conditions than to predict them precisely. and engineering geologists must rely on draft codes
Anticipation is turned into reality by the ground and authoritative reports from engineering bodies and
investigation. authorities (e.g. CIRIA, BRE) to keep their thinking
abreast of good practice. But even engineering institu-
tions can be slow to grasp developments. Nevertheless,
Education, experience and research out there, on the drafting table (now CAD!) and on the
construction site, the responsibility shouldered by the
Glossop (1968) was much concerned about the edu- individual engineer, or his company, is huge in compari-
cation and experience of geologists and engineers. Edu- son to that of many professions. He needs to, and
cation and experience, in the broad sense, must be the constantly has to, make difficult pragmatic decisions. I
key not only to development of a geological model that admire his profession.
gives no problems during or after construction, but also Most ground engineering projects involve engineers
to conditioning the attitude of the geotechnical team, or, and equipment working in potentially dangerous and
perhaps more pertinently, of those organizations who do often dirty conditions. Practical knowledge, personal
not have or use a geotechnical team. My experience is and collective experience and ability to get things
that the sequence of acceptance of technical innovation done are necessary to devise realistic solutions to sub-
into general practice (as outlined by Table 15) is likely to surface problems. Training continues throughout the
take ten, perhaps even twenty or more years to come engineer's career by experience. In this it does not differ
into clear focus. At any one time, therefore, investi- from being a medical practitioner, a geologist or a
gations may be carried out to the standards of the lawyer. Without it, all are limited in their professional
current state-@the-art, i.e. those developments at the development.
forefront of research, or, probably more typically, to
the state of the practice as exemplified in Codes of Education and training
Practice and proven by experience over the years. The education of civil engineers in British higher edu-
Anything less should not be acceptable. cation establishments may be carried out by academics
Technical innovation must stand the test of time in who, it is possible, may never have been on a site or
order to prove its worth. This may be problematic, designed a structure in earnest, although this situation is
especially in site investigation where the ensuing con- being modified to an increasing extent with the inter-
struction may be designed to last fifty or a hundred action of academia and industry and the rise of aca-
years. Hence, accelerated simulations of time (e.g. model demically based consulting practices. However, in
testing, tests to prove durability) are often carried out Britain the complete production of a chartered engineer
by research organizations. Nevertheless, new ideas, requires the development of hands-on practice by the
e.g. equipment, test or analytical procedures or new graduate training scheme which leads to a chartered
materials, such as grouts, soil stabilizers or geotextiles, status some years after the student has left college with
Definitions used in this Lecture

state-of-the-art
design and construction practices carried out in reasonable accordance with the most recent standards
developed with the best available interpretation of current research and/or practical experience, not
necessarily those practices tried and tested by time
state-of-the-practice
design and construction practice carried out in reasonable accordance with the standards exemplified in
current Codes or Standards
408 P . G . FOOKES
Summary of main conceptual points in this section

