Fundamentals of Soil and Rock Mechanics

(Geol 4111)

Credit Hour: 3
Instructor: Matebie Meten (PhD)

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 Course Outline
1. Origin and Properties of Soils
o Formation of soils
o Soil profiles
o Types of soils
o Introduction to clay mineralogy
2. Textural and Grain Size Classification of Soils for
Engineering Purpose
o Mechanical analysis
o Hydrometer analysis
o Particle size-textural classification
o Lab exercises and tutorials
3. Plasticity in Soils and Soil Structure
o Soil structure
o Plasticity in soils
o Atterberg’s limits & their determination
o Uses of Atterberg’s limits
o AASHTO classification system
o Unified Soil Classification System (USCS)
o Laboratory practical work on Atterberg limit tests
4. Hydraulic Properties of Soils
o Permeability
o Concept of effective stress
o Seepage and flow nets
o Critical hydraulic gradient & piping
o Lab demonstrations on permeability tests and
seepage determination
5. Shear Strength of Soils
o Coulomb’s equation for shear strength
o Determination of shear strengths of soils
o Shear characteristics of soils
o Tutorial on shear strength of soils with lab
demonstration
6. Compaction and Consolidation in Soils
o Compaction and consolidation in soils
o Compaction and consolidation tests
o Tutorial on compaction and consolidation
tests 2
 Course Outline
7. Classification and Index Properties of Rocks   10. Planes of Weakness in Rocks
8. Engineering properties of rocks
o Rock strength (compressive, tensile and shear)
o Compression and shear tests on rocks
o Modulus of elasticity, modulus of
compression, Poisson’s ration, residual stress in
rocks
o Rock deformation and its significance in
engineering
o Tutorial on rock mechanics and laboratory
visits  
9. Rock Strength and Failure Criteria
o Modes of failure of rocks (Coloumb’s criteria)
o Stress-Strain behavior in compression
o The Effect of water on strength
o Controlling factors in rock strength and failure
o Types of discontinuities
o Effect of discontinuities in rock mass
strength
o Interrelationships among displacements
& strength
11. Rock Slope Stability
o Discontinuities and rock slope stability
o Shear strength of discontinuities
o Types of rock failures (Wedge, Circular,
Toppling)
o Water & rock slope stability
o Criteria for support of rock cuts and
slope stability
Course Delivery: Lecture, tutorials,
practical laboratory works, lab
demonstrations & video shows.
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Course Aim/Rationale
 To acquire civil engineering knowledge for effective application of geology
in engineering problems;
 To introduce students how to characterize engineering properties of
geological materials (soils, rocks) and their measurements and
classification.
Learning Outcomes
Upon successful completion of this course, students will acquire:
 A basic understanding about the principles of rock and soil mechanics;
 Skills in the engineering testing of soils & rocks in the laboratory.

Assessment Assignments (10%)

Mid Term Exam (20%)
Laboratory Exercises (20%)
Final Exam (50%) 4
 Chapter 1: Origin and Properties of Soils
• Soils are formed when pre-existing rock masses/“parent rock”, is broken down and
disintegrated by environmental processes. There are three kinds of processes:
(1) Physical Processes
• Temperature changes and the action of water, wind or glaciers break down rocks.
• Changes in temperature causes expansion and contraction.
• Water can break down a rock by:
(i) freezing, directly producing internal stresses due to the increased volume of ice
compared with water,
(ii) by alternating wet/ dry cycles over time.
• These physical actions
 break down the parent rock into smaller fragments,

 then separated by active agents, such as water, wind or gravity and

 transported to other sites. This further disintegrates rock particles to form a soil.

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 (2) Chemical Processes
• Chemical phenomenon affect rock in different ways
(i) hydration
(ii) dissolution of salts
(iii) oxidation of iron- bearing minerals
(iv) cementation
Chemical activity can cause disintegration and/or cementation.
(3) Biological Processes
• Bacterial activity:
 decomposes organic matter,
 acts as a catalyzing agent that can affect the reactions of the
inorganic constituents and
 mix organic matter with other particles derived from physical
and chemical actions. 6
• All these three processes result in the breakdown (alternation
or weathering) and transformation of rock and create a
weathering profile (Fig. 1).
• In this profile, the parent rock is farthest from the surface and
the soil is found at the top.
• Residual soils have developed in situ and remain in their
original location.
• Transported soil e.g. colluvial or alluvial deposits, have been
moved from the location of their formation.
• The different processes involved in soil formation are shown
in figure 2.

