EM 1110-1-1804-Geotechnical Investigations

EM 1110-1-18041 January 2001

US Army Corpsof Engineers

ENGINEER MANUAL

Geotechnical InvestigationsENGINEERING AND DESIGN

$9$,/$%,/,7<

Electronic copies of this and other U.S. Army Corps of Engineers(USACE) publications are available on the Internet athttp://www.usace.army.mil/inet/usace-docs/. This site is the onlyrepository for all official USACE engineer regulations, circulars,manuals, and other documents originating from HQUSACE.Publications are provided in portable document format (PDF).

'(3$570(17�2)�7+(�$50< EM 1110-1-18048�6��$UP\�&RUSV�RI�(QJLQHHUV

CECW-ET :DVKLQJWRQ��'&��

ManualNo. 1110-1-1804 1 January 2001

(QJLQHHULQJ�DQG�'HVLJQ*(27(&+1,&$/�,19(67,*$7,216

��3XUSRVH��This manual establishes criteria and presents guidance for geotechnical investigations duringthe various stages of development for both civil and military projects.

��$SSOLFDELOLW\��This manual applies to all USACE Commands having either military or civil worksresponsibilities.

��'LVWULEXWLRQ�6WDWHPHQW� This manual is approved for public release; distribution is unlimited.

��'LVFXVVLRQ��Geotechnical investigations are made to determine those geologic, seismologic, and soilsconditions that affect the safety, cost effectiveness, design, and execution of a proposed engineering project.Because insufficient geotechnical investigations, faulty interpretation of results, or failure to portray resultsin a clearly understandable manner may contribute to costly construction changes, postconstruction remedialwork, and even failure of a structure, geotechnical investigations and subsequent reports are an essential partof all civil engineering and design projects.

FOR THE COMMANDER:

ROBERT L. DAVISColonel, Corps of EngineersChief of Staff

This manual supersedes EM 1110-1-1804, dated 29 February 1984, and EM 1110-1-1906, dated30 September 1996.

L

'(3$570(17�2)�7+(�$50< EM 1110-1-18048�6��$UP\�&RUSV�RI�(QJLQHHUV

CECW-ET :DVKLQJWRQ��'&��

ManualNo. 1110-1-1804 1 January 2001

(QJLQHHULQJ�DQG�'HVLJQ*(27(&+1,&$/�,19(67,*$7,216

7DEOH�RI�&RQWHQWV

6XEMHFW 3DUDJUDSK 3DJH

&KDSWHU��,QWURGXFWLRQPurpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-1 1-1Applicability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-2 1-1References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-3 1-1Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-4 1-1Scope of Manual . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-5 1-2

&KDSWHU��6FRSH�RI�,QYHVWLJDWLRQVBackground . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-1 2-1

6HFWLRQ�,

&LYLO�:RUNV�3URMHFWV

Reconnaissance and Feasibility Studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-2 2-1Preconstruction Engineering and Design Studies . . . . . . . . . . . . . . . . . . . . . . . . . 2-3 2-6Construction Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-4 2-13

6HFWLRQ�,,

0LOLWDU\�&RQVWUXFWLRQ�3URMHFWV

Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-5 2-17Preconcept and Site Selection Studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-6 2-18Concept Studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-7 2-18Final Design Studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-8 2-19Construction Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-9 2-19

&KDSWHU��5HJLRQDO�*HRORJLF�DQG�6LWH�5HFRQQDLVVDQFH�,QYHVWLJDWLRQVBackground . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-1 3-1

6HFWLRQ�,

&RRUGLQDWLRQ�DQG�,QIRUPDWLRQ�&ROOHFWLRQ

Interagency Coordination and Cooperation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-2 3-1Survey of Available Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-3 3-3

(0��-DQ��

LL


6HFWLRQ�,,

0DS�6WXGLHV�DQG�5HPRWH�6HQVLQJ�0HWKRGV

Map Studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-4 3-3Remote Sensing Methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-5 3-9

6HFWLRQ�,,,

)LHOG�5HFRQQDLVVDQFH�DQG�2EVHUYDWLRQV

Field Reconnaissance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-6 3-10Observations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-7 3-10

6HFWLRQ�,9

,QIRUPDWLRQ�'HYHORSPHQW

Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-8 3-11

&KDSWHU��6XUIDFH�,QYHVWLJDWLRQVBackground . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-1 4-1

6HFWLRQ�,

*HRORJLF�)LHOG�0DSSLQJ

Areal Mapping . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-2 4-1Site Mapping . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-3 4-2Construction Mapping . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-4 4-3

6HFWLRQ�,,

6XUIDFH�*HRSK\VLFDO�([SORUDWLRQV

Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-5 4-4Methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-6 4-4

&KDSWHU��6XEVXUIDFH�,QYHVWLJDWLRQVBackground . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-1 5-1Location of Investigations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-2 5-1Protection of the Environment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-3 5-1

6HFWLRQ�,

%RULQJV

Major Uses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-4 5-2Boring and Sampling Methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-5 5-2Drilling in Embankments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-6 5-8

6HFWLRQ�,,

'ULOOKROH�,QVSHFWLRQ�DQG�/RJJLQJ

Objectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-7 5-8Soil Identification and Description . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-8 5-9Coring . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-9 5-9

(0��-DQ��

LLL


Core Logging . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-10 5-10Drilling Log Form and the Boring Log Data Management Program . . . . . . . . . . 5-11 5-14

6HFWLRQ�,,,

%RUHKROH�([DPLQDWLRQ�DQG�7HVWLQJ

Borehole Geophysical Testing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-12 5-14Borehole Viewing and Photography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-13 5-14Borehole Camera and Borescope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-14 5-15Borehole TV Camera and Sonic Imagery . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-15 5-15Alinement Surveys . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-16 5-15

6HFWLRQ�,9

([SORUDWRU\�([FDYDWLRQV

Test Pits and Trenches . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-17 5-15Calyx Hole Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-18 5-16

6HFWLRQ�9

*URXQGZDWHU�DQG�)RXQGDWLRQ�6HHSDJH�6WXGLHV

General Investigation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-19 5-16Permeability Testing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-20 5-17Pressure Tests . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-21 5-21

6HFWLRQ�9,

,Q�6LWX�7HVWLQJ�IRU�'HWHUPLQLQJ�*HRWHFKQLFDO�3URSHUWLHV

In Situ Testing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-22 5-22In Situ Tests to Determine Shear Strength . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-23 5-23Tests to Determine In Situ Stress . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-24 5-25Tests to Determine In Situ Deformation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-25 5-27Determination of Dynamic Moduli by Seismic Methods . . . . . . . . . . . . . . . . . . 5-26 5-29

6HFWLRQ�9,,

%DFNILOOLQJ�RI�+ROHV�DQG�'LVSRVLWLRQ�RI�6DPSOHV�DQG�&RUHV

Backfilling Boreholes and Exploratory Excavations . . . . . . . . . . . . . . . . . . . . . . 5-27 5-30Disposition of Soil Samples . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-28 5-30Disposition of Rock Cores . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-29 5-30

&KDSWHU��/DUJH�VFDOH��3URWRW\SH�,QYHVWLJDWLRQVPrototype Test Programs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6-1 6-1

6HFWLRQ�,

7HVW�([FDYDWLRQ�DQG�)LOOV

Accomplishments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6-2 6-1Test Quarries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6-3 6-1Exploratory Tunnels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6-4 6-3Test Fills and Trial Embankments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6-5 6-3

(0��-DQ��

LY


6HFWLRQ�,,

7HVW�*URXWLQJ

Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6-6 6-5Test Grouting Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6-7 6-5Test Grouting Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6-8 6-5Record Keeping . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6-9 6-5

6HFWLRQ�,,,

3LOLQJ�,QYHVWLJDWLRQV

Piling Investigation Benefits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6-10 6-6Driving Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6-11 6-6Load Testing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6-12 6-6

&KDSWHU��/DERUDWRU\�,QYHVWLJDWLRQVPurpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7-1 7-1

6HFWLRQ�,

7HVW�DQG�6DPSOH�6HOHFWLRQ

Needs for Test and Sample Selection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7-2 7-1

6HFWLRQ�,,

,QGH[�DQG�&ODVVLILFDWLRQ�7HVWV

Soils . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7-3 7-3Rock . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7-4 7-4

6HFWLRQ�,,,

(QJLQHHULQJ�3URSHUW\�7HVWV��6RLOV

Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7-5 7-5

6HFWLRQ�,9

(QJLQHHULQJ�3URSHUW\�7HVWV��5RFN

Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7-6 7-6

6HFWLRQ�9

(QJLQHHULQJ�3URSHUW\�7HVWV��6KDOHV�DQG�0RLVWXUH�6HQVLWLYH�5RFNV

Index Testing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7-7 7-8Swelling Properties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7-8 7-9

$SSHQGL[�$5HIHUHQFHV�

$SSHQGL[�%*HRORJLF�0DSSLQJ�3URFHGXUHV�2SHQ�([FDYDWLRQV

$SSHQGL[�&*HRORJLF�0DSSLQJ�RI�7XQQHOV�DQG�6KDIWV

(0��-DQ��

Y

$SSHQGL[�'([DPSOHV�RI�'ULOOLQJ�/RJV

$SSHQGL[�(/LVW�RI�$FURQ\PV

$SSHQGL[�)(QJLQHHU�0DQXDO��6RLO�6DPSOLQJ

$SSHQGL[�*3HQHWUDWLRQ�5HVLVWDQFH�7HVW�DQG�6DPSOLQJZLWK�D�6SOLW�%DUUHO�6DPSOHU

$SSHQGL[�+3HQHWUDWLRQ�5HVLVWDQFH�7HVWLQJ�ZLWK�WKH�%HFNHU+DPPHU�'ULOO

(0��-DQ��

A list of acronyms and abbreviations is included as Appendix E to this manual.1

��

&KDSWHU��,QWURGXFWLRQ

��3XUSRVH

This manual establishes criteria and presents guidance for geotechnical investigations during the variousstages of development for civil and military projects. The manual is intended to be a guide for planningand conducting geotechnical investigations and not a textbook on engineering geology and soils explora-tion. Actual investigations, in all instances, must be tailored to the individual projects.

��$SSOLFDELOLW\

This manual applies to all USACE Commands having either military or civil works responsibilities. Theobjective of Corps of Engineers Engineer Manuals (EM) is to contain engineer and design technical1

guidance that will provide essential technical direction and application within the COE. However, anEM cannot provide the designer with two of the most vital tools essential to successful completion of aproject: experience and judgement. Engineers and geologists who are just beginning their careers arestrongly encouraged to seek the advice of more experienced members of their organization.

��5HIHUHQFHV

Standard references pertaining to this manual are listed in Appendix A. Military Standards (MIL-STD),Army Regulations (AR), Technical Manuals (TM), Engineer Regulations (ER), Engineer Manuals (EM),Engineer Pamphlets (EP), and Engineer Technical Letters (ETL) are identified in the text by thedesignated Government publication number or performing agency. Additional reading materials arelisted in the Bibliography and are indicated throughout the manual by the principal author’s last nameand date of publication. Publications may be downloaded from the internet at the Corps’ web page(www.usace.army.mil/inet/usace-docs/).

��%DFNJURXQG

Geotechnical investigations are performed to evaluate those geologic, seismologic, and soils conditionsthat affect the safety, cost effectiveness, design, and execution of a proposed engineering project.Insufficient geotechnical investigations, faulty interpretation of results, or failure to portray results in aclearly understandable manner may contribute to inappropriate designs, delays in construction schedules,costly construction modifications, use of substandard borrow material, environmental damage to the site,postconstruction remedial work, and even failure of a structure and subsequent litigation. Investigationsperformed to determine the geologic setting of the project include: the geologic, seismologic, and soilconditions that influence selection of the project site; the characteristics of the foundation soils androcks; geotechnical conditions which influence project safety, design, and construction; criticalgeomorphic processes; and sources of construction materials. A close relationship exists between thegeologic sciences and other physical sciences used in the determination of project environmental impactand mitigation of that impact. Those individuals performing geotechnical investigations are among thefirst to assess the physical setting of a project. Hence, senior-level, experienced personnel are required toplan and supervise the execution of a geotechnical investigation. Geotechnical investigations are to be

(0��-DQ��

��

carried out by engineering geologists, geological engineers, geotechnical engineers, and geologists andcivil engineers with education and experience in geotechnical investigations. Geologic conditions at asite are a major influence on the environmental impact and impact mitigation design, and therefore aprimary portion of geotechnical investigations is to observe and report potential conditions relating toenvironmental impact. Factors influencing the selection of methods of investigation include:

D� Nature of subsurface materials and groundwater conditions.

E� Size of structure to be built or investigated.

F� Scope of the investigation, e.g., feasibility study, formulation of plans and specifications.

G� Purpose of the investigation, e.g., evaluate stability of existing structure, design a new structure.

H� Complexity of site and structure.

I� Topographic constraints.

J� Difficulty of application.

K� Degree to which method disturbs the samples or surrounding grounds.

L� Budget constraints.

M� Time constraints.

N� Environment requirements/consequences.

O� Political constraints.

��6FRSH�RI�0DQXDO

Increasingly, geotechnical investigations are conducted to evaluate the condition of existing projects aspart of Operations and Maintenance. This type of investigation places special constraints on the methodswhich may be used. These constraints should be kept in mind by the designer.

D� *HQHUDO�� Geotechnical investigations for roads and airfields are not discussed. Geotechnicalinvestigations at construction sites may involve exposure to hazardous and toxic waste materials. Incases where such materials are recognized, geotechnical investigators should contact the MandatoryCenter for Expertise for assistance. It is of note that many of the techniques and procedures described inthis manual are applicable to hazardous, toxic, and radioactive waste (HTRW) work. Geotechnicalaspects of HTRW site assessment are discussed in Construction Site Environmental Survey andClearance Procedures Manual (Draft), EM 1110-1-4000, Walker (1988), and Borrelli (1988).

E� 7\SHV� RI� GHWDLOHG� GLVFXVVLRQV�� Chapter 2 provides guidance on geotechnical investigationsappropriate to various stages of project development. Chapter 3 provides for implementation of initial,regionally oriented geotechnical investigations. Chapter 4 provides guidance for field procedures forsurface investigations. Chapter 5 provides guidance on subsurface investigation procedures. Chapter 6describes procedures for large-scale, prototype investigations, and Chapter 7 describes laboratory

(0��-DQ��

��

procedures for characterizing geotechnical properties of materials. Appendices and subject mattercovered are: Appendix B, details for geologic mapping of construction areas; Appendix C, geologicmapping of tunnels and shafts; Appendix D, examples of drilling logs; Appendix F, soil sampling; andAppendices G and H, penetration resistance testing. Appendix F includes the modified version of theengineering manual on soil sampling. Information on soil sampling is also contained in Appendix C ofEM 200-1-3. The text references specific sections of the soil sampling EM where appropriate. Guidanceis in general terms where methodologies are prescribed by industry standards and described in accessiblereferences. Where descriptions are otherwise unavailable, they are provided herein. The manual intendsto provide general guidance to geotechnical investigation; because of the variability that exists amongCorps of Engineers (COE) Districts or Divisions, it is advisable that each district and division prepareseparate field investigations manuals. The manual should highlight procedures and formats ofpresentation that are preferred for geotechnical investigations within that organization. These manualsshould be consistent with applicable EM.

(0��-DQ��

��

&KDSWHU��6FRSH�RI�,QYHVWLJDWLRQV

��%DFNJURXQG

From project conception through construction and throughout the operation and maintenance phase,geotechnical investigations are designed to provide the level of information appropriate to the particularproject development stage. In most instances, initial geotechnical investigations will be general and willcover broad geographic areas. As project development continues, geotechnical investigations becomemore detailed and cover smaller, more specific areas. For large, complex projects, the geotechnicalinvestigation can involve highly detailed geologic mapping such as a rock surface for a structurefoundation. The scope of the various increments of investigation are described in the followingparagraphs. Although some material is presented in detail, rigid adherence to an inflexible program isnot intended. It is the responsibility of the geotechnical personnel in the field operating activities todesign individual geotechnical investigations to the particular project requirements and local conditions.However, there are minimum requirements for geotechnical investigations to be performed as part of theproject development stages, and this manual serves to outline these basic standards. All geotechnicalinvestigations should be planned and conducted by the district element having geotechnical designresponsibility. No geotechnical investigation should be contracted out unless the district geotechnicaldesign element reviews and approves the scope of work.

Section ICivil Works Projects

��5HFRQQDLVVDQFH�DQG�)HDVLELOLW\�6WXGLHV

D� 3XUSRVH�� Reconnaissance studies are made to determine whether a problem has a solutionacceptable to local interests and is in accordance with administrative policy. If so, reconnaissancestudies provide information to determine whether planning should proceed to the feasibility phase(ER 1110-2-1150). Feasibility studies identify and evaluate the merits and shortcomings of environ-mental, economic, and engineering aspects of the proposed project. Planning guidelines for conductingthese studies are contained in ER 1105-2-100. Guidelines on engineering activities during feasibility andpreconstruction planning and engineering studies are provided in the 1110 series of publications.

E� 6FRSH�RI�JHRWHFKQLFDO�LQYHVWLJDWLRQV��Geotechnical investigations during planning studies shouldbe designed to provide information at a level such that critical geotechnical features of candidate sitesmay be compared in the feasibility study report. These investigations should be sufficiently complete topermit selection of the most favorable site areas within the regional physical setting, determine thegeneral type of structures best suited to the site conditions, evaluate the influence of hydrogeology on sitedesign and construction, assess the geotechnical aspects of environmental impact, and to ascertain thecosts of developing the various project plans in sufficient detail to allow comparative cost estimates to bedeveloped.

F� ,QYHVWLJDWLRQ�VWHSV�� Planning-level geotechnical investigations are generally performed in twoparts: development of regional geology and initial site investigations. The regional geologyinvestigations are carried out during early stages of the study. Initial field investigations begin after theregional studies are sufficiently detailed to identify areas requiring geotechnical clarification.

(0��-DQ��

��

(1) Development of regional geology. Figure 2-1 is a schematic diagram showing the steps involvedand data needed to evaluate the regional geology of a site. Knowledge of the regional geology isessential to preliminary planning and selection of sites and to interpretation of subsurface explorationdata. With the exception of fault evaluation studies, determination of seismicity and preliminaryselection of the design earthquake are performed in conjunction with evaluation of the regional geology.Much of the data needed for describing the regional geology and for determining seismicity are identical,and therefore, the efforts can be combined. Engineering seismology requirements for more in-depthstudies of tectonic history, historical earthquake activity, and location of possible active faults are alogical extension of the regional geologic studies. Requirements for conducting earthquake design andanalyses, including geological and seismological studies, are contained in ER 1110-2-1806.

(a) Utilization of remote sensing information in assessing the regional geology of a site can greatlyincrease effectiveness and reduce time and costs. Commonly, a series of remote sensing images, taken atvarious times, are available for a site. Remote sensing images for evaluating regional geology generallyinclude both aerial photographs and satellite images. Remote sensing analysis can be used to evaluategeomorphic characteristics and geologic structure; map soils, sediment sources, and transport directions;and monitor and evaluate environmental impacts. Use of remote sensing for geological investigations isdiscussed by Gupta (1991). Remote sensing applications in desert areas are discussed by Rinker et al.(1991). Principal sources of remote sensing imagery include the U.S. Geological Survey (USGS) at 605-594-6151 (or edcwww.cr.usgs/content_products.html on the computer Internet, or World Wide Web) andU.S. Department of Agricultural (USDA) Farm Security Agency at 801-975-3503.

(b) Compiled and properly interpreted regional geologic and field reconnaissance information shouldbe used to formulate a geologic model for each site. The use of a Geographic Information System (GIS)is highly recommended for developing this model. A GIS provides a platform in which to digitally store,retrieve, and integrate diverse forms of geo-referenced data for analysis and display. A GIS can bethought of as a high-order map that has the capability of distilling information from two or more maplayers (Star and Estes 1990; Environmental Systems Research Institute (ESRI) 1992). Application ofGIS to geotechnical studies enhances data management with respect to project planning/design, fieldwork strategy, map/statistical generation, and identification/correlation of important variables. Theapplication of a GIS to a project depends on the size and complexity of the project and the availability ofusable data. Judgement is needed to evaluate the benefits of a GIS versus the high cost of initial con-struction of the model. A project GIS can be used by all parties (e.g., designers, engineers, geologists,archaeologists) in all phases of a project from site selection to postconstruction operations andmaintenance.

(c) Whether done using a GIS or more traditional methods, the geologic model will be revisedduring successive investigation stages and thereby provide the information necessary to determine thescope of initial field investigations. Procedural information on the steps required to develop the regionalgeology and perform field reconnaissances is contained in Chapter 3.

(2) Initial field investigations. Figure 2-2 details the general procedures for initial fieldinvestigations. Areal extent of the investigations is determined by the size and nature of the project.However, each site investigation should provide information on all critical geotechnical features thatinfluence a site. Procedural information for conducting a surface field investigation is presented inChapter 4, and for subsurface field investigations in Chapter 5. Major projects, such as dams andreservoirs, electric generating plants, and locks and dams, require comprehensive field investigations.Procedures for carrying out such detailed investigations are discussed in Chapter 6. Areal and sitegeotechnical mapping allow early modification of initial geologic models and tentative layouts for

(0��-DQ��

��

)LJXUH��6FKHPDWLF�GLDJUDP�RI�WKH�GHYHORSPHQW�RI�UHJLRQDO�JHRORJ\

(0��

��-DQ��

��

)LJXUH��6FKHPDWLF�GLDJUDP�RI�LQLWLDO�ILHOG�LQYHVWLJDWLRQV

(0��-DQ��

��

surface geophysical surveys and subsurface explorations. Properly conducted surface geophysicalsurveys can provide information over relatively large areas on overburden depths, depth to the watertable, and critical geologic contacts. Such surveys, prior to exploration drilling, can reduce the numberof borings in proposed structure foundation areas and, in some cases, the number of borrow area borings.The surveys should be run along axes of potential dam sites and along canal alinement; at lock,off-channel spillways and tunnel and conduit sites; at potential borrow and quarry sites; and at locationswhere buried channels, caverns, or other elusive, but important, geologic conditions are suspected.

(a) Exploratory drilling is required at all sites to be included in the feasibility study. The numbersand depths of borings required to provide adequate coverage cannot be arbitrarily predetermined butshould be sufficient to reasonably define the subsurface in the various site areas. Investigationsnecessary for levees, flood walls, pumping plants, recreation areas, and other miscellaneous structuresare not as extensive as those required for major structures and projects. Generally, the scope of theregional geologic study is much reduced for projects authorized for site-specific reasons.

(b) The field investigation program should be tailored to site-specific needs. Field investigations inconnection with planning of channel improvements or diversion channels should be sufficient todetermine the types of materials to be excavated, hydraulic conductivity of the substrate, stability of bankslopes, and susceptibility of the substrate to scour. Assessment of channel stability for flood controlprojects is discussed in EM 1110-2-1418. In the case of irrigation or perched canals, seepage losses maybe a significant problem. The field investigations should examine the need for an impervious lining andthe availability of material for this purpose.

G� 5HSRUWLQJ�IRU� IHDVLELOLW\�VWXGLHV�� The reporting of results for feasibility in accordance with theoverall study reporting requirements is contained in ER 1105-2-100. The results of all geotechnicalinvestigations performed as part of the feasibility study efforts will be presented in detail. Sufficientrelevant information on the regional and specific site geotechnical conditions must be presented tosupport the rationale for plan selection, project safety, environmental assessments including HTRWpotential, and preliminary project design and cost estimates. This information should be presented insummary form in the feasibility report and in sufficient detail in appendices to allow evaluation andreview.

(1) The feasibility report should contain summaries of the regional geology, soils, hydrogeology, andseismological conditions plus brief summaries of the areal and site geotechnical conditions for eachdetailed plan. These summaries should include local topography, geomorphic setting and history,thickness and engineering character of overburden soils, description of rock types, geologic structure,degree of rock weathering, local ground water conditions, possible reservoir rim problems, description ofpotential borrow areas and quarries, accessibility to sources of construction materials, and potential forHTRW sites. In addition, special foundation conditions such as excavation or dewatering problems, low-strength foundations, and cavernous foundation rock should be described. The summaries shouldconclude with a discussion of the relative geotechnical merits and drawbacks of each plan.

(2) Discussions of the regional geology and initial field investigations should be presented in anappendix on engineering investigations. The content of the discussion on regional geology shouldinclude the items outlined in Figure 2-1. In addition, a discussion of topography should be included.Drawings should be used to explain and augment the detailed discussion of regional geology. As aminimum, the drawings should include a regional geology map, regional geologic sections showing thespatial relationship of rock units and major geologic structures, a regional lineament map, and a map ofrecorded and observed seismic events (epicenter map). Dearman (1991) describes the principles of

(0��-DQ��

��

engineering geologic mapping. Because summaries of areal and site geotechnical conditions for eachdetailed plan will be included in the feasibility report, the detailed discussion of areal and site geology,foundation conditions, and problems presented in the appendix may be limited to the recommendeddetailed plan. Figure 2-2 contains much of the information which should be included in the detaileddiscussion of areal and site geotechnical conditions. The discussion should indicate the sources fromwhich information was obtained and will include the following items:

(a) Types of investigations performed.

(b) Areal and site geology (including topography of site or sites).

(c) Engineering characteristics of soil, rock, foundation, and reservoir conditions.

(d) Mineral deposits.

(e) Potential borrow and quarry sites.

(f) Available construction materials.

(g) Conclusions and recommendations.

(h) Graphics.

��3UHFRQVWUXFWLRQ�(QJLQHHULQJ�DQG�'HVLJQ�6WXGLHV

D� 3XUSRVH�� Preconstruction engineering and design (PED) studies are typically initiated after afeasibility study has been completed. PED studies are developed to reaffirm the basic planning decisionsmade in the feasibility study, establish or reformulate the scope of the project based on current criteriaand costs, and formulate the design memoranda which will provide the basis for the preparation of plansand specifications. Figure 2-3 schematically outlines the engineering tasks for the PED studies with therequirements for geotechnical information.

E� 6FRSH� RI� JHRWHFKQLFDO� LQYHVWLJDWLRQV�� Geotechnical investigations performed during the PEDstudies should be in sufficient detail to assure that authorized measures can be implemented. Theemphasis is toward site-specific studies which will provide the detail and depth of information necessaryto select the most suitable site and structures to achieve project goals. The studies are performed in aseries of incremental steps of increasing complexity beginning with the site selection study on majorprojects and continuing through feature design studies. Geotechnical procedures for performing field andlaboratory investigations for these studies are found in Chapters 4 through 7.

F� 6LWH�VHOHFWLRQ�VWXG\��This study serves to provide criteria for selecting the most appropriate sitefor the authorized project.

(1) Preliminary. The initial phase of the PED should begin with a comprehensive review of allgeotechnical studies made during the feasibility study period. If there is a significant gap in timebetween the feasibility and PED studies, considerable geotechnical information may have beengenerated, compiled, analyzed, and published by Federal and State geotechnical agencies. These datashould be obtained and correlated with the completed studies for evidence of significant changes in thegeological knowledge of the study region. This is particularly important in the disciplines of seismologyand hydrogeology.

(0��

��-DQ��

�� )LJXUH��2XWOLQH�RI�SUHFRQVWUXFWLRQ�HQJLQHHULQJ�DQG�GHVLJQ�VWXGLHV

(0��-DQ��

��

(2) Data collection. In the case of major projects such as dams, powerhouses, and navigationstructures, some latitude normally exists in the proposed locations of the structures. At this stage,possible structure sites that would serve the intended project purposes should be evaluated beforeselecting a field investigations program. Geologic and hydraulic information collected during thefeasibility study is generally sufficient for this purpose. After the obviously poor sites have beeneliminated, a field investigation program should be developed. The type of data and collectionmethodology are outlined schematically in Figure 2-4. The investigation program should emphasize thecompletion of surface geologic mapping, expansion of surface geophysical surveys, detailed remotesensing analysis, and broadening of the scope of ground water investigations. Sufficient borings shouldbe made at each potential site so that correlation of surface mapping and geophysical surveys isreasonably accurate. Use of the cone penetrometer and standard penetrometer test methods as part of asubsurface investigation program should be evaluated where geologic conditions are appropriate forthese and subsequently more complex site studies. Subsurface sampling should be comprehensive to thepoint where laboratory indexing of engineering properties of soils and rock types, where appropriate, canbe accomplished. Earthquake engineering analyses should be made if the seismicity studies made duringthe feasibility study indicate their need. At this time, a preliminary seismic evaluation should be made ofthe proposed structures and trenching performed if local active faulting is identified. The end resultshould be that areal and site geotechnical conditions are defined to the extent necessary to support designstudies needed for reliable cost estimates. Data on proposed sites should be sufficiently complete to fullyconsider the effects of geotechnical conditions on site selection.

(3) Reporting site selection studies. The reporting of results of site selection studies will be inaccordance with ER 1110-2-1150. The site selection design memorandum may be a separate documentprepared prior to the PED for complex projects, or may be submitted as a major appendix to the PED.The content of the Site Selection Memorandum will include the items shown in Figure 2-4. Discussionswill be augmented by geologic maps and profiles, boring logs, and laboratory and geophysical data allpresented at a readable scale. The recommended site must be validated by sufficient geotechnicalinformation in light of current conditions and criteria to avert reformulation of the project during thePED studies because of geotechnical problems.

G� 'HVLJQ� LQYHVWLJDWLRQV�� Upon commencement of final design investigations, all previousengineering and design reports for the selected plan are carefully reviewed before initiating additionalfield investigations. These efforts provide information to support cost estimate decisions regarding thefunctional and technical design of structures necessary to achieve project objectives and development ofconstruction plans and specifications. Design investigation tasks are outlined schematically in Figure 2-5and are discussed in the following text.

(1) Preliminary. Upon commencement of the design investigations (postsite selection), all regionaland site-specific geotechnical data should be reviewed before commencement of field investigations.New data, particularly that generated by other agencies, both Federal and state, should be obtained andincorporated into the original data base.

(2) Data collection. The foundation and design data collection activities are iterative, developinggreater detail as the project design progresses toward the preparation of plans and specifications.

(a) PED data collection. In general, a closer order of subsurface investigations is then used in siteselection studies. Where soils strongly influence the foundation design, undisturbed soil sampling shouldbe initiated or expanded to classify and index their engineering properties in more comprehensive detail(Cernica 1993). Rock types and conditions, geologic structure, and engineering properties should

(0��-DQ��

��

)LJXUH��6FKHPDWLF�GLDJUDP�RQ�GHYHORSPHQW�RI�VLWH�VHOHFWLRQ�LQYHVWLJDWLRQV��JHQHUDO�GHVLJQPHPRUDQGXP��*'0�

(0��-DQ��

��

)LJXUH��6FKHPDWLF�GLDJUDP�IRU�GHVLJQ�LQYHVWLJDWLRQV�IRU�SRVWVLWH�VWXGLHV

(0��-DQ��

��

be defined to the extent necessary to design foundation treatment. In the case of water-retentionstructures, pump and/or pressure tests should be performed. Installation of observation wells andpiezometers should be initiated early in the investigations so that seasonal variation in ground waterlevels can be observed. Geophysical studies should be expanded to include crosshole surveys. Regionalground water and earthquake engineering analyses should be completed. Upon completion of the PEDstudies, geotechnical conditions should be developed in sufficient detail to establish design and operatingrequirements for a safe, functional project. If the overall project scope is such that feature designmemoranda are not prepared, the geologic and soils information should be sufficient to support thepreparation of plans and specifications.

(b) Feature design data collection. Following the PED study, project complexity and size willfrequently require separate feature design memoranda on such structures as concrete dams, navigationlocks, outlet works, road relocation, and other similar project features. Generally, each specialmemorandum requires a geotechnical investigation. The investigation is an extension of previous studiesbut focuses on the area surrounding the structure under study. These studies are expanded by close-ordersubsurface investigations which may include large-diameter borings, cone penetrometer or standardpenetrometer tests, test excavations, fills, and grouting programs, detailed laboratory testing, pile drivingand load tests, and any other method of investigations which will resolve issues or problems that came tolight during the PED study. Such issues and problems may include detailed evaluation of underseepage,dynamic response, and stability. For major projects requiring large amounts of concrete and/orprotection stone, separate feature design memoranda specific to these materials should be prepared. Thisinvestigation is started during the initial study period and completed early in the feature design study sothat the major structure requiring the materials can be properly designed. At the completion of the FDMstudies, all geotechnical features and problems should have been identified and resolved. The finaldesign, incorporating the geological conditions encountered at the sites and identifying the selectedgeotechnical design parameters, will be complete so that preparation of plans and specifications forconstruction of the project can proceed.

(3) Design investigations reports. Reporting results of design investigations will be in accordancewith the overall reporting requirements contained in ER 1110-2-1150. In many cases, project complexityand size will require that the design investigations be reported in the general design memorandum(GDM) and an orderly series of feature design memoranda (FDM). This information provides the basisfor constructibility assessment and formulation of the final design and preparation of the constructionplans and specifications.

(a) GDM. The results of all foundation and design investigations performed as part of the projectengineering studies will be summarized in the GDM and presented in detail in appendices to that report.The updated regional geology, engineering seismology, hydrogeology, and earthquake engineeringstudies should be thoroughly documented. As previously stated, if a separate report has not beenprepared, the site selection studies should be presented as an appendix to the GDM. If FDM are notprepared, the geologic and soils information in the PED should be sufficient to support the preparation ofplans and specifications. Discussions should be augmented by geologic maps and profiles, boring logs,laboratory and geophysical data, and special studies relating to seismology, ground water, andconstruction materials.

(b) FDM. The geotechnical discussion that will be included in the various FDM which discussgeological aspects of the project should be similar in scope to that presented in the GDM. However, onlygeotechnical data that clarify the particular intent of the FDM will be used. The discussion will beaugmented by the appropriate geologic maps and profiles, boring logs, and laboratory and geophysical

(0��-DQ��

��

data. The design memoranda that are distinctly geotechnical or have geotechnical input of significantimportance include:

(i) Site geology.

(ii) Concrete materials or protection stone.

(iii) Embankment and foundation.

(iv) Outlet works.

(v) Spillway.

(vi) Navigation lock.

(vii) Instrumentation and inspection program.

(viii) Initial reservoir filling and surveillance plan.

(ix) Intake structure.

(x) Relocations (roads and bridges).

H� )RUPXODWLRQ�DQG�HYDOXDWLRQ�RI�FRQVWUXFWLRQ�SODQV�DQG�VSHFLILFDWLRQV�

(1) Biddability, constructibility, and operability review. Constructibility review is performed inaccordance to ER 415-1-11. Constructibility studies evaluate compatibility of design, site, materials,techniques, schedules, and field conditions; sufficiency of details and specifications; and freedom fromdesign errors, omissions, and ambiguities. District offices will coordinate project review by geo-technical, construction, and engineering personnel to improve the constructibility of design. The reviewprocess should occur during the development of the draft plans and specifications and, therefore, not beresponsible for major changes in foundation and embankment design, instrumentation, or othergeotechnically related features which could impact on the project schedule.

(2) Preparation of plans and specifications. Plans and specifications will be prepared inaccordance with ER 1110-2-1200. The plans and specifications will contain an accurate depiction of siteconditions and will be carefully prepared to eliminate or depict conditions which might delay the work orbe grounds for claims. Plans and specifications will contain a thorough graphic presentation of allborings made in the area under contract. All boring locations will be shown. Factual data representingfield surveys such as geophysical and hydrological investigations shall be presented in a usable form,preferably a GIS format. Because of the voluminous nature of laboratory data, these data not presentedwith the borings or tabulated elsewhere must be indicated as available to all prospective contractors.Other data in this category could include mapping data, photographs, and previously published geologicreports and design documents.

(3) Geotechnical design summary report. For some projects where geotechnical considerations are ofparamount importance, a geotechnical design summary report may be prepared and included with the biddocuments. Disclosure of the design assumptions and interpretations of data in this type of documentoften serve to clarify intent during the construction of a project.

(0��-DQ��

��

��&RQVWUXFWLRQ�$FWLYLWLHV

D� 3XUSRVH�� In some cases, construction activities such as test fills or test excavations are per-formed to prepare plans and specifications that are compatible with the project design. These plans andspecifications are to assure construction quality and document actual construction conditions.

E� 6FRSH�RI�JHRWHFKQLFDO�DFWLYLWLHV��Geotechnical activities in support of the construction phase of aproject can be divided into three phases: construction management, quality assurance, and compilation ofsummary reports.

F� ([HFXWLRQ� RI� JHRWHFKQLFDO� FRQVWUXFWLRQ� DFWLYLWLHV�� Guidelines for conducting constructionactivities are contained in the following Engineering Regulations: ER 415-2-100, ER 1110-2-1200,ER 1110-2-1925, and ER 1180-1-6. Construction activities are summarized in Figure 2-6 and discussedas follows:

(1) Construction management. Construction management and policies are performed in accordancewith ER 415-2-100. It is the goal of the Corps of Engineers to construct and deliver a quality product.The key to obtaining this objective is an effective construction management system staffed by anadequate number of trained and competent personnel. Areas of expertise shall be appropriate to the typeof construction project under contract and can include, but not be limited to, foundation preparation, rockand soil excavation, embankment and concrete control and emplacement, and grouting.

(a) Claims and modifications. Regardless of the intensity of geological investigations during thepreconstruction phase, differing site conditions, claims, and modifications are to be expected on complexprojects. Therefore, engineering should provide necessary support to investigate claims and providedesign and cost-estimating assistance for any claims and modifications.

(b) Site visits for verification of quality. On all projects, but especially those too small to support aresident geologist or geotechnical engineer, site visits should be made regularly by qualified personnel toverify that conditions match assumptions used in designing the project features and to assist constructionpersonnel on any issues affecting construction. All visits should be well documented (including anextensive photographic and video record) and be included in appropriate summary reports.

(2) Quality assurance and management. Quality assurance, which is the responsibility of theGovernment, will be performed in accordance with ER 1180-1-6. The geotechnical staff membersassigned to the project have the responsibility to monitor, observe, and record all aspects of theconstruction effort relating to foundations, embankments, cuts, tunnels, and natural constructionmaterials. Figure 2-7 shows in tabulated form some of the particular items requiring quality assuranceparticular to geotechnically oriented features.

(a) Quality assurance testing will be performed to assure acceptability of the completed work andverify quality control test procedures and results. An onsite laboratory should be required on majorprojects to perform all soil and concrete testing. During construction, considerable data are assembled bythe project geotechnical quality assurance staff. These data consist generally of foundation mapping andtreatment features, embankment-backfill performance data, grouting records, material testing data, piledriving records, and instrumentation results. Special treatment and problem areas, often requiringcontract modification, should be well documented.

(0��

��-DQ��

��

)LJXUH��2XWOLQH�RI�WDVNV�IRU�FRQVWUXFWLRQ�JHRWHFKQLFDO�DFWLYLWLHV

(0��-DQ��

��

)LJXUH��&ULWLFDO�JHRWHFKQLFDO�DFWLYLWLHV�WKDW�UHTXLUH�FDUHIXOO\�RXWOLQHG�TXDOLW\�DVVXUDQFH�SURFHGXUHV

(b) Early in the construction of the project, the geotechnical staff should develop a data analysis andstorage system, preferably one which can be used to monitor construction activities. The GroutingDatabase Package (Vanadit-Ellis et al. 1995) is a personal computer (PC)-based, menu-driven programthat stores and displays hole information, drilling activities, water pressure tests, and field grouting data.Instrumentation Database Package (Woodward-Clyde Consultants 1996) is a menu-driven, PC Windows-based program that can store, retrieve, and graphically present instrumentation data related toconstruction monitoring. A GIS is an effective and comprehensive means to monitor and analyze allaspects of a construction project, from its development as an idea to postconstruction operations andmaintenance. Geotechnical information (data layers) can be a critical part of the data base managementand analysis program. A GIS is an organized collection of computer hardware and software, geographicdata, and personnel designed to efficiently collect, store, update, manipulate, analyze, and displaygeographically referenced information.

(c) Figure 2-8 is a flow diagram of the general procedure for carrying out construction investigationsand documenting the results. A GIS is specifically designed to compile and analyze spatial data asdepicted in Figure 2-8.

(3) Construction foundation and embankment criteria reports.

(a) The purpose of the foundation report is to ensure the preservation for future use of completerecords of foundation conditions encountered during construction and methods used to adapt structures tothese conditions. The foundation report is an important document for use in evaluating constructionclaims, planning additional foundation treatment should the need arise, evaluating the cause of founda-tion or structural feature distress and planning remedial action to prevent failure or partial failure of astructure, planning and design of major rehabilitation or modifications to the structure, providing

(0��-DQ��

��

)LJXUH��6FKHPDWLF�GLDJUDP�RI�FRQVWUXFWLRQ�JHRWHFKQLFDO�LQYHVWLJDWLRQV�DQG�GRFXPHQWDWLRQ

(0��-DQ��

��

guidance in planning foundation explorations, and in anticipating foundation problems for futurecomparable construction projects in similar geologic settings. Site geotechnical personnel responsiblefor the foundation report must begin to formulate the report as soon as possible after construction beginsso that completion of the report can be accomplished by those who participated in the construction effort.This report should include collaboration with design and construction personnel. Detailed videorecordings of foundation conditions should be an integral component of the foundation report.

(b) For major embankments, an embankment and performance criteria report will be prepared toprovide a summary record of significant design data, design assumptions, design computations,specification requirements, construction equipment and procedures, construction experience, field andrecord control test data, and embankment performance as monitored by instrumentation during con-struction and during initial reservoir fillings. The report will provide essential information needed byengineers to familiarize themselves with the project, reevaluate the embankment in the event ofunsatisfactory performance, and provide guidance for designing comparable future projects. The reportshould be authored by persons with firsthand knowledge of the project design and construction. Thereport should be in preparation during construction and completed as soon as possible following projectcompletion.

6HFWLRQ�,,

0LOLWDU\�&RQVWUXFWLRQ�3URMHFWV

��%DFNJURXQG

Program development for Military Construction Army (MCA), Air Force, and other Army projects frominitial conception by the installation to final public law appropriation by Congress and constructionaccomplishment will require a general sequence of geotechnical investigations as shown on Table 2-1.For design phase investigation of facilities required to resist nuclear weapons effects, the guidance in thismanual should be supplemented with appropriate material from TM 5-858-3. Information systems tosupport military construction activities are discussed in ER 1110-3-110.

7DEOH��6HTXHQFH�RI�*HRWHFKQLFDO�,QYHVWLJDWLRQV�ZLWK�3URMHFW�'HYHORSPHQW�6WDJHV

3URMHFW�'HYHORSPHQW�6WDJHV

0LOLWDU\�&RQVWUXFWLRQ &LYLO�:RUNV *HRWHFKQLFDO�,QYHVWLJDWLRQV

Reconnaissance and feasibility Thorough literature searchPreconstruction and site selection study Development of regional geology studies Field reconnaissances and initial field

investigations

Final design studies Preconstruction planning and Review of regional geology engineering Site selection investigationsGeneral Design Memorandum Foundation and design investigations and Feature Design Memoranda

Construction Construction Constructibility review, quality assurance, and postconstruction documentation activities

(0��-DQ��

��

��3UHFRQFHSW�DQG�6LWH�6HOHFWLRQ�6WXGLHV

D� 3XUSRVH�DQG�VFRSH��Preconcept information compilation occurs during the guidance year of theMCA program development flow. During the year, the Major Area Commands (MACOM) will prepareannual programs, set priorities, and submit their programs. Initial action consists of preparation ofProject Development Brochures (PDB). PDBs contain data necessary to plan, budget, and initiate designof construction projects. The initial PDB is general in nature and provides information regarding projectand site conditions. The initial DD Form 1391 contains the preliminary information about the project. Apreliminary site survey and subsurface evaluation is included. The preliminary site survey shouldinclude a background check to assess the potential for encountering HTRW on potential sites. Afterapproval by the Department of the Army, the second PDB is formulated, generally by the District. ThisPDB contains total user requirements and complete site and utility support information. Information ongeneral subsurface conditions and any special foundation requirements such as deep foundations orspecial treatment is included. The preconcept and site selection studies culminate in preconcept controldata based on the approved PDB, including a cost estimate and necessary reference data.

E� 6FRSH� RI� JHRWHFKQLFDO� LQYHVWLJDWLRQV�� Geotechnical investigations during preconcept studiesshould be performed to a level which assures adequate information. They should be performed by theDistrict’s geotechnical element and be sufficiently complete to permit selection of the most favorable sitewithin the regional physical setting, determine the general type of structure best suited to the siteconditions, assess the geotechnical aspects of environmental impact, and ascertain the costs of theproject. The scope of the investigations should not be greater than that necessary to accomplish theseaims. For projects on existing military installations, much of the information needed for preconceptstudies is already available and the additional investigation requirements will be minimal. For projects innew areas where information is not readily available, the investigation requirements will be similar tothose for Civil Works Feasibility studies. Emphasis, however, will be placed on site-specific parametersrelating to size and special requirements for each project.

F� 5HSRUWLQJ��Geotechnical investigation results will be reflected in the information and decisionspresented in DD Form 1391 and in developed PDBs. Results of drilling and testing programs and specialinvestigations should be compiled in summary reports.

��&RQFHSW�6WXGLHV

D� 3XUSRVH�DQG�VFRSH��Concept studies provide drawings and data developed prior to initiation offinal design, and constitute approximately 35 percent of total design. They serve to define the functionalaspects of the facility and provide a firm basis on which the district engineer can substantiate projectcosts and initiate final design. Included are project site plans, materials and methods of construction, andrepresentative cross sections of structure and foundation conditions. The concept design is accomplishedduring the design year stage of the program development plan and leads to development of budget data.Budget data reflect firm construction requirements and contain a current working estimate. Data are usedin congressional budget hearings.

E� 6FRSH�RI�JHRWHFKQLFDO�LQYHVWLJDWLRQV��Geotechnical investigations for concept studies should beperformed by the district’s geotechnical element and should provide information similar to that includedfor the preconcept studies but should advance the information to the level required for design and budgetdevelopment.

(0��-DQ��

��

F� 5HSRUWLQJ�� Reporting of the results of the geotechnical investigations is included in the designanalysis developed to the 35-percent design study level. Emphasis should be placed on selection offoundation types and the influences of subsurface conditions.

��)LQDO�'HVLJQ�6WXGLHV

D� 3XUSRVH� DQG� VFRSH�� Final design studies provide a complete set of working drawings for aproject, accompanied by appropriate technical specifications, design analyses, and detailed cost estimatescovering all architectural, site, and engineering details. These documents are used to obtain constructionbids and to serve as construction contract documents.

E� 6FRSH� RI� JHRWHFKQLFDO� LQYHVWLJDWLRQV�� Geotechnical investigations for final design should beperformed by the district’s geotechnical element and should provide additional information to thepreconcept and concept stage investigations for a final and complete design. All detailed considerationsfor economic designs, environmental influences, and construction processes should be finalized. Thelevel of information should be similar to that for Civil Works General Design Memorandum studies.

F� 5HSRUWLQJ�� The results of the geotechnical investigations will be included in the final designanalysis. Information should be similar to that collected for Civil Works General Design Memorandumstudies, except additional emphasis will be placed on analysis for selection of foundation types anddetails of the foundation design.

��&RQVWUXFWLRQ�$FWLYLWLHV

D� 6FRSH�RI�JHRWHFKQLFDO�LQYHVWLJDWLRQV�� In addition to quality control testing, geotechnical activi-ties will be required during construction for special considerations or problems. Such activities will benecessary to confirm design assumptions, analyze changed conditions, determine special treatmentrequirements, analyze failures, and provide new materials sources.

E� 5HSRUWLQJ��Investigation results will be provided in special summary reports and in constructionfoundation reports as required for major or unique projects.

(0��-DQ��

��

&KDSWHU��5HJLRQDO�*HRORJLF�DQG�6LWH�5HFRQQDLVVDQFH�,QYHVWLJDWLRQV

��%DFNJURXQG

Regional geologic and site reconnaissance investigations are made to develop the project regionalgeology and to scope early site investigations. The steps involved and the data needed to evaluate theregional geology of a site are provided in Figure 2-1. The initial phase of a geologic and sitereconnaissance investigation is to collect existing geologic background data through coordination andcooperation from private, Federal, State, and local agencies. Geologic information collected should thenbe thoroughly reviewed and analyzed to determine its validity and identify deficiencies. Geologic datashould also be analyzed to determine additional data requirements critical to long-term studies at specificsites, such as ground water and seismicity, that will require advance planning and early action. Uponcompletion of the initial phase, a geologic field reconnaissance should be conducted to examineimportant geologic features and potential problem areas identified during collection of background data.Field observations are used to supplement background data and identify the need to collect additionaldata.

D� *HRORJLF�PRGHO��Geologic background and field data that are determined to be valid should beused to construct a geologic model for each site. The model, which will require revisions as additionalinformation is obtained, should indicate possible locations and types of geologic features that wouldcontrol the selection of project features. Preliminary geologic, seismic, hydrologic, and economic studiesshould be used to indicate the most favorable sites before preliminary subsurface investigations arestarted. Proper coordination and timing of these studies, and incorporation into a GIS, can minimizecosts and maximize confidence in the results.

E� 6PDOO� SURMHFWV�� Many civil works projects are too small to afford a complete fieldreconnaissance study as outlined below. For smaller projects, emphasis should be placed on compilationand analysis of existing data, remote sensing imagery, and subsurface information derived from on-sitedrilling and construction excavations. A geologist or geotechnical engineer should be available torecord critical geotechnical information that comes to light during investigations. An extensivephotographic and video record taken by personnel with some background in geology or geotechnicalengineering can serve as a reasonable proxy for onsite investigations.

6HFWLRQ�,

&RRUGLQDWLRQ�DQG�,QIRUPDWLRQ�&ROOHFWLRQ

��,QWHUDJHQF\�&RRUGLQDWLRQ�DQG�&RRSHUDWLRQ

Sources of background information available from other organizations can have a substantial influenceon project economy, safety, and feasibility. During initial investigations, project geologists may beunfamiliar with both the regional and local geology. Limited funds must be allocated to many diverseareas of study (e.g., economics, real estate, environment, hydrology, and geology). For these reasons,contacts should be made with Federal, State, and local agencies to identify available sources of existinggeologic information applicable to the project. A policy of formal coordination with the USGS has beenestablished as outlined in the following text. In addition, informal coordination should be maintainedwith state geological surveys because critical geologic data and technical information are often availablefrom these agencies. Other organizations listed below may also provide valuable information.

(0��-DQ��

��

D� &RRUGLQDWLRQ�ZLWK�86*6�� The 27 October 1978 Memorandum of Understanding (MOU) withthe USGS provided for exchange of information to assure that all geologic features are considered inproject planning and design. The MOU outlines three main activities:

(1) The USGS provides the Corps of Engineers with existing information and results of research andinvestigations of regional and local geology, seismology, and hydrology relevant to site selection anddesign.

(2) The USGS advises the Corps of Engineers on geologic, seismologic, and hydrologic processeswhere knowledge is well developed and on specific features of site and regional problems.

(3) The Corps provides the USGS with geologic, seismologic, and hydrologic data developed fromCorps studies.

The MOU requires that the USGS be notified in writing if planning studies are to be initiated at a newsite or reinitiated at a dormant project. The notification should specify the location of interest andidentify specific geologic, seismologic, and hydrologic considerations for which information is needed.

E� 2WKHU�RUJDQL]DWLRQV��Contacts and visits to offices of the following organizations can producevaluable geotechnical information in the form of published maps and reports and unpublished data fromcurrent projects.

(1) Federal agencies.

(a) Department of Agriculture. - Forest Service - Natural Resource Conservation Service

(b) Department of Energy.

(c) Department of Interior. - Bureau of Indian Affairs - Bureau of Land Management

- Bureau of Reclamation - Fish and Wildlife Service - Geological Survey

- National Park Service - National Biological Service.

(d) Department of Transportation. - Federal Highway Administration regional and state divisionoffices.

(e) Environmental Protection Agency regional offices.

(f) Nuclear Regulatory Commission.

(g) Tennessee Valley Authority.

(2) State agencies.

(0��-DQ��

��

(a) Geological Surveys, Departments of Natural Resources, and Departments of EnvironmentalManagement.

(b) Highway departments.

(3) Municipal engineering and water service offices.

(4) State and private universities (geology and civil engineering departments).

(5) Private mining, oil, gas, sand, and gravel companies.

(6) Geotechnical engineering firms.

(7) Environmental assessment firms.

(8) Professional society publications.

��6XUYH\�RI�$YDLODEOH�,QIRUPDWLRQ

Information and data pertinent to the project can be obtained from a careful search through published andunpublished papers, reports, maps, records, and consultations with the USGS, state geologic andgeotechnical agencies, and other Federal, state, and local agencies. This information must be evaluatedto determine its validity for use throughout development of the project. Deficiencies and problems mustbe identified early so that studies for obtaining needed information can be planned to assure economy oftime and money�� Especially in the case of larger projects, data are most effectively compiled andanalyzed in a GIS format. Table 3-1 summarizes the sources of topographic, geologic, and special mapsand geologic reports. Most states regulate well installation and operation and maintain water well databases that extend back many years. Wells may be municipal, industrial, domestic, or may have beendrilled for exploration or production of natural gas. The information that is commonly available includesdate of installation, screened interval, installer's name, depth, location, owner, and abandonment data.Lithologic logs may also be available and, in rare cases, production and water quality information.

6HFWLRQ�,,

0DS�6WXGLHV�DQG�5HPRWH�6HQVLQJ�0HWKRGV

��0DS�6WXGLHV

Various types of published maps, such as topographic, geologic, mineral resource, soils, and specialmiscellaneous maps, can be used to obtain geologic information and develop regional geology prior tofield reconnaissance and exploration work. The types of available maps and their uses are described inDodd, Fuller, and Clark (1989).

D� 3URMHFW� EDVH� PDS�� Spatial components typically used to define a GIS referenced base mapinclude: topographic maps, aerial photographs (digital orthophotos), monumentation/survey controlmaps, surface/subsurface geology maps, land use maps, bathymetry maps, and various forms of remotelysensed data. Project-specific planimetric maps, digital terrain models (DTMs), and digital elevationmodels (DEMs) are produced through photogrammetric methods and can be generated using a GIS. ADTM may be used to interpolate and plot a topographic contour map, generate two-dimensional (2-D)(contour) or three-dimensional (3-D) (perspective) views of the modeled surface, determine earthworkquantities, and produce cross sections along arbitrary alignments.

(0��

��-DQ��

��

7DEOH��6RXUFHV�RI�*HRORJLF�,QIRUPDWLRQ

$JHQF\ 7\SH�RI�,QIRUPDWLRQ 'HVFULSWLRQ 5HPDUNV

USGS Topographic maps U.S. 7.5-minute series 1:24,000 (supersedes 1:31,680).Puerto Rico 7.5-minute series1:20,000 (supersedes 1:30,000) Virgin Island1:24,000 series.U.S. 15-minute series 1:62,500 (1:63,360 for Alaska)U.S. 1:100,000-scale series (quadrangle, county, or regional format)U.S. 1:50,000-scale county map seriesU.S. 1:250,000-scale seriesDigital elevation models are available for entire U.S. at 1:250,000,and for certain areas at 1:100,000 and 1:24,000 scales.Digital line graphs are available for some areas at 1:24,000, 1:65,000, 1:100,000 for: - Hydrography - Transportation - Boundaries - Hypsography

Orthophotoquad monocolor and color infrared maps alsoproduced in 7.5- and 15-min series. New index of mapsfor each state began in 1976. Status of current mappingfrom USGS regional offices and in monthly USGSbulletin, “New publications of the U.S. GeologicalSurvey.” Topographic and geological information fromthe USGS can be accessed through the ESIC (1 800USAMAPS)

USGS Geology maps and reports

1:24,000 (1:20,000 Puerto Rico), 1:62,500, 1:100,000, and 1:250,000quadrangle series includes surficial bedrock and standard (surface andbedrock) maps with major landslide areas shown on later editions1:500,000 and 1:2,500,000

New index of geologic maps for each state began in1976. List of geologic maps and reports for each statepublished periodically

USGS Miscellaneous maps and reports

Landslide susceptibility rating, swelling soils, engineering geology, waterresources, and ground water

Miscellaneous Investigation Series and MiscellaneousField Studies Series, maps and reports, not wellcataloged; many included as open file reports

USGS Special maps 1:7,500,000 and 1:1,000,000: Limestone Resources, Solution MiningSubsidence, Quaternary Dating Applications, Lithologic Map of U.S.,Quaternary Geologic Map of Chicago, Illinois, and Minneapolis,Minnesota, areas

USGS Hydrologic maps Hydrologic Investigations Atlases with a principal map scale of 1:24,000;includes water availability, flood areas, surface drainage precipitation andclimate, geology, availability of ground and surface water, water qualityand use, and streamflow characteristics

Some maps show ground water contours and location ofwells

USGS Earthquake hazard Seismic maps of each state (began in 1978 with Maine); field studies of fault zones;relocation of epicenters in eastern U.S.; hazards in the Mississippi Valley area;analyses of strong motion data; state-of-the-art workshops

Operates National Strong-Motion Network and NationalEarthquake Information Service publishes monthly listingof epicenters (worldwide). Information is availablethrough ESIC (1 800 USAMAPS)

(Sheet 1 of 3)

(0��

��-DQ��

��

7DEOH��&RQWLQXHG�

$JHQF\ 7\SH�RI�,QIRUPDWLRQ 'HVFULSWLRQ 5HPDUNV

USGS Mineral resources Bedrock and surface geologic mapping; engineering geologicinvestigations; map of power generating plants of U.S. (location ofbuild, under construction, planned, and type); 7.5-min quadranglegeologic maps and reports on surface effects of subsidence intounderground mine openings of eastern Powder River Basin, Wyoming

USGS Bibliography “Bibliography of North American Geology,” (USGS 1973) USGS Professional Paper

American GeologicalInstitute

Bibliography (American Geological Institute) print counterpart.

“Bibliography and Index of Geology” to “Geo Ref” digital index (USGS1973)

1977 to present, 12 monthly issues plus yearlycumulative index

National Oceanic andAtmosphericAdministration (NOAA)

Earthquake hazards National Geophysical Center in Colorado contains extensiveearthquake hazard information (303-497-6419)

National Aeronauticsand Space Administra-tion (NASA)

Remote sensing data Landsat, skylab imagery

NOAA Remote sensing data

Earth ObservationSattelite (EOSAT)

Remote sensing data

US Fish and WildlifeService (FWS)

Wetlands The National Wetlands Inventory maps at 1:24,000 for most of the contiguous U.S.

Available as maps or mylar overlays

USGS Flood-prone area maps

1:24,000 series maps outlining floodplain areas not includedin Corps of Engineers reports or protected by levees

Stage 2 of 1966 89th Congress House Document 465

USAEWES Earthquake hazard “State-of-the-Art for Assessing Earthquake Hazards in the UnitedStates,” Miscellaneous Paper S-73-1 (Krinitzsky 1995)

Series of 29 reports, 1973 to present

Natural ResourcesConservation Service(NRCS)

Soil survey reports 1:15,840 or 1:20,000 maps of soil information on photomosaic back-ground for each county. Recent reports include engineering test datafor soils mapped, depth to water and bedrock, soil profiles grain-sizedistribution, engineering interpretation, and special features. Recentaerial photo coverage of many areas. Soils maps at 1:7,500,000 and1:250,000, 1:31,680, and 1:12,000 scale are available in digital formatfor some areas.

Reports since 1957 contain engineering uses of soils mapped, parent materials, geologic origin, climate, physiographic setting, and profiles

(Sheet 2 of 3)

(0��

��-DQ��

��

7DEOH��&RQFOXGHG�

$JHQF\7\SH�RI,QIRUPDWLRQ 'HVFULSWLRQ 5HPDUNV

State Geologic Agencies Geologic maps and reports

State and county geologic maps; mineral resource maps; specialmaps such as for swelling soils; bulletins and monographs; well logs;water resources, ground water studies

List of maps and reports published annually,unpublished information by direct coordination withstate geologist

Defense Mapping Agency (DMA)

Topographic maps Standard scales of 1:12,500, 1:50,000, 1:250,000 and 1:1,000,000 foreign and worldwide coverage, including photomaps

Index of available maps from DMA

American Association of Petroleum Geologists

Geological highway map series

Scale approximately 1 in. equal 30 miles shows surface geology and includes generalized time and rock unit columns, physiographic map, tectonic map, geologic history summary, and sections

Published as 12 regional maps including Alaska and Hawaii

TVA Topographic maps, geologic maps and reports

Standard 7.5-min TVA-USGS topographic maps, project pool maps,large-scale topographic maps of reservoirs, geologic maps, andreports in connection with construction projects

Coordinate with TVA for available specific information

U.S. Department ofInterior, Bureau ofReclamation (USBR)

Geologic maps and reports

Maps and reports prepared during project planning and design studies List of major current projects and project engineerscan be obtained. Reports on completed projects byinterlibrary loan or from USAEWES for many dams

Agricultural Stabilizationand ConservationServices Aerial Photography Field Office (APFO)

Aerial photographs The APFO offers aerial photographs across the U.S. Typically aseries of photographs taken at different times, as available for a givensite

Information is available at 801-975-3503

USGS Earth Resources Observation Systems (EROS) Center (EDC)

Aerial photographic coverage

The EDC houses the nation’s largest collection of space and aircraftacquired imagery

Information is available at 605-594-6151 or 1 800 USAMAPS

Satellite Pour l’Observation de la Terre’(SPOT)

Remote sensing imagery

High-resolution multispectral imagery produced by France’s SPOTsatellite imager is available for purchase

Contact for SPOT images is at 800-275-7768

(Sheet 3 of 3)

(0��-DQ��

��

(1) Geotechnical parameters resulting from surface and subsurface explorations can begeoreferenced to a DTM resulting in a spatial data base capable of producing geologic cross sections and2- and 3-D strata surface generation. Georeferencing spatial data requires that the information beprecisely located. Global Positioning System (GPS) techniques offer a rapid and reliable way toaccomplish this (EM 1110-1-1003). Even with a GPS however, surveyed monuments and benchmarksmust be identified and used as control points in the survey. Benchmark and brass cap information isavailable through the National Geodetic Survey of NOAA for the entire United States guidance andcriteria for monumentation installation and documentation on Corps projects is outlined in EM 1110-1-1002.

(2) A GIS can be used to streamline and enhance regional or site-specific geotechnical investigationsby: (a) Verifying which information is currently available and what new data must be obtained orgenerated to fulfill requirements for the desired level of study; (b) Sorting and combining layers ofinformation to evaluate the commonality of critical parameters and compatibility of proposedalternatives/sites; and (c) Assigning quantitative values and relational aspects of data combinations andclassifications, e.g., computing the probability of correctly assigning a given liquifaction potential for aproposed foundation construction method at a given site location. In this respect, a geotechnicallyaugmented GIS database can be used to quantify reliability and uncertainty for specific designapplications and assumptions. Burrough (1986), ESRI (1992), Intergraph (1993), and Kilgore, Krolak,and Mistichelli (1993) provide further discussions of GIS uses and capabilities.

E� 7RSRJUDSKLF� PDSV�� Topographic maps provide information on landforms, drainage patterns,slopes, locations of prominent springs and wet areas, quarries, man-made cuts (for field observation ofgeology), mines, roads, urban areas, and cultivated areas. Requirements for topographic mapping andrelated spatial data are outlined in EM 1110-1-1005. If older topographic maps are available, especiallyin mining regions, abandoned shafts, filled surface pits, and other features can be located by comparisonwith later maps. Many topographic maps are available in digital format for computer analysis andmanipulation. Image files of an entire 7-1/2 min (1:24,000) topographic map, for example, can bepurchased. Digital elevation maps (DEM) provide a regular grid of elevation points that allow the user toreproduce the topography in a variety of display formats.

(1) Optimum use of topographic maps involves the examination of large- and small-scale maps.Certain features, such as large geologic structures, may be apparent on small-scale maps only.Conversely, the interpretation of active geomorphic processes will require accurate, large-scale mapswith a small-contour interval. As a general rule, the interpretation of topographic maps should proceedfrom small-scale (large-area) maps through intermediate-scale maps to large-scale (small-area) maps asthe geologic investigation proceeds from the general to the specific.

(2) Certain engineering geology information can be inferred from topographic maps by properinterpretation of landforms and drainage patterns. Topography tends to reflect the geologic structure,composition of the underlying rocks, and the geomorphic processes acting on them. The specific type ofgeomorphic processes and the length of time they have been acting on the particular geologic structureand rock type will control the degree to which these geologic features are evident on the topographicmaps. Geologic features are not equally apparent on all topographic maps, and considerable skill andeffort are required to arrive at accurate geologic interpretations. Analysis of aerial photographs incombination with large-scale topographic maps is an effective means to interpret the geology andgeomorphology of a site. Information of geotechnical significance that may be obtained or inferred fromaerial photographs and topographic maps includes physiography, general soil and rock types, rockstructure, and geomorphic history.

(0��-DQ��

��

F� *HRORJLF� PDSV�� Surficial and “bedrock” geologic maps can be used to develop formationdescriptions, formation contacts, gross structure, fault locations, and approximate depths to rock(U.S. Department of Interior 1977; Dodd, Fuller, and Clarke 1989). Maps of 1:250,000 scale or smallerare suitable for the development of regional geology because they can be used with remote sensingimagery of similar scale to refine regional geology and soils studies. Large-scale geologic maps(1:24,000) are available for some areas (Dodd, Fuller, and Clarke 1989). State geologic surveys, localuniversities, and geotechnical and environmental firms may be able to provide detailed geologic maps ofan area. Large-scale geologic maps provide information such as local faults, orientations of joints,detailed lithologic descriptions, and details on depth to rock.

G� 0LQHUDO� UHVRXUFH�PDSV�� Mineral resource maps produced by the USGS and state geologicalservices are important sources of geologic information. For example, the USGS coal resourcesevaluation program includes preparation of geologic maps (7.5-min quadrangle areas) to delineate thequantity, quality, and extent of coal on Federal lands. The USGS and state geologic service mapsprovide information on oil and gas lease areas and metallic mineral resource areas. Mineral resourcemaps also include information on natural construction materials such as quarries and sand and graveldeposits. These maps can be used in estimating the effects of proposed projects on mineral resources(such as access for future recovery, or reduction in project costs by recovery during construction).

H� +\GURORJLF�DQG�K\GURJHRORJLF�PDSV��Maps showing hydrologic and hydrogeologic informationprovide a valuable source of data on surface drainage, well locations, ground water quality, ground waterlevel contours, seepage patterns, and aquifer locations and characteristics. The USGS (Dodd, Fuller, andClarke 1989), state geologic surveys, local universities, and geotechnical and environmental firms mayprovide this information.

I� 6HLVPLF�PDSV�� Krinitzsky, Gould, and Edinger (1993) show the distribution of seismic sourceareas for the United States and potential magnitude of earthquakes associated with each zone. Mapsshowing the timing and location of >4.5 magnitude earthquakes in the United States for the period 1857-1989 have been published by Stover and Coffman (1993).

(1) The Applied Technology Council (1978) published a seismic coefficient map for the UnitedStates for both velocity-based and acceleration-based coefficients. Seismic coefficients are dimension-less units that are the ratio between the acceleration associated with a particular frequency of groundmotion and the response in a structure with the acceleration of the ground (Krinitzsky 1995). For thesame ground motion frequency, seismic coefficients systematically vary for different types of structures(e.g., dams, embankments, buildings). These coefficients include a judgmental factor, representingexperience on the part of structural engineers.

(2) Spectral Acceleration (%g) Maps for various periods of ground motion are being generated toassess seismic hazard potential. The Building Seismic Safety Council will publish updated seismichazard potential maps in 1997 that will be in the form of spectral values for periods of 0.3 and 1.0 sec(E. L. Krinitzsky, personal communication 1996).

J� (QJLQHHULQJ�JHRORJ\�PDSV��An engineering geology map for the conterminous United States hasbeen published by Radbruch-Hall, Edwards, and Batson (1987). Regional engineering geology maps arealso available. More detailed maps may be available from state geologic surveys. Dearman (1991)describes the principles of engineering geologic mapping.

(0��-DQ��

��

��5HPRWH�6HQVLQJ�0HWKRGV

Conventional aerial photographs and various types of imagery can be used effectively for large-scaleregional interpretation of geologic structure, analyses of regional lineaments, drainage patterns, rocktypes, soil characteristics, erosion features, and availability of construction materials (Rasher and Weaver1990, Gupta 1991). Geologic hazards, such as faults, fracture patterns, subsidence, and sink holes orslump topography, can also be recognized from air photo and imagery interpretation, especially fromstereoscopic examinations of photo pairs. Technology for viewing stereoscopic projections on the PC isavailable. Detailed topographic maps can be generated from aerial photography that have sufficientsurveyed ground control points. Remote sensing images that are in digital format can be processed toenhance geologic features (Gupta 1991). Although it is normally of limited value to site-specific studies,satellite imagery generated by Landsat, Sky Lab, the Space Shuttle, and the French SatellitePour l’Observation de la Terre (SPOT) satellites are useful for regional studies. Remote sensing methodslisted below can be used to identify and evaluate topographic, bathymetric, and subsurface features:

D� 7RSRJUDSKLF�VXUIDFH�PHWKRGV.

(1) Airborne photography (mounted on helicopter or conventional aircraft).

(2) Airborne spectral scanner (mounted on helicopter or conventional aircraft).

(3) Photogrammetry (for imagery processing or mapping of airborne/satellite spectral scanned data).

(4) Satellite spectral scanner (e.g., Landsat).

(5) Satellite synthetic aperture radar (SAR).

(6) Side-looking airborne radar (SLAR).

E� 7RSRJUDSKLF�VXEVXUIDFH�PHWKRGV.

(1) Ground Penetrating Radar (GPR).

(2) Seismic.

(3) Gravitometer.

(4) Magnetometer.

F� %DWK\PHWULF�PHWKRGV.

(1) Fathometer (vessel mounted).

(2) Side-scan sonar (vessel mounted or towed).

(3) Seismometer/subbottom profiler (bathymetry subsurface, vessel mounted, or towed).

(4) Magnetometer (vessel towed).

(0��-DQ��

��

(5) Gravitometer (vessel towed).

(6) Remotely Opertated Vehicle (ROV) mounted video or acoustic sensor.

(7) SeaBat (multibeam echo sounder) technology.

Gupta (1991) provides more detailed discussions of remote sensing techniques and their application togeotechnical investigations. Additional information concerning remote sensing surveying of bathymetrycan be obtained in EM 1110-2-1003. Additional information concerning photographic imaging andphotogrammetric mapping can be obtained in EM 1110-1-1000.

6HFWLRQ�,,,

)LHOG�5HFRQQDLVVDQFH�DQG�2EVHUYDWLRQV

��)LHOG�5HFRQQDLVVDQFH

After a complete review of available geotechnical data, a geologic field reconnaissance should be madeto gather information that can be obtained without subsurface explorations or detailed study (Dearman1991). It is desirable that the geological field reconnaissance be conducted as part of a multidisciplinaryeffort. The composition of a team would depend upon the type and size of the project, the project effecton the area in question, and on any special problems identified as a result of early office studies. Theteam should include engineering geologists, soils engineers, planning engineers, archeologists, and repre-sentatives of other disciplines as appropriate. Duties include: field checking existing maps, cursorysurface mapping (aided by aerial photographs), examining nearby natural and man-made outcrops, andtraversing local waterways that expose rock and soil.

��2EVHUYDWLRQV

Observations made during field reconnaissances can be divided into five categories:

D� Examination of geologic/hydrologic features and geologic hazards to confirm, correct, or extendthose identified during early office studies, and the preparation of regional geologic maps.

E� Assessment of site accessibility, ground conditions, and right-of-entry problems that could affectfield exploration work.

F� Identification of cultural features that could affect exploration work and site location, especiallyutilities.

G� Evaluation of the condition of existing structures and construction practices that would indicateproblem soil and rock conditions.

H� Identification of areas that could be contaminated by HTRW.

(1) Observations of geologic features should include rock outcrops and soil exposures to verify orrefine available geologic maps. The strike and dip of major joint sets and evidence of joint sheeting orsteeply dipping beds that would affect the stability of natural or excavated slopes should be noted.Indications of slope instability such as scarps, toe bulges, leaning trees, etc. should also be recorded.Table 3-2 outlines special geologic features and conditions which should be considered. The location of

(0��-DQ��

��

sources of construction materials, such as large stone, sand and gravel deposits, clay soils, and active orabandoned quarries, are also important. Observable hydrologic features include surface drainage flow,springs and seeps in relation to formation members, and marshy or thick vegetation areas indicating highground water tables.

(2) The location of cultural features, such as power lines, pipelines, access routes, and groundconditions that could restrict the location of or access to borings, should be noted. Historical andarchaeological sites that may impact site location or construction practices should be identified and notedfor further cultural resource potential studies. Local construction practices and the condition of existingstructures and roads should be observed and potential problems noted. The location of abandoned mineworkings such as adits, benches, shafts, and tailings piles should be noted.

(3) Field observations have special value in planning subsequent investigations and design studiesbecause adverse subsurface conditions often can be anticipated from surface evidence and the regionalgeology. Suitable alternatives for foundation or structure types may be suggested by comprehensive fieldobservations.

(4) Field reconnaissance can identify the need for new mapping and new aerial photographiccoverage. Such coverage should be coordinated with planners early in the study process to ensuresufficient and timely coverage.

(5) Any potential environmental hazard such as former landfills, surface impoundments, miningactivity, industrial sites, signs of underground storage tanks, or distressed vegetation should be recordedand assessed for HTRW potential.

6HFWLRQ�,9

,QIRUPDWLRQ�'HYHORSPHQW

��6XPPDU\

Compiled and properly interpreted regional geologic data, coupled with information obtained during fieldreconnaissances, will provide the information necessary to identify suitable sites and to determine thescope of site investigations. Specifically, regional geology and site reconnaissance studies should resultin the following:

D� Regional geologic conditions identified and incorporated into a regional geologic map.

E� Preliminary assessment made of regional seismicity.

F� Tentative location of sources of construction materials.

G� Tentative models of geologic conditions at suitable sites.

H� Input for Environmental Impact Statement.

I� Identification and assessment of potential for HTRW at prospective sites.

(0��

��-DQ��

�� 7DEOH��

6SHFLDO�*HRORJLF�)HDWXUHV�DQG�&RQGLWLRQV�&RQVLGHUHG�LQ�2IILFH�6WXGLHV�DQG�)LHOG�2EVHUYDWLRQV

*HRORJLF�)HDWXUH�RU&RQGLWLRQ ,QIOXHQFH�RQ�3URMHFW 2IILFH�6WXGLHV )LHOG�2EVHUYDWLRQV 4XHVWLRQV�WR�$QVZHU

Landslides Stability of natural and excavatedslopes

Determine presence or age inproject area or at construction sites

Compute shear strength at failure.Do failure strengths decrease withage of slopes-- especially for claysand clay shales?

Estimate areal extent (length andwidth) and height of slope

Estimate ground slope before andafter slide (may correspond toresidual angle of friction)

Check highway and railway cuts anddeep excavations, quarries, and steepslopes

Are landslides found offsite ingeologic formations of same typethat will be affected by projectconstruction?

What are probable previous andpresent ground water levels?

Do trees slope in an unnaturaldirection?

Faults and faulting; past seismic activity

Of decisive importance inseismic evaluations; age of mostrecent fault movement maydetermine seismic designearthquake magnitude, may beindicative of high state of stresswhich could result in foundationheave or overstress inunderground works

Determine existence of known faultsand fault history from availableinformation

Examine existing boring logs forevidence of faulting from offset ofstrata

Verify presence at site, if possible, from surface evidence; checkpotential fault traces located fromaerial imagery

Make field check of structures,cellars, chimneys, roads, fences,pipelines, known faults, caves,inclination of trees, offset in fencelines

Are lineaments or possible faulttraces apparent from regional aerialimagery?

Stress relief cracking and valley rebounding

Valley walls may have crackingparallel to valley. Valley floorsmay have horizontal cracking. Insome clay shales, stress relieffrom valley erosion or glacialaction may not be complete

Review pertinent geologic literatureand reports for the valley area.Check existing piezometer data forabnormally low levels in valley sidesand foundation; compare withnormal ground water levels outsidevalley

Examine wells and piezometers invalleys to determine if levels are lowerthan normal ground water regime(indicates valley rebound notcomplete)

Sinkholes; karst topography Major effect on location ofstructures and feasibility ofpotential site (item 13)

Examine air photos for evidence ofundrained depressions

Locate depressions in the field andmeasure size, depth, and slopes.Differences in elevation betweencenter and edges may be almostnegligible or many feet. From localresidents, attempt to date appearanceof sinkhole

Are potentially soluble rockformations present such aslimestone, dolomite, or gypsum?

Are undrained depressions presentthat cannot be explained byglaciation?

Is surface topography rough andirregular without apparent cause?

(Sheet 1 of 4)

(0��

��-DQ��

��


*HRORJLF�)HDWXUH�RU�&RQGLWLRQ ,QIOXHQFH�RQ�3URMHFW 2IILFH�6WXGLHV )LHOG�2EVHUYDWLRQV 4XHVWLRQV�WR�$QVZHU

Anhydrites orgypsum layers

Anhydrites in foundationsbeneath major structuresmay hydrate and causeexpansion, upward thrustand buckling

Gypsum may causesettlement, subsidence,collapse or piping. Solutionduring life of structure maybe damaging

Determine possible existence fromavailable geologic information anddelineate possible outcroplocations

Look for surface evidence of uplift;seek local information on existingstructures

Check area carefully for caves orother evidence of solution features

Are uplifts caused by possiblehydrite expansion or “explosion”?

Caves Extent may affect projectfeasibility or cost. Canprovide evidence regardingfaulting that may relate toseismic design. Can resultfrom unrecorded miningactivity in the area

Observe cave walls carefully forevidence of faults and of geologicallyrecent faulting. Estimate age of anybroken stalactites or stalagmitesfrom column rings

Are any stalactites or stalagmitesbroken from apparent grounddisplacement or shaking?

Erosion resistance Need for total or partialchannel slope protection isdetermined

Locate contacts of potentiallyerosive strata along drainagechannels

Note stability of channels anddegree of erosion and stability ofbanks

Are channels stable or have theyshifted frequently? Are banksstable or easily eroded? Is thereextensive bank sliding?

Internal erosion Stability of foundations anddam abutments affected.Gravelly sands or sands withdeficiency of intermediateparticle sizesmay be unstable anddevelop piping when subjectto seepage flow

Locate possible outcrop areas ofsorted alluvial materials or terracedeposits

Examine seepage outcrop areas ofslopes and riverbanks for piping

Area subsidence Area subsidence endangerslong- term stability andperformance of project

Locate areas of high ground waterwithdrawal, oil fields andsubsurface solution mining ofunderground mining areas

Check project area for new wells ornew mining activity

Are there any plans for new orincreased recovery of subsurfacewater or mineral resources?

Collapsing soils Need for removal of shallowfoundation materials thatwould collapse upon wettingdetermined

Determine how deposits wereformed during geologic time andany collapse problems in area

Examine surface deposits for voidsalong eroded channels, especially insteep valleys eroded in fine-grainedsedimentary formations

Were materials deposited by mudflows?

(Sheet 2 of 4)

(0��

��-DQ��

��



Locally lowered groundwater

May cause minor to large localand area settlements and resultin flooding near rivers or openwater and differentialsettlement of structures

Determine if heavy pumping from wells has occurred in project area;contact city and state agenciesand USGS

Obtain ground water levels in wellsfrom owners and information onwithdrawal rates and any plannedincreases. Observe condition ofstructures. Contact local waterplant operators

Abnormally low pore water pressures (lower thananticipated from groundwater levels)

May indicate effective stressesare still increasing and maycause future slope instability invalley sites

Compare normal ground waterlevels with piezometric levels ifdata are available

Is the past reduction in verticalstresses a possible cause of lowpore water pressure. Examples aredeep glacial valleys and deepexcavations like that for the PanamaCanal, where pore pressures in clayshale were reduced by stress relief.

In situ shear strength from natural slopes

Provides early indication ofstability of excavated slopes orabutment and natural slopesaround reservoir area

Locate potential slide areas.Existing slope failures should beanalyzed to determine minimum insitu shear strengths

Estimate slope angles and heights,especially at river bends whereundercutting erosion occurs. Deter-mine if flat slopes are associatedwith mature slide or slumptopography or with erosionfeatures

Are existing slopes consistently flat,indicating residual strengths havebeen developed?

Swelling soils and shales Highly preconsolidated claysand clay shales may swellgreatly in excavations or uponincrease in moisture content

Determine potential problem andlocation of possible precon-solidated strata from availableinformation

Examine roadways founded on geo-logic formations similar to those atsite. Check condition of buildingsand effects of rainfall and watering

Do seasonal ground water andrainfall or watering of shrubs or treescause heave or settlement?

Varved clays Pervious layers may causemore rapid settlement thananticipated. May appear to beunstable because of uncon-trolled seepage throughpervious layers between over-consolidated clay layers or may have weak clay layers.May be unstable in excavationsunless well points are used tocontrol ground water

Determine areas of possiblevarved clay deposits associatedwith prehistoric lakes. Determinesettlement behavior of structuresin the area

Check natural slopes and cuts forvarved clays; check settlementbehavior of structures

(Sheet 3 of 4)

(0��

��-DQ��

��



Dispersive clays A major factor in selectingsoils for embankment damsand levees

Check with Soil ConservationService and other agenciesregarding behavior of existingsmall dams

Look for peculiar erosional featuressuch as vertical or horizontalcavities in slopes or unusualerosion in cut slopes. Perform“crumb” test

Riverbank and other liquefaction areas

Major effect on riverbankstability and on foundationstability in seismic areas

Locate potential areas of loosefine-grained alluvial or terracesand; most likely along riverbankswhere loose sands are presentand erosion is occurring

Check riverbanks for scallop-shaped failure with narrow neck(may be visible during low water). Ifpresent, determine shape, depth,average slope, and slope ofadjacent sections. Liquefaction inwooded areas may leave treesinclined at erratic angles. Look forevidence of sand boils in seismicareas

Filled areas Relatively recent filled areaswould cause large settlements.Such fill areas may beovergrown and not detectedfrom surface or evensubsurface evidence

Check old topo maps if availablefor depressions or gullies notshown on more recent topo maps

Obtain local history of site from arearesidents

Local overconsolidationfrom previous site usage

Local areas of a site may havebeen overconsolidated frompast heavy loadings of lumberor material storage piles

Obtain local history from residents ofarea

(Sheet 4 of 4)

(0��-DQ��

��

If an information system or electronic data base management capability already exists, seriousconsideration should be given at the beginning of a project to incorporate the geotechnical informationinto the system. Newly obtained/generated data should be incorporated into the information system database for future project use. Data describing the site conditions encountered during construction shouldalso be incorporated into the geotechnical data base. By electronically recording geotechnicalinformation through the life cycle of a project, reliable diagnostic and forensic analysis can be conducted.Moreover, a GIS provides a powerful management tool for the postconstruction (operation andmaintenance) phase of the project.

(0��-DQ��

��

&KDSWHU��6XUIDFH�,QYHVWLJDWLRQV

��'HVFULSWLRQ�RI�2SHUDWLRQ

This chapter describes field operations that do not involve significant disturbance of the ground at thetime the investigation is conducted. This type of investigation typically occurs at a preliminary stage ofprojects and supplies generalized information. However, these investigations can involve mappingspecific locations in great detail during construction. The end product is commonly a pictorial renderingof conditions at the site. The degree of accuracy and precision required in such a rendering varies withthe application and purpose for which the information is to be used. Some leeway in the degree ofaccuracy is required because of the inherent difficulty in presenting a 3-D subject in two dimensions.With computer-aided design and drafting (CADD) systems and specialized engineering applicationsoftware packages, it is possible to portray 3-D information of greater complexity more effectively.

This chapter and the next describe in detail elements necessary for completion of a successful fieldinvestigation program for large civil and military projects. Several elements are applicable forrefinement of regional geology investigations discussed in Chapter 3. Many civil works projects are,however, too small to afford complete onsite field investigations as outlined in the next two chapters.For smaller projects, emphasis should be placed on compilation and analysis of existing data, remotesensing imagery, and surface and subsurface information derived from onsite drilling and constructionexcavations. The following discussion can serve as a guide to the types of critical geotechnicalinformation needed to support design and construction decisions.

6HFWLRQ�,

*HRORJLF�)LHOG�0DSSLQJ

��$UHDO�0DSSLQJ

The purpose of areal mapping is to develop an accurate picture of the geologic framework of the projectarea. The area and the degree of detail to be mapped can vary widely depending on the type and size ofthe project and on the complexity of the regional geology. In general, the area to be mapped shouldinclude the project site(s) as well as the surrounding area that could influence or could be influenced bythe project. The information available from other sources should have been identified and collectedduring preliminary investigations (Chapter 3). If this was not done, or if for any reason it appears thatadditional useful information may be available, this information should be obtained and evaluated beforeexpensive field investigations are begun. Only if existing geologic studies of an area have beencombined with current geologic mapping and appropriate remote sensing techniques can an arealmapping program be considered complete. Such analysis is best carried out in a GIS. Utilization of GPSis a low cost and efficient alternative for providing precise horizontal and vertical measures to establishground control points for georeferencing remote sensing images and for locating monitoring wells andother geologic sampling stations. GPS procedures are described in EM 1110-2-1003. For initial surfacemapping, hand-held electronic distance measuring instruments are commonly sufficiently accurate andare efficient.

D� 5HVHUYRLU�SURMHFWV��Geologic and environmental features within the reservoir and adjacent areasthat should be studied and mapped include the following:

(0��-DQ��

��

(1) Faults, joints, stratigraphy, and other significant geologic features.

(2) Karst topography or other features that indicate high reservoir leakage potential.

(3) Water well levels, springs, surface water, water-sensitive vegetation, or other evidence of theground water regime.

(4) Soluble or swelling rocks such as gypsum or anhydrite.

(5) Potential landslide areas around the reservoir rim.

(6) Valuable mineral resources.

(7) Mine shafts, tunnels, and gas and oil wells.

(8) Potential borrow and quarry areas and sources of construction materials.

(9) Shoreline erosion potential.

(10) Landfills, dumps, underground storage tanks, surface impoundments, and other potentialenvironmental hazards.

E� 2WKHU�SURMHFWV��The geologic features listed above are applicable in part to navigation locks anddams, main-line levees, coastal and harbor protection projects, and large or complex military projects.However, the scope and detail of the area mapped depend on the type and size of the project.Environmental engineering aspects of site investigations are covered in EM 1110-2-1202, -1204, -1205,and -1206 and Keller (1992). Procedures to investigate sedimentation in river and reservoir sites arediscussed in EM 1110-2-4000.

��6LWH�0DSSLQJ

Large-scale and detailed geologic maps should be prepared for specific sites of interest within the projectarea and should include proposed structure areas and borrow and quarry sites. Investigation of thegeologic features of overburden and rock materials is essential in site mapping and subsequentexplorations. Determination of the subsurface features should be derived from a coordinated,cooperative study by geotechnical engineers and geologists. The geologist should contribute informationon origin, distribution, and manner of deposition of the overburden and rock. The geotechnical engineeror engineering geologist should determine the engineering properties of the site foundation and potentialconstruction materials, potential problem materials or conditions, application of geologic conditions todesign, and the adaptation of proposed structures to foundation conditions.

D� 6WUXFWXUH� VLWHV�� A good preliminary geologic map should be prepared prior to making anysubsurface borings to provide an approximate picture of the geologic conditions and hazards at a site.Such a map permits borings to be strategically located. For each proposed boring, an estimate should bemade of the subsurface conditions that will be encountered, such as depths to critical contacts and to thewater table. This estimate is possible, at least in an approximate manner, if geologic mapping has beenperformed to determine the geologic structure, lithology, and stratigraphy. The process of progressivelyrefining the model of the geologic structure and stratigraphy by comparison with boring information isthe most efficient and cost-effective means to develop a complete understanding of the geologic site

(0��-DQ��

��

conditions. A digital format, such as CADD, provides a cost- and time-effective way to refine the modelas new information becomes available.

E� %RUURZ�DQG�TXDUU\�VLWHV��Sources of materials for embankment construction, riprap protection,and aggregates for concrete or road construction can often be located and evaluated during the course ofregional mapping. It is sometimes necessary to expand the field area to locate suitable types andquantities of construction materials. In these instances, remote sensing techniques including analysis ofaerial photography may be useful. Alternate plans that would make use of materials nearer to the projectbut lower in quality should be tentatively formulated and evaluated. A complete borrow and quarrysource map should include all soil types encountered and all rock types with adequate descriptions ofsurficial weathering, hardness, and joint spacings.

(1) Processed rock products are usually most economically acquired from commercial sources.Test results are often available on these sources through state or Federal offices. The procedures forapproval of construction materials sources are outlined in EM 1110-2-2301.

(2) Evaluation of soil and/or rock sources should be based upon sampling and laboratory analysis.By making field estimates of the thicknesses of various deposits, a geologic map may be used to estimatequantities available. Geologic maps can also be used to make a preliminary layout of haul and accessroads and to estimate haul distances. A GIS is ideally suited to evaluate the quality and quantity ofavailable quarry material, cost of excavation, and optimal transport routes.

��&RQVWUXFWLRQ�0DSSLQJ

Construction maps record in detail geologic conditions encountered during construction. Traditionally,a foundation map is a geologic map with details on structural, lithologic, and hydrologic features. It canrepresent structure foundations, cut slopes, and geologic features in tunnels or large chambers. The mapshould be prepared for soil and rock areas and show any feature installed to improve, modify, or controlgeologic conditions. Some examples are rock reinforcing systems, permanent dewatering systems, andspecial treatment areas. The mapping of foundations is usually performed after the foundation has beencleaned just prior to the placement of concrete or backfill. The surface cleanup at this time is generallysufficient to permit the observation and recording of all geologic details in the foundation. An extensivephotographic and videographic record should be made during foundation mapping.

D� The person in charge of foundation mapping should be familiar with design intent via carefulexamination of design memoranda and discussion with design personnel. The actual geology should becompared with the geologic model developed during the design phase to evaluate whether or not thereare any significant differences and how these differences may affect structural integrity. The person incharge of foundation mapping should be involved in all decisions regarding foundation modifications oradditional foundation treatment considered advisable based on conditions observed after preliminarycleanup. Design personnel should be consulted during excavation work whenever differences betweenthe actual geology and the design phase geological model require clarification or change in foundationdesign. Mapping records should include details of all foundation modifications and treatment performed.

E� Geologic maps and sections of the project which relate to construction and postconstructionprocedures, hazards, or problems should be prepared for the Construction Foundation Report. Also, anedited video recording of excavation procedures, final foundation surfaces, treatment, etc. should be anintegral part of the final report. The various geological data layers and video information are bestcompiled, analyzed, and prepared for presentation in a GIS.

(0��-DQ��

��

F� Appendix B provides detailed guidance on technical procedures for mapping foundations.Mapping of tunnels and other underground openings must be planned differently from foundationmapping. Design requirements for support of the openings may require installation of support before anadequate cleanup can be made for mapping purposes. Consequently, mapping should be performed asthe heading or opening is advanced and during the installation of support features. This requires a welltrained geologist, engineering geologist, or geological engineer at the excavation at all times.Specifications should be included in construction plans for periodic cleaning of exposure surfaces and toallow a reasonable length of time for mapping to be carried out. Technical procedures for mapping tun-nels are outlined in Appendix C and can be modified for large chambers.

6HFWLRQ�,,

6XUIDFH�*HRSK\VLFDO�([SORUDWLRQV

��%DFNJURXQG

Geophysical exploration consists of making indirect measurements from the earth's surface or inboreholes to obtain subsurface information. Geologic information is obtained through analysis orinterpretation of these measurements. Boreholes or other subsurface explorations are needed to calibrategeophysical measurements. Geophysical explorations are of greatest value when performed early in thefield exploration program in combination with limited subsurface exploration. They are appropriate for arapid location and correlation of geologic features such as stratigraphy, lithology, discontinuities, groundwater, and the in situ measurement of elastic moduli and densities. The cost of geophysical explorationsis generally low compared with the cost of core borings or test pits, and considerable savings may berealized by judicious use of these methods.

��0HWKRGV

The six major geophysical exploration methods are seismic, electrical resistivity, sonic, magnetic, radar,and gravity. Of these, the seismic and electrical resistivity methods have found the most practicalapplication to the engineering problems of the Corps of Engineers (Steeples and Miller 1990, Society ofExploration Geophysicists 1990). Potential applications of selected geophysical methods aresummarized in Tables 4-1 and 4-2. EM 1110-1-1802, Society of Exploration Geophysicists (1990), andAnnan (1992) provide detailed guidance on the use and interpretation of geophysical methods. Specialapplications of microgravimetric techniques for sites with faults, fracture zones, cavities, and other rockirregularities have been made (Butler 1980).

(0��

��-DQ��

��

7DEOH��$SSOLFDWLRQV�RI�6HOHFWHG�*HRSK\VLFDO�DQG�2WKHU�0HWKRGV�IRU�'HWHUPLQDWLRQ�RI�(QJLQHHULQJ�3DUDPHWHUV�

��0HWKRG %DVLF�0HDVXUHPHQW $SSOLFDWLRQ $GYDQWDJHV /LPLWDWLRQV

6XUIDFH

Refraction seismic Travel time of compressionalwaves through subsurfacelayers

Velocity determination ofcompression wave throughsubsurface. Depths to contrastinginterfaces and geologic correlationof horizontal layers

Rapid, accurate, and relativelyeconomical technique. Interpretationtheory generally straightforward andequipment readily available

Incapable of detecting material of lowervelocity underlying higher velocity. Thinstratum sometimes not detectable.Interpretation is not unique

Reflection seismic Travel time of compressionalwaves reflected fromsubsurface layers

Mapping of selected reflectorhorizons. Depth determinations,fault detection, discontinuities, andother anomalous features

Rapid, thorough coverage of givensite area. Data displays highlyeffective

Even with recent advances in high-resolution, seismic technology applicableto civil works projects is limited in area ofresolution

Rayleigh wave dispersion

Travel time and period ofsurface Rayleigh waves

Inference of shear wave velocity innear-surface materials

Rapid technique which usesconventionalrefraction seismographs

Requires long line (large site). Requireshigh-intensity seismic source rich in low-frequency energy. Interpretation complex

Vibratory (seismic) Travel time or wavelength ofsurface Rayleigh waves

Inference of shear wave velocity innear-surface materials

Controlled vibratory source allowsselection of frequency, hencewavelength and depth of penetration(up to 200 ft). Detects low-velocityzones underlying strata of highervelocity. Accepted method

Requires large vibratory source,specialized instrumentation, andinterpretation

Reflection profiling (seismic-acoustic)

Travel times of compressionalwaves through water andsubsurface materials andamplitude of reflected signal

Mapping of various lithologichorizons; detection of faults,buried stream channels, and saltdomes, location of buried man-made objects; and depthdetermination of bedrock or otherreflecting horizons

Surveys of large areas at minimaltime and cost; continuity of recordeddata allows direct correlation oflithologic and geologic changes;correlative drilling and coring can bekept to a minimum

Data resolution and penetration capabilityare frequency-dependent; sediment layerthickness and/or depth to reflectionhorizons must be consideredapproximate unless true velocities areknown; some bottom conditions (e.g.,organic sediments) prevent penetration;water depth should be at least 15 to 20 ftfor proper system operation

From EM 1110-1-1802.1

(Sheet 1 of 5)

(0��

��-DQ��

��



6XUIDFH��&RQWLQXHG�

Electrical resistivity Electrical resistance of avolume of material betweenprobes

Complementary to refraction seis-mic. Quarry rock, ground water,sand and gravel prospecting.River bottom studies and cavitydetection

Economical nondestructive technique.Can detect large bodies of “soft”materials

Lateral changes in calculated resistanceoften interpreted incorrectly as depthrelated; hence, for this and otherreasons, depth determinations can begrossly in error. Should be used inconjunction with other methods, e.g.,seismic

Acoustic (resonance) Amplitude of acousticallycoupled sound waves originat-ing in an air-filled cavity

Traces (on ground surface) lateralextent of cavities

Rapid and reliable method.Interpretation relatively straightforward.Equipment readily available

Still in experimental stage - limits notfully established. Must have access tosome cavity opening

Ground PenetratingRadar

Travel time and amplitude of areflect signal microwave

Rapidly profiles layeringconditions. Stratification, dip,water table, and presence of manytypes of anomalies can bedetermined

Very rapid method for shallow siteinvestigations. Online digital dataprocessing can yield “onsite” look.Variable density display highlyeffective

Transmitted signal rapidly attenuated by water. Severely limits depth ofpenetration. Multiple reflections cancomplicate data interpretation

Gravity Variations in gravitational field Detects anticlinal structures,buried ridges, salt domes, faults,and cavities

Reasonably accurate results can beobtained, provided extreme care isexercised in establishing gravitationalreferences

Equipment very costly. Requiresspecialized personnel. Anything havingmass can influence data (buildings,automobiles, etc). Data reduction andinterpretation are complex. Topographyand strata density influence data

Magnetic Variations of earth’s magneticfield

Determines presence and locationof magnetic materials in thesubsurface. Locates ore bodies

Minute quantities of magneticmaterials are detectable

Only useful for locating magneticmaterials. Interpretation highlyspecialized. Calibration on siteextremely critical. Presence of anymetallic objects influences data

%RUHKROH

Uphole/downhole (seismic)

Vertical travel time of com-pressional and/or shear waves

Velocity determination of verticalP- and/or S-waves. Identificationof low-velocity zones

Rapid technique useful to define low-velocity strata. Interpretationstraightforward

Care must be exercised to preventundesirable influence of grouting orcasing

(Sheet 2 of 5)

(0��

��-DQ��

��



%RUHKROH��&RQWLQXHG�

Crosshole (seismic) Horizontal travel time ofcompressional and/or shearwaves

Velocity determination ofhorizontal P- and/or S-waves.Elastic characteristics ofsubsurface strata can becalculated

Generally accepted as producingreliable results. Detects low-velocityzones provided borehole spacing notexcessive

Careful planning with regard to boreholespacing based upon geologic and otherseismic data an absolute necessity.Snell’s law of refraction must be appliedto establish zoning. A borehole deviationsurvey must be run. Highly experiencedpersonnel required. Repeatable sourcerequired

Boreholespontaneous potential

Natural earth potential Correlates deposits, locates waterresources, studies rockdeformation, assessespermeability, and determinesground water salinity

Widely used, economical tool.Particularly useful in the identificationof highly porous strata (sand, etc.)

Log must be run in a fluid filled, uncasedboring. Not all influences on potentialsare known

Single-point resistivity Strata electrical resistanceadjacent to a single electrode

In conjunction with spontaneouspotential, correlates strata andlocates porous materials

Widely used, economical tool. Logobtained simultaneous withspontaneous potential

Strata resistivity difficult to obtain. Logmust be run in a fluid filled, uncasedboring. Influenced by drill fluid

Long and short normal resistivity

Near-hole electrical resistance Measures resistivity within aradius of 16 and 64 in.

Widely used, economical tool Influenced by drill fluid invasion. Logmust be run in a fluid filled, uncasedboring

Lateral resistivity Far-hole electrical resistance Measures resistivity within aradius of 18.7 ft

Less drill fluid invasion influence Log must be run in a fluid filled, uncasedboring. Investigation radius limited inlow-moisture strata

Induction resistivity Far-hole electrical resistance Measures resistivity in air- or oil-filled holes

Log can be run in a nonconductivecasing

Large, heavy tool

Borehole imagery (acoustic)

Sonic image of borehole wall Detects cavities, joints, fracturesin borehole wall. Determineattitude (strike and dip) ofstructures

Useful in examining casing interior.Graphic display of images. Fluidclarity immaterial

Highly experienced operator required.Slow log to obtain. Probe awkward anddelicate. Borehole must be less than a6-in. diam

(Sheet 3 of 5)

(0��

��-DQ��

��




Continuous sonic(3-D) velocity

Time of arrival of P- and S-waves in high-velocitymaterials

Determines velocity of P- and S-waves in near vicinity of borehole.Potentially useful for cavity andfracture detection. Modulus deter-minations. Sometimes S-wavevelocities are inferred from P-wavevelocity and concurrently runnuclear logs through empiricalcorrelations

Widely used method. Rapid andrelatively economical. Variabledensity display generally impressive.Discontinuities in strata detectable

Shear wave velocity definition question-able in unconsolidated materials and softsedimentary rocks. Only P-wavevelocities greater than 5,000 fps can bedetermined

Natural gammaradiation

Natural radioactivity Lithology, correlation of strata,may be used to infer permeability.Locates clay strata andradioactive minerals

Widely used, technically simple tooperate and interpret

Borehole effects, slow logging speed,cannot directly identify fluid, rock type, orporosity. Assumes clay minerals containpotassium 40 isotope

Gamma-gammadensity

Electron density Determines rock density ofsubsurface strata

Widely used. Can be applied toquantitative analyses of engineeringproperties. Can provide porosity

Borehole effects, calibration, sourceintensity, and chemical variation in strataaffect measurement precision.Radioactive source hazard

Neutron porosity Hydrogen content Moisture content (above watertable)Total porosity (below water table)

Continuous measurement of porosity.Useful in hydrology and engineeringproperty determinations. Widely used

Borehole effects, calibration, sourceintensity, and bound water all affectmeasurement precision. Radioactivesource hazard

Neutron activation Neutron capture Concentration of selectedradioactive materials in strata

Detects elements such as U, Na, Mn.Used to determine oil-water contact(oil industry) and in prospecting forminerals(Al, Cu)

Source intensity, presence of two or moreelements having similar radiation energyaffect data

Borehole magnetic Nuclear precession Deposition, sequence, and age ofstrata

Distinguishes ages of lithologicallyidentical strata

Earth field reversal intervals under study.Still subject of research

Mechanical caliper Diameter of borehole Measures borehole diameter Useful in a wet or dry hole Must be recalibrated for each run.Averages three diameters

Acoustic caliper Sonic ranging Measures borehole diameter Large range. Useful with highlyirregular shapes

Requires fluid filled hole and accuratepositioning

(Sheet 4 of 5)

(0��

��-DQ��

��




Temperature Temperature Measures temperature of fluidsand borehole sidewalls. Detectszones of inflow or fluid loss

Rapid, economical, and generallyaccurate

None of importance

Fluid resistivity Fluid electrical resistance Water-quality determinations andauxiliary log for rock resistivity

Economical tool Borehole fluid must be same as groundwater

Tracers Direction of fluid flow Determines direction of fluid flow Economical Environmental considerations oftenpreclude use of radioactive tracers

Flowmeter Fluid velocity and quantity Determines velocity of subsurfacefluid flow and, in most cases,quantity of flow

-- --

Sidewall sampling -- -- -- --

Fluid sampling -- -- -- --

Borehole dipmeter -- -- -- --

Borehole surveying Azimuth and declination ofborehole drift

Determines the amount anddirection of borehole deviationfrom the vertical normal

A reasonably reliable technique.Method must be used during theconduct of crosshole surveys todetermine distance between seismicsource and receivers

Errors are cumulative, so care must betaken at each measurement point toachieve precise data

Downhole flow meter Flow across the borehole Determines the rate and directionof ground water flow

A reliable, cost-effective method todetermine lateral foundation leakageunder concrete structures

Assumes flow not influenced byemplacement of borehole

Note: Blanks indicate no data.

(Sheet 5 of 5)

(0��

��-DQ��

��

7DEOH��1XPHULFDO�5DWLQJ�RI�*HRSK\VLFDO�0HWKRGV�WR�3URYLGH�6SHFLILF�(QJLQHHULQJ�3DUDPHWHUV �(QJLQHHULQJ�$SSOLFDWLRQ�

Geophysical Method Dep

thto

Roc

k

P-W

ave

Velo

city

S-W

ave

Velo

city

She

arM

odul

us

You

ng’s

Mod

ulus

Pois

son’

sR

atio

Lith

olog

y

Mat

eria

lBou

ndar

ies

Stra

tigra

phy

Dip

ofSt

rata

Den

sity

InSi

tuSt

ate

ofSt

ress

Tem

pera

ture

Perm

eabi

lity

Perc

entS

atur

atio

n

Gro

und

wat

erTa

ble

Gro

und

wat

erQ

ualit

y

Gro

und

wat

erAq

uife

rs

Flow

Rat

ean

d/or

Dire

ctio

n

Bor

ehol

eD

iam

eter

Obs

truct

ions

Rip

pabi

lity

Faul

tDet

ectio

n

Cav

ityD

etec

tion

Cav

ityD

elin

eatio

n

Loca

tion

ofO

reBo

dies

Bore

hole

Azim

uth

and

Incl

inat

ion

Surface

Refraction (seismic) 4 4 4 4 4 4 1 3 4 2 1 0 0 2 2 0 2 0 0 2 4 3 2 2 3 0

Reflection (seismic) 4 0 0 0 0 0 1 4 4 0 0 0 0 0 2 0 1 0 0 2 0 4 3 3 3 0

Rayleigh wave dispersion 1 0 2 2 0 0 1 3 0 2 1 0 0 0 0 0 0 0 0 1 0 0 0 1 2 0

Vibratory (seismic) 2 0 4 4 4 0 1 3 0 2 1 0 0 0 0 0 0 0 0 2 2 1 2 2 3 0

Reflection profiling (seismic-acoustic) 4 0 0 0 0 0 1 4 4 0 0 0 0 0 0 0 0 0 0 3 0 4 3 3 4 0

Electrical potential2 0 0 0 0 0 0 0 1 0 0 0 0 1 1 2 3 3 3 0 0 0 3 3 3 4 0

Electrical resistivity 3 0 0 0 0 0 1 3 2 0 0 0 2 1 4 0 4 2 0 3 2 0 4 4 4 0

Acoustic (resonance)2 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 3 0 0 0 0 0 4 0 0

Radar2,3 3 0 0 0 0 0 1 3 2 0 0 0 2 3 3 0 0 2 0 3 0 3 3 3 3 0

Electromagnetic2 4 0 0 0 0 0 3 4 1 0 0 0 1 2 3 1 2 0 0 0 0 3 0 0 4 0

Gravity 3 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 4 0 1 3 3 3 0

Magnetic2,3 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 2 2 4 0

Borehole

Uphole/downhole (seismic) 4 4 4 4 4 4 1 4 0 2 1 0 0 2 2 0 2 0 0 1 2 3 0 2 2 0

Crosshole (seismic) 4 4 4 4 4 4 1 4 2 2 1 0 0 2 2 0 2 0 0 3 2 3 3 2 3 0

(Continued)

Numerical rating refers to applicability of method in terms of current use and future potential:1

0 = Not considered applicable1 = Limited2 = Used or could be used, but not best approach3 = Excellent potential but not fully developed4 = Generally considered as excellent approach; state of art well developedA = In conjunction with other electrical and nuclear logs

Methods not included in EM 1110-1-1802.2

Airborne or inhole survey capability not considered.3

(0��

��-DQ��

��


Geophysical Method Dep

thto

Roc

k

P-W

ave

Velo

city

S-W

ave

Velo

city

Shea

rMod

ulus

Youn

g’s

Mod

ulus

Poi

sson

’sR

atio

Lith

olog

y

Mat

eria

lBou

ndar

ies

Stra

tigra

phy

Dip

ofSt

rata

Den

sity

InS

ituSt

ate

ofS

tress

Tem

pera

ture

Per

mea

bilit

y

Per

cent

Sat

urat

ion

Gro

und

wat

erTa

ble

Gro

und

wat

erQ

ualit

y

Gro

und

wat

erA

quife

rs

Flow

Rat

ean

d/or

Dire

ctio

n

Bore

hole

Dia

met

er

Obs

truct

ions

Rip

pabi

lity

Faul

tDet

ectio

n

Cav

ityD

etec

tion

Cav

ityD

elin

eatio

n

Loca

tion

ofO

reB

odie

s

Bor

ehol

eA

zim

uth

and

Incl

inat

ion

Borehole (Continued)Crosshole acoustic2 4 4 4 4 4 0 1 3 4 0 0 0 1 0 3 0 0 0 0 1 3 3 3 3 0 0Crosshole resistivity2 3 0 0 0 0 0 1 3 1 0 0 0 1 0 3 0 3 0 0 1 0 2 3 3 0 0Borehole spontaneous potential 2 0 0 0 0 0 4 4 4 2 0 0 0 0 4 2 4 0 0 1 0 2 2 1 3 0Single-point resistivity 2 0 0 0 0 0 4 4 1 0 0 0 0 1 4 2 4 0 0 1 0 1 1 1 2 0Long and short normal resistivity 2 0 0 0 0 0 4 4 1 1 0 0 0 4 3 0 2 0 0 0 0 1 1 2 4 0Lateral resistivity 2 0 0 0 0 0 3 4 1 1 0 0 0 4 3 0 2 0 0 0 0 1 1 2 4 0Induction-resistivity2 2 0 0 0 0 0 4 4 1 1 0 0 0 4 3 0 2 0 0 0 0 1 1 2 4 0Borehole imagery acoustic 4 0 0 0 0 0 2 3 1 0 1 0 2 0 2 0 0 0 0 1 0 2 2 3 0 0Interval (3-D) velocity 2 4 2 2 2 2 2 3 1 2 1 0 0 1 1 0 0 0 0 1 0 3 2 2 2 0Natural gamma radiation 2 0 0 0 0 0 4 4 1 2 0 0 3A 1A 3A 2 2A 1 0 0 0 3A 1 1 4 0Gamma-gamma density 3A 0 0 0 0 0 4 4 1 3A 0 0 2A 3A 2A 0 0 0 0 0 3 3A 2 1 4 0Neutron porosity 2A 0 0 0 0 0 4 4 1 3A 0 0 2 3A 3A 0 0 0 0 0 0 3A 2 1 4 0Neutron activation2 2A 0 0 0 0 0 3 1 1 0 0 0 2A 2 3A 0 0 2 0 1 0 1 0 0 4 0Borehole gravity2 1 0 0 0 0 0 0 0 0 2 0 0 0 0 0 0 0 0 0 0 0 0 2 4 0 0Mechanical caliper 0 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 0 4 0 0 0 0 0 0 0Acoustic caliper 0 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 0 2 1 0 0 0 0 0 0Temperature 0 0 0 0 0 0 0 0 0 0 1 4 1 0 2 4 4 2 0 0 0 0 1 2 1 0Fluid resistivity 0 0 0 0 0 0 0 1 0 1 0 0 1 4 4 4 4 0 0 0 0 0 3 1 1 0Tracers2 0 0 0 0 0 0 1 0 0 0 0 0 1 0 2 0 4 4 0 1 0 0 0 3 0 0Flowmeter2 0 0 0 0 0 0 0 0 0 0 0 0 2 2 2 0 4 4 0 2 0 0 0 2 0 0Sidewall sampling2 4 0 0 0 0 0 4 4 1 4 2 0 4 4 2 0 0 0 0 2 2 2 1 0 4 0Fluid sampling2 0 0 0 0 0 0 0 0 0 0 0 4 1 0 4 4 4 2 0 0 0 0 0 0 0 0Borehole dipmeter2 0 0 0 0 0 0 2 1 4 0 0 0 0 0 0 0 0 0 0 0 0 2 0 0 1 2Borehole surveying 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 4

(0��-DQ��

��

&KDSWHU��6XEVXUIDFH�,QYHVWLJDWLRQV

��%DFNJURXQG

Subsurface investigations require use of equipment to gain information below the ground surface. Theequipment is typically invasive and requires disturbance of the ground to varying degrees. Most of theseexploration techniques are relatively expensive and therefore should be carefully planned and controlledto yield the maximum amount of information possible. It should be kept in mind that the quality of theinformation produced can vary significantly. If procedures are not followed carefully and data notinterpreted properly, radically different conclusions can be reached. For example, poor drillingtechniques could produce samples that might yield lower strength values. Therefore, only competent,senior geotechnical personnel should be charged with planning a subsurface investigation, and onlyqualified geotechnical professionals and technicians should do the drilling and data collecting, reducing,analyzing, and interpreting.

��/RFDWLRQ�RI�,QYHVWLJDWLRQV

An important piece of information for all geotechnical investigations that seems obvious but commonlynot given sufficient attention is the accurate determination of the location of investigation. It is alwayspreferable to select boring and test pit locations that fully characterize geotechnical conditions. Althoughcorrelation of information from offsite may be technically defensible, because of variability of geologicmaterials, the legal defensibility of a piece of information is commonly lost if it is even slightly removedfrom the site. Of course, it is not always possible to locate a boring on a structure because of obstacles orright-of-entry difficulties. Heavily urbanized areas present particular difficulties in these aspects.However, it is important to keep in mind that correlations and interpretations may be subject to laterscrutiny should a change of conditions claim be filed. All locations should be determined using eitherconventional surveying methods or by a GPS (EM 1110-1-1003). A GPS has the significant advantage ofhaving the positional information downloaded directly into a GIS.

��3URWHFWLRQ�RI�WKH�(QYLURQPHQW

D� After the locations for field investigations work have been determined, routes of access to thearea and the specific sites for borings and excavations should be selected with care to minimize damageto the environment. Environmental engineering aspects of civil works projects are discussed inEM 1110-2-1202, -1204, -1205, and -1206 and Keller (1992). Operation of equipment will be controlledat all times and the extent of damaged areas will be held to the minimum consistent with the requirementsfor obtaining adequate data. Local laws pertaining to permissible levels of sediment flow from the siteshould be investigated. After the exploratory sites have served their purpose, the disturbed areas will berestored to a natural appearance. All borings and test pits should be backfilled in accordance with stateenvironmental regulations.

E� Most states are now the primary regulatory agency for ground water quality assurance. As partof this responsibility many now require the certification of drillers. These regulations primarily apply towater well installation, but they may also apply to investigation programs. Ground water qualityassurance has been the subject of considerable discussion from the standpoint of Federal Governmentresponsibility for compliance with these regulations. Generally, Government drillers are not required to

(0��-DQ��

��

have state certification but, in some instances, may be forced to comply for political reasons. This is nota clear-cut issue, and it should be resolved before beginning a drilling program.

F� The Federal Government has responsibility to ensure that environmental consciousness ismaintained during the conduct of geotechnical investigations. Unfortunately, drilling rigs are inherentlydirty. Proper maintenance of drilling rigs will minimize this problem. For HTRW exploratory drilling,drilling rigs must be steam cleaned and all tools, equipment, and personnel decontaminated in accordancewith procedures established in the quality assurance and control (QAAC) plan. Fluids used in drillingoperations, be they hydrocarbons that have leaked from the hydraulic system or a constituent of a drillingmud, are potentially toxic and should be controlled or eliminated wherever possible. EM 1110-1-4000discusses requirements for maintenance and operation of drilling equipment at USACE HTRW sites.Aller et al. (1989) provide further guidance on acceptable design and installation of monitoring wells.

6HFWLRQ�,

%RULQJV

��0DMRU�8VHV

Borings are required to characterize the basic geologic materials at a project. The major uses for whichborings are made are as follows:

D� Define geologic stratigraphy and structure.

E� Obtain samples for index testing.

F� Obtain ground water data.

G� Perform in situ tests.

H� Obtain samples to determine engineering properties.

I� Install instrumentation.

J� Establish foundation elevations for structures.

K� Determine the engineering characteristics of existing structures.

Borings are classified broadly as disturbed, undisturbed, and core. Borings are frequently used for morethan one purpose, and it is not uncommon to use a boring for purposes not contemplated when it wasmade. Thus, it is important to have a complete log of every boring, even if there may not be animmediate use for some of the information. If there is doubt regarding the range of borehole use orinsufficient information to determine optimum borehole size, then the hole should be drilled larger thancurrently thought needed. A slightly larger than needed borehole is considerably less expensive than asecond borehole.

��%RULQJ�DQG�6DPSOLQJ�0HWKRGV

D� &RPPRQ�PHWKRGV� GLVFXVVHG�� Many methods are used to make borings and retrieve samples.Some of the more common methods are discussed in the following paragraphs. Many of these are also

(0��-DQ��

��

discussed in detail in Chapter 3, Appendix F; Das (1994); Hunt (1984); and Aller et al. (1989). Somefactors that affect the choice of methods are:

(1) Purpose and information required.

(2) Equipment availability.

(3) Depth of hole.

(4) Experience and training of available personnel.

(5) Types of materials anticipated.

(6) Terrain and accessibility.

(7) Cost.

(8) Environmental impacts.

(9) Disruption of existing structure.

E� $XJHU�ERULQJV�� Auger borings provide disturbed samples that are suitable for determining soiltype, Atterberg limits, Proctor testing, and other index properties but generally give limited informationon subsoil stratification, consistency, or sensitivity. Auger borings are most useful for preliminaryinvestigations of soil type, advancing holes for other sampling methods, determining depth to top of rock,and for monitor well installation in soils. Auger borings can be made using hand, helical, barrel, hollow-stem, or bucket augers. Auger samples are difficult to obtain below the ground water table, except inclays. However, hollow-stem augers with a continuous split barrel sampler can retrieve someunconsolidated material from below the water table. Paragraph 3-4, Appendix F, describes the types ofaugers used in subsurface exploration. Paragraph 8-2, Appendix F, discusses sampling procedures whenaugering.

(1) Truck-mounted auger rigs currently come equipped with high yield and high tensile strength steelaugers. New hydraulics technology can now apply torque pressures upward of 27,000 Nm (20,000 ft lb).With this amount of torque, augers are capable of boring large size holes and of being used in soft rockfoundation investigations. Because augers use no drilling fluids, they are advantageous for avoidingenvironmental impacts. Appendix F, paragraph 3-3, describes auger drilling rigs� Another advantage ofusing augers is the ability (using hollow stems) for soil sampling, i.e., taking undisturbed samples belowthe bit.

(2) Currently, many drilling rigs are actually a combination of auger/core/downhole hammer units.A hollow-stem auger has the “drill through” capability (i.e., the auger can drill to refusal, then a wirelinecore barrel and drill rods can be inserted to finish the hole). The auger acts as a temporary casing toprevent caving of the softer materials as sampling progresses. However, the augers are not water tightand water loss should be anticipated. Hollow-stem augers should not be used as temporary casing inareas where HTRW is anticipated. Temporary steel casing driven into the surface of competent bedrockor PVC casing permanently grouted into the competent bedrock surface is required when HTRW isanticipated.

(0��-DQ��

��

F� 'ULYH� ERULQJV�� Drive borings provide disturbed samples that contain all soil constituents,generally retain natural stratification, and can supply data on penetration resistance. Drive boring is anonrotating method for making a hole by continuous sampling using a heavy wall drive barrel. Push, ordrive, samplers are of two types: open samplers and piston samplers. Open samplers have a ventedsampler head attached to an open tube that admits soil as soon as the tube is brought in contact with thesoil. Some open samplers are equipped with a cutting shoe and a sample retainer. Piston samplers havea movable piston located within the sampler tube. The piston helps to keep drilling fluid and soilcuttings out of the tube as the sampler advances. The piston also helps to retain the sample in thesampler tube. Where larger samples are required, the most suitable drill for this method is the cable toolrig. The cable tool rig has the capability to provide a downward driving force (drill stem on driveclamps) to make a hole and an upward force (drilling jars) to remove the drive barrel from the hole.

(1) Vibratory samplers offer a means of obtaining disturbed samples of saturated, cohesionless soilsrapidly and with relatively inexpensive equipment (Appendix F). The simplest devices consist of a smallgasoline engine providing hydraulic power to a vibrating head clamped to aluminum tubing secured on atripod. The rapid vibrations within the head drives the sampling tube into the ground and forces the soilup into the tube. A rubber packer secured into the open end of the sampling tube after driving creates aseal to retain the sample as the tube is withdrawn with a hand winch.

(2) Another device, the Becker hammer drill, was devised specifically for use in sand, gravel, andboulders by Becker Drilling, LTD, Canada. The Becker drill uses a diesel-powered pile hammer to drivea special double-wall, toothed casing into the ground. Drilling fluid is pumped through an annulus to thebottom of the hole where it forces cuttings to the surface through the center of the casing. The cuttingsare collected for examination. Becker drill casings are available in 14-cm (5.5-in.), 17-cm (6.6-in.), and23-cm (9.0-in.) outside diameters (OD), with sampling inside diameters (ID) of 8.4 cm (3.3 in.), 10.9 cm(4.3 in.), and 15.2 cm (6.0 in.), respectively. Paragraph 5-23 and Appendix H describe Becker penetrationtest procedures. Appendix F, paragraph 3-3, discusses the Becker hammer drilling equipment andoperation.

(3) The Standard Penetration Test (SPT) method of drive boring, described in ASTM D 1586-84(ASTM 1996b), is probably the most commonly used method for advancing a hole by the drive method.Slight variations of this method, primarily concerning the sampling interval, cleanout method, and therefusal criteria exist from office to office but the fundamental procedure follows the ASTM standard.Appendix G presents procedures for SPT sampling and testing. Appendix G is compatible with theASTM D 1586-84 standard and provides additional guidance in evaluating the test data� In this method,a standard configuration, 5-cm (2-in.) OD split barrel sampler at the end of a solid string of drill rods isadvanced for a 0.45-m (1.5-ft) interval using a 623-Newton (N) (140-lb) hammer dropped through a76-cm (30-in.) free fall. The blows required to advance the hole for each 15-cm (6-in.) interval arerecorded on ENG Form 1836. The standard penetration resistance, or “N” value, is the sum of the blowsrequired for the second and third 15-cm (6-in.) drives. The hole is then cleaned or reamed to the top ofthe next interval to be sampled and the procedure is repeated. Refusal is generally defined as 50 blowsper 15 cm (per half foot) of penetration. When used to define the top of rock, great care and closeexamination of samples are required to minimize uncertainties. A few of the applications of SPT data arelisted in paragraph 5-23a. This impact method may also be used with larger sample tubes and heavierhammers. Correlation studies to normalize data from larger holes to the SPT have been performed butare not completely reliable. The Becker hammer drill data can provide correlations of soil density andstrength in coarse-grained soils similarly to the SPT test in finer-grained soils (paragraph 5-23a).

(0��-DQ��

��

(4) Drive borings can be advanced quickly and economically with hollow-stem augers using a “plug”assembly that is either manually or mechanically set in the opening at the end of the auger string and thenremoved prior to sampling. Removal is commonly facilitated using a wire line system of retrieval.Where overburden prohibits the use of augers to advance the boring due to boulders or resistant rocklenses or ledges, other methods can be used. Traditionally, a roller rock bit using drilling mud willadvance the hole at a modest cost in time and dollars. Where extremely difficult drilling conditions exist,an ODEX (eccentric reamer) down-the-hole air hammer system or other coring advancer apparatus canbe used to penetrate the toughest boulders or ledges while still permitting the use of standard penetrationor even undisturbed sampling to be conducted.

G� &RQH�SHQHWUDWLRQ�ERULQJV��The Cone Penetration Test (CPT) or Dutch cone boring is an in situtesting method for evaluating detailed soil stratigraphy as well as estimating geotechnical engineeringproperties (Schmertmann 1978a). The CPT involves hydraulically pushing a 3.6-cm (1.4-in.) diamspecial probe into the earth while performing two measurements, cone resistance and sleeve frictionresistance. The probe is normally pushed from a special heavy duty truck but can also be performed froma trailer or drilling rig. Because of the weight of the truck or trailer needed to conduct CPT borings,access to soft ground sites is limited. Recent developments in CPT technology make it possible toretrieve physical soil samples and ground water or soil-gas samples with the same drive string used toperform the cone penetration test. CPT vehicles with push capacities up to 267 kiloNewtons (kN) (30tons) have been developed. The Tri-Service Site Characterization and Analysis Penetrometer System(SCAPS), which is used to detect underground HTRW, is a technical variation of the CPT. The use ofSCAPS reduces the time and cost of site characterization and restoration monitoring by providing rapidonsite real-time data acquisition/processing (i.e., in situ analysis) and onsite 3-D visualization ofsubsurface stratigraphy and regions of potential contamination. The Triservices operate several SCAPSvehicles including those of the U.S. Army Engineer District, (USAED) Kansas City, Savannah, andTulsa, and the U.S. Army Engineer Waterways Experiment Station (USAEWES). Additional discussionof CPT is given in paragraph 5-23f.

H� 8QGLVWXUEHG� ERULQJV�� Appendix F, Chapters 5 and 6, discuss procedures for undisturbedsampling of soils. True “undisturbed” samples cannot be obtained because of the adverse effectsresulting from sampling, shipping, or handling. However, modern samplers, used with great care, canobtain samples that are satisfactory for shear strength, consolidation, permeability, and density tests pro-vided the possible effects of sample disturbance are considered. Undisturbed samples can be sliced topermit detailed study of subsoil stratification, joints, fissures, failure planes, and other details. Undis-turbed samples of clays and silts can be obtained as well as nearly undisturbed samples of some sands.

(1) There are no standard or generally accepted methods for undisturbed sampling of noncohesivesoils. One method that has been used is to obtain 7.6-cm (3-in.) Shelby (thin-wall) tube samples, drainthem, and then freeze them prior to transporting them to the laboratory. Another method used consists ofin situ freezing, followed by sampling with a rotary core barrel. Care is necessary in transporting anyundisturbed sample, and special precautions must be taken if transporting sands and silts. For bothmethods, disturbance by cryogenic effects must be taken into account. Fixed-piston (Hvorslev) samplers,wherein a piston within a thin-walled tube is allowed to move up into the tube as the sampler is pushedinto the soil, are adapted to sampling cohesionless and wet soils (Appendix F, paragraph 5-1D(2)).

(2) Undisturbed borings are normally made using one of two general methods: push samplers orrotary samplers. Push sampling types involve pushing a thin-walled tube using the hydraulic system ofthe drilling rig, then enlarging the diameter of the sampled interval by some “cleanout” method beforebeginning to sample again. Commonly used systems for push samples include the drill-rig drive,

(0��-DQ��

��

whereby pressure is applied to a thin-walled (Shelby) sampling tube through the drill rods, the Hvorslevfixed-piston sampler, and the Osterberg hydraulic piston sampler. Rotary samplers involve a double tubearrangement similar to a rock coring operation except that the inner barrel shoe is adjustable butgenerally extends beyond the front of the rotating outer bit. This minimizes the disturbance to the samplefrom the drilling fluid and bit rotation. Commonly used rotational samplers include the Denison barreland the Pitcher sampler. The Pitcher sampler has an inner barrel affixed to a spring-loaded inner samplerhead that extends or retracts relative to the cutting bit with changes in soil stiffness. Drilling fluids arecommonly used with rotary drilling equipment to transport cuttings to the surface and to increase thestability of the borehole. Chapter 4 of Appendix F discusses the types, preparation, and use of drillingfluids�� The standard for thin-walled tube sampling of soils is ASTM D 1587-94 (ASTM 1996c),“Standard Practice for Thin-Walled Tube Sampling of Soils.”

I� 5RFN�FRUH�ERULQJ��Cored rock samples are retrieved by rotary drilling with hollow core barrelsequipped with diamond- or carbide-embedded bits. The core is commonly retrieved in 1.5- to 3-m (5- to10-ft) lengths. The “N” size hole (approximately 75 mm or 3 in.) is probably the core size most widelyused by the Corps of Engineers for geotechnical investigations and produces a satisfactory sample forpreliminary exploration work and, in many instances, for more advanced design studies. Other holesizes, including B (approx 60 mm or 2.3 in.) and H (approximately 99 mm or 4 in.), are also quitesatisfactory for geotechnical investigations. The decision on hole size should be based upon anticipatedfoundation conditions, laboratory testing requirements, and the engineering information desired. Adouble- or triple-tube core barrel is recommended because of its ability to recover soft or broken andfractured zones. The use of wireline drilling, whereby the core barrel is retrieved through the drill rodstring, eliminates the need to remove the drill rods for sampling and saves a great deal of time in deepborings. Table 5-1 summarizes core and hole sizes commonly used in geotechnical studies. The rockboring is advanced without sampling using solid bits, including fishtail, or drag, bits, tri-cone and rollerrock bits, or diamond plug bits.

(1) Most rock boring in the Corps of Engineers is accomplished using truck-mounted rotary drillingrigs. Skid-mounted rigs are also sometimes used in areas with poor access. Rotary drilling rigs aredriven by the power takeoff from the truck engine or by independent engines. Boreholes are advanced byrotary action coupled with downward pressure applied to the drill bit and the cleaning action of thedrilling fluid. Two types of pulldown mechanisms are normally used. Truck-mounted rotary drilling rigsequipped with a chain pulldown drive mechanism are capable of drilling to depths of 60 to 300 m (200 to1,000 ft). Hydraulic feed drive rotary drilling rigs are capable of drilling to depths of 150 to 750 m (500to 2,500 ft).

(2) Core recovery in zones of weak or intensely fractured rock is particularly important becausethese zones are typically the critical areas from the standpoint of foundation loading and stability. Theuse of larger-diameter core barrels in soft, weak, or fractured strata can improve core recovery andprovides a statistically better size sample for laboratory testing. The advantages of larger cores must beweighed against their higher costs.

(3) Although the majority of rock core borings are drilled vertically, inclined, and horizontallyoriented, borings may be required to adequately define stratification, jointing, and other discontinuities.A bias exists in the data favoring discontinuities lying nearly perpendicular to the boring. Discontinuitiesmore nearly parallel to the boring are not intersected as often, and therefore, their frequency will appearto be much lower than it actually is. Inclined borings should be used to investigate steeply inclinedjointing in abutments and valley sections for dams, along spillway and tunnel

(0��-DQ��

��

7DEOH��7\SLFDO�'LDPRQG�&RUH�'ULOO�%LW�DQG�5HDPLQJ�6KHOO�'LPHQVLRQV

%LW�6L]H ��5HDPLQJ�6KHOO6L]H 2'��PP��LQ�� ,'��PP��LQ��2'�DQG�KROH�GLDP��PP��LQ��

“W” Group - “G” and “M” Design

EWG (EWX), EWM 37.3 (1.470) 21.5 (0.845) 37.7 (1.485)AWG (AWX), AWM 47.6 (1.875) 30.1 (1.185) 48.0 (1.890)BWG (BWX), BWM 59.6 (2.345) 42.0 (1.655) 59.9 (2.360)NWG (NWX), NWM 75.3 (2.965) 54.7 (2.155) 75.7 (2.980)HWG 98.8 (3.890) 76.2 (3.000) 99.2 (3.907)

“W” Group - “T” Design

RWT 29.5 (1.160) 18.7 (0.735) 29.9 (1.175)EWT 37.3 (1.470) 23.0 (0.905) 37.7 (1.485)AWT 47.6 (1.875) 32.5 (1.281) 48.0 (1.890)BWT 59.6 (2.345) 44.4 (1.750) 59.9 (2.360)NWT 75.3 (2.965) 58.8 (2.313) 75.7 (2.980)HWT 98.8 (3.890) 81.0 (3.187) 99.2 (3.907)

Large-Diameter Design

2-3/4 X 3-7/8 97.5 (3.840) 68.3 (2.690) 98.4 (3.875)4 X 5-1/2 138.1 (5.435) 100.8 (3.970) 139.6 (5.495)6 X 7-3/4 194.4 (7.655) 151.6 (5.970) 196.8 (7.750)

��:LUHOLQH�6L]HV��

$4 ��

%4 ��

14 ��

+4 ��

34 ��

alinement, and in foundations for other structures. In nearly vertical bedding, inclined borings can beused to reduce the total number of borings needed to obtain core samples of all strata.

(4) If precise geological structure is to be evaluated from core samples, techniques involvingoriented cores are required. In these procedures, the core is scribed or engraved with a special drillingtool (Goodman 1976) so that its orientation is preserved. In this manner, both the dip and strike of anyjoint, bedding plane, or other planar surface can be ascertained. A more common procedure for obtainingdip and strike of structural features is the use of borehole photography or television. If the orientation ofbedding is consistent across the site, it can be used to orient cores from borings which are angled to thisbedding. Once oriented, the attitudes of discontinuities can be measured directly from the core.

(5) Large-diameter borings or calyx holes, 0.6 m (2 ft) or more in diameter, are occasionally used inlarge or critical structures. Their use permits direct examination of the sidewalls of the boring or shaftand provides access for obtaining high quality undisturbed samples. Direct inspection of the sidewallsmay reveal details, such as thin, weak layers or shear planes that may not be detected by continuousundisturbed sampling. Large-diameter borings are produced with augers in soil and soft rock, and withlarge-diameter core barrels in hard rock.

(0��-DQ��

��

��'ULOOLQJ�LQ�(PEDQNPHQWV

The Corps of Engineers developed a special regulation concerning drilling operations in dam and leveeembankments and their soil foundations (ER 1110-1-1807). In the past, compressed air and other drillingfluids have been used as circulating media to remove drill cuttings, stabilize bore holes, and cool andlubricate drilling bits. There have been several incidents of damage to embankments and foundationswhen drilling with air, foam, or water as the circulating medium. Damage has included pneumaticfracturing of the embankment while using air or air with foam, and erosion of embankment or foundationmaterials and hydraulic fracturing while using water. The new ER establishes a policy for drilling inearth embankments and foundations and replaces ER 1110-1-1807. The following points summarize theguidance provided in the new document:

D� Personnel involved in drilling in dam and levee embankments shall be senior and well qualified.Designs shall be prepared and approved by geotechnical engineers or engineering geologists. Drillersand “mud” specialists shall be experts in their fields.

E� Drilling in embankments or their foundations using compressed air or other gas or water as thecirculating medium is prohibited.

F� Cable tool, auger, and rotary tool are recommended methods for drilling in embankments. OneCorps District reports using a churn drill (a cable tool rig) to sample the clay core of a dam to a depth of90 m (300 ft) with no damage to the core. If the cable tool method is used, drilling tools must berestricted to hollow sampling (drive) barrels in earth embankment and overburden materials. Appen-dix F, page 3-6, of this manual discusses the use of churn drills. If rotary drilling is used, an engineereddrilling fluid (mud) designed to prevent caving and minimize intrusion of the drilling fluid into theembankment shall be used. An appendix in ER 1110-1-1807 provides detailed procedures for rotarydrilling.

6HFWLRQ�,,

'ULOOKROH�,QVSHFWLRQ�DQG�/RJJLQJ

��2EMHFWLYHV

A major part of field investigations is the compilation of accurate borehole logs on which subsequentgeologic and geotechnical information and decisions are based. A field drilling log for each borehole canprovide an accurate and comprehensive record of the lithology and stratigraphy of soils and rocksencountered in the borehole and other relevant information obtained during drilling, sampling, and in situtesting. To accomplish this objective, an experienced geologist, soils engineer, or civil engineer withgood geotechnical training and experience should be present during drilling. The duties of the fieldinspector include the following:

D� Making decisions on boring location, depth, and number and quality of samples required.

E� Observing and describing drilling tools and procedures.

F� Observing, classifying, and describing geologic materials and their discontinuities.

G� Selecting and preserving samples.

(0��-DQ��

��

H� Performing field tests on soils (hand penetrometer, torvane).

I� Photographing site conditions and rock cores.

J� Observing and recording drilling activities and ground water measurements.

K� Overseeing and recording instrument installation activities.

L� Completing the drilling log, ENG FORM 1836 and/or entering information in BLDM (Nash1993).

M� Recording information and data from in situ tests.

The logs of borings are normally made available to contractors for use in preparing their bids. Thedescriptions contained on the logs of borings give the contractor an indication of the type of materials tobe encountered and their in situ condition. Special care must be taken to ensure a clear differentiation inlogs between field observations and laboratory test results. Guidance on soil identification anddescription, coring, and core logging is provided in the remainder of this section.

��6RLO�,GHQWLILFDWLRQ�DQG�'HVFULSWLRQ

A thorough and accurate description of soils is important in establishing general engineering propertiesfor design and anticipated behavior during construction. The description must identify the type of soil(clay, sand, etc.), place it within established groupings, and include a general description of the conditionof the material (soft, firm, loose, dense, dry, moist, etc.). Characterization of the soils within a siteprovides guidance for further subsurface exploration, selection of samples for detailed testing, anddevelopment of generalized subsurface profiles (Das 1994). Initial field soil classification withsubsequent lab tests and other boring data are recorded on the logs of borings. Soils should be describedin accordance with ASTM D 2488-93 (ASTM 1996d). For civil works, the most widely used classifica-tion is the Unified Soil Classification System (USCS). The USCS outlines field procedures for determin-ing plasticity, dilatancy, dry strength, particle size, and other engineering parameters. The USCS isdescribed by Schroeder (1984) and in Technical Memorandum 3-357 (USAEWES 1982). A number ofreferences provide detailed procedures to evaluate the physical properties of soils, including Cernica(1993), Lambe and Whitman (1969), Terzaghi, Peck, and Mesri (1996), and Means and Parcher (1963).In some cases, a standardized description of color using Munsell charts is useful. Some of the proce-dures, such as determining dry strength, may be impractical under certain field conditions and may beomitted where necessary. However, the checklists included in the procedure, if followed conscientiously,provide for a thorough description of soils. Examples for presenting soils data on ENG FORM 1836 areshown in Appendix D. Examples of well logs in the Boring Log Data Manager format are also presentedin Appendix D.

��&RULQJ

Core drilling, if carefully executed and properly reported, can produce invaluable subsurfaceinformation. Basic procedures that should be followed and the information obtained can form the basisfor comparison for widely diverse sites and conditions. The following subparagraphs outline proceduresto report observations made during coring operations.

(0��-DQ��

��

D� 'ULOOLQJ�REVHUYDWLRQV��During the coring operation, a great deal of information is available aboutthe subsurface conditions that may or may not be apparent in the core recovered from the hole. Obser-vation of the drilling action must be made and reported to present as complete a picture as possible of thesubsurface conditions.

(1) If coring with water as a circulating medium, the inspector should note the amount of waterreturn relative to the amount being injected through the drill rods and its color. Careful observation ofdrill water return changes can indicate potential intervals where pressure test takes can be anticipated andcorrelated. Changes in the color of the return water can indicate stratigraphic changes and degrees ofweathering such as clay-filled joints and cavity fillings.

(2) If available, hydraulic pressure being exerted by the drill should be recorded on each run as wellas the fluid water pressure. While the drill is turning, the inspector should correlate drilling depths todrilling action (e.g., smooth or rough), increases and decreases applied by the drill operator to the feedcontrol valve, and the rate of penetration. Rod drop depths, which indicate open zones, should berecorded. Changes in drilling rates can be related to changes in composition and/or rock structure and, inareas of poor core recovery, may provide the only indication of the subsurface conditions.

E� 3URFHGXUDO�LQIRUPDWLRQ��Regardless of the program undertaken, all logs should at least includethe following: size and type of core bit and barrel used; bit changes; size, type, and depth of casing;casing shoe and/or casing bit used; problems or observations made during placement of the casing;change in depth of casing setting during drilling; depth, length, and time for each run; length/depth ofpull (the actual interval of core recovered in the core run); amount of core actually recovered; amount ofcore loss or gain; and amount of core left in the hole (tape check). The inspector should note thepresence of a flange on the bottom of a core string because a flange indicates that the core was retrievedfrom the bottom of the drilled hole. From these data the unaccountable loss, i.e., the core that is missingand unaccounted for, should be computed. Core loss should be shown on the graphic log and by blocksor spacers in the core box at its most likely depth of occurrence based upon the drilling action and closeexamination of the core. The boring should be cleaned and the total depth taped to determine the amountof cored rock left in the hole on the final run.

��&RUH�/RJJLQJ

Each feature logged shall be described in such a way that other persons looking at the core log willrecognize what the feature is, the depth at which it occurred in the boring, and its thickness or size. Theyshould also be able to obtain some idea of the appearance of the core and an indication of its physicalcharacteristics. The log shall contain all the information obtainable from the core pertaining to the rockas well as discontinuities. Examples for presenting core logging data on ENG FORM 1836 are shown inAppendix D.

D� 5RFN� GHVFULSWLRQ�� Each lithologic unit in the core shall be logged. The classification anddescription of each unit shall be as complete as possible. A recommended order of descriptions is asfollows:

(1) Unit designation (Miami oolite, Clayton formation, Chattanooga shale).

(2) Rock type and lithology.

(3) Hardness, relative strength, or induration..

(0��-DQ��

��

(4) Degree of weathering.

(5) Texture.

(6) Structure.

(7) Discontinuities (faults, fractures, joints, seams).

(a) Orientation with respect to core axis.

(b) Asperity (surface roughness).

(c) Nature of infilling or coating, if present.

(d) Staining, if present.

(e) Tightness.

(8) Color.

(9) Solution and void conditions.

(10) Swelling and slaking properties, if apparent.

(11) Additional descriptions such as mineralization, inclusions, and fossils.

Criteria for these descriptive elements are contained in Table B-2 (Appendix B). Murphy (1985)provides guidelines for geotechnical descriptions of rock and rock masses. Geological SocietyEngineering Group Working Party Report (1995) suggests a description and classification scheme ofweathered rocks for engineering purposes. Variation from the general description of the unit and featuresnot included in the general description should be indicated at the depth and the interval in the core wherethe feature exists. These variations and features shall be identified by terms that will adequately describethe feature or variation so as to delineate it from the general description. Features include zones or seamsof different color and texture; staining; shale seams, gypsum seams, chert nodules, and calcite masses;mineralized zones; vuggy zones; joints; fractures; open and/or stained bedding planes, roughness,planarity; faults, shear zones, and gouge; cavities, thickness, open or filled, and nature of filling; and coreleft in the bottom of the hole after the final pull.

E� 5RFN�TXDOLW\�GHVLJQDWLRQ��A simple and widely used measure of the quality of the rock mass isprovided by the Rock Quality Designation (RQD), which incorporates only sound, intact pieces 10 cm(4 in.) or longer in determining core recovery. In practice, the RQD is measured for each core run andreported on ENG Form 1836. Many of the rock mass classification systems in use today are based, inpart, on the RQD. Its wide use and ease of measurement make it an important piece of information to begathered on all core holes. It is also desirable because it is a quantitative measure of core quality at thetime of drilling before handling and slaking have had major effect. Deere and Deere (1989) reevaluatedthe use of RQD from experience gained in the 20 years since its inception. They recommendedmodifications to the original procedure after evaluating results of field use. Figure 5-1 illustrates themodified procedure of Deere and Deere.

(0��-DQ��

��

)LJXUH��,OOXVWUDWLRQ�RI�'HHUH�DQG�'HHUH��PRGLILHG�SURFHGXUH�IRU�FDOFXODWLQJ�54'

(0��-DQ��

��

(1) RQD was originally recommended for NX size (5.474-cm- or 2.155-in.-diam) core, but Deereand Deere expanded its use to the somewhat smaller NQ wireline sizes (4.763 cm or 1-7/8 in.) and tolarger wireline sizes up to 8.493 cm (3-11/32 in.) and other core sizes up to 15 cm (6 in.). Theydiscouraged RQD use with the smaller BQ (3.651-cm or 1-7/16-in.) and BX (4.204-cm or 1.655-in.)cores because of core breakage.

(2) Core segment lengths should be measured along the centerline or axis of the core, as illustratedin Figure 5-1.

(3) The inspector should disregard mechanical breaks (breaks caused by drilling action or handling)when calculating RQD.

(4) RQD should be performed at the time the core is retrieved to avoid the effects of postremovalslaking and separation of core along bedding planes, as in some shales.

(5) Emphasis should be placed on core being “sound.” Pieces of core that do not meet thesubjective “soundness” test should not be counted. Indicators of “unsound” rock are discolored orbleached grains or crystals, heavy staining, pitting, or weak grain boundaries. Unsound rock is analogousto “highly weathered” rock, which is characterized by weathering extending throughout the rock mass.

Several papers have appeared since Deere and Deere (1989) suggesting alternatives or modifiedapplications of RQD to systems of discontinuities that are perhaps less amenable to analysis by theoriginal procedure. Boadu and Long (1994) established a relation between RQD and fractal dimension(the degree to which a system is self-similar at different scales). The relationships may have applicationin fracture geometries with complex distributions. Eissa and Sen (1991) suggest alternative analyticalmethods to RQD when dealing with fracture networks, that is, sets of fractures in more than onedirection. Similar alternative approaches to systems of fractures in three dimensions (a volumetricapproach) were proposed by Sen and Eissa (1991)� Special attention should be paid to the nature of alldiscontinuities. These are most often what control the engineering behavior of the foundation rock massand slope stability.

F� 6ROXWLRQ�DQG�YRLG�FRQGLWLRQV��Solution and void conditions shall be described in detail becausethese features can affect the strength of the rock and can indicate potential ground water seepage paths.Where cavities are detected by drilling action, the depth to top and bottom of the cavity should bedetermined by measuring. Filling material, where present and recovered, should be described in detailopposite the cavity location on the log. If no material is recovered from the cavity, the inspector shouldnote the probable conditions of the cavity, as determined by observing the drilling action and the color ofthe drilling fluid. If drilling action indicates material is present, e.g., a slow rod drop, no loss of drillwater, or noticeable change in color of water return, it should be noted on the log that the cavity wasprobably filled and the materials should be described as well as possible from the cuttings or traces lefton the core. If drilling action indicates the cavity was open, i.e., no resistance to the drilling tools and/orloss of drilling fluid, it should be noted on the drilling log. By the same criteria, partially filled cavitiesshould be noted. If possible, filling material should be sampled and preserved. During the field loggingof the core at the drilling site, spacers should be placed in the proper position in core boxes to recordvoids and losses.

G� 3KRWRJUDSKLF� DQG� YLGHR� UHFRUG�� A color photographic record of all core samples should bemade. Photographs should be taken as soon as possible after retrieving the core samples. The corephotographs can be reproduced on 20- by 25-cm (8- by 10-in.) prints, two or three core boxes to aphotograph, and the photographic sheets placed in a loose-leaf binder for convenient reference.Photographs often enhance the logged description of cores particularly where rock defects are abundant.

(0��-DQ��

��

In the event that cores are lost or destroyed, the photographic record becomes the only direct, visualmeans for review of subsurface conditions without expensive redrilling. A video recording of the drillingoperation provides an excellent record of drilling equipment and procedures. Moreover, video mayprovide a record of critical events or conditions that were not obvious at the time, or occurred too quicklyto be recorded manually.

��'ULOOLQJ�/RJ�)RUP�DQG�WKH�%RULQJ�/RJ�'DWD�0DQDJHPHQW�3URJUDP

All soil and rock drilling logs will be recorded using ENG FORM 1836 as the standard, official log ofrecord. As a general rule, the depth scale on each sheet should normally be 3 m (10 ft) per page and nosmaller than 6 m (20 ft). Examples of completed drilling logs are shown in Appendix D. A PC-based,menu-driven boring log data management program (BLDM) is available for free to COE personnelthrough CEWES-GS-S. The BLDM allows users to create and maintain boring log data, print reports,and create data files which can be exported to a GIS (Nash 1993). Examples of BLDM output are pre-sented in Appendix D.