These are the main, amongst many, principally conceptual points, based on the discussion in this section and
in part on the preceding sections on the Model. I have listed them to help bring focus to my overall way
forward.
Civil engineers should be educated to understand geology relevant to engineering, its strengths and
weaknesses and to make communication with geologists easier.
Geologists working in civil engineering need to be educated to understand relevant engineering, albeit
primarily from a conceptual viewpoint, to improve their own work and to improve their ability to
communicate with engineers.
Good engineering geologists are good geologists who understand engineering needs. The better the
geologist, the better the engineering geology.
Geology for engineers is a service, the quality of which varies widely from country to country and even
from company to company. This is a reflection of the attitude of engineers and geologists in their
upbringing and experience. Locally this has attained a good standard but its universal improvement will
take time.
In assisting engineers in site investigation and consideration of foundation and hazard problems, geology
can offer the development of the site model which can then be used to anticipate the three-dimensional
sub-surface picture, and the effects of current and past geological and geomorphological processes in the
area. It cannot always be relied upon to make specific predictions, but it should be able to anticipate all,
or very nearly all, geological situations in the area under consideration, however remote their likelihood,
qualitatively and quantitatively.
Geological problems are very rarely unforeseeable, only unforeseen.
Geology for engineers has served well as a service industry and must remain a strong and independent
discipline, not a watered down rock or soil mechanics. It must keep abreast of advances in the world's
geological or geomorphological knowledge and continue to develop applied skills commensurate with
this.
A way forward for geology for engineers lies in the continuing development of site investigation practice
and the understanding of geological surface and sub-surface processes of importance to engineering and
for the assessment of hazard and the quantification of risk.
a Bachelor's Degree in Engineering. It is likely that I favour the second and third routes, especially the latter
most civil engineering first degree courses in Britain since I believe, as I have implied on several occasions
contain teaching units in soil mechanics, geotechnical earlier, that a good engineering geologist is a g o o d
engineering (or similar) and probably also some geology geologist with knowledge of the engineer's world and of
for engineers. There are also several Masters courses what the engineer requires to k n o w to be able to design
available in soil mechanics and geotechnical engineering and construct with confidence. I believe that engineering
with a variety of emphases depending on the course geologists must keep their own identity, status and
chosen. role.
Education in engineering geology is a little different, On occasion, a geologist may do a Masters course in
although it is beginning to move towards the concepts in soil mechanics or perhaps rock mechanics, and again
the engineer's training. Currently, there are various this would lead him or her broadly to becoming an
paths to becoming an engineering geologist and it is engineering geologist but specializing in soil mechanics
possible that as engineering has always been perceived as or rock mechanics, or perhaps geotechnical engineering.
a vocational subject and geology as more an academic I do believe however that the first degree stamps an
calling, the need for different paths in the training of individual for a professional career as basically a geol-
vocational engineering geologists has arisen. C o m m o n ogist or an engineer. I believe an engineering geologist
ways of becoming an engineering geologist are by: should understand the principles behind analysis and
design of foundation engineering structures (e.g. retain-
(i) a first degree in geology, and subsequent experience ing walls, piles, slopes), but I do not believe that he
in a geotechnical organization; should be used as a foundation designer unless he is also
(ii) a first degree in geology with specialization in qualified as a chartered engineer. His role here should be
engineering geology, and subsequent experience in a to work with the designer.
geotechnical organization; A combined degree, as offered by some colleges, with
(iii) a first degree in geology and a subsequent Masters approximately half geology and half engineering, can
qualification in engineering geology and continuing produce very g o o d geotechnical practitioners but with
development in a geotechnical organization. the drawback, which might only be noticeable on certain
occasions, of being limited in the depth of their geologi- and rock mechanicians can be seen to be working with
cal or engineering knowledge. Time usually compensates them effectively, and voluntarily. I believe that such a
for this and they become successful geo-managers or situation has arisen, in part at least, because of the way
find a niche in some particular aspect or specialization in such engineers have been taught their 'geology for
which they can work and use their hybrid education. I engineers' in their degree. On occasion, when I talk to
do therefore favour the continuance of these combined engineers about this, invariably I discover that their
geology and engineering degrees. training in geology included extensive introduction to
My experience is that with young up-and-coming crystallography, palaeontology, endless hand specimens,
career engineering geologists, the structured education and looking down microscopes, which has been known
and training offered by British Masters courses in to switch off enthusiasm even in geologists--not that
engineering geology are usually a better introduction to these subjects are not important or do not have a place.
working for contractors or consultants than a PhD by They do, but I do not think that lengthy exposure to
research (or MSc by research), built only upon a degree them is particularly rewarding for an aspiring engineer.
in geology. The research does not offer such a balanced It was Professor A. Skempton, then Head of Civil
introduction to the daily engineering geology career Engineering, who, when I was a young teacher of
work as the taught Masters. geology for engineers at Imperial College in the 1960s,
A development of the last few years, certainly post was quite insistent that he wanted his engineers to be
Glossop's time as chairman of the Engineering Group, taught geological mapping in the field. Although this put
although foreseen then as a probability but a long way a strain on the Geology Department, year after year it
distant, is the ability now to become a chartered struggled to produce enough staff each Spring to teach
geologist--C. Geol. This basically requires a degree in about a week's field mapping to a dozen or so separate,
geology or closely allied subject and a minimum of five small field classes of engineering students, scattered
years of appropriate and documented practical training around Britain. What I have found most rewarding is
(i.e. experience under guidance) post degree. Worldwide that years later several engineers, now in middle age,
professional regulation of geologists and geological have approached me, usually on a construction site, and
activities is expanding (e.g. see Fox et al. 1996). have said that although I might not remember them,
In Britain the route to becoming a chartered geologist they were taught geological mapping as an under-
broadly follows the system used by the Institution of graduate at I.C. They go on to say that they found then,
Civil Engineers, with formal training at an institution of or have found subsequently, that this was something
higher learning followed by a period of training in which, perhaps more than any other teaching of the
industry in the first few years of employment. I like this subject, has helped them to understand and appreciate
system, and for the specialist I like to see it built on a what geology is all about.
Masters course in the chosen area of speciality. I also I understand that civil engineering degree courses (and
believe short, intensive 'mid career' specialist courses at I presume also in other engineering disciplines) are
a higher education establishment (but only at those tending to teach more and more erudite analytical
which really have the expertise to give them) should approaches to design and evaluation of engineering
be part of the competent professional's continuing situations. This I suppose is inevitable. In geotechnical
education. engineering, I believe the teaching of analytical methods
The pathway to chartered status is still being explored in soil or rock should go hand-in-hand with enough
and improved by the Geological Society and more geological education to nurture understanding of the
rigour is developing in the acquiring of this status. This geological limitations where these exist.
major step in the geologist's world is most welcome Table 16 outlines the geology that I would like to see
and, I hope, not least by engineers and other employers taught to engineers in their bachelor's degree. I am
of professional geologists. I hasten to add, amateur strongly aware of the competing claims on time in the
geology is still flourishing in Britain, as numerous engineers' undergraduate curriculum and hence have
local societies and highly regarded institutions such been somewhat economical with what I would ideally
as the Geologists' Association testify, and long may it like taught. I am also sadly aware that the teaching of
do so. geology, especially in the field, could be a financial
I will begin to finish with another hobby-horse. There expense which some departments wish to avoid. How-
is a fairly high proportion of civil engineers and it would ever, I believe that at least a week's field work should be
not be an exaggeration to say that I have probably met sacrosanct in the teaching of geology for engineers,
several a year, year in and year out, who effectively along with an emphasis on the Quaternary; a historical
can see little value in geology and the contribution it perspective of the Earth; an understanding of the prin-
can bring to either design or construction aspects of ciples of structural geology and of geomorphology,
engineering. This number, I sense, is diminishing with especially processes; together with a working knowledge
the years as the practitioners in engineering geology of the formation and characteristics of sediments and
grow in numbers and skills, and as soil mechanicians sedimentary, igneous and metamorphic rocks. I also
410 P.G. FOOKES
Table 16. Estimated contents of geology for civil engineers undergraduate courses
'Traditional' Fookes' Ideal
*Mineralogy/petrology up to 50% General principles 10%