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Figure 1 The weathering profile.

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Figure 2 Origins of soils from rocks. 9
 Soils in geotechnical engineering
• Excavations or ground leveling can modify the existing environmental
conditions and the way the soil reacts will depend on many factors including:
 soil composition & geology,
 human activity and
 Adaptability of the engineering project to the natural environment.
• The ground response is therefore complex and depends on the:
 existing materials in the area and
 actions and forces applied to the soils.
• The response of a rock mass depends on its strength, weathering and
discontinuities.
• Fig. 3 shows the following characteristic properties of soils.
 Soils are formed of small individual particles(ranging from microns to a
few centimeters), which can be considered incompressible.
 Between these cemented/uncemeted particles are voids with a total volume
that can approach & sometimes exceed the volume occupied by the 10
  A soil is either a two- phase or three phase system (solid, liquid + gas).
 The voids, pores and interstices may be full of water, as in saturated soils,
or contain air and water, as in semi-saturated soils. The degree of saturation
conditions determine the response of the material as a whole . Under
normal temperature and pressure conditions, water is considered to be
incompressible.
• The chemical composition of the soil differs depending on the original parent
rock and the changes produced by particle weathering, deposition and
cementation.
• A soil is defined as an aggregate of uncemented or weakly cemented
materials, with weak point of contact, which can be separated by low energy
mechanical means or by agitation in water.
• Soil response to actions derived from engineering activities results in an
interactive displacement of rotating and slipping particles and this depends
on the:

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  Proportions of the various solid materials in a unit volume of soil.
 Particle size and distribution.
 Ratio of the total volume to the volume of solids; the higher the
ratio, the more deformable the soil will be .
 Average size of voids.
• The complexity of soil behavior means that the following problems
must be considered:
 Problems of deformability, produced by loads and external actions,
causing failure by normal and shear stresses where the change in
apparent volume is resulting from a change in external loading.
 Problems of flow. Water flow in different soil conditions, its
response to applied load as load -induced deformations develop
over time, the soil may expel or absorb water . This consolidation
process is needed to stabilize the changes induced with in a soil by
external actions. 12
 (a) Soil formation.

(b) Elements acting on soil.

