Revised AASHTO Manual on

Subsurface Investigations
Glenn J. Rix
Previous Edition
 Evolutionary Change in the Past 30 Years
• Geotechnical uncertainty and risk
• Developments in in-situ test
methods and their interpretation to
estimate soil and rock properties
• Rock mass characterization
• Geotechnical reports for
alternative project delivery
methods
• Geotechnical instrumentation
• Geotechnical data management
 Geotechnical Uncertainty and Risk

• Technical risks
– Inability to satisfy desired 
performance requirements for 
one or more limit states
• Financial risks
– Claims, change orders, cost and 
schedule overruns attributed to 
differing subsurface conditions
• Load and resistance factor
design
 Geophysical Methods

• New methods
– Surface wave methods
– Electrical resistivity imaging
– Ground penetrating radar
• New applications
– Seismic site classification via 
Vs,30
 In Situ Testing

• Increased standardization
of the SPT
• Widespread use of CPT
• Development of methods to
estimate engineering
characteristics and
properties of soils directly
from in situ tests
 Drilling and Sampling of Soil and Rock

• Direct-push sampling techniques

– Continuous hydraulic systems
– Continuous sonic drilling
– Vibracore
• Measurement while drilling (MWD)
 Laboratory Testing of Soil and Rock

• Quantitative assessment of sample disturbance

– X‐ray radiography
– Observed changes in vertical strain and void ratio during 
reconsolidation
 Interpretation of Soil and Rock Properties

• Soil properties • Rock mass properties

– Soil type – Rock Mass Rating
– Unit weight – Geological Strength Index
– Preconsolidation or yield  – Strength estimates
stress • Hoek et al. (2002)
– Drained and undrained  • Barton (2002)
strength properties
– Lateral stress state
– Modulus
– Coefficient of consolidation
– Hydraulic conducivity
 Reporting Geotechnical Information

• Alternative project-
delivery methods
– Construction manager at 
risk
– Design‐build
– Negotiated general 
contractor
 Geotechnical Instrumentation

• Sensor technologies
• Communication
technologies
• Automated data
collection
• Data storage and
information management
• Field installation
methods
Dunnicliff (1982)
 Management of Geotechnical Data

• Unprecedented amount
of data is available, but
is usually not readily
accessible
• Tools such as DIGGS
offer a standardized data
transfer protocol to help
manage large amounts
of data
 Other New Developments

• Increased emphasis on
quality assurance/quality
control
• Increased emphasis on
health and safety
• Increased use of
outsourcing for
subsurface investigations
• Technology transfer
strategies
 Objectives of the Revised Manual
• Develop a concise*, comprehensive document that will
be invaluable for planning, executing, and using
subsurface investigations for transportation projects
• Define a reasonable minimum standard of practice for a
modern geotechnical site investigation
• Enable geoprofessionals to develop cost-effective
design solutions while optimizing life-cycle costs,
ensuring public safety and environmental sustainability,
minimizing contract disputes and cost overruns, and
accelerating construction

* The 1988 edition of the manual is 391 pages vs. 373 pages for the revised version
 Intended Users
• State transportation agencies who are responsible for:
– developing the scope of subsurface investigations,
– selecting and managing qualified consultants and contractors to perform 
the investigation, and
– understanding the results of the investigation
• Consultants and contractors who are responsible for:
– executing a sound site investigation program
– using the results to develop a ground model for the project
– reporting the results in a manner that facilitates peer review, 
communication with stakeholders, and potential future uses of the 
information
 Project Team

• Geosyntec Consultants • Georgia Institute of

– Glenn Rix Technology
– Njoroge Wainaina – Paul Mayne
– Bob Bachus
– Ali Ebrahimi
– Rodolfo Sancio
– Brooke Faite
– Maria Limas‐Suarez
– Laura Leighton (Technical 
Editor)
Organization of the Manual

Topic Updated Manual 1988 Manual

Chapter 1 - Introduction Chapter 1 - Introduction

Chapter 2 – Geotechnical Chapter 2 – Subsurface Data

Uncertainty and Risk Requirements
Chapter 5 – Geologic Constraints
Chapter 3 – Subsurface Chapter 2 – Subsurface Data
Planning the Investigation Investigation Processes Requirements
Chapter 3 – Conduct of
Investigations
Chapter 4 – Field Mapping
Organization of the Manual