*Palaeontology around 20% Geomorphology/quaternary 50%
*Stratigraphy around 20% Geomaterials 25%
(inc. simple petrology)
Other, Structural geology 10%
including physical 5%
and structural geology around 10% Stratigraphy
4- *Crystallography work + Field trips rain. 1 week
+ *Microscope work in lab. + Mapping lab, work
+ *Fossils in lab. + Hand specimens
+ Mapwork in lab.
*High 'boring' capability.
believe that geology teaching should be blended with TRL), and the British Geological Survey, together with
that of soil mechanics and rock mechanics, as well as the Working Parties of the Geological Society.
with geomaterials. It is vital to show the limitations that In Britain, the big developments in theory and prac-
geology can place on many engineering analyses and tice for the foundation designer and the constructor
interpretations because of the variability in its com- have largely been made by the contribution of soil
position, e.g. texture, fabric, structure and weathered mechanics and rock mechanics. Less appears to have
state. Case histories must be given. This would require been made by engineering geology per se. However, the
that the teachers of geology for engineers (usually from strength and success of its contribution to engineer-
geology departments) and of the geotechnical subjects in ing has been in the support and understanding that
the engineering departments, have sufficient knowledge geology can bring to soil and rock mechanics and other
themselves to be able to bridge the gap between geology ground related engineering, and in the acquisition and
and engineering. On the other side of the coin, I interpretation of data which leaves no stone (sorry!)
believe that 'engineering for geologists' should be taught unturned in the investigation of sites. In Britain, a
to geology students studying engineering geology at continuing way forward for engineering geology thus
undergraduate or postgraduate level. I know of no lies in the improvement of existing skills and the acqui-
British university doing this. sition of new skills. The steady production of papers in
scientific journals like the Quarterly Journal o f Engineer-
ing Geology testifies to the development of the subject.
Research I single out advances in the understanding of
For about three decades now, there have been three or ground characterization, engineering geomorphology,
four schools of engineering geology in British universi- engineering seismology, hazard evaluation, hydro-
ties teaching a Masters course, and from these schools a geology, slope instability and the engineering geology
number of PhDs in the subject have emerged. However, of surface environments and more recently of waste
I do not believe a strong reputation in engineering disposal.
geology research has yet been fostered by any of these The general standard of papers in the Quarterly
schools to compare with, say, the world renown soil Journal o f Engineering Geologists is good and annually
mechanics at, for example, Imperial College and sets a national and often an international standard.
Cambridge. The engineering geology mapping started Elsewhere, some national, even international, engineer-
in Imperial College in the 1960s, was subse- ing geology journals, I judge, have a somewhat indiffer-
quently developed to an international level, primarily ent track record of papers, some appearing pedestrian or
by Professor W. R. Dearman at Newcastle before he repeats of earlier work and with reference lists often
retired. Currently, the University of Leeds tends to parochial and severely limited, although this situation is
research more in rock slopes and weathering and getting better. I see engineering geology publications as
Imperial College in weak rocks and ground pollution, one of the indications that the general development of
but at these schools and elsewhere in Britain there have engineering geology on the world scene is still in an
been only few major advances fostered by the research. early stage. The quality of such journals is bound to
The main engineering geology developments in Britain improve with time. Around the world, advances are
have come largely from practitioners and the govern- occurring, especially in remote sensing, for example, in
ment or former government institutions (e.g. BRE, Australia and South Africa. In Australia, Canada and
mountainous Europe there are strong links with rock I am particularly indebted to Mr D. Sweeney of Messrs.
engineering and engineering geology, often joined as W. S. Atkins for financial help in preparation of the lecture and
some draughting; also to Mr G. Pettifer, Engineering Geol-
'geomechanics'. Several European countries, in particu-
ogist, of Mitcham, Surrey, for his excellent preparation of the
lar the former Communist bloc, have extensive coverage block drawings; and for many helpful discussions and editorial
of first-rate national 'engineering geology' maps, and in comments from: Professor J. Atkinson of City University; Mr
USA, France and a few other countries, hazard mapping J. Charman, Consultant; Mr J. M. Manning, retired civil
is relatively extensive. Mapping for geomaterials re- engineer, formerly of Messrs. Rendel, Palmer & Tritton; Mr G.
sources is being developed in Britain by the British Pettifer; and particularly Mr D. Shilston of W. S. Atkins
Consultants Limited. Some of the ideas expressed have been
Geological Survey. These few superficial examples, no
developed while leading undergraduate and postgraduate en-
doubt over selective, I consider indicate that the world gineering geology field trips for City University, London, as a
development of engineering geology is mainly driven by Visiting Professor. Case histories which have been identified are
need and the record of fundamental research is still from published works in the list of references; others have not
fairly dilute, i.e. the current practice of engineering been identified.
geology is largely that of a service performed when My most grateful acknowledgement for this text must go to
my wife, Edna, for endless hours of typing and for attempting
required.
to keep my feet firmly on the ground.
I believe that the main strength of the British
postgraduate schools of engineering geology (which I
consider as a group probably to be amongst the best, if
not the best in the world) is in their teaching. The
Appendix 1. Aide-mdmoire on engineering
students of these schools, together with a small number soils and geological environments*
of institutions which teach geology and engineering as
a degree subject or as a speciality in the final year, Organic soils (1.6; 1.7; 1.8; 1.9; 1.10)t
produce graduates sought after in Britain and around Highly compressible and subject to severe long-term
the world. creep.
I also think that the mainstay of British engineering Often of very low unit weight, which can cause problems
geology, which has given it an international authority, in slope stability (low passive resistance, etc.).
has been primarily the contribution it has made to classi- Non-saturated peat deposits may float when flooded.
fication and description of soil and rock; and secondarily Wastage of peats when exposed and subject to drying.
the behaviour of such materials in their geological setting. Usually difficult to run plant on and to handle as spoil.
It is the latter that ! see as now being the most desirable Methane gas may be present.
and potentially fruitful research area. Engineering geol-
ogy must not become watered down rock or soil mech-
anics but must be a discipline with an identity that can Colluvial soils (1.1)
offer not only the geological model, but qualification and
quantification of subsurface and surface geological and Formation often involves shearing. Low strength shears
geomorphological processes, and the prediction and per- may be present, often continuous and at base of soil, on
formance of all or any facet of geology in engineering slopes currently too flat for slope movement. Problems
circumstances. Earthquakes, volcanicity, groundwater, for embankment foundations on sidelong ground and in
fluvial and wind systems, coastal and marine processes, excavations.
weathering, geological materials in construction, environ- Soils often thin and subject to seasonal water content
mental problems and so on, all offer exciting challenges. change. Time of investigation and type of engineering
Remote sensing above and below ground are expanding construction can be important.
frontiers to be harnessed for geology and engineering.
Engineering geology has well served its baptism of
pigeon-holing and 'stamp-collecting' and now is the time Taluvial materials (1.1; 1.5)
to push back new frontiers.
Landslides are often at limiting equilibrium, on major
shear surfaces. Development of equilibrium slope in
Acknowledgements. I have received considerable practical help clays may take many decades. Instability due to toe
and guidance from numerous engineers and geologists during erosion may continue long after erosion prevented.
my career, to whom I can only give blanket thanks. I have also
Excavation and filling likely to initiate new movements.
worked with and received inspiration and instruction from
many, principal ones having been identified in my lecture, to Strata disturbed in massive landslides; open fissures and
whom I now add Professors D. Brunsden, R. Cooke and D. *For 'alluvial' soils see Appendixes 3 and 4 and for Tropical
Jones, and Dr J. Doornkamp, all academic field geomorpholo-
gists of the highest standing; and in geomaterials, Mr L. Collis, soils see Appendix 5.
retired, formerly of Messrs. Sandberg, Dr W. R. French and Dr tMain rock forming sub environments in which they occur,
A. B. Poole of Queen Mary & Westfield College, London from Large Table (Table 2) of the Geological Environment
University. Matrix (GEM).
412 P. G. FOOKES
fracture zones formed. Soil more porous and wetter than faces and residual soil often covered with fresh deposits.
parent soil. Perched water table effects. Thin ash layers, weathered to clay, within other deposits.
Screes may develop avalanche/flow slide behaviour when
disturbed.
Appendix 2. Aide-m6moire on vegetation,
Hot desert soils (1.5; 1.10) climate and groundwater conditions
Commonly with no or little cohesive material. Vegetation
Usually granular and well selected (i.e. in engineering Vegetation increases evapotranspiration from soil and
terms, 'poorly graded', meaning mainly single sized), causes an increase in soil suction and a decrease in soil
when wind blown or coastal, usually of low density. water content.
Often poorly selected (the engineering term, 'well- Development of tree root systems causes shrinkage of
graded', i.e. mixture of sizes) coarse, and of angular clays and settlement of foundations.
shape when deposited by ephemeral spate flow in wadis Clearing of vegetation causes swelling of clays and loss
or fans. of strength in slopes. Decay of root systems removes
Near to the surface water tables (e.g. coasts, playa lakes) reinforcement of superficial soil and may promote
usually lead to precipitation of evaporite salts. surface erosion and instability.
Heave of shallow foundations on clays if they are
Glacial soils (1.2; 1.3) constructed just after trees are cleared.
Often variable and heterogeneous, horizontally and