Figure 3 Soil as a system of particles. 13

(c) Particle movement caused by external actions.
 Types of Soils
• Soil is a complex material which vary both in chemical composition
and particle size.
• Depending on the size of particles, soils can be classified into four
groups.
 Gravel: grain size between 8 – 10 cm and 2 mm with grains visible
to the naked eye. It has low water retention capacity because of
surface inactivity and large inter-particle spaces.
 Sands: particle size between 2 and 0.06 mm, still recognizable with
the naked eye. They do not form continuous aggregates when mixed
with water and readily separate from it.
 Silts: particle size from 0.06 to 0.002 mm. It has better water
retention capacity than larger sized particles.
 Clays: formed from smaller particles than silt (< 0.002 mm) with gel-
sized particles resulting from chemical changes. 14
  Clays are formed mainly from silicate minerals composed of
chains of tetrahedral and octahedral elements (with the silicate
ion at the center of regular structures and are joined by weak
covalent bonds that allow water molecules to enter the chains.
This may sometimes cause volume increases which return to their
former state as the water evaporates.
The resulting structure has a high water retention capacity with
small inter-particle spaces and a large absorbent particle surface
area. As a result clays are generally problematic materials,
requiring a long time for consolidation or expulsion of water
under loads.
• These particle sizes can be found naturally occurring in various
proportions, the percentages of which are defined by laboratory
analyses and dictate a description of the soil.
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 Introduction to Clay Mineralogy
• Soils are formed from solid particles, fluids, gases and voids.
 Coarse-grained or granular soils(with a predominant grain size larger than
0.075 mm), formed mainly of quartz, feldspar and calcite and less
frequently, of sulphates, salts and volcanic glasses.
 Fine-grained or fine soils(with more than 50% of the grain size equal to or
smaller than 0.075 mm), formed mainly from silts and clay minerals, such as
kaolinites, illites, smectites and organic material.
• The two classes of soil are differentiated by particle size analysis. The behavior
of coarse granular soil particles is usually stable and resistant, while fine soils
can form finely layered and laminar structures of variable behavior and are
geotechnically unstable.
• Granular soils are not plastic and their strength depends basically on the angle
of internal friction, which is conditioned by the shape, size and degree of solid
particle packing. Such soils are considered to be frictional soils.
• Fine soils are plastic, with strength depending both internal friction between the
solid particles and on the cohesive forces present in them. For this reason they16
 are also known as cohesive soils.
Clay Minerals
• Clay minerals are layer silicates belonging to the larger class of sheet
silicates called phyllosilicates, characterized by their layered structure. There
is a wide range of clay minerals with very different physical and chemical
properties, although as a result of their layered structure, flattened
morphologies and perfect separation between the layers are common to most
of them.
• The tiny crystals of these minerals are less than 2 µm in size. They are the
most common minerals on the earth’s surface and form part of fine-grained
soils and sedimentary rocks.
• Structurally they have two basic units bonded together by common oxygens,
one formed from tetrahedrons connected to the three oxygens of the basal
vertices, with a thickness of 3Å and the other from octahedrons bonded
together by common edges, with a thickness of 4Å. The center of the
tetrahedron is occupied by Si4+, which is frequently replaced by Al3+ and at
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times by Fe . The center of the octahedrons is normally occupied by Al ,
3+ 3+
• In order to maintain electrical neutrality, Al3+ should occupy two thirds of
the octahedral position, whilst Mg2+ occupies all of them.
• Minerals are differentiated according to whether they contain aluminium
(dioctahedral minerals) or magnesium (trioctahedral).
• There are different types of clay minerals, depending on the number of
layers in their structure. These can be further differentiated into sub-groups
according to the degree of ordering and the type of isomorphic substitution.
Type 1.1
The Kaolin group
• The composition of this group is Al4Si4(OH)8, with a tetrahedral layer
occupied by Si4+ and an octahedral layer occupied by Al 3+ with a thickness
of 7Å. They are therefore dioctahedral minerals without any isomorphic
substitution, although some types can be differentiated depending on the
degree of disorder in the stacking of layers.
Type 2.1
• This has a structure formed by two tetrahedral layers with an octahedral 18
layer intercalated to form a “sandwich” with a basal spacing of 9.5Å.
 The Illite group
• Illites have a basal spacing of 10Å with a layer charge between 0.9 and 0.7
Å. They have many similarities with micas, especially muscovite. The fact
that composition is very varied casts doubt on whether illites exist as a
mineral in sedimentary rocks, references being made instead to illite
minerals. However, the name remains unchanged because of its