6HFWLRQ�,,,

%RUHKROH�([DPLQDWLRQ�DQG�7HVWLQJ

��%RUHKROH�*HRSK\VLFDO�7HVWLQJ

A wide array of downhole geophysical probes is available to measure various formation properties(Tables 4-1 and 4-2). Geophysical probes are not a substitute for core sampling and analysis, however,but they are an economical and valuable supplement to the core sample record. Some very sophisticatedanalyses of rock mass engineering properties are possible through the use of downhole geophysics.These services are available through commercial logging companies and various Government agencies.Recent developments in microcomputer technology have made it possible to apply procedures known ascrosshole tomography to borehole seismic and resistivity data (Cottin et al. 1986; Larkin et al. 1990).Through computer analysis of crosshole seismic and resistivity data, tomography produces a 3-Drendition of the subsurface. The level of detail possible depends upon the distance between holes, thepower of the source, and the properties of the rock or soil mass. The method can be used for bothindurated and nonindurated geomaterials.

��%RUHKROH�9LHZLQJ�DQG�3KRWRJUDSK\

The interpretation of subsurface conditions solely by observation, study, and testing of rock samplesrecovered from core borings often imposes an unnecessary limitation in obtaining the best possiblepicture of the site subsurface geology. The sidewalls of the borehole from which the core has beenextracted offer a unique picture of the subsurface where all structural features of the rock formation arestill in their original position. This view of the rock can be important, particularly if portions of rockcore have been lost during the drilling operation and if the true dip and strike of the structural features arerequired. Borehole viewing and photography equipment includes borescopes, photographic cameras, TVcameras, sonic imagery loggers, caliper loggers, and alinement survey devices. Sonic imagery andcaliper loggers are discussed in detail in EM 1110-1-1802. Alinement survey services are available fromcommercial logging or drilling firms and from the U.S. Army Engineer Waterways Experiment Station(CEWES-GG-F). Borehole viewing systems and services are often obtained now from private industryor from the few COE offices that have the capabilities.

(0��-DQ��

��

��%RUHKROH�&DPHUD�DQG�%RUHVFRSH

Borehole film cameras that have limited focus capability are satisfactory for examining rock features onthe sidewalls of the borehole. However, the small viewing area and limited focus reduce the usefulnessin borings that have caved or that have cavities. They are best used for examining soft zones for whichcore may not have been recovered in drilling, for determination of the dip and strike of importantstructural features of the rock formation, and to evaluate the intrusion of grout into the rock mass. Thecamera’s film must be processed before the images can be examined. The borescope, basically a tubularperiscope, has limited use because of its small viewing area, limited depth, and cumbersome operation.It is relatively inexpensive to use, however.

��%RUHKROH�79�&DPHUD�DQG�6RQLF�,PDJHU\

The TV camera has variable focus and is suitable for examining the nature and approximate dimensionsof caving sections of open boreholes or boreholes filled with clear water. The TV camera provides bothreal-time imagery and a permanent record of the viewing session. The sonic imagery (televiewer) systemuses acoustic pulses to produce a borehole wall image and can be used in a hole filled with drilling mud.The TV camera is used to examine cavities in the rock such as solution voids in calcareous formations,open cooling joints, and lava tunnels in volcanic rocks, mines, tunnels, and shafts. Most TV systems arecapable of both axial (downhole) and radial (sidewall) viewing. The televiewer can be used todistinguish fractures, soft seams, cavities, and other discontinuities. Changes in lithology and porositymay also be distinguished. Specially designed borehole television cameras and sonic imagers orteleviewers can be used to determine the strike and dip of discontinuities in the borehole wall. The Corpsof Engineers has this capability at the U.S. Army Engineer District, Walla Walla, WES, and the U.S.Army Engineer Division Laboratory, Southwestern.

��$OLQHPHQW�6XUYH\V

Alinement surveys are often necessary if the plumbness and/or orientation of a hole is important. Oldermethods employed a compass and photograph system which was relatively easy to use. More modernsystems are electronic. Alinement surveys may be critical in deep holes where instrumentation packagesare to be installed or where precise determinations of structural features in the rock formation arerequired.

6HFWLRQ�,9

([SORUDWRU\�([FDYDWLRQV

��7HVW�3LWV�DQG�7UHQFKHV

Test pits and trenches can be constructed quickly and economically by bulldozers, backhoes, pans,draglines, or ditching machines. Depths generally are less than 6 to 9 m (20 to 30 ft), and sides mayrequire shoring if personnel must work in the excavations. Test pits, however, hand dug with pneumaticjackhammers and shored with steel cribbing, can be dug to depths exceeding 18 m (60 ft). Test pits andtrenches generally are used only above the ground water level. Test pits that extend below the watertable can be kept open with air or electric powered dewatering pumps. Exploratory trench excavationsare often used in fault evaluation studies. An extension of a rock fault into much younger overburdenmaterials exposed by trenching is usually considered proof of recent fault activity. Shallow test pits arecommonly used for evaluating potential borrow areas, determining the geomorphic history, and assessingcultural resource potential.

(0��-DQ��

��

��&DO\[�+ROH�0HWKRG

Large-diameter calyx holes have been used successfully on some jobs to provide access for directobservation of critical features in the foundations. These holes are very expensive to drill (possibly$2,300 per meter or $700 per foot), so their use is very limited. However, where in situ observation of avery sensitive feature, such as a shear zone or solution feature in the abutment of an arch dam, cannot beachieved reasonably by any other means, the calyx hole may be the procedure of choice.

6HFWLRQ�9

*URXQG�:DWHU�DQG�)RXQGDWLRQ�6HHSDJH�6WXGLHV

��*HQHUDO�,QYHVWLJDWLRQ

The scope of ground water studies is determined by the size and nature of the proposed project. Effortscan range from broad regional studies at a reservoir project to site-specific studies, such as pumping testsfor relief well design, water supply at a recreational area, or pressure tests performed to evaluate the needfor foundation grouting. Ground water studies include observations and measurements of flows fromsprings and of water levels in existing production wells, boreholes, selected observation wells, andpiezometers. This information is used with site and regional geologic information to determine watertable or piezometric surface elevations and profiles, fluctuations in water table elevations, the possibleexistence and location of perched water tables, depths to water-bearing horizons, direction and rate ofseepage flow, and potential for leakage from a proposed reservoir or beneath an embankment or levee.Complex investigations are made only after a thorough analysis has been made of existing or easilyacquired data. Results from ground water and foundation seepage studies provide data needed to designdewatering and seepage control systems at construction projects, indicate the potential for pollution andcontamination of existing ground water resources due to project operation, show potential forinterference to aquifers by the construction of a project, and determine the chemical and biologicalquality of ground water and that relationship to project requirements. Investigation and continuedmonitoring of ground water fluctuations are key dam safety issues.

D� :HOOV��Existing wells located during field geologic reconnaissance should be sounded or waterlevels obtained from the well owners. Pumping quantities, seasonal variations in ground water andpumping levels, depths of wells and screen elevations, corrosion problems, and any other relevantinformation should be acquired wherever available. Any settlement records attributable to ground waterlowering from pumping should be obtained. This information should be compared with water wellrecords obtained during preliminary studies to develop a complete hydrologic picture for the project area.

E� %RULQJV��Water levels recorded on drilling logs are another source of information. However,they may not reflect true water levels, depending on soil types and time of reading after initial drilling.The influence of drilling fluids on water level readings should be kept in mind when evaluating boringdata. Loss of drilling fluids can indicate zones of high permeability. Where ground water levelinformation is needed, installation of piezometers or observation wells in borings should be considered.

F� 3LH]RPHWHUV� DQG� REVHUYDWLRQ� ZHOOV�� The most reliable means for determining ground waterlevels is to install piezometers or observation wells. Piezometers measure excess hydrostatic pressuresbeneath dams and embankments. All information developed during preliminary studies on the regionalground water regime should be considered in selecting locations for piezometers and observation wells.For types of piezometers, construction details, and sounding devices, refer to EM 1110-2-1908, Part 1,

(0��-DQ��

��

and TM 5-818-5/AFM 88-5, Chapter 6/NAVFAC P-418. All piezometer borings should be loggedcarefully and “as built” sketches prepared that show all construction and backfill details (Figure 5-2).

(1) The selection of the screened interval is critical to the information produced, since the waterlevel recorded will be the highest of all intervals within the screen/filter length. Careful evaluation of theconditions encountered in the hole with regard to perched or confined aquifers is essential to a sensibleselection of the screened interval and interpretation of the data. One of the greatest benefits of apiezometer or observation well is that it allows for measurement of fluctuations in piezometric levelsover time. To take advantage of this benefit, it is necessary to provide for periodic readings. This can beaccomplished through manual reading by an automated system, depending on the location and criticalimportance of the area being monitored.

(2) Other information that can be derived from observation wells and piezometers are temperatureand water quality data. Tracer tests can sometimes be conducted to determine the direction and rate ofground water flow.

G� 6SULQJV� DQG� VXUIDFH� ZDWHU�� The water elevation, flow rate, and temperature of all springslocated within the project area should be measured. Water should be sampled for chemical analysis toestablish a baseline level. Soil or rock strata at the spring should be evaluated to locate permeablehorizons. Flow rates at springs should be measured during dry and wet seasons to determine theinfluence of rainfall on seepage conditions. The elevation of water levels in lakes and ponds should bemeasured during the wet and dry seasons to evaluate the extent of surface water fluctuations.

H� *HRSK\VLFDO� PHWKRGV�� Geophysical methods, such as seismic refraction, can be used todetermine the depth to saturated material. Depending on the accuracy required and the accuracy of themethod, a minimal number of piezometers should be installed to verify the geophysical data. Surfaceresistivity surveys can indicate the presence of and depth to water (Society of Exploration Geophysicist1990). Ground penetrating radar can also be used to detect the presence and location of ground water(Annan 1992). Fetter (1988) discusses these and other geophysical methods to characterize thehydrology and hydrogeology of a site.

I� 7UDFHU�WHVWLQJ�� In some areas, especially karst terrains, it is of particular interest to determineflow paths in the ground water system. Although complex, flow paths in karst, where seepage velocitiesare high, can be evaluated by conducting tracer tests using either environmentally benign dyes orbiological tracers such as pollen. The tracer element is introduced into a boring or other access pointsand monitored at an exit point such as a spring. The travel time from the introduction to detection isrecorded. Numerous tests at different locations can be run and a picture of the ground water flow regimedeveloped.

��3HUPHDELOLW\�7HVWLQJ

Permeabilities of foundation materials can be determined from slug and pumping tests in piezometers andwells, laboratory tests of undisturbed samples, and pressure tests in rock foundations. The permeabilityof sands can be roughly estimated from the D fraction (TM 5-818-5). Fracture and joint analysis is10important in evaluating permeability of rock foundations. General reviews of methods to evaluatepermeability of soil and rock in the subsurface include Bentall (1963), Davis and DeWiest (1966),Dawson and Istok (1991), Driscoll (1986), Fetter (1988), Heath (1983), Lohman (1972), and Walton(1970).

(0��-DQ��

��

)LJXUH��([DPSOH�RI�D�UHSRUW�TXDOLW\�ORJ�ZLWK�OLWKRORJLF��EORZ�FRXQW��PRLVWXUH��DQG�ZHOO�FRPSOHWLRQLQIRUPDWLRQ��1RWH�WKDW�WKH�KHDGHU�FRQWDLQV�D�YDULHW\�RI�GHWDLOV�FRQFHUQLQJ�WKLV�PRQLWRULQJ�ZHOO��&RQWLQXHG�

(0��-DQ��

��

)LJXUH��&RQFOXGHG�

(0��-DQ��

��

D� 7HVWV� LQ�SLH]RPHWHUV�RU�ZHOOV�� Permeability tests can easily be made in piezometers or wells.They should be performed as part of piezometer installation procedures, both to obtain permeabilityinformation and to assure that the piezometer is working satisfactorily. Appropriate piezometerpermeability tests are constant head, falling or rising head, and slug. The information obtained isrepresentative of a smaller volume of material than that tested in pumping tests. However, proceduresare simple, costs are low, and results may be useful if interpreted with discretion. Test details arediscussed in EM 1110-2-1908 (Part 1), TM 5-818-5, U.S. Department of Interior (1977), Mitchell,Guzikowski, and Villet (1978), and Bennett and Anderson (1982).

E� 3XPSLQJ�WHVWV��Pumping tests are the traditional method for determining�permeability of sand,gravels, or rock aquifers. Observation wells should be installed to measure the initial and loweredground water levels at various distances from the pumped well. At known or suspected HTRW sites,disposal of pumped water is a major consideration. For details of pumping tests and analyses, refer toTM 5-818-5. Pumping tests are usually desirable for the following:

(1) Large or complex projects requiring dewatering.

(2) Design of underseepage systems for dams or levees.

(3) Special aquifer studies.

(4) Projects where water supply will be obtained from wells.

(5) Projects immediately downstream from existing embankments.

F� 3HUPHDELOLW\� RI� URFN�� Most rock masses contain, in addition to intergranular pore spaces,complex interconnecting systems of joints, fractures, bedding planes, and fault zones that, collectively,are capable of transmitting ground water. Fracture or joint permeability is normally several magnitudeshigher than the matrix permeability of the discrete blocks or masses of rock contained between the joints.The permeability of some rock masses, such as sandstones and conglomerates, is governed by interstitialvoids similar to that of soils. Secondary weathering and solutioning of limestones and dolostones mayproduce large void spaces and exceptionally high permeabilities. Although the permeability of rockresults from interconnecting systems of joints, fractures, and formational voids, the equivalent rock masspermeability can frequently be modeled as a uniform porous system. Although it is necessary to keep thehydrologic model manageable, the shortcoming of this approach is that most rock masses are anisotropicwith regard to permeability. The influence of this on a practical level is that it is easy to over- orunderestimate the ground water effects in rock. As an example, if a pumping test is conducted withmonitoring wells oriented along a line perpendicular to the predominant water-bearing joint set, theresults will underestimate the radius of influence along the joint set. Therefore, the layout of pumpingtests must be well thought out beforehand. At least a preliminary fracture and joint analysis should beconducted prior to laying out a pump test.

G� )UDFWXUH�DQG�MRLQW�DQDO\VLV��Because joint or fracture permeability frequently accounts for mostof the flow of water through rocks, an accurate description of in situ fracture conditions of a rock mass iscritical to predicting performance of drains, wells, and piezometer responses. Joints typically occur insets which have similar orientations. There may be three or more sets of joints in a rock mass. Joint setsthat occur in the rock mass at the site should be identified and the preferred orientation and range inorientation of each joint set recorded. Features such as joint orientation, spacing, joint width, and thedegree and type of secondary mineral filling should be carefully noted for each joint set. Once all joint

(0��-DQ��

��

sets of a site have been identified and evaluated, their relative importance to ground water flow should beassessed. Joints and fractures can be evaluated by developing the structure and stratigraphy of the sitefrom accessible outcrops and from borehole logs.

��3UHVVXUH�7HVWV

D� Pressure tests are performed to measure the permeability of zones within rock masses. Pressuretest results are used in assessing leakage in the foundation and as a guide in estimating groutingrequirements. Pressure tests are typically conducted during exploratory core drilling and are a relativelyinexpensive method of obtaining important hydrogeologic information about a rock mass. Hydraulicpressure testing should be considered an integral part of the exploratory core drilling process in all caseswhere rock seepage characteristics could affect project safety, feasibility, or economy. The testinginterval is typically 1.5 to 3 m (5 to 10 ft) but may be varied to fit specific geological conditions observedduring the core drilling operations. Zones to be tested should be determined by (1) examining freshlyextracted cores, (2) noting depths where drilling water was lost or gained, (3) noting drill rod drop,(4) performing borehole or TV camera surveys, and (5) conducting downhole geophysical surveys. Inrock with vertical or high angle joints, inclined borings are necessary to obtain meaningful results. Typesof tests and test procedures are described in Ziegler (1976), U.S. Department of Interior (1977), andBertram (1979).

E� Pressures applied to the test section during tests should normally be limited to 23 kilo Pascals(kP) per meter (1 psi per foot) of depth above and 13 kP/meter (0.57 psi/foot) of depth below thepiezometric surface. The limit was established to avoid jacking and damage to rock formations. Thelimit is conservative for massive igneous and metamorphic rocks. However, it should be closely adheredto for tests in horizontally bedded sedimentary and other similar types of formations. Naturally occurringexcess water pressures (artesian) should be taken into account in computations for limiting test pressures.Where the test intervals are large, a reduction in total pressure may be necessary to prevent jacking of theformation within the upper portion of the test section.

F� An important, but often unrecognized, phenomenon in pressure testing is joint dilation andcontraction as pressure is applied and released. In the case of a dam project, it is desirable to use pres-sures that will correspond to future reservoir conditions. Joint dilation can frequently be observed byconducting a “holding” test. The fall in pressure is observed and a plot of pressure versus time is made.The pressure should quickly drop to near the surrounding piezometric level if the joint openings remainthe same width. The common observation of a slow pressure decay in pressure holding tests indicatesjoint closure with reduction in pressure.

G� Qualitative evaluations of leakage and grout requirements can be made from raw pressure testdata (Ziegler 1976, U.S. Department of Interior 1977, Bertram 1979). Most analyses of this type assumelaminar flow rather than turbulent flow. This assumption can be verified by conducting pressure tests onthe same interval at several different pressures. If the water take is directly proportional to the totalapplied pressure, laminar flow can be assumed. If pressure test data are converted into values ofequivalent permeability or transmissivity, calculations can be performed to estimate seepage quantities.Wherever possible, such results should be compared with data from completed projects where similargeologic conditions exist.

(0��-DQ��

��

6HFWLRQ�9,

,Q�VLWX�7HVWLQJ�WR�'HWHUPLQH�*HRWHFKQLFDO�3URSHUWLHV

��,Q�6LWX�7HVWLQJ

In situ tests are often the best means for determining the engineering properties of subsurface materialsand, in some cases, may be the only way to obtain meaningful results. Table 5-2 lists in situ tests andtheir purposes. In situ rock tests are performed to determine in situ stresses and deformation properties(moduli) of the jointed rock mass, shear strength of jointed rock masses or critically weak seams withinthe rock mass, and residual stresses along discontinuities or weak seams in the rock mass. Pressure testshave been discussed in Section V (paragraph 5-20) of this manual.

7DEOH��,Q�6LWX�7HVWV�IRU�5RFN�DQG�6RLO

��$SSOLFDELOLW\�WR��3XUSRVH�RI�7HVW 7\SH�RI�7HVW 6RLO 5RFN

Shear strength Standard penetration test (SPT) XField vane shear XCone penetrometer test (CPT) XDirect shear XPlate bearing or jacking X X1

Borehole direct shear X2

Pressuremeter X2

Uniaxial compressive X2

Borehole jacking X2

Bearing capacity Plate bearing X X1

Standard penetration X

Stress conditions Hydraulic fracturing X XPressuremeter X X1

Overcoring XFlatjack XUniaxial (tunnel) jacking X XBorehole jacking X2

Chamber (gallery) pressure X2

Mass deformability Geophysical (refraction) X XPressuremeter or dilatometer X X1

Plate bearing X XStandard penetration XUniaxial (tunnel) jacking X XBorehole jacking X2

Chamber (gallery) pressure X2

Relative density Standard penetration XIn situ sampling XCone penetrometer X2

Liquefaction susceptibility Standard penetration XCone penetrometer test (CPT) X2

Primarily for clay shales, badly decomposed, or moderately soft rocks, and rock with soft seams.1

Less frequently used.2

D� 6RLOV�� FOD\� VKDOHV�� DQG� PRLVWXUH�VHQVLWLYH� URFNV�� Interpretation of in situ tests in soils, clayshales, and moisture-sensitive rocks requires consideration of the drainage that may occur during the test.Consolidation during testing makes it difficult to determine whether the test results correspond tounconsolidated-undrained, consolidated-undrained, consolidated-drained conditions, or intermediateconditions between these limiting states. The cone penetrometer test is very useful for detecting soft orweak layers and in quantifying undrained strength trends with depth. Interpretation of in situ test results

(0��-DQ��

��

requires complete evaluation of the test conditions and the limitations of the test procedure. ASTM D3877-80 (ASTM 1996h) is the standard laboratory method for evaluating shrink/swell of soils due tosubtraction or addition of water.

E� 5RFN�� Rock formations are generally separated by natural joints, bedding planes, and otherdiscontinuities resulting in a system of irregularly shaped blocks that respond as a discontinuum tovarious loading conditions. Response of a jointed rock mass to imposed loads involves a complexinteraction of compression, sliding, wedging, rotation, and possibly fracturing of individual rock blocks.Individual blocks generally have relatively high strengths, whereas the strength along discontinuities isnormally reduced and highly anisotropic. Commonly, little or no tensile strength exists acrossdiscontinuities. As a result, resolution of forces within the system generally cannot be accomplished byordinary analytical methods. Large-scale, in situ tests tend to average out the effect of complexinteractions. In situ tests in rock are generally expensive and should be reserved for projects with large,concentrated loads. Well-conducted tests, however, may be useful in reducing overly conservative,costly assumptions. Such tests should be located in the same general area as a proposed structure andtest loading should be applied in the same direction as the proposed structural loading.

��,Q�VLWX�7HVWV�WR�'HWHUPLQH�6KHDU�6WUHQJWK

Table 5-3 lists in situ tests that are useful for determining the shear strength of subsurface materials. Insitu shear tests are discussed and compared by Nicholson (1983b) and Bowles (1996).

7DEOH��,Q�6LWX�7HVWV�WR�'HWHUPLQH�6KHDU�6WUHQJWK

ForTest Soils Rocks Reference Remarks

Standard penetration X EM 1110-2-1906 Use as index test only for strength. Develop Appendix C local correlations. Unconfined compressive

strength in tons/square foot is often 1/6 to 1/8 of N-value

Direct shear X X RTH 321 Expensive; use when representative1

undisturbed samples cannot be obtained

Field vane shear X EM 1110-2-1906, Use strength reduction factor Appendix D, Al-Khafaji and Andersland (1992)

Plate bearing X X ASTM Designation Evaluate consolidation effects that may occur2

D 1194 during testASTM SPT 4793

Uniaxial compression X RTH 324 Primarily for weak rock; expensive since1

several sizes of specimens must be tested

Cone penetrometer X Schmertmann (1978a); Consolidated undrained strength of clays;requires

test (CPT) Jamiolkowski et al. estimate of bearing factor, Nc (1982)

Rock Testing Handbook (USAEWES 1993).1

American Society for Testing and Materials (ASTM 1996a).2

Special Technical Publication 479 (ASTM 1970).3

(0��-DQ��

��

D� 7KH� 6WDQGDUG� 3HQHWUDWLRQ� 7HVW� �637�� The SPT is useful for preliminary appraisals of a site(Bowles 1996). The N-value has been empirically correlated with liquefaction susceptibility underseismic loadings (Seed 1979). The N-value is also useful for pile design. In cohesive soils, the N-valuecan be used to determine where undisturbed samples should be obtained. The N-value can also be usedto estimate the bearing capacity (Meyerhof 1956; Parry 1977), the unconfined compressive strength ofsoils (Mitchell, Guzikowski, and Villet 1978), and settlement of footings in soil (Terzaghi, Peok, andMesri 1996).

E� 7KH�%HFNHU�3HQHWUDWLRQ�7HVW��The Becker drill (paragraph 5-5(2)) provides estimates of in situsoil strength and other properties similarly to the SPT, including coarse grained soils like gravel. TheBecker penetration test was described in Harder and Seed (1986). The test consists of counting thenumber of hammer blows required to drive the casing 1 ft into the soil, for each foot of penetration. Thetest uses both open casing and plugged bits, commonly with a 14-cm (5.5-in.) or 17-cm (6.6-in.) ODcasing and bits. Correlations of Becker blowcounts with SPT blowcounts have been developed to allowthe use of Becker data in foundation investigations and in evaluation of liquefaction potential in coarse-grained soils under seismic loading��

F� 'LUHFW�VKHDU�WHVWV��In situ direct shear tests are expensive and are performed only where doubtexists about available shear strength data and where thin, soft, continuous layers exist within strongadjacent materials. The strength of most rock masses, and hence the stability of structures, is oftencontrolled by the discontinuities separating two portions of the rock mass. Factors controlling the shearof a discontinuity include the loads imposed on the interface, the roughness of the discontinuity surfaces,the nature of the material between the rock blocks, and the pore water pressure within the discontinuity(Nicholson 1983b). In situ direct shear tests measure the shear strength along a discontinuity surface byisolating a block of rock and the discontinuity, subjecting the specimen to a normal load perpendicular toand another load (the shear load) parallel to the plane. The advantages of the direct shear test are: (1) itsadaptability to field conditions, i.e., a trench, an adit, a tunnel, or in a calyx hole; (2) it is ideal fordetermining discontinuity shear strength because the failure plane and direction of failure are chosenbefore testing, accommodating anisotropic conditions; and (3) it allows for volume increases along thefailure plane. Disadvantages of direct shear tests are their expense, the fact that they measure strengthalong only one potential failure plane, and the sometimes nonuniform application of normal stress duringshearing. For the latter reasons, some engineers favor the triaxial compression test, which also can beperformed in situ, for determination of shear strength (Ziegler 1972). The direct shear test measures peakand residual strength as a function of stress normal to the shear plane. Results are usually employed inlimiting equilibrium analysis of slope stability problems or for stability analysis of foundations for largestructures such as dams. Where field evidence suggests that only residual strengths can be relied on,either in a thin layer or in a mass, because of jointing, slickensiding, or old shear surfaces, in situ directshear tests may be necessary. Few in situ direct shear tests are performed on soils, but they may bejustified on clay shales, indurated clays, very soft rock, and on thin, continuous, weak seams that aredifficult to sample. Ziegler (1972) and Nicholson (1983a,b) discuss the principles and methods ofperforming in situ direct shear tests. The Rock Testing Handbook (RTH) method RTH 321-80(USAEWES 1993) provides the suggested method for determining in situ shear strength using the directshear apparatus.

G� )LHOG�YDQH�VKHDU� WHVWV�� Field vane tests performed in boreholes can be useful in soft, sensitiveclays that are difficult to sample. The vane is attached to a rod and pushed into the soft soil at the bottomof the borehole. The assembly is rotated at a constant rate and the torque measured to provide theunconsolidated, undrained shear strength. The vane can be reactivated to measure the ultimate orresidual strength (Hunt 1984). The vane shear test results are affected by soil anisotropy and by the

(0��-DQ��

��

presence of laminae of silt or sand (Terzaghi, Peck, and Mesri 1996). Shear is applied directionally.Failure of the soil occurs by shearing of horizontal and vertical surfaces. See Al-Khafaji and Andersland(1992) for a discussion of effects of soil anisotropy. The test may give results that are too high. Factorsto correct the results are discussed in Bjerrum (1972) and Mitchell, Guzikewski, and Villet (1978). Thetest has been standardized as ASTM method D 2573 (ASTM 1996e).

H� 3ODWH�EHDULQJ�WHVWV��Plate bearing (plate-load) tests can be made on soil or soft rock. They areused to determine subgrade moduli and occasionally to determine strength. The usual procedure is tojack-load a 30- or 76-cm (12- or 30-in.) diam plate against a reaction to twice the design load andmeasure the deflection under each loading increment. The subgrade modulus is defined as the ratio ofunit pressure to unit deflection, or force/length (Hunt 1984). Because of their cost, such tests are3

normally performed during advanced design studies or during construction.

I� &RQH�SHQHWURPHWHU�WHVW�RU�GXWFK�FRQH��The Cone Penetrometer Test (CPT) can provide detailedinformation on soil stratigraphy and preliminary estimations of geotechnical properties. Based on thesoil type as determined by the CPT (Douglas and Olsen 1981) or adjacent boring, the undrained strengthcan be estimated for clays (Jamiolkowski et al. 1982, Schmertmann 1970), and the relative density (andfriction angle) estimated for sands (Durgunoglu and Mitchell 1975; Mitchell, Guzikewski, and Villet1978; Schmertmann 1978b). For clays, a bearing factor, N , must be estimated to calculate the undrainedcstrength from the CPT cone resistance and should be close or slightly greater than the CPT sleeve frictionresistance if the soil is not sensitive or remolded (Douglas and Olsen 1981). The calculated undrainedstrength as well as the change of undrained strength with depth can both be used with several techniquesto estimate the overconsolidation ratio (OCR) (Schmertmann 1978a). For sands, the relative density canbe estimated if the overconsolidation conditions (i.e., lateral stress ratio) and vertical effective stress areknown. The friction angle can also be estimated but also depends on the cone surface roughness and theassumed failure surface shape (Durgunoglu and Mitchell 1975). The mechanical (i.e., Dutch) cone isperformed at a depth interval of 20 cm (8 in.) using hydraulic gages which measure the force from aninner rod directly in contact with the end of the probe. The electric (PQS or VGRO) cone is pushed at aconstant speed for 1-m intervals while electronically measuring cone and friction resistance continuously.

��7HVWV�WR�'HWHUPLQH�,Q�6LWX�6WUHVV

Table 5-4 lists the field tests that can be used to determine in situ stress conditions. The results are usedin finite element analyses, estimating loading on tunnels, determining rock burst susceptibility inexcavations, and identifying regional active and residual stresses. Stresses occur as a result of gravityforces, actively applied geologic forces such as regional tectonics, and from stored residual-strain energy.Stress is measured to determine the effect on foundations of changes in loading brought about byexcavation or construction. Where a confining material has been removed by natural means or byexcavation, the remaining material tends to approach a residual state of stress. In a majority of projects,the major principal stress is vertical, i.e., the weight of the overlying material. However, it has beenfound from measurements made throughout the world that horizontal stresses in the near-surface vicinity,defined as 30 m (100 ft) or less, can be one and one-half to three times higher than the vertical stress.Recognition of this condition during the design phase of investigations is very important. Where highhorizontal stresses occur at a project site, the stability of cut slopes and tunnel excavations is affected. Insitu testing is the most reliable method for obtaining the magnitude and direction of stresses. The threemost common methods for determining in situ stresses are the overcoring, hydrofracture, and flatjacktechniques.

(0��-DQ��

��

7DEOH��,Q�6LWX�7HVWV�WR�'HWHUPLQH�6WUHVV�&RQGLWLRQV

BibliographicTest Soils Rocks Reference Remarks

Hydraulic fracturing X Leach (1977) Only for normally consolidated or slightlyMitchell, Guzikowski, consolidated soils and Villet (1978)

Hydraulic fracturing X RTH 344 Stress measurements in deep holes for1

Goodman (1981) tunnels Hamison (1978)

Vane shear X Blight (1974) Only for recently compacted clays, silts

Overcoring X RTH 341 Usually limited to shallow depth in rock1

techniques Goodman (1981) Rocha (1970)

Flatjacks X RTH 3431

Deklotz and Boisen (1970) Goodman (1981)

Uniaxial X X RTH 365 May be useful for measuring lateral1

(tunnel) jacking stresses in clay shales and rocks, also in soils

Pressuremeter (Menard) X Al-Khafaji and Andersland(1992), Hunt (1984)


D� 2YHUFRULQJ�PHWKRG��Possibly the most common method used for measuring in situ stresses inrock is overcoring, a stress-relief technique. An NW (75.7 mm (2.980 in.)) core hole is drilled,instrumented, and redrilled with a larger core barrel. The overcoring decouples the rock surrounding theinstrument package from the natural stress field of the in-place formation. The change in strain recordedby the instruments is then converted to stress by using the elastic modulus of the rock determined fromlaboratory tests. At least three separate tests must be made in the rock mass in nonparallel boreholes. Adetailed description of the field test is provided by RTH 341-80 (USAEWES 1993). The overcoringmethod is hampered by the necessity for many instrument lead wires that may be broken during testing.The practical maximum depth of testing is usually less than 45 m (150 ft).

E� )ODWMDFN�PHWKRG��In the flatjack method, a slot is bored or cut into the rock wall midway betweentwo inscribed points. Stresses present in the rock will tend to partially close the slot. A hydraulicflatjack is then inserted and grouted into the slot, and the rock is jacked back to its original position asdetermined by the inscribed points. The unit pressure required is a measure of the in situ stress.Flatjacks installed at different orientations provide a measure of anisotropy (Hunt 1984). The valuerecorded must be corrected for the influence of the tunnel excavation itself. Flatjack tests require anexcavation or tunnel. The high cost for constructing the opening usually precludes this technique as anindexing tool except where the size of the structure and complexity of the site dictate its use.

F� +\GURIUDFWXUH�PHWKRG��The hydrofracture method has been used in soils and rock. A section ofhole is isolated with packers at depth, and an increasingly higher water pressure is applied to the zone. Apoint will be reached where the pressure begins to level off, and there is a marked increase in water take.

(0��-DQ��

��

This indicates that a crack in the formation has opened, and the threshold pressure has been reached. Thethreshold pressure measures the minor principal stress component. The orientation is then obtained by animpression packer. This procedure then gives the intensity and direction of the minor principal stress,which is perpendicular to the crack. The hydrofracture method has no particular depth limitation, butdrilling deep holes can be very expensive. This expense can often be circumvented by using holes thathave been drilled for other purposes. Evidence indicates that stresses measured within 30 m (100 ft) ormore of ground surface may not always reflect the actual stress magnitude or orientation at depth. Thismay be true particularly in areas where closely jointed and weathered surface rock formations aredecoupled from the deeper, more intact rock.

��7HVWV�WR�'HWHUPLQH�,Q�6LWX�'HIRUPDWLRQ

Deformation characteristics of subsurface materials are of major importance in dynamic and seismicanalyses for dams and other large structures, static design of concrete gravity and arch dams, tunnels, andcertain military projects. Geotechnical investigations for such purposes should be planned jointly bygeotechnical personnel and structural engineers. Deformation properties are normally expressed in termsof three interdependent parameters: Young's modulus, shear modulus, and Poisson's ratio. Theseparameters assume that materials are linear, elastic, homogeneous, and isotropic. In spite of thislimitation, these parameters are often used to describe the deformation properties of soil and rock.Large-scale tests (e.g., tunnel jacking) are frequently used because they reduce the effect ofnonhomogeneity. Multiple tests, with different orientations, can be used to determine the anisotropy ofthe deformation properties. Soils, in particular, tend to be nonlinear and inelastic. As a result, theirproperties are often strain dependent, i.e., moduli determined at low strain levels can be substantiallydifferent from those determined at high strain levels. The fact that sample disturbance, particularly insoils, can substantially affect the deformation properties serves as the primary reason for using in situtests in soils. Table 5-5 lists the in situ tests used to determine one or more of the deformationparameters. Some test results are difficult to relate to the fundamental parameters but are used directly inempirical relationships (Table 5-6). Deformation properties of a jointed rock mass are very important ifhighly concentrated loadings are directed into the abutments of arch dams in directions that are tangent tothe arches at the abutments. In these cases, the ratio of the deformation modulus of the abutment rock tothat of the concrete in the dam must not be so low as to cause adverse tensile stresses to develop withinthe concrete dam. One problem often encountered in conducting in situ deformation tests is the need toinclude representative sizes of the jointed rock mass in the test, particularly if the joint spacing ismoderately large (e.g., 0.6 to 0.9 m or 2 to 3 ft). This problem has been solved in some instances byexcavating a chamber in rock, lining it with an impermeable membrane, and subjecting it to hydraulicpressure to load the rock over relatively large areas.

D� &KDPEHU�WHVWV��Chamber tests are performed in large underground openings, such as exploratorytunnels. Preexisting openings, such as caves or mine chambers, can be used if available and applicable toproject conditions. The opening is lined with an impermeable membrane and subjected to hydraulicpressure. Instrumented diametrical gages are used to record increases in tunnel diameter as the pressureload increases. The test is performed through several load-unload cycles. The data are subsequentlyanalyzed to develop load-deformation curves from which a deformation modulus can be selected. Theresults are usually employed in the design of dam foundations and for the proportioning of pressure shaftand tunnel linings. The chamber test method is described by RTH 361-89 (USAEWES 1993).

(0��-DQ��

��

7DEOH��,Q�6LWX�7HVWV�WR�'HWHUPLQH�'HIRUPDWLRQ�&KDUDFWHULVWLFV

ForTest Soils Rocks Reference Remarks

Geophysical X X EM 1110-1-1802 For determining dynamic Young’s Modulus, E, at refraction, cross- the small strain induced by test procedure. Test hole and downhole values for E must be reduced to values corre-

sponding to strain levels induced by structure or seismic loads

Pressuremeter X X RTH 362 Baguelin, Jezequel, Consider test as possibly useful but not fully1

and Shields (1978) evaluated. For soils and soft rocks, shales, etc. Mitchell, Guzikowski, and Villet(1978)

Chamber test X X Hall, Newmark, and Hendron (1974)Stagg and Zienkiewicz (1968)

Uniaxial (tunnel) X X RTH 3651

jacking Stagg and Zienkiewicz (1968)

Flatjacking X RTH 3431

Deklotz and Boisen (1970) Goodman (1981)

Borehole jack X RTH 3631

or dilatometer Stagg and Zienkiewicz (1968)

Plate bearing X RTH 3641

ASTM STP 4792

Stagg and Zienkiewicz (1968)

Plate bearing X MIL-STD 621A, Method 104

Standard X Hall, Newmark, and Correlation with static or effective shear modulus, penetration Hendron (1974) in Mpa (psi), of sands; settlement of footings on

clay. Static shear modulus of sand is approximately: G = 1960 N in Mpa (psi); N is SPTeff

0.51

value


American Society for Testing and Materials, Special Technical Publication 479 (ASTM 1970).2

7DEOH��&RUUHODWLRQV�%HWZHHQ�)LHOG�7HVWV�IRU�6RLOV��0DWHULDO�&KDUDFWHULVWLFV��DQG�6WUXFWXUDO�%HKDYLRU

Field Test Correlation With Remarks

1 x 1-ft plate load test Modulus of subgrade reaction. Settlement Mitchell, Guzikowski, and Villetof footings on sand (1978)

Load test for radar towers Young’s modulus of subgrade soils MIL-STD-621A

Standard penetration Settlement of footings and mats on sand; TM 5-818-1; Hall, Newmark, andshear modulus Hendron (1974)

N-value Meyerhof (1956) Parry (1977) U.S. Army Engineer Waterways Experience Station (1954)

Cone penetrometer ö of sands; settlement of footings on sand; Mitchell, Guzikowski, and Villet (1978)

test relative density Mitchell and Lunne (1978)Schmertmann (1978b)Durgunoglu and Mitchell (1975)Schmertmann (1970)Schmertmann (1978a,b)

(0��-DQ��

��

E� 8QLD[LDO�MDFNLQJ�WHVW�� An alternative to chamber tests is the uniaxial jacking test (RTH 365-80(USAEWES 1993)). The test uses a set of diametrically opposed jacks to test large zones of soil androck. This method produces nearly comparable results with chamber tests without incurring the muchgreater expense. The test determines how foundation materials will react to controlled loading andunloading cycles and provides data on deformation moduli, creep, and rebound. The uniaxial jacking testis the preferred method for determining deformation properties of rock masses for large projects.

F� 2WKHU�GHIRUPDWLRQ�WHVWV��Other methods for measuring deformation properties of in situ rock areanchored cable pull tests, flatjack tests, borehole jacking tests, and radial jacking tests. The anchoredcable pull test uses cables, anchored at depth in boreholes, to provide a reaction to large slabs or beamson the surface of the rock. The test is expensive and difficult to define mathematically but offers theadvantages of reduced shearing strains and larger volumes of rock being incorporated in the test.Flatjack tests are flexible, and numerous configurations may be adopted. In relation to other deformationtests, the flatjack test is relatively inexpensive and useful where direct access is available to the rockface. Limitations to the method involve the relatively small volume of rock tested and the difficulty indefining a model for calculation of deformation or failure parameters.

(1) The borehole jack (“Goodman” jack), or dilatometer, and the Menard pressuremeter (Terzaghi,Peck, and Mesri 1996; Al-Khafaji and Andersland 1992; and Hunt 1984), which are applied through aborehole, have the primary advantage that direct access to the rock or soil face is not required. Thedilatometer determines the deformability of a rock mass by subjecting a section of a borehole tomechanical jack pressure and measuring the resultant wall displacements. Elastic and deformationmoduli are calculated. The pressuremeter performs a similar operation in soils and soft rock. Thedevelopment of a mathematical model for the methods has proved to be more difficult than with mostdeformation measurement techniques.

(2) Radial jacking tests (RTH 367-89 (USAEWES 1993)) are similar in principle to the boreholejacking tests except that larger volumes of rock are involved in the testing. Typically, steel rings areplaced within a tunnel with flatjacks placed between the rings and the tunnel surfaces. The tunnel isloaded radially and deformations are measured. The method is expensive but useful and is in the samecategory as chamber tests. All methods of deformation measurements have inherent advantages anddisadvantages, and thus selection of test methods must be dictated by the nature of the soil or rock mass,the purpose of the test, and the magnitude of the project. Care must be exercised and limitationsrecognized in the interpretation and use of measurements of deformation.

��'HWHUPLQDWLRQ�RI�'\QDPLF�0RGXOL�E\�6HLVPLF�0HWKRGV

Seismic methods, both downhole and surface, are used on occasion to determine in-place moduli of soiland rock (see Table 5-2). The compressional wave velocity is mathematically combined with the massdensity to estimate a dynamic Young's modulus, and the shear wave velocity is similarly used to estimatethe dynamic rigidity modulus. However, because particle displacement is so small and loading istransitory during these seismic tests, the resulting modulus values tend to be too high. The seismicmethod of measuring modulus should not be used in cases where a reliable static modulus value can beobtained. Even where the dynamic modulus is to be used for earthquake analyses, the modulus derivedfrom seismic methods is too high. The moduli and damping characteristics of rock are strain dependent,and the strains imposed on the rock during seismic testing are several orders of magnitude lower thanthose imposed by a significant earthquake. Generally, as the strain levels increase, the shear modulusand Young's modulus decrease and the damping increases. Consideration of these factors is necessaryfor earthquake analyses.

(0��-DQ��

��

6HFWLRQ�9,,

%DFNILOOLQJ�RI�+ROHV�DQG�'LVSRVLWLRQ�RI�6DPSOHV�DQG�&RUHV

��%DFNILOOLQJ�%RUHKROHV�DQG�([SORUDWRU\�([FDYDWLRQV

Except where the hole is being preserved for future use, all boreholes and exploratory excavations shouldbe backfilled. The reasons for backfilling holes are to: eliminate safety hazards for personnel andanimals, prevent contamination of aquifers, minimize underseepage problems of dams and levees, andminimize adverse environmental impacts. Many states have requirements regarding backfillingboreholes; therefore, appropriate state officials should be consulted. Holes preserved for the installationof instrumentation, borehole examination, or downhole geophysical work should be backfilled when nolonger needed. As a minimum, borings that are preserved for future use should be protected with a shortsection of surface casing, capped, and identified. Test pits, trenches, and shafts should be provided withsuitable covers or barricades until they are backfilled. Where conditions permit, exploratory tunnels maybe sealed in lieu of backfilling. Procedures for backfilling boreholes and exploratory excavations arediscussed in Appendix F, Chapter 10, of this manual.

��'LVSRVLWLRQ�RI�6RLO�6DPSOHV

Soil samples may be discarded once the testing program for which they were taken is complete.Geotechnical samples of soil and/or rock collected from areas suspected of containing HTRW VKRXOG�EH

SURSHUO\� GLVSRVHG�RI� Soil samples are not normally retained for long periods, because even the mostcareful sealing and storing procedures cannot prevent the physical and chemical changes that, in time,would invalidate any subsequent test results. Requirements for the disposition of soil samples from plantpest quarantined areas are specified in ER 1110-1-5.

��'LVSRVLWLRQ�RI�5RFN�&RUHV

All exploratory and other cores not used for test purposes shall be properly preserved, boxed, and storedin a protected storage facility until disposal. The following procedures govern the ultimate disposition ofthe cores.

D� &DUH�DQG�VWRUDJH��Filled core boxes can be temporarily protected at the drilling site by wrappingthem in plastic sheeting and preventing direct contact of the boxes with the ground� Exploratory or othercores, regardless of age, will be retained until the detailed logs, photographs, and test data have beenmade a matter of permanent record. Precautions shall be taken to ensure against the disposal,destruction, or loss of cores that may have a bearing on any unsettled claim. Such cores shall be retaineduntil final settlement of all obligations and claims. They then will be disposed of in accordance with theprocedures outlined in the following text.

E� 'LVSRVDO��Cores over 15 cm (6 in.) in diameter may be discarded after they have served theirspecial purpose. Geotechnical samples of soil and/or rock collected from areas suspected of containingHTRW VKRXOG�EH�SURSHUO\�GLVSRVHG�RI� In a case where the project is deauthorized, all associated coresmay be discarded. When a project has been completed and final settlement has been made with thecontractors and others concerned, all cores, except those related to future construction, and a few selectedcores representative of foundation and abutment conditions, may be discarded. Selected cores, retainedafter the completion of a project, and additions thereto, may be discarded or otherwise disposed of5 years after final completion of the project, provided no unforeseen foundation or abutment conditionshave developed. After cores are disposed of, core boxes should be salvaged for reuse if their conditionpermits.

(0��-DQ��

��

&KDSWHU��/DUJH�VFDOH��3URWRW\SH�,QYHVWLJDWLRQV

��3URWRW\SH�7HVW�3URJUDPV

Whenever the size and complexity of a project warrant, large-scale, prototype test programs can yieldinformation unavailable by any other method. Because these investigations are expensive and require theservices of a construction contractor in most cases, they are commonly included as part of a maincontract to confirm design assumptions. However, if performed during the PED phase, they can providea number of benefits that will result in an improved, more cost-effective design. These benefits include:confirmation of assumptions for new or innovative design, improved confidence level allowing reducedsafety factors, proof of constructibility, confirmation of environmental compliance, and greatercredibility in allaying public concerns. Evaluation of the potential for savings and benefits should bemade by an experienced engineering geologist or geotechnical engineer. A major pit-fall of the large-scale prototype test is that it is commonly difficult, if not impossible, to precisely follow the sameprocedures in the main contract that were used in the test. This does not eliminate the benefits to begained but should be kept in mind when deciding how to incorporate the information into a bid package.

6HFWLRQ�,

7HVW�([FDYDWLRQV�DQG�)LOOV

��$FFRPSOLVKPHQWV

In most cases, a test excavation or fill technique such as blasting and rippability accomplishes one ormore of the following requirements: (a) evaluates the suitability of specialized construction equipmentsuch as coal saws or vibratory rollers; (b) investigates the influence of material properties on constructionproducts such as blasted rock gradations; (c) provides the opportunity for preconstruction monitoring ofground reactions to test design assumptions; (d) more completely discloses the geologic conditions;(e) investigates material placement properties and procedures; (f) investigates environmental impactssuch as blasting vibrations or ground water lowering; and (g) provides access to install initial groundsupport and instrumentation.

��7HVW�4XDUULHV

Test quarries are usually implemented in conjunction with test fill programs and in areas where largequantities of rock material will be needed from undeveloped sources. EM 1110-2-2301 discusses testquarry and test fill evaluation procedures. Test quarries are especially important where there are seriousquestions about the suitability of rock in required excavations for use in embankment rock-fill zones orfor slope protection. In addition to providing material for rock test fills, test quarries provide informationon cut slope design constraints resulting from adverse geologic structure, suitable blasting techniques,suitability of quarry-run rock, and the feasibility and best methods for processing materials. The resultsof quarry tests can provide designers and prospective bidders with a much better understanding ofdrilling and blasting characteristics of the rock. Although useful information is gained from a wellconducted test quarry program, it is an expensive type of investigation. If possible, a test quarry shouldbe located in an area of required excavation. Excess materials from the test quarry can be stockpiled forlater use. Determining the optimum methods of precision slope development (e.g., best presplittingblasthole spacing and powder factors) can be an important part of the test quarry program. Thisdetermination ensures maximum side slope stability by minimizing overbreakage. Mapping of test

(0��-DQ��

��

quarry slopes, in conjunction with the use of slope stability analysis programs such as ROCKPACKII(Watts 1996) and Discontinuous Deformation Analysis Program (International Forum on DiscontinuousDeformation Analysis and Simulations of Discontinuous Media 1996), can provide needed geologic datafor use in design of permanent slopes. To be of maximum benefit, the test quarry should be located in aportion of the excavation area that is representative of the geologic conditions to be encountered.

D� *HRORJLF�VWXG\��Before a test quarry program is undertaken, a careful geologic study should bemade of the test quarry site. The geologic study should include:

(1) Field reconnaissance and mapping of exposed rock jointing and discontinuities.

(2) Examination of boring logs, rock cores, and borehole survey results to determine depth ofoverburden and weathered rock, joint patterns, presence of filled solution joints or fault zones, andground water conditions that could affect blasting operations.

(3) Consideration of regional stress fields and site-specific stress conditions that could affect stressrelief in joints during quarrying operations.

(4) Development of geologic sections and profiles depicting rock type and stratum thickness, jointspacing, frequency and orientation, filled joint systems, and other discontinuities that would influencerock breakage and the amount of fines.

(5) Consideration of all other factors that may control size, quantity, and quality of blasted rock (e.g.,proximity to structures or urban areas where blast size, airblast, ground vibrations, or fly rock may haveto be rigidly controlled).

E� 7HVW� REMHFWLYHV��Once geologic studies indicate that a quarry source can produce an adequatequality and quantity of fill and construction material and the range of aggregate size has been determined,other data needed for test quarry design purposes include overall gradation, yield, quality, andproduction. Blasting techniques and modifications to fit geologic conditions are discussed inEM 1110-2-3800. The upper fragment size is determined by the geologic conditions and rock structure.Other sizes and gradations can be controlled partially by the blasting techniques.

F� 7HVW� SURJUDP�� In a well-planned test quarry program, many of the blasting variables, such asblasthole spacing, patterns, and firing sequences, powder brisance, powder factor, and bench height, aresubjected to field experimentation. The program should be developed and supervised by an experiencedgeologist or geotechnical engineer. By dividing the test quarry into separate tests, each of the variablescan be evaluated separately while the others are held constant. For each test, the blasted rock must begathered, sieved, and weighed to obtain gradations. For aggregate studies, representative samples shouldbe taken for processing, testing, and mix design. If blasted rock is also being used for rock test fills, itmay be necessary to use representative truck loads for gradation processing. As individual test blasts arecompleted and gradations determined, modifications to the blasting technique can be made. When allindividual test blasts and associated gradations are completed, the data should be reviewed to determinewhich set of blasting parameters best fulfills design requirements. Test quarry programs are discussed inEM 1110-2-2301, Bechtell (1975), Lutton (1976), and Bertram (1979).

G� $SSOLFDWLRQ�� The results of test quarry programs are expressed in terms of optimum blastingpatterns, powder factors, blasthole sizes, firing delay sequences, yields, and gradations. These results,combined with results of test fills, form a valuable source of data for the quarry designer. This

(0��-DQ��

��

information is equally valuable to prospective contractors and should be provided for information in theplans and specifications.

��([SORUDWRU\�7XQQHOV

Exploratory tunnels permit detailed examination of the composition and geometry of rock structures suchas joints, fractures, faults, shear zones, other discontinuities, and solution channels. They are commonlyused to explore conditions at the locations of large underground excavations and the foundations andabutments for large dams. They are particularly appropriate in defining the extent of marginal strengthrock or adverse rock structure suspected from surface mapping and boring information. For majorprojects where high-intensity loads will be transmitted to foundations or abutments, tunnels afford theonly practical means for testing in-place rock at locations and in directions corresponding to thestructural loading. Although expensive, exploratory tunnels provide exceptionally good preconstructioninformation to perspective contractors on major underground projects and can reduce bid contingenciesand/or potential for claims. Long horizontal exploratory drill holes can also be used in lieu of, or incombination with, pilot tunnels to gather information about tunneling conditions prior to mining.

D� In the case of planned underground construction, an exploratory tunnel is often used to gainaccess to crown and roof sections of future large underground excavations. The tunnel can then be usedduring construction for equipment access and removal of excavated rock. A small bore or exploratory“pilot” tunnel is sometimes driven along the entire length of a proposed larger-diameter tunnel wheredifficult and often unpredictable ground conditions are anticipated. A pilot tunnel may be the mostfeasible alternative for long deep tunnels where deep exploratory drilling and access for in situ testingfrom the ground surface is prohibitively expensive. The pilot tunnel can be positioned to allowinstallation of roof support and/or consolidation grouting for critical areas of the full tunnel, or in somecases, to provide relief or “burn cuts” to facilitate blasting. Exploratory tunnels that are strategicallylocated commonly can be incorporated into the permanent structure. They can be used for drainage andpostconstruction observations to determine seepage quantities and to confirm certain design assumptions.On nonwater related projects, exploratory tunnels may be used for permanent access or for utilityconduits. One concern, however, is not to position the pilot tunnel too close to the projected crownexcavation neat line of the full-sized tunnel. If this occurs, overbreak in the crown of the tunnel can havea negative impact on mining and stabilizing the crown of the full-sized tunnel.

E� The detailed geology of exploratory tunnels, regardless of their purpose, should be mapped inaccordance with the procedures outlined in Appendix C. The cost of obtaining an accurate and reliablegeologic map of a tunnel is insignificant compared to the cost of the tunnel and support system. Thegeologic information gained from such mapping provides a very useful dimension to interpretations ofrock structure deduced from exposures in surface outcrops. A complete picture of the site geology can beachieved only if the geologic data and interpretations from surface mapping, borings, and pilot tunnelsare combined and well correlated. Such analyses are best carried out using a GIS.

��7HVW�)LOOV�DQG�7ULDO�(PEDQNPHQWV

D� 7HVW�ILOOV��Test fills are generally recommended where unusual soils or rockfill materials are tobe compacted or if newly developed and unproven compaction equipment is to be employed. Test fillsare valuable for training earthwork inspectors on large projects, especially if materials vary widely or ifcompaction control procedures are complex. Test fills constructed solely to evaluate new or differentcompaction equipment are ordinarily performed by the contractor at his expense. Rock test fills are mostfrequently required to determine optimum placement and compaction operations. Test quarries are often

(0��-DQ��

��

associated with a rock test fill program to determine blasting requirements and to establish any requiredpreplacement material processing. Test fills must be constructed ahead of contract advertisement as theyare necessary to establish specifications. It is most economical if such test fills can be located in lowstressed regions of the embankment and incorporated within the final embankment section. If cofferdamsof compacted fill are required on the project, these can be utilized as test fills but only if theirserviceability is not affected. In the past, COE Districts have found it most satisfactory to constructprecontract test fills themselves by renting the necessary equipment or even letting a separate contract.The following two considerations are most important in execution of a test fill program:

(1) Plan of tests. Usually several different parameters are to be evaluated from a test fill program.Therefore, the test program should be thoroughly planned so that each parameter is properly isolated forevaluation. All aspects of the program must be treated in detail, particularly the means of measurementsand controls and data reduction.

(2) Representative materials and procedures. The test fill operations must be representative withregard to prototype materials and placement and compaction procedures. This is especially critical inrock test fill programs associated with test quarries. For additional information, see EM 1110-2-1911and Hammer and Torrey (1973).

E� 7ULDO�HPEDQNPHQWV��Trial embankments are infrequently used but may be the only reliable meansfor resolving uncertainties about the probable behavior of complex subsurface conditions or of poorquality embankment materials. For example, trial embankments were constructed at Laneport, TX (Parry1976), Warm Springs, CA (Fagerburg, Price, and Howington 1989), and R. D. Bailey, WV Dams (Hite1984).

(1) Where subsurface shear strengths are so low that the gain in strength from consolidation duringconstruction must be relied upon, or if it is economical to do so, a trial embankment is desirable, espe-cially where long embankments are to be constructed. A trial embankment affords the most reliablemeans for determining the field rate of consolidation and efficacy of methods to accelerate consolidation.

(2) Clay shale foundations are often jointed and slickensided and may contain continuous relict shearsurfaces. Laboratory shear tests on undisturbed samples generally give too high shear strengths and maybe badly misleading. The in situ mass strength of clay shales can best and frequently only be determinedby analyzing existing slopes or constructing trial embankments. If trial embankments are incorporatedwithin the final section, their height and slopes must be designed to result in desired shear stresses in thefoundation. Where natural slopes are flat, suggesting that residual shear strengths govern stability ofslopes and cuts, trial embankments can be useful in resolving uncertainties about available shearstrengths; i.e., are natural slopes flat because residual shear strengths have developed or because ofnatural erosion processes and a mature landscape?

(3) If special circumstances indicate the desirability of using wet, soft clay borrow that cannoteconomically be reduced to conventional compaction water contents, a trial embankment should bestrongly considered.

(0��-DQ��

��

6HFWLRQ�,,

7HVW�*URXWLQJ

��3XUSRVH

Test grouting operations are performed at projects where complex geological conditions or unusuallysevere project requirements make it necessary to acquire a knowledge of grouting performance prior tothe letting of major contracts. Test grouting programs provide information necessary to formulateprocedures and determine design specifications, costs, and appropriate equipment. Test grouting consistsof performing experimental grouting operations on exploratory boreholes to determine the extent towhich the subsurface materials are groutable. A well-conceived and well-conducted grout program canprovide cost-effective data for the preparation of contract plans and specifications. This can reduce thepotential for construction claims. Grouting procedures necessary for development of a satisfactory testgrouting program are discussed in detail in TM 5-818-6, and EM 1110-2-3506.

��7HVW�*URXWLQJ�3UDFWLFHV

In test grouting, the methods used should be guided by the geologic conditions at the site. For example,stage grouting is preferable in rock formations where joint permeability prevails and the weight ofincreasing overburden with depth tends to close and tighten joint passageways. In solutioned limestoneformations or pervious lava flows, major water passageways may not decrease in size with depth.Consequently, stop grouting is preferable because this procedure is initially directed at the source ofwater seepage. Circle grouting is a more comprehensive test procedure. Multiple line grouting is also acomprehensive grout testing procedure but does not require as many grout holes as the circle groutingtest.

��7HVW�*URXWLQJ�3URJUDP

A test grouting program is nearly always performed in a small area. Where the ground water table islocated in the limits of the curtain, it may be necessary to construct the grout curtains in closed circularor rectangular arrays. In this manner, the effectiveness of the grout curtain can be evaluated byperforming pumping tests before and after grouting. The test well is usually located at the center of thegrout curtain enclosure. Observation wells are positioned to radiate from one or more directions outwardfrom the well and through the test curtain. Comparison of the reduction of water pumped from the wellbefore and after grouting is a direct measure of the efficiency of the grout curtain. Where the water tableis low or nonexistent, a multiple, linearly aligned curtain is sufficient for test purposes. Comparison ofpre- and postgrouting pressure tests should be made to evaluate the effectiveness of the test groutingschemes. Some of the important variables a test grouting program should resolve are basic groutingmethods, hole spacing, grout consistency and additives, and injection pressures. Some projects mayrequire the testing and applicability of using chemical grout to solve difficult seepage or foundationcompetency problems.

��5HFRUG�.HHSLQJ

Meaningful evaluation of a grouting program is impossible without adequate record keeping. Variablesthat are pertinent in grouting are discussed in detail in TM 5-818-6 and EM 1110-1-3500 and will not berepeated here. They are numerous and unless the record keeping aspect of grouting is well-organized andgiven top priority, the value of the test grouting program will be lost. Records have traditionally beenkept by hand on specially prepared forms. The Grouting Database Package (Vanadit-Ellis et al. 1995), a

(0��-DQ��

��

PC-based, menu-driven program that stores and displays hole information, drilling activities, waterpressure tests, and field grouting data is an improvement over manual record keeping methods and isavailable through USAEWES.

6HFWLRQ�,,,

3LOLQJ�,QYHVWLJDWLRQV

��3LOLQJ�,QYHVWLJDWLRQ�%HQHILWV

Piling investigations may be conducted prior to construction or, more commonly, as part of aconstruction project just prior to the start of production pile driving. Predicting the performance ofdriven piles has been extensively studied, and various methods, including some very sophisticatedcomputer analyses, are available to the designer. While these are useful and adequate for predictingpiling performance for small jobs, projects requiring large numbers of piles generally benefit from apreconstruction piling investigation. This is because the methods of analysis that are commonly used areconservative and may significantly underestimate the actual working capacity of pilings. In addition toproviding reliable design load capacities, field tests can help answer questions such as: how muchpenetration into rock can be expected, what time-dependent effects can be expected, and do hard layersexist that will cause early refusal or make driving points a necessity? As in all aspects of geotechnicalengineering, pile testing is subject to a margin of error which is dependent on the heterogeneity of thesite being investigated. Where the site geology is very complex, the data from one pile load test willprobably not be repeatable across the project site. In addition, the performance and efficiency of a piledriving hammer can vary tremendously, even for hammers with the same energy rating. Because thecapacity of a pile is heavily influenced by the hammer, the results from a test program cannot betranslated to the production piles on the final project without some reservations. All of theseconsiderations aside, there are times when a pile testing program will result in a significant savings to aproject or, at least, a high confidence level in the piles capacity. EM 1110-2-2906 provides detailedinformation of pile foundation design.

��'ULYLQJ�5HFRUGV

As with grouting, adequate evaluation of a pile driving job cannot be performed without adequaterecords. A sample form for recording pile driving data is shown in Figure 6-1. This form can bemodified to meet particular designer's needs but generally lists the information that is of most interest.

��/RDG�7HVWLQJ

The correct procedures for conducting a pile load test are given in numerous references includingEM 1110-2-2906 and are not repeated here. Generally, a pile will be tested for axial load capacity, bothin compression and tension, and for lateral resistance.

(0��-DQ��

��

)LJXUH��([DPSOH�RI�D�SLOLQJ�ORJ��0RGLILHG�IURP�7RPOLQVRQ��

EM 1110-1-18041 Jan 01

7-1

Chapter 7Laboratory Investigations

7-1. Purpose

The purpose of laboratory tests is to investigate the physical and hydrological properties of naturalmaterials such as soil and rock, determine index values for identification and correlation by means ofclassification tests, and define the engineering properties in parameters usable for design of foundations.The engineering geologist and/or geotechnical engineer, using the test data and calling upon experience,can then accomplish safe and economical designs for engineering structures. Procedures to assurequality in laboratory testing are outlined in ER 1110-1-261 and -8100. This chapter is divided into foursections that discuss selection of testing methods and samples, index and classification tests, engineeringproperties of soil, engineering properties of rock, and engineering properties of shales andmoisture-sensitive rocks. No attempt has been made to describe the techniques for performing individualtests; references are provided for that purpose. A wide range of soil and rock tests are identified, and theappropriate applications are discussed.

Section ITest and Sample Selection

7-2. Needs for Test and Sample Selection

The selection of samples and the number and type of tests are largely influenced by local subsurfaceconditions and the size and type of structure. Table 7-1 lists references that provide guidance forassigning laboratory tests for various types of structures. As a minimum, all soil samples should beclassified according to the USCS (paragraph 5-8), and moisture contents should be determined oncohesive soils and on unsaturated granular soils that have 12 percent or more fines. Rock cores should bevisually classified and logged prior to laboratory testing. The geologic model (paragraph 3-1) can befurther developed using the results of basic indexing of soils and rock cores, together with othergeotechnical data obtained from field reconnaissance and preliminary investigations. The geologicmodel, in the form of profiles and sections, can be used to indicate where additional indexing of soils androck is needed, as well as the type and number of tests required to determine the engineering propertiesof all materials influencing the project. As more data become available, the testing requirements shouldbe reviewed and modified as necessary.

a. Selection of samples for testing. Most index testing of soil and rock is performed on disturbedsamples, i.e., samples that have not had special handling to preserve structural integrity. However, todetermine natural water content the sample must be protected from drying. For soils, protection can beaccomplished by using sealed metal tubes or plastic or glass jars. For rock, samples are normally waxedto prevent drying. Because many laboratory tests, particularly those to determine engineering properties,require "undisturbed" samples, great care must be exercised in storing, selecting, shipping, and preparingthese materials. The geologist and/or geotechnical engineer responsible for applying test data to projectrequirements should have positive control of sampling and shipping of soil and rock samples. Table 7-2lists some of the factors that may cause undisturbed samples to be less representative of the conditionsencountered on the project.

b. Distribution and size of samples. The distribution of locations of soil and rock tests should beevaluated periodically. Within the project requirements, a suitable suite of index and engineering

EM 1110-1-18041 Jan 01

7-2

Table 7-1Guidance for Assigning Laboratory Tests

Type of Structure or Work Reference

Embankment dams EM 1110-2-2300EM 1110-2-1902

Concrete gravity dams EM 1110-2-2300EM 1110-2-1902

Buildings and other structures TM 5-818-1

Deep excavations TM 5-818-5/AFM 88-5, Chapter 6/NAVFAC P-418

Tunnels and shafts in rocks EM 1110-2-2901

Breakwaters EM 1110-2-2904

Pile structures and foundations EM 1110-2-2906

Levees EM 1110-2-1913

Table 7-2Factors Causing Undisturbed Samples to be Less Representative of Subsurface Materials

Effect onFactor Soils Rocks

Physical disturbance from Effect on shear strength: Cause breaks in core; may be difficult sampling and transportation a. Reduces Q and UC strength. to obtain intact specimens suitable for

b. Increases R strength. testing c. Little effect on S strength. d. Decreases cyclic shear resistance. May seriously affect weakly cemented

materials, e.g., for sandstones, mayEffect on consolidation test results: destroy evidence of significanta. Reduces P cementation. Foundation may appearb. Reduces C to be more fractured than it isc

c. Reduces c in vicinity of and at lowerv p stresses.d. Reduces C

May prevent testing of some materials

May reduce deformation modulus, E

Changed stress conditions Similar to physical disturbance but less Stress relief may cause physical from in situ to ground severe disturbance similar to that from surface locations sampling and transportation.

Deformation modulus reduces with decreasing stress field

Contamination of sands from Greatly reduces permeability of drilling mud undisturbed samples

Note: Q = Unconsolidated-undrained triaxial test; UC = Unconfined compression test; = Preconsolidation pressure; C =p cCompression index; c = Coefficient of consolidation; = C = Coefficient of secondary compression; R = Consolidation-undrainedvtriaxial test; S = Drained direct shear test.

EM 1110-1-18041 Jan 01

7-3

property tests should be planned both in the vertical as well as lateral direction. Duplication of costly,complex tests should be avoided except where statistical balance is required. If it becomes apparent inthe application of the test data that coverage of field conditions is irregular, or missing in certainstratigraphic units, field sampling procedures should be revised. Undisturbed sample sizes for soilsshould conform to those given in Appendix F. Rock sample sizes can range from 4.763 to 20 cm(1.875 to 6.0 in.). Large-diameter cores are obtained in lieu of the smaller core sizes in cases where rockdefects make core recovery and sample quality difficult to attain. In some cases, the test procedure maydictate sample size. Rock tests and procedures are presented in the Rock Testing Handbook (USAEWES1993).

Section IIIndex and Classification Tests

7-3. Soils

Types of index and classification tests that are typically required are listed in Table 7-3 together withtheir reporting requirements. Initially, disturbed samples of soils are classified according to the USCS.Upon visual verification of the samples, Atterberg limits, mechanical analyses, and moisture content testswill be performed (Schroeder 1984: Gillott 1987). Table 7-3 also presents two other index tests relatingto durability under cyclic weather conditions (slaking tests), and shear strength (torvane andpenetrometer). The torvane and penetrometer shear tests are simple and relatively inexpensive; however,the test results can be widely variable and should be used with caution. These shear tests can be helpfulas a guide to more comprehensive tests. Slaking tests are valuable if the project is located in moisturesensitive clays and clay shales, and foundation design requirements indicate that the foundation and cutslope areas will be exposed temporarily to wetting and drying conditions.

Table 7-3Index and Classification Tests for Soils

Test Remarks

Water content Required for every sample except clean sands and gravels1

Liquid limit and plastic limit Required for every stratum of cohesive material; always have associated1

natural water content of material tested (compute liquidity index) 2

Sieve Generally performed on silts, sands, and gravels (> 200 mesh)

Hydrometer analysis Generally performed on soils finer than the No. 10 sieve size (medium sandand finer). Correlate with Atterberg limit tests to determine the plasticity of thesoil

Slaking test Performed on highly preconsolidated clays and clay shales where deep excavations are to be made or foundations will be near-surface. Wet and dry cycles should be used

Pocket penetrometer and torvane Performed on cohesive materials, undisturbed samples, and intact chunks or disturbed samples. Regard results with caution; use mainly for consistency classification and as guide for assigning shear tests

X-ray diffraction Generally performed on clays and clay shales to determine clay mineralogy which is a principal indicator of soil properties

See EM 1110-2-1906 for procedures.1

Liquidity index = LI = w - PL. (w =natural water content).2n n

LL - PL

EM 1110-1-18041 Jan 01

7-4

7-4. Rock

All rock cores will be logged in the field and the log verified by the project geologist or geotechnicalengineer prior to selection of samples for index and classification tests. Types of index and classificationtests which are frequently used for rock are listed in Table 7-4. Water content, unit weight, totalporosity, and unconfined (uniaxial) compression tests will be performed on representative cores fromeach major lithological unit to characterize the range of properties. The RQD values (TM 5-818-1), asdeveloped by Deere (1964), may be assigned to rock cores as a guide prior to testing. Additional tests forbulk specific gravity, apparent specific gravity, absorption, elastic constants, pulse velocity, andpermeability, as well as a petrographic examination, may be dictated by the nature of the samples or bythe project requirements (Das 1994). Samples of riprap and aggregate materials will be tested fordurability and resistance to abrasion, and the specific gravity of the solids should be determined. Datafrom laboratory index tests and core quality conditions may be used for rock classification systems suchas those developed by Bieniawski (1979) and Barton, Lien, and Lunde (1974).

Table 7-4Laboratory Classification and Index Tests for Rock

Test Test Method Remarks

Unconfined (uniaxial) RTH 111 Primary index test for strength and deformability of intact rock1

compression

Specific gravity of solids RTH 108 Indirect indication of soundness of rock intended for use as riprap1

and drainage aggregate

Water content RTH 106 Indirect indication of porosity of rock or clay content of1

sedimentary rock

Pulse velocities and elastic RTH 110 Index of compressional wave velocity and ultrasonic elastic constants1

constants for correlation with in situ geophysical test results

Rebound number RTH 105 Index of relative hardness of intact rock cores1

Permeability RTH 114 Intact rock (no joints or major defects)1

Petrographic examination RTH 102 Performed on representative cores of each significant lithologic unit1

Specific gravity and RTH 107 Indirect indication of soundness and deformability1

absorption

Unit weight and total RTH 109 Indirect indication of weathering and soundness1

porosity

Durability TM 5-818-1, Index of weatherability of rock exposed in excavations and durabilityFederal Highway of rock for rockfill and riprap Administration (1978)Morgenstern and Eigenbrod (1974)

Resistance to abrasion RTH 115 Los Angeles abrasion test; limited usefulness for evaluating1

weatherability of riprap

Point load testing RTH 325 May be used to predict other strength parameters with which1

it is correlated


EM 1110-1-18041 Jan 01

7-5

Section IIIEngineering Property Tests - Soils

7-5. Background

Reference should be made to EM 1110-2-1906 for current soil testing procedures and EM 1110-1-1904for methods of settlement analysis.

a. Shear strength. Shear strength values are generally based on laboratory tests performed underthree conditions of test specimen drainage. Tests corresponding to these drainage conditions are:unconsolidated-undrained Q tests in which the water content is kept constant during the test;consolidated-undrained R tests in which consolidation or swelling is allowed under initial stressconditions, but the water content is kept constant during application of shearing stresses; andconsolidated-drained S tests in which full consolidation or swelling is permitted under the initial stressconditions and also for each increment of loading during shear. The appropriate Q, R, and S tests shouldbe selected to reflect the various prototype loading cases and drainage conditions. Normally, strengthtests will be made with the triaxial compression apparatus except S tests on fine-grained (relativelyimpervious) soils, which generally are tested with the direct shear apparatus because of time constraintsusing the triaxial apparatus. Where impervious soils contain significant quantities of gravel sizes, S testsshould be performed on triaxial compression apparatus using large-diameter specimens.

(1) Q test. The shear strength resulting from a Q test corresponds to a constant water contentcondition, which means that a water content change is not permitted prior to or during shear. The Q testconditions approximate the shear strength for short-term conditions, e.g., the end-of-construction case. Incases where a foundation soil exists that is unsaturated but will become saturated during construction, itis advisable to saturate undisturbed specimens prior to axial loading in the Q test.

(2) R test. The shear strength resulting from an R test is obtained by inducing complete saturation inspecimens using backpressure methods, consolidating these specimens under confining stresses thatbracket estimated field conditions, and then shearing the specimens at constant water content. The R testapplies to conditions in which impervious or semipervious soils that have been fully consolidated underone set of stresses are subject to a stress change without time for consolidation to take place.

(3) S test. The shear strength resulting from an S test is obtained by consolidating a sample under aninitial confining stress and applying shear stresses slowly enough to permit excess pore water pressuresto dissipate under each loading increment. Results of S tests are applicable to free-draining soils inwhich pore pressures do not develop. In cohesive soils, S tests are used for evaluating the shear strengthof long-term conditions, e.g.,"normal operating" case. The R-bar test, a consolidated, undrained triaxialtest in which pore pressures are measured during shear to determine the effective stress, has sometimesbeen used by a USACE district in lieu of the S test.

(4) Selection of design shear strengths. When selecting design shear strengths, the shape of thestress-strain curves for individual soil tests should be considered. Where undisturbed foundation soilsand compacted soils do not show a significant drop in shear or deviator stress after peak stresses arereached, the design shear strength can be chosen as the peak shear stress in S direct shear tests, the peakdeviator stress, or the deviator stress at 15 percent strain where the shear resistance increases with strain.For each soil layer, design shear strengths should be selected such that two-thirds of the test valuesexceed the assigned design values.

EM 1110-1-18041 Jan 01

7-6

b. Permeability. To evaluate seepage conditions, reasonable estimates of permeability of pervioussoils are required. Field pumping tests (TM 5-818-5) or correlations between a grain-sized parameter(such as D ) and the coefficient of permeability, as in Figure 3-5, EM 1110-2-1913, are generally used10for coarse-grained materials below the water table. The permeability of compacted cohesive soils forembankments and backfills and for soils modified in place is generally estimated from consolidationtests. Laboratory permeability tests are also being used more frequently for these materials.

c. Consolidation and swell. The parameters required to perform settlement and rebound analysesare obtained from consolidation tests on highly compressible clays or on compressible soils subjected tohigh stresses. Swell tests are also performed to identify, confirm, and quantify swelling groundconditions in tunneling. The sequence and magnitude of test loading should approximate the variousprototype loading cases for which settlement and rebound analysis are to be performed. For expansivesoils, the standard consolidation test or a modification of the test (Johnson, Sherman, and Al-Hussaini1979) may be used to estimate both swell and settlement. Consolidometer swell tests tend to predictminimal levels of heave. Soil suction tests (Johnson, Sherman, and Al-Hussaini 1979) can be used toestimate swell. However, this test tends to overestimate heave compared with field observations. Gillott(1987) describes various tests to evaluate expansive soils.

Section IVEngineering Property Tests - Rock

7-6. Background

Table 7-5 lists the laboratory tests frequently performed to determine the engineering properties of rock.These and other rock tests are presented in the Rock Testing Handbook (USAEWES 1993) andNicholson (1983b).

Table 7-5Laboratory Tests for Engineering Properties of Rock

Test Reference Remarks

Elastic moduli from uniaxial RTH 201 Intact rock cores1

compression test

Triaxial compressive strength RTH 202 Deformation and shear strength of core containing inclined joints1

Direct shear strength RTH 203 Strength along planes of weakness (joints) or rock-concrete contact1

Creep in compression RTH 205 Intact rock from foundation where time-dependent compression is1

an important factor in design

Thermal diffusivity RTH 207 Intact rock subjected to elevated temperatures such as adjacent to1

mass concrete where heat conductance is a factor


a. Unconfined uniaxial compression test. The unconfined uniaxial compression test is performedprimarily to obtain the elastic modulus and unconfined compressive strength of a rock sample. Poisson'sratio can be determined if longitudinal and lateral strain measurements are made on the sample during thetest. The value of Poisson's ratio is required for describing the deformation characteristics of a rockmass. Occasionally, design requirements dictate the need for testing of samples at different orientations

EM 1110-1-18041 Jan 01

7-7

to describe 3-D anisotropy. This test is economical, adequate for most foundation testing, and therefore auseful test for smaller projects. See USAEWES (1993), methods RTH 201-89 (ASTM D 3148-86(ASTM 1996g)) and RTH 205-93 (ASTM D 4405-84 (ASTM 1996i)) for standard test methods.

b. Point load tests. Although the point load test is, strictly speaking, an index test for rock, it can beequated with the unconfined uniaxial compression strength. Its advantage lies in the ease with which thetest can be conducted. The testing apparatus is portable so that it can be used in the field to test cores asthey are retrieved from the ground. In this way, a statistically significant amount of data can be collectedeconomically and with minimal effects from aging and handling of the cores. In addition, the tests can berun both perpendicular and parallel to the axis on the same piece of core, cut block, or irregular lump toprovide a measure of the anisotropy of the rock strength. RTH 325-89 (USAEWES 1993) presents thesuggested method for conducting point load strength tests.

c. Tensile strength. The tensile strength of rock is normally determined by the Brazilian method(RTH 113-93 (USAEWES 1993)) in which a piece of core is split along its axis. In some cases, directpull tensile tests are conducted, but these samples are much harder to prepare. Results of the tensilestrength tests provide input that can be used in the design of underground openings.

d. Unit weight. Determination of the unit weight of the various lithologies at a site is an importantpiece of engineering data. It is used for input into blast performance and muck handling, among otherthings. Since the unit weight is a nondestructive test, the sample can be subjected to additional tests afterthe unit weight is determined.

e. Direct shear test. Laboratory triaxial and direct shear tests on intact rock cores and intact rockcores containing recognizable thin, weak planes are performed to determine approximate values ofcohesion, c (shear strength intercept) and (angle of internal friction) of a rock type. Detailed proceduresfor making the laboratory direct shear test are presented in RTH 203-80 (USAEWES 1993). The test isperformed on core samples ranging from 6.5 to 20 cm (2 to 6 in.) in diameter. The samples are trimmedto fit into a shear box or machine and oriented so that the normally applied force is perpendicular to thefeature being tested. Results of tests on intact samples will give upper-bound strength values while testson smooth surfaces give lower-bound values. Repetition of the shearing process on a sample, orcontinuing, displacement to a point where shear strength becomes constant can ultimately establish theresidual shear strength value. Where natural discontinuities control the rock mass shear strength, testsshould be performed to determine the friction angle of the discontinuity asperities as well as the smoothdiscontinuity plane. The direct shear test is not suited to the development of exact stress-strainrelationships because of the nonuniform distribution of shearing stresses and displacements within thetest specimen. The bonding strength of a rock/concrete contact can be determined by this test. Valuesof cohesion and angles of internal friction are used to determine strength parameters of foundation rock.These values are the principal parameters in the analytical procedures to define the factor of safety forsliding stability and for some bearing capacity analysis. They are appropriate in analyses of the stabilityof rock slopes and of structures subjected to nonvertical external loading. For the test results to havevalid application, test conditions must be as close as possible to actual field conditions. This includesselection of the normal loads to be used. Since the failure envelope is nonlinear at the lower load ranges,testing performed with too little or too much normal load will not adequately model actual conditions andwill yield inappropriate values of c and . The application of these values is discussed in detail in Corpsof Engineers guidance on gravity dam design (EM 1110-1-2908), and in Ziegler (1972) and Nicholson(1983a).

EM 1110-1-18041 Jan 01

7-8

f. Triaxial shear test. The triaxial shear test can be made on intact, cylindrical rock samples. Thetest provides the data for determination of rock strength in an undrained state under 3-D loading. Datafrom the test can provide, by calculation, the strength and elastic properties of the rock samples at variousconfining pressures, the angle of internal friction (shearing resistance), the cohesion intercept, and thedeformation modulus. Strength values are in terms of total stress as pore water pressure is not measured,and corrections should be made accordingly. The standard test method is presented as RTH 202-89(USAEWES 1993) (ASTM D 2664-86 (ASTM 1996f)). A variation of this test using multistage triaxialloading (RTH 204-80 (USAEWES 1993)) is sometimes used to evaluate the strength of joints, seams,and bedding planes at various confining pressures.

g. Other testing. There are numerous other engineering properties (e.g., toughness, abrasiveness) ofrock that are of interest in different applications and all have different testing procedures. The designeris advised to search the literature, including the RTH, to determine which testing is appropriate.

Section VEngineering Property Tests - Shales and Moisture-Sensitive Rocks

7-7. Index Testing

Most moisture-sensitive geomaterials are sedimentary or metamorphic in origin. These include clays,clay shales, poorly to moderately cemented sandstones, marl, and anhydrite. Most commonly, moisture-sensitive rock and sediment contain clay minerals, particularly smectites, which have the capacity to holdlarge volumes of interstitial water. In some cases, the weathered product of a rock type may be thesensitive material in the overall rock mass and can be the result of chemical weathering (saprolite) orrock movement (fault gouge, mylonite). As these rock forms have soil-like characteristics, the indexproperties (Atterberg limits, moisture content, etc.) of these materials should be determined prior to morecomprehensive testing. The results of the index testing usually indicate the engineering sensitivity of therock forms and should be used as a guide to further testing. Special procedures that may be necessary forindex testing can be found in EM 1110-2-1906.

a. Direct and triaxial shear tests. Most direct and triaxial shear tests conducted on hard, brittlerock samples are of the undrained type. For these particular types of materials, pore pressures do notplay a dominant role, and strength values are in terms of total stress. However, as softer rock types areencountered, with correspondingly higher absorption values (e.g., greater than 5 percent), the role of porepressure buildup during the rock shearing process becomes more important. The same condition is truefor many clay shales and other similar weak and weathered rock materials. For moisture-sensitive rocks,soil property test procedures should be used if possible. Critical pore pressures that may substantiallyreduce the net rock strength can then be monitored throughout the entire testing cycle. Where hydraulicconcrete structures are to be constructed on clay shales or shales, shear testing should be conducted todetermine the strength of the shale/concrete interface.

b. Test data interpretation. Laboratory test data on shales and moisture-sensitive rocks should beinterpreted with caution. The laboratory undrained strength of intact specimens is rarely representativeof in-place field shear strengths. Frequently, shales, clay shales, and highly overconsolidated clays arereduced to their residual shear strength with minor displacements. The geotechnical explorations,laboratory testing, and review of field experiences must establish whether residual or higher shearstrengths are appropriate for design purposes. Results of laboratory tests should be confirmed byanalysis of the field behavior of the material from prior construction experience in the area, analysis ofexisting slopes or structures, and correlation with similar geologic formations at sites where the field

EM 1110-1-18041 Jan 01

7-9

performance is known. For a general engineering evaluation of the behavioral characteristics of shales,see Table 3-7, TM 5-818-1, Underwood (1967), and Townsend and Gilbert (1974); for physicalproperties of various shale formations, see Table 3-8, TM 5-818-1. Slope stability of shales can beanalyzed using the PC-based, menu-driven program, UTEXAS3 (Edris 1993), ROCKPACK (Watts 1996)or the International Forum on Discontinuous Deformation Analysis Method (International Forum onDiscontinuous Deformation Analysis and Simulations or Discontinuing Media 1996).

7-8. Swelling Properties

For many shales and moisture-sensitive rocks, swelling characteristics are a key consideration.Where used as fill, their physical properties can change significantly over time, and in response to thepresence of water (Nelson and Miller 1992). In addition, swelling of in situ rock has caused heave infoundations, slope failures, distress in slope treatments such as shotcrete, and failure of tunnel linings(Olivier 1979). EM 1110-1-2908 has a thorough discussion of the testing procedures used to evaluateswelling potential of rock and soil. For the constant volume test, great care should be exercised ininterpreting the results. The procedure currently in use calls for increasing applied load periodicallyduring the test to return the specimen to its original dimensions. This load may exceed the actual swellpressure because it also must to overcome the elastic properties of the rock.

(0��-DQ��

$��

$SSHQGL[�$5HIHUHQFHV

$��5HTXLUHG�3XEOLFDWLRQV

70��$)0��&KDSWHU��Procedures for Foundation Design of Buildings and Other Structures

70��$)0��&KDSWHU��1$9)$&�3��Dewatering and Groundwater Control

70��Grouting Methods and Equipment

70��Designing Facilities to Resist Nuclear Weapons Effects: Structures

0,/�67'��$Test Methods for Pavement Subgrade, Subbase, and Base Course Material

(5��Biddability, Constructibility, Operability, and Embankment Review

(5��Staffing for Civil Works Projects

(5��Procurement of Diamond Drill Bits and Reaming Shells

(5��Planning Guidance Notebook

(5��Plant Pest Quarantined Areas and Foreign Soil Samples

(5��Quality Assurance of Laboratory Testing Procedures

(5��Procedures for Drilling in Earth Embankments

(5��Laboratory Investigations and Testing

(5��Engineering and Design for Civil Works Projects

(0��-DQ��

$��

(5��Plans and Specifications for Civil Works Projects

(5��Earthquake Design and Evaluation of Civil Works Projects

(5��Field Control Data for Earth and Rockfill Dams

(5��Information Systems Design in Support of Military Construction

(5��Construction Quality Management

(3��Borehole Viewing Systems

(0��Requirements for the Preparation of Sampling and Analysis Plans

(0��Photogrammetric Mapping

(0��Survey Markers and Monumentation

(0��NAVSTAR Global Positioning System Surveying

(0��Topographic Surveying

(0��Geophysical Exploration for Engineering and Environmental Investigations

(0��Settlement Analysis

(0��Soil Sampling.

(0��Rock Foundations

(0��Chemical Grouting

(0��-DQ��

$��

(0��Monitor Well Design, Installation, and Documentation at Hazardous and/or Toxic Waste Sites

(0��Hydrographic Surveying

(0��Environmental Engineering for Deep-draft Navigation Projects

(0��Environmental Engineering for Coastal Protection

(0��Environmental Engineering and Local Flood Control Channels

(0��Environmental Engineering for Small Boat Basins

(0��Channel Stability Assessment for Flood Control Projects

(0��Seepage Analysis and Control for Dams

(0��Stability of Earth and Rockfill Dams

(0��Laboratory Soils Testing

(0��Instrumentation of Embankment Dams and Levees

(0��Construction Control for Earth and Rockfill Dams

(0��Design and Construction of Levees

(0��Earth and Rockfill Dams, General Design and Construction Considerations

(0��Test Quarries and Test Fills

(0��Tunnels and Shafts in Rock

(0��-DQ��

$��

(0��Design of Breakwaters and Jetties

(0��Design of Pile Foundations

(0��Grouting Technology

(0��Systematic Drilling and Blasting for Surface Excavations

(0��Sedimentation Investigations of Rivers and Reservoirs

$PHULFDQ�6RFLHW\�IRU�7HVWLQJ�DQG�0DWHULDOV��American Society for Testing and Materials. 1970. $Special Procedures for Testing Soil and Rock forEngineering Purposes,# STP 479, 5th ed., Philadelphia, PA.

$PHULFDQ�6RFLHW\�IRU�7HVWLQJ�DQG�0DWHULDOV��DAmerican Society for Testing and Materials. 1996a. “Bearing Capacity of Soil for Static Load on SpreadFootings, Designation D-1194-94,” West Conshohocken, PA.

$PHULFDQ�6RFLHW\�IRU�7HVWLQJ�DQG�0DWHULDOV��EAmerican Society for Testing and Materials. 1996b. “Method for Penetration Test and Split-BarrelSampling of Soils, Designation D 1586-84,” West Conshohocken, PA.

$PHULFDQ�6RFLHW\�IRU�7HVWLQJ�DQG�0DWHULDOV��FAmerican Society for Testing and Materials. 1996c. “Standard Practice for Thin-Walled TubeGeotechnical Sampling of Soils, Designation: D 1587-94,” West Conshohocken, PA.

$PHULFDQ�6RFLHW\�IRU�7HVWLQJ�DQG�0DWHULDOV��GAmerican Society for Testing and Materials. 1996d. “Description and Identification of Soils(Visual-Manual Procedure), Designation D 2488-93,” West Conshohocken, PA.

$PHULFDQ�6RFLHW\�IRU�7HVWLQJ�DQG�0DWHULDOV��HAmerican Society for Testing and Materials. 1996e. “Test Method for Field Vane Shear Test inCohesive Soil, Designation D 2573-94,” West Conshohocken, PA.

$PHULFDQ�6RFLHW\�IRU�7HVWLQJ�DQG�0DWHULDOV��IAmerican Society for Testing and Materials. 1996f. “Test Method for Triaxial Compressive Strength ofUndrained Rock Core Specimens Without Pore Pressure Measurements, Designation D 2664-86,”West Conshohocken, PA.

$PHULFDQ�6RFLHW\�IRU�7HVWLQJ�DQG�0DWHULDOV��JAmerican Society for Testing and Materials. 1996g. “Test Method for Elastic Moduli of Intact RockCore Specimens in Uniaxial Compression, Designation D 3148-93,” West Conshohocken, PA.

(0��-DQ��

$��

$PHULFDQ�6RFLHW\�IRU�7HVWLQJ�DQG�0DWHULDOV��KAmerican Society for Testing and Materials. 1996h. “Standard Test Method for One-dimensionalExpansion, Shrinkage, and Uplift Pressure of Soil-Lime Mixtures, Designation D 3877-80,”West Conshohocken, PA.

$PHULFDQ�6RFLHW\�IRU�7HVWLQJ�DQG�0DWHULDOV��LAmerican Society for Testing and Materials. 1996i. “Test Method for Creep of Cylindrical Soft RockCore Specimens in Uniaxial Compression, Designation D 4405-93,” West Conshohocken, PA.

$PHULFDQ�6RFLHW\�IRU�7HVWLQJ�DQG�0DWHULDOV��MAmerican Society for Testing and Materials. 1996j. “Standard Test Method for In Situ Stress andModulus of Deformation Using the Flatjack Method, Designation D 4729-87,” West Conshohocken, PA.

Borrelli 1988Borrelli, D. D. 1988. $Interim Guidance for Construction Site Clearance at U.S. Army Installations,#U.S. Army Toxic and Hazardous Materials Agency, Aberdeen Proving Ground, Maryland.

U.S. Army Engineer Waterways Experiment Station 1993U.S. Army Engineer Waterways Experiment Station. 1993. Rock Testing Handbook. TechnicalInformation Center, Vicksburg, MS 39180.

Walker 1988Walker, L. D. 1988. Memorandum: $Environmental Survey Guidance for Potential Construction Sites,#U.S. Army Engineering and Construction Division, Washington, DC.

$��5HODWHG�3XEOLFDWLRQV

$O�.KDIDML�DQG�$QGHUVODQG��Al-Khafaji, A. W., and Andersland, O. B. 1992. *HRWHFKQLFDO�(QJLQHHULQJ�DQG�6RLO�7HVWLQJ, SaundersCollege Publishing, Harcourt Brace Jovanovich College Publishers, Fort Worth, TX.

$OOHU�HW�DO��Aller, L., Bennett, T., Hackett, G., Petty, R., Lehr, J., Sedoris, H., Nielsen, D, and Denne, J. 1989.+DQGERRN�RI� 6XJJHVWHG�3UDFWLFHV� IRU� WKH�'HVLJQ�DQG� ,QVWDOODWLRQ�RI�*URXQG�:DWHU�0RQLWRULQJ�:HOOV,prepared for the Environmental Monitoring Systems Laboratory Office of Research and Development,U.S. Environmental Protection Agency, Las Vegas, NV. Published by National Water Well Association,Dublin, OH.

$QQDQ��Annan, A. P. 1992. Ground Penetrating Radar Workshop Notes. Sensing & Software Inc., MississaugaOntario, Canada.

$SSOLHG�7HFKQRORJ\�&RXQFLO��Applied Technology Council. 1978. “Tentative provision for the development of seismic regulations forbuildings,” Figure 1-1, Publication ATC3-06, National Bureau of Standards 510, National ScienceFoundation 78-8, Washington, DC.

(0��-DQ��

$��

%DJXHOLQ��-H]HTXHO��DQG�6KLHOGV��Baguelin, F., Jezequel, J. F., and Shields, D. H. 1978. “The Pressuremeter and FoundationEngineering,” Trans Tech Publications, Rockport, MA.

%DUWRQ��/LHQ��DQG�/XQGH��Barton, N., Lien, R., and Lunde, J. 1974. “Engineering Classification of Rock Masses for the Design ofTunnel Support,” 5RFN�0HFKDQLFV, Vol 6, No. 4, pp 183-236.

%HFKWHOO��Bechtell, W. R. 1975. “Project R. D. Bailey Experimental Excavation Program,” U.S. Army EngineerWaterways Experiment Station, Technical Report E-73-2, Vicksburg, MS.

%HQQHWW�DQG�$QGHUVRQ��Bennett, R. D., and Anderson, R. F. 1982. “New Pressure Test for Determining Coefficient ofPermeability of Rock Masses,” Technical Report GL-82-3, U.S. Army Engineer Waterways ExperimentStation, Vicksburg, MS.

%HQWDOO��Bentall, R. 1963. “Shortcuts and Special Problems in Aquifer Tests,” Geological Survey Water-SupplyPaper 1545-C, a collection of reports, U.S. Geological Survey, U.S. Government Printing Office,Washington, DC.

%HUWUDP��Bertram, G. E. 1979. “Field Tests for Compacted Rockfill,” (PEDQNPHQW� 'DP� (QJLQHHULQJ, R. C.Hirschfield and S. J. Poulos, Editors, Wiley-Interscience, Somerset, NJ.

%LHQLDZVNL��Bieniawski, Z. T. 1979. “Tunnel Design by Rock Mass Classification,” Technical Report GL-79-19,U.S. Army Engineer Waterways Experiment Station, Vicksburg, MS.

%OLJKW��Blight, G. E. 1974. “Indirect Determination of In Situ Stress Ratios in Particulate Materials,”Proceedings of a Speciality Conference, 6XEVXUIDFH�([SORUDWLRQ�IRU�8QGHUJURXQG�([FDYDWLRQ�DQG�+HDY\&RQVWUXFWLRQ, American Society of Civil Engineers, New York, NY.

%MHUUXP��Bjerrum, L. 1972. “Embankments on Soft Ground,” Proceedings of Speciality Conference, 3HUIRUPDQFHRI� (DUWK� DQG� (DUWK�6XSSRUWHG� 6WUXFWXUHV, Vol II, pp 1-54, American Society of Civil Engineers,New York, NY.

%RDGX�DQG�/RQJ��Boadu, F. K., and Long, L. T. 1994. “The Fractal Character of Fracture Spacing and RQD,” Inter-national Journal of Rock Mechanics, Mining Science, and Geomechanics, Vol 31, No. 2, pp 127-134.

%RZOHV��Bowles, J. E. 1996.�)RXQGDWLRQ�$QDO\VLV�DQG�'HVLJQ, 5th ed., McGraw-Hill, New York, NY.

(0��-DQ��

$��

%XUURXJK��Burrough, P. A. 1986. “Principles of Geographic Information Systems for Land Resource Assessment,”Monographs on Soils and Resources Survey No. 12, Oxford University Press, New York, NY.

%XWOHU��Butler, D. K. 1980. “Microgravimetric Techniques for Geotechnical Applications,” MiscellaneousPaper GL-80-13, U.S. Army Engineer Waterways Experiment Station, Vicksburg, MS.

&HUQLFD��Cernica, J. N. 1993. *HRWHFKQLFDO�(QJLQHHULQJ��6RLO�0HFKDQLFV, John Wiley & Sons, New York, NY.

&RWWLQ�HW�DO��Cottin, J. F., Deletie, P., Jacquet-Francillon, H., Lakshmanan, J., Lemoine, Y., and Sanchez, M. 1986.“Curved ray seismic tomography: Application to Grand Etang Dam (Reunion Island),” )LUVW�%UHDN vol 4pp 25-30.

'DV��Das, B. M. 1994. 3ULQFLSOHV�RI�*HRWHFKQLFDO�(QJLQHHULQJ, 3rd ed., PWS Publishing, Boston, MA.

'DYLV�DQG�'H:LHVW��Davis, S. N., and DeWiest, R. J. M. 1966. �+\GURJHRORJ\, John Wiley & Sons, New York, NY.

'DZVRQ�DQG�,VWRN��Dawson, K. J., and Istok, J. D. 1991. $TXLIHU�7HVWLQJ��'HVLJQ�DQG�$QDO\VLV�RI�3XPSLQJ�DQG�6OXJ�7HVWV,Lewis Publishers, Inc., Chelsea, MI.

'HDUPDQ��Dearman, W. R. 1991. (QJLQHHULQJ�*HRORJLFDO�0DSSLQJ, Butterworth-Heinemann, Boston, MA.

'HHUH��Deere, D. U. 1964. “Technical Description of Rock Cores for Engineering Purposes,” 5RFN�0HFKDQLFVDQG�(QJLQHHULQJ�*HRORJ\, Vol 1, No. 1, pp 17-22.

'HHUH�DQG�'HHUH��Deere, D. U., and Deere, D. W. 1989. “Rock Quality Designation (RQD) After Twenty Years.”Contract Report GL-89-1, U. S. Army Engineer Waterways Experiment Station, Vicksburg, MS.

'HNORW]�DQG�%RLVHQ��Deklotz, E. J. and Boisen, B. P. 1970. “Development of Equipment for Determining DeformationModulus and In Situ Stress by Means of Large Flatjacks,” 'HWHUPLQDWLRQ� RI� ,Q� 6LWX� 0RGXOXV� RI

'HIRUPDWLRQ�RI�5RFN, ASTM STP 477, American Society for Testing and Materials, Philadelphia, PA.

'RGG��)XOOHU��DQG�&ODUNH��Dodd, K, Fuller, H. K., and Clarke, P. F. 1989. “Guide to Obtaining USGS Information,” USGSCircular 900, U.S. Government Printing Office, Washington, DC.

(0��-DQ��

$��

'RXJODV�DQG�2OVHQ��Douglas, B. J., and Olsen, R. S. 1981. “Soil Classification Using the Electric Cone Penetrometer.”3URFHHGLQJV� RI� WKH� &RQH� 3HQHWUDWLRQ� 7HVWLQJ� DQG� ([SHULHQFH� 6HVVLRQ�� $6&(� 1DWLRQDO� &RQYHQWLRQ�

St. Louis, Oct 1981, American Society of Civil Engineers, New York, NY.

'ULVFROO��Driscoll, F. G. 1986. *URXQGZDWHU�DQG�:HOOV��QG�HG�, Johnson Division, St.Paul, MN.

'XUJXQRJOX�DQG�0LWFKHOO��Durgunoglu, H. T., and Mitchell, J. K. 1975. Static Penetration Resistance of Soils, Evaluation ofTheory and Implication for Practice.” 3URFHHGLQJV� RI� WKH� ,Q�VLWX� 0HDVXUHPHQW� RI� 6RLO� 3URSHUWLHV�

Raleigh, NC, American Society of Civil Engineers, New York, NY.

(GULV��Edris, E. V. 1993. User's Guide: UTEXAS3 Slope-Stability Package Volume III: Example Problems,”Instruction Report GL-87-1, U.S. Army Engineer Waterways Experiment Station, Vicksburg, MS.

(LVVD�DQG�6HQ��Eissa, E. A. and Sen, Z. 1991. “Fracture Simulation and Multi-Directional Rock Quality Designation.”%XOOHWLQ�RI�7KH�$VVRFLDWLRQ�RI�(QJLQHHULQJ�*HRORJLVWV��Vol 28, No. 2.

(QYLURQPHQWDO�6\VWHPV�5HVHDUFK�,QVWLWXWH��Environmental Systems Research Institute. 1992. 8QGHUVWDQGLQJ�*,6��7KH�$5&�,1)2��0HWKRG. ESRI,Redlands, CA.

)DJHUEXUJ��3ULFH��DQG�+RZLQJWRQ��Fagerburg, T. L., Price, R. E., and Howington, S. E. 1989. “Water Quality Outlet Works Prototype Tests,Warm Springs Dam, Dry Creek, Russian River Basin, Sonoma County, California,” Technical ReportHL-89-4, U.S. Army Engineers Waterways Experiment Station, Vicksburg, MS.

)HGHUDO�+LJKZD\�$GPLQLVWUDWLRQ��Federal Highway Administration. 1978. “Design and Construction of Compacted Shale Embankments,Vol 5, Technical Guidelines,” Report No. FHWA-RD-78-141, National Technical Information Service,Springfield, VA.

)HWWHU��Fetter, C. W. 1988. $SSOLHG�+\GURJHRORJ\��6HFRQG�(GLWLRQ. Macmillan Publishing, New York, NY.

)LVKHU�DQG�%DQNV��Fisher, P. R., and Banks, D. C. 1979. “Influence of the Regional Geologic Setting on Site GeologicFeatures.” 6LWH� &KDUDFWHUL]DWLRQ� DQG� ([SORUDWLRQ�� 3URFHHGLQJV�� 6SHFLDOLW\� :RUNVKRS�� 1RUWKZHVWHUQ

8QLYHUVLW\� C. H. Dowding, ed., American Society of Civil Engineers, New York, NY.

)UDQNOLQ�HW�DO��Franklin, A. G., Patrick, D. M., Butler, D. K., Strohm, W. E., Jr., and Hynes-Griffin, M. E. 1981.“Foundation Considerations in Siting of Nuclear Facilities in Karst Terrains and Other Areas Susceptibleto Ground Collapse,” NUREG/CR-2062, U.S. Nuclear Regulatory Commission, Washington, DC.

(0��-DQ��

$��

*HRORJLFDO�6RFLHW\�(QJLQHHULQJ�*URXS�:RUNLQJ�3DUW\��Geological Society Engineering Group Working Party. 1995. “The description and classification ofweathered rocks for engineering purposes,” 4XDUWHUO\�-RXUQDO�RI�(QJLQHHULQJ�*HRORJ\, Vol 26 No. 3,pp 207-242.

*LOORW��Gillott, J. E. 1987. &OD\�LQ�(QJLQHHULQJ�*HRORJ\. Elsevier, New York, NY.

*RRGPDQ��Goodman, R. E. 1976. 0HWKRGV� RI�*HRORJLFDO�(QJLQHHULQJ� LQ�'LVFRQWLQXRXV�5RFN. West PublishingCompany, Saint Paul, MN.

*RRGPDQ��Goodman, R. E. 1981. �,QWURGXFWLRQ�WR�5RFN�0HFKDQLFV. John Wiley & Sons, Sommerset, NY.

*RRGPDQ�DQG�6KL��Goodman, R. E., and Shi, G. 1985. %ORFN�WKHRU\�DQG�LWV�DSSOLFDWLRQ�WR�URFN�HQJLQHHULQJ. Prentice-Hall,Englewood Cliffs, NJ.

*XSWD��Gupta, R. P. M. 1991. 5HPRWH�6HQVLQJ�*HRORJ\. Springer-Verlag, New York, NY.

+DOO��1HZPDUN��DQG�+HQGURQ��Hall, W. C., Newmark, N. M., and Hendron, A. J., Jr. 1974. “Classifying Engineering Properties andField Exploration of Soils,� Intact Rock and In Situ Rock Masses,” Report No. WASH-1301, CU-ll,U.S. Atomic Energy Commission, Washington, DC.

+DPLVRQ��Hamison, B. C. 1978. “The Hydrofracturing Stress Measuring Method and Recent Field Results,”,QWHUQDWLRQDO� -RXUQDO� RI� 5RFN� 0HFKDQLFV� DQG� 0LQLQJ� 6FLHQFHV, Vol 15, No. 4, Pergamon Press,Elmsford, NY.

+DPPHU�DQG�7RUUH\��Hammer, D. P., and Torrey, V. H. III. 1973. “Test Fills for Rockfill Dams,” Miscellaneous Paper S-73-7,U.S. Army Engineer Waterways Experiment Station, Vicksburg, MS.

+DUGHU�DQG�6HHG��Harder, L. F., Jr., and Seed, H. B. 1986. “Determination of Penetration Resistance for Coarse-GrainedSoils Using the Becker Hammer Drill,” Report No. UCB/EERC-86/06, Earthquake Engineering ResearchCenter, College of Engineering, University of California, Berkeley.

+HDWK��Heath, R. C. 1983. “Basic Ground-water Hydrology,” U.S. Geological Survey Water-Supply Paper 2220,U.S. Government Printing Office, Washington, DC.

+LWH��Hite, S. E. 1984. “R.D. Bailey Outlet Works, Guyandot River, West Virginia: Hydraulic ModelInvestigation,” Technical Report HL-84-1, U.S. Army Engineers Waterways Experiment Station,Vicksburg, MS.

(0��-DQ��

$��

+REEV��0HDQV��DQG�:LOOLDPV��Hobbs, B.E., Means, W.D., and Williams, P.F. 1976.�$Q�2XWOLQH�RI�6WUXFWXUDO�*HRORJ\. John Wiley &Sons, New York, NY.

+XQW��Hunt, R.E. 1984. *HRWHFKQLFDO�(QJLQHHULQJ�,QYHVWLJDWLRQ�0DQXDO. McGraw-Hill, New York, NY.

,QWHUJUDSK�&RUS��Intergraph Corp. 1993. *,6�2ULHQWHG�$QDO\VLV�/DQJXDJH��*2$/��8VHUV�*XLGH. Huntsville, AL.

,QWHUQDWLRQDO� )RUXP� RQ� 'LVFRQWLQXRXV� 'HIRUPDWLRQ� $QDO\VLV� DQG� 6LPXODWLRQV� RI� 'LVFRQWLQXRXV0HGLD��International Forum on Discontinuous Deformation Analysis and Simulations of Discontinuous Media.1996. “Discontinuous deformation analysis (DDA) and simulations of discontinuous media.”3URFHHGLQJV�RI�WKH�)LUVW�,QWHUQDWLRQDO�)RUXP�RQ�'LVFRQWLQXRXV�0HGLD��%HUNHOH\��&$��86$��-XQH��

�� Edited by M. Reza Salami and Don Banks.

-DPLRONRZVNL�HW�DO��Jamiolkowski, M., Lancellotta, R., Tordella, L., and Battaglio, M. 1982. “Undrained Strength fromCPT.” 3URFHHGLQJV�RI�WKH�6HFRQG�(XURSHDQ�6\PSRVLXP�RQ�3HQHWUDWLRQ�7HVWLQJ��(6237�,,��Amsterdam.

-RKQVRQ��6KHUPDQ��DQG�$O�+XVVDLQL��Johnson, L. D., Sherman, W. C., Jr., and Al-Hussaini, M. M. 1979. “Overview for Design ofFoundations on Expansive Soils,” Miscellaneous Paper GL-79-21, U.S. Army Engineer WaterwaysExperiment Station, Vicksburg, MS.

.HOOHU��Keller, E. A. 1992.�(QYLURQPHQWDO�*HRORJ\. 6th ed., Macmillan, New York, NY.

.LOJRUH��.URODN��DQG�0LVWLFKHOOL��Kilgore, R. T., Krolak, J. S., and Mistichelli, M. P. 1993. “Integration Opportunities for ComputerModels, Methods, and GIS Used in Corps Planning Studies,” IWR Report 93-R-5. U.S. Army Corps ofEngineers Water Resources Support Center, Ft. Belvoir, VA.

.ULQLW]VN\��Krinitzsky, E. L. 1995. “State-of-the art for Assessing Earthquake Hazards in the United States,Report 29, Selection of Earthquake Ground Motions for Engineering,” Miscellaneous Paper S-73-1,U.S. Army Engineer Waterways Experiment Station, Vicksburg, MS.

.ULQLW]VN\��Krinitzsky, E. L. 1996. Personal communication. U.S. Army Engineer Waterways Experiment Station,Vicksburg, MS.

.ULQLW]VN\��*RXOG��DQG�(GLQJHU��Krinitzsky, E. L., Gould, J. P., and Edinger, P. H. 1993.� )XQGDPHQWDOV� RI� HDUWKTXDNH� UHVLVWDQWFRQVWUXFWLRQ. John Wiley & Sons, New York, NY.

(0��-DQ��

$��

/DPEH�DQG�:KLWPDQ��Lambe, T. W., and Whitman, R. V. 1969. 6RLO�0HFKDQLFV, Massachusetts Institute of Technology, JohnWiley & Sons, New York, NY.

/DUNLQ�HW�DO��Larkin, T. H., Johnson, P. A., Rich, P. M., Eischeid, G., and Phillips, W. S. 1990. “Cross-boreholecompressional wave imaging of unconsolidated sediments,” IEEE Transactions on Geoscience andRemote Sensing, Vol 28, pp 922-931.

/HDFK��Leach, R. E. 1977. “Hydraulic Fracturing of Soils--a Literature Review,” Miscellaneous Paper S-77-6,U.S. Army Engineer Waterways Experiment Station, Vicksburg, MS.

/LFK\��Lichy, D. E. 1976. “Remote Sensing Demonstration Project, Verona Lake Project, Virginia,” U.S. ArmyEngineer District, Baltimore, MD.

/RKPDQ��Lohman, S. W. 1972. “Ground-Water Hydraulics,” Geological Survey Professional Paper 708,U.S. Geological Survey, United States Government Printing Office, Washington, DC.

/XWWRQ��Lutton, R. J. 1976. “Review and Analysis of Blasting and Vibrations at Bankhead Lock,” TechnicalReport S-76-6, U.S. Army Engineer Waterways Experiment Station, Vicksburg, MS.

0DUFXVRQ�DQG�%LHJDQRXVN\��Marcuson, W. F. III, and Bieganousky, W. A. 1977. “SPT and Relative Density in Coarse Sands,”-RXUQDO�RI�WKH�*HRWHFKQLFDO�(QJLQHHULQJ�'LYLVLRQ, Vol 103, No. GTll, pp 1295-1309, American Societyof Civil Engineers, New York, NY.

0HDQV��DQG�3DUFKHU��Means, R. E., and Parcher, J. V. 1963. 3K\VLFDO�3URSHUWLHV�RI�6RLOV. Oklahoma State University, CharlesE. Merrill Publishing Co., Columbus, OH.

0H\HUKRI��Meyerhof, G. G. 1956. “Penetration Tests and Bearing Capacity of Cohesive Soils,” -RXUQDO�� 6RLO0HFKDQLFV�DQG�)RXQGDWLRQV�'LYLVLRQ, Vol 82, No. SMl, pp 1-19, Also see closure in Vol 83, No. SMl,1957, American Society of Civil Engineers, New York, NY.

0LWFKHOO�DQG�/XQQH��Mitchell, J. K., and Lunne, T. A. 1978. “Cone Resistance as a Measure of Sand Strength.” -RXUQDO�

*HRWHFKQLFDO� (QJLQHHULQJ� 'LYLVLRQ, Vol 104, No. GT7, pp 995-1012, American Society of CivilEngineers, New York, NY.

0LWFKHOO�DQG�9LOOHW��Mitchell, J. K., and Villet, W. C. B. 1981. “Cone Resistance, Relative Density and Friction Angle.”3URFHHGLQJV� RI� WKH� &RQH� 3HQHWUDWLRQ� 7HVWLQJ� DQG� ([SHULHQFH� 6HVVLRQ�� $6&(� 1DWLRQDO� &RQYHQWLRQ�

6W��/RXLV��2FW��American Society of Civil Engineers, New York, NY.

(0��-DQ��

$��

0LWFKHOO��*X]LNRZVNL��DQG�9LOOHW��Mitchell, J. K., Guzikowski, F., and Villet, W. C. B. 1978. “The Measurement of Soil PropertiesIn-Situ,” Report No. LBL-6363, Lawrence Berkeley Laboratory, University of California, Berkeley.

0RUJHQVWHUQ�DQG�(LJHQEURG��Morgenstern, N. R., and Eigenbrod, K. D. 1974. “Classification of Argillaceous Soils and Rock,”-RXUQDO��*HRWHFKQLFDO�(QJLQHHULQJ�'LYLVLRQ, Vol 100, No. GT10, pp 1137-1155, American Society ofCivil Engineers, New York, NY.

0XUSK\��Murphy, W. L. 1985. “Geotechnical Descriptions of Rock and Rock Masses,” Technical Report GL-85-3,U.S. Army Engineer Waterways Experiment Station, Vicksburg, MS.

1DVK��Nash, K. 1993. “User's Guide for the Boring Log Data Manager, Version 2.0,” Contract Report GL-93-1,U.S. Army Engineer Waterways Experiment Station, Vicksburg, MS.

1HOVRQ�DQG�0LOOHU��Nelson, J. D., and Miller, D. J. 1992.� ([SDQVLYH� VRLOV�� 3UREOHPV� DQG� SUDFWLFHV� LQ� IRXQGDWLRQ� DQGSDYHPHQW�HQJLQHHULQJ. John Wiley & Sons, New York, NY.

1LFKROVRQ��DNicholson, G. A. 1983a. “Design of Gravity Dams on Rock Foundations: Sliding Stability Assessmentby Limit Equilibrium and Selection of Shear Strength Parameters,” Technical Report GL-83-13,U.S. Army Engineer Waterways Experiment Station, Vicksburg, MS.

1LFKROVRQ��ENicholson, G. A. 1983b. “In Situ and Laboratory Shear Devises for Rock: a Comparison,” TechnicalReport GL-83-14, U.S. Army Engineer Waterways Experiment Station, Vicksburg, MS.

2OLYLHU��Olivier, H. J. 1979. “A new engineering-geological rock durability classification,”�(QJLQHHULQJ�*HRORJ\,Vol 14, pp 255-279.

3DUU\��Parry, R. H. G. 1976. “Engineering Properties of Clay Shales: Report 3, Preliminary Triaxial TestProgram on Taylor Shale from Laneport Dam,” Technical Report S-71-6 Rpt 3, U.S. Army EngineersWaterways Experiment Station, Vicksburg, MS.

3DUU\��Parry, R. H. G. 1977. “Estimating Bearing Capacity in Sand from SPT Values,” -RXUQDO��*HRWHFKQLFDO(QJLQHHULQJ� 'LYLVLRQ� Vol 103, No. GT9, pp 1014-1019, American Society of Civil Engineers,New York, NY.

3HFN��+DQVRQ��DQG�7KRUQEXUQ��Peck, R. B., Hanson, W. E., and Thornburn, T. H. 1974. )RXQGDWLRQ� (QJLQHHULQJ. 2d ed., Wiley-Interscience, Somerset, NJ.

(0��-DQ��

$��

3HUU\��Perry, E. B. 1979. “Susceptibility of Dispersive Clays at Grenada Dam, Mississippi, to Piping andRainfall Erosion,” Technical Report GL-79-14, U.S. Army Engineer Waterways Experiment Station,Vicksburg, MS.

3RZHUV�DQG�2OKRHIW��Powers, M. H., and Olhoeft, G. R. 1995. GPRMODV2:One-Dimensional Full Waveform ForwardModeling of Dispersive Ground Penetrating Radar Data Version 2.0. USGS Open File Report 95-58,U.S. Government Printing Office, Washington, DC.

3ULHVW��Priest, S. D. 1993. 'LVFRQWLQXLW\�DQDO\VLV�IRU�URFN�HQJLQHHULQJ. Chapman and Hall, New York, NY.

3URFWRU�DQG�:KLWH��Proctor, R. V., and White, T.L. 1977. �5RFN�7XQQHOLQJ�ZLWK�6WHHO�6XSSRUWV. Commercial Shearing Inc.,Youngstown, OH.

5DGEUXFK�+DOO��(GZDUGV��DQG�%DWVRQ��Radbruch-Hall, D.H., Edwards, K., and Batson, R.H. 1987. “Experimental engineering-geologic andenvironmental geologic maps of the conterminous United States,”�U.S. Geological Survey Bulletin 1610,U.S. Government Printing Office, Washington, DC.

5DVKHU�DQG�:HDYHU��Rasher, M. E., and Weaver, W. 1990. �%DVLF�3KRWR�,QWHUSUHWDWLRQ. Soil Conservation Service, NationalCartographic Center, Fort Worth, TX.

5LQNHU�HW�DO��Rinker, J. N., Breed, C. S., McCauley, J. F., Corl, P. A. 1991. “Remote Sensing Field Guide - Desert,”U.S. Army Corps Engineer Topographic Lab Manual ETL-0588, Fort Belvoir, VA.

5RFKD��Rocha, M. 1970. “New techniques in deformability testing of in situ rock masses,” Determination ofIn Situ Modulus of Deformation of Rock, ASTM STP 477, American Society for Testing and Materials,Philadelphia, PA.

6FKPHUWPDQQ��Schmertmann, J. H. 1970. “Static Cone to Compute Static Settlement Over Sand,” -RXUQDO�� 6RLO

0HFKDQLFV�DQG�)RXQGDWLRQ�'LYLVLRQ, Vol 96, No. SM3, American Society of Civil Engineers, New York,NY.

6FKPHUWPDQQ��DSchmertmann, J. H. 1978a. “Guidelines for Cone Penetrometer Test, Performance and Design,”FHWA-TS-78-209, Federal Highway Administration, Washington, DC.

6FKPHUWPDQQ��ESchmertmann, J. H. 1978b. “Study of Feasibility Using Wissa-type Piezometer Probe to IdentifyLiquifaction Potential of Saturated Fine Sand,” Technical Report S-78-2, U.S. Army EngineerWaterways Experiment Station Vicksburg, MS.

(0��-DQ��

$��

6FKURHGHU��Schroeder, W. L. 1984. 6RLOV�LQ�&RQVWUXFWLRQ, third ed., John Wiley & Sons, New York, NY.

6HHG��Seed, H. B. 1979. “Soil Liquefaction and Cyclic Mobility Evaluation for Level Ground DuringEarthquakes,”� -RXUQDO�� *HRWHFKQLFDO� (QJLQHHULQJ� 'LYLVLRQ, Vol 105, No. GT2, American Society ofCivil Engineers, New York, NY.

6HQ�DQG�(LVVD��Sen, Z., and Eissa, E. A. 1991. “Volumetric Rock Quality Designation,” $6&(�-RXUQDO�RI�*HRWHFKQLFDO(QJLQHHULQJ��Vol 117, No. 9.

6PLWK��Smith, D. G. 1987. “A mini-vibracoring system,” -RXUQDO� RI� VHGLPHQWDU\� 3HWURORJ\, Vol 57, No. 4,pp 757-794.

6RFLHW\�RI�([SORUDWLRQ�*HRSK\VLFLVW��Society of Exploration Geophysicists. 1990. “Resistivity and induced polarization methods,”*HRWHFKQLFDO�DQG�(QYLURQPHQWDO�*HRSK\VLFV�9ROXPH�,�5HYLHZ�DQG�7XWRULDO. S. H. Ward, ed., Tulsa, OK,pp 147-190.

6WDJJ�DQG�=LHQNLHZLF]��Stagg, K. G., and Zienkiewicz, D. C. 1968. � 5RFN� 0HFKDQLFV� LQ� (QJLQHHULQJ� 3UDFWLFH. 2nd ed.,Wiley-Interscience, Somerset, NJ.

6WDU�DQG�(VWHV��Star, J., and Estes, J. 1990. *HRJUDSKLF�,QIRUPDWLRQ�6\VWHPV��$Q�,QWURGXFWLRQ. Prentice Hall, EnglewoodCliffs, NJ.

6WHHSOHV�DQG�0LOOHU��Steeples, D. W., and Miller, R. D. 1990. “Seismic reflection methods applied to engineering,environmental, and groundwater problems,” Geotechnical and Environmental Geophysics Volume IReview and Tutorial. Ward, S.H., ed., Society of Exploration Geophysicists, Tulsa, OK, pp 1-30.

6WRYHU�DQG�&RIIPDQ��Stover, C. W., and Coffman 1993. “Seismicity of the United States,” U.S. Geological SurveyProfessional Paper 1527, U.S. Government Printing Office, Washington, DC.

7HU]DJKL��3HFN��DQG�0HVUL��Terzaghi, K., Peck, R. B., and Mesri, G. 1996. 6RLO�0HFKDQLFV�LQ�(QJLQHHULQJ�3UDFWLFH. 3rd ed., JohnWiley & Sons, New York, NY.

7RGG��Todd, D. K. 1980. *URXQGZDWHU�+\GURORJ\. John Wiley & Sons, New York, NY.

7RPOLQVRQ��Tomlinson, M. J. 1994. 3LOH�'HVLJQ�DQG�&RQVWUXFWLRQ�3UDFWLFH, 4th ed., E & F N Spon, London.

(0��-DQ��

$��

7RZQVHQG�DQG�*LOEHUW��Townsend, F. C., and Gilbert, P. A. 1974. “Residual Shear Strength and Classification Indexes of ClayShales,” Technical Report S-71-6, Report 2, U.S. Army Engineer Waterways Experiment Station,Vicksburg, MS.

8QGHUZRRG��Underwood, L .B. 1967. “Classification and Identification of Shales,” -RXUQDO�� 6RLO�0HFKDQLFV� DQG)RXQGDWLRQ�'LYLVLRQ, Vol 93, No. SM6, pp 97-116, American Society of Civil Engineers, New York,NY.

8�6��$UP\�(QJLQHHU�:DWHUZD\V�([SHULPHQW�6WDWLRQ��U.S. Army Engineer Waterways Experiment Station. 1954. “Filter Experiments and Design Criteria,”Technical Memorandum 3-360, Vicksburg, MS.

8�6��$UP\�(QJLQHHU�:DWHUZD\V�([SHULPHQW�6WDWLRQ��U.S. Army Engineer Waterways Experiment Station. 1982. 7KH� 8QLILHG� 6RLO� &ODVVLILFDWLRQ� 6\VWHP,Technical Memorandum No. 3-357, April 1960, reprinted Aug 1982. Office, Chief of Engineers,Washington, D.C.

8�6��'HSDUWPHQW�RI�,QWHULRU��%XUHDX�RI�5HFODPDWLRQ��U.S. Department of Interior, Bureau of Reclamation. 1977. *URXQG�:DWHU�0DQXDO, Denver, CO.

8�6��*HRORJLFDO�6XUYH\��U.S. Geological Survey. 1973. “Bibliography of North American Geology, 1970,” USGS ProfessionalPaper 1370, U.S. Government Printing Office, Washington, DC.

9DQDGLW�(OOLV�HW�DO��Vanadit-Ellis, W., Woo, K. G., Edris, E. V.,Jr., and Jobe, T. 1995. “Microcomputer Grouting DataPackage (GDP): User's Guide, U.S. Army Engineer Waterways Experiment Station, Vicksburg, MS.,unpublished report.

9DUQHV��Varnes, D. J. 1974. “The Logic of Geologic Maps, with Reference to Their Interpretation and Use forEngineering Purposes,” USGS Professional Paper 837, U.S. Government Printing Office, Washington,DC.

:DOWRQ��Walton, W. C. 1970. *URXQGZDWHU�5HVRXUFH�(YDOXDWLRQ. McGraw-Hill, New York, NY.

:DWWV��Watts, C. F. 1996. ROCKPACK II Rock Slope Stability Computerized Analysis Package, C. F. Watts andAssociates, Radford, VA.

:RRGZDUG�&O\GH�&RQVXOWDQWV��Woodward-Clyde Consultants. 1996. “Instrumentation Database Package for Windows (WinIDP),User’s Guide, Version 3.0,” Produced for U.S. Army Engineer Waterways Experiment Station,Vicksburg, MS., unpublished.

(0��-DQ��

$��

=HLJOHU��Zeigler, T. W. 1972. “In Situ Tests for the Determination of Rock Mass Shear Strength,” TechnicalReport S-72-12, U.S. Army Engineer Waterways Experiment Station, Vicksburg, MS.

=HLJOHU��Zeigler, T. W. 1976. “Determination of Rock Mass Permeability,” Technical Report S-76-2, U.S. ArmyEngineer Waterways Experiment Station, Vicksburg, MS.

(0��-DQ��

%��

$SSHQGL[�%*HRORJLF�0DSSLQJ�3URFHGXUHV�2SHQ�([FDYDWLRQV

%�O��3XUSRVH�RI�([FDYDWLRQ�0DSSLQJ

The primary purpose of the excavation map and/or foundation geologic map is to provide a permanentrecord of conditions during excavation. This permanent record will assist in making the most equitablecontract adjustments, provide otherwise unattainable information for use in diagnosing postconstructionproblems and in planning remedial action, and allow for a better interpretation of postconstructionfoundation instrumentation data. An important prelude to performing geologic mapping of the finalfoundation and/or excavation is monitoring conditions during excavation. Condition monitoring duringexcavation provides the basis for discovering, at the earliest possible moment, those adverse conditions(differing from original predictions) that may cause expensive design modifications and constructiondelays. Foundation and other excavation surfaces should not be covered until mapping is complete andapproved by the project geologist or geotechnical engineer.

A plan for monitoring also provides a basis for installing appropriate instrumentation and interpretingfoundation instrumentation data as the excavation proceeds. The Instrumentation Data Package(Woodward-Clyde Consultants 1996), a PC-based program, which can store, retrieve, and graphicallypresent instrumentation data related to construction monitoring, will soon be available through theU.S. Army Engineer Waterways Experiment Station..

%��3RVVLEOH�$GYHUVH�&RQGLWLRQV

D� Adverse conditions can affect the stability of excavated slopes during construction, the stabilityof permanent slopes, foundation settlement, foundation bearing capacity, sliding stability of structures,and planned water control measures such as grouting and drainage requirements. Such conditions canoccur in both soil and rock. Features of engineering significance in both soil and rock frequently occur ingeometrically predictable patterns. The prediction of geometry is enhanced by knowledge of the localgeologic history.

E� Adverse conditions that occur in soils include soft compressible zones of clay or organicmaterials; lateral compositional changes related to variations in depositional environment; changes in therelative density of granular materials; fill containing trash or other undesirable materials; swelling orslaking in hard, fissured clays; and changes in permeability.

F� Adverse conditions that can occur in rocks include weathering, soft interbeds in sedimentary andvolcanic rocks, lateral changes, presence of materials susceptible to volume change (e.g., swelling clayshales, sulfide-rich shales, gypsum, and anhydrite), adversely oriented fractures (e.g., joints, beddingplanes, schistosity planes, and shear planes), highly fractured zones, faults, joints, and shear planes filledwith soft materials, and exceptionally hard layers that inhibit excavation or grout/drain hole drilling.

G� Adverse conditions related to ground water include unexpectedly high cleft or pore pressureswhich reduce effective stress, swelling materials, slaking, piping, sand runs, and uplift pressures onpartially completed structures. It should be noted that most water-induced problems stem fromunanticipated changes in the ground water regime.

(0��-DQ��

%��

%��0RQLWRULQJ�DQG�0DSSLQJ�3URFHGXUHV

D� The difference between excavation monitoring and record mapping is small; both involve theobservation and reporting of natural conditions. The need for monitoring the condition of slopes duringconstruction include safety during construction and the prediction of conditions at grade. Potentialproblem areas can be detected and avoided, or corrective treatment can be started before a problem be-comes severe.

E� Depending on the speed of excavation, monitoring should be performed on a daily, twice weekly,or weekly basis. Because of increasing steepness, rock slopes become less and less accessible asexcavation progresses. Table B-l is an excavation monitoring checklist, which, if followed, shouldensure adequate coverage. Geologic sections can be constructed to assist in predicting the locations offeatures at grade. While many geologic features are arcuate or sinuous, many are planar. The location ofa planar feature at grade can be found by graphic projection or by calculation as shown on Figure B-l.

F� Excavation and foundation mapping are generally performed on an intermittent andnoninterference basis. If advantage is not taken of every mapping opportunity, the rock surface may becovered before another opportunity occurs or the contractor may be subjected to undue delay.Furthermore, systematic mapping makes for better monitoring. Thoroughness of mapping, type ofmapping procedure, and sequence in which it is accomplished are functions of the purpose for which themapping is required and of the construction schedule.

G A number of items should be done to prepare for mapping before the excavation is begun.

(1) The geologist with mapping responsibility should make an interpretation, or confirm the existinginterpretation of the geologic conditions (a geologic model). The geologist should decide on a mappingstrategy and prepare field base map sheets. The map scale is partially dependent on the amount of detailto be mapped. If the excavation will be in hard, fractured rock, a field scale of 1 cm = 0.6 m (1 in. = 5 ft)and a final compiled map scale of 1 cm = 1.2 m (1 in. = 10 ft) would be suitable. If the excavatedmaterial is a soil, a soft, lightly fractured sedimentary rock, or a glacial till, field and compiled scales of1 cm = 1.2 m (1 in. = 10 ft) and 1 cm = 6 m (1 in. = 50 ft), respectively, could be suitable. The field basemaps should have reference lines for location purposes. In structure foundation areas, the structureoutline will be enclosed by concrete forms that are easily located, making handy reference lines. Thelocation of features inside reference lines can be facilitated by use of cloth tape grids, or with differentialGPS.

(2) Decide at what intervals to map as the excavation progresses. Mapping intervals will be affectedby a number of factors including the rate of excavation, lift thicknesses, and the need for temporary slopeprotection. In most cases, the mapping should be done in the plane of slopes; projection to other planescan be made after the mapping is completed. An exception occurs if mapping is done with a plane table.In this case, a horizontal reference plane is required. Camera positions should be selected for sequentialphotographs during excavation. Reference lines for mapping can be provided by stretching tapes fromthe top to bottom of the slope at 3- to 6-m (10- to 20-ft) intervals. Final excavation topographic mapsshould be made that can be used as a base for the geologic map.

(3) Determine whether the side slopes will be too steep for unassisted access. Temporary soil slopesusually range from lV on 3H to 1V on lH. Temporary rock slopes usually range from 1V on 1H tovertical. It is not possible to walk slopes steeper than 1V on 1-1/2H unless they are very irregular. Thus,safety lines will be needed on most rock slopes and on some soil slopes.

(0��-DQ��

%��

7DEOH�%��6XJJHVWHG�*HRORJLF�([FDYDWLRQ�0RQLWRULQJ�&KHFNOLVW

Project

Excavation for Structure

Period: To

1. Excavation Progress:

a. Type Excavation: (common or rock)

b. Location: Sta To Offset

2. Rock or soil type:3. Rock or soil conditions: (hardness, stiffness, weathering, fracturing, sloughing, etc.)4. Water inflow, locations and gpm:

5. Significant features or defects: (those which may cause problems (and/or may extend to grade)6. Slope protection: (protection or reinforcement, location, type thickness, etc.)7. Blasting conditions: (presplitting locations and successes, production blasting, powder factor, hole spacing, delay patterns,

deviations from approved rounds, fragment size, overbreak, etc.)

8. Ripping conditions: (single or multitooth, drawbar horsepower, easy or hard, disturbance below grade or slopes)

9. Additional remarks: (unusual incidents, accidents, explorations, etc.)

10. Mapping progress:

a. Locationb. Adequacy of coverage (rock surface clean?, percent obscured by slope protection?, etc.)

c. Photos taken: (where, or what)

11. Instrumentation installed:

a. Location

b. Type and amount

12. Instrumentation read:

a. Location

b. Type

(4) Where the slopes are nearly vertical, consideration can be given to mapping on large-scalephotographs. However, there must be time to produce the photographs for use as a map base.

H� It is desirable to have a contract provision for interim rock surface cleanup. The final foundationcleanup item will suffice for mapping purposes at final grade. However, the need may arise for detailedexamination of particular areas during excavation. Excavation slopes may need sealing or other interimprotection against weathering.

I� During mapping, complete descriptions of all geologic features should be made (e.g., rock types,bedding, fracturing, joints, shear zones, etc.). All features, geologic and otherwise (including ledges and

(0��-DQ��

%��

breaks in slope), should be located and drawn on the base map. Table B-2 provides descriptive criteriafor use during mapping.

J� To the maximum extent possible, U.S. Geological Survey (USGS) map symbols or variations ofthese symbols should be used. In most cases, the geologist should represent geologic features byshowing the trace of the feature on the map. The trace will allow a reasonably accurate location of eachsignificant feature.

K� Frequently, foundation maps and sections are prepared with rock type symbols covering theentire area of the particular rock type. However, if all the recognizable distinct geologic features are alsolocated on the drawing, it will be cluttered and difficult to read. Thus, the primary purpose of thefoundation record will be obscured. Each mark on the foundation map should have physical significance.

L� Records should be made of foundation treatment, such as grout hole locations, dental work,pneumatic concrete, rock-bolt locations, and wire mesh. Portrayal of such treatment can be included onthe geologic map. However, if the resulting map is too cluttered, either the treatment should be portrayedin a series of transparent overlays, or the scale of the mapping should be enlarged. A GeographicInformation System (GIS) is ideal for subdividing the geotechnical (and other construction) informationinto a series of data layers that can be digitally overlaid. In a GIS, map scales can easily be altered, andadjustments of the geotechnical information can readily be accomplished for presentation in acomprehensible format.

M� The importance of adequate photography and videos of the excavation process and the final slopeand foundation conditions cannot be overemphasized. Complete video and photographic coverage is asimportant as the foundation maps. All are required for an accurate and complete record of encounteredconditions. Photographs and videos can be readily incorporated into a GIS.

N� The photographic coverage should include unobstructed, medium-scale photographs of the entirefoundation and closeup views of significant geologic features; a photograph through a mat of reinforcingsteel is useless. All photographs should be annotated by the geologist and clearly sited on a photographlocation map.

%��([DPSOHV�RI�)RXQGDWLRQ�0DSV

Figures B-2 through B-8 are examples of foundation maps. Figures B-2 and B-3 depict foundationmaps for concrete structures�in metavolcanic and igneous rocks where the geologists have attempted toportray the entire trace of all significant geologic features. Figure B-4 is a tunnel map in the same kindsof materials as portrayed in Figure B-3 and also provides a legend for Figure B-3. Figure B-5 is a smallerscale map of an excavation in metavolcanic rocks and also includes the foundation mapped in detail inFigure B-3. Figure B-6 is a foundation map for the impervious core of an earth dam founded onmetavolcanic and igneous rocks. The geologist has mapped the full traces of shears, contacts, andigneous dikes but has shown joints and lineations by symbols only. Figure B-7 depicts a detailedfoundation map for a concrete structure founded in sedimentary rocks. The geologist has located the fulltrace of all significant geologic features. Figure B-8 depicts the foundation for a cutoff trench in sedi-mentary rocks.

(0��-DQ��

%��

7DEOH�%��'HVFULSWLYH�&ULWHULD��([FDYDWLRQ�0DSSLQJ

1. Rock Type.

a. Rock Name (Generic).

b. Hardness.

(1) Very soft: can be deformed by hand.

(2) Soft: can be scratched with a fingernail.

(3) Moderately hard: can be scratched easily with a knife.

(4) Hard: can be scratched with difficulty with a knife.

(5) Very hard: cannot be scratched with a knife.

c. Degree of Weathering.

(1) Unweathered: no evidence of any mechanical or chemical alteration.

(2) Slightly weathered: slight discoloration on surface, slight alteration along discontinuities, less than 10 percent of therock volume altered, and strength substantially unaffected.

(3) Moderately weathered: discoloring evident, surface pitted and altered with alteration penetrating well below rocksurfaces, weathering “halos” evident; 10 to 50 percent of the rock altered, and strength noticeably less than freshrock.

(4) Highly weathered: entire mass discolored, alteration pervading nearly all of the rock with some pockets of slightlyweathered rock noticeable, some minerals leached away, and only a fraction of original strength retained (with wetstrength usually lower than dry strength).

(5) Decomposed: rock reduced to a soil with relict rock texture (saprolite), and generally molded and crumbed by hand.

d. Lithology, Macro Description of Mineral Components. Use standard adjectives such as shaly, sandy, silty, and calcareous.Note inclusions, concretions, nodules, etc.

e. Texture and Grain Size.

(1) Sedimentary rocks:

Texture Grain Diameter Particle Name Rock Name

* 80 mm Cobble Conglomerate * 5 to 80 mm GravelCoarse grained 2 to 5 mmMedium grained 0.4 to 2 mm Sand SandstoneFine grained 0.1 to 0.4 mmVery fine grained 0.1 mm Clay, silt Shale, claystone, siltstone

Use clay-sand texture to describe conglomerate matrix.*

(2) Igneous and metamorphic rocks:

Texture Grain DiameterCoarse grained 5 mmMedium grained 1 to 5 mmFine grained 0.1 to 1 mmAphanite 0.1 mm

(Sheet 1 of 3)

(0��-DQ��

%��

7DEOH�%��&RQWLQXHG�

(3) Textural adjectives: Use simple standard textural adjectives such as porphyritic, vesicular, pegmatitic, granular, andgrains well developed, but not sophisticated terms such as holohyaline, hipidiomorphic granular, crystalloblastic, andcataclastic.

2. Rock Structure.

a. Bedding.

(1) Massive: 3 ft thick.

(2) Thick bedded: beds from 1 to 3 ft thick.

(3) Medium bedded: beds from 0.3 ft to 1 ft thick.

(4) Thin bedded: beds less than 0.3 ft thick.

b. Degree of Fracturing (jointing).

(1) Unfractured: fracture spacing 6 ft.

(2) Slightly fractured: fracture spacing 3 to 6 ft.

(3) Moderately fractured: fracture spacing 1 to 3 ft.

(4) Highly fractured: fracture spacing 0.3 to 1 ft.

(5) Intensely fractured: fracture spacing 0.3 ft.

c. Shape of Rock Blocks.

(1) Blocky: nearly equidimensional.

(2) Elongated: rodlike.

(3) Tabular: flat or bladed.

3. Discontinuities.

a. Joints.

(1) Type: bedding, cleavage, foliation, schistosity, and extension.

(2) Separations: open or closed; how far open.

(3) Character of surface: smooth or rough; if rough, how much relief; average asperity angle.

(4) Weathering or clay products between surfaces.

b. Faults and Shear Zones.

(1) Single plane or zone: how thick?

(2) Character of sheared materials in zone.

(3) Direction of movement, and slickensides.

(4) Clay fillings.

c. Solution Cavities and Voids.

(1) Size.(Sheet 2 of 3)

(0��-DQ��

%��

7DEOH�%��&RQFOXGHG�

(2) Shape: planar, irregular, etc.

(3) Orientation: (if applicable) developed along joints, bedding planes, at intersections of joints and bedding planes, etc.

(4) Filling: percentage of void volume and type and of filling material (e.g., sand, silt, clay, etc.).

(Sheet 3 of 3)

(0��-DQ��

%��

)LJXUH�%��([FDYDWLRQ�SODQ�DQG�VHFWLRQV�VKRZLQJ�LQWHUVHFWLQJ�SODQDU�IHDWXUH

(0��-DQ��

%��

)LJXUH�%��([DPSOH�RI�D�IRXQGDWLRQ�PDS�IRU�FRQFUHWH�VWUXFWXUH�RQ�PHWDYROFDQLF�DQG�LJQHRXV�URFNV

(0��-DQ��

%��

)LJXUH�%��([DPSOH�RI�IRXQGDWLRQ�PDS�IRU�VWUXFWXUH�RQ�PHWDPRUSKLF�URFNV

(0��-DQ��

%��

)LJXUH�%��([SODQDWLRQ�RI�V\PEROV

(0��-DQ��

%��

)LJXUH�%��([DPSOH�RI�H[FDYDWLRQ�PDS�LQFOXGLQJ�DUHD�FRYHUHG�E\�)LJXUH�%��

(0��-DQ��

%��

)LJXUH�%��([DPSOH�RI�IRXQGDWLRQ�PDS�IRU�HDUWK�GDP�LPSHUYLRXV�FRUH�RQ�PHWD�YROFDQLF�DQG�LJQHRXV�URFNV

(0��-DQ��

%��

)LJXUH�%��([DPSOH�RI�IRXQGDWLRQ�PDS�IRU�FRQFUHWH�VWUXFWXUH�RQ�VHGLPHQWDU\�URFNV

(0��

��-DQ��

%�� )LJXUH�%��)RXQGDWLRQ�PDS�IRU�HDUWK�GDP�LPSHUYLRXV�FRUH�RQ�VHGLPHQWDU\�URFNV��QRWH��IW� ��P�

(0��-DQ��

&��

$SSHQGL[�&*HRORJLF�0DSSLQJ�RI�7XQQHOV�DQG�6KDIWV

&�O��%DFNJURXQG

A method to log all geologic features exposed by underground excavations has been developed by U.S.Army Engineer District, Omaha, geologists wherein all necessary data of a specific geologicdiscontinuity can be recorded at a single point; thus the system may be used in tunnels of almost anyconfiguration and inclination. This method is called peripheral geologic mapping. It allows logging ofall geologic defects regardless of their position on the tunnel walls. Furthermore, this method usuallywill keep pace with modern continuous mining techniques and will immediately provide useful datawithout projecting to plan or profile. Prior to development of this method, the accepted method was toproject geologic features to a plan placed tangent to a point on the tunnel circumference. Ordinarily suchtangent points were at springline, wasteline level, or crown. In many instances, geologic features notpassing through these points were not logged. Further, some systems were useful for logging planar dis-continuities only, such as joints, faults, and bedding planes, as exposed in straight, nearly horizontaltunnels of circular cross section. Peripheral geologic mapping uses a developed plan by “unrolling thecircumference” to form a plan of the entire wall surface. A log of the exposed geology is plotted on thisplan as mining progresses. Mapping on a developed layout of a cylindrical surface is similar to themethod used to log the interior of a calyx hole. Actually, a circular tunnel might be visualized as a largehorizontal or nearly horizontal drill hole.

&��$SSOLFDWLRQV

Peripheral geologic mapping may be used to log large-diameter power tunnels and surge tank risers (bothstraight and wye-shaped), vertical shafts, horseshoe-shaped drifts and chambers, and odd-shapedopenings on both civil and military projects. It can be used to map a wide range of geomaterials fromstratified, soft, sedimentary rocks to hard igneous and metamorphic rock masses. The method has provedto be simple enough mechanically that technicians can be trained to perform round-the-clock mappingunder the general supervision of a professional geologist - a necessity where several parallel tunnels aredriven simultaneously. This method is not applicable to TBM driven tunnels with precast liners wheremapping may be impracticable or impossible.

&��3URFHGXUH

D� Advance planning is of paramount importance. The developed layouts on which mapping will bedone should be prepared well in advance. Usually this step in the procedure can be accomplished byusing the contract plans. A thorough surface and subsurface study of the geology of the immediate areais recommended. This study enables the mapper to recognize which geologic features are important andreadily identify them on the excavation walls.

E� The map is typically laid out to a scale of 1 cm = 1.2 m (1 in. = 10 ft) In some instances whereclosely spaced geologic discontinuities are anticipated, a scale of 1 cm = 0.6 m (1 in. = 5 ft) should beconsidered. To prepare a mapping plan, draw the crown center line of the tunnel in the center of theplan. Place the center line of the invert at both the right- and left-hand edges of the developed layout.The right and left springlines of a circular tunnel will be midway between the center line and edges of theplans (Figure C-l). Distances down the tunnel may be laid out on tunnel stationing. Separate developedplan tracings are typically made for 100-ft lengths of tunnel. For long reaches of equal-diameter tunnel, amaster tracing may be repeatedly printed on a continuous length of paper to cover the entire tunnel

(0��-DQ��

&��

length. For continuous uninterrupted printing, use three master tracings. This long sheet of paper maybe rolled up and carried in the field in the form of a scroll.

F� Intermediate control points should be added wherever possible to more precisely locate pointsalong geologic discontinuities. On Figure C-2, which is a mapping sheet used at Fort Randall Dam,South Dakota, the horizontal distances from the center line and vertical distances from springline werecomputed and drawn on the developed plan to form a grid. When plotting a point, the mapper measuresthese two distances (horizontal distance from center line and vertical distance above or below springline)and plots the point at the proper tunnel stationing. To eliminate long measurements in large-diametertunnels, distances were actually measured from fixed known points on the tunnel support ring beams(splices, bolt holes, and spreader bars). At Oahe Dam, South Dakota, horizontal and vertical distances offixed features on the ring beam supports were drawn on the mapping sheets as lines so that points ongeologic features could be plotted from the nearest ring beam reference point. On Figure C-3, which is amapped portion of Oahe Dam power tunnel No. 2, a developed ring beam is shown at the top of the page,vertical distances from springline of identifiable fixed points on the ring beam are shown along the top ofthe mapping section, and horizontal distances from center line of these same points are shown along thebottom of the mapping section. The ring beam number and its tunnel station is shown along theright-hand edge. Excellent mapping control was thus provided on this project. In excavations notrequiring close checks on alinement, control points may be almost nonexistent. In such cases, the mappermust establish his own control points. He may have to stretch a tape along the tunnel from the nearestspad, then mark stationing at 1.5- or 3-m (5- or 10-ft) intervals along the walls and use an assumedelevation at his reference point. Obviously, the resultant geologic log will not be as accurate, but therelative position of discontinuities should remain constant from tunnel wall to geologic log.

G� The conventional method of measuring the strike, or orientation of a joint, shear, or fault, bymagnetic needle (Brunton) compass is not reliable in most underground work because of the proximity toelectrical circuits, reinforcing steel, or support steel. Also in some areas, the rock mass itself may bemagnetic. To overcome this problem, an adjustable protractor can be devised. Essentially, it is an instru-ment for measuring the angle between the trend of a planar geologic defect, as measured in the horizontalplane, and the bearing of the tunnel center line. The protractor is fitted with a revolving pointer, whichrotates around the center point of the protractor. The baseline of the protractor is held parallel to thetunnel center line, the pointer is sighted along the strike of the discontinuity, and the angle is read on theprotractor at the point where a line scribed on the pointer coincides with the degree lines on theprotractor arc (Figure C-4). The strike of the geologic defect is then computed from the observed angleand the bearing of the tunnel. In small-diameter drifts, tunnels, adits, etc., a small, light, fixed-baseprotractor will be adequate for fairly accurate readings. �In large-diameter openings, a special protractormay be constructed that has an adjustable baseline. The baseline of the instrument is then revolved to theknown tunnel bearing so that direct readings of strike may be taken (Figure C-4). A circular spirit-levelbubble may be mounted on the instrument to assure that readings are in the horizontal plane. Dipreadings are observed by using the inclinometer on a Brunton compass or pocket transit.

&��+HOSIXO�6XJJHVWLRQV

D� The geologic features that have the greatest effect on the physical and engineering properties ofthe rock mass should be logged first. A classification for rock masses for tunnel support are described inEM 1110-2-1901. Geologic logging should be performed near the heading as fresh rock is exposed,before the exposed walls become dust covered or smeared over, and before the geologic features arepartially or completely covered by tunnel supports, lagging, pneumatically placed mortar, etc. Themapper should ensure that adequate lighting is available. Mapping should be from the back of themining machine or on the drill jumbo to help the mapper reach the higher sidewalls and crown in

(0��-DQ��

&��

large-diameter tunnels. The main geologic features, such as faults, joints, shear zones, bedding planes,and clay seams, should be carefully plotted first. Then as time permits, other less important features maybe filled in between the previously plotted features on the geologic log. Additional features to be loggedinclude fractures, stressed zones, fallouts, water seeps, etc. These features make up only a partial listbecause additional important geologic features will be encountered at each specific project.

E� In large- and medium-diameter tunnels, consecutive mapping sections may be printed on a longsheet of paper to form a scroll. This continuous length of paper can be carried on a mapping board sodesigned that only the section being mapped is exposed while the remainder of the roll is enclosed inboxes on each side of the mapping board. Cranks and rollers may be added to assist in moving the propersection onto the mapping board. The board may be faced with a piece of sheet metal to provide a smoothwriting surface. In small or odd-shaped tunnels or drifts, the mapping sheets are usually carried inindividual, conveniently sized sections. A covered clipboard makes a good mapping board. The cover isto protect the mapping sheets from the ever present dust, moisture, etc., associated with undergroundexcavations.