vertically. Original landforms obscured. Buried valleys, Annual evapotranspiration exceeds
etc. High and low permeability strata give complex infiltration
ground water conditions. Severe artesian pressure con-
Low water tables controlled by local stream levels, etc.
ditions often exist below tills which mantle valley slopes
and presence of more permeable strata, upward flow due
and floors.
to evaporation. Partly-saturated soils, sometimes to
Problems with water deposited soils same as those for
great depth.
alluvial soils.
Long-term desiccation. Possibility of collapse on wetting
(or when evaporation is prevented by sealing the ground
Glacial till (1.2)
surface) in porous residual soils, weathered sands, loess,
Density, strength, etc. depend mainly on density of
etc., and of heave on wetting of plastic clay.
deposition, not on stress-history, as with alluvial soils.
Soil suctions facilitate construction of steep temporary
Nature of fine matrix material and presence of clay
slopes, shafts, etc.
minerals control properties.
Erosion protection of slopes by vegetation often
Often contain local inclusions of water deposited,
laminated sands, silts and clays. Often have discon- impractical.
Chemically active zone at ground level due to evapor-
tinuities as in alluvial clays. Boulders cause problems in
ation of ground water, recementation and cap-rock.
drilling, piling, excavation and filling. Drag structures at
base of fills on weak rocks, etc., cause errors in rock level
estimation, problems with piles, etc. Annual infiltration exceeds
Problems with fills same as those for alluvial soils. evapotranspiration
Downward flow from ground surface and high
Periglacial conditions (1.4)
water tables usual in fine-grained soils, even in slopes.
Permafrost in active conditions. Saturated soils. Flow into excavations and under-
In relic conditions, past ground freezing is likely to have ground works. Ground movements due to dewatering
produced extensive colluvium deposits on slopes. and internal erosion.
Valley slopes will be affected by strata disturbance and Erosion protection of slopes by vegetation usually
shearing due to valley bulging and cambering. practical.
Parent soils and rocks will have been fractured,
brecciated and uncemented by ground freezing. Such
Seasonal shorter term variations
effects may be present generally or locally.
Evapotranspiration and infiltration rates often vary
Volcanic soils (3.3 and 3.4) seasonally (and from year to year) They may also vary
on a much shorter time scale. Surface conditions and the
Often of high plasticity with smectite, hallosite. water contents (and related engineering properties) of
Layered and complex deposition. Old weathering sur- superficial fine-grained soils vary accordingly.
Seasonal heave and settlement of superficial clays Appendix 3. Aide-m#moire on geotechnical