interlayering with smectites. A general simplified formula would be:
K 0.74 (Al 1.56 Mg 0.28 Fe 0.22) (Si 3.4 Al 0.6) O10 (OH) 2
• Illite particles commonly have a compact but planar morphology, although
fibrous illites are also found in sandstones.
The smectite group
• The composition of smectites is Al 1 Si 4 O10 (OH) 8 with two tetrahedral
layers occupied by Si4+ and one octahedral layer by Al 3+. They are
characterized by a layer charge of between 0.6 and 0.3, and presence of
weakly hydrated cations, which facilitates the penetration of water
molecules. 19
• Amongst the dioctahedral smectites the most frequent mineral is
montmorillonite. The layer charge is octahedral, as can be deducted from
the ideal structural formula: Na 0.33 ( Al 1.67 Mg 0.33 ) Si 4 O10 (OH) 2 .
• A prominent feature of smectites is the property of incorporating hydration
water from 1 to 100% humidity. The interlayer cations are rounded by water
molecules, which increases basal spacing. Anhydrous Na-smectite has a
basal spacing of 9.6Å, which becomes ≈ 12.4Å, 15.2Å and 18Å when 1, 2
or 3 water molecules respectively are incorporated. During the expansion of
smectite the interlayer cation may be replaced by another cation.
Identification of clay minerals
• The methods most commonly used are X-ray diffraction, differential
thermal analysis and electronic microscopy.
Physico-chemical properties
• The physicochemical properties of clay minerals are related to the exchange
processes in the interlayer area and the size of crystals and aggregates in
the clay particles. The processes of adsorption and cation exchange are the 20
causes of hydration and swelling of the basal spacing.
Figure 4 Kaolinites, illites and smectites. 21
• They depend on the cation exchange capacity, which is expressed in
centimoles of charge (+) per kilogram (cmolc/kg) or milli-equivalents per 100
grams of soil (meq/100g).
• The size of clay particles is very small, with a range between tens of Å and a
few µm. This produces a high specific surface area where electrostatic
interactions take place, depending on pH, the exchanged cations and the
salinity of the medium.
• The specific surface area (area of surface per unit mass) is expressed in m2/g.
A distinction is made between an external surface area, where interactions
related to surface charges and broken particle edges occur and an internal
surface area, where interlayer exchanges take place.
• The electric charge present in clay minerals is one of the most significant
properties influencing the interaction between clays. The origin of this change
is due to three factors related to the structure and formation of the minerals.
 The charge defect on clay surfaces caused by isomorphic substitution.
 Absorption of anions or cations due to imperfection on the crystal surface,
especially on the edge of clay. 22
  Ionization of the surface, principally in hydroxyls (Al-OH and/or Mg-OH)
which act like reversible electrodes of H+ or OH- on the edges of the crystals.
The negative electric charge determines the type of interaction between clay
layers and their cation absorption capacity.
• There are many types of clay minerals as a result of the variations in
composition produced by isomorphic substitutions that take place in the
tetrahedral layer, where Si 4+ is replaced by Al 3+ and in the octahedral layer,
where Al 3+ is replaced by Mg 2+ and Fe 2+ .
• To compensate the excess negative charge and maintain the neutrality of the
structure, monovalent (Na+ and K+) and divalent (Ca2+ and Mg2+) cations are
incorporated in a new layer called interlaminar layer.
• Layer charge controls intrinsic soil properties, such as cation exchange
reactions, specific surface area and degree of hydration. The value of the layer
charge allows various groups of minerals to be distinguished. These can be
basically differentiated by the type and characteristics of interlayer cation or
cations and their incorporation in either anhydrous or hydrated form. Layer
charge in the mica group is approximately 1; in the illite group it falls to 0.8
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and in the smectite group it drops to values lower than 0.6.
• Clay minerals tend to replace Si or Al with other elements with in the
crystalline network. This property, known as isomorphic substitution, is
produced when an ion belonging to the clay layer is replaced by another ion
of the same size but with a lower valence (normally Al 3+ is replaced by Si 4+
and Mg 2+ by Fe 3+), producing a charge defect on the surface of that layer
and a slight deformation in the network, because the size of the ions is not
identical.
• This substitution leads to an increase in negative charge on the surface of the
clay. To compensate this charge defect, as well as to maintain electric
neutrality and satisfy the broken bonds on the edges of the crystals, clays
attract exchangeable cations and anions to their surfaces and in some cases
to the unit cell.
• The sum of all the exchangeable cations that a mineral can absorb is known
as the cation exchange capacity or ion exchange capacity. The maximum
amount of exchangeable cations for each type of clay is constant and it is
expressed in milli-equivalents per 100 grams of dry clay at 110 o C(24=
cmol(+) Kg -1).
Table 1 Average physico-chemical values of the main clay minerals.