Topic Updated Manual 1988 Manual

Chapter 4 – Geophysical Chapter 6 – Engineering

Investigations Geophysics
Chapter 5 – In Situ Testing of Appendix B – In Situ Borehole
Soil and Rock Testing
Appendix C – In Situ Testing
Procedures
Chapter 6 – Drilling and Chapter 7 – Subsurface
Sampling of Soil and Rock Exploration
Appendix A – Drilling, Sampling,
Executing the Investigation
and Installation Procedures
Chapter 7 – Hydrogeologic Chapter 8 – Hydrogeology
Characterization Appendix B - In Situ Borehole
Testing
Chapter 8 – Laboratory Testing Chapter 9 – Laboratory Testing of
of Soil and Rock Soil and Rock
Appendix D – Laboratory Testing
Procedures – Soils and Rock
Organization of the Manual

Topic Updated Manual 1988 Manual

Chapter 9 – Interpretation of Soil Appendix E – Materials

Properties Classification
Interpreting the Results of
Chapter 10 – Interpretation of Appendix E.6 – Classification of
the Investigation
Rock Mass Properties Rock

Chapter 11 – Compiling, Chapter 10 – Compilation and

Reporting and Presenting
Reporting, and Presenting Presentation of Geotechnical
the Results of the
Geotechnical Information Information
Investigation
Organization of the Manual
Topic Updated Manual 1988 Manual

Appendix A – Geotechnical Appendix G - Instrumentation

Instrumentation
Appendix B – Applications of Not included
Supplemental Investigative Geotechnical Instrumentation
Information Appendix C – Evaluation of Not included
Existing Bridge Foundations for
Reuse

Appendix D – Management of Not included

Geotechnical Data
Appendix E – Quality Assurance Not included
Systems
Supplemental Appendix F – Health and Safety Not included
Administrative Information Appendix G – Contracting Chapter 7.3 – Contracts and
Subsurface Investigations Specifications
Appendix H – Technology Not included
Transfer Strategies
 Chapter 2: Geotechnical Uncertainty and Risk

• Uncertainties regarding subsurface soil and rock

conditions are a significant contributor to technical
and financial risks.
• Broadly, the purpose of a subsurface investigation
is to gather sufficient information about soil and
rock conditions to aid in identifying geotechnical-
related risks and reducing them to tolerable levels.
• Subsurface investigation strategies for reducing
geotechnical risks are presented.
 Chapter 3: Subsurface Investigation Processes

• Identifying the types of data required to address the anticipated

geotechnical risks and performance issues
• Selecting the most appropriate investigation equipment for the
anticipated site conditions
• Selecting the appropriate scope and methods for:
– geophysical testing
– in situ testing
– drilling and sampling
– evaluating groundwater conditions
– laboratory testing
 Chapter 4: Geophysical Methods

• Surface geophysical methods

– Seismic
• Refraction
• Reflection
• Surface wave
– Electrical and electromagnetic
• Resistivity
• Time‐domain and frequency‐domain electromagnetic
• Ground penetrating radar
– Potential field
• Microgravity
• Magnetometry
• Self‐potential
 Chapter 4: Geophysical Methods

• Borehole geophysical methods

– Seismic
• Crosshole
• Downhole (e.g., seismic CPT)
– In‐hole logging
• Mechanical
• Electrical and electromagnetic
• Nuclear
• Optical and acoustic televiewer
• Seismic logging (e.g., P‐S suspension logging)
Chapter 5: In Situ Testing of Soil and Rock
 Chapter 5: In Situ Testing of Soil and Rock

• Borehole test methods

– Standard penetration test
– Vane shear test
– Pressuremeter test
• Direct-push test methods
– Cone penetration test
– Flat plate dilatometer test
• In situ test methods for rock
– Plate load test
– Flat jack test
 Chapter 6: Drilling and Sampling of Soil and Rock

• Field equipment
• Methods for advancing boreholes
– Measuring (or monitoring) while drilling
• Soil sampling
• Rock coring methods
• Logging borings
• Boring closure
 Chapter 7: Hydrogeologic Characterization

• Groundwater levels and pressures

– Existing information sources 
– Geotechnical borings 
– Monitoring wells
– Piezometers
– Geophysical testing
• Aquifer characteristics
– Hydraulic conductivity
– Porosity
– Permeability
– Transmissivity
– Storage coefficient (confined aquifers) or specific yield (unconfined aquifers)
 Chapter 8: Laboratory Testing of Soil and Rock

• Quality assurance
– Sample tracking, transportation, storage and handling
– Quantitative assessment of sample disturbance
• Index properties
• Soil classification
• Compaction
• Hydraulic conductivity
• Consolidation
• Shear strength
• Dynamic properties
• Tests for subgrade soils and unbound bases
• Laboratory tests for rock
 Chapter 9: Evaluation of Soil Properties