and foundations. Variation of superficial undrained
strength of clays and suitability as embankment founda-
problems associated with different coarse
tions. Heave and settlement of superficial structural grained soil types
foundations depend on conditions prior to construction.
Undrained strength and suitability of superficial fine- Typically, strength decreases and compressibility
grained soils as fill also varies. increases with increasing fines content. These soils are
Conditions during site investigation may vary from listed according to their dominant particle size.
those during construction.
Earthmoving of fine-grained soils very difficult when
rainfall exceeds evapotranspiration. Seasonal variations Gravels (1.3; 1.8; 1.9; 1.10; 2.3)*
control earth moving season and short-term variations
control working time. These variations depend on tem- In situ
perature, wind and rainfall duration, rather than on Densities vary widely according to deposition.
rainfall amount, problems usually worst in temperate High strength and low compressibility.
climates, and are often strongly influenced by site The permeability is variable, depending on particle sizes
elevation. and packing of matrix material--often very high and
Supplies of water for treating fills may vary seasonally. can only be determined by pumping tests. Large flows
Severe cyclonic rainfall causes slope failures. into excavations can occur. Full consolidation during
construction.
Can be gap-graded and 'openwork' with voids only
Seepage pressures and permeability of partly filled by fines. Fines may then migrate if hydraulic
saturated ground gradient increased.
Difficult to investigate by boring. Difficult to obtain
Different pressures often exist in permeable strata representative disturbed samples from below water table
separated by less permeable strata. Permeability of as fines are washed out during drilling and sampling.
superficial rocks strongly influenced by structure, stress Thin layers of other soils may not be detected.
relief in slopes. Faults may form permeable or imper-
meable features. Seasonal and tidal variations. Freezing Fills
and thawing lead to ground disturbance and pressure Gravels which are 'choked' with silt and clay-sized
and moisture changes. Burrowing by animals. Ground matrix material can be difficult to traffic and compact
distressing related to erosion. Seismic shaking. when wet. Such gravels may not lose water readily under
Need for investigation by piezometers over adequate gravity drainage.
depth and lateral extent. Adequate sealing of site inves-
tigation boreholes to prevent permanent modifications
of flow pattern and unexpected flows into intended
works. Sands and silts (1.2; 1.3; 1.7; 1.8; 1.9; 1.10;
Pressure distribution and strata permeability control 2.3)
flow into tunnels and excavations, borings for cast-in-
In situ
place piles (and washing out of unset concrete). Risk of
loss of non-cohesive soils by erosion, base heave and Densities vary widely according to deposition. Per-
uplift below dewatered excavations, ground settlements meabilities are moderate to high. Consolidation during
due to temporary and permanent dewatering, influence construction.
of construction on adjacent structures, etc. Often weakly bonded or with interlocking grains, which
is difficult to detect. Properties usually improve with
geological age.
Loose sands and silts are very susceptible to liquefaction
Artesian pressures (groundwater level during earthquake, can develop flow slides, and settle-
above original ground level) ments when subject to vibration.
Very erodible. Piping risks when subject to internal
Common below base of valleys in layered strata, and
water flow. Surface erosion by water flow and wind.
below glacial till on the lower slopes of valleys. Can
Collapse on wetting of dry sands, particularly if
occur within alluvium near to slopes.
weathered.
Exacerbates all problems involving uplift below struc-
Silts are subject to frost heave.
tures and excavations. Upwards flow in boreholes.
Severe problems with bored piles, anchors, etc., if flow *Main rock forming sub environments in which they occur,
significant. from Large Table (Table 2) of the Geological Environment
Special problem in sealing site investigation boreholes. Matrix (GEM).
414 P.G. FOOKES
Very difficult to obtain undisturbed samples. Ground Density depends on stress history due to burial and
below boreholes is often disturbed by water inflow desiccation. In situ characteristics of alluvial clays relate
during drilling below the water table. Thin layers of to stress history.
other soils may not be detected.
Fills Under-consolidated clays (especially 1.7;

Dry, single-sized sands and silts have poor trafficking 1.9; 1.10)
characteristics.
Silty soils are subject to rapid deterioration and poor Normally-consolidated clays not yet fully consolidated
trafficking during wet weather, and may not lose water under current vertical total stress. Occurs due to rapid
under drainage by gravity. deposition (common in deltaic deposits), or where an
Silty soils may 'bounce' when trafficked, creating diffi- older deposit has been recently loaded by a new deposit
culties in forming graded surfaces prior to laying road or fill. Excess pore pressures exist.
bases, etc., and increasing fuel consumption of plant. Very low undrained strengths and high compressibilities
If loose dumped, moist sands and silts may bulk through compared to depth. Ground surface still settling.
capillarity effects and have low density. Collapse may Stability of excavated slopes may be controlled by
occur on saturation. undrained strength.
Normally-consolidated clays (especially