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 Geotechnical properties and mineralogical composition
• From the geotechnical point of view, clays are considered problematic
materials as their behavior depends both on their mineralogical and
chemical composition and environmental conditions. These factors often
change e.g. modification of the chemical composition of water may produce
reactions within the mineral structure and changes in the geotechnical
properties of the soil.
• The mineralogical composition of clays is the most influencing factor on
geotechnical properties such as plasticity, strength, compressibility and
change in volume.
• The amount of water adsorbed by clay minerals depends on the cation
exchange and the specific surface area. Water molecules are joined at the
particle surface by bipolar bonding surrounding them with a film of water.
The weakness of bipolar bonds allows displacement of the particles when
pressure is applied.
• In Fig. 5 the lowest plasticities correspond to the kaolinites & the highest to
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the smectites, with sodium montmorillonite being the highest in this group.
Figure 5 Mineralogical composition and plasticity (Day, 1999). 27
• Activity is defined as the ratio between the plasticity index and the clay
fraction(PI/ % particles < 2µm).
• Clays are classified according to their activity as:
 Active: with an activity ratio higher than 1.25.
 Normal: with an activity ratio between 1.25 and 0.75.
 Inactive: with activity lower than 0.75.
• Both the clay fraction content and the type of predominant clay mineral
influence the strength of soils. Shear strength decreases as clay content
increases.
• The capacity for water adsorption at the edges of the layers and interlayer
areas produces changes in volume in clays (Fig. 7).
• The swelling of clay minerals by water adsorption is due to various factors:
surface adsorption of water molecules, exchange cation
hydration(intercrystalline expansion), osmotic expansion, interlayer charge
in sodium montmorillonites and pressure at the edges of magnesium
smectites(saponites).
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Figure 6 Influence of mineralogy on strength(Tsige et al., 1995).
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• Mineralogical composition also influences the compressibility of clays (Fig.
8). Smectites being the most compressible and kaolinites the least.
• In their natural surroundings, soils are mixed in both mineralogical
composition and particle size distribution and this determines the
complexity of their behavior.
• However, the influence of mineralogy on the geotechnical properties of soil
is so marked that even the presence of small percentages of certain minerals,
such as smectites (above 10%), can have a significant influence on soil
behavior.
Microfabric of Clayey Soils
• Another factor influencing the geotechnical behavior of soils is their fabric.
The soil fabric or microfabric is defined as the spatial arrangement of
particles, pores, discontinuities and other elements present in the soil.
• The fabric is directly related to the degree of orientation of the soil
components, their porosity and density.
• Microfabric analysis is usually performed with a scanning electron
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microscope (SEM) and transmission electron microscope (TEM).
Figure 7 Change in volume depending
on mineralogical composition.
Figure 8 Influence of mineralogical
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composition on compressibility.
• While the spatial distribution of particles constituting the coarse fraction of
soils basically depends on the shape, size and degree of packing, in the fine
fractions the microfabric depends on physico-chemical properties, especially
the degree of interaction between clay crystals.
• This interaction is due to the van der Waals forces while repulsion forces are
due to the negative charges present on clay surfaces and in the double
diffuse layer.
• The electron charge on clay surfaces varies according to the different
parameters of the system(pH, degree of isomorphic substitution,
concentration of dissolved salts, temperature etc.). This means that in certain
conditions the edge of the particles may acquire as many negative charges as
positive ones, with a variable degree of interaction.
• Depending on the condition of a soil suspension, especially the
concentration of electrolytes, clay minerals may adopt the following basic
associations: face-to-face, face-to-edge, where the face has a negative
charge and the edge a positive charge, and edge-to-edge, where in case of
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edges with positive and negative charges (Fig. 9).
Figure 9 Electrical charges in clays and their particle associations.
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• In suspensions with high concentrations of electrons, where the pH is
relatively high (> 8.2), edge-to-face interactions predominate because the
positive charge is maintained at the edges and the negative charge on the
clay surface. In conditions like these, with high concentration of ions, the
net electrical forces between adjacent particles are predominantly attractive,
leading to a phenomenon of flocculation, which gives rise to an open
structure (flocculated structure) with large voids, typical of marine soils
(Fig. 10).
• On the other hand, when electrolyte concentration is low, clay minerals tend
to have a negative charge, both at the surface and at the edges. In this case,
the double diffuse layer will increase and therefore electrical repulsion
forces will predominate between the adjacent particles in the phenomenon
known as dispersion (Fig. 11). This produces a dense elongated structure
(dispersive structure) in which the clay particles are not in contact due to the
predominance of repulsive forces. This dispersive structure is characteristic
of freshwater lacustrine deposits.
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• Between these two types of structures(flocculated and dispersive) there are
Fig. 10 Basic structural associations
in flocculated clays
(A) Flocculation forms
(B) Flocculated structure in an aqueous medium.