If necessary, the mapper can extend his own control from known points. A steel tape is stretchedalong the tunnel and 1.5- or 3-m (5- or 10-ft) station intervals may be marked on the wall or supports withspray paint. Photographs of important or unusual geologic features are a valuable addition to themapping. It is also suggested that a small portable tape recorder for noting the location and attitude ofsecondary features will help the mapper, especially in adding secondary features to the mapping whentime in the tunnels is limited.

F� The completed geologic log of a horizontal or nearly horizontal tunnel will wrap around a moldof proper dimensions to form a model with the mapped features and recorded information in their properposition; however, the geologic log of peripheral mapping in a vertical shaft or end face will not be in itsproper position unless the information is traced through the paper to reverse the image. The reversal ofthe image presents no particular problem because in most instances the field maps and data aretranscribed to finished drawings in the office. The geologic section in Figure C-5 was not reversed;therefore the observer appears to be in the shaft looking outward. Also in odd-shaped raises or in verticalshafts, it is difficult for the mapper to remain properly oriented unless vertical reference points aroundthe periphery have been surveyed-in prior to the start of geologic mapping.

&��$QDO\VLV�RI�'DWD

D� Although peripheral geologic logging, or mapping, provides a permanent record of all geologicdefects exposed on the walls of an underground excavation, maximum benefits cannot be gained unlessthe data are properly studied and analyzed. One study method is cutting and trimming the drawings andforming them into the proper shape for three-dimensional viewing, which causes the relationship ofdiscontinuities to the tunnel geometry to become much more apparent.

E� Projection of the trace of geologic discontinuities to two-dimensional plans or profiles may bemade, but not directly, because the mapping has been done on a developed plan. One method oftransferring data to plan is by plotting to corresponding stationing. Data may be transferred to profile, orcross section, by plotting the points where the discontinuities intersect measured stationing at crown,invert, and/or springline. Where only one point can be plotted, the trace of the discontinuity may beextended along a line drawn on the recorded strike or dip of a discontinuity (the use of apparent dip mayalso be necessary). Figure C-6 illustrates a method of projecting geologic data to sections drawn througha circular tunnel.

(0��-DQ��

References are listed in Appendix A.1

&��

F� Statistical studies may be made from the accumulated data. By counting all discontinuities perunit of length and circumference, an average piece size or block size may be determined. Plotting thetrends of joints, faults, and shears on equal-area nets and stereographic projections (Hobbs, Means, andWilliams 1976) will help determine the major and minor joint sets and the preferred orientation of faults1

and shear zones. Another method of statistical analysis might be by making rosette plots of the joints andshears.

&��8VHV�IRU�*HRORJLF�'DWD

The value of peripheral geologic mapping has been proven many times. Below are listed some of theuses for this type of geological logging.

D� Predicting geologic conditions in intermediate tunnels where driving a series of parallel tunnels .

E� Projecting geology from the pilot drift to the full bore of a tunnel before enlarging is started.

F� Planning tunnel support systems and selecting the best location and inclination of supplementalrock bolts.

G� Maintaining a record of difficult mining areas, overbreak and fallout, and mining progress bydaily notation of the heading station. This type of record is valuable in changed condition claims.

H� Comparing cracking of concrete tunnel liners with weaknesses logged in tunnel walls.

I� Analyzing stress conditions around tunnel openings using methods that evaluate the spacing andorientation of geologic discontinuities.

J� Choosing strategic locations for various types of instrumentation to study tunnel behavior.

K� Selecting the best locations for pore pressure-type piezometer tubes where it is desirable toposition them to intercept particular types of discontinuities at specific elevations near previously driventunnels.

Proctor and White (1977) and Dearman (1991) also provide useful information regarding thegeotechnical aspects of rock tunneling.

&��([DPSOHV

D� The preceding description of peripheral geologic mapping was based primarily on logging, whichwas done in circular, nearly horizontal tunnels and vertical circular shafts. With some modifications anda degree of ingenuity, the method can be adapted to almost any shape of underground opening. For someprojects, the preplanned developed layouts may have to be made by using patterns taken from heatingand cooling ductwork manuals.

E� Figures C-7 through C-9 are offered for general guidance only. The method may be modified tofit anticipated conditions peculiar to a specific project. For example, in Figure C-8 only the curved

(0��-DQ��

&��

portion above springline was laid out on a developed plan and the vertical sidewalls below springlinewere laid out on true scale. No provisions were made for mapping the drift floor because it was notcleaned sufficiently to expose the geological features.

(0��-DQ��

&��

)LJXUH�&��3UHSDUDWLRQ�RI�GHYHORSHG�SODQ�IURP�D�F\OLQGULFDO�FURVV�VHFWLRQ

(0��-DQ��

&��

)LJXUH�&��'HYHORSHG�SODQ�RI�F\OLQGULFDO�WXQQHO�VHFWLRQ�)RUW�5DQGDOO�'DP��6RXWK�'DNRWD��QRWH��IW� ��P�DSSUR[��

(0��-DQ��

&��

)LJXUH�&��'HYHORSHG�SODQ�RI�F\OLQGULFDO�WXQQHO�VHFWLRQ�2DKH�'DP��6RXWK�'DNRWD��QRWH��IW�DSSUR[��P�

(0��-DQ��

&��

)LJXUH�&��6NHWFK�RI�W\SLFDO�SURWUDFWRUV�XVHG�LQ�SHULSKHUDO�JHRORJLF�PDSSLQJ

(0��-DQ��

&��

)LJXUH�&��'HYHORSHG�SODQ�RI�D�ODUJH�GLDPHWHU��YHUWLFDO��FLUFXODU�VKDIW��QRWH��IW� �DSSUR[��P�

(0��-DQ��

&��

)LJXUH�&��0HWKRG�RI�SURMHFWLQJ�JHRORJLF�GDWD�WR�FURVV�VHFWLRQV�IURP�JHRORJLF�ORJ�DV�GHYHORSHGE\�5��(��*RRGPDQ��3K'��8QLYHUVLW\�RI�&DOLIRUQLD

(0��-DQ��

&��

)LJXUH�&��'HYHORSHG�SODQ�RI�D�F\OLQGULFDO�GULIW�ZLWK�D�KHPLVSKHULFDO�HQG�VHFWLRQ��LQ�VFDOH��IW� �DSSUR[��P�

(0��-DQ��

&��

)LJXUH�&��'HYHORSHG�SODQ�RI�D�KRUVHVKRH�VKDSHG�GULIW�ZLWK�D�FXUYHG�FHQWHU�OLQH�DQG�D�WUDQVLWLRQ�WR�D�ODUJHUGULIW

(0��

��-DQ��

&��

)LJXUH�&��'

HYHORSHG�SODQ�RI�D

�KRUVHVKRH�V

KDSHG�ODUJH�GLDPHWHU�G

ULIW

(0��-DQ��

'��

$SSHQGL[�'([DPSOHV�RI�'ULOOLQJ�/RJV

'�O��*HQHUDO

This appendix contains seven examples of drilling logs, five for overburden drilling, and two for rockcoring. The appendix also contains examples of logs generated in the boring log data managementprogram (BLDM) (Nash 1993). The examples are not meant to cover all possible subsurface conditionswhich may be encountered during field investigation but are presented to give direction to the minimumacceptable input to completing drilling logs for the most common drilling activities.

'��3UHSDUDWLRQ�RI�'ULOOLQJ�/RJV

Drilling logs should be made of each boring. A similar log will be prepared for each excavation that isconstructed for the purpose of characterizing subsurface materials and geologic conditions. The onlyapproved drilling log form for borings is ENG FORM 1836 (March 1971). This form may be used as acontinuation sheet or, at the option of the user, ENG FORM 1836-A (June 1967) may be used. ThePC-based, menu-driven BLDM provides a means to enter boring information directly into a computer.The BLDM can be used in the field with a laptop computer. BLDM data can be exported to theIntergraph Insight® program in which it can be printed in the ENG FORM 1836 format.

D� Scale. A scale of 1 cm = 0.25 m (1 in. = 2 ft) or larger should be used. A smaller scale may beused where, for example, the boring is advanced without sampling or logging, the upper portion of thelog would represent water, or the boring was made to identify some geologic horizon such as top of rock.Other similar exceptions would be allowable.

E� Heading. All logs will have the pertinent division, installation, location, hole number, projectidentification, elevation, and page number entered on all log sheets. Items 1 through 19 on ENG FORM1836 should be completed to the fullest extent possible as indicated in the seven examples. Boringnumbers will be consecutive for each project. The boring numbers will be proceeded by letter symbolswhich will identify the method of drilling. These letters are as follows:

A - Auger (Hand or Power)

C - Core

D - Drive

P - Probe

U - Undisturbed (Hydraulic or Rotary)

Additional letters and numbers for boring identification may be used at the user's discretion. Inclusion ofthe graphic soil symbol in column c is optional.

F� Examples. The drilling log examples of ENG FORM 1836, Figures D-l through D-7, aredescribed as follows:

(0��-DQ��

'��

Figure D-l: Overburden, disturbed, standard penetration test, and auger.

Figure D-2: Overburden, disturbed, drive.

Figure D-3: Overburden, disturbed, auger.

Figure D-4: Overburden, undisturbed, Denison.

Figure D-5: Overburden, undisturbed, Shelby, and auger.

Figure D-6: Rock, disturbed, SPT, and core.

Figure D-7: Rock, core.

Figure D-8: Foundation boring in which geotechnical data were entered into the BLDM, exported toIntergraph Insight®, and printed in the ENG FORM 1836 format.

(0��-DQ��

'��

)LJXUH�'��([DPSOH�RI�)RUP��IRU�RYHUEXUGHQ��GLVWXUEHG��637��DQG�DXJHU�GDWD��&RQWLQXHG�

(0��-DQ��

'��

)LJXUH�'��&RQFOXGHG�

(0��-DQ��

'��

)LJXUH�'��([DPSOH�RI�)RUP��IRU�RYHUEXUGHQ��GLVWXUEHG��DQG�GULYH�GDWD

(0��-DQ��

'��

)LJXUH�'��([DPSOH�RI�)RUP��IRU�RYHUEXUGHQ��GLVWXUEHG��DQG�DXJHU�GDWD

(0��-DQ��

'��

)LJXUH�'��([DPSOH�RI�)RUP��IRU�RYHUEXUGHQ��XQGLVWXUEHG��DQG�'HQLVRQ�GDWD

(0��-DQ��

'��

)LJXUH�'��([DPSOH�RI�)RUP��IRU�RYHUEXUGHQ��XQGLVWXUEHG��6KHOE\��DQG�DXJHU�GDWD

(0��-DQ��

'��

)LJXUH�'��([DPSOH�RI�)RUP��IRU�EHGURFN��GLVWXUEHG��637��DQG�FRUH�GDWD��&RQWLQXHG�

(0��-DQ��

'��


(0��-DQ��

'��

)LJXUH�'��([DPSOH�RI�)RUP��IRU�EHGURFN�DQG�FRUH�GDWD��6KHHW��RI��

(0��-DQ��

'��

)LJXUH�'��6KHHW��RI��

(0��-DQ��

'��

)LJXUH�'��6KHHW��RI��

(0��-DQ��

'��

)LJXUH�'��)RXQGDWLRQ�ERULQJ�LQ�ZKLFK�JHRWHFKQLFDO�GDWD�ZHUH�HQWHUHG�LQWR�WKH�%/'0��H[SRUWHG�WR,QWHUJUDSK�,QVLJKW��DQG�SULQWHG�LQ�WKH�(1*�)250��IRUPDW��&RQWLQXHG�

(0��-DQ��

'��


(0��-DQ��

(��

$SSHQGL[�(�/LVW�RI�$FURQ\PV

AR Army Regulation

ASTM American Society for Testing Material

BLDM Boring Log Data Manager

CADD Computer aided design and drafting

CEWES Corps of Engineers Waterways Experiment Station

COE Corps of Engineers

CPT Cone Penetrometer Test

D Diameter

DOD Department of Defense

DTM Digital Terrain Model

EM Engineer Manual

EP Engineer Pamphlet

ER Engineer Regulation

ETL Engineer Technical Letter

ft feet

GDM General Design Memorandum

GIS Geographic Information System

GPS Global Positioning System

GPR Ground Penetrating Radar

HTRW Hazardous Toxic and Radioactive Waste

ID Inside diameter

in inch(es)

MACOM Major Area Command

MCA Military Construction Army

min minute

MOU Memorandum of understanding

(0��-DQ��

(��

NOAA National Oceanic and Atmospheric Administration

OCR Overconsolidation ratio

OD Outside diameter

PC Personal Computer

PDB Project Development Brochures

PED Preconstruction Engineering and Design

RQD Rock Quality Designation

ROV Remotely operated vehicle

RTH Rock Testing Handbook

SAR Satellite Synthetic Aperture Radar

SCAPS Site Characterization and Analysis Penetrometer System

SLAR Side Looking Airborne Radar

SPT Standard Penetration Test

TM Technical Manual

U.S. United States

USCS Unified Soil Classification System

USDA United States Department of Agriculture

USGS United States Geological Survey

WES Waterways Experiment Station

(0��-DQ��

)�L

$33(1',;�)62,/�6$03/,1*

7DEOH�RI�&RQWHQWV

6XEMHFW� 3DUDJUDSK� 3DJH

��)� �)��&KDSWHU�)��,QWURGXFWLRQPurpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-1 1-1Applicability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-2 1-1References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-3 1-1Rescission . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-4 1-1Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-5 1-1Organization and Scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-6 1-2

&KDSWHU�)��6DPSOLQJ�5HTXLUHPHQWVIntroduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-1 2-1Sample Quality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-2 2-2Parameters Which Affect Sample Disturbance . . . . . . . . . . . . . . . . . . . . . . . 2-3 2-2Selection of Sampling Apparatus to Obtain Undisturbed Samples . . . . . . . . 2-4 2-5Borehole Layout, Depth and Interval of Sampling, and Sample Diameter . . 2-5 2-9

&KDSWHU�)��'ULOO�5LJV�DQG�$SSXUWHQDQW(TXLSPHQWIntroduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-1 3-1Drill Rigs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-2 3-1Types of Drills . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-3 3-5Accessories and Appurtenant Equipment . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-4 3-10

&KDSWHU�)��'ULOOLQJ�)OXLGVPurpose of Drilling Fluids . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-1 4-1Types of Drilling Fluids . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-2 4-1Properties of Water-Based Muds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-3 4-5Mixing and Handling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-4 4-8Drilling and Sampling Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-5 4-8Limitations and Precautions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-6 4-13Good Drilling Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-7 4-14

Chapter F-5Equipment for Undisturbed SoilSampling In BoringsSampler Types . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-1 5-1Sample Tubes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-2 5-11

(0��-DQ��

)�LL


��)� �)��

&KDSWHU�)��3URFHGXUHV�IRU�8QGLVWXUEHG�6RLO6DPSOLQJ�,Q�%RULQJVAdvancing the Borehole 6-1 6-1Stabilizing the Borehole 6-2 6-3Cleaning the Hole Before Sampling 6-3 6-4Sampling Procedures 6-4 6-5Preservation of Samples 6-5 6-11Boring and Sampling Records 6-6 6-13Shipment of Samples 6-7 6-14

&KDSWHU�)��(TXLSPHQW�IRU�'LVWXUEHG�6RLO6DPSOLQJ�,Q�%RULQJVSampler Type 7-1 7-1Augers 7-2 7-1Push or Drive Samplers 7-3 7-2Displacement Samplers 7-4 7-3Vibratory Samplers 7-5 7-4Percussion Samplers 7-6 7-4

&KDSWHU�)��3URFHGXUHV�IRU�'LVWXUEHG�6RLO6DPSOLQJ�,Q�%RULQJV$GYDQFLQJ�WKH�%RUHKROH �� 6DPSOLQJ�3URFHGXUHV �� %RULQJ�DQG�6DPSOLQJ�5HFRUGV �� 3UHVHUYDWLRQ�DQG�6KLSPHQW�RI�6DPSOHV ��

&KDSWHU�)��6DPSOLQJ�)UR]HQ�6RLOVIntroduction 9-1 9-1Drilling Equipment 9-2 9-2Drilling and Sampling in Frozen Soil and Ice 9-3 9-7Special Considerations 9-4 9-9

&KDSWHU�)��8QGHUZDWHU�6DPSOLQJ�RI�6RLOVIntroduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10-1 10-1Underwater Sediment Types . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10-2 10-1Planning an Underwater Site Investigation . . . . . . . . . . . . . . . . . . . . . . . . . 10-3 10-2Work Platforms for Underwater Sampling . . . . . . . . . . . . . . . . . . . . . . . . . 10-4 10-3Underwater Samplers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10-5 10-4Special Considerations for Underwater Sampling . . . . . . . . . . . . . . . . . . . . 10-6 10-12

(0��-DQ��

)�LLL


�)� �)��

Sample Handling and Storage 10-7 10-14Summary 10-8 10-15

&KDSWHU�)��6DPSOLQJ�IURP�7HVW�3LWV��7UHQFKHV�$FFHVVLEOH�%RULQJV��RU�7XQQHOVIntroduction 11-1 11-1Excavation 11-2 11-2Sampling and Testing 11-3 11-4Preservation of Samples and Test Records 11-4 11-6General Safety Considerations 11-5 11-7

&KDSWHU�)��6DPSOLQJ�IURP�6WRFNSLOHV�DQG�%LQV�7UDQVSRUWDWLRQ�8QLWV��RU�&RQYH\RU�%HOWVIntroduction 12-1 12-1Sampling Plan 12-2 12-1Sampling Procedures 12-3 12-3Required Volume of Samples 12-4 12-5Preservation of Samples and Test Records 12-5 12-5Precautions 12-6 12-6

&KDSWHU�)��+DQGOLQJ�DQG�6WRUDJH�RI6DPSOHV�DQG�6DPSOLQJ�5HFRUGVIntroduction 13-1 13-1Handling and Storage 13-2 13-1Written Record 13-3 13-7Precautions 13-4 13-9

&KDSWHU�)��%DFNILOOLQJ�%RUHKROHV�DQG([FDYDWLRQVGeneral Safety Precautions 14-1 14-1Grouting 14-2 14-1Concrete 14-3 14-1

$SSHQGL[�)��5HIHUHQFHV�DQG�%LEOLRJUDSK\

$SSHQGL[�)��$UWLILFLDO�*URXQG�)UHH]LQJ�IRU�8QGLVWXUEHG�6DPSOLQJ�RI�&RKHVLRQOHVV�6RLOV

(0��-DQ��

)�LY

$SSHQGL[�)��9LVXDO�,GHQWLILFDWLRQ�RI6RLO�6DPSOHV

(0��-DQ��

)��

&KDSWHU�)��,QWURGXFWLRQ

��3XUSRVH

This manual is a discussion of the principles, equipment, procedures, and limitations for obtaining,handling, and preserving soil samples for geotechnical investigations in support of civil and militaryprojects. It is not a comprehensive textbook on soil sampling; the treatment of this subject cannot besubstituted for actual experience. Rather, it is a summary of commonly accepted soil sampling practicesand procedures which are intended to assist geotechnical personnel performing actual field operations orthose personnel functioning as contracting officers' representatives. In most instances, equipment andprocedures must be tailored to individual projects and site conditions.

��$SSOLFDELOLW\

This manual is applicable to HQUSACE elements, major subordinate commands, districts, laboratories,and field operating activities.

��5HIHUHQFHV

The material presented herein has been drawn from many sources. Wherever possible, specific refer-ences are cited by the surname of the author(s) or performing agency and date of publication. AppendixA contains a list of required and related publications.

In general, the procedures and practices have been taken from the experience of the U.S. Army EngineerDivisions, Districts, and Laboratories, the U.S. Naval Civil Engineering Laboratory, the U.S. Bureau ofReclamation, standards obtained from the American Society for Testing and Materials (ASTM), andpublished literature, including textbooks, conference proceedings, periodicals, and professional journals.

��5HVFLVVLRQ

This manual supersedes EM 1110-2-1907, dated 31 March 1972.

��%DFNJURXQG

Soil sampling operations are routinely conducted in support of geotechnical investigations to determinethose conditions that affect the safety, cost effectiveness, and design of a proposed engineering project.The design of the proposed project demands an accurate knowledge of the subsurface conditions and thephysical and engineering properties of the foundation materials. The least disturbed “undisturbed”samples are required to determine these properties. Extreme care in the application of sampling methodsis demanded to obtain the highest quality undisturbed samples.

Proper sampling of soils and soft or weathered rocks is a combination of science and art. No singlesampling device or procedure will produce satisfactory samples in all materials. Different devices andtechniques have been developed for drilling and sampling geotechnical materials ranging from soils torocks. Although many procedures have been standardized, modifications of techniques are often dictatedby specific investigation requirements. The highest quality samples are often obtained at the least cost by

(0��-DQ��

)��

using a variety of equipment and techniques applied with experience and sound judgment as dictated bythe soil type and subsurface conditions.

��2UJDQL]DWLRQ�DQG�6FRSH

This manual establishes guidance for conducting soil sampling operations and handling and storage ofsamples obtained in support of geotechnical investigations for civil and military projects. It is not meantto be an inflexible description of investigation requirements. Other techniques may be applied asappropriate. Only those soil sampling and handling and storage methods which District or Division staffoffices can be reasonably expected to employ have been included. In general, in situ testing methods arenot included herein.

Chapter 2 provides guidance for sampling requirements and suggests types of sampling devices which arebest suited to obtain samples of various soil types encountered during geotechnical investigations insupport of civil and military projects. Chapter 3 discusses drilling equipment that is commonly usedduring field subsurface investigations. Chapter 4 discusses drilling fluids and additives to enhancedrilling and sampling operations. Chapters 5 and 6 present equipment and procedures for obtainingundisturbed soil samples from boreholes. Chapters 7 and 8 present equipment and procedures for obtain-ing disturbed soil samples from boreholes. Chapters 9 and 10 provide guidance for coring frozen soilsand underwater sampling of soils, respectively. Chapter 11 provides guidance for obtaining samplesfrom test pits, trenches, and accessible borings. Chapter 12 suggests procedures for obtaining representa-tive samples from stockpiles and transportation units. Chapter 13 presents guidance for borehole loggingand the handling and storage of samples. Chapter 14 offers guidance for backfilling boreholes andexcavations. Appendix A lists the references cited in the manual; a bibliography of publications relatedto sampling operations and procedures is also contained in this appendix. Appendix B presents proce-dures for conducting the Standard Penetration Test and obtaining disturbed samples with the split-barrelsampling device. Appendix C discusses the use of the Becker hammer drill as an in situ test for assessingthe geotechnical engineering properties of gravelly soils. Appendix D suggests a procedure for freezingground artificially prior to soil sampling operations for geotechnical investigations. Appendix E providesa methodology for visual classification of soil.

This manual does not purport to address all of the safety problems associated with its use or therequirements for sampling, handling, transporting, and storing soils known or suspected to becontaminated with toxic or hazardous materials. It is the responsibility of the user of this manual toestablish appropriate safety and health practices and to determine the applicability of regulatorylimitations prior to its use.

(0��-DQ��

)��

&KDSWHU�)��6DPSOLQJ�5HTXLUHPHQWV

��,QWURGXFWLRQ

The principal objective of a subsurface investigation is to define the geotechnical engineering charac-teristics, including permeability, compressibility, and shear strength, of each identifiable soil or rockstratum within a limited areal extent and depth, depending upon the size of the proposed structure. Asecondary objective may be to identify and correlate the geology and stratigraphy of like materials. Theinvestigation should be planned within this context to account for appropriate foundation and earthworksdesign, temporary works design, environmental effects, existing construction, remedial works, and safetychecks. These criteria should also be considered for the evaluation of the feasibility and suitability of aparticular site.

To fulfill the objectives of the site investigation, the study may be subdivided into five phases:preliminary studies, field subsurface investigation, laboratory testing, reporting, and proposals. The fieldsubsurface investigation is the only phase which falls within the scope of this manual. Preliminarystudies, which include the review of published literature, maps, and photographs, and field reconnais-sance, are described in EM 1110-1-1804 and other references such as Bell (1987a); Clayton, Simons, andMatthews (1982); Dowding (1979); Mathewson (1981); and Winterkorn and Fang (1975). Thelaboratory testing phase is discussed in EM 1110-2-1906. A comprehensive list of references cited inthis manual are presented in Appendix A. Final reports and proposals are addressed elsewhere.

The comprehensive field subsurface investigation can be executed by using data obtained by remotesensing techniques, such as geophysical methods described in EM 1110-1-1802; by indirect observationswhich include in situ tests; such as pressuremeter, cone penetration, and plate bearing tests; and by directobservations which include cores, test pits and trenches, and shafts and adits, as well as fieldreconnaissance. Although the most economical and thorough subsurface investigation can be conductedby integrating all of these technologies, only the direct observation techniques, i.e., drilling and samplingmethods, are discussed herein.

Direct observation of subsurface conditions can be obtained by examination of formations through theuse of accessible excavations, such as shafts, tunnels, test pits, or trenches, or by drilling and sampling toobtain cores or cuttings. Table 2-1 lists direct methods of subsurface investigations. Test pits andtrenches probably offer the best method for observing in situ conditions and obtaining high qualityundisturbed samples. A two- or three-dimensional profile of the subsurface strata can be obtained byexamination of the walls and floor of the excavation. However, test pits and trenches are generally noteconomically feasible at depths, especially below the groundwater table.

Core drilling is a fairly economical method for obtaining representative samples at depth. Disturbedsamples can be obtained by augering, percussion, and wash boring methods; undisturbed samples can beobtained by employing undisturbed sampling methods which include push tube samples and rotary corebarrel samples. The potential for predicting in situ behavior based upon disturbed samples is limitedbecause the effects of sampling disturbance are not totally clear. As compared to the profile obtainedfrom test pits and trenches, only a one-dimensional profile can be obtained from cores and cuttings fromboreholes.

&D

='

2Z '

2H

'2H

(0��-DQ��

)��

Disturbed samples from stockpiles and storage bins can be obtained from hand-excavated trenches or byusing power equipment. The sampling methods and procedures are similar to those methods andprocedures which are used for obtaining samples from in situ formations. When samples are obtainedfrom stockpiles and storage bins, special care is needed to ensure that the samples are representative, assegregation may occur as a result of the material handling procedures which are employed, i.e., coarserand finer particles tend to segregate as cohesionless soils are end dumped from a conveyor belt.

��6DPSOH�4XDOLW\

Hvorslev (1949) defined the quality of samples as representative or nonrepresentative. He definednonrepresentative samples as mixtures of soil and rock from different layers. He further suggested thatnonrepresentative samples are normally not useful in site investigations and emphasized that seriouserrors of interpretation of the soil profile could result due to the mixing of soil cuttings.Nonrepresentative samples are produced by wash boring and bailing and by some types of augering.Hvorslev defined representative samples as those materials which may have been remolded or themoisture content may have changed, although the materials were not chemically altered or contaminatedby particles from other layers. Representative samples may be obtained by a variety of techniques,depending upon the quality of sample desired. Disturbed samples can be obtained by augers, samplingspoons, and thick- and thin-walled sampling tubes. Disturbed samples are primarily used for moisturecontent, Atterberg limits, specific gravity, sieve analysis or grain-size distribution, and compactioncharacteristics. Strength and deformation tests may be conducted on reconstituted (remolded) specimensof the disturbed materials. Tests on remolded samples are used to predict the behavior of compactedembankments and backfills. Undisturbed samples have been subjected to relatively little disturbance andmay be obtained from borings using push-type or rotary-core samplers. High-quality undisturbedsamples may be obtained by hand trimming block samples from test pits and trenches. Undisturbedsamples are useful for strength, compressibility, and permeability tests of the foundation materials.

��3DUDPHWHUV�:KLFK�$IIHFW�6DPSOH�'LVWXUEDQFH

Hvorslev (1949) defined several critical factors which could cause disturbance of the soil duringsampling operations. These parameters include area or kerf ratio, friction between the sampling tube andthe soil, the length-todiameter ratio of the sample, sampler driving techniques, stress relief, and failureto recover a sample.

D� $UHD� UDWLR. Hvorslev stated that the area ratio, & , may be the most significant single factorD

which could influence the quality of the undisturbed sample. He defined the area ratio as

(2-1)

where

' = external diameter of the cutting shoeZ

D = internal diameter of the cutting shoee

The internal and external diameter of the cutting shoe are illustrated conceptually in Figure 2-1.Permissible area ratios depend upon the soil type, its strength and sensitivity, and the purpose of thesampling operations. Hvorslev suggested that area ratios should be kept to a minimum value, preferablyless than 10 to 15 percent. However, small area ratios result in fragile sample tubes which may bend or

&L

='V

'H

'H

&R

='Z

'W

'W

(0��-DQ��

)��

buckle during sampling operations. To permit the use of larger area ratio tubes, the International Societyfor Soil Mechanics and Foundations Engineering (1966) approved the use of larger area ratios providedthat cutting edge taper angles were changed. The Committee suggested that as area ratios were increasedfrom 5 to 20 percent, the edge taper angles should be decreased from 15 to 9 degrees (deg).

E� ,QVLGH�FOHDUDQFH�UDWLR. Friction between the soil sample and inside wall of the sample tube maybe reduced by cutting the diameter of the sample slightly smaller than the inside diameter of the sampletube. The inside clearance ratio, or swage, & , is defined asL

(2-2)

where ' is the inside diameter of sampling tube. The inside diameter of sampling tube and the internalV

diameter of the cutting shoe are illustrated conceptually in Figure 2-1. Hvorslev suggested that ratios of0 to l percent may be used for very short samples, values of 0.5 to 3 percent could be used for mediumlength samples, and larger ratios may be needed for longer samples. For most soils, an inside clearanceratio of 0.75 to 1.5 percent is suggested for samples with a length-to-diameter ratio of 6 to 8, i.e., mediumlength samples. However, the clearance ratio should be adjusted as required by the character of the soil.

F� 2XWVLGH� FOHDUDQFH� UDWLR. The outside wall friction may also influence the quality of the soilsample. Severe wall friction may be transmitted to the soil lying beneath the bottom of the sampler, anda bearing capacity failure could result. If a bearing capacity failure occurred during the samplingoperations, the material entering the tube could be rendered useless even for visual examination. Thepractical range for outside clearance ratios should be less than 2 to 3 percent for cohesive soils and zerofor cohesionless soils, although these values may require adjustment for the character of the soil. Theoutside clearance ratio, & , is defined asR

(2-3)

where ' is the outside diameter of sampling tube. The outside diameter of sampling tube and theW

external diameter of the cutting shoe are illustrated conceptually in Figure 2-1.

G� /HQJWK�WR�GLDPHWHU� UDWLR. The maximum length for an undisturbed sample which can beobtained in a single sampling operation is dependent upon the type of soil, the sampler, the rate anduniformity of penetration, the inside clearance ratio, and the depth below the ground surface. Suggestedratios of length to diameter of the sample should be limited to 5 to 10 for cohesionless soils and 10 to20 for cohesive soils, although these ratios may vary as a result of the variables encountered and the typeof sampler employed. The diameter of the sample should be selected based upon the type of soil, thelaboratory requirements, and practical considerations, such as availability of equipment.

H� $GYDQFLQJ�WKH�VDPSOH�WXEH. The method of advancing the sample tube affects the disturbance ofthe soil. Driving the sample tube by hammering causes the greatest amount of disturbance. Pushing thesampling tube with a fast, continuous, uniform motion is recommended as a suitable method ofadvancing the sample tube in most soils.

I� 6WUHVV� UHOLHI. Stress relief can result in base heave, caving, and piping in the borehole. Theborehole may be stabilized by using water, drilling mud, or casing. Water is the least effective method.It works by reducing the effective stresses along the sides and bottom of the borehole and decreasing thegroundwater flow into the borehole. Although this method may not be successful for many soils, it may

(0��-DQ��

)��

work well in soft cohesive alluvial deposits. Drilling mud, which usually consists of bentonite mixedwith water in a ratio by weight of approximately 1:15 to 1:20, has several advantages over water. Theunit weight of drilling mud is slightly higher than the unit weight of water and thus reduces the effectivestresses within the subsurface formations. The drilling mud forms a filter or wall cake which reducesseepage as well as the rate and amount of swelling for water sensitive deposits. Disadvantages includeincreased costs and the need for disposal of the drilling mud after the drilling operations have been com-pleted. Steel casing can also be used to prevent wall collapse but may disturb the soil formation duringits placement. The use of casing may be limited by economic considerations.

J� 6DPSOH� UHFRYHU\. Poor sample recovery may be the most serious result of sample disturbanceand may be dependent on a number of factors which include:

(1) Increased pressure at the top of the sample due to improper venting of the sample tube duringsampling operations. The pressure tends to force the soil from the tube as the sample is extracted fromthe boring.

(2) Suction below the sample tube results as the tube is pulled from the soil deposit. Severaltechniques, including the use of a piston sampler which opposes with a vacuum or suction as the sampletends to slide from the tube, enhance the length and degree of sample recovery.

(3) The tensile strength of the soil must be overcome to separate the soil sample from the soildeposit. This separation may be accomplished by rotating the sampling tube one or two revolutions toshear the sample at the base of the cutting shoe. Other techniques are: (a) allowing a short rest periodafter sampling to permit the soil to swell and increase adhesion with the wall of the sample tube,(b) slight overdriving which increases sample disturbance but simultaneously increases adhesion betweenthe sample and sample tube wall, and (c) the use of core catchers. It should be noted that core catcherstend to increase the disturbance around the edge of the sample. The area ratio of the cutting shoe mayalso have to be increased to accommodate the core catcher.

(4) Remolding of soils adjacent to the sampler walls may reduce the chances of recovery, especiallyfor sensitive soils. A small area ratio and cutting edge with increased swage taper may be essential toobtain quality samples of many soils.

Hvorslev (1949) attempted to conduct a qualitative assessment of sampling disturbance by the use of aratio of the length of the recovered sample to the length of the sample drive or push. He called thisquantity “recovery ratio.” Although the recovery ratio is probably an index of sample quality, manyvariables affected the ratio. Unfortunately, Hvorslev was unable to isolate the criteria required to assesssample disturbance using the recovery ratio concept.

Disturbance which occurs after sampling may result from a change of water content, moisture migrationwithin the sample, the penetration of voids by wax used to seal the sample, vibrations during thetransport of samples, freezing of silt or clay samples, chemical reaction between the soil sample and thetube, or disturbance caused by extruding the sample from the tube.

It is important that practices are adopted to obtain the highest quality sample at the least cost.Undisturbed sampling should be conducted in a manner to minimize: (a) changes of void ratio and watercontent, (b) mechanical disturbance of the soil structure, and (c) changes of stress conditions. Effortsshould also be undertaken to eliminate other causes of disturbance, such as chemical changes, caused byprolonged storage in metal containers. A summary of the principal causes of soil disturbance ispresented in Table 2-2.

(0��-DQ��

)��

��6HOHFWLRQ�RI�6DPSOLQJ�$SSDUDWXV�WR�2EWDLQ�8QGLVWXUEHG�6DPSOHV

Although the least disturbed samples are probably obtained by the hand trimming method in test pits andtrenches using the advanced trimming technique, the depth at which samples can be obtainedeconomically usually limits the use of test pits for sampling operations. Consequently, other samplingtechniques must be employed. Two basic types of sampling apparatus which have been developed are (i)push-tube samplers and (ii) core barrel samplers. Additional details describing equipment andprocedures for undisturbed sampling operations are discussed in Chapters 5 and 6, respectively.

D� 3XVK�WXEH�VDPSOHUV. Push-tube samplers are pushed into the soil without rotation. The volumeof soil which is displaced by the sampling tube is compacted or compressed into the surrounding soils.Thin-walled push-tube samplers can be subdivided into two broad groups: open-tube samplers andpiston samplers. Open-tube samplers consist of open tubes which admit soil as soon as they are broughtin contact with it. Many open samplers have a ball check valve located in the sampler head whichconnects the sample tube to the drill string. The purpose of the check valve is to help retain the sample inthe sampling tube during extraction. Piston samplers have a piston located within the sampler tube. Thepiston helps to keep drilling fluid and soil cuttings out of the sampling tube as the sampler is lowered intothe borehole. It also helps to retain the sample in the sampling tube.

(1) 2SHQ�WXEH�VDPSOHUV. Open-tube samplers for undisturbed sampling are thin-walled tubes. Thethin-walled open-tube push sampler consists of a Shelby tube affixed to the sampler head with Allen headscrews as suggested by ASTM D 1587-74 (ASTM 1993). Most tubes are drawn to provide a suitableinside clearance. The cutting edge of the sampling tubes is normally sharpened. Thin-walled sampletubes may be easily damaged by buckling, blunting, or tearing of the cutting edge as they are advancedinto stiff or stony soils. Open-tube samplers have advantages due to cheapness, ruggedness, and sim-plicity of operation. The disadvantages include the potential for obtaining nonrepresentative samplesbecause of improper cleaning of the borehole or collapse of the sides of the borehole. An increase ofpressure above the sample during sampling operations and a decrease of pressure caused by sampleretention during the withdrawal of the sampling tube from the borehole may also influence the quality ofthe sample. Hence, open-tube samplers are generally not recommended for undisturbed samplingoperations.

(2) 3LVWRQ� VDPSOHUV. Pistons have been incorporated into sampler designs to prevent soil fromentering the sampling tube before the sampling depth is attained and to reduce sample loss duringwithdrawal of the sampling tube and sample. The vacuum which is formed by the movement of thepiston away from the end of the sampling tube during sampling operations tends to increase the length todiameter ratio. The advantages of the piston samplers include: debris is prevented from entering thesampling tube prior to sampling; excess soil is prevented from entering the sampling tube during sam-pling; and sample quality and recovery is increased. Hvorslev (1949) stated that the fixed-piston sampler“has more advantages and comes closer to fulfilling the requirements for an all-purpose sampler than anyother type.” The principal disadvantages of piston samplers include increased complexity and cost.

Three general types of piston samplers are free-piston samplers, fixed-piston samplers, andretractable-piston samplers.

(a) Free-piston samplers have an internal piston which may be clamped during insertion orwithdrawal of the sampling tube. During actual sampling operations, the piston is free to move withrespect to the ground level and sample tube. Free-piston samplers have overcome many of theshortcomings of open-tube samplers while remaining easy to use. Principal advantages include: thesample tube can be pushed through debris to the desired sampling depth and the piston creates a vacuumon the top of the sample which assists in obtaining increased sample recovery.

(0��-DQ��

)��

(b) To obtain a sample with a fixed-piston sampler, the sampling apparatus is lowered to the desiredlevel of sampling with the piston fixed at the bottom of the sampling tube. The piston is then freed fromthe sampler head, although it remains fixed relative to the ground surface, i.e., it can be affixed to thedrill rig. The sample is obtained, and the piston is again clamped relative to the sampler head prior to theremoval of the sample and sampling tube from the borehole. The Osterberg sampler and the Hvorslevsampler are fixed-piston samplers commonly used by the Corps of Engineers.

(c) The retractable-piston sampler uses the piston to prevent unwanted debris from entering thesample tube while the sampler is lowered to the desired sampling depth. Prior to the sampling operation,the piston is retracted to the top of the tube. However, this operation may cause soil to flow upward intothe tube; if this occurs, the quality of the sample is suspect. The retractable piston sampler is notrecommended for undisturbed sampling operations.

(d) A modified form of the fixed-piston sampler is the foil or stockinette sampler. The principle ofoperation is similar to the fixed-piston sampler. As the sample is obtained, the piston retracts from thesampler head, and a sliding liner, which is attached to the piston, unrolls from its housing located withinthe sampler head. The foil or stockinette sampler was designed to obtain samples with an increasedlength-to-diameter ratio by reducing friction between the sample and the wall of the sampling tube. Longsamples can provide a more comprehensive understanding of a complex soil mass, such as varved clay.This type of sampler has also been used to obtain samples of soft clay and peat. The principal disadvan-tages of the foil or stockinette sampler include large operating expenses and increased potential ofsample disturbance due to the larger area ratio of the cutting shoe. Examples of the sampler included theSwedish foil sampler and the Delft stocking sampler.

E� &RUH�EDUUHO�VDPSOHUV. Rotary core-barrel samplers were originally designed for sampling rock,although a variety of rotary samplers have been developed to sample materials from hard soils to softrock. The principle of operation consists of rotating a cutting bit and applying a downward force fromthe ground surface with a drill rig. As the cutting edge is advanced, the sample tube is pushed over thesample. Drilling fluid, such as air or drilling mud, is used to cool the drill bit and remove the cuttingsfrom the face of the bit.

Rotary core-barrel samplers have evolved from a single-tube sampler to double- and triple-tube samplers.The rotation of the core barrel of the single-tube sampler during the coring process presented a highpotential for shearing the sample along planes of weakness. The design of the single-tube core barrelalso exposed the core to erosion or degradation by the drilling fluid which was passed along its entirelength. The double- and triple-tube core barrels were designed to minimize these problems. Thedouble-tube core barrel sampler consists of an inner stationary tube and an outer tube which attaches thecutting bit to the drill rods. Drilling fluid is pumped through the drill rods and between the inner andouter barrels before being discharged through ports inside the cutting face of the bit. A modification ofthis technique is to discharge the drilling fluid through ports located on the face of the bit, i.e., bottomdischarge bit. A spring catcher is frequently used to prevent loss of the core during the extractionprocess. The triple-tube core barrel consists of a double-tube core barrel which has been modified toaccept a sample liner. The liner reduces the potential damage to the core as the sample is extracted fromthe inner tube. The liner also serves as a container to ship the core.

Core barrel samplers have a larger area ratio and inside clearance ratio than are generally accepted forpush-tube samplers. The larger area ratio may be considered advantageous as it decreases the stress atthe cutting bit during the drilling operations. However, the larger inside clearance ratio may not provideadequate support to the sample. During the drilling operations, the sample may be damaged by vibrationsof the rotating core barrel. Another disadvantage is that although the inner core barrel may protect the

(0��-DQ��

)��

core from erosion by the drilling fluid, water sensitive formations may be continuously in contact withthe drilling fluid.

Two principal types of double- or triple-tube core barrel samplers include the Denison sampler and thePitcher sampler.

(1) The Denison core barrel sampler consists of an inner liner, an inner barrel with an attachedcutting edge, and an outer rotating barrel with attached cutting teeth. The protrusion of the inner barrelmust be adjusted in advance of the drilling operations for the anticipated stiffness of the soil to besampled. It can precede the cutting teeth for soft soils or can be flush with the cutting teeth for stiffersoils. The principal disadvantage of this type of sampler is that the protrusion of the inner tube must beselected in advance of the drilling operations. To overcome this problem, core barrel samplers with aspring-mounted inner barrel such as the Pitcher sampler, were developed.

(2) The Pitcher sampler consists of an inner barrel which is a thin-walled sample tube with a cuttingedge. The tube is affixed to an inner sampler head. The outer rotating barrel has a cutting bit attached.After the sampler has been lowered into the borehole but before it has been seated on the soil, debris canbe flushed from the sample tube by drilling fluid which is passed down the drill rods through the innerbarrel. Once the inner tube is seated, drilling fluid is passed between the inner and outer tubes. Aspring-loaded inner head assembly governs the lead of the inner tube cutting edge with respect to thecutting bit. For softer formations, the cutting edge of the sample tube precedes the cutting bit. For stiffersoils, the cutting edge of the tube may be flush with the cutting bit. Although it has been observed inpractice that alternating soil and rock layers may frequently damage the rather light sampling tube, thissampler may be used in formations of variable hardness where the push-tube sampler cannot penetratethe formation and the rotary core-barrel sampler does not protect the sample from erosion by the drillingfluid.

F� 6DQG� VDPSOHUV. Obtaining high-quality undisturbed samples of sand has been rather elusive.Hvorslev (1949) suggested several methods including the use of thin-walled fixed-piston samplers inmudded holes, open-tube samplers using compressed air, in situ freezing, and impregnation.

(1) The U.S. Army Engineer Waterways Experiment Station (1952) and Marcuson and Franklin(1979) reported studies using the thin-walled fixed-piston sampler. Pre- and post-sampling densitieswere compared. Generally, loose samples were denser and dense samples were looser.

(2) Bishop (1948) developed a sampler for sand. A differential pressure was employed to enhancethe capability of retaining the sample in the sampling tube.

(3) Torrey, Dunbar, and Peterson (1988) reported an investigation of point bar deposits along theMississippi River. The Osterberg fixed-piston sampler was used to obtain samples of fine sand below thewater table. Although data were not available regarding the degree of disturbance, it was judged thathigh-quality samples were obtained based upon the comparison of all test results, including in situ tests,nuclear density tests, the examination of x-ray records for all undisturbed samples, laboratory tests, anddata from previous potamology studies.

(4) Seed et al. (1982) reported an investigation of the effects of sampling disturbance on the cyclicstrength characteristics of sands. They determined that the Hvorslev fixed-piston sampler caused densitychanges, whereas the advanced trimming and block sampling techniques caused little change in density,although some disturbance due to stress relief was reported.

(0��-DQ��

)��

(5) Singh, Seed, and Chan (1982) reported a laboratory study of techniques for obtainingundisturbed samples of sands. Unidirectional freezing with no impedance of drainage was followed byrotary core barrel sampling. Experimental data demonstrated that the freezing method could be used toobtain laboratory samples which maintained the in situ characteristics, including applied stressconditions.

(6) Schneider, Chameau, and Leonards (1989) reported a study to assess impregnation as a methodfor stabilizing cohesionless soils prior to conducting undisturbed sampling operations. They suggestedthat the impregnating material should readily penetrate the soil and must be easily and effectivelyremoved at a later date. They also reported that impregnation of soil was fairly expensive and ratherdifficult to execute. Because of these considerations and limitations, Schneider, Chameau, and Leonardsstated that chemical impregnation of soil has been generally limited to the laboratory environment,although they concluded that the technology could be readily applied to the field environment.

Although the technology is somewhat limited, data are available which indicate that high-qualityundisturbed samples of sand can be obtained. However, the sampling techniques must be tailored to thecharacteristics of the formation and the requirements of the investigation. Furthermore, the allowabledegree of disturbance to the “undisturbed” samples must be considered.

The highest quality undisturbed samples of medium to fine sands can be obtained by hand trimming or insitu freezing and core drilling. For shallow depths above the groundwater table, high quality samples canbe obtained by hand trimming methods using the cylinder with advanced trimming technique. Below thegroundwater table, in situ freezing with core drilling is a method which can be used to obtain high-qualitysamples. Another method which yields good quality samples of sand below the water table is the use ofthe fixed-piston sampler in a mudded borehole. For dry formations, impregnation of the material to besampled may be the most suitable method for obtaining undisturbed samples. For coarser sands andgravelly soils, methods which are similar to the methods for sampling medium to fine sands can be used.It is suggested that the minimum diameter of the sample must be at least six times larger than the size ofthe largest particle.

The geotechnical engineer or engineering geologist should be aware that hand trimming samples, in situfreezing and coring, or impregnation of the material to be sampled is expensive. The additional costsmust be considered before the investigation is begun. If the hand trimming method is selected, cribbingand shoring of the walls of the excavation may be needed. If in situ freezing is selected, the formationmust be free draining and the field freezing procedures must be designed to ensure that the freezing frontadvances one dimensionally. The costs and logistics of the additional field support equipment shouldalso be considered. If impregnation is used, coordination with the laboratory is mandatory to ensure thatthe impregnation material can be removed prior to laboratory testing.

G� 6HOHFWLRQ� RI� VDPSOLQJ� GHYLFH. The data which are presented in Table 2-3 may be used as apreliminary guide for selecting a sampling apparatus and/or method for obtaining undisturbed samples ofvarious materials. However, other factors, such as soil conditions, equipment availability, costs, andoperator experience, may dictate the selection of an alternative sampling apparatus.

(0��-DQ��

)��

��%RUHKROH�/D\RXW��'HSWK�DQG�,QWHUYDORI�6DPSOLQJ��DQG�6DPSOH�'LDPHWHU

The borehole layout, sampling interval, and depth of samples are controlled to a major extent by thecomplexity of the geological conditions, the availability of equipment, and the type of project and itssize. There are no hard and fast rules stating the number and depth of samples for a particulargeotechnical investigation. Although considerable knowledge of the geological conditions may beavailable from the preliminary studies, including the review of the literature, maps, photographs, and thesite reconnaissance, the site investigation is frequently a “learn as you go” operation. A guide forplanning the boring program is suggested in the following paragraphs. The user is reminded, however,that each boring and sampling program must be planned and executed within monetary constraints withappropriate consideration given to other variables which may affect the site investigation.

Most geotechnical investigations fall into one of the following categories, or combination of categories,depending upon the size of the project:

D� Small isolated structures, such as houses. One borehole may be sufficient, especially if a numberof small structures are placed relatively close together and the geology does not vary significantly overthe site.

E� Compact projects, such as buildings and landslides. The borings may be relatively deep andclosely spaced.

F� Extended projects such as highways, airport runways, electrical powerlines and pipelines, andreservoirs. Except for reservoirs, the borings may be relatively shallow and widely spaced. The spacingor frequency of the borings must be judged depending upon the site variability. For reservoirs, the depthsof borings may be considerable to define the limits of impermeable soil.

Hvorslev (1949) suggested the following general considerations for planning the subsurfaceinvestigation:

“The borings should be extended to strata of adequate bearing capacity and should penetrate alldeposits which are unsuitable for foundation purposes - such as unconsolidated fill, peat, organic siltand very soft and compressible clay. The soft strata should be penetrated even when they are coveredwith a surface layer of high bearing capacity. When structures are to be founded on clay and othermaterials with adequate strength to support the structure but subject to consolidation by an increase inthe load, the borings should penetrate the compressible strata or be extended to such a depth that thestress increase for still deeper strata is reduced to values so small that the correspondingconsolidation of these strata will not materially influence the settlement of the proposed structure.

Except in the case of very heavy loads or when seepage or other considerations are governing, theborings may be stopped when rock is encountered or after a short penetration into strata of excep-tional bearing capacity and stiffness, provided it is known from explorations in the vicinity or thegeneral stratigraphy of the area that these strata have adequate thickness or are underlain by stillstronger formations. When these conditions are not fulfilled, some of the borings must be extendeduntil it has been established that the strong strata have adequate thickness irrespective of the characterof the underlaying material.

(0��-DQ��

)��

When the structure is to be founded on rock, it must be verified that bedrock and not boulders havebeen encountered, and it is advisable to extend one or more borings from 10 to 20 ft into solid rock inorder to determine the extent and character of the weathered zone of the rock.

In regions where rock or strata of exceptional bearing capacity are found at relatively shallow depths- say from 100 to 150 ft - it is advisable to extend at least one of the borings to such strata, even whenother considerations may indicate that a smaller depth would be sufficient. The additionalinformation thereby obtained is valuable insurance against unexpected developments and againstoverlooking foundation methods and types which may be more economical than those firstconsidered.

The depth requirements should be reconsidered, when results of the first borings are available, and itis often possible to reduce the depth of subsequent borings or to confine detailed and specialexplorations to particular strata.”

The primary exploratory borings should provide nearly continuous samples for classification andlogging. However, sampling plans should be flexible to permit samples to be obtained for specifictesting requirements or to answer questions regarding stratification changes, anomalies, etc. Althoughthe boring plan and sampling interval is the responsibility of the geotechnical personnel, field conditionsmay demand that the inspector and the drill rig operator use judgment and modify the investigation toobtain complete and comprehensive information on the site conditions. Changes to the program, i.e.,depth of borings, number of borings, and spacing of boreholes, may be required, depending upon thesubsurface conditions which are encountered.

Table 2-4 is presented as a preliminary guide for geotechnical personnel for planning the boring andsampling program. This program is not intended to be a rigid requirement for Corps' geotechnical siteinvestigations. It is suggested merely as guide for preliminary planning of the boring and samplingprogram. Although the data in this table suggests only undisturbed sampling operations, common sensedirects that some general sample (disturbed) borings are needed to guide the planning for the moreexpensive undisturbed sampling locations, depths, and sampling intervals. The final boring programshould be sufficiently flexible to permit geotechnical personnel to obtain a comprehensive understandingof the site, including anomalies or other features, while operating within budget and time constraints.

Table 2-5 provides the project engineer with guidance for selecting the appropriate diameter of sample orcore which is compatible with the desired laboratory tests on undisturbed specimens or the requiredweight of material for tests on reconstituted soil specimens. A small specimen should be taken from thebottom of each undisturbed sample. This material may be used for classification and water contentdeterminations. Although the small specimen may not represent the entire sample, a descriptive log ofthe boring and these specimens provide a basis for assigning laboratory tests.

(0��-DQ��

)��

7DEOH��'LUHFW�2EVHUYDWLRQ�RI�6XEVXUIDFH�&RQGLWLRQV��DIWHU�8�6��'HSDUWPHQW�RI�WKH�,QWHULRU��%XUHDX�RI�5HFODPDWLRQ��

Type of ExcavationMethod or Boring Remarks

In Situ Examination Test pits/trenches Excavation can be dug by hand or machine. The depth is usuallylimited to the depth of the water table. Shoring and cribbing arerequired for depths greater than approximately 1.2 m (3.9 ft).

Large bored shafts, The excavation is fairly expensive. There may be a smear zone duetunnels, and drifts to augering. Limitations may include confined working space and

difficulty of identifying discontinuities.

Borehole cameras Dry hole is necessary to permit the examination of joints.

Boring and Drilling Hand augering Light, portable method of sampling soft to stiff soils near the groundTechniques surface.

Light percussion In clays, steel tube is dropped; soil is wedged inside. In granular soils,(Shell and auger) water is placed in bottom of cased borehole. Shell is surged to loosen

the soil which precipitates in a tube on top of the shell.

Power auger drilling Bucket or auger is connected to drill rods. Torque is transmitted toauger by the kelly. Flight augers (continuous- or short-flight) may behollow- or solid-stem. Soils may be mixed and nonrepresentative.Heavy downward pressure disturbs soils in advance of the auger.

Wash boring Soil particles are eroded and moved to the surface by jetting waterfrom a bit at the base of the drill string. The drill rod is continuouslyrotated and surged as the borehole is advanced. Soils may be mixedand nonrepresentative.

Rotary core drilling Combined action of downward force and rotary action. Most commonequipment is a core barrel fitted with a cutting bit. Modifications torotary core drilling method include open-drive samplers and pistonsamplers.

(0��-DQ��

)��

7DEOH��&DXVHV�RI�6RLO�'LVWXUEDQFH

Before Sampling During Sampling After Sampling

Base heave Failure to recover Chemical changesPiping Mixing or segregation Migration of moistureCaving Remolding Changes of water contentSwelling Stress relief Stress reliefStress relief Displacement FreezingDisplacement Stones along cutting edge Overheating

VibrationDisturbance caused during extrusionDisturbance caused during transportation and handlingDisturbance caused due to storageDisturbance caused during sample preparation

7DEOH��*XLGH�IRU�6HOHFWLQJ�6DPSOHU�IRU�2EWDLQLQJ�+LJK�4XDOLW\�8QGLVWXUEHG�6DPSOHV

Soil Type Suggested Sampler Type or Method

Very soft cohesive soils Stockinette sampler, foil sampler, or fixed-piston samplerOrganic soilsVarved clays

Soft-to-medium cohesive soils Fixed-piston sampler

Fine-to-medium sands above the water table Hand trimming using the cylinder with advanced trimming techniqueFixed-piston sampler in a cased and/or mudded borehole

Fine-to-medium sands below the water table In situ freezing and coringFixed-piston sampler in a mudded borehole

Alternating layers of soil and rock Rotary core-barrel samplerHard or dense cohesive soilsRock

(0��

��-DQ��

)��

7DEOH��6XJJHVWHG�%RULQJ�3URJUDP�IRU�9DULRXV�(QJLQHHULQJ�6WUXFWXUHV��DIWHU�'XQODS��&RQWLQXHG�Structure Number of Borings/Spacing Depth of Borings RemarksRigid frame 1 boring per 230 sq m of ground floor 1-1/2 times the minimum dimension of footing Cohesive soils - continuous undisturbed samples for the first 3 meters.1

structure area below the base of the footing - intermittent samples at 1-1/2 to 3 m intervals thereafterPile footings - 1-1/2 times the minimum - sample at every change of soil type dimension of an imaginary footing located at Cohesionless soils - obtain undisturbed samples (if possible) or conduct in situ soundings such as SPT or 2/3 of the expected depth of piles CPT tests

Continuous Minimum of 1 boring at every pier/footing 1-1/2 times the minimum dimension of footing below the base Cohesive soils - pier size < 50 sq m - continuous undisturbed samples at each pier truss (girder)- of the footing - pier size - 50 to 100 sq m - 2 continuous undisturbed samples at each pier type bridge Pile footings - 1-1/2 times the minimum dimension of an - pier size - 100 to 250 sq m - 4 continuous undisturbed samples at each pier

imaginary footing located at 2/3 of the expected depth of piles- pier size > 250 sq m - minimum of 5 continuous undisturbed samples at each pier

Cohesionless soils - obtain undisturbed samples or soundings as for cohesive soilsCompetent rock - trace formation at each pier - if in doubt of rock quality, drill at least 6 m into formation

Levees Levee height = 3 to 6 m; space borings at Depth of boring - 6 m Cohesive soils - continuous undisturbed samples 300 m intervals Cohesionless soils - continuous undisturbed samples or soundings

Locate borings along centerline of proposed structureLevee height = 6 to 12 m; space borings at Depth at least equal to height of levee 230 m intervalsLevee height = 12 to 18 m; space borings at Depth at least equal to height of levee 150 m intervals

Earth dams See remarks column Depth at least equal to height of dam or Preliminary investigation - maximum stress occurs approximately at midpoint of slope between the centerline twice the maximum head, whichever is greater and toe of proposed structure. Establish a square grid pattern of borings locatedTrace the top of the impervious zone upstream and downstream of dam centerline near midpoint of slope in a direction

with respect to dam centerlin

Primary investigation - trace the limits of various strata, e.g., sand- treat power plants, spillways, and other control structures as rigid frame structures- obtain adequate subsurface data to define the character of the abutments

Obtain in situ permeability and pore pressure measurementsCohesive soils - continuous undisturbed samplesCohesionless soils - continuous undisturbed samples or soundings

Borrow pits Use a 60-m grid spacing Maximum depth to water table or working Disturbed samples are satisfactory; may use augers to obtain samples depth of equipment

Roads For 2 lane highways: For excavations and level terrain: Cohesive soils - continuous undisturbed samples 1 boring per 150 m along 3 m below level finished grade Cohesionless soils - continuous undisturbed samples or soundings centerline and at each major For compacted embankments: treat change of soil profile as for leveesFor multilane highways: For rock: extend 0.75 m into rock 1 boring per 75 m along centerline; borings may be staggered

Airfields See remarks column See remarks column Preliminary investigation - place borings at 300 m intervals in square grid patterns to a depth of 6 m. Samples may be disturbed. Site facilities based upon preliminary investigation.

Primary investigation - Runways - site two lines of borings in a square grid pattern at 30 m on either side of runway centerline to a depth of 6 m or 1.5 m into rock

- Taxiway - place borings at 60 to 76 m intervals along centerline to a depth of 6 m- Apron - place borings in a 60 to 75 m square grid pattern to a depth of 6 m

Houses 1 boring per 8000 sq m in To unweathered rock or to 4.5 m, Obtain samples at 1.5 m intervals using undisturbed sampling techniques for cohesive soils or undisturbed or new subdivision whichever is lesser sounding techniques for cohesionless soils1 boring per individual lot

1 m = 3.28 ft; 1 m = 10.76 ft1 2 2

(0��-DQ��

)��

7DEOH��0LQLPXP�6DPSOH�'LDPHWHU�RU�'U\�:HLJKW�IRU�6HOHFWHG�/DERUDWRU\�7HVWV

Minimum Sample Minimum DryDiameter Weight1 1

Sample Type Test cm in. kg lb

Undisturbed Unit weight 7.6 3.0 ---- ----Permeability 7.6 3.0 ---- ----Consolidation 12.7 5.0 ---- ----Triaxial compression 12.7 5.0 ---- ----2

Unconfined compression 7.6 3.0 ---- ----Direct shear 12.7 5.0 ---- ----

Disturbed Water content ---- --- 0.2 0.5Atterberg limits ---- --- 0.2 0.5Shrinkage limits ---- --- 0.2 0.5Specific gravity ---- --- 0.1 0.2Grain-size analysis ---- --- 0.2 0.5

Reconstituted Standard compaction ---- --- 13.5 30.0Permeability ---- --- 0.9 2.010.2-cm-diam consolidation ---- --- 0.9 2.0Direct shear ---- --- 0.9 2.03.6-cm-diam triaxial (4 points) ---- --- 0.9 2.07.2-cm-diam triaxial (4 points) ---- --- 4.5 10.015-, 30-, or 38-cm-diam triaxial (4 points) ---- --- Coordinate with laboratoryVibrated density ---- --- Coordinate with laboratory

All particles pass the U.S. Standard Sieve No 4 (3.8 mm)1

Triaxial test specimens are prepared by cutting a short section of a 12.7- cm- (5-in.-) diam sample axially into four quadrants and2

trimming each quadrant to the proper size. The material from three quadrants can be used for three tests representing the samedepth. The material from the fourth quadrant is usually preserved for a check test.

(0��-DQ��

)��

)LJXUH��3DUDPHWHUV�ZKLFK�DIIHFW�VDPSOH�GLVWXUEDQFH��D�VFKHPDWLF�RI�D�VDPSOLQJ�WXEH�DQG�FXWWLQJ�VKRH��DIWHU�+YRUVOHY��

(0��-DQ��

)��

&KDSWHU�)��'ULOO�5LJV�DQG�$SSXUWHQDQW�(TXLSPHQW

��,QWURGXFWLRQ

$�QXPEHU�RI� FRPPHUFLDOO\�DYDLODEOH�GULOO� ULJV�DQG� DFFHVVRULHV� DUH� VDWLVIDFWRU\� IRU�SHUIRUPLQJ�FRQYHQ�WLRQDO�GULOOLQJ�DQG�VDPSOLQJ�RSHUDWLRQV�RU�IRU�FRQGXFWLQJ�LQ�VLWX�WHVWV��$OWKRXJK�VRPH�W\SHV�RI�GULOO�ULJVDUH�PRUH� UHDGLO\� DGDSWHG� WR� VSHFLILF�ZRUN�� WKH� VHOHFWLRQ� RI� WKH� GULOO� ULJ� DQG� DSSXUWHQDQW� HTXLSPHQW� LVXVXDOO\� EDVHG� XSRQ� WKH� UHTXLUHPHQWV� RI� WKH� JHRWHFKQLFDO� LQYHVWLJDWLRQ�� )DFWRUV�ZKLFK�PD\� DIIHFW� WKHVHOHFWLRQ� LQFOXGH� VLWH� DFFHVVLELOLW\�� WKH� W\SH� RU� KDUGQHVV� RI�PDWHULDO� WR� EH� VDPSOHG� DQG� WKH� GHJUHH� RIGLVWXUEDQFH� ZKLFK� LV� DFFHSWDEOH�� HTXLSPHQW� DYDLODELOLW\�� WLPH� DQG� PRELOL]DWLRQ� FRVWV�� WKH� QXPEHU� RISHUVRQQHO�UHTXLUHG��SODQW�UHQWDO�FRVWV��HWF��$�GLVFXVVLRQ�RI�YDULRXV�W\SHV�RI�GULOO�ULJV�DQG�DFFHVVRULHV�DQGDSSXUWHQDQW�HTXLSPHQW��LQFOXGLQJ�WKRVH�DSSDUDWXV�WR�DGYDQFH�DQG�VWDELOL]H�WKH�ERUHKROH��LV�SUHVHQWHG�LQWKLV�FKDSWHU��7KH�GLVFXVVLRQ�RI�VDPSOLQJ�GHYLFHV�LV�SUHVHQWHG�LQ�&KDSWHUV��WKURXJK��

��'ULOO�5LJV

'ULOO�ULJV�YDU\�IURP�VPDOO�HOHFWULF�PRWRUV�WR�ODUJH�RLO�ILHOG�ULJV��7KH�EDVLF�HOHPHQWV�RI�DQ�DERYHJURXQGGULOO�ULJ�DUH�WKH�SRZHU�VRXUFH�RU�PRWRU��D�SXPS�RU�DLU�FRPSUHVVRU�IRU�FLUFXODWLQJ�GULOOLQJ�IOXLG�WR�WKH�ELWDQG� FOHDQLQJ� WKH� ERUHKROH�� D� GULOO� KHDG�� KRLVWLQJ� GUXPV� DQG� FDEOHV�� D� GHUULFN�� D�PRXQWLQJ�SODWIRUP�RUGHFN��DQG�DVVRUWHG�HTXLSPHQW�ZKLFK�LQFOXGHV�RQH�RU�PRUH�KDPPHUV�IRU�GULYLQJ�DQG�UHPRYLQJ�FDVLQJ��DSRUWDEOH�PXG�SLW��UDFNV�IRU�VWDFNLQJ�WKH�GULOO�URGV�DQG�VDPSOHV��DQG�VPDOO�WRROV�IRU�FRXSOLQJ�RU�XQFRXSOLQJDQG�KRLVWLQJ�WKH�GULOO� VWULQJ��HWF�� $�GLVFXVVLRQ�RI� WKH�EDVLF�FRPSRQHQWV�RI�FRPPRQO\�XVHG�GULOO�ULJV� LVSUHVHQWHG�LQ�WKH�IROORZLQJ�SDUDJUDSKV�

D� 3RZHU� VRXUFH�� $�SRZHU�VRXUFH�RU�PRWRU� LV� UHTXLUHG� WR�RSHUDWH�D�GULYH�ZHLJKW�PHFKDQLVP� IRUSHUFXVVLRQ�RU�FKXUQ�GULOOLQJ�RU�WR�SURYLGH�URWDU\�PRWLRQ�WR�WXUQ�DXJHUV�DQG�FRULQJ�HTXLSPHQW�IRU�URWDU\GULOOLQJ�RSHUDWLRQV�� 2WKHU�UHTXLUHPHQWV�LQFOXGH�RSHUDWLQJ�D�ZLQFK�IRU�UDLVLQJ�DQG�ORZHULQJ�WKH�GULOOLQJDQG�VDPSOLQJ�HTXLSPHQW��SURYLGLQJ�GRZQZDUG�SUHVVXUH�IRU�SXVKLQJ�ERULQJ�DQG�VDPSOLQJ�HTXLSPHQW��RUOLIWLQJ�DQG�GURSSLQJ�D�KDPPHU�WR�GULYH�FDVLQJ�RU�VDPSOLQJ�HTXLSPHQW�� )RU�PRVW�GULOOLQJ�DQG�VDPSOLQJRSHUDWLRQV��WKH�SRZHU�VRXUFH�LV�WKH�SRZHU�WDNHRII�IURP�WKH�WUXFN�PRWRU�RQ�ZKLFK�WKH�GULOOLQJ�PDFKLQH�LVPRXQWHG�RU�IURP�D�VHSDUDWH�HQJLQH�ZKLFK�LV�DVVLJQHG�RU�DWWDFKHG�DV�DQ�LQWHJUDO�FRPSRQHQW�RI�WKH�GULOOLQJULJ�� ,W� LV� HVWLPDWHG� WKDW� �� SHUFHQW� RI� WKH� PRWRUV� DUH� JDVROLQH� RU� GLHVHO� HQJLQHV� DQG� �� SHUFHQW� DUHFRPSUHVVHG�DLU�RU�HOHFWULF�PRWRUV��$�GULYH�WUDLQ�ZKLFK�FRQVLVWV�RI�JHDUV�RU�K\GUDXOLF�SXPSV�LV�XVHG�WRFRQYHUW�WKH�SRZHU�VXSSO\�WR�VSHHG�DQG�WRUTXH�IRU�KRLVWLQJ�DQG�URWDWLQJ�WKH�GULOOLQJ�HTXLSPHQW��0RVW�XQLWVKDYH�D�WUDQVPLVVLRQ�ZKLFK�DOORZV��WR��VSHHGV�IRU�KRLVWLQJ�DQG�GULOOLQJ��,Q�JHQHUDO��WKH�KRLVWLQJ�FDSDFLW\RI�WKH�GULOO�ULJ�JRYHUQV�WKH�GHSWK�RI�WKH�ERUHKROH��$�UXOH�RI�WKXPE�IRU�VHOHFWLQJ�WKH�SRZHU�VRXUFH�LV�WKHKRUVHSRZHU�ZKLFK�LV�UHTXLUHG�WR�KRLVW�WKH�GULOO�URGV�VKRXOG�EH�DERXW�WKUHH�WLPHV�WKH�KRUVHSRZHU�ZKLFK�LVUHTXLUHG� WR� WXUQ� WKH� GULOO� VWULQJ�� )RU� KLJK� HOHYDWLRQV�� WKH� SRZHU� ORVV� LV� DERXW� �� SHUFHQW� IRU� HDFK� ��PHWHUV��P��RU��IHHW��IW��DERYH�VHD�OHYHO�

E� )OXLG�SXPS�DQG�DFFHVVRULHV��'ULOOLQJ�IOXLG��VXFK�DV�FRPSUHVVHG�DLU�RU�GULOOLQJ�PXG��LV�UHTXLUHGIRU� UHPRYLQJ�WKH�FXWWLQJV�IURP� WKH�GULOO� ELW� DQG� WKH�ERUHKROH�DQG� FRROLQJ�WKH�ELW�� &RPSUHVVHG�DLU�KDVEHHQ�XVHG�WR�D�OLPLWHG�H[WHQW��HVSHFLDOO\�IRU�ZDWHU�VHQVLWLYH�IRUPDWLRQV��&OHDU�ZDWHU�DQG�EHQWRQLWH�EDVHGGULOOLQJ� PXGV� DUH� WKH� ZRUN� KRUVHV� IRU� JHRWHFKQLFDO� LQYHVWLJDWLRQV�� 'ULOOLQJ� IOXLGV� DUH� GLVFXVVHG� LQ&KDSWHU��

(0��-DQ��

)��

7R�FLUFXODWH�GULOOLQJ�PXG��D�SXPS�DQG�KRVHV��D�ZDWHU�VZLYHO��DQG�D�VHWWOLQJ�V\VWHP�DUH�UHTXLUHG��7KH�WZRPRVW� FRPPRQ� W\SHV�RI�SXPSV� WKDW�DUH� DYDLODEOH� DUH� WKH� SURJUHVVLYH� FDYLW\� W\SH�DQG� WKH� WULSOH[�SLVWRQW\SH��%RWK�W\SHV�RI�SXPSV�FDQ�EH�XVHG�IRU�GULOOLQJ�PXG�RU�FOHDU�ZDWHU��3UHVVXUHV�UDQJLQJ�IURP��WR��PHJDSDVFDOV��03D��RU��WR��SRXQGV�SHU�VTXDUH�LQFK��SVL��DW�IORZUDWHV�RI��WR��FXELF�GHFLPHWHUV�SHUPLQXWH� �GP �PLQ�� RU� �� WR� �� JDOORQV� SHU� PLQXWH� �JSP�� DUH� QHHGHG� IRU� PRVW� JHRWHFKQLFDO� GULOOLQJ�

RSHUDWLRQV�� 7KH�SURJUHVVLYH�FDYLW\� �RU�0R\QR��SXPS�LV�XVHG� IRU�PRVW�JHRWHFKQLFDO�RSHUDWLRQV�� ,W�FDQSXPS�GULOOLQJ�PXG�LQ�JUHDW�FDSDFLWLHV�DW�ORZ�SUHVVXUHV��7KH�HIILFLHQF\�RI�WKH�SXPS�LV�DERXW��SHUFHQW�)RU�GHHS�ERULQJV�RU�ZKHQ�D�KLJK�HIILFLHQF\�SXPS�LV�QHHGHG��WKH�SLVWRQ�SXPS�FDQ�EH�XVHG��7KH�SXPSLQJV\VWHP�LV�XVXDOO\�PRXQWHG�DV�D�SDUW�RI�WKH�GULOO�ULJ�XVLQJ�WKH�VDPH�SRZHU�VRXUFH�DOWKRXJK�D�VHSDUDWH�SXPSV\VWHP�FDQ�EH�XVHG��GHSHQGLQJ�RQ�WKH�UHTXLUHPHQWV�RI�WKH�LQYHVWLJDWLRQ�DQG�WKH�FDSDELOLWLHV�RI�WKH�GULOOULJ��7KH�DFFHVVRULHV�ZKLFK�DUH�QHHGHG�GHSHQG�XSRQ�ZKHWKHU�FRPSUHVVHG�DLU�RU�GULOOLQJ�PXG�LV�XVHG��,IGULOOLQJ�PXG� LV�XVHG��D� VHWWOLQJ�SLW� LV�QHHGHG� WR�SHUPLW� WKH�FXWWLQJV�WR� VHWWOH�EHIRUH� WKH�GULOOLQJ�IOXLG� LVUHFLUFXODWHG��7KH�GHVLJQ�RI�WKH�VHWWOLQJ�SLW�PD\�EH�YHU\�FUXGH�RU�VRSKLVWLFDWHG��+RZHYHU��SRUWDEOH�PXGSLWV�ZKLFK�DUH�LOOXVWUDWHG�LQ�)LJXUHV��DQG��KDYH�EHHQ�XVHG�ZLWK�VXFFHVV�IRU�JHRWHFKQLFDO�LQYHVWLJD�WLRQV��,I�FRPSUHVVHG�DLU�LV�XVHG��WKH�XSZDUG�IORZ�LV�HMHFWHG�WKURXJK�D�YHQW�DW�WKH�WRS�RI�WKH�ERUHKROH�LQWRD� KRVH� WR� D� F\FORQH�RU� FROOHFWRU� EXFNHWV�� 2WKHU� DFFHVVRULHV�ZKLFK� DUH�QHFHVVDU\� LQFOXGH� ORZ�SUHVVXUHDQG�RU�KLJK�SUHVVXUH�VZLYHOV��KRVHV��DQG�SRS�RII�YDOYHV��,I�WKH�VZLYHO�ZKLFK�LV�PRXQWHG�RQ�WKH�FKXFNHGURG� LV� XVHG� IRU� KRLVWLQJ�� LW� VKRXOG� EH� KHDY\� GXW\� WR� HQVXUH� WKDW� LW�ZLOO� QRW� EUHDN� DV� WKH� GULOO� VWULQJ� LVORZHUHG�LQWR�RU�UHPRYHG�IURP�WKH�ERUHKROH�

��&LUFXODWLRQ�RI�GULOOLQJ�IOXLG��1RUPDO�FLUFXODWLRQ�RI�GULOOLQJ�IOXLG�FRQVLVWV�RI�SXPSLQJ�WKH�GULOOLQJIOXLG�LQWR�WKH�ERUHKROH�WKURXJK�WKH�NHOO\�DQG�GULOO�VWULQJ��DURXQG�WKH�ELW��DQG�XSZDUG�WKURXJK�WKH�DQQXODUVSDFH�EHWZHHQ�WKH�GULOO�URGV�DQG�WKH�ZDOOV�RI�WKH�ERUHKROH��7KH�YHORFLW\�LV�KLJK�SDVW�WKH�GULOO�ELW�ZKLFKKHOSV�WR�FOHDQ�WKH�FXWWLQJV�IURP�WKH�ELW��7KLV�PHWKRG�ZRUNV�ZHOO�IRU�VPDOOHU�GLDPHWHU�ERULQJV��+RZHYHU�IRU�ODUJHU�GLDPHWHU�ERULQJV��WKH�UHWXUQ�YHORFLW\�RI�WKH�GULOOLQJ�IOXLG�LV�WRR�VPDOO�WR�FDUU\�WKH�FXWWLQJV�WR�WKHVXUIDFH��7R�HQKDQFH�WKH�FDUU\LQJ�FDSDFLW\�RI�WKH�GULOOLQJ�IOXLG��WZR�RSWLRQV�DUH�DYDLODEOH��%HQWRQLWH�FOD\FDQ�EH�DGGHG�WR�WKH�GULOOLQJ�IOXLG�WR�LQFUHDVH�LWV�YLVFRVLW\��8QIRUWXQDWHO\��WKLV�SURFHGXUH�LV�XQDFFHSWDEOHIRU�FHUWDLQ�RSHUDWLRQV��VXFK�DV�GULOOLQJ�ZDWHU�ZHOOV��EHFDXVH�WKH�PXG�FDNH�FDQQRW�EH�HDVLO\�ZDVKHG�IURPWKH�ZDOOV�RI�WKH�ERUHKROH��$Q�DOWHUQDWLYH�SURFHGXUH�LV�XVLQJ�UHYHUVH�FLUFXODWLRQ�

�� 5HYHUVH� FLUFXODWLRQ� RI� GULOOLQJ� IOXLG�� 7KH� UHYHUVH� FLUFXODWLRQ� GULOOLQJ� SURFHGXUH�� DV� WKH� QDPHLPSOLHV��FRQVLVWV�RI�IHHGLQJ�WKH�GULOOLQJ�IOXLG�LQWR�WKH�ERUHKROH�E\�JUDYLW\�DQG�SXPSLQJ�LW�RXW�WKURXJK�WKHGULOO�URGV��$�MHW�HGXFWRU�DQG�KRVHV�WR�FRQQHFW�WKH�HGXFWRU�WR�WKH�FLUFXODWLRQ�V\VWHP�DUH�WKH�RQO\�DGGLWLRQDOSLHFHV�RI�HTXLSPHQW�ZKLFK�DUH�QHHGHG�DV�FRPSDUHG� WR�QRUPDO�FLUFXODWLRQ�RI� WKH�GULOOLQJ� IOXLG�� 7R�XVHUHYHUVH�FLUFXODWLRQ��ZDWHU�LV�SXPSHG�IURP�RQH�HQG�RI�WKH�VXPS��WKURXJK�WKH�HGXFWRU��DQG�UHWXUQHG�WR�WKHRSSRVLWH� HQG�RI� WKH�VXPS�� $V� WKH�ZDWHU� LV�SXPSHG� WKURXJK�WKH�HGXFWRU��D�YDFXXP�LV�GHYHORSHG�� 7KLVYDFXXP�LV�XVHG�WR�UHPRYH�WKH�GULOOLQJ�IOXLG�IURP�WKH�ERUHKROH�E\�UHGXFLQJ�WKH�KHDG�RI�ZDWHU�LQ�WKH�GULOOURGV�DV�FRPSDUHG�WR�WKH�KHDG�LQ�WKH�DQQXOXV�RI�WKH�ERUHKROH��7KH�YHORFLW\�RI�WKH�GULOOLQJ�IOXLG�LV�ORZ�LQWKH�DQQXOXV�EHWZHHQ�WKH�GULOO�URGV�DQG�WKH�ZDOOV�RI�WKH�ERUHKROH�EXW�LV�YHU\�KLJK�LQVLGH�WKH�SLSH��:KHQWKH�UHYHUVH�FLUFXODWLRQ�PHWKRG�LV�XVHG��WKH�LQVLGH�GLDPHWHU�RI�WKH�GULOO�SLSH�VKRXOG�EH�ODUJHU�WKDQ�WKDW�XVHGIRU�WKH�QRUPDO�FLUFXODWLRQ�PHWKRG�WR�SHUPLW�WKH�FXWWLQJV�WR�EH�FDUULHG�WR�WKH�VXUIDFH�

7KH�UHYHUVH�FLUFXODWLRQ�SURFHGXUH�LV�XVHIXO�IRU�GULOOLQJ�ZDWHU�ZHOOV��IRU�GULOOLQJ�FRKHVLRQOHVV�VRLOV��RU�IRUGULOOLQJ�KROHV��FHQWLPHWHUV��FP��RU��LQFKHV��LQ��GLDPHWHU��GLDP��RU�ODUJHU��7KH�ORZHU�YHORFLW\�LQ�WKHERUHKROH�DQG�DW�WKH�ELW�WHQGV�WR�FDXVH�OHVV�GDPDJH�WR�WKH�IRUPDWLRQ��7KH�KLJKHU�YHORFLW\�LQ�WKH�GULOO�SLSHFDXVHV�PRUH�HIIHFWLYH� UHPRYDO�RI� WKH� FXWWLQJV� IURP� WKH�ERUHKROH�� +RZHYHU�� WKHUH�DUH� VHYHUDO� OLPLWLQJFRQGLWLRQV��7KH�UHYHUVH�FLUFXODWLRQ�SURFHGXUH�FDQQRW�EH�XVHG�LI�WKH�JURXQGZDWHU�WDEOH�LV�WRR�KLJK��$V�DUXOH�RI�WKXPE��WKHUH�PXVW�EH�DW�OHDVW�D��P��IW��GLIIHUHQWLDO�EHWZHHQ�WKH�WRS�RI�WKH�ERUHKROH�DQG�WKHJURXQGZDWHU�WDEOH�WR�VXSSRUW�ZDOOV�RI�WKH�ERUHKROH��7KH�UHYHUVH�FLUFXODWLRQ�PHWKRG�GRHV�QRW�ZRUN�ZHOO�LI

(0��-DQ��

)��

FREEOHV� ODUJHU� WKDQ� WKH� LQVLGH� GLDPHWHU� RI� WKH� GULOO� SLSH� DUH� HQFRXQWHUHG�� ,I� WRR� PDQ\� FREEOHV� DUHHQFRXQWHUHG�DQG�FDQQRW�EH�UHPRYHG�IURP�WKH�ERULQJ��WKH�ELW�VKRXOG�EH�ZLWKGUDZQ�DQG�D�EXFNHW�DXJHU�FDQEH�XVHG�WR�FOHDQ�WKH�ERWWRP�RI�WKH�KROH��:KHQ�FOD\�LV�GULOOHG��WKH�FXWWLQJV�PD\�WHQG�WR�EXLOG�RQ�WKH�EODGHVRI�WKH�ELW�EHFDXVH�RI�LQHIIHFWLYH�FOHDQLQJ�GXH�WR�WKH�ORZ�YHORFLW\�RI�WKH�GULOOLQJ�IOXLG�SDVW�WKH�ELW��,I�WKLVSUREOHP�RFFXUV��WKH�ELW�FDQQRW�EH�DGYDQFHG��,W�PXVW�EH�SXOOHG�DQG�FOHDQHG�EHIRUH�DGGLWLRQDO�GULOOLQJ�FDQEH�GRQH�

F� 'ULOO�KHDG��3HUKDSV�WKH�VLQJOH�PRVW�LPSRUWDQW�FRPSRQHQW�RI�WKH�GULOOLQJ�ULJ�LV�WKH�GULYH�KHDG�RUGULOO�KHDG�� ,WV�SULPDU\�IXQFWLRQV�LQFOXGH�URWDWLQJ�DQG�KRLVWLQJ�RU�SXOO�GRZQ�RI�WKH�GULOOLQJ�WRROV�� 6RPHGULOO�KHDGV�KDYH�WKH�FDSDELOLW\�RI�EHLQJ�URWDWHG�IURP�YHUWLFDO�WR�KRUL]RQWDO�IRU�GULOOLQJ�YHUWLFDO�RU�LQFOLQHGKROHV�� 'ULOO� ULJV�PD\�DOVR�EH�HTXLSSHG�ZLWK�D� VSHFLDO�³JDWH�RSHQLQJ´�GULYH�KHDG�ZKLFK�FDQ�EH� VZXQJDVLGH� WR� SHUPLW� UHPRYDO� RI� GULOO� URGV�� 7KH� SULQFLSDO� GLVDGYDQWDJH� RI� WKLV� W\SH� RI� GULYH� KHDG� LV� WKHORRVHQHVV�RU�ZREEOH�ZKLFK�PD\�GHYHORS�DV�D�UHVXOW�RI�ZHDU�RI�WKH�V\VWHP��7KH�JDWH�RSHQLQJ�GULOO�KHDG�LVEHLQJ� UHSODFHG� ZLWK� D� VROLG� GULOO� KHDG� VOLGLQJ� WDEOH� ZKLFK� FDQ� EH� PRYHG� IRUZDUG� RU� EDFN� WR� SHUPLWUHPRYDO�RI�WKH�GULOO�URGV�

'ULOOLQJ�WRROV�DUH�FRQQHFWHG�WR�WKH�GULOO�KHDG�E\�D�IOXWHG�RU�VTXDUH�WKLFN�ZDOOHG�SLSH�RU�³NHOO\´�URG�ZKLFKUXQV� WKURXJK�WKH�GULYH�KHDG��7KH�NHOO\�LV�GHVLJQHG�WR�PRYH�XS�DQG�GRZQ�WKURXJK�WKH�GULOO�KHDG�DV�LW�LVURWDWHG��7RUTXH�LV�DSSOLHG�WR�WKH�NHOO\�WKURXJK�EHYHO�JHDUV�LQ�WKH�GULYH�KHDG��7KH�VSHHG�RI�URWDWLRQ�YDULHVRYHU� D�ZLGH� UDQJH�� 7KH� WRS�RI� WKH�NHOO\� LV� ILWWHG�ZLWK�D� VZLYHO�ZKLFK�SHUPLWV� WKH� GULOOLQJ� IOXLG� WR�EHSXPSHG�WKURXJK�WKH�NHOO\�DQG�GULOO�URGV�WR�WKH�GULOOLQJ�DQG�VDPSOLQJ�WRROV��6RPH�W\SHV�RI�VZLYHOV�KDYHEHHQ�GHVLJQHG�IRU�XVH�LQ�FRQMXQFWLRQ�ZLWK�WKH�SXOOGRZQ�PHFKDQLVPV�RQ�GULOO�ULJV�

7ZR�EDVLF�FKRLFHV�IRU�FRQWUROOLQJ�WKH�UDWH�RI�DGYDQFH�RU�IHHG�RI�WKH�GULOOLQJ�RU�VDPSOLQJ�DSSDUDWXV�DUHDYDLODEOH��7KH�VFUHZ�IHHG�DGYDQFHV�WKH�VSLQGOH�WKURXJK�JHDUV�DQG�D�IHHG�QXW��7KLV�WHFKQLTXH�IRUFHV�WKHVSLQGOH�GRZQZDUG�DW�D�VHW�UDWLR�RI�DGYDQFH�WR�URWDWLRQ�RI�WKH�GULOO�VWULQJ��W\SLFDOO\��WKUHH�RU�IRXU�UDWLRV�DUHDYDLODEOH��7KH�K\GUDXOLF�GULYH�DQG�WKH�FKDLQ�RU�FDEOH�SXOOGRZQ�WHFKQLTXHV�DUH�PRUH�IOH[LEOH�DQG�UHOLDEOHDQG� DUH� JUDGXDOO\� UHSODFLQJ� WKH� VFUHZ� IHHG� PHWKRG�� ,Q� JHQHUDO�� ZLWK� RWKHU� IDFWRUV� EHLQJ� HTXDO�� WKHK\GUDXOLF�GULYH�PHFKDQLVP�LV�FDSDEOH�RI�GHYHORSLQJ�JUHDWHU�WKUXVWV�WKDQ�FKDLQ��RU�FDEOH�SXOOGRZQ�PHFK�DQLVPV�

�� +\GUDXOLF� GULYH�� 2LO�RSHUDWHG� K\GUDXOLF� GULYH� V\VWHPV� RQ� GULOO� ULJV� DUH� WKH�PRVW� VDWLVIDFWRU\GULYH�PHFKDQLVPV�IRU�FRQGXFWLQJ�XQGLVWXUEHG�VDPSOLQJ�RSHUDWLRQV��0RVW�K\GUDXOLF�GULYH�V\VWHPV�FRQVLVWRI�WZR�F\OLQGHUV�ZKLFK�DUH�DWWDFKHG�WR�WKH�GULYH�KHDG��$�PDQXDO�RU�DXWRPDWLF�FKXFN��ZKLFK�LV�ORFDWHG�LQWKH�GULYH�KHDG��FRQVLVWV�RI�WKUHH�RU�IRXU�MDZV�ZKLFK�JULS�WKH�NHOO\�WR� WUDQVIHU� WKUXVW�IURP�WKH�K\GUDXOLFF\OLQGHUV� WR� WKH� GULOO� URGV�� 'XULQJ�GULOOLQJ�RSHUDWLRQV�XVLQJ� D�PDQXDO� FKXFNLQJ� V\VWHP�� WKH� K\GUDXOLFF\OLQGHUV�DUH�DFWLYDWHG�WR�UDLVH�WKH�GULYH�KHDG��WKH�NHOO\�LV�FKXFNHG��DQG�D�GULYH�LV�PDGH��:KHQ�WKH�GULYHKHDG�KDV�EHHQ�PRYHG�D�GLVWDQFH�HTXDO�WR�WKH�VWURNH�RI�WKH�K\GUDXOLF�F\OLQGHUV��ZKLFK�LV�XVXDOO\��WR��P� �� WR��IW��RI� WUDYHO�� WKH�NHOO\� LV�XQFKXFNHG�� WKH�F\OLQGHUV�DUH� UDLVHG��DQG� WKH�NHOO\� LV� UHFKXFNHG� IRUDQRWKHU�GULYH�� ,I� DQ� DXWRPDWLF�FKXFN� LV�XVHG�� WKH�FKXFN�ZLOO�RQO\�JULS� WKH�NHOO\�GXULQJ� WKH�GRZQZDUGPRYHPHQW�RI�WKH�GULYHKHDG��)LJXUH��VKRZV�D�W\SLFDO�WUXFN�PRXQWHG�URWDU\�GULOO�ULJ�ZLWK�DQ�K\GUDXOLFGULYH�V\VWHP��)LJXUH��LGHQWLILHV�D�QXPEHU�RI�VSHFLILF�HOHPHQWV��VXFK�DV�FDWKHDG��MDZ�FKXFN��DQG�URWDU\WDEOH��RQ�D�W\SLFDO�WUXFN�PRXQWHG�URWDU\�GULOO�ULJ�

��&KDLQ�SXOOGRZQ��'ULOO�ULJV�HTXLSSHG�ZLWK�FKDLQ�SXOOGRZQ�GULYH�PHFKDQLVPV�DUH�VDWLVIDFWRU\�IRUXQGLVWXUEHG�VDPSOLQJ�RI�VRPH�VRLOV��7KH�FKDLQ�SXOOGRZQ�V\VWHP�FRQVLVWV�RI�FKDLQV�ORFDWHG�RQ�HDFK�VLGHRI�WKH�NHOO\�ZKLFK�DUH�FRQQHFWHG�WR�VSURFNHW�ZKHHOV�ORFDWHG�RQ�WKH�GHFN�RI�WKH�ULJ��7KH�VSURFNHW�ZKHHOVDUH� GULYHQ� WKURXJK�D� K\GUDXOLF� WUDQVPLVVLRQ�� 7KH�FKDLQ�SXOOGRZQ�PHFKDQLVP�DSSOLHV� WKUXVW� WKURXJK�D\RNH�ZKLFK�LV�DWWDFKHG�WR�WKH�ZDWHU�VZLYHO�DW�WKH�WRS�RI�WKH�NHOO\��7KHUHIRUH��D�VSHFLDO�DGDSWRU�LV�UHTXLUHG

(0��-DQ��

)��

WR�DOORZ�WKH�SLVWRQ�URG�H[WHQVLRQV�WR�SDVV�WKURXJK�WKH�VZLYHO�DQG�EH�FODPSHG�LQ�WKH�GULOO�ULJ�PDVW�ZKHQ�DIL[HG�SLVWRQ�VDPSOHU�LV�XVHG��$V�FRPSDUHG�WR�K\GUDXOLF�SXOOGRZQ�V\VWHPV��FKDLQ�SXOOGRZQ�V\VWHPV�KDYHD�PXFK�ORQJHU�VWURNH��L�H��P��IW��RU�PRUH��)LJXUH��VKRZV�D�WUXFN�PRXQWHG�URWDU\�GULOO�ULJ�ZLWK�DFKDLQ�IHHG�GULYH�V\VWHP�

��&DEOH�SXOOGRZQ��8QGLVWXUEHG�VDPSOHV�DUH�VHOGRP�REWDLQHG�ZLWK�D�FDEOH�SXOOGRZQ�DUUDQJHPHQWRQ�D� GULOO� ULJ��DOWKRXJK�FDEOH�SXOOGRZQ�PHFKDQLVPV�KDYH�VRPHWLPHV�EHHQ�XVHG�WR�DFKLHYH� ORQJ�VDPSOHGULYHV�� *HQHUDOO\�� FDEOH�SXOOGRZQ�DUUDQJHPHQWV� DUH�XVHG� LQ� UHPRWH�� LQDFFHVVLEOH�DUHDV� LQ� FRQMXQFWLRQZLWK�D�EORFN�DQG�WDFNOH�RU�D�KDQG�RSHUDWHG�ZLQFK�WR�DSSO\�WKH�GULYLQJ�SRZHU��

G� +RLVWV��+RLVWLQJ�GUXPV�DQG�FDEOHV�DUH�QHHGHG�WR�UDLVH�RU�ORZHU�GULOOLQJ�WRROV�DQG�FDVLQJ��+RLVWVRQ�PRVW�GULOO�ULJV�WUDGLWLRQDOO\�FRQVLVW�RI�D�VLQJOH�ZLUHOLQH�GUXP�ZLWK�FDEOHV�DQG�VKHDYHV��7KHVH�V\VWHPVDUH� IUHTXHQWO\� VXSSOHPHQWHG�RQ�D�SDUW�WLPH�EDVLV�E\� WKH�FDWKHDG�DQG� URSH�V\VWHP�RU�D� VSHFLDO�ZLUHOLQHKRLVW�IRU�UHFRYHULQJ�WKH�LQQHU�FRUH�EDUUHO�IRU�ZLUHOLQH�GULOOLQJ�

7KH� W\SLFDO�GUXP�KRLVW� LV�FRQWUROOHG�E\�D�EUDNH�DQG�D�FOXWFK�� 7KH�FDEOH�RQ� WKH�GUXP�KRLVW�PXVW� UHDFKIURP�WKH�KRLVW�WR�WKH�VKHDYH�RQ�WKH�GHUULFN�DQG�EDFN�WR�WKH�GULOO�GHFN��,WV�DGYDQWDJHV�LQFOXGH�D�KLJK�JHDUUHGXFWLRQ� ZKLFK� DOORZV� IRU� SRZHUIXO�� ORZ�VSHHG� KRLVWLQJ� FDSDELOLWLHV�� 7KLV� IHDWXUH� SHUPLWV� IHDWKHUVPRRWK�OLIWLQJ�FKDUDFWHULVWLFV�IRU�ORZHULQJ�RU�UDLVLQJ�WKH�GULOO�VWULQJ�ZLWKRXW�MDUULQJ�RU�MHUNLQJ��+RZHYHU�WKH�GUXP�KRLVW�V\VWHP�LV�QRW�DFFHSWDEOH�IRU�OLIWLQJ�DQG�GURSSLQJ�WKH�KDPPHU�IRU�WKH�6WDQGDUG�3HQHWUDWLRQ7HVW��637��WKDW�LV�GLVFXVVHG�LQ�$SSHQGL[�%��$SSHQGL[�*�RI�WKH�*HRWHFKQLFDO�,QYHVWLJDWLRQV�PDQXDO��

7KH�FDWKHDG�DQG�URSH�V\VWHP�LV�KDQG\�IRU�GULYLQJ�FDVLQJ��OLIWLQJ�DQG�GURSSLQJ�WKH�KDPPHU�IRU�WKH�637�SLFNLQJ�XS�KHDY\�DFFHVVRULHV��DQG�IRU�FRQGXFWLQJ�ZDVK�ERULQJV��,W�FRQVLVWV�RI�D�FDWKHDG��D�VKHDYH�RQ�DGHUULFN��DQG�D�PDQLOD�URSH��7KLV�V\VWHP�FDQ�EH�XVHG�WR�OLIW�PRGHUDWHO\�KHDY\�REMHFWV�DW�PHGLXP�OLIWLQJUDWHV�

7KH�ZLUHOLQH�KRLVW�V\VWHP�ZKLFK�LV�XVHG�IRU�ZLUHOLQH�GULOOLQJ�LV�D�KLJK�VSHHG��ORZ�FDSDFLW\�V\VWHP��7KHZLUHOLQH�KRLVW�V\VWHP�PXVW�EH�HTXLSSHG�ZLWK�VXIILFLHQW�FDEOH�WR�UHDFK�IURP�WKH�KRLVW�WR�WKH�VKHDYH�RQ�WKHGHUULFN�WR�WKH�ERWWRP�RI�ERUHKROH�

H� 'HUULFN��$�GHUULFN�LV�D�WZR��WR�IRXU�OHJJHG�IUDPH�RU�PDVW�ZKLFK�LV�HTXLSSHG�ZLWK�D�VKHDYH�IRUKRLVWLQJ�DQG�KDQGOLQJ�WRROV� LQ�DQG�RXW�RI�WKH�ERUHKROH�� ,W�FDQ�DOVR�VXSSOHPHQW�DV�D�IUDPH�IRU�VWDFNLQJGULOO�URGV�GXULQJ�WULSV��7KH�GHVLJQ�DQG�KHLJKW�RI�WKH�GHUULFN�LV�XVXDOO\�VHOHFWHG�EDVHG�XSRQ�WKH�OHQJWK�RI�DGULOO� URG� DQG� WKH� W\SH�RI� GULOOLQJ�ZKLFK� LV� QRUPDOO\� FRQGXFWHG�� )RU� VKDOORZ�ERULQJV�� WKH� GULOO� SLSH� LVIUHTXHQWO\� ��P� �� IW�� VHFWLRQV�� )RU� GHHSHU� ERULQJV�� ORQJHU� GULOO� SLSH�� L�H�� WR� ��P� �� WR� �� IW�� LVQRUPDOO\�XVHG��)RU�DQJOHG�KROHV��D�GHUULFN�ZLWK�DQ�DGMXVWDEOH�IUDPH�RU�OHJV�PD\�EH�GHVLUDEOH��3ULRU�WRWUDQVSRUW��WKH�GHUULFN�LV�IROGHG�GRZQ�RQ�WKH�GULOO�ULJ��IRU�PRVW�ULJV��WKLV�RSHUDWLRQ�LV�SHUIRUPHG�E\�WKH�XVHRI�K\GUDXOLF�F\OLQGHUV�

I� 0RXQWLQJ�SODWIRUP��:LWK�WKH�H[FHSWLRQ�RI�OLJKWZHLJKW�SRUWDEOH�XQLWV�ZKLFK�DUH�XVHG�LQ�UHPRWHDUHDV��GULOOLQJ�ULJV�DUH�XVXDOO\�DIIL[HG�WR�D�PRXQWLQJ�SODWIRUP�RU�GHFN�WR�SHUPLW�OHYHOLQJ�RI�WKH�GULOO�KHDGEHIRUH� GULOOLQJ� DQG� WR� SUHYHQW� PRYHPHQW� RXW� RI� DOLJQPHQW� GXULQJ� GULOOLQJ� RSHUDWLRQV�� 7KH� SODWIRUPVKRXOG�EH�UXJJHG�HQRXJK�WR�SHUPLW�WKH�XVH�RI�WKH�IXOO�FDSDFLW\�RI�WKH�GULOO�

6HYHUDO�W\SHV�RI�GULOO�PRXQWLQJ�SODWIRUPV�FDQ�EH�XVHG��GHSHQGLQJ�RQ�WKH�WHUUDLQ��ORJLVWLFV��DQG�GHSWK�RIKROH��2Q�ODQG��WKH�GULOO�PD\�EH�PRXQWHG�RQ�D�SODWIRUP�RI�UHLQIRUFHG�WLPEHU�FULEELQJ�RU�DIIL[HG�WR�D�WUXFNRU�WUDLOHU�� )RU�UXJJHG�WHUUDLQ��D�VPDOOHU�YHUVLRQ�RI�WKH�WUXFN�PRXQWHG�ULJ�PD\�EH�PRXQWHG�RQ�VNLGV�DQGGUDJJHG��/LJKWZHLJKW�XQLWV��VXFK�DV�WKH�KDQG�KHOG�YLEUDWRU\�VDPSOLQJ�GHYLFHV�RU�KDQG�KHOG�DXJHUV��FDQ

(0��-DQ��

)��

EH�PRXQWHG�RQ�FDVLQJ�RU�D� IUDPHZRUN�RI�GULOO�SLSH�ZKLFK�KDV�EHHQ�GULYHQ� LQWR� WKH�RYHUEXUGHQ�� /DQG�W\SH�GULOO� ULJV�PRXQWHG�RQ�EDUJHV�� IORDWLQJ�SODWIRUPV�VXSSRUWHG�E\�SRQWRRQV�RI�RLO� GUXPV��RU� WKH� IL[HGSODWIRUPV�VXSSRUWHG�E\�SLOHV�RU� VSXGV�DUH�XVHG� IRU�PRVW�QHDUVKRUH�PDULQH�ZRUN�� $OWKRXJK�D�EDUJH�RUIORDWLQJ�SODWIRUP�LV�PRUH�FRPPRQ�WKDQ�D�IL[HG�SODWIRUP��WKH�GLVDGYDQWDJH�RI�WKH�EDUJH�RU�IORDW�LV�WKDW�LWPRYHV�ZLWK�WLGH�DQG�ZDYH�DFWLRQ��ZKHUHDV�WKH�GLVDGYDQWDJH�RI�WKH�IL[HG�GULOOLQJ�SODWIRUP�LV�LWV�H[SHQVH�

J� $QFLOODU\�HTXLSPHQW��$�QXPEHU�RI�VPDOO�WRROV�DQG�PLVFHOODQHRXV�HTXLSPHQW�DUH�QHHGHG�IRU�WKHGULOO�ULJ��'ULYLQJ�ZHLJKWV��VXFK�DV�WKH��NLORJUDP��NJ��RU��SRXQG��OE��KDPPHU�IRU�WKH�637�WHVW�DQGSHUKDSV�D�ODUJHU�KDPPHU��L�H��WR��NJ��WR��OE��UDQJH��IRU�GULYLQJ�DQG�UHPRYLQJ�FDVLQJ�DUHLQWHJUDO�FRPSRQHQWV�RI�WKH�GULOO�ULJ��)LVKLQJ�WRROV�IRU�UHFRYHULQJ�GULOOLQJ�HTXLSPHQW�ZKLFK�KDV�EHHQ�ORVWLQ� WKH� ERUHKROH��E\SDVV� DQG�SRS�RII� YDOYHV� IRU� WKH� IOXLG� FLUFXODWLRQ� V\VWHP�� DVVRUWHG� VDIHW\�KRRNV�DQGKRLVWLQJ�WRROV��WRROV�IRU�FRXSOLQJ�DQG�XQFRXSOLQJ�GULOO�VWULQJV�RU�DXJHUV��DQG�VSLGHUV�DQG�IRUNV�IRU�KROGLQJVHFWLRQV�RI�GULOO�URGV�RU�DXJHUV�LQ�WKH�ERUHKROH�VKRXOG�DOZD\V�EH�FDUULHG�RQ�WKH�GULOO�ULJ��$�VKRUW�SLHFH�RIFDVLQJ�ZKLFK�FDQ�EH�GULYHQ�LQWR�WKH�JURXQG�SULRU� WR�FRPPHQFLQJ� WKH�GULOOLQJ�RSHUDWLRQV�VKRXOG�DOVR�EHFDUULHG�RQ�WKH�GULOO�ULJ��WKH�FDVLQJ�FDQ�EH�XVHG�DV�D�FROODU�WR�SUHYHQW�HURVLRQ�RU�VORXJKLQJ�DW�WKH�WRS�RI�WKHERUHKROH�FDXVHG�E\�WKH�DFWLRQ�RI�WKH�GULOOLQJ�IOXLG��2WKHU�HTXLSPHQW�PD\�LQFOXGH�UDFNV�IRU�VWDFNLQJ�GULOOURGV�DQG�VDPSOHV��$�QXPEHU�RI�VPDOO�WRROV�VXFK�DV�KDQG�KHOG�KDPPHUV��SXQFKHV��DGMXVWDEOH�ZUHQFKHV�SLSH�ZUHQFKHV�� SOLHUV�� YLVH� JULSV�� VFUHZGULYHUV�� DOOHQ�ZUHQFKHV�� DQG� KDFNVDZV� DQG� KDFNVDZ�EODGHV�� DVZHOO�DV�KDUG�KDWV��ILUVW�DLG�NLWV��DQG�WKLV�PDQXDO��VKRXOG�DOZD\V�EH�FDUULHG�RQ�WKH�GULOO�ULJ�

��7\SHV�RI�'ULOOV

'ULOO�ULJV�DUH�GHVLJQHG�WR�SHUIRUP�D�FHUWDLQ�W\SH�RI�RSHUDWLRQ��5RWDU\��FKXUQ��DQG�SHUFXVVLRQ�GULOO�ULJV�DUHWKH�PRVW�FRPPRQ��DOWKRXJK�D�QXPEHU�RI�RWKHU�W\SHV�RI�ULJV�KDYH�EHHQ�GHVLJQHG�DQG�GHYHORSHG�WR�SHUIRUPVLWH�VSHFLILF�WDVNV��VXFK�DV�GULOOLQJ�VKRW�KROHV�LQ�TXDUULHV��2I�WKHVH�ULJV��WKH�URWDU\�GULOO�ULJ�LV�ZLGHO\�XVHGIRU�JHRWHFKQLFDO�HQJLQHHULQJ�LQYHVWLJDWLRQV��ZKHUHDV�FKXUQ�DQG�SHUFXVVLRQ�ULJV�DUH�XVHG�PRUH�H[WHQVLYHO\IRU�GULOOLQJ�ZDWHU�ZHOOV�DQG�IRU�FRQVWUXFWLRQ�RSHUDWLRQV��VXFK�DV�GULOOLQJ�KROHV�IRU�FDVW�LQ�SODFH�SLOHV�

D� 'ULOOV�IRU�ZDVK�ERULQJV��7KH�ZDVK�ERULQJ�UHIHUV�WR�D�SURFHVV�E\�ZKLFK�WKH�ERUHKROH�LV�DGYDQFHGE\� D� FRPELQDWLRQ�RI�FKRSSLQJ� DQG� MHWWLQJ� WR�EUHDN� WKH� IRUPDWLRQ�DQG�ZDVKLQJ� WR� UHPRYH� WKH� FXWWLQJV�7KH�SULQFLSDO�XVH�RI�WKH�ZDVK�ERULQJ�PHWKRG�LV�WR�DGYDQFH�WKH�KROH�EHWZHHQ�VDPSOHV��7KH�FXWWLQJV�DUHQRW� DFFHSWDEOH� IRU�VDPSOLQJ�EHFDXVH�RI� WKH�EUHDNGRZQ�RI� WKH�SDUWLFOHV�GXH� WR� WKH�FKRSSLQJ�DFWLRQ�� WKHORVV�RI� ILQHV�GXULQJ�WUDQVSRUW�RI�WKH�FXWWLQJV�WR�WKH�VXUIDFH��DQG�VHJUHJDWLRQ�RI�WKH�FXWWLQJV�LQ�WKH�VXPSWDQN��+RZHYHU��DQ�H[SHULHQFHG�RSHUDWRU�PD\�EH�DEOH�WR�GLVWLQJXLVK�FKDQJHV�RI�VWUDWLJUDSK\�E\�WKH�DFWLRQRI�WKH�FKRSSLQJ�ELW�DV�ZHOO�DV�E\�FKDQJHV�RI�WKH�FKDUDFWHULVWLFV�RI�WKH�FXWWLQJV�

7KH�HTXLSPHQW�WR�DGYDQFH�KROHV�E\�WKH�ZDVK�ERULQJ�PHWKRG�FRQVLVWV�RI�D�PRWRU�ZKLFK�LV�XVHG�WR�GULYH�DFDWKHDG�IRU�UDLVLQJ�DQG�ORZHULQJ�WKH�WRROV�LQ�WKH�ERUHKROH��D�GHUULFN�ZLWK�D�VKHDYH�WKURXJK�ZKLFK�D�URSHIURP�WKH�FDWKHDG�LV�SDVVHG�WR� WKH�GULOOLQJ� WRROV��DQG�D�ZDWHU�SXPS�IRU� MHWWLQJ�DQG�ZDVKLQJ� WKH�FXWWLQJVIURP�WKH�ERUHKROH��'XULQJ�GULOOLQJ�RSHUDWLRQV��WKH�GULOO�VWULQJ�LV�ORZHUHG�LQWR�WKH�ERUHKROH��'ULOOLQJ�IOXLGLV�SXPSHG�XQGHU�SUHVVXUH�WKURXJK�WKH�GULOO�URGV�DQG�ELW�WR�WKH�ERWWRP�RI�WKH�KROH�DV�WKH�FKRSSLQJ�ELW�LVUDLVHG� DQG�GURSSHG�� (DFK� WLPH�WKH�URGV�DUH�GURSSHG�� WKH\�DUH� URWDWHG�HLWKHU�PDQXDOO\�E\�D�ZUHQFK� RUOHYHU� RU� PHFKDQLFDOO\� E\� WKH� URWDU\� GULOO�ULJ� GULYH�� 7KH� URWDWLRQ� RI� WKH� GULOO� URGV� KHOSV� WR� EUHDN� WKHPDWHULDO�DW� WKH�ERWWRP�RI�WKH�ERUHKROH��7KH�UHVXOWLQJ�FXWWLQJV�DUH�FDUULHG�WR�WKH�VXUIDFH�E\�WKH�GULOOLQJIOXLG�ZKLFK�IORZV�LQ�WKH�DQQXOXV�EHWZHHQ�WKH�GULOO�SLSH�DQG�WKH�ZDOOV�RI�WKH�KROH��&XWWLQJV�ZKLFK�DUH�QRWUHPRYHG�IURP�WKH�ERUHKROH�ZKHQ�WKH�FLUFXODWLRQ�RI�WKH�GULOOLQJ�IOXLG�LV�VWRSSHG�WHQG�WR�VHWWOH�DQG�EHFRPHWKH�XSSHU�SDUW�RI�WKH�QH[W�VDPSOH��7KH�KROH�FDQ�XVXDOO\�EH�FOHDQHG�VDWLVIDFWRULO\�E\�UDLVLQJ�WKH�GULOO�VWULQJVOLJKWO\�DQG�FLUFXODWLQJ�WKH�GULOOLQJ�IOXLG�XQWLO�LW�LV�IUHH�RI�FXWWLQJV��&DVLQJ�PD\�EH�XVHG��LI�QHFHVVDU\��WRVWDELOL]H�WKH�ZDOOV�RI�WKH�ERUHKROH�

(0��-DQ��

)��

E� &KXUQ�GULOOV��7KH�FKXUQ�GULOO�ZDV�RQH�RI�WKH�ILUVW�W\SHV�RI�GULOOLQJ�PDFKLQHV�WR�EH�PDQXIDFWXUHG�&KXUQ� GULOOV� DUH�XVHG� H[WHQVLYHO\� LQ� WKH�ZDWHU�ZHOO� LQGXVWU\�� 7KH\� DUH� HFRQRPLFDO� WR�RSHUDWH�DQG� DUHXVHIXO� IRU�DGYDQFLQJ�D�ERULQJ� WKURXJK�ERXOGHU�RU�UXEEOH�]RQHV�DQG�FDQ�EH�XVHG�IRU�REWDLQLQJ�GLVWXUEHGGULYH� VDPSOHV� LQ� VRLO� DQG� VRIW� VKDOH�� +RZHYHU�� WKH\� FDQ� QRW� EH� DGDSWHG� WR� XQGLVWXUEHG� VDPSOLQJRSHUDWLRQV�

7KH�FKXUQ�GULOO�KDV�QR�URWDU\�IHDWXUHV��&KXUQ�GULOOLQJ�ZKLFK�LV�RIWHQ�FDOOHG�FDEOH�WRRO�GULOOLQJ�LV�DFFRP�SOLVKHG�E\�WKH�XS�DQG�GRZQ�KDPPHULQJ�RU�FKXUQLQJ�DFWLRQ�RI�D�FKLVHO�VKDSHG�RU�D�FURVV�VKDSHG�GULOO�ELWIRU� VSXGGLQJ� RU� FKRSSLQJ�� 7KH� GULOO� ELW� LV� DWWDFKHG� WR� D� KHDY\� VWHHO�ZHLJKW� RQ� WKH� GULOO� VWULQJ� ZKLFKIUHTXHQWO\�H[FHHGV� ��NJ� �� OE�� 7KH�GULOO� VWULQJ� LV� VXVSHQGHG�E\�D�FDEOH�DQG� WHQGV� WR� DFW� OLNH�DSOXPE�ERE�ZKHQ�LW�LV�UDLVHG�DQG�GURSSHG��7KH�FKXUQLQJ�DFWLRQ�LV�DFFRPSOLVKHG�E\�D�ZDONLQJ�EHDP�RQ�WKHGULOO�ULJ�� &KXUQ�GULOOV�PD\�EH�WUXFN�RU�WUDLOHU�PRXQWHG�DQG�DUH�JHQHUDOO\�SRZHUHG�E\�JDVROLQH�RU�GLHVHOHQJLQHV�

7KH�SURFHGXUHV�ZKLFK�DUH�XVHG�WR�DGYDQFH�WKH�ERUHKROH�GHSHQG�RQ�WKH�ORFDWLRQ�RI�WKH�ZDWHU�WDEOH�DQG�WKHW\SH�RI�VRLO�ZKLFK�LV�HQFRXQWHUHG��$ERYH�WKH�ZDWHU�WDEOH��D�VPDOO�DPRXQW�RI�ZDWHU�VKRXOG�EH�SRXUHG�LQWRWKH�ERUHKROH�WR�IRUP�D�VOXUU\�ZLWK�WKH�FXWWLQJV��:KHQ�WKH�FDUU\LQJ�FDSDFLW\�RI�WKH�VOXUU\�LV�UHDFKHG��LW�FDQEH�UHPRYHG�E\�EDLOLQJ��$IWHU�WKH�FXWWLQJV�KDYH�EHHQ�UHPRYHG��PRUH�ZDWHU�LV�DGGHG�WR�WKH�ERUHKROH�DQGWKH�SURFHGXUH�LV�UHSHDWHG��:KHQ�GULOOLQJ�EHORZ�WKH�ZDWHU�WDEOH��LW�LV�QRW�QHFHVVDU\�WR�DGG�ZDWHU�IRU�WKHVOXUU\��)RU�FOD\V��D�VPDOO�DPRXQW�RI�VDQG�PD\�EH�SODFHG�LQ�WKH�ERUHKROH�WR�HQKDQFH�WKH�FXWWLQJ�DFWLRQ�RIWKH�ELW��)RU�VDQGV��FOD\�PD\�EH�SODFHG�LQ�WKH�ERUHKROH�WR�HQKDQFH�WKH�FDUU\LQJ�FDSDFLW\�RI�WKH�VOXUU\��)RUXQVWDEOH� VRLOV�� FDVLQJ� PD\� EH� DGGHG� DV� WKH� ERUHKROH� LV� DGYDQFHG�� LQ� VRIW� RU� FRKHVLRQOHVV� VRLOV�� WKHERUHKROH� FDQ� IUHTXHQWO\� EH� DGYDQFHG� E\� EDLOLQJ� LQVLGH� RI� WKH� FDVLQJ�� 7KH� GLDPHWHU� RI� WKH� ERUHKROHW\SLFDOO\�UDQJHV�IURP��WR��FP��WR��LQ��

7R�REWDLQ�D�VDPSOH��WKH�GULOO�ELW�DQG�WKH�VKRUW�VWURNH�GULOOLQJ�MDU�DUH�UHSODFHG�ZLWK�D�KROORZ�VWHHO�EDUUHODQG�ORQJ�VWURNH�ILVKLQJ�MDU�IRU�GULYH�VDPSOLQJ��7KH�ORQJ�VWURNH�MDUV�SURYLGH�D�VOLS�MRLQW�OLQN�LQ�WKH�GULOOVWULQJ�WKDW�DOORZV�WKH�WRS�KDOI�RI�WKH�MDU�DQG�WKH�GULOO�VWULQJ�WR�EH�OLIWHG�DQG�GURSSHG�ZKLOH�WKH�ERWWRP�KDOIRI� WKH� MDU�DQG� WKH�VDPSOHU� UHPDLQ�VWDWLRQDU\�� +ROHV�ZKLFK�DUH�GULOOHG� DQG�VDPSOHG� WHQG� WR�EH�YHUWLFDOEHFDXVH�RI�WKH�SOXPE�ERE�DFWLRQ�RI�WKH�GULOO�VWULQJ�

F� 5RWDU\�GULOOV��5RWDU\�GULOO�ULJV�DUH�WKH�ZRUNKRUVHV�RI�PRVW�JHRWHFKQLFDO�HQJLQHHULQJ�GULOOLQJ�DQGVDPSOLQJ� RSHUDWLRQV�� ,Q� JHQHUDO�� ERUHKROHV� DUH� DGYDQFHG� E\� URWDU\� DFWLRQ� FRXSOHG� ZLWK� GRZQZDUGSUHVVXUH�DSSOLHG�WR�WKH�GULOO�ELW�SOXV�WKH�FOHDQLQJ�DFWLRQ�RI�WKH�GULOOLQJ�IOXLG��6DPSOHV�PD\�EH�REWDLQHG�E\URWDU\�FRULQJ�RU� E\�SXVKLQJ�D� WKLQ�ZDOOHG� WXEH� LQWR� WKH� IRXQGDWLRQ�PDWHULDO� DW� WKH�GHVLUHG�GHSWK�� 7KHUDWHG�FDSDFLW\�RI�URWDU\�GULOO�ULJV��XQOHVV�RWKHUZLVH�QRWHG��LV�XVXDOO\�EDVHG�RQ�WKH�SHUIRUPDQFH�LQ�D��PPRU�D��LQ��GLDP��1;��KROH��0RVW�GULOO�ULJV�DUH�PRXQWHG�RQ�D�WUXFN��WUDLOHU��WUDFWRU��RU�DOO�WHUUDLQ�YHKLFOH�RURQ�VNLGV��DOWKRXJK�SRVW�PRXQWHG�GULOO�ULJV�RU�SRUWDEOH�XQLWV�DUH�VRPHWLPHV�XVHG�LQ�UHPRWH�RU�LQDFFHVVLEOHDUHDV�

0RVW� WUXFN�PRXQWHG�URWDU\�GULOO� ULJV�FDQ�EH�XVHG� IRU�GULOOLQJ�� VDPSOLQJ��DQG� LQ�VLWX� WHVWLQJ�� *HQHUDOO\�URWDU\� GULOO� ULJV� DUH� GULYHQ� E\� WKH� SRZHU� WDNHRII� IURP� WKH� WUXFN� HQJLQH�� DOWKRXJK� VRPH� GULOO� ULJV� DUHHTXLSSHG� ZLWK� LQGHSHQGHQW� HQJLQHV�� 7ZR� JHQHUDO� W\SHV� RI� SXOOGRZQ�PHFKDQLVPV� DUH� QRUPDOO\� XVHG�7UXFN�PRXQWHG�URWDU\�GULOO�ULJV�HTXLSSHG�ZLWK�D�FKDLQ�SXOOGRZQ�GULYH�PHFKDQLVP�DUH�FDSDEOH�RI�GULOOLQJWR�GHSWKV�RI��WR��P��WR��IW��+\GUDXOLF�IHHG�GULYH�URWDU\�GULOO�ULJV�DUH�FDSDEOH�RI�GULOOLQJ�WRGHSWKV�RI��WR��P��WR��IW��$�WRWDO�WKUXVW�FDSDFLW\�RI�DSSUR[LPDWHO\��NLORQHZWRQV��N1�RU�� OE� LV� UHTXLUHG�IRU�XQGLVWXUEHG� VDPSOLQJ� LQ�YHU\�VWLII�PDWHULDOV�� $OWKRXJK�WKH� WRWDO� WKUXVW�RQFKDLQ�SXOOGRZQ�ULJV�PD\�QRW�EH�VXIILFLHQW�IRU�XQGLVWXUEHG�VDPSOLQJ� LQ�UHVLVWDQW�VRLOV�� WKHVH�ULJV�FDQ�EHXVHG�IRU�GLVWXUEHG�VDPSOLQJ�DQG�YDQH�VKHDU�WHVWLQJ�

(0��-DQ��

)��

,Q� DGGLWLRQ� WR� URWDU\� GULOOLQJ� DQG� VDPSOLQJ�� URWDU\� GULOO� ULJV� FDQ� EH� XVHG� IRU� EXFNHW�DXJHU� GULOOLQJ� DQGUHYHUVH�FLUFXODWLRQ�GULOOLQJ�� )RU�EXFNHW�DXJHU�GULOOLQJ��WKH�ULJ�PXVW�EH�SURYLGHG�ZLWK�D�GHUULFN�IRU� ORZ�HULQJ�DQG�OLIWLQJ�WKH�EXFNHW�DQG�DQ�DUP�WR�FRQYH\�WKH�EXFNHW�DZD\�IURP�WKH�ERUHKROH�WR�WKH�GXPSLQJ�DUHD�7HOHVFRSLQJ� NHOO\� EDUV� DQG� D� URWDU\� WDEOH� RSHQLQJ� ODUJH� HQRXJK� WR� SDVV� WKH� EXFNHW� SHUPLW� GULOOLQJ� WRGHSWKV�RI��P�� IW��RU�PRUH�ZLWKRXW� DGGLQJ�H[WUD�GULOO� VWHP�� 5LJV�HTXLSSHG�IRU� UHYHUVH�FLUFXODWLRQPXVW�KDYH�D� ODUJH�URWDU\� WDEOH�RSHQLQJ� WKDW�ZLOO�DOORZ�WKH�SDVVDJH�RI�� WR��FP��WR��LQ��GLDPIODQJH�FRQQHFWHG�GULOO�SLSH�

$�QXPEHU�RI�RWKHU�W\SHV�RI�URWDU\�GULOO�ULJV�DUH�DYDLODEOH��GHSHQGLQJ�RQ�WKH�UHTXLUHPHQWV�RI�WKH�GULOOLQJRSHUDWLRQV�� 2QH� RI� WKH� PRVW� SRSXODU� LV� WKH� VNLG�PRXQWHG� URWDU\� GULOO� ULJ�� ZKLFK� LV� PHUHO\� D� VPDOOHUYHUVLRQ�RI�WKH�WUXFN�PRXQWHG�ULJ��6NLG�ULJV�DUH�SRZHUHG�E\�DLU��HOHFWULFLW\��GLHVHO��RU�JDVROLQH��$�VNLG�ULJFDQ�EH�PRYHG�E\�LWV�RZQ�ZLUHOLQH�ZLQFK��DOWKRXJK�WKH�VNLGV�DUH�XVXDOO\�DUUDQJHG�IRU�HDV\�PRXQWLQJ�RQWKH� IUDPH�RI� D� WUXFN�� 6NLG�ULJV� QRUPDOO\� HPSOR\� D� K\GUDXOLF� SXOOGRZQ� GULYH�PHFKDQLVP� DQG�PD\�EHHTXLSSHG�ZLWK�D�GHUULFN�� 'HUULFNV�IRU�VNLG�ULJV�DUH� OLJKWZHLJKW�DQG�VRPHWLPHV�FDQ�EH�PRYHG� LQGHSHQ�GHQWO\�RI�WKH�ULJ��7KH�GULOO�KHDG�FDQ�EH�URWDWHG��GHJ�IRU�GULOOLQJ�KRUL]RQWDO�RU�LQFOLQHG�KROHV��6NLG�ULJV�DUH�XVHG�SULPDULO\�IRU�URFN�FRULQJ��DOWKRXJK�WKH\�PD\�EH�XVHG�IRU�VRLO�VDPSOLQJ�LQ�DUHDV�LQDFFHVVLEOHWR�WUXFNV��/DUJH�URWDU\�GULOO�ULJV�DUH�XVXDOO\�WUDLOHU�PRXQWHG�DQG�HTXLSSHG�ZLWK�LQGHSHQGHQW�SRZHU�XQLWV�7KH� WUDLOHU�PRXQWHG� ULJV� DUH� JHQHUDOO\� OHVV� PRELOH� DQG� OHVV� FRQYHQLHQW� IRU� VRLO� VDPSOLQJ� WKDQ� WUXFN�PRXQWHG�ULJV��7UDFWRU�PRXQWHG�URWDU\�GULOO�ULJV�PD\�EH�XVHG�LQ�URXJK�WHUUDLQ��ZKHUHDV�ULJV�PRXQWHG�RQKHDY\� GXW\� DOO�WHUUDLQ� YHKLFOHV� FDQ� EH� XVHG� IRU� GULOOLQJ� LQ� PDUVK\� DQG� VZDPS\� DUHDV�� ,Q� DUHDV� RIH[WUHPHO\� GLIILFXOW� DFFHVVLELOLW\�� VXFK� DV� QHDUVKRUH� VLWHV� DQG� PDUVK\� DQG� VZDPS\� DUHDV�� OLJKWZHLJKWSRVW�PRXQWHG�URWDU\�GULOO�ULJV��SRZHUHG�E\�HOHFWULFLW\�RU�JDVROLQH��KDYH�EHHQ�XVHG��)RU�GULOOLQJ�LQ�PLQHVRU�WXQQHO�VKDIWV�DQG�GULIWV��ULJV�PRXQWHG�RQ�GRXEOH�HQG�EHDULQJ�SRVWV�PD\�EH�XVHG�

G� +DPPHU�GULOOV��+DPPHU�GULOOLQJ�FRQVLVWV�RI�GULYLQJ�RU�URWDWLQJ�SOXV�GULYLQJ�D�GULOO�WR�DGYDQFH�WKHERUHKROH�� +DPPHU�GULOOLQJ�LV�DQDORJRXV� WR�DQ�DLU�RSHUDWHG�MDFNKDPPHU�ZLWK�DQ�DWWDFKHG�ELW�� ,W�ZRUNVZHOO�LQ�PHGLXP�WR�KDUG�URFN�WKDW�LV�VRPHZKDW�IULDEOH�DQG�EULWWOH��%RULQJV�DGYDQFHG�E\�KDPPHU�GULOOLQJDUH�VDWLVIDFWRU\�IRU�WDNLQJ�GLVWXUEHG�VDPSOHV�SURYLGHG�WKDW�WKH�PDWHULDO�LQ�WKH�ERWWRP�RI�WKH�ERUHKROH�FDQEH� FRQVLGHUHG�DV� UHSUHVHQWDWLYH��+RZHYHU��XQGLVWXUEHG�VDPSOHV� VKRXOG�QRW�EH�REWDLQHG� IURP�ERUHKROHVDGYDQFHG�E\�KDPPHU�GULOOLQJ��+DPPHU�GULOO�ULJV�PD\�EH�WUXFN��WUDLOHU��RU�ZDJRQ�PRXQWHG��%LWV�XVXDOO\KDYH� FDUELGH�EODGH� LQVHUWV�RU� FDUELGH� EXWWRQ� LQVHUWV� DWWDFKHG� WR� WKH�FXWWLQJ�HGJH�� 7KH� GLDPHWHU� RI� WKHERUHKROHV�UDQJHV�IURP��WR��FP��WR��LQ��

��%HFNHU�KDPPHU�GULOO��$�VSHFLDO�W\SH�RI�KDPPHU�GULOO��FDOOHG�D�%HFNHU�KDPPHU�GULOO��ZDV�GHYLVHGVSHFLILFDOO\� IRU� XVH� LQ� VDQG�� JUDYHO�� DQG� ERXOGHUV� E\� %HFNHU�'ULOOLQJ��/7'�� RI� &DQDGD�� 7KH�%HFNHUKDPPHU�GULOO�XWLOL]HV�D�GLHVHO�SRZHUHG�SLOH�KDPPHU�WR�GULYH�D�VSHFLDO�GRXEOH�ZDOO�FDVLQJ�LQWR�WKH�JURXQGZLWKRXW�URWDWLRQ��$V�WKH�FDVLQJ�LV�GULYHQ�E\�WKH�SLOH�KDPPHU��GULOOLQJ�IOXLG�LV�SXPSHG�WR�WKH�ERWWRP�RIWKH�KROH�WKURXJK�WKH�DQQXODU�VSDFH�EHWZHHQ�WKH�WZR�SLSHV��(LWKHU�DLU�RU�ZDWHU�FDQ�EH�XVHG�DV�WKH�GULOOLQJIOXLG��$�WRRWKHG�ELW�ZKLFK�LV�DIIL[HG�WR�WKH�ERWWRP�RI�WKH�FDVLQJ�LV�XVHG�WR�EUHDN�PDWHULDO�ZLWK�EORZV�RIWKH�KDPPHU�� %URNHQ�IUDJPHQWV�RU�FXWWLQJV�DUH�UHWXUQHG�WR�WKH�VXUIDFH�WKURXJK�WKH�FHQWHU�RI� WKH�FDVLQJ�$W�WKH�VXUIDFH��WKH�UHWXUQ�IORZ�LV�HMHFWHG�WKURXJK�D�YHQW�LQ�WKH�FDVLQJ�WR�D�KRVH�ZKLFK�OHDGV�WR�D�F\FORQHRU�WR�FROOHFWRU�EXFNHWV��7KH�FXWWLQJV�ZKLFK�DUH�FROOHFWHG�FDQ�EH�REVHUYHG�WR�JLYH�DQ�LGHD�RI�WKH�PDWHULDOVZKLFK�KDYH�EHHQ�GULOOHG�� ,I�QHFHVVDU\��GULOOLQJ�FDQ�EH� VWRSSHG� DQG�VDPSOLQJ�FDQ�EH� GRQH� WKURXJK�WKHLQQHU�EDUUHO�XVLQJ�D�VSOLW��EDUUHO�VDPSOHU�RU�FRULQJ�WHFKQLTXHV��7KH�RXWVLGH�GLDPHWHU��2'��RI�WKH�FDVLQJUDQJHV�IURP��WR��FP��WR��LQ��

)LJXUH� �� LV� D� SKRWRJUDSK�RI� WKH�%HFNHU� KDPPHU�GULOO�� )LJXUH�� LV� D� VFKHPDWLF�RI�%HFNHU�KDPPHUGULOOLQJ�DQG�RU�VDPSOLQJ�RSHUDWLRQV�XVLQJ�UHYHUVH�DLU�FLUFXODWLRQ��$�VFKHPDWLF�GLDJUDP�RI�WKH�GRXEOH�ZDOOFDVLQJ�ZLWK� UHYHUVH�DLU� FLUFXODWLRQ�IRU� UHPRYDO�RI�FXWWLQJV� LV� LOOXVWUDWHG� LQ�)LJXUH�� )LJXUH�� LV� D

(0��-DQ��

)��

SKRWRJUDSK�RI�VHYHUDO�RSHQ�ELWV��7\SLFDOO\��WKH�2'�RI�%HFNHU�ELWV�UDQJHV�IURP��WR��FP��WR��LQ�� DOWKRXJK� WKH� ��FP� ��LQ�� GLDPHWHU� LV� FRPPRQO\� XVHG� IRU� WKH� %HFNHU� SHQHWUDWLRQ� WHVW� �%37��)LJXUH��LV�D�SKRWRJUDSK�RI�D�SOXJJHG�ELW�ZKLFK�LV�EHLQJ�FRQQHFWHG�WR�WKH�GRXEOH�ZDOO�FDVLQJ��3OXJJHGELWV�DUH�XVHG�WR�REWDLQ�%HFNHU�SHQHWUDWLRQ�UHVLVWDQFH�ZKLFK�LV�GLVFXVVHG�LQ�$SSHQGL[�&��$SSHQGL[�+�RI*HRWHFKQLFDO�,QYHVWLJDWLRQV�PDQXDO��6RLO��ZKLFK�LV�FROOHFWHG�E\�D�F\FORQH�GXULQJ�GULOOLQJ�RSHUDWLRQV��LVVKRZQ�LQ�)LJXUH��

7KH� HOHPHQWV� RI� WKH� %HFNHU� KDPPHU� GULOO� LQFOXGH� DQ� DLU� FRPSUHVVRU��PXG� SXPS�� HLWKHU� D� GRXEOH�� RUVLQJOH�DFWLQJ�GLHVHO�SLOH�KDPPHU��URWDU\�GULYH�XQLW��K\GUDXOLF�KRLVW��FDVLQJ�SXOOHU��PDVW��DQG�F\FORQH��7KHGRXEOH�ZDOO�WKUHDGHG�FDVLQJ�LV�VSHFLDOO\�IDEULFDWHG�IURP�WZR�KHDY\�SLSHV�ZKLFK�DFW�DV�RQH�XQLW�� ,W�KDVIOXVK�MRLQWV�DQG�WDSHUHG�WKUHDGV�IRU�PDNLQJ�DQG�EUHDNLQJ�WKH�FDVLQJ�VWULQJ��7KH�VWDQGDUG�FDVLQJ�LV��WR��FP�� WR��LQ��2'�E\�� WR��FP� �� WR��LQ�� LQVLGH�GLDPHWHU� �,'�� 7KHFKLVHO�W\SH�ELWV� DUH�PDGH�RI�D� WHPSHUHG� VWHHO� DQG� QLFNHO�DOOR\�� 7KH�SULQFLSDO�DGYDQWDJH�RI� WKH�%HFNHUKDPPHU� GULOO� LQFOXGHV� D� UDSLG� DQG� LQH[SHQVLYH�PHWKRG� IRU� GULOOLQJ� ERXOGHU\�PDWHULDOV�� 7KH� SULQFLSDOGLVDGYDQWDJH�RI�WKLV�PHWKRG�RI�GULOOLQJ�LV�WKDW�ZKHQ�FRPSUHVVHG�DLU�LV�XVHG��WKH�SUHVVXUH�DW�WKH�ERWWRP�RIWKH�FDVLQJ�LV�UHGXFHG�IDU�EHORZ�WKH�K\GURVWDWLF�SUHVVXUH�IURP�WKH�JURXQGZDWHU�WDEOH��+HQFH��WKH�IORZ�RIJURXQGZDWHU� LQWR� WKH� ERUHKROH� FDQ� GLVWXUE� WKH� PDWHULDO� DW� WKH� ERWWRP� RI� WKH� ERULQJ�� ,I� D� ERXOGHU� LVHQFRXQWHUHG��VDQG�VXUURXQGLQJ�WKH�ERXOGHU�PD\�EH�VXFNHG�LQWR�FDVLQJ��$V�D�UHVXOW��WKH�VDPSOH�LV�QRQUHS�UHVHQWDWLYH��DQG�WKH�UHFRYHU\�UDWLR�FRXOG�H[FHHG��SHUFHQW�

��%HFNHU�&56�GULOO��$�PRGLILFDWLRQ�RI�WKH�%HFNHU�KDPPHU�GULOO�LV�WKH�%HFNHU�&56�GULOO��7KLV�GULOOXVHV� WZLQ�WXEH�GULOO� URGV�ZLWK�D�PRGLILHG� WUL�FRQH� UROOHU�ELW�DW� WKH�ERWWRP�RI�WKH� URGV�� 7R�DGYDQFH� WKHERUHKROH�� WKH�GULOO�VWULQJ�LV�KDPPHUHG�DQG�VLPXOWDQHRXVO\�URWDWHG��$LU�LV�QRUPDOO\�XVHG�DV�WKH�GULOOLQJIOXLG��DOWKRXJK�ZDWHU�RU�DQ�DLU�ZDWHU�PL[WXUH�FDQ�EH�XVHG��7KH�GULOO�ELWV�KDYH�DQ�RSHQ�FHQWHU�WR�REWDLQVDPSOHV�� 7KH� %HFNHU� &56� GULOO� LV� D� IDVW�� HFRQRPLFDO� PHWKRG� IRU� GULOOLQJ� KROHV� RU� FDVLQJ� WKURXJKRYHUEXUGHQ�WR�REWDLQ�URFN��7KH�%HFNHU�SURFHVVHV�DUH�SDWHQWHG��:RUN�FDQ�EH�SHUIRUPHG�XQGHU�FRQWUDFWZLWK�%HFNHU�'ULOOLQJ��/7'�

��(FFHQWULF�UHDPHU�V\VWHP��$QRWKHU�SDWHQWHG�KDPPHU�GULOOLQJ�V\VWHP�LV�WKH�HFFHQWULF�UHDPHU��RU2'(;��V\VWHP�� 'ULOOLQJ� DFWLRQ�FRQVLVWV�RI� URWDWLRQ�SOXV�SHUFXVVLRQ�� 7KH�SULQFLSDO�GULOOLQJ�HTXLSPHQWFRQVLVWV�RI�D�SLORW�ELW�ZLWK�D�EHDULQJ�VXUIDFH�RQ�ZKLFK�WKH�UHDPHU�ULGHV�DQG�DQ�HFFHQWULF�UHDPHU�ZKLFK�LVXVHG�WR�GULOO� WKH�ERUHKROH�ODUJHU�WKDQ�WKH�2'�RI�WKH�FDVLQJ��%RWK�WKH�UHDPHU�DQG�WKH�SLORW�ELW�DUH�ILWWHGZLWK�FDUELGH�FXWWLQJ�LQVHUWV�IRU�GULOOLQJ�SXUSRVHV��$Q�HFFHQWULFDOO\�SODFHG�KROH�LQ�WKH�UHDPHU�SHUPLWV�WKHUHDPHU�WR�EH�WZLVWHG�LQ�RU�RXW��ZLWK�UHVSHFW�WR�WKH�SLORW�ELW�VKDIW��GHSHQGLQJ�RQ�WKH�GLUHFWLRQ�RI�URWDWLRQRI�WKH�VKDIW�� 6WRS� OXJV�DUH�XVHG�WR�KROG� WKH�UHDPHU�RQFH�LW�KDV�EHHQ�SRVLWLRQHG��)RDP�GULOOLQJ�IOXLG�LVVRPHWLPHV�XVHG�WR�OXEULFDWH�WKH�VLGHZDOOV�RI�WKH�ERUHKROH�VR� WKDW� WKH�FDVLQJ��ZKLFK�IROORZV�WKH�ELW�DQGUHDPHU��ZLOO�VOLGH�PRUH�HDVLO\�LQWR�WKH�ERUHKROH�� )RDP�PD\�DOVR�HQKDQFH�WKH�UHPRYDO�RI�FXWWLQJV�IURPWKH�ERUHKROH�

7ZR�W\SHV�RI�DLU�KDPPHUV�DUH�DYDLODEOH�� $�GRZQKROH�KDPPHU�LV�DWWDFKHG�GLUHFWO\�WR�WKH�SLORW�ELW��)RUWKLV� V\VWHP��D� VSHFLDO� FDVLQJ� VKRH� LV� UHTXLUHG� WR� WUDQVIHU� WKH�HQHUJ\� IURP� WKH�KDPPHU� WR� WKH� FDVLQJ� WR³SXOO´�LW�GRZQ��&HQWHU�URGV�ZKLFK�DUH�WKH�VDPH�OHQJWK�DV�WKH�FDVLQJ�VHFWLRQV�DUH�XVHG�WR�URWDWH�WKH�SLORWELW� DQG� UHDPHU� GXULQJ� GULOOLQJ� RSHUDWLRQV�� 5RWDWLRQ� RI� WKH� FDVLQJ� LV� SUHYHQWHG�� DOWKRXJK� WKH� KDPPHU�FDVLQJ��DQG�GULOO�ELWV�PRYH�GRZQZDUG�LQ�XQLVRQ��,I�D�WRS�KDPPHU�GULYH�LV�XVHG��WKH�KDPPHU�LV�DWWDFKHG�DWWKH� WRS�RI� WKH�FDVLQJ� VWULQJ�DQG� LV� FRQQHFWHG� WR� WKH�SLORW�ELW� DQG� UHDPHU�E\�GULOO� URGV�� 'XULQJ�GULOOLQJRSHUDWLRQV��DOO�FRPSRQHQWV�DUH�PRYHG�GRZQZDUG�LQ�XQLVRQ��+RZHYHU��RQO\�WKH�SLORW�ELW�DQG�UHDPHU�DUHURWDWHG��URWDWLRQ�RI�WKH�FDVLQJ�LV�SUHYHQWHG�

(0��-DQ��

)��

7R� RSHUDWH�� WKH� ELW� LV� URWDWHG� FORFNZLVH� WR� VZLQJ� WKH� UHDPHU� WR� WKH� FRUUHFW� SRVLWLRQ�� D� VKDUSFRXQWHUFORFNZLVH�URWDWLRQ�RI�WKH�GULOO�ELW�WKURXJK�WKH�GULOO�VWULQJ�VZLQJV�WKH�UHDPHU�EDFN�RYHU�WKH�SLORW�ELWIRU� UHPRYDO� IURP�WKH�ERUHKROH�� 1R�VDPSOHV�DUH�REWDLQHG�E\� WKLV�PHWKRG�RI�GULOOLQJ��DOWKRXJK�D� URXJKLGHD� RI� WKH�PDWHULDO� FDQ� EH� REWDLQHG� E\� REVHUYLQJ� WKH� FXWWLQJV�� 7KLV�PHWKRG� RI� GULOOLQJ� LV� XVHIXO� IRUSHQHWUDWLQJ�ORRVH�RYHUEXUGHQ�PDWHULDO�WR�DFFHVV�PRUH�FRPSHWHQW�XQGHUO\LQJ�IRUPDWLRQV�

H� $XJHU� GULOOV�� $XJHU� ULJV�HPSOR\�D�EDVLF� URWDU\�GULOOLQJ� WHFKQLTXH� LQ� FRQMXQFWLRQ�ZLWK�YDULRXVW\SHV�RI�DXJHUV�WR�DGYDQFH�WKH�ERUHKROH��7KH�SDUWV�RI�DQ�DXJHU�ULJ�DUH�YLUWXDOO\�WKH�VDPH�DV�URWDU\�GULOOLQJULJV�H[FHSW�D�NHOO\�LV�QRW�QHHGHG��7KH�DXJHU�LV�DWWDFKHG�GLUHFWO\�WR�WKH�URWDU\�GULYH�RU�VSLQGOH��:KHQ�DQDXJHU�ULJ� LV� QHHGHG�IRU� URWDU\�ZRUN��D�FKXFN� LV� LQVWDOOHG�DERYH�RU�EHORZ�WKH�VSLQGOH�DQG�D�NHOO\�URG�LVLQVHUWHG�WKURXJK�WKH�KROORZ�URWDU\�VSLQGOH��0RVW�DXJHU�ULJV�XVH�DQ�K\GUDXOLF�SXOOGRZQ�GULYH�PHFKDQLVP�7KHVH� ULJV� DUH� XVXDOO\� HTXLSSHG�ZLWK� ORQJ� RU� WHOHVFRSLQJ� K\GUDXOLF� F\OLQGHUV�ZKLFK� SHUPLW� D� GULYH� RUVWRNH�RI��P��IW��RU�PRUH�

/DUJH� DXJHU� ULJV� DUH� XVXDOO\�PRXQWHG� RQ� D� FUDQH� RU� WUXFN�� $XJHUV� DQG� EHOOLQJ� EXFNHWV� DUH� XVHG� IRUGULOOLQJ� ODUJH�GLDPHWHU�KROHV��,I�D�FUDQH� LV�XVHG��QR�GRZQZDUG�IRUFH�FDQ�EH�DSSOLHG�WR� WKH�DXJHU�� 7KHERUHKROH� LV� DGYDQFHG� E\� UHO\LQJ� RQ� WKH�ZHLJKW� RI� WKH� EXFNHW� SOXV� WKH� GLJJLQJ� RI� WKH� WHHWK�� 'ULOOLQJRSHUDWLRQV�DUH�FRQWUROOHG� IURP�WKH�FDE�RI�FUDQH�� ,I�D�WUXFN�PRXQWHG�ULJ�LV�XVHG��GULOOLQJ�RSHUDWLRQV�DUHFRQWUROOHG�IURP�D�SRVLWLRQ�RQ�RU�DW�WKH�HQG�RI�WKH�ULJ��'RZQZDUG�IRUFH�LV�DSSOLHG�E\�D�FKDLQ�RU�K\GUDXOLFSXOOGRZQ�PHFKDQLVP�� 'XULQJ� GULOOLQJ� RSHUDWLRQV�� WKH� DXJHU� LV� SXOOHG� WR� WKH� VXUIDFH� DIWHU� LW� KDV� EHHQILOOHG��7R�HPSW\��WKH�GULOO�LV�SLYRWHG�RQ�D�WXUQWDEOH�RQ�WKH�WUXFN�EHG��:KHQ�LW�KDV�EHHQ�PRYHG�DZD\�IURPWKH�ERUHKROH��WKH�DXJHU�LV�VSXQ�UDSLGO\�WR�GLVFKDUJH�WKH�FXWWLQJV�

6PDOO� PRWRUL]HG� DXJHU� GULOOV� DUH� XVHG� LQ� LQDFFHVVLEOH� DUHDV�� 7KH\� DUH� XVHIXO� IRU� REWDLQLQJ� D� OLPLWHGQXPEHU� RI� KROHV� LQ� D� KXUU\�� 7KHVH� GULOOV� DUH� KDQGKHOG� RU� FDQ� EH�PRXQWHG� RQ� D�PRELOH� VWDQG�� 0RVWSRUWDEOH�GULOOV�DUH�FDSDEOH�RI�UHYHUVH�DXJHULQJ�

7KH�EXFNHW�DXJHU�ULJ��ZKLFK�LV�D�IRUP�RI�WKH�URWDU\�GULOO�ULJ��XVHV�D�ULQJ�JHDU�GULYH�WR�VXSSO\�URWDU\�WRUTXHWR�WKH�EXFNHW��7KH�,'�RI�WKH�ULQJ�PXVW�EH�VXIILFLHQW�WR�DOORZ�WKH�EXFNHW�WR�SDVV�WKURXJK��7KH�GULYH�EDU�LQZKLFK� WKH� NHOO\� VOLGHV� ILWV� LQWR� WZR�VORWV�DW��GHJ�DSDUW�RQ� WKH�GULYH� ULQJ�� 7RUTXH�IURP� WKH�NHOO\�LVWUDQVPLWWHG�WKURXJK�WKH�GULYH�EDU�WR�WKH�GULYH�ULQJ��)RU�WKLV�W\SH�RI�GULOOLQJ�ULJ��WKH�NHOO\�LV�XVXDOO\�VTXDUHZLWK�WZR�RU�WKUHH�WHOHVFRSLQJ�VHFWLRQV�ZKLFK�FDQ�EH�H[WHQGHG�WR��P��IW��RU�PRUH��7R�ILOO��WKH�EXFNHWLV�URWDWHG��:KHQ�LW�LV�IXOO��WKH�EXFNHW�LV�UDLVHG�DQG�SXOOHG�WKURXJK�WKH�GULYH�ULQJ�E\�D�FDEOH��$�GXPS�DUPLV�XVHG�WR�SXOO�EXFNHW�DZD\�IURP�WKH�ULJ��$�SKRWRJUDSK�RI�D�EXFNHW�DXJHU�GULOO�LQ�RSHUDWLRQ�LV�SUHVHQWHG�LQ)LJXUH�� $�YDULHW\�RI� W\SHV�RI�EXFNHW�DXJHUV�DUH�DYDLODEOH�IRU�VSHFLILF� WDVNV�� $�GLVFXVVLRQ�RI� WKHW\SHV�RI�EXFNHWV�LV�SUHVHQWHG�LQ�SDUDJUDSK��G�

I� 2WKHU� GULOOV�� $� ODUJH� QXPEHU� RI� RWKHU� GULOOV�� LQFOXGLQJ� HOHFWULF� DUF� DQG� HOHFWULF� EHDP� GULOOV�H[SORVLYH�DQG�MHW�GULOOV�� LPSORVLRQ�GULOOV��DQG�ODVHU�GULOOV�DUH�LQ�H[SHULPHQWDO�VWDJHV�RI�GHYHORSPHQW�DQGWKHUHIRUH� DUH� QRW� GLVFXVVHG� KHUHLQ�� 'HWDLOV� RI� WKHVH� GULOOV� DUH� UHSRUWHG� E\�0DXUHU� �� DQG� RWKHUUHIHUHQFHV��2QO\�WKRVH�GULOOV�ZKLFK�DUH�FXUUHQWO\�XVHG�IRU�FLYLO�HQJLQHHULQJ�SXUSRVHV�DUH�GLVFXVVHG�

��5HPRWH�FRQWURO�GULOO��'ULOOLQJ�E\�UHPRWH�FRQWURO�PHWKRGV�KDV�UHFHLYHG�PXFK�LQWHUHVW��HVSHFLDOO\IRU�LQYHVWLJDWLRQV�RI�VLWHV�VXFK�DV�PXQLWLRQV�GXPSV�RU�DUHDV�ZKLFK�DUH�VXVSHFWHG�RI�EHLQJ�FRQWDPLQDWHGE\�KD]DUGRXV�RU�WR[LF�ZDVWHV��)RU�UHPRWH�FRQWURO�GULOOLQJ�RSHUDWLRQV��DLU�F\OLQGHUV�RU�HOHFWULF�PRWRUV�DUHDWWDFKHG�WR�WKH�RSHUDWLQJ�OHYHUV�RI�WKH�ULJ�DQG�WR�WKH�UHPRWH�FRQVROH��7KH�IXQFWLRQ�RI�WKH�UHPRWH�FRQWUROV\VWHP�LV�WR�DGYDQFH�RU�ZLWKGUDZ�GULOOLQJ�WRROV�RU�VDPSOHUV�IURP�WKH�ERUHKROH��2WKHU�GULOOLQJ�IXQFWLRQVVXFK�DV�PDNLQJ�RU�EUHDNLQJ�WKH�GULOO�VWULQJ�PXVW�EH�SHUIRUPHG�E\�WKH�FUHZ�DW�WKH�ULJ�

(0��-DQ��

)��

�� (OHFWULF�PRWRU�GULOO�� (OHFWULF�PRWRU� URWDU\�GULOOV� DUH�DYDLODEOH� IRU�XVH�ZLWK� WKLQ�ZDOO�GLDPRQGFRUH�ELWV�IRU�REWDLQLQJ�VDPSOHV�RI�FRQFUHWH�DQG�URFN�IURP�GLIILFXOW�ORFDWLRQV��7KHVH�SRUWDEOH�GULOOV�FDQ�EHPRXQWHG�RQ�D�SLSH�RU�FDVLQJ�RU�DWWDFKHG�WR�D�UDFN�DQG�EDVH��7KH\�FDQ�DOVR�EH�EROWHG�WR�D�ZDOO�RU�FHLOLQJ�VXFK� DV� LQ� D� WXQQHO� RU� GULIW�� $OWKRXJK� WKHVH� GULOOV� DUH� JHQHUDOO\� QRW� DGDSWDEOH� IRU� VRLO� VDPSOLQJRSHUDWLRQV��WKH\�FDQ�EH�XVHG�WR�GULYH�VPDOO�DXJHUV��7KLV�W\SH�RI�GULOO�LV�DOVR�DYDLODEOH�LQ�DLU�RU�JDV�GULYHQPRGHOV�

��$LU�WUDFN�GULOO��$LU�WUDFN�GULOOV�DUH�XVHG�IRU�GULOOLQJ�VKRW�KROHV�LQ�TXDUULHV��7KHVH�PDQHXYHUDEOHGULOOV� DUH� RSHUDWHG� E\� DLU� PRWRUV� DQG� PRYH� DERXW� RQ� VWHHO� WUDFNV�� 7KH\� DUH� DLU�RSHUDWHG� DQG� XVHSHUFXVVLRQ�SOXV� URWDU\�GULOOLQJ� WHFKQLTXHV�� 7KHVH� GULOOV� HPSOR\�D�FKDLQ�SXOOGRZQ� IHHG�PHFKDQLVP�IRUDGYDQFLQJ�WKH�ERUHKROH��$LU�WUDFN�GULOOV�FDQ�EH�XVHG�WR�GULOO�EODVW�KROHV�DW�DQ\�DQJOH�

��$FFHVVRULHV�DQG�$SSXUWHQDQW�(TXLSPHQW

9DULRXV�W\SHV�RI�DFFHVVRULHV�DQG�DSSXUWHQDQW�HTXLSPHQW�DUH�UHTXLUHG�IRU�VRLO�VDPSOLQJ�DQG�GULOOLQJ��7KLVHTXLSPHQW�LQFOXGHV��EXW�LV�QRW�OLPLWHG�WR��GULOO�URGV��GULOO�ELWV��FDVLQJ��SRUWDEOH�VXPSV�RU�PXG�SLWV��DXJHUV�EDLOHUV� DQG� VDQG� SXPSV�� DQG� PLVFHOODQHRXV� SLHFHV� RI� VPDOO� HTXLSPHQW�� 7KH� IROORZLQJ� SDUDJUDSKVGHVFULEH�WKH�HTXLSPHQW�QRUPDOO\�UHTXLUHG��H[FOXGLQJ�KDQG�WRROV�

,W� VKRXOG� EH� QRWHG� WKDW� D� JUHDW� GHDO� RI� WLPH� DQG� FRQVHTXHQWO\��PRQH\� FDQ� EH� VDYHG� GXULQJ� WKH� DFWXDOGULOOLQJ�RSHUDWLRQV�LI�D�OLWWOH�IRUHWKRXJKW�LV�JLYHQ�WR�WKH�SK\VLFDO�OD\RXW�RI�WKH�VLWH�DQG�WKH�SODFHPHQW�RIWKH�HTXLSPHQW�LQ�D�FRQYHQLHQW�PDQQHU�WR�SHUPLW�HDV\�DFFHVV�GXULQJ�WKH�GULOOLQJ�RSHUDWLRQV��%HVLGHV�WKHZRUN� DUHD� UHTXLUHG� IRU� WKH� GULOO� ULJ� DQG� FLUFXODWLRQ� V\VWHP�� FRQVLGHUDWLRQ� VKRXOG� DOVR� EH� JLYHQ� WR� WKHVWRUDJH�DQG�RU�VWDFNLQJ�RI�GULOO�URGV��FDVLQJ��DQG�RWKHU�PLVFHOODQHRXV�HTXLSPHQW�DV�ZHOO�DV�ZRUN�DUHDV�IRULQVSHFWLRQ��ORJJLQJ��DQG�WHPSRUDU\�VWRUDJH�RI�VDPSOHV��1R�VWDQGDUG�FRQILJXUDWLRQV�DUH�RIIHUHG��KRZHYHU�DV�WKH�OD\RXW�RI�HDFK�VLWH�LV�GHSHQGHQW�RQ�WKH�HTXLSPHQW�LQYROYHG�DQG�WKH�WHUUDLQ��,W�LV�VXJJHVWHG�WKDW�WKHGULOOHU�DQG�HQJLQHHU�RU�JHRORJLVW�VKRXOG�LQVSHFW�DQG�SODQ�WKH�OD\RXW�RI�WKH�VLWH�EHIRUH�GULOOLQJ�EHJLQV�

D� 6WDQGDUG�QRPHQFODWXUH��7ZR�VWDQGDUGV�DUH�XVHG�IRU�WKH�GHVLJQDWLRQ�RI�GULOOLQJ�WRROV��LQFOXGLQJGULOO� URGV��FDVLQJ��GULOO�ELWV��DQG�FRUH�EDUUHOV�� 0HWULF�VWDQGDUGV�SUHGRPLQDWH�LQ�(XURSH�� 7KH�'LDPRQG&RUH�'ULOO�0DQXIDFWXUHUV�$VVRFLDWLRQ� �'&'0$�� VWDQGDUGV�ZHUH� GHYHORSHG� LQ�8QLWHG� 6WDWHV��&DQDGD�(QJODQG�� 6RXWK� $IULFD�� DQG� $XVWUDOLD�� ,W� LV� HVWLPDWHG� WKDW� '&'0$� VWDQGDUGV� DFFRXQW� IRU� DERXW� ��SHUFHQW�RI�WKH�HTXLSPHQW�ZKLFK�LV�VROG�WKURXJKRXW�WKH�ZRUOG��$FNHU��7KHUHIRUH��RQO\�WKH�'&'0$VWDQGDUGV�DUH�GLVFXVVHG�KHUHLQ�

$�WZR��RU�WKUHH�OHWWHU�GHVLJQDWLRQ�LV�XVHG�WR�GHVFULEH�GULOOLQJ�HTXLSPHQW�DFFRUGLQJ�WR�'&'0$�VWDQGDUGV�'LDPRQG�&RUH�'ULOO�0DQXIDFWXUHUV�$VVRFLDWLRQ�� ,QF�� 7KH� ILUVW� OHWWHU� LQ� WKH�'&'0$�VWDQGDUGGHVLJQDWLRQ��VXFK�DV�(��$��RU�1��LQGLFDWHV�WKH�DSSUR[LPDWH�ERUHKROH�GLDPHWHU�IRU�VWDQGDUG�VWHHO�GULOO�SLSH�7KH� VHFRQG� OHWWHU�� L�H�� ;� RU� :�� LV� WKH� JURXS� VWDQGDUGL]DWLRQ� RI� NH\� GLDPHWHUV� DQG� WKH� GHVLJQVWDQGDUGL]DWLRQ�RI�GLPHQVLRQV�DIIHFWLQJ�LQWHUFKDQJHDELOLW\��)RU�H[DPSOH��³:´�LV�XVHG�WR�GHVLJQDWH�IOXVKMRLQW� FDVLQJ�� ZKHUHDV� ³;´� LV� XVHG� WR� GHVLJQDWH� IOXVK� FRXSOHG� FDVLQJ�� 7KH� ³;´� FDVLQJ� LV� UHODWLYHO\OLJKWZHLJKW�WXELQJ�ZLWK�ILQH�WKUHDGV�DQG�LV�QRW�IOXVK�DORQJ�LWV�,'��7KH�³:´�FDVLQJ�LV�KHDYLHU�ZDOOHG�WKDQWKH�³;´�FDVLQJ�DQG�LV�PDFKLQHG�ZLWK�FRDUVH�WKUHDGV��,W�KDV�D�ER[�WKUHDG�DW�RQH�HQG�DQG�D�SLQ�WKUHDG�DW�WKHRSSRVLWH�HQG��%R[�DQG�SLQ� WKUHDGV�RQ�WXEXODU�PHPEHUV� UHIHU� WR� WKH�SODFHPHQW�RI�WKUHDGV�RQ�WKH�LQVLGHVXUIDFH�DQG� WKUHDGV�RQ� WKH�RXWVLGH�VXUIDFH�� UHVSHFWLYHO\�� 7KH�FDVLQJ� LV� IOXVK�DORQJ� LWV� ,'�DQG�2'�DQGGRHV�QRW�UHTXLUH�D�FRXSOLQJ��7KH�³:´�VWDQGDUG�FDVLQJ�LV�UHODWLYHO\�QHZ�

:KHQ�WKH�WKUHH�OHWWHU�GHVLJQDWLRQ�LV�XVHG��WKH�VHFRQG�OHWWHU��L�H��;�RU�:��LQGLFDWHV�WKH�JURXS�RI�WRROV�ZLWKZKLFK�WKH�HTXLSPHQW�FDQ�EH�XVHG��7KLV�IHDWXUH�DOORZV�IRU�QHVWLQJ�RI�FDVLQJ�DQG�WRROV�WR�UHDFK�D�JUHDWHU

(0��-DQ��

)��

GHSWK� ZLWK� PLQLPXP� UHGXFWLRQ� RI� WKH� FRUH� GLDPHWHU�� ,Q� RWKHU� ZRUGV�� 1;� FRUH�EDUUHO� ELWV� ZLOO� SDVVWKURXJK�IOXVK�FRXSOHG�1;�FDVLQJ�DQG�ZLOO�GULOO�D�KROH�ODUJH�HQRXJK�WR�DGPLW� IOXVK�FRXSOHG�%;�FDVLQJ�HWF��7KH�WKLUG�OHWWHU��L�H��³*�´�³0�´�RU�³7�´�LV�WKH�GHVLJQ�OHWWHU�ZKLFK�VSHFLILHV�D�VWDQGDUG�GHVLJQ��VXFK�DVWKUHDG� FKDUDFWHULVWLFV�� 7KLV� IHDWXUH� DOORZV� IRU� LQWHUFKDQJHDELOLW\� RI� HTXLSPHQW� IURP� GLIIHUHQW� PDQX�IDFWXUHUV��7DEOH��SUHVHQWV�D�OHWWHU�VL]H�GHVLJQDWLRQ�ZLWK�DQ�DSSUR[LPDWH�ERUHKROH�GLPHQVLRQ�IRU�GULOOURGV�WR�EH�XVHG�WRJHWKHU�ZLWK�FDVLQJ��FRUH�EDUUHOV��GLDPRQG�ELWV��DQG�UHDPLQJ�VKHOOV��7DEOH��SUHVHQWVQRPLQDO�GLPHQVLRQV�IRU�GULOO�URGV��FRUH�EDUUHOV��ELWV��FDVLQJV��DQG�DFFHVVRULHV�

E� 'ULOO� URGV�� 7KH�SULQFLSDO� IXQFWLRQV� RI� WKH� GULOO� URGV� DUH� WR� WUDQVPLW� WKH� GRZQZDUG� WKUXVW� DQGWRUTXH� IURP� WKH� GULOO� ULJ� WR� WKH� GULOO� ELW� DQG� WR� DFW� DV� DQ� K\GUDXOLF� WXEH� IRU� WKH� GULOOLQJ� IOXLG�8QIRUWXQDWHO\��WKHUH�LV�YHU\�OLWWOH�JXLGDQFH�RQ�WKH�GHVLJQ�RI�GULOO�URGV�LQ�WKH�'&'0$�VWDQGDUGV��$OO�WKDWLV�VSHFLILHG�LV�WKDW�WKH�URGV�PXVW�EH�GHVLJQHG�WR�SURYLGH�D�VXIILFLHQWO\�VWURQJ�WRUTXH�WXEH�EHWZHHQ�WKH�GULOOULJ�DQG�WKH�GULOO�ELW��7KH�GULOO�URG�ZKLFK�PXVW�DOVR�IXQFWLRQ�DV�D�WXEH�WR�FRQYH\�WKH�GULOOLQJ�IOXLG�EHWZHHQWKH�GULOO�ULJ�DQG�WKH�GULOO�ELW�PXVW�KDYH�D�VXIILFLHQW�ZDOO�WKLFNQHVV�WR�DFFHSW�WKH�WKUHDGV�RI�DGMDFHQW�URGV�RUHTXLSPHQW�DQG�PLQLPL]H�WKH�FURVV�VHFWLRQDO�DUHD�WR�HOLPLQDWH�ZHLJKW�DQG�UHGXFH�FRVW�

7R�VDWLVI\� WKHVH� UHTXLUHPHQWV��GULOO� URGV�DUH�IUHTXHQWO\�GHVLJQHG�DV�XSVHW� WXELQJ�UDWKHU� WKDQ�DV�SDUDOOHOZDOO� WXELQJ�� )LJXUH� �� LOOXVWUDWHV� XSVHW� DQG� SDUDOOHO� ZDOO� WXELQJ�� 7KH� XVH� RI� XSVHW� URGV� SURYLGHVVXIILFLHQW�PDWHULDO�WR�DFFHSW�IXOO� WKUHDGV�DQG� WKXV�HOLPLQDWHV�XQQHFHVVDU\�ZDOO� WKLFNQHVV�DQG�ZHLJKW�IRUWKH� GULOO� URGV�� 0RVW� PDQXIDFWXUHUV� DOVR� VXSSO\� FRWWRQ� URG� ZLFNLQJ� IRU� WKH� MRLQWV� RI� GULOO� URGV�� 7KHZLFNLQJ� LPSURYHV� WKH� K\GUDXOLF� VHDO� DW� WKH� MRLQWV� DQG� WHQGV� WR� LQFUHDVH� WKH� HDVH� RI� ³EUHDNLQJ´� RUXQFRXSOLQJ�WKH�GULOO�VWULQJ�� $QRWKHU�FRPPRQ�GHVLJQ�IHDWXUH� LV�OHIW�KDQG�WKUHDGHG�GULOO�URGV��/HIW�KDQGWKUHDGHG� GULOO� URGV� DUH� XVHIXO�ZLWK� ILVKLQJ� WRROV� IRU� ³EDFNLQJ� RII´� GULOO� SLSH� RQ� HTXLSPHQW� ORVW� LQ� WKHERUHKROH�

1��DQG�1:�VL]H��PP��LQ��DQG��PP��LQ��2'��UHVSHFWLYHO\��GULOO� URGV�DUH�VDWLVIDFWRU\IRU� FRPPRQ�VRLO�GULOOLQJ�DQG�VDPSOLQJ�RSHUDWLRQV��6PDOOHU�GLDPHWHU� URGV�DUH�PRUH�IOH[LEOH�DQG�FDQQRWZLWKVWDQG�ODUJH�WRUTXHV��ZKHUHDV�ODUJHU�GLDPHWHU�GULOO�URGV�DUH�VWLIIHU�DQG�FDSDEOH�RI�ZLWKVWDQGLQJ�KLJKHUWRUTXHV�EXW�DUH�PXFK�KHDYLHU��)RU�H[DPSOH��WKH�ZHLJKW�RI�WKH�1��DQG�1:�VL]H�GULOO�URGV�DUH��DQG��1HZWRQV�SHU�PHWHU��1�P��DQG��OE�IW��UHVSHFWLYHO\��ZKHUHDV�WKH�ZHLJKW�RI�WKH�+:�VL]H�GULOO�URG�LV��1�P��OE�IW��

F� 'ULOO�ELWV��$�YDULHW\�RI�ELWV�DUH�DYDLODEOH�IRU�GULOOLQJ�DQG�VDPSOLQJ�RSHUDWLRQV��7KH�VHOHFWLRQ�RIWKH�ELW�LV�XVXDOO\�GHSHQGHQW�RQ�WKH�IRUPDWLRQ�ZKLFK�LV�WR�EH�GULOOHG�DQG�WKH�SXUSRVH�RI�WKH�ERUHKROH��L�H��DERUHKROH� IRU� FRQVWUXFWLRQ� SXUSRVHV�� ZDWHU� ZHOO�� RU� REWDLQLQJ� VDPSOHV� DV� D� SDUW� RI� D� JHRWHFKQLFDO� VLWHLQYHVWLJDWLRQ��7KH�W\SHV�RI�ELWV�LQFOXGH�WKRVH�IRU�FKRSSLQJ�DQG�SHUFXVVLRQ�GULOOLQJ�LQ�VRLOV�DQG�VRIW�URFNVDQG�WKRVH�IRU�URWDU\�GULOOLQJ�LQ�VRLOV�DQG�URFNV��'ULOO�ELWV�PD\�EH�PDGH�RI�KDUGHQHG�PHWDO��FDUELGH�DOOR\�RU�GLDPRQG��7KH�PDWHULDO�XVHG�WR�FRQVWUXFW�WKH�ELW�LV�UHODWHG�WR�WKH�LQWHQGHG�XVH�IRU�WKH�ELW��)RU�H[DPSOH�GLDPRQG�ELWV�DUH�XVHG�IRU�GULOOLQJ�KDUG��LQWDFW�IRUPDWLRQV��ZKHUHDV�FDUELGH�WLSSHG�VDZWRRWK�ELWV�PD\�EHXVHG�IRU�GULOOLQJ�VRIWHU��IUDFWXUHG�IRUPDWLRQV��$�GLVFXVVLRQ�RI�WKH�XVH�RI�GULOO�ELWV�LQ�YDULRXV�W\SHV�RI�JHR�ORJLF�IRUPDWLRQV�IRU�GLIIHUHQW�SXUSRVHV�LV�SUHVHQWHG�LQ�WKH�SDUDJUDSKV�ZKLFK�IROORZ�

��%LWV�IRU�FKRSSLQJ��$�FKRSSLQJ�ELW�LV�D�VWHHO�ELW�ZKLFK�LV�HTXLSSHG�ZLWK�D�KDUGHQHG�FXWWLQJ�HGJH�7KH�VKDSH�RI� WKH�ELW�ZKLFK� LV�DYDLODEOH� LQ�FRPPRQ�VL]HV�GHSHQGV�RQ� WKH�PDWHULDO� WR�EH�SHQHWUDWHG�� $FKLVHO�VKDSHG� ELW� FDQ� EH� XVHG� LQ� VDQGV�� VLOWV�� FOD\V�� DQG� VRIW� URFNV� IRU� DGYDQFLQJ� WKH� ERUHKROH� RU� IRUFOHDQLQJ�FDVLQJ��7KH�VWDU��RU�FURVV�VKDSHG�FKRSSLQJ�ELW�FDQ�EH�XVHG�IRU�GULOOLQJ�DQG�IUDJPHQWLQJ�FRDUVHJUDYHO��ERXOGHUV��DQG�URFN��7KH\�DUH�HTXLSSHG�ZLWK�XSZDUG�RU�GRZQZDUG�SRLQWLQJ�SRUWV�IRU�GLVFKDUJH�RIWKH�GULOOLQJ�IOXLG��:KHQ�XVHG�LQ�FRQMXQFWLRQ�ZLWK�VDPSOLQJ�RSHUDWLRQV��WKH�XSZDUG�SRLQWLQJ�MHW�LV�GHVLU�DEOH�EHFDXVH�LW�FDXVHV�OHVV�GLVWXUEDQFH�WR�WKH�XQGHUO\LQJ�PDWHULDO��:KHQ�XVHG�LQ�FRQMXQFWLRQ�ZLWK�ZDVK

(0��-DQ��

)��

ERULQJV�� WKH� GRZQZDUG� SRLQWLQJ� MHW� LV� PRUH� GHVLUDEOH� EHFDXVH� WKH� ZDWHU� MHW� LV� KHOSIXO� LQ� HURGLQJ� WKHXQGHUO\LQJ�PDWHULDO�DQG�VXVSHQGLQJ�WKH�FXWWLQJV�LQ�D�VOXUU\��+HDY\�SHUFXVVLRQ�GULOO�ELWV�DUH�VKDSHG�ZLWK�DEHYHOHG�HGJH�IRU�EUHDNLQJ�WKH�IRUPDWLRQ��6HYHUDO�FKRSSLQJ�ELWV�DUH�VKRZQ�LQ�)LJXUH��

�� %LWV� IRU�URWDU\�GULOOLQJ�� %RWK�QRQFRULQJ�ELWV�DQG�FRULQJ�ELWV�PD\�EH�XVHG�LQ�FRQMXQFWLRQ�ZLWKURWDU\� GULOOLQJ� RSHUDWLRQV�� 1RQFRULQJ� ELWV� DGYDQFH� WKH� ERUHKROH� E\� VFUDSLQJ� DQG� VKHDULQJ� FKLSV� RIPDWHULDO�IURP�WKH�LQWDFW�IRUPDWLRQ��7KHVH�URWDU\�GULOO�ELWV�LQFOXGH�GUDJ�ELWV��UROOHU�ELWV��DQG�GLDPRQG�SOXJELWV��&RULQJ�ELWV��LQ�PRVW�FDVHV��DUH�PHUHO\�D�PRGLILFDWLRQ�RI�D�QRQFRULQJ�ELW��7KH�SULQFLSDO�GLIIHUHQFHEHWZHHQ�WKH�QRQFRULQJ�DQG�FRULQJ�ELWV�LV�WKDW�DQ�DQQXODU�KROH�LV�FXW�DURXQG�DQ�LQWDFW�FRUH�E\�WKH�FRULQJELW��$�SKRWRJUDSK�RI�VHYHUDO�URWDU\�ELWV�LV�SUHVHQWHG�DV�)LJXUH��

�D��1RQ�FRULQJ�ELWV�

�L��'UDJ�ELWV��'UDJ�ELWV��VXFK�DV�ILVKWDLO�ELWV��EODGHG�ELWV��UHSODFHDEOH�EODGH�ELWV��DQG�FDUELGH�LQVHUWELWV��FDQ�EH�XVHG�IRU�GULOOLQJ�VRLOV�DQG�VRIW�URFN��$�SKRWRJUDSK�RI�VHYHUDO�GUDJ�ELWV�LV�SUHVHQWHG�DV�)LJXUH�� 7KH� WHUP� ³ILVKWDLO´� ZDV� RULJLQDWHG� E\� +YRUVOHY� �� 7KH� ILVKWDLO� ELW� UHVHPEOHV� D� VWUDLJKWFKRSSLQJ�ELW�ZLWK�D�VSOLW�FXWWLQJ�HGJH��(DFK�KDOI�RI�WKH�FKLVHO�VKDSHG�FXWWLQJ�HGJH�LV�WXUQHG�VOLJKWO\�LQWKH�GLUHFWLRQ�RI�URWDWLRQ�RI�WKH�EODGH��$�YDULDWLRQ�RI�WKH�ILVKWDLO�ELW�LV�WKH�EODGHG�ELW��7KLV�W\SH�RI�ELW�PD\KDYH�WZR��WKUHH��RU�IRXU�EODGHV�RU�ZLQJV�ZKLFK�KDYH�EHHQ�WXUQHG�VOLJKWO\�LQ�WKH�GLUHFWLRQ�RI�URWDWLRQ��7KHWLSV� RI� ILVKWDLO� DQG� EODGHG� ELWV� DUH� XVXDOO\� PDGH� RI� D� WXQJVWHQ� FDUELGH� DOOR\� IRU� ZHDU� UHVLVWDQFH�5HSODFHDEOH� EODGH� ELWV� KDYH� LQVHUW� EODGHV�ZKLFK� DUH� LQGLYLGXDOO\� UHSODFHDEOH�� 7KH� EODGHV� DUH� XVXDOO\PDGH�RI�D�WXQJVWHQ�FDUELGH�DOOR\�RU�KDUGHQHG�PHWDO��-HWV�DUH�GLUHFWHG�DW�HDFK�RI�WKH�EODGHV�IRU�FOHDQLQJ�$Q�H[DPSOH�RI�D�UHSODFHDEOH�EODGH�ELW�LV�WKH�+DZWKRUQH�ELW��&DUELGH�LQVHUW�ELWV�DUH�VLPLODU�WR�EODGHG�ELWVH[FHSW�WKH�HGJHV�DUH�QRW�WXUQHG��)RU�WKHVH�ELWV��DQ�LQVHUW�LV�XVHG�WR�IRUP�WKH�FXWWLQJ�HGJH��&DUELGH�LQVHUWELWV�DUH�DYDLODEOH�ZLWK�WKUHH�RU�IRXU�ZLQJV��$OO�ELWV�KDYH�ODUJH�SDVVDJHZD\V�IRU�WKH�GULOOLQJ�IOXLG�

'UDJ�ELWV�FDQ�EH�XVHG�IRU�JHQHUDO�GULOOLQJ�RSHUDWLRQV�LQ�PRVW�VRLOV�DQG�VRIWHU�URFNV��)LVKWDLO�DQG�EODGHGELWV�FDQ�EH�XVHG�IRU�FOHDQLQJ�FDVLQJ��VWDUWLQJ�KROHV��RU�GULOOLQJ�LQ�VDQGV�DQG�FOD\V��7KH�ILVKWDLO�ELW�PD\�EHHTXLSSHG�ZLWK�EDIIOHV� WR�GLYHUW� WKH�GULOOLQJ�IOXLG�XSZDUG�RU�GRZQZDUG�� :LWK�XSZDUG�GLYHUWHG�GULOOLQJIOXLG�� WKH� ILVKWDLO�ELW�LV�TXLWH�VXLWDEOH�IRU�GULOOLQJ�WR�WKH�WRS�RI�WKH�VRLO�WR�EH�VDPSOHG��)LQJHU�W\SH�GUDJELWV� FDQ� EH� XVHG� IRU� JHQHUDO� GULOOLQJ� SXUSRVHV� DQG� DUH� VDWLVIDFWRU\� IRU� DGYDQFLQJ�ERUHKROHV� LQ� VRLOV� LQZKLFK�D�VOLJKW�GLVWXUEDQFH�EHORZ�WKH�ELW�FDXVHG�E\�WKH�MHWWLQJ�DFWLRQ�RI�WKH�GULOOLQJ�IOXLG�LV�SHUPLVVLEOH�7KH�FRQILJXUDWLRQ�RI�WKLV�W\SH�RI�ELW�PDNHV�LW�LPSUDFWLFDO�WR�GLYHUW�WKH�GULOOLQJ�IOXLG�DZD\�IURP�WKH�ERWWRPRI� WKH� KROH�� )LQJHU�W\SH� GUDJ�ELWV� DUH� IUHTXHQWO\�XVHG� DV� WKH� FXWWLQJ�ELW� IRU� KHOLFDO� DXJHUV�� +RZHYHU�GULOOLQJ�IOXLG�LV�QRW�XVHG�ZKHQ�DXJHU�GULOOLQJ�LV�FRQGXFWHG��7KUHH��RU�IRXU�EODGHG�ELWV�DUH�XVHG�IRU�GULOOLQJLQ�ILUPHU�VRLOV��VXFK�DV�KDUGSDQ�DQG�VRIW�URFN�

�LL�� &RQH�DQG�UROOHU�ELWV�� &RQH�ELWV�DQG�UROOHU�ELWV�DUH�XVHG�IRU�GULOOLQJ�PDWHULDOV�FRQWDLQLQJ�URFNOHQVHV�� ODUJH� JUDYHO�� DQG� URFN� IRUPDWLRQV�� &RQH�W\SH� ELWV� DUH� GHVLJQHG� ZLWK� WZR� RU� WKUHH� FRQHV�5ROOHU�W\SH� ELWV� FRQVLVW� RI� WZR� UROOHUV� RQ� D� KRUL]RQWDO� D[HV� DQG� WZR� UROOHUV� RQ� DQ� LQFOLQHG� D[LV�� WKHKRUL]RQWDO�UROOHUV�DUH�PRXQWHG�SHUSHQGLFXODU�WR�WKH�LQFOLQHG�UROOHUV��7KHVH�ELWV�KDYH�WHHWK�PLOOHG�RQ�WKHVXUIDFHV� RI� WKH�FRQHV� DQG� UROOHUV�ZKLFK� URWDWH� DV� WKH�ELW� LV� WXUQHG�� 7KH�VSDFLQJ�DQG�KHLJKW�RI� WHHWK� LVYDULHG�IRU�WKH�W\SH�RI�PDWHULDO�WR�EH�GULOOHG��)RU�VRIWHU�PDWHULDOV��ODUJHU�DQG�IHZHU�WHHWK�DUH�XVHG��ZKHUHDVVKRUWHU�DQG�PRUH�FORVHO\�VSDFHG�WHHWK�DUH�XVHG�IRU�GULOOLQJ�KDUGHU�PDWHULDOV��7KH�WHHWK�DUH�LQWHUIDFHG�VRWKH\�EHFRPH�VHOI�FOHDQLQJ��$LU��PXG��RU�ZDWHU�FDQ�EH�XVHG�DV�WKH�GULOOLQJ�IOXLG�DQG�LV�GLVFKDUJHG�DW�WKHERWWRP�RI�WKH�ELW��3KRWRJUDSKV�RI�W\SLFDO�WUL�FRQH�ELWV�DUH�SUHVHQWHG�LQ�)LJXUH��

7R� EH� XVHG� HIILFLHQWO\� DQG� HIIHFWLYHO\�� D� ODUJH� GRZQZDUG� SUHVVXUH� PXVW� EH� DSSOLHG� WR� WKH� GULOO� ELW�8QIRUWXQDWHO\��ODUJH�GRZQZDUG�SUHVVXUHV�FDQQRW�EH�VXSSOLHG�E\�FRQYHQWLRQDO�GULOOLQJ�ULJV��1HYHUWKHOHVV�

(0��-DQ��

)��

UROOHU� ELWV� DUH� XVHG� IRU� PDQ\� JHRWHFKQLFDO� LQYHVWLJDWLRQV�� HVSHFLDOO\� ZKHQ� KDUGHU� PDWHULDOV� DUHHQFRXQWHUHG�� ,Q� JHQHUDO�� WKH� WZR�FRQH� ELW� LV� XVHG� IRU� PHGLXP� VRIW� IRUPDWLRQV�� IUDFWXUHG� URFN�� DQGFOHDQLQJ� RXW� FDVLQJ�� 7KH� WKUHH�FRQH� RU� WULFRQH� ELWV� DUH� XVHG� IRU� KDUGHU� URFN�� 7ULFRQH� ELWV� SURYLGHVPRRWKHU�RSHUDWLRQ�DQG�DUH�PRUH�HIILFLHQW� WKDQ� WKH�WZR�FRQH�ELW�� 2I� WKHVH�ELWV�� WKH� WULFRQH�ELW� LV�PRVWIUHTXHQWO\�XVHG��7KH�FRVWV�RI�WULFRQH�ELWV�DUH�JUHDWHU�WKDQ�WKH�FRVWV�RI�GUDJ�ELWV��DOWKRXJK�WKH�FRVWV�FDQ�EHRIIVHW�E\�D�PRUH�UDSLG�UDWH�RI�DGYDQFHPHQW�RI�WKH�ERUHKROH��7KH�SULQFLSDO�GLVDGYDQWDJH�RI�WULFRQH�ELWV�LVWKDW�WKHVH�ELWV�FDQQRW�EH�XVHG�ZLWK�JUHDW�VXFFHVV�LQ�PDWHULDOV�ZKLFK�FRQWDLQ�D�ODUJH�SHUFHQW�RI�JUDYHO�

�LLL�� 'LDPRQG�SOXJ�ELWV��'LDPRQG�SOXJ�ELWV�DUH�QRQFRULQJ�ELWV�ZKLFK�DUH�XVHG�LQ�URFN�IRUPDWLRQV�7KH�VKDSH�RI�WKH�GLDPRQG�SOXJ�ELW� LV� FRQFDYH��SLORW��RU� WDSHU�� 7KH�FRQFDYH�ELW� LV� OHDVW�H[SHQVLYH�DQGLGHDO�IRU�GULOOLQJ�LQ�VRIW�URFN��7KH�SLORW�ELW�KDV�D�OHDG�VHFWLRQ�RI�VPDOOHU�GLDPHWHU�DQG�LV�LGHDO�IRU�GULOOLQJKDUG�URFN�DQG�YHUWLFDO�KROHV�LQ�URFN�RI�YDU\LQJ�KDUGQHVV��7KH�SRLQW�WHQGV�WR�PLQLPL]H�YLEUDWLRQV�DQG�KROHGHYLDWLRQV�ZKLFK�DOORZ�VWUDLJKW��GHHS�KROHV�WR�EH�GULOOHG��7KH�WDSHU�W\SH�ELW�LV�XVHG�IRU�GULOOLQJ�YHU\�KDUGURFN�DQG�IRU�UHDPLQJ�XQGHUVL]HG�KROHV��7KH�VKDSH�RI�WKH�WDSHU�ELW�DOVR�WHQGV�WR�PLQLPL]H�YLEUDWLRQV�DQGKROH�GHYLDWLRQV��

�E��&RULQJ�ELWV��&RULQJ�ELWV�DUH�XVHG�IRU�FXWWLQJ�DQ�DQQXODU�KROH�DURXQG�D�SHGHVWDO�RI�VRLO�RU�URFN�WREH�VDPSOHG��&RULQJ�ELWV�LQFOXGH�GLDPRQG�ELWV��FDUELGH�LQVHUW�ELWV��DQG�VDZWRRWK�ELWV��7KH�VHOHFWLRQ�RI�DELW�LV�XVXDOO\�EDVHG�XSRQ�WKH�IRUPDWLRQ�RU�PDWHULDO�WR�EH�GULOOHG��WKH�FRVW�RU�DYDLODELOLW\�RI�YDULRXV�GULOOELWV�� DQG� WKH� UDWH� RI� DGYDQFHPHQW� RI� WKH� ERUHKROH� XVLQJ� D� SDUWLFXODU� ELW�� )RU� H[DPSOH�� WKH� FRVW� RI� DGLDPRQG� ELW� IRU� GULOOLQJ� D� YHU\� KDUG� IRUPDWLRQ�PD\� EH� RIIVHW� E\� D�PRUH� UDSLG� UDWH� RI� DGYDQFLQJ� WKHERUHKROH�� $�FDUELGH�PD\�EH�VHOHFWHG�IRU�GULOOLQJ�D�VHYHUHO\�IUDFWXUHG�IRUPDWLRQ�� WKH�FRVW�RI�D�GDPDJHGFDUELGH�ELW�ZRXOG�EH�VXEVWDQWLDOO\�OHVV�WKDQ�WKH�FRVW�RI�D�GDPDJHG�GLDPRQG�ELW��'LDPRQG�ELWV�LQFOXGH�WKH³KDQG��VHW´�RU�³VXUIDFH�VHW´�GLDPRQG�W\SH�DQG�WKH�³GLDPRQG��LPSUHJQDWHG´�W\SH��+DQG�VHW�GLDPRQG�ELWVDUH�XVHG�IRU�GULOOLQJ�YHU\�KDUG�� LQWDFW�PDWHULDOV��ZKHUHDV�GLDPRQG�LPSUHJQDWH�ELWV�DUH�XVHG�IRU�GULOOLQJPRUH� DEUDVLYH� RU� IUDFWXUHG� PDWHULDOV� ZKLFK� ZRXOG� WHQG� WR� GLVORGJH� WKH� GLDPRQGV� RQ� D� KDQG�VHW� ELW�&DUELGH�LQVHUW�ELWV�FDQ�EH�VXEVWLWXWHG�IRU�GLDPRQG�ELWV�IRU�PRVW�VRIW�WR�PHGLXP�KDUG�GULOOLQJ�RSHUDWLRQV�6DZWRRWK�ELWV�FDQ�EH�XVHG�IRU�VRIW��IUDFWXUHG��RU�IULDEOH�PDWHULDOV�

�L��'LDPRQG�ELWV��7KH�VHOHFWLRQ�RI�D�GLDPRQG�ELW�VKRXOG�EH�EDVHG�XSRQ�WKH�H[SHULHQFH�RI�WKH�GULOOHUDQG�RU� WKH�JXLGDQFH�RI�WKH�PDQXIDFWXUHU��:KHQ�D�GLDPRQG�ELW�LV�VHOHFWHG��YDULDEOHV�VXFK�DV�WKH�TXDOLW\DQG�VL]H�RI�WKH�GLDPRQGV�DQG�WKH�GHVLJQ�RI�WKH�ELW��LQFOXGLQJ�WKH�IDFH�RU�FURZQ�VKDSH��WKH�FKDUDFWHULVWLFVRI� WKH� ELW� PDWUL[�� WKH� QXPEHU� RI� ZDWHUZD\V�� WKH� GLDPRQG� SDWWHUQ�� HWF�� VKRXOG� EH� FRQVLGHUHG�� 7KHGHVFULSWLRQ�RI�WKH�ELW�VKRXOG�VSHFLI\�WKH�FRUH�EDUUHO�VL]H��WKH�FRUH�EDUUHO�JURXS��GHVLJQ�RI�WKH�FRUH�EDUUHO�WKH�JUDGH�DQG�VL]H�RI� WKH�GLDPRQGV��WKH�W\SH�RI�PDWUL[��DQG�WKH�QXPEHU�RI�ZDWHUZD\V��7KH�GHVFULSWLRQVKRXOG�DOVR�LQGLFDWH�ZKHWKHU�WKH�GLDPRQGV�LQ�WKH�GULOO�ELW�DUH�LPSUHJQDWHG�RU�KDQG�VHW��$GGLWLRQDO�GHWDLOVRI�GLDPRQG�ELWV�FDQ�EH�REWDLQHG�IURP�WKH�8��6��$UP\�&RUSV�RI�(QJLQHHUV��6RXWKZHVWHUQ�'LYLVLRQ/DERUDWRU\�� LQ�D�SXEOLFDWLRQ�HQWLWOHG�³3URJUDP�IRU�&HQWUDO�3URFXUHPHQW�RI�'LDPRQG�'ULOOLQJ�7RROV´�DVGLUHFWHG�E\�*XLGH�6SHFLILFDWLRQ�&(��DQG�(5��$�SKRWRJUDSK�RI�D�W\SLFDO�GLDPRQG�FRULQJELW�LV�SUHVHQWHG�LQ�)LJXUH��

�LL��&DUELGH�ELWV��&DUELGH�ELWV�FDQ�EH�XVHG�LQ�PXFK�WKH�VDPH�PDQQHU�DQG�IRU�WKH�VDPH�SXUSRVHV�DVGLDPRQG�ELWV��7ZR�W\SHV�RI�FDUELGH�ELWV�DUH�DYDLODEOH�� 6WDQGDUG�FDUELGH�ELWV�XVH�FDUELGH�LQVHUWV�ZKLFKDUH�PRXQWHG�RQ� WKH� FXWWLQJ� HGJH� RI� WKH� GULOO� ELW�� %HFDXVH� RI� WKH� FRDUVHQHVV� RI� WKH� LQVHUWV�� YHU\� ODUJHVWUHVVHV�PD\�EH�H[HUWHG�RQ�WKH�IRUPDWLRQ�ZKLFK�ZRXOG�WHQG�WR�GLVWXUE�RU�IUDFWXUH�WKH�IRUPDWLRQ�DKHDG�RIWKH� ELW�� 3\UDPLG�FDUELGH� ELWV� DUH� OHVV� OLNHO\� WR� FKLS�ZKHQ� VXEMHFWHG� WR� D� VKDUS� EORZ�� 7KHVH� ELWV� DUHVXJJHVWHG�IRU�GULOOLQJ�IUDFWXUHG�IRUPDWLRQV��$�SKRWRJUDSK�RI�D�VWDQGDUG�FDUELGH�LQVHUW�ELW�DQG�D�S\UDPLGFDUELGH� ELW� LV� SUHVHQWHG� LQ�)LJXUH�� ,Q�JHQHUDO��FDUELGH� ELWV� DUH� OHVV� H[SHQVLYH� WKDQ�GLDPRQG�ELWV�7KH\�KDYH�QR�VDOYDJH�YDOXH�DQG�WKHUHIRUH�DUH�XVHG�WR�GHVWUXFWLRQ��6LQFH�FDUELGH�ELWV�DUH�QRW�DV�KDUG�DV

(0��-DQ��

)��

GLDPRQGV��WKH\�DUH�OLPLWHG� WR�GULOOLQJ�VRIWHU�IRUPDWLRQV�RU�PXVW�EH�XVHG�ZLWK�D�VORZHU�UDWH�RI�DGYDQFH�)UHTXHQWO\��WKH�VORZHU�UDWH�RI�GULOOLQJ�PD\�RIIVHW�WKH�KLJKHU�FRVW�RI�WKH�GLDPRQG�ELW�

�LLL�� 6DZWRRWK�ELWV��$�SKRWRJUDSK�RI�D�VDZWRRWK�FRULQJ�ELW�LV�SUHVHQWHG�LQ�)LJXUH��7KLV�ELW�LVHTXLSSHG�ZLWK�FRDUVH�� KDUG�VWHHO� WHHWK�ZKLFK�SURYLGH� WRXJK�FXWWLQJ�VXUIDFHV� WKDW�FDQ�ZLWKVWDQG�D�JUHDWGHDO�RI�VKRFN��7KH�VDZWRRWK�ELW�KDV�D�KLJK�FOHDUDQFH�DQG�FDQ�EH�XVHG�IRU�GULOOLQJ�KDUG�VRLO�RU�VRIW�URFNSURYLGHG� WKDW� D� JRRG�VXSSO\� RI�ZDWHU� LV� DYDLODEOH� WR� UHPRYH� WKH� FXWWLQJV�� $EUDVLRQ� RI� WKH� VWHHO� WHHWKOLPLWV�WKH�XVH�RI�WKLV�ELW�WR�UHODWLYHO\�VRIW�IRUPDWLRQV��7KH�VDZWRRWK�ELW�LV�IDLUO\�LQH[SHQVLYH�

�F��&DVLQJ�ELWV�DQG�FDVLQJ�VKRH�ELWV��7KH�SULQFLSDO�GLIIHUHQFHV�EHWZHHQ�FDVLQJ�ELWV�DQG�FDVLQJ�VKRHELWV� DUH� WKH� GHVLJQ�� &DVLQJ� ELWV� KDYH� FXWWLQJ� HGJHV� RQ� WKH� LQQHU� DQG� RXWHU� VXUIDFHV� RI� WKH� ELW�� 7KHUHGXFHG�LQVLGH�GLDPHWHU�RI�WKH�FDVLQJ�ELW�FDXVHG�E\�WKH�DGGLWLRQ�RI�D�FXWWLQJ�VXUIDFH�ZLOO�QRW�DOORZ�WKHSDVVDJH�RI�D�VWDQGDUG�FRULQJ�ELW�RI�WKH�VDPH�VL]H�RU�OHWWHU��$V�WKLV�FKDUDFWHULVWLF�RU�IHDWXUH�LPSOLHV��WKHFDVLQJ� DQG� FDVLQJ� ELW�PXVW� EH� UHPRYHG� DQG� WKH� FDVLQJ� UHVHW� EHIRUH� GULOOLQJ� DQG� VDPSOLQJ� WKURXJK� WKHFDVLQJ� FDQ� EH� FRQGXFWHG�� &DVLQJ� VKRH� ELWV� DUH� XVHG�ZKHQ� GULOOLQJ� WKURXJK� WKH� FDVLQJ� LV� SODQQHG�� $FXWWLQJ�VXUIDFH�LV�QRW�SURYLGHG�RQ�WKH�LQVLGH�RI�WKH�ELW�

G� &DVLQJ�� 'ULOO�FDVLQJ�FDQ�EH�XVHG�WR�VWDELOL]H�DQG�SUHYHQW�FDYLQJ�RI�PDWHULDO� LQWR�WKH�ERUHKROH�:KHQHYHU�WHPSRUDU\�FDVLQJ�LV�UHTXLUHG��D�WXEH�ZLWK�IOXVK�LQVLGH�DQG�RXWVLGH�MRLQWV�LV�DGYDQWDJHRXV�DQG�LVXVXDOO\�TXLWH�VLPSOH�DQG�HFRQRPLFDO�WR�PDNH��$�PHWDO�WXEH��VXFK�DV�D�WKLFN�ZDOOHG�VWHHO�SLSH��FDQ�EH�FXWZLWK�D�WDSHU�RQ�WKH�GLDPHWHU�RI�DERXW��FP�P��LQ��IW��DQG�PDFKLQHG�ZLWK�FRDUVH�VTXDUH�WKUHDGV��WKLVGHVLJQ�SURYLGHV�D�VWURQJ�IOXVK�MRLQW�WKDW�PDNHV�DQG�EUHDNV�HDVLO\�

7ZR�'&'0$�VWDQGDUG�VHULHV�RI�FDVLQJ�DUH�DYDLODEOH��7KH�³;´�FDVLQJ�LV�IOXVK�FRXSOHG�WXELQJ�ZLWK�ILQHWKUHDGV��7KH�FDVLQJ�LV�HTXLSSHG�ZLWK�ER[�WKUHDGV�DW�HDFK�HQG��WKH�FRXSOLQJ�LV�HTXLSSHG�ZLWK�SLQ�WKUHDGVDW�HDFK�HQG��7KH�³:´�FDVLQJ�LV�GHVLJQHG�ZLWK�D�IOXVK�MRLQW�DQG�XVHV�FRDUVH�WKUHDGV��,W�LV�PDFKLQHG�ZLWK�DSLQ� WKUHDG�RQ�RQH�HQG�DQG�D�ER[�WKUHDG�RQ�WKH�RWKHU�HQG��7KH�SULQFLSDO�DGYDQWDJH�RI�WKH�³;´�FDVLQJ�LVWKDW� LW� LV� OLJKWHU�ZHLJKW� WKDQ� WKH�³:´�FDVLQJ�� +RZHYHU�� WKH�³:´�FDVLQJ�LV� WKLFNHU�ZDOOHG�DQG� LV�PRUHUREXVW�WKDQ�WKH�³;´�FDVLQJ�

&DVLQJ� FDQ� EH� DGYDQFHG� E\� GULYLQJ� RU� ³GULOOLQJ´� LW� WR� WKH� GHVLUHG� GHSWK�� ,I� WKH� FDVLQJ� LV� GULYHQ�� WKHGULYLQJ�KDPPHU��D�GULYLQJ�VKRH��D�GULYLQJ�JXLGH��DQG�DQ�DVVHPEO\�WR�SXOO�WKH�FDVLQJ�DUH�QHHGHG��'ULOOLQJWKH�FDVLQJ�LQWR�WKH�JURXQG�UHTXLUHV�WKH�XVH�RI�D�FDVLQJ�VKRH�RU�D�FDUELGH��VDZWRRWK��RU�GLDPRQG�FDVLQJ�ELW�GHSHQGLQJ� RQ� WKH� JHRORJLF� FRQGLWLRQV�� ,Q� DGGLWLRQ� WR� WKH� FDVLQJ� DQG� VKRH� RU� ELW�� D�ZDWHU� FLUFXODWLRQV\VWHP�LV�DOVR�QHHGHG�WR�UHPRYH�PDWHULDO�IURP�WKH�FDVLQJ��,W�LV�SUHIHUDEOH�WKDW�WKH�GULOO�LV�HTXLSSHG�ZLWK�DK\GUDXOLF� SXOOGRZQ� GULYH� DQG� KDV� D� GULOO� KHDG� DQG� VSLQGOH� ZKLFK� LV� ODUJH� HQRXJK� WR� SDVV� WKH� FDVLQJWKURXJK�WKH�GULOO�KHDG��,I�WKH�FDVLQJ�ZLOO�QRW�ILW�WKURXJK�WKH�GULOO�KHDG��D�GULOO�URG�DQG�VXE�FDQ�EH�DWWDFKHGWR� WKH� FDVLQJ�� WKLV� PHWKRG� LV� WHGLRXV� EHFDXVH� VKRUW� OHQJWKV� RI� FDVLQJ� PXVW� EH� XVHG�� $GGLWLRQDOLQIRUPDWLRQ�RQ�WKH�SODFHPHQW�RI�FDVLQJ�LV�SUHVHQWHG�LQ�SDUDJUDSKV��E�DQG��E�

H� 3RUWDEOH�VXPSV��)RU�URWDU\�GULOOLQJ�RSHUDWLRQV�LQ�ZKLFK�GULOOLQJ�PXG�RU�FOHDU�ZDWHU�LV�XVHG��PXGSLWV�DUH�QHHGHG�IRU�FDSWXULQJ�WKH�GULOOLQJ�IOXLG�DV�LW�LV�UHWXUQHG�IURP�WKH�ERUHKROH��7KH�PXG�SLW�PXVW�DOVRIXQFWLRQ�DV�D�VHWWOLQJ�SLW�IRU�WKH�FXWWLQJV�ZKLFK�DUH�VXVSHQGHG�LQ�WKH�GULOOLQJ�IOXLG��(LWKHU�SRUWDEOH�VXPSVRU�GXJ�SLWV�FDQ�EH�XVHG�IRU�WKHVH�SXUSRVHV��6HH�SDUDJUDSK��IRU�D�GLVFXVVLRQ�RI�WKH�UHTXLUHPHQWV�RI�WKHPXG�SLW��*HQHUDOO\��SRUWDEOH�VXPSV�DUH�PRUH�FRQYHQLHQW�DQG�HFRQRPLFDO�WKDQ�GXJ�SLWV�

I� 6XUIDFH� FDVLQJ�� 7KH� IXQFWLRQ�RI� WKH� VXUIDFH� FDVLQJ� LV� WR�PLQLPL]H� WKH� HURVLRQ� FDXVHG� E\� WKHGULOOLQJ� IOXLG� DQG� WR� SUHYHQW� WKH�ERUHKROH� IURP� ³FUDWHULQJ´� DW� WKH� VXUIDFH�� $�VXLWDEOH� FROODU� LV� D� VKRUW

(0��-DQ��

)��

VHFWLRQ�RI�FDVLQJ��L�H��RU��P��RU��IW��ZKLFK�FDQ�EH�GULYHQ�RU�VSXQ�LQWR�WKH�JURXQG�EHIRUH�WKHGULOOLQJ�KDV�FRPPHQFHG�

J� $XJHUV��$XJHUV�DUH�XVHG�SULPDULO\�IRU�JHQHUDO�H[SORUDWLRQ��DGYDQFLQJ�DQG�FOHDQLQJ�WKH�ERUHKROH�DQG�GULOOLQJ�DFFHVVLEOH�ERULQJV��$XJHUV�DUH�DOVR�XVHG�IRU�YDULRXV�FRQVWUXFWLRQ�RSHUDWLRQV��VXFK�DV�GULOOLQJGUDLQDJH�ZHOOV�DQG�H[FDYDWLQJ�IRU�SLHUV�DQG�FDLVVRQV��'LVWXUEHG�RU�XQGLVWXUEHG�VDPSOHV�FDQ�EH�REWDLQHGIURP�ERUHKROHV�DGYDQFHG�E\�DXJHULQJ�PHWKRGV��+RZHYHU��GLVWXUEHG�VDPSOHV�PD\�QRW�EH�UHSUHVHQWDWLYHRI� WKH� LQ�VLWX� GHSRVLW� EHFDXVH�PDWHULDOV�PD\�KDYH�VHJUHJDWHG�GXULQJ� WKH�DXJHULQJ�SURFHVV�RU�PD\�KDYHEHHQ� FRQWDPLQDWHG�ZLWK� VRLOV� IURP� GLIIHUHQW�GHSWKV�� 7KH�TXDOLW\� RI� XQGLVWXUEHG� VDPSOHV�PD\�DOVR� EHTXHVWLRQDEOH�DV�D� UHVXOW�RI�VWUHVV� UHOLHI��HVSHFLDOO\� LI�GULOOLQJ�PXG�LV�QRW�XVHG� WR�VWDELOL]H� WKH�ERUHKROH�$XJHUV�FDQQRW�EH�XVHG�IRU�VRLOV�LQ�ZKLFK�WKH�JUDYHO�SDUWLFOHV�RU�URFN�IUDJPHQWV�DUH�JUHDWHU�WKDQ�DSSUR[�LPDWHO\�RQH�WHQWK�RI�WKH�GLDPHWHU�RI�WKH�KROH�

��+DQG�KHOG�DXJHUV��+DQG�KHOG�DXJHUV�LQFOXGH�WKH�,ZDQ�DXJHU��ZKLFK�LV�FRPPRQO\�UHIHUUHG�WR�DV�DSRVWKROH�GLJJHU��DQG�VPDOO�KHOLFDO�DXJHUV��VXFK�DV�WKH�VKLS�DXJHU�DQG�RSHQ�VSLUDO�RU�FORVHG�VSLUDO�DXJHUV�7KH�,ZDQ�DXJHU�UDQJHV� LQ�GLDPHWHU� IURP�� WR��FP�� WR�� LQ��DQG�FDQ�EH�XVHG� LQ�VWDEOH�FRKHVLYH�RUFRKHVLRQOHVV� VRLOV� DERYH� WKH� ZDWHU� WDEOH�� 7KH� VKLS� DXJHU� LV� PRVW� HIIHFWLYH� LQ� FRKHVLYH�PDWHULDOV�� ,WUDQJHV�LQ�GLDPHWHU�IURP��WR��FP��WR��LQ��2SHQ��DQG�FORVHG�VSLUDO�DXJHUV�ZHUH�GHYHORSHG�IRUVRLOV�LQ�ZKLFK�SRRU�UHFRYHU\�ZDV�REWDLQHG�XVLQJ�WKH�VKLS�DXJHU��7KHVH�DXJHUV�JHQHUDOO\�ZRUN�ZHOO�LQ�GU\FOD\V�DQG�JUDYHOO\�VRLOV��2SHQ��DQG�FORVHG�VSLUDO�DXJHUV�DUH�DYDLODEOH�ZLWK�DQ�RXWVLGH�GLDPHWHU�RI��FP��LQ��$�SKRWRJUDSK�RI�,ZDQ�W\SH�SRVWKROH�DXJHUV�LV�SUHVHQWHG�LQ�)LJXUH��

7KH�KDQG�KHOG�DXJHU�FRQVLVWV�RI�DQ�DXJHU�EODGH�DWWDFKHG�WR�RQH�HQG�RI�D�SLSH�DQG�D�FURVVDUP�DWWDFKHG�WRWKH�RWKHU�HQG�RI�WKH�SLSH��$��FP��LQ��GLDP�SLSH�LV�FRPPRQO\�XVHG�DOWKRXJK�D�ODUJHU�GLDPHWHU�SLSHFDQ�EH�XVHG�IRU�GHHS�KROHV��([WHQVLRQV�FDQ�EH�DGGHG�WR�WKH�SLSH�DV�QHHGHG��7KH�PD[LPXP�GHSWK�ZKLFKFDQ�EH�SUREHG�ZLWK�WKH�KDQGKHOG�DXJHU�LV�DERXW��WR��P��WR��IW��7R�VDPSOH��WKH�DXJHU�LV�URWDWHG�DVGRZQZDUG�SUHVVXUH�LV�DSSOLHG��:KHQ�WKH�EODGHV�DUH�IXOO��WKH�DXJHU�LV�ZLWKGUDZQ�IURP�WKH�ERUHKROH�DQGGXPSHG��)RU�PRVW�VRLOV��WKH�VDPSOH�LV�VDWLVIDFWRU\�IRU�LGHQWLILFDWLRQ�DQG�FODVVLILFDWLRQ�WHVWV�

��3RZHU�DXJHUV��7KH�SULQFLSDO�GLIIHUHQFHV�EHWZHHQ�SRZHU�GULYHQ�DXJHUV�DQG�KDQG�KHOG�DXJHUV�DUHWKH� ULJLGLW\� DQG� UREXVWQHVV� RI� WKH� SRZHU� HTXLSPHQW� DQG� WKH� VL]H� DQG� GHSWK� RI� VDPSOHV�ZKLFK� FDQ� EHREWDLQHG��)RU�H[DPSOH��EDUUHO�DQG�EXFNHW�DXJHUV�DUH�D�PRGLILFDWLRQ�RI�WKH�,ZDQ�W\SH�DXJHU��'LVN�DXJHUVDQG� VROLG��DQG�KROORZ�VWHP� IOLJKW� DXJHUV� DUH�KHOLFDO� DXJHUV�� 6SRRQ�DXJHUV� DUH� VLPLODU� WR� FORVHG�VSLUDODXJHUV��7KH�GLDPHWHU�RI�SRZHU�DXJHUV�UDQJHV�IURP�DSSUR[LPDWHO\��WR��FP��WR��LQ��7KH�GHSWK�RIVDPSOHV� REWDLQHG� ZLWK� SRZHU� HTXLSPHQW� FDQ� H[FHHG� �� P� �� IW�� RU� PRUH�� GHSHQGLQJ� XSRQ� WKHJURXQGZDWHU�FRQGLWLRQV�DQG�WKH�W\SH�RI�HTXLSPHQW�ZKLFK�LV�XVHG��%DUUHO��EXFNHW��DQG�IOLJKW�DXJHUV�DUHGLVFXVVHG�LQ�&KDSWHUV��WKURXJK��RI�WKLV�PDQXDO�

,Q�JHQHUDO��SRZHU�DXJHUV�FDQ�EH�XVHG�ZKHUHYHU�WKH�ERUHKROH�LV�VWDEOH�DQG�ZLOO�UHPDLQ�RSHQ��7KH�SULQFLSDOGLVDGYDQWDJH�RI�VDPSOLQJ�E\�DXJHU�PHWKRGV�LV�WKDW�VDPSOHV�DUH�KLJKO\�GLVWXUEHG�DQG�VRLOV�IURP�GLIIHUHQWVWUDWD� FDQ� EH�PL[HG�� %HFDXVH� RI� WKH� SRWHQWLDO� IRU� PL[LQJ� RI� VRLOV� IURP� GLIIHUHQW� VWUDWD�� VWUDWLJUDSKLFORJJLQJ�XVLQJ�FXWWLQJV�IURP�DXJHU�ERULQJV�LV�H[WUHPHO\�GLIILFXOW��$Q�H[FHSWLRQ�H[LVWV��KRZHYHU��:KHQ�DKROORZ�VWHP�DXJHU� LV� XVHG�� WKH� FHQWHU�SOXJ� FDQ� EH� UHPRYHG�DW� DQ\� WLPH� DQG� HLWKHU� GLVWXUEHG�RU�XQGLV�WXUEHG�VDPSOHV�FDQ�EH�REWDLQHG�ZLWK�FRQYHQWLRQDO�VDPSOLQJ�HTXLSPHQW��/DUJH�EXFNHW�DXJHUV�FDQ�DOVR�EHXVHG� IRU� GULOOLQJ� ODUJH�GLDPHWHU� ERUHKROHV� ZKLFK� ZLOO� SHUPLW� D� PDQ� WR� HQWHU� DQG� REWDLQ� KDQG�FDUYHGVDPSOHV��7KH�OLPLWLQJ�GHSWK�IRU�SRZHU�DXJHULQJ�LV�XVXDOO\�FRQWUROOHG�E\�WKH�SRZHU�ZKLFK�LV�UHTXLUHG�WRURWDWH�WKH�DXJHU�RU�WKH�GHSWK�WR�WKH�JURXQGZDWHU�WDEOH��)RU�FRQWLQXRXV�IOLJKW�DXJHUV�DQG�EXFNHW�DXJHUV�WKH�OLPLWLQJ�GHSWK�LV�DERXW��P��IW��)RU�VKRUW�IOLJKW�DXJHUV��WKH�GHSWK�LV�OLPLWHG�WR�WKH�OHQJWK�RI�WKHNHOO\�RQ�WKH�GULOO�ULJ��ZKLFK�LV�DERXW��WR��P��WR��IW��GHSHQGLQJ�RQ�WKH�SDUWLFXODU�GHYLFH�

(0��-DQ��

)��

�D�� %XFNHW� DXJHUV�� 7KH� EXFNHW� DXJHU� LV� DQ� RSHQ� WRS�PHWDO�F\OLQGHU�ZLWK�RQH�RU�PRUH� VORWV� LQ� LWVERWWRP�ZKLFK�SHUPLW�VRLO�WR�HQWHU�DV�WKH�EXFNHW�LV�URWDWHG�DQG�GRZQZDUG�SUHVVXUH�LV�DSSOLHG��7KH�VORWVDUH� UHLQIRUFHG� DQG� DUH�XVXDOO\� HTXLSSHG�ZLWK� WHHWK�RU�D�FXWWLQJ�HGJH�� 7R�RSHUDWH�� WKH�EXFNHW� DXJHU� LVDWWDFKHG�WR�WKH�NHOO\�URG��,W�LV�GULYHQ�E\�D�URWDU\�WDEOH��5RWDWLRQ�DQG�GRZQZDUG�SUHVVXUH�DUH�XVHG�WR�ILOOEXFNHW��:KHQ�WKH�EXFNHW�LV�IXOO��WKH�URWDWLRQ�LV�VWRSSHG�DQG�WKH�EXFNHW�LV�OLIWHG�IURP�WKH�ERUHKROH��:KHQWKH�EXFNHW�LV�FOHDU�RI�WKH�ERUHKROH�� LW�FDQ�EH�HPSWLHG�E\�WLSSLQJ��6RPH�EXFNHWV��VXFK�DV�WKH�9LFNVEXUJKLQJHG�DXJHU�ZKLFK�LV�VKRZQ�LQ�)LJXUH��DUH�HTXLSSHG�ZLWK�KLQJHV�DQG�D�WULS�UHOHDVH�ZKLFK�DOORZ�WKHEXFNHW�WR�EH�RSHQHG�IRU�GXPSLQJ��7KH�SULQFLSDO�DGYDQWDJH�RI�WKH�EXFNHW�DXJHU�LV�WKH�UDSLG�H[FDYDWLRQ�RIVPDOO��RU�ODUJH�GLDPHWHU�KROHV�WR�UHODWLYHO\�JUHDW�GHSWKV��7KH�SULQFLSDO�GLVDGYDQWDJH�LV�WKDW�PRVW�EXFNHWDXJHUV� FDQQRW� EH� XVHG� IRU� GULOOLQJ� FRKHVLRQOHVV�PDWHULDOV� EHORZ� WKH�ZDWHU� WDEOH� RU� WR� VDPSOH� JUDYHOO\VRLOV�

�E��)OLJKW�DXJHUV��7KH�IOLJKW�DXJHU�LV�WKH�PRVW�FRPPRQO\�XVHG�SRZHU�DXJHU��,W�FRQVLVWV�RI�RQH�RIPRUH� IOLJKWV�RI�KHOLFDO�RU� VSLUDO� IOXWLQJ�DWWDFKHG� WR�D�WRUTXH�EDU�� +HQFH�� WKH� UHVSHFWLYH�DXJHU� LV�FDOOHG³VLQJOH�IOLJKW´�RU�³FRQWLQXRXV�IOLJKW�´��/LNHZLVH��WKH�WRUTXH�EDU�PD\�EH�VROLG�RU�KROORZ��ZKLFK�H[SODLQVWKH� WHUPV�³VROLG�VWHP´�RU�³KROORZ�VWHP�´� �2QH�HQG�RI� WKH� WRUTXH�EDU� LV�FRQQHFWHG� WR� WKH�GULOO�� DQG� WKHRWKHU�HQG�FDQ�EH�ILWWHG�ZLWK�D�SLORW�ELW�DQG�FXWWLQJ�WHHWK�RU�VRPH�RWKHU�W\SH�RI�ELW�IRU�ULSSLQJ�WKH�PDWHULDOWR�EH�GULOOHG��7KH�VSLUDO�IOXWLQJ�DFWV�DV�D�SODWIRUP�IRU�UHPRYDO�RI�FXWWLQJV�WR�WKH�VXUIDFH��

7KH� GLDPHWHUV� RI� VROLG�VWHP� IOLJKW� DXJHUV� UDQJH� IURP� ��PP� �� LQ�� WR� ��P� �� LQ�� RU� ODUJHU�DOWKRXJK�IOLJKW�DXJHUV�ZLWK�GLDPHWHUV�WR��FP��LQ��DUH�WKH�PRVW�FRPPRQ��$�WDEOH�RI�FRPPRQ�VL]HVRI� IOLJKW�DXJHUV�LV�SUHVHQWHG�LQ�&KDSWHU��7KH�SULQFLSDO�DGYDQWDJH�RI�VROLG�VWHP�IOLJKW�DXJHUV�LV�WKDW�DPLQLPXP�QXPEHU�RI�WRROV�LV�UHTXLUHG�WR�DGYDQFH�WKH�ERUHKROH��7KHVH�DXJHUV�FDQ�EH�XVHG�IRU�GULOOLQJ�LQVWDEOH� VRLOV�� LQFOXGLQJ� JUDYHO� DQG� VRIW� URFN�� 7KH\� GR� QRW� ZRUN� ZHOO� IRU� GULOOLQJ� LQ� KDUG� FHPHQWHGPDWHULDOV�� 6ROLG�VWHP� IOLJKW� DXJHUV�FDQQRW�EH�XVHG� IRU�GULOOLQJ�FRKHVLRQOHVV�PDWHULDOV�EHORZ� WKH�ZDWHUWDEOH� EHFDXVH� WKH�PDWHULDO� WHQGV� WR�ZDVK� RII� WKH� DXJHU� IOLJKWV�DQG� WKH� KROHV� JHQHUDOO\�ZLOO� QRW� UHPDLQRSHQ��

7KH�KROORZ�VWHP�DXJHU�FRQVLVWV�RI�D�VHFWLRQ�RI�VHDPOHVV�WXEH�ZKLFK�LV�ZUDSSHG�ZLWK�VSLUDO�IOLJKW��,W�LVILWWHG�ZLWK�DQ�DGDSWHU�FDS�DW�LWV�WRS�DQG�D�FHQWHU�SOXJ�DQG�FXWWHU�KHDG�DW�LWV�ORZHU�HQG��7KH�FXWWHU�KHDG�LVFRQQHFWHG�WR�WKH�GULOO�ULJ�E\�GULOO�URGV�ZKLFK�DWWDFK�WR�WKH�DGDSWHU�DW�WKH�WRS�RI�WKH�DXJHU��7KH�FXWWHU�KHDGPD\�EH�HTXLSSHG�ZLWK�ILQJHU�W\SH�ELWV�IRU�JHQHUDO�GULOOLQJ��ILVKWDLO�ELWV�IRU�GULOOLQJ�FRKHVLYH�PDWHULDOV��RUFDUELGH�WHHWK�IRU�GULOOLQJ�LQ�KDUG�RU�VWLII�GHSRVLWV��7KH�DGDSWHU�FDS�LV�GHVLJQHG�WR�KROG�WKH�FHQWHU�SOXJ�LQSODFH� DV� WKH� DXJHU� LV� DGYDQFHG�� ,W� HQVXUHV� WKDW� WKH� FHQWHU� VWHP� DQG� ELW� URWDWH�ZLWK� WKH� DXJHU�� :KHQGULOOLQJ�DQG�VDPSOLQJ�ZLWK�WKH�KROORZ�VWHP�DXJHU��WKH�KROH�LV�XVXDOO\�DGYDQFHG�ZLWK�WKH�FHQWHU�SOXJ�DQGVWHP� LQ�SODFH��DOWKRXJK� WKH�FHQWHU�SOXJ�PD\�EH�RPLWWHG� IRU�FHUWDLQ� VRLOV�� 7KH�KROORZ�VWHP� IOLJKWV�DQGFHQWHU�VWHP�FDQ�EH�DGGHG�DV�QHFHVVDU\��$W�WKH�GHVLUHG�VDPSOLQJ�GHSWK��WKH�FHQWHU�VWHP�DQG�SOXJ�FDQ�EHUHPRYHG�DQG�VDPSOLQJ�PD\�EH�FRQGXFWHG�WKURXJK�WKH�KROORZ�VWHP�RI�WKH�DXJHU��7KH�KROORZ�VWHP�VHUYHVDV�FDVLQJ�

7ZR�W\SHV�RI�FRQQHFWRUV�DUH�XVHG�WR�FRQQHFW�VWHPV�RI�FRQWLQXRXV�IOLJKW�DXJHUV��6FUHZHG�MRLQWV�DUH�HDV\WR�FRQQHFW�DQG�IRUP�D�ZDWHUWLJKW��ULJLG��VWLII�FRQQHFWLRQ��7KH�GLVDGYDQWDJHV�DUH�WKDW�WKH�DXJHU�FDQQRW�EHRSHUDWHG� LQ� UHYHUVH� DQG� WKH� VWHPV�PD\� EH� GLIILFXOW� WR� GLVFRQQHFW�� HVSHFLDOO\� LI� VRLO� SDUWLFOHV� EHFRPHZHGJHG� LQ�WKH�WKUHDGV�RU�WKH�WKUHDGV�EHFRPH�ZRUQ�RU�GDPDJHG�� 6SOLQHG�MRLQWV�WUDQVIHU� WRUTXH�EHWZHHQDXJHU� VWHPV�E\�DQ� RFWDJRQDO� VRFNHW� DQG� VKDQN� MDZ�FRXSOLQJ� RU� D� VWUDLJKW�NH\HG�FRXSOLQJ�� 7HQVLRQ� LVWUDQVIHUUHG� E\� D� UHPRYDEOH� WKUHDGHG� VHW� VFUHZ� RU� SLQ�� 6SOLQHG� MRLQWV� DUH� IDLUO\� HDV\� WR� FRQQHFW� DQGGLVFRQQHFW��DOWKRXJK�WKH\�PD\�EH�VRPHZKDW�GLIILFXOW�WR�DOLJQ�GXULQJ�DVVHPEO\��7KH\�FDQ�DOVR�WUDQVIHU�DUHYHUVH�WRUTXH�EHWZHHQ�WKH�DXJHU�VWHPV��7KH�SULQFLSDO�GLVDGYDQWDJHV�DUH�WKDW�WKH�MRLQWV�DUH�QRW�ZDWHUWLJKWDQG�PXVW�EH�FOHDQHG�UHJXODUO\�EHIRUH�DVVHPEO\�� ,I�2�ULQJ�VHDOV�DUH�XVHG�WR�HIIHFW�D�ZDWHUWLJKW�VHDO�� WKH

(0��-DQ��

)��

2�ULQJV� PXVW� EH� UHSODFHG� IUHTXHQWO\� EHFDXVH� RI� ZHDU�� 7KH� KROORZ�VWHP� DXJHU� FDQ� EH� XVHG� LQ� ORRVHFRKHVLRQOHVV�GHSRVLWV�EHORZ�WKH�JURXQGZDWHU�WDEOH��7KH�,'�RI�KROORZ�VWHP�DXJHUV�UDQJHV�IURP�DERXW��WR�� FP� �� WR� �� LQ�� 7KH�SULQFLSDO�DGYDQWDJH� RI� KROORZ�VWHP�� FRQWLQXRXV�IOLJKW� DXJHUV� LV� WKDW� WKHDXJHU�VHUYHV�DV�D�FDVLQJ�IRU�VDPSOLQJ�VRIW�RU�XQVWDEOH�VRLOV��)XUWKHUPRUH��LW�LV�OLNHO\�WKDW�OHVV�GLVWXUEDQFHWR� WKH� IRUPDWLRQ� LV� FDXVHG� E\� DXJHULQJ� WKDQ� E\� GULYLQJ� FDVLQJ�� 7KH� SULQFLSDO� GLVDGYDQWDJH� RI� WKHKROORZ�VWHP�DXJHU�LV� WKH�FRVW�DQG�VL]H�RI�WKH�HTXLSPHQW�ZKLFK�LV� UHTXLUHG�WR�RSHUDWH�WKH�DXJHU��6PDOOWRROV�ZKLFK�DUH�QHHGHG�IRU�KDQGOLQJ�DXJHU�VWHPV�LQFOXGH�WKH�DXJHU�KROGLQJ�IRUN�VKRZQ�LQ�)LJXUH��

K� %DLOHUV�DQG�VDQG�SXPSV��%DLOHUV�DQG�VDQG�SXPSV�DUH�XVHG�IRU�UHPRYLQJ�PDWHULDO�IURP�ERUHKROHV�HVSHFLDOO\�LQ�FRQMXQFWLRQ�ZLWK�FKXUQ�DQG�SHUFXVVLRQ�GULOOLQJ�RSHUDWLRQV��%DLOHUV�DUH�IDLUO\�HDV\�WR�RSHUDWHDQG�DUH�VDWLVIDFWRU\�IRU�EDLOLQJ�ZDWHU�DQG�VRIW�PDWHULDOV�IURP�EHORZ�WKH�ZDWHU�WDEOH�LQ�FDVHG�ERUHKROHV�LIDJLWDWLRQ�LQ�WKH�ERWWRP�RI�WKH�ERUHKROH�LV�SHUPLVVLEOH��:KHUH�DJLWDWLRQ�PXVW�EH�PLQLPL]HG��D�VDQG�SXPSVKRXOG�EH�XVHG��8QIRUWXQDWHO\��WKH�FRVW�RI�D�VDQG�SXPS�LV�JUHDWHU�WKDQ�WKH�FRVW�RI�D�EDLOHU��7KH�GLDPHWHURI�WKH�ERUHKROH�PDGH�E\�HLWKHU�RI�WKHVH�GHYLFHV�LV�DSSUR[LPDWHO\��WR��FP��WR��LQ��JUHDWHU�WKDQ�WKHGLDPHWHU�RI�WKH�DSSDUDWXV�

��6DQG�SXPS��$�VDQG�SXPS�FRQVLVWV�RI�D�WXEH�HTXLSSHG�ZLWK�D�SOXQJHU�RU�SLVWRQ�ORFDWHG�LQVLGH�WKHWXEH�� 7KH�ERWWRP�RI�WKH�WXEH�LV�HTXLSSHG�ZLWK�D�IODS�RU�YDOYH�IRU�UHWDLQLQJ�PDWHULDO�LQ�WKH�SXPS��7KHERWWRP�RI�WKH�WXEH�PD\�DOVR�EH�HTXLSSHG�ZLWK�D�VDZWRRWK�ELW��HVSHFLDOO\�LI�WKH�PDWHULDO�PXVW�EH�EURNHQSULRU�WR�LWV�UHPRYDO�IURP�WKH�ERUHKROH��7R�RSHUDWH��WKH�SOXQJHU�LV�PRYHG�XS�DQG�GRZQ�WR�FUHDWH�D�VXFWLRQ�7KH�VXFWLRQ�FDXVHV� WKH�VOXUU\� DQG�FXWWLQJV�DW� WKH�ERWWRP�RI� WKH�ERUHKROH� WR�IORZ�LQWR� WKH� WXEH� WKURXJKRSHQLQJV�LQ� WKH�VLGHZDOO�DQG�WKH�ERWWRP��7R�HPSW\� WKH�FXWWLQJV�IURP�WKH�WXEH��WKH�SOXQJHU�LV�UHPRYHGDQG�WKH�SXPS�LV�LQYHUWHG�RU�WKH�YDOYH�PXVW�EH�UHPRYHG�

��%DLOHU��$�EDLOHU�FRQVLVWV�RI�D�SLSH�ZLWK�D�YDOYH�DW�LWV�ORZHU�HQG�DQG�D�EDLO�DW�LWV�XSSHU�HQG��7KHEDLO�LV�XVHG�WR�SURYLGH�D�FRQQHFWLRQ�IRU�WKH�FDEOH�OLQH�RQ�WKH�ULJ�ZKLFK�LV�XVHG�WR�RSHUDWH�WKH�EDLOHU��$YDOYH�LV�QHHGHG�WR�UHWDLQ�WKH�PDWHULDO�LQ�EDLOHU�DV�LW�LV�OLIWHG�WR�VXUIDFH��7ZR�W\SHV�RI�EDLOHUV�DUH�DYDLODEOH�

�D�� )ODW� YDOYH�EDLOHU�� 7KH� IODW� YDOYH� EDLOHU� LV� HTXLSSHG�ZLWK� D� IODW� YDOYH�ZKLFK�RSHQV� WR� UHFHLYHPDWHULDO�DV�WKH�EDLOHU�LV�ORZHUHG�DQG�FORVHV�DV�WKH�EDLOHU�LV�OLIWHG��7R�RSHUDWH��WKH�GHYLFH�LV�ORZHUHG�WR�WKHERWWRP�RI�WKH�ERUHKROH�DQG�WKHQ�LV�PRYHG�XS�DQG�GRZQ�D�IHZ�LQFKHV�WR�FUHDWH�D�SXPSLQJ�DFWLRQ��:KHQWKH�EDLOHU�LV�IXOO��LW�LV�UHPRYHG�IURP�WKH�ERUHKROH�DQG�PXVW�EH�WXUQHG�XSVLGH�GRZQ�WR�HPSW\�

�E�� 'DUW�YDOYH�EDLOHU�� 7KH�GDUW�YDOYH�EDLOHU� LV�HTXLSSHG�ZLWK�D�YDOYH�ZKLFK� LV� VKDSHG� OLNH�D�GDUW�2QH� HQG�RI� WKH�YDOYH� LV�D� IODW�SODWH�DQG� WKH�RWKHU�HQG� LV� VKDSHG� OLNH� D�FRQH�� 7R�RSHUDWH�� WKH�EDLOHU� LVGURSSHG�WR�WKH�ERWWRP�RI�WKH�ERUHKROH��:KHQ�WKH�GDUW�VWULNHV�WKH�ERWWRP�RI�WKH�ERULQJ��WKH�IODW�SODWH�OLIWVWKH�FRQH�VKDSHG�YDOYH�IURP�LWV�VHDW�DQG�DOORZV�VOXUU\�WR�HQWHU�WKH�EDLOHU��:KHQ�WKH�EDLOHU� LV� OLIWHG�� WKHFRQH�VKDSHG�YDOYH�GURSV�LQWR�LWV�VHDW�WR�UHWDLQ�WKH�PDWHULDO��7R�HPSW\�WKH�EDLOHU��WKH�GDUW�LV�WRXFKHG�RQWKH�JURXQG�ZKLFK�RSHQV�WKH�YDOYH��,I�YDOYH�EHFRPHV�VWXFN��WKH�EDLOHU�FDQ�EH�WXUQHG�XSVLGH�GRZQ�WR�HPSW\WKH�PDWHULDO�

L� )LVKLQJ�WRROV��:KHQHYHU�D�VWULQJ�RI�GULOO�URGV�RU�D�GULOO�ELW�LV�ORVW�LQ�D�ERUHKROH��VXFK�DV�ZKHQ�WKHGULOO� VWULQJ� LV�GURSSHG�RU� WKH�ELW� LV� VKHDUHG�IURP�WKH�GULOO� URG�� WRROV�DUH�XVHG� WR� UHFRYHU� WKLV�HTXLSPHQWIURP� WKH� ERUHKROH�� LI�SRVVLEOH�� $� VSHFLDO� GHYLFH�� FDOOHG� D� ILVKLQJ� WRRO�� LV� DWWDFKHG� WR� WKH� ERWWRP�RI� DVHFWLRQ�RI�GULOO�URG�DQG�LV�ORZHUHG�WR�WKH�HOHYDWLRQ�RI�WKH�WRS�RI�WKH�ORVW�HTXLSPHQW��7KH�GULOO�URG�LV�WKHQUDLVHG�DQG�ORZHUHG�DQG�KRSHIXOO\�FDQ�EH�XVHG�WR�PDNH�FRQWDFW�ZLWK�WKH�ORVW�HTXLSPHQW�

7ZR� W\SHV� RI� ILVKLQJ� WRROV� DUH� DYDLODEOH�� D� VSHDU� RU� WDS� DQG� D� GLH� RU� RYHUVKRW�� 7KH� VSHDU� LV� D� ORQJ�VOHQGHU�SRLQWHG�WRRO�ZLWK�WDS�WKUHDGV�RQ�LWV�SHULSKHU\��:KHQ�WKH�VSHDU�KDV�EHHQ�VHDWHG�LQ�WKH�GULOO�URG��LW

(0��-DQ��

)��

LV� URWDWHG� XQWLO� WKH� WKUHDGV� JULS� WKH� URG�� 7KH� GLH� RU� RYHUVKRW� LV� DQDORJRXV� WR� D� IXQQHO� ZLWK� GLH�W\SHWKUHDGV�RQ�LWV�LQVLGH��7KLV�WRRO��LV�VOLSSHG�RYHU�WKH�GULOO�URG�DQG�URWDWHG�XQWLO�WKH�WKUHDGV�JULS�WKH�URG�

M� 0LVFHOODQHRXV� KDQG� WRROV�� 0LVFHOODQHRXV� KDQG� WRROV�� VXFK� DV� KRLVWLQJ� SOXJV� RU� VZLYHOV�� IRRWFODPSV�DQG�KROGLQJ�LURQV��DQG�DVVRUWHG�ZUHQFKHV�DUH�QHHGHG�IRU�DVVHPEOLQJ�RU�GLVDVVHPEOLQJ�DQG�OLIWLQJRU�ORZHULQJ�WKH�GULOO�VWULQJ�RU�FDVLQJ��$�KRLVWLQJ�SOXJ��ZKLFK�LV�VKRZQ�LQ�)LJXUH��LV�D�EDOO�EHDULQJW\SH�VZLYHO�ZKLFK�LV�XVHG�IRU�OLIWLQJ�RU�ORZHULQJ�WKH�URGV�RU�FDVLQJ��)RRW�FODPSV�DQG�KROGLQJ�IRUNV�PD\EH�XVHG�WR�VXVSHQG�WKH�WRROV�DQG�GULOO�VWULQJ�LQ�ERUHKROH��)RRW�FODPSV�DUH�PRUH�ZLGHO\�XVHG�WKDQ�KROGLQJLURQV��DOWKRXJK�WKH\�DUH�XVHG�OHVV�H[WHQVLYHO\�LQ�FRQMXQFWLRQ�ZLWK�ZLUHOLQH�GULOOLQJ�� +ROGLQJ�LURQV�WDNHOHVV�WLPH�WR�VHW�XS�WKDQ�IRRW�FODPSV��DOWKRXJK�LW�LV�PRUH�OLNHO\�WKDW�WKH�GULOO�VWULQJ�PD\�EH�GURSSHG�LQWR�WKHERUHKROH�ZKHQ�KROGLQJ�LURQV�DUH�XVHG��$VVRUWHG�ZUHQFKHV�DUH�QHHGHG�WR�DVVHPEOH�DQG�GLVDVVHPEOH�WKHGULOO�URG�DQG�GULOOLQJ�WRROV��3LSH�ZUHQFKHV�FDQ�EH�XVHG�IRU�GULOO�URGV�RU�FDVLQJ��FKDLQ�ZUHQFKHV�RU�WRQJVDUH�IUHTXHQWO\�XVHG�IRU�ODUJHU�GLDPHWHU�SLSH�DQG�FDVLQJ��DQG�VWUDS�ZUHQFKHV�DUH�XVHG�IRU�SROLVKHG�WXELQJDQG�ELWV��3DUPDOHH�ZUHQFKHV�VKRXOG�EH�XVHG�IRU�GRXEOH�WXEH�FRUH�EDUUHOV�

7DEOH��)LUVW�/HWWHU�+ROH�6L]H�5HODWLRQVKLSV�IRU�&RPSDWLELOLW\�RI�'ULOOLQJ�(TXLSPHQW��$IWHU�'LDPRQG�&RUH�'ULOO�0DQXIDFWXUHUV�$VVRFLDWLRQ��,QF��

��+ROH�'LDPHWHU��/HWWHU 0LOOLPHWHUV� ,QFKHV

5� �� (� �� $�� %� �� 1� �� .�� +� �� 3�� 6�� 8�� =��

(0��

��-DQ��

)��

7DEOH��1RPLQDO�'LPHQVLRQV�IRU�&DVLQJ�DQG�$FFHVVRULHV��DIWHU�'LDPRQG�&RUH�'ULOO�0DQXIDFWXUHUV�$VVRFLDWLRQ��,QF��&RQWLQXHG�

�� 5RG�� )OXVK�&RXSOHG�� )OXVK�-RLQW� ��&DVLQJ�&RUH� &RUH�� &RUH��'ULOO�5RG�� &RXSOLQJ� ��&DVLQJ �� &RXSOLQJ ��&DVLQJ �� &DVLQJ�%LW�� 6KRH�%LW�� %LW� %DUUHO��'LDPHWHU� �

6L]H 2�'� ,�'�� ,�'�� 2�'�� ,�'�� ,�'�� 2�'�� ,�'�� 2�'�� ,�'�� 2�'�� ,�'�� 2�'�� 2�'�� 2�'�'HVLJQDWLRQ PP PP� PP� PP� PP� PP� PP�� PP� PP�� PP� PP� PP� PP� PP� PP�( ��

$ � ��

% � ��

1 � ��

5;�� (;�� $;� �� %;� �� 1;� �� +;� �� 5: � ��

(: � ��

$: � ��

%: � ��

1: � ��

+: � ��

3:� �� 6:� �� 8:� �� =:� �� (:*� �� $:*� �� %:*� �� 1:*� �� +:*� �� (:0� �� $:0� �� %:0� �� 1:0� �� 5:7 �� (:7� �� $:7� �� %:7� �� 1:7� �� +:7 �� ;��

��î��

��î��

$4 � ��

%4 � ��

14 � ��

+4 � ��

�)RU�FDVLQJ��WKH�PLQLPXP�SK\VLFDO�VWUHQJWK�FKDUDFWHULVWLFV�DUH��03D��SVL��\LHOG�VWUHVV�DQG��03D��SVL��WHQVLOH�VWUHVV��

�2OG�VWDQGDUG��EXW�VWLOO�LQ�XVH�RQ�VRPH�SURMHFWV��

�3DUDOOHO�ZDOO�URG��7KH�PLQLPXP�SK\VLFDO�VWUHQJWK�FKDUDFWHULVWLFV�DUH��03D��SVL��\LHOG�VWUHVV�DQG��03D��SVL��WHQVLOH�VWUHVV��

�8SVHW�HQG�GULOO�URG��7KH�PLQLPXP�SK\VLFDO�VWUHQJWK�FKDUDFWHULVWLFV�DUH��03D��SVL��\LHOG�VWUHVV�DQG��03D��SVL��WHQVLOH�VWUHVV��

�/DUJH�GHVLJQ�FRUH�EDUUHOV��PP�E\��PP��PP�E\��PP��PP�E\��PP��UHVSHFWLYHO\��

�:LUH�OLQH�VL]H�GHVLJQDWLRQ��DIWHU�/RQJ\HDU��'ULOO�URG�VHUYHV�DV�FDVLQJ�DQG�GULOO�URG��&RUH�ELWV�DQG�FRUH�GLDPHWHUV�YDU\�VOLJKWO\�DFFRUGLQJ�WR�WKH�PDQXIDFWXUHU��

(0��-DQ��

)��

)LJXUH��7UXFN�PRXQWHG�URWDU\�GULOO�ULJ�ZLWK�D�K\GUDXOLF�GULYH�V\VWHP

(0��-DQ��

)��

)LJXUH��3KRWRJUDSK�RI�D�WUXFN�PRXQWHG�URWDU\�GULOO�ULJ�ZLWK�VSHFLILF�IHDWXUHV�RI�WKH�GULOO�ULJLGHQWLILHG

(0��-DQ��

)��

)LJXUH��7UXFN�PRXQWHG�URWDU\�GULOO�ULJ�ZLWK�D�FKDLQ�IHHG�GULYH�V\VWHP

)LJXUH��3KRWRJUDSK�RI�D�%HFNHU�KDPPHU�GULOO

(0��-DQ��

)��

)LJXUH��6FKHPDWLF�RI�%HFNHU�KDPPHU�GULOOLQJ�DQG�RU�VDPSOLQJ�RSHUDWLRQV�XVLQJ�UHYHUVH�DLU�FLU�FXODWLRQ��+DUGHU��

(0��-DQ��

)��

)LJXUH��,VRPHWULF�GLDJUDP�RI�WKH�GRXEOH�ZDOO�FDVLQJ�ZLWK�UHYHUVH�DLU�FLUFXODWLRQ�IRU�UHPRYDO�RIFXWWLQJV��+DUGHU��

(0��-DQ��

)��

)LJXUH��3KRWRJUDSK�RI�VHYHUDO�RSHQ�W\SH�%HFNHU�ELWV��+DUGHU��

)LJXUH��3KRWRJUDSK�RI�D�SOXJJHG�ELW�ZKLFK�LV�XVHG�WR�REWDLQ�%HFNHUSHQHWUDWLRQ�UHVLVWDQFH��+DUGHU��

(0��-DQ��

)��

)LJXUH��6RLO�LV�FROOHFWHG�E\�D�F\FORQH�GXULQJ�%HFNHU�KDPPHU�GULOOLQJRSHUDWLRQV��+DUGHU��1RWH��6DIHW\�LV�D�YHU\�LPSRUWDQW�FRQVLGHUDWLRQ�IRU&RUSV�RI�(QJLQHHUV�SURMHFWV��6DIHW\�LWHPV��LQFOXGLQJ�KDUGKDWV��JORYHV��VDIHW\VKRHV��SURWHFWLYH�FORWKLQJ��DQG�GXVW�RU�YDSRU�PDVNV��VKRXOG�EH�ZRUQ��DVDSSURSULDWH��IRU�WKH�SDUWLFXODU�GULOOLQJ�DQG�VDPSOLQJ�RSHUDWLRQV

)LJXUH��3KRWRJUDSK�RI�D�EXFNHW�DXJHU�GULOO�LQRSHUDWLRQ

(0��-DQ��

)��

)LJXUH��&URVV�VHFWLRQV�RI�GULOO�URGV�ZKLFK�LOOXVWUDWH�XSVHW�DQG�SDUDOOHO�ZDOO�WXELQJ��DIWHU+YRUVOHY��

(0��-DQ��

)��

)LJXUH��3KRWRJUDSK�RI�VHYHUDO�FKRSSLQJ�ELWV

)LJXUH��3KRWRJUDSK�RI�VHYHUDO�URWDU\�ELWV

(0��-DQ��

)��

)LJXUH��3KRWRJUDSK�RI�VHYHUDO�GUDJ�ELWV

)LJXUH��3KRWRJUDSK�RI�W\SLFDO�WUL�FRQH�ELWV

(0��-DQ��

)��

)LJXUH��3KRWRJUDSK�RI�D�W\SLFDO�GLDPRQG�FRULQJ�ELW

)LJXUH��3KRWRJUDSK�RI�D�VWDQGDUG�FDUELGH�LQVHUW�ELW�DQG�D�S\UDPLG�FDUELGH�ELW

(0��-DQ��

)��

)LJXUH��3KRWRJUDSK�RI�D�VDZWRRWK�FRULQJ�ELW

)LJXUH��3KRWRJUDSK�RI�D�KROGLQJ�IRUN�DQG�D�KRLVWLQJ�SOXJ

(0��-DQ��

)��

&KDSWHU�)��'ULOOLQJ�)OXLGV

��3XUSRVH�RI�'ULOOLQJ�)OXLGV

0RVW�URWDU\�GULOOLQJ�PHWKRGV��ZLWK�WKH�H[FHSWLRQ�RI�DXJHULQJ�PHWKRGV��UHTXLUH�WKH�XVH�RI�GULOOLQJ�IOXLGV�'ULOOLQJ�IOXLGV�SHUIRUP�VHYHUDO�IXQFWLRQV��7KH�SULPDU\�IXQFWLRQV�LQFOXGH�FOHDQLQJ�WKH�FXWWLQJV�IURP�WKHIDFH�RI�WKH�GULOO�ELW��WUDQVSRUWLQJ�WKH�FXWWLQJV�WR�WKH�JURXQG�VXUIDFH��FRROLQJ�WKH�GULOO�ELW�� OXEULFDWLQJ�WKHGULOO�ELW�DQG�GULOO� URGV��DQG�LQFUHDVLQJ� WKH�VWDELOLW\�RI� WKH�ERUHKROH�� ,Q�DGGLWLRQ�� WKHUH�DUH�D�QXPEHU�RIVHFRQGDU\�IXQFWLRQV��6RPH�RI�WKH�PRUH�VLJQLILFDQW�VHFRQGDU\�IXQFWLRQV�DUH�VXVSHQGLQJ�WKH�FXWWLQJV�LQ�WKHKROH� DQG� GURSSLQJ� WKHP� LQ� VXUIDFH� GLVSRVDO� DUHDV�� LPSURYLQJ� VDPSOH� UHFRYHU\�� FRQWUROOLQJ� IRUPDWLRQSUHVVXUHV�� PLQLPL]LQJ� GULOOLQJ� IOXLG� ORVVHV� LQWR� WKH� IRUPDWLRQ�� SURWHFWLQJ� WKH� VRLO� VWUDWD� RI� LQWHUHVW�IDFLOLWDWLQJ�WKH�IUHHGRP�RI�PRYHPHQW�RI�WKH�GULOO�VWULQJ�DQG�FDVLQJ��DQG�UHGXFLQJ�ZHDU�DQG�FRUURVLRQ�RIWKH�GULOOLQJ�HTXLSPHQW�

��7\SHV�RI�'ULOOLQJ�)OXLGV

1HDUO\�DOO�RI� WKH�&RUSV� RI�(QJLQHHUV�GULOOLQJ�DQG�VDPSOLQJ� LV�DFFRPSOLVKHG�XVLQJ�RQH�RU�PRUH�RI� IRXUJHQHUDO� W\SHV�RI�GULOOLQJ�IOXLG��FRPSUHVVHG�DLU��IRDP��FOHDU�ZDWHU��DQG�ZDWHU�EDVHG�PXG��$LU�DQG�ZDWHUJHQHUDOO\� VDWLVI\� WKH� SULPDU\� IXQFWLRQV� RI� D� GULOOLQJ� IOXLG��+RZHYHU�� DGGLWLYHV�PXVW� RIWHQ� EH� DGGHG� WRWKHVH� IOXLGV� WR�RYHUFRPH�VSHFLILF�GRZQKROH�SUREOHPV�� $LU�ZLWK� DGGLWLYHV� LV� UHIHUUHG� WR�DV�³IRDP�´� �$IUHVKZDWHU��RU� VDOWZDWHU�EDVHG�GULOOLQJ�IOXLG�ZLWK�DGGLWLYHV� LV�FRPPRQO\�FDOOHG�³GULOOLQJ�PXG�´� �$�ILIWKW\SH�RI�GULOOLQJ�IOXLG� LV� WKH�RLO�LQ�ZDWHU�HPXOVLRQ�RU�RLO�EDVHG�PXG��+RZHYHU�� WKLV�FDWHJRU\�RI�GULOOLQJIOXLGV� LV�QRW� FRPPRQO\�XVHG� IRU�JHRWHFKQLFDO�HQJLQHHULQJ� LQYHVWLJDWLRQV�DQG� WKHUHIRUH� LV� QRW�GLVFXVVHGKHUHLQ�

D� &RPSUHVVHG�DLU��&RPSUHVVHG�DLU�LV�D�YHU\�HIIHFWLYH�GULOOLQJ�IOXLG�IRU�GULOOLQJ�LQ�GU\�IRUPDWLRQV�LQDULG� FOLPDWHV�� LQ� FRPSHWHQW� FRQVROLGDWHG� URFN�� RU� LQ� IUR]HQ� JURXQG�� 2QO\� PLQRU� PRGLILFDWLRQV� WR� DFRQYHQWLRQDO�GULOOLQJ�ULJ�DQG�GULOO�ELWV�DUH�UHTXLUHG� WR�GULOO�ZLWK�FRPSUHVVHG�DLU�DV�FRPSDUHG�WR�GULOOLQJZLWK�PXG��$Q�DLU�FRPSUHVVRU�ZLWK�LWV�FRPSOHPHQW�RI�SUHVVXUH�JDXJHV��VDIHW\�YDOYHV��VWRUDJH�WDQN��HWF��LVUHTXLUHG�� $�GHOLYHU\�KRVH�LV�QHHGHG�WR�FRQQHFW�WKH�DLU�VXSSO\�WR� WKH�NHOO\�RI�WKH�GULOO�ULJ��$�GHIOHFWRUVKRXOG� EH� SODFHG� RYHU� WKH� ERUHKROH� WR� GHIOHFW� WKH� FXWWLQJV� ZKLFK� DUH� EURXJKW� WR� WKH� VXUIDFH� E\� WKHFRPSUHVVHG�DLU�� :KHQ�GULOOLQJ�IUR]HQ�IRUPDWLRQV��UHIULJHUDWLRQ�HTXLSPHQW�PD\�EH�UHTXLUHG�WR�FKLOO� WKHFRPSUHVVHG� DLU�EHIRUH� LW� LV�SXPSHG� LQWR� WKH�ERUHKROH�� HVSHFLDOO\� LI� WKH�DPELHQW� WHPSHUDWXUH� LV�ZDUPHUWKDQ� DERXW� ��GHJ�&� �� GHJ�)�� ,I� WKH� UHODWLYH�KXPLGLW\� LV� KLJK�� SURYLVLRQV� VKRXOG� DOVR� EH�PDGH� IRUGHIURVWLQJ�WKH�FKLOOHU�

&RQYHQWLRQDO�GULOO�ELWV�PD\�EH�XVHG�IRU�GULOOLQJ�PRVW�IRUPDWLRQV�ZLWK�DLU��'UDJ�ELWV�KDYH�EHHQ�XVHG�WRGULOO�VRIW�WR�PHGLXP�IRUPDWLRQV��IUR]HQ�ILQH�JUDLQHG�VRLOV��DQG�LFH��5ROOHU�ELWV�JHQHUDOO\�KDYH�SHUIRUPHGVDWLVIDFWRULO\� LQ�PHGLXP�WR�KDUG�IRUPDWLRQV�� +RZHYHU�� LW�KDV�EHHQ�IRXQG� WKDW� ODUJHU�GLVFKDUJH�QR]]OHVPD\�EH�UHTXLUHG�WR�GULOO�ZLWK�DLU�DV�FRPSDUHG�WR�GULOOLQJ�ZLWK�ZDWHU�RU�PXG�

%RWK�DLU�SUHVVXUH�DQG�YROXPH�RI�DLU�DUH�LPSRUWDQW�IRU�WKH�VXFFHVVIXO�XVH�RI�DLU�DV�WKH�GULOOLQJ�IOXLG��7KHHIIHFWLYH�XVH�RI�DLU�DV�D�GULOOLQJ�IOXLG�UHTXLUHV�D�KLJK�YROXPH�RI�DLU�WR�HIILFLHQWO\�UHPRYH�FXWWLQJV�IURP�WKHKROH��+LJK�SUHVVXUH�DORQH�ZLOO�QRW�DVVXUH�D�VXIILFLHQW�YROXPH�RI�DLU�DQG�FRXOG�GDPDJH�WKH�IRUPDWLRQ��,QJHQHUDO��D� ORZ�SUHVVXUH�� L�H��NLORSDVFDOV��N3D��RU��SVL��KLJK�YROXPH�FDSDFLW\�FRPSUHVVRU� LV�PRUHHFRQRPLFDO�DQG�GHVLUDEOH�WKDQ�D�KLJK�SUHVVXUH��ORZ�YROXPH�V\VWHP�

49 �'

�K G

�R �

��

SJ

4 �7��

�� G�L &

��

(0��-DQ��

)��

7KH�PLQLPXP�DQQXODU�XSKROH�YHORFLWLHV�PXVW�EH�YDULHG�IRU�HDFK�GULOOLQJ�FRQGLWLRQ�HQFRXQWHUHG��$QQXODUYHORFLWLHV�RQ� WKH�RUGHU�RI�� WR��P�VHF� �� WR�� IW�PLQ��ZLWK�XSSHU� OLPLWV�RI��P�VHF� ��IW�PLQ��KDYH�EHHQ�IRXQG�WR�EH�VDWLVIDFWRU\�IRU�PDQ\�PDWHULDOV�� 7KH�KLJKHU�XSZDUG�YHORFLWLHV�VKRXOG�EHXVHG�FDXWLRXVO\�DV�WKH\�PD\�WHQG�WR�HURGH�WKH�ZDOOV�RI�WKH�ERUHKROH��(TXDWLRQ��FDQ�EH�XVHG�WR�HVWLPDWHWKH�VL]H�RI�WKH�DLU�FRPSUHVVRU�ZKLFK�ZLOO�SURGXFH�WKH�DSSURSULDWH�YROXPH�RI�DLU�

��

ZKHUH

4 �FRPSUHVVRU�FDSDFLW\��GP �VHF�

9 �DLU�UHWXUQ�YHORFLW\��P�VHF

' �ERUHKROH�GLDPHWHU��FPK

G �GULOO�SLSH�RXWVLGH�GLDPHWHU��FPR

2QFH� WKH� IORZ� UDWH� RU� FRPSUHVVRU� FDSDFLW\� KDV� EHHQ� VHOHFWHG�� WKH� SUHVVXUH� UHTXLUHPHQWV� VKRXOG� EHFKHFNHG�WR�HQVXUH�WKDW�WKH�FRPSUHVVRU�ZLOO�PHHW�WKH�PLQLPXP�UHTXLUHPHQWV�DQG�WKDW�WKH�SUHVVXUH�UDWLQJVRI�WKH�SLSHV�DQG�ILWWLQJV�ZLOO�QRW�EH�H[FHHGHG��7KH�SUHVVXUH�UDQJH�IRU�WKH�FRPSUHVVRU�FDQ�EH�HVWLPDWHGIURP�(TXDWLRQ��21HLO��

��

ZKHUH

S JDXJH�SUHVVXUH��N3DJ

4 FRPSUHVVRU�FDSDFLW\��GP �VHF�

7 XSVWUHDP�WHPSHUDWXUH��DEVROXWH��GHJ�)��

��>��î��XSVWUHDP�WHPSHUDWXUH��GHJ�&��@

G LQVLGH�GLDPHWHU�RI�GULOO�SLSH�RU�FRXSOLQJ��FPL

& FRHIILFLHQW�RI�IORZ��XVH��IRU�VKDUS�HGJHG�RULILFHV

$Q�H[DPSOH�RI�WKH�XVH�RI�(TXDWLRQV��DQG��IROORZV��7KH�XSZDUG�YHORFLW\�RI�DLU�UHTXLUHG�WR�FDUU\�WKHFXWWLQJV�WR� WKH�VXUIDFH�ZDV�HVWLPDWHG�WR�EH��P�VHF��IW�PLQ�� 7KH�GLDPHWHU�RI�WKH�ERUHKROH�ZDVDVVXPHG� WR� EH� �� FP� �� LQ�� WKLV� YDOXH� FRUUHVSRQGV� WR� WKH� 2'� RI� WKH� �� E\� ��FP� �� E\��LQ��FRUH�EDUUHO��,W�ZDV�DOVR�DVVXPHG�WKDW�IOXVK�FRXSOHG�1:�GULOO�URGV�ZRXOG�EH�XVHG��7KH�2'�RI1:�GULOO� URGV� LV� �� FP� �� LQ�� WKH� ,'� LV� �� FP� �� LQ�� DQG� WKH� ,'� RI� WKH� FRXSOLQJV� LV��FP�� LQ�� 7KH�XSVWUHDP�DLU�WHPSHUDWXUH�ZDV�HVWLPDWHG�DV��GHJ�&��GHJ�)�� 8VLQJ�WKH

(0��-DQ��

)��

YDOXHV� RI�9� � �� P�VHF� �� IW�PLQ��' � � �� FP� �� LQ�� DQG� G � � �� FP� �� LQ�� WKHK R

PLQLPXP� FRPSUHVVRU� FDSDFLW\� ZDV� GHWHUPLQHG� WR� EH� �� GP �VHF� �� IW �PLQ�� DFFRUGLQJ� WR� (TXD��

WLRQ��8VLQJ�YDOXHV�RI�7 � ��GHJ�&��GHJ�)�RU��GHJ�DEVROXWH��DQG�G � ��FP��LQ�� L

WKH�JDXJH�SUHVVXUH�ZDV�GHWHUPLQHG�E\�(TXDWLRQ��DV��N3D��SVL��

,I�WKH�FRPSUHVVRU�FDSDFLW\�FDOFXODWHG�DFFRUGLQJ�WR�(TXDWLRQ��RU� WKH�SUHVVXUH�FDOFXODWHG�DFFRUGLQJ�WR(TXDWLRQ�� LV� DSSUR[LPDWHO\� HTXDO� WR� WKH� FDSDFLW\�RI� WKH� FRPSUHVVRU� RU� WKH� SLSLQJ�� D�PRUH� ULJRURXVGHWHUPLQDWLRQ� RI� WKHVH�SDUDPHWHUV� VKRXOG�EH� FRQGXFWHG� EHIRUH� WKH� DFTXLVLWLRQ� DQG�PRELOL]DWLRQ�RI� WKHHTXLSPHQW�LV�LQLWLDWHG��,W�VKRXOG�EH�QRWHG�WKDW�OHDNV��KHDG�ORVVHV��IULFWLRQDO�ZDUPLQJ�RI�WKH�DLU��HWF��ZHUHQRW�FRQVLGHUHG�IRU�WKH�H[DPSOH��,W�ZDV�DOVR�DVVXPHG�WKDW�WKH�VPDOOHVW�RULILFH�ZDV�WKH�,'�RI�WKH�FRXSOLQJ�+RZHYHU��LW�LV�SUREDEOH�WKDW�VPDOOHU�RULILFHV��VXFK�DV�IOXLG�SRUWV�RQ�WKH�GULOO�ELW��ZRXOG�FRQVWULFW�WKH�IORZRI�FRPSUHVVHG�DLU��7KHUHIRUH��FRQVLGHUDWLRQ�RI�DOO�DVSHFWV�RI�GULOOLQJ�ZLWK�DLU�VKRXOG�EH�DGGUHVVHG�EHIRUHWKH�GHVLJQ�RI�WKH�V\VWHP�LV�ILQDOL]HG��$�QXPEHU�RI�UHIHUHQFHV�RQ�FRPSUHVVHG�DLU�WHFKQRORJ\�DUH�DYDLODEOHLQ�WKH�OLWHUDWXUH�

&RPSUHVVHG�DLU�KDV�VHYHUDO�DGYDQWDJHV�RYHU�RWKHU�W\SHV�RI�GULOOLQJ�IOXLGV��*HQHUDOO\��DLU�PRUH�HIILFLHQWO\FOHDQV�WKH�GULOO�ELW�ZKLFK�H[WHQGV�LWV�OLIH��SUREDEO\�DV�D�UHVXOW�RI�OHVV�JULQGLQJ�RI�WKH�FXWWLQJV��$OWKRXJKURWDU\�ELW� VSHHGV�DUH�SUDFWLFDOO\�LGHQWLFDO� WR�GULOOLQJ�ZLWK�ZDWHU� DQG�PXGV��DLU� GULOOLQJ�LV� XVXDOO\�IDVWHUWKDQ� PXG� GULOOLQJ� GXH� LQ� SDUW� WR� WKH� LQFUHDVHG� ZHLJKW� �DSSUR[LPDWHO\� �� SHUFHQW�� RQ� WKH� GULOO� ELW�+RZHYHU�� LQ�VRIWHU�IRUPDWLRQV�WKH�SHQHWUDWLRQ�UDWH�PXVW�EH�UHGXFHG�WR�SUHYHQW�VTXHH]LQJ�DURXQG�WKH�ELWDQG�EORFNLQJ�IOXLG�SRUWV��$FFXUDWH�ORJJLQJ�RI�PDWHULDO�FKDQJHV�FDQ�EH�HDVLO\�QRWHG�DV�WKH�FXWWLQJV��ZKLFKJHQHUDOO\�YDU\�IURP�D�ILQH�SRZGHU�WR�WKH�VL]H�RI�D�WKXPE�QDLO��DUH�XQFRQWDPLQDWHG��)RU�H[DPSOH��GXULQJDQ� LQYHVWLJDWLRQ� RI� D� ODQGVOLGH�� VXEWOH� FKDQJHV� RI�PRLVWXUH� FRQWHQW� FDQ� EH�PRUH� HDVLO\� GHWHFWHG� XVLQJFRPSUHVVHG�DLU�WKDQ�ZKHQ�XVLQJ�ZDWHU�RU�GULOOLQJ�PXG��:KHQ�IRUPDWLRQV�FRQWDLQLQJ�H[SDQVLYH�FOD\V�DQGVKDOHV�RU� J\SVXP�DUH� GULOOHG�XVLQJ�DLU��ZDWHU� LV� QRW� XVHG� DQG� WKHUHIRUH�FDQQRW� EH� LPELEHG�E\� WKH� VRLO�:KHQ�WKH�GULOOLQJ�LV�LQ�FDYHUQRXV�PDWHULDO��WKH�H[SHQVH�RI�ORVW�FLUFXODWLRQ�RI�GULOOLQJ�PXGV�LV�HOLPLQDWHG�,Q�FROG�FOLPDWHV��WKH�SRWHQWLDO�RI�IUHH]LQJ�WKH�GULOOLQJ�PXG�LV�HOLPLQDWHG�ZKHQ�FRPSUHVVHG�DLU�LV�XVHG�DVWKH�GULOOLQJ�IOXLG�

7KH� XVH� RI� FRPSUHVVHG� DLU� IRU� WKH� GULOOLQJ� IOXLG� DOVR� KDV� GLVDGYDQWDJHV�� &RUH� GULOOLQJ�ZLWK� DLU� PD\SUHVHQW�VSHFLILF�SUREOHPV�EHFDXVH�RI�FRQVWULFWLRQV�LQ�WKH�IORZ�SDWK��L�H��WKH�KHDG�RI�WKH�FRUH�EDUUHO��SDVWWKH� ELW�� DQG� SDVW� WKH�VPDOO� DQQXODU�DUHD�EHWZHHQ� WKH�FRUH�EDUUHO�DQG� WKH�ZDOO� RI� WKH�KROH�� HVSHFLDOO\� LIFRULQJ�V\VWHPV�GHVLJQHG�IRU�XVH�ZLWK�ZDWHU�DUH�XVHG��:KHQ�GULOOLQJ�LV�LQ�FDYLQJ�IRUPDWLRQV��WRR�ODUJH�DQDQQXOXV�PD\�UHVXOW��WKH�UHWXUQ�YHORFLW\�RI�WKH�DLU�ZLOO�GHFUHDVH�DQG�PD\�EHFRPH�LQDGHTXDWH�WR�OLIW�WKH�VRLOFXWWLQJV�� $LU�ZRUNV�EHVW�DV�D�GULOOLQJ�IOXLG�ZKHQ�IUHH�ZDWHU�LV�QRW�SUHVHQW�LQ�WKH�PDWHULDO�EHLQJ�GULOOHG�KRZHYHU��GXVW�VXSSUHVVLRQ�PD\�EH�UHTXLUHG�WR�SUHYHQW�WKH�DGYHUVH�KHDOWK�HIIHFWV�RI�EUHDWKLQJ�WKH�H[SHOOHGGXVW�� HVSHFLDOO\� � ZKHQ� GULOOLQJ� LV� LQ� VLOLFHRXV� PDWHULDOV� DQG� LQ� FRQILQHG� DUHDV� VXFK� DV� GUDLQDJH� DQGJURXWLQJ�JDOOHULHV�� 7KH�SUHVHQFH�RI�ZDWHU�LQ� WKH�KROH�RU�IURP�FXWWLQJV�RI�ZHW�EXW�QRW�VDWXUDWHG�FOD\�RUVKDOH� IRUPDWLRQV� UHGXFHV� WKH� FDSDFLW\� RI� WKH� DLU� WR� FDUU\� FXWWLQJV� IURP� WKH� KROH� DQG� RIWHQ� FDXVHV� WKHFXWWLQJV�WR�EDOO�DQG�FOLQJ�WR�WKH�GULOO�ELW��GULOO�URG��DQG�ZDOOV�RI�WKH�ERUHKROH��:KHQ�WKLV�FRQGLWLRQ�RFFXUV�WKH� FKDQFH� RI� WKH� GULOOLQJ� WRROV� JHWWLQJ� VWXFN� LQ� WKH� KROH� LV� LQFUHDVHG�� 0RUHRYHU�� WKH� SUHVVXUH� DW� WKHERWWRP�RI�WKH�ERUHKROH�PD\�EH�LQFUHDVHG�VXIILFLHQWO\�WR�IUDFWXUH�WKH�IRUPDWLRQ��&RQVHTXHQWO\��WKH�XVH�RIDLU�IRU�GULOOLQJ�PRVW�FOD\V�DQG�VKDOHV�LV�QRW�UHFRPPHQGHG�

E� )RDP�� )RDP�RU�PLVW�PD\�EH�DGGHG� WR� FRPSUHVVHG�DLU� WR� HQKDQFH� LWV� SHUIRUPDQFH�� HVSHFLDOO\ZKHQ�WRR�PXFK�ZDWHU�LV�HQFRXQWHUHG�ZKHQ�DLU�GULOOLQJ�IRUPDWLRQV�VXFK�DV�FOD\V�DQG�VKDOHV�� )RDP�ZLOOKHOS�NHHS�WKH�FXWWLQJV�VHSDUDWHG��UHGXFH�WKH�HIIHFWV�RI�EDOOLQJ�DQG�VWLFNLQJ��DVVLVW�LQ�UHPRYLQJ�ZDWHU�IURPWKH� GULOO� KROH�� DQG� DOORZ� ODUJHU� FXWWLQJV� WR� EH� UHPRYHG� IURP� WKH� KROH� ZLWK� WKH� VDPH� YROXPH� RI� DLU�%HFDXVH�WKH�UHPRYDO�RI�ODUJHU�FXWWLQJV�IURP�WKH�ERWWRP�RI�WKH�KROH�LV�HQKDQFHG�DQG�WKXV�KHOSV�WR�DVVXUHEHWWHU�FOHDQLQJ�RI�WKH�KROH��IDVWHU�ELW�SHQHWUDWLRQ�GXH�WR�OHVV�JULQGLQJ�RI�FXWWLQJV�DQG�ORQJHU�ELW�OLIH�UHVXOW�

(0��-DQ��

)��

)RDP� LV� DOVR� XVHG� DV� D� GXVW� VXSSUHVVDQW� DQG� ZLOO� UHGXFH� DLU� ORVV�� ZKLFK� DOORZV� GULOOLQJ� WKURXJK� ORVWFLUFXODWLRQ�]RQHV�

)RDPLQJ� DJHQWV� DUH� JHQHUDOO\� ELRGHJUDGDEOH� PL[WXUHV� RI� VXUIDFWDQWV�� 'XULQJ� GULOOLQJ� RSHUDWLRQV�� DPL[WXUH� RI� WKH� IRDPLQJ� DJHQW� DQG� ZDWHU� LV� LQMHFWHG� LQWR� WKH� FRPSUHVVHG� DLU� VWUHDP� EHWZHHQ� WKHFRPSUHVVRU� GLVFKDUJH� DQG� WKH� WRS� RI� WKH� KROH� DW� D� UDWH� RI� �� WR� �� GP �KU� �� WR� �� JDO�KU��

DOWKRXJK�WKLV�UDWH�PD\�EH�DGMXVWHG�IRU�WKH�FRQGLWLRQV�HQFRXQWHUHG�� 7KH�IRDP�UDQJHV�IURP�D�PLVW�RI�DVOLWWOH� DV� �� GP � �� SLQW�� IRDPLQJ� DJHQW� SHU� �� GP � �� JDO�� RI� LQMHFWLRQ� ZDWHU� WR� D� VWLII� IRDP� �

FRQVLVWLQJ�RI�D�PL[WXUH�RI�EHQWRQLWH�VOXUU\�DQG�RU�RUJDQLF�SRO\PHU��ZDWHU��DQG�IRDPLQJ�DJHQW��7KH�IRDPPLVW�LV�JHQHUDOO\�DGHTXDWH�WR�VXSSUHVV�GXVW��FRPEDW�VPDOO�ZDWHU�LQIORZ��DQG�UHPRYH�VWLFN\�FOD\��ZHW�VDQG�DQG�ILQH�JUDYHO�LQ�KROHV�ZLWK�IHZ�KROH�SUREOHPV��6WLIIHU�IRDP�LV�UHTXLUHG�DV�WKH�KROH�GLDPHWHU�DQG�GHSWKLQFUHDVH��JUDYHO�RU�FXWWLQJV�EHFRPH�ODUJHU��ZDWHU�LQIORZV�EHFRPH�VLJQLILFDQW��RU�XQVWDEOH�KROH�FRQGLWLRQVDUH� HQFRXQWHUHG�� ,QMHFWLRQ� RI�PLVW� RU� IRDP�PD\� UHTXLUH� DQ� LQFUHDVHG� UHWXUQ�YHORFLW\� RI� ��SHUFHQW� RUPRUH� DV� FRPSDUHG� WR� VWULFWO\� DLU� GULOOLQJ�� %HFDXVH� IRDP� GULOOLQJ� LV� QRW� FRPPRQO\� XVHG� LQ� &RUSV� RI(QJLQHHUV� DFWLYLWLHV�� LW� LV� UHFRPPHQGHG� WKDW� DQ\RQH� SODQQLQJ� WR� XVH� IRDP� GULOOLQJ� VKRXOG� LQYHVWLJDWHDYDLODEOH�SURGXFWV�DQG�PDQXIDFWXUHUV�UHFRPPHQGDWLRQV��

F� &OHDU�ZDWHU��:DWHU�LV�JHQHUDOO\�D�FRVW�HIIHFWLYH�DQG�HIILFLHQW�GULOOLQJ�IOXLG�ZKLFK�KDV�EHHQ�XVHGIRU� QXPHURXV� GULOOLQJ� RSHUDWLRQV�� 7KH� GULOOLQJ� IOXLG� LV� IRUPHG� QDWXUDOO\� E\� PL[LQJ� FOHDU� ZDWHU� ZLWKFXWWLQJV� RI� VRLO� IURP� WKH� IRUPDWLRQ�ZKLFK� LV� EHLQJ� GULOOHG�� ,Q� VRPH� LQVWDQFHV�� VXFK� DV� WKH� GULOOLQJ� RIIRUPDWLRQV� LQ�ZKLFK�WHPSHUDWXUHV�DUH�QDWXUDOO\�DW�RU�VOLJKWO\�DERYH��GHJ�&��GHJ�)�� LFH�ZDWHU�RU�DEULQH�RI�LFH�ZDWHU�DQG�VDOW�PD\�EH�XVHG�DV�WKH�GULOOLQJ�IOXLG�

'ULOOLQJ�ZLWK�FOHDU�ZDWHU�KDV�VHYHUDO�DWWULEXWHV�� &XWWLQJV�GURS�HDVLO\� IURP�VXVSHQVLRQ�� &OHDU�ZDWHU� LVSUHIHUUHG�ZKHQ�EHGURFN�FRUH�GULOOLQJ�IRU�GDP�VLWH�LQYHVWLJDWLRQV�RU�K\GUDXOLF�SUHVVXUH�WHVWLQJ�LV�UHTXLUHG�:DWHU�ORVVHV�RU�JDLQV�GXULQJ�GULOOLQJ�DUH�H[FHOOHQW�TXDOLWDWLYH�LQGLFDWRUV�RI�]RQHV�RI�SRWHQWLDO�VHHSDJH�DQG]RQHV�ZKLFK�UHTXLUH�JURXWLQJ��,I�SUHVVXUH�WHVWV�DUH�WR�EH�FRQGXFWHG��ZDWHU�LQ�MRLQWV��IUDFWXUHV��RU�EHGGLQJSODQHV�LV�OHVV�OLNHO\�WR�LQIOXHQFH�WKH�DSSDUHQW�SHUPHDELOLW\�RI�WKH�IRUPDWLRQ�DV�FRPSDUHG�WR�WKH�HIIHFWV�RIGULOOLQJ�PXG��,I�JHRWHFKQLFDO�VWUHQJWK�WHVWV�DUH�WR�EH�PDGH�RQ�FRUHV��ZDWHU�PD\�EH�OHVV�OLNHO\�WR�DOWHU�WKHDSSDUHQW�VWUHQJWK�DORQJ�SUHH[LVWLQJ�GLVFRQWLQXLWLHV�WKDQ�GULOOLQJ�PXGV�ZKLFK�PD\�KDYH�FRQVWLWXHQWV�ZLWKOXEULFDWLQJ�TXDOLWLHV��&OHDU�ZDWHU�PD\�EH�XVHG�ZKHUH�IRUPDWLRQ�ZDWHU�SUHVVXUHV�DUH�QRUPDO�RU�VXEQRUPDO�DOWKRXJK�LW�GRHV�QRW�ZRUN�ZHOO�LQ�KLJKO\�SHUPHDEOH�RU�ZDWHU�VHQVLWLYH�IRUPDWLRQV�

:DWHU�DORQH�LV�D�SRRU�KROH�VWDELOL]HU��PD\�FDXVH�FOD\V�DQG�VKDOHV�WR�VZHOO��GRHV�QRW�VXVSHQG�FXWWLQJV�ZHOOZKHQ�WKH�SXPS�LV�VKXW�RII��DQG�RIIHUV�PLQLPDO�OXEULFDWLRQ�DQG�QR�FRQWURO�RI�IOXLG�ORVV��7KHUHIRUH��LW�LVRIWHQ�LPSHUDWLYH�WKDW�FHUWDLQ�LQRUJDQLF�RU�RUJDQLF�FRQVWLWXHQWV�EH�DGGHG�WR�ZDWHU�WR�FRQWURO�WKH�SURSHUWLHVRI�WKH�GULOOLQJ�PXG��VXFK�DV�ZHLJKW�RU�GHQVLW\��YLVFRVLW\��DQG�ILOWUDWLRQ�FKDUDFWHULVWLFV��ZKLFK�EHWWHU�VDWLVI\GULOOLQJ�QHHGV�

G� :DWHU�EDVHG�PXGV��7KHVH�IOXLGV�DUH�WKH�ZRUNKRUVHV�RI�PRVW�JHRWHFKQLFDO�GULOOLQJ�DQG�VDPSOLQJRSHUDWLRQV��7KH�PRVW�FRPPRQ�DGGLWLYH�WR�IRUP�D�ZDWHU�EDVHG�PXG�LV�EHQWRQLWH��DOWKRXJK�SRO\PHUV�KDYHEHHQ� GHYHORSHG� DQG� SHUIRUP�ZHOO� IRU�PRVW� GULOOLQJ� RSHUDWLRQV�� 7KHVH� GULOOLQJ� IOXLGV� SOXV� DSSURSULDWHDGGLWLYHV�IXOILOO�DOO�SULPDU\�DQG�VHFRQGDU\�SXUSRVHV�OLVWHG�LQ�SDUDJUDSK��7KH�SULPDU\�GLVDGYDQWDJHVRI�XVLQJ�GULOOLQJ�PXG�DUH�� D� ODUJH�YROXPH�RI�GULOOLQJ�IOXLG��ZDWHU�� LV� UHTXLUHG��DQG�D�KLJK�SRWHQWLDO� IRUKROH�HURVLRQ�H[LVWV��$V�D�UXOH�RI�WKXPE��WKH�YROXPH�RI�PXG�UHTXLUHG�WR�GULOO�D�KROH�LV�DSSUR[LPDWHO\�WKUHHWLPHV�WKH�YROXPH�RI�WKH�KROH��7KH�IOXVK�RU�UHWXUQ�YHORFLW\�RI�WKH�GULOOLQJ�IOXLG�FRXSOHG�ZLWK�LWV�YLVFRVLW\LV�SRWHQWLDOO\�KD]DUGRXV�WR�HURGLEOH�PDWHULDOV�LQ�ERUHKROHV�

8SKROH�PXG�YHORFLWLHV�ZKLFK�DUH�UHTXLUHG�WR�FDUU\�FXWWLQJV�IURP�WKH�ERULQJ�YDU\�DV�D�IXQFWLRQ�RI�WKH�VL]HDQG�GHQVLW\�RI�WKH�FXWWLQJV�DQG�WKH�YLVFRVLW\�DQG�ZHLJKW�RU�GHQVLW\�RI�WKH�GULOOLQJ�PXG��7\SLFDO�XSKROH

(0��-DQ��

)��

YHORFLWLHV� UDQJH� IURP�� WR��P�VHF� �� WR��IW�PLQ�� (TXDWLRQ��PD\�EH� XVHG� WR� VL]H� WKH�PXGSXPS�FDSDFLW\�

�� %HQWRQLWH�PXG�� %HQWRQLWH� LV� WKH�PRVW� FRPPRQO\� XVHG� GULOOLQJ� IOXLG� DGGLWLYH� DQG� FRQVLVWV� RIILQHO\�JURXQG�VRGLXP�EHQWRQLWH�FOD\��:KHQ�PL[HG�ZLWK�ZDWHU��WKH�UHVXOWLQJ�VOXUU\�KDV�D�YLVFRVLW\�JUHDWHUWKDQ�ZDWHU��SRVVHVVHV� WKH� DELOLW\� WR� VXVSHQG� UHODWLYHO\� FRDUVH�DQG� KHDY\�SDUWLFOHV�� DQG� WHQGV� WR� IRUP�DWKLQ�� YHU\� ORZ�SHUPHDELOLW\� FDNH� RQ� WKH�ZDOOV� RI� WKH� ERUHKROH�� %HFDXVH� RI� WKHVH� DWWULEXWHV�� EHQWRQLWHGULOOLQJ� PXG� LV� VXSHULRU� WR� ZDWHU� DV� D� GULOOLQJ� IOXLG� IRU�PDQ\� DSSOLFDWLRQV�� %HQWRQLWH� IRU� GULOOLQJ� LVJHQHUDOO\� DYDLODEOH� LQ� D� VWDQGDUG� JUDGH� ZKLFK� FRPSOLHV� ZLWK� WKH� $PHULFDQ� 3HWUROHXP� ,QVWLWXWH� �$3,�6SHFLILFDWLRQ� ��$� �$PHULFDQ� 3HWUROHXP� ,QVWLWXWH� �� $� KLJK� \LHOG� JUDGH�� ZKLFK� FRQWDLQV� RUJDQLFSRO\PHUV��JHQHUDOO\�SURGXFHV�DSSUR[LPDWHO\� WKH�VDPH�YLVFRVLW\�DV�WKH�VWDQGDUG�JUDGH�ZLWK�RQH�KDOI�WKHDPRXQW� RI� EHQWRQLWH�� ,W� VKRXOG� EH� QRWHG�� KRZHYHU�� WKDW� WKH� VWDQGDUG� JUDGH� EHQWRQLWH� PD\� FRQWDLQSHSWL]LQJ� DJHQWV� DQG� RUJDQLF� DGGLWLYHV�� )RU� HQYLURQPHQWDO� GULOOLQJ� ZKHUH� DGGLWLYHV� DUH� XQDFFHSWDEOH�SXUH�VRGLXP�EHQWRQLWH�LV�DYDLODEOH�IURP�VHYHUDO�VXSSOLHUV�

�� 3RO\PHU� PXG�� %RWK� QDWXUDO� DQG� V\QWKHWLF� RUJDQLF� SRO\PHUV� DUH� DYDLODEOH� WKDW� ZLOO� SURGXFHGULOOLQJ�PXGV�ZLWK�GHVLUDEOH�SURSHUWLHV��$OWKRXJK�WKH�FRVW�RI�PRVW�SRO\PHU�DGGLWLYHV�LV�JUHDWHU�WKDQ�WKHFRVW�RI�EHQWRQLWH��WKH�OXEULFDWLQJ�TXDOLW\�RI�PDQ\�SRO\PHU�PXGV�LV�H[FHOOHQW�DQG�FDQ�QRWLFHDEO\�UHGXFH�ELWDQG� URG� ZHDU�� $V� FRPSDUHG� WR� EHQWRQLWH�PXGV�� SRO\PHU� PXGV� RIWHQ� FRQWDLQ� D� ORZHU� VROLGV� FRQWHQW�$OWKRXJK�SRO\PHU�PXGV�PD\� ODFN� WKH�JHO�VWUHQJWK�ZKLFK� LV� UHTXLUHG� WR�VXVSHQG�SDUWLFOHV�RU� WR�IRUP�DVDWLVIDFWRU\� ILOWHU� FDNH� DV� FRPSDUHG� WR�EHQWRQLWH�PXGV�� SRO\PHU�PXGV� FDQ�EH� SXPSHG� DW�PXFK� KLJKHUYLVFRVLWLHV�� &RQVHTXHQWO\�� WKH�ZDWHU� ORVV�GXH� WR�SRRUHU� ILOWHU� FDNH�SURSHUWLHV� LV� SDUWLDOO\�PLWLJDWHG� E\UHGXFHG�VHHSDJH�RI�WKH�YHU\�YLVFRXV�PXG�LQWR�WKH�IRUPDWLRQ��$�QDWXUDO�SRO\PHU��ZKLFK�KDV�EHHQ�XVHG�IRUGULOOLQJ�ZHOOV�DQG�SLH]RPHWHUV��LV�PDGH�IURP�WKH�*XDU�EHDQ��LW�GHJUDGHV�QDWXUDOO\�EHFDXVH�RI�WKH�DFWLRQ�RIHQ]\PHV�DQG�UHWXUQV�WR�WKH�YLVFRVLW\�RI�ZDWHU�ZLWKLQ�D�IHZ�GD\V�

�� %HQWRQLWH�SRO\PHU�PXG�� ,W� LV� VRPHWLPHV� DGYDQWDJHRXV� WR� SUHSDUH� GULOOLQJ�PXGV� FRPSRVHG�RIERWK�EHQWRQLWH�DQG�SRO\PHU�ZLWK�ZDWHU�� 7KH�ORZ�VROLGV�YLVFRVLW\�SURSHUWLHV�RI�RUJDQLF�SRO\PHUV�ZKHQFRPELQHG�ZLWK�WKH�ILOWUDWLRQ�SURSHUWLHV�RI�D�EHQWRQLWH�PXG�\LHOGV�D�PXG�ZLWK�H[FHOOHQW�FKDUDFWHULVWLFV�IRUPDQ\�DSSOLFDWLRQV��:KHQ�WKH�FRPELQDWLRQ�PXG�LV�SUHSDUHG��WKH�EHQWRQLWH�VKRXOG�EH�DGGHG�WR�WKH�ZDWHUEHIRUH�WKH�SRO\PHU�LV�DGGHG�

��3URSHUWLHV�RI�:DWHU�%DVHG�0XGV

'ULOOLQJ� PXGV� KDYH� IRXU� EDVLF� SURSHUWLHV� WKDW� GHWHUPLQH� WKH� EHKDYLRU� RI� WKH� PXG� DV� D� GULOOLQJ� IOXLG�YLVFRVLW\�� GHQVLW\��JHO� VWUHQJWK��DQG� ILOWUDWLRQ�� 6HYHUDO� RWKHU�SURSHUWLHV�� DOWKRXJK�RI� OHVVHU� LPSRUWDQFH�QHHG�WR�EH�FKHFNHG��HVSHFLDOO\�LI�SUREOHPV�DUH�DQWLFLSDWHG�RU�HQFRXQWHUHG��7KHVH�SURSHUWLHV�LQFOXGH�VDQGFRQWHQW�� S+� �DONDOLQLW\�RU� DFLGLW\�� DQG� FDOFLXP�FRQWHQW� �KDUG�ZDWHU�� $OWKRXJK� WHVWV� DUH� DYDLODEOH� WRPHDVXUH� HDFK� RI� WKHVH� SURSHUWLHV�� VLPSOH� ILHOG� WHVWV� IRU� YLVFRVLW\� DQG� GHQVLW\�� FRXSOHG� ZLWK� DQXQGHUVWDQGLQJ�RI�GULOOLQJ�DQG�WKH�FDSDELOLWLHV�RI�DYDLODEOH�PXG�SURGXFWV��FDQ�VDWLVI\�WKH�GULOOLQJ�QHHGV�IRUPRVW�JHRWHFKQLFDO�LQYHVWLJDWLRQV�

7DEOH� �� VXPPDUL]HV� HDFK� SURSHUW\�� LWV� GHVLUDEOH� OLPLWV� DQG� FRQWURO�� DQG� LWV� LQIOXHQFH� RQ� GULOOLQJRSHUDWLRQV�� 7DEOH� �� LV� D� VXPPDU\�RI� DGGLWLYHV�FKHPLFDOV�ZKLFK� FDQ� EH�PL[HG�ZLWK�GULOOLQJ�PXG� WRFRQWURO� SURSHUWLHV� RU� PLQLPL]H�HOLPLQDWH� SUREOHPV� HQFRXQWHUHG� GXULQJ� GULOOLQJ� RSHUDWLRQV�� $OWKRXJKWKHVH� WDEOHV�JLYH�D�JHQHUDO�RYHUYLHZ�RI�GHVLUDEOH�GULOOLQJ�PXG�SURSHUWLHV��VSHFLDO�SUREOHPV�PD\�UHTXLUHWHFKQLFDO�DVVLVWDQFH�IURP�GULOOLQJ�PXG�PDQXIDFWXULQJ�FRPSDQLHV�

D� 9LVFRVLW\�� 9LVFRVLW\�LV�GHILQHG�DV�WKH�UHVLVWDQFH�RIIHUHG�E\�D�IOXLG��OLTXLG�RU�JDV��WR�IORZ��7KHWKLFNHU� D�SDUWLFXODU� IOXLG� LV� WKH� KLJKHU� LWV� YLVFRVLW\�� $FFXUDWH�PHDVXUHPHQW�RI� WKH�YLVFRVLW\�RI�GULOOLQJ

(0��-DQ��

)��

PXG�LV�GHSHQGHQW�RQ�D�QXPEHU�RI�IDFWRUV�DQG�UHTXLUHV�VSHFLDO�HTXLSPHQW��7KH�EDVLF�IDFWRUV�ZKLFK�DIIHFWWKH� YLVFRVLW\� RI� D� PXG� DUH� WKH� YLVFRVLW\� RI� WKH� EDVH� IOXLG� �ZDWHU�� WKH� VL]H�� VKDSH�� DQG� QXPEHU� RIVXVSHQGHG�SDUWLFOHV��DQG�WKH�IRUFHV�H[LVWLQJ�EHWZHHQ�SDUWLFOHV�DV�ZHOO�DV�EHWZHHQ�SDUWLFOHV�DQG�WKH�IOXLG�

)RU� ILHOG� DSSOLFDWLRQV�� D� TXDOLWDWLYH� YLVFRVLW\�PHDVXUH� FDQ� EH� REWDLQHG� E\� WKH�0DUVK� IXQQHO��ZKLFK� LVVKRZQ�LQ�)LJXUH��7KH�IXQQHO�YLVFRVLW\�LV�WKH�WLPH�LQ�VHFRQGV�IRU��TXDUW��GP ��RI�PXG�WR�SDVV�

WKURXJK�WKH�0DUVK�IXQQHO��H[SUHVVHG�DV�VHFRQGV�SHU�TXDUW��VHF�TW��7R�GHWHUPLQH�WKH�YLVFRVLW\�XVLQJ�WKH0DUVK� IXQQHO�� KROG� WKH� IXQQHO� LQ� DQ� XSULJKW�SRVLWLRQ�DQG�SODFH� D� ILQJHU� RYHU� WKH�RXWOHW�� 3RXU� WKH� WHVWVDPSOH��ZKLFK�KDV�MXVW�EHHQ�WDNHQ�IURP�QHDU�WKH�SXPS�VXFWLRQ�HQG�RI�WKH�PXG�SLW��WKURXJK�WKH�VFUHHQ�LQWRWRS�RI�WKH�IXQQHO�XQWLO�WKH�OHYHO�RI�GULOOLQJ�PXG�MXVW�UHDFKHV�WKH�ERWWRP�RI�WKH�VFUHHQ��3ODFH�D�FXS�XQGHUWKH� IXQQHO�RXWOHW�� 5HPRYH� WKH�ILQJHU� IURP�WKH�RXWOHW�DQG�WLPH� WKH�QXPEHU�RI�VHFRQGV� IRU�RQH�TXDUW�RIIOXLG�WR�IORZ�IURP�WKH�IXQQHO�LQWR�WKH�FXS��7KH�QXPEHU�RI�VHFRQGV�LV�UHFRUGHG�DV�WKH�IXQQHO�YLVFRVLW\��,IDYDLODEOH�� D� VWRSZDWFK� VKRXOG� EH� XVHG� IRU� PHDVXULQJ� WKH� WLPH�� 7KH� XVXDO� UDQJH� RI� 0DUVK� IXQQHOYLVFRVLWLHV� IRU� JRRG�HIIHFWLYH� EHQWRQLWH�PXG� LV� �� WR� �� VHF�TW� �� WR�� VHF�GP �� IRU� SRO\PHU�PXGV��

IXQQHO� YLVFRVLWLHV� RI� �� WR� �� VHF�TW� �� WR� �� VHF�GP �� DUH� UHDVRQDEOH�� )RU� FRPSDULVRQ�� WKH� IXQQHO�

YLVFRVLW\�RI�IUHVK�ZDWHU�LV��VHF�TW��VHF�GP ��DW��GHJ�&��GHJ�)��

$V�D�JHQHUDO�UXOH��YLVFRVLW\�VKRXOG�EH�PDLQWDLQHG�DV�ORZ�DV�SRVVLEOH�WR�SURYLGH�WKH�UHTXLUHG�KROH�VWDELOLW\DQG�ZDWHU�ORVV�FRQWURO��7KLQ�PXG�GRHV�WKH�EHVW�MRE�RI�FOHDQLQJ�WKH�ELW�DQG�RSWLPL]LQJ�WKH�GULOOLQJ�UDWH�EXW� WKLFN� PXGV� DUH� QHHGHG� WR� UHPRYH� FRDUVH� JUDYHO� IURP� WKH� KROH�� 0DUVK� IXQQHO� YLVFRVLW\� UHDGLQJVVKRXOG�EH�WDNHQ�URXWLQHO\�DQG�UHFRUGHG�RQ�WKH�ERULQJ�ORJ�

)RU�PRVW�GULOOLQJ�RSHUDWLRQV��DFFHSWDEOH�OLPLWV�FDQ�EH�REWDLQHG�E\�DGGLQJ�DSSUR[LPDWHO\��NJ��OE�RI� EHQWRQLWH� SHU� �� GP � �� JDO��RI�ZDWHU�� %HFDXVH� WKH� FKDUDFWHULVWLFV� RI� WKH� DGGLWLYHV�RI�SRO\PHU�

PXGV�DUH�TXLWH�GLIIHUHQW�WKDQ�WKRVH�RI�EHQWRQLWH��WKH�VROLGV�FRQWHQW�RI�SRO\PHU�PXG�LV�PXFK�ORZHU�WKDQWKH�VROLGV�FRQWHQW�RI�EHQWRQLWH�PXG�RI�WKH�VDPH�YLVFRVLW\��1DWXUDO�FOD\�PXGV�ZKLFK�RFFXU�DV�D�UHVXOW�RIGULOOLQJ�ZLWK�FOHDU�ZDWHU�DUH�LQIHULRU�WR�EHQWRQLWH�PXGV�LQ�WKHLU�DELOLW\�WR�LQFUHDVH�YLVFRVLW\��0XFK�PRUHFOD\� LV�QHHGHG� WR�DFKLHYH�D�JLYHQ�YLVFRVLW\�� WKH�UHVXOWLQJ�PXG�ZLOO�KDYH�D�KLJKHU�GHQVLW\�DQG�JHQHUDOO\SRRUHU�TXDOLWLHV�WKDQ�D�EHQWRQLWH�GULOOLQJ�PXG�KDV�

E� 'HQVLW\�� 'HQVLW\� LV� GHILQHG� DV� WKH�ZHLJKW� SHU� XQLW� YROXPH� RI� GULOOLQJ� IOXLG�� ,W� LV� FRPPRQO\UHSRUWHG�DV�NLORJUDPV�SHU�FXELF�PHWHU��NJ�P ��DV�ZHOO�DV�SRXQGV�SHU�JDOORQ��OE�JDO��RU�SRXQGV�SHU�FXELF�

IRRW��SFI��7KH�GHVLUHG�GHQVLW\��ZKLFK�LV�IUHTXHQWO\�LQFRUUHFWO\�FDOOHG�ZHLJKW��IRU�PRVW�GULOOLQJ�VLWXDWLRQVLV�XVXDOO\� OHVV� WKDQ��NJ�P � �� OE�JDO�� DQG� FDQ�EH�HDVLO\� GHWHUPLQHG�E\�D�PXG�EDODQFH�ZKLFK� LV�

VKRZQ�LQ�)LJXUH��

7R�GHWHUPLQH� WKH�GHQVLW\�RI�WKH�GULOOLQJ�IOXLG�ZLWK�WKH�PXG�EDODQFH��ILOO� WKH�FXS�WR�FDSDFLW\�ZLWK�IUHVK�VFUHHQHG�PXG��3ODFH�WKH�OLG�RQ�WKH�FXS�DQG�URWDWH�WKH�OLG�XQWLO�LW�LV�ILUPO\�VHDWHG��0DNH�VXUH�WKDW�VRPHGULOOLQJ�PXG� LV� VTXHH]HG� RXW� WKH� YHQW� KROH�� :DVK� RU� ZLSH� WKH� H[FHVV� PXG� IURP� WKH� H[WHULRU� RI� WKHEDODQFH��$IWHU�WKH�H[WHULRU�VXUIDFH�RI�EDODQFH�KDV�EHHQ�GULHG��VHDW�WKH�EDODQFH�ZLWK�LWV�NQLIH�HGJH�RQ�WKHVWDQG� DQG� OHYHO� E\� DGMXVWLQJ� WKH� ULGHU�� 5HDG� WKH� PXG� GHQVLW\� IURP� WKH� LQVLGH� HGJH� RI� WKH� ULGHU� DVLQGLFDWHG�E\�WKH�PDUNHU�RQ�WKH�ULGHU��$Q\�RI�WKH�VFDOHV�RQ�WKH�ULGHU�PD\�EH�XVHG�WR�H[SUHVV�WKH�PXG�GHQV�LW\��DOWKRXJK�NLORJUDPV�SHU�FXELF�PHWHU�RU�SRXQGV�SHU�JDOORQ�DUH�WKH�PRVW�FRPPRQO\�XVHG�VFDOHV�� 7KHFDOLEUDWLRQ�RI�WKH�PXG�EDODQFH�FDQ�EH�HDVLO\�FKHFNHG�E\�ILOOLQJ�WKH�FXS�ZLWK�IUHVK�ZDWHU��,W�VKRXOG�UHDG��NJ�P ��OE�JDO��

$Q�LQFUHDVH�LQ�GHQVLW\�RI�WKH�GULOOLQJ�PXG�LV�D�PHDVXUH�RI�KRZ�PXFK�GULOOHG�PDWHULDO�LV�EHLQJ�FDUULHG�LQVXVSHQVLRQ�DQG�UHFLUFXODWHG�� ([FHVV�VXVSHQGHG�VROLGV�DUH�REMHFWLRQDEOH�IRU�VHYHUDO� UHDVRQV�� )LUVW�� WKHFXWWLQJV�DUH�JHQHUDOO\�DEUDVLYH�DQG�LQFUHDVH�ZHDU�RQ�WKH�PXG�SXPS��GULOO�VWULQJ��DQG�ELW�� 5HJULQGLQJ�RIWKH�FXWWLQJV�DOVR�WHQGV�WR�GHFUHDVH�WKH�UDWH�RI�GULOOLQJ�SURJUHVV�� $�WKLFNHU�ILOWHU�FDNH�ZLOO�EH�IRUPHG�RQ

(0��-DQ��

)��

WKH�ZDOOV� RI� WKH� ERUHKROH� DV� D� UHVXOW� RI� WKH�KLJKHU� FRQFHQWUDWLRQ� RI� VROLGV�� $V� D� UHVXOW� RI� WKH� JUHDWHUK\GURVWDWLF�SUHVVXUH�FDXVHG�E\�WKH�KLJKHU�FRQFHQWUDWLRQ�RI�VROLGV��K\GUDXOLF�IUDFWXULQJ�RI�WKH�IRUPDWLRQ�LVPRUH�OLNHO\�WR�RFFXU��/DVWO\��D�GHQVHU�IOXLG�KDV�JUHDWHU�EXR\DQF\��WKHUHIRUH��WKH�FXWWLQJV�DUH�OHVV�OLNHO\�WRVHWWOH�RXW�LQ�WKH�PXG�SLW�

7KH� GHQVLW\� RI� WKH� GULOOLQJ�PXG� VKRXOG� EH� URXWLQHO\� GHWHUPLQHG�� $OWKRXJK� WKHUH� DUH� VLWXDWLRQV�ZKHQGHQVH�GULOOLQJ� IOXLGV�DUH�GHVLUDEOH��PHDVXUHV� VKRXOG�EH� WDNHQ�ZKHQ� WKH�GHQVLW\�EHFRPHV� WRR�KLJK�� 7KHGHQVLW\�RI�D�EHQWRQLWH�PXG�FDQ�EH�GHFUHDVHG�E\�DGGLQJ�ZDWHU�RU�LQFUHDVHG�E\�DGGLQJ�D�ILQHO\�JURXQG��KLJKVSHFLILF�JUDYLW\�DGGLWLYH�VXFK�DV�EDULWH��EDULXP�VXOIDWH��3RO\PHU�PXGV�DUH�QRW�FDSDEOH�RI�VXVSHQGLQJ�DZHLJKWLQJ� DJHQW� EHFDXVH� WKH\� KDYH� OLWWOH� RU� QR� JHO� VWUHQJWK�� +RZHYHU�� VLQFH� PDQ\� SRO\PHUV� DUHFRPSDWLEOH� ZLWK� VDOW� VROXWLRQV�� SRO\PHU�PXGV�ZLWK� GHQVLWLHV� RI� RYHU� �� NJ�P � �� OE�JDO�� FDQ� EH�

PDGH�E\�PL[LQJ�WKH�SRO\PHU�ZLWK�D�VDWXUDWHG�FDOFLXP�FKORULGH�VROXWLRQ�

F� *HO� VWUHQJWK�� 7KH�PHDVXUH�RI� WKH�FDSDELOLW\�RI�D� GULOOLQJ� IOXLG� WR�KROG�SDUWLFOHV� LQ� VXVSHQVLRQDIWHU� IORZ� FHDVHV� LV� UHIHUUHG� WR� DV� JHO� VWUHQJWK� �WKL[RWURS\�� *HO� VWUHQJWK� UHVXOWV� IURP� WKH� HOHFWULFDOFKDUJHV�RQ�WKH�LQGLYLGXDO�FOD\�SODWHOHWV�� 7KH�SRVLWLYHO\�FKDUJHG�HGJHV�RI�D�SODWHOHW�DUH�DWWUDFWHG� WR� WKHQHJDWLYHO\� FKDUJHG� IODW� VXUIDFHV� RI� DGMDFHQW� SODWHOHWV�� ,Q� D� EHQWRQLWH�PXG� LQ� ZKLFK� WKH� SDUWLFOHV� DUHFRPSOHWHO\�GLVSHUVHG�� HVVHQWLDOO\�DOO� WKH�ERQGV�EHWZHHQ�SDUWLFOHV�DUH�EURNHQ�ZKLOH� WKH�PXG� LV� IORZLQJ�:KHQ�WKH�PXG�SXPS�LV�VKXW�RII�DQG�IORZ�FHDVHV��WKH�DWWUDFWLRQ�EHWZHHQ�FOD\�SDUWLFOHV�FDXVHV�WKH�SODWHOHWVWR� ERQG� WR� HDFK� RWKHU�� 7KLV� FRPLQJ� WRJHWKHU� DQG� ERQGLQJ� LV� WHUPHG� IORFFXODWLRQ�� 7KLV� HGJH� WR� IDFHIORFFXODWLRQ�UHVXOWV� LQ�DQ�RSHQ�FDUG�KRXVH�VWUXFWXUH�FDSDEOH�RI�VXVSHQGLQJ�FXWWLQJV�DQG�VDQG�DQG�JUDYHOSDUWLFOHV��7KLV�SURSHUW\�DOVR�VXVSHQGV�ILQHO\�JURXQG��KLJK�VSHFLILF�JUDYLW\�PDWHULDO�VXFK�DV�EDULWH��* �V��ZKHQ�KLJK�GHQVLW\� GULOOLQJ�PXGV� DUH� UHTXLUHG�� 7KH� FDSDELOLW\� RI� NHHSLQJ�FXWWLQJV� LQ� VXVSHQVLRQSUHYHQWV� VDQGORFNLQJ� �VWLFNLQJ�� WKH� WRROV� LQ� WKH� ERUHKROH�ZKLOH� GULOO� URGV� DUH� DGGHG� WR� WKH� VWULQJ� DQGPLQLPL]HV�VHGLPHQW�FROOHFWLQJ�LQ�WKH�ERWWRP�RI�WKH�KROH�DIWHU�UHDPLQJ�DQG�EHIRUH�JRLQJ�EDFN�LQ�WKH�KROHZLWK�D�VDPSOHU��$�GUDZEDFN�WR�WKLV�SURSHUW\�LV�WKDW�FXWWLQJV�GR�QRW�UHDGLO\�VHWWOH�RXW�RI�WKH�GULOOLQJ�PXGLQ�WKH�PXG�SLW�DQG�PD\�EH�UHFLUFXODWHG��WKXV�UHVXOWLQJ�LQ�JULQGLQJ�RI�SDUWLFOHV�E\�WKH�GULOO�ELW�� LQFUHDVHGPXG� GHQVLW\�� LQFUHDVHG� PXG� SXPS� ZHDU�� DQG� ORZHU� SHQHWUDWLRQ� UDWH�� 3RO\PHU� GULOOLQJ� IOXLGV� KDYHHVVHQWLDOO\�QR�JHO�VWUHQJWK�

G� )LOWUDWLRQ��)LOWUDWLRQ�UHIHUV�WR�WKH�DELOLW\�RI�WKH�GULOOLQJ�IOXLG�WR�OLPLW�IOXLG�ORVV�WR�WKH�IRUPDWLRQE\�GHSRVLWLRQ�RI�PXG�VROLGV�RQ�WKH�ZDOOV�RI�WKH�KROH��'XULQJ�GULOOLQJ�RSHUDWLRQV��WKH�GULOOLQJ�IOXLG�WHQGVWR�PRYH�IURP�WKH�ERUHKROH�LQWR�WKH�IRUPDWLRQ�DV�D�UHVXOW�RI�K\GURVWDWLF�SUHVVXUH�ZKLFK�LV�JUHDWHU�LQ�WKHKROH� WKDQ� LQ� WKH� IRUPDWLRQ�� $V� WKH� IORZ� RI� GULOOLQJ� IOXLG� �ZDWHU�� RFFXUV�� WKH� GULOOLQJ� IOXLG� VROLGV� DUHGHSRVLWHG�RQ�WKH�ZDOOV�RI�WKH�ERUHKROH�DQG�WKHUHE\�VLJQLILFDQWO\�UHGXFH�DGGLWLRQDO�IOXLG�ORVV��7KH�VROLGVGHSRVLW� LV� UHIHUUHG� WR� DV� D� ILOWHU� FDNH�� 7KH� LGHDO� ILOWHU� FDNH� LV� WKLQ� ZLWK� PLQLPDO� LQWUXVLRQ� LQWR� WKHIRUPDWLRQ��7KH�WKLFNQHVV�RI�WKH�ILOWHU�FDNH�IRU�D�SDUWLFXODU�PXG�LV�JHQHUDOO\�D�IXQFWLRQ�RI�WKH�SHUPHDELOLW\RI�WKH�IRUPDWLRQ��)RU�H[DPSOH��WKH�ILOWHU�FDNH�LQ�D�FOD\�LQWHUYDO�RI�WKH�ERUHKROH�ZRXOG�EH�WKLQQHU�WKDQ�LQ�DVDQG�LQWHUYDO�

&OHDQ�� ZHOO�FRQGLWLRQHG� EHQWRQLWH� GULOOLQJ� PXG� ZLOO� GHSRVLW� D� WKLQ� ILOWHU� FDNH� ZLWK� ORZ� SHUPHDELOLW\�1DWXUDO� FOD\� PXGV� ZKLFK� UHVXOW� IURP� GULOOLQJ� ZLWK� FOHDU� ZDWHU� KDYH� PXFK� OHVV� GHVLUDEOH� ILOWUDWLRQSURSHUWLHV�WKDQ�GRHV�KLJK�JUDGH�VRGLXP�PRQWPRULOORQLWH��EHQWRQLWH��7KH�QDWXUDO�FOD\�PXG�ZLOO�GHSRVLW�DPXFK�WKLFNHU��FDQ�EH�PRUH�WKDQ��WLPHV�WKLFNHU��ILOWHU�FDNH�WKDQ�WKDW�RI�EHQWRQLWH�PXG��$�WKLFN�ILOWHUFDNH� KDV� D� QXPEHU� RI� GLVDGYDQWDJHV� ZKLFK� LQFOXGH� WKH� SRVVLELOLW\� WKDW� WKH� FDNH� PD\� EH� HURGHG� E\FLUFXODWLQJ�GULOOLQJ�IOXLG��PD\�FDXVH�WKH�GULOO�SLSH�WR�VWLFN��RU�PD\�FDXVH�UHGXFHG�K\GURVWDWLF�SUHVVXUH�DQGSDUWLDO�FROODSVH�RI�WKH�ZDOOV�RI�WKH�ERUHKROH�GXULQJ�WRRO�UHPRYDO��7KH�UHHQWU\�RI�GULOOLQJ�HTXLSPHQW�LQWRWKH� ERUHKROH� OLQHG� ZLWK� D� WKLFN� ILOWHU� FDNH� FRXOG� UHVXOW� LQ� D� SUHVVXUH� VXUJH� ZLWK� DQ� DFFRPSDQ\LQJLQFUHDVHG�SRWHQWLDO� IRU�K\GURIUDFWXUH�RI� WKH�IRUPDWLRQ�� 3RO\PHU�PXGV�DUH� ORZ�VROLGV�PXGV�DQG�GR�QRWIRUP�D�ILOWHU�FDNH�DV�VXFK��+RZHYHU��SRO\PHUV�WHQG�WR�UHGXFH�IOXLG�ORVV�EHFDXVH�WKH\�KDYH�D�KLJK�DIILQLW\

(0��-DQ��

)��

IRU�ZDWHU�DQG�IRUP�VZROOHQ�JHOV�ZKLFK�WHQG�WR�SOXJ�WKH�IRUPDWLRQ�SRUHV�LQ�WKH�ERUHKROH�ZDOO��7KH�GDWDSUHVHQWHG�LQ�7DEOH��PD\�EH�XVHIXO�LQ�FRUUHFWLQJ�WKH�SUREOHP�RI�ORVW�FLUFXODWLRQ�

��0L[LQJ�DQG�+DQGOLQJ

:DWHU�TXDOLW\��PHWKRG�RI�PL[LQJ��DQG�PXG�SLW�GHVLJQ�DUH�LPSRUWDQW� WR�WKH�HIIHFWLYH�XVH�RI�ZDWHU�EDVHGGULOOLQJ�PXGV�� :DWHU� IRU� EHQWRQLWH�PXGV� VKRXOG� KDYH�D� S+�RI� �� WR� ��EXW� VKRXOG�QRW� KDYH� FDOFLXPKDUGQHVV� LQ� H[FHVV� RI� ��SDUWV� SHU�PLOOLRQ� �SSP�� WKH� FKORULGH�FRQWHQW� VKRXOG� EH� OHVV� WKDQ� ��SSP�3RO\PHU�PXGV�PD\�ZRUN�LQ�HLWKHU�IUHVK�RU�VDOW\�ZDWHU��DOWKRXJK�VRPH�SRO\PHU�DGGLWLYHV�GR�QRW�ZRUN�ZHOOLQ� ZDWHU� ZLWK� KLJK� S+� RU� WKDW� FRQWDLQV� PRUH� WKDQ� ��SSP� LURQ�� 0DQXIDFWXUHUV� OLWHUDWXUH� VKRXOG� EHFKHFNHG�IRU�ZDWHU�TXDOLW\�UHFRPPHQGDWLRQV�ZKHQ�GULOOLQJ�PXG�DGGLWLYHV�DUH�VHOHFWHG�

(IIHFWLYH�GLVSHUVLRQ�DQG�K\GUDWLRQ�RI�WKH�GULOOLQJ�PXG�VROLGV�LV�GHSHQGHQW�RQ�SURSHU�PL[LQJ��6SULQNOLQJRU�SRXULQJ�WKH�GU\�DGGLWLYHV�LQWR�WKH�ZDWHU�DQG�UHO\LQJ�RQ�WKH�GULOO�ULJ�SXPS�WR�PL[�ZLOO�UHVXOW�LQ�D�OXPS\PXG�ZLWK�H[FHVVLYH�DGGLWLYHV�IRU�WKH�PXG�SURSHUWLHV�DFKLHYHG��$�VLPSOH��\HW�HIIHFWLYH��PXG�PL[HU�FDQ�EHIDEULFDWHG�DV�LOOXVWUDWHG�LQ�WKH�VFKHPDWLF�GLDJUDP�LQ�)LJXUH��)LJXUH��LV�D�SKRWRJUDSK�RI�MHW�PL[HUIRU� LQWURGXFLQJ�VROLGV�VXFK�DV�EHQWRQLWH�LQWR� WKH�GULOOLQJ�PXG��+LJK�VKHDU�PHFKDQLFDO�PL[HUV�ZLOO�DOVRHIIHFWLYHO\�PL[�WKH�PXG�PDWHULDOV�

&XWWLQJV�ZKLFK�DUH�WUDQVSRUWHG�IURP�WKH�GULOO�ELW�WR�WKH�VXUIDFH�E\�WKH�GULOOLQJ�PXG�PXVW�EH�GURSSHG�SULRUWR� UHFLUFXODWLRQ� WR�PLQLPL]H� UHJULQGLQJ�� $OWKRXJK� WKH� YLVFRVLW\� DQG� GHQVLW\� RI� WKH� PXG� FRQWURO� WKHVHFKDUDFWHULVWLFV�� WKH� SURSHUWLHV� RI� WKH�PXG� FDQ� EH� HQKDQFHG� E\� FDUHIXO� GHVLJQ� RI� WKH�PXG� SLW� LQ�ZKLFKFXWWLQJV�DUH�GHSRVLWHG��7KH�PXG�SLW�PD\�EH�HLWKHU�D�GXJ�SLW�RU�D�IDEULFDWHG�SRUWDEOH�PXG�SLW��WKH�ODWWHU�LVUHFRPPHQGHG�LQ�PRVW�FDVHV�� ,Q�HLWKHU�FDVH�� WKH�SLW� VKRXOG�EH�GHVLJQHG� WR�DOORZ�DGHTXDWH� WLPH�IRU�WKHFXWWLQJV� WR�VHWWOH�RXW�RI� WKH�PXG�EHIRUH� LW� LV� UHFLUFXODWHG�� &RQVLGHUDWLRQV� LQ� WKH�GHVLJQ�RI� WKH�PXG�SLWVKRXOG�LQFOXGH��D��WKH�PXG�VKRXOG�IORZ�VORZO\�LQ�WKLQ�VKHHWV��E��LW�VKRXOG�FKDQJH�GLUHFWLRQV�IUHTXHQWO\�DQG��F��LW�VKRXOG�IORZ�DV�IDU�DV�SRVVLEOH��7R�DFFRPSOLVK�WKHVH�FRQVLGHUDWLRQV��WKH�GHVLJQ�RI�WKH�PXG�SLWVKRXOG�EH�VKDOORZ�ZLWK�D�ODUJH�UHFWDQJXODU�VXUIDFH�DUHD��%DIIOHV�FDQ�EH�XVHG�WR�IRUFH�WKH�PXG�WR�FKDQJHGLUHFWLRQV� IUHTXHQWO\�� 7KH�YROXPH�RI� WKH�PXG�SLW�VKRXOG�EH�DSSUR[LPDWHO\� WKUHH� WLPHV� ODUJHU� WKDQ� WKHYROXPH�RI�WKH�KROH�WR�EH�GULOOHG��$�VFKHPDWLF�GLDJUDP�DQG�D�SKRWRJUDSK�RI�D�SRUWDEOH�PXG�SLW�DUH�JLYHQLQ�)LJXUHV��DQG��UHVSHFWLYHO\�

([FHVVLYH� FXWWLQJV� DUH� VHOGRP� D� SUREOHP� ZKHQ� FRUH� GULOOLQJ� EXW� DUH� FRPPRQ� ZKHQ� GULOOLQJ� ZLWKRXWVDPSOLQJ� LQ� VDQGV� DQG� JUDYHOV�� ,Q� VRPH� FDVHV�� LW� PD\�EH� YHU\� GLIILFXOW� WR� REWDLQ� DFFHSWDEOH� UDWHV� RIVHWWOHPHQW�RI�WKH�FXWWLQJV�LQ�WKH�PXG�SLW��&RQVHTXHQWO\��WKH�FXWWLQJV�PD\�EH�UHFLUFXODWHG�DQG�UHJURXQGGXULQJ�UHFLUFXODWLRQ��'HVDQGLQJ�FRQHV�DUH�DYDLODEOH�ZKLFK�HIIHFWLYHO\�UHPRYH�H[WUDQHRXV�VROLGV�WKDW�GRQRW�VHWWOH�RXW�LQ�WKH�PXG�SLW��)LJXUH��VKRZV�D�VPDOO�GHVDQGLQJ�FRQH�

��'ULOOLQJ�DQG�6DPSOLQJ�3UREOHPV

'XULQJ�FRQYHQWLRQDO�GULOOLQJ�DQG�VDPSOLQJ�RSHUDWLRQV��XQDQWLFLSDWHG�SUREOHPV�PD\�EH�HQFRXQWHUHG��)RUH[DPSOH�� DQ� XQVWDEOH� IRUPDWLRQ� RU� D� ]RQH� RI� ORVW� FLUFXODWLRQ�PD\�EH� HQFRXQWHUHG�� RU� VDPSOHV�PD\�EHH[WUHPHO\�GLIILFXOW�WR�UHFRYHU�RU�RI�YHU\�SRRU�TXDOLW\��7KH�WHFKQRORJ\�SUHVHQWHG�LQ�7DEOH��ZKHQ�XVHGLQ�FRQMXQFWLRQ�ZLWK�GDWD�SUHVHQWHG� LQ�7DEOHV��DQG��FDQ�EH�XVHG� WR�GHVLJQ�D�KLJK�TXDOLW\�GULOOLQJIOXLG� ZKLFK� FDQ� EH� DSSOLHG� IRU� D� ZLGH� UDQJH� RI� GULOOLQJ� DQG� VDPSOLQJ� FRQGLWLRQV� HQFRXQWHUHG� GXULQJJHRWHFKQLFDO� LQYHVWLJDWLRQV�� )RU�PRVW� FDVHV�� D� SURSHUO\� GHVLJQHG� GULOOLQJ� IOXLG� FDQ�PLQLPL]H� DGYHUVHGULOOLQJ�DQG�VDPSOLQJ�SUREOHPV�ZKLOH�VLPXOWDQHRXVO\�HQKDQFLQJ�WKH�FDSDELOLWLHV�RI�DQG�H[WHQGLQJ�WKH�OLIHRI�WKH�GULOOLQJ�DQG�VDPSOLQJ�HTXLSPHQW��6HOHFWHG�WRSLFV�DUH�GLVFXVVHG�LQ�WKH�IROORZLQJ�SDUDJUDSKV�

(0��-DQ��

)��

D� +ROH�VWDELOL]DWLRQ�

�� &DYLQJ�� &DYLQJ� LV� RIWHQ� DVVRFLDWHG� ZLWK� XQFHPHQWHG� VDQGV� DQG� JUDYHOV�� HVSHFLDOO\� ZKHQUHPRYLQJ� VDPSOHV� IURP� WKH� KROH�� 7KH� SUREOHP� FDQ� XVXDOO\� EH� UHPHGLHG� E\� PDLQWDLQLQJ� H[FHVVK\GURVWDWLF�SUHVVXUH�LQ�WKH�ERUHKROH��'XULQJ�GULOOLQJ��FLUFXODWLQJ�ZDWHU�LV�RIWHQ�DGHTXDWH�WR�PDLQWDLQ�KROHVWDELOLW\��+RZHYHU��ZKHQ�WKH�SXPS�LV�VKXW�RII��WKH�ZDWHU�OHYHO�LQ�WKH�ERUHKROH�WHQGV�WR�GURS�WR�WKH�ZDWHUOHYHO�LQ�WKH�IRUPDWLRQ��,Q�RUGHU�WR�PDLQWDLQ�D�IOXLG�OHYHO�LQ�WKH�KROH�DERYH�WKH�JURXQGZDWHU�OHYHO��D�ILOWHUFDNH�LV�UHTXLUHG�IRU�ILOWUDWLRQ�FRQWURO�RI�WKH�GULOOLQJ�PXG��(LWKHU�EHQWRQLWH�RU�EHQWRQLWH�SRO\PHU�PXG�FDQEH�XVHG�WR�EXLOG�D�ILOWHU�FDNH�WKDW�HIIHFWLYHO\�FRQWUROV�FDYLQJ��7KH�YLVFRVLW\�RI�WKH�PXG�VKRXOG�EH�DV�ORZDV�SUDFWLFDO�WR�SURYLGH�D�VWDEOH�KROH��3RO\PHU�PXGV�FDQ�VRPHWLPHV�EH�XVHG�IRU�WKLV�SXUSRVH��DOWKRXJK�WKHFRVW�RI�D�SRO\PHU�PXG�LV�JHQHUDOO\�JUHDWHU�WKDQ�WKH�FRVW�RI�D�EHQWRQLWH�PXG�RI�VLPLODU�YLVFRVLW\�

,I�VDPSOHV�DUH�WDNHQ�LQ�D�PXG�VWDELOL]HG�KROH�LQ�VDQG�RU�JUDYHO��WKH�VDPSOHU�VKRXOG�EH�ZLWKGUDZQ�VORZO\IURP�WKH�KROH�WR�DYRLG�FUHDWLQJ�QHJDWLYH�K\GURVWDWLF�SUHVVXUH�EHORZ�WKH�VDPSOHU��&DUH�LV�DOVR�QHFHVVDU\WR�HQVXUH�WKDW�WKH�PXG�OHYHO�LQ�WKH�ERUHKROH�LV�PDLQWDLQHG�DERYH�WKH�VWDWLF�ZDWHU�OHYHO�DV�WKH�VDPSOHU�DQGURGV�DUH�ZLWKGUDZQ��$�VXJJHVWHG�PHWKRG�WR�KHOS�PDLQWDLQ�D�FRQVWDQW�IOXLG�OHYHO�LQ�WKH�ERUHKROH�DQG�WRUHGXFH�WKH�QHJDWLYH�K\GURVWDWLF�SUHVVXUH�EHORZ�WKH�VDPSOHU�LV�WR�RSHUDWH�WKH�PXG�SXPS�DW�D�ORZ�SUHVVXUHDQG�IORZUDWH�DV�WKH�URGV�DUH�ZLWKGUDZQ��$Q�DOWHUQDWLYH�PHWKRG�LV�WR�SXPS�PXG�IURP�WKH�SLW�WR�WKH�WRS�RIWKH�KROH�WKURXJK�WKH�E\SDVV�KRVH��)UDFWXUHG�FOD\V�PD\�DOVR�FDXVH�D�KROH�WR�FDYH�ZKLFK�FDQ�JHQHUDOO\�EHFRQWUROOHG�LQ�WKH�VDPH�PDQQHU�DV�IRU�FDYLQJ�VDQGV�RU�JUDYHOV�

��6TXHH]LQJ�JURXQG��6TXHH]LQJ�JURXQG�FDQ�UHVXOW�IURP�HLWKHU�KLJK�ODWHUDO�VWUHVVHV�DFWLQJ�RQ�ZHDNVRLOV�RU�H[SDQVLYH�FOD\V�RU�VKDOHV�LPELELQJ�ZDWHU�IURP�WKH�GULOOLQJ�IOXLG�DQG�VZHOOLQJ�LQWR�WKH�ERUHKROH�,Q�PRVW� FDVHV�� VTXHH]LQJ�DQG�KROH�GHIRUPDWLRQ�RFFXU� VRRQ�DIWHU�HQFRXQWHULQJ� WKH�SDUWLFXODU� IRUPDWLRQ�7KH� LPSRUWDQFH� RI� PDLQWDLQLQJ� VWDEOH� KROH� FRQGLWLRQV� FDQQRW� EH� RYHUHPSKDVL]HG�� 2QFH� WKH� VWDEOHF\OLQGULFDO�VKDSH�LV�ORVW��KROH�VWDELOLW\�EHFRPHV�D�JUHDWHU�SUREOHP�

$�JRRG� H[DPSOH� RI�ZKHQ� LW�PD\� EH� QHFHVVDU\� WR� H[FHHG� WKH� UHFRPPHQGHG�PD[LPXP�PXG� GHQVLW\� RI��NJ�P �� OE�JDO�� LV� WR�FRXQWHUDFW� WKH�KLJK� ODWHUDO� VWUHVVHV�ZKLFK�RIWHQ� H[LVW� LQ� IRXQGDWLRQ�FOD\V�

YHU\�QHDU�RU�EHQHDWK�ODUJH� HPEDQNPHQWV�� 7KH�XVH�RI�EHQWRQLWH�PXG�ZHLJKWHG�ZLWK�EDULWH� FDQ�EH� YHU\HIIHFWLYH�LQ�SUHYHQWLQJ�VTXHH]LQJ�GXH�WR�WKH�ODWHUDO�VWUHVVHV��+RZHYHU��ZHLJKWHG�GULOOLQJ�PXG�VKRXOG�QRWEH�XVHG�IRU�GULOOLQJ�WKURXJK�WKH�HPEDQNPHQW��DV�WKH�HPEDQNPHQW�PDWHULDO�FRXOG�EH�K\GURIUDFWXUHG�E\�WKHK\GURVWDWLF�SUHVVXUH�RI�WKH�GULOOLQJ�IOXLG�

%HFDXVH�RI�WKH�SRWHQWLDO�IRU�K\GUDXOLF�IUDFWXULQJ��LW�LV�GHVLUDEOH�WR�GULOO�DQ�HPEDQNPHQW�ZLWKRXW�GULOOLQJIOXLG��2QH�PHWKRG�LV�WKH�XVH�RI�DXJHUV��+RZHYHU��LI�LW�LV�QRW�SRVVLEOH�WR�FRQGXFW�WKH�GULOOLQJ�ZLWKRXW�DGULOOLQJ�IOXLG��FOHDU�ZDWHU�RU�ZDWHU�EDVHG�PXG�PD\�EH�WKH�RQO\�VXLWDEOH�VROXWLRQ�WR�WKH�SUREOHP�EXW�VKRXOGEH�XVHG�RQO\�ZLWK�H[WUHPH�FDXWLRQ��7KH�YLVFRVLW\��GHQVLW\��DQG�JHO�VWUHQJWK�RI�WKH�PXG�VKRXOG�EH�NHSW�WRD�PLQLPXP��'ULOOLQJ�WRROV�VKRXOG�EH�UDLVHG�DQG�ORZHUHG�YHU\�JHQWO\��7KH�IOXLG�SXPS�VKRXOG�EH�HQJDJHGVORZO\��7KH�UHFLUFXODWLRQ�RI�VROLGV�LQ�WKH�GULOOLQJ�IOXLG�VKRXOG�EH�FDUHIXOO\�PRQLWRUHG�DQG�PLQLPL]HG�

$IWHU�WKH�KROH�KDV�EHHQ�GULOOHG�WKURXJK�WKH�HPEDQNPHQW��FDVLQJ�VKRXOG�EH�VHW�WKURXJK�WKH�HPEDQNPHQWDQG�VHDWHG�LQ� WKH�IRXQGDWLRQ�PDWHULDO�� 7KH�ZDWHU�RU�ORZ�GHQVLW\�PXG�ZKLFK�KDG�EHHQ�XVHG�WR�GULOO� WKHHPEDQNPHQW� FDQ� WKHQ�EH� UHPRYHG� IURP� WKH� ERUHKROH� DQG� UHSODFHG�ZLWK�EHQWRQLWH�PXG�ZHLJKWHG�ZLWKEDULWH�EHIRUH�WKH�SRWHQWLDOO\�VTXHH]LQJ�IRXQGDWLRQ�VRLOV�DUH�GULOOHG�

6ZHOOLQJ�FOD\V�DQG�VKDOHV�FDQ�EH�VWDELOL]HG�E\�SRO\PHU�PXGV��3RO\PHU�PXGV�IRUP�D�SURWHFWLYH�FRDWLQJRQ�WKH�ZDWHU�VHQVLWLYH�PDWHULDOV�ZKLFK�LQKLELWV�VZHOOLQJ�RI�HLWKHU�WKH�ERUHKROH�ZDOO�RU�FRUHV�LQ�WKH�VDPSOHEDUUHO��3RO\PHU�PXGV�DOVR�LQKLELW�WKH�GLVSHUVLRQ�RI�WKH�FOD\H\�FXWWLQJV�LQWR�WKH�GULOOLQJ�PXG�ZKLFK�WHQGV

(0��-DQ��

)��

WR�PDNH� WKH� FOD\�FXWWLQJV� OHVV� VWLFN\�DQG� OHVV� OLNHO\� WR� DGKHUH� WR� HDFK�RWKHU�� +HQFH�� WKH�SRWHQWLDO� IRUK\GURIUDFWXULQJ�LV�UHGXFHG��

E� &RQWURO� RI� K\GURVWDWLF� SUHVVXUH�� ,W� LV� VRPHWLPHV� QHFHVVDU\� WR� GULOO� IRUPDWLRQV� ZKHUH� WKHSLH]RPHWULF�VXUIDFH�LV�DERYH�WKH�JURXQG�VXUIDFH��,I�WKLV�VLWXDWLRQ�RFFXUV��VXFK�DV�QHDU�WKH�GRZQVWUHDP�WRHRI�D�GDP��DGYDQFHG�SODQQLQJ�LV�UHTXLUHG�WR�HQVXUH�WKDW�WKH�IORZ�RI�ZDWHU�LQ�WKH�ERUHKROH�LV�FRQWUROOHG�

6XJJHVWHG�PHWKRGV� IRU� FRQWUROOLQJ�H[FHVV� K\GURVWDWLF�SUHVVXUHV� LQ�ERUHKROHV� LQFOXGH� WKH�XVH� RI�FDVLQJILOOHG�ZLWK�ZDWHU�RU�GULOOLQJ�PXG��WKH�XVH�RI�ZHLJKWHG�GULOOLQJ�PXG��DQG�WKH�XVH�RI�D�ZHOOSRLQW�V\VWHP��,IWKH�SLH]RPHWULF�VXUIDFH� LV� OHVV� WKDQ�DSSUR[LPDWHO\�� WR��P��WR��IW��DERYH� WKH�JURXQG�VXUIDFH�� DVHFWLRQ�RI�FDVLQJ�PD\�EH�H[WHQGHG�DERYH�WKH�JURXQG�VXUIDFH�DQG�ILOOHG�ZLWK�ZDWHU�RU�GULOOLQJ�PXG�SULRU�WRFRPPHQFLQJ� WKH� GULOOLQJ� RSHUDWLRQV�� 7KLV� KHLJKW� RI� WKH� FDVLQJ� ZDV� VHOHFWHG� DV� UHSUHVHQWDWLYH� RI� WKHFOHDUDQFH�EHWZHHQ�WKH�ERWWRP�RI�WKH�GULOO�ULJ�DQG�WKH�JURXQG�VXUIDFH��:KHQ�WKH�SURSHU�KHDG�RI�ZDWHU�LVPDLQWDLQHG�LQ�WKH�FDVLQJ��WKH�IORZ�RI�IOXLG�LQWR�RU�RXW�RI�WKH�ERUHKROH�FDQ�EH�PLQLPL]HG�

,I�WKH�SLH]RPHWULF�VXUIDFH�LV�JUHDWHU�WKDQ�DERXW��P��IW��DERYH�WKH�JURXQG�VXUIDFH��D�ZHOOSRLQW�V\VWHPRU� WKH�XVH�RI�ZHLJKWHG�GULOOLQJ�PXG�PD\�EH�UHTXLUHG�� 7KH�LQFUHDVH�RI�PXG�GHQVLW\�ZKLFK�LV�QHHGHG�WREDODQFH� WKH� IRUPDWLRQ� SUHVVXUHV� FDQ� EH� DFKLHYHG� E\� DGGLQJ� EDULWH� WR� D� EHQWRQLWH� PXG� RU� E\� XVLQJ� DSRO\PHU�PXG� LQ� D� FDOFLXP� FKORULGH� VROXWLRQ�� :KHQ�ZHLJKWHG� GULOOLQJ�PXGV� DUH� XVHG�� FDUH� VKRXOG� EHH[HUFLVHG�WR�HQVXUH�WKDW�K\GURIUDFWXULQJ�RI�WKH�VXEVXUIDFH�IRUPDWLRQ�GRHV�QRW�RFFXU��$�GLVFXVVLRQ�RI�WKHGHVLJQ� DQG� LQVWDOODWLRQ�RI� D�ZHOOSRLQW� V\VWHP� WR� FRQWURO� H[FHVV� K\GURVWDWLF� SUHVVXUHV� LV� QRW�ZLWKLQ� WKHFRQWH[W�RI�WKLV�PDQXDO�

7KH� IROORZLQJ�H[DPSOH�LV�FLWHG�IRU�HVWLPDWLQJ�WKH�UHTXLUHG�PXG�GHQVLW\��ZHLJKWHG�PXG��WR�EDODQFH�WKHK\GURVWDWLF�SUHVVXUH�LQ�WKH�DTXLIHU�

3UREOHP��

$��P��IW��OD\HU�RI�FOD\�RYHUOLHV�DQ�DTXLIHU�LQ�VDQG\�VRLO��7KH�SLH]RPHWULF�VXUIDFH�RI�WKH�DTXLIHU�LV��P� �� IW�� DERYH� JURXQG� VXUIDFH��:KDW� LV� WKH� GHQVLW\� RI� WKH� GULOOLQJ�PXG� UHTXLUHG� WR� EDODQFH� WKHK\GURVWDWLF�SUHVVXUH�LQ�WKH�DTXLIHU"

6ROXWLRQ�

7KH�FULWLFDO�IOXLG�SUHVVXUH��3 ��ZKLFK�PXVW�EH�EDODQFHG�GXULQJ�GULOOLQJ� LV�WKH�SUHVVXUH�DW� WKH�WRS�RI�WKHF

VDQG��P�RI�FOD\�SOXV��P�K\GURVWDWLF�KHDG�DERYH�WKH�FOD\�VWUDWD��7KH�XQLW�ZHLJKW�RI�ZDWHU�� LVZ

��NJ�P � �� OE�JDO�� 7KH� IOXLG�SUHVVXUH� RI� D� FROXPQ� RI�ZDWHU� �3 �� LV� �� N3D�P� ��SVL�IW�� RI�Z

KHLJKW�

3 KHLJKW�RI�SLH]RPHWULF�VXUIDFH�DERYH�JURXQG�VXUIDFH� �3F Z

��P� ��N3D�P

3 ��N3DF

��SVL

7KH�PXG�GHQVLW\�� UHTXLUHG�WR�EDODQFH�3 �DW�WKH�VDQG�DQG�FOD\�LQWHUIDFH�FDQ�WKHQ�EH�FDOFXODWHG�P F

�3 � � ��3 � �GHSWK�WR�VDQG�P F Z Z

��N3D� ��NJ�P ��N3D�P� ��P��

(0��-DQ��

)��

��NJ�PP�

��OE�JDO

'LVFXVVLRQ�

,W� VKRXOG�EH�QRWHG� IRU� WKH�H[DPSOH� WKDW� WKH� IDFWRU�RI� VDIHW\�ZLWK�UHVSHFW� WR�IORZ�RI�ZDWHU� LV� �� 7KLVFRQGLWLRQ� LV� PRVW� GHVLUDEOH�� ,I� WKH� PXG� GHQVLW\� LV� WRR� ORZ�� JURXQGZDWHU� ZLOO� WHQG� WR� IORZ� LQWR� WKHERUHKROH�DQG�LQFUHDVH�WKH�SRWHQWLDO�IRU�SLSLQJ�RI�IRUPDWLRQ�PDWHULDOV��,I�WKH�PXG�GHQVLW\�LV�WRR�KLJK��WKHSRWHQWLDO�IRU�K\GURIUDFWXULQJ�RI�WKH�IRUPDWLRQ�LV�LQFUHDVHG�

7R�PDLQWDLQ�D�IDFWRU�RI�VDIHW\�RI��WKH�IROORZLQJ�JXLGDQFH�LV�RIIHUHG��0DNH�DQ�HVWLPDWH�RI�WKH�UHTXLUHGGHQVLW\� RI� WKH� GULOOLQJ�PXG� WR� EDODQFH� WKH� H[FHVV� K\GURVWDWLF� SUHVVXUH�� DV� LOOXVWUDWHG� LQ� WKH� H[DPSOH�'XULQJ�GULOOLQJ�RSHUDWLRQV��IUHTXHQW�REVHUYDWLRQV�RI�WKH�IORZ�RI�ZDWHU��RU�GULOOLQJ�PXG��LQWR�RU�RXW�RI�WKHERUHKROH�VKRXOG�EH�PDGH��,I�JURXQGZDWHU�WHQGV�WR�IORZ�LQWR�WKH�ERUHKROH��WKH�GHQVLW\�RI�WKH�GULOOLQJ�PXGVKRXOG�EH�LQFUHDVHG�VOLJKWO\�� ,I�WKHUH�LV�QR�WHQGHQF\�IRU�VHHSDJH�RI�JURXQGZDWHU� LQWR�WKH�ERUHKROH�� WKHZHLJKW� RI� WKH� GULOOLQJ� PXG� PD\� EH� H[FHVVLYH� DQG� VKRXOG� EH� GHFUHDVHG� VOLJKWO\� XQWLO� DQ� HTXLOLEULXPFRQGLWLRQ�LV�REWDLQHG��7KLV�FRQGLWLRQ�FDQ�EH�DFFRPSOLVKHG�E\�DGGLQJ�FOHDU�ZDWHU�WR�WKH�GULOOLQJ�PXG�XQWLOWKH�JURXQGZDWHU�WHQGV�WR�VORZO\�VHHS�LQWR�WKH�ERUHKROH��,W�LV�LPSHUDWLYH�WKDW�DQ�HTXLOLEULXP�FRQGLWLRQ�IRUWKH�K\GURVWDWLF�SUHVVXUHV�LV�PDLQWDLQHG�WR�HQVXUH�VWDELOLW\�RI�WKH�IRXQGDWLRQ�FRQGLWLRQV�

F� ,PSURYHG�VDPSOH�UHFRYHU\�

��6RLO�VDPSOLQJ��7KH�RYHUDOO�TXDOLW\�RI�WKH�VRLO�VDPSOHV�LV�JHQHUDOO\�EHWWHU�ZKHQ�D�EHQWRQLWH�EDVHGGULOOLQJ�PXG��DV�FRPSDUHG�WR�RWKHU�GULOOLQJ�IOXLGV��LV�XVHG��6HYHUDO�H[SODQDWLRQV�DUH�DYDLODEOH��7KH�XVH�RIPXG�ZLWK�D�IL[HG�SLVWRQ�VDPSOHU�UHVXOWV�LQ�D�PRUH�HIIHFWLYH�VHDO�DW�WKH�SLVWRQ�ZLWK�OHVV�FKDQFH�RI�VDPSOHORVV�� )XUWKHUPRUH�� EHQWRQLWH�PXG� IRUPV� D� ILOWHU� FDNH� �PHPEUDQH�� RQ� WKH� ERWWRP� RI� WKH� VDPSOH�� WKHK\GURVWDWLF�IRUFHV�DFW�RQ�WKLV�PHPEUDQH�LQ�WKH�VDPH�PDQQHU�DV�RQ�WKH�ZDOOV�RI�WKH�ERUHKROH�WR�KROG�WKHVDPSOH�LQ�WKH�VDPSOLQJ�WXEH��7KH�DELOLW\�WR�PDLQWDLQ�WKH�GULOOLQJ�IOXLG�OHYHO�DW�RU�QHDU�WKH�WRS�RI�WKH�KROHLQFUHDVHV�WKH�SRVVLELOLW\�RI�D�IXOO�VDPSOH�UHFRYHU\�EHFDXVH�RI�EXR\DQF\�HIIHFWV��WKH�EXR\DQF\�HIIHFWV�DUHYHU\�LPSRUWDQW��HVSHFLDOO\�ZKHQ�VDPSOLQJ�VDQGV�EHORZ�WKH�ZDWHU�WDEOH��)OXLG�SUHVVXUH�FDQ�EH�FRQWUROOHGWR�SUHYHQW�ERWK�VTXHH]LQJ�DQG�VDQG�KHDYLQJ��+HDYLQJ�LV�SDUWLFXODUO\�XQGHVLUDEOH�LQ�OLTXHIDFWLRQ�VWXGLHVZKHUH�VPDOO�FKDQJHV�LQ�GHQVLW\�DQG�VWUHVV�UHOLHI�DUH�YHU\�LPSRUWDQW�

%HQWRQLWH�RU�EHQWRQLWH�SRO\PHU�PXGV�DUH�XVXDOO\�VXLWDEOH�IRU�PRVW�VRLO�VDPSOLQJ�DSSOLFDWLRQV��:HLJKWHGEHQWRQLWH�PXG�PD\�EH�UHTXLUHG�WR�UHGXFH�KROH�VTXHH]LQJ�RU�WR�EDODQFH�KLJK�K\GURVWDWLF�SUHVVXUHV��0XGPLJUDWLRQ�LQWR�WXEH�VDPSOHV�RU�LQWR�WKH�YLUJLQ�PDWHULDO�LQ�WKH�ERWWRP�RI�WKH�ERUHKROH�KDV�EHHQ�REVHUYHG�WREH�PLQLPDO��+RZHYHU��WKH�FRPSDULVRQ�RI�JUDGDWLRQV�IURP�637�VDPSOHV�DQG�IL[HG�SLVWRQ�WKLQ�ZDOOHG�WXEHVDPSOHV�RI�VDQGV�VXJJHVWV�PXG�FRQWDPLQDWLRQ�RI�WKH�637�VDPSOHV�DV�HYLGHQFHG�E\�D�KLJKHU�SHUFHQWDJH�RIILQHV�

��5RFN�FRULQJ��&RUH�UHFRYHU\�DQG�RYHUDOO�VDPSOH�TXDOLW\�FDQ�EH�LPSURYHG�LQ�VRPH�VLWXDWLRQV��,QPRVW� FDVHV�� FOHDU� ZDWHU� LV� WKH� PRVW� GHVLUDEOH� DQG� FRVW�HIIHFWLYH� GULOOLQJ� IOXLG� IRU� URFN� FRUH� GULOOLQJ�+RZHYHU��GULOOLQJ�PXGV��HVSHFLDOO\�SRO\PHU�PXGV��KDYH�VSHFLILF�DSSOLFDWLRQV��H�J��SRO\PHU�PXGV�FDQ�EHHIIHFWLYH�LQ�UHGXFLQJ�WKH�VZHOOLQJ�RI�FOD\�VKDOHV��,Q�VRPH�LQVWDQFHV��VZHOOLQJ�VKDOHV�DUH�HIIHFWLYHO\�FRUHGZLWK� DSSDUHQWO\� JRRG� UHFRYHU\�� KRZHYHU�� GXH� WR� WKHLU� VZHOOLQJ� LQ� WKH� FRUH� EDUUHO� WKH\� DUH� HVVHQWLDOO\GHVWUR\HG�ZKHQ�WKH�VZROOHQ�FRUH�LV�UHPRYHG�IURP�WKH�EDUUHO�

3RO\PHU� PXGV� KDYH� DOVR� EHHQ� HIIHFWLYH� LQ� LPSURYLQJ� FRUH� UHFRYHU\� DQG� UHGXFLQJ� PHFKDQLFDO� FRUHEUHDNDJH�GXULQJ�GULOOLQJ�RI�JHQHUDOO\�FRPSHWHQW� URFN�FRQWDLQLQJ�ZHDNHU�VKDOH�SDUWLQJV��EDQGV��DQG� WKLQEHGV��7KH�RYHUDOO�VWUHQJWK�RI�WKH�URFN�PDVV�LV�JHQHUDOO\�FRQWUROOHG�E\�WKH�JHRPHWU\�DQG�VWUHQJWK�RI�WKHPXFK�ZHDNHU�VKDOH�VHDPV��,Q�WRR�PDQ\�FDVHV��WKHVH�ZHDN�]RQHV�DUH�UHSUHVHQWHG�E\�D�FRUH�ORVV��6KHDUHG

(0��-DQ��

)��

VXUIDFHV� RIWHQ� H[LVW� LQ� WKH� ZHDN� ]RQHV� DQG� DUH� DOVR� ORVW� GXULQJ� GULOOLQJ�� %HFDXVH� RI� WKH� VXSHULRUOXEULFDWLQJ� TXDOLWLHV� RI� SRO\PHU�PXGV�� WKHLU� ORZ� VROLGV� FRQWHQW�� DQG� QRQZHWWLQJ� SURSHUWLHV�� WKH\� RIIHULPSURYHG� UHFRYHU\� RI� WKH� FULWLFDO� VKDOH� ]RQHV� ZKLFK� HOLPLQDWHV� ZRUVW� FDVH� VWUHQJWK� DVVXPSWLRQV�� ,QDGGLWLRQ��WKH�XSKROH�YHORFLW\�RI�WKH�GULOOLQJ�IOXLG�FDQ�EH�UHGXFHG�EHFDXVH�RI�WKH�LQFUHDVHG�YLVFRVLW\�RI�WKHPXG��WKH�HIIHFW�LV�WR�UHGXFH�WKH�SUREDELOLW\�RI�ZDVKLQJ�DZD\�ZHDN�EHGURFN�PDWHULDOV�

7KH�WKUHH�IDFWRUV�IROORZLQJ�PXVW�EH�FRQVLGHUHG�LI�D�GULOOLQJ�PXG�LV�WR�EH�XVHG��WKH�HIIHFWV�RI�D�³VOLFN´SRO\PHU�PXG�RQ�ODERUDWRU\�WHVW�UHVXOWV��HVSHFLDOO\�LI�WKH�VDPSOH�FRQWDLQV�RSHQ�IUDFWXUHV�RU�EHGGLQJ�SODQHVZKLFK�PXVW� EH� WHVWHG�� WKH� LPSDFW� RQ�ERUHKROH� K\GUDXOLF� SUHVVXUH� WHVW� UHVXOWV� LI�PXG�PLJUDWHV� LQWR� WKHIUDFWXUHV��DQG�WKH�HDVH�ZLWK�ZKLFK�WKH�PXG�UHOHDVHV�WKH�FXWWLQJV�LQ�WKH�VXUIDFH�VHWWOLQJ�SLW�HVSHFLDOO\�LI�WKHFXWWLQJV�DUH�ILQH��DV�IURP�GLDPRQG�GULOOLQJ�RSHUDWLRQV�

G� (QKDQFHG� SXPS� FDSDFLW\�� %HFDXVH� H[FHVVLYH� SXPS� FDSDFLW\� KDV� D� QHJDWLYH� LPSDFW� RQ� FRUHUHFRYHU\�� PDQ\� GULOO� ULJV� XVHG� IRU� JHRWHFKQLFDO� LQYHVWLJDWLRQV� KDYH� SXPSV� ZKLFK� DUH� LGHDO� IRU� FRUHGULOOLQJ�EXW�DUH�VRPHZKDW�XQGHUVL]HG�IRU�QRQVDPSOLQJ�GULOOLQJ��VXFK�DV�IRU�FOHDQLQJ�WKH�ERUHKROH�EHWZHHQVRLO�VDPSOHV�RU�IRU�LQVWDOODWLRQ�RI�SLH]RPHWHUV�RU�ZHOOV�RU�YDULRXV�W\SHV�RI�LQVWUXPHQWDWLRQ��7R�RYHUFRPHWKLV�SUREOHP��SURSHU�GHVLJQ�RI�WKH�GULOOLQJ�PXG�DQG�WKH�HIIHFWLYH�XVH�RI�WKH�GULOOLQJ�HTXLSPHQW�PXVW�EHFRQVLGHUHG��5HFDOO�WKDW�KROH�FOHDQLQJ�LV�FRQWUROOHG�E\�WKH�XSKROH�YHORFLW\�RI�WKH�GULOOLQJ�IOXLG�DV�ZHOO�DVLWV�YLVFRVLW\�DQG�GHQVLW\��$V�JLYHQ�E\�(TXDWLRQ��WKH�XSKROH�YHORFLW\�LV�GLFWDWHG�E\�WKH�SXPS�FDSDFLW\DQG�WKH�DUHD�RI�WKH�DQQXOXV�EHWZHHQ�WKH�GULOOLQJ�WRROV�DQG�WKH�ZDOOV�RI�WKH�ERUHKROH��)RU�PRVW�FDVHV��WKHGLDPHWHU� RI� WKH� KROH� LV� SUHGHWHUPLQHG� E\� VDPSOLQJ� RU� LQVWUXPHQWDWLRQ� UHTXLUHPHQWV�� +RZHYHU�� WKHYLVFRVLW\�DQG�GHQVLW\�RI�WKH�GULOOLQJ�IOXLG�FDQ�EH�HQKDQFHG�E\�DGGLWLYHV��,Q�PRVW�VLWXDWLRQV��LW�LV�EHWWHU�WRLQFUHDVH�YLVFRVLW\�ZKLOH�NHHSLQJ�PXG�GHQVLW\�DV�ORZ�DV�SRVVLEOH��%HQWRQLWH�RU�EHQWRQLWH�SRO\PHU�PXGVDUH�XVXDOO\�WKH�PRVW�HIIHFWLYH�PHDQV�RI�PDNLQJ�D�GULOOLQJ�PXG�RI� WKH�UHTXLUHG�YLVFRVLW\��,I�D�YHU\�KLJKYLVFRVLW\�LV�QHHGHG��D�SRO\PHU�PXG�PLJKW�EH�PRVW�HIIHFWLYH�VLQFH�LW�LV�D�ORZ�VROLGV�PXG�DQG�KDV�D�YHU\ORZ�JHO� VWUHQJWK�ZKLFK�ZRXOG� DOORZ�EHWWHU� UHPRYDO� RI� WKH� FXWWLQJV�� 7KH�XVH� RI�ZHLJKWHG�PXG�FDQ�EHDGYDQWDJHRXV�ZKHQ�ODUJH�FXWWLQJV�RU�JUDYHO�PXVW�EH�UHPRYHG�IURP�WKH�KROH�

H� 6ROLGV�UHFLUFXODWLRQ��5HFLUFXODWLRQ�RI�H[FHVVLYH�VROLGV�UHVXOWV�LQ�LQFUHDVHG�GHQVLW\�RI�WKH�GULOOLQJPXG�� 7KH� DGYHUVH� HIIHFWV� LQFOXGH� D� UHGXFHG� UDWH�RI� GULOOLQJ�ZLWK� DQ� LQFUHDVHG� SRWHQWLDO� IRU� K\GUDXOLFIUDFWXULQJ��DQ�LQFUHDVH�RI�WKH�WKLFNQHVV�RI�WKH�ILOWHU�FDNH�ZKLFK�LV�PRUH�HDVLO\�HURGHG�DQG�FRQWULEXWHV�WR�DOHVV�VWDEOH�KROH�DV�FRPSDUHG�WR�D�WKLQ�ILOWHU�FDNH��DQG�H[FHVVLYH�DEUDVLYH�VROLGV�LQ�WKH�GULOOLQJ�PXG�ZKLFKFDXVH�VLJQLILFDQW�ZHDU�WR�WKH�PXG�SXPS�DQG�WKH�GULOOLQJ�WRROV�� ,Q�PRVW�FDVHV��D�ZHOO�GHVLJQHG�SRUWDEOHPXG�SLW�DQG�D�FDUHIXOO\�VHOHFWHG� ORZ�VROLGV�PXG�ZLWK�DQ�DSSURSULDWH�JHO�VWUHQJWK�FRXSOHG�ZLWK�UHJXODUPXG�GHQVLW\�PHDVXUHPHQWV�ZLOO�FRQWURO�WKH�SUREOHP��+RZHYHU��GHVDQGHUV�PD\�EH�QHHGHG�ZKHQ�GULOOLQJODUJH�GLDPHWHU�RU�GHHS�KROHV�LQ�VDQGV�DQG�JUDYHOV�

7KH�DGGLWLRQ�RI�SRO\PHU�DGGLWLYHV�WR�WKH�GULOOLQJ�IOXLG�DOVR�DFWV�WR�UHGXFH�ZHDU�RQ�GULOO�URGV��FRUH�EDUUHOV�DQG�SXPSV�� 7KH�EHQHILWV�DUH�PRVW�QRWLFHDEOH�ZKHQ�GULOOLQJ�DEUDVLYH�URFN�W\SHV�VXFK�DV�VDQGVWRQHV�DQGURFN�FRQWDLQLQJ�FKHUW�� ,Q�DGGLWLRQ�WR� WKH� UHGXFHG�ZHDU�� WKH�GULOOLQJ�RSHUDWLRQV�DUH�RIWHQ�VPRRWKHU�ZLWKOHVV�URG�³FKDWWHU´�UHVXOWLQJ�LQ�OHVV�EURNHQ�FRUH��$OWKRXJK�WKH�FRQFHQWUDWLRQ�RI�SRO\PHU�DGGLWLYHV�IRU�WKLVSXUSRVH� LV� UHODWLYHO\� ORZ�� WKH� SRWHQWLDO� LPSDFW� RQ� K\GUDXOLF� SUHVVXUH� WHVW� UHVXOWV� PXVW� EH� FRQVLGHUHG�([SHULHQFH�DV�ZHOO�DV�WKH�PDQXIDFWXUHUV�UHFRPPHQGDWLRQV�VKRXOG�GLFWDWH�WKH�FKRLFH�DQG�FRQFHQWUDWLRQ�RIWKH�DGGLWLYHV�

(0��-DQ��

)��

��/LPLWDWLRQV�DQG�3UHFDXWLRQV

$V�ZLWK�DOO�RWKHU�DVSHFWV�RI�SODQQLQJ�DQG�H[HFXWLQJ�D�TXDOLW\�GULOOLQJ�DQG�VDPSOLQJ�SURJUDP��DOO�IDFHWV�RIWKH� VHOHFWHG� GULOOLQJ� IOXLG� VKRXOG� EH� XQGHUVWRRG� DQG� FRQVLGHUHG�� $� GLVFXVVLRQ� RI� OLPLWDWLRQV� DQGSUHFDXWLRQV�IRU�WKH�XVH�RI�GULOOLQJ�IOXLGV�IRU�VHOHFWHG�GULOOLQJ�DQG�VDPSOLQJ�RSHUDWLRQV�IROORZV�

D� +\GUDXOLF�IUDFWXULQJ��+\GUDXOLF�IUDFWXULQJ�RI�HDUWK�GDP�HPEDQNPHQWV�LV�D�FRQFHUQ�ZKHQHYHU�DGULOOLQJ�IOXLG�LV�XVHG�LQ�WKH�ILOO��7KH�SRWHQWLDO�IRU�K\GUDXOLF�IUDFWXULQJ�KDV�EHHQ�GLUHFWO\�DWWULEXWHG�WR�WKHXVH�RI�FRPSUHVVHG�DLU�DV�WKH�GULOOLQJ�IOXLG��KHQFH��WKH�XVH�RI�FRPSUHVVHG�DLU�IRU�GULOOLQJ�LQ�HDUWK�GDPV�LVSURKLELWHG�E\�(5��/LNHZLVH��WKH�SRWHQWLDO�IRU�K\GUDXOLF�IUDFWXULQJ�WR�RFFXU�ZKHQHYHU�ZDWHURU� ZDWHU�EDVHG� GULOOLQJ� PXG� DUH� XVHG� DOVR� H[LVWV�� +RZHYHU�� LW� LV� HDVLHU� WR� FRQWURO� WKH� GULOOLQJ� IOXLGSUHVVXUHV�ZKHQ�XVLQJ�ZDWHU�RU�PXG�WKDQ�ZKHQ�XVLQJ�FRPSUHVVHG�DLU�� 7KHUHIRUH�� WKH� ULVN�RI�K\GUDXOLFIUDFWXULQJ� LV�PLQLPL]HG�� )RU� WKHVH� UHDVRQV��GU\�GULOOLQJ�PHWKRGV�ZKLFK�GR� QRW�XVH�D� FLUFXODWLQJ� IOXLG�VXFK�DV�GU\�KROH�DXJHULQJ��PD\�RIIHU�DQ�LGHDO�VROXWLRQ�IRU�VSHFLILF�SUREOHPV�RI�GULOOLQJ�LQ�HPEDQNPHQWGDPV��8QIRUWXQDWHO\��GU\�GULOOLQJ�PHWKRGV�DUH�QRW�DOZD\V�SUDFWLFDO�RU�HYHQ�SRVVLEOH�IRU�PDQ\�FDVHV�

6HYHUDO� IDFWRUV� VKRXOG� EH� FRQVLGHUHG�ZKHQ�ZDWHU� RU�ZDWHU�EDVHG� GULOOLQJ�PXG� DUH� XVHG� IRU� GULOOLQJ� LQHPEDQNPHQW� GDPV�� 7KH� VHQVLWLYLW\� RI� DQ� HPEDQNPHQW� WR� IUDFWXULQJ� LV� GHSHQGHQW� XSRQ� WKH� VWUHQJWKSURSHUWLHV�� WKH� WLJKWQHVV� RI� OLIW� SODQHV�� DQG� WKH� VWUHVV� GLVWULEXWLRQ� LQ� WKH� FRPSDFWHG� HPEDQNPHQW�+\GUDXOLF� IUDFWXULQJ� LV�PRVW� FULWLFDO� LQ� DQG�SHUKDSV�PRVW� OLNHO\� WR�RFFXU� LQ� WKH� LPSHUYLRXV�FRUH�� 7KHSUHVVXUH� ZKLFK� LV� QHHGHG� WR� H[WHQG� D� IUDFWXUH� PD\� EH� OHVV� WKDQ� WKH� SUHVVXUH� UHTXLUHG� WR� LQLWLDWH� WKHIUDFWXUH��+\GUDXOLF�IUDFWXULQJ�LV�PRUH�OLNHO\�WR�RFFXU�ZKHQ�XVLQJ�FRUH�EDUUHO�VDPSOLQJ�GHYLFHV��H�J��WKH'HQLVRQ�RU�3LWFKHU�VDPSOHU��EHFDXVH�GULOOLQJ�IOXLG�PXVW�IORZ�DW�KLJK�SUHVVXUHV�WKURXJK�WKH�VPDOO�DQQXODUVSDFH�EHWZHHQ�WKH�VDPSOHU�DQG�ERUHKROH�ZDOO�� 3RRUO\�PDLQWDLQHG�SLVWRQ�W\SH�PXG�SXPSV�H[KLELW�SUHV�VXUH�VXUJHV�ZKLFK�FDQ�HDVLO\�IUDFWXUH�WKH�HPEDQNPHQW�

,I� WKH�ZHW�GULOOLQJ�PHWKRG� LV� UHTXLUHG�� WKH�HTXLSPHQW� LV� LQ�JRRG�ZRUNLQJ�RUGHU��DQG� WKH�VDPSOHUV�KDYHEHHQ�FDUHIXOO\�VHOHFWHG��VHYHUDO�SUHFDXWLRQV�VKRXOG�EH�REVHUYHG��7KH�YLVFRVLW\�DQG�GHQVLW\�RI�WKH�GULOOLQJPXG�VKRXOG�EH�NHSW�DW�WKH�PLQLPXP�UHTXLUHG�WR�FOHDQ�DQG�VWDELOL]H�WKH�KROH��7KH�YLVFRVLW\�DQG�GHQVLW\VKRXOG� EH� FKHFNHG� IUHTXHQWO\� GXULQJ� GULOOLQJ�RSHUDWLRQV�� 3RO\PHU�RU� EHQWRQLWH�SRO\PHU�PXGV�PD\�EHXVHG�WR�NHHS�WKH�JHO�VWUHQJWK�ORZ��7KH�GULOOLQJ�WRROV�VKRXOG�EH�UDLVHG�DQG�ORZHUHG�LQ�WKH�KROH�VORZO\�DQGVPRRWKO\��5RWDWLQJ�WKH�WRROV�DV�WKH\�DUH�UDLVHG�DQG�ORZHUHG�PD\�DOVR�EH�KHOSIXO��7KH�SXPS�VKRXOG�EHHQJDJHG� VORZO\�WR�EHJLQ�FLUFXODWLRQ�� 'XH� WR� WKH�UHFLUFXODWLRQ�RI�FXWWLQJV�� WKH�PXG�ZHLJKW�ZLOO� WHQG� WRLQFUHDVH�ZLWK� GULOOLQJ� WLPH�� 8QWLO� DQ� H[SHULHQFH� EDVH� KDV� EHHQ� GHYHORSHG�� XVH� D�PD[LPXP� DOORZDEOHGHQVLW\�RI��NJ�P ��OE�JDO��,I�WKLV�GHQVLW\�LV�H[FHHGHG��UHSODFH�WKH�XVHG�PXG�ZLWK�IUHVKO\�PL[HG�

PXG��6HOHFW�GULOOLQJ�PHWKRGV�ZKLFK�PLQLPL]H�WKH�IRUPDWLRQ�RI�D�PXG�FROODU�ZKLFK�WHQGV�WR�FUHDWH�]RQHVRI�KLJK�SUHVVXUH�LQ�WKH�GULOOLQJ�IOXLG�EHORZ�WKH�REVWUXFWLRQV��)LVKWDLO�ELWV�FXW�ORQJ�ULEERQV�ZKLFK�WHQG�WRIRUP�REVWUXFWLRQV��/RQJ�WRRWKHG�UROOHU�ELWV�URWDWHG�DW�IDLUO\�KLJK�DQJXODU�YHORFLWLHV�ZLWK�OLWWOH�GRZQZDUGSUHVVXUH�FUHDWH�NHUQHO�OLNH��HDVLO\�WUDQVSRUWHG�FXWWLQJV��3RO\PHUV�UHGXFH�WKH�WHQGHQF\�RI�FOD\V�WR�EHFRPHVWLFN\�

E� )RUPDWLRQ�SHUPHDELOLW\�� ,I�D�PXGGHG�ERUHKROH�LV�XOWLPDWHO\�WR�EH�XVHG�IRU�WKH�LQVWDOODWLRQ�RI�DZDWHU�ZHOO��SLH]RPHWHU��SRUH�SUHVVXUH�GHYLFH��RU�PRQLWRULQJ�ZHOO�RU�LI�LW�LV�WR�EH�SUHVVXUH�WHVWHG��RQH�PXVWDVVXPH� WKDW� D� ILOWHU� FDNH�ZDV� IRUPHG� DQG� WKDW� LW� KDV� LQYDGHG� WKH� SRUH� VSDFH�RI� JUDQXODU�PDWHULDOV�� WKHIUDFWXUHV� RI� EHGURFN�� RU� HYHQ� FOD\V� WR� VRPH� XQNQRZQ� GLVWDQFH�� 7R� KDYH� DQ� HIILFLHQW� ZDWHU� ZHOO� RUREVHUYDWLRQ�GHYLFH�RU� WR�DYRLG�HUURQHRXV�FKHPLFDO�DQDO\VHV�IURP�PRQLWRULQJ�ZHOOV�� LW� LV� LPSRUWDQW� WKDWWKH�ILOWHU�FDNH�EH�EURNHQ�GRZQ�DQG�UHPRYHG�DQG�WKH�SHUPHDELOLW\�RI�WKH�GULOOLQJ�PXG�LQYDGHG�SRUWLRQ�RIWKH�IRUPDWLRQ�EH�UHVWRUHG��5HVWRUDWLRQ�RI�WKH�IRUPDWLRQ�UHTXLUHV�FDUHIXO�DWWHQWLRQ�WR�DQG�WKH�HYDOXDWLRQ�RIGHYHORSPHQW�WHFKQLTXHV��2IWHQ��DQ�HIIHFWLYH�ILUVW�VWHS�LV�WR�IOXVK�PXG�IURP�WKH�KROH�DQG�UHSODFH�LW�ZLWKFOHDU�ZDWHU�DIWHU�VHWWLQJ�WKH�SLSH�DQG�VFUHHQ�EXW�EHIRUH�DGGLQJ�WKH�ILOWHU�SDFN��$Q�DOWHUQDWLYH�SURFHGXUH

(0��-DQ��

)��

FRQVLVWV�RI�GULOOLQJ�ZLWK�PXG�WR�D�SRLQW�MXVW�DERYH�WKH�WLS��ILOWHU��DQG�VHDO�LQWHUYDO��&DVLQJ�LV�WKHQ�VHW�WRWKH� ERWWRP� RI� WKH�PXG�ILOOHG� KROH� DQG� FDUHIXOO\� VHDOHG�� 7KH�PXG� LV� HLWKHU� EDLOHG� IURP� WKH� FDVLQJ� RUIOXVKHG�RXW�DQG�UHSODFHG�ZLWK�FOHDU�ZDWHU��7KH�KROH�LV�WKHQ�GULOOHG�ZLWK�FOHDU�ZDWHU�WR�WKH�ILQDO�GHSWK��WKHGHYLFH�VHW��DQG�WKH�ILOWHU�DQG�VHDO��SODFHG��7KH�UHPDLQGHU�RI�WKH�EDFNILOO�LV�SODFHG�FRQFXUUHQW�ZLWK�SXOOLQJWKH�FDVLQJ��$�GHJUDGDEOH�QDWXUDO�SRO\PHU�PDGH�IURP�WKH�*XDU�EHDQ�KDV�DOVR�EHHQ�XVHG�IRU�GULOOLQJ�ZHOOVDQG�SLH]RPHWHUV��$OWKRXJK�WKH�SRO\PHU�UHSRUWHGO\�GHJUDGHV�QDWXUDOO\�EHFDXVH�RI�WKH�DFWLRQ�RI�HQ]\PHVDQG�UHWXUQV�WR�WKH�YLVFRVLW\�RI�ZDWHU�ZLWKLQ�D�IHZ�GD\V��WKH�HIIHFWV�RI�WKH�GHJUDGDWLRQ�RI�WKLV�SURGXFW�RQWKH�FKHPLFDO�DQDO\VLV�RI�ZDWHU�VKRXOG�EH�FRQVLGHUHG�

F� (QYLURQPHQWDO� GULOOLQJ�� ,W� LV� SUHIHUDEOH� WR� GULOO� PRQLWRULQJ� ZHOOV� IRU� WKH� LQYHVWLJDWLRQ� RIKD]DUGRXV�DQG�WR[LF�ZDVWH�VLWHV�ZLWK�GU\�GULOOLQJ�PHWKRGV��VXFK�DV�WKH�KROORZ�VWHP�DXJHU�RU�FKXUQ�GULOOPHWKRGV��+RZHYHU��LQ�PDQ\�FDVHV�PXG�URWDU\�GULOOLQJ�LV�WKH�PRVW�HIIHFWLYH�DQG�SUDFWLFDO�PHWKRG��:KHQPXG� LV� XVHG� IRU� HQYLURQPHQWDO� GULOOLQJ�� FHUWDLQ� SUHFDXWLRQV� VKRXOG� EH� REVHUYHG� DQG� SUDFWLFHG�� 9HU\FRPSOHWH�DQG�FDUHIXO�GHYHORSPHQW�RI�PRQLWRULQJ�ZHOOV�LV�PDQGDWRU\�ERWK�WR�UHVWRUH�DTXLIHU�SHUPHDELOLW\DQG� WR� UHPRYH� DV� PXFK� RI� WKH� GULOOLQJ�PXG� DV� SRVVLEOH� LQ� RUGHU� WR�PLQLPL]H� SRWHQWLDO� LPSDFW� RI� WKHGULOOLQJ�IOXLG�DGGLWLYHV�RQ�WKH�JURXQGZDWHU�FKHPLVWU\��$�FKHPLFDO�DQDO\VLV�RI�GULOOLQJ�PXGV�DQG�DGGLWLYHVVKRXOG� EH�SHUIRUPHG� �DQG� REWDLQHG�IURP�WKH�VXSSOLHU�� $OO� RUJDQLF� SRO\PHU�PXGV� VKRXOG�EH� DYRLGHG�3URGXFWV� LGHQWLILHG� DV� ³EHQHILFLDO� � EHQWRQLWHV´� FRQWDLQ� RUJDQLF� DGGLWLYHV� ZKLFK� HQKDQFH� YLVFRVLW\� DQGVKRXOG�QRW��EH�XVHG�IRU�WKLV�SXUSRVH��6WDQGDUG�EHQWRQLWH��ZKLFK�LV�FRPPRQO\�XVHG�IRU�PRQLWRULQJ�ZHOOGULOOLQJ��DOVR�FRQWDLQV�PLQRU�DPRXQWV�RI�DGGLWLYHV�DQG�SHUKDSV�VKRXOG�EH�DYRLGHG��3XUH�EHQWRQLWH�PXGVDUH�DYDLODEOH�DQG�DUH�PDUNHWHG� VSHFLILFDOO\�IRU�PRQLWRULQJ�ZHOO�FRQVWUXFWLRQ�� $OWKRXJK�SXUH�EHQWRQLWHKDV�DSSDUHQW�FKHPLFDO�DGYDQWDJHV��LW�ZLOO�QRW�PL[�DQG�K\GUDWH�DV�TXLFNO\�DQG�HDVLO\�DV�VWDQGDUG�RU�EHQHIL�FLDWHG�EHQWRQLWHV�

G� (IIHFW�RQ�VWUHQJWK�WHVWLQJ��6DPSOHV�IRU�VWUHQJWK�WHVWLQJ�VKRXOG�EH�FDUHIXOO\�LQVSHFWHG�IRU�GULOOLQJPXG� LQILOWUDWLRQ�� HVSHFLDOO\� LQWR�RSHQ� IUDFWXUHV� DQG�EHGGLQJ� SODQHV�� (LWKHU� EHQWRQLWH�RU� SRO\PHU�PXGFRXOG�WHQG�WR�DOWHU�WKH�DSSDUHQW�VKHDU�VWUHQJWK�DORQJ�WKHVH�GLVFRQWLQXLWLHV�

��*RRG�'ULOOLQJ�3UDFWLFHV

&DUHIXO� GULOOLQJ� SUDFWLFHV� XVHG� LQ� FRQMXQFWLRQ� ZLWK� D� GULOOLQJ� IOXLG� ZKLFK� LV� PRVW� VXLWDEOH� IRU� WKHSXUSRVH�V�� RI� WKH� JHRWHFKQLFDO� LQYHVWLJDWLRQ� ZLOO� RSWLPL]H� GULOOLQJ� SURJUHVV� DQG� VDPSOH� TXDOLW\� ZKLOHPLQLPL]LQJ� VDPSOH� GLVWXUEDQFH�� 7R� HIIHFWLYHO\� DSSO\� WKLV� WHFKQRORJ\�� D� QXPEHU� RI� IDFWRUV� PXVW� EHFRQVLGHUHG�DQG�SUDFWLFHG��.QRZ�WKH�SXUSRVH�RI�WKH�GULOOLQJ�RU�VDPSOLQJ�SURJUDP��WKH�JHRORJ\�RI�WKH�DUHD�DQG� WKH� GULOOLQJ� HTXLSPHQW� DQG� LWV� FDSDELOLW\�� %HFRPH� IDPLOLDU� ZLWK� GULOOLQJ� IOXLG� DGGLWLYHV� DQG� WKHHIIHFWV�RI�HDFK�RQ�GULOOLQJ�RSHUDWLRQV��.HHS�ILHOG�RSHUDWLRQV�DV�VLPSOH�DV�SRVVLEOH�WR�HIIHFWLYHO\�FRPSOHWHWKH� MRE�� D� ZHOO� GHVLJQHG� SRUWDEOH� PXG� SLW�� 0DUVK� IXQQHO�� DQG� PXG� EDODQFH� DUH� VDWLVIDFWRU\� IRU� PRVWVLWXDWLRQV�� 0DLQWDLQLQJ� D� ORZ�PXG� GHQVLW\�PLQLPL]HV� YLVFRVLW\�� UHGXFHV� SUHVVXUH�ZLWKLQ� WKH� ERUHKROHDQQXOXV� FDXVHG� E\� WKH�FLUFXODWLQJ� IOXLG�� DQG�PLQLPL]HV� WKH� ILOWHU� FDNH� WKLFNQHVV�� 6WDUW� WKH�PXG�SXPSVORZO\�WR�DYRLG�H[FHVVLYH�SXPS�SUHVVXUHV�GXH�WR�WKH�JHO��WKL[RWURSLF��VWUHQJWK�RI�WKH�PXG��2SHUDWH�SXPSSUHVVXUHV�DV�ORZ�DV�SRVVLEOH�WR�PLQLPL]H�VXUJH�SUHVVXUHV��5DLVH�DQG�ORZHU�WKH�GULOO�VWULQJ�VORZO\�WR�PLQL�PL]H�K\GURVWDWLF�SUHVVXUH�FKDQJHV��'ULOO�IRUPDWLRQV�QR�IDVWHU�WKDQ�VROLGV�DUH�UHPRYHG�IURP�WKH�GULOO�ELW�$QWLFLSDWH�SUREOHPV�EHIRUH�WKH\�GHYHORS��WDNH�SUHFDXWLRQV�WR�UHGXFH�WKH�HIIHFWV�RI�WKH�SRWHQWLDO�SUREOHPV�

(0��-DQ��

)��

7DEOH��3URSHUWLHV�RI�'ULOOLQJ�0XG��DIWHU�1�/��%DURLG��1�/��,QGXVWULHV��,QF��

3URSHUW\� ,QIOXHQFHV� 'HVLUDEOH�/LPLW� &RQWURO

'HQVLW\� 'ULOOLQJ�UDWH�� /HVV�WKDQ�DERXW� 'LOXWH�ZLWK�ZDWHU�RU�UHPRYH�VROLGV�WR�GHFUHDVH��:HLJKW�� +ROH�VWDELOLW\� ��NJ�P �� $GG�EDULXP�WR�LQFUHDVH�

��OE�JDO��PXG�EDODQFH��

9LVFRVLW\� &XWWLQJV�WUDQVSRUW� ��VHF�GP �� $GG�ZDWHU��SKRVSKDWHV��RU�OLJQLWHV�WR�WKLQ�

&XWWLQJV�VHWWOHPHQW� ��VHF�TW�� $GG�EHQWRQLWH�RU�SRO\PHUV�WR�WKLFNHQ&LUFXODWLRQ�SUHVVXUHV ��0DUVK�IXQQHO�DQG�

��PHDVXULQJ�FXS��

)LOWUDWLRQ� :DOO�FDNH�WKLFNQHVV� 9HU\�WKLQ��OHVV�WKDQ�� &RQWURO�GHQVLW\�DQG�YLVFRVLW\�RI�PXG��FP��^��LQ�`� 3RO\PHUV

6DQG�FRQWHQW� 0XG�GHQVLW\�� /HVV�WKDQ��SHUFHQW� $GG�ZDWHU�WR�ORZHU�YLVFRVLW\$EUDVLRQ�WR�HTXLSPHQW� ��E\�YROXPH�� *RRG�PXG�SLW�GHVLJQ'ULOOLQJ�UDWH 8VH�GHVDQGHU

S+� 0XG�SURSHUWLHV�� WR�� ,QFUHDVH�ZLWK�VRGLXP�FDUERQDWH��$FLGLW\�RU� )LOWUDWLRQ�FRQWURO� ��1HXWUDO�LV�� 'HFUHDVH�ZLWK�VRGLXP�ELFDUERQDWH��DONDOLQLW\�� +ROH�VWDELOLW\��

&RUURVLRQ�RI�HTXLSPHQW�

&DOFLXP� 0XG�SURSHUWLHV� /HVV�WKDQ��SDUWV� 3UHWUHDW�PL[LQJ�ZDWHU�ZLWK�VRGLXP�ELFDUERQDWH��FRQWHQW �� )LOWUDWLRQ�FRQWURO� ��SHU�PLOOLRQ��SSP��

�+DUG�ZDWHU�� FDOFLXP��

�)RU�RWKHU�VDOWV��GLOXWH�VDOW�FRQWHQW�ZLWK�IUHVK�ZDWHU�RU�XVH�RUJDQLF�SRO\PHUV�LQ�WKH�GULOOLQJ�IOXLG��

(0��-DQ��

)��

7DEOH��&RQWURO�RI�'ULOOLQJ�0XG�3URSHUWLHV��DIWHU�1��/��%DUROG��1��/��,QGXVWULHV��,QF��

'HVFULSWLRQ 9HORFLW\ )LOWUDWLRQ &LUFXODWLRQ S+ $JHQW 5HPRYHU &RQWURO 0DWHULDO/RVW :HWWLQJ &DOFLXP 6KDOH�&OD\ :HLJKW

6RGLXP ; ;0RQWPRULOORQLWH��6WDQGDUG��EHQWRQLWH�

3RO\PHU�PXGV ; ; ;

)ODNH�PLFD ;

6KUHGGHG ;RUJDQLF�ILEHU

&UXVKHG�QXW ;KXOOV

*URXQG�SDSHU� ;FHOORSKDQH�ILOP

6RGLXP ; ;ELFDUERQDWH�VRGD�DVK

6RGLXP ; ;K\GUR[LGH�FDXVWLF�VRGD

:DWHU�VROXEOH ;GHWHUJHQW

%DULXP�VXOIDWH ;

(0��

��-DQ��

)��

7DEOH��%RUHKROH�3UREOHPV��DIWHU�1��/��%DURLG��1��/��,QGXVWULHV��,QF��

3UREOHPV 6\PSWRPV 1HFHVVDU\�&RQGLWLRQV 7UHDWPHQW 0LQLPL]H�3RWHQWLDO�3UREOHPV

6WXFN�SLSH��GLIIHUHQWLDO�VWLFNLQJ�

*RRG�FLUFXODWLRQ�DW�QRUPDO��SUHVVXUHV&DQQRW�URWDWH�GULOO�URGV&DQQRW�SXOO�GULOO�VWULQJ%LW�PD\�QRW�EH�WKH�ERWWRP��RI�WKH�ERUHKROH

3HUPHDEOH�]RQH7KLFN�PXG�FDNH�RQ�ZDOO�RI�KROH+\GURVWDWLF�SUHVVXUH�RI�GULOOLQJ��IOXLG�H[FHHGV�K\GURVWDWLF��SUHVVXUH�LQ�IRUPDWLRQ

:RUN�GULOO�SLSH5HGXFH�PXG�GHQVLW\$GG�VXUIDFWDQW��OXEULFDQW

0LQLPL]H�IOXLG�GHQVLW\�DQG�VROLGV��FRQWHQW0LQLPL]H�ILOWUDWLRQ�UDWH�ZLWK�WKLQ��ILOWHU�FDNH/RZHU�IULFWLRQ�EHWZHHQ�ILOWHU�FDNH��DQG�GULOO�URGV

/RVV�RI�FLUFXODWLRQ 0RUH�IOXLG�LV�EHLQJ�SXPSHG�LQWR��KROH�WKDQ�LV�EHLQJ�UHWXUQHG/HYHO�RI�IOXLG�LQ�PXG�SLW�GURSV

1RUPDO�IUDFWXUHV,QGXFHG�IUDFWXUHV+LJKO\�SHUPHDEOH�IRUPDWLRQV&DYHUPRXV�IRUPDWLRQV

6WRS�GULOOLQJ�DQG�DOORZ�PXG�WR��VHHS�LQWR�IUDFWXUHV��VHOI�KHDOLQJ�5DLVH�GULOO�VWULQJ�DERYH�ORVV�]RQH��DQG�LQWURGXFH�ORVW�FLUFXODWLRQ��PDWHULDOV6HDO�PXVW�EH�LQ�ORVV�]RQH�DQG�QRW��RQ�IDFH�RI�ERULQJ7UHDW�JHQWO\�DIWHU�VHDOLQJ0D\�EH�QHFHVVDU\�WR�XVH�FDVLQJ��RU�JURXW

([DPLQH�IOXLG�SURSHUWLHV��GHQVLW\��YLVFRVLW\��DQG�ILOWUDWLRQ��IUHTXHQWO\2EVHUYH�FDUHIXO�GULOOLQJ�SUDFWLFHV

8QVWDEOH�KROH +ROH�HQODUJHPHQW7LJKW�KROH)LOO�RQ�ERWWRP�RI�ERUHKROH�DIWHU��WULS�WR�VXUIDFH

6WUXFWXUDO�LQVWDELOLW\�RI�ZHDN��IRUPDWLRQV�GXH�WR�URWDWLRQ�DQG��YLEUDWLRQ�RI�GULOO�URGV��SUHVVXUH��VXUJH�RU�VZDE��RU�H[FHVVLYH��SXPS�SUHVVXUHV:HWWLQJ�RI�FOD\V�DQG�VKDOHV

/RZHU�SXPS�SUHVVXUHV$GG�IULFWLRQ�UHGXFHUV�DQG�RU��SRO\PHUV�WR�GULOOLQJ�PXG

([DPLQH�IOXLG�SURSHUWLHV��IUHTXHQWO\2EVHUYH�FDUHIXO�GULOOLQJ�SUDFWLFHV

(0��-DQ��

)��

Figure 4-1. Photograph of a Marsh funnel and a one quart (0.95 dm ) measuring cup for determining3

the viscosity of drilling mud

Figure 4-2. Mud balance for determining the density of drilling mud

(0��-DQ��

)��

Figure 4-3. Schematic of a steep sided hopper mud mixer

)LJXUH��3KRWRJUDSK�RI�D�MHW�PXG�PL[HU

(0��-DQ��

)��

Figure 4-5. Sketch of a portable mud pit

)LJXUH��3KRWRJUDSK�RI�D�SRUWDEOH�PXG�SLW

(0��-DQ��

)��

)LJXUH��3KRWRJUDSK�RI�D�VPDOO�GHVDQGLQJ�FRQH

(0��-DQ��

)��

&KDSWHU�)��(TXLSPHQW�IRU�8QGLVWXUEHG�6RLO6DPSOLQJ�LQ�%RULQJV

��6DPSOHU�7\SHV

$�YDULHW\�RI�VDPSOHUV�DUH�DYDLODEOH�IRU�REWDLQLQJ�XQGLVWXUEHG�VRLO�VDPSOHV��%DVLFDOO\�DOO�DUH�YDULDWLRQV�RIWKH�SXVK�W\SH�WKLQ�ZDOOHG�WXEH�VDPSOHUV�RU�URWDU\�FRUH�EDUUHO�VDPSOHUV��3XVK�W\SH�WXEH�VDPSOHUV�PD\�EHXVHG�WR�REWDLQ�VDPSOHV�RI�VRIW�WR�PHGLXP�FOD\V�DQG�ILQH�VDQGV��7KHVH�VDPSOHUV�VKRXOG�QRW�EH�GULYHQ�E\KDPPHULQJ� WR�REWDLQ�XQGLVWXUEHG�VDPSOHV�� $�URWDU\�FRUH�EDUUHO� W\SH�VDPSOHU�VKRXOG�EH�XVHG� WR�REWDLQXQGLVWXUEHG� VDPSOHV� RI� VRLOV� WRR�KDUG� WR�SHUPLW� VPRRWK� SHQHWUDWLRQ�RI� WKH� SXVK�W\SH�VDPSOLQJ� WXEH� RUVRLOV�ZKLFK�FRQWDLQ�JUDYHO�WKDW�PD\�GDPDJH�WKH�WXEH�DV�ZHOO�DV�GLVWXUE�WKH�VRLO�VDPSOH��3URFHGXUHV�IRUXQGLVWXUEHG�VRLO�VDPSOLQJ�LQ�ERUHKROHV�DUH�GLVFXVVHG�LQ�&KDSWHU��

D� 3XVK�WXEH� VDPSOHUV�� 3XVK�WXEH� VDPSOHUV� DUH� PHUHO\� SXVKHG� LQWR� WKH� XQGLVWXUEHG� VRLO� LQ� RQHFRQWLQXRXV�� XQLIRUP�PRWLRQ�ZLWKRXW� URWDWLRQ�� 7KHVH� VDPSOHUV�PD\�EH� XVHG� IRU� REWDLQLQJ� XQGLVWXUEHGVDPSOHV�RI�PRVW�VRLOV�ZKLFK�DUH�QRW�WRR�KDUG�WR�SHQHWUDWH�RU�FRQWDLQ�JUDYHOV��:KHQ�D�SURSHUO\�EHYHOHGFXWWLQJ�HGJH�RQ�WKH�VDPSOLQJ�WXEH�LV�XVHG��WKH�VRLO�ZKLFK�LV�GLVSODFHG�E\�WKH�VDPSOLQJ�WXEH�LV�FRPSDFWHGRU�FRPSUHVVHG�LQWR�WKH�VXUURXQGLQJ�VRLOV�

3XVK�WXEH�VDPSOHUV�FDQ�EH�VXEGLYLGHG�LQWR�WZR�EURDG�JURXSV��RSHQ�VDPSOHUV�DQG�SLVWRQ�VDPSOHUV��2SHQVDPSOHUV�FRQVLVW�RI�DQ�RSHQ�WXEH�ZKLFK�LV�DWWDFKHG�WR�D�YHQWHG�VDPSOHU�KHDG��7KH�RSHQ�WXEH�DGPLWV�VRLODV�VRRQ�DV�WKH�WXEH�LV�SXVKHG�LQWR�WKH�VRLO��7KH�VDPSOHU�KHDG�PD\�EH�HTXLSSHG�ZLWK�D�EDOO�FKHFN�YDOYHZKLFK�KROGV�D�SDUWLDO�YDFXXP�DERYH�WKH�VDPSOH�WKDW�DLGV�LQ�VDPSOH�UHFRYHU\�DQG�SUHYHQWV�WKH�HQWUDQFH�RIGULOOLQJ� IOXLG� GXULQJ� VDPSOH� ZLWKGUDZDO�� 3LVWRQ� VDPSOHUV� KDYH� D� PRYDEOH� SLVWRQ� ORFDWHG� ZLWKLQ� WKHVDPSOHU�WXEH��7KH�SLVWRQ�NHHSV�GULOOLQJ�IOXLG�DQG�VRLO�FXWWLQJV�RXW�RI�WKH�VDPSOLQJ�WXEH�DV�WKH�VDPSOHU�LVORZHUHG� LQWR� WKH�ERUHKROH�� ,W�DOVR�KHOSV�WR�UHWDLQ� WKH�VDPSOH� LQ� WKH�VDPSOLQJ� WXEH�E\�KROGLQJ�D�SDUWLDOYDFXXP�DERYH�WKH�VDPSOH�WKDW�DLGV�LQ�VDPSOH�UHFRYHU\�

$V�FRPSDUHG�WR�SLVWRQ�VDPSOHUV��RSHQ�VDPSOHUV�DUH�FKHDS��UXJJHG��DQG�VLPSOH�WR�RSHUDWH��7KH�SULQFLSDOGLVDGYDQWDJHV�LQFOXGH�WKH�SRWHQWLDO�IRU�REWDLQLQJ�QRQUHSUHVHQWDWLYH�RU�GLVWXUEHG�VDPSOHV�GXH�WR�LPSURSHUFOHDQLQJ�RI�WKH�ERUHKROH�RU�FROODSVH�RI�WKH�VLGHV�RI�WKH�ERUHKROH�DQG�ORVV�RI�WKH�VDPSOH�GXULQJ�UHFRYHU\�

�� 2SHQ� VDPSOHUV�� 7KH� VDPSOLQJ� WXEHV� IRU� RSHQ� VDPSOHUV� PD\� EH� HLWKHU� WKLFN�ZDOOHG� RU� WKLQ�ZDOOHG�� +RZHYHU�� WKLFN�ZDOOHG� WXEHV� JHQHUDOO\� H[FHHG� WKH� DUHD� UDWLR� RI� �� WR� �� SHUFHQW� ZKLFK� LVVSHFLILHG�LQ�SDUDJUDSK��D��7KHUHIRUH��WKH�TXDOLW\�RI�XQGLVWXUEHG�VDPSOHV�ZKLFK�DUH�REWDLQHG�ZLWK�WKHWKLFN�ZDOOHG�VDPSOLQJ�WXEHV�LV�VXVSHFW��+HQFH��RQO\�WKLQ�ZDOOHG�VDPSOHUV�DUH�GLVFXVVHG�LQ�WKLV�VHFWLRQ�

7KH�WKLQ�ZDOOHG�RSHQ�VDPSOHU�FRQVLVWV�RI�VRPH�W\SH�RI�VHDPOHVV�VWHHO�WXEH�ZKLFK�LV�DIIL[HG�WR�D�VDPSOHUKHDG� DVVHPEO\� ZLWK� VFUHZV� DV� VXJJHVWHG� E\� $670� '� �� $670� �� 7KH� VDPSOHU� KHDGDVVHPEO\� LV� HTXLSSHG�ZLWK� YHQWV�ZKLFK�SHUPLW� WKH� HVFDSH�RI� DLU� RU� GULOOLQJ� IOXLG� IURP� WKH� WXEH� DV� WKHVDPSOHU� LV� DGYDQFHG�� 7KH� YHQWV� VKRXOG� EH� HTXLSSHG� ZLWK� D� EDOO� FKHFN� YDOYH� WR� SUHYHQW� HQWUDQFH� RIGULOOLQJ�IOXLG�GXULQJ�ZLWKGUDZDO�DQG�WR�FUHDWH�D�SDUWLDO�YDFXXP�DERYH�WKH�VDPSOH�ZKLFK�DLGV�LQ�VDPSOHUHFRYHU\��6DPSOHU�KHDGV�IRU��RU��FP��RU��LQ��GLDP�WXEHV�DUH�DYDLODEOH��7KH�VDPSOHU�KHDGDVVHPEO\�IRU�WKH��FP��LQ��GLDP�WXEHV�FDQ�DOVR�EH�PRGLILHG�WR�ILW�WKH��FP��LQ��GLDP�WXEHV�E\XVH�RI�DQ�DGDSWHU�ULQJ�

(0��-DQ��

)��

7KH�VDPSOLQJ�WXEHV�PD\�EH�FROG�GUDZQ�VHDPOHVV�RU�ZHOGHG�DQG�GUDZQ�RYHU�D�PDQGUHO�VWHHO�WXELQJ��7KHWXEHV�PD\�EH�RI�YDULDEOH�OHQJWK�EXW�DUH�FRPPRQO\�IXUQLVKHG�LQ��P��LQ��OHQJWKV��7KH�WXEHV�DUHQRUPDOO\��RU��FP�2'�DQG�DUH�VKDUSHQHG�RQ�RQH�HQG��%HFDXVH�WKH�TXDOLW\�RI�WKH�VDPSOH�GHSHQGVSDUWLDOO\�RQ�WKH�ZDOO�WKLFNQHVV�RI�WKH�WXEH��WKH�WXEH�ZLWK�WKH�WKLQQHVW�ZDOO�SRVVLEOH�ZLOO�JHQHUDOO\�SURYLGHEHWWHU�VDPSOHV��7\SLFDOO\��WKH�ZDOO�WKLFNQHVV�VKRXOG�EH��JDXJH��FP�RU��LQ��IRU�WKH��FP�GLDP�WXEHV�DQG��JDXJH��FP�RU��LQ��IRU�WKH��FP�GLDP�WXEHV��7R�PLQLPL]H�WKH�SRWHQWLDOIRU�GDPDJH�RI�WKH�WKLQ�ZDOOHG�WXEHV�E\�EXFNOLQJ�RU�E\�EOXQWLQJ�RU�WHDULQJ�RI�WKH�FXWWLQJ�HGJH�DQG�GLVWXU�EDQFH� WR� WKH� VDPSOH�� WKH� VDPSOH� WXEH� LV� SXVKHG� LQWR� WKH� XQGLVWXUEHG� VRLO� LQ� RQH� FRQWLQXRXV�� XQLIRUPPRWLRQ�ZLWKRXW�URWDWLRQ�

2QH�HQG�RI� WKH�WXEH�VKRXOG�EH�EHYHOHG�RU� WDSHUHG�WR�IRUP�D�VKDUSHQHG�FXWWLQJ�VXUIDFH��SDUDJUDSK��7KH�WDSHU�DQJOH�RQ�WKH�RXWVLGH�VXUIDFH�VKRXOG�EH�DERXW��WR��GHJ��7KH�,'�RI�WKH�FXWWLQJ�HGJH�VKRXOGEH�HTXDO�WR�RU�VOLJKWO\�OHVV�WKDQ�WKH�,'�RI�WKH�WXEH��7KLV�LQVLGH�FOHDUDQFH��L�H��LQVLGH�FOHDUDQFH�UDWLR��LVQHFHVVDU\�WR�PLQLPL]H�WKH�GUDJ�RI�WKH�VRLO�VDPSOH�RQ�WKH�LQVLGH�RI�WKH�WXEH�DQG�VWLOO�UHWDLQ�WKH�VDPSOH�LQWKH� WXEH�� &RKHVLYH� VRLOV�DQG� VOLJKWO\� H[SDQVLYH� VRLOV� UHTXLUH� ODUJHU� LQVLGH�FOHDUDQFH� UDWLRV��ZKLOH� VRLOVZLWK� OLWWOH� RU� QR� FRKHVLRQ� UHTXLUH� OLWWOH� RU� QR� LQVLGH� FOHDUDQFH� UDWLRV�� 7\SLFDOO\�� VDPSOLQJ� WXEHV� ZLWKLQVLGH� FOHDUDQFH� UDWLRV�� RU� VZDJH�� RI� �� WR� �� SHUFHQW� RI� WKH� WXEH� ,'� DUH� FRPPRQO\� XVHG�� 6HHSDUDJUDSK��

7KLQ�ZDOOHG�RSHQ�VDPSOHUV�FDQ�EH�XVHG�WR�REWDLQ�VDPSOHV�RI�PHGLXP�VRIW�WR�PHGLXP�VWLII�FRKHVLYH�VRLOV�0DWHULDOV� ZKLFK� FDQQRW� EH� VDPSOHG� ZLWK� WKLV� GHYLFH� LQFOXGH� VRLOV� ZKLFK� DUH� KDUG�� FHPHQWHG�� RU� WRRJUDYHOO\�IRU�VDPSOHU�SHQHWUDWLRQ��RU�VRLOV�ZKLFK�DUH�VR�VRIW�RU�ZHW�WKDW�WKH�VDPSOH�FRPSUHVVHV�RU�ZLOO�QRWVWD\�LQ�WKH�WXEH��+RZHYHU��RSHQ�WXEH�VDPSOHUV�DUH�QRW�UHFRPPHQGHG�IRU�REWDLQLQJ�XQGLVWXUEHG�VDPSOHVIURP�ERUHKROHV��7KH�TXDOLW\�RI�WKH�VDPSOH�PD\�EH�VXVSHFW�EHFDXVH�RI�WKH�LQKHUHQW�GHVLJQ�RI�WKH�VDPSOHU�'XULQJ�VDPSOLQJ�RSHUDWLRQV��WKH�SUHVVXUH�DERYH�WKH�VDPSOH�PD\�LQFUHDVH�EHFDXVH�RI�GULOOLQJ�IOXLG�LQ�WKHEDUUHO�RI�WKH�VDPSOHU�RU�RYHUGULYLQJ�RI�WKH�VDPSOHU��'XULQJ�ZLWKGUDZDO��YLEUDWLRQV�RI�WKH�VDPSOHU�DQG�RUWKH�YDFXXP�FUHDWHG�XQGHU�WKH�VDPSOH�PD\�UHVXOW�LQ�ORVV�RI�WKH�VDPSOH��)LJXUH��LV�D�VFKHPDWLF�GUDZLQJRI� DQ� RSHQ� VDPSOHU�� $� GLDJUDP� RI� VDPSOLQJ� RSHUDWLRQV� XVLQJ� WKH� RSHQ� WXEH� VDPSOHU� LV� SUHVHQWHG� LQ)LJXUH��

�� 3LVWRQ� VDPSOHUV�� 3LVWRQV�ZHUH� LQFRUSRUDWHG� LQWR� WKH� GHVLJQ� RI� VDPSOHUV� WR� SUHYHQW� VRLO� IURPHQWHULQJ� WKH� VDPSOLQJ� WXEH� EHIRUH� WKH� VDPSOLQJ� GHSWK� LV� DWWDLQHG� DQG� WR� UHGXFH� VDPSOH� ORVV� GXULQJZLWKGUDZDO� RI� WKH� VDPSOLQJ� WXEH�DQG� VDPSOH�� 7KH� YDFXXP�ZKLFK� LV� IRUPHG� E\� WKH�PRYHPHQW� RI� WKHSLVWRQ�DZD\�IURP�WKH�HQG�RI�WKH�VDPSOLQJ�WXEH�GXULQJ�VDPSOLQJ�RSHUDWLRQV�WHQGV�WR�LQFUHDVH�WKH�OHQJWK�RIWKH�VDPSOH�UHFRYHUHG��7KH�DGYDQWDJHV�RI�SLVWRQ�VDPSOHUV�LQFOXGH��GHEULV�LV�SUHYHQWHG�IURP�HQWHULQJ�WKHVDPSOLQJ� WXEH�SULRU� WR�VDPSOLQJ��H[FHVV�VRLO� LV�SUHYHQWHG� IURP�HQWHULQJ�WKH�VDPSOLQJ� WXEH�GXULQJ�VDP�SOLQJ��DQG�VDPSOH�UHFRYHU\�LV�LQFUHDVHG��+YRUVOHY��VWDWHG�WKDW�WKH�SLVWRQ�VDPSOHU�³KDV�PRUH�DGYDQ�WDJHV� DQG� FRPHV� FORVHU� WR� IXOILOOLQJ� WKH� UHTXLUHPHQWV� IRU� DQ� DOO�SXUSRVH� VDPSOHU� WKDQ� DQ\�RWKHU� W\SH�´7KH�SULQFLSDO�GLVDGYDQWDJHV�RI�WKH�SLVWRQ�VDPSOHUV�DUH�LQFUHDVHG�FRPSOH[LW\�DQG�FRVW�

7KUHH�JHQHUDO�W\SHV�RI�SLVWRQ�VDPSOHUV�LQFOXGH�IUHH��RU�VHPLIL[HG�SLVWRQ�VDPSOHUV��IL[HG�SLVWRQ�VDPSOHUV�DQG�UHWUDFWDEOH�SLVWRQ�VDPSOHUV��$�EULHI�V\QRSVLV�RI�HDFK�W\SH�RI�SLVWRQ�VDPSOHU�IROORZV�

)UHH��RU�VHPLIL[HG�SLVWRQ�VDPSOHUV�KDYH�DQ�LQWHUQDO�SLVWRQ�ZKLFK�PD\�EH�FODPSHG�GXULQJ�ZLWKGUDZDO�RIWKH�VDPSOLQJ�WXEH��'XULQJ�WKH�DFWXDO�VDPSOLQJ�RSHUDWLRQV��WKH�SLVWRQ�LV�IUHH�WR�PRYH�ZLWK�UHVSHFW�WR�WKHJURXQG�OHYHO�DQG�VDPSOH�WXEH�

7R�REWDLQ�D�VDPSOH�ZLWK�D�IL[HG�SLVWRQ�VDPSOHU��WKH�VDPSOLQJ�DSSDUDWXV�LV�ORZHUHG�WR�WKH�GHVLUHG�OHYHO�RIVDPSOLQJ�� 7KH� SLVWRQ� LV� WKHQ� IUHHG� IURP� WKH� VDPSOHU� KHDG�� DOWKRXJK� LW� UHPDLQV� IL[HG� UHODWLYH� WR� WKH

(0��-DQ��

)��

JURXQG� VXUIDFH�� 7KH�VDPSOH� LV� REWDLQHG�� DQG� WKH�SLVWRQ� LV� DJDLQ�FODPSHG�UHODWLYH� WR� WKH�VDPSOHU�KHDGSULRU�WR�H[WUDFWLQJ�WKH�VDPSOH�DQG�VDPSOLQJ�WXEH�IURP�WKH�ERUHKROH�

7KH�UHWUDFWDEOH�SLVWRQ�VDPSOHU�XVHV�WKH�SLVWRQ�WR�SUHYHQW�XQZDQWHG�GHEULV�IURP�HQWHULQJ�WKH�VDPSOH�WXEHZKLOH�ORZHULQJ�WKH�VDPSOHU�WR�WKH�GHVLUHG�GHSWK��3ULRU�WR�WKH�VDPSOLQJ�RSHUDWLRQ��WKH�SLVWRQ�LV�UHWUDFWHGWR� WKH� WRS� RI� WKH� WXEH�� +RZHYHU�� WKLV� RSHUDWLRQ� PD\� FDXVH� VRLO� WR� IORZ� XSZDUG� LQWR� WKH� WXEH�&RQVHTXHQWO\�� WKH� UHWUDFWDEOH�SLVWRQ� VDPSOHU� LV� QRW� UHFRPPHQGHG� IRU�XQGLVWXUEHG� VDPSOLQJ�RSHUDWLRQVDQG�LV�QRW�GLVFXVVHG�KHUHLQ�

�D��)UHH��RU�VHPLIL[HG�SLVWRQ�VDPSOHUV��)UHH��RU�VHPLIL[HG�SLVWRQ�VDPSOHUV�KDYH�RYHUFRPH�PDQ\�RIWKH�VKRUWFRPLQJV�RI�RSHQ�VDPSOHUV�ZKLOH�UHPDLQLQJ�HDV\�WR�XVH��7KH�SLVWRQ�LV�ORFNHG�DW�WKH�ERWWRP�RI�WKHVDPSOHU�EDUUHO�DV�WKH�VDPSOHU�LV�ORZHUHG�LQWR�WKH�ERUHKROH��$W�WKH�GHVLUHG�VDPSOLQJ�GHSWK��WKH�SLVWRQ�LVXQORFNHG�E\�URWDWLQJ� WKH�GULOO� URGV�� 'XULQJ� WKH�SXVK�� WKH�SLVWRQ� UHVWV�RQ� WKH�VDPSOH�HQWHULQJ� WKH� WXEH�%HIRUH�WKH�VDPSOLQJ�WXEH�LV�ZLWKGUDZQ��WKH�SLVWRQ�URG�LV�ORFNHG�WR�SUHYHQW�GRZQZDUG�PRYHPHQW�ZKLFKDLGV�LQ�VDPSOH�UHFRYHU\��)UHH�SLVWRQ�VDPSOHUV�PD\�EH�XVHG�LQ�VWLII�FOD\V�RU�SDUWLDOO\�VDWXUDWHG�VLOWV�DQGFOD\V�

�E�� )L[HG�SLVWRQ�VDPSOHUV�� 7KHUH�DUH� WZR�EDVLF� W\SHV�RI� IL[HG�SLVWRQ�VDPSOHUV�� WKH�PHFKDQLFDOO\DFWLYDWHG�W\SHV��ZKLFK�LQFOXGH�WKH�+YRUVOHY�DQG�%XWWHUV�VDPSOHUV��DQG�WKH�K\GUDXOLFDOO\�DFWLYDWHG�W\SHV�VXFK�DV�WKH�2VWHUEHUJ�DQG�PRGLILHG�2VWHUEHUJ�VDPSOHUV��7KH�EDVLF�SULQFLSOH�RI�RSHUDWLRQ�RI�IL[HG�SLVWRQVDPSOHUV�LV� WKH�VDPH�DV�IRU� WKLQ�ZDOOHG�SXVK�WXEH�VDPSOHUV�� L�H�� WR�IRUFH�D�WKLQ�ZDOOHG�F\OLQGULFDO� WXEHLQWR�XQGLVWXUEHG�VRLO�LQ�RQH�FRQWLQXRXV�SXVK�ZLWKRXW�URWDWLRQ��7KH�SLVWRQ� LV�ORFNHG�LQ�D�IL[HG�SRVLWLRQEHIRUH��GXULQJ��DQG�DIWHU�WKH�VDPSOHU�DGYDQFH��$V�WKH�VDPSOHU�LV�ORZHUHG�LQWR�WKH�ERUHKROH��WKH�SLVWRQ�LVIL[HG� UHODWLYH� WR� WKH� FXWWLQJ� HGJH�RI� WKH�VDPSOHU� WR�SUHYHQW� IRUHLJQ�SDUWLFOHV� IURP�HQWHULQJ� WKH�VDPSOHWXEH��3ULRU�WR�VDPSOLQJ��WKH�SLVWRQ�LV�IL[HG�UHODWLYH�WR�WKH�VDPSOH�WR�EH�REWDLQHG��'XULQJ�WKH�DFWXDO�SXVK�WKH�SLVWRQ�PRYHV�ZLWK�UHVSHFW�WR�WKH�VDPSOHU�DQG�KHOSV�WR�SXOO�WKH�VDPSOH�LQWR�WKH�WXEH�DQG�WR�UHWDLQ�LW�IRO�ORZLQJ� WKH�GULYH�� 'XULQJ�ZLWKGUDZDO�� WKH�SLVWRQ� LV�DJDLQ�IL[HG�UHODWLYH�WR� WKH�VDPSOHU�WR�DLG� LQ�VDPSOHUHWHQWLRQ�

7KH�SULQFLSDO�XVH�RI� IL[HG�SLVWRQ�VDPSOHUV� LV� IRU� WDNLQJ�XQGLVWXUEHG�VDPSOHV�RI�YHU\�VRIW� WR�VWLII�FOD\V�VLOWV�� DQG� VDQGV� ERWK� DERYH� DQG� EHORZ� WKH� ZDWHU� WDEOH� �*RRGH�� )L[HG�SLVWRQ� VDPSOHUV� DUHSDUWLFXODUO\�DGDSWHG�WR�VDPSOLQJ�FRKHVLRQOHVV�VDQGV�DQG�VRIW��ZHW�VRLOV�WKDW�FDQQRW�EH�VDPSOHG�XVLQJ�WKHWKLQ�ZDOOHG�RSHQ�WXEH�VDPSOHU��7KHVH�VDPSOHUV�DUH�GHVLJQHG�IRU�XVH�LQ�KROHV�VWDELOL]HG�ZLWK�GULOOLQJ�PXGRU�ZDWHU�EHFDXVH�WKH�VRLO�ZKLFK�LV�EHLQJ�VDPSOHG�LV�JHQHUDOO\�EHORZ�WKH�ZDWHU�WDEOH��6DPSOH�WXEHV�ZLWKOLWWOH�RU�QR�LQVLGH�FOHDUDQFH�UDWLR��RU�VZDJH��DUH�JHQHUDOO\�XVHG�ZLWK�IL[HG�SLVWRQ�VDPSOHUV��$V�LV�WKH�FDVHZLWK� DOO� WKLQ�ZDOOHG� SXVK�WXEH� VDPSOHUV�� WKH� IL[HG�SLVWRQ� VDPSOHU� ZLOO� QRW� VXFFHVVIXOO\� VDPSOH� VRLOVZKLFK�FRQWDLQ�JUDYHO��FHPHQWHG�VRLO��RU�VRLOV�WKDW�DUH�WRR�KDUG�WR�SHQHWUDWH�

�L��0HFKDQLFDOO\�DFWLYDWHG�IL[HG�SLVWRQ�VDPSOHUV�

�D�� +YRUVOHY�IL[HG�SLVWRQ�VDPSOHU�� 7KH�+YRUVOHY�IL[HG�SLVWRQ�VDPSOHU� LV�D�PHFKDQLFDOO\�DFWLYDWHGVDPSOHU�ZKLFK�XVHV� WKH�GULOO� ULJ�K\GUDXOLF�GULYH�PHFKDQLVP� WR�DGYDQFH� WKH�VDPSOH� WXEH�� 7KH�VDPSOHUKHDG�LV�GHVLJQHG�IRU��FP��LQ��GLDP�WXEHV�EXW�FDQ�EH�HDVLO\�FRQYHUWHG�WR�XVH��FP��LQ��GLDPWXEHV�ZLWK�DQ�DGDSWHU�ULQJ�DQG�DQ�HQODUJHG�SLVWRQ�DVVHPEO\��)LJXUH��LV�D�SKRWRJUDSK�RI�WKH�+YRUVOHYIL[HG�SLVWRQ�VDPSOHU��)LJXUH��LV�D�FURVV�VHFWLRQDO�YLHZ�RI�WKH�VDPSOHU�

7KH�RSHUDWLRQ�RI�WKH�+YRUVOHY�VDPSOHU�LV�VKRZQ�RQ�)LJXUH��)LUVW��WKH�VDPSOHU�LV�DVVHPEOHG�ZLWK�WKHSLVWRQ�ORFNHG�IOXVK�ZLWK�WKH�ERWWRP�RI�WKH�VDPSOLQJ�WXEH��7KH�VDPSOHU�LV�WKHQ�DWWDFKHG�WR�WKH�GULOO�URGVDQG�SLVWRQ�URG�H[WHQVLRQV�DQG�ORZHUHG�WR�WKH�ERWWRP�RI�D�FOHDQHG�ERUHKROH��:KHQ�WKH�VDPSOHU�FRQWDFWV

(0��-DQ��

)��

WKH�ERWWRP�RI�WKH�KROH��WKH�GULOO�URGV�DUH�FODPSHG�WR�WKH�K\GUDXOLF�GULYH�PHFKDQLVP�RI�WKH�DQFKRUHG�GULOOULJ��7KH�SLVWRQ�URGV�DUH�URWDWHG�FORFNZLVH�WR�XQORFN�WKH�SLVWRQ��7KH�SLVWRQ�URGV�DUH�WKHQ�VHFXUHG�WR�WKHGULOO� ULJ�PDVW�RU�D� VXLWDEOH� IUDPH�LQGHSHQGHQW�RI� WKH�GULOO� ULJ�IRU� VDPSOLQJ�RSHUDWLRQV�� 7R�VDPSOH�� WKHVDPSOHU�LV�DGYDQFHG�LQWR�WKH�XQGLVWXUEHG�VRLO�LQ�WKH�VDPH�PDQQHU�DV�GHVFULEHG�IRU�WKH�WKLQ�ZDOOHG�SXVK�WXEH�VDPSOHU��$W�WKH�HQG�RI�WKH�SXVK��WKH�SLVWRQ�URGV�DUH�URWDWHG�FRXQWHUFORFNZLVH�WR�ORFN�WKH�SLVWRQ�RQWKH�VDPSOHU�KHDG�� )XUWKHU�URWDWLRQ�LQ�D�FRXQWHUFORFNZLVH�GLUHFWLRQ�FDXVHV�WKH�SLVWRQ�URGV�WR�EH�GLVFRQ�QHFWHG�IURP�WKH�VDPSOHU��$V�D�UHVXOW��WKH�SLVWRQ�URGV�FDQ�EH�UHPRYHG�EHIRUH�WKH�VDPSOHU�LV�ZLWKGUDZQ�'XULQJ�ZLWKGUDZDO��WKH�SLVWRQ�UHPDLQV�ORFNHG�DW�WKH�WRS�RI�LWV�VWURNH�E\�D�VSOLW�FRQH�FODPS��([WUHPH�FDUHPXVW�EH�H[HUFLVHG�GXULQJ�UHPRYDO�RI�WKH�VDPSOHU�IURP�WKH�GULOO�KROH�WR�DYRLG�MDUULQJ�RU�ORVLQJ�WKH�VDPSOH�

7KH� +YRUVOHY� IL[HG�SLVWRQ� VDPSOHU� FRQWDLQV� PDQ\� SDUWV� DQG� VHYHUDO� VFUHZ� FRQQHFWLRQV�� %HIRUHDWWHPSWLQJ�WR�XVH�WKH�DSSDUDWXV��WKH�RSHUDWRU�VKRXOG�WKRURXJKO\�XQGHUVWDQG�WKH�PHFKDQLFV��DGMXVWPHQWV�DQG�RSHUDWLRQ�RI�WKH�VDPSOHU��3UHFLVLRQ�SDUWV��VXFK�DV�WKH�SLVWRQ�ORFNLQJ�DQG�UHOHDVLQJ�PHFKDQLVP�DQGWKH�VSOLW�FRQH�FODPS�DQG�VSULQJ��DUH�HDVLO\�GDPDJHG�E\�PLVXVH�RU�LQFRUUHFW�DVVHPEO\��$FFXUDWH�FRXQWLQJRI�URWDWLRQV�LV�UHTXLUHG�IRU�SURSHU�RSHUDWLRQ�DQG�ORFNLQJ�DQG�UHOHDVLQJ�RI�WKH�SLVWRQ��$V�D�JHQHUDO�UXOH�WKH� SDUWV� RI� WKH� SLVWRQ� ORFNLQJ�DQG� UHOHDVLQJ�PHFKDQLVP�VKRXOG�EH� VFUHZHG� WRJHWKHU� EXW�QRW� WLJKWHQHGH[FHVVLYHO\��$�JDS�RI��WR��PP��WR��LQ��DW�WKH�³&RXSOLQJ�ZLWK�1XW�6HFWLRQ´��)LJXUH��LVWLJKWHQHG�WR�VHW�WKH�VSOLW�FRQH�FODPS��%HIRUH�WKH�GHYLFH�LV�ORZHUHG�LQWR�WKH�ERUHKROH��WKH�VDPSOHU�VKRXOGEH� DVVHPEOHG�DQG� FKHFNHG� IRU� SURSHU� DGMXVWPHQW� DQG� HDVH�RI� URWDWLRQ� RI� WKH� ORFNLQJ�PHFKDQLVPV� DQGRSHUDWLRQ�RI�WKH�GHYLFH�

�E�� %XWWHUV� IL[HG�SLVWRQ� VDPSOHU�� 7KH� %XWWHUV� VDPSOHU� LV� D� VLPSOLILHG� YHUVLRQ� RI� WKH� +YRUVOHYVDPSOHU� ZKLFK� FRQWDLQV� IHZHU� SDUWV� DQG� VFUHZ� FRQQHFWLRQV�� 7KH� %XWWHUV� VDPSOHU� KDV� DOO� ULJKW�KDQGWKUHDGV�DQG�D�VLPSOLILHG�SLVWRQ�URG�ORFNLQJ�DQG�XQORFNLQJ�PHFKDQLVP��7KHVH�IHDWXUHV�PDNH�WKH�VDPSOHUPXFK�HDVLHU�WR�RSHUDWH��$V�ZLWK�WKH�+YRUVOHY�VDPSOHU��WKH�%XWWHUV�VDPSOHU�LV�GHVLJQHG�IRU��FP��LQ��GLDP�SXVK�WXEHV��+RZHYHU��ZLWK�DQ�DGDSWHU�ULQJ�DQG�DQ�HQODUJHG�SLVWRQ�DVVHPEO\��WKH�VDPSOHU�LV�HDVLO\FRQYHUWHG� IRU� XVH�ZLWK� ��FP�� LQ�� GLDP� WXEHV�� )LJXUH� �� VKRZV� D� FURVV�VHFWLRQDO� YLHZ� RI� WKH%XWWHUV�VDPSOHU�

7R�RSHUDWH��WKH�VDPSOHU�LV�DVVHPEOHG�ZLWK�WKH�SLVWRQ�ORFNHG�IOXVK�ZLWK�WKH�ERWWRP�RI�WKH�VDPSOLQJ�WXEH�7KH�VDPSOHU�LV�WKHQ�DWWDFKHG�WR�WKH�GULOO�URGV�DQG�WKH�SLVWRQ�URG�H[WHQVLRQV�DQG�ORZHUHG�WR�WKH�ERWWRP�RID�FOHDQHG�ERUHKROH��:KHQ�WKH�VDPSOHU�FRQWDFWV�WKH�ERWWRP�RI�WKH�ERUHKROH��WKH�SLVWRQ�URG�H[WHQVLRQV�DUHFODPSHG�WR�WKH�DQFKRUHG�GULOO�ULJ��$IWHU�WKH�SLVWRQ�URG�H[WHQVLRQV�KDYH�EHHQ�FODPSHG��D�FORFNZLVH�URWD�WLRQ�RI�WKH�SLVWRQ�URGV�XQORFNV�WKH�SLVWRQ�� 7KH�SLVWRQ�URG�LV�WKHQ�VHFXUHG�WR�WKH�GULOO�ULJ�PDVW�RU�VRPHRWKHU�VXLWDEOH�IUDPH�ZKLFK�LV�LQGHSHQGHQW�RI�WKH�GULOO�ULJ��$IWHU�WKH�VDPSOHU�KDV�EHHQ�DGYDQFHG�LQWR�WKHVRLO�XVLQJ�SURFHGXUHV�ZKLFK�DUH�VLPLODU�WR� WKRVH�XVHG�IRU�WKH�WKLQ�ZDOOHG�SXVK�WXEH�VDPSOHU�� WKH�SLVWRQURGV�DUH�WKHQ�GLVFRQQHFWHG�IURP�WKH�VDPSOHU�E\�WXUQLQJ�LQ�D�FRXQWHUFORFNZLVH�GLUHFWLRQ�XQWLO�WKH�SLVWRQURGV� DUH� IUHH�� 7KH�SLVWRQ�URGV�DUH� UHPRYHG�EHIRUH� WKH� VDPSOHU� LV�ZLWKGUDZQ�� 'XULQJ�ZLWKGUDZDO�� WKHSLVWRQ�LV�KHOG�VWDWLRQDU\�DW�WKH�WRS�RI�LWV�VWURNH�E\�D�WHQVLRQ�VSULQJ�DQG�ORFN�ZDVKHUV��([WUHPH�FDUH�PXVWEH�H[HUFLVHG�GXULQJ�UHPRYDO�RI�WKH�VDPSOHU�IURP�WKH�GULOO�KROH�WR�DYRLG�MDUULQJ�RU�ORVLQJ�WKH�VDPSOH�

7KH� EDVLF� UXOHV� IRU� RSHUDWLRQ� RI� WKH� %XWWHUV� VDPSOHU� DUH� VLPLODU� WR� WKRVH� RU� WKH� +YRUVOHY� VDPSOHU�%HFDXVH� WKH� %XWWHUV� VDPSOHU� FRQWDLQV� VHYHUDO� SDUWV� ZKLFK� UHTXLUH� FDUHIXO� DVVHPEO\� IRU� ORFNLQJ� DQGUHOHDVLQJ� WKH� SLVWRQ�� WKH� PHFKDQLFV� RI� WKH� VDPSOHU� VKRXOG� EH� XQGHUVWRRG� WKRURXJKO\� E\� WKH� RSHUDWRUEHIRUH� DWWHPSWLQJ� WR� VDPSOH�� DV� WKH� SUHFLVLRQ� SDUWV� FDQ� EH� HDVLO\� GDPDJHG� E\� PLVXVH� RU� LQFRUUHFWDVVHPEO\�� ,Q�JHQHUDO�� WKH�SDUWV� RI� WKH�SLVWRQ� URG� ORFNLQJ�DQG� UHOHDVLQJ�PHFKDQLVP�VKRXOG�EH�VFUHZHGWRJHWKHU�VQXJO\��EXW�QRW� WLJKWHQHG�H[FHVVLYHO\�� ,W� LV�DOVR�JRRG�SUDFWLFH�WR�DVVHPEOH� WKH�VDPSOHU�DQG�WRFKHFN�LWV�RSHUDWLRQ�EHIRUH�LW�LV�ORZHUHG�LQWR�WKH�ERUHKROH�

(0��-DQ��

)��

�LL��+\GUDXOLFDOO\�DFWLYDWHG�IL[HG�SLVWRQ�VDPSOHUV�

�D��2VWHUEHUJ�IL[HG�SLVWRQ�VDPSOHU��7KH�2VWHUEHUJ�VDPSOHU�LV�D�K\GUDXOLFDOO\�DFWLYDWHG�IL[HG�SLVWRQVDPSOHU�� 7KH� GHVLJQ� DQG� RSHUDWLRQ� RI� WKH� K\GUDXOLFDOO\� DFWLYDWHG� 2VWHUEHUJ� VDPSOHU� LV� VLJQLILFDQWO\GLIIHUHQW�IURP�WKH�GHVLJQ�DQG�RSHUDWLRQ�RI�WKH�PHFKDQLFDOO\�DFWLYDWHG�+YRUVOHY�DQG�%XWWHUV�VDPSOHUV��,WVRSHUDWLRQ� LV� PXFK� IDVWHU� DQG� VLPSOHU� WKDQ� WKH� +YRUVOHY� DQG� %XWWHUV� VDPSOHUV� EHFDXVH� SLVWRQ� URGH[WHQVLRQV� DUH� QRW� UHTXLUHG�� 7KHUHIRUH�� WKH� 2VWHUEHUJ� VDPSOHU� LV� PXFK� HDVLHU� WR� DVVHPEOH�� RSHUDWH�GLVDVVHPEOH��DQG�XVH��+RZHYHU��WKHUH�DUH�VHYHUDO�GLVDGYDQWDJHV�ZKLFK�LQFOXGH�WKH�ODFN�RI�FRQWURO�IRU�UDWHRI�RU� OLPLW�RI�DGYDQFHPHQW�RI�WKH�VDPSOHU�DV�ZHOO�DV�D�YDFXXP�EUHDNHU�ZDV�QRW�SURYLGHG�IRU�VHSDUDWLQJWKH�SLVWRQ�IURP�WKH�WXEH�FRQWDLQLQJ�WKH�VRLO�VDPSOH��)LJXUH��LV�D�SKRWRJUDSK�RI�WKH�2VWHUEHUJ�VDPSOHU�)LJXUH��LOOXVWUDWHV�WKH�RSHUDWLRQ�RI�WKH�VDPSOHU�

7KH�2VWHUEHUJ�VDPSOHU�LV�FRPPHUFLDOO\�DYDLODEOH�IRU�XVH�ZLWK�VDPSOLQJ�WXEHV�RI�QRPLQDO�GLDPHWHUV�RI��DQG��FP��DQG��LQ��+RZHYHU��WKLV�VDPSOHU�UHTXLUHV�VSHFLDOO\�GHVLJQHG�WKLQ�ZDOOHG�VDPSOLQJ�WXEHV�&RQYHQWLRQDO� WKLQ�ZDOOHG�VDPSOLQJ�WXEHV�XVHG�IRU� WKH�WKLQ�ZDOOHG�RSHQ�GULYH�VDPSOHU�DQG�WKH�+YRUVOHYDQG�%XWWHUV�IL[HG�SLVWRQ�VDPSOHUV�ZLOO�QRW�DGDSW�WR�WKH�2VWHUEHUJ�VDPSOHU�

7KH� 2VWHUEHUJ� VDPSOHU� LV� DVVHPEOHG� ZLWK� WKH� SLVWRQ� IOXVK�ZLWK� WKH� ERWWRP� RI� WKH� VDPSOLQJ� WXEH� DQGDWWDFKHG�WR�WKH�PDLQ�KHDG�RI�WKH�VDPSOHU��7KH�VDPSOHU�LV�DWWDFKHG�WR�WKH�GULOO�VWULQJ�DQG�ORZHUHG�WR�WKHERWWRP� RI� D� FOHDQHG� ERUHKROH�� 7KH�GULOO� URGV� DUH� VHFXUHG� WR� WKH� DQFKRUHG�GULOO� ULJ�� DQG�GULOOLQJ� IOXLG�XQGHU�SUHVVXUH��LV�SXPSHG�WKURXJK�WKH�URGV�WR�DGYDQFH�WKH�VDPSOLQJ�WXEH�LQWR� WKH�XQGLVWXUEHG�VRLO��$VIOXLG� SUHVVXUH� LV� DSSOLHG� WR� WKH� LQQHU� VDPSOHU� KHDG�� WKH� VDPSOLQJ� WXEH� LV� IRUFHG� RXW� RI� WKH� SUHVVXUHF\OLQGHU��:KHQ�WKH�LQQHU�VDPSOHU�KHDG�KDV�UHDFKHG�LWV�IXOO�VWURNH��DQG�WKH�VDPSOLQJ�WXEH�KDV�SHQHWUDWHGLWV�IXOO�GHSWK�LQWR�WKH�VRLO��WKH�SUHVVXUH�LV�UHOLHYHG�WKURXJK�D�E\SDVV�SRUW�LQ�WKH�ORZHU�HQG�RI�WKH�KROORZSLVWRQ�URG��$Q�DLU�EXEEOH�RU�UHWXUQ�RI�GULOOLQJ�IOXLG�FDQ�EH�REVHUYHG�DW�WKH�WRS�RI�WKH�FROXPQ�RI�GULOOLQJPXG�ZKLFK�LQGLFDWHV�WKDW�WKH�VDPSOHU�KDV�EHHQ�IXOO\�DGYDQFHG��$IWHU�WKH�GULYH��WKH�VDPSOHU�VKRXOG�EHURWDWHG�FORFNZLVH�WR�VKHDU�WKH�VDPSOH�DW�WKH�ERWWRP�RI�WKH�VDPSOLQJ�WXEH�DQG�WR�ORFN�WKH�VDPSOLQJ�WXEH�LQSRVLWLRQ�IRU�ZLWKGUDZDO�IURP�WKH�KROH��7KHURWDWLRQ�DQG�ORFNLQJ�RI�WKH�VDPSOH�WXEH�LV�DFFRPSOLVKHG�E\�DIULFWLRQ�FOXWFK�PHFKDQLVP�ZKLFK�DOORZV�WKH�LQQHU�VDPSOHU�KHDG�WR�JUDVS�WKH�LQQHU�SUHVVXUH�F\OLQGHU�ZKHQWKH�GULOO� URGV�DUH�URWDWHG�DW�WKH�JURXQG�VXUIDFH��$V�WKH�VDPSOHU�LV�UHPRYHG�IURP�WKH�ERUHKROH��H[WUHPHFDUH�VKRXOG�EH�WDNHQ�WR�DYRLG�MDUULQJ�RU�ORVLQJ�WKH�VDPSOH�

$OWKRXJK� WKH�2VWHUEHUJ� VDPSOHU� LV� UHODWLYHO\�VLPSOH� WR�RSHUDWH�� WKH�PHFKDQLFV�RI� WKH�VDPSOHU�PXVW� EHWKRURXJKO\�XQGHUVWRRG�E\�WKH�RSHUDWRU�EHIRUH�DWWHPSWLQJ�WR�RSHUDWH�WKH�VDPSOHU��7KH�VDPSOHU�FRQWDLQVVHYHUDO� PRYLQJ� SDUWV� DQG� 2�ULQJ� VHDOV� ZKLFK� UHTXLUH� FDUHIXO� DVVHPEO\� DQG� PXVW� EH� NHSW� FOHDQ� DQGOXEULFDWHG�IRU�SURSHU�RSHUDWLRQ��$V�D�JHQHUDO�UXOH��WKH�WKUHDGHG�FRPSRQHQWV�VKRXOG�EH�VFUHZHG�WRJHWKHUVQXJO\��EXW�QRW�WLJKWHQHG�H[FHVVLYHO\�� 7KH�IL[HG�SLVWRQ�VKRXOG�EH�VHFXUHO\�SLQQHG�WR�WKH�KROORZ�SLVWRQURG�� 7KH�LQQHU�VDPSOHU�KHDG�VKRXOG�EH�FKHFNHG�WR�PDNH�VXUH�LW�VOLGHV�IUHHO\�RQ�WKH�KROORZ�SLVWRQ�URG�7KH�XVH�RI�GULOOLQJ�PXG�WR�DGYDQFH�WKH�VDPSOHU�LV�QRW�UHFRPPHQGHG�EHFDXVH�VDQG�SDUWLFOHV�VXVSHQGHG�LQWKH�PXG�DFW�DV� DQ�DEUDVLYH�ZKLFK�PD\�GDPDJH� WKH�2�ULQJ�VHDOV�� 7KHUHIRUH��D�VXSSO\�RI�FOHDU�ZDWHU� LVGHVLUDEOH�IRU�DGYDQFLQJ�WKH�VDPSOHU�DV�ZHOO�DV�IRU�ULQVLQJ�DQG�IOXVKLQJ�WKH�VDPSOHU�DIWHU�HDFK�VDPSOLQJGULYH�DOWKRXJK�WKLV�PD\�QRW�DOZD\V�EH�SUDFWLFDO�LQ�WKH�ILHOG�HQYLURQPHQW�

�E��0RGLILHG�2VWHUEHUJ�IL[HG�SLVWRQ�VDPSOHU��7KH�PRGLILHG�2VWHUEHUJ�VDPSOHU�XVHV�WKH�VDPH�EDVLFGHVLJQ�DQG�SULQFLSOHV�RI�RSHUDWLRQ�DV� WKH�FRQYHQWLRQDO�2VWHUEHUJ�VDPSOHU�� +RZHYHU�� WKHUH�DUH�VHYHUDOPDMRU� FKDQJHV� DQG� LPSURYHPHQWV� WR� WKH�PRGLILHG�2VWHUEHUJ� VDPSOHU� DV� FRPSDUHG� WR� WKH� FRQYHQWLRQDO2VWHUEHUJ�VDPSOHU��7KH�WKLQ�ZDOOHG�VDPSOLQJ�WXEH�ZDV�UHSODFHG�ZLWK�D�WKLFN�ZDOOHG�VWHHO�WXELQJ�ZKLFKZDV�PDFKLQHG�WR�DFFHSW�D�FRPPHUFLDOO\�DYDLODEOH�DOXPLQXP�LQQHU�OLQHU��7KH�WKLFN�ZDOOHG�VWHHO�WXELQJ�LVHTXLSSHG� ZLWK� D� FDVH� KDUGHQHG�� UHSODFHDEOH� GULYH� VKRH�� &RQVHTXHQWO\�� WKH� PRGLILHG� VDPSOHU� LV

(0��-DQ��

)��

FRQVLGHUDEO\�PRUH�ULJLG�DQG�EHWWHU�VXLWHG�IRU�XVH�LQ�VRLOV�FRQWDLQLQJ�ILQH�JUDYHOV��7KH�GHVLJQ�RI�WKH�PRGL�ILHG� VDPSOHU� DOVR� HOLPLQDWHV� WKH� SUREOHPV�DVVRFLDWHG�ZLWK� UHPRYLQJ� WKH� VDPSOLQJ� WXEH� IURP� WKH� LQQHUVDPSOHU�KHDG�FDXVHG�E\� WKH�YDFXXP�GHYHORSHG�GXULQJ� WKH� VDPSOLQJ�RSHUDWLRQ�� 7KH� WKLFN�ZDOOHG� VWHHOWXELQJ� KDV� D� YHQW� KROH� WR� EUHDN� WKH� YDFXXP� VHDO� DQG� WR� DOORZ� HDV\� UHPRYDO� RI� WKH� LQQHU� OLQHU�� 7KHXQGLVWXUEHG�VDPSOH�FDQ�EH�UHPRYHG�IURP�WKH�VDPSOHU�E\�VLPSO\�UHPRYLQJ�WKH�GULYH�VKRH�DQG�SXOOLQJ�WKHOLQHU� RXW� RI� WKH� VDPSOHU�� 7KH� VDPSOHU� FDQ� EH� UHORDGHG� E\� VOLGLQJ� D� QHZ� OLQHU� LQWR� WKH� VWHHO� WXELQJ�DWWDFKLQJ�WKH�GULYH�VKRH��DQG�SXVKLQJ�WKH�VWHHO�WXELQJ�LQWR�WKH�SUHVVXUH�F\OLQGHU��$OWKRXJK�WKH�PRGLILHG2VWHUEHUJ� VDPSOHU� LV� QRW� FRPPHUFLDOO\� DYDLODEOH�� LW� FDQ�EH�PDQXIDFWXUHG� LQ�� DQG��FP�� DQG��LQ��GLDP�VL]HV�

�F�� )RLO� DQG� VWRFNLQHWWH� VDPSOHUV�� 0RGLILHG� YHUVLRQV� RI� WKH� IL[HG�SLVWRQ� VDPSOHU� LQFOXGH� WKH6ZHGLVK�IRLO�VDPSOHU�DQG�WKH�'HOIW�VWRFNLQHWWH�VDPSOHU��7KH�SULQFLSOH�RI�RSHUDWLRQ�RI�WKHVH�VDPSOHUV�LVVLPLODU�WR�WKH�IL[HG�SLVWRQ�VDPSOHU��$V�WKH�VDPSOHU�LV�SXVKHG��WKH�SLVWRQ�UHWUDFWV�IURP�WKH�VDPSOHU�KHDG�DQG� D� VOLGLQJ� OLQHU� ZKLFK� LV� DWWDFKHG� WR� WKH� SLVWRQ� LV� XQUROOHG� IURP� LWV� PDJD]LQH� ORFDWHG� ZLWKLQ� WKHVDPSOHU�KHDG��%RWK�W\SHV�RI�VDPSOHUV�DUH�SXVKHG�LQWR�WKH�VRLO�ZLWKRXW�D�ERUHKROH�

7KH�6ZHGLVK�IRLO�VDPSOHU�ZDV�GHYHORSHG�WR�REWDLQ�ORQJ��FRQWLQXRXV�XQGLVWXUEHG�VDPSOHV�LQ�VRIW�FRKHVLYHVRLOV��.MHOOPDQ��.DOOVWHQLXV��DQG�:DJHU��7R�UHGXFH�WKH�IULFWLRQ�EHWZHHQ�WKH�VRLO�VDPSOH�DQG�WKHVDPSOHU�EDUUHO��WKH�VDPSOH�LV�SURJUHVVLYHO\�HQFDVHG�LQ�WKLQ�D[LDO�VWULSV�RI�IRLO�DV�WKH�VDPSOHU�LV�DGYDQFHG�7ZR�GLDPHWHUV�RI�IRLO�VDPSOHUV�DUH�DYDLODEOH�� 7KH��FP��LQ��GLDP�VDPSOHU�FRQWDLQV��UROOV�RIWKLQ��FROG�UROOHG��PLOG�VWHHO�IRLO�LQ�WKH�VDPSOHU�KHDG��(DFK�UROO�RI�IRLO�LV�DSSUR[LPDWHO\��PP��LQ��ZLGH�� 7KH� IRLO� LV� DYDLODEOH� LQ� WKLFNQHVVHV� UDQJLQJ� IURP� �� WR� ��PP� �� WR� �� LQ�� 7KH��FP��LQ��GLDP�VDPSOHU�FDQ�VWRUH��P��IW��RI�IRLO��ZKLOH�WKH��FP��LQ��GLDP�VDPSOHUFDQ�VWRUH��P��IW��RI�IRLO��$�VFKHPDWLF�RI�WKH�6ZHGLVK�IRLO�VDPSOHU�LV�SUHVHQWHG�LQ�)LJXUH��

7KH�6ZHGLVK�IRLO�VDPSOHU�FRQVLVWV�RI�D�FXWWHU�KHDG�ZKLFK�LV�PDFKLQHG�WR�IRUP�D�VKDUS�HGJH��7KH�FXWWHUKHDG�LV�DWWDFKHG�WR�WKH�ORZHU�HQG�RI�WKH�VDPSOH�EDUUHO��7KH�XSSHU�HQG�RI�WKH�FXWWHU�KHDG�LV�GRXEOH�ZDOOHGDQG�FRQWDLQV�D�PDJD]LQH�IRU�WKH�UROOV�RI�IRLO��7KH�IRLO�VWULSV�SDVV�WKURXJK�VPDOO�KRUL]RQWDO�VORWV�ORFDWHGLPPHGLDWHO\�DERYH�WKH�FXWWHU�HGJH�DQG�DUH�DWWDFKHG�WR�D�ORRVH�ILWWLQJ�SLVWRQ��'XULQJ�VDPSOLQJ�RSHUDWLRQV�WKH� SLVWRQ� LV� KHOG� VWDWLRQDU\� DW� WKH� JURXQG� VXUIDFH� WR� HQVXUH� WKDW� WKH� IRLO� VWULSV� DUH� SXOOHG� IURP� WKHPDJD]LQH�DW�WKH�VDPH�UDWH�DV�WKH�VDPSOHU�SHQHWUDWHV�WKH�VRLO�

7KH�IRLO�VWULSV�ZKLFK�VOLGH�DJDLQVW�WKH�LQVLGH�RI�WKH�VDPSOHU�EDUUHO�IRUP�DQ�DOPRVW�FRQWLQXRXV�OLQHU�ZKLFKPLQLPL]HV� WKH� IULFWLRQ�EHWZHHQ� WKH�VDPSOHU�ZDOO�DQG�VRLO� VDPSOH�� $V�ZLWK� WKH�FRQYHQWLRQDO�SXVK�WXEHW\SH� VDPSOHUV�� WKH� IXOO� DGYDQFH� RI� WKH� VDPSOHU� VKRXOG� EH�PDGH� LQ� RQH� IDVW�� VPRRWK�� FRQWLQXRXV� SXVK�+RZHYHU�� WKH� HIIHFWV� RI� WKH� UDWH� RI� SHQHWUDWLRQ� DQG�RU� LQWHUUXSWLRQV� LQ� SXVKLQJ� DUH� OHVV� LPSRUWDQW�7KHUHIRUH��DGGLWLRQDO��P��IW��ORQJ�VHFWLRQV�RI�WKH�VDPSOH�EDUUHO�PD\�EH�DGGHG�WR�H[WHQG�WKH�OHQJWKRI�WKH�VDPSOHU�

7KH�RULJLQDO�'HOIW�FRQWLQXRXV�VRLO�VDPSOHU�ZDV�XVHG�WR�REWDLQ�D�VDPSOH��PP��LQ��LQ�GLDPHWHU��$VWKH�VDPSOHU�ZDV�SXVKHG�LQWR�WKH�JURXQG��D�Q\ORQ�VWRFNLQJ�W\SH�UHLQIRUFHG�SODVWLF�VNLQ�ZDV�XQUROOHG�IURPD�PDJD]LQH�LQ�WKH�VDPSOHU�KHDG�WR�VXUURXQG�WKH�RXWVLGH�RI�WKH�VDPSOH��$V�WKH�VWRFNLQJ�ZDV�XQUROOHG��LWZDV�FRDWHG�ZLWK�D�YXOFDQL]LQJ�IOXLG�ZKLFK�ZDV�VWRUHG� LQ�D�FKDPEHU�EHWZHHQ�WKH�VWRFNLQJ� WXEH�DQG� WKHRXWHU� EDUUHO� RI� WKH�VDPSOHU�� :KHQ� WKH�FRDWHG� VWRFNLQJ�FRQWDFWHG� WKH�EHQWRQLWH�ZDWHU� VOXUU\� LQVLGH� WKHVDPSOHU��WKH�YXOFDQL]LQJ�IOXLG�VROLGLILHG��$V�D�UHVXOW��WKH�VWRFNLQHWWH�EHFDPH�D�ZDWHUWLJKW�FRQWDLQHU�ZKLFKSUHYHQWHG�ODWHUDO�VWUDLQ�RI�WKH�VRLO�VDPSOH�

8QIRUWXQDWHO\��WKH�EHQWRQLWH�ZDWHU�VOXUU\�LQ�WKH�DQQXOXV�EHWZHHQ�WKH�VRLO�VDPSOH�DQG�VDPSOHU�VRPHWLPHVH[FHHGHG� WKH� LQ� VLWX� VWUHVVHV�� HVSHFLDOO\� LQ� VRIW� VRLOV�� $V� D� UHVXOW�� WKH� VRLO� VDPSOH� DQG� VXUURXQGLQJ

(0��-DQ��

)��

IRUPDWLRQ�ZHUH�GLVWXUEHG��&RQVHTXHQWO\��WKH�'HOIW�FRQWLQXRXV�VRLO�VDPSOHU�ZDV�UHGHVLJQHG��7KH�FXUUHQWYHUVLRQ�FDQ�EH�XVHG�WR�REWDLQ�D��PP��LQ��GLDP�VDPSOH��7KH�VDPSOHU�XVHV�D�VWRFNLQJ�OLQHG�SODVWLFOLQHU� WXEH� ZKLFK� VXSSRUWV� WKH� VRLO� VDPSOH� GXULQJ� WKH� VDPSOLQJ� RSHUDWLRQV� DQG� GRXEOHV� DV� WKH� VDPSOHVWRUDJH� WXEH�� $�VFKHPDWLF�RI� WKH�'HOIW��PP��LQ��GLDP�FRQWLQXRXV�VRLO� VDPSOHU� LV�SUHVHQWHG� LQ)LJXUH� �� 7KH� 'HOIW� FRQWLQXRXV� VRLO� VDPSOHU� LV� DGYDQFHG� LQ� ��IW� ��P�� LQFUHPHQWV� E\� D� FRQHSHQHWURPHWHU�WHVW��&37��ULJ��7KH�PD[LPXP�OHQJWK�RI�WKH�VDPSOH�LV��P��IW��

7KH�IRLO�DQG�VWRFNLQHWWH�VDPSOHUV�ZHUH�GHVLJQHG�WR�REWDLQ�VDPSOHV�ZLWK�DQ�LQFUHDVHG�OHQJWK�WR�GLDPHWHUUDWLR�ZKLFK�DUH�VRPHWLPHV�UHTXLUHG�WR�JDLQ�D�PRUH�FRPSUHKHQVLYH�XQGHUVWDQGLQJ�RI�D�FRPSOH[�VRLO�PDVV�VXFK� DV� D�YDUYHG� FOD\�� RU� WR�REWDLQ� VDPSOHV� RI� VRIW� FOD\�RU� SHDW�� $OWKRXJK� WKH� VRLO� IULFWLRQ� LQVLGH� WKHVDPSOHU�LV�YLUWXDOO\�QRQH[LVWHQW��WKH�IULFWLRQDO�IRUFHV�EHWZHHQ�WKH�IRLOV�RU�VWRFNLQHWWH�DQG�WKH�LQVLGH�ZDOOVRI� WKH�VDPSOHU�DQG�EHWZHHQ�WKH�VRLO�DQG�RXWVLGH�ZDOOV�RI�WKH�VDPSOHU�FDQ�EHFRPH�VR�JUHDW�DV�WR�SURKLELWSXVKLQJ�WKH�VDPSOHU��/XEULFDQWV�KDYH�EHHQ�XVHG�EHWZHHQ�WKH�OLQHUV�DQG�VDPSOHU�IRU�FRKHVLYH�VRLOV��EXWVKRXOG�QRW�EH�XVHG�IRU�FRKHVLRQOHVV�VRLOV�DV�WKH\�PD\�SHQHWUDWH�WKH�VDPSOH�DQG�SURKLELW�LWV�XVH��)ULFWLRQEHWZHHQ�WKH�VRLO�DQG�WKH�RXWVLGH�RI�WKH�VDPSOHU�KDV�EHHQ�UHGXFHG�E\�WKH�XVH�RI�D�URWDU\�RXWHU�FRUH�EDUUHOZKLFK�KDV�FXWWHU� WHHWK�DQG� WKH�FDSDELOLW\�RI�FLUFXODWLQJ�D�GULOOLQJ�IOXLG�� 7KH�SULQFLSDO�GLVDGYDQWDJHV�RIWKH�IRLO�DQG�VWRFNLQHWWH�VDPSOHUV�LQFOXGH�ODUJHU�RSHUDWLQJ�H[SHQVHV�DQG�WKH�LQFUHDVHG�SRWHQWLDO�IRU�VDPSOHGLVWXUEDQFH�GXH�WR�WKH�ODUJHU�DUHD�UDWLR�RI�WKH�FXWWLQJ�VKRH�

E� &RUH� EDUUHO�VDPSOHUV�� 'RXEOH��DQG� WULSOH�WXEH�FRUH�EDUUHO�VDPSOHUV�FRQVLVW�RI�D� VDPSOHU�KHDGDVVHPEO\�� LQQHU� DQG� RXWHU� WXEHV�� DQG� D� ERWWRP� DVVHPEO\�� 7KH� WULSOH�WXEH� FRUH� EDUUHOV� DUH� PHUHO\GRXEOH�WXEH�VDPSOHUV�ZKLFK�KDYH�EHHQ�PRGLILHG�WR�DFFHSW�VDPSOH�OLQHUV��7KH�SULQFLSOH�RI�RSHUDWLRQ�RIWKH� FRUH� EDUUHO� VDPSOHUV� FRQVLVWV� RI� URWDWLQJ� D� FXWWLQJ� ELW� E\� D� WRUTXH�ZKLFK� LV� DSSOLHG� DW� WKH� JURXQGVXUIDFH�E\�WKH�GULOO�ULJ�DQG�WUDQVPLWWHG�GRZQZDUG�WKURXJK�WKH�GULOO�URGV�WR�WKH�FXWWLQJ�ELW��$V�WKH�FXWWLQJHGJH� LV� DGYDQFHG�� D� VDPSOLQJ� WXEH� LV� SXVKHG�RYHU� WKH� VDPSOH�� 7KH�VDPSOHU�KHDG�DVVHPEO\�KDV�D�EDOO�EHDULQJ�VXSSRUWHG�FDS�DQG�VWHP�ZKLFK�DOORZV�WKH�LQQHU�WXEH�WR�UHPDLQ�UHODWLYHO\�VWDWLRQDU\�DV�WKH�RXWHUEDUUHO�LV�URWDWHG��'ULOOLQJ�IOXLG�LV�SDVVHG�GRZQKROH�WKURXJK�WKH�GULOO�URGV�DQG�EHWZHHQ�WKH�LQQHU�DQG�RXWHUEDUUHOV�EHIRUH�EHLQJ�GLVFKDUJHG�XQGHU�WKH�ELW�

7KHUH� DUH� WKUHH� EDVLF� W\SHV� RI� FRUH� EDUUHO� VRLO� VDPSOHUV�� 'HQLVRQ�� 3LWFKHU�� DQG� KROORZ�VWHP� DXJHUVDPSOHUV��7KH�'HQLVRQ�DQG�3LWFKHU�VDPSOHUV�DUH�VLPLODU�LQ�GHVLJQ�DQG�RSHUDWLRQ��7KHVH�VDPSOHUV�UHTXLUHWKH�XVH�RI�GULOOLQJ�IOXLG�WR�UHPRYH�WKH�FXWWLQJV�IURP�WKH�IDFH�RI�WKH�ELW��7KH�KROORZ�VWHP�DXJHU�VDPSOHUZKLFK� LV� GLVFXVVHG� LQ� SDUDJUDSK� ��F�� GRHV� QRW� UHTXLUH� GULOOLQJ� IOXLG�� WKHUHIRUH�� LV� ZHOO� VXLWHG� IRUVDPSOLQJ�VRLOV�WKDW�DUH�DGYHUVHO\�DIIHFWHG�E\�GULOOLQJ�IOXLGV��6DPSOH�OLQHUV�IRU�KDQGOLQJ�DQG�VKLSSLQJ�WKHVRLO�FRUHV�FDQ�EH�XVHG�ZLWK�WKH�'HQLVRQ�DQG�KROORZ�VWHP�DXJHU�VDPSOHUV�

&RUH�EDUUHO�VDPSOHUV�PD\�KDYH�D�ODUJHU�DUHD�UDWLR�DQG�LQVLGH�FOHDUDQFH�UDWLR�WKDQ�LV�JHQHUDOO\�DFFHSWHG�IRUSXVK�WXEH�VDPSOHUV��'RXEOH��DQG�WULSOH�WXEH�FRUH�EDUUHO�VDPSOHUV�DUH�DYDLODEOH�LQ�VWDQGDUG�VL]HV�UDQJLQJIURP��FP� ��LQ�� ,'�E\��FP� ��LQ��2'� WR��FP� ��LQ�� ,'�E\��FP� ��LQ��2'�7KH�ODUJHU�DUHD�UDWLRV�PD\�EH�FRQVLGHUHG�DGYDQWDJHRXV�DV�WKH�VWUHVVHV�DW�WKH�FXWWLQJ�KHDG�DUH�GHFUHDVHGGXULQJ�WKH�GULOOLQJ�RSHUDWLRQV��+RZHYHU��WKH�ODUJHU�LQVLGH�FOHDUDQFH�UDWLR�GXH�WR�D�FRUH�FDWFKHU�PD\�QRWDGHTXDWHO\�VXSSRUW�WKH�VDPSOH��7KH�VDPSOH�PD\�DOVR�EH�GDPDJHG�E\�YLEUDWLRQV�RI�WKH�FXWWLQJ�ELW�GXULQJWKH�GULOOLQJ�RSHUDWLRQV��$QRWKHU�GLVDGYDQWDJH�LV�WKDW�ZDWHU�VHQVLWLYH�IRUPDWLRQV�PD\�EH�FRQWLQXRXVO\�LQFRQWDFW�ZLWK�WKH�GULOOLQJ�IOXLG�

&RUH�EDUUHO�VDPSOHUV�PD\�EH�XVHG�IRU�VDPSOLQJ�D�EURDG�UDQJH�RI�VRLOV��7KHVH�VDPSOHUV�FDQ�EH�XVHG�IRUREWDLQLQJ�UHDVRQDEO\�XQGLVWXUEHG�VDPSOHV�RI�VWLII�FRKHVLYH�VRLOV��)LUP�RU�GHQVH�VDPSOHV�RI�XQFHPHQWHGRU�OLJKWO\�FHPHQWHG�VLOW\�RU�VDQG\�VRLOV�FDQ�RIWHQ�EH�REWDLQHG�LI�VDPSOLQJ�DQG�KDQGOLQJ�RI�WKH�VDPSOHV�DUHGRQH�FDUHIXOO\��+RZHYHU��ZKHQ�LW�LV�XQNQRZQ�ZKHWKHU�WKH�GHSRVLW�LV�GHQVH�RU�ORRVH��RWKHU�VDPSOHUV��VXFK

(0��-DQ��

)��

DV�IL[HG�SLVWRQ�VDPSOHUV��VKRXOG�EH�WULHG�DV�WKH�FRUH�EDUUHO�VDPSOHUV�WHQG�WR�GHQVLI\�ORRVH�VRLOV�GXULQJ�WKHVDPSOLQJ� RSHUDWLRQV�� &RUH� EDUUHO� VDPSOHUV� PD\� DOVR� EH� XVHG� LQ� IDLUO\� ILUP� WR� KDUG� RU� EULWWOH� VRLOV�SDUWLDOO\� FHPHQWHG� VRLOV�� DQG� VRIW� URFN� ZKLFK� UHTXLUH� D� FXWWLQJ� DFWLRQ� UDWKHU� WKDQ� VLPSO\� D� SXVK�W\SHSHQHWUDWLRQ��,Q�JHQHUDO��FRUH�EDUUHO�VDPSOHUV��VXFK�DV�WKH�'HQLVRQ�DQG�3LWFKHU�VDPSOHUV��DUH�QRW�VXLWDEOHIRU�VDPSOLQJ�ORRVH�FRKHVLRQOHVV�VDQGV�DQG�VLOWV�EHORZ�WKH�JURXQGZDWHU�WDEOH��YHU\�VRIW�DQG�SODVWLF�FRKH�VLYH�VRLOV��RU�VHYHUHO\�ILVVXUHG�RU�IUDFWXUHG�PDWHULDOV�

�� 'HQLVRQ� VDPSOHU�� 7KH� 'HQLVRQ� VDPSOHU� LV� D� GRXEOH�WXEH� �WULSOH�WXEH� LI� D� OLQHU� LV� XVHG�FRUH�EDUUHO�W\SH�VDPSOHU�GHVLJQHG�IRU�VDPSOLQJ�FRDUVH�VDQGV��JUDYHO�DQG�JUDYHOO\�VRLOV��DQG�FOD\V�DQG�VLOWVWKDW�DUH�WRR�KDUG�WR�VDPSOH�ZLWK�WKLQ�ZDOOHG�SXVK�WXEH�VDPSOHUV��7KH�VDPSOHU�FRQVLVWV�RI�DQ�RXWHU�EDUUHOZLWK�FXWWLQJ�WHHWK��DQ�LQQHU�EDUUHO�ZLWK�D�VPRRWK�FXWWLQJ�VKRH��DQG�D�OLQHU� WR�UHFHLYH�WKH�VDPSOH�DQG�WRIDFLOLWDWH�VDPSOH�KDQGOLQJ�� 7KH�LQQHU�EDUUHO�PD\�EH�HTXLSSHG�ZLWK�D� VSULQJ�FRUH�FDWFKHU�� LI�QHFHVVDU\�'HQLVRQ�VDPSOHUV�DUH�DYDLODEOH�LQ��DQG��FP��DQG��LQ��QRPLQDO�GLDPHWHU�FRUH�VL]HV��7KHOHQJWK� RI� WKH� FRUHV� DUH� ��P� �� IW�� $� SKRWRJUDSK� RI� D�'HQLVRQ� GRXEOH�WXEH� FRUH� EDUUHO� VDPSOHU� LVSUHVHQWHG�LQ�)LJXUH��$�VFKHPDWLF�GLDJUDP�RI�WKH�VDPSOHU�LV�VKRZQ�LQ�)LJXUH��

7KH�'HQLVRQ�VDPSOHU�LV�DGYDQFHG�LQ�WKH�ERUHKROH�XVLQJ�GULOOLQJ�URG�DQG�GULOOLQJ�IOXLG��7KH�RXWHU�EDUUHOKHDG�FRQWDLQV�DQ�XSSHU�DQG�ORZHU�EHDULQJ�ZKLFK�DOORZV�WKH�RXWHU�EDUUHO�WR�EH�WXUQHG�E\�WKH�GULOOLQJ�URGZKLOH�WKH�LQQHU�EDUUHO�UHPDLQV�VWDWLRQDU\��&DUELGH�LQVHUW�FXWWLQJ�WHHWK�DUH�DWWDFKHG�WR�WKH�ERWWRP�RI�WKHRXWHU�EDUUHO��)RXU��FP��LQ��GLDP�IOXLG�SDVVDJHV�DUH�XVHG�IRU�FLUFXODWLRQ�RI�GULOOLQJ�IOXLG�IURPWKH�GULOO� URGV� LQWR� WKH�DQQXOXV�EHWZHHQ� WKH� LQQHU� DQG�RXWHU�EDUUHOV� WR� WKH�FXWWLQJ� WHHWK�� )RXU��FP��LQ��GLDP�KROHV�DUH�DOVR�SURYLGHG�LQ�WKH�RXWHU�EDUUHO�KHDG�WR�YHQW�WKH�LQQHU�EDUUHO�DQG�WR�VWDELOL]H�WKHK\GURVWDWLF�SUHVVXUH�ZLWKLQ�WKH�VDPSOHU�

7KH�'HQLVRQ�VDPSOHU�PD\�EH� ILWWHG�ZLWK� LQQHU�EDUUHO�VKRHV�RI�YDULRXV� OHQJWKV�� 7KLV�VKRH�DUUDQJHPHQWHIIHFWLYHO\� SHUPLWV� WKH� LQQHU� EDUUHO� WR� EH� H[WHQGHG� EH\RQG� WKH� FXWWLQJ� ELW�� HVSHFLDOO\� IRU� FRULQJ� DQGVDPSOLQJ�HDVLO\�HURGHG�PDWHULDO��7KH�LQQHU�EDUUHO�PD\�EH�H[WHQGHG�DV�PXFK�DV��FP��LQ��SDVW�WKHFXWWLQJ�ELW�� DOWKRXJK� DQ� H[WHQVLRQ�QR� JUHDWHU� WKDQ� �� FP�� LQ�� LV� UHFRPPHQGHG�� 8QIRUWXQDWHO\�� WKHSULQFLSDO�GLVDGYDQWDJH�RI�WKLV� W\SH�RI� VDPSOHU� LV� WKDW� WKH�SURWUXVLRQ�RI� WKH�LQQHU� WXEH�PXVW�EH�VHOHFWHGDQG�RU�DGMXVWHG�LQ�DGYDQFH�RI�WKH�VDPSOLQJ�RSHUDWLRQV�IRU�WKH�DQWLFLSDWHG�VWLIIQHVV�RI�WKH�VRLO�WR�EH�VDP�SOHG�� 7KLV�GLVDGYDQWDJH� OHG�WR�WKH�GHYHORSPHQW�RI�FRUH�EDUUHO�VDPSOHUV�ZLWK�WKH�VSULQJ�PRXQWHG�LQQHUEDUUHO�

$�OLJKW�JDXJH�PHWDO�OLQHU�ZKLFK�FDQ�EH�XVHG�DV�D�VDPSOLQJ�WXEH�WR�SUHVHUYH�WKH�VRLO�VDPSOH�IRU�VKLSPHQWFDQ� EH� ILWWHG� LQWR� WKH� LQQHU� EDUUHO� RI� WKH�'HQQLVRQ� VDPSOHU�� 7KH� OLQHU� LV� W\SLFDOO\�PDGH� RI� ��JDXJH��PP��VKHHW�PHWDO��7KH�OHQJWK�RI�WKH�OLQHU�VKRXOG�EH��FP��LQ��WKLV�OHQJWK�ZLOO�SHUPLW�D��FP��LQ��ORQJ�VDPSOH�WR�EH�REWDLQHG��$�FRUH�FDWFKHU�PD\�RU�PD\�QRW�EH�XVHG�IRU�XQGLVWXUEHG�VDPSOLQJRSHUDWLRQV��+RZHYHU��LI�D�FRUH�FDWFKHU�PXVW�EH�XVHG�WR�UHWDLQ�WKH�VRLO�LQ�WKH�VDPSOHU��LW�VKRXOG�EH�QRWHG�RQWKH�ERULQJ�ORJV�

��3LWFKHU�VDPSOHU��7KH�3LWFKHU�VDPSOHU�LV�D�GRXEOH�WXEH�FRUH�EDUUHO�VDPSOHU�ZKLFK�LV�D�YDULDWLRQRI�WKH�'HQLVRQ�VDPSOHU��7KH�LQQHU�EDUUHO�ZKLFK�LV�DIIL[HG�WR�D�VSULQJ�ORDGHG�LQQHU�VDPSOHU�KHDG�H[WHQGVRU� UHWUDFWV�UHODWLYH�WR� WKH�FXWWLQJ�ELW�RQ�WKH�RXWHU�EDUUHO�ZLWK�FKDQJHV� LQ�VRLO�VWLIIQHVV�� 7KH�WHOHVFRSLQJDFWLRQ�RI� WKH�VDPSOLQJ�WXEH�HOLPLQDWHV�WKH�QHHG�IRU�YDULRXV�OHQJWKV�RI�LQQHU�EDUUHO�VKRHV�� 7KH�QRPLQDOFRUH�VL]HV�ZKLFK�FDQ�EH�REWDLQHG�ZLWK�VWDQGDUG�3LWFKHU�VDPSOHUV�DUH��DQG��PP��DQG��LQ��GLDPHWHU�ZLWK�OHQJWKV�RI��RU��P��RU��IW��)LJXUH��LV�D�SKRWRJUDSK�RI�D�3LWFKHU�GRXEOH�WXEH�FRUH�EDUUHO�VDPSOHU�� $�VFKHPDWLF�GUDZLQJ�RI� WKH�RSHUDWLRQ�RI� WKH�3LWFKHU� VDPSOHU� LV�SUHVHQWHG�LQ)LJXUH��

(0��-DQ��

)��

7KH�3LWFKHU�VDPSOHU�FRQWDLQV�D�KLJK�WHQVLRQ�VSULQJ�ZKLFK�LV�ORFDWHG�EHWZHHQ�WKH�LQQHU�DQG�RXWHU�EDUUHOVDERYH�WKH�LQQHU�KHDG��7KH�VSULQJ�ORDGHG�LQQHU�EDUUHO�DVVHPEO\�DXWRPDWLFDOO\�DGMXVWV�WKH�UHODWLYH�SRVLWLRQRI� WKH� FXWWLQJ�HGJH� RI� WKH� VDPSOLQJ� WXEH� WR� VXLW� WKH� IRUPDWLRQ� EHLQJ�VDPSOHG�� )RU�H[DPSOH�� LQ� VRIWHUIRUPDWLRQV��WKH�VSULQJ�H[WHQGV�VR�WKDW�WKH�LQQHU�EDUUHO�VKRH�SURWUXGHV�LQWR�WKH�VRLO�EHORZ�WKH�RXWHU�EDUUHOELW� DQG� SUHYHQWV� GDPDJH� WR� WKH� VDPSOH� E\� WKH� GULOOLQJ� IOXLG� DQG� GULOOLQJ� DFWLRQ�� )RU� VWLIIHU� VRLOV�� WKHVDPSOLQJ� WXEH� LV�SXVKHG�EDFN� LQWR�WKH�RXWHU�EDUUHO�E\�WKH�VWLII�VRLO�� ,Q�H[WUHPHO\�ILUP�VRLOV�� WKH�VSULQJFRPSUHVVHV�XQWLO�WKH�FXWWLQJ�HGJH�RI�WKH�LQQHU�EDUUHO�VKRH�LV�IOXVK�ZLWK�WKH�FUHVW�RI�WKH�FXWWLQJ�WHHWK�RI�WKHRXWHU�EDUUHO�ELW��$OWKRXJK�LW�KDV�EHHQ�REVHUYHG�LQ�SUDFWLFH�WKDW�DOWHUQDWLQJ�VRLO�DQG�URFN�OD\HUV�VRPHWLPHVGDPDJH� WKH� UDWKHU� OLJKW�VDPSOLQJ� WXEH�� WKH�3LWFKHU�VDPSOHU� LV� UHFRPPHQGHG� IRU�VDPSOLQJ�YDUYHG�VRLOV�IRUPDWLRQV� ZKHUH� WKH� VWUDWLJUDSK\� LV� VXFK� WKDW� WKHUH� DUH� DOWHUQDWLQJ� KDUG� DQG� VRIW� OD\HUV�� RU� VRLOV� RIYDULDEOH�KDUGQHVV�

$� VOLGLQJ�YDOYH�DUUDQJHPHQW�EHWZHHQ� WKH� RXWHU�EDUUHO� KHDG�DQG� LQQHU�EDUUHO� KHDG�GLUHFWV�GULOOLQJ� IOXLGWKURXJK�WKH�VDPSOHU��$IWHU�WKH�VDPSOHU�KDV�EHHQ�ORZHUHG�LQWR�WKH�ERUHKROH�EXW�EHIRUH�LW�KDV�EHHQ�VHDWHGRQ�WKH�VRLO��GHEULV�FDQ�EH�IOXVKHG�IURP�WKH�VDPSOH�WXEH�E\�GULOOLQJ�IOXLG�ZKLFK�LV�SDVVHG�GRZQ�WKH�GULOOURGV�WKURXJK�WKH�LQQHU�EDUUHO��2QFH�WKH�LQQHU�WXEH�LV�VHDWHG��WKH�EDUUHO�WHOHVFRSHV�LQZDUG�DQG�WKH�GULOOLQJIOXLG�LV�GLYHUWHG�WR�WKH�DQQXOXV�EHWZHHQ�WKH�LQQHU�DQG�WKH�RXWHU�EDUUHOV��7KLV�DUUDQJHPHQW�IDFLOLWDWHV�WKHZDVKLQJ�RI�PDWHULDO� IURP�WKH�LQVLGH�RI�WKH�VDPSOHU�EHIRUH�VDPSOLQJ�DQG�FLUFXODWLRQ�RI�GULOOLQJ�IOXLG�WRUHPRYH�FXWWLQJV�GXULQJ�VDPSOLQJ�

��:(6�PRGLILHG�'HQLVRQ�VDPSOHU��$�VSHFLDO�VDPSOHU�ZDV�GHYHORSHG�E\�WKH�8�6��$UP\�(QJLQHHU:DWHUZD\V�([SHULPHQW�6WDWLRQ��:(6��WR�REWDLQ�VDPSOHV�RI�KDUG�RU�JUDYHOO\�VRLOV�DQG�URFN��7KH�VDPSOHULQFRUSRUDWHV�SULQFLSOHV�XVHG�LQ�WKH�'HQLVRQ�FRUH�EDUUHO�VDPSOHU��KHQFH��LW�LV�FDOOHG�WKH�PRGLILHG�'HQLVRQVDPSOHU�� 7KH� VDPSOHU�ZDV� GHVLJQHG� WR� REWDLQ� DQ� XQGLVWXUEHG� VDPSOH� LQ� D� ��PP�� LQ�� ,'� E\��PP��LQ��2'�VWHHO�WXEH�WKDW�FRXOG�ODWHU�EH�FXW�LQ�VHFWLRQV�IRU�WHVWLQJ�ZLWKRXW�UHPRYDO�RI�WKHVRLO�IURP�WKH�WXEH��7KH�VDPSOHU�FRQVLVWV�RI�D�VWDQGDUG�'&'0$��PP��LQ��E\��PP��LQ��FRUHEDUUHO�KHDG�DGDSWHG� WR�D��PP��LQ��2'�RXWHU�EDUUHO�DQG�D� VWDQGDUG��PP��LQ��E\��JDXJH��PP��VDPSOH�WXEH��7ZR�RXWHU�EDUUHO�FXWWLQJ�VKRH�DUUDQJHPHQWV�SHUPLW�WKH�LQQHU�EDUUHO�FXWWLQJ�HGJH�WROHDG�RU�WR�IROORZ�WKH�RXWHU�EDUUHO�FXWWLQJ�VKRH��$Q�LQQHU�EDUUHO�DGDSWHU�LV�SURYLGHG�ZLWK�VSDFHUV�WR�YDU\WKH� UHODWLYH� SRVLWLRQV�RI� WKH� WZR� EDUUHOV�� &RUH�EDUUHOV�ZLWK� LQWHUQDO� RU� ERWWRP� GLVFKDUJH� ELWV� VHW�ZLWKWXQJVWHQ�FDUELGH�WHHWK�DUH�VDWLVIDFWRU\�IRU�GULOOLQJ�DQG�VDPSOLQJ�PRVW�VWLII�WR�KDUG�VRLOV��7KH�FXWWLQJ�WHHWKDUH�VHW�DW��WR��GHJ�ZLWK�UHVSHFW�WR�WKH�UDGLXV�WR�FDXVH�D�VOLFLQJ�DFWLRQ�ZKLFK�WHQGV�WR�IRUFH�WKH�FXWWLQJVDQG�GULOOLQJ�IOXLG�DZD\�IURP�WKH�FRUH��7KH�ERWWRP�DVVHPEO\�FDQ�EH�ILWWHG�ZLWK�DQ�LQQHU�WXEH�H[WHQVLRQDQG�FXWWLQJ�VKRH��%RWWRP�DVVHPEOLHV�DUH�DOVR�DYDLODEOH�ZKLFK�SHUPLW�WKH�XVH�RI�EDVNHW�W\SH�RU�VSOLW�ULQJFRUH�OLIWHUV�WR�SUHYHQW�WKH�ORVV�RI�WKH�FRUH�GXULQJ�WKH�H[WUDFWLRQ�SURFHVV��$�WKLUG�FXWWLQJ�VKRH�DUUDQJHPHQWDOORZV�WKH�XVH�RI�D�GLDPRQG�ELW�DQG�D�VSOLW�ULQJ�FRUH�OLIWHU��7KH�QRPLQDO�FRUH�VL]H�LV��PP��LQ��LQGLDPHWHU�E\��P��IW��LQ�OHQJWK�

F� 2WKHU� VDPSOHUV�� $� QXPEHU� RI� RWKHU� VDPSOHUV� VXLWDEOH� IRU� REWDLQLQJ� XQGLVWXUEHG� VDPSOHV� DUHDYDLODEOH�IURP�FRPPHUFLDO�VRXUFHV��*HQHUDOO\��HDFK�VDPSOHU�ZDV�GHVLJQHG�WR�EH�XVHG�LQ�VSHFLILF�W\SHV�RIVRLOV� RU� WR� VDWLVI\� VSHFLILF� FRQGLWLRQV�� +RZHYHU��PRVW� RI� WKHVH� VDPSOHUV� DUH� YDULDWLRQV� RI� HLWKHU� WKHWKLQ�ZDOOHG�SLVWRQ�W\SH�VDPSOHUV�RU�WKH�FRUH�EDUUHO�VDPSOHUV�

��+ROORZ�VWHP�DXJHU�VDPSOHU��7KH�FRQWLQXRXV�KROORZ�VWHP�DXJHU�VDPSOLQJ�V\VWHP�FRQVLVWV�RI�DURWDWLQJ� RXWHU� KROORZ�VWHP� DXJHU� EDUUHO� ZKLFK� LV� HTXLSSHG� ZLWK� FXWWLQJ� ELWV� DW� LWV� ERWWRP� DQG� DQRQURWDWLQJ�LQQHU�EDUUHO��VDPSOHU��ILWWHG�ZLWK�D�FXWWLQJ�VKRH��7KH�SULQFLSOH�RI�RSHUDWLRQ�LV�VLPLODU�WR�WKHURWDU\�FRUH�EDUUHO�VDPSOHU��7KH�VWDWLRQDU\�LQQHU�EDUUHO�VOLGHV�RYHU�WKH�VDPSOH�LQ�DGYDQFH�RI�WKH�URWDWLQJRXWHU�ELW�ZKLFK�HQODUJHV�WKH�KROH�DERYH�WKH�VDPSOH�� 7KH�FXWWLQJV�DUH�OLIWHG�IURP�WKH�KROH�E\� WKH�DXJHU

(0��-DQ��

)��

IOLJKWV�RQ�WKH�RXWHU�EDUUHO�� $�VFKHPDWLF�GUDZLQJ�RI�WKH�KROORZ�VWHP�DXJHU�ZLWK�D�WKLQ�ZDOOHG�VDPSOLQJWXEH�LV�SUHVHQWHG�LQ�)LJXUH��

7KH� KROORZ�VWHP� DXJHU� EDUUHO� DFWV� DV� D� FDVLQJ� LQ� WKH� ERUHKROH�� ,W� LV� GHILQHG� E\� SLWFK�� IOLJKW�� RXWVLGHGLDPHWHU��DQG�LQVLGH�GLDPHWHU��$XJHUV�UDQJH�LQ�GLDPHWHUV�IURP��PP��LQ��WR��PP��LQ��RU� ODUJHU�� $� WDEOH� RI�FRPPRQ�GLDPHWHUV�RI� IOLJKW� DXJHUV� LV� SUHVHQWHG� DV�7DEOH� �� 7KH�KROORZ�VWHPDXJHU�EDUUHO�LV�DGYDQFHG�E\�GRZQZDUG�SUHVVXUH�WR�FOHDQ�WKH�KROH�DQG�URWDWLRQ�WR�EULQJ�WKH�FXWWLQJV�WR�WKHVXUIDFH��([FHVVLYH�GRZQIHHG�SUHVVXUH�PD\�FDXVH�WKH�DXJHU�WR�FRUNVFUHZ�LQWR�WKH�JURXQG��$V�D�UHVXOW��WKHDXJHU�FRXOG�ELQG�LQ�WKH�KROH��$GGLWLRQDO�VHFWLRQV�RI�DXJHU�FDQ�EH�DGGHG�DV�WKH�ERUHKROH�LV�DGYDQFHG�

7KH�FXWWLQJ�ELWV�RQ�WKH�KROORZ�VWHP�DXJHU�EDUUHO�DUH�HTXLSSHG�ZLWK��WR��FXWWLQJ�WHHWK�ZKLFK�DUH�ILWWHGZLWK� UHSODFHDEOH� FDUELGH� LQVHUWV�� 7KH� ,'� RI� WKH� FXWWLQJ� ELWV� DOORZV� FOHDUDQFH� IRU� SDVVDJH� RI� WKH� LQQHUEDUUHO�� 'XULQJ� VDPSOLQJ� RSHUDWLRQV�� WKH� LQQHU� EDUUHO� LV� SLQQHG� WR� DQG� DGYDQFHG�ZLWK� WKH� KROORZ�VWHPDXJHU�� 7KH� LQQHU�EDUUHO�PD\�EH�SRVLWLRQHG�LQ�IURQW�RI�RU�NHSW�HYHQ�ZLWK� WKH�DXJHU�FXWWLQJ�ELWV�ZLWK�DQDGMXVWPHQW�URG��0LQLPDO�GLVWXUEDQFH�WR�WKH�VDPSOH�LV�FDXVHG�ZKHQ�WKH�LQQHU�EDUUHO�LV�DGYDQFHG�LQ�IURQWRI� WKH�FXWWLQJ�WHHWK�E\�DSSUR[LPDWHO\��PP��LQ�� :KHQ�WKH�LQQHU�EDUUHO� LV�DGYDQFHG�LQ�IURQW�RI� WKHFXWWLQJ�WHHWK�E\�OHVV�WKDQ��PP��LQ��GLVWXUEDQFH�PD\�RFFXU�EHFDXVH�RI�WKH�ULSSLQJ�DFWLRQ�RI�WKH�DXJHUFXWWLQJ�WHHWK�

7KH� LQQHU�EDUUHO� DVVHPEO\�FRQWDLQV�D� VDPSOHU�KHDG�DQG� OLQHU�� 7KH� LQQHU�EDUUHO�DVVHPEO\�FDQ�EH� ILWWHGZLWK�RQH��P��IW��OLQHU�VHFWLRQ�RU�WZR��P��IW��OLQHU�VHFWLRQV�� 7KH� OLQHUV�FDQ�EH�DFU\OLF�RUPHWDO�� $FU\OLF� WXELQJ� LV� HFRQRPLFDO� DQG� SHUPLWV� YLVXDO� LQVSHFWLRQ� RI� WKH� VDPSOH�� ,W� LV� UHXVDEOH� EXWVKRXOG�EH�FKHFNHG�IRU�FUDFNV��URXQGQHVV��DQG�ZDOO�WKLFNQHVV�EHIRUH�UHXVH�� 0HWDO� OLQHUV�JHQHUDOO\�KDYHOHVV�ZDOO�IULFWLRQ�WKDQ�DFU\OLF�OLQHUV�

7KH�OLQHUV�DUH�KHOG�LQ�WKH�LQQHU�EDUUHO�DVVHPEO\�E\�D�FXWWLQJ�VKRH�ZKLFK�LV�WKUHDGHG�RQWR�WKH�LQQHU�EDUUHODVVHPEO\��7KH�FXWWLQJ�VKRHV�PD\�EH�PDFKLQHG�ZLWK�GLIIHUHQW�LQVLGH�FOHDUDQFH�UDWLRV��6HH�SDUDJUDSK��E�IRU�WKH�LQVLGH�FOHDUDQFH�UDWLR�FDOFXODWLRQ�SURFHGXUH��7KH�VHOHFWLRQ�RI�WKH�LQVLGH�FOHDUDQFH�UDWLR�RI�WKHFXWWLQJ�VKRH�ZLOO�GHSHQG�RQ�WKH�VRLO�WR�EH�VDPSOHG��,Q�JHQHUDO��VPDOOHU�LQVLGH�FOHDUDQFH�UDWLRV�VKRXOG�EHXVHG�IRU�FRKHVLRQOHVV�VRLOV��ZKHUHDV�ODUJHU�FOHDUDQFH�UDWLRV�VKRXOG�EH�XVHG�DV�WKH�SODVWLFLW\�RI�WKH�PDWHULDOLQFUHDVHV�

&RQWLQXRXV�VDPSOLQJ�LV�SRVVLEOH�DV�WKH�DXJHU�DGYDQFHV�WKH�ERUHKROH��:KHQ�VDPSOLQJ�LV�QRW�UHTXLUHG��DFHQWHU�ELW�FDQ�EH�XVHG�WR�NHHS�VRLO�RXW�RI�WKH�KROORZ�VWHP�RI�WKH�DXJHU�� 7KH�FHQWHU�ELW� LV�D�OHIW�KDQGHGDXJHU�ZKLFK�IRUFHV�WKH�SDUHQW�PDWHULDO�GRZQ�DQG�WR�WKH�RXWVLGH�RI�WKH�PDLQ�DXJHU�EDUUHO��WKHUHE\�DOORZLQJWKH�PDLQ�DXJHU�EDUUHO�WR�FDUU\�WKH�FXWWLQJV�WR�WKH�VXUIDFH��7KH�FHQWHU�ELW�FDQ�EH�UHSODFHG�ZLWK�WKH�LQQHUEDUUHO�DVVHPEO\�DW�DQ\�WLPH�RU�GHSWK�WR�SHUPLW�VDPSOHV�WR�EH�WDNHQ�

7KH�SULQFLSDO� DGYDQWDJHV�RI� WKH�FRQWLQXRXV� KROORZ�VWHP�DXJHU� VDPSOLQJ� V\VWHP� LQFOXGH� DGYDQFLQJ� WKHERUHKROH� LQ� GU\� PDWHULDOV� ZLWKRXW� GULOOLQJ� IOXLG� RU� LQ� XQVWDEOH� PDWHULDOV� ZLWKRXW� FDVLQJ�� :KHQHYHUDXJHULQJ�RSHUDWLRQV�DUH�FRQGXFWHG�EHORZ�WKH�ZDWHU�WDEOH��K\GURVWDWLF�SUHVVXUHV�VKRXOG�EH�PDLQWDLQHG�DWDOO�WLPHV�LQVLGH�WKH�KROORZ�VWHP�WR�SUHYHQW�KHDYLQJ�DQG�SLSLQJ�DW�WKH�ERWWRP�RI�WKH�ERUHKROH��,I�WKH�FHQWHUSOXJ�LV�XVHG��2�ULQJV�VKRXOG�EH�XVHG�WR�NHHS�ZDWHU�RXW�RI�WKH�DXJHU�VWHP�

$Q� DOWHUQDWLYH� PHWKRG� RI� VDPSOLQJ� ZLWK� D� KROORZ�VWHP� DXJHU� FRQVLVWV� RI� DGYDQFLQJ� WKH� ERUHKROH� E\DXJHULQJ�ZLWK�D�FHQWHU�GUDJ�ELW�DWWDFKHG�WR�WKH�ERWWRP�RI�WKH�DXJHU��$W�WKH�GHVLUHG�VDPSOLQJ�GHSWK��WKHFHQWHU�ELW�LV�UHPRYHG��DQG�D�VXLWDEOH�VDPSOLQJ�DSSDUDWXV�LV�ORZHUHG�WKURXJK�WKH�DXJHU�WR�REWDLQ�D�VDPSOH�)RU�WKLV�SDUWLFXODU�DSSOLFDWLRQ��WKH�KROORZ�VWHP�DXJHU�LV�XVHG�DV�D�FDVLQJ��)LJXUH��LV�D�SKRWRJUDSK�RI

(0��-DQ��

)��

D� KROORZ�VWHP� DXJHU�ZLWK�D� FHQWHU�GUDJ�ELW�� $Q� LVRPHWULF� GUDZLQJ� RI� WKH� KROORZ�VWHP� DXJHU�ZLWK� WKHFHQWHU�GUDJ�ELW�ZKLFK�FDQ�EH�XVHG�ZLWK�VRLO�VDPSOLQJ�GHYLFHV�LV�SUHVHQWHG�LQ�)LJXUH��

��6DQG�VDPSOHUV��2EWDLQLQJ�XQGLVWXUEHG�VDPSOHV�RI�VDQG�KDV�EHHQ�UDWKHU�GLIILFXOW�DQG�HOXVLYH��,QJHQHUDO�� WKH� LQ� VLWX� VWUHVVHV� DUH� UHOLHYHG�E\� VDPSOLQJ�RSHUDWLRQV�DQG� IUHTXHQWO\�� WKH� VDQG� VWUXFWXUH� KDVEHHQ�GLVWXUEHG�DQG�VRPHWLPHV�GHVWUR\HG��+YRUVOHY��VXJJHVWHG�VHYHUDO�PHWKRGV�LQFOXGLQJ�WKH�XVHRI�WKLQ�ZDOOHG�IL[HG�SLVWRQ�VDPSOHUV�LQ�PXGGHG�KROHV��RSHQ�GULYH�VDPSOHUV�XVLQJ�FRPSUHVVHG�DLU��LQ�VLWXIUHH]LQJ�� RU� LPSUHJQDWLRQ�� 86$(:(6� �� DQG�0DUFXVRQ� DQG� )UDQNOLQ� �� UHSRUWHG� WKDW� ORRVHVDPSOHV�ZHUH�GHQVLILHG�DQG�GHQVH�VDPSOHV�ZHUH�ORRVHQHG�ZKHQ�WKH�WKLQ�ZDOOHG�IL[HG�SLVWRQ�VDPSOHU�ZDVXVHG��6HHG�HW�DO��UHSRUWHG�WKDW�WKH�+YRUVOHY�IL[HG�SLVWRQ�VDPSOHU�FDXVHG�GHQVLW\�FKDQJHV��ZKLOHWKH�DGYDQFHG�WULPPLQJ�DQG�EORFN�VDPSOLQJ�WHFKQLTXH�FDXVHG�OLWWOH�FKDQJH�LQ�GHQVLW\��DOWKRXJK�VRPH�GLV�WXUEDQFH�GXH� WR� VWUHVV� UHOLHI�ZDV� UHSRUWHG�� 6LQJK�� 6HHG�� DQG�&KDQ� �� UHSRUWHG� D� ODERUDWRU\�VWXG\ZKLFK� LQGLFDWHG� WKDW� WKH� LQ�VLWX� FKDUDFWHULVWLFV�� LQFOXGLQJ� WKH�DSSOLHG� VWUHVV� FRQGLWLRQV�� FRXOG�EH�PDLQ�WDLQHG�LQ�D�VDQG\�VRLO�LI�WKH�PDWHULDO�ZDV�IUR]HQ�XQLGLUHFWLRQDOO\�ZLWKRXW�LPSHGDQFH�RI�GUDLQDJH�DQG�VDP�SOHG� LQ� D� IUR]HQ� VWDWH�� (TXLSPHQW� DQG� SURFHGXUHV� IRU� GULOOLQJ� DQG� VDPSOLQJ� LQ� IUR]HQ� IRUPDWLRQV� DUHSUHVHQWHG�LQ�&KDSWHU��VXJJHVWHG�HTXLSPHQW�DQG�SURFHGXUHV�IRU�DUWLILFLDO�IUHH]LQJ�RI�LQ�VLWX�GHSRVLWV�RIFRKHVLRQOHVV�VRLOV�DUH�SUHVHQWHG�LQ�$SSHQGL[�'��6FKQHLGHU��&KDPHDX��DQG�/HRQDUGV��FRQGXFWHG�DODERUDWRU\� LQYHVWLJDWLRQ� RI� WKH� PHWKRGV� RI� LPSUHJQDWLQJ� FRKHVLRQOHVV� VRLOV�� 7KH\� UHSRUWHG� WKDW� WKHLPSUHJQDWLQJ�PDWHULDO�PXVW� UHDGLO\�SHQHWUDWH� WKH� VRLO� DQG�PXVW�EH�HDVLO\� DQG�HIIHFWLYHO\� UHPRYHG�DW� DODWHU� GDWH�� %HFDXVH� RI� WKHVH� OLPLWDWLRQV�� WKH\� DOVR� FRQFOXGHG� WKDW� DOWKRXJK� WKH� LPSUHJQDWLRQ�PHWKRGFRXOG�EH�XVHG�LQ�WKH�ILHOG�HQYLURQPHQW��WKH�PHWKRGRORJ\�ZDV�EHWWHU�VXLWHG�WR�WKH�ODERUDWRU\�HQYLURQPHQW�

%LVKRS� �� GHYHORSHG� D� ��PP�� LQ�� GLDP� WKLQ�ZDOOHG� RSHQ�GULYH� VDPSOHU� ZKLFK� ZDVVSHFLILFDOO\�GHVLJQHG�IRU�VDPSOLQJ�VDQG��7KH�VDPSOHU�ZDV�HTXLSSHG�ZLWK�YHQWV�DQG�D�GLDSKUDJP�FKHFNYDOYH��)LJXUH��LV�D�VFKHPDWLF�GLDJUDP�RI�WKH�%LVKRS�VDQG�VDPSOHU��$�GUDZLQJ�ZKLFK�LOOXVWUDWHV�WKHRSHUDWLRQ�RI� WKH�%LVKRS�VDPSOHU�LV�SUHVHQWHG�LQ�)LJXUH��7KH�HQWLUH�VDPSOHU�ZDV�HQFDSVXODWHG�LQ�DFRPSUHVVHG�DLU�EHOO�ZKLFK�ZDV�FRQQHFWHG� WR� DQ�DLU�FRPSUHVVRU� DW� WKH�JURXQG� VXUIDFH�� 7R�RSHUDWH�� WKHVDPSOHU�ZLWK�FRPSUHVVHG�DLU�EHOO�ZDV�ORZHUHG�WR�WKH�ERWWRP�RI�D�FOHDQHG�ERUHKROH��7KH�VDPSOLQJ�WXEHZDV�SXVKHG�RXW�RI�WKH�DLU�EHOO�DQG�LQWR�WKH�XQGLVWXUEHG�VRLO��$IWHU�WKH�GULOOLQJ�URGV�KDG�EHHQ�GLVFRQQHFWHGIURP�WKH�VDPSOHU�DQG�UHPRYHG�IURP�WKH�ERUHKROH��FRPSUHVVHG�DLU�ZDV�SXPSHG�LQWR�WKH�EHOO��:KHQ�DLUEXEEOHV�EHJDQ�ULVLQJ�WR�WKH�VXUIDFH�WKURXJK�WKH�GULOOLQJ�IOXLG��DOO�RI�WKH�GULOOLQJ�IOXLG�KDG�EHHQ�IRUFHG�RXWRI�WKH�FRPSUHVVHG�DLU�EHOO��7KH�VDPSOLQJ�WXEH�ZLWK�WKH�VDPSOH�ZDV�SXOOHG�IURP�WKH�LQ�VLWX�IRUPDWLRQ�LQWRWKH�EHOO��DQG�WKH�HQWLUH�DVVHPEO\�ZDV�TXLFNO\�UHWXUQHG�WR�WKH�JURXQG�VXUIDFH�E\�D�FDEOH��%LVKRS�XVHG�WKHSULQFLSOHV�RI�DUFKLQJ�DQG�FDSLOODU\�VWUHVVHV�DW�WKH�DLU�ZDWHU� LQWHUIDFH�RI�WKH�VDQG�WR�UHWDLQ�WKH�VDPSOH�LQWKH�WXEH�DQG�WR�UHGXFH�VDPSOH�ORVVHV�

9LEUDWRU\�VDPSOHUV�KDYH�EHHQ�XVHG�WR�REWDLQ�VDPSOHV�RI�VDWXUDWHG�ILQH�VDQGV�DQG�VLOWV��7KH�SULQFLSOH�RIVDPSOLQJ�E\�YLEUDWRU\�PHWKRGV�FRQVLVWV�RI�OLTXHI\LQJ�WKH�PDWHULDO�LQ�WKH�LPPHGLDWH�SUR[LPLW\�RI�WKH�VDP�SOLQJ�UDWKHU� WKDQ�DSSO\LQJ�EUXWH� IRUFH�WR�DGYDQFH�WKH�WXEH��%HFDXVH�RI�WKH�OLTXHIDFWLRQ�RI�WKH�PDWHULDOQHDU�WKH�VDPSOLQJ�WXEH��WKH�VDPSOH�LV�VHYHUHO\�GLVWXUEHG��&RQVHTXHQWO\��WKH�YLEUDWRU\�VDPSOLQJ�PHWKRG�LVQRW�VDWLVIDFWRU\�IRU�REWDLQLQJ�XQGLVWXUEHG�VDPSOHV�RI�VDQGV�

��6DPSOH�7XEHV

D� 'LDPHWHU��7KH�VL]H�RI�VSHFLPHQ�UHTXLUHG�IRU�WKH�ODERUDWRU\�WHVWLQJ�SURJUDP�VKRZQ�LQ�7DEOH��GLFWDWHV�WKH�PLQLPXP�DFFHSWDEOH�VDPSOH�WXEH�GLDPHWHU��*HQHUDOO\��D��PP��LQ��,'�WXEH�VKRXOG�EHXVHG� IRU� VDPSOLQJ� FRKHVLYH� VRLOV�� ZKHUHDV� D� ��PP� ��LQ�� ,'� WXEH� VKRXOG� EH� XVHG� IRU� VDPSOLQJFRKHVLRQOHVV�VRLOV��)LJXUH��LV�D�SKRWRJUDSK�RI��DQG��PP��DQG��LQ��GLDP�VDPSOLQJ�WXEHV�7KH� VPDOOHU� GLDPHWHU� WXEHV� DUH� QRUPDOO\� XVHG� IRU� VDPSOLQJ� FRKHVLRQOHVV� PDWHULDOV� EHFDXVH� WKH

(0��-DQ��

)��

SHQHWUDWLRQ� UHVLVWDQFH� RI� WKH� ��PP� ��LQ�� WXEHV� LQ� GHQVH� FRKHVLRQOHVV� VRLOV� JHQHUDOO\� H[FHHGV� WKHGULYLQJ�FDSDFLW\�RI�WKH�GULOO�ULJ��)XUWKHUPRUH��WKH�VDPSOH�UHFRYHU\�UDWLR�IRU�FRKHVLRQOHVV�PDWHULDOV�LV�IUH�TXHQWO\�KLJKHU�ZKHQ�WKH��PP��LQ��,'�WXEH�LV�XVHG�EHFDXVH�RI�DUFKLQJ�RI�WKH�PDWHULDO�LQ�WKH�VDPSOHWXEH��$OWKRXJK�ODUJHU�VDPSOHV�DUH�VRPHWLPHV�UHTXLUHG�IRU�VSHFLDO�WHVWLQJ�SURJUDPV��DQG��PP��DQG� ��LQ�� GLDP� VDPSOLQJ� WXEHV� VKRXOG� EH� XVHG� WR� WKH� H[WHQW� SRVVLEOH� WR� SHUPLW� VWDQGDUGL]DWLRQ� RIVDPSOLQJ� HTXLSPHQW� DQG� SURFHGXUHV� DQG� WR� HQVXUH� WKDW� VDPSOH� VL]HV� DUH� FRPSDWLEOH� ZLWK� ODERUDWRU\WHVWLQJ�HTXLSPHQW�DQG�UHTXLUHPHQWV�

E� /HQJWK��6DPSOH�WXEHV�PXVW�EH�ORQJ�HQRXJK�WR�DFFRPPRGDWH�WKH�VDPSOHU�KHDG�DQG�SLVWRQ�RI�WKHJLYHQ�VDPSOLQJ�DSSDUDWXV�DQG�WR�REWDLQ�D�VXIILFLHQW�OHQJWK�RI�VDPSOH��7\SLFDOO\��WKH�OHQJWK�RI�WKH�VDPSOHWXEH�LV�DERXW��P��IW��ZKLFK�LV�VXIILFLHQW�IRU�REWDLQLQJ�D��P��IW��ORQJ�VDPSOH�

F� $UHD�UDWLR��$V�GLVFXVVHG�LQ�SDUDJUDSK��WKH�VDPSOH�WXEH�ZDOO�VKRXOG�EH�DV�WKLQ�DV�SUDFWLFDO�EXWVWURQJ�HQRXJK�WR�SUHYHQW�EXFNOLQJ�RI�WKH�WXEH�GXULQJ�VDPSOLQJ��6DPSOH�WXEHV�RI��PP��LQ��,'�E\��JDXJH��PP��ZDOO�WKLFNQHVV�RU��PP��LQ��,'�E\��JDXJH��PP��ZDOO�WKLFNQHVV�FROG�GUDZQ�RUZHOGHG�DQG�GUDZQ�RYHU�WKH�PDQGUHOO�VHDPOHVV�VWHHO�WXELQJ�SURYLGH�DGHTXDWH�VWUHQJWK�DQG�DQ�DFFHSWDEOHDUHD�UDWLR�� 7KH�DUHD�UDWLR�IRU�D��PP��LQ��,'�E\��JDXJH��PP��VDPSOH�WXEH�ZLWK�D��SHUFHQWVZDJH�LV�DSSUR[LPDWHO\��SHUFHQW��7KH�DUHD�UDWLR�IRU�D��PP��LQ��,'�E\��JDXJH��PP��VDPSOHWXEH�ZLWK��SHUFHQW�VZDJH�LV�DSSUR[LPDWHO\��SHUFHQW�

G� &XWWLQJ� HGJH�� 7KH� VDPSOH� WXEH� IRU� XQGLVWXUEHG� VDPSOHV� VKRXOG� KDYH� D� VPRRWK�� VKDUS� FXWWLQJHGJH� IUHH�IURP�GHQWV�DQG�QLFNV��7KH�FXWWLQJ�HGJH�VKRXOG�EH�IRUPHG�WR�FXW�D�VDPSOH��WR��SHUFHQWVPDOOHU�WKDQ�WKH�,'�RI�WKH�VDPSOH�WXEH��$V�GLVFXVVHG�LQ�SDUDJUDSK��WKH�UHTXLUHG�FOHDUDQFH�UDWLR��RUVZDJH��PXVW� EH� YDULHG� IRU� WKH� FKDUDFWHU� RI� WKH� VRLO� WR� EH� VDPSOHG�� 6WLFN\�� FRKHVLYH� VRLOV� UHTXLUH� WKHJUHDWHVW� FOHDUDQFH� UDWLR�� +RZHYHU�� VZDJH� VKRXOG� EH� NHSW� WR� D�PLQLPXP� WR� DOORZ� �� SHUFHQW� VDPSOHUHFRYHU\�

H� 0DWHULDO�

��7XELQJ��6DPSOLQJ�WXEHV�VKRXOG�EH�FOHDQ�DQG�IUHH�RI�DOO�VXUIDFH�LUUHJXODULWLHV�LQFOXGLQJ�SURMHFWLQJZHOG�VHDPV��&ROG�GUDZQ�VHDPOHVV�VWHHO�WXELQJ�SURYLGHV�WKH�PRVW�SUDFWLFDO�DQG�VDWLVIDFWRU\�PDWHULDO�IRUVDPSOH� WXEHV�� *HQHUDOO\�� WXELQJ� ZLWK� D� ZHOGHG� VHDP� LV� QRW� VDWLVIDFWRU\�� +RZHYHU�� ZHOGHG� DQGGUDZQ�RYHU�WKH�PDQGUHO�VWHHO�WXELQJ�LV�DYDLODEOH�ZLWK�GLPHQVLRQV�DQG�URXQGQHVV�WROHUDQFHV�VDWLVIDFWRU\IRU�VDPSOH�WXEHV��%UDVV�RU�VWDLQOHVV�VWHHO�WXELQJ�LV�DOVR�VDWLVIDFWRU\�SURYLGHG�WKDW�DFFHSWDEOH�WROHUDQFHVDUH�PDLQWDLQHG�� +RZHYHU�� WKH�H[WUD�FRVW� IRU�EUDVV�RU�VWDLQOHVV�VWHHO� WXELQJ�LV� MXVWLILHG�RQO\�IRU�VSHFLDOSURMHFWV�

�� &RDWLQJ�� 6WHHO� VDPSOLQJ� WXEHV� VKRXOG� EH� FOHDQHG� DQG� FRYHUHG� ZLWK� D� SURWHFWLYH� FRDWLQJ� WRSUHYHQW� UXVW� DQG� FRUURVLRQ�ZKLFK� FDQ� GDPDJH� RU� GHVWUR\� ERWK� WKH� XQSURWHFWHG� WXEH� DQG� VDPSOH�� 7KHVHYHULW\�RI�WKH�GDPDJH�LV�D��IXQFWLRQ�RI�WLPH�DV�ZHOO�DV�WKH�LQWHUDFWLRQ�EHWZHHQ�WKH�VDPSOH�DQG�WKH�WXEH�+HQFH�� WKH�PDWHULDO� WR� EH� VDPSOHG�PD\� LQIOXHQFH� WKH� GHFLVLRQ� UHJDUGLQJ� WKH� W\SH� RI� FRDWLQJ�ZKLFK� LVVHOHFWHG��,W�LV�DOVR�QRWHZRUWK\�WKDW�WKH�SURWHFWLYH�FRDWLQJ�KHOSV�WR�IRUP�D�VPRRWKHU�VXUIDFH�ZKLFK�UHGXFHVWKH�IULFWLRQDO�UHVLVWDQFH�EHWZHHQ�WKH�WXEH�DQG�WKH�VRLO�GXULQJ�VDPSOLQJ�RSHUDWLRQV�

&RDWLQJV�PD\�YDU\� IURP� D� OLJKW� FRDW� RI� RLO�� ODFTXHU�� RU� HSR[\� UHVLQ� WR� WHIORQ� RU� SODWLQJ� RI� WKH� WXEHV�$OWHUQDWH� EDVH� PHWDOV� IRU� WKH� WXEHV� VKRXOG� DOVR� EH� FRQVLGHUHG� IRU� VSHFLDO� FDVHV�� 0DWKHZV� ��GHVFULEHV�WKH�UHVXOWV�RI�WHVWV�FRQGXFWHG�DW�:(6�RQ�D�YDULHW\�RI�VDPSOH�WXEH�FRDWLQJV��$�SKRWRJUDSK�RI�DGLSSLQJ� WDQN� IRU� FRDWLQJ� �� DQG� ��PP�� DQG� ��LQ�� GLDP� VDPSOLQJ� WXEHV� LV� LOOXVWUDWHG� LQ)LJXUH��

(0��-DQ��

)��

)LJXUH��6FKHPDWLF�GUDZLQJ�RI�DQ�RSHQ�WXEH�VDPSOHU

7DEOH��$XJHU�6L]HV��'LDPHWHUV��DIWHU�$FNHU��

+ROH�'LDPHWHU� $XJHU�)OLJKWLQJ�� $XJHU�$[OH� 6DPSOLQJ�7RROV &RUH�%DUUHOV��2'� �� ,'�

PP �LQ�� PP�� LQ�� PP ��LQ�� PP�� LQ��

�� $:*�� %:*�� 1:*�� 'HQLVRQ�� E\��

��E\��&RUH�%DUUHO6DPSOHU

(0��

��-DQ��

)��

)LJXUH��'LDJUDP�RI�VDPSOLQJ�RSHUDWLRQV�XVLQJ�WKH�RSHQ�WXEH�VDPSOHU

(0��

��-DQ��

)��

)LJXUH��3KRWRJUDSK�RI�WKH�+YRUVOHY�IL[HG�SLVWRQ�VDPSOHU

(0��-DQ��

)��

)LJXUH��&URVV�VHFWLRQDO�YLHZ�RI�WKH�+YRUVOHY�IL[HG�SLVWRQ�VDPSOHU

(0��-DQ��

)��

)LJXUH��6FKHPDWLF�GLDJUDP�RI�WKH�RSHUDWLRQ�RI�WKH�+YRUVOHY�VDPSOHU

(0��-DQ��

)��

)LJXUH��&URVV�VHFWLRQDO�GLDJUDP�RI�WKH�%XWWHUV�VDPSOHUV��DIWHU�8�6��'HSDUWPHQWRI�WKH�,QWHULRU��

(0��

��-DQ��

)��

)LJXUH��3KRWRJUDSK�RI�WKH�2VWHUEHUJ�VDPSOHU

(0��-DQ��

)��

)LJXUH��&URVV�VHFWLRQDO�YLHZ�RI�WKH�2VWHUEHUJ�VDPSOHU�ZKLFK�LOOXVWUDWHV�WKHRSHUDWLRQ�RI�WKH�VDPSOHU��DIWHU�8�6��'HSDUWPHQW�RI�WKH�,QWHULRU��

(0��-DQ��

)��

)LJXUH��6FKHPDWLF�GLDJUDP�RI�WKH�6ZHGLVK�IRLO�VDPSOHU

(0��-DQ��

)��

)LJXUH��6FKHPDWLF�GLDJUDP�RI�WKH�'HOIW�FRQWLQXRXV�VRLO�VDPSOHU

(0��

��-DQ��

)��

)LJXUH��3KRWRJUDSK�RI�WKH�'HQLVRQ�VDPSOHU

(0��-DQ��

)��

)LJXUH��6FKHPDWLF�GLDJUDP�RI�WKH�'HQLVRQ�VDPSOHU��DIWHU�+YRUVOHY��

(0��

��-DQ��

)��

)LJXUH��3KRWRJUDSK�RI�WKH�3LWFKHU�GRXEOH�WXEH�FRUH�EDUUHO�VDPSOHU

(0��

��-DQ��

)��

)LJXUH��6FKHPDWLF�GUDZLQJ�RI�WKH�RSHUDWLRQ�RI�WKH�3LWFKHU�VDPSOHU��DIWHU��:LQWHUNRUQ�DQG�)DQJ��

(0��-DQ��

)��

)LJXUH��6FKHPDWLF�GUDZLQJ�RI�D�KROORZ�VWHP�DXJHU�ZLWK�WKLQ�ZDOO�VDPSOLQJWXEH��DIWHU�8�6��'HSDUWPHQW�RI�WKH�,QWHULRU��

(0��

��-DQ��

)��

)LJXUH��3KRWRJUDSK�RI�D�KROORZ�VWHP�DXJHU�ZLWK�D�FHQWHU�GUDJ�ELW

(0��-DQ��

)��

)LJXUH��,VRPHWULF�GUDZLQJ�RI�WKH�KROORZ�VWHP�DXJHU�ZLWK�WKH�FHQWHUGUDJ�ELW�ZKLFK�FDQ�EH�XVHG�ZLWK�VRLO�VDPSOLQJ�GHYLFHV��DIWHU�$FNHU��

(0��-DQ��

)��

)LJXUH��6FKHPDWLF�GUDZLQJ�RI�WKH�%LVKRS�VDQG�VDPSOHU��DIWHU�+YRUVOHY��

(0��-DQ��

)��

)LJXUH��'LDJUDP�LOOXVWUDWLQJ�WKH�RSHUDWLRQ�RI�WKH�%LVKRS�VDQG�VDPSOHU��DIWHU�+YRUVOHY��

(0��

��-DQ��

)��

)LJXUH��3KRWRJUDSK�RI��PP��LQ��DQG��PP��LQ��GLDP�VDPSOLQJ�WXEHV

(0��-DQ��

)��

)LJXUH��3KRWRJUDSK�RI�D�GLSSLQJ�WDQN�IRU�FRDWLQJ��PP��LQ��DQG��PP��LQ��GLDPVDPSOLQJ�WXEHV

(0��-DQ��

)��

&KDSWHU�)��3URFHGXUHV�IRU�8QGLVWXUEHG�6RLO6DPSOLQJ�,Q�%RULQJV

��$GYDQFLQJ�WKH�%RUHKROH

3RVLWLRQ�WKH�GULOO�ULJ�RYHU�WKH�VDPSOLQJ�ORFDWLRQ��FKRFN�WKH�ZKHHOV�RQ�WKH�GULOO�ULJ��DQG�DGMXVW�WKH�PDVW�WR�DYHUWLFDO�SRVLWLRQ��3ODFH�WKH�GULOO�URGV�DQG�UHODWHG�HTXLSPHQW�DW�D�FRQYHQLHQW�ORFDWLRQ�IRU�XVH�ZLWK�UHVSHFWWR�WKH�GULOO�ULJ��7KH�GULOO�URGV��VDPSOLQJ�HTXLSPHQW��FDVLQJ��HWF��PD\�EH�SODFHG�DERXW��P��IW��IURP�WKHGULOO�ULJ�� 6HW�WKH�IOXLG�VOXVK�SLW�� LI�XVHG��DW� WKH�GULOO�ULJ��7KH�LQVSHFWRUV�ZRUN�VWDWLRQ��DUHDV�IRU�VDPSOHVWRUDJH�� SRZHU� XQLWV�� VXSSRUW� YHKLFOHV�� DQG� RWKHU� HTXLSPHQW� FDQ� EH� ORFDWHG� DW� JUHDWHU� GLVWDQFHV�GHSHQGLQJ� RQ� WKH� W\SH� RI� GULOOLQJ� DQG�RU� VDPSOLQJ� RSHUDWLRQV�� VLWH� WRSRJUDSK\�� ZHDWKHU� FRQGLWLRQV�ORJLVWLFV��HWF�

$IWHU�D�YHUWLFDO�SLORW�KROH�KDV�EHHQ�HVWDEOLVKHG��DWWDFK�WKH�GULOO�ELW�RU�DXJHU�WR�WKH�GULOO�URG�DQG�ORZHU�WKHVWULQJ�LQWR�WKH�ERUHKROH��$WWDFK�PRUH�GULOOLQJ�URGV�RU�DXJHU�IOLJKWV��DV�QHFHVVDU\��$W�WKH�ERWWRP�RI�WKHERUHKROH�� WKH�GHSWK� RI� WKH� ERUHKROH� LV� DGYDQFHG� WR� WKH� GHVLUHG� GHSWK� E\� URWDWLQJ� WKH� DXJHU� RU� ELW� DQGDSSO\LQJ�D�GRZQZDUG�SUHVVXUH�IURP�WKH�GULOO�ULJ�RU�E\�JUDYLW\�IHHG�DV�UHTXLUHG�WR�DFKLHYH�D�VDWLVIDFWRU\SHQHWUDWLRQ� UDWH�� $IWHU� WKH� KROH� KDV� EHHQ� DGYDQFHG� WR� WKH�GHVLUHG� VDPSOLQJ�GHSWK�� UHPRYH� WKH�H[FHVVFXWWLQJV� IURP� WKH� ERWWRP�RI� WKH�KROH�EHIRUH� WKH�GULOO�VWULQJ�LV�ZLWKGUDZQ�� $V�WKH�VWULQJ� LV�ZLWKGUDZQ�GLVFRQQHFW�WKH�VHFWLRQV�RI�URG�DQG�OD\�DVLGH��5HSHDW�XQWLO�WKH�FXWWLQJ�KHDG�LV�UHWULHYHG�

:KHQ�ORZHULQJ�WKH�HTXLSPHQW�LQWR�WKH�ERUHKROH�WR�D�QHZ�VDPSOLQJ�GHSWK��UHSHDW�WKH�DERYH�SURFHGXUHV�LQUHYHUVH�RUGHU��&RXQW�WKH�QXPEHU�RI�URGV�WR�GHWHUPLQH�WKH�GHSWK�RI�WKH�ERUHKROH��&DUHIXOO\�PRQLWRU�DQGUHFRUG�WKH�GHSWK�RI�WKH�KROH�IRU�XVH�GXULQJ�WKH�VDPSOLQJ�RSHUDWLRQV��$OO�WULSV�XS�DQG�GRZQ�WKH�ERUHKROHZLWK�WKH�GULOO�VWULQJ�VKRXOG�EH�PDGH�ZLWKRXW�URWDWLRQ�

,Q� RUGHU� WR� REWDLQ� DQ� XQGLVWXUEHG� VRLO� VDPSOH�� D� FOHDQ�� RSHQ� ERUHKROH� RI� VXIILFLHQW� GLDPHWHU�PXVW� EHGULOOHG�WR�WKH�GHVLUHG�VDPSOH�GHSWK��7KH�VDPSOH�VKRXOG�EH�WDNHQ�DV�VRRQ�DV�SRVVLEOH�DIWHU�DGYDQFLQJ�WKHKROH�WR�PLQLPL]H�VZHOOLQJ�DQG�RU�SODVWLF�GHIRUPDWLRQ�RI�WKH�VRLO�WR�EH�VDPSOHG�

D� 'LDPHWHU� RI� WKH� ERUHKROH�� 7KH� GLDPHWHU�RI� WKH�ERUHKROH� VKRXOG�EH� DV� VPDOO� DV� SUDFWLFDO�� ,IFDVLQJ�LV�QRW�XVHG��D�ERUHKROH��WR��PP��WR��LQ��JUHDWHU�LQ�GLDPHWHU�WKDQ�WKH�RXWVLGH�GLDPHWHU�RIWKH�VDPSOHU�VKRXOG�EH�VXIILFLHQW��,Q�VRLOV�FRQWDLQLQJ�LUUHJXODU�KDUG�DQG�VRIW�SRFNHWV�WKDW�FDXVH�GHYLDWLRQRI�WKH�GULOO�ELW�RU�LQ�VRLOV�WKDW�WHQG�WR�VTXHH]H��D�VOLJKWO\�ODUJHU�FOHDUDQFH��L�H��WR��PP��WR��LQ��PD\�EH�UHTXLUHG��:KHQ�FDVLQJ�LV�XVHG��WKH�KROH�VKRXOG�EH�GULOOHG��WR��PP��WR��LQ��ODUJHU�WKDQ�WKH2'�RI�WKH�FDVLQJ��3DUDJUDSK��E�RXWOLQHV�WKH�SURFHGXUH�IRU�VHWWLQJ�FDVLQJ�

E� 0HWKRGV� RI� DGYDQFH�� %RUHKROHV� IRU� XQGLVWXUEHG� VDPSOHV�PD\�EH� DGYDQFHG� E\� URWDU\�GULOOLQJPHWKRGV�RU�ZLWK�DXJHUV��$XJHUV�DUH�GLVFXVVHG�LQ�&KDSWHUV��DQG��,I�URWDU\�GULOOLQJ�LV�XVHG��WKH�ELWPXVW�GHIOHFW�WKH�GULOOLQJ�IOXLG�DZD\�IURP�WKH�ERWWRP�RI�WKH�KROH��'LVSODFHPHQW�DQG�SHUFXVVLRQ�PHWKRGVIRU�DGYDQFLQJ�ERUHKROHV�DUH�QRW�DFFHSWDEOH�IRU�XQGLVWXUEHG�VDPSOLQJ�RSHUDWLRQV�

�� $XJHULQJ�� $XJHU� ERULQJV� DUH� JHQHUDOO\� XVHG� LQ� VRLOV� ZKHUH� WKH� ERUHKROH� ZLOO� UHPDLQ� RSHQ�XVXDOO\�DERYH�WKH�JURXQGZDWHU�WDEOH��$XJHUV�RSHUDWH�EHVW�LQ�VRPHZKDW�ORRVH��PRGHUDWHO\�FRKHVLYH��PRLVWVRLOV��$XJHUV�PD\�DOVR�EH�XVHG�LQ�PHGLXP�WR�KDUG�FOD\V��VLOWV��DQG�RU�VDQGV�FRQWDLQLQJ�VXIILFLHQW�ILQHV�WRSUHYHQW�WKH�KROH�IURP�FDYLQJ��,Q�JHQHUDO��WKH�KROHV�DUH�ERUHG�ZLWKRXW�WKH�DGGLWLRQ�RI�ZDWHU��DOWKRXJK�WKHLQWURGXFWLRQ�RI�D�VPDOO�DPRXQW�RI�ZDWHU�PD\�DLG�LQ�GULOOLQJ�LQ�KDUG��GU\��RU�FRKHVLRQOHVV�VRLOV��%HORZ�WKH

(0��-DQ��

)��

JURXQGZDWHU� WDEOH�� GULOOLQJ� IOXLG� RU� FDVLQJ�PD\� EH� UHTXLUHG� WR� VWDELOL]H� WKH� ERUHKROH�� %HFDXVH� DXJHUERULQJV� W\SLFDOO\� GR� QRW� XVH� GULOOLQJ� IOXLG�� WKH� DXJHU� ERULQJ� PHWKRG�PD\� EH� SUHIHUUHG� IRU� GULOOLQJ� LQHPEDQNPHQW� GDPV�� WKXV� HOLPLQDWLQJ� WKH� SRWHQWLDO� IRU� K\GUDXOLF� IUDFWXULQJ�� DQG� LQ� ZDWHU� VHQVLWLYHIRUPDWLRQV�

7R� DGYDQFH� WKH� ERUHKROH� XVLQJ� VROLG�� RU� KROORZ�VWHP�� VLQJOH�� RU� FRQWLQXRXV�IOLJKW� KHOLFDO� DXJHUV�� WKHDXJHU�LV�DWWDFKHG�WR�WKH�VSLQGOH�RU�NHOO\�RQ�D�GULOO��7KH�DXJHU�LV�ORZHUHG�LQWR�WKH�ERUHKROH��DQG�GRZQZDUGSUHVVXUH� LV�DSSOLHG�DV� WKH�DXJHU� LV� URWDWHG�� 6XIILFLHQW�SUHVVXUH�VKRXOG�EH�DSSOLHG� WR�FDXVH� WKH�DXJHU� WRSHQHWUDWH�DV� LW�FXWV��+RZHYHU��WKH�DXJHU�VKRXOG�QRW�EH�IRUFHG�LQWR�WKH�VRLO�VR�UDSLGO\�DV�WR�GLVSODFH�WKHVRLO�RXWZDUG�RU�GRZQZDUG��$�URWDWLRQDO�YHORFLW\�RI��WR��UHYROXWLRQV�SHU�PLQXWH��USP��LV�VXJJHVWHG�DOWKRXJK�WKH�YHORFLW\�VKRXOG�EH�DGMXVWHG�DFFRUGLQJ�WR�WKH�ILHOG�FRQGLWLRQV�DQG�WKH�MXGJPHQW�RI�WKH�GULOOHU�,Q�JHQHUDO��D�VORZHU�UDWH�RI�IHHG�ZLOO�UHVXOW�LQ�VPDOOHU�FXWWLQJV��ZKHUHDV�D�URWDWLRQDO�YHORFLW\�JUHDWHU�WKDQDSSUR[LPDWHO\��USP�ZLOO�UHVXOW�LQ�H[FHVVLYH�YLEUDWLRQ�RI�WKH�GULOO�VWULQJ��$W�D�GHSWK�RI�DERXW�WKUHH��WRIRXU�KROH� GLDPHWHUV� DERYH� WKH� WRS� RI� WKH� LQWHQGHG� VDPSOH�� DGGLWLRQDO� FDUH� VKRXOG� EH� WDNHQ� WR� SUHYHQWGLVWXUEDQFH�E\�GHFUHDVLQJ�WKH�UDWH�RI�KROH�DGYDQFH��$W�WKH�GHVLUHG�VDPSOLQJ�GHSWK��URWDWH�WKH�DXJHU�XQWLOWKH�FXWWLQJV�DUH�UHPRYHG�IURP�WKH�ERWWRP�RI�WKH�ERUHKROH�

�D�� 6KRUW�IOLJKW�DXJHUV�� 7KH� VKRUW�IOLJKW� KHOLFDO� DXJHU� LV� SDUWLFXODUO\�DGYDQWDJHRXV� IRU� DGYDQFLQJVKDOORZ�KROHV��L�H��WKH�ERWWRP�RI�WKH�KROH�PD\�EH�UHDFKHG�ZLWK�WKH�DXJHU�DWWDFKHG�GLUHFWO\�WR�WKH�NHOO\�7KH�GHSWK�RI�WKH�ERUHKROH�LV�XVXDOO\�OLPLWHG�WR�WKH�OHQJWK�RI�WKH�NHOO\��ZKLFK�LV�W\SLFDOO\��WR��P��WR��IW��7R�RSHUDWH��WKH�DXJHU�LV�ORZHUHG�WR�WKH�ERWWRP�RI�WKH�KROH�DQG�URWDWHG�WR�FXW�DQG�ILOO��:KHQ�WKHDXJHU�IOLJKW�V��LV�ILOOHG��WKH�DXJHU�LV�UDLVHG�DERYH�WKH�JURXQG�VXUIDFH�ZLWKRXW�VWRSSLQJ�WKH�URWDWLRQ��$IWHUWKH�DXJHU�LV�FOHDU�RI�WKH�ERUHKROH��WKH�NHOO\�FDQ�EH�URWDWHG�UDSLGO\�WR�WKURZ�WKH�VRLO�IURP�WKH�DXJHU��7KHFHQWULIXJDO�IRUFH�RI�WKH�DXJHU�URWDWLRQ�FDXVHV�DOO�EXW�VWLFN\�VRLOV�WR�EH�WKURZQ�IURP�WKH�DXJHU��D�WHPSRUDU\LQFUHDVH�LQ�URWDWLRQDO�VSHHG�PD\�EH�UHTXLUHG�WR�VSLQ�RII�WKHVH�VRLOV��5HSHDWHG�SDVVHV�PXVW�EH�PDGH�LQ�DQGRXW�RI�WKH�KROH�WR�DGYDQFH�WKH�ERUHKROH�

6HYHUDO�WULDO�UXQV�ZLWK�WKH�DXJHU�ZLOO�GHWHUPLQH�WKH�DPRXQW�RI�DGYDQFH�RI�WKH�ERUHKROH�UHTXLUHG�WR�MXVW�ILOOWKH�DXJHU��([FHVV�SHQHWUDWLRQ�GLVWXUEV�WKH�VRLO�DW�WKH�ERWWRP�RI�WKH�KROH��ZKHUHDV�DQ�RYHUILOOHG�DXJHU�DFWVDV� D�SLVWRQ�� $V� WKH�RYHUILOOHG�DXJHU� LV�ZLWKGUDZQ�� WKH�VLGHZDOOV�DQG�WKH�ERWWRP�RI�WKH�KROH� WHQG� WR�EHSXOOHG� LQZDUG� DQG� XSZDUG�E\� VXFWLRQ�� 7KLV� GLVUXSWLRQ�PD\�FDXVH� WKH�ZDOOV�RI� WKH�KROH� WR� VTXHH]H�RUFROODSVH�DQG�WR�GLVWXUE�WKH�VRLO�DW�WKH�ERWWRP�RI�WKH�ERUHKROH�

�E��&RQWLQXRXV�IOLJKW�DXJHUV��&RQWLQXRXV�IOLJKW�DXJHUV�PD\�EH�XVHG�WR�DGYDQFH�WKH�ERUHKROH�LQ�DOOVRLOV� H[FHSW� ORRVH�VDQGV�DQG�JUDYHOV�� $V� WKH�DXJHU�SHQHWUDWHV� WKH�IRUPDWLRQ�� WKH�IOLJKWV�DFW�DV�D� VFUHZFRQYH\RU�WR�EULQJ�WKH�VRLO�WR�WKH�VXUIDFH��$GGLWLRQDO�VHFWLRQV�FDQ�EH�DWWDFKHG�WR�WKH�FXWWHU�KHDG�WR�GULOO�WRLQFUHDVHG� GHSWKV�� +ROORZ�VWHP� DXJHUV�PD\� EH� XVHG� DV� FDVLQJ� WR� SUHYHQW� WKH� FDYLQJ� RI� FHUWDLQ� VRLOV�UHPRYDO�RI�WKH�FHQWHU�URG�DQG�SLORW�ELW�DOORZV�D�VDPSOHU�WR�EH�RSHUDWHG�WKURXJK�WKH�VWHP�RI�WKH�DXJHU�

,I� D� VROLG�VWHP� DXJHU� LV� XVHG� WR� DGYDQFH� WKH� ERUHKROH�� WKH� DXJHU� IOLJKWV� PXVW� EH� UHPRYHG� IURP� WKHERUHKROH� SULRU� WR� VDPSOLQJ�� 3XOO� WKH� GULOO� URGV� DQG� DXJHU� IOLJKWV� IURP� WKH� ERUHKROH� ZLWKRXW� URWDWLRQ�'LVFRQQHFW�WKH�GULOO�URGV�DQG�DXJHU�IOLJKWV�DQG�OD\�DVLGH��5HSHDW�XQWLO�WKH�ODVW�VHFWLRQ�RI�URGV�RU�DXJHUIOLJKWV�KDV�EHHQ�EURXJKW� WR� WKH�VXUIDFH�� $IWHU� WKH�VDPSOH�KDV�EHHQ�REWDLQHG�� ORZHU� WKH�DXJHU�DQG�GULOOURGV� LQWR� WKH�ERUHKROH�XVLQJ� WKH�DERYH�SURFHGXUHV� LQ� UHYHUVH�RUGHU�� $GYDQFH� WKH�ERUHKROH� WR� WKH�QH[WVDPSOLQJ�GHSWK�� 3ULRU�WR�VDPSOLQJ�DW� WKH�QHZ�GHSWK��FOHDQ�WKH�ERUHKROH�E\�URWDWLQJ� WKH�DXJHU�XQWLO� WKHFXWWLQJV�DUH�SLFNHG�XS�E\�WKH�DXJHU��FXWWLQJV�DUH�QR�ORQJHU�WKURZQ�IURP�WKH�DXJHU�IOLJKWV��

�� 5RWDU\�GULOOLQJ�� 7R� DGYDQFH� D� ERUHKROH� XVLQJ� URWDU\� GULOOLQJ�PHWKRGV�� D� EDIIOHG� GUDJ�W\SH�RUILVKWDLO�ELW�LV�URWDWHG�DQG�DGYDQFHG�E\�JUDYLW\�IHHG�DQG�RU�GRZQZDUG�SUHVVXUH�DSSOLHG�IURP�WKH�GULOO�ULJ�DV

(0��-DQ��

)��

UHTXLUHG�WR�DFKLHYH�D�VDWLVIDFWRU\�SHQHWUDWLRQ�UDWH��$�VXLWDEOH�GULOOLQJ�IOXLG��VXFK�DV�FRPSUHVVHG�DLU�RU�DZDWHU�EDVHG�EHQWRQLWH�PXG��LV�SXPSHG�WKURXJK�WKH�GULOO�URGV�WR�FOHDQ�DQG�FRRO�WKH�ELW�DQG�WUDQVSRUW� WKHFXWWLQJV� WR� WKH� VXUIDFH�� 7KH� ELW� URWDWLRQ� VSHHG� DQG� WKH� UDWH� RI� DGYDQFH� DV� ZHOO� DV� WKH� GULOOLQJ� IOXLGFRQVLVWHQF\�DQG�FLUFXODWLRQ�UDWH�PXVW�DOO�EH�DGMXVWHG�WR�SURGXFH�FXWWLQJV�VPDOO�HQRXJK�WR�EH�WUDQVSRUWHGWR�WKH�VXUIDFH�DV�IDVW�DV�WKH�ELW�SHQHWUDWHV��$�GULOOLQJ�PXG�FRQVLVWLQJ�RI�D�UDWLR�RI�DSSUR[LPDWHO\��NJ�� OE��RI�EHQWRQLWH�SHU��GP � ��JDO�� RI�ZDWHU� SHUIRUPV�VDWLVIDFWRULO\�DV�D�GULOOLQJ� IOXLG�IRU�PRVW�

FRQGLWLRQV�DQG�XVXDOO\�HOLPLQDWHV�WKH�QHHG�IRU�FDVLQJ��&RPSUHVVHG�DLU�PD\�EH�SUHIHUUHG��KRZHYHU��ZKHQVDPSOLQJ� GU\� RU�ZDWHU�VHQVLWLYH� VRLOV�� VXFK� DV� H[SDQVLYH� FOD\V� RU� VKDOHV� DQG� VRLOV� FRQWDLQLQJ� J\SVXP�5RWDU\�GULOOLQJ�HTXLSPHQW�LV�GLVFXVVHG�LQ�&KDSWHU��GULOOLQJ�IOXLGV�DUH�GLVFXVVHG�LQ�&KDSWHU��

%RWWRP� GLVFKDUJH� URWDU\� ELWV� DUH� QRW� DFFHSWDEOH� IRU� DGYDQFLQJ� WKH� ERUHKROH� IRU� XQGLVWXUEHG� VDPSOLQJ�6LGH�GLVFKDUJH�ELWV�PD\�EH�XVHG�ZLWK�FDXWLRQ��3ULRU�WR�VDPSOLQJ��WKH�ORRVH�PDWHULDO�IURP�WKH�KROH�PXVW�EHUHPRYHG� DV� FDUHIXOO\� DV� SRVVLEOH� WR� DYRLG� GLVWXUELQJ� WKH� PDWHULDO� WR� EH� VDPSOHG�� -HWWLQJ� WKURXJK� DQRSHQ�WXEH�VDPSOHU�WR�FOHDQ�RXW�WKH�ERUHKROH�WR�VDPSOLQJ�GHSWK�LV�QRW�SHUPLWWHG��

�� +\GUDXOLF�SLVWRQ� VDPSOHU�� $GYDQFLQJ� ERUHKROHV� ZLWK� DQ� K\GUDXOLF�SLVWRQ� VDPSOHU� UHTXLUHVVSHFLDO�DGDSWDWLRQ��7KH�PHWKRG�LV�VLPLODU�WR�FRQYHQWLRQDO�URWDU\�GULOOLQJ��H[FHSW�WKH�VRLO�LV�FXW�DZD\�E\FXWWLQJ�WHHWK�ZHOGHG�WR�WKH�ERWWRP�RI�WKH�VDPSOHU�UDWKHU�WKDQ�XVLQJ�D�GUDJ�W\SH�RU�ILVKWDLO�ELW�WR�DGYDQFHWKH�KROH��'ULOOLQJ�IOXLG�SRUWV�DUH�SURYLGHG�LQ�WKH�WKLQ�ZDOOHG�VDPSOLQJ�WXEH�KHDG�WR�DOORZ�IOXLG�WR�SDVVEHWZHHQ� WKH�VDPSOH� WXEH�DQG� WKH�PDLQ�VDPSOHU�EDUUHO�� 7KH�UDWH�RI�GULOOLQJ�IOXLG�FLUFXODWLRQ�VKRXOG�EHPLQLPL]HG� WR� SUHYHQW� MHWWLQJ�DKHDG�RI� WKH� ELW�� EXW� VXIILFLHQW� WR� DYRLG�EORFNDJH�RI� WKH� KROH�� $IWHU� WKHERULQJ�KDV�EHHQ�DGYDQFHG�WR�WKH�VDPSOLQJ�GHSWK��D�FKHFN�EDOO�LV�GURSSHG�WKURXJK�WKH�GULOO�URGV�WR�FORVHWKH�SRUWV�DQG�IDFLOLWDWH�D�VDPSOH�SXVK�

�� 'LVSODFHPHQW� PHWKRGV�� 'LVSODFHPHQW� SOXJV� RU� VDPSOHUV� VKRXOG� QRW� EH� XVHG� WR� DGYDQFHERUHKROHV�IRU�XQGLVWXUEHG�VDPSOHV��'LVSODFHPHQW�FDXVHV�GLVWXUEDQFH�EHORZ�WKH�GHSWK�RI�SHQHWUDWLRQ�WR�DGHSWK�LQ�H[FHVV�RI�WKUHH�WR�IRXU�WLPHV�WKH�GLDPHWHU�RI�WKH�SOXJ�RU�VDPSOHU�

��3HUFXVVLRQ�GULOOLQJ��3HUFXVVLRQ�GULOOLQJ�VKRXOG�QRW�EH�XVHG�WR�DGYDQFH�ERUHKROHV�IRU�XQGLVWXUEHGVDPSOHV�� 9LEUDWLRQV� FDXVHG� E\� SHUFXVVLRQ� GULOOLQJ� FUHDWHV� GLVWXUEDQFH� WR� D� GHSWK� RI� VHYHUDO� ERUHKROHGLDPHWHUV�

��6WDELOL]LQJ�WKH�%RUHKROH

%RUHKROHV� LQ� VRIW� RU� ORRVH� VRLOV�� RU�ZKHQ� WKH�ERULQJ� LV� H[WHQGHG�EHORZ� WKH�JURXQGZDWHU� OHYHO��PD\�EHVWDELOL]HG�ZLWK�GULOOLQJ�PXG�DQG�RU�FDVLQJ��*HQHUDOO\��GULOOLQJ�PXG�ZLOO�VWDELOL]H�WKH�ERUHKROH��+RZHYHU�ZKHQ�VHYHUH�FDVHV�RI�FDYLQJ�VRLOV�DUH�HQFRXQWHUHG��FDVLQJ�PD\�EH�UHTXLUHG��,I�FDVLQJ�LV�XVHG��LW�VKRXOGQHYHU�EH�GULYHQ��,I�LW�LV�DGYDQFHG�DKHDG�RI�WKH�ERUHKROH��KHDYLQJ�DW�WKH�ERWWRP�RI�WKH�KROH�FRXOG�RFFXU�)RU�VRPH�VRLOV��LW�LV�RIWHQ�YHU\�GLIILFXOW�WR�DGYDQFH�WKH�ERUHKROH�DKHDG�RI�WKH�FDVLQJ�EHFDXVH�RI�KHDYLQJ�DWWKH�ERWWRP�RI�WKH�KROH�DQG�VTXHH]LQJ�RI�WKH�VLGHZDOOV��)RU�WKHVH�W\SHV�RI�VRLOV��ZDWHU�RU�GULOOLQJ�PXG�PD\KHOS�VWDELOL]H�WKH�KROH�

D� 'ULOOLQJ�PXG��'ULOOLQJ�PXG�LV�QRUPDOO\�XVHG�DV�WKH�GULOOLQJ�IOXLG�IRU�PRVW�VRLOV�DV�LW�HIILFLHQWO\UHPRYHV� WKH�FXWWLQJV�IURP�WKH�ERUHKROH��'ULOOLQJ�PXG�LV�DOVR�DQ�HIIHFWLYH�PHDQV�IRU�PLQLPL]LQJ�VWUHVVUHOLHI�DW�WKH�ERWWRP�RI�WKH�ERUHKROH��VXSSRUWLQJ�WKH�VLGHZDOOV�RI�WKH�KROH�WR�SUHYHQW�FDYLQJ��DQG�KROGLQJWKH�VDPSOH�LQ�WKH�VDPSOHU�DV�LW�LV�ZLWKGUDZQ�IURP�WKH�ERULQJ��,QIRUPDWLRQ�UHJDUGLQJ�WKH�XVH�RI�GULOOLQJPXG�WR�VWDELOL]H�WKH�ERUHKROH�LV�SUHVHQWHG�LQ�&KDSWHU��

(0��-DQ��

)��

E� &DVLQJ��&DVLQJ�LV�QRUPDOO\�XVHG�WR�VWDELOL]H�ERUHKROHV�RQO\�ZKHQ�D�SDUWLFXODU�VWUDWXP�RU�FDYLQJ]RQH�LV�HQFRXQWHUHG�DQG�PXVW�EH�VHDOHG�RU�ZKHQ�GULOOLQJ�PXG�ZRXOG�KDYH�DQ�DGYHUVH�HIIHFW�RQ�WKH�VRLO�WREH�VDPSOHG��VXFK�DV�D�GU\�RU�ZDWHU�VHQVLWLYH�IRUPDWLRQ��)OXVK�MRLQW�RU�IOXVK�FRXSOHG�FDVLQJ�LV�WKH�PRVWVDWLVIDFWRU\�W\SH�RI�FDVLQJ��7KH�IOXVK�LQWHUQDO�VXUIDFH�RI�WKLV�W\SH�RI�FDVLQJ�SUHYHQWV�KDQJLQJ�DQG�MDUULQJRI�WKH�VDPSOHU��6LPLODUO\��WKH�IOXVK�H[WHUQDO�VXUIDFH�RI�WKH�FDVLQJ�PLQLPL]HV�WKH�DQQXODU�VSDFH�UHTXLUHGEHWZHHQ� WKH�FDVLQJ�DQG� WKH�ZDOOV�RI�ERUHKROH�DQG� WKXV�HQVXUHV�D�PRUH�VWDEOH�KROH�� 7KH� IOXVK�H[WHUQDOVXUIDFH� DOVR� UHGXFHV� WKH� UHVLVWDQFH� IRU� LQVWDOODWLRQ� DQG� UHPRYDO� RI� WKH� FDVLQJ� IURP� WKH� KROH�� :KHQVORXJKLQJ�RU�FUXPEO\�VXUIDFH�PDWHULDO�LV�HQFRXQWHUHG��D�VKRUW�VHFWLRQ�RI�FDVLQJ�PD\�EH�UHTXLUHG��HVSHF�LDOO\� ZKHQ� RSHUDWLRQV� H[WHQG� IRU� VHYHUDO� GD\V�� $GGLWLRQDO� LQIRUPDWLRQ� RQ� FDVLQJ� LV� SUHVHQWHG� LQSDUDJUDSKV��G�DQG��E�

:KHQ�FDVLQJ�LV�XVHG��WKH�KROH�VKRXOG�EH�GULOOHG�RU�UHDPHG�WR�D�GLDPHWHU��WR��PP��WR��LQ��ODUJHUWKDQ�WKH�2'�RI�WKH�FDVLQJ�WR�ZLWKLQ�D�IHZ�IHHW�RI�WKH�VWUDWXP�WR�EH�VDPSOHG��7KH�FDVLQJ�VKRXOG�WKHQ�EHLQVHUWHG� LQ�WKH�ERUHKROH�DQG�SXVKHG�RU�MDFNHG�WR�D�GHSWK�WR�HIIHFW�D�VHDO�LQ�WKH�VRLO�DW�WKH�ERWWRP�RI�WKHFDVLQJ�� 7KH� FDVLQJ� VKRXOG� QRW� EH� SXVKHG� LQWR� WKH� VWUDWXP� WR� EH� VDPSOHG� DV� GLVWXUEDQFH� FRXOG� UHVXOW�/LNHZLVH��WKH�FDVLQJ�VKRXOG�QRW�EH�GULYHQ��DV�PDQ\�VRLOV�DUH�VHQVLWLYH�WR�WKH�YLEUDWLRQV�FDXVHG�E\�GULYLQJ�$V�D� UHPLQGHU��HDFK�MRLQW� VKRXOG�EH�VHFXUHO\� WLJKWHQHG�DV� WKH�FDVLQJ� LV�DVVHPEOHG�� 6HFXUHO\� WLJKWHQHGMRLQWV�KHOS�WR�HQVXUH�WKDW�WKUHDGV�ZLOO�QRW�EH�GDPDJHG�DV�WKH�FDVLQJ�LV�DGYDQFHG��)XUWKHUPRUH��D�MRLQW�WKDWLV�VHFXUHO\�WLJKWHQHG�SULRU�WR�SODFHPHQW�LV�DOVR�PXFK�HDVLHU�WR�GLVDVVHPEOH�DV�LW�LV�UHPRYHG�

$IWHU� WKH�FDVLQJ�KDV�EHHQ�VHDWHG�DW� WKH�GHVLUHG�GHSWK�� WKH�KROH�PXVW�EH�FOHDQHG�EHIRUH�WKH�XQGLVWXUEHGVDPSOH�FDQ�EH�WDNHQ��$�QRQFRULQJ�ELW�VXFK�DV�D�GUDJ�ELW�VKRXOG�EH�XVHG��$IWHU�WKH�GULOO�VWULQJ�KDV�EHHQORZHUHG�LQWR�WKH�ERUHKROH�DQG�FLUFXODWLRQ�RI�WKH�GULOOLQJ�IOXLG�KDV�EHJXQ��WKH�GULOO�VWULQJ�DQG�ELW�VKRXOG�EHURWDWHG�DQG�IHG�GRZQZDUG�ZLWK�D�PRGHUDWH�SUHVVXUH�

$V�WKH�GHSWK�RI�WKH�KROH�LV�LQFUHDVHG��WKH�FDVLQJ�PD\�EH�DGYDQFHG�E\�URWDWLRQ�DQG�RU�MDFNLQJ�WR�D�GHSWKMXVW�DERYH�WKH�WRS�RI�WKH�QH[W�XQGLVWXUEHG�VDPSOH��,I� WKH�FDVLQJ�LV�DGYDQFHG�E\�URWDWLRQ��D�FDVLQJ�VKRHZLWK�WHHWK�VHW�RXWZDUG�PD\�EH�UHTXLUHG�WR�FXW�D�KROH�ZLWK�VXIILFLHQW�FOHDUDQFH�WR�DGYDQFH�WKH�FDVLQJ�

��&OHDQLQJ�WKH�+ROH�%HIRUH�6DPSOLQJ

$� FOHDQ� RSHQ� ERUHKROH� ZLWK� D� PLQLPXP� RI� GLVWXUEHG�PDWHULDO� DW� WKH� ERWWRP� LV� HVVHQWLDO� WR� REWDLQLQJVDWLVIDFWRU\�XQGLVWXUEHG�VRLO�VDPSOHV��$�FDUHIXO��H[SHULHQFHG�RSHUDWRU�FDQ�GHWHFW�H[FHVV�PDWHULDO�LQ�WKHERWWRP�RI�WKH�KROH�E\�WKH�DFWLRQV�RI�WKH�WRROV�DQG�VKRXOG�UHSHDW�DQG�RU�FRQWLQXH�WKH�FOHDQLQJ�RSHUDWLRQVXQWLO�WKH�KROH�LV�FOHDQ��$IWHU�WKH�ERUHKROH�KDV�EHHQ�WKRURXJKO\�FOHDQHG��WKH�GHSWK�WR�WKH�ERWWRP�RI�WKHKROH�VKRXOG�EH�REWDLQHG�DQG�UHFRUGHG��7KLV�PHDVXUHPHQW�FDQ�EH�FRPSDUHG�WR�WKH�GHSWK�RI�WKH�KROH�ZKHQWKH�VDPSOHU�RU�RWKHU�GHYLFH�LV�ORZHUHG��LI�GLVFUHSDQFLHV�H[LVW��FXWWLQJV�VXVSHQGHG�LQ�WKH�GULOOLQJ�IOXLG�RUVORXJK�IURP�WKH�ZDOO�RI�WKH�ERUHKROH�PD\�KDYH�VHWWOHG�WR�WKH�ERWWRP�RI�WKH�KROH�

D� &OHDQLQJ�ZLWK�DXJHUV��,Q�ERUHKROHV�DGYDQFHG�ZLWK�DQ�DXJHU��WKH�DXJHU�LV�XVHG�WR�FOHDQ�WKH�KROH�$IWHU�WKH�KROH�KDV�EHHQ�DGYDQFHG�WR�WKH�GHVLUHG�VDPSOLQJ�GHSWK�DQG�WKH�FXWWLQJV�KDYH�EHHQ�UHPRYHG�IURPWKH� DXJHU�� WKH�DXJHU� VKRXOG�DJDLQ�EH� ORZHUHG� WR� WKH�ERWWRP�RI� WKH�KROH�DQG� WXUQHG�VHYHUDO� UHYROXWLRQVZLWKRXW�DGYDQFLQJ�WKH�KROH�WR�SLFN�XS�DQ\�ORRVH�PDWHULDO��7KH�DXJHU�PXVW�WKHQ�EH�FDUHIXOO\�ZLWKGUDZQZLWKRXW�URWDWLRQ�WR�SUHYHQW�DQ\�ORVV�RI�PDWHULDO�IURP�WKH�DXJHU�IOLJKWV�RU�GLVORGJLQJ�RI�PDWHULDO�IURP�WKHVLGHZDOOV�RI�WKH�KROH�

E� &OHDQLQJ�ZLWK�URWDU\�GULOOLQJ�PHWKRGV�� ,Q�ERUHKROHV�DGYDQFHG�E\�URWDU\�GULOOLQJ�PHWKRGV��WKHELW�URWDWLRQ�DQG�GULOOLQJ�IOXLG�SXPSLQJ�UDWH�VKRXOG�EH�UHGXFHG�DV�WKH�ELW�UHDFKHV�D�GHSWK�WR�ZLWKLQ��P��IW��RI�WKH�GHVLUHG�VDPSOLQJ�GHSWK��7KH�ELW�VKRXOG�WKHQ�EH�DGYDQFHG�VORZO\�WR�WKH�GHVLUHG�GHSWK�RI�WKH

(0��-DQ��

)��

WRS� RI� WKH� XQGLVWXUEHG� VDPSOH�� &LUFXODWLRQ� RI� WKH� GULOOLQJ� IOXLG� VKRXOG� EH� FRQWLQXHG� DW� WKH� UHGXFHGSXPSLQJ�UDWH�XQWLO�WKH�FXWWLQJV� LQ�WKH�GULOOLQJ�IOXLG�QHDU�WKH�ERWWRP�RI�WKH�ERULQJ�DUH�ZDVKHG�RXW�� 7KHERULQJ� LV� SURSHUO\� FOHDQHG� ZKHQ� WKH� FRQFHQWUDWLRQ� RI� ILQH� SDUWLFOHV� SHU� XQLW� YROXPH� RI� VXVSHQVLRQEHFRPHV�FRQVWDQW�

��6DPSOLQJ�3URFHGXUHV

3URFHGXUHV� IRU� REWDLQLQJ� XQGLVWXUEHG� VDPSOHV� XVLQJ� RSHQ�� DQG� SLVWRQ�W\SH� WKLQ�ZDOOHG� SXVK�WXEHVDPSOHUV�DQG�FRUH�EDUUHO�VDPSOHUV�DUH�GLVFXVVHG�LQ�WKH�IROORZLQJ�SDUDJUDSKV��'HWDLOV�RI�WKH�HTXLSPHQWDUH�SUHVHQWHG�LQ�&KDSWHU��

D� 3XVK� VDPSOHUV�� $IWHU� WKH�ERUHKROH�KDV�EHHQ�DGYDQFHG�DQG�FOHDQHG�� WKH�DVVHPEOHG�VDPSOHU� LVORZHUHG� WR� WKH�ERWWRP�RI�WKH�ERUHKROH�� &DUH�PXVW�EH�XVHG�WR�SUHYHQW�GLVORGJLQJ�RI�PDWHULDOV�IURP�WKHVLGHZDOOV�RI�WKH�ERUHKROH��:LWK�WKH�ERWWRP�RI�WKH�VDPSOHU�MXVW�LQ�FRQWDFW�ZLWK�WKH�VRLO�WR�EH�VDPSOHG��WKHGULOO�URGV�DUH�FKXFNHG�LQ�WKH�GULOO�ULJ��7KLV�SUHYHQWV�WKH�ZHLJKW�RI�WKH�GULOO�URGV�DQG�VDPSOHU�IURP�EHDULQJXSRQ�DQG�SRVVLEO\�GLVWXUELQJ�WKH�PDWHULDO� WR�EH�VDPSOHG�� 7R�VDPSOH��D� WKLQ�ZDOOHG�F\OLQGULFDO� WXEH� LVIRUFHG�LQWR�WKH�XQGLVWXUEHG�VRLO�LQ�RQH�FRQWLQXRXV�SXVK�ZLWKRXW�URWDWLRQ�

7KLQ�ZDOOHG�VDPSOLQJ� WXEHV�PD\�EH�XVHG�LQ�YHU\�VRIW� WR�VWLII�FOD\V��VLOWV��DQG�VDQGV�WKDW�GR�QRW�FRQWDLQDSSUHFLDEOH�DPRXQWV�RI�JUDYHO�� 0RVW�VDPSOHUV�DUH�DERXW��WR��FP��WR�� LQ��ORQJ��DOWKRXJK�WKHOHQJWK�RI�WKH�VDPSOLQJ�GULYH�LV�OLPLWHG�E\�WKH�FDSDELOLW\�RI�WKH�GULOOLQJ�ULJ�IRU�D�FRQWLQXRXV�VPRRWK�SXVK�WKH� W\SH�RI� VDPSOHU�ZKLFK� LV� XVHG�� DQG� WKH�PDWHULDO� WR�EH�VDPSOHG�� *HQHUDOO\�� PP�� LQ�� GLDPVDPSOLQJ�WXEHV�VKRXOG�EH�XVHG�LQ�FOD\V�DQG�VLOWV�ZKLFK�FDQ�EH�UHPRYHG�IURP�WKH�WXEH�DQG�SUHVHUYHG�LQ�DQXQGLVWXUEHG�VWDWH�LQ�D�ZD[�FRDWHG�FDUGERDUG� WXEH�� 6DPSOHV�RI�YHU\�VRIW�FOD\V�DQG�VLOWV�ZKLFK�ZLOO�QRWVXSSRUW�WKHLU�RZQ�ZHLJKW�DQG�FDQQRW�EH�H[WUXGHG�LQ�DQ�XQGLVWXUEHG�VWDWH�VKRXOG�EH�WDNHQ�ZLWK�HLWKHU��RU��PP��RU��LQ��GLDP�VDPSOH�WXEHV�DQG�VHDOHG�LQ� WKH�WXEH�ZLWK�H[SDQGLQJ�SDFNHUV�RU�ZD[��$��PP�� LQ�� GLDP� VDPSOH� RI� FOHDQ� VDQG� LV� XVXDOO\� VDWLVIDFWRU\�� +LJK� SHQHWUDWLRQ� UHVLVWDQFHV�PD\SUHFOXGH�SXVKLQJ�ODUJHU�VDPSOLQJ�WXEHV�LQ�FRKHVLRQOHVV�VRLOV��HVSHFLDOO\�LQ�GHQVH�VDQGV�

�� 0HWKRGV�RI� DGYDQFH�� 7KH�PHWKRGV� IRU�DGYDQFLQJ� WKLQ�ZDOOHG� VDPSOHUV� LQFOXGH�GULOO�ULJ�GULYH�K\GUDXOLF�SLVWRQ�VDPSOLQJ��DQG�SXVKLQJ�E\�KDQG�� 7KHVH�PHWKRGV�DQG� WKHLU� OLPLWDWLRQV�DUH�GLVFXVVHG� LQWKH�IROORZLQJ�SDUDJUDSKV�

�D�� 'ULOO�ULJ� GULYH�� 2QH� WHFKQLTXH� RI� SXVKLQJ�D� WKLQ�ZDOOHG� VDPSOHU� LV� XVLQJ� WKH� K\GUDXOLF� GULYHPHFKDQLVP�RQ� WKH� GULOO� ULJ�� 7KH� VDPSOLQJ� WXEH� LV� DGYDQFHG� LQ� RQH�XQLIRUP�� FRQWLQXRXV�SXVK�ZLWKRXWURWDWLRQ�E\�DSSO\LQJ�D�GRZQZDUG�IRUFH�WKURXJK�WKH�GULOO�URGV��,I�WKH�SXVK�LV�LQWHUUXSWHG��LW�VKRXOG�QRW�EHUHVXPHG�IRU�DQ\�UHDVRQ�DV�DGKHVLRQ�DQG�IULFWLRQ�TXLFNO\�GHYHORS�EHWZHHQ�WKH�VDPSOH�DQG�VDPSOLQJ�WXEHGXULQJ�WKH�LQWHUUXSWLRQ��5HVWDUWLQJ�WKH�SXVK�ZLOO�UHVXOW�LQ�LQFUHDVHG�SHQHWUDWLRQ�UHVLVWDQFH�DQG�DGGLWLRQDOGLVWXUEDQFH�WR�WKH�VDPSOH��3ULRU�WR�WKH�VDPSOLQJ�GULYH��WKH�ULJ�VKRXOG�EH�ILUPO\�DQFKRUHG�WR�SUHYHQW�WKHUHDFWLRQ� RI� WKH� GULYH� IURP�UDLVLQJ� WKH� ULJ�GXULQJ� WKH� SXVK�� 6FUHZ�W\SH� HDUWK� DQFKRUV� �)LJXUH� �� DUHW\SLFDOO\�LQVWDOOHG�WR�D�GHSWK�RI�DERXW��P��IW��6FUHZ�W\SH�HDUWK�DQFKRUV�FDQ�EH�IDVWHQHG�WR�WKH�GULOOULJ�ZLWK�ORDG�ELQGHUV��DV�VKRZQ�LQ�)LJXUH��WR�SURYLGH�DGHTXDWH�DQFKRUDJH�WR�WKH�ULJ�

�E�� +\GUDXOLF�SLVWRQ� VDPSOLQJ�� 7KH�K\GUDXOLFDOO\� DFWXDWHG�SLVWRQ� VDPSOHU� XVHV�D� YDULDWLRQ�RI� WKHGULOO�ULJ� GULYH�PHWKRG�RI�DGYDQFH�ZKLFK�ZDV�GLVFXVVHG� LQ� WKH�SUHFHGLQJ�SDUDJUDSK�� 7KH�GULOO� URGV�DUHFKXFNHG� DQG� K\GUDXOLF� SUHVVXUH� LV� DSSOLHG� GRZQKROH� WKURXJK� WKH� GULOO� URGV� WR� WKH� VDPSOHU� KHDG�� $QLQFUHDVH�RI�SUHVVXUH�LQ�WKH�VDPSOHU�KHDG�FDXVHV�WKH�WKLQ�ZDOOHG�WXEH�WR�EH�DGYDQFHG�LQWR�WKH�XQGLVWXUEHGVRLO� DW� WKH� ERWWRP� RI� WKH� KROH�� 7KH� URGV� DQG� GULOO� ULJ� SURYLGH� WKH� UHDFWLRQ� IRUFH� IRU� DGYDQFLQJ� WKHVDPSOLQJ�WXEH��7KH�K\GUDXOLF�SLVWRQ�VDPSOLQJ�PHWKRG�RI�DGYDQFH�FDQQRW�EH�XVHG�VDWLVIDFWRULO\�LQ�KDUG

(0��-DQ��

)��

FOD\V�DQG�VLOWV��GHQVH�VDQGV��RU�JUDYHOO\�VRLOV��DV�WKH�SHQHWUDWLRQ�UHVLVWDQFH�PD\�FDXVH�WKH�URGV�WR�EXFNOH�,I�WKH�GULOO�URGV�EXFNOH��WKH�VDPSOH�PD\�EH�VHULRXVO\�GLVWXUEHG�

�F��3XVKLQJ�E\�KDQG��8VXDOO\��DQ�XQGLVWXUEHG�VDPSOHU�LV�SXVKHG�E\�KDQG�RQO\�LQ�WHVW�SLW�VDPSOLQJZKHUH�VKRUW��VPDOO�GLDPHWHU��WKLQ�ZDOOHG�VDPSOHUV�DUH�XVHG��7KH�VDPSOH�TXDOLW\�PD\�EH�HQKDQFHG�E\�WKHDGYDQFH�WULPPLQJ�DQG�SXVKLQJ�WHFKQLTXH�DQG�WKH�XVH�RI�WULSRG�IUDPH�IRU�JXLGLQJ�WKH�VDPSOLQJ�WXEH��6HH&KDSWHU��IRU�GHWDLOV�

�G�� 0HFKDQLFDO�RU�K\GUDXOLF� MDFNLQJ�� +DQG�RSHUDWHG�PHFKDQLFDO�RU�K\GUDXOLF� MDFNV�XVHG� LQ�ILHOGRSHUDWLRQV�SURGXFH�DQ�HUUDWLF��VORZ�UDWH�RI�SHQHWUDWLRQ�DQG�FDXVH�YLEUDWLRQV�LQ�WKH�GULOO�URG�VWULQJ��$V�DUHVXOW��WKH�MDFNLQJ�PHWKRG�VKRXOG�EH�DYRLGHG�EHFDXVH�RI�WKH�GLVWXUEDQFH�WR�WKH�VDPSOH�

��5DWH�RI�SHQHWUDWLRQ��7KH�UDWH�RI�SHQHWUDWLRQ�RI�D�WKLQ�ZDOOHG�XQGLVWXUEHG�VDPSOHU�JUHDWO\�DIIHFWVWKH�GHJUHH�RI�GLVWXUEDQFH�WR�WKH�VDPSOH��$�IDVW��FRQWLQXRXV�SHQHWUDWLRQ�RI�WKH�VDPSOLQJ�WXEH�LV�UHTXLUHGWR�SUHYHQW�WKH�EXLOGXS�RI�IULFWLRQ�EHWZHHQ�WKH�VDPSOLQJ�WXEH�DQG�WKH�VRLO��7KH�UDWH�RI�SHQHWUDWLRQ�VKRXOGEH�DV�FRQVWDQW�DV�SRVVLEOH�WKURXJKRXW�WKH�GULYH�� 3HQHWUDWLRQ�UDWHV�RQ�WKH�RUGHU�RI�� WR��FP�VHF��WR��LQ��VHF��DUH�UHFRPPHQGHG�

�� 6DPSOHU� ZLWKGUDZDO�� $IWHU� WKH� VDPSOLQJ� GULYH� KDV� EHHQ� FRPSOHWHG�� WKH� ZLWKGUDZDO� RI� WKHVDPSOHU�VKRXOG�EH�GHOD\HG�EULHIO\�WR�LQFUHDVH�DGKHVLRQ�DQG�RU�IULFWLRQ�EHWZHHQ�WKH�VRLO�DQG�WKH�VDPSOLQJWXEH�ZKLFK�ZLOO�DVVLVW�LQ�KROGLQJ�WKH�VDPSOH�LQ�WKH�WXEH��8VXDOO\��WKH�WLPH�ZKLFK�LV�UHTXLUHG�WR�PHDVXUHWKH�OHQJWK�RI�WKH�SXVK�DQG�RWKHU�PLQRU�RSHUDWLRQV�IROORZLQJ�WKH�SXVK�LV�VXIILFLHQW��7KH�VDPSOHU�VKRXOG�EHZLWKGUDZQ� VORZO\�DQG�XQLIRUPO\�ZLWK�D�PLQLPXP�RI� VKRFN�DQG�YLEUDWLRQ�� $�IDVW�ZLWKGUDZDO� WHQGV� WRFUHDWH�D�YDFXXP�EHORZ�WKH�VDPSOLQJ�WXEH�ZKLFK�PD\�FDXVH�D�ORVV�RI�WKH�VDPSOH��,I�GULOOLQJ�IOXLG�LV�XVHGLQ�WKH�ERUHKROH��IOXLG�VKRXOG�EH�DGGHG�DV�WKH�VDPSOHU�LV�UHPRYHG�WR�NHHS�WKH�ERUHKROH�IXOO�DOO�WLPHV�

��2SHQ�WXEH�VDPSOHUV��2SHQ�WXEH�VDPSOHUV�DUH�SHUKDSV�WKH�VLPSOHVW�WRRO�WR�REWDLQ�VDPSOHV��+RZ�HYHU��EHFDXVH�RI�WKH�VLPSOLFLW\�RI�WKH�GHVLJQ�DQG�RSHUDWLRQ�RI�WKH�VDPSOHU��D�ORZHU�TXDOLW\�RI�VDPSOH�IUH�TXHQWO\� UHVXOWV�� $�GLVFXVVLRQ�RI� WKH�SURFHGXUHV� IRU� REWDLQLQJ�XQGLVWXUEHG�VDPSOHV�ZLWK� WKH� RSHQ�WXEHWKLQ�ZDOOHG�VDPSOLQJ�WXEH�IROORZV�

$IWHU�WKH�VDPSOHU�KHDG�KDV�EHHQ�LQVSHFWHG�WR�PDNH�VXUH�WKDW�WKH�EDOO�FKHFN�YDOYH�LV�FOHDQ��IUHH�PRYLQJ�DQG� IXQFWLRQLQJ�SURSHUO\��DWWDFK�D� VDPSOLQJ� WXEH� WR� WKH� VDPSOHU�KHDG�� 2QH�HQG�RI� WKH� WXEH� VKRXOG�EHVKDUSHQHG� WR� IRUP�D� FXWWLQJ�HGJH� DQG� VKRXOG�KDYH� DQ� LQVLGH� FOHDUDQFH� UDWLR� VXLWDEOH� IRU� WKH� VRLO� EHLQJVDPSOHG��VHH�SDUDJUDSK��/RZHU�WKH�VDPSOHU�DQG�WKH�GULOO�URG�DVVHPEO\�WR�WKH�ERWWRP�RI�D�FOHDQ�ERUH�KROH�DQG�FODPS�LQ�WKH�MDZV�RI�WKH�FKXFN�RQ�WKH�GULOO�ULJ��7KH�GHSWK�WR�WKH�ERWWRP�RI�WKH�KROH�VKRXOG�EHUHFRUGHG�

(VWDEOLVK�D�UHIHUHQFH�SRLQW�DQG�PDUN�WKH�GHVLUHG�OHQJWK�RI�SXVK�RQ�WKH�GULOO�URG��7KH�OHQJWK�RI�WKH�SXVKVKRXOG�EH�D�IHZ�FHQWLPHWHUV�VKRUWHU�WKDQ�WKH�OHQJWK�RI�WKH�VDPSOLQJ�WXEH�WR�HQVXUH�WKDW�WKH�VDPSOH�LV�QRWFRPSUHVVHG�LQ�WKH�WXEH��:KHQ�DGYDQFLQJ�WKH�VDPSOHU��QRWH�WKH�PD[LPXP�K\GUDXOLF�IHHG�SUHVVXUH�RU�DQ\YDULDWLRQ� LQ� SUHVVXUH�ZKLFK�ZRXOG� LQGLFDWH� VRIW�� ILUP�� RU� JUDYHOO\� ]RQHV�� $IWHU� WKH� VDPSOHU� KDV� EHHQDGYDQFHG�WKH�GHVLUHG�OHQJWK�RI�GULYH��URWDWH�WKH�VDPSOHU�DW� OHDVW�WZR�UHYROXWLRQV�WR�VKHDU�WKH�VRLO�DW� WKHERWWRP� RI� WKH� WXEH�� :LWKGUDZ� WKH� VDPSOHU� IURP� WKH� ERUHKROH� DV� FDUHIXOO\� DV� SRVVLEOH� WR� PLQLPL]HGLVWXUEDQFH�RI�WKH�VDPSOH�

$IWHU�WKH�VDPSOHU�KDV�EHHQ�UHPRYHG�IURP�WKH�ERUHKROH��UHPRYH�WKH�VDPSOLQJ�WXEH�IURP�WKH�VDPSOHU�KHDGDQG�PHDVXUH�WKH�UHFRYHUHG�OHQJWK�RI�VDPSOH��&RPSDUH�WKH�UHFRYHUHG�VDPSOH�OHQJWK�WR�WKH�OHQJWK�RI�WKHSXVK��5HFRUG�WKHVH�GDWD��

(0��-DQ��

)��

7ULP�DERXW��FP��LQ��RI�PDWHULDO�IURP�WKH�ERWWRP�RI�WKH�VDPSOH��3ODFH�WKH�WULPPLQJV�LQ�D�MDU�IRU�XVH�DVD�ZDWHU�FRQWHQW�VSHFLPHQ�DQG�IRU�YLVXDO�FODVVLILFDWLRQ��0HDVXUH�WKH�GLVWDQFH�IURP�WKH�ERWWRP�RI�WKH�SXVKWXEH�WR�WKH�ERWWRP�RI�WKH�WULPPHG�VDPSOH��5HFRUG�WKHVH�GDWD��,QVHUW�DQ�H[SDQGDEOH�SDFNHU�LQ�WKH�ERWWRPHQG�RI�WKH�SXVK�WXEH�LI�WKH�VDPSOH�LV�WR�EH�VKLSSHG�WR�WKH�ODERUDWRU\��,I�WKH�PDWHULDO�LV�WR�EH�H[WUXGHG�RQVLWH��WKH�LQVWDOODWLRQ�RI�WKH�SDFNHUV�LV�RPLWWHG�

7ULP�DOO�ORRVH��GLVWXUEHG�PDWHULDO�IURP�WKH�WRS�HQG�RI�WKH�WXEH��,I�SRVVLEOH��WULP�DQ�DGGLWLRQDO��FP��LQ��LQWR�WKH�XQGLVWXUEHG�VDPSOH��WKHVH�WULPPLQJV�FDQ�EH�XVHG�WR�GHWHUPLQH�WKH�ZDWHU�FRQWHQW�DQG�WR�FRQGXFW�DYLVXDO�FODVVLILFDWLRQ�RI�WKH�PDWHULDO��DV�VXJJHVWHG�LQ�WKH�SUHFHGLQJ�VXESDUDJUDSK��0HDVXUH�DQG�UHFRUG�WKHGLVWDQFH�IURP�WKH�WRS�RI�WKH�WXEH�WR�WKH�WRS�RI�WKH�WULPPHG�VDPSOH��,QVHUW�DQ�H[SDQGDEOH�SDFNHU�LQ�WKH�WRSHQG�RI� WKH� WXEH�XQOHVV� WKH�VDPSOH� LV� WR�EH�H[WUXGHG�RQ� VLWH�� 'HWHUPLQH� WKH� WULPPHG�VDPSOH� OHQJWK�E\VXPPLQJ�WKH�OHQJWKV�WR�WKH�WRS�DQG�WKH�ERWWRP�RI�WKH�WULPPHG�VDPSOH��VXEWUDFW�WKLV�VXP�IURP�WKH�WRWDOOHQJWK�RI�WKH�WXEH��5HFRUG�WKH�GDWD�

7KH� WULPPLQJV� IURP� WKH� ERWWRP� �DQG� WRS�� RI� WKH� VDPSOLQJ� WXEH� VKRXOG� EH� VHDOHG� LQ� D� JODVV� MDU�V�� IRUUHWHQWLRQ�DQG�XVH�DW� WKH�VRLOV� ODERUDWRU\�� 7KH�MDUV�VKRXOG�EH�VHDOHG� LPPHGLDWHO\�WR�NHHS� WKH�VRLO� IURPGU\LQJ��&DUH�VKRXOG�EH�H[HUFLVHG�WR�SUHYHQW�WKH�VRLO�IURP�EHFRPLQJ�FRQWDPLQDWHG�ZLWK�GULOOLQJ�IOXLG�RURWKHU�FRQWDPLQDQWV�ZKLFK�FRXOG�DIIHFW�WKH�LQ�VLWX�ZDWHU�FRQWHQW�RU�VRLO�FODVVLILFDWLRQ��$�IHZ�JUDPV�RI�VRLOIURP� WKH� WULPPLQJV� PD\� EH� XVHG� WR� YLVXDOO\� FODVVLI\� WKH� VRLO� DFFRUGLQJ� WR� WKH� SURFHGXUHV� OLVWHG� LQ$SSHQGL[�(��$�YLVXDO�GHVFULSWLRQ�DQG�FODVVLILFDWLRQ�RI�WKH�VRLO�VKRXOG�EH�HQWHUHG�LQ�WKH�ERULQJ�ORJV��VHH&KDSWHU��

��3LVWRQ�VDPSOHUV��3LVWRQ�VDPSOHUV��VXFK�DV�WKH�+YRUVOHY�DQG�WKH�2VWHUEHUJ�VDPSOHUV��DUH�XVHG�IRUREWDLQLQJ�VRLO�VDPSOHV�DERYH�RU�EHORZ�WKH�JURXQGZDWHU�WDEOH��LQFOXGLQJ�FRKHVLRQOHVV�VDQGV�DQG�VRIW��ZHWVRLOV� WKDW�FDQQRW� EH� VDPSOHG� XVLQJ� WKH� WKLQ�ZDOOHG�RSHQ�WXEH� VDPSOHU�� 7KH�SULQFLSDO� IXQFWLRQV� RI� WKHSLVWRQ�LQFOXGH�SUHYHQWLQJ�FXWWLQJV��VKDYLQJV��RU�VORXJK�PDWHULDO�IURP�HQWHULQJ�WKH�WXEH�DV�LW�LV�ORZHUHG�WRWKH�ERWWRP�RI�WKH�ERUHKROH�DQG�LQFUHDVLQJ�VDPSOH�UHFRYHU\��$�GLVFXVVLRQ�RI�WKH�SURFHGXUHV�IRU�VDPSOLQJZLWK�IL[HG�SLVWRQ�VDPSOHUV�LV�SUHVHQWHG�LQ�WKH�IROORZLQJ�SDUDJUDSKV�

�D�� +YRUVOHY�IL[HG�SLVWRQ�VDPSOHU�� 7KH�+YRUVOHY�IL[HG�SLVWRQ�VDPSOHU� LV�D�PHFKDQLFDOO\�DFWLYDWHGVDPSOHU� ZKLFK� FRQWDLQV� PDQ\� SUHFLVLRQ� SDUWV� DQG� VFUHZ� FRQQHFWLRQV�� 7KH� VSHFLILF� DVVHPEO\� DQGRSHUDWLRQ� SURFHGXUHV� PXVW� EH� SHUIRUPHG� LQ� WKH� SURSHU� VHTXHQFH� WR� HQVXUH� SURSHU� RSHUDWLRQ� RI� WKHVDPSOHU�� %HIRUH� DWWHPSWLQJ� WR� XVH� WKLV� DSSDUDWXV�� WKH� RSHUDWRU� VKRXOG� WKRURXJKO\� XQGHUVWDQG� WKHPHFKDQLFV� RI� WKH� VDPSOHU�EHFDXVH� WKH�SUHFLVLRQ�SDUWV� FRXOG�EH� HDVLO\� GDPDJHG�E\�PLVXVH�RU� LQFRUUHFWDVVHPEO\�� &RQVHTXHQWO\�� LW� LV�VXJJHVWHG� WKDW� WKLV�VDPSOHU�EH�XVHG�RQO\�E\�RU�XQGHU� WKH�GLUHFWLRQ�RI�DQH[SHULHQFHG�RSHUDWRU�

7R� RSHUDWH�� WKH� VDPSOHU� VKRXOG� EH� DVVHPEOHG� ZLWK� WKH� SLVWRQ� ORFNHG� IOXVK� ZLWK� WKH� ERWWRP� RI� WKHVDPSOLQJ�WXEH��$WWDFK�GULOO� URGV�DQG�SLVWRQ�URG�H[WHQVLRQV��DV�QHFHVVDU\��DQG�ORZHU�WKH�VDPSOHU� WR�WKHERWWRP�RI�D�FOHDQ�KROH��:KHQ�WKH�VDPSOHU�LV�LQ�FRQWDFW�ZLWK�WKH�ERWWRP�RI�WKH�KROH��FODPS�WKH�GULOO�URGVLQ�WKH�GULOO�ULJ�FKXFN�DVVHPEO\��,W�VKRXOG�EH�QRWHG�WKDW�WKH�+YRUVOHY�VDPSOHU�LV�QRW�SURQH�WR�FXWWLQJ�LQWRWKH� VLGH� RI� WKH� KROH� DV� LW� LV� ORZHUHG�EHFDXVH� WKH� SLVWRQ� LV� ORFNHG�DW� WKH� ERWWRP� RI� WKH�VDPSOLQJ� WXEH�)XUWKHUPRUH��WKH�VDPSOHU�FDQ�EH�SODFHG�ILUPO\�DJDLQVW�WKH�ERWWRP�RI�WKH�KROH�ZLWKRXW�SLFNLQJ�XS�FXWWLQJVEHFDXVH�WKH�SLVWRQ�LV�ORFNHG�LQ�SRVLWLRQ��+RZHYHU��FDUH�LV�UHTXLUHG�WR�HQVXUH�WKDW�WKH�ZHLJKW�RI�WKH�GULOOVWULQJ�GRHV�QRW�FDXVH�WKH�VDPSOHU�WR�SHQHWUDWH�RU�FRPSUHVV�WKH�XQGLVWXUEHG�VRLO�DW�WKH�ERWWRP�RI�WKH�KROH�

$Q�DOWHUQDWLYH�PHWKRG�RI�RSHUDWLQJ�WKH�VDPSOHU�FRQVLVWV�RI�DWWDFKLQJ�GULOO�URGV�RQO\��SULRU�WR�ORZHULQJ�WKHGHYLFH�WR�WKH�ERWWRP�RI�WKH�ERUHKROH��:KHQ�WKH�VDPSOHU�KDV�EHHQ�SODFHG�RQ�WKH�ERWWRP�RI�WKH�KROH��ORZHUWKH�SLVWRQ�URGV� WKURXJK�WKH�GULOO� URGV�DQG�DWWDFK�WKH�URGV�WR� WKH�WRS�RI�WKH�VDPSOHU�� 7KH�FRDUVH�IHPDOH

(0��-DQ��

)��

WKUHDG�HQG�RQ�WKH�SLVWRQ�URG�VKRXOG�EH�SODFHG�GRZQKROH�ILUVW��:KHQ�D�VXIILFLHQW�OHQJWK�RI�SLVWRQ�URGVKDYH� EHHQ� DGGHG� WR� WKH� VWULQJ� WR� FRQWDFW� WKH� SLVWRQ� URG� H[WHQVLRQ�ZKLFK� LV� ORFDWHG� DW� WKH� WRS� RI� WKHVDPSOHU��VFUHZ�WKH�SLVWRQ�URGV�LQ�D�FORFNZLVH�GLUHFWLRQ�RQWR�WKH�SLVWRQ�URG�H[WHQVLRQ��$IWHU� WKH�SLVWRQURGV�KDYH�EHHQ�FRQQHFWHG�WR�WKH�SLVWRQ�URG�H[WHQVLRQ��FRQWLQXH�WKH�FORFNZLVH�URWDWLRQ�RI�WKH�SLVWRQ�URGVIRU�VHYHQ�UHYROXWLRQV�WR�XQORFN�WKH�SLVWRQ�

3ULRU�WR�VDPSOLQJ��VHFXUH�WKH�SLVWRQ�URGV�WR�WKH�GULOO�ULJ�PDVW�RU�WR�D�IUDPH�ZKLFK�LV�LQGHSHQGHQW�RI�WKHGULOO�ULJ��3ODFH�D�UHIHUHQFH�PDUN��XVH�JULS�SOLHUV��RQ�WKH�SLVWRQ�URG�DW�WKH�WRS�RI�WKH�GULOO�URGV��$GYDQFH�SXVK��WKH�VDPSOHU�LQWR�WKH�XQGLVWXUEHG�VRLO�XVLQJ�WKH�GULOO�ULJ�GULYH�LQ�WKH�VDPH�PDQQHU�DV�GHVFULEHG�IRUWKH� WKLQ�ZDOOHG� RSHQ�WXEH� VDPSOHU�� 7KH� VDPSOHU� VKRXOG� EH� DGYDQFHG� LQWR� WKH� XQGLVWXUEHG� VRLO� DW� DXQLIRUP��FRQWLQXRXV�UDWH�ZLWKRXW�H[FHHGLQJ��FP��LQ��7KH�SXVK�VKRXOG�EH�VWRSSHG�LI�WKH�GULOO�ULJ�LVOLIWHG� RII� WKH� JURXQG�� DV� WKH� VDPSOH� FRXOG� EH� GLVWXUEHG� RU� WKH� VDPSOHU� FRXOG� EH� GDPDJHG�� $IWHU� WKHVDPSOHU�LV�DGYDQFHG��FODPS�D�YLVH�JULS�SOLHUV�RQ�WKH�SLVWRQ�URG�DW�WKH�WRS�RI�WKH�GULOO�URG�VWULQJ�WR�SUHYHQWWKH�SLVWRQ�URG�IURP�VOLGLQJ�GRZQ��0HDVXUH�DQG�UHFRUG�WKH�GLVWDQFH�EHWZHHQ�WKH�RULJLQDO�UHIHUHQFH�PDUNDQG�WKH�WRS�RI�WKH�GULOO�URGV��7KLV�GLVWDQFH�LV�WKH�SXVK�OHQJWK�

$W�WKH�HQG�RI�WKH�GULYH��URWDWH�WKH�GULOO�URGV�FORFNZLVH�WZR��URWDWLRQV�WR�VKHDU�WKH�VDPSOH�DW�WKH�ERWWRP�RIWKH�VDPSOLQJ�WXEH�DQG�WR�ORFN�WKH�SLVWRQ��5HWUDFW�WKH�VDPSOHU�LQWR�RSHQ�ERUHKROH��'LVFRQQHFW�WKH�SLVWRQURGV�IURP�WKH�VDPSOHU�E\�FRQWLQXHG�URWDWLRQ�RI�WKH�GULOO�URGV�LQ�WKH�FORFNZLVH�GLUHFWLRQ��WKLV�DFWLRQ�DOORZVWKH�SLVWRQ�URGV�WR�EH�UHPRYHG�EHIRUH�WKH�VDPSOHU�LV�ZLWKGUDZQ��5HPRYH�WKH�VDPSOHU�IURP�WKH�ERUHKROH�'XULQJ� WKH�ZLWKGUDZDO�RI� WKH�VDPSOHU� IURP� WKH�ERUHKROH�� WKH�SLVWRQ�LV�KHOG� VWDWLRQDU\�DW� WKH� WRS�RI�LWVVWURNH�E\�D� VSOLW� FRQH� FODPS�� ([WUHPH�FDUH�PXVW� EH�H[HUFLVHG�ZKHQ� WKH�VDPSOHU� LV� UHPRYHG� IURP�WKHERUHKROH�WR�DYRLG�MDUULQJ�RU�ORVLQJ�WKH�VDPSOH�

5HPRYH� WKH� VDPSOH� WXEH� IURP� WKH�VDPSOHU� DIWHU� WKH�YDFXXP�EUHDNHU� URG� LV� UHPRYHG�� 0DNH�QHFHVVDU\PHDVXUHPHQWV� WR� WKH� QHDUHVW� �� FP� �� IW�� LQFOXGLQJ� VDPSOH� OHQJWKV� DQG� DQ\� JDS� WKDW� PD\� H[LVWEHWZHHQ�WKH�SLVWRQ�DQG�WKH�WRS�RI�WKH�VDPSOH��5HFRUG�WKH�GDWD��VHDO�WKH�VDPSOH�IRU�VKLSPHQW�WR�WKH�VRLOVODERUDWRU\�� LGHQWLI\�DQG� ODEHO� WKH� VDPSOH�� DQG�XSGDWH� WKH�ERULQJ�ORJV��VHH�&KDSWHU�� *HQHUDOO\�� WKHXQGLVWXUEHG�VRLO�VDPSOH�ZLOO�EH�VHDOHG�DQG�VKLSSHG�WR�WKH�ODERUDWRU\�LQ�WKH�VDPSOH�WXEH��XQOHVV�WKH�VDPSOHLV�H[WUXGHG�RQ�VLWH��$IWHU�HDFK�VDPSOLQJ�GULYH�KDV�EHHQ�FRPSOHWHG��WKH�VDPSOHU�VKRXOG�EH�GLVDVVHPEOHGDQG�WKRURXJKO\�ZDVKHG��FOHDQHG��OXEULFDWHG��DQG�UHDVVHPEOHG�EHIRUH�WKH�QH[W�VDPSOLQJ�GULYH�

�E�� %XWWHUV� IL[HG�SLVWRQ� VDPSOHU�� 7KH�%XWWHUV� VDPSOHU� LV� D�PHFKDQLFDOO\� DFWLYDWHG�+YRUVOHY�W\SHIL[HG�SLVWRQ� VDPSOHU�� 7KH� EDVLF� RSHUDWLRQ� RI� WKH� %XWWHUV� VDPSOHU� LV� VLPLODU� WR� WKH� RSHUDWLRQ� RI� WKH+YRUVOHY� VDPSOHU�� 7KH� EDVLF� GLIIHUHQFHV� DUH� WKH� %XWWHUV� VDPSOHU� KDV� DOO� ULJKW�KDQG� WKUHDGV� DQG� DVLPSOLILHG�SLVWRQ�URG�ORFNLQJ�DQG�XQORFNLQJ�PHFKDQLVP��WKHVH�IHDWXUHV�PDNH�WKH�%XWWHUV�VDPSOHU�PXFKHDVLHU�WR�RSHUDWH�

%HFDXVH� RI� WKH� VLPLODULW\� RI� WKH� +YRUVOHY� DQG� %XWWHUV� VDPSOHUV�� GHWDLOV� IRU� RSHUDWLRQ� RI� WKH� %XWWHUVVDPSOHU�DUH�QRW�SUHVHQWHG�KHUHLQ��$V�LV�WKH�FDVH�IRU�DQ\�VDPSOHU��WKH�PHFKDQLFV�RI�WKH�%XWWHUV�VDPSOHUPXVW� EH� WKRURXJKO\� XQGHUVWRRG� E\� WKH� RSHUDWRU� EHIRUH� LW� LV� XVHG� EHFDXVH� WKH� SUHFLVLRQ� SDUWV� FRXOG� EHHDVLO\�GDPDJHG�E\�PLVXVH�RU�LQFRUUHFW�DVVHPEO\��7KHUHIRUH��LW�LV�VXJJHVWHG�WKDW�WKH�VDPSOHU�EH�XVHG�RQO\E\�RU�XQGHU�WKH�GLUHFWLRQ�RI�DQ�H[SHULHQFHG�RSHUDWRU�

�F��2VWHUEHUJ�IL[HG�SLVWRQ�VDPSOHU��7KH�2VWHUEHUJ�VDPSOHU�LV�D�K\GUDXOLFDOO\�DFWLYDWHG�IL[HG�SLVWRQVDPSOHU� ZKLFK� LV� VLJQLILFDQWO\� GLIIHUHQW� LQ� GHVLJQ� DQG� RSHUDWLRQ� IURP� WKH� PHFKDQLFDOO\� DFWLYDWHG+YRUVOHY�DQG�%XWWHUV�VDPSOHUV��6LQFH�WKH�2VWHUEHUJ�VDPSOHU�GRHV�QRW�UHTXLUH�SLVWRQ�URG�H[WHQVLRQV��LW�LVIDVWHU� DQG� HDVLHU� WR� DVVHPEOH�� RSHUDWH�� DQG� GLVDVVHPEOH� WKDQ� WKH� PHFKDQLFDOO\�DFWLYDWHG� VDPSOHUV�+RZHYHU�� WKH� VDPSOHU�GRHV�FRQWDLQ�PRYLQJ�SDUWV�ZLWK�2�ULQJ�VHDOV�ZKLFK�UHTXLUH�FDUHIXO�DVVHPEO\�DQG

(0��-DQ��

)��

PXVW�EH�NHSW�FOHDQ�DQG� OXEULFDWHG�IRU�SURSHU�RSHUDWLRQ�� 7KHUHIRUH�� LW� LV� UHFRPPHQGHG� WKDW�FOHDU�ZDWHUVKRXOG� EH� XVHG� WR� DGYDQFH� WKH� VDPSOHU� EHFDXVH� WKH� VDQG� SDUWLFOHV� VXVSHQGHG� LQ� WKH� GULOOLQJ� PXG� DUHDEUDVLYH�DQG�FDQ�GDPDJH�WKH�2�ULQJ�VHDOV��KRZHYHU��WKLV�UHFRPPHQGDWLRQ�PD\�QRW�DOZD\V�EH�IHDVLEOH�

7KH�VDPSOHU�VKRXOG�EH�DVVHPEOHG�ZLWK�WKH�SLVWRQ�IOXVK�ZLWK�WKH�ERWWRP�RI�WKH�VDPSOLQJ�WXEH�DQG�ORZHUHGWR�WKH�ERWWRP�RI�D�FOHDQHG�KROH��%HFDXVH�WKH�SLVWRQ�LV�IL[HG�LQ�SRVLWLRQ��WKH�VDPSOHU�FDQ�EH�SODFHG�ILUPO\DJDLQVW� WKH� ERWWRP�RI� WKH�KROH�� 7KH�GULOO� URGV�VKRXOG�EH�VHFXUHO\�DWWDFKHG� WR� WKH�GULOO� ULJ� WR�SURYLGH�DUHDFWLRQDU\�IRUFH�IRU�SXVKLQJ�WKH�VDPSOLQJ�WXEH�LQWR�WKH�XQGLVWXUEHG�VRLO�

7R�DGYDQFH�WKH�VDPSOHU��IOXLG�SUHVVXUH�LV�DSSOLHG�WKURXJK�WKH�GULOO�URGV�WR�WKH�VDPSOHU�SUHVVXUH�F\OLQGHU�'XH�WR�WKH�SUHVVXUH�LQFUHDVH��WKH�LQQHU�VDPSOHU�KHDG�LV�IRUFHG�GRZQZDUG�WR�DGYDQFH�WKH�VDPSOH�WXEH�LQWRWKH� XQGLVWXUEHG� VRLO��:KHQ� WKH� LQQHU� VDPSOHU� KHDG� KDV� UHDFKHG� LWV� IXOO� VWURNH� �WKH� VDPSOLQJ� WXEH� KDVSHQHWUDWHG�LWV�IXOO�GHSWK�LQWR�WKH�VRLO��WKH�SUHVVXUH�LV�UHOLHYHG�WKURXJK�E\SDVV�SRUWV�LQ�WKH�KROORZ�SLVWRQURG��7KH�FKDQJH�RI�SUHVVXUH�FDQ�EH�REVHUYHG�DV�D�GURS�LQ�WKH�UHDGLQJ�RQ�D�IOXLG�SUHVVXUH�JDXJH��$Q�DLUEXEEOH�DQG�RU�GULOOLQJ�IOXLG�UHWXUQ�REVHUYHG�DW�WKH�WRS�RI�WKH�PXG�FROXPQ�LQGLFDWHV�WKDW�WKH�VDPSOHU�KDVEHHQ�DGYDQFHG�LWV�IXOO�GLVWDQFH��7KH�IOXLG�SXPS�VKRXOG�WKHQ�EH�GLVHQJDJHG�

7KH� VDPSOLQJ� WXEH� FDQQRW� EH� RYHUSXVKHG� EHFDXVH� WKH� IOXLG� SUHVVXUH� LV� DXWRPDWLFDOO\� UHOLHYHG� E\FLUFXODWLRQ� E\SDVV� WKURXJK� SRUWV� LQ� WKH� KROORZ� SLVWRQ� URG� RQFH� WKH� VDPSOH� WXEH� KDV� DGYDQFHG� LWV� IXOOOHQJWK�� +RZHYHU�� LI� WKH� IOXLG� SUHVVXUH� GRHV� QRW� GHFUHDVH� DQG� D� UHWXUQ� IORZ� LV� QRW� REVHUYHG�� WKLV� IDFWXVXDOO\�LQGLFDWHV�WKDW�D�IXOO�VWURNH�RU�GULYH�ZDV�QRW�DFKLHYHG��,I�D�IXOO�GULYH�FDQQRW�EH�FRPSOHWHG��LW� LVQHFHVVDU\�WR�PHDVXUH�WKH�DFWXDO�GULYH�RQFH�WKH�VDPSOHU�KDV�EHHQ�OLIWHG�RXW�RI�WKH�KROH��7KLV�PHDVXUHPHQWVKRXOG�EH�QRWHG�RQ�WKH�ERULQJ�ORJV�

$IWHU�WKH�GULYH�KDV�EHHQ�FRPSOHWHG��WKH�VDPSOHU�VKRXOG�EH�URWDWHG�WZR�RU�WKUHH�UHYROXWLRQV�LQ�D�FORFNZLVHGLUHFWLRQ�WR�ORFN�WKH�VDPSOH�WXEH�LQ�SRVLWLRQ�IRU�ZLWKGUDZDO�IURP�WKH�KROH��7KH�URWDWLRQ�RI�WKH�VDPSOHUDFWLYDWHV� D� IULFWLRQ� FOXWFK� PHFKDQLVP� WKDW� DOORZV� WKH� LQQHU� VDPSOHU� KHDG� WR� JUDVS� WKH� LQVLGH� RI� WKHVDPSOHU�SUHVVXUH�F\OLQGHU��7KLV�DFWLRQ�DOVR�VKHDUV�WKH�VDPSOH�DW�WKH�ERWWRP�RI�WKH�VDPSOLQJ�WXEH��

7KH�VDPSOHU�VKRXOG�EH�ZLWKGUDZQ�VORZO\�DQG�YHU\�FDUHIXOO\�IURP�WKH�ERUHKROH�WR�DYRLG�MDUULQJ�RU�ORVLQJWKH� VDPSOH�� $IWHU� WKH� VDPSOHU� KDV� EHHQ� ZLWKGUDZQ� IURP� WKH� ERUHKROH�� WKH� VDPSOLQJ� WXEH� VKRXOG� EHUHPRYHG�IURP�WKH�VDPSOHU��$IWHU�WKH�EROWV�RU�VFUHZV�ZKLFK�DUH�XVHG�WR�DWWDFK�WKH�VDPSOLQJ�WXEH�WR�WKHVDPSOHU� KHDG�KDYH� EHHQ� UHPRYHG�� WKH�YDFXXP�ZKLFK�ZDV�GHYHORSHG� DV�D� UHVXOW� RI� WKH� VDPSOLQJ�GULYHPXVW�EH�UHOHDVHG�EHIRUH�WKH�WXEH�FDQ�EH�UHPRYHG�IURP�WKH�KHDG��7KH�YDFXXP�FDQ�EH�UHOHDVHG�E\�GULOOLQJD�VPDOO�KROH�WKURXJK�WKH�WXEH�MXVW�EHORZ�WKH�SLVWRQ��2QFH�WKH�YDFXXP�KDV�EHHQ�UHOHDVHG��WKH�VDPSOH�WXEHFDQ�EH�UHPRYHG�IURP�WKH�VDPSOHU��1HFHVVDU\�GDWD�VKRXOG�EH�UHFRUGHG��WKH�VDPSOH�VKRXOG�EH�VHDOHG�DQGLGHQWLILHG��DQG�WKH�ERULQJ�ORJV�VKRXOG�EH�XSGDWHG��VHH�&KDSWHU��7KH�VDPSOHU�VKRXOG�EH�GLVDVVHPEOHG�ZDVKHG��FOHDQHG��OXEULFDWHG��DQG�UHDVVHPEOHG�IRU�WKH�QH[W�VDPSOLQJ�GULYH�

�G��0RGLILHG�2VWHUEHUJ�IL[HG�SLVWRQ�VDPSOHU��7KH�PRGLILHG�2VWHUEHUJ�IL[HG�SLVWRQ�VDPSOHU��OLNH�WKH2VWHUEHUJ�VDPSOHU�� LV�D�K\GUDXOLFDOO\�DFWLYDWHG�IL[HG�SLVWRQ�VDPSOHU�� ,W�XVHV�WKH�VDPH�EDVLF�GHVLJQ�DQGSULQFLSOHV�RI�RSHUDWLRQ�DV�WKH�FRQYHQWLRQDO�2VWHUEHUJ�VDPSOHU��$OO�RI� WKH�JHQHUDO�SURFHGXUHV�GHVFULEHGIRU�WKH�2VWHUEHUJ�VDPSOHU�DOVR�DSSO\�WR�WKH�PRGLILHG�2VWHUEHUJ�VDPSOHU�

7KH� PDMRU� GLIIHUHQFHV� DQG� LPSURYHPHQWV� LQ� WKH� PRGLILHG� 2VWHUEHUJ� VDPSOHU� DV� FRPSDUHG� WR� WKHFRQYHQWLRQDO� 2VWHUEHUJ� VDPSOHU� LQFOXGH� D� PRUH� ULJLG� VDPSOHU� ZKLFK� LQFUHDVHV� LW� DSSOLFDELOLW\� IRUVDPSOLQJ� VRLOV� FRQWDLQLQJ� ILQH� JUDYHOV�� WKH� XVH� RI� DOXPLQXP� VDPSOH� OLQHUV� ZLWK� D� FDVH�KDUGHQHGUHSODFHDEOH�GULYLQJ�VKRH��DQG�WKH�DGGLWLRQ�RI�D�YHQW�KROH�LQ�WKH�WKLFN�ZDOOHG�LQQHU�VDPSOHU�EDUUHO�WR�DOORZWKH� YDFXXP� VHDO� WR� EH� EURNHQ� IRU� UHPRYDO� RI� WKH� OLQHU�� 'XULQJ� VDPSOLQJ� RSHUDWLRQV�� WKH� XQGLVWXUEHG

(0��-DQ��

)��

VDPSOH� FDQ�EH� HDVLO\� UHPRYHG� IURP� WKH� VDPSOHU� E\� VLPSO\� UHPRYLQJ� WKH� GULYLQJ�VKRH� DQG� SXOOLQJ� WKHDOXPLQXP�OLQHU�RXW�RI� WKH�LQQHU�VDPSOHU�EDUUHO�� 5HORDGLQJ�RI� WKH�VDPSOHU�LV�DFFRPSOLVKHG�E\�VOLGLQJ�DQHZ�OLQHU�LQWR�WKH�LQQHU�EDUUHO��DWWDFKLQJ�WKH�GULYLQJ�VKRH��DQG�SXVKLQJ�WKH�LQQHU�EDUUHO�LQWR�WKH�SUHVVXUHF\OLQGHU�� %HFDXVH� RI� WKH� VLPLODULW\� RI� WKH�2VWHUEHUJ� DQG� WKH�PRGLILHG�2VWHUEHUJ� VDPSOHUV�� GHWDLOV� IRURSHUDWLRQ�RI� WKH�PRGLILHG�2VWHUEHUJ�VDPSOHU�DUH�QRW�SUHVHQWHG�KHUHLQ�� $V� LV� WKH�FDVH� IRU�DQ\�VDPSOHU�KRZHYHU�� WKH� PHFKDQLFV� RI� WKH� PRGLILHG� 2VWHUEHUJ� VDPSOHU� PXVW� EH� WKRURXJKO\� XQGHUVWRRG� E\� WKHRSHUDWRU�EHIRUH� LW� LV�XVHG��DV� WKH�SDUWV�FRXOG�EH�HDVLO\�GDPDJHG�E\�PLVXVH�RU� LQFRUUHFW�DVVHPEO\�� ,W� LVVXJJHVWHG�WKDW�WKH�VDPSOHU�EH�XVHG�RQO\�E\�RU�XQGHU�WKH�GLUHFWLRQ�RI�DQ�H[SHULHQFHG�RSHUDWRU�

E� &RUH� EDUUHO� VDPSOHUV�� :KHQ� WKH� PDWHULDO� WR� EH� VDPSOHG� FRQWDLQV� JUDYHO� RU� LV� WRR� KDUG� WRSHQHWUDWH�ZLWK�WKH�WKLQ�ZDOOHG�SXVK�WXEH�VDPSOHU��GRXEOH��RU�WULSOH�WXEH�FRUH�EDUUHO�VDPSOHUV�VXFK�DV�WKH'HQLVRQ�VDPSOHU�RU�WKH�3LWFKHU�VDPSOHU�ZKLFK�DUH�GHVFULEHG�LQ�&KDSWHU��PD\�EH�XVHG��7R�VDPSOH��WKHFRUH�EDUUHO�LV�ORZHUHG�WR�ZLWKLQ�D�IHZ�WHQWKV�RI�D�IRRW�IURP�WKH�ERWWRP�RI�WKH�ERUHKROH�DQG�FLUFXODWLRQ�RIWKH�GULOOLQJ�IOXLG�LV�EHJXQ��WKH�FLUFXODWLRQ�KHOSV�WR�UHPRYH�FXWWLQJV�WKDW�PD\�KDYH�VHWWOHG�WR�WKH�ERWWRP�7KH�FRUH�EDUUHO�LV�WKHQ�ORZHUHG�WR�WKH�ERWWRP�RI�WKH�KROH��URWDWHG��DQG�IRUFHG�GRZQZDUG�DW�D�XQLIRUP�UDWH�7KH�ELW�SUHVVXUH��VSHHG�RI�URWDWLRQ��DQG�GULOOLQJ�IOXLG�SUHVVXUH�PXVW�RIWHQ�EH�GHWHUPLQHG�H[SHULPHQWDOO\EHFDXVH� RI� WKH� YDULHW\� RI� FRUH� EDUUHOV�� GULOOLQJ� IOXLGV�� DQG�YDULDWLRQV� RI� WKH� VRLO� IRUPDWLRQV�ZKLFK� DUHHQFRXQWHUHG�

7KH� VSHHG� RI� URWDWLRQ� DQG� WKH� UDWH� RI� DGYDQFH�PXVW� EH� DGMXVWHG� WR� HQVXUH� FRQWLQXRXV� SHQHWUDWLRQ� E\VWHDG\�FXWWLQJ�RI�WKH�ELW��7KH�UDWH�RI�SHQHWUDWLRQ�VKRXOG�QRW�EH�JUHDWHU�WKDQ�WKH�VSHHG�DW�ZKLFK�WKH�RXWHUEDUUHO� LV�DEOH� WR�FXW�� ,I�WKH�ELW� LV�DGYDQFHG�WRR�UDSLGO\��LW�PD\�EHFRPH�SOXJJHG�DQG�JULQG�DZD\�RQ� WKHFRUH�� ,I�WKH�ELW�LV�DGYDQFHG�WRR�VORZO\��RU�LQWHUPLWWHQWO\��WKH�FRUH�ZLOO�EH�H[SRVHG�WR�H[FHVVLYH�HURVLRQDQG� WRUVLRQDO� VWUHVVHV�� 7KH� URWDWLRQDO� VSHHG�RI� WKH�ELW� VKRXOG�EH� OLPLWHG� WR� WKDW�ZKLFK�ZLOO�QRW� WHDU�RUEUHDN� WKH� VRLO� VDPSOH�� *HQHUDOO\�� WR� �� USP� LV� VDWLVIDFWRU\� IRU� FRULQJ�PRVW� VRLOV�� 7KH�'HQLVRQVDPSOHU�LV�DGYDQFHG�DW�D�VSHHG�ZKLFK�DOORZV�WKH�VDPSOH�WR�PRYH�LQWR�WKH�VDPSOHU�ZLWKRXW�GLVWXUEDQFH�6DPSOHU�URWDWLRQ��IOXLG�SUHVVXUH��GRZQZDUG�IRUFH��DQG�VDPSOHU�FRQILJXUDWLRQ�VKRXOG�YDU\�ZLWK�WKH�W\SH�RIVRLO�EHLQJ�VDPSOHG�

7KH�GULOOLQJ�IOXLG�SXPS�SUHVVXUHV�DQG�IORZ�UDWHV�VKRXOG�EH�WKH�PLQLPXP�QHFHVVDU\�WR�FLUFXODWH�WKH�IOXLGIUHHO\��FDUU\�WKH�FXWWLQJV�IURP�WKH�KROH��DQG�VWDELOL]H�WKH�ERUHKROH�ZDOOV��7RR�PXFK�GULOOLQJ�IOXLG�SUHVVXUHDQG� � WRR�KLJK�RI�IORZ�UDWH�ZLOO�HURGH�WKH�FRUH��ZKHUHDV� WRR� OLWWOH�GULOOLQJ�IOXLG�SUHVVXUH�DQG� WRR� ORZ�RIIORZ�UDWH�ZLOO�SOXJ�WKH�ELW�DQG�PD\�DOORZ�WKH�FXWWLQJV�WR�HQWHU�WKH�FRUH�EDUUHO�ZLWK�WKH�FRUH�RU�SOXJ� WKHDQQXOXV�EHWZHHQ�WKH�LQQHU�DQG�RXWHU�EDUUHOV�

([WHQVLRQ�RI� WKH� LQQHU� EDUUHO� FXWWLQJ� VKRH�EH\RQG� WKH� RXWHU�EDUUHO� FXWWLQJ� WHHWK�GHSHQGV�XSRQ� WKH�VRLOW\SH��7KH�OHQJWK�RI�WKH�H[WHQVLRQ�VKRXOG�EH�WKH�OHDVW�DPRXQW�ZKLFK�ZLOO�UHVXOW�LQ�D�IXOO�VDPSOH�WKDW�LV�QRWXQGHUFXW�RU�FRQWDPLQDWHG�E\�GULOOLQJ�IOXLG��,I�WKH�VRLO�IRUPDWLRQ�LV�HDVLO\�HURGHG��WKH�FXWWLQJ�VKRH�VKRXOGEH�H[WHQGHG�EHORZ�WKH�FXWWLQJ�WHHWK�RI�WKH�RXWHU�EDUUHO��,I�WKH�FXWWLQJ�VKRH�ZLOO�QRW�SHQHWUDWH�WKH�VRLO��WKHFXWWLQJ�HGJH�PXVW�EH�DGMXVWHG�HYHQ�ZLWK�RU�VOLJKWO\�DERYH�WKH�FXWWLQJ�WHHWK�RI�WKH�ELW�

7KH�WRWDO�OHQJWK�RI�WKH�VDPSOLQJ�GULYH�VKRXOG�DOZD\V�EH�D�IHZ�LQFKHV�VKRUW�RI�WKH�OHQJWK�RI�WKH�VDPSOHU�WRHQVXUH� WKDW� WKH� VDPSOH� LV� QRW� FRPSDFWHG� LQ� WKH� VDPSOHU�� $�VDPSOLQJ�GULYH� RI��FP� �� LQ��SOXV� WKHOHQJWK�RI�WKH�FXWWLQJ�VKRH�LV�D�UHDVRQDEOH�YDOXH�IRU�WKH�WRWDO�OHQJWK�RI�GULYH��$�FRUH�FDWFKHU�VKRXOG�QRW�EHXVHG�XQOHVV�DEVROXWHO\�QHFHVVDU\�WR�UHWDLQ�WKH�VRLO��,I�D�FRUH�FDWFKHU�KDV�EHHQ�XVHG��LW�VKRXOG�EH�QRWHG�RQWKH�GDWD�IRUP��$IWHU�WKH�VDPSOLQJ�GULYH�KDV�EHHQ�FRPSOHWHG��WKH�FRUH�EDUUHO�VDPSOHU�VKRXOG�EH�FDUHIXOO\ZLWKGUDZQ�IURP�WKH�ERUHKROH�WR�DYRLG�GLVWXUELQJ�WKH�VDPSOH��7KH�GULOOLQJ�SUDFWLFHV��ZKLFK�DUH�VXJJHVWHGLQ�SDUDJUDSK��VKRXOG�DOZD\V�EH�IROORZHG�

(0��-DQ��

)��

F� +ROORZ�VWHP�DXJHU�VDPSOHU��7KH�KROORZ�VWHP�DXJHU�VDPSOHU�FRQVLVWV�RI�D�URWDWLQJ�RXWHU�DXJHUEDUUHO� ZLWK� FXWWLQJ� ELWV� DW� LWV� ERWWRP� DQG� D� VWDWLRQDU\� LQQHU� EDUUHO� ZLWK� D� VPRRWK� FXWWLQJ� VKRH�� 7KHSULQFLSOH� RI� RSHUDWLRQ� LV� VLPLODU� WR� WKH� RSHUDWLRQ� RI� WKH� FRUH� EDUUHO� VDPSOHU�� WKH� LQQHU� EDUUHO� UHPDLQVVWDWLRQDU\�DQG�VOLGHV�RYHU�WKH�VDPSOH�LQ�DGYDQFH�RI�WKH�URWDWLQJ�RXWHU�EDUUHO�� 7KH�RXWHU�EDUUHO�HQODUJHVWKH� KROH� DERYH� WKH�VDPSOH�� &XWWLQJV� DUH� OLIWHG� WR� WKH� VXUIDFH� E\� WKH� DXJHU� IOLJKWV�RQ� WKH�RXWHU�EDUUHO�ZKLFK�DOVR�DFWV�DV�FDVLQJ�LQ�WKH�ERUHKROH��$GGLWLRQDO�VHFWLRQV�RI�DXJHU�FDQ�EH�DGGHG�DV�WKH�ERUHKROH�LVDGYDQFHG�

7KH� DXJHU� LV� URWDWHG� DQG� IRUFHG� GRZQZDUG� LQ� RQH� FRQWLQXRXV� PRWLRQ�� 3URSHU� URWDWLRQ� VSHHG� DQGGRZQIHHG� SUHVVXUH� DUH� UHTXLUHG� WR� DGYDQFH� WKH� DXJHU� VDPSOHU� DQG� WR� FOHDQ� WKH� ERUHKROH�� ([FHVVLYHGRZQIHHG�SUHVVXUH�FRXOG�FDXVH� WKH�DXJHU� WR�FRUNVFUHZ�LQWR� WKH�JURXQG�DQG�ELQG� LQ� WKH�KROH�� $�FHQWHUSLORW�ELW�RU�FHQWHU�DXJHU��ZKLFK�FDQ�EH�UHPRYHG�DW�DQ\�GHSWK�DQG�UHSODFHG�ZLWK�WKH�LQQHU�EDUUHO�DVVHPEO\IRU� VDPSOLQJ�� FDQ� EH� XVHG� WR�NHHS� WKH� KROORZ� VWHP� RSHQ�� ,I� WKH� KROORZ�VWHP� DXJHU� LV� XVHG� DV�FDVLQJEHORZ� WKH� JURXQGZDWHU� OHYHO�� WKH� FHQWHU� SLORW� ELW� DQG� DXJHU� VHFWLRQV� VKRXOG� EH� ILWWHG� ZLWK�2�ULQJV� WRSUHYHQW� OHDNDJH�� +RZHYHU�� LI� WKH� FHQWHU� SLORW� ELW� PXVW� EH� UHPRYHG� IRU� DQ\� UHDVRQ�� WKH� K\GURVWDWLFSUHVVXUH� LQVLGH� WKH�KROORZ�VWHP�DXJHU� VKRXOG�EH�DGMXVWHG� WR� WKH�K\GURVWDWLF�SUHVVXUH�RXWVLGH� WKH�DXJHUEDUUHO�WR�SUHYHQW�KHDYLQJ�DW�WKH�ERWWRP�RI�WKH�EDUUHO�DV�WKH�FHQWHU�ELW�LV�UHPRYHG�

��3UHVHUYDWLRQ�RI�6DPSOHV

8QGLVWXUEHG�VDPSOHV�PXVW�EH�KDQGOHG�DQG�SUHVHUYHG�LQ�D�PDQQHU�WR�SUHVHUYH�VWUDWLILFDWLRQ�RU�VWUXFWXUH�ZDWHU�FRQWHQW��DQG�LQ�VLWX�VWUHVVHV��WR�WKH�H[WHQW�SRVVLEOH��2QFH�WKH�VDPSOH�KDV�EHHQ�UHPRYHG�IURP�WKHERUHKROH��LW�PXVW�EH�HLWKHU�VHDOHG�ZLWKLQ�WKH�VDPSOLQJ�WXEH�RU�H[WUXGHG�DQG�VHDOHG�ZLWKLQ�DQRWKHU�VXLWDEOHFRQWDLQHU�SULRU�WR�VKLSPHQW�WR�WKH�ODERUDWRU\�IRU�WHVWLQJ��,Q�JHQHUDO��FDUERQ�VWHHO�WXEHV�VKRXOG�QRW�EH�XVHGLI�WKH�VDPSOHV�DUH�WR�EH�VWRUHG�LQ�WKH�WXEHV�IRU�DQ�H[WHQGHG�SHULRG�RI�WLPH�EHFDXVH�WKH�WXEHV�ZLOO�UXVW�RUFRUURGH�DQG�PD\�FRQWDPLQDWH�WKH�VDPSOH��,I�H[WHQGHG�VWRUDJH�LV�UHTXLUHG��FRQWDLQHUV�PDGH�RI�DOWHUQDWLYHPHWDOV�RU�ZD[�FRDWHG�FDUGERDUG� WXEHV�VKRXOG�EH�FRQVLGHUHG�� 6DPSOHV� IRU�ZDWHU�FRQWHQW�GHWHUPLQDWLRQPXVW�EH�VHDOHG�WR�SUHYHQW�FKDQJHV�RI�VRLO�PRLVWXUH��,I�JODVV�MDUV�DUH�XVHG��WKH�JDVNHW�DQG�WKH�VHDOLQJ�HGJHRI�WKH�FRQWDLQHU�PXVW�EH�FOHDQ�WR�HQVXUH�D�JRRG�VHDO��*XLGDQFH�IRU�SUHVHUYDWLRQ�DQG�VKLSPHQW�RI�VDPSOHVLV�JLYHQ�LQ�&KDSWHU��DQG�LQ�$670�6WDQGDUG�'��$670��

D� 6WRULQJ�VDPSOHV�LQ�VDPSOLQJ�WXEHV��$ERXW��FP��LQ��RI�PDWHULDO�PXVW�EH�UHPRYHG�IURP�WKHERWWRP�RI� WKH� VDPSOLQJ� WXEH� WR�SURYLGH� D� VSDFH� IRU� DQ�H[SDQGDEOH� SDFNHU�� DV� VKRZQ� LQ�)LJXUH��RUVLPLODU�GHYLFH��VXFK�DV�SUHZD[HG�FLUFXODU�ZRRGHQ�EORFNV��IRU�VHDOLQJ�WKH�WXEH�� 7KH�H[SDQGDEOH�SDFNHUFRQVLVWV�RI�WZR�PHWDO�RU�SODVWLF�GLVNV�ZKLFK�DUH�VHSDUDWHG�E\�D�WKLFN�UXEEHU�2�ULQJ��7LJKWHQLQJ�WKH�ZLQJQXW�ZKLFK�LV�XVHG�WR�KROG�WKH�GLVNV�WRJHWKHU�ZLOO�VTXHH]H�DQG�IRUFH�WKH�UXEEHU�2�ULQJ�DJDLQVW�WKH�ZDOO�RIWKH�VDPSOLQJ�WXEH�WR�SURYLGH�D�PRLVWXUH�SURRI�VHDO��7KH�FXS�FOHDQRXW�DXJHU�LQ�)LJXUH��FDQ�EH�XVHG�WRUHPRYH�PDWHULDO�IURP�WKH�ERWWRP�RI�WKH�VDPSOLQJ�WXEH��,W�SURGXFHV�D�SODQH�VXUIDFH�RQ�ZKLFK�WKH�SDFNHUPD\�UHVW��7KH�VRLO�ZKLFK�LV�H[WUDFWHG�IURP�WKH�ERWWRP�RI�WKH�VDPSOLQJ�WXEH�VKRXOG�EH�SODFHG�DQG�VHDOHGLQ� D� MDU�RU� RWKHU� VXLWDEOH� FRQWDLQHU� VR� WKDW� LW�PD\�EH� XVHG� ODWHU� IRU� FODVVLILFDWLRQ� DQG�RU�ZDWHU� FRQWHQWGHWHUPLQDWLRQ�

�� &RKHVLRQOHVV� VRLOV�� ,PPHGLDWHO\� DIWHU� WKH� VDPSOHU� KDV� EHHQ�ZLWKGUDZQ� IURP� WKH� ERUHKROH�� DSHUIRUDWHG��H[SDQGDEOH�SDFNHU��VLPLODU�WR�WKH�RQH�VKRZQ�LQ�)LJXUH��PXVW�EH�LQVHUWHG�LQ�WKH�ERWWRP�RIWKH�VDPSOLQJ�WXEH��$�VKHHW�RI�ILOWHU�SDSHU�RU�SDSHU�WRZHO�VKRXOG�EH�SODFHG�EHWZHHQ�WKH�SDFNHU�DQG�WKHVDPSOH��7KH�SDSHU�ZLOO�DOORZ�H[FHVV�PRLVWXUH�WR�GUDLQ�IURP�WKH�VDPSOH�ZLWKRXW�ORVLQJ�WKH�FRKHVLRQOHVVPDWHULDO�� 'UDLQDJH�RI�ZDWHU�IURP�WKH�VDPSOH�ZLOO�KHOS�WR�SUHYHQW�OLTXHIDFWLRQ�DQG�PLQLPL]H�WKH�VDPSOHGLVWXUEDQFH�FDXVHG�E\�VDPSOH�KDQGOLQJ�

(0��-DQ��

)��

$IWHU�WKH�SDFNHU�KDV�EHHQ�LQVHUWHG�LQ�WKH�ERWWRP�RI�WKH�WXEH��WKH�WXEH�DQG�WKH�VDPSOHU�VKRXOG�EH�FDUHIXOO\UHPRYHG�IURP�WKH�GULOO�URGV�DV�D�XQLW�DQG�NHSW�LQ�DQ�XSULJKW�RULHQWDWLRQ��7KH�ORZHU�HQG�RI�WKH�WXEH�VKRXOGEH�SODFHG�RQ�D�ILUP�FXVKLRQHG�EDVH��DQG�WKH�VDPSOHU�KHDG�DQG�SLVWRQ�UHPRYHG�IURP�WKH�WXEH��&XWWLQJV�DWWKH�WRS�RI�WKH�VDPSOH�WXEH�VKRXOG�EH�QRWHG��PHDVXUHG��DQG�UHPRYHG�ZLWK�D�FXS�FOHDQRXW�DXJHU��IUHH�ZDWHUFDQ�EH�UHPRYHG�ZLWK�D�VXFWLRQ�EXOE�EHIRUH�D�SHUIRUDWHG�H[SDQGDEOH�SDFNHU�DQG�ILOWHU�SDSHU�RU�SDSHU�WRZHODUH�SODFHG�DJDLQVW�WKH�WRS�RI�WKH�VDPSOH�

$IWHU�WKH�WXEH�KDV�EHHQ�VHDOHG��LW�VKRXOG�EH�SODFHG�LQ�D�YHUWLFDO�UDFN�WR�DOORZ�WKH�IUHH�ZDWHU�WR�GUDLQ��7KHWLPH� UHTXLUHG�IRU�SURSHU�GUDLQDJH�GHSHQGV�RQ� WKH�ILQHV�IUDFWLRQ�RI� WKH� VRLO�� 7ZHQW\�IRXU� WR� IRUW\�HLJKWKRXUV� �KU�� LV� XVXDOO\� DFFHSWDEOH� IRU� PRVW� VRLO� W\SHV�� 8QGHU� QR� FLUFXPVWDQFHV� VKRXOG� WKH� VDPSOH� EHSHUPLWWHG�WR�GU\�FRPSOHWHO\��DV�LW� LV� LPSRVVLEOH�WR�WULP�RU�VOLFH�D�VDPSOH�RI�GU\�VDQG�RU�WR�UHPRYH�LW�LQLQFUHPHQWV�IRU�GHQVLW\�GHWHUPLQDWLRQV�

7KURXJKRXW�WKH�SUHFHGLQJ�RSHUDWLRQV��WKH�VDPSOLQJ�WXEH�VKRXOG�EH�PDLQWDLQHG�LQ�D�YHUWLFDO�SRVLWLRQ�IURPWKH� WLPH� WKH� VDPSOH� LV� REWDLQHG� XQWLO� GUDLQDJH� LV� FRPSOHWH�� ([WUHPH� FDUH�PXVW�EH� H[HUFLVHG� WR� DYRLGGLVWXUEDQFH�RI� WKH� VDPSOH�E\� URXJK�KDQGOLQJ�RU� MDUULQJ�� $IWHU� WKH� VDPSOH� KDV� GUDLQHG�� LW� LV� UHDG\� IRUUHPRYDO�IURP�WKH�VDPSOLQJ�WXEH�IRU�ILHOG�WHVWLQJ�RU�IRU�SUHSDUDWLRQ�IRU�VKLSPHQW�WR�WKH�ODERUDWRU\�

&RKHVLRQOHVV�VDQGV�PD\�EH�IUR]HQ�LQ�WKH�VDPSOLQJ�WXEH�DQG�NHSW�LQ�D�IUR]HQ�VWDWH�XQWLO�WKH\�DUH�WHVWHG�LQWKH�ODERUDWRU\��3ULRU�WR�IUHH]LQJ��WKH�VDPSOHV�VKRXOG�EH�WKRURXJKO\�GUDLQHG�WR�SUHYHQW�GLVUXSWLRQ�RI�WKHVRLO�VWUXFWXUH�GXH�WR�WKH�H[SDQVLRQ�RI�ZDWHU�XSRQ�IUHH]LQJ��-XGJPHQW�VKRXOG�EH�H[HUFLVHG�ZKHQ�IUHH]LQJFRKHVLRQOHVV�VDPSOHV�FRQWDLQLQJ�ILQHV�RU�VLOW�RU�FOD\�OHQVHV��1RW�RQO\�GR�WKH�VLOW�DQG�FOD\�OHQVHV�H[SDQGXSRQ�IUHH]LQJ��WKH�OHQVHV�DOVR�LPSHGH�GUDLQDJH��7KH�ZDWHU�LQ�LPSURSHUO\�GUDLQHG�]RQHV�ZLOO�H[SDQG�XSRQIUHH]LQJ�DQG�GLVWXUE�RU�GHVWUR\�WKH�VRLO�VWUXFWXUH�

��&RKHVLYH�VRLOV��8QGLVWXUEHG�VDPSOHV�RI�FRKHVLYH�VRLOV�DUH�XVXDOO\�UHPRYHG�IURP�WKH�WXEH�VRRQDIWHU�WKH�VDPSOH�LV�REWDLQHG��+RZHYHU��LI�WKH�VDPSOH�LV�WR�EH�SUHVHUYHG�LQ�WKH�WKLQ�ZDOOHG�VDPSOLQJ�WXEH�D�VPDOO�DPRXQW�RI�VRLO�VKRXOG�EH�UHPRYHG�IURP�WKH�ERWWRP�RI�WKH�WXEH�DQG�SODFHG�LQ�D�VXLWDEOH�FRQWDLQHU�&XWWLQJV� DW� WKH� WRS� RI� WKH� VDPSOH� WXEH� VKRXOG� EH� QRWHG�� PHDVXUHG�� DQG� UHPRYHG�ZLWK� D� FXS� FOHDQRXWDXJHU��GULOOLQJ�PXG�FDQ�EH�UHPRYHG�ZLWK�D�VXFWLRQ�EXOE��7KH�VDPSOH�WXEH�VKRXOG�WKHQ�EH�VHDOHG�ZLWK�DVROLG��H[SDQGDEOH�2�ULQJ�SDFNHU�RU�VRPH�RWKHU�VXLWDEOH�PHWKRG��DV�GHVFULEHG�SUHYLRXVO\�

E� 5HPRYLQJ�VDPSOHV�IURP�VDPSOLQJ�WXEHV�

�� &RKHVLRQOHVV� VRLOV�� 0HDVXUHPHQWV� WR� GHWHUPLQH� LQ� VLWX� GHQVLWLHV� FDQ� EH�PDGH� LQ� WKH� ILHOG�E\UHPRYLQJ� WKH�VRLO� IURP� WKH� WXEHV� LQ� LQFUHPHQWV� DQG�GHWHUPLQLQJ� WKH�YROXPH�DQG�ZHLJKW�RI� WKH�VRLO� IRUHDFK� LQFUHPHQW�� 7KH� FXS� FOHDQRXW� DXJHU� FDQ� EH� XVHG� IRU� UHPRYLQJ� WKH� VRLO�� :LWK� WKH� VDPSOLQJ� WXEHRULHQWHG� LQ�D�YHUWLFDO�GLUHFWLRQ��WKH�FXS�FOHDQRXW�DXJHU�LV�LQVHUWHG�LQ�WKH�WXEH�WR� WKH�WRS�RI�WKH�VRLO�DQGURWDWHG� LQ� D� FORFNZLVH� GLUHFWLRQ�ZLWK� D� VOLJKW� GRZQZDUG� SUHVVXUH�� $IWHU� D� VPDOO� DPRXQW� RI� VRLO� KDVHQWHUHG�WKH�DXJHU��WKH�VRLO�ZLOO�EULGJH�RYHU�DQG�VWRS�WKH�FXWWLQJ�DFWLRQ�RI�WKH�DXJHU��7KH�DXJHU�VKRXOG�QRWEH� IRUFHG� IXUWKHU� EXW� VKRXOG� EH� ZLWKGUDZQ� DQG� WKH� VRLO� VKRXOG� EH� UHPRYHG�� 7KH� SURFHVV� VKRXOG� EHUHSHDWHG�XQWLO�WKH�GHVLUHG�LQFUHPHQW�RI�WKH�VDPSOH�KDV�EHHQ�UHPRYHG��$�VPDOO�DPRXQW�RI�VRLO�PD\�DGKHUHWR�WKH�VLGHZDOOV�RI�WKH�VDPSOLQJ�WXEH��,W�VKRXOG�EH�UHPRYHG�DQG�LQFOXGHG�ZLWK�WKH�VRLO�LQFUHPHQW��7KHVDPSOLQJ�WXEH�ZDOO�VFUDSHU��DV�VKRZQ�LQ�)LJXUH��FRQVLVWV�RI�D�EHYHOHG�SODWH�DWWDFKHG�WR�D�URG�

�� &RKHVLYH� VRLOV�� 8QGLVWXUEHG� VDPSOHV� RI� FRKHVLYH� VRLOV� ZKLFK� DUH� WR� EH� UHPRYHG� IURP� WKHVDPSOLQJ�WXEHV�VKRXOG�EH�H[WUXGHG�LPPHGLDWHO\�DIWHU�WKH�VDPSOH�KDV�EHHQ�ZLWKGUDZQ�IURP�WKH�ERUHKROH�$�GHOD\� LQ�UHPRYLQJ�FRKHVLYH�PDWHULDOV�IURP�WKH�WXEH�DOORZV�DGKHVLRQ�DQG�IULFWLRQ�WR�GHYHORS�EHWZHHQ

(0��-DQ��

)��

WKH� VDPSOH� DQG� VDPSOLQJ� WXEH�� 7KH� UHVXOW�PD\� EH� JUHDWHU� WKDQ� QRUPDO� VDPSOH� GLVWXUEDQFH�GXH� WR� WKHH[WUXVLRQ�SURFHVV�

3ULRU�WR�H[WUXGLQJ�WKH�VDPSOH��WKH�ERWWRP�HQG�RI�WKH�VRLO�VDPSOH�VKRXOG�EH�WULPPHG�SURSHUO\�VR�WKDW�WKHVDPSOH�H[WUXGLQJ�SLVWRQ�ILWV�DJDLQVW�D�SODQH�VXUIDFH�SHUSHQGLFXODU�WR�WKH�D[LV�RI�WKH�VDPSOH��7KH�VDPSOHVKRXOG�EH�H[WUXGHG�IURP�WKH�VDPSOLQJ� WXEH� LQ� WKH�VDPH�GLUHFWLRQ�DV� LW�ZDV�VDPSOHG�XVLQJ�RQH�VPRRWK�XQLIRUP� VWURNH� RI� WKH� MDFN� WR� PLQLPL]H� VDPSOH� GLVWXUEDQFH�� 7KH� VDPSOH� VKRXOG� EH� H[WUXGHG� RQWR� DKDOI�VHFWLRQ�UHFHLYLQJ�WXEH�PDGH�IURP�D�WXEH�RI�WKH�VDPH�GLDPHWHU�DV�WKH�VDPSOLQJ�WXEH��7KH�VDPSOH�WKHQFDQ� EH� H[DPLQHG�� WKH� FODVVLILFDWLRQ�DQG� VWUDWLILFDWLRQ�RI� WKH�VDPSOH� FDQ�EH� QRWHG�� DQG� WKH�VDPSOH�SUH�VHUYHG�IRU�VKLSPHQW�WR�WKH�ODERUDWRU\��/RJJLQJ�WLPH�PXVW�EH�NHSW�WR�D�PLQLPXP�WR�SUHYHQW�PRLVWXUH�ORVV�VODNLQJ��HWF�

7KH� XVH� RI� K\GUDXOLFDOO\� DFWLYDWHG� VDPSOH� MDFNV� LV� WKH� PRVW� VDWLVIDFWRU\� PHWKRG� IRU� H[WUXGLQJ� VRLOVDPSOHV�IURP�WKH�VDPSOLQJ�WXEH��0HFKDQLFDO�VDPSOH�MDFNV�VKRXOG�EH�XVHG�RQO\�ZKHQ�K\GUDXOLF�SUHVVXUHLV�QRW�DYDLODEOH��3QHXPDWLFDOO\�DFWLYDWHG�VDPSOH�MDFNV�DUH�QRW�VDWLVIDFWRU\�IRU�H[WUXGLQJ�XQGLVWXUEHG�VDP�SOHV�IURP�VDPSOLQJ� WXEHV�� 7KH�SUHVVXUH�UHTXLUHG�WR�RYHUFRPH�WKH�IULFWLRQDO�IRUFHV�EHWZHHQ�WKH�VDPSOHDQG� WKH�VDPSOLQJ�WXEH�LV�XVXDOO\�FRQVLGHUDEO\�JUHDWHU� WKDQ�WKH�SUHVVXUH�UHTXLUHG�WR�H[WUXGH� WKH�VDPSOH�2QFH�WKH�IULFWLRQDO�IRUFHV�KDYH�EHHQ�RYHUFRPH��WKH�FRPSUHVVHG�DLU�LQ�WKH�SQHXPDWLF�F\OLQGHU�HMHFWV�WKHVDPSOH�WRR�UDSLGO\��6HULRXV�VDPSOH�GLVWXUEDQFH�IUHTXHQWO\�RFFXUV��)LJXUH��VKRZV�D�K\GUDXOLF�VDPSOHMDFN�RSHUDWHG�E\�WKH�K\GUDXOLF�V\VWHP�RI�WKH�GULOO�ULJ��)LJXUH��VKRZV�D�PDQXDOO\�RSHUDWHG�PHFKDQLFDOVDPSOH�MDFN�

&RKHVLYH� VDPSOHV� ZKLFK� KDYH� EHHQ� H[WUXGHG� IURP� WKH� VDPSOLQJ� WXEH� PD\� EH� SODFHG� LQ� ZD[�FRDWHGFDUGERDUG�WXEHV�ZKLFK�DUH�DSSUR[LPDWHO\��PP��LQ��ODUJHU�LQ�GLDPHWHU�WKDQ�WKH�VDPSOH�LWVHOI��$�ZD[PL[WXUH�� VXFK� DV�D� ��PL[WXUH� RI�SDUDIILQ�DQG�PLFURFU\VWDOOLQH�ZD[�� VKRXOG�EH� SODFHG�DURXQG� WKH� VRLOVDPSOH�WR�PLQLPL]H�FKDQJHV�RI�ZDWHU�FRQWHQW�DQG�GLVWXUEDQFH�RI�WKH�VDPSOH��7KH�WHPSHUDWXUH�RI�WKH�ZD[VKRXOG�EH�OHVV�WKDQ�DERXW��GHJ�&��GHJ�)��DERYH�LWV�PHOWLQJ�SRLQW��DV�ZD[�WKDW�LV�WRR�KRW�SHQHWUDWHVWKH�SRUHV�DQG�FUDFNV�LQ�WKH�VRLO�DQG�OLPLWV�WKH�XVHIXOQHVV�RI�WKH�VDPSOHV��4XDOLWDWLYHO\��DQ�REMHFW�VXFK�DVD�SHQFLO� WKDW� LV� LQVHUWHG�LQ�ZD[�DW� WKH�SURSHU� WHPSHUDWXUH� IRU�FRDWLQJ�VDPSOHV�ZLOO�EH�FRDWHG�ZLWK�FRQ�JHDOHG�ZD[�LPPHGLDWHO\�XSRQ�ZLWKGUDZDO��WKH�ZD[�FRDWLQJ�ZLOO�QRW�ERQG�WR�WKH�REMHFW��,I�WKH�ZD[�LV�WRRKRW��LW�ZLOO�DSSHDU�FOHDU�DQG�ERQG�WR�WKH�REMHFW�

7KH�VDPSOH�PXVW�EH�SODFHG�FDUHIXOO\�LQWR� WKH�FDUGERDUG�VDPSOH� WXEH�WR�SUHYHQW�GDPDJH� WR� WKH�VDPSOH�7KH�VDPSOH�VKRXOG�EH�FHQWHUHG�LQ�WKH�WXEH�WR�HQVXUH�D�FRQWLQXRXV�FRDWLQJ�RI�ZD[��3UHPROGHG�ZD[�EDVHSOXJV��ZKLFK�DUH�VKDSHG�WR�DLG�LQ�FHQWHULQJ�WKH�VDPSOH��HOLPLQDWH�WKH�QHHG�IRU�SRXULQJ�D�EDVH�RI�ZD[�LQWKH� WXEH�� $IWHU� WKH� VDPSOH� KDV�EHHQ�SODFHG� LQ� WKH� WXEH� DQG�FHQWHUHG�� D� VPDOO� DPRXQW�RI�ZD[�PD\�EHSRXUHG�DURXQG�WKH�VDPSOH�WR�VRIWHQ�WKH�EDVH�WR�DVVXUH�ERQG�EHWZHHQ�SRXUV��7KH�DQQXODU�VSDFH�EHWZHHQWKH�VDPSOH�DQG�WKH�VDPSOLQJ�WXEH�VKRXOG�EH�ILOOHG�DQG�WKH�WRS�RI�WKH�VDPSOH�VKRXOG�EH�FRYHUHG�ZLWK�ZD[�,Q� JHQHUDO�� WKH� VDPSOH� VKRXOG� QRW� EH�ZUDSSHG�ZLWK� IRLO� RU� SODVWLF�� +RZHYHU�� D�PDWHULDO�ZKLFK� LV� WRRIULDEOH�WR�KDQGOH�PD\�EH�ZUDSSHG�ZLWK�FKHHVHFORWK�IRU�DGGHG�VWUHQJWK�DV�UHTXLUHG�IRU�KDQGOLQJ�

(0��-DQ��

)��

��%RULQJ�DQG�6DPSOLQJ�5HFRUGV

$IWHU�WKH�VRLO�VDPSOHV�KDYH�EHHQ�UHPRYHG�IURP�WKH�VDPSOLQJ�DSSDUDWXV��YLVXDOO\�LGHQWLILHG�DFFRUGLQJ�WRWKH�SURFHGXUHV�DQG�PHWKRGV�ZKLFK�DUH�SUHVHQWHG�LQ�$SSHQGL[�(�RI�WKLV�PDQXDO��DQG�VHDOHG�LQ�DSSURSULDWHVDPSOH�FRQWDLQHUV��WKH�VDPSOH�FRQWDLQHUV�VKRXOG�EH�LGHQWLILHG�DQG�ODEHOHG�DQG�WKH�ERULQJ�ORJV�VKRXOG�EHXSGDWHG�

$OO� WXEHV� DQG� VDPSOHV� VKRXOG� EH� ODEHOHG� LPPHGLDWHO\� WR� HQVXUH� FRUUHFW� RULHQWDWLRQ� DQG� WR� DFFXUDWHO\LGHQWLI\� WKH� VDPSOH�� (1*� )RUP� �� DQG�RU� (1*� )RUP� �� DV� VKRZQ� LQ� )LJXUH� �� VKRXOG� EHFRPSOHWHG�DQG�VHFXUHO\�IDVWHQHG�WR�HDFK�VDPSOH��7KH�LQIRUPDWLRQ�RQ�WKH�VDPSOH�LGHQWLILFDWLRQ�WDJ�VKRXOGLQFOXGH� SURMHFW� WLWOH� DQG� ORFDWLRQ�� ERULQJ� DQG� VDPSOH� QXPEHU�� GHSWK� DQG�RU� HOHYDWLRQ� LQWHUYDO�� W\SH� RIVDPSOH�� UHFRYHU\� OHQJWK�� WULPPHG� VDPSOH� OHQJWK�� VDPSOH� FRQGLWLRQ�� YLVXDO� VRLO� FODVVLILFDWLRQ�� GDWH� RIVDPSOLQJ�� DQG� QDPH� RI� LQVSHFWRU�� $OO� PDUNLQJV� VKRXOG� EH� PDGH� ZLWK� ZDWHUSURRI�� QRQIDGLQJ� LQN�3HUWLQHQW�ERULQJ� LQIRUPDWLRQ�DQG�VDPSOH�GDWD��DV�GLVFXVVHG�LQ�SDUDJUDSK��PXVW�EH� UHFRUGHG� LQ� WKHERULQJ�ORJ�

,Q� DGGLWLRQ� WR� WKH� DIRUHPHQWLRQHG� GDWD�ZKLFK�ZHUH� SODFHG� RQ� WKH� VDPSOH� LGHQWLILFDWLRQ� WDJ�� FOHDU� DQGDFFXUDWH�LQIRUPDWLRQ�ZKLFK�GHVFULEHV�WKH�VRLO�SURILOH�DQG�VDPSOH�ORFDWLRQ�VKRXOG�EH�GRFXPHQWHG� LQ�WKHERULQJ� ORJV�� 5HFRUG�DQ\�LQIRUPDWLRQ�WKDW�PD\�EH� IRUJRWWHQ�RU�PLVSODFHG� LI�QRW� UHFRUGHG� LPPHGLDWHO\�VXFK�DV�REVHUYDWLRQV�ZKLFK�PD\�DLG�LQ�HVWLPDWLQJ�WKH�FRQGLWLRQ�RI�WKH�VDPSOHV��WKH�SK\VLFDO�SURSHUWLHV�RIWKH�LQ�VLWX�VRLO��VSHFLDO�GULOOLQJ�SUREOHPV��ZHDWKHU�FRQGLWLRQV��DQG�PHPEHUV�RI�WKH�ILHOG�SDUW\��)LJXUH��SUHVHQWV�DQ�H[DPSOH�RI�D�ERULQJ�ORJ�RI�DQ�XQGLVWXUEHG�VDPSOH�ERULQJ�

��6KLSPHQW�RI�6DPSOHV

7KH� PRVW� VDWLVIDFWRU\� PHWKRG� RI� WUDQVSRUWLQJ� VRLO� VDPSOHV� LV� LQ� D� YHKLFOH� WKDW� FDQ� EH� ORDGHG� DW� WKHH[SORUDWLRQ� VLWH� DQG� GULYHQ� GLUHFWO\� WR� WKH� WHVWLQJ� ODERUDWRU\�� 7KLV�PHWKRG� KHOSV� WR�PLQLPL]H� VDPSOHKDQGOLQJ�DQG�DOORZV�WKH�UHVSRQVLELOLW\�RI�WKH�VDPSOHV�WR�EH�GHOHJDWHG�WR�RQH�SHUVRQ��6DPSOHV�VKLSSHG�E\FRPPHUFLDO� WUDQVSRUWDWLRQ� FRPSDQLHV� UHTXLUH� VSHFLDO� SDFNLQJ� RU� FUDWLQJ�� VSHFLDO� PDUNLQJV�� DQGLQVWUXFWLRQV� WR�HQVXUH�FDUHIXO�KDQGOLQJ�DQG�PLQLPXP�H[SRVXUH�WR�H[FHVVLYH�KHDW��FROG��RU�PRLVWXUH�� ,QJHQHUDO��MDU�VDPSOHV�IURP�WKH�ERWWRP�RI�WKH�WXEH�VDPSOHV�FDQ�XVXDOO\�EH�SDFNDJHG�LQ�FRQWDLQHUV�IXUQLVKHGE\� WKH�PDQXIDFWXUHU��DOWKRXJK� VSHFLDO� FDUWRQV�PD\�EH� UHTXLUHG� LI� FRQVLGHUDEOH� KDQGOLQJ� LV� DQWLFLSDWHG�8QGLVWXUEHG� VDPSOH� � WXEHV� VKRXOG� EH� SDFNHG� LQ� DQ� XSULJKW� RULHQWDWLRQ� LQ� SUHIDEULFDWHG� VKLSSLQJFRQWDLQHUV�RU�LQ�PRLVW�VDZGXVW�RU�VLPLODU�SDFNLQJ�PDWHULDOV�WR�UHGXFH�WKH�GLVWXUEDQFH�GXH�WR�KDQGOLQJ�DQGVKLSSLQJ��)RU�FHUWDLQ�FDVHV��VSHFLDO�SDFNLQJ�DQG�VKLSSLQJ�FRQVLGHUDWLRQV�PD\�EH�UHTXLUHG��5HJDUGOHVV��RIWKH�PRGH�RI�WUDQVSRUWDWLRQ��WKH�VRLO�VDPSOHV�VKRXOG�EH�SURWHFWHG�IURP�WHPSHUDWXUH�H[WUHPHV�DQG�H[SRVXUHWR�PRLVWXUH�� ,I� WUDQVSRUWDWLRQ�UHTXLUHV�FRQVLGHUDEOH�KDQGOLQJ�� WKH�VDPSOHV�VKRXOG�EH�SODFHG� LQ�ZRRGHQER[HV�� $GGLWLRQDO� JXLGDQFH� LV� SUHVHQWHG� LQ� &KDSWHU� �� DQG� LQ� $670� '� �� ³3UHVHUYLQJ� DQG7UDQVSRUWLQJ�6RLO�6DPSOHV´��$670��

(0��-DQ��

)��

)LJXUH��3KRWRJUDSK�RI�D�VFUHZ�W\SH�HDUWK�DQFKRUV

)LJXUH��3KRWRJUDSK�RI�VFUHZ�W\SH�HDUWK�DQFKRUV�IDVWHQHG�WR�WKH�GULOO�ULJ�ZLWK�ORDG�ELQGHUV�WRDQFKRU�WKH�ULJ

(0��

��-DQ��

)��

)LJXUH��3KRWRJUDSK�RI�DQ�H[SDQGDEOH�SDFNHU

(0��-DQ��

)��

)LJXUH��3KRWRJUDSK�RI�D�FXS�FOHDQRXW�DXJHU�ZKLFK�LV�XVHG�WR�UHPRYHPDWHULDO�IURP�WKH�ERWWRP�RI�WKH�VDPSOLQJ�WXEH

(0��-DQ��

)��

)LJXUH��3KRWRJUDSK�RI�D�SHUIRUDWHG��H[SDQGDEOH�SDFNHU

)LJXUH��3KRWRJUDSK�RI�D�VDPSOLQJ�WXEH�ZDOO�VFUDSHU

(0��-DQ��

)��

)LJXUH��3KRWRJUDSK�RI�D�K\GUDXOLF�VDPSOH�MDFN�ZKLFK�LV�RSHUDWHG�E\�WKHK\GUDXOLF�V\VWHP�RI�WKH�GULOO�ULJ

)LJXUH��3KRWRJUDSK�RI�D�PDQXDOO\�RSHUDWHG�PHFKDQLFDO�VDPSOH�MDFN

(0��

��-DQ��

)��

)LJXUH��$Q�H[DPSOH�RI�D�ERULQJ�ORJ�RI�DQ�XQGLVWXUEHG�VDPSOH�ERULQJ

(0��-DQ��

)��

&KDSWHU�)��(TXLSPHQW�IRU�'LVWXUEHG�6RLO�6DPSOLQJ�,Q�%RULQJV

��6DPSOHU�7\SH

9DULRXV� W\SHV� RI� DXJHUV� DQG� GULYH� DQG� GLVSODFHPHQW� VDPSOHUV� DUH� DYDLODEOH� IRU� REWDLQLQJ� GLVWXUEHGVDPSOHV�RI�PRVW�VRLOV��,Q�JHQHUDO��WKH�HTXLSPHQW��DQG�SURFHGXUHV��IRU�REWDLQLQJ�GLVWXUEHG�VDPSOHV�RI�VRLODUH�VLPLODU��RU�SHUKDSV�UHTXLUH�PLQRU�PRGLILFDWLRQV��WR�WKH�HTXLSPHQW�DQG�PHWKRGV�ZKLFK�ZHUH�GLVFXVVHGLQ�&KDSWHUV��DQG��IRU�XQGLVWXUEHG�VDPSOLQJ�RSHUDWLRQV��7KH�PRVW�VDWLVIDFWRU\�W\SH�RI�VDPSOHU�GHSHQGVXSRQ�WKH�QDWXUH�RI�WKH�PDWHULDO�WR�EH�VDPSOHG��WKH�SXUSRVH�IRU�ZKLFK�WKH�VDPSOH�LV�LQWHQGHG��DQG�WKH�W\SHRI�GULOO�ULJ�ZKLFK�LV�XVHG��3URFHGXUHV�IRU�REWDLQLQJ�GLVWXUEHG�VDPSOHV�DUH�GLVFXVVHG�LQ�&KDSWHU��

��$XJHUV

$XJHUV�PD\�EH�XVHG�IRU�REWDLQLQJ�GLVWXUEHG�VDPSOHV�LQ�DOO�W\SHV�RI�VRLOV�H[FHSW�FOHDQ�FRKHVLRQOHVV�VDQGVDQG� JUDYHOV� ZLWK� OLWWOH� DSSDUHQW� FRKHVLRQ� RU� WKRVH� VRLOV� LQ� ZKLFK� WKH� ERUHKROH� ZLOO� QRW� UHPDLQ� RSHQ�$XJHUV� DUH�EHVW�VXLWHG�IRU� VDPSOLQJ�DERYH� WKH�ZDWHU� WDEOH�� 6DPSOHV�DUH� WDNHQ�GLUHFWO\� IURP� WKH�DXJHUXSRQ� LWV�ZLWKGUDZDO� IURP� WKH�KROH�� $XJHUV�DUH�JHQHUDOO\� DYDLODEOH� LQ�VL]HV� IURP�� WR��PP�� WR��LQ�� GLDP� IRU�KDQG�KHOG� GHYLFHV� WR� ��P�� LQ�� GLDP�RU� ODUJHU� IRU�PDFKLQH�RSHUDWHG� KHOLFDO� DQGGLVN�DXJHUV��$�SKRWRJUDSK�RI�D�EXFNHW�DXJHU�GULOO�LQ�RSHUDWLRQ�LV�SUHVHQWHG�LQ�)LJXUH��

D� +DQG�DXJHUV�� ,ZDQ�W\SH�SRVWKROH�DXJHUV�DQG�OLJKW�KHOLFDO�DXJHUV�DUH�XVHG�IRU�VKDOORZ�ERULQJV�)LJXUH��LV�D�SKRWRJUDSK�RI�,ZDQ�DXJHUV�

E� %DUUHO� DXJHUV�� %DUUHO�W\SH� DXJHUV�PD\�EH� XVHG�ZLWK� GULOO� ULJV� WR�REWDLQ� GLVWXUEHG� VDPSOHV� RIPRVW�FRKHVLYH�VRLOV�DERYH�DQG�EHORZ� WKH�ZDWHU� WDEOH�� 7KH�9LFNVEXUJ�VROLG�DQG�KLQJHG�DXJHUV�DQG�WKH0F&DUW�VSOLW� DXJHU��DV� VKRZQ�LQ�)LJXUHV��DQG�� UHVSHFWLYHO\��DUH� W\SLFDO�EDUUHO�W\SH�DXJHUV�� 7KH9LFNVEXUJ�DQG�0F&DUW�DXJHUV�DUH�IDVKLRQHG�DIWHU�WKH�,ZDQ�DXJHU�DQG�DUH�HTXLSSHG�ZLWK�ULJLG�RYHUODSSLQJFXUYHG�EODGHV�DW� WKH�ERWWRP�RI�WKH�EDUUHO��7KH�EODGHV�RI� WKH�9LFNVEXUJ�KLQJHG�DXJHU�DUH�KHOG�WRJHWKHUGXULQJ�DXJHULQJ�RSHUDWLRQV�E\�D�KLQJH�DQG�VOLS�ULQJ��7KH�EODGHV�RI�WKH�0F&DUW�DXJHU�DUH�KHOG�WRJHWKHU�E\D�EROW�� 6SOLW�DXJHUV�DUH�HVSHFLDOO\�DGDSWHG�IRU� UHPRYDO�RI�VWLFN\�VRLO� IURP�WKH�DXJHU�EDUUHO�� +RZHYHU�VSOLW�DXJHUV�DUH�QRW�VWURQJ�HQRXJK�WR�EH�XVHG�LQ�KDUG�RU�VWRQ\�VRLOV�

F� +HOLFDO�DXJHUV��+HOLFDO�DXJHUV��ZKLFK�DUH�VRPHWLPHV�FDOOHG�ZRUP�W\SH�DXJHUV��PD\�EH�XVHG�ZLWKGULOO�ULJV�WR�REWDLQ�GLVWXUEHG�VDPSOHV�RI�FRKHVLYH�VRLOV�IURP�DERYH�RU�EHORZ�WKH�ZDWHU�WDEOH��7KH�DXJHUFRQVLVWV�RI�D�VWHP�RQWR�ZKLFK�WKH�KHOLFDO�IOXWLQJ�RU�DXJHU�IOLJKWV�DUH�ZUDSSHG��$�GULYH�KHDG�LV�DWWDFKHG�WRRQH� HQG� RI� WKH� VWHP�� IOXWLQJ�� SLORW� ELW�� DQG� FXWWLQJ� WHHWK� DUH� DWWDFKHG� WR� WKH�RWKHU� HQG�� $V� WKH� QDPHVLPSO\��WKH�DXJHU�VWHP�PD\�EH�HLWKHU�VROLG�RU�KROORZ��WKH�IOXWLQJ�PD\�FRQVLVW�RI�DV�IHZ�DV�RQH�UHYROXWLRQRI�WKH�IOXWLQJ�RU�RQH�IOLJKW�WR�FRQWLQXRXV�IOXWLQJ�RYHU�WKH�WRWDO�OHQJWK�RI�WKH�VWHP��)LJXUH��LV�D�SKRWR�JUDSK�RI�D� VKRUW�IOLJKW�VROLG�VWHP�DXJHU��)LJXUH��LV� D�SKRWRJUDSK�RI� VHJPHQWV�RI�D�FRQWLQXRXV�IOLJKWKROORZ�VWHP�DXJHU�DQG�D�FRQWLQXRXV�IOLJKW�VROLG�VWHP�DXJHU�

7KH�RSHUDWLRQV�RI�WKH�VKRUW�IOLJKW�DQG�WKH�FRQWLQXRXV�IOLJKW�DXJHUV�DUH�VLPLODU��7KH�SULQFLSDO�GLIIHUHQFH�LVWKH�PHWKRG�LQ�ZKLFK�WKH�VRLO�LV�EURXJKW�WR�WKH�JURXQG�VXUIDFH��)RU�WKH�VKRUW�IOLJKW�DXJHU��WKH�DXJHU�PXVWEH� UHWXUQHG� WR� WKH� VXUIDFH� HDFK� WLPH� WKH� IOLJKWV� DUH� ILOOHG� ZLWK� VRLO�� 7KH� SULQFLSDO� DGYDQWDJH� RI� WKHVKRUW�IOLJKW�DXJHU�LV�D�EHWWHU�NQRZOHGJH�RI�FKDQJHV�RI�VWUDWD��7KH�GLVDGYDQWDJH�RI�WKLV�PHWKRG�LV�WKDW�WKHDXJHU�PXVW�EH�UHPRYHG�IURP�WKH�ERUHKROH�HDFK�WLPH�WKH�IOLJKWV�DUH�ILOOHG�ZLWK�VRLO��7KH�DGYDQWDJH�RI�WKHFRQWLQXRXV�IOLJKW�DXJHU�LV�WKDW�WKH�VRLO�LV�DXWRPDWLFDOO\�EURXJKW�WR�WKH�JURXQG�VXUIDFH�E\�WKH�URWDWLRQ�RI

(0��-DQ��

)��

WKH�DXJHU�DV�LW�SHQHWUDWHV��+RZHYHU��WKH�TXDOLW\�RI�VRLO�VDPSOHV�PD\�EH�RI�TXHVWLRQDEOH�YDOXH�EHFDXVH�RIWKH�SRWHQWLDO�IRU�PL[LQJ�VRLOV�IURP�GLIIHUHQW�VWUDWD�

7KH�KROORZ�VWHP�DXJHU�PD\�EH�XVHG�DV�FDVLQJ�WR�SUHYHQW�FDYLQJ�RI�XQVWDEOH�VRLOV��$IWHU�WKH�ERULQJ�KDVEHHQ�DGYDQFHG�WR�WKH�GHVLUHG�GHSWK��WKH�FHQWHU�URG�DQG�SLORW�ELW�DUH�UHPRYHG��$�VDPSOLQJ�GHYLFH�FDQ�EHRSHUDWHG�WKURXJK�WKH�VWHP�RI�WKH�DXJHU�

G� %XFNHW�DXJHUV��$�EXFNHW�DXJHU�FRQVLVWV�RI�D�UHODWLYHO\�VKRUW�EDUUHO�ZKLFK�LV�RSHQ�DW�WKH�WRS�DQGHTXLSSHG�ZLWK�FXWWLQJ�WHHWK�DWWDFKHG�DORQJ�VORWV�RQ�D�KLQJHG�GURS�ERWWRP��7ZR�GHVLJQV�IRU�WKH�VORWV�LQWKH�ERWWRP�RI�WKH�EXFNHW�DUH�DYDLODEOH��)RU�FRKHVLYH�PDWHULDOV��RSHQ�VORWV�DUH�ORFDWHG�DKHDG�RI�WKH�FXWWLQJWHHWK�� )RU�FRKHVLRQOHVV�PDWHULDOV�RU�IRU�GULOOLQJ�EHORZ�WKH�ZDWHU�WDEOH��KLQJHG�VWHHO�RU�UXEEHU�IODSV�DUHXVHG�WR�FRYHU�WKH�VORWV�LQ�WKH�ERWWRP�RI�WKH�EXFNHW�WR�SUHYHQW�WKH�ORVV�RI�PDWHULDO��7R�ILOO��WKH�EXFNHW�LVURWDWHG�DQG�WKH�IODSV�SLYRW�XSZDUG�WR�DOORZ�WKH�PDWHULDO�WR�HQWHU��:KHQ�WKH�EXFNHW�LV�ILOOHG��LW�LV�SXOOHGRXW�RI� WKH�ERUHKROH�DQG�PRYHG�DZD\�IURP�WKH�ULJ�E\�D�GXPS�DUP�EHIRUH�LW� LV�HPSWLHG�� )LJXUH��LV�DVFKHPDWLF�GUDZLQJ�RI�VHYHUDO�W\SHV�RI�EXFNHW�DXJHUV��)LJXUH��LV�D�VFKHPDWLF�GUDZLQJ�RI�D�KLQJHG�GURS�ERWWRP�EXFNHW�ZKLFK�ZDV�GHVLJQHG�IRU�UDSLG�UHPRYDO�RI�FRKHVLYH�RU�FRKHVLRQOHVV�VRLO�IURP�WKH�EXFNHW��

$�YDULHW\�RI�W\SHV�RI�EXFNHW�DXJHUV�DUH�DYDLODEOH�IRU�VSHFLILF�WDVNV��)RU�H[DPSOH��EHOOLQJ�EXFNHWV�DUH�XVHGIRU�XQGHUUHDPLQJ��VXFK�DV�ZKHQ�D�ODUJHU�GLDPHWHU�RI�ERUHKROH�LV�QHHGHG�DW�GHSWK��7R�DFWLYDWH�WKH�EHOOLQJEXFNHW��GRZQZDUG�SUHVVXUH�LV�DSSOLHG�E\�WKH�NHOO\�WR�RSHQ�WKH�UHDPHUV��2WKHU�W\SHV�RI�EXFNHWV�LQFOXGHWKRVH�IRU�SLFNLQJ�XS� ODUJH�ERXOGHUV�DQG�EXFNHWV�WR�FKRS�KDUG�PDWHULDOV�� ([DPSOHV�RI�WKH�XVH�RI�EXFNHWDXJHUV� LQFOXGH�GULOOLQJ�ODUJH�GLDPHWHU�DFFHVVLEOH�ERULQJV��ERUHKROHV�IRU�FDVW�LQ�SODFH�SLOHV��ZDWHU�ZHOOV�DQG�SUHVVXUH�UHOLHI�ZHOOV�QHDU�&RUSV�VWUXFWXUHV�

��3XVK�RU�'ULYH�6DPSOHUV

3XVK�RU�GULYH�VDPSOHUV��ZKLFK�DUH�SXVKHG�RU�GULYHQ�LQWR�WKH�VRLO�ZLWKRXW�URWDWLRQ��PD\�EH�XVHG�IRU�REWDLQ�LQJ�GLVWXUEHG�VDPSOHV�RI�PRVW�VRLOV��3XVK�WXEH�VDPSOHUV�FDQ�EH�VXEGLYLGHG�LQWR�WZR�EURDG�JURXSV��RSHQVDPSOHUV�DQG�SLVWRQ�VDPSOHUV��2SHQ�VDPSOHUV�FRQVLVW�RI�D�YHQWHG�VDPSOHU�KHDG�DWWDFKHG�WR�DQ�RSHQ�WXEHZKLFK�DGPLWV�VRLO�DV�VRRQ�DV�WKH�WXEH�LV�EURXJKW�LQ�FRQWDFW�ZLWK�WKH�VRLO��7KH�VDPSOHU�KHDG�LWVHOI�PD\�EHHTXLSSHG� ZLWK� D� EDOO� FKHFN� YDOYH� ZKLFK� FUHDWHV� D� SDUWLDO� YDFXXP� WKDW� DLGV� LQ� VDPSOH� UHFRYHU\� DQGSUHYHQWV�WKH�HQWUDQFH�RI�GULOOLQJ�IOXLG�GXULQJ�VDPSOH�ZLWKGUDZDO��6RPH�RSHQ�VDPSOHUV�DUH�HTXLSSHG�ZLWKD�FXWWLQJ�VKRH�DQG�D�VDPSOH�UHWDLQHU��3LVWRQ�VDPSOHUV�KDYH�D�PRYDEOH�SLVWRQ�ORFDWHG�ZLWKLQ�WKH�VDPSOHUWXEH��7KH�SLVWRQ�KHOSV�WR�NHHS�GULOOLQJ�IOXLG�DQG�VRLO�FXWWLQJV�RXW�RI�WKH�WXEH�DV�WKH�VDPSOHU�LV�ORZHUHGLQWR�WKH�ERUHKROH��7KH�SLVWRQ�DOVR�KHOSV�WR�UHWDLQ�WKH�VDPSOH�LQ�WKH�VDPSOHU�WXEH�

$V�FRPSDUHG�WR�SLVWRQ�VDPSOHUV��RSHQ�VDPSOHUV�KDYH�DGYDQWDJHV�GXH�WR�FKHDSQHVV��UXJJHGQHVV��DQG�VLP�SOLFLW\� RI� RSHUDWLRQ�� 7KH� SULQFLSDO� GLVDGYDQWDJH� RI� RSHQ�GULYH� VDPSOHUV� LQFOXGH� WKH� SRWHQWLDO� IRUREWDLQLQJ� QRQUHSUHVHQWDWLYH� VDPSOHV� EHFDXVH� RI� LPSURSHU� FOHDQLQJ� RI� WKH� ERUHKROH� RU� FROODSVH� RI� WKHVLGHV�RI�WKH�ERUHKROH�

D� 2SHQ�VDPSOHUV��9DULRXV� W\SHV�RI�SXVKHG�RU�GULYHQ�RSHQ�VDPSOHUV�DUH�DYDLODEOH��7KH�VDPSOLQJWXEH� PD\� EH� HLWKHU� WKLFN�ZDOOHG� RU� WKLQ�ZDOOHG�� ,Q� PRVW� LQVWDQFHV�� VSOLW�WXEH� VDPSOHUV� DUH� SUHIHUUHGEHFDXVH�WKH�WZR�KDOYHV�FDQ�EH�VHSDUDWHG�WR�REVHUYH�VRLO�VWUDWLILFDWLRQ��6DPSOH�UHWDLQHUV�PD\�EH�UHTXLUHGIRU�VDPSOLQJ�VDQG��JUDYHO��DQG�YHU\�VRIW�RU�IULDEOH�VRLOV��7KH�W\SH�RI�RSHQ�GULYH�VDPSOHU�ZKLFK�LV�VHOHFWHGGHSHQGV� XSRQ� DYDLODELOLW\� DQG� H[SHULHQFH�� ORFDWLRQ� DQG� DFFHVVLELOLW\� RI� ERUHKROH�� DQG� WKH� VRLO� WR� EHVDPSOHG�

(0��-DQ��

)��

��7KLQ�ZDOOHG�VDPSOHUV��7KH�WKLQ�ZDOOHG�RSHQ�VDPSOHU�FRQVLVWV�RI�D�WXEH�DIIL[HG�WR�D�VDPSOHU�KHDGDVVHPEO\�ZKLFK�PD\�RU�PD\�QRW�EH�HTXLSSHG�ZLWK�D� FKHFN�YDOYH�� 0RVW� VDPSOLQJ� WXEHV� DUH�GUDZQ� WRSURYLGH� D� VXLWDEOH� LQVLGH� FOHDUDQFH�� DOWKRXJK� WKLV� ³UHTXLUHPHQW´� LV� RQO\� QHFHVVDU\� IRU� XQGLVWXUEHGVDPSOLQJ�RSHUDWLRQV��7KHVH�WXEHV�QRUPDOO\�KDYH�DQ�2'�RI��WR��PP��WR��LQ��DQG�D�OHQJWK�RI��WR��FP��WR��LQ��7KLQ�ZDOOHG�WXEHV�DUH�VKDUSHQHG�RQ�RQH�HQG�DQG�WKHUHIRUH��PD\�EH�HDVLO\�GDPDJHGE\�EXFNOLQJ�RU�E\�EOXQWLQJ�RU�WHDULQJ�RI�WKH�FXWWLQJ�HGJH�DV�WKH\�DUH�GULYHQ�LQWR�VWLII�RU�VWRQ\�VRLOV�� 7RUHGXFH�WKH�SRWHQWLDO�IRU�GDPDJH��WKH�WXEH�VKRXOG�EH�SXVKHG�UDWKHU�WKDQ�GULYHQ��+HQFH��WKH�EDVLF�SULQFLSOHRI� RSHUDWLRQ�RI� WKH� WKLQ�ZDOOHG� VDPSOHU� LV� WR� IRUFH� WKH�F\OLQGULFDO� WXEH� LQWR� WKH�VRLO� LQ�RQH�FRQWLQXRXVSXVK�ZLWKRXW�URWDWLRQ�

7KLQ�ZDOOHG�RSHQ�GULYH�VDPSOHUV�PD\�EH�XVHG�WR�REWDLQ�VDPSOHV�RI�PHGLXP�WR�VWLII�FRKHVLYH�VRLOV��6RLOVZKLFK�FDQQRW� EH� VDPSOHG�ZLWK� WKLV�GHYLFH� LQFOXGH� VRLOV�ZKLFK� DUH�KDUG�� FHPHQWHG�� RU� WRR�JUDYHOO\� IRUVDPSOHU�SHQHWUDWLRQ��RU�VRLOV�ZKLFK�DUH�VR�VRIW�RU�ZHW�WKDW�WKH�VDPSOH�ZLOO�QRW�VWD\�LQ�WKH�WXEH�

��7KLFN�ZDOOHG�VDPSOHUV��$�ODUJH�QXPEHU�RI�WKLFN�ZDOOHG�VDPSOHUV�DUH�DYDLODEOH��7KH�PRVW�ZHOONQRZQ�VSOLW�WXEH�RU�VSOLW�EDUUHO�W\SH�VDPSOHU�LV�WKH�VSOLW�VSRRQ�VDPSOLQJ�WXEH�ZKLFK�LV�XVHG�ZLWK�WKH�637�DV� GHVFULEHG� LQ�$SSHQGL[�*�RI� WKH�*HRWHFKQLFDO�0DQXDO�� $QRWKHU� WKLFN�ZDOOHG� VDPSOHU� LQFOXGHV� WKH&DOLIRUQLD�VDPSOHU�

7KLFN�ZDOOHG� VSOLW�VSRRQ� VDPSOHUV�RI�YDULRXV� VL]HV�KDYH�EHHQ�XVHG� H[WHQVLYHO\� IRU�REWDLQLQJ�GLVWXUEHGVDPSOHV�RI�DOO�W\SHV�RI�VRLO��ERWK�DERYH�DQG�EHORZ�WKH�ZDWHU�WDEOH��7KH�VDPSOH�WXEH�EDUUHO�LV�WKUHDGHG�RQERWK�HQGV�DQG�VSOLW�OHQJWKZLVH��:KHQ�DVVHPEOHG��WKH�WZR�KDOYHV�DUH�KHOG�WRJHWKHU�E\�WKH�GULYLQJ�VKRH�DWRQH�HQG�DQG�WKH�KHDG�DW�WKH�RWKHU�HQG��$�VSDFH�LV�SURYLGHG�LQ�WKH�GULYLQJ�VKRH�IRU�D�VSULQJ�EDVNHW�W\SHVDPSOH�UHWDLQHU�

6SOLW�VSRRQ� VDPSOHUV� DUH� FRPPHUFLDOO\� DYDLODEOH� LQ� �� WR� ��PP� �� WR� ��LQ�� 2'� VL]HV�� 7KH��PP� ��LQ��2'�E\��PP��LQ��,'�VSOLW�EDUUHO�VDPSOLQJ� WXEH�ZKLFK� LV�XVHG� IRU� WKH�637�JLYHVJRRG�UHSUHVHQWDWLYH�GLVWXUEHG�VDPSOHV�RI�DOO�VRLO�W\SHV�H[FHSW�JUDYHO�DQG�JUDYHOO\�VRLOV��/DUJHU�VL]HV�RIVDPSOHUV�DUH�XVHG�WR�REWDLQ�VDPSOHV�RI�PDWHULDO�FRQWDLQLQJ�JUDYHO�RU�ODUJH�YROXPH�VDPSOHV��([FHSW�IRUWKH� UHTXLUHPHQWV� LPSRVHG�IRU� WKH�637��WKH�VDPSOLQJ�VSRRQV�FDQ�EH�GULYHQ�ZLWK�DQ\�FRQYHQLHQW�ZHLJKWKDPPHU��)LJXUH��VKRZV�WZR�VL]HV�RI�VSOLW�VSRRQ�VDPSOHUV�DQG�YDULRXV�W\SHV�RI�VDPSOH�UHWDLQHUV�

E� 3LVWRQ�VDPSOHUV�� 3LVWRQ�W\SH�VDPSOHUV�SHUIRUP�VDWLVIDFWRULO\� LQ�REWDLQLQJ�GLVWXUEHG�VDPSOHV�RIPRVW�W\SHV�RI�VRLO��%\�ORFNLQJ�WKH�SLVWRQ�DW�WKH�ERWWRP�RI�WKH�VDPSOH�WXEH��SLVWRQ�VDPSOHUV�FDQ�DOVR�EHXVHG�DV�GLVSODFHPHQW�VDPSOHUV��3LVWRQ�VDPSOHUV�DUH�GLVFXVVHG�LQ�SDUDJUDSK��D��

��'LVSODFHPHQW�6DPSOHUV

7KH�0HPSKLV�DQG�WKH�3RUWHU�VDPSOHUV�DUH�UHWUDFWDEOH�SOXJ�GLVSODFHPHQW�VDPSOHUV��:LWK�WKH�SOXJ�ORFNHGDW�WKH�ERWWRP�RI�WKH�VDPSOHU��WKH�VDPSOHU�LV�GULYHQ�WR�WKH�GHVLUHG�VDPSOLQJ�GHSWK��7R�VDPSOH��WKH�SOXJ�LVUHWUDFWHG� DQG� WKH� VDPSOHU� LV� GULYHQ� WR� REWDLQ� WKH� VDPSOH�� 7KHVH� VDPSOHUV� DUH� LQWHQGHG� IRU� PDQXDORSHUDWLRQV�LQ�VRIW�VRLOV�DQG�DUH�OLPLWHG�IRU�XVH�WR�D�GHSWK�RI�DERXW��P��IW��%RWK�VDPSOHUV�KDYH�D��PP��LQ��2'�E\��PP��LQ��,'�EDUUHO�DQG�FXWWLQJ�VKRH�DQG�DUH�HTXLSSHG�ZLWK�DQ�H[WHQVLRQ�SLSHRI�WKH�VDPH�GLDPHWHU�DV�WKH�EDUUHO��7KH�3RUWHU�VDPSOHU�LV�ILWWHG�ZLWK�D�VHJPHQWHG�EUDVV�OLQHU�FRQVLVWLQJ�RIVHYHQ��PP��LQ��ORQJ�VHJPHQWV�� (DFK�OLQHU�VHJPHQW�LV��PP��LQ��2'�E\��PP��LQ��,'��&DSV�DUH�SURYLGHG�IRU�VHDOLQJ�WKH�LQGLYLGXDO�VHJPHQWV�RI�VDPSOHV�DIWHU�UHFRYHU\�

(0��-DQ��

)��

��9LEUDWRU\�6DPSOHUV

$�YDULHW\�RI�ODUJH�VFDOH�DQG�VPDOO�VFDOH�YLEUDWRU\�VDPSOHUV�RIIHUV�UDSLG��LQH[SHQVLYH�PHWKRGV�RI�REWDLQ�LQJ�GLVWXUEHG��DQG�XVXDOO\�UHSUHVHQWDWLYH��VDPSOHV�RI�VDWXUDWHG��FRKHVLRQOHVV�PDWHULDOV��L�H��VLOWV�DQG�ILQHVDQGV�IRXQG�LQ�EDUULHU�LVODQGV�DQG�GHOWDLF�GHSRVLWV�ZKLFK�DUH�RIWHQ�LQDFFHVVLEOH�E\�FRQYHQWLRQDO�GULOOLQJDQG� VDPSOLQJ� HTXLSPHQW�� 7KH� SULQFLSOH� RI� RSHUDWLRQ� FRQVLVWV� RI� WKH� DSSOLFDWLRQ� RI� D� YLEUDWLQJ� RURVFLOODWLQJ�HQHUJ\�WR�WKH�VDPSOLQJ�WXEH�UDWKHU�WKDQ�WKH�DSSOLFDWLRQ�RI�D�EUXWH�IRUFH��VXFK�DV�E\�D�SHUFXV�VLRQ� KDPPHU� RU� K\GUDXOLF� GULYH�� 7KH� RVFLOODWLRQ� RI� WKH� VDPSOLQJ� WXEH� WHQGV� WR� LQGXFH� SRVLWLYH� SRUHSUHVVXUHV�ZKLFK�UHVXOW�LQ�D�UHGXFWLRQ�RI�WKH�HIIHFWLYH�VWUHVVHV�ZLWKLQ�WKH�PDWHULDO�WR�EH�VDPSOHG��)RU�WKHKDQG�RSHUDWHG� VDPSOHU�� D� VPDOO� JDVROLQH� HQJLQH� GHVLJQHG� IRU� XVH� DV� D� FRQFUHWH� YLEUDWRU� LV� WKH� SRZHUVRXUFH�RI�WKH�V\VWHP��$�IOH[LEOH�VKDIW�DWWDFKHV�WKH�PRWRU�WR�WKH�YLEUDWRU�KHDG�PRXQWHG�RQ�WKH�VDPSOLQJWXEH�� $�WULSRG��ZKLFK�FRQVLVWV�RI�D�WULSRG�KHDGSODWH�DQG�OHJV�� LV� UHTXLUHG� WR�VXSSRUW� WKH�VDPSOLQJ�WXEHGXULQJ�VDPSOLQJ�RSHUDWLRQV�DQG�WR�SURYLGH�D�UHDFWLRQ�IUDPH�IRU�H[WUDFWLQJ�WKH�VDPSOLQJ�WXEH�DQG�VDPSOHIURP�WKH�ERUHKROH��7KH�V\VWHP�XVHV�WKLQ�ZDOOHG�DOXPLQXP�VDPSOLQJ�WXEHV�RI�YDULRXV�OHQJWKV�DQG�GLDPH�WHUV� WKDW� DUH� FRPPHUFLDOO\� DYDLODEOH�� 7KH� XVH� RI� YLEUDWRU\� VDPSOHUV� KDV� PDGH� LW� SRVVLEOH� WR� REWDLQLQH[SHQVLYH� UHSUHVHQWDWLYH�GLVWXUEHG�VRLO� VDPSOHV� WR�GHSWKV� LQ� H[FHVV� RI��P� �� IW��DW� VLWHV�� VXFK� DVXQFRQVROLGDWHG� EDFNVZDPS� GHSRVLWV�� SUHYLRXVO\� FRQVLGHUHG� WR� EH� LQDFFHVVLEOH� WR� PRVW� GULOOLQJ� DQGVDPSOLQJ�HTXLSPHQW��)LJXUH��LV�D�SKRWRJUDSK�RI�D�SRUWDEOH�YLEUDWRU\�VDPSOHU��$GGLWLRQDO�LQIRUPDWLRQLV�SUHVHQWHG�LQ�SDUDJUDSKV��DQG��

��3HUFXVVLRQ�6DPSOHUV

3HUFXVVLRQ� GULOOLQJ�� ZKLFK� LQFOXGHV� WKH� XVH� RI� FKXUQ� RU� FDEOH�WRRO� GULOOV�� ZLUHOLQH� GULOOV�� DQG� KDPPHUGULOOV��VXFK�DV�WKH�%HFNHU�KDPPHU�DQG�WKH�HFFHQWULF�UHDPHU�V\VWHP��PD\�EH�XVHG�WR�DGYDQFH�ERULQJV�IRUGLVWXUEHG� VDPSOLQJ� LQ� KDUG� FRKHVLYH� VRLOV�� FHPHQWHG� VDQGV� DQG� JUDYHOV�� DQG� JUDYHOO\� VRLOV�� 6DPSOHVREWDLQHG� ZLWK� D� EDLOHU� RU� IURP� WKH� UHWXUQ� ZDVK� ZDWHU� LQ� SHUFXVVLRQ� ERULQJV� DUH� QRW� VDWLVIDFWRU\� DVGLVWXUEHG�VDPSOHV�EHFDXVH�WKH�ILQHU�PDWHULDOV�ZLOO�EH�VXVSHQGHG�LQ�WKH�ZDWHU��7KHUHIRUH��GULYH�VDPSOHUVRU�FRUH�EDUUHOV�DUH�UHTXLUHG�IRU�REWDLQLQJ�GLVWXUEHG�VDPSOHV�IURP�D�ERUHKROH�DGYDQFHG�E\�D�FKXUQ�GULOO�:KHQ� WKH� %HFNHU� KDPPHU� GULOO� LV� XVHG�� GLVWXUEHG� VDPSOHV� PD\� EH� WDNHQ� IURP� WKH� UHWXUQ� FXWWLQJV�+RZHYHU��WKHVH�VDPSOHV�DUH�D�PL[WXUH�RI�DOO�VRLO�PDWHULDOV�LQ�WKH�GHSWK�LQWHUYDO�IURP�ZKLFK�WKH�SDUWLFXODUVDPSOH�ZDV�REWDLQHG�

D� :LUHOLQH� VDPSOHUV�� :LUHOLQH� VDPSOHUV� DUH� VLPLODU� WR� RWKHU� SHUFXVVLRQ�W\SH� KDPPHU� VDPSOHUVH[FHSW� WKDW� WKH� HQWLUH� VDPSOLQJ� DVVHPEO\�� LQFOXGLQJ� WKH� KDPPHU�� GULYH� KHDG�� DQG� VDPSOLQJ� WXEH�� LVORZHUHG� LQWR� WKH� ERUHKROH� WR� REWDLQ� WKH� VDPSOH�� 7KH� KDPPHU� LV� DFWLYDWHG� E\� D� FDEOH� DWWDFKHG� WR� WKHVXUIDFH��7KLV�W\SH�RI�V\VWHP�LV�SDUWLFXODUO\�DGDSWHG�IRU�GHHS�ERULQJV�DQG�QHDUVKRUH�GULOOLQJ�EHFDXVH�WKHGULOO� URGV�GR�QRW�KDYH� WR�EH�DVVHPEOHG�DQG�GLVDVVHPEOHG�HDFK�WLPH�D�VDPSOH�LV�REWDLQHG�� $�YDULHW\�RIVDPSOLQJ�WXEHV�DQG�YDULRXV�KDPPHUV�KDYH�EHHQ�VXFFHVVIXOO\�XVHG�WR�REWDLQ�UHSUHVHQWDWLYH�GLVWXUEHG�VDP�SOHV�RI�DOO�VRLOV�H[FHSW�WKRVH�FRQWDLQLQJ�ODUJH�JUDYHO��)LJXUH��LOOXVWUDWHV�D�VSOLW�VSRRQ�VDPSOHU�ZLWK�D1HZ�2UOHDQV�ZLUHOLQH�GULYH�KDPPHU�

E� +DPPHU�GULOOV��6HYHUDO�KDPPHU�GULOOV�DUH�DYDLODEOH�IRU�REWDLQLQJ�GLVWXUEHG�VDPSOHV�RI�VRLO�DQGIUDJPHQWHG� URFN�� 7KH� PRVW� ZLGHO\� UHFRJQL]HG� KDPPHU� GULOOV� DUH� WKH� %HFNHU� KDPPHU� GULOO� DQG� WKHHFFHQWULF� UHDPHU� �2'(;�� V\VWHP�� %RWK� GULOOLQJ� V\VWHPV� DUH� SDWHQWHG� DQG� DUH� GLVFXVVHG� LQ� GHWDLO� LQSDUDJUDSK��G��7KH�XVH�RI�WKH�%HFNHU�KDPPHU�GULOO�DV�D�SHQHWUDWLRQ�WHVW�LV�GLVFXVVHG�LQ�$SSHQGL[�+�RIWKH�*HRWHFKQLFDO�0DQXDO�

(0��-DQ��

)��

)LJXUH��3KRWRJUDSK�RI�DQ�,ZDQ�DXJHU

)LJXUH��3KRWRJUDSK�RI�WKH�9LFNVEXUJ�VROLG�DQG�KLQJHG�EDUUHO�W\SH�DXJHUV

(0��-DQ��

)��

)LJXUH��3KRWRJUDSK�RI�WKH�0F&DUW�VSOLW�EDUUHO�W\SH�DXJHU

(0��-DQ��

)��

)LJXUH��3KRWRJUDSK�RI�VKRUW�IOLJKW�VROLG�VWHP�DXJHUV

)LJXUH��3KRWRJUDSK�RI�VHJPHQWV�RI�D�FRQWLQXRXV�IOLJKW�VROLG�VWHP�DXJHU�DQG�D�FRQWLQXRXV�IOLJKWKROORZ�VWHP�DXJHU

(0��-DQ��

)��

)LJXUH��,VRPHWULF�GUDZLQJ�RI�VHYHUDO�W\SHV�RI�EXFNHW�DXJHUV

(0��

��-DQ��

)��

)LJXUH��6FKHPDWLF�GUDZLQJ�RI�KLQJHG�GURS�ERWWRP�EXFNHWV�ZKLFK�ZHUH�GHVLJQHG�IRU�UDSLG�UHPRYDO�RI�FRKHVLYH�RUFRKHVLRQOHVV�VRLOV

(0��

��-DQ��

)��

)LJXUH��3KRWRJUDSK�RI�WZR�VSOLW�VSRRQ�VDPSOHUV�DQG�VHYHUDO�VDPSOH�UHWDLQHUV

(0��-DQ��

)��

)LJXUH��3KRWRJUDSK�RI�D�SRUWDEOH�YLEUDWRU\�VDPSOHU��DIWHU6PLWK��'XQEDU��DQG�%ULWVFK��1RWH��6DIHW\�LV�D�YHU\�LPSRUWDQWFRQVLGHUDWLRQ�IRU�&RUSV�RI�(QJLQHHUV�SURMHFWV��6DIHW\�LWHPV�LQFOXGLQJ�KDUGKDWV��JORYHV��VDIHW\�VKRHV��SURWHFWLYH�FORWKLQJ��DQGGXVW�RU�YDSRU�PDVNV��VKRXOG�EH�ZRUQ��DV�DSSURSULDWH��IRU�WKHSDUWLFXODU�GULOOLQJ�DQG�VDPSOLQJ�RSHUDWLRQ

(0��-DQ��

)��

)LJXUH��3KRWRJUDSK�RI�D�VSOLW�VSRRQ�VDPSOHU�ZLWK�D1HZ�2UOHDQV�ZLUHOLQH�GULYH�KDPPHU

(0��-DQ��

)��

&KDSWHU�)��3URFHGXUHV�IRU�'LVWXUEHG�6RLO6DPSOLQJ�,Q�%RULQJV

��$GYDQFLQJ�WKH�%RUHKROH

Boreholes for disturbed soil samples may be advanced in the same manner as those procedures used forboreholes for undisturbed soil samples. After a vertical pilot hole has been established, if necessary,attach the drill bit or auger to the drill rod and lower the string into the borehole. Attach more drillingrods as necessary. At the bottom of the borehole, perform drilling operations to advance the hole to thedesired depth. After the hole has been advanced, remove the excess cuttings before the drill string iswithdrawn from the borehole. As the drill string is withdrawn from the hole, disconnect the sections ofrod and lay aside. Repeat until the cutting head is retrieved.

When lowering the equipment into the borehole, count the number of rods to determine the depth of theborehole. Carefully monitor and record the depth of the hole for use during the sampling operations asthe vertical location of the sample is needed. All trips in and out of the borehole should be made withoutrotation of the drill string.

The methods and procedures for cleaning boreholes for disturbed sampling operations are similar to theprocedures for cleaning boreholes for undisturbed sampling operations. Boreholes may be cleaned byrotary drilling and augering methods as previously reported in Chapter 6. Bailers or sand pumps mayalso be used to clean cased holes provided that bailing is controlled to prevent the disruption of the soilthat is to be sampled. A clean, open hole is essential for obtaining satisfactory samples; disturbance ofthe soil at the sampling depth is not critical unless it results in a nonrepresentative sample.

D� 'LDPHWHU�RI�WKH�ERUHKROH. The diameter of the borehole should be at least 6 mm (1/4 in.) greaterthan the OD of the sampler or casing, if casing is used.

E� 0HWKRGV� RI� DGYDQFH. Boreholes for disturbed samples may be advanced by augering, rotarydrilling, displacement, or churn drilling. Hammer drilling is gaining acceptance for drilling in certainsoils, such as gravelly soils. However, samples are generally not recovered as a part of the hammerdrilling operations. Therefore, hammer drilling is not discussed in this chapter; equipment andprocedures for hammer drilling are discussed in paragraph 3-3G. The use of the Becker hammer drill as apenetration test is discussed in Appendix H of the Geotechnical Manual..

(1) $XJHULQJ. Augers may be used to obtain disturbed samples of the in-place soil. However, thesamples may not be representative of the in situ formation due to the mixing action of the auger. Thestructure of the soil may be completely destroyed and the moisture content of individual soil strata layersencountered may be changed.

A large number of augers are available. In addition to handheld augers, such as the Iwan or postholetype, helical and tubular augers which are described in Chapter 7, machine-driven augers includingsingle- or continuous-flight (spirals) solid-stem or hollow-stem augers, disk augers, and bucket or barrelaugers may be used to advance boreholes for disturbed samples in the same manner as described foradvancing boreholes for undisturbed samples in paragraph 6-1E.

(0��-DQ��

)��

Auger borings are generally used in soils where the borehole will remain open, usually above thegroundwater table. Below the groundwater table, drilling fluid or casing may be required to stabilize theborehole. Because auger borings typically do not use drilling fluid, the augering method may bepreferred for drilling holes in embankment dams; the absence of drilling fluid eliminates the potential forhydraulic fracturing.

Augers operate best in somewhat loose, moderately cohesive, moist soils. In general, the holes are boredwithout the addition of water, although the introduction of a small amount of water may aid in drilling,especially in hard, dry soils or cohesionless soils. If water is added to the borehole, it should be noted onthe boring logs.

(2) 5RWDU\�GULOOLQJ. The method of advancing the borehole by rotary drilling consists of rotation andapplication of downward pressure on the drill bit or cutting shoe which is attached to the bottom end ofthe drill string. Drilling fluid, such as compressed air or drilling mud, must be used to remove thecuttings from the face of the drill bit and out of the borehole. Bottom discharge rotary bits are notacceptable for advancing the borehole. Side discharge bits may be used with caution. Jetting through anopen-tube sampler to clean out the borehole to sampling depth is not permitted. Prior to sampling, theloose material from the hole must be removed as carefully as possible to avoid disturbing the material tobe sampled. As a rule of thumb, boreholes may be advanced in the same manner as for undisturbedsamples which is described in paragraph 6-1; cleaning of the borehole prior to sampling is discussed inparagraph 6-3.

Boreholes in soft or loose soils or when the boring is extended below the groundwater level may bestabilized with casing or drilling mud. Procedures and requirements for casing are similar to thosedescribed in paragraphs 3-4G and 6-2E. However, only disturbed samples shall be taken when the casingis driven in the boreholes.If the casing is driven, the driving hammer is usually 113 to 181 kg (250 to 400 lb). Other equipmentwhich is needed includes a driving shoe, a driving guide, and an assembly to pull the casing. Before thecasing is driven, a small flat area should be shoveled on the surface of the ground and a short piece ofcasing should be selected. While the casing is held steady, the cathead or wire drum can be used to liftand drop the hammer to drive the casing. After several sections of casing have been added, rotate thecasing clockwise. This operation tends to free the casing and make it easier to drive. The casing shouldnot be driven to a depth greater than the top of the next sample interval.

After the casing has been placed, the inside of the casing must be cleaned. Wash boring and rotarydrilling with fluid circulation methods are suitable for removing the material in the casing. If rotarydrilling techniques are used, follow the procedures that are suggested in paragraph 6-2E. If the washboring method is used, a water swivel and water hose should be attached to the top of the drill rods andconnected to the water pump, and a chopping bit should be attached to the bottom of drill rods. After thedrill rods have been lowered into the casing, circulation of drilling fluid should be started. The drillstring should be raised and dropped by the cathead and rope method or by the wire drum hoist. The drillstring should be rotated frequently. The jetting action of the drilling fluid will wash the material out ofthe casing.

After the soil in the casing has been removed, the casing should be raised slightly to allow the casingheader or adapter to be removed to permit the sampler to be operated through the casing. To permitsampling through the casing, the ID of the casing must be slightly larger than the OD of the sampler.When a larger diameter casing is used, the jetting action of the drilling fluid is reduced. Thus, segregationand alteration of the intended soil sample is minimized.

(0��-DQ��

)��

(3) 'LVSODFHPHQW�PHWKRGV. Displacement samplers may be used to advance boreholes for disturbedsamples. After a plug has been installed in the bottom of the sampling apparatus, the sampler is driven orpushed to the depth to which the sample is to be taken. To sample, the plug is retracted and the samplingdrive is executed. For most soils, the disturbance created below the plug or sampler is not believed to besufficient to prevent obtaining a satisfactory disturbed sample.

(4) 3HUFXVVLRQ� GULOOLQJ. The churn-drilling method, which is also called cable-tool drilling, isaccomplished by raising and dropping a chisel-shaped bit attached to a heavy weight or drill barsuspended from a steel cable. A small amount of water is added to the bottom of the borehole to form aslurry with the loose material which has been chopped or dislodged by the bit. When the carryingcapacity of the slurry is reached, the bit is withdrawn and the slurry is removed by bailing. More water isthen added to the borehole, and the drilling and bailing segments of the operation are repeated. In soft orcohesionless soils, it is sometimes possible to advance the boring by bailing alone, although the materialdoes not constitute an acceptable sample. When borings in fat clays are advanced, small amounts of sandmay be added to increase the cutting action of the bit. Similarly, clay may be added to increase thecarrying capacity of the slurry when drilling in coarse, cohesionless soils.

Casing is generally required for churn drilling and is normally driven with the churn-drill drivingmechanism. The borehole is advanced ahead of the casing. If the casing is advanced ahead of theborehole, heaving at the bottom of the hole may occur. If heaving occurs, water or drilling fluid mayhelp to stabilize the borehole, although the efficiency of the churn drill is dramatically decreased. In softor cohesionless soils, it is often difficult to impossible to advance the borehole ahead of the casing. Fur-thermore, the quality of the samples may be suspect as fines will remain in suspension in the slurry.Hence, the slurry should not be considered as representative of the in situ materials.

Continuous sampling may be obtained by the churn-drilling method if the chopping bit is replaced by anopen-tube sampler and the short-stroke drilling jar, which is attached between the drill bit and drill rod, isreplaced by a long-stroke fishing jar. The longer jar facilitates the driving of the sampler withoutimparting an upward motion to the sampler. Although the borehole is advanced by the samplingoperation itself, the hole must be cleaned by bailing each time the casing is advanced. Additionalinformation is presented in paragraph 3-3E.

Another method of advancing the borehole by the percussion technique is hammer drilling, i.e., theBecker hammer drill and the eccentric reamer system. Since the use of these systems does not directlyyield soil samples, a discussion of sampling procedures is not presented herein. However, discussions ofthe Becker hammer drill and the eccentric reamer system are presented in paragraph 3-3G; the use of theBecker hammer drill as an in situ test is discussed in Appendix H of the Geotechnical Manual.


D� $XJHUV. When augers (paragraph 7-2) are used as samplers for disturbed sampling operations,the auger should be carefully lowered to the bottom of the borehole to prevent dislodging material fromthe sidewalls of the hole. After the auger reaches the bottom of the hole, it may be advanced by rotationand a slight downward force. The speeds of advance and rotation should be adjusted to obtainmaximum-size cuttings in an attempt to preserve the in situ composition of the soil to the greatest extentpossible. The depth of penetration of the auger should be carefully monitored to allow for an accuratedetermination of the depth from which the sample is obtained.

(0��-DQ��

)��

The method of sampling with flight augers depends upon the type of auger. For single-flight augers, theauger must be carefully removed from the borehole prior to sampling. Disturbed samples can beobtained from the cuttings on the leading edge of the auger, provided that the cuttings are notcontaminated with materials from other depths or segregation has not occurred because of the loss ofmaterial as the auger is removed from the borehole. Disturbed or undisturbed samples can be obtainedby removing the auger from the spindle and replacing the equipment with a sampling device such as asplit-spoon or thin-walled sampler. If this method is used, the depth should be carefully checked toensure that material has not ravelled from the walls of the borehole or fallen from the auger as it waswithdrawn from the hole.

For continuous-flight augers, soil can be sampled at the top of the flights of the auger, although samplingby this method is not a good practice because soil from different depths may be mixed. If a solid-stemauger is used, the auger must be removed from the borehole before a sampling device can be used toobtain disturbed or undisturbed samples. Procedures are similar to those required for sampling with thesingle-flight auger. If the hollow-stem auger is used, the borehole can be advanced to the desired depth,the center plug can be removed, and sampling can be conducted by lowering a wireline sampler or someother suitable sampler through the hollow stem of the auger to the bottom of the borehole. Whensampling through the hollow-stem auger, the hollow stem of the auger acts as a casing. A discussion ofequipment and procedures for the hollow stem auger sampler is presented in paragraphs 5-1F and 6-4F,respectively.

E� 'ULYH�VDPSOHUV. Push or drive samplers (paragraph 7-3) may be advanced by pushing, jacking, ordriving with a hammer. If an open-tube sampler is used, the sampler must be lowered carefully toprevent dislodging material from the sidewalls of the borehole and filling of the sampling tube before itreaches the bottom of the hole. When a piston sampler is used, procedures which are similar to thosedescribed in paragraph 6-4D for obtaining undisturbed samples should be followed. Unless a sampleretainer is used with the drive-sampler assembly, it may be necessary to allow several minutes to elapsefollowing the completion of the drive before the sampling tube is withdrawn from the formation. Thisdelay will permit adhesion and friction between the sample and the sampling tube to develop which willhelp to prevent loss of the sample upon withdrawal.

F� 'LVSODFHPHQW� VDPSOHUV. Displacement samplers (paragraph 7-4), i.e., Memphis, Porter, orsimilar samplers, are assembled with a pointed plug piston fixed at the bottom of the sampler and aredriven to a depth corresponding to the top of the intended sample. To sample, the pointed plug isretracted to a sampling position and the sample drive is made. A slight rotation of the piston rodfollowing the sampling operations closes the vents; this action helps to prevent sample loss during thewithdrawal of the sampler from the borehole.

G� 9LEUDWRU\�VDPSOHUV. To obtain a sample with a vibratory sampler (paragraph 7-5), a sharpened,thin-walled tube as long as 10 m (33 ft) or more is vibrated at a frequency of approximately 2cycles/second (120 Hz). A slight downward pressure which can be applied by hand is usually sufficientto cause a fairly rapid penetration of the sampling tube. At the completion of the drive, an expandablepacker may be placed in the top of the tube to aid in sample recovery. A block and tackle attached to aguide frame can be used to extract the sample and tube from the borehole.

Before the sampling drive is initiated, the sampling tube should be oriented vertically. Verticality shouldbe maintained during the drive to facilitate the sample withdrawal from the borehole. If extracting thesample tube is difficult, a few cycles of vibration may be applied to reduce the friction and adhesion

(0��-DQ��

)��

between the walls of the borehole and sampling tube. However, excessive vibrations should not beapplied as the sample may fall from the tube.

The sample may be extruded, examined, and logged in the field or may be sealed and shipped to thelaboratory for testing. If a field examination is conducted, the sample may be extruded by vibrating theslightly inclined sampling tube while simultaneously sliding a half section tray under the sharpened edgeof the tube. Provided that the core trough is moved at the appropriate rate, a continuous core may beobserved. If the core is to be preserved in the sampling tube, the tube should be cut into segments about1 m (3 ft) long to facilitate handling. The ends of each segment should be sealed to preserve the in situmoisture content and stratification of the soil sample, as required by the project. Segments should beidentified and boring logs updated.

H� 3HUFXVVLRQ�VDPSOHUV. Percussion samplers (paragraph 7-6) include wireline samplers which aredriven by a sliding-weight hammer or long, weighted drilling or fishing jars. The wireline sampler anddriving mechanism are lowered to the bottom of the hole, and the wireline is marked for length ofintended drive. The driving mechanism is then raised and lowered by cable action in strokes slightly lessthan the total stroke of the hammer. When the drive is completed, the total assembly is removed from theborehole by the wireline. If the sampler becomes stuck in the soil, it can be driven upward using thehammer-drive mechanism to extract it from the formation.

��%RULQJ�DQG�6DPSOLQJ�5HFRUGV

All pertinent borehole and sample data must be recorded in a boring log. Clear and accurate data arerequired to describe the soil profile and sample locations. Information and observations which may aidin estimating the condition of the samples and the physical properties of the in situ soil should berecorded. The log of a disturbed sample boring should contain all applicable information as discussed inChapter 13 and in paragraph 6-6 for undisturbed samples.

��3UHVHUYDWLRQ�DQG�6KLSPHQW�RI�6DPSOHV

Disturbed samples should be handled and preserved to prevent contamination by foreign material and toensure that the in situ water content is preserved, if necessary. Each specimen should be representativeof the in situ soil at the depth from which the sample was taken. Stratification should be preserved, ifpossible. For specific cases, soil samples should be protected from temperature extremes duringshipment and storage. Additional guidance for preservation and shipment of samples is provided inChapter 13 and ASTM D 4220-83 (ASTM 1993).

D� &RQWDLQHUV. If the water content of the sample is to be preserved, the sample should be sealed ina glass jar or other suitable container. Large-volume representative samples may be placed in tightlywoven cloth bags and tied securely to prevent contamination and loss of sample. If samples are to bestored for an extended time, the soil should be placed in plastic-lined cloth bags as soil moisture willcause the cloth bags to deteriorate. In general, metal containers should not be used if samples are to bestored, as the container will tend to rust or corrode and may contaminate the sample.

E� 6HDOLQJ. Samples for water content determination must be sealed to prevent changes of soilmoisture. If glass jars are used, the gasket and the sealing edge of the container must be clean to ensure agood seal.

(0��-DQ��

)��

F� ,GHQWLILFDWLRQ. All soil samples must be properly marked to accurately identify the origin of thesample. A completed ENG Form 1742 and/or 1743 (see Figure 13-1) should be securely fastened to eachsample. A second tag should be placed in a waterproof envelope inside the sample bag; this tag will aidin sample identification in case the outer tag is lost. All markings should be made with waterproof,nonfading ink.

G� 3DFNLQJ�IRU�VKLSPHQW. In general, disturbed samples do not require special shipping precautions.However, the sample containers should be protected from breakage and exposure to excessive moisturewhich may cause deterioration of the labels and/or cloth bags. Glass jars usually can be packed in thecartons furnished by the manufacturer. If the transportation requires considerable handling, the cartonsshould be placed in wooden boxes. Double bags should be used if the bag samples are expected toreceive considerable handling.

H� 0HWKRGV�RI�VKLSPHQW. The most satisfactory method of sample shipment is in a vehicle that canbe loaded at the exploration site and driven directly to the testing laboratory. This method helps tominimize sample handling and allows the responsibility of transporting the samples to be delegated toone person. Samples shipped by commercial transportation companies require special packing or crating,special markings, and instructions to ensure careful handling and minimum exposure to excessive heat,cold, or moisture.

(0��-DQ��

)��

&KDSWHU�)��6DPSOLQJ�)UR]HQ�6RLOV

��,QWURGXFWLRQ

Drilling and sampling in frozen ground is somewhat similar to performing the same operations in rock.Sellman and Brockett (1987) reported experiences of drilling in a range of geotechnical materials. Forfiner grained materials, such as silt, clay, organic material, and ice, at a few degrees below freezing, theyreported that the materials were ductile and tough and needed to be cut like plastic or metal. They alsoreported that unfrozen water was sometimes present at the grain boundaries. As the in situ temperaturedecreased, the materials became stronger and more brittle and drilled like chemically cemented orcrystalline rock. For coarser-grained frozen soils, such as coarse sands and gravels, Sellman andBrockett reported that drilling was similar to drilling in concrete. Likewise, the U.S. Army Corps ofEngineers, Kansas City District (1986) reported that drillers had described drilling in frozen sand as“much like drilling sandstone.”

Sellman and Brockett (1987) reported that much of the off-the-shelf drilling equipment could be used fordrilling frozen soils. Diamond or tungsten drill bits with only minor modifications to the drill rig, fluidcirculating system, and drilling tools could be used. However, they warned that some drill bits did notperform as well in frozen soils as in unfrozen soils. As rule of thumb, Sellman and Brockett suggestedthat if the bit performed well in frozen soil, it would also perform well in unfrozen soil; however, thereverse condition was not always true.

The equipment and procedures for drilling frozen soils include the use of a drill bit suited to drilling thefrozen soil, equipment to chill the drilling fluid to a temperature which is equivalent to or slightly lessthan the temperature of the frozen formation, equipment for transport and storage of the frozen samples,and perhaps, equipment to obtain samples which are slightly larger in diameter than conventionalunfrozen samples. For example, larger fluid ports in the drill bit may be needed to permit the ice cuttingsto be transported without clogging the bit. If drilling fluid is used, it should be cooled to the in situtemperature to minimize the thermal shock to the formation. Lange (1963) suggested that the tem-perature of the drilling fluid should be within ±1 deg C (±2 deg F) of the in situ temperature of theformation. Oversized samples would permit the periphery of the sample to be trimmedprior to testing if aslight amount of thawing occurred during the sampling and handling processes. Furthermore, the largerdiameter samples would be less fragile than the smaller diameter samples and therefore would be lesslikely to be broken during the sampling and handling processes. Related information is presented inAppendix D: “Artificial Ground Freezing for Undisturbed Sampling of Cohesionless Soils.”

With respect to the strength of frozen soil, the strength would tend to increase as the temperature wasdecreased or as the ice content was increased. With other factors held constant, the torsional strength ofa sample would increase as the diameter of the sample was increased. As compared to drilling andsampling unfrozen soils and rocks, the time required to complete each borehole would be governed bymaterial type, equipment condition, proficiency of the operator, core retrieval efficiency, etc. Goodcoring practices and procedures should be followed, regardless of whether the material is sampled in afrozen or an unfrozen state.

(0��-DQ��

)��

��'ULOOLQJ�(TXLSPHQW

The principal decisions for drilling and sampling in frozen soils include the selection of suitable drillingequipment, a method of advancing and stabilizing the borehole, drilling fluid, and a refrigeration unit tocool the drilling fluid and drill string to a temperature equivalent to or slightly less than the temperatureof the in situ formation. The drill bit and the refrigeration unit are probably the two pieces of equipmentwhich will have the greatest influence on the success of drilling operations in frozen ground. Adiscussion of the equipment follows.

D� 'ULOO� ELW. When the drill bit is selected, a number of factors regarding its design should beconsidered. The drill bit should be designed to resist impact loading on the cutting teeth and the abrasiveaction of the soil cuttings on the teeth and matrix of the bit. It should be designed for full face cutting. Ifa full cut design is not utilized, the uncut ribs of frozen soil will rub against the bit body and slow thedrilling process. Penetration of the bit beyond the uncut ribs can be accomplished only by frictionalmelting and abrasion of the uncut ribs. The flow paths for the cuttings should not be obstructed. Drillingin frozen soils may cause the cuttings to stick together and refreeze. These cuttings could plug the flowpaths for the drilling fluid and render it ineffective for transporting the cuttings to the surface. If anobstruction of the flow paths occurred, cuttings could collect in the annulus above the drill bit or on thewalls of the borehole and cause the bit to become lodged in the borehole.

(1) &XWWLQJ� WHHWK. The drilling characteristics of frozen soils vary according to grain size, icecontent, and temperature of the material. In general, the material tends to become stronger and morebrittle as the temperature becomes colder, although the frozen strength is usually much less than thestrength of chemically cemented rock or crystalline rock. Under the action of the drill bit, the frozenmaterial tends to crack and crumble. The characteristics of bits for drilling in frozen sediments are fre-quently not found in commercial bits which have been designed for use in unfrozen soils and rocks.Frequently, excessive thrust and torque are used. As a result, poor cores are produced, poor drilling ratesare experienced, and excessive wear on equipment often occurs. For frozen, coarse sands and gravels,diamond drill bits have been used with limited success, provided that the matrix or ice is frozen solidly.However, diamond bits are not well suited to drilling frozen fine-grained soils and ice at a few degreesbelow freezing. Likewise, percussion and roller rock bits are generally ineffective. The cutter teeth onmost commercially available drag bits do not cut the whole face but merely dig furrows in the frozenmaterial. This problem occurs because there is no overbreak of the material and the drill bits have notbeen designed to ensure a full coverage of the surface being drilled by the cutter teeth.

Chisel-edge, wedge-shaped, finger-style cutters, such as the Hawthorne bit for drilling or sawtooth bitsfor coring, work well in fine-grained frozen soils, provided there is overlap of the cutting surfaces. Teethmade of tungsten carbide provide a durable cutting surface. The grade of carbon in the tungsten carbidebit should be chosen to optimize abrasion resistance and impact resistance of the cutting teeth. Thisfinger-style cutter is advantageous because the individual fingers can be easily sharpened or rapidlyreplaced. When a finger-style bit is used, the shape and orientation of the cutting wedges influence theefficiency and stability of the bit. The internal angle of the wedge and the angle at which it is attached tothe drill bit determine its orientation. Figure 9-1 may aid the discussion of the shape and orientation ofthe cutting tooth.

The rake angle, â , is the most important angle of the cutting tooth. It is the slope of the front face of the1advancing wedge and is measured from vertical. As the positive rake is increased, cutting becomeseasier. If the rake angle is zero, the drill cannot penetrate the formation easily. With a negative rake,thrust and torque must be increased to advance the borehole. Additionally, a negative rake could tend tocause the drill bit or drill rods to unscrew if reverse rotation is used to free a lodged bit.

(0��-DQ��

)��

The sharpness of the cutting tooth determines the efficiency of the drill bit. A measure of the overallsharpness of the wedge is expressed as the included angle, ß . This angle is usually fixed. It must be3large enough to resist breakage and hold a sharp edge. Typically, 30 to 40 deg is reasonable for drillingmost hard materials.

The relief angle, ß , is the slope of the underside of the tooth. It is measured from horizontal and is2automatically determined for a specific cutting tooth when the rake angle is specified. The relief anglegoverns the rate of penetration for any specific rotation speed.

The rake angle, ß , or the relief angle, ß , may be defined as apparent angles or as actual angles,1 2depending on the reference criteria. Apparent angles are defined with reference to the axis of the drilland are constant, regardless of the drilling conditions. Actual angles are defined with reference to thehelical penetration path. Actual angles vary with the drilling conditions, including the penetration rate,rotation speed, and the radius of the boring head.

The apparent relief angle governs the rate of penetration. When the actual relief angle is reduced to zero,i.e., the helical angle of the penetration path is equal to the apparent relief angle, the rate of penetrationreaches a maximum value. Hence, the maximum penetration rate for a given bit design and a specificrotation speed can be calculated. Likewise, the minimum apparent relief angle for any position on thecutting head can be calculated if the desired penetration rate and the rotation speed are given. From apractical standpoint however, the efficiency of the cutting action near the center of the bit is relativelylow because the penetration rate is high as compared to the rotation speed. Thus, the center of the bitmay either be fitted with a sharp spear point that indents and reams the center of the borehole or an annu-lus that cores a small-diameter core. If the latter method is used, the core tends to shear when the lengthto diameter becomes excessive.

The cutting wedges can also be designed for a specific direction of cutting. For oblique cutting, thecutting edge aids in the lateral transport of soil cuttings. During orthogonal cutting, the cutting edgetravels at right angles to the tangential travel direction. The direction of cutting is important for removalof cuttings from the face of the bit. The direction of cutting, along with the location of fluid ports, shouldbe considered when a finger-type bit is designed or selected.

Each cutting tooth should be designed for a specific location on the bit. For example, the relief angle,rake angle, and orientation of a cutting tooth located near the center of the bit may be much different thanthe comparable placement of a cutting tooth located near the edge of the bit. It should also be noted thatalthough a drill bit may be designed and/or selected for a specific drilling operation or condition, wearingon the underside of the tool by the action of the cuttings may affect the efficiency of the drill bit.Periodic inspections of the drill bit and cutting surfaces should be made, and repairs or replacement ofthe cutting teeth or drill bit should be made as necessary.

(2) 6WDELOLW\�RI�WKH�GULOO�ELW. The lack of stability can cause vibrations and shuddering of the drillstring. These factors, in turn, make drilling a straight hole difficult. The stability and smooth rotation ofthe drill bit is influenced by a number of variables which include the symmetry of the cutter placement,the number of cutters, the stability of drive unit, and the diameter of the borehole as compared to the bitbody or auger diameter. A step configuration of the cutting teeth, as illustrated in Figure 9-2, tends tostabilize the bit in the borehole as well as enhancing its cutting efficiency.

E� $XJHUV. All of the basic drilling operations, including penetration, material removal, and wallstabilization, are satisfied when drilling with augers. Furthermore, a minimum amount of hardware and

(0��-DQ��

)��

equipment is required. The principal disadvantage of an auger for drilling and sampling in frozenformations is that the ambient air temperature must be lower than -2 to -4 deg C (26 to 28 deg F). Ifhigher air temperatures are encountered, heat from the warm air will be transferred down the stem of theauger. Furthermore, heat is created as a result of friction between the soil and auger. The effect couldinclude thawing of the pore water and deterioration of cores and walls of the borehole.

Bucket augers or hollow-stem or solid-stem augers can be used. With bucket augers or short-flightaugers, the borehole can be advanced by lowering the auger in the hole and rotating. After the bucket orauger flights are filled with cuttings, the auger is withdrawn from the borehole to remove the cuttings.The auger also must be removed from the borehole before a core can be obtained. If a continuous-flightauger is used, the cuttings are carried to the surface on the auger flights. With the hollow-stem auger, asample can be obtained by lowering a specially designed core barrel through the hollow stem to obtain asample of soil, rock, or ice or by using the auger to cut a core of material. Sampling through ahollow-stem auger is discussed in Chapters 5 and 6. A brief description of the U.S. Army Engineer ColdRegions Research and Engineering Laboratory (CRREL) hollow-stem coring auger (Ueda, Sellman, andAbele 1975) is discussed below.

The original coring auger, known as the CRREL 3-in. (76-mm) coring auger, was the standard tool forshallow depth coring in frozen materials for three decades. The auger consisted of a section of tubingwrapped with auger flights. A cutting shoe was affixed to one end of the hollow tube, and a drive headwas attached to the other end. The overall length of the barrel with the cutting shoe and driving headattached was approximately 1.0 m (3.3 ft). The cutting shoe was equipped with two chisel-edged cuttingteeth. The chisel-shaped teeth were designed with a 30-deg rake angle, a 40-deg included angle, and a20-deg relief angle. Elevating screws which were attached to the cutting shoe were used to control theeffective relief angle. Cuttings were fed onto two helical auger flights. The pitch of the auger flightswas 20 cm (8 in.) and the helix angle was 30 deg. During the coring operations, the cuttings were carriedupward on the auger flights and allowed to pass through holes in the hollow tube and to accumulateabove the core. Cuttings were not permitted to accumulate above the drive head because of the tendencyto jam the sampling apparatus in the borehole. The cuttings which had accumulated above the corewedged between the core and the barrel wall during the sampling operation; this action helped to retainthe sample in the coring auger. Unfortunately, it is also believed that the material that had been wedgedbetween the core and the walls of the tube also applied torque to the core which caused the core to breakinto short lengths.

The Rand auger, which replaced the CRREL coring auger, was designed to obtain a core approximately108 mm (4-1/4 in.) in diameter by 1.4 m (4.6 ft) in length. The cutting shoe was equipped with twochisel-edged cutting teeth which were affixed onto 45-deg helical slots. The teeth were designed with a45-deg rake angle, a 30-deg included angle, and a 15-deg relief angle. Elevating screws were used tocontrol the effective relief angle. Cuttings were fed onto two helical-auger flights. The pitch of theflights was 20 cm (8 in.) and helix angle was 25 deg. In addition to the minor changes to the Rand augeras compared to the CRREL coring auger, the significant modifications to the coring auger need to beaddressed. First, holes were no longer placed in the walls of the hollow tube. The cuttings are carried onthe auger flights to the top of the drive head. For the standard Rand auger, the drive cap is not solid andsome cuttings may fall into the hollow tube and onto the top of the core. However, a solid drive cap canbe used, if desired. To retain the core in the sample tube, the cutting shoe was fitted with spring-loadedwedges which clamped onto the periphery of the sample after the drive was completed. This clampingaction helped to shear the core from the formation and retain it in the tube as the auger was removed fromthe borehole. For deep coring drives, a section of solid-stem flight auger can be attached to the top of thecoring auger to retain the cuttings. The addition of auger flights to the top of the coring auger helps to

(0��-DQ��

)��

reduce the potential for jamming the apparatus in the borehole during retraction from a deep drive. Tostabilize the drill rod on long coring runs, centering disks can be used on the drill rod at 1- to 2 m (3- to 6ft) intervals.

F� 'ULOOLQJ�IOXLGV��IOXLG�SXPSV��DQG�UHIULJHUDWLRQ�XQLWV.

(1) 'ULOOLQJ�IOXLGV. The circulation of drilling fluid at an acceptable temperature, adequate pressure,and rate of flow is extremely important when drilling frozen soils. If the temperature of the drilling fluidor equipment is higher than the temperature of the formation, pore ice could begin to melt. If cuttings areproduced more rapidly than they are removed, they may be reground by the bit. This condition wouldtend to slow the drilling rate. Cuttings which are not efficiently removed from the borehole tend to sticktogether or to the walls of the borehole and refreeze. As a result, the drilling equipment could becomelodged in the borehole.

A variety of chilled fluids have been used in the drilling of frozen soils, including diesel fuel,water-based fluids such as brine and mixtures of propylene glycol or ethylene glycol and water, andcompressed air. Although a comprehensive discussion of commonly used drilling fluids for soils androcks is presented in Chapter 4, a few comments on the use of chilled drilling fluids are needed.

(a) 'LHVHO�IXHO. A liquid drilling fluid is more viscous than air. This characteristic tends to dampenmechanical shocks and vibrations which are caused by the action of the bit and core barrel to the core orformation. When a liquid as compared to compressed air is used as the drilling fluid, the pressure at thebottom of the borehole is not abruptly altered when drilling is ceased. Furthermore, the hydrostatic headat the bottom of the borehole is similar to the in situ condition.

Arctic-grade diesel fuel may be the best drilling fluid used to drill frozen soils, rocks, and ice.Unfortunately, diesel fuel is not an environmentally acceptable drilling fluid. Diesel fuel tends tocontaminate the core. It may also change the freezing point of water in the soil pores. As a result, thepore ice in the core and the walls of the borehole may begin to deteriorate during the drilling process.Other disadvantages include: a large quantity of diesel fuel is needed; protective clothing and glovesshould be used; and the potential for fire is increased.

(b) :DWHU�EDVHG� IOXLGV. Water-based drilling fluids, such as mixtures of two to four percent byweight of salt to water (Hvorslev and Goode 1960) or two parts of water to one part of propylene glycolor ethylene glycol, by volume (U.S. Army Corps of Engineers, Kansas City District 1986), offer many ofthe same advantages and disadvantages of using diesel fuel. Water-based drilling fluids reduce thevibrations and mechanical shocks to the formation caused by the drilling operations as well as stabilizeand balance the in situ stresses in the borehole. Liquid drilling fluids are much more efficient than com-pressed air for cooling the bit and transporting the cuttings away from the drill bit and to the groundsurface. However, there is the ever present possibility that the core may be contaminated by the drillingfluid which may alter the temperature required to keep the pore water frozen. As in the case for dieselfuel, the pore ice in the core and on the walls of the boring could thaw and cause deterioration of thestructure. Protective clothing, gloves, and other safety items should be worn because of the potentialhealth concerns caused by the exposure of the skin and other organs to concentrations of salt or otherchemicals in the drilling fluid.

(c) &RPSUHVVHG�DLU. Compressed air does not exchange heat as efficiently, nor is it as effective forremoving cuttings from the borehole as liquid drilling fluids. However, the use of compressed air fordrilling frozen formations is environmentally more acceptable than are the other liquid drilling fluids.

(0��-DQ��

)��

When drilling frozen formations including ice-saturated fine-grained soils and ice, the requirements ofchilled compressed air may be somewhat different than for drilling frozen or unfrozen coarse-grainedmaterials. When frozen formations are drilled, the temperature and the flow rate or return velocity of thecompressed air should be monitored and adjusted as necessary. The temperature of compressed air mayincrease because of friction as it is pumped through the drill string and returned to the surface. Thetemperature of the return air should be slightly lower than the temperature of the formation being drilled.The required upward annular velocity is a function of the size of the cuttings, the drill bit, and theformation and should be adjusted as necessary. For example, Lange (1973a) reported that compressed airdelivered at 600 standard cubic feet per minute (scfm) at 110 psi was satisfactory for drilling frozen1

gravel. From the data which were given in Lange's report, the upward annular velocity was calculated as20 m/sec (4,000 ft/min). Diamond impregnated and surface-set diamond bits were used. For drilling ice,Lange (1973b) reported that an uphole velocity of 8 m/sec (1,500 ft/min) was satisfactory. Finger-typeice coring bits were used. From this information, it is apparent that there is no “cookbook” answer on thecorrect flow rate for drilling with air. Depending on the drilling conditions, materials, and equipment, arange of compressed air requirements could be required. It is suggested that a range of flow rates shouldbe investigated and the optimum condition should be utilized.

(2) )OXLG�SXPSV�DQG�DLU�FRPSUHVVRUV.

(a) )OXLG�SXPSV. A progressive cavity-type pump or a positive displacement piston pump can beused for circulating a liquid drilling fluid. Precautions should include a routine inspection of thecirculation system for accumulation of cuttings. If excessive cuttings are cycled through the system oraccumulate along the baffles of the mud pit, the length of travel of the mud may have to be increased toallow sufficient time for the cuttings to settle before the drilling mud is recycled. The use of desandersshould also be considered.

(b) $LU�FRPSUHVVRUV. The air compressor must have adequate capacity to obtain a sufficient upholevelocity to carry the cuttings to the surface. In Chapter 4, it was reported that the effective use of air as adrilling fluid required a high volume of air to efficiently remove the cuttings from the borehole. Highpressure alone would not assure a sufficient volume of air. Furthermore, excessively high air pressurecould damage the formation or cause other drilling problems. An uphole velocity on the order of 20 to25 m/sec (4,000 to 5,000 ft/min) was suggested for many drilling conditions. As a matter of precautionwhen frozen formations are drilled with air, a routine inspection of the core barrel and bit should beconducted for constrictions of airflow, such as frozen cuttings collecting at these orifices. A sludgebarrel should also be used to collect particles which are too heavy to be lifted by the flow of compressedair or if the air pressure suddenly failed.

(3) 5HIULJHUDWLRQ�XQLWV. During drilling operations, heat is generated by the mechanical cutting ofthe frozen formation. Other sources of internal and external heat energies include the ambient airtemperature and the frictional heating of the drilling fluid as it is compressed and/or pumped through thedrill system. To minimize the thermal disturbance of the borehole wall and core, the drilling fluid, albeitliquid or gas, must be continually cooled. This cooling can be accomplished by circulating the drillingfluid through a chiller attached parallel to the coolant system.____________________________

The 0F*UDZ�+LOO� (QF\FORSHGLD� RI� 6FLHQFH� DQG� 7HFKQRORJ\� (McGraw-Hill, Inc. 1992) states that1

standard air is 20 deg C (68 deg F), 101.3 kPa (14.7 psi), and 36 percent relative humidity; gas industriesusually consider an air temperature of 15.6 deg C (60 deg F) as standard.

(0��-DQ��

)��

There are no unique designs of a refrigerator plant. Generally speaking, the design of the refrigerationsystem can be obtained from data from compressor manufacturers handbooks, although the assistance ofan engineer or technician from a refrigeration company may enhance the cost-effectiveness of the designof the system. The requirements for the system will vary according to the specific site conditions.Factors such as the type of drilling fluid, the temperature of the subsurface material, and the ambient airtemperature may affect the design of the system. The cooling capacity of the refrigerator plant should becompatible with the flow rate and pressure of drilling fluid as dictated by the drilling rig and the drillingfluid pump.

The refrigeration system generally consists of a freon compressor which is used to chill a fluid, such asethylene glycol. The drilling fluid is circulated through a heat exchanger to cool it. If compressed air isused, the heat exchanger may be similar to the radiator on an automobile or may consist of chilling coilsin a pressure vessel. If a liquid drilling fluid is used, chilled ethylene glycol may be pumped throughchilling coils in the mud pit or through chilling coils in a pressure vessel. When the heat exchangersystem is selected, consideration should be given to the method for defrosting the system, especiallywhen the drilling and sampling operations are conducted in a humid environment in which the ambienttemperatures are anticipated to be greater than approximately -7 deg C (20 deg F). Lange (1973b)reported that it was more difficult to defrost a liquid to compressed air heat exchanger than to defrost anair to air heat exchanger. Consequently, the type of heat exchanger and the ease of defrosting it couldinfluence the selection of the refrigeration system and/or the drilling fluid.

G� 2WKHU�HTXLSPHQW. Drilling in frozen formations may require other special pieces of equipment.Split-ring or basket-type core lifters will likely retain core satisfactorily for most sampling operations.For deep boreholes, a drill collar (Lange, 1973b) may be used to shift the point of tension andcompression in the drill string; the use of this equipment will reduce the downward pressure on theformation. Rod stabilizers (Brockett and Lawson 1985) are useful for minimizing the potential foreccentric drilling which can cause oval boreholes or cores. Sludge barrels can be placed above the corebarrel when drilling with compressed air. This equipment is useful for capturing particles which are tooheavy to be lifted by air pressure; it can also be used to capture the cuttings suspended in the borehole incase the air compressor suddenly failed. Additionally, the sludge barrel would minimize the potential forcuttings falling on top of the drill bit and refreezing and/or wedging it in the borehole. It is noteworthythat a sludge barrel is often affixed to the top of an auger specifically to capture the cuttings. Lastly, itmay be necessary to artificially freeze an in situ formation of cohesionless soils to obtain high qualityundisturbed samples. Special equipment and recommended procedures to artificially freeze an in situformation are discussed in Appendix D.

��'ULOOLQJ�DQG�6DPSOLQJ�LQ�)UR]HQ�6RLO�DQG�,FH

The procedures for drilling and sampling in frozen ground are similar to the procedures which are usedfor unfrozen ground that are reported in Chapter 6. The principal differences include selecting thedrilling equipment and drilling fluids, chilling the fluid and equipment, removing the cuttings from theborehole, and providing freezers or some other suitable method for storage of the frozen core. Asuggested procedure is presented in the following paragraphs.

Casing may be used to stabilize unfrozen soil or water at the earth's surface or as a casing collar in frozensoil. To set the casing in frozen soil, drill a pilot hole about 1 m (3 ft) deep with a suitable drill bit.Place a 1.5 m (5 ft) long section of casing in the borehole, drive the casing to firm frozen soil, and thenremove the soil from inside the casing. After the casing has been set, place the slush pit over theborehole, align the collar of the slush pit with the casing, and place packing in the joint between the

(0��-DQ��

)��

casing and the collar of the slush pit. If unfrozen soil or water are encountered, the procedures for settingcasing are similar to the procedures for setting casing in frozen soil. However, the depth to stable soil,and hence the depth at which the casing must be placed, may be much greater than the depth required forfrozen soil.

D� $GYDQFLQJ�WKH�ERUHKROH�

(1) $XJHULQJ. The procedures for using augers to advance boreholes in frozen soil or ice are similarto those which are suggested in Chapter 6. However, as with any drilling or sampling procedures, thedriller may modify the recommended procedures as required to enhance the drilling and samplingoperations for the particular site conditions.

(2) 5RWDU\� GULOOLQJ. Rotary drilling in frozen soils is not much different from the procedures andoperations which are reported in Chapters 6 and 8 for drilling unfrozen soils. In addition to therequirement for keeping the formation frozen by using chilled drilling fluid and drilling equipment, theprimary differences for drilling in frozen soils as compared to unfrozen soils include the use of a slush pitwith more baffles to allow sufficient time for the cuttings to settle, additives to adjust the viscosity andspecific gravity of drilling fluid, and in some cases, the use of casing for near surface conditions whenpeat or large volumes of unfrozen water are encountered. Other factors which must be consideredinclude the ambient air temperature and the weather conditions, the in situ formation temperatures, andthe effects of thawing on the behavior of the material.

In general, rapid penetration at high rates of revolution of the bit with low pressures and low volumes offluid circulation is recommended for most soils. Experience has shown that slower rates of penetrationhave resulted in increased erosion and thawing of the walls of the borehole because of the drilling fluid.The type of drilling fluid also needs careful consideration. Chilled air cannot remove frictional heat fromthe drill bit as efficiently as liquid drilling fluids. Chilled brine, ethylene glycol, or diesel fuel may beenvironmentally unacceptable. These drilling fluids may also change the freezing point of water in thesoil pores and thus cause thawing of the formation. When casing is needed, the liquid drilling fluids maybe undesirable because of the need to freeze the zone between the casing and soil.

Finger-type tungsten drag bits have been used for advancing boreholes in frozen formations. In general,the results were good except the cuttings tended to collect in the borehole and thus inhibited the coolingeffects of the drilling fluid. Ice-rich silt and ice-rich sand were easily drilled and cored, although sandtended to dull the cutting surfaces more rapidly than silt. Ice-poor sand was easier to core than ice-poorsilt or ice-poor clay. Dry frozen silt or silty clay was fairly difficult to drill as the cuttings tended to balland refreeze on the walls of the borehole. The result was sticking and freezing of the bit or core barrelwhen its rotation was stopped. Gravelly soils tend ed to damage the carbide cutting tips. When iceformations are drilled, the downward pressure of the drill bit must be minimized. The reduction ofpressure on the drill bit can be accomplished by the use of a drill collar which shifts the point of tensionand compression in the drill string.

E� 6DPSOLQJ.

(1) 6DPSOLQJ�ZLWK�$XJHUV. If sampling is conducted in conjunction with augering, the procedureswill be dictated by the type of samples to be obtained. Disturbed samples cannot be obtained from thecuttings which have been carried to the surface by the auger flights; these cuttings may be mixed withmaterials from various depths and therefore may not be representative of the formation(s) of interest.Cores of frozen material can be obtained by the hollow-stem auger sampler, as described in paragraphs

(0��-DQ��

)��

5-1F and 6-4F, or the center bit can be removed and the barrel of the hollow-stem auger can be used ascasing for sampling with core barrel samplers. It should be noted that the hollow-stem auger could freezein the borehole during the sampling operations. Therefore, this method should be used cautiously.

The coring run consists of augering the barrel into the formation until it is filled with cuttings and core.During this operation, the depth of penetration should be monitored as an excessive drive will damagethe core. However, it has been reported that when ice is cored, cuttings were purposely wedged betweenthe core and core barrel. This action enhanced the breaking of the ice core at its base and recovering thesample. This procedure is not recommended for soil sampling operations.

Several precautions for sample coring with augers are offered. All trips up and down the borehole shouldbe made without rotation. Select the proper bit for the formation to be drilled. Bits which are improperlymatched with the formation may result in coarse cuttings which would tend to collect on the top of thecore barrel. During withdrawal, the cuttings would compact and could cause the device to jam in theborehole. If the device becomes frozen in the borehole, the freezing point of the pore water in thecuttings must be lowered to free the apparatus. Cuttings can be thawed by brine solutions, antifreezesolutions, or jetting air past the cuttings. However, these operations may also cause the walls of theborehole to thaw.

(2) 6DPSOLQJ�ZLWK�FRUH�EDUUHO�VDPSOHUV. The equipment and procedures for sampling frozen soilsare similar to the equipment and operations which are reported in Chapters 5 through 8 for samplingunfrozen soils. Standard double-tube core barrels equipped with tungsten coring bits and basket-type orsplit-ring core lifters have been used for sampling frozen cohesive and cohesionless soils.

��6SHFLDO�&RQVLGHUDWLRQV

A number of considerations are noteworthy when drilling operations are conducted in frozen formations.However, the two most important considerations are the selection of the drilling fluid and the drill bit. Abrief discussion follows.

The type of drilling fluid should be selected after the benefits and limitations of each are considered. Athigh ambient temperatures, compressed air will not cool the drilling equipment sufficiently. As a result,the in situ formations may tend to thaw. At ambient temperatures less than about -4 deg C (25 deg F),compressed air works well although the defrosting problems for chilling air by mechanical refrigerationis difficult. Liquid drilling fluids, such as diesel fuel, ethylene glycol, and brines, have a greater capacityfor heat exchange than compressed air. However, these fluids may tend to alter the freezing point of thein situ material as well as contaminate the formation and the sample cores. Furthermore, the liquiddrilling fluids may have an adverse effect on the drilling equipment, i.e., the salt in a brine tends todeteriorate drilling equipment, or diesel fuel may dissolve or dilute the grease used to lubricate thedrilling equipment.

The drill bits and rate of advancement should be selected according to the material in the formation. Thedrill bit should employ full-face cutting of the formation. Uncut ribs rub against the bit body and slowdrilling and/or stop penetration. If the cutting surfaces of the bit are incorrectly positioned, an irregularand scored surface of the core may result. If the rate of penetration is too aggressive, the core may breakor the fluid ports in the drill bit or core barrel may become clogged frequently. If the rate of drilling istoo slow or if the cutting of the bit is ineffective, small chips or frictional melting and refreezing of thecore could occur. The stability and smooth running of the drill bit is influenced by symmetry of cutterplacement, the number of cutters, the stability of drive unit, and the diameter of the borehole as compared

(0��-DQ��

)��

)LJXUH��6FKHPDWLF�RI�D�FXWWLQJ�WRRWK�ZKLFK�GHILQHV�WKH�VKDSH�DQG�RULHQWDWLRQ�RIWKH�WRRWK��DIWHU�0HOORU��

to the bit body or auger diameter. The lack of stability can cause vibrations and shuddering of the drillstring which would make the drilling of straight holes difficult to impossible.

(0��-DQ��

)��

)LJXUH��6FKHPDWLF�RI�WKH�VWHS�FRQILJXUDWLRQ�RI�WKH�FXWWLQJ�WHHWK�RQ�D�GULOO�ELW�DQG�DQ�LVRPHWULFGUDZLQJ�RI�WKH�FXW�VXUIDFH�DW�WKH�ERWWRP�RI�WKH�ERUHKROH

(0��-DQ��

)��

&KDSWHU�)��8QGHUZDWHU�6DPSOLQJ�RI�6RLOV

��,QWURGXFWLRQ

7KLV� FKDSWHU� LV� LQWHQGHG� WR�SURYLGH�JXLGDQFH� IRU�REWDLQLQJ� VRLO� VDPSOHV� LQ� WKH� QHDUVKRUH�HQYLURQPHQW�VXFK�DV�KDUERUV��ULYHUV��FRDVWDO�SODLQV��EDFNVZDPSV��DQG�ZHWODQGV�ZKHUH�WKH�GHSWK�RI�ZDWHU�YDULHV�IURP��WR��P��WR��IW��DQG�LV�JHQHUDOO\�OHVV�WKDQ��P��IW��6DPSOLQJ�LQ�GHHS�ZDWHU�LV�QRW�DGGUHVVHGKHUHLQ�� 7KLV� JXLGDQFH� LV� LQWHQGHG� WR� VXSSRUW� W\SLFDO� SURMHFWV� VXFK� DV� PDULQH� FRQVWUXFWLRQ� SURMHFWV�GUHGJLQJ� RI� FKDQQHOV� DQG� KDUERUV�� FRQVWUXFWLRQ� RI� OHYHHV� DQG� GDPV�� DQG� UHFODPDWLRQ� RI� ZHWODQGV�7KHUHIRUH�� WKH� LQIRUPDWLRQ� FRQFHQWUDWHV� RQ� FRPPRQ�� FRPPHUFLDOO\� DYDLODEOH� VDPSOLQJ� HTXLSPHQW� DQGPHWKRGV�� 2QH�RI�D�NLQG� UHVHDUFK� WRROV� RU� HTXLSPHQW� DYDLODEOH� RQO\� IURP� IRUHLJQ� FRXQWULHV� LV� QRWGLVFXVVHG�� $SSHQGL[� $� OLVWV� UHIHUHQFHV� WKDW� GLVFXVV� VRPH� RI� WKHVH� WRSLFV�� +RZHYHU�� JXLGDQFH� IRUREWDLQLQJ� FKHPLFDO� VDPSOHV��ZKLFK� LV� W\SLFDOO\� GRQH� LQ� FRQMXQFWLRQ�ZLWK� VRLO� VDPSOLQJ�� LV� EH\RQG� WKHVFRSH�RI�WKLV�PDQXDO��*HRWHFKQLFDO�SHUVRQQHO�VKRXOG�FRRUGLQDWH�XQGHUZDWHU�FKHPLFDO�VDPSOLQJ�ZLWK�WKH3URMHFW� (QYLURQPHQWDO� (QJLQHHU�� RU� VKRXOG� UHIHU� WR�(3$�0DQXDO� �� WKH� ³JUHHQ� ERRN´�� DQG� WKHDSSURSULDWH�5HJLRQDO�,PSOHPHQWDWLRQ�0DQXDO�

*HQHUDOO\�� VDPSOLQJ� VRLOV� XQGHUZDWHU� LQ� WKH� QHDUVKRUH� HQYLURQPHQW� LV� QRW� VLJQLILFDQWO\� GLIIHUHQW� IURPVDPSOLQJ�VRLOV�RQ�ODQG��7KH�FRQFHUQV�IRU�REWDLQLQJ�PLQLPDOO\�GLVWXUEHG�VDPSOHV�IRU�JHRWHFKQLFDO�WHVWLQJDUH� WKH� VDPH�� WKH� VDPSOHV� DUH� MXVW� PRUH� GLIILFXOW� WR� REWDLQ�� ,Q� DGGLWLRQ� WR� WKH� QHHG� WR� ILQG� WKH� ULJKWHTXLSPHQW� IRU�REWDLQLQJ�VDPSOHV��D�ZRUN�SODWIRUP�RU�YHVVHO�DQG�D�SRVLWLRQLQJ�V\VWHP�DUH�QHHGHG�� 7KHZLQG�� ZDYHV�� WLGHV�� FXUUHQWV�� DQG� ZDWHU� GHSWKV� PXVW� DOVR� EH� FRQVLGHUHG� ZKHQ� SODQQLQJ� D� VLWHLQYHVWLJDWLRQ�

7KH�VHOHFWLRQ�RI�DSSURSULDWH�VDPSOLQJ�HTXLSPHQW�IRU�UHWULHYLQJ�XQGHUZDWHU�VDPSOHV�GHSHQGV�XSRQ�VHYHUDOIDFWRUV��VRLO�GDWD�UHTXLUHG��VL]HV�RI�WHVW�VSHFLPHQV�QHHGHG��VHGLPHQW�W\SH��JHRORJ\��WKH�GHSWK�RI�ZDWHU�RUHOHYDWLRQ�RI�WKH�VHDIORRU��HQYLURQPHQWDO�FRQGLWLRQV��YHVVHO�DYDLODELOLW\��DQG�IXQGLQJ�OLPLWV��7KHVH�IDFWRUVGR�QRW�DOZD\V�IDYRU�VHOHFWLRQV�WKDW�DUH�FRPSDWLEOH�� )RU�H[DPSOH��WKH�HTXLSPHQW�UHTXLUHG�WR�REWDLQ�WKHVL]H� DQG�RU� TXDOLW\� RI� VDPSOH�V�� PD\� QRW� EH� GHSOR\DEOH� IURP� WKH� YHVVHO� DYDLODEOH� ZLWKLQ� WKH� SURMHFWEXGJHW��RU�WKH�DYDLODEOH�YHVVHO�PD\�QRW�EH�DEOH�WR�RSHUDWH�LQ�WKH�UHTXLUHG�VKDOORZ�ZDWHU�GHSWKV��(DFK�RIWKHVH�IDFWRUV�ZLOO�EH�GLVFXVVHG�LQ�WKLV�FKDSWHU�

��8QGHUZDWHU�6HGLPHQW�7\SHV

7KH�VHOHFWLRQ�RI�DSSURSULDWH�HTXLSPHQW�IRU�XQGHUZDWHU�VDPSOLQJ�GHSHQGV�RQ�WKH�W\SH�RI�VHGLPHQW�WR�EHVDPSOHG��%HFDXVH�VRPH�VDPSOHUV�FDQQRW�EH�XVHG�WR�UHWULHYH�D�KLJK�TXDOLW\�VDPSOH��RU�LQ�VRPH�FDVHV��DQ\VDPSOH� LQ� FHUWDLQ� W\SHV� RI�PDWHULDOV�� LW� LV� LPSRUWDQW� WR� NQRZ�EHIRUHKDQG� WKH� W\SHV� RI� VHGLPHQWV�PRVWOLNHO\�WR�EH�HQFRXQWHUHG�DW�WKH�VLWH�

0DULQH� VHGLPHQWV� FDQ� EH� FODVVLILHG� DFFRUGLQJ� WR� VHYHUDO� FULWHULD� �1RRUDQ\� �� ,Q� WKH� QHDUVKRUHHQYLURQPHQW��PDULQH�VHGLPHQWV�DUH�FODVVLILHG�DFFRUGLQJ�WR�WKHLU�RULJLQ��/LWKRJHQRXV��GHULYHG�IURP�URFN�VHGLPHQWV� DUH� IRUPHG� IURP� WHUUHVWULDO� RU� YROFDQLF� VRXUFHV�� 8QGHUZDWHU� OLWKRJHQRXV� �WHUULJHQRXV�VHGLPHQWV�UHVXOW�HLWKHU�IURP�D�ULVH�LQ�WKH�VHD�OHYHO��WKH�VXEPHUJHQFH�RI�ODQG�GXH�WR�JHRORJLFDO�HYHQWV��RUE\�VRLO�SDUWLFOHV�EHLQJ�WUDQVSRUWHG�E\�ZLQG��ZDWHU��RU�LFH�WR�WKH�VHD�ZKHUH�WKH\�VHWWOH��%HFDXVH�VDPSOLQJWHUULJHQRXV�VHGLPHQWV�LV�VLPLODU�WR�VDPSOLQJ�WKH�VDPH�W\SHV�RI�VRLOV�RQ�ODQG��GHWHUPLQDWLRQ�RI�WKH�VRXUFHRI� WKH� VHGLPHQWV� DQG� WKH�PHWKRG�E\�ZKLFK� WKH�GHSRVLW�ZDV� IRUPHG�FDQ�KHOS� LQ�SUHGLFWLQJ�ZKHWKHU� WKHVHGLPHQW� LV� QRUPDOO\� FRQVROLGDWHG� RU� RYHUFRQVROLGDWHG�� WKLV� LQIRUPDWLRQ� FDQ� EH� XVHG� DV� D� JXLGH� IRU

(0��-DQ��

)��

VHOHFWLQJ�WKH�EHVW�VDPSOLQJ�PHWKRG�V��%LRJHQLF�VHGLPHQWV��ZKLFK�DUH�IRXQG�LQ�ERWK�QHDUVKRUH�DQG�GHHSRFHDQ� GHSRVLWV�� DUH� IRUPHG� IURP� WKH� UHPDLQV� RI�PDULQH� RUJDQLVPV�� 7KH�PRVW� FRPPRQ� VHGLPHQWV� DUHHLWKHU� VLOLFD� �6L2 �� RU� FDOFLXP� FDUERQDWH� �&D&2 ��PDWHULDOV�� +\GURJHQLF� VHGLPHQWV� DUH� IRUPHG� E\� D� �

FKHPLFDO� UHDFWLRQ� WKDW� RFFXUV� XQGHU� WKH� ULJKW� FRQGLWLRQV� RI� WHPSHUDWXUH�� SUHVVXUH� �ZDWHU� GHSWK�� DQGFKHPLFDO�FRQWHQW�RI�WKH�ZDWHU�DQG�VXEVHTXHQW�SUHFLSLWDWLRQ�RI�PDWHULDO��+\GURJHQRXV�GHSRVLWV�RI�FDOFLXPFDUERQDWH�FDQ�EH� IRXQG�QHDUVKRUH� LQ�VRPH�DUHDV�� 8QOLNH� WKH� WHUULJHQRXV�VHGLPHQWV��FDOFLXP�FDUERQDWHVHGLPHQWV�DUH�SDUWLFXODUO\�GLIILFXOW�WR�VDPSOH�ZLWKRXW�GLVWXUEDQFH��DGGLWLRQDO�LQIRUPDWLRQ�LV�FRQWDLQHG�LQWKH�SURFHHGLQJV�RI�WKH�LQWHUQDWLRQDO�FRQIHUHQFH�RQ�FDOFDUHRXV�VHGLPHQWV��-HZHOO�DQG�.KRUVKLG��

��3ODQQLQJ�DQ�8QGHUZDWHU�6LWH�,QYHVWLJDWLRQ

3ODQQLQJ�D�VLWH�LQYHVWLJDWLRQ�RQ�ODQG�LV�GLVFXVVHG�LQ�&KDSWHU��$V�FRPSDUHG�WR�DQ�RQVKRUH�LQYHVWLJDWLRQ�D� QHDUVKRUH� RU� RIIVKRUH� LQYHVWLJDWLRQ� PD\� HQFRXQWHU� VRPH� XQLTXH� SUREOHPV�� 7R� SODQ� DQ� HIIHFWLYHRIIVKRUH� LQYHVWLJDWLRQ�� SUHOLPLQDU\� LQIRUPDWLRQ� VKRXOG� EH� JDWKHUHG� RQ� WKH� VLWH� FRQILJXUDWLRQ�HQYLURQPHQWDO� FRQGLWLRQV�� WKH� W\SH� RI� VHGLPHQW� H[SHFWHG� WR� EH� IRXQG� DW� WKH� VLWH�� DQG� WKH� VDPSOLQJHTXLSPHQW�DQG�ZRUN�SODWIRUPV�DYDLODEOH�DQG�WKHLU�FDSDELOLWLHV�� :LWK�WKLV�LQIRUPDWLRQ��GHFLVLRQV�FDQ�EHPDGH�UHJDUGLQJ�ZKHUH�WR�WDNH�VDPSOHV��KRZ�PDQ\��DQG�WR�ZKDW�GHSWK�WR�PHHW�WKH�SURMHFW�UHTXLUHPHQWV�,QIRUPDWLRQ�RQ�WKH�H[SHFWHG�VHGLPHQW�W\SH�DQG�WKH�GDWD�QHHGHG�IURP�WKH�VDPSOHV�ZLOO�GHWHUPLQH�WKH�W\SHRI�VDPSOHU�WR�XVH�

2QH�RI�WKH�ILUVW�VWHSV�LV�WR�REWDLQ�D�PDULQH�FKDUW�RI�WKH�DUHD�WR�EH�VXUYH\HG��6XLWDEOH�FKDUWV�DQG�PDSV�DUHDYDLODEOH� IURP� WKH�1DWLRQDO�2FHDQ�6HUYLFH� DQG� WKH�1DWLRQDO�2FHDQLF�DQG�$WPRVSKHULF�$GPLQLVWUDWLRQ�12$$�� IRU� FRDVWDO� DQG�*UHDW�/DNHV�DUHDV�� WKH�'HIHQVH�0DSSLQJ�$JHQF\�IRU�RSHQ�RFHDQ�DQG� IRUHLJQZDWHUV�� DQG� WKH� 8�6�� $UP\� &RUSV� RI� (QJLQHHUV� IRU� LQODQG� ULYHUV�� ODNHV�� DQG� FDQDO� V\VWHPV�� WKHVHGRFXPHQWV�FDQ�EH�SXUFKDVHG�DW�ORFDO�PDULQH�FKDQGOHU\�VWRUHV�RU�RUGHUHG�IURP�WKH�LVVXLQJ�DJHQF\��,I�WKHVXUYH\� VLWH� LV� FORVH� WR� VKRUH�� D� WRSRJUDSKLF�PDS� RI� WKH� DGMDFHQW� ODQG� DUHD� PD\� DOVR� EH� YHU\� KHOSIXO�0DULQH�FKDUWV�QRUPDOO\�ZLOO�VKRZ�VHGLPHQW�W\SHV��ZDWHU�GHSWKV��VKLSSLQJ�FKDQQHOV��SHUPDQHQW�PRRULQJV�EULGJHV��EXR\V�� VKRDOV�� XQGHUZDWHU� FDEOHV�DQG�SLSHOLQHV��DQG�RWKHU� LWHPV�RI� LQWHUHVW�� :DWHU�GHSWKV�DUHXVXDOO\�UHIHUHQFHG�WR�ORZ�ZDWHU�OHYHO��ZKHUHDV�EULGJH�FOHDUDQFHV�DUH�UHIHUHQFHG�WR�KLJK�ZDWHU�OHYHOV��7KHGDWH�RI� WKH�FKDUW� VKRXOG�EH�FKHFNHG�DQG� WKH�LQIRUPDWLRQ�RQ� LW�YHULILHG�DQG�RU�DGMXVWHG�DFFRUGLQJ� WR� LWVDJH��)RU�H[DPSOH��ZDWHU�GHSWKV�LQ�D�KDUERU�PD\�EH�OHVV�WKDQ�LQGLFDWHG�GXH�WR�VHGLPHQWDWLRQ�

3ULRU�WR�WKH�LQYHVWLJDWLRQ��LW�LV�VXJJHVWHG�WKDW�D�VLWH�YLVLW�VKRXOG�EH�FRQGXFWHG��LI�SRVVLEOH��WR�FRPSDUH�WKHFKDUW� ZLWK� WKH� DFWXDO� VLWH� FRQGLWLRQV�� 0RRULQJV�� SLHUV�� RU� RWKHU� VKRUHOLQH� FRQVWUXFWLRQ� FDQ� DIIHFW� WKHSODQQLQJ�RI�WKH�VXUYH\�� :KLOH�DW�WKH�VLWH��REWDLQ�ERDW�WUDIILF�SDWWHUQV��ZHDWKHU�FRQGLWLRQV��W\SLFDO�ZDYHKHLJKWV�DQG�FXUUHQWV��DQG�RWKHU�FRQGLWLRQV�ZKLFK�FRXOG�DIIHFW�WKH�VXUYH\��7KH�LPSDFW�RI�VHDVRQDO�HYHQWV�VXFK�DV� VSRUW�ERDWLQJ�RU�ILVKLQJ�VHDVRQV��DQG�FKDQJHV�LQ�HQYLURQPHQWDO�SDWWHUQV��VXFK�DV�WKH�GHSRVLWLRQDQG�HURVLRQ�RI�VHGLPHQWV��ZHDWKHU�SDWWHUQV��RU�WKH�RFFXUUHQFH�RI�IRJ��VKRXOG�EH�LQYHVWLJDWHG��/RFDO�WLGHFKDUWV��LI�DSSOLFDEOH��DUH�VRPHWLPHV�DYDLODEOH�IURP�WKH�KDUERU�PDVWHU�RU�SRUW�VHUYLFHV�RU�FDQ�EH�REWDLQHGIURP�WKH�1DWLRQDO�2FHDQ�6HUYLFH��WKHVH�FKDUWV�FDQ�EH�YHU\�KHOSIXO� LQ�SODQQLQJ�ZRUN�IRU�WKH�EHVW�XVH�RIGD\OLJKW� KRXUV� DQG� LQ� FRQMXQFWLRQ� ZLWK� WKH� WLGHV�� 3XEOLF� XWLOLW\� FRPSDQLHV� VKRXOG� EH� FRQWDFWHG� IRUXSGDWHG�LQIRUPDWLRQ�LI�WKH�FKDUW�LQGLFDWHV�XQGHUZDWHU�FDEOHV�RU�RWKHU�HTXLSPHQW��7KH�8�6��&RDVW�*XDUGDOVR�SURYLGHV�XSGDWHG�LQIRUPDWLRQ�WR�WKH�FKDUW�LQ�³1RWLFH�WR�0DULQHUV´�LQIRUPDWLRQ�RQ�QHZ�KD]DUGV�DQGFKDQJHV�� 7KH�ORFDWLRQ�RI�RQVKRUH�VWUXFWXUHV�WKDW�FRXOG�EORFN�WKH�QDYLJDWLRQ�V\VWHP�RSHUDWLRQ�DQG�VLWHVZKLFK�FRXOG�EH�XVHG�IRU�WKH�QDYLJDWLRQ�V\VWHP�VKRUH�VWDWLRQV�VKRXOG�EH�QRWHG�

(0��-DQ��

)��

��:RUN�3ODWIRUPV�IRU�8QGHUZDWHU�6DPSOLQJ

6HYHUDO�W\SHV�DQG�VL]HV�RI�ZRUN�SODWIRUPV��LQFOXGLQJ�VFDIIROGV��EDUJHV��DQG�VKLSV��DUH�DYDLODEOH�WR�VXSSRUWXQGHUZDWHU�VDPSOLQJ�ZRUN��:KHQ�D�SODWIRUP�LV�VHOHFWHG�IRU�D�VLWH�VXUYH\��D�QXPEHU�RI�IDFWRUV�VKRXOG�EHFRQVLGHUHG��7KHVH�IDFWRUV�LQFOXGH�WKH�HIIHFWV�RI�WLGHV��FXUUHQWV��DQG�GHSWK�RI�ZDWHU��WKH�SRVLWLRQLQJ�RI�WKHSODWIRUP�DQG�WKH�FDSDELOLWLHV�IRU�GHSOR\LQJ�DQG�UHWULHYLQJ�WKH�VDPSOHU��WKH�W\SH�RI�VDPSOLQJ�HTXLSPHQW�DVZHOO� DV� WKH� QXPEHU�� VL]H�� TXDOLW\�� DQG�GHSWK�RI� VDPSOHV�� VDIHW\��DQG� WKH�DYDLODELOLW\�RI� WKH� HTXLSPHQW�)LJXUH��VKRZV�D�VPDOO�GULOO�ULJ�RQ�D�VFDIIROG��)LJXUH��VKRZV�D�EDUJH�VHW�XS�IRU�QHDUVKRUH�ZRUN�)LJXUH��VKRZV�D�MDFN�XS�EDUJH�WKDW�FDQ�EH�XVHG� WR�VXSSRUW�DQ�RQVKRUH�GULOOLQJ�ULJ��:RUNERDWV�DQGGULOOVKLSV�DUH�XVHG�IRU�VDPSOLQJ�LQ�GHHSHU�ZDWHU��$�GLVFXVVLRQ�RI�HDFK�RI�WKHVH�IDFWRUV�LV�SUHVHQWHG�LQ�WKHIROORZLQJ�SDUDJUDSKV�

:KHQ� D� VDPSOLQJ� RSHUDWLRQ� LV� EHLQJ� SODQQHG�� VLWH� GDWD� DUH� QHHGHG� RQ�PD[LPXP� DQG�PLQLPXP�ZDWHUGHSWKV�� WLGHV�� FXUUHQWV�� DQG� W\SLFDO� ZDYH� KHLJKWV� IRU� WKH� H[SHFWHG�ZHDWKHU� FRQGLWLRQV�� 7KH�PLQLPXPZDWHU�GHSWKV�ZLOO�GHWHUPLQH�WKH�GUDIW�RI�WKH�YHVVHO�WKDW�FDQ�EH�XVHG��7KH�KHLJKW�RI�WKH�YHVVHO��LQFOXGLQJDQWHQQDH��QDYLJDWLRQ�HTXLSPHQW��DQG�FUDQH�ERRP��ZLOO�EH�LPSRUWDQW�LI�EULGJHV�RU�RWKHU�REVWDFOHV�KDYH�WREH�QHJRWLDWHG�

,I� VDPSOHV� DUH� UHTXLUHG� IURP� VSHFLILHG� SRLQWV� RU� ORFDWLRQV�� WKHQ� QDYLJDWLRQ�� SRVLWLRQLQJ�� DQG� VWDWLRQ�NHHSLQJ� V\VWHPV�ZLOO�DIIHFW� WKH� W\SH� RI�ZRUN�SODWIRUP�ZKLFK� LV� VHOHFWHG�� )UHTXHQW�PRYHV� WR� GLIIHUHQWORFDWLRQV�ZLOO�UHTXLUH�D�SODWIRUP�WKDW�LV�HDVLO\�PDQHXYHUHG�DQG�TXLFNO\�DQFKRUHG��7KH�SRVLWLRQLQJ�V\VWHPZLOO�GHSHQG�RQ�WKH�SK\VLFDO�FKDUDFWHULVWLFV�RI�WKH�VLWH�WR�EH�VXUYH\HG��9HVVHOV�W\SLFDOO\�KDYH�IURP�RQH�WRIRXU�DQFKRUV��ZKHUHDV�LW�PD\�EH�QHFHVVDU\�WR�LQVWDOO� WHPSRUDU\�DQFKRUV�DQG�ZLQFKHV�RQ�D�EDUJH��6RPHYHVVHOV�KDYH�ERZ�WKUXVWHUV�ZKLFK�DOORZ�WKHP�WR�KROG�D�SRVLWLRQ�ZLWKRXW�DQFKRULQJ�RU�ZLWK�RQO\�D�PLQLPDOQXPEHU�RI�DQFKRUV��,I�WKH�QDYLJDWLRQ�V\VWHP�RQ�WKH�YHVVHO�FDQQRW�SURYLGH�WKH�DFFXUDF\�UHTXLUHG��D�VXS�SOHPHQWDO� V\VWHP�ZLOO� KDYH� WR�EH�HPSOR\HG�� :LWK�D�SUHSODQQHG� LQYHVWLJDWLRQ�� D� SULRULW\� IRU�REWDLQLQJVDPSOHV�DQG�WKHLU�UHODWLYH�ORFDWLRQV�ZLOO�DOORZ�D�PRUH�HIILFLHQW�VLWH�VXUYH\�

7KH�KHLJKW��UHDFK��DQG�ORDG�FDSDFLW\�RI�WKH�OLIWLQJ�HTXLSPHQW�VKRXOG�EH�VSHFLILHG��7\SLFDO�W\SHV�RI�OLIWLQJHTXLSPHQW� LQFOXGH�FUDQHV��ZLQFKHV��$�IUDPHV��DQG�GDYLWV�� )LJXUH��VKRZV�D�EDUJH�ZLWK�D�FUDQH��DQ$�IUDPH��DQG�D�ZLQFK��7KH�YHUWLFDO�DQG�KRUL]RQWDO�FOHDUDQFHV�IRU�DQ�$�IUDPH�VKRXOG�EH�NQRZQ�EHFDXVHWKH�KRUL]RQWDO�FOHDUDQFH�YDULHV�IURP�WKH�WRS�WR�WKH�ERWWRP�RI�WKH�$�IUDPH��)LJXUH��VKRZV�D�VDPSOLQJGHYLFH� KXQJ�IURP�D�SDLU�RI�GDYLWV�DORQJ�WKH�VLGH�RI�D�YHVVHO�� LW�FDQ�EH�GHSOR\HG�ZLWK�ZLQFKHV�� )LJXUH��VKRZV�D�VDPSOHU�GHSOR\HG�ZLWK�D�PRELOH�FUDQH�PRXQWHG�RQ�D�EDUJH��%HFDXVH�RI�LQVXIILFLHQW�GHFNVSDFH��WKH�KHDG�RI�WKH�FRUHU�ZDV�VXSSRUWHG�RYHUZDWHU�E\�WKH�FUDQH�ZKLOH�LWV�EDVH�ZDV�SODFHG�RQ�WKH�GHFNDV�WKH�FRUH�ZDV�UHPRYHG�

7KH� VXSSRUW� UHTXLUHPHQWV� IRU� WKH� VDPSOLQJ� GHYLFH� VXFK� DV� SRZHU�� FRPSUHVVHG� DLU�� ZDWHU� IORZ� DQGSUHVVXUH�� GHFN� VSDFH� DQG� OLIWLQJ� FDSDFLW\� WR� GHSOR\� DQG� UHWULHYH� WKH� VDPSOHU�� DQG� FRUH� KDQGOLQJ� DQGVWRUDJH� VSDFH�� QHHG� WR� EH� FRQVLGHUHG� ZKHQ� WKH� ZRUN� SODWIRUP� LV� VHOHFWHG�� )RU� H[DPSOH�� WKH� W\SH� RIVDPSOLQJ� GHYLFH� VKRXOG� EH� VHOHFWHG� EDVHG� XSRQ� WKH� TXDOLW\�� GLDPHWHU�� DQG� GHSWK� RI� VDPSOHV� QHHGHG�+RZHYHU��LI�WKH�ZRUN�SODWIRUP�GRHV�QRW�KDYH�WKH�UHTXLUHG�VXSSRUW�HTXLSPHQW��VXFK�DV�DQ�LQWHUQDO�SRZHUVRXUFH� RU� VXIILFLHQW� OLIWLQJ� FDSDFLW\�� WKHQ� VSDFH� PXVW� EH� DYDLODEOH� RQ� WKH� YHVVHO� IRU� D� JHQHUDWRU� RUSRVLWLRQLQJ�DQ�DX[LOLDU\�$�IUDPH�KRLVW�DQG�RWKHU�VXSSRUW�HTXLSPHQW�� $V�DQ�RSWLRQ��DOWHUQDWLYH�W\SHV�RIVDPSOLQJ�GHYLFHV�VKRXOG�EH�FRQVLGHUHG�

6DIHW\� LV� D� YHU\� LPSRUWDQW� FRQVLGHUDWLRQ� ZKHQ� D� ZRUN� SODWIRUP� LV� VHOHFWHG�� 7KH� YHVVHO� VKRXOG�PHHW8�6��&RDVW�*XDUG� UHTXLUHPHQWV�� /LIH�YHVWV�DQG� VWDQGDUG�SHUVRQDO� VDIHW\�HTXLSPHQW�PXVW�EH�SURYLGHG�

(0��-DQ��

)��

'XULQJ� WKH� FRULQJ� RSHUDWLRQ�� DSSURSULDWH� VKDSHV� �IODJV�� VKRXOG� EH� GLVSOD\HG� LQGLFDWLQJ� WKH� YHVVHO� LVUHVWULFWHG�LQ�LWV�DELOLW\�WR�PDQHXYHU�

/RFDWLQJ�D�YHVVHO�IRU�DQ�RIIVKRUH�VXUYH\�FDQ�VRPHWLPHV�EH�GLIILFXOW��/RFDO�KDUERU�PDVWHUV��SRUW�VHUYLFHV�RU� SRUW� RSHUDWLRQV� RIILFHV� FDQ� EH� XVHG� DV� D� VWDUWLQJ� SRLQW�� &RPPHUFLDO� FRPSDQLHV� KDYH� HTXLSPHQWYDU\LQJ�IURP�GULOO�VKLSV�WR�ZRUNERDWV�WR�EDUJHV�IRU�UHQW��VSRUW�ILVKLQJ�ERDWV�DUH�DOVR�VXLWDEOH�IRU�VLWH�ZRUN�0DQ\�$UP\�LQVWDOODWLRQV�DQG�1DY\�EDVHV�RU�VKLS\DUGV�KDYH�YHVVHOV� WKDW�FDQ�EH�XVHG�� 0LOLWDU\�UHVHUYHXQLWV�RIWHQ�KDYH�YHVVHOV�WKDW�FDQ�EH�XVHG�ZLWK�HQRXJK�DGYDQFHG�QRWLFH��7KH�0LOLWDU\�6HDOLIW�&RPPDQG�06&�� DQG�12$$�KDYH�PDQ\�YHVVHOV�DYDLODEOH�IRU�RIIVKRUH�ZRUN��KRZHYHU��06&�DQG�12$$�UHTXLUHORQJ�OHDG�WLPHV�IRU�VFKHGXOLQJ�WKH�XVH�RI�WKHVH�YHVVHOV�

$V� FDQ� EH� VHHQ� E\� WKH� GDWD� LQ� WKH� SUHYLRXV� SDUDJUDSKV�� WKH� VHOHFWLRQ� RI� WKH� ZRUN� SODWIRUP� LV� DFRPELQDWLRQ� RI� VFLHQFH� DQG� DUW�� 1R� VLQJOH�ZRUN� SODWIRUP�ZLOO� VDWLVI\� DOO� QHHGV� IRU� DOO� QHDUVKRUH� DQGRIIVKRUH� GULOOLQJ� DQG� VDPSOLQJ� RSHUDWLRQV�� 7KH�ZRUN� SODWIRUP�PXVW� EH� VHOHFWHG�ZKLFK�ZLOO� DOORZ� WKHKLJKHVW� TXDOLW\� VDPSOHV� WR� EH� REWDLQHG� DW� WKH� OHDVW� FRVW� E\� XVLQJ� DYDLODEOH� HTXLSPHQW� DQG� WHFKQLTXHVDSSOLHG�ZLWK�H[SHULHQFH�DQG�VRXQG�MXGJPHQW�DV�GLFWDWHG�E\�WKH�VSHFLILF�VLWH�FRQGLWLRQV�

��8QGHUZDWHU�6DPSOHUV

7KH�FKRLFH�RI�DQ�XQGHUZDWHU�VDPSOHU�IRU�D�SDUWLFXODU�VLWH�LQYHVWLJDWLRQ�GHSHQGV�RQ�WKH�VHGLPHQW�W\SH�V��WKH�W\SH�RI�GDWD�QHHGHG�IURP�WKH�VDPSOHV��WKH�TXDOLW\��GHSWK��DQG�GLDPHWHU�RI� WKH�VDPSOHV��WKH�GHSWK�RIZDWHU�DW�WKH�VLWH��DYDLODEOH�ZRUN�SODWIRUPV��HQYLURQPHQWDO�FRQGLWLRQV��DQG��RI�FRXUVH��IXQGLQJ�FRQVWUDLQWV�7KH�PRVW� FRPPRQ� W\SHV� RI� XQGHUZDWHU� VDPSOHUV� FDQ� EH� GLYLGHG� LQWR� WKUHH� FDWHJRULHV� EDVHG� XSRQ� WKHPHWKRG�RI�GHSOR\PHQW��L�H�� IUHH�VDPSOHUV��WHWKHUHG�VDPSOHUV��DQG�GULOO� VWULQJ�VDPSOHUV�� 7KHVH�W\SHV�RIVDPSOHUV�DUH�JHQHUDOO\�DYDLODEOH�WKURXJK�FRPPHUFLDO�HQWHUSULVHV�DQG�JRYHUQPHQW�DJHQFLHV��$�GLVFXVVLRQRI� HDFK� VDPSOHU�� LQFOXGLQJ� LWV� RSHUDWLRQ�� GHSOR\PHQW� DQG� UHWULHYDO� UHTXLUHPHQWV�� VL]H� DQG� TXDOLW\� RIVDPSOH��WKH�W\SHV�RI�VHGLPHQWV�LQ�ZKLFK�LW�FDQ�EH�XVHG��DQG�YHVVHO�DQG�VXSSRUW�UHTXLUHPHQWV��IROORZV�

D� )UHH� VDPSOHUV�� 8QWHWKHUHG�VDPSOHUV�� LQFOXGLQJ�ERRPHUDQJ�VDPSOHUV�� KDQG�KHOG�GLYHU�RSHUDWHGVDPSOHUV��DQG�UHPRWHO\�RSHUDWHG�YHKLFOH��529��VDPSOHUV��FDQ�EH�GHSOR\HG�ZLWK�PLQLPDO�DWWDFKPHQWV�WRWKH� ZRUN� SODWIRUP�� %RRPHUDQJ� FRUHUV� DUH� WUXO\� IUHH� IURP� DQ\� DWWDFKPHQW�� KDQG�KHOG� GLYHU�RSHUDWHGVDPSOHUV� DUH� GHSHQGHQW� XSRQ�ZKHWKHU� RU� QRW� WKH� GLYHU� LV� WHWKHUHG� WR� WKH� ZRUN� SODWIRUP�� ZKHUHDV� WKHSDUWLFXODU�GHVLJQ�RI�529�VDPSOHUV�GHWHUPLQHV�ZKHWKHU�RU�QRW�WKH\�PXVW�EH�WHWKHUHG�

��%RRPHUDQJ�FRUHU��7KH�%RRPHUDQJ�FRUHU��DV�LWV�QDPH�LPSOLHV��UHWXUQV�WR�WKH�VXUIDFH�DIWHU�LW�KDVEHHQ� GHSOR\HG� DQG� D� VDPSOH� KDV� EHHQ� REWDLQHG�� 7KH� FRUHU� FRQVLVWV� RI� DQ� H[SHQGDEOH� EDOODVW� SRUWLRQZKLFK�FRQWDLQV�D�SODVWLF�FRUH�WXEH�FRQQHFWHG�WR�WZR�JODVV�IORDWV��7R�GHSOR\��WKH�VDPSOHU�LV�GURSSHG�RIIWKH� ZRUN� SODWIRUP� DQG� LV� SHUPLWWHG� WR� IUHH�IDOO� WKURXJK� WKH� ZDWHU� DQG� HPEHG� LQ� WKH� VHDIORRU�� 7KHVHGLPHQW�ILOOHG� FRUH� WXEH� LV� UHWXUQHG� WR� WKH� VXUIDFH� E\� WKH� JODVV� IORDWV�� OHDYLQJ� WKH� H[SHQGDEOH� EDOODVWSRUWLRQ�HPEHGGHG�LQ�WKH�VHDIORRU��7KH�%RRPHUDQJ�FRUHU�QHHGV�D�PLQLPXP�GHSWK�RI�ZDWHU�RI�DERXW��P��IW��WR�VWDELOL]H�DQG�REWDLQ�LWV�PD[LPXP�YHORFLW\�IRU�HPEHGPHQW�DQG�PD[LPXP�VDPSOH�OHQJWK��7KHR�UHWLFDOO\�� WKHUH� LV� QR� PD[LPXP� ZDWHU� GHSWK� IRU� WKLV� GHYLFH�� FRUHV� KDYH� EHHQ� REWDLQHG� IURP� GHSWKVH[FHHGLQJ��P��IW��

6LQFH� WKH�PDQXIDFWXUHU� SURYLGHV� D� GHWDLOHG�PDQXDO�ZLWK� WKH�%RRPHUDQJ� FRUHU� WKDW� LV� VKRZQ� LQ�)LJXUH��RQO\�D�EULHI�GHVFULSWLRQ�RI�WKH�GHYLFH�LV�SUHVHQWHG�KHUHLQ��7KH�FRUHU�LV��FP��LQ��ORQJ�RYHUDOODQG�ZHLJKV��NJ��OE��LQ�DLU�DQG��NJ��OE��LQ�ZDWHU��7KH�H[SHQGDEOH�EDOODVW�SRUWLRQ�LV�D�VWHHOVKHOO�ZKLFK�VHUYHV�DV�WKH�FRUH�EDUUHO��ORZHU�HQG��DQG�WKH�IORDW�KRXVLQJ��XSSHU�HQG��2Q�WKH�RXWVLGH�RI�WKHFRUH�EDUUHO�LV�D�VOLGLQJ�OHDG�SLORW�ZHLJKW�DWWDFKHG�E\�D�ZLUH�WR�D�UHOHDVH�OHYHU�ORFDWHG�LQ�WKH�IORDW�KRXVLQJ�

(0��-DQ��

)��

7KH�UHWULHYDEOH�DQG�UHXVDEOH�IORDW�SRUWLRQ�FRQVLVWV�RI�WZR�JODVV�IORDWV�DQG�D�FRUH�WXEH��7KH�SODVWLF�FRUHWXEH��ZKLFK� LV��FP��LQ��,'�E\��FP��LQ��2'�E\��FP��LQ�� ORQJ�� LV� ILWWHG�ZLWK�DVWDLQOHVV�VWHHO�FRUH�FDWFKHU�LQ�WKH�ERWWRP�HQG�DQG�D�EXWWHUIO\�YDOYH�DVVHPEO\�LQ�WKH�WRS��7KH�JODVV�IORDWVDUH�DWWDFKHG�WR�WKH�YDOYH�DVVHPEO\��RQH�RI�WKH�IORDWV�XVXDOO\�FRQWDLQV�D�EDWWHU\�RSHUDWHG�IODVKLQJ�OLJKW�RUSLQJHU�WR�DLG�LQ�ORFDWLQJ�WKH�IORDW�SRUWLRQ�DIWHU�LW�KDV�UHWXUQHG�WR�WKH�VXUIDFH�

7KH�RSHUDWLQJ�VHTXHQFH�RI�WKH�%RRPHUDQJ�FRUHU�LV�RXWOLQHG�LQ�)LJXUH��

6WHS��7KH�FRUHU�LV�GURSSHG�RYHU�WKH�VLGH�RI�WKH�YHVVHO�LQ�D�YHUWLFDO�RULHQWDWLRQ��'XULQJ�WKLV�RSHUDWLRQ�FDUH�LV�QHHGHG�WR�HQVXUH�WKDW�VXGGHQ�VZLQJV�RI�WKH�FRUHU�DUH�DYRLGHG�ZKLFK�FRXOG�FDXVH�WKH�SLORW�ZHLJKWWR�VOLGH�XS�WKH�EDUUHO�DQG�UHOHDVH�WKH�IORDWV�

6WHS��$V�WKH�FRUHU�GHVFHQGV��WKH�KROORZ�UXEEHU�EDOO�LV�FRPSUHVVHG�E\�ZDWHU�SUHVVXUH�XQWLO�LW�LV�UHOHDVHG�XVXDOO\�DW�D�GHSWK�RI��WR��P��WR��IW��

6WHS��:KHQ�WKH�FRUHU�HPEHGV�LQ�WKH�VHDIORRU�VHGLPHQW��WKH�SLORW�ZHLJKW�LV�SXVKHG�XS�ZLWK�UHVSHFW�WR�WKHFRUH�EDUUHO��WKH�IORDW�UHOHDVH�OHYHU�LV�WULSSHG��DQG�WKH�IORDWV�DUH�UHOHDVHG�

6WHS��$V�WKH�IORDWV�EHJLQ�WR�ULVH��D�SLQ�ZKLFK�KROGV�WKH�EXWWHUIO\�YDOYH�RSHQ�LV�SXOOHG�RXW��WKLV�DFWLRQDOORZV�WKH�EXWWHUIO\�YDOYH��ZKLFK�KHOSV�WR�UHWDLQ�WKH�FRUH�LQ�WKH�VDPSOLQJ�WXEH��WR�FORVH��7KH�IORDWV�ULVHDQG�SXOO�WKH�FRUH�WXEH�WR�WKH�VXUIDFH�

6WHS� �� :KHQ� WKH� IORDWV� UHDFK� WKH� VXUIDFH�� WKH\� FDQ� EH� UHWULHYHG� E\� KDQG� RU� E\� ZKDWHYHU� OLIWLQJHTXLSPHQW� LV� DYDLODEOH�� 2QFH� WKH� FRUH� KDV� EHHQ� UHWULHYHG�� WKH� VDPSOH� VKRXOG� EH� LGHQWLILHG�� ILHOG� ORJVVKRXOG�EH�FRPSOHWHG��DQG�WKH�VDPSOH�VKRXOG�EH�VHDOHG�LQ� WKH�SODVWLF�WXEH�RU�SODFHG�LQ�D�VDPSOH�MDU� IRUVWRUDJH�DQG�VKLSPHQW�WR�WKH�ODERUDWRU\�

$OWKRXJK�D�IXOO�OHQJWK�VDPSOH�LV�QRW�DOZD\V�REWDLQHG�LQ�GHQVH�VDQG��D�KLJK�TXDOLW\�UHSUHVHQWDWLYH�VDPSOHRI� FRKHVLYH� RU� FRKHVLRQOHVV� VRLOV� FDQ� XVXDOO\� EH� REWDLQHG� ZLWK� WKH� %RRPHUDQJ� FRUHU� EHFDXVH� RI� LWVKLJK�LPSDFW�YHORFLW\�� 7KH�DGYDQWDJHV�RI� WKLV�GHYLFH� LQFOXGH�WKH�HDVH�LQ�ZKLFK�LW�PD\�EH�GHSOR\HG�DQGUHWULHYHG�� LWV� UHODWLYHO\� DFFXUDWH� SRVLWLRQLQJ� RQ� WKH� VHDIORRU� DV� FRPSDUHG� WR� LWV� GURS� ORFDWLRQ�� DQG� WKHVSHHG� DW�ZKLFK�D� VHULHV�RI�FRUHV�FDQ�EH� WDNHQ�� %HFDXVH�RI� LWV� VLPSOLFLW\�� WKH�%RRPHUDQJ�FRUHU�FDQ�EHGHSOR\HG� IURP�DOPRVW�DQ\�YHVVHO�RU�ZRUN�SODWIRUP�� 'HSHQGLQJ�XSRQ�KRZ�PDQ\�FRUHUV�DUH�EHLQJ�XVHGDQG�KRZ�PXFK� DVVRFLDWHG� HTXLSPHQW� LV� QHHGHG�� RQO\� D� VPDOO� DPRXQW�RI�GHFN� VSDFH� LV� XVXDOO\�QHHGHG�7LJKW� VWDWLRQ�NHHSLQJ� FDSDELOLWLHV� DUH� QRW� UHTXLUHG�� DOWKRXJK� LW� LV� D� JRRG� LGHD� WR� UHFRUG� WKH� ORFDWLRQVZKHUH� WKH� FRUHUV� DUH� GHSOR\HG�� %RRPHUDQJ� FRUHUV� FDQ� EH� GHSOR\HG� LQ� IDLUO\� URXJK� VHDV�� WKH� OLPLWLQJIDFWRU� LV�WKDW�WKH�YHVVHO�PXVW�EH�FDSDEOH�RI�PDQHXYHULQJ�WR�UHFRYHU�WKH�FRUH��,WV�GLVDGYDQWDJHV�LQFOXGHWKH� ODUJH�ZDOO� WKLFNQHVV�RI� WKH�FRUH�EDUUHO�SOXV� OLQHU� UHODWLYH� WR� WKH�FRUH�GLDPHWHU�DQG� WKH�VKRUW�VDPSOHOHQJWK�W\SLFDOO\�REWDLQHG�IRU�VDQGV�

��'LYHU�RSHUDWHG�KDQG�KHOG�FRUHUV��7KHUH�DUH�PDQ\�GLIIHUHQW�YHUVLRQV�RI�GLYHU�RSHUDWHG�KDQG�KHOGFRUHUV��$OWKRXJK�WKH�RSHUDWLQJ�GHSWKV�RI�KDQG�KHOG�FRUHUV�DUH�FRQWUROOHG�E\�WKH�GHSWK�OLPLWV�LPSRVHG�RQGLYHUV� �JHQHUDOO\� OHVV� WKDQ� ��P� RU� �� IW�� WKHVH� FRUHUV� SURYLGH� D�PHWKRG� RI� VDPSOLQJ� DUHDV� WKDW� DUHGLIILFXOW�WR�UHDFK�E\�RWKHU�FRULQJ�PHWKRGV��,Q�JHQHUDO��KDQG�KHOG�FRUHUV�XVH�D�FOHDU�SODVWLF�FRUH�WXEH�WKDWFDQ�EH�SXVKHG�RU�GULYHQ�LQWR�WKH�VHGLPHQW�E\�D�VFXED�GLYHU��7\SLFDOO\��WKH�FRUH�WXEHV�DUH��FP��LQ�� LQ� GLDPHWHU� E\� �� WR� �� P� �� WR� �� IW�� LQ� OHQJWK�� DOWKRXJK� VRPH� ODUJHU� GLDPHWHU� FRUH� WXEHV� DUHDYDLODEOH��)DLUO\�KLJK�TXDOLW\�VDPSOHV�FDQ�EH�REWDLQHG�LQ�FRKHVLYH�DQG�FRKHVLRQOHVV�VHGLPHQWV��DOWKRXJKWKH�VDPSOH�TXDOLW\�DQG�UHWULHYDO�DUH�GHSHQGHQW�XSRQ�WKH�GLYHUV�VNLOO�ZLWK�WKH�WRRO��&RQVHTXHQWO\��WUDLQLQJDQG�SUDFWLFH�FDQ�PDNH�D�VLJQLILFDQW�GLIIHUHQFH��7KH�PDLQ�DGYDQWDJH�RI�WKLV�W\SH�RI�FRUHU�LV�WKDW�VDPSOHV

(0��-DQ��

)��

FDQ�EH�REWDLQHG�IURP�RWKHUZLVH�LQDFFHVVLEOH�DUHDV��7KH�YHVVHO�UHTXLUHPHQWV�IRU�VXSSRUWLQJ�WKH�KDQG�KHOGFRUHU� DUH� PLQLPDO� DQG� DUH� GHWHUPLQHG� PRVWO\� E\� GLYHU� QHHGV�� 7KH� GLVDGYDQWDJHV� LQFOXGH� WKH� VPDOOGLDPHWHU�RI�WKH�FRUH�DQG�LWV�VKRUW�OHQJWK�

2QH� W\SH� RI� KDQG�KHOG� GLYHU�RSHUDWHG� FRUHU� WKDW� LV� DYDLODEOH� WR� JRYHUQPHQW� DJHQFLHV� WKURXJK� 1DYDO)DFLOLWLHV��1$9)$&��2FHDQ�&RQVWUXFWLRQ�(TXLSPHQW�,QYHQWRU\��2&(,��LV�GHVFULEHG�KHUHLQ��7KH�2&(,FRUHU��)LJXUH��FRQVLVWV�RI�DQ�DOXPLQXP�JXLGH�IUDPH��D�VWDLQOHVV�VWHHO�KDPPHU��DQG�D�FRUH�KHDG��LW�LV��FP��LQ��ORQJ��ZHLJKV��NJ��OE��LQ�DLU�DQG��NJ��OE��LQ�ZDWHU��DQG�FDQ�EH�XVHG�WR�REWDLQ�D��FP�� LQ�� GLDP� E\� ��FP�� LQ�� ORQJ� VDPSOH�� 7R� REWDLQ� D� VDPSOH�� WKH� FRUHU� VKRXOG� EHSODFHG� XSULJKW� ZLWK� WKH� EDVH� SRVLWLRQLQJ� WDEV� UHVWLQJ� RQ� WKH� GLYHUV� ILQV�� WKLV� SODFHPHQW� SRVLWLRQV� WKHSLVWRQ�DW�WKH�VHDIORRU�VXUIDFH��7R�VDPSOH��WKH�FODPS�RQ�WKH�SLVWRQ�URG�LV�UHOHDVHG�DQG�WKH�FRUH�WXEH�FDQ�EHSXVKHG�LQWR�WKH�VHGLPHQW�XVLQJ�WKH�KDQGOHV�RQ�WKH�KHDG��:KHQ�WKH�FRUH�WXEH�FDQ�QR�ORQJHU�EH�SXVKHG�E\WKH�GLYHU��WKH�GLYHU�LV�QHXWUDOO\�EXR\DQW�� WKH�KDPPHU�FDQ�EH�XVHG� WR�IXUWKHU�HPEHG�WKH�WXEH��SURYLGHGWKDW� WKH� IUHH�IDOO�KDPPHU�EORZV�DUH�FRXQWHG�� :KHQ� WKH�FRUH� WXEH� LV� IXOO\�HPEHGGHG�� WKH�GLYHU� VKRXOGORFN�WKH�SLVWRQ�URG�FODPS�EHIRUH�WKH�FRUHU�LV�SXOOHG�RXW�RI�WKH�VHGLPHQW��%HIRUH�WKH�GLYHU�UHWXUQV�WR�WKHVXSSRUW�YHVVHO�ZLWK�WKH�FRUH��D�FDS�VKRXOG�EH�SODFHG�RQ�WKH�ERWWRP�RI�WKH�FRUH�WXEH�WR�UHWDLQ�WKH�VDPSOH�$IWHU� WKH�FRUH� WXEH�KDV�EHHQ�UHPRYHG�IURP�WKH�IUDPH�� WKH�SODVWLF� WXEH�FDQ�EH�FXW�RII�DW� WKH�WRS�RI� WKHVDPSOH�DQG�FDSSHG��RU�WKH�SLVWRQ�FDQ�EH�SRVLWLRQHG�RQ�WRS�RI�WKH�VDPSOH��WKH�WXEH�ILOOHG�ZLWK�VHDZDWHU�DQG�WKHQ�FDSSHG��7KH�FDSV�RQ�WKH�WRS�DQG�WKH�ERWWRP�RI�WKH�WXEH�VKRXOG�WKHQ�EH�WDSHG��WKH�FRUH�VKRXOG�EHODEHOHG��DQG�WKH�ILHOG�ORJV��LQFOXGLQJ�WKH�QXPEHU�RI�IUHH�IDOO�KDPPHU�EORZV��VKRXOG�EH�XSGDWHG�

�� 529�RSHUDWHG� VDPSOHUV�� 7KHUH� DUH� VRPH� VDPSOLQJ� GHYLFHV� WKDW� FDQ� EH� RSHUDWHG� E\� WKHPDQLSXODWRU� DUPV� RQ� UHPRWHO\� RSHUDWHG� YHKLFOHV� �529�� 7\SLFDOO\�� WKHVH� VDPSOHUV� DUH� UHVHDUFK� WRROVZKLFK� DUH� GHVLJQHG� IRU� XVH�ZLWK� D� VSHFLILF�529�� *HQHUDOO\��529�RSHUDWHG� VDPSOHUV� FDQ� EH� XVHG� WRREWDLQ�IDLUO\�VKRUW��VPDOO�GLDPHWHU�FRUHV��DUH�UHODWLYHO\�H[SHQVLYH�WR�RSHUDWH��DQG�DUH�LQWHQGHG�IRU�XVH�LQGHHS�ZDWHU�� +RZHYHU�� WKHUH�DUH�VLWXDWLRQV�ZKHUH� WKH�529�GHYLFH� LV� WKH�EHVW� VROXWLRQ� WR� WKH� VDPSOLQJSUREOHP��VXFK�DV�ZKHUH�DFFHVVLELOLW\�LV�D�SUREOHP�DQG�WKH�GHSWK�RI�ZDWHU�LV�WRR�JUHDW�IRU�GLYHUV�

E� 7HWKHUHG� VDPSOHUV�� 7HWKHUHG� VDPSOHUV� DUH� DWWDFKHG� WR� WKH� ZRUN� SODWIRUP� E\� VRPH� W\SH� RIXPELOLFDO�VXSSRUW�FDEOH�RU�ORZHULQJ�ZLUH��VXFK�DV�D�ZLUHOLQH��7HWKHUHG�VDPSOHUV�FDQ�EH�VXEGLYLGHG�LQWRGUHGJHV�DQG�JUDE�VDPSOHUV��ER[�FRUHUV��JUDYLW\�FRUHUV��DQG�ERWWRP�UHVWLQJ�VDPSOHUV�

�� 'UHGJHV�DQG�JUDE� VDPSOHUV�� 'UHGJHV�DQG�JUDE�VDPSOHUV� FDQ�EH�XVHG� WR�REWDLQ�GLVWXUEHG�DQGSHUKDSV�QRQUHSUHVHQWDWLYH�� VXUILFLDO� VHGLPHQW� VDPSOHV� RI� WKH� VHDIORRU� IURP�DOPRVW� DQ\�GHSWK� RI�ZDWHU�$OWKRXJK� WKHUH� LV� VRPH� RYHUODS� EHWZHHQ� ZKDW� LV� FDOOHG� D� GUHGJH� DQG� D� JUDE�� GUHGJHV� JHQHUDOO\� DUHGUDJJHG�DFURVV�WKH�VHDIORRU�WR�REWDLQ�D�VDPSOH��ZKHUHDV�JUDEV�KDYH�MDZV�WKDW�FORVH�DIWHU�SHQHWUDWLQJ�WKHVHDIORRU��([DPSOHV�RI�HDFK�DUH�JLYHQ�LQ�)LJXUH��9HVVHO�SRVLWLRQLQJ�LV�QRW�FULWLFDO�IRU�WKH�XVH�RI�WKHVHVDPSOHUV��DOWKRXJK�VRPH�QDYLJDWLRQDO�GDWD�DUH�QHHGHG��%HFDXVH�VRPH�FRPSRQHQWV�RI� WKH�VHDIORRU�PD\QRW�EH�HDVLO\�VDPSOHG��ZKHUHDV�RWKHU�FRPSRQHQWV�PD\�EH�ZDVKHG�RXW�GXULQJ�VDPSOH�UHWULHYDO��GUHGJH�DQGJUDE�VDPSOHV�DUH�VXLWDEOH�RQO\�IRU�LGHQWLI\LQJ�WKH�VHGLPHQW�W\SH�DQG�VKRXOG�QRW�EH�XVHG�IRU�GHWHUPLQLQJHQJLQHHULQJ� SURSHUWLHV�� %HFDXVH� RI� WKH� ZLGH� YDULHW\� RI� GUHGJH� DQG� JUDE� VDPSOHUV� DYDLODEOH� DQG� WKHUHODWLYH�VLPSOLFLW\�RI�RSHUDWLRQ�RI�HDFK��WKH�GHWDLOV�IRU�RSHUDWLRQ�DQG�GHSOR\PHQW�RI�YDULRXV�VDPSOHUV�DUHQRW�H[SORUHG�KHUHLQ�

�� %R[� FRUHUV�� $� ER[� FRUHU� LV� D� GHYLFH� WKDW� FRQWDLQV� D� ER[� ZKLFK� WDNHV� D� ODUJH�� UHODWLYHO\XQGLVWXUEHG�VDPSOH�ZKHQ�ORZHUHG�WR�WKH�VHDIORRU�E\�D�ZLUHOLQH�IURP�WKH�ZRUN�SODWIRUP��7KH�ER[�FRUHU�LVSXVKHG�LQWR� WKH�VHGLPHQW�E\�LWV�RZQ�ZHLJKW�� :KHQ�WKH�GHSOR\PHQW�OLQH� LV� UHWUDFWHG�� WKH�ERWWRP�RI�WKHER[�LV�FORVHG�RII�E\�D�URWDWLQJ�VSDGH�EHIRUH�WKH�ER[�FRUHU�LV�OLIWHG��0RVW�ER[�FRUHUV�FDQ�EH�RSHUDWHG�LQDQ\�ZDWHU�GHSWK�

(0��-DQ��

)��

%R[�FRUHUV�DUH�DYDLODEOH�IURP�VHYHUDO�PDQXIDFWXUHUV��DQG�WKHUHIRUH�WKH�GHVLJQ��VL]H��DQG�RSHUDWLRQ�RI�HDFKPD\�YDU\�VOLJKWO\��7KH�ER[HV�DUH�XVXDOO\�FRQVWUXFWHG�RI�VWDLQOHVV�VWHHO�RU�DOXPLQXP��VL]HV�UDQJH�IURP��E\��E\��FP��E\��E\��LQ��WR��E\��E\��FP��E\��E\��LQ��WR�DV�ODUJH�DV��E\��E\��FP��E\��E\��LQ��0RVW�ER[HV�KDYH�D�ERWWRP�SODWH�IRU�VXSSRUWLQJ�WKH�VDPSOH�LQ�WUDQVSRUW�DQG�DUHPRYDEOH�VLGH�IRU�DFFHVV� WR� WKH�VDPSOH�DIWHU� LW�KDV�EHHQ�UHWULHYHG�� 7KH�SDUWV�RI� WKH�ER[�FRUHU�DQG�LWVRSHUDWLRQDO�VHTXHQFH�DUH�SUHVHQWHG�FRQFHSWXDOO\�LQ�)LJXUH��

7KH�ER[�FRUHU�VKRXOG�EH�SUHSDUHG�IRU�XVH�DFFRUGLQJ�WR�WKH�PDQXIDFWXUHUV�LQVWUXFWLRQV��&DUH�VKRXOG�EHWDNHQ�WR�HQVXUH�WKDW�WKH�VDIHW\�SLQV�ZKLFK�SUHYHQW�SUHWULSSLQJ�DUH�VHW�FRUUHFWO\��$IWHU�WKH�VDPSOHU�LV�OLIWHGRII� WKH� GHFN�� WKH�SLQV� VXSSRUWLQJ� WKH�ZHLJKW� FROXPQ� VKRXOG� EH� UHPRYHG�� 6DIH� ORZHULQJ� UDWHV� IRU� ER[FRUHUV� GHSHQG� RQ� WKH� VHDV� DQG� WKH� W\SH� RI� GHYLFH�� )RU� H[DPSOH�� LQ� FDOP� VHDV�� WKH� ER[� FRUHU� FDQ� EHORZHUHG� IDLUO\� UDSLGO\� EXW� VKRXOG� EH� VORZHG�FRQVLGHUDEO\�DV� LW� QHDUV� WKH� ERWWRP� WR� DOORZ� WKH�FRUHU� WRVWDELOL]H��LQ�URXJK�VHDV��WKH�ER[�FRUHU�VKRXOG�EH�ORZHUHG�DW�D�PRGHUDWH�UDWH�DQG�VKRXOG�QRW�EH�VORZHG�DVWKH�FRUHU�QHDUV�WKH�ERWWRP��:KHQ�WKH�ER[�FRUHU�WRXFKHV�WKH�ERWWRP��GHSOR\PHQW�RI�WKH�ZLUHOLQH�VKRXOGEH�VWRSSHG�LPPHGLDWHO\�WR�SUHYHQW�H[FHVV�OLQH�IURP�JHWWLQJ�WDQJOHG�DQG�LQWHUIHULQJ�ZLWK�WKH�RSHUDWLRQ�RIWKH�FRUHU��,I�GHVLUHG��D�ERWWRP�VHQVLQJ�SLQJHU�FDQ�EH�DWWDFKHG�WR�WKH�ZLUHOLQH��WR�SUHYHQW�GDPDJH�WR�WKHSLQJHU� GXULQJ� UHWULHYDO� RI� WKH� VDPSOHU�� WKH� ZLUH� VKRXOG� EH� PDUNHG� WR� DOHUW� WKH�ZLQFK� RSHUDWRU� RI� WKHORFDWLRQ�RI�WKH�SLQJHU�

$IWHU�WKH�ER[�KDV�EHHQ�GULYHQ�LQWR�WKH�VHGLPHQW�E\�LWV�ZHLJKW��WKH�FRUHU�FDQ�EH�UHWULHYHG��$V�WKH�ZLUHOLQHLV� UHFRLOHG�� WKH� VSDGH� LV� URWDWHG� WR� FORVH�RII� WKH�ERWWRP�RI� WKH�ER[�EHIRUH� WKH�ER[� LV�SXOOHG�RXW� RI� WKHVHDIORRU�� 7KH�FRUHU�FDQ�EH� UHWULHYHG� DV� IDVW� DV� LV�SRVVLEOH�EXW� VKRXOG�EH� VORZHG�DV� LW� QHDUV� WKH�ZDWHUVXUIDFH�� 2QFH� WKH�FRUHU� LV� RXW� RI� WKH�ZDWHU�� LW� VKRXOG�QRW� EH� VHW�RQ� WKH�GHFN�XQWLO� WKH�ZHLJKW� FROXPQVXSSRUW�SLQV�KDYH�EHHQ�SODFHG�DQG�D�URSH�KDV�EHHQ�WLHG�DURXQG�WKH�VSDGH�WR�SUHYHQW�LW�IURP�PRYLQJ�DV�WKHWHQVLRQ�LQ�WKH�ZLUHOLQH�LV�UHOHDVHG�

7R�UHPRYH�WKH�VDPSOH�ER[��D�ERWWRP�SODWH�PXVW�EH�LQVHUWHG�EHWZHHQ�WKH�VSDGH�DQG�WKH�ERWWRP�RI�WKH�ER[DQG� FODPSHG� EHIRUH� WKH� VSDGH� LV� UHOHDVHG� DQG� UHWXUQHG� WR� LWV� RULJLQDO� SRVLWLRQ�� ,I� WKH� ER[� FRUHU� LVHTXLSSHG�ZLWK�DQ�LQWHJUDO�VSDGH��WKH�ER[�DVVHPEO\�FDQ�EH�UHPRYHG�IURP�WKH�IUDPH�E\�VLPSO\�ORRVHQLQJWZR�EROWV�� $IWHU� WKH�ER[�VDPSOH�KDV�EHHQ�UHPRYHG� IURP�WKH�VDPSOHU�� WKH�VDPSOH�FDQ�EH�H[WUXGHG�DQGVXEVDPSOHG�RU� VWRUHG� LQ� WKH�ER[�DQG� VHDOHG�� 6DPSOLQJ� ORJV� IRU� ER[�FRUHV� VKRXOG� LQFOXGH� LQIRUPDWLRQVXFK�DV�WKH�W\SH�RI�ER[�FRUHU��LWV�VL]H��WKH�ZHLJKW�FROXPQ��WKH�VL]H�DQG�RU�ZHLJKW�RI�VDPSOH��VXEVDPSOHVWDNHQ��DQG�REVHUYDWLRQV�RU�UHPDUNV�

%R[�FRUHUV�UHTXLUH�D�PLGVL]HG�YHVVHO�ZLWK�GHSOR\PHQW�HTXLSPHQW�WKDW�ZLOO�SURYLGH�WKH�KHLJKW�FOHDUDQFHQHFHVVDU\�WR�GHSOR\�DQG�UHWULHYH�WKH�ER[��,I�DQ�$�IUDPH�LV�XVHG��ERWK�YHUWLFDO�DQG�KRUL]RQWDO�FOHDUDQFHVVKRXOG�EH�FKHFNHG��7KH�DPRXQW�RI�GHFN� VSDFH�UHTXLUHG� LV� W\SLFDOO\�VPDOO��XVXDOO\�D�PRGHUDWH�ZRUNLQJDUHD�SOXV�VSDFH�IRU�WKH�IRRWSULQW�RI�WKH�FRUHU�LV�VXIILFLHQW��$OWKRXJK�LW�LV�QRW�QHFHVVDU\�IRU�WKH�YHVVHO�WRVWD\�LQ�D�IL[HG�SRVLWLRQ�GXULQJ�WKH�VDPSOLQJ�RSHUDWLRQ��SRVLWLRQ�GDWD�VKRXOG�EH�UHFRUGHG�DW�WKH�LQVWDQW�WKHFRUHU� WRXFKHV� ERWWRP�� ,W� VKRXOG� DOVR� EH� QRWHG� WKDW� FRUH� UHFRYHU\� LV� XVXDOO\� HQKDQFHG� LI� WKH� FRUHU� LVEURXJKW�WR�WKH�VXUIDFH�RI�WKH�ZDWHU�LQ�D�QHDUO\�YHUWLFDO�UHWULHYDO�SDWWHUQ�

7KH�SULQFLSDO�DGYDQWDJH�RI�D�ER[�FRUHU�LV�WKDW�D�ODUJH��UHODWLYHO\�XQGLVWXUEHG�VDPSOH�RI�FRKHVLYH�PDWHULDOFDQ� EH� UHWULHYHG�� 7KH� GLVDGYDQWDJHV� RI� WKH� ER[� FRUHU� LQFOXGH� WKH� VKRUW� OHQJWK� RI� VDPSOH� ZKLFK� LVUHWULHYHG�DQG�WKH�GLIILFXOW\�RI�VDPSOLQJ�FRKHVLRQOHVV�VHGLPHQWV�ZKLFK�XVXDOO\�ZDVK�RXW�RI�WKH�ER[�FRUHUGXULQJ�UHWULHYDO�

��*UDYLW\�FRUHUV��$OWKRXJK�VHYHUDO�W\SHV�RI�JUDYLW\�FRUHUV�DUH�DYDLODEOH��DOO�DUH�RSHUDWHG�VLPLODUO\�,Q�JHQHUDO��JUDYLW\�FRUHUV�FRQVLVW�RI�D�ODUJH�ZHLJKW�RQ�WRS�RI�D�VWHHO�FRUH�EDUUHO�ZKLFK�FRQWDLQV�D�SODVWLF

(0��-DQ��

)��

OLQHU�� 7KH� FRUHU� LV� ORZHUHG� DQG� UDLVHG� IURP� WKH� VHDIORRU� E\� D� ZLUHOLQH�� DOWKRXJK� GXULQJ� WKH� DFWXDOVDPSOLQJ�SURFHVV��WKH�FRUHU�LV�DOORZHG�WR�IUHH�IDOO�DQG�SHQHWUDWH�WKH�VHGLPHQW��*UDYLW\�FRUHUV�FDQ�EH�XVHGLQ�DOPRVW�DQ\�ZDWHU�GHSWK��KRZHYHU��LQ�VKDOORZ�ZDWHU��DGHTXDWH�IUHH�IDOO�GLVWDQFH�PXVW�EH�DYDLODEOH�IRUWKH�VDPSOHU�WR�GHSOR\�

*UDYLW\� FRUHUV�KDYH�EHHQ�FODVVLILHG�E\�VL]H�RU�E\�RSHUDWLRQDO�PHWKRG��+LVWRULFDOO\��JUDYLW\�FRUHUV�ZHUHGLYLGHG�LQWR�WKUHH�JURXSV�EDVHG�XSRQ�VL]H��3KOHJHU�FRUHUV��(ZLQJ�FRUHUV��DQG�GHHS�RFHDQ�FRUHUV��7RGD\�VHYHUDO�VL]HV�RI�JUDYLW\�FRUHUV�DUH�DYDLODEOH��FRQVHTXHQWO\��WKH�RSHUDWLRQDO�PHWKRG��ZKLFK�LV�EDVHG�XSRQWKH� UHTXLUHPHQW� WKDW� D� YDOYH� RU� LQWHUQDO� SLVWRQ� LV� XVHG� WR� HQKDQFH� VDPSOH� UHFRYHU\�� SURYLGHV� D� EHWWHUFODVVLILFDWLRQ�V\VWHP��7\SLFDOO\��WKH�VPDOOHU��VKRUWHU�FRUHUV�XVH�D�YDOYH�DQG�DUH�FRPPRQO\�UHIHUUHG�WR�DV³JUDYLW\´�FRUHUV��ZKHUHDV�WKH�ODUJHU��ORQJHU�FRUHUV�XVH�D�SLVWRQ�DQG�DUH�UHIHUUHG�WR�DV�³SLVWRQ´�FRUHUV��$GLVFXVVLRQ�RI�WKH�JUDYLW\�DQG�SLVWRQ�FRUHU�LV�SUHVHQWHG�KHUHLQ�

�D�� 9DOYH�W\SH�JUDYLW\� FRUHUV�� *UDYLW\� FRUHUV� DUH�PDQXIDFWXUHG�E\� VHYHUDO� FRPSDQLHV� DQG�FDQ�EHGHVLJQHG� WR�PHHW�DOPRVW� DQ\�FRULQJ� UHTXLUHPHQWV��7KH� WZR�PRVW� FRPPRQ�GHYLFHV� DUH� WKH�3KOHJHU� DQG(ZLQJ�FRUHUV��7KH�3KOHJHU�FRUHU��ZKLFK�LV�VKRZQ�LQ�)LJXUH��LV� W\SLFDOO\��WR��P��WR��IW�ORQJ��ZHLJKV�DERXW��NJ��OE��DQG�FDQ�EH�XVHG�WR�REWDLQ�D�VDPSOH��FP��LQ��LQ�GLDPHWHU�E\��P��IW��LQ�OHQJWK��7KH�(ZLQJ�FRUHU��ZKLFK�LV�LOOXVWUDWHG�LQ�)LJXUH��ZLOO�YDU\�LQ�ZHLJKW�DQG�OHQJWKGHSHQGLQJ�XSRQ�WKH�VDPSOH�VL]H�� WKH�ZHLJKW�RI� WKH�VDPSOHU�UDQJHV�IURP��WR��NJ��WR��OE�DQG�FDQ�EH� XVHG�WR�REWDLQ�D�VDPSOH�WKDW� LV��FP��LQ�� LQ�GLDPHWHU�E\�� WR��P��WR��IW�� LQOHQJWK��7KHVH�GHYLFHV�DUH�VWULNLQJO\�VLPLODU��7KH�ZLUHOLQH�LV�DWWDFKHG�WR�WKH�EDLO��ZKLFK�LV�ORFDWHG�DW�WKHWRS�RI�HDFK�FRUHU�� %HORZ�WKH�EDLO�LV�WKH�ZHLJKW�VWDQG��GHSHQGLQJ�XSRQ�WKH�W\SH�RI�VDPSOHU��WKH�ZHLJKWVDUH�HLWKHU�SHUPDQHQW�RU�UHPRYDEOH��7KH�FRUH�EDUUHO��ZKLFK�LV�OLQHG�ZLWK�D�SODVWLF�OLQHU�DQG�FRUH�FDWFKHU�LV�ORFDWHG�EHORZ�WKH�ZHLJKW�VWDQG�� $�FRUH�FXWWHU�LV�DWWDFKHG�WR�WKH�ERWWRP�RI�WKH�FRUH�EDUUHO��$�FKHFNYDOYH��ZKLFK�LV�XVHG�WR�UHWDLQ�WKH�VDPSOH��LV�ORFDWHG�DW�WKH�WRS�RI�WKH�ZHLJKW�VWDQG�

%HIRUH� WKH� JUDYLW\� FRUHU� LV� GHSOR\HG�� WKH� GHYLFH� VKRXOG� EH� DVVHPEOHG� DQG� LQVSHFWHG� DFFRUGLQJ� WR� WKHPDQXIDFWXUHUV�LQVWUXFWLRQV��7KH�FKHFN�YDOYH��VKRXOG�EH�LQVSHFWHG�WR�HQVXUH�WKDW�LW�LV�ZRUNLQJ�SURSHUO\�,I�D�WULS�DUP�UHOHDVH�DV�VKRZQ�LQ�)LJXUH��LV�XVHG��LW�VKRXOG�EH�LQVSHFWHG�IRU�SURSHU�RSHUDWLRQ�DQG�WKHSUHVHQFH� RI� WKH� VDIHW\� SLQ�� :KHQ� WKH� JUDYLW\� FRUHU� LV� GHSOR\HG�� LW� FDQ� EH� ORZHUHG� LQ� WKH�ZDWHU� YHU\UDSLGO\�EXW�VKRXOG�EH�VWRSSHG�DV�VRRQ�DV�WKH�WULS�DUP�LV�UHOHDVHG�RU�WKH�FRUHU�KLWV�ERWWRP��$V�VRRQ�DV�WKHFRUH�KDV�EHHQ�REWDLQHG�� WKH�FRUHU� VKRXOG�EH� VORZO\�SXOOHG�IUHH�RI� WKH�ERWWRP�DQG� WKHQ� UHWXUQHG� WR� WKHVXUIDFH� DV� UDSLGO\� DV� SRVVLEOH�� ,I� WKH� FRUHU� LV� UHODWLYHO\� VKRUW� ZLWK� VXIILFLHQW� GHFN� VSDFH� DQG� OLIWLQJFOHDUDQFH�DYDLODEOH��WKH�FRUHU�VKRXOG�EH�UHWDLQHG�LQ�D�YHUWLFDO�RULHQWDWLRQ�XQWLO�WKH�FRUH�KDV�EHHQ�UHPRYHG�$V�VRRQ�DV� WKH�FRUH�FXWWHU� KDV�EHHQ�GLVFRQQHFWHG� IURP�WKH�FRUH�EDUUHO�� WKH�FRUH� OLQHU�FDQ�EH� UHPRYHG�+RZHYHU��LI�WKH�FKHFN�YDOYH�FUHDWHV�D�WLJKW�VHDO�DW�WKH�WRS�RI�WKH�VDPSOH��LW�PD\�EH�QHFHVVDU\�WR�EUHDN�WKHVXFWLRQ� EHIRUH� UHPRYLQJ� WKH�FRUH� WR� SUHYHQW� FRUH�GLVWXUEDQFH�� $IWHU� WKH� FRUH� OLQHU� KDV� EHHQ� UHPRYHGIURP�WKH�FRUHU��LW�VKRXOG�EH�FDSSHG��ODEHOHG��DQG�VWRUHG�DV�VXJJHVWHG�LQ�WKH�VHFWLRQ�RQ�FRUH�KDQGOLQJ��7KHILHOG�ORJV�VKRXOG�EH�XSGDWHG�LQ�D�WLPHO\�PDQQHU�

9HVVHO�UHTXLUHPHQWV�IRU�GHSOR\LQJ�JUDYLW\�FRUHUV�ZLOO�YDU\�VOLJKWO\��GHSHQGLQJ�XSRQ�WKH�VSHFLILFV�RI�WKHFRUHU�� *HQHUDOO\��WKH�OLIWLQJ�HTXLSPHQW�VKRXOG�EH�FDSDEOH�RI�KDQGOLQJ�WKH�ZHLJKW�DQG�WKH�KHLJKW�RI�WKHIXOO�FRUHU�DQG�WKH�WULSSHG�FDEOH��LI�D�WULS�DUP�LV�XVHG��7KH�UHTXLUHPHQW�IRU�NHHSLQJ�WKH�YHVVHO�DW�D�IL[HGORFDWLRQ�LV�QRW�FULWLFDO�XQOHVV�LW�LV�QHFHVVDU\�WR�VDPSOH�D�VSHFLILHG�SRLQW��KRZHYHU��WKH�YHVVHO�VKRXOG�QRWEH�SHUPLWWHG�WR�PRYH�VR�IDU�DZD\�IURP�WKH�HPEHGGHG�FRUHU�WKDW�LW�LV�SXOOHG�XS�DW�DQ�DQJOH�

7KH� DGYDQWDJHV� RI� JUDYLW\� FRUHUV� LQFOXGH� WKH� HDVH� RI� KDQGOLQJ� DQG� WKH� VLPSOLFLW\� RI� RSHUDWLRQ�� 7KHSULQFLSDO�GLVDGYDQWDJH�LV�WKH�VKRUW�VDPSOH�OHQJWK��7KH�GLIILFXOW\�RI�REWDLQLQJ�D�ORQJHU�FRUH�LV�FDXVHG�E\VHOHFWLYH� VDPSOLQJ�� DV� WKH� JUDYLW\� FRUHU� SHQHWUDWHV� WKH� IRUPDWLRQ�� WKH� VLGHZDOO� IULFWLRQ� EHWZHHQ� WKH

/W

9W

/F

)F

�OW

GW�

(0��-DQ��

)��

VHGLPHQW�DQG�WKH�OLQHU�EXLOGV�XS�DQG�HYHQWXDOO\�FDXVHV�D�SOXJ�WR�IRUP�DW�WKH�FRUH�FXWWHU��,Q�DQ�DWWHPSW�WRVDPSOH�GHHSHU�VHGLPHQWV�ZLWK�D�JUDYLW\�W\SH�FRUHU��D�SLVWRQ�ZDV�DGGHG��WKH�SLVWRQ�W\SH�JUDYLW\�FRUHU�LVGLVFXVVHG�LQ�WKH�IROORZLQJ�SDUDJUDSK��,W�LV�DSSURSULDWH�WR�QRWH�KHUHLQ�WKDW�+YRUVOHY��UHFRPPHQGHGWKH�PD[LPXP�OHQJWK�WR�GLDPHWHU�UDWLR�IRU�DQ�XQGLVWXUEHG�VDPSOH�RI�FRKHVLYH�VRLO�VKRXOG�EH�RI�WKH�RUGHURI� �� WR� �� IRU� RIIVKRUH� LQYHVWLJDWLRQV�� WKH� OHQJWK�WR�GLDPHWHU� UDWLRV� DUH� IUHTXHQWO\� PXFK� ODUJHU�3HUKDSV��WKH�H[FHVVLYH�OHQJWK�WR��GLDPHWHU�UDWLRV�PD\�FDXVH�LQFUHDVHG�VDPSOH�GLVWXUEDQFH�

�E��3LVWRQ�W\SH�JUDYLW\�FRUHUV��$�GLDJUDP�RI�D�W\SLFDO�SLVWRQ�FRUHU�LV�VKRZQ�LQ�)LJXUH��7KHSXUSRVH�RI� WKH�SLVWRQ� LV� WR� UHPDLQ�DW� WKH� WRS�RI� WKH� VHGLPHQW�DQG� FUHDWH�D� VXFWLRQ� DV� WKH�FRUH�EDUUHO� LVSXVKHG� LQWR� WKH� VHGLPHQW�� WKH�HIIHFW�RI� WKH�VXFWLRQ� LV� WR� HQKDQFH� WKH� UHFRYHU\�RI� WKH�FRUH�DQG� SHUKDSVLQFUHDVH�WKH�OHQJWK�RI�WKH�VDPSOH�GULYH��$V�ZLWK�WKH�JUDYLW\�FRUHU��WKH�SLVWRQ�FRUHU�KDV�HLWKHU�D�SHUPDQHQWZHLJKW�RU�DQ�DGMXVWDEOH�VHW�RI�ZHLJKWV�DW�WKH�WRS��0RVW�SLVWRQ�FRUHUV�FDQ�EH�XVHG�WR�REWDLQ�D��WR��FP��WR��LQ��GLDP�FRUH��WKH�OHQJWK�RI�WKH�FRUH�LV�XVXDOO\��WR��P��WR��IW��GHSHQGLQJXSRQ�WKH�W\SH�RI�VHGLPHQW��DOWKRXJK�FRUHV�XS�WR��P��IW��LQ�OHQJWK�KDYH�EHHQ�REWDLQHG��7KH�OHQJWKRI�WKH�SLVWRQ�FRUHU�FDQ�EH�DGMXVWHG�E\�DGGLQJ��P��IW��OHQJWKV�RI�FRUH�EDUUHO�DQG�XVLQJ�ORQJHU�SODVWLFOLQHUV�

:LWK�WKH�H[FHSWLRQ�RI�D�IHZ�VWHSV�IRU�WKH�RSHUDWLRQ�RI�WKH�SLVWRQ��WKH�RSHUDWLRQ�RI�WKH�SLVWRQ�W\SH�JUDYLW\FRUHU�LV�VLPLODU� WR�WKH�RSHUDWLRQ�RI�YDOYH�W\SH�JUDYLW\�FRUHU��DV�QRWHG� LQ�)LJXUH�� $IWHU�WKH�SLVWRQFRUHU�KDV�EHHQ�DVVHPEOHG�DFFRUGLQJ�WR�WKH�PDQXIDFWXUHUV�LQVWUXFWLRQV��WKUHH�DGGLWLRQDO�VWHSV�DUH�UHTXLUHGEHIRUH� WKH� VDPSOHU� LV� GHSOR\HG�� WKH� WULS� ZLUH� OHQJWK� VKRXOG� EH� DGMXVWHG�� WKH� FOHDUDQFH� RI� WKH� OLIWLQJHTXLSPHQW�VKRXOG�EH�FKHFNHG��DQG�WKH�FRUH�EDUUHO�VKRXOG�EH�ILOOHG�ZLWK�ZDWHU��7KH�OHQJWK�RI�WKH�WULS�ZLUHVKRXOG�EH�SUHVHW�EHIRUH�WKH�VDPSOHU�LV�GHSOR\HG�WR�HQVXUH�WKDW�WKH�SLVWRQ�LV�VWRSSHG�DQG�KHOG�DW�RU�VOLJKWO\DERYH�WKH�VHGLPHQW�VXUIDFH�DV�WKH�FRUH�EDUUHO�SHQHWUDWHV�WKH�IRUPDWLRQ��7KH�OHQJWK�RI�WKH�WULS�ZLUH�FDQ�EHFDOFXODWHG�E\�(TXDWLRQ��

��

ZKHUH

/ OHQJWK�RI�WKH�WULS�ZLUHW

9 YHUWLFDO�GLVWDQFH�WKH�WULS�RU�WULJJHU�DUP�PXVW�PRYH�WR�UHOHDVH�WKH�FRUHUW

/ RYHUDOO�OHQJWK�RI�WKH�FRUHUF

) IUHH�IDOO�GLVWDQFH�WKH�FRUHU�WUDYHOV�EHIRUH�LW�LPSDFWV�WKH�VHDIORRU�VHGLPHQWF

O RYHUDOO�OHQJWK�RI�WKH�WULS�RU�WULJJHU�ZHLJKWW

G GHSWK�RI�SHQHWUDWLRQ�RI�WKH�WULJJHU�ZHLJKW�LQWR�WKH�VHDIORRU�VHGLPHQWW

$IWHU�WKH�VHGLPHQW�KDV�EHHQ�VDPSOHG��DERXW��WR��P��WR��IW��RI�ZDWHU�VKRXOG�EH�VHSDUDWLQJ�WKH�WRSRI�WKH�VHGLPHQW�DQG�WKH�ERWWRP�RI�WKH�SLVWRQ��7KLV�VHSDUDWLRQ�DVVXUHV�WKDW�WKH�WRS�VHGLPHQWV�KDYH�EHHQVDPSOHG��,I�WKH�GLVWDQFH�EHWZHHQ�WKH�VHGLPHQW�DQG�WKH�SLVWRQ�LV�WRR�ODUJH��WKH�IUHH�IDOO�ORRS�LV�WRR�VKRUW�RUWKH� OHQJWK�RI� WKH� WULS�ZLUH� LV� WRR� ORQJ�� WKHQ� WKH� OHQJWK�RI� WKH�ZLUH�V��VKRXOG�EH�DGMXVWHG�E\�DQ�DPRXQWHTXDO� WR� WKH� OHQJWK� RI� WKH�H[FHVV� GLVWDQFH� EHWZHHQ� WKH� SLVWRQ� DQG� WKH� FRUH�� ,I� WKH�PXG�PDUNV� RQ� WKHRXWVLGH�RI�WKH�FRUHU�LQGLFDWH�D�VLJQLILFDQWO\�JUHDWHU�SHQHWUDWLRQ�GHSWK�WKDQ�WKH�OHQJWK�RI�WKH�FRUH�UHWULHYHG�

(0��-DQ��

)��

WKH�IUHH�IDOO�ORRS�VKRXOG�EH�VKRUWHQHG�DQ�DPRXQW�HTXDO�WR�WKH�GLIIHUHQFH�EHWZHHQ�WKH�FRUH�OHQJWK�DQG�WKHSHQHWUDWLRQ�GHSWK�

7\SLFDOO\��WKH�OHQJWK�RI�WKH�WULS�ZLUH�LV��WR��P��WR��IW��GHSHQGLQJ�XSRQ�WKH�RYHUDOO�OHQJWK�RI�WKHFRUHU� DQG� WKH�GHSWK� RI� SHQHWUDWLRQ� RI� WKH� WULJJHU�ZHLJKW� LQWR� WKH� VHDIORRU� VHGLPHQW�� WKH� ODWWHU�YDOXH� LVXVXDOO\��WR��P��WR��IW��7KH�UHTXLUHG�FOHDUDQFH�RI�WKH�OLIWLQJ�HTXLSPHQW�RQ�WKH�ZRUN�SODWIRUP�FDQEH�HVWLPDWHG�DV�WKH�VXP�RI�WKH�OHQJWK�RI�WKH�WULS�ZLUH�SOXV�WKH�OHQJWK�RI�WKH�FRUH�WXEH��6KRUW�SLVWRQ�FRUHUV�H�J��WR��P��WR��IW��FRUH�OHQJWK��FDQ�EH�GHSOR\HG�IURP�D�VPDOO�FUDQH�RU�DQ�$�IUDPH��DOWKRXJK�LWPD\�EH�QHFHVVDU\�WR�GUDJ�WKH�VDPSOHU�DFURVV�WKH�GHFN��)RU�ORQJHU�SLVWRQ�FRUHUV��LW�ZLOO�EH�QHFHVVDU\�WRGUDJ�WKH�GHYLFH�DFURVV�WKH�GHFN�DQG�XSULJKW�LQ�WKH�ZDWHU��$IWHU�WKH�VDPSOHU�LV�VXVSHQGHG�LQ�WKH�ZDWHU�DQGWKH� WULS� ZHLJKW� KDV� EHHQ� GHSOR\HG�� WKH� FRUH� EDUUHO� VKRXOG� EH� ILOOHG�ZLWK�ZDWHU� WR� SUHYHQW� K\GURVWDWLFSUHVVXUH�IURP�SXVKLQJ�WKH�SLVWRQ�XS�DV�WKH�GHYLFH�LV�ORZHUHG�LQ�WKH�ZDWHU�

$IWHU� WKH�VDPSOHU�KDV�EHHQ�UHWULHYHG�� WKH�FRUH�FXWWHU�PXVW�EH�UHPRYHG�� WKH�FDEOH�DWWDFKHG�WR�WKH�SLVWRQVKRXOG�EH� GLVFRQQHFWHG��DQG� WKH�ERWWRP�HQG�RI� WKH� OLQHU�FRQWDLQLQJ� WKH�FRUH�FDWFKHU�VKRXOG�EH�FXW�RII�$IWHU�WKH�ERWWRP�RI�WKH�FRUH�KDV�EHHQ�VHDOHG��WKH�SODVWLF�FRUH�WXEH�VKRXOG�EH�UHPRYHG�IURP�WKH�VDPSOLQJGHYLFH��:KHQ�WKH�OLQHU�LV�UHPRYHG�IURP�WKH�EDUUHO��WKH�SLVWRQ�VWRS�VKRXOG�EH�GHWDFKHG�IURP�WKH�OLQHU�DQGWKH�WRS�RI�WKH� VDPSOH� WXEH�VKRXOG�EH�VHDOHG��7KH�OHQJWK�RI�WKH�FRUH�VKRXOG�EH�PHDVXUHG��WKH�OHQJWK�RIWXEH� FRQWDLQLQJ� WKH� FRUH� FDWFKHU� VKRXOG� EH� QRWHG�� DQG� WKH� ILHOG� ORJV� VKRXOG� EH� XSGDWHG�� :KHQ� FRUHVORQJHU� WKDQ� ��P�� IW��DUH�REWDLQHG�� WKH�FRUH� OLQHU� VKRXOG�EH�SXOOHG�RXW�D� VKRUW�GLVWDQFH��FXW�RII�� DQGVHDOHG�DQG�ODEHOHG�DV�HDFK�VHJPHQW�LV�UHPRYHG��&RUH�EDUUHO�VHFWLRQV�FDQ�DOVR�EH�UHPRYHG�DV�QHHGHG�DVWKH�OLQHU�LV�UHPRYHG�IURP�WKH�VDPSOHU��$OWKRXJK�WKH�VDPSOHU�PXVW�EH�SODFHG�KRUL]RQWDOO\�WR�UHPRYH�WKHFRUH�OLQHU��WKH�VHFWLRQV�RI�FRUH�VKRXOG�EH�WXUQHG�XSULJKW�DV�VRRQ�DV�SRVVLEOH�DQG�WKH�WRS�RI�HDFK�VHJPHQWVKRXOG�EH�PDUNHG�

$OWKRXJK� KLJK�TXDOLW\� VDPSOHV� RI� FRKHVLYH� VHGLPHQWV� FDQ� EH� REWDLQHG� ZLWK� WKH� SLVWRQ� FRUHU�� WZRVDPSOLQJ�SUREOHPV�PD\�RFFXU�� IORZ�LQ�DQG�SLVWRQ� VXUJH��)ORZ�LQ�RFFXUV�ZKHQ� WKH�FRUHU� KDV�QRW� IXOO\SHQHWUDWHG�WKH�VHGLPHQW��XVXDOO\�ZKHQ�WKH�SLVWRQ�LV�ORFDWHG�VRPHZKHUH�LQ�WKH�PLGGOH�RI�WKH�FRUH�EDUUHO�$V�WKH�ZLUHOLQH� LV�SXOOHG�XSZDUG�WR�UHWULHYH�WKH�FRUHU�� WKH�SLVWRQ�LV�SXOOHG�WR�WKH�SLVWRQ�VWRS�EHIRUH�WKHVDPSOH� WXEH� LV�PRYHG��WKLV�PRYHPHQW�FUHDWHV�D�VXFWLRQ�LQ�WKH�FRUH�OLQHU�ZKLFK�WHQGV�WR�GUDZ�VHGLPHQWLQWR�WKH�FRUH�EDUUHO��7KH�IORZ�LQ�VHGLPHQW��ZKLFK�LV�YHU\�GLIILFXOW�WR�GLVWLQJXLVK�IURP�WKH�DFWXDO�FRUH��LVGLVWXUEHG��)RUWXQDWHO\��WKLV�SUREOHP�FDQ�EH�PLQLPL]HG�E\�WKH�XVH�RI�D�VSOLW�SLVWRQ��:KHQ�WKH�VSOLW�SLVWRQLV�XWLOL]HG��DQ�XSZDUG�SXOO�RQ�WKH�OLQH�FDXVHV�WKH�SLVWRQ�WR�VHSDUDWH��WKH�PDLQ�SLVWRQ�ORFNV�DW�WKH�WRS�RI�WKHVHGLPHQW�� DQG� WKH� VHFRQGDU\� SLVWRQ� VOLGHV� XSZDUG� XQWLO� LW� UHVWV� DJDLQVW� WKH� SLVWRQ� VWRS�� 3LVWRQ� VXUJHRFFXUV� ZKHQ� WKH� SLVWRQ� LV� PRYHG� DV� WKH� FRUH� EDUUHO� LV� SHQHWUDWLQJ� WKH� VHGLPHQW�� ,GHDOO\�� WKH� SLVWRQUHPDLQV�PRWLRQOHVV�GXULQJ�WKH�VDPSOLQJ�RSHUDWLRQ��+RZHYHU��WKH�ZLUHOLQH�LV�VWUHWFKHG�E\�WKH�ZHLJKW�RIWKH�VDPSOHU�DV�WKH�GHYLFH�LV�GHSOR\HG��:KHQ�WKH�FRUHU�LV�WULSSHG��DQ�HODVWLF�ZDYH�WUDYHOV�XS�DQG�GRZQ�WKHZLUH� DQG�FDXVHV�PRYHPHQW�RI� WKH�SLVWRQ�� 0RYHPHQW�RI� WKH�SLVWRQ� LV�DOVR�FDXVHG�E\� WKH�PRWLRQ�RI� WKHYHVVHO��3UHVHQWO\��WKHUH�LV�QR�XQLYHUVDOO\�DFFHSWHG�PHWKRG�IRU�VROYLQJ�WKH�SLVWRQ�PRWLRQ�SUREOHP�

�� 9LEUDWRU\�FRUHUV�� 2YHU� WKH� \HDUV��PDQ\�ERWWRP�UHVWLQJ� VDPSOHUV� KDYH� EHHQ�EXLOW� DQG� XVHG� WRREWDLQ�VHDIORRU�VDPSOHV��0RVW�RI�WKHVH�GHYLFHV�ZHUH�RQH�RI�D�NLQG�WRROV�WKDW�HYHQWXDOO\�IHOO�LQWR�GLVXVHDQG� QR� ORQJHU� H[LVW��+RZHYHU�� YLEUDWRU\�W\SH� FRUHUV� KDYH� UHPDLQHG� SRSXODU� DQG� DUH� XVHG� H[WHQVLYHO\�$OWKRXJK�VHYHUDO�YLEUDWRU\�FRUHUV�DUH�FRPPHUFLDOO\�DYDLODEOH��RQO\�W\SLFDO�YLEUDWRU\�FRUHUV�DUH�GLVFXVVHGKHUHLQ��6HH�SDUDJUDSKV��DQG��IRU�DGGLWLRQDO�LQIRUPDWLRQ�RQ�YLEUDWRU\�VDPSOHUV�

7KH� YLEUDWRU\� FRUHU� FRQVLVWV� RI� D� YLEUDWRU\� KHDG� DWWDFKHG� WR� WKH� WRS� RI� WKH� FRUH� EDUUHO�� 7KH� FRUHU� LVVXSSRUWHG� LQ� D� ERWWRP�UHVWLQJ� IUDPH� ZKLFK� KHOSV� WR� HQVXUH� WKDW� WKH� FRUH� EDUUHO� HQWHUV� WKH� VHGLPHQWYHUWLFDOO\�DV�ZHOO�DV�GRXEOLQJ�DV�D�UHDFWLRQ�IRU�DGYDQFLQJ�WKH�VDPSOLQJ�WXEH��7KH�FRPELQDWLRQ�RI�ZHLJKW

(0��-DQ��

)��

DQG� YLEUDWLRQ� LV� JHQHUDOO\� XVHG� WR� GULYH� WKH� FRUH� EDUUHO� LQWR� WKH� VHGLPHQW�� DOWKRXJK� YLEUDWLRQV� FDQ� EHFRPELQHG�ZLWK�LPSDFW�GULYLQJ�IRU�VRPH�W\SHV�RI�GHYLFHV�WR�LQFUHDVH�WKH�SHQHWUDWLRQ��7KH�YLEUDWRU�FDQ�EHHOHFWULF��SQHXPDWLF��RU�K\GUDXOLF��7KH�VL]HV�RI�FRUHV�UDQJH�IURP��WR��PP��WR��LQ��LQ�GLDPHWHU�E\��WR��P��WR��IW��LQ�OHQJWK�

7KH�YLEUDWRU\�FRUHU�VKRXOG�EH�RSHUDWHG�DQG�GHSOR\HG�DFFRUGLQJ�WR�WKH�PDQXIDFWXUHUV�LQVWUXFWLRQV��&DUHLV�QHHGHG� WR� HQVXUH� WKDW� WKH� LQVLGH�RI� WKH�FRUH�EDUUHO� LV�ZDVKHG� WKRURXJKO\�EHIRUH�D� QHZ�FRUH� OLQHU� LVLQVHUWHG�WR�SUHYHQW�WKH�OLQHU�IURP�EHFRPLQJ�ZHGJHG�DJDLQVW� WKH�ZDOOV�RI�WKH�FRUH�EDUUHO��$IWHU�WKH�OLQHUKDV� EHHQ� LQVHUWHG�� WKH� WKUHDGV� VKRXOG� EH� FOHDQHG� EHIRUH� WKH� FROODU� LV� DWWDFKHG�� %HIRUH� WKH� VDPSOHU� LVORZHUHG�WR�WKH�RFHDQ�IORRU��WKH�OHQJWK�RI�ZLUHOLQH�WR�GHSOR\�WKH�VDPSOHU�VKRXOG�EH�FDOFXODWHG��)RU�FHUWDLQGHYLFHV�� GHSOR\PHQW� RI� WKH� ZLUHOLQH� LV� GRXEOH� WKH� OHQJWK� RI� WKH� FRUH�� WKLV� GHVLJQ� IHDWXUH� PXVW� EHFRQVLGHUHG�ZKHQ�WKH�OHQJWK�RI�WKH�OLQH�DQG�WKH�VDPSOH�GULYH�DUH�FDOFXODWHG��2QFH�WKH�FRUHU�KDV�UHDFKHGIXOO�SHQHWUDWLRQ�RU�UHIXVDO��WKH�FRUHU�VKRXOG�EH�UHWULHYHG�DQG�SODFHG�RQ�WKH�ZRUN�SODWIRUP��:KHQ�WKH�OLQHUKDV�EHHQ� UHPRYHG� IURP� WKH� FRUH�EDUUHO�� WKH�FRUHV� FDQ�EH�FXW� LQWR� VHFWLRQV�DQG� VHDOHG�RU�RSHQHG� IRU� DYLVXDO� DQDO\VLV�� DV�UHTXLUHG�� ,I� H[WUHPHO\�ORQJ�FRUHV�KDYH�EHHQ� WDNHQ�� LW�PD\�EH�QHFHVVDU\� WR�GHWDFK�DVHFWLRQ�RI�WKH�FRUH�EDUUHO�WR�IDFLOLWDWH�WKH�UHPRYDO�RI�WKH�FRUH�OLQHU��,I�D�IXOO�FRUH�ZDV�QRW�REWDLQHG��WKHZDWHU�RQ�WRS�RI�WKH�VDPSOH�VKRXOG�EH�GUDLQHG�E\�FXWWLQJ�WKH�OLQHU�DERYH�WKH�WRS�RI�WKH�VDPSOH�EHIRUH�WKHVDPSOH�LV�KDQGOHG�RU�VHDOHG�

7KH�YLEUDWRU\�FRUHU�FDQ�EH�RSHUDWHG�LQ�PRVW�FRDVWDO�ZDWHUV��DQG�D�VDPSOH�FDQ�EH�REWDLQHG�LQ�PRVW�W\SHV�RIVHGLPHQW��7KH�WLPH�UHTXLUHG�WR�REWDLQ�D�FRUH�GHSHQGV�RQ�WKH�GHQVLW\�RI�WKH�VHGLPHQW��+RZHYHU��WKH�FRUHLV� GLVWXUEHG� WR� VRPH� GHJUHH�� WKH� GHJUHH� RI� GLVWXUEDQFH� GHSHQGV� RQ� WKH� FRUHU� DV� ZHOO� DV� WKH� W\SH� RIVHGLPHQW��$Q�H[DPSOH�RI�D�GLVWXUEHG�YLEUDWRU\�FRUH�LV�VKRZQ�LQ�)LJXUH��WKH�WKLQ�KRUL]RQWDO�OD\HUVRI�GDUN� VHGLPHQW�DUH�FXUYHG�GRZQZDUG�GXH� WR�GLVWXUEDQFH�� :KHQ�VDPSOLQJ� LV� FRQGXFWHG� LQ�QHDUVKRUHDUHDV��IRUHLJQ�REMHFWV��VXFK�DV�WLPEHUV�RU�FRQFUHWH��DUH�VRPHWLPHV�HQFRXQWHUHG��7KHVH�REVWDFOHV�SUHYHQWWKH�FRUHU�IURP�REWDLQLQJ�D�IXOO�FRUH�DQG�VRPHWLPHV�GDPDJH�WKH�FRUH�EDUUHO�

F� 'ULOO�VWULQJ�VDPSOHUV��'ULOO�VWULQJ�VDPSOHUV��DV�WKH�QDPH�LPSOLHV��RSHUDWH�WKURXJK�D�GULOO�VWULQJ�%HFDXVH� WKHVH� VDPSOHUV� DUH� FRYHUHG� LQ� GHWDLO� LQ� &KDSWHUV� �� WKURXJK� �� WKLV� VHFWLRQ� SUHVHQWV� RQO\� WKHXQLTXH�DVSHFWV�RI�WKHLU�XVH�IRU�RIIVKRUH�LQYHVWLJDWLRQV��'ULOO�VWULQJ�VDPSOHUV�UHTXLUH�DQ�RQVKRUH�W\SH�RIGULOO�ULJ�ZKLFK�LV�LQVWDOOHG�RQ�D�GULOO�VKLS�IRU�XVH�LQ�GHHS�ZDWHU�RU�SODFHG�RQ�D�WHPSRUDU\�ZRUN�SODWIRUP�7KH� ZRUN� SODWIRUP� IRU� WKH� GULOO� ULJ� FDQ� YDU\� IURP� D� VPDOO� IORDW� RU� VFDIIROGLQJ� WR� D� ODUJH� RIIVKRUHZRUNERDW��WKH�VL]H�RI�WKH�SODWIRUP�LV�GHSHQGHQW�XSRQ�WKH�VL]H�RI�WKH�GULOO�ULJ�DQG�WKH�VXSSRUW�HTXLSPHQWUHTXLUHG�� 7KH� SUREOHPV� RI� XVLQJ� GULOO� VWULQJV� GHSOR\HG� IURP� D� ZRUN� SODWIRUP� RU� YHVVHO� LQFOXGH� WKHPRYHPHQW� RI� WKH� GULOO� VWULQJ� DV� WKH� SODWIRUP� LV� WRVVHG� DERXW� E\� WKH� VHDV� DQG� WKH� QHHG� WR�PDLQWDLQ� DFRQVWDQW� ELW� SUHVVXUH� DSSURSULDWH� IRU� WKH� VRLO� W\SH�� 7R� PLQLPL]H� WKHVH� SUREOHPV�� SRZHU� VZLYHOV�� DVLOOXVWUDWHG�LQ�)LJXUH��KDYH�EHHQ�XVHG�

�� 9HUWLFDO� VWDELOL]DWLRQ� RI� WKH� GULOO� VWULQJ�� 7KUHH� WHFKQLTXHV� WR� VWDELOL]H� D� GULOO� VWULQJ� DJDLQVWYHUWLFDO�PRYHPHQW�DUH�DYDLODEOH��D��D�KHDYH�FRPSHQVDWRU�FDQ�EH�XVHG�RQ�WKH�YHVVHO��E��WKH�GULOO�VWULQJFDQ�EH�FODPSHG�WR�WKH�VHDIORRU��RU��F��WKH�GULOO�VWULQJ�FDQ�EH�DQFKRUHG�WR�WKH�IRUPDWLRQ�ZLWK�DQ�LQIODWDEOHSDFNHU�� $�VFKHPDWLF� GLDJUDP�RI� HDFK�PHWKRG� LV� SUHVHQWHG� LQ� )LJXUH�� +HDYH� FRPSHQVDWRUV� DUHGHYLFHV� WKDW� GDPS� RXW� YHVVHO� PRWLRQ� UHODWLYH� WR� GULOO�VWULQJ� PRYHPHQW� ZLWK� DQ� K\GUDXOLF� UDP�� WKHVHGHYLFHV� FDQ� EH� DWWDFKHG� WR� HLWKHU� WKH� FURZQ� EORFN� RU� WKH� WUDYHOLQJ� EORFN�� $� FURZQ�EORFN� KHDYHFRPSHQVDWRU� FDQ� FRQWURO� DSSUR[LPDWHO\� �� WR� ��P� �� WR� �� IW�� RI� KHDYH��ZKHUHDV� D� WUDYHOLQJ�EORFNKHDYH� FRPSHQVDWRU� FDQ� FRQWURO� DSSUR[LPDWHO\� �� WR� �� P� �� WR� �� IW�� RI� KHDYH�� 9HU\� KHDY\�K\GUDXOLFDOO\�RSHUDWHG�FODPSV�ZKLFK�UHVW�RQ�WKH�VHDIORRU�DGG�WR�WKH�UHDFWLRQ�IRUFH�DYDLODEOH�WR�WKH�GULOOVWULQJ� DQG� SURYLGH� D�PHDQV� WR� UHHQWHU� WKH� ERUHKROH�� LI� QHFHVVDU\�� +RZHYHU�� WKHVH� GHYLFHV� DUH� UDWKHUGLIILFXOW� WR� GHSOR\�� DQG� WKH� VXSSRUW� HTXLSPHQW� UHTXLUHV� H[WUD� GHFN� VSDFH�� $Q� LQIODWDEOH� SDFNHU�

(0��-DQ��

)��

FRPPRQO\�NQRZQ�DV�D�GRZQ�KROH�DQFKRU��FDQ�EH�DWWDFKHG�WR�WKH�GULOO�VWULQJ�MXVW�DERYH�WKH�ELW�DQG�LQIODWHGDJDLQVW�WKH�ERUHKROH�ZDOOV�GXULQJ�WKH�VDPSOLQJ�SURFHVV��7KH�GHYLFH�LV�DFWLYDWHG�E\�D�³ODWFK�LQ´�VDPSOLQJWRRO� DQG� SUHVVXUL]HG� E\� GULOOLQJ� PXG�� :KHQ� VDPSOLQJ� LV� FRPSOHWH�� ZLWKGUDZDO� RI� WKH� VDPSOLQJ� WRROFDXVHV�WKH�SDFNHU�WR�GHIODWH�

��2SHUDWLQJ�ZLWKRXW�PRWLRQ�FRPSHQVDWLRQ��,I�D�PRWLRQ�FRPSHQVDWLRQ�V\VWHP�LV�QRW�DYDLODEOH��WKHVDPSOLQJ� WRROV�� ZKLFK� DUH� LOOXVWUDWHG� LQ� )LJXUH� �� FDQ� EH� XVHG�� 7KHVH� WRROV� LQFOXGH� D� ZLUHOLQH�SHUFXVVLRQ�VDPSOHU��D�ODWFK�LQ�SXVK�VDPSOHU��DQG�DQ�K\GUDXOLF�SLVWRQ�VDPSOHU�� 7KH�ZLUHOLQH�SHUFXVVLRQVDPSOHU� FRQVLVWV� RI� D� VOLGLQJ�ZHLJKW� DQG� D� VDPSOLQJ�KHDG� WR�ZKLFK� VDPSOH� WXEHV�FDQ�EH� DWWDFKHG�� 7RREWDLQ�D�VDPSOH��WKH�ZHLJKW�LV�UDLVHG�ZLWK�WKH�ZLUHOLQH�DQG�WKHQ�DOORZHG�WR�IUHH�IDOO�WR�GULYH�WKH�VDPSOHULQWR�WKH�IRUPDWLRQ��+RZHYHU��WKH�³KDPPHULQJ´�HIIHFW�FDXVHV�VDPSOH�GLVWXUEDQFH��WKHUHIRUH��WKH�QXPEHURI� KDPPHU�EORZV� LV� XVXDOO\� OLPLWHG� WR� DSSUR[LPDWHO\�� 7KH� ODWFK�LQ�SXVK� VDPSOHU� UHOLHV�RQ�D� VKRUWVDPSOLQJ�WLPH�WR�REWDLQ�D�JRRG�VDPSOH�ZLWKRXW�PRWLRQ�FRPSHQVDWLRQ��:KHQ�WKH�VDPSOHU�LV�ORZHUHG�LQWRWKH�ERUHKROH��D�PHFKDQLVP�ODWFKHV�RQWR�WKH�GULOO�VWULQJ��WKH�ZHLJKW�RI�WKH�GULOO�VWULQJ�LV�WKHQ�XVHG�WR�SXVKWKH�WXEH�WR�WKH�ERWWRP�RI�WKH�ERUHKROH��:KHQ�WKH�VDPSOHU�LV�OLIWHG��WKH�ODWFK�PHFKDQLVP�UHOHDVHV�DQG�WKHVDPSOHU� LV� UHWULHYHG�RQ�D�ZLUHOLQH�� :DYHV� RI� WRR� VKRUW�D� SHULRG�ZLOO� QRW� DOORZ�VXIILFLHQW� WLPH� IRU� WKHVDPSOHU�WR�EH�UHFRYHUHG�EHIRUH�LW�LV�DJDLQ�SXVKHG�LQWR�WKH�IRUPDWLRQ�E\�WKH�ZHLJKW�RI�WKH�GULOO�VWULQJ��7KHK\GUDXOLF�SLVWRQ�VDPSOHU�LV�D�MDFNLQJ�XQLW�WR�ZKLFK�D��P��IW��ORQJ�WKLQ�ZDOOHG�VDPSOH�WXEH�KDV�EHHQDWWDFKHG��7R�REWDLQ�D�VDPSOH��WKH�MDFNLQJ�XQLW�LV�ORZHUHG�WKURXJK�WKH�GULOO�VWULQJ�XQWLO�LW�ODWFKHV�RQWR�WKHGULOO�ELW��+\GUDXOLF�SUHVVXUH�RI�WKH�GULOOLQJ�IOXLG�LV�WKHQ�XVHG�WR�SXVK�WKH�VDPSOH�WXEH�LQWR�WKH�IRUPDWLRQ�'XULQJ� WKH� VDPSOLQJ� SURFHVV�� WKH� SLVWRQ� UHVWV� RQ� WKH� VHGLPHQW� VXUIDFH�� $IWHU� WKH� VDPSOH� KDV� EHHQREWDLQHG��WKH�VDPSOHU�LV�UHWULHYHG�E\�D�ZLUHOLQH�

��6SHFLDO�&RQVLGHUDWLRQV�IRU�8QGHUZDWHU�6DPSOLQJ

:KHQ�ZRUNLQJ�LQ�WKH�PDULQH�HQYLURQPHQW��FHUWDLQ�FRQGLWLRQV�UHTXLUH�VSHFLDO�DWWHQWLRQ��%HFDXVH�VDOWZDWHUDQG� VDOWZDWHU� PLVWV� DUH� H[WUHPHO\� FRUURVLYH�� RQH� RI� WKH� PRVW� LPSRUWDQW� DVSHFWV� RI� DQ\� RIIVKRUHJHRWHFKQLFDO� LQYHVWLJDWLRQ� LV� WKH�FOHDQLQJ�DQG�PDLQWHQDQFH�RI� WKH�HTXLSPHQW�� 2WKHU�SUREOHPV� LQFOXGHVDPSOH�UHFRYHU\�DQG�VWRUDJH�DQG�WKH�GLIILFXOW\�RI�UHIHUHQFLQJ�WKH�GHSWK�RU�HOHYDWLRQ�RI�ERWWRP�VHGLPHQWV�6HOHFWHG�WRSLFV�DUH�GLVFXVVHG�LQ�WKH�IROORZLQJ�SDUDJUDSKV�

D� (TXLSPHQW� FOHDQXS�� 'XULQJ� RIIVKRUH� LQYHVWLJDWLRQV�� WKH� VDPSOLQJ� HTXLSPHQW� DV� ZHOO� DV� WKHYHVVHO�PD\�UHTXLUH�IUHTXHQW�ZDVKLQJ�WR�UHPRYH�VHGLPHQW��ZKLFK�FDQ�FDXVH�HTXLSPHQW�WR�PDOIXQFWLRQ��DQGWR�SUHYHQW�VDIHW\�KD]DUGV�RQ�WKH�GHFN��6DOWZDWHU�REWDLQHG�IURP�D�VPDOO�ZDWHU�SXPS�RU�IURP�WKH�VDOWZDWHUWDS� RQ� WKH� YHVVHO� FDQ� EH� XVHG� IRU� WKLV� SXUSRVH�� +RZHYHU�� DW� WKH� HQG� RI� WKH� ZRUNGD\�� WKH� VDPSOLQJHTXLSPHQW��LQFOXGLQJ�WKH�ZLUH�URSHV�DQG�DQ\�KDQG�WRROV�WKDW�ZHUH�H[SRVHG�WR�VDOWZDWHU��VKRXOG�EH�KRVHGRII�ZLWK�IUHVK�ZDWHU�WR�SUHYHQW�FRUURVLRQ�� ,I�HTXLSPHQW� LV�OHIW�XQGHUZDWHU��VDFULILFLDO�DQRGHV�VKRXOG�EHDWWDFKHG� WR� WKH� HTXLSPHQW� WR� FRXQWHUDFW� FRUURVLRQ�� ORFDWRU� SLQJHUV� VKRXOG� DOVR� EH� DWWDFKHG� WR� DOOHTXLSPHQW�EHIRUH�LW�LV�GHSOR\HG�

E� &RUURVLRQ� UHVLVWDQW� PDWHULDOV�� $OWKRXJK� PRVW� RIIVKRUH� FRULQJ� HTXLSPHQW� LV� FRQVWUXFWHG� RIFRUURVLRQ�UHVLVWDQW�PDWHULDOV��VXFK�DV��VWDLQOHVV�VWHHO��WKH�HTXLSPHQW�QHHGV�WR�EH�PDLQWDLQHG�WR�UHPDLQRSHUDWLRQDO�DQG�VDIH��,I�D�QHZ�V\VWHP�LV�EHLQJ�GHVLJQHG�IRU�XVH�LQ�WKH�PDULQH�HQYLURQPHQW��D�PHWDOOXUJLVWVKRXOG�EH�FRQVXOWHG�HDUO\�LQ�WKH�SODQQLQJ�SKDVH�WR�DVVLVW�LQ�WKH�VHOHFWLRQ�RI�PDWHULDOV�

F� :LUH�URSH��2QH�RI�WKH�PRVW�FULWLFDO�SLHFHV�RI�HTXLSPHQW�IRU�XQGHUZDWHU�VDPSOLQJ�LV�WKH�ZLUH�URSHRU� ZLUHOLQH�� 8QIRUWXQDWHO\�� LW� FRUURGHV� HDVLO\� ZKHQ� LW� KDV� EHHQ� H[SRVHG� WR� VDOWZDWHU� DQG� LV� WKHQFRQVLGHUHG�XQVDIH�WR�XVH��$OWKRXJK�JDOYDQL]HG�ZLUH�URSH� LV�VRPHZKDW�PRUH�FRUURVLRQ�UHVLVWDQW�� LW��WRR�ZLOO�FRUURGH�ZKHQ�H[SRVHG�WR�VDOWZDWHU�IRU�D�SHULRG�RI�WLPH��7KHUHIRUH��PRVW�YHVVHO�DQG�FUDQH�RSHUDWRUV

(0��-DQ��

)��

DUH� XQZLOOLQJ� WR� GLS� FUDQH� KRRNV� DQG� ZLUH� URSHV� LQWR� WKH� VDOWZDWHU�� &RQVHTXHQWO\�� OLIWLQJ� VWUDSV�GHSOR\PHQW�ZLUHV��ZLUH� URSHV��DQG�RWKHU�HTXLSPHQW� UHTXLUHG� IRU� WKH� MRE�PXVW� EH� VXSSOLHG� DV�DQ�DGGHGFRVW�WR�WKH�SURMHFW�� $�ZLUH�URSH�FDWDORJ�ZLOO�SURYLGH�LQIRUPDWLRQ�RQ�WKH�EHQGLQJ�UDGLXV�RI�WKH�URSH�DQGWKH� VWDWLF�ZRUNLQJ� ORDGV�� $�JRRG� ULJJHU� RU� ULJJLQJ�PDQXDO� VKRXOG�EH� FRQVXOWHG� IRU�SURSHUO\� WLHLQJ� RUWHUPLQDWLQJ� ZLUH� URSHV�� $� WRUTXH�EDODQFHG� ZLUH� URSH� ZKLFK� UHVLVWV� VSLQQLQJ� ZKHQ� WKH� HTXLSPHQW� LVORZHULQJ�LV�DOVR�DYDLODEOH�

G� 6DPSOH�OLQHUV��$QRWKHU�FRQVLGHUDWLRQ�LQ�RIIVKRUH�VDPSOLQJ�LV�WKH�W\SH�RI�SODVWLF�OLQHU�XVHG�LQ�WKHVDPSOHU�� 7KH�PRVW� FRPPRQO\� XVHG� OLQHU� LV� D�FOHDU�SODVWLF�PDGH�RI� FHOOXORVH� DFHWDWH� EXW\UDWH� �&$%��+RZHYHU��&$%�LV�QRW�YHU\�VWURQJ��FDQ�EH�HDVLO\�GDPDJHG��DQG�DOORZV�VRPH�PRLVWXUH�ORVV��2WKHU�SODVWLFVZKLFK�KDYH�EHHQ�XVHG�IRU�FRUH�OLQHUV�LQFOXGH�ULJLG�SRO\FDUERQDWH��/H[DQ��DQG�SRO\YLQ\O�FKORULGH��39&��$V�FRPSDUHG�WR�&$%��/H[DQ�LV�IDLUO\�VWURQJ��DOORZV�OHVV�PRLVWXUH�ORVV��DQG�LV�PRUH�H[SHQVLYH��39&�LVDOVR� IDLUO\� VWURQJ� DQG�DOORZV� OLWWOH�PRLVWXUH� ORVV�� DOWKRXJK� LW� LV� RSDTXH�DQG� FRQWDLQV�KHDY\�PHWDOV� WKDWFRXOG�DGYHUVHO\�DIIHFW�WKH�UHVXOWV�RI�D�FKHPLFDO�DQDO\VLV�RI�WKH�VRLO�VDPSOH��6RPH�SODVWLFV�FDQ�EH�FXVWRPH[WUXGHG� WR� PHHW� WKH� FRULQJ� DSSOLFDWLRQV�� ZKHUHDV� RWKHUV� FDQ� EH� REWDLQHG� RQO\� LQ� VWRFN� VL]HV�� )RUH[WUXGHG�PDWHULDOV��WKHUH�PD\�EH�D�PLQLPXP�RUGHU�RU�D�WRROLQJ�FKDUJH�

H� &RUH� FDWFKHU�� 7KH�PRVW� FRPPRQ� W\SH� RI� FRUH� FDWFKHU� LV� WKH�PHFKDQLFDO� ³ILQJHU´� W\SH�� 7KHILQJHU�W\SH�FRUH�FDWFKHU�LV�UHODWLYHO\�LQH[SHQVLYH�DQG�FDQ�EH�UHXVHG�H[WHQVLYHO\�SURYLGHG�WKDW�LW�LV�FDUHGIRU�� $OWKRXJK� LW� ZRUNV�ZHOO� LQ� FRKHVLYH� VRLOV�� FRKHVLRQOHVV� VRLOV� VRPHWLPHV� ZDVK� RXW� DV� WKH� FRUH� LVEURXJKW�WR�WKH�VXUIDFH��)RU�KDUG�WR�UHWDLQ�VHGLPHQWV��WZR�RWKHU�W\SHV�RI�FRUH�FDWFKHUV�DUH�DYDLODEOH��7KHUHWDLQHU��ZKLFK�LV�VKRZQ�LQ�)LJXUH��XVHV�D�SRO\WK\OHQH�VOHHYH�DIIL[HG�WR�WKH�RXWVLGH�RI�D�ILQJHU�W\SHFDWFKHU�� DIWHU� WKH�FRUH�KDV�EHHQ�REWDLQHG�� WKH�EDJ�FROODSVHV� WR� UHWDLQ� WKH� VDPSOH�� )LJXUH�� VKRZVDQRWKHU�W\SH�RI�FRUH�FDWFKHU�ZKLFK�KDV�D�VSKLQFWHU�FORVXUH�WR�UHWDLQ�WKH�FRUH��:KHQ�D�WULS�OHYHU�RQ�WKHFRUH� EDUUHO� LV� UHOHDVHG�� D� Q\ORQ� VOHHYH�ZKLFK� LV� ORFDWHG� LQVLGH� WKH� FRUH� EDUUHO� LV� WZLVWHG� WR� FORVH� WKHERWWRP�RI�WKH�FRUH�EDUUHO�

I� /RFDWLRQ� RI� WKH� ERWWRP�� %HFDXVH� XQGHUZDWHU� VHGLPHQWV� SURJUHVV� IURP� PXGG\� ZDWHU�� WR� DSHD�VRXS� FRQVLVWHQF\�� WR�PXG�� DQG� HYHQWXDOO\� WR� D� VHGLPHQW�ZLWK� VLJQLILFDQW� VWUHQJWK�� RQH�RI� WKH�PRVWGLIILFXOW�SUREOHPV�GHDOLQJ�ZLWK�XQGHUZDWHU�VDPSOLQJ�LV�GHWHUPLQLQJ�WKH�ORFDWLRQ�RI�WKH�³ERWWRP´�RU�WKH³PXGOLQH�´��:KHQ�VDPSOLQJ�LV�GRQH��HVSHFLDOO\�LQ�VXSSRUW�RI�GUHGJLQJ�RSHUDWLRQV��GHWHUPLQLQJ�ZKHUH�WKHPXGOLQH�VWDUWV�LV�RI�JUHDW�LPSRUWDQFH��$�PHWKRG�RI�GHILQLQJ�WKH�ORFDWLRQ�RI�WKH�ERWWRP�VKRXOG�EH�VHOHFWHGDQG�VSHFLILHG�YHU\�FOHDUO\��2QH�PHWKRG�LV�WR�XVH�D�IODW�VWHHO�SODWH�RI�D�VSHFLILF�GLPHQVLRQ�DQG�ZHLJKW��WKHERWWRP�LV�GHILQHG�DV�WKH�SRLQW�DW�ZKLFK�WKH�SODWH�FRPHV�WR�UHVW�DQG�GRHV�QRW�PRYH�DIWHU�D�GHILQHG�SHULRGRI� WLPH��7KH�SODWH�VKRXOG�EH�DWWDFKHG�WR�D�VSHFLILHG�ORZHULQJ�OLQH�IRU�ZKLFK� WKH�DPRXQW�RI�VWUHWFK�KDVEHHQ�GHILQHG��$Q�DOWHUQDWLYH�PHWKRG�LV�WR�GHILQH�WKH�³ERWWRP´�DV�GHWHUPLQHG�E\�D�FHUWDLQ�DSSDUDWXV��VXFKDV� D� IDWKRPHWHU� RU� D� QXFOHDU� GHQVLW\� JDXJH�� 6HYHUDO� 8�6�� $UP\� &RUSV� RI� (QJLQHHUV� 'LVWULFWV� DQG/DERUDWRULHV�KDYH�H[SHULHQFH�ZLWK�WKHVH�GHYLFHV�

J� *DV�FKDUJHG�VHGLPHQWV��2FFDVLRQDOO\��JDV�FKDUJHG�VHGLPHQWV��ZKLFK�DUH�H[WUHPHO\�GLIILFXOW�WRVDPSOH�ZLWKRXW�GLVWXUEDQFH��DUH�HQFRXQWHUHG�RIIVKRUH��5HFHQWO\��VDPSOHV�RI�JDV�FKDUJHG�VHGLPHQWV�KDYHEHHQ�REWDLQHG�ZLWK�D� VDPSOHU� WKDW� UHWDLQV� WKH�VDPSOH� LQ�D�SUHVVXUL]HG�FKDPEHU�� $�GULOO�VWULQJ�ZLUHOLQHV\VWHP�LV�XVHG�WR�GHSOR\�WKH�VDPSOHU��+RZHYHU��VDPSOHV�REWDLQHG�LQ�SUHVVXUL]HG�FKDPEHUV�DUH�RI�OLWWOHYDOXH� XQOHVV� WKH� VDPSOH� FRQWDLQHUV� DUH� RSHQHG� DQG� WKH� VDPSOHV� DUH� SUHSDUHG� IRU� WHVWLQJ� DW� FRQGLWLRQVFRPSDUDEOH� WR� WKH� LQ� VLWX�SUHVVXUHV�� WR� DFKLHYH� WKHVH�FRQGLWLRQV�� WKH� ODERUDWRU\� WHVWLQJ�SURJUDP�FDQ�EHFRQGXFWHG�LQVLGH�DQ�K\SHUEDULF�FKDPEHU�

K� 6DPSOLQJ� ORJV�� $V� FRPSDUHG� WR� WKH� ERULQJ� ORJV� PDLQWDLQHG� IRU� RQVKRUH� LQYHVWLJDWLRQV� �VHH&KDSWHU��WKH�VDPSOLQJ�ORJV�IRU�RIIVKRUH�RSHUDWLRQV�UHTXLUH�DGGLWLRQDO�GDWD�VXFK�DV�WKH�W\SH�RI�YHVVHO

(0��-DQ��

)��

RU� SODWIRUP�� WKH� QDYLJDWLRQ� V\VWHP� DQG� VLWH� FRRUGLQDWHV�� WKH� WLPH�� GHSWK� RI�ZDWHU�� WLGHV�� DQG� ZHDWKHUFRQGLWLRQV��DQG�WKH�VL]H�DQG�W\SH�RI�VDPSOHU�DQG�VDPSOLQJ�SURFHGXUHV��LQFOXGLQJ�ORZHULQJ�DQG�UHWULHYDOUDWHV�DQG�WKH�SXOORXW�ORDG��$Q�H[DPSOH�RI�D�GDWD�VKHHW�WKDW�FDQ�EH�PRGLILHG�WR�PHHW�WKH�VSHFLILF�QHHGV�RIDQ�XQGHUZDWHU�VDPSOLQJ�LQYHVWLJDWLRQ�LV�VKRZQ�LQ�)LJXUH��

��6DPSOH�+DQGOLQJ�DQG�6WRUDJH

,Q� JHQHUDO�� WKH�PHWKRGV� IRU� KDQGOLQJ� DQG�RU� VWRUDJH� RI� VDPSOHV� REWDLQHG� GXULQJ� RIIVKRUH� GULOOLQJ� DQGVDPSOLQJ� RSHUDWLRQV� VKRXOG� IROORZ� WKH� SURFHGXUHV� XVHG� IRU� RQVKRUH� VDPSOHV�� ZKLFK� DUH� GHVFULEHG� LQ&KDSWHU��RI�WKLV�PDQXDO��+RZHYHU��VSHFLDO�FRQVLGHUDWLRQV�DUH�UHTXLUHG�IRU�FHUWDLQ�DVSHFWV�RI�RIIVKRUHLQYHVWLJDWLRQV�� LQFOXGLQJ� VXEVDPSOLQJ�ER[�FRUH� VDPSOHV��KDQGOLQJ�ORQJ�FRUH� VDPSOHV��DQG� WKH� WUDQVSRUWDQG�VWRUDJH�RI�VDPSOHV�

%HFDXVH�WKH�VL]H�RI�WKH�ER[�FRUH�LV�IDLUO\�ODUJH�DQG�FDQQRW�EH�KDQGOHG�HDVLO\��VXEVDPSOHV�RI�WKH�ER[�FRUHVKRXOG�EH�REWDLQHG�RQERDUG�WKH�YHVVHO�SULRU�WR�VKLSSLQJ�WKH�VRLO�VDPSOHV�WR�WKH�RQVKRUH�ODERUDWRU\��7RVXEVDPSOH�D�ER[�FRUH��D�SLVWRQ��ZKLFK�FDQ�EH�DWWDFKHG�WR�D�ULJLG�IUDPH�DERYH�WKH�FRUH��LV�SODFHG�RQ�WKHWRS�RI�WKH�VDPSOH�DQG�LV�XVHG�DV�D�JXLGH�IRU�WKH�WXEH�WKDW�LV�SXVKHG�LQWR�WKH�ER[�FRUH��7KH�GLDPHWHU�RI�WKHVXEVDPSOLQJ�WXEHV�VKRXOG�EH�VHOHFWHG�EDVHG�XSRQ�WKH�ODERUDWRU\�WHVWV�WR�EH�FRQGXFWHG�RQ�WKH�VXEVDPSOHV�$IWHU�DOO�VXEVDPSOH�WXEHV�KDYH�EHHQ�SXVKHG�LQWR�WKH�ER[�VDPSOH��WKH�VHGLPHQW�DURXQG�WKH�WXEHV�VKRXOG�EHUHPRYHG�DQG�VDYHG�IRU�WHVWV�VXFK�DV�JUDLQ�VL]H�DQDO\VLV�DQG�$WWHUEHUJ�OLPLWV�

/RQJ�FRUHV�WKDW�DUH�REWDLQHG�LQ�SODVWLF�OLQHUV�VKRXOG�EH�FXW�LQWR�VHJPHQWV��WR��P��WR��IW��ORQJ�GHSHQGLQJ�RQ� WKH� SURSRVHG� WHVWLQJ�SURJUDP�� VKLSERDUG� VWRUDJH�� VKLSSLQJ�FRQWDLQHUV�� DQG� WKH� HVWLPDWHGWLPH�IRU�VWRUDJH�RI�WKH�VHJPHQWV��,Q�JHQHUDO��WKH�OHQJWK�RI�WKH�FRUH�VKRXOG�EH�GHFUHDVHG�DV�WKH�WLPH�IRUVWRUDJH�LV�LQFUHDVHG�WR�UHGXFH�VHWWOHPHQW�DQG�OHDNDJH��$V�WKH�OLQHU�LV�UHPRYHG�IURP�WKH�FRULQJ�GHYLFH��DSHUPDQHQW� IHOW�WLS�PDUNHU� VKRXOG�EH� XVHG� WR�PDUN� WKH�VHJPHQWV� RI� WKH� WXEH�ZLWK�D� FRQVLVWHQW� ODEHOLQJVFKHPH��VXFK�DV�WKH�ERWWRP�VHJPHQW�EHLQJ�ODEHOHG�³�´�RU�³D�´�HWF��HDFK�VHJPHQW�VKRXOG�DOVR�EH�ODEHOHGZLWK�DQ�DUURZ�SRLQWLQJ�WRZDUGV�WKH�WRS�RI�WKH�VDPSOH��$IWHU�D�VHJPHQW�KDV�EHHQ�ODEHOHG�DQG�WKH�SODVWLFOLQHU�KDV�EHHQ�FXW�� WKH� VHJPHQW� VKRXOG�EH�PHDVXUHG�DQG� LWV�FRQGLWLRQ�QRWHG�� LW� VKRXOG� WKHQ�EH�FDSSHG�WDSHG�ZLWK�SODVWLF�WDSH��VHDOHG�ZLWK�ZD[�RU�SODVWLF�ZUDS�DQG�DOXPLQXP�IRLO��DQG�ODEHOHG��$V�D�PLQLPXP�WKH�ODEHO�VKRXOG�FRQWDLQ�WKH�QDPH�RI�WKH�SURMHFW��WKH�VLWH�QXPEHU�RU�QDPH��WKH�FRUH�QXPEHU�DQG�VHJPHQWQXPEHU��WKH�OHQJWK�RI�WKH�VHJPHQW��WKH�GDWH�WKH�FRUH�ZDV�WDNHQ��WKH�GHSWK�RI�ZDWHU��WKH�VDPSOHU�W\SH��DQGDQ\� REVHUYDWLRQV� RU� SUREOHPV�� 7KLV� LQIRUPDWLRQ� FDQ� EH�ZULWWHQ� RQ� WKH� SODVWLF� WXEH�ZLWK� D� SHUPDQHQWPDUNHU�� HQJUDYHG� LQWR� WKH� SODVWLF�� RU� ZULWWHQ� RQ� D� FDUG� DQG� LQVHUWHG� LQWR� D� VHOI�DGKHVLYH� SODVWLF� EDJDWWDFKHG�WR�WKH�FRUH�WXEH�

6DPSOHV� VKRXOG� EH� VWRUHG� DQG� WUDQVSRUWHG� XQGHU� FRQGLWLRQV� WKDW� PLQLPL]H� RU� SUHYHQW� DGGLWLRQDOGLVWXUEDQFH�� 5HFDOO� WKDW� FRUH� VDPSOHV� KDYH� DOUHDG\� EHHQ� GLVWXUEHG� E\� WKH� FKDQJH� RI� VWUHVV� DQGWHPSHUDWXUH�DV�D�UHVXOW�RI�EHLQJ�VDPSOHG�DW�WKH�UHODWLYHO\�FRRO�VHD�IORRU�DQG�UHFRYHUHG�RQ�WKH�ZDUP��DQGSRVVLEO\�HYHQ�KRW��GHFN��&RUHV�VKRXOG�EH�VWRUHG�YHUWLFDOO\�LQ�D�IUDPHZRUN�WKDW�SUHYHQWV�WKHP�IURP�EHLQJMRVWOHG�� DQG� LI� QHFHVVDU\� FDQ� EH� ZUDSSHG� LQ� SODVWLF� EXEEOH� ZUDS� WR� FXVKLRQ� WKHP� IURP� VKLSERDUGYLEUDWLRQV��7KH�VWRUDJH�URRP�VKRXOG�EH�PDLQWDLQHG�DW�D�WHPSHUDWXUH�RI��WR��GHJ�&��WR��GHJ�)��ZLWKD� UHODWLYH�KXPLGLW\�RI��SHUFHQW� WR�SUHYHQW�WKH�JURZWK�RI�PDULQH�RUJDQLVPV��7KH�PHWKRG�RI�SDFNLQJWKH�FRUHV�IRU�VKLSPHQW�WR�WKH�RQVKRUH�ODERUDWRU\�VKRXOG�EH�SUHSODQQHG�WR�HQVXUH�WKDW�WKH�VKLSSLQJ�FUDWHVDUH�GHVLJQHG�WR�PLQLPL]H�FRUH�GLVWXUEDQFH�DQG�WKH�FRUHV�DUH�VHFWLRQHG�WR�D�VWDQGDUG�OHQJWK��7KH�WRS�RIWKH� VKLSSLQJ� FUDWH� �KHQFH�� WKH� WRS�RI� WKH� FRUHV�� VKRXOG� DOZD\V� EH� ODEHOHG� ³7+,6�(1'�83�´� �%HFDXVHFDOFDUHRXV�VDPSOHV�DUH�GLIILFXOW�WR�WUDQVSRUW�ZLWKRXW�FDXVLQJ�VHYHUH�GLVWXUEDQFH��RQERDUG�WHVWLQJ�RI�WKHVHPDWHULDOV�LV�UHFRPPHQGHG��LI�SRVVLEOH�

(0��-DQ��

)��

��6XPPDU\

$OWKRXJK�QXPHURXV� W\SHV�RI�HTXLSPHQW�DUH�DYDLODEOH� IRU�VDPSOLQJ�RIIVKRUH� IRUPDWLRQV��D�ZHOO�SODQQHGVDPSOLQJ�RSHUDWLRQ�FDQ� UHGXFH� WKH�GHJUHH�RI�GLIILFXOW\� DQG� WKH� H[SHQVHV� LQYROYHG�E\�HQVXULQJ� WKDW� WKHSURSHU�HTXLSPHQW�LV�DYDLODEOH�WR�REWDLQ�WKH�UHTXLUHG�QXPEHU�RI�VDPSOHV�RI�VDWLVIDFWRU\�TXDOLW\��1HDUO\�DOORI� WKH� VDPSOHUV� GLVFXVVHG� LQ� WKLV� FKDSWHU� FDQ� EH� XVHG� WR� VDPSOH� FRKHVLYH� PDWHULDOV�� +RZHYHU�ERWWRP�UHVWLQJ�GHYLFHV�PD\�VLQN�XQGHU�WKHLU�RZQ�ZHLJKW�DQG�WKHUHIRUH�FDQQRW�EH�XVHG�IRU�VDPSOLQJ�VRIWVHGLPHQWV��)RU�FRKHVLRQOHVV�VRLOV��YLEUDWRU\�FRUHUV�DQG�ZLUHOLQH�VDPSOHUV�FDQ�EH�XVHG��DOWKRXJK�VDPSOHVREWDLQHG� ZLWK� WKH� YLEUDWRU\� FRUHU� DUH� GLVWXUEHG��ZKHUHDV� VDPSOHV� REWDLQHG�ZLWK�ZLUHOLQH� VDPSOHUV� DUHIDLUO\�H[SHQVLYH��6SHFLDOL]HG�FRUH�UHWDLQHUV�ZLOO�KHOS�UHWDLQ�FRKHVLRQOHVV�VRLOV�LQ�WKH�VDPSOH�WXEH��5RFNVDPSOLQJ�ZLOO�OLNHO\�UHTXLUH�D�GULOO�VWULQJ�VDPSOHU��DOWKRXJK�D�IHZ�ERWWRP�UHVWLQJ�URFN�FRUHUV�KDYH�EHHQEXLOW� IRU� VDPSOLQJ� WKH� WRS� RI� URFN� IRUPDWLRQV�� &DOFDUHRXV� IRUPDWLRQV�FDQ� EH� VDPSOHG� E\�PRVW� RI� WKHGHYLFHV� GLVFXVVHG� LQ� WKLV� FKDSWHU�� +RZHYHU�� WKH� HIIHFW� RI� VDPSOH� GLVWXUEDQFH� LV� XQNQRZQ�EHFDXVH� WKHHQJLQHHULQJ�EHKDYLRU�RI�FDOFDUHRXV�PDWHULDOV�FDQQRW�EH�SUHGLFWHG�E\�FRQYHQWLRQDO�VRLO�PHFKDQLFV�WKHRU\�$GGLWLRQDO�LQIRUPDWLRQ�RQ�RIIVKRUH�VDPSOLQJ� LV� DYDLODEOH� LQ� WKH� UHIHUHQFHV� FLWHG� LQ� WKH�VHFWLRQ�HQWLWOHG³%LEOLRJUDSK\´�LQ�$SSHQGL[�$�

(0��

��-DQ��

)��

)LJXUH��3KRWRJUDSK�RI�D�VPDOO�GULOO�ULJ�RQ�D�VFDIIROG��1RWH��6DIHW\�LV�D�YHU\�LPSRUWDQW�FRQVLGHUDWLRQ�IRU�&RUSV�RI�(QJLQHHU3URMHFWV��6DIHW\�LWHPV��LQFOXGLQJ�KDUGKDWV��JORYHV��VDIHW\�VKRHV��SURWHFWLYH�FORWKLQJ��OLIH�YHVWV��DQG�GXVW�RU�YDSRU�PDVNV��VKRXOG�EHZRUQ��DV�DSSURSULDWH��IRU�WKH�SDUWLFXODU�GULOOLQJ�DQG�VDPSOLQJ�RSHUDWLRQV��)LJXUH�SURYLGHG�E\�WKH�8�6��1DYDO�)DFLOLWLHV�(QJLQHHULQJ6HUYLFH�&HQWHU�

(0��-DQ��

)��

)LJXUH��3KRWRJUDSK�RI�D�EDUJH�VHW�XS�IRU�QHDUVKRUH�ZRUN��1RWH�WKH�FUDQH��$�IUDPH��DQG�ZLQFK�IRUOLIWLQJ�DQG�ORZHULQJ�GULOOLQJ�HTXLSPHQW��)LJXUH�SURYLGHG�E\�WKH�8�6��1DYDO�)DFLOLWLHV�(QJLQHHULQJ�6HUYLFH&HQWHU�

(0��-DQ��

)��

)LJXUH��3KRWRJUDSK�RI�D�MDFN�XS�EDUJH�WKDW�FDQ�EH�XVHG�WR�VXSSRUW�DQ�RQVKRUH�GULOOLQJ�ULJ��)LJXUHSURYLGHG�E\�WKH�8�6��1DYDO�)DFLOLWLHV�(QJLQHHULQJ�6HUYLFH�&HQWHU�

(0��-DQ��

)��

)LJXUH��3KRWRJUDSK�RI�D�VDPSOLQJ�GHYLFH�KXQJ�IURP�D�SDLU�RI�GDYLWV�DORQJ�WKH�VLGH�RI�D�YHVVHO��)LJXUHSURYLGHG�E\�WKH�8�6��1DYDO�)DFLOLWLHV�(QJLQHHULQJ�6HUYLFH�&HQWHU�

(0��

��-DQ��

)��

)LJXUH��3KRWRJUDSK�RI�D�VDPSOHU�EHLQJ�GHSOR\HG�ZLWK�D�PRELOH�FUDQH�PRXQWHG�RQ�D�EDUJH��%HFDXVH�RI�LQVXIILFLHQW�GHFN�VSDFH��WKH�KHDG�RI�WKHVDPSOHU�ZDV�VXSSRUWHG�RYHU�ZDWHU�E\�WKH�FUDQH�ZKLOH�WKH�EDVH�RI�WKH�VDPSOHU�ZDV�SODFHG�RQ�WKH�GHFN�DV�WKH�FRUH�ZDV�UHPRYHG��1RWH��6DIHW\�LV�DYHU\�LPSRUWDQW�FRQVLGHUDWLRQ�IRU�&RUSV�RI�(QJLQHHUV�SURMHFWV��6DIHW\�LWHPV��LQFOXGLQJ�KDUGKDWV��JORYHV��VDIHW\�VKRHV��SURWHFWLYH�FORWKLQJ��OLIH�YHVWV�DQG�GXVW�RU�YDSRU�PDVNV��VKRXOG�EH�ZRUQ��DV�DSSURSULDWH��IRU�WKH�SDUWLFXODU�GULOOLQJ�DQG�VDPSOLQJ�RSHUDWLRQV��)LJXUH�SURYLGHG�E\�WKH�8�6��1DYDO)DFLOLWLHV�(QJLQHHULQJ�6HUYLFH�&HQWHU�

(0��-DQ��

)��

)LJXUH��3KRWRJUDSK�RI�D�%RRPHUDQJ�FRUHU��)LJXUH�SURYLGHG�E\�WKH�8�6��1DYDO�)DFLOLWLHV(QJLQHHULQJ�6HUYLFH�&HQWHU�

(0��-DQ��

)��

)LJXUH��7KH�RSHUDWLQJ�VHTXHQFH�RI�WKH�%RRPHUDQJ�FRUHU��)LJXUH�SURYLGHG�E\�WKH�8�6��1DYDO�)DFLOLWLHV(QJLQHHULQJ�6HUYLFH�&HQWHU�

(0��-DQ��

)��

D��'LYHU�RSHUDWHG�FRUHU�ZLWK�SDUWV�LGHQWLILHG

E��'LYHU�DQG�SDUWQHU�RSHUDWLQJ�FRUHU�XQGHUZDWHU

F��'LYHUV�FDSSLQJ�ERWWRP�RI�FRUH�DIWHU�SXOOLQJ�LW�RXW�RIWKH�VHDIORRU

)LJXUH� �� 3KRWRJUDSK� RI� D� KDQG�KHOG� GLYHU�RSHUDWHG� VDPSOHU� DYDLODEOH� WR� JRYHUQPHQW� DJHQFLHV� WKURXJK1$9)$&¶V�2FHDQ�&RQVWUXFWLRQ�(TXLSPHQW� LQYHQWRU\�� 1RWH��6DIHW\� LV� D� YHU\� LPSRUWDQW� FRQVLGHUDWLRQ� IRU�&RUSV�RI

(0��-DQ��

)��

(QJLQHHUV�SURMHFWV��6DIHW\�LWHPV�VKRXOG�EH�ZRUQ��DV�DSSURSULDWH��IRU�WKH�SDUWLFXODU�GULOOLQJ�DQG�VDPSOLQJ�RSHUDWLRQV�)LJXUH�SURYLGHG�E\�WKH�8�6��1DYDO�)DFLOLWLHV�(QJLQHHU�6HUYLFH�&HQWHU�

(0��-DQ��

)��

)LJXUH��6FKHPDWLF�GLDJUDPV�RI�VHYHUDO�GUHGJHV�DQG�JUDE�VDPSOHUV�WKDW�FDQ�EH�XVHG�WR�REWDLQGLVWXUEHG��VXUILFLDO�VHGLPHQW�VDPSOHV�RI�WKH�VHDIORRU�IURP�DOPRVW�DQ\�GHSWK�RI�ZDWHU��)LJXUHSURYLGHG�E\�WKH�8�6��1DYDO�)DFLOLWLHV�(QJLQHHULQJ�6HUYLFH�&HQWHU�

(0��-DQ��

)��

)LJXUH��&RQFHSWXDO�SUHVHQWDWLRQ�RI�WKH�RSHUDWLQJ�VHTXHQFH�RI�WKH�ER[�FRUHU��)LJXUH�SUR�YLGHG�E\�WKH�8�6��1DYDO�(QJLQHHULQJ�6HUYLFH�&HQWHU�

(0��-DQ��

)��

)LJXUH��3KRWRJUDSK�RI�WKH�3KOHJHU�JUDYLW\�FRUHU��)LJXUH�SURYLGHG�E\�WKH�8�6��1DYDO)DFLOLWLHV�(QJLQHHULQJ�6HUYLFH�&HQWHU

(0��-DQ��

)��

)LJXUH��(ZLQJ�JUDYLW\�FRUHU��)LJXUH�SURYLGHG�E\�WKH�8�6��1DYDO�)DFLOLWLHV(QJLQHHULQJ�6HUYLFH�&HQWHU�

(0��-DQ��

)��

)LJXUH��6FKHPDWLF�GLDJUDP�RI�WKH�WULS�DUP�UHOHDVH�IRU�RSHUDWLRQ�RI�WKH�FKHFNYDOYH�LQ�D�YDOYH�W\SH�JUDYLW\�FRUHU��)LJXUH�SURYLGHG�E\�WKH�8�6��1DYDO�)DFLOLWLHV(QJLQHHULQJ�6HUYLFH�&HQWHU�

(0��-DQ��

)��

)LJXUH��6FKHPDWLF�GLDJUDP�RI�D�W\SLFDOSLVWRQ�W\SH�JUDYLW\�FRUHU��)LJXUH�SURYLGHG�E\�WKH8�6��1DYDO�)DFLOLWLHV�(QJLQHHU�6HUYLFH�&HQWHU�

(0��-DQ��

)��

)LJXUH��3KRWRJUDSK�RI�D�GLVWXUEHG�YLEUDWRU\�FRUH��1RWH�WKDW�WKH�WKLQ�KRUL]RQWDO�OD\HUV�RI�GDUNVHGLPHQW�DUH�FXUYHG�GRZQZDUG�GXH�WR�VDPSOLQJ�GLVWXUEDQFH��)LJXUH�SURYLGHG�E\�WKH�8�6��1DYDO�)DFLOLWLHV(QJLQHHULQJ�6HUYLFH�&HQWHU�

(0��-DQ��

)��

)LJXUH��6FKHPDWLF�GLDJUDP�RI�D�FXVWRP�GHVLJQHG�GHUULFN�ZLWK�D�SRZHU�VZLYHO�ZKLFK�LV�XVHGWR�PLQLPL]H�WKH�PRYHPHQW�RI�WKH�GULOO�VWULQJ�DV�WKH�ZRUN�SODWIRUP�RU�ERDW�LV�WRVVHG�DERXW�E\�WKHVHDV��)LJXUH�SURYLGHG�E\�WKH�8�6��1DYDO�)DFLOLWLHV�(QJLQHHULQJ�6HUYLFH�&HQWHU�

(0��

��-DQ��

)��

)LJXUH��$�VFKHPDWLF�GLDJUDP�RI�WKH�WKUHH�FRPPRQ�WHFKQLTXHV�XVHG�WR�VWDELOL]H�D�GULOO�VWULQJ�DJDLQVW�YHUWLFDO�PRYHPHQW�RI�WKH�ZRUN�SODWIRUP��)LJXUH�SURYLGHG�E\�WKH�8�6��1DYDO�)DFLOLWLHV�(QJLQHHULQJ�6HUYLFH�&HQWHU�

(0��-DQ��

)��

)LJXUH��:LUHOLQH�VDPSOLQJ�WRROV�ZKLFK�FDQ�EH�XVHG�LI�D�PRWLRQ�FRPSHQVD�WLRQ�V\VWHP�LV�QRW�DYDLODEOH��)LJXUH�SURYLGHG�E\�WKH�8�6��1DYDO�)DFLOLWLHV�(QJL�QHHULQJ�6HUYLFH�&HQWHU�

(0��-DQ��

)��

)LJXUH��3KRWRJUDSK�RI�D�ILQJHU�W\SH�VDPSOH�FDWFKHU�ZLWK�D�SRO\WK\OHQH�VOHHYHIRU�UHWDLQLQJ�KDUG�WR�VDPSOH�PDWHULDOV��$IWHU�WKH�VDPSOH�KDV�EHHQ�REWDLQHG��WKH�EDJFROODSVHV�WR�KHOS�UHWDLQ�WKH�PDWHULDO�LQ�WKH�VDPSOLQJ�WXEH��)LJXUH�SURYLGHG�E\�WKH8�6��1DYDO�)DFLOLWLHV�(QJLQHHULQJ�6HUYLFH�&HQWHU�

(0��-DQ��

)��

)LJXUH��,VRPHWULF�GUDZLQJ�RI�D�FRUH�FDWFKHU�ZLWK�D�VSKLQFWHU�FORVXUH�WRUHWDLQ�WKH�FRUH��)LJXUH�SURYLGHG�E\�WKH�8�6��1DYDO�)DFLOLWLHV�(QJLQHHULQJ�6HUYLFH&HQWHU�

(0��-DQ��

)��

)LJXUH��'DWD�ORJ�IRUP�IRU�DQ�XQGHUZDWHU�VDPSOLQJ�LQYHVWLJDWLRQ��)LJXUH�SURYLGHG�E\�WKH�8�6��1DYDO)DFLOLWLHV�(QJLQHHULQJ�6HUYLFH�&HQWHU�

(0��-DQ��

)��

&KDSWHU�)��6DPSOLQJ�IURP�7HVW�3LWV��7UHQFKHV�$FFHVVLEOH�%RULQJV��RU�7XQQHOV

��,QWURGXFWLRQ

D� $FFHVVLEOH�H[FDYDWLRQV�� )RU�FHUWDLQ�JHRWHFKQLFDO�LQYHVWLJDWLRQV��LW�PD\�EH�QHFHVVDU\�WR�SURYLGHH[FDYDWLRQV� WKDW� DUH� ODUJH� HQRXJK� WR� SHUPLW� HQWUDQFH�E\�D� SHUVRQ� IRU� LQVSHFWLRQ� DQG� VDPSOLQJ�RI� VXE�VXUIDFH�PDWHULDOV�LQ�VLWX��+YRUVOHY��FDOOHG�WKHVH�H[FDYDWLRQV�³DFFHVVLEOH�H[SORUDWLRQV�´��$FFHVVLEOHH[FDYDWLRQV� DUH� WKRVH� H[FDYDWLRQV� WKDW� DUH�PDGH�ZLWK�PDFKLQHU\� RWKHU� WKDQ� FRQYHQWLRQDO� GULOOLQJ� DQGVDPSOLQJ�HTXLSPHQW�� 7KHVH�H[FDYDWLRQV�LQFOXGH� WHVW�SLWV�RU�WUHQFKHV�� ODUJH�GLDPHWHU�ERULQJV��FDLVVRQV�WXQQHOV��VKDIWV��GULIWV��RU�DGLWV�

$FFHVVLEOH�H[FDYDWLRQV�H[SRVH�ODUJH�DUHDV�RI�VXEVXUIDFH�PDWHULDOV�WKDW�SHUPLW�GLUHFW�H[DPLQDWLRQ�RI�WKHLQ� VLWX� FRQGLWLRQV�� REVHUYDWLRQ� RI� VORSH� VWDELOLW\� RU� JURXQGZDWHU� FRQGLWLRQV�� IDXOW� HYDOXDWLRQ� VWXGLHV�UHFRYHU\� RI� ODUJH� XQGLVWXUEHG� VDPSOHV�� LQ� VLWX� WHVWLQJ�� LQVWDOODWLRQ�RI� LQVWUXPHQWDWLRQ�� RU�HYDOXDWLRQ�RIDEQRUPDOLWLHV��$FFHVVLEOH�H[FDYDWLRQV�DOVR�RIIHU�DQ�H[FHOOHQW�PHDQV�IRU�HYDOXDWLQJ�H[FDYDWLRQ�PHWKRGVRU� WKH� HIIHFWV� RI� EODVWLQJ�ZKLOH� SURYLGLQJ� DQ� RSSRUWXQLW\� WR� FRQILUP�GDWD� REWDLQHG� IURP� FRQYHQWLRQDOERULQJ�DQG�VDPSOLQJ�SURJUDPV�� $FFHVVLEOH�H[SORUDWLRQV�PD\�EH�WKH�RQO\�SUDFWLFDO�PHWKRG�RI�REWDLQLQJDFFXUDWH�LQIRUPDWLRQ�UHJDUGLQJ�ERUURZ�PDWHULDOV��ULSUDS�DQG�FRQFUHWH�DJJUHJDWH��RU�WHVW�ILOOV��7KH�GDWD�LQ7DEOH��VXJJHVW�VHYHUDO�W\SHV�RI�DFFHVVLEOH�H[FDYDWLRQV�DV�ZHOO�DV�SURFHGXUHV�DQG�OLPLWDWLRQV�IRU�HDFK�

E� $GYDQWDJHV� DQG� GLVDGYDQWDJHV�� %HIRUH� D�GHFLVLRQ� LV� UHQGHUHG� WKDW� DFFHVVLEOH� H[FDYDWLRQV� DUHQHHGHG� DV�DQ� LQWHJUDO�SDUW�RI� WKH�JHRWHFKQLFDO� LQYHVWLJDWLRQ�� WKH�DGYDQWDJHV�DQG�GLVDGYDQWDJHV�RI� WKHVHH[FDYDWLRQV�PXVW�EH�FRQVLGHUHG�

$FFHVVLEOH� H[FDYDWLRQV� SURYLGH� WKH� PRVW� UHOLDEOH� DQG� GHWDLOHG� LQIRUPDWLRQ� RI� VRLO� DQG� URFN� DORQJ� DVSHFLILF�KRUL]RQWDO�RU�YHUWLFDO�OLQH��$FFHVVLEOH�H[FDYDWLRQV�DOVR�SHUPLW�GLUHFW�H[DPLQDWLRQ��VDPSOLQJ��RULQ�VLWX�WHVWLQJ�RI�WKH�IRUPDWLRQ��$OWKRXJK�WKH�FRVWV�RI�DFFHVVLEOH�H[FDYDWLRQV�DUH�UDWKHU�KLJK��WKH�FRVWV�DUHRIWHQ�VPDOO�LQ�FRPSDULVRQ�WR�FRQVWUXFWLRQ�FRVWV�ZKHUH�JHRORJLF�LQIRUPDWLRQ�LV�PHDJHU�RU�LQVXIILFLHQW�WRIRUHZDUQ�RI�DGYHUVH�FRQGLWLRQV�

([DPLQDWLRQ�� VDPSOLQJ�� RU� LQ� VLWX� WHVWLQJ� RI� WKH� IRUPDWLRQ� LQ� DFFHVVLEOH� H[FDYDWLRQV� LV� XVXDOO\� PRUHH[SHQVLYH� WKDQ� IRU� FRQYHQWLRQDO� LQ� VLWX� WHVWLQJ� DQG� VDPSOLQJ� RSHUDWLRQV�� 7KH� GHSWKV� RI� DFFHVVLEOHH[FDYDWLRQV�DUH�XVXDOO\�OLPLWHG�WR�DERXW��WR��P��WR��IW��RU�WR�WKH�ZDWHU�WDEOH��)RU�JUHDWHU�GHSWKV�WKH� FRVWV� DQG� GLIILFXOWLHV� RI� H[FDYDWLQJ�� FULEELQJ�� DQG� SXPSLQJ� JHQHUDOO\�PDNH� DFFHVVLEOH� H[FDYDWLRQVLPSUDFWLFDO� DQG�XQHFRQRPLFDO�� %HFDXVH� ORQJHU�SHULRGV� RI� WLPH�DUH�UHTXLUHG� WR�H[FDYDWH� WKH� IRUPDWLRQDQG� WR� WDNH� WKH�QHFHVVDU\�VDIHW\�SUHFDXWLRQV��GLVWXUEDQFH�FDXVHG�E\�H[SRVXUH�RI� WKH�IRUPDWLRQ�PD\�EHJUHDWHU� IRU� DQ� DFFHVVLEOH� H[FDYDWLRQ� WKDQ� WKH� GLVWXUEDQFH� FDXVHG�E\�FRQYHQWLRQDO� VDPSOLQJ� DQG� LQ� VLWXWHVWLQJ�RSHUDWLRQV��7KH�GLVWXUEDQFH�LV�FDXVHG�E\�D�FKDQJH�RI�ZDWHU�FRQWHQW��VWUHVV�UHGXFWLRQ��VZHOOLQJ�RUSODVWLF�IORZ��H[SDQVLRQ�RI�JDV�RU�DLU�WUDSSHG�LQ�WKH�VRLO��DQG�R[LGDWLRQ�RU�GLVLQWHJUDWLRQ�RI�WKH�PDWHULDO�

F� 8VH�� 'XULQJ� WKH� UHFRQQDLVVDQFH� DQG� IHDVLELOLW\� VWDJHV� RI� DQ� LQYHVWLJDWLRQ�� UHSUHVHQWDWLYH�GLVWXUEHG�RU�XQGLVWXUEHG�VRLO�VDPSOHV�DUH�QHFHVVDU\�WR�HVWLPDWH�WKH�HQJLQHHULQJ�SURSHUWLHV�RI�PDWHULDOV�WREH� XVHG� IRU� FRQVWUXFWLRQ� RI� SURSRVHG� HPEDQNPHQW� GDPV�� FDQDO� OLQLQJV�� URDGV�� HWF�� 8QIRUWXQDWHO\�UHSUHVHQWDWLYH�VDPSOHV�RI�FHUWDLQ�VRLOV��LQFOXGLQJ�YHU\�VRIW�FRKHVLYH�VRLOV��FRKHVLRQOHVV�VRLOV��DQG�JUDYHOO\VRLOV�� DUH� YHU\� GLIILFXOW� DQG� IUHTXHQWO\� LPSRVVLEOH� WR� REWDLQ� XVLQJ� FRQYHQWLRQDO� GULOOLQJ� DQG� VDPSOLQJWHFKQLTXHV�� 7KH�PRVW� IHDVLEOH�PHWKRG�IRU�REWDLQLQJ�VDPSOHV�RI� WKHVH�PDWHULDOV�PD\�EH� WKH�XVH�RI� WHVW

(0��-DQ��

)��

SLWV��WUHQFKHV��VKDIWV��RU�WXQQHOV��$OWKRXJK�RQO\�KLJKO\�GLVWXUEHG�RU�UHPROGHG�VDPSOHV�FDQ�VRPHWLPHV�EHREWDLQHG�� WKHVH�H[FDYDWLRQV�RIWHQ�\LHOG�H[FHOOHQW� LQIRUPDWLRQ�UHJDUGLQJ�VWUDWLILFDWLRQ�DQG�GHQVLW\�RI�WKHIRUPDWLRQ�DV�ZHOO�DV�SRWHQWLDO�GLIILFXOWLHV�ZKLFK�PD\�EH�HQFRXQWHUHG�GXULQJ�FRQVWUXFWLRQ��7R�IXOO\�XWLOL]HWKH� GDWD� WKDW� FDQ� EH� REWDLQHG� IURP� DFFHVVLEOH� H[SORUDWLRQV�� H[FDYDWLRQV� VKRXOG� EH� GHVLJQHG� DQG� GDWDFROOHFWHG� XQGHU� WKH� VXSHUYLVLRQ� RI� JHRWHFKQLFDO� SHUVRQQHO� ZKR� IXOO\� XQGHUVWDQG� WKH� SXUSRVH� RI� WKHH[SORUDWLRQ�SURJUDP�DQG�KRZ�WKH�GDWD�ZLOO�EH�XVHG�IRU�GHVLJQ�DQG�DQDO\VLV�

��([FDYDWLRQ

7KH�GHSWK�RI�DQ�DFFHVVLEOH�H[FDYDWLRQ�GLFWDWHV�WKH�PHWKRG�RI�H[FDYDWLRQ��7HVW�SLWV�DQG�WUHQFKHV�PD\�EHH[FDYDWHG�E\�KDQG�RU�E\�FRQYHQWLRQDO�HDUWK�PRYLQJ�HTXLSPHQW��$FFHVVLEOH�ERULQJV�PD\�EH�GULOOHG�ZLWKVSHFLDO�SXUSRVH�GULOOLQJ�ULJV��6KDOORZ�SLWV�GXJ�WR�GHSWKV�XS�WR��P��IW��LQ�VWDEOH�VRLO�XVXDOO\�UHTXLUHQR� VKRULQJ�� IRU� GHHSHU� H[FDYDWLRQV� RU� SLWV� LQ� XQVWDEOH� VRLO�� VKRULQJ� PXVW� EH� XVHG� �(0� ��([FDYDWLRQV� H[WHQGLQJ� EHORZ� WKH� ZDWHU� WDEOH� UHTXLUH� FRQWURO� RI� WKH� JURXQGZDWHU�� ,Q� LPSHUYLRXV� RUUHODWLYHO\�LPSHUYLRXV�VRLOV��JURXQGZDWHU�FDQ�EH�FRQWUROOHG�E\�SXPSLQJ�GLUHFWO\�IURP�D�VXPS�RU�GUDLQDJHGLWFK� LQ� WKH� SLW�� ,I� WKH� SLW� H[WHQGV� EHORZ� WKH� ZDWHU� WDEOH� LQ� VDQG� RU� VLOW�� GHZDWHULQJ� E\�PHDQV� RI� DZHOO�SRLQW�V\VWHP�PD\�EH�QHFHVVDU\�WR�HQVXUH�GU\QHVV�DQG�VWDELOLW\�RI�WKH�SLW��,I�VHHSDJH�IRUFHV�DUH�JUHDW�³EORZRXWV´�LQ�WKH�ERWWRP�RU�VLGHV�RI�WKH�SLW�FDQ�UHVXOW�

D� 7HVW�SLWV��7HVW�SLWV�DUH�FRPPRQO\�XVHG�IRU�H[SRVLQJ�DQG�VDPSOLQJ�IRXQGDWLRQ�DQG�FRQVWUXFWLRQPDWHULDOV��7KH�WHVW�SLW�PXVW�EH�ODUJH�HQRXJK�WR�SHUPLW�GHWDLOHG�H[DPLQDWLRQV�RI�WKH�PDWHULDO�LQ�VLWX�WR�EHFRQGXFWHG�RU�WR�REWDLQ�ODUJH��XQGLVWXUEHG�VDPSOHV�DV�UHTXLUHG�E\� WKH�LQYHVWLJDWLRQ�� 7\SLFDOO\�� WKH�SODQYLHZ�RI� WKH�SLW�ZLOO�EH�VTXDUH��UHFWDQJXODU��RU�FLUFXODU�� 7KH�PLQLPXP�GLPHQVLRQV�RI�WKH�SLW�DUH�RQ�WKHRUGHU�RI��E\��P��E\��IW��RU��E\��P��E\��IW��LW�VKRXOG�EH�QRWHG�WKDW�WKHVH�GLPHQVLRQV�DUHQHW� GLPHQVLRQV� DW� WKH� ERWWRP�RI� WKH� H[FDYDWLRQ� DQG� GR� QRW� LQFOXGH� WKH� VSDFH� UHTXLUHG� IRU� VKRULQJ� RUVORSLQJ�WKH�ZDOOV�RI�WKH�H[FDYDWLRQ�LQ�XQVWDEOH�RU�VRIW�PDWHULDOV�RU�IRU�GHHS�H[FDYDWLRQV�

7HVW�SLWV�PD\�EH�GXJ�E\�KDQG�RU�E\�PDFKLQH��3RZHU�H[FDYDWLQJ�HTXLSPHQW��VXFK�DV�EDFNKRHV��WUHQFKLQJPDFKLQHV�� GUDJOLQHV�� FODPVKHOOV�� ODUJH�GLDPHWHU� EXFNHW� DXJHUV�� RU� EXOOGR]HUV�� PD\� EH� XVHG� IRU� URXJKH[FDYDWLRQ�RI�WHVW�SLWV�WR�D�GLVWDQFH�RI�DERXW��P��IW��IURP�WKH�SURSRVHG�VDPSOH��7KH�ILQDO�H[FDYDWLRQRI�VDPSOHV�PXVW�EH�FDUHIXOO\�PDGH�ZLWK�KDQG�WRROV��VXFK�DV�SLFNV��VKRYHOV��WURZHOV��DQG�EXFNHWV��'HHSHUSLWV�PXVW� EH�VWDUWHG�ZLWK� VXIILFLHQW� GLPHQVLRQV� WR� DOORZ�IRU� VKRULQJ�RU� VORSLQJ�RI� WKH� VLGHV� WR�SUHYHQWFDYLQJ�� 7KH�GHSWK�RI�WKH�SLW�DQG�WKH�W\SH�DQG�FRQGLWLRQ�RI�WKH�VRLO�JHQHUDOO\�GLFWDWH�WKH�W\SH�RI�VXSSRUWV\VWHP��VXFK�DV�VKHHWLQJ��VKHHW�SLOLQJ��EUDFLQJ��VKRULQJ��RU�FULEELQJ��ZKLFK�LV�QHHGHG��*HQHUDO�JXLGDQFHIRU�GHVLJQ�RI�D�VXSSRUW�V\VWHP�LV�SUHVHQWHG�E\�:LQWHUNRUQ�DQG�)DQJ��6KRULQJ�PXVW�EH�LQVWDOOHGSURJUHVVLYHO\� DV� WKH� SLW� LV� GHHSHQHG�� 7KH� VSDFH� EHWZHHQ� WKH�ZDOOV� RI� WKH� SLW� DQG� WKH� VXSSRUW� V\VWHPVKRXOG�EH�NHSW�WR�D�PLQLPXP��WKLV�VSDFH�PD\�EH�EDFNILOOHG�ZLWK�KD\�RU�H[FHOVLRU�

&DUH�PXVW�EH�H[HUFLVHG�LQ�H[FDYDWLQJ�WKH�DUHD�QHDU�WKH�LQWHQGHG�VDPSOH�RU�WHVW��7KH�OLPLWV�RI�WKH�VDPSOHVKRXOG�EH�RXWOLQHG�ZLWK�D�SLFN�DQG�VKRYHO��7KH�PDWHULDO�QHDU�WKH�SURSRVHG�VDPSOH�VKRXOG�EH�H[FDYDWHG�WRD�GHSWK�DERXW��WR��PP��WR�� LQ��EHORZ�WKH�ERWWRP�RI�WKH�LQWHQGHG�VDPSOH�� 7KH�H[FDYDWHG�]RQHVKRXOG� EH� WULPPHG� UHODWLYHO\� OHYHO� DQG� EH� VXIILFLHQWO\� ODUJH� WR� DOORZ� DGHTXDWH� ZRUNLQJ� VSDFH� IRUREWDLQLQJ�WKH�VDPSOH��$�SHGHVWDO�RI�VRLO��URXJKO\�WKH�VKDSH�RI�WKH�VDPSOH�DQG�DERXW��PP��LQ��ODUJHULQ�HDFK�GLPHQVLRQ��VKRXOG�EH�OHIW�XQGLVWXUEHG�IRU�ILQDO�WULPPLQJ�

([FDYDWHG�PDWHULDO�VKRXOG�EH�SODFHG�DW�D�KRUL]RQWDO�GLVWDQFH�IURP�HGJH�RI�WKH�SLW�QRW�OHVV�WKDQ�WKH�DQWLFL�SDWHG�PD[LPXP�GHSWK�RI�WKH�SLW��([FDYDWHG�PDWHULDO�VKRXOG�EH�SODFHG�LQ�RUGHUO\�IDVKLRQ�DURXQG�WKH�SLWWR� IDFLOLWDWH� ORJJLQJ� RI� WKH�PDWHULDO�� :RRGHQ� VWDNHV� FDQ� EH� XVHG� WR�PDUN� WKH� GHSWK� RI� WKH� H[FDYDWHGPDWHULDO�� 6DPSOHV� IRU�ZDWHU� FRQWHQW� GHWHUPLQDWLRQ� VKRXOG� EH� REWDLQHG� LQ� D� WLPHO\�PDQQHU� WR� SUHYHQW

(0��-DQ��

)��

GU\LQJ�RI�WKH�PDWHULDO��&DUH�VKRXOG�EH�WDNHQ�WR�HQVXUH�WKDW�SLWV�DUH�SURSHUO\�YHQWLODWHG�WR�DYRLG�FDUERQPRQR[LGH�RU�SRLVRQRXV�JDVHV��,I�QHFHVVDU\��D�YHQWLODWLRQ�IDQ�VKRXOG�EH�XVHG�WR�IRUFH�DLU�LQWR�WKH�SLW��WKHH[KDXVW�RI�DQ\�JDVROLQH�RU�GLHVHO�SRZHUHG�HTXLSPHQW�VKRXOG�EH�YHQWHG�DZD\�IURP�WKH�SLW�

E�� 7HVW�WUHQFKHV��7HVW�WUHQFKHV�FDQ�EH�XVHG�WR�SHUIRUP�WKH�VDPH�IXQFWLRQ�DV�WHVW�SLWV�EXW�RIIHU�RQHGLVWLQFW� DGYDQWDJH�� L�H�� WUHQFKHV�SURYLGH� D� FRQWLQXRXV� H[SRVXUH� RI� WKH� FRQWLQXLW\� DQG� FKDUDFWHU� RI� WKHVXEVXUIDFH� PDWHULDO� DORQJ� D� JLYHQ� OLQH� RU� VHFWLRQ�� 7HVW� WUHQFKHV� FDQ� EH� H[FDYDWHG� ZLWK� GLWFKLQJPDFKLQHV��EDFNKRHV��EXOOGR]HUV��RU�SDQV��GHSHQGLQJ�XSRQ�WKH�UHTXLUHG�VL]H�DQG�GHSWK�RI�WKH�WUHQFK��7KHPLQLPXP�ERWWRP�ZLGWK�RI�D�WUHQFK�LV�DERXW��WR��P��WR��IW��DOWKRXJK�WKLV�GLPHQVLRQ�LV�VRPHWLPHVJUHDWHU�EHFDXVH�RI�WKH�XVH�RI�SRZHU�HTXLSPHQW��VXFK�DV�EXOOGR]HUV�DQG�SDQV��$V�WKH�WUHQFK�LV�GHHSHQHG�WKH� VLGHV�PXVW�EH� VORSHG�� VWHS�FXW��RU� VKRUHG� WR�SUHYHQW� FDYLQJ�� VLPLODU� WR� WKH�SURFHGXUHV� WKDW�PXVW� EHXVHG� IRU� H[FDYDWLQJ� GHHS� WHVW� SLWV�� )LQDO� H[FDYDWLRQ� LQ� WKH� YLFLQLW\� RI� WKH� LQWHQGHG� VDPSOH� PXVW� EHSHUIRUPHG�FDUHIXOO\�E\�KDQG�

F� $FFHVVLEOH�ERULQJV��$OWKRXJK�DFFHVVLEOH�ERULQJV��LQFOXGLQJ�VKDIWV��WXQQHOV��GULIWV��DQG�DGLWV��DUHQRW�XVHG�H[WHQVLYHO\� WRGD\�EHFDXVH�RI�WKH�KLJK�FRVWV�RI�GULOOLQJ�RSHUDWLRQV��ODUJH�DFFHVVLEOH�ERULQJV�DUHVRPHWLPHV�UHTXLUHG�IRU�LQVSHFWLRQ��VDPSOLQJ��RU�WHVWLQJ�RI�VHOHFWHG�VWUDWD�E\�JHRWHFKQLFDO�SHUVRQQHO��7KHPLQLPXP�GLDPHWHU�IRU�WKH�ERULQJ�LV�DERXW��P��IW��DOWKRXJK�ODUJHU�GLPHQVLRQV�PD\�EH�QHFHVVDU\�WRSURYLGH� DPSOH�ZRUNLQJ� VSDFH�� 7KH� GHSWKV�RI� DFFHVVLEOH� ERULQJV�PD\�EH� FRQVLGHUDEO\�GHHSHU� WKDQ� WKHGHSWKV� RI� WHVW� SLWV� RU� WUHQFKHV�� %HFDXVH� RI� WKH� XQNQRZQ� FRQGLWLRQV� WKDW� PD\� EH� HQFRXQWHUHGXQGHUJURXQG��D�PHDQV� IRU�GHWHFWLQJ�SRLVRQRXV�JDV�VKRXOG�EH�SURYLGHG�EHIRUH�SHUVRQQHO�DUH�DOORZHG�WRHQWHU�WKH�DFFHVVLEOH�ERULQJ��$LU�VKRXOG�EH�GXFWHG�WR�WKH�ERWWRP�RI�WKH�KROH�

3RZHU�DXJHU�GULOOV�DUH�IUHTXHQWO\�XVHG�WR�DGYDQFH�ERUHKROHV�LQ�PRVW�VRLOV�DQG�VRIW�URFN��VHH�&KDSWHUV��DQG��6WHHO�WRRWK�VLQJOH�WXEH�FRUH�EDUUHOV��FDO\[�FRULQJ�HTXLSPHQW��DUH�VRPHWLPHV�XVHG�ZKHQ�KDUG��VWLII�RU�IUR]HQ�VRLO�RU�URFN�LV�HQFRXQWHUHG��$�VKRW�RU�FDO\[�KROH�LV�GULOOHG�ZLWK�D�ODUJH�KHDY\�ZDOOHG�VWHHO�WXEHWKDW� LV�HTXLSSHG�ZLWK�D�VORWWHG�ELW�PDGH�RI�PLOG�VWHHO�� 7KH� WRS�RI�WKH�VLQJOH�WXEH�EDUUHO� LV�DWWDFKHG�WRKHDY\�GULOO�SLSH�E\�D�WKLFN�FLUFXODU�KHDG�SODWH��7KH�KHDG�SODWH�KDV�D�KROH�DW�LWV�FHQWHU�IRU�WKH�SDVVDJH�RIGULOOLQJ�IOXLG��$�GHIOHFWRU�SODWH�ZKLFK�LV�XVHG�WR�GHIOHFW�WKH�VWHHO�VKRW�DQG�GULOOLQJ�IOXLG�WR�WKH�SHULSKHU\RI�WKH�VDPSOH�LV�ORFDWHG�LPPHGLDWHO\�EHORZ�WKH�KHDG�SODWH��$�VOXGJH�EDUUHO�LV�VRPHWLPHV�DWWDFKHG�DERYHWKH�FRUH�EDUUHO�WR�FDWFK�WKH�FXWWLQJV��7ZR�W\SHV�RI�ELWV�DUH�FRPPRQO\�XVHG��2QH�W\SH�RI�ELW