Appendix 4. Aide-m#moire on geotechnical 1.7; 1.9; 1.10)
problems associated with different fine
Current effective stress is maximum to which soil
grained soil types has been subjected. Soil improves with age due to
creep. Exposed surfaces usually overconsolidated by
These are fine grained if there are sufficient fines to
desiccation.
produce low permeability and allow the soil to maintain
Low undrained strength. High compressibility and
a suction. Typically, strength decreases and compress-
secondary compression (creep), which increases with
ibility increases with increasing fines content.
plasticity.
Low allowable loading pressures under structures and
embankments. Large post-construction settlements.
Clays (1.1 to 1.10; 2.3)* Base heave and failure in strutted excavations, and high
strut loads. Down-drag on piles. Low strength and
Properties vary widely with mineralogy and grading (i.e. difficult working conditions for plant during excavation.
the proportion of silt and sand particles present).
Drained strength decreases and compressibility increases
with increasing clay content and plasticity. In clays with Over-consolidated clays (especially 2.3)
more than 30-40% platy clay mineral particles, shearing
produces shear discontinuities of low residual strength. Current effective stress is less than previous maximum
Clays are then brittle and strength is subject to progres- (the preconsolidation pressure).
sive failure. If effective stresses due to engineering works exceed
pre-consolidation pressure, behaviour reverts to that of
In situ normally consolidated clay. Compressibilities much less,
Permeabilities are low unless sand or silt layers are unless this occurs.
present. No consolidation or swelling during construc- Undrained strengths higher but difficult to predict.
tion except near drainage boundaries. Post-construction Reliable drained strengths also difficult to predict.
swelling and consolidation occurs. Probable high in situ horizontal stress in heavily over-
For saturated clays, short-term undrained strength gov- consolidated clays. Large horizontal movements during
erns stability in loading cases (foundations). Long-term and after excavation. High lateral stresses on buried
drained strength governs unloading cases (excavations). structures.
Undrained strength depends on rate of loading, and is
usually anisotropic. Care is needed in applying results of
tests. Laminated and varved clays with sand
and silt layers (especially 1.3; 1.7)
*Main rock forming sub environments in which they occur,
from Large Table (Table 2) of the Geological Environment Highly anisotropic drained strength: strength along
Matrix (GEM). layers controlled by the most plastic clay layer present.
Rapid consolidation/swelling in horizontal direction. by fill-placing, and produce a clay fill of low per-
More rapid gain in strength under loading but short- meability.
term undrained strength cannot be relied upon for Low plasticity clays lose significant undrained strength
temporary works. with small increases in water content in wet weather
Water from sand layers in exposed excavations can working.
cause internal and surface erosion, swelling or clay Low-plasticity clay fills with high saturations often
layers and rapid deterioration. Similar effect in borings 'bounce' under traffic (see silty fills, Appendix 3).
for piles and piers. Clay haul road surfaces become too slippery for traffick-
Easily sampled in borings, but clay layers swell immedi- ing in rain.
ately after samplings, taking water from sand/silt layers, Rutting of wet plastic clay fills under trafficking causes
which cavitate. Incorrect water contents and undrained shear surfaces which reduce bulk strength. Smooth drum
strengths of clay are then measured. rollers can cause horizontal surfaces of low strength.
Smear of borehole walls by clay during drilling influ- Early compaction of clay important to seal surface and
ences results of in situ permeability tests, also reduces reduce softening by rain.
efficiency of vertical drains. Drying of clay prior to placement requires reliable warm
dry weather.
Discontinuities
Fissures, joints and shear surfaces frequently present in
alluvial clay, particularly when over-consolidated. Joints Appendix 5. Behavioural characteristics of
and fissures in low plasticity clays may have coatings of tropical soils
higher plasticity clay.
Strength reduced, particularly by pre-sheared surfaces in Guidance on field classification and engineering behav-
plastic clays of low residual strength. iour of tropical soils is given in detail in Anon (1990). In
summary,'there are certain special behavioural charac-
Bonding teristics related, to mineralogy which demonstrate the
Often present, varying from very slight to signifi- utility of the proposed soil groups. It is important to
cant (forms weak mudstone). Usually removed by note that the fabric, texture, presence of weathered rock,
weathering. relic discontinuities and other structural features in the
Improves intact strength and compressibility. residual soil may be of dominant importance in the
May cause sensitivity. behaviour of the soil. Such features become more
Allows fissures to remain open, giving higher bulk per- important below weathering grade VI, i.e. in the
meabilities and accelerated swelling/consolidation fines. saprolite rather than the solum.
In thefersiallitic vertisols group (i.e. the black soils of
Sensitivity Fig. 37 and Table 3), behaviour is dominated by the
Loss of undrained strength on remoulding. Usual in all volume changes exhibited by smectite clay minerals
normally consolidated clays. when they are subjected to changes in natural moisture
Severe in 'quick clays', usually due to presence of content. Several methods of prediction of swelling
bonding, or leaching of low plasticity marine clays by potential are available, including those based on results
fresh seepage water. Can also occur in residual soil. of index tests.
In the fersiallitic andosols (characteristically devel-
Dispersion oped on young volcanic soils, for example, in Indonesia
Inter-particle attractive forces usually give clays resist- where the Australian and Pacific plates are colliding),
ance to erosion by water. In dispersive clays such forces allophanes together with halloysites and metahalloysites
do not exist. Highly erodible, both in situ and if used of the kaolin group influence engineering behaviour, viz:
as fills.
Soils containing metahalloysite possess aggregations of
Clay fill clay particles which can be dispersed by manipulation
during testing. Aggregates may be reformed unless the
Traffickability and height of undrained slope construc- soil is over-dried at 105C, which removes all inter-
tion controlled by remoulded undrained strength. particle water and collapses the aggregated structure.
Degree of saturation important. Soils containing hydrated halloysite lose water of
Strength and stability of fill slope usually governed by hydration or water on drying. This occurs when the
long-term conditions (drained strength plus pore pres- relative humidity falls below 50% or the temperature
sure due to rainfall infiltration, etc.). Deep-seated failure rises above 50C. The loss of water of hydration in a
may be governed by short-term undrained strength. pure halloysite is equal to 14% of the dry soil weight.
Bonding of parent clay usually destroyed by excavation Drying causes aggregates to form and the soil then
and fill placing. Laminated and varved clays are mixed behaves like the metahalloysite described above.
416 P. G. FOOKES
Soils containing amorphous allophane form aggre- to separate individual particles without crushing or
gates on drying. This is an irreversible process caused splitting. For soils in which particles are held together
by loss of interparticle water and waters from the by cement the extent of disaggregation may be limited
amorphous clay mineral and is accompanied by large to that achievable by finger pressure. In some soils it
reductions in porosity. The effect can be so marked as might be preferable to soak in water overnight (with a
to change the soil from a 'clay' to a 'sand'. dispersant if appropriate) and to apply no additional
mechanical force.
In the ferruginous, ferrisol and ferrallitic soil groups
Irreversible changes in plasticity on drying. Soils which
variable quantities of sesquioxides affect the results of
contain hydrated oxides of iron and aluminium may
standard laboratory tests in several ways, viz:
become less plastic, i.e. exhibit lower Atterberg limit
Aggregation o f clay-size particles. The sesquioxides values on drying. This is partly because dehydration
within the fine fraction of tropical soils coat the sur- of the sesquioxides creates a stronger bond between
face of individual soil particles because of the electrical the particles, which resists penetration by water. The
bonding between the negatively-charged kaolinite and process cannot be reversed by re-wetting. The effect is
the positively charged hydrated oxides. The coating observed during air-drying but is more pronounced
reduces the ability of the clay minerals to absorb water on oven-drying at higher temperature.
and can also physically cement adjacent grains, thus Loss o f water o f hydration on drying. The water of
producing aggregates of increased size. Both factors hydration in the sesquioxides of iron and aluminium
reduce plasticity, but intensive remoulding of the soil may be driven off by oven-drying at 105C, the
breaks down aggregates and the sesquioxide coatings, standard temperature for testing temperate region
with an attendant increase in plasticity. This is import- soils. This water normally takes no part in the
ant when relating laboratory testing procedures to engineering performance of the material but reflects
construction operations. Field operations of exca- tests undertaken to temperate country standards at a
vation, transport and placement are unlikely to break higher moisture content.
down the fine soil aggregates to the extent that plastic- Collapse characteristics or decrease in volume upon
ity is affected. The degree of working required to addition of water and with no addition of load.
prepare laboratory specimens for Atterberg limit de- Susceptible soils have high void ratios but relatively
terminations is, by comparison, very much greater. low moisture content and hence they may be identified
The plasticity of the construction material may thus be by determining whether the natural void ratio is
lower than would appear from the standard Atterberg higher than the void ratio at the liquid limit. This
or other laboratory tests on remoulded samples. indicates a soil that is susceptible to changes in
Disaggregation. Disaggregation of tropical residual structure with saturation. Another method is to make
soil should be done with care and the aim should be use of the consolidation test.
Appendix 6.1. GEM. Cop)' of part of a rock modifying sub environment sub table (developed from Table 2) fi'om Gelder (1996) on
his Middle East case histo O'
[Aa I ] Typically ramp carbonates have low porosities.