Fig.11 Basic structural associations

in dispersed clays
(A) Dispersed forms
(B) Dispersed structure in an aqueous medium

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 multiple ways in which clay particles can be spatially organized, since
various factors intervene in the interaction. These factors include
mineralogical and chemical composition, particle size, concentration of
solids and dissolved salts, water turbulence, biological activity, temperature
and sedimentation rate. As a result, there is a wider and more complex
variety of particle associations than the two described above.
• Depending on the type of basic particle association and the different
environmental factors that intervene in sedimentation, natural clay soils
have various types of microfabrics.
 Turbostratic or regular aggregation: continuous compact clay matrix, very
dense structure with no preferred orientation; characteristic of
overconsolidated marine sediments.
 Laminar or oriented: homogeneous matrix formed of clay particles
oriented in a preferred direction, compact anisotropic structures.
 Honeycomb: open structures formed by clay particle floccules bonded by
adhesion forces. These have a large quantity of intercommunicating pores
36
and are characteristics of saline environments and sensitive soils.
  Skeletal: metastable organization of clay aggregates and fragments joined
by large connectors and abundant pores. This is typical of weathered and
collapsible soils.
 Oolitic or nodular: made up of nodules or spherical aggregates which may
be densely packed; characteristic of continental environments rich in iron
oxides.
• In addition to solid particles, pores, discontinuities, microfissures, shear
surfaces, particle bonds and cementing agents are also present.
Geotechnical properties and microfabric
• The geotechnical properties of soils are related to its structiure or
microfabric. This is the result of different geological and environmental
processes acting on it throughout its geological history.
• Properties such as porosity and anisotropy have their origins in the
orientation and reordering of particles.
• Collapsibility and sensitivity are closely related to the flocculation state,
with very open structures typical of saline sediments and residual soils.
37
• Sensitivity(St) is defined as the ratio of undrained shear strength (S u) in
undisturbed state to the strength with in the same water content in a
remoulded state, and indicates the loss of shear strength in a soil that has
been remoulded.
St = Su (undisturbed)/ Su (remoulded)
• Based on this ratio, clay soils can be classified as:
 Non-sensitive: St = 1
 Slightly sensitive: St = 1 – 2
 Moderately sensitive: St = 2 – 4
 Highly sensitive: St = 4 – 8
 Extra sensitive: St = 8 – 16
 Quick clays: St >16
• Sensitive soils have an open and meta-stable microfabric. The most
characteristic are the quick clays, where original intergranular cementation
and particle interaction is lost by leaching when it comes into contact with
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fresh water. This phenomenon may also occur in residual soils.
 (a)Turbostratic microfabric (b)Laminar microfabric

(c) Honeycomb microfabric (d) Skeletal microfabric

Figure 12 Different types of soil microfabrics. 39
Fig. 12 (e) Oolitic microfabric
in volcanic soils.

Fig. 13 Rearrangement of particles

associated void ratio as a function
of consolidation pressure (Bennet
and Humbert, 1986). 40
• Microfissures and microdiscontinuities also form part of soil microfabric.
These are frequent in overconsolidated soils and in laminar and turbostratic-
type fabrics. Intergranular cementing agents (carbonates, sulphates, etc.) in
soils may have an influence on stress properties producing a considerable
increase in their cohesion.
• The microfabric may also undergo changes, in both natural and man-made
conditions. For example: changes in the chemical composition of water,
external loads, remoulding or compaction can modify the original particle
arrangement and as a result their geotechnical behaviour.
Summary
• The main properties of clay soils can be identified and interpreted on the
basis of their mineralogical composition and microfabric. Complex or
unfavourable geotechnical behaviour can be explained by a variety of
factors that participate in their formation.
• In addition to composition and fabric, geological and human factors are very
significant. However, most of the properties associated with soils
41
considered unfavourable in the geotechnical context originate from their
 mineralogy and microfabric.
• Another factor to be taken into account with clay soils is that they are
unstable over time. Possible modifications in the environment, both natural
and man-made, bring about important changes in the structure and fabric of
clays, and this together with other properties, alters their strength,
deformability and expansivity.

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Table 2 Microfabric of clays and their engineering geological properties.

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