• Subsurface stratigraphy
• Soil classification
• Unit weight ( )
• Preconsolidation stress or
effective yield stress
( = OCR∙ )
• Shear strength ( , , )
• Lateral stress state ( )
• Modulus ( , )
• Coefficient of consolidation ( )
 Chapter 10: Evaluation of Rock Mass Properties

VERY GOOD - Very Rough

moderately weathered and

SURFACE CONDITIONS

GOOD - Rough, slightly

weathered, iron-stained
- fresh unweathered

Slickensided with soft

highly weathered with
POOR - Slickensided,
Geological Strength

FAIR - Smooth,

VERY POOR -
Index (GSI) Rock Mass Strength ‐ Hoek ‐ Brown Model (Hoek 2007) ‐ Example Calculation for Marble

clay coating
altered
PROBLEM DATA Calculated GSI Parameters

filling
GSI = 45 Equivalent RMR= 50
ROCK STRUCTURE qu (MPa) = 37 mb/mi Reduction = 0.140
mi = 9 s (Rock Mass) = 0.00222
INTACT or MASSIVE
rock with few widely 90 GWT depth(m) = 2 mb (Rock Mass) = 1.262
spaced discontinuities Not applicable 3
(kN/m ) = 25 a (exponent) = 0.508
80 Depth (m) = 5 D (disturbance) = 0
BLOCKY - well interlocked
undisturbed rock mass Effective Principal Stresses MIT Stress Space MOHR-COULOMB CRITERION
composed of cubical
blocks with 3 sets of Depth  3 = v  1' uo  3'  1' q p' Ratio Secant Incremental Parameters
70

Decreasing Interlocking of Rock Pieces
intersecting discontinuities
z (m) (kPa) (kPa) (kPa) (kPa) (kPa) (kPa) (kPa) q/p' ' c', kPa  ' ID
VERY BLOCKY - interlocked (degrees) (degrees)
partially-disturbed rock
mass with multi-faceted
60 0 0 1966 0 0 1966 983 983 1.000 90.0
blocks having 4+ joint sets
1 25 2345 0 25 2345 1160 1185 0.979 78.2 253 61.2 A
DISTURBED-BLOCKY-
50 2 50 2677 0 50 2677 1314 1364 0.963 74.4 276 59.3 B
SEAMY: folded with
angular blocks formed by 3 75 2863 10 65 2863 1399 1464 0.955 72.8 295 58.1 C
many intersecting joint 40 4 100 3040 20 80 3040 1480 1560 0.948 71.5 309 57.3 D
sets with bedding planes
or schistocity
5 125 3209 29 96 3209 1556 1652 0.942 70.4 323 56.6 E
DISINTEGRATED ROCK: 30 MIT Parameters:
Poorly interlocked and
heavily broken with mix of q = (1'- 3 ')/2 Mean = 291 58.5
angular & rounded pieces
20 p' = (1 '+ 3 ')/2 Values (kPa) (deg)
LAMINATED-SHEARED:
lack of blockiness due to Not applicable
close spacing of weak
schistocity or shear planes
10

Decreasing Surface Quality of Discontinuities
 Chapter 11: Compiling and Reporting Geotechnical
Information

• Factual information • Interpretive information

– Preexisting data resources – Performance criteria
– Remote sensing – Ground model
– Geophysical information – Design recommendations
– In situ testing – Construction considerations
– Hydrogeologic information – Recommendations for 
– Laboratory testing geotechnical instrumentation 
– Instrumentation and monitoring
– Information for LRFD
 Chapter 11: Compiling and Reporting Geotechnical
Information

• Geotechnical data reports

• Geotechnical baseline reports
• Geotechnical design memoranda
 Complementary Resources

• AASHTO Load and Resistance Factor Design Bridge

Design Specifications (AASHTO, 2017)
• FHWA Geotechnical Engineering Circular No. 5 (FHWA,
2017)
• NHI Courses on Soils and Foundations (FHWA, 2006)
• U.S. Army Corps of Engineers Engineer Manual 1110-1-
1804 on Geotechnical Investigations (USACE, 2001)
• ASTM guides and standards
 Availability

• National Academies
Press
– https://www.nap.edu/catal
og/25379/manual‐on‐
subsurface‐investigations
• Currently under review
by AASHTO
 Acknowledgements

• American Association of State Highway and

Transportation Officials
• National Cooperative Highway Research Program
• NCHRP Project Managers
– Mr. David Reynaud
– Dr. Waseem Dekelbab
• NCHRP Project Panel