lAb2] Following burial diagenesis, most carbonates have porosities - 5/,,, due to cementation by calcite saturated pore
waters. The cementation will be throughout the rock mass and not patchy. However, porosity is lowest for old
limestones (these limestones are relatively young), hence it may not be as low as 5%. Unconfined compressive strength
increases with increased cementation. Limestones are often well bedded and jointed, despite low porosity and as such
are prone to alteration by acidic water or growth of evaporite minerals.
[Dc2]* Salts, especially chlorides, carbonates and sulphates of Na, K, Mg, Ca are common where groundwater is present
near the surface and can be evaporated by capillary action. Upward leaching of cations, especially when evaporation
>>rainfall leads to crystal growth, which destroys the rock fabric and leads to the formation of duricrusts (Fig. Dc8).t
Gypsum crystals grow and displace sand and gravel sized pieces of bedrock. The size of clasts in the gypsum matrix
increases as rock head is approached. Crystal growth may widen any fractures in the bedrock. The surface sand
fraction is often removed by wind leaving a gravel lag.
Duricrusts may make reasonable aggregates. Aerial photographs and rapid mapping at a large scale, can be of great
use in delineating the various deposit forms in drylands. Boreholes and trial pits are of most use in investigating these
deposits. Trial pits are of particular use since they reveal the lateral variations in rockhead and in the grading of clasts
from rockhead to the surface. The composition and structure of the salt matrix can be examined and fracturing due
to salt growth will be much more apparent than in boreholes. The depth of the altered cover will usually be within
the range of trial pits.
*See expansion of part of this sub environment to a small table on the sub sub environment, Appendix 6.2.
tNot included here but can be found in Gelder (1996).
~<
e~ ~.~3 ~o =
o~ ~ o~ o~

,.o .,~ 0
_ o~.~ ~ =..
< ~..~ ~.~ H ~ o
. ....~
<
~_~ ~
o
~.~ "~
o ~,'F~ o
~.~ o~o~ ~ ~ ~ ~~

~o
E
~o
~-~ ~
o
~
""~
. ,...~
~~R~ ~ .~-~ o ~
F~ ~0 ~ ~ ~o ,..0
',o
"V-
~%~-
o
oo
+..a
~~ c~

,.o
e,i
o
..
c~
2:
418 P. G. F O O K E S
Appendix 6.3. GEM. Copy of part of a rock forming and rock modiJ),ing sub environment sub table (developed from Table 2) from
Gelder (1996) on his southwest England case histoo'
[3.2.11 The mineralogy of the rocks is likely to be dominated by andesine and hornblende with quartz and
Dyke orthoclase. Biotite and muscovite may be present. Dykes have a discordant contact with bedding in the
country rock They are likely to be a few metres wide and are commonly very steep. Contraction joints,
perpendicular to the margin are common. Dykes often exploit weaknesses in the rock mass, e.g. faults,
jointing. The rocks are HARD. They are prone to jointing which may increase the degree of groundwater
penetration and hence weathering; however the rocks generally form aquicludes, preventing lateral movement
of groundwater. Dykes may be decomposed to some depth and have altered the rock into which they are
intruded. Thin vertical dykes are difficult to locate with boreholes. Inclined holes perpendicular to the strike
of known dykes increase the chance of their detection.
[4.3.1] Slate is formed by recrystallisation of clay minerals, which impart a fissility parallel to the fold axial planes
Low grade (i.e. E-W). Relic bedding may be preserved, especially where the original sediment was more coarse grained.
rocks Slaty cleavage is very closely spaced. More widely spaced cleavages are a result of pressure solution. Pressure
solution is associated with mineralisation. Cleavage is a planar weakness. The rock is much stronger across
the cleavage than along it. Cleavage increases the bulk permeability of the rock mass and thus controls the
weathering profile. Cleavage, bedding and fracturing often have oblique intersections causing instability.
Excavation often leads to rock being liberated in blocks. Site investigation should include careful mapping to
establish the structural trends and styles of the rocks. Borehole investigations are problematic in slate due to
the fissility imparted by the cleavage. Careful coring at as high an angle to cleavage as possible is the best
option to allow rock mass classifications. These will reveal the strength of the rock mass.
[Bal] Open folds are formed by regional compression and are always associated with faulting and fracturing. The
Open folds angle between limbs, fractures and cleavage may be critical to stability. Fracturing is prominent in the hinge
area of the folds which may not be detected by boreholes. Linear fabrics and boudinage may develop where
[Ba2]* deformation is intense, causing rock pencils which are unstable. Folds are a problem if the amplitude or
Tight folds wavelength is at the scale of the project. As the folds become tighter, limbs, cleavage, fracturing and other
deformation features all become sub-parallel. The cleavage is parallel to the inclination of the fold axial plane.
[Ba3] The folds may plunge. The direction of plunge is parallel to the strike of the cleavage.
Inclined folds
[Bbl] Flat lying faults in which the hanging wall moves upwards relative to the footwall, are termed thrusts. Thrusts
Reverse are associated with compressional tectonics and hence with folds, and often with metamorphism. Rock on a
fault fault plane may be crushed and much weaker than the surrounding rock. Strike slip faults are likely to be
vertical with deformation of adjacent strata. Fault planes also act as conduits for groundwater flow. As such
[Bb3l they may provide pathways for deep weathering and mineralisation. The cohesion of a rock mass is reduced
Strike slip by faulting. Faults may juxtapose rocks of different geotechnical and hydrological properties. Faulting should
fault be mapped where possible from adjacent exposures. Faults may also be detected by boreholes but complex
fault zones may be difficult to interpret.
[Dd3], Faulting, fracturing and cleavage increase the bulk permeability of a rock mass and hence the depth of
[Dd6], weathering profile. Zones of weathering parallel to cleavage may be expected. Pelitic slates are particularly
[Dd9] prone to weathering due to the abundance of sheet silicates. Smectite and kaolinite are the most commonly
Wet tropical formed minerals. The transition from saprolite to fresh rock is commonly gradual over metamorphic rocks.
weathering of Residual soils may extend to great depth and soil mechanics methods must be applied. A site investigation
igneous rocks should establish the depth of the weathering profile and the weathering grade of the rock. inclined holes,
perpendicular to cleavage may be of most use in detecting weathering zones and all boreholes should extend
to tunnel invert level. Tunnels may well encounter several weathering grades parallel to the ground surface in
addition to the deeper weathering zones.
[Dal] Hill creep is developed in thinly bedded or cleaved rocks where discontinuities can be opened and altered.
Alteration of Rockhead is often shattered and such discontinuities are often warped down slope. Such features form
superficial beneath a mantle of solifluction debris. The contact between rock and mantle may be gradual or sharp
deposits and depending upon the characteristics of the rock. Extensive solifluction sheets may give the impression of gently
rock-head undulating topography. In many cases they mask the features at rockhead which may be highly variable,
especially where other processes have acted previously.
[Da2]
Mass
movements
*See expansion of part of this rock modifying sub environment to a small table on the sub sub environment, Appendix 6.4.
.-a
rm ,-~ .2
b ;>
o
~_.~
~.~ 7~
< .=
"..,,o +.a
,z ~ ~. ~z~o
o
~2
~3
%
~2 ~ o ~ ~.-~
c.. rA
. ,,...~ D
.~Ts
g
~3 cq

420 P.G. FOOKES
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25.
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and understanding that he has acquired available to
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-- 1983. Comparisons between real and predicted geology in
without the material and intellectual support of a research
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organization.
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sionally, some of us who have worked with him may even
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least until we have finished breakfast'.
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of the Cardiff cable tunnel. TRRL LR1012. Transport and Tonight he has synthesized his knowledge and experience
Road Research Laboratory, Crowthorne. and established some broad principles concerning the
-- & TOOMBES, A. F. 1978. Site investigation and construc- application of geology to engineering. He has given us
tion of the Liverpool loop and link tunnels. TRRL LR868. much to digest. Geotechnical engineering must start with
Transport and Road Research Laboratory, Crowthorne. relevant knowledge and understanding of the ground. Peter
WINTER, M. G., MATHESON, G. D. & MCMILLAN, P. 1996. has contributed much to this understanding, not least in
Development of a knowledge based system for ground his presentation tonight. Perhaps he has also presented
investigation in soil and rock. hT: CRAIG, C. (ed.) Advances some of us with a challenge, that we should show the same
in site investigation practice. Proceedings of the inter- concern for what the ground is really like in measuring and
national conference held in London on 30-31 March 1995. defining our material properties, and in performing our
Institution of Civil Engineers. Thomas Telford, 39-50. analyses.
XUE, X. & SMART, P. 1996. Expert system for geotechnical On behalf not only of those present tonight but of all the
testing. In: CRAIG, C. (ed.) Advances in site #westigation members of our geotechnical community, it is my great
practice. Proceedings of the international conference held pleasure to thank Peter Fookes for his lecture tonight, and
in London on 30 31 March 1995. Institution of Civil for his long and notable contribution to the development of
Engineers. Thomas Telford, 51-62. our profession.

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The First G l o s s o p Lecture

Geology for Engineers: the Geological Model, Prediction and Performance

Abstract and discussion on the education, training, research and experi-

Definitions used in this Lecture:

'engineering geomorphology '

Quaternary ("Ice Age") )

0.2 hr~ 600

(32 mins) 100

Origin of Earth Ca. 4500 Ma.

Fig. 1. Concepts of Geological Time.

Rock and soil

Geologists in civil engineering only three years. I therefore prefer an engineering

Empirical, Indirect Precise, Specific,

(more qualitative than (more intuitive than

:,:?;4-;';~ 22-~Y';~( ":: :f:.

CASE II: Generally too-narrow training if engineer or geologist is to be responsible for

CASE III: The broad-based geotechnical engineer or engineering geologist = broad

g e o m o r p h o l o g i c a l processes, y o u n g materials a n d land- o f black boxes to s u p p l e m e n t a n d even replace field

I Environment ~"~"~"~ "I''~ " I ~ ~ [ Geomaterials

Surface ~ " Surface

Fig. 7. Some interfaces with various disciplines.

MAIN STAGES OF FEASIBILITY -~ ENGINEERING CONSTRUCTION MAINTENANCE

Consulting (20%) d~\~\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\

Contractors (30%) \\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\~\~\\\\~\\

Public Sector (40%) ~\\\\~\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\~2~

Research and (10%)

\\\\\\\\\\\\\\\\\\\\\ MainAreaof Involvement SecondaryAreaof Involvement Maybe SomeInvolvement

Risk=Hazard severity x Likelihood of occurrence.

1 - IDEAL - Information available before design.

L a t e stage c h a n g e s in design, p a r t i c u l a r l y d u r i n g c o n - c i r c u m s t a n c e s occur. Shortfalls in a c q u i s i t i o n o f d a t a

50% . . . . . . . . . . . . . . . . ~ ' " " " ...........................................

An American view of hazards

'APPLIED I G N O R A N C E versus APPLIED SCIENCE

Status--Pre 1952 Status--195 2- I 96 2 Status--1963-1969

The observational method

r .... 7_--_----_fu--j ..... ,

Multiple Open Forum 3 Delphi Panel 2 Probability

Fig. 12. Summary of Methods for Improving Subjective Probability Assessments.

z ; / : ........ ! " ( ............. ~. . . . .

.,.~ ~.+C.i.. ,-,.lm @

~-0 ~,~_~ 0_o

c.c 3 u~ ,(t, tl . >, .

II I .. o.c (.d. volcJ~( 0

Short history of discovery of plate tectonics

Convergence boundaries--where crust is destroyed as one plate dives under another.

Fig. 15. The interior of the earth.

Z G " .: : . , ~~-, ..~. -"

The three principal rock groups (see also Fig. 18)

CONSTITUENT Coarse grained and coarsely crystalline rocks TEXTURE

Fig. 18. Schematic outline of rock material characteristics.

-~-~ ~ v~ o o u~_ ~.~.

: l[ / ' /' ,," , " ... " //C.::.<~

' : . .... .": ";",':'," .,, ..';..':--. "o ,~ '~

Main controls Weathering Response of material

Rock/Soil environment Crystallization processes* Disintegration

Lithosphere Hydration Unaffected minerals

*Indicates those processes considered to be most applicable to occurring on an engineeringtimescale

m "c ' F "E u c U3 0

(3.) aJnloJadwai sessgoOJd uo Sl!OS

(uJw) uop, o~!d!oaJd

Natural. pipes common, Fracture flow . . Igneous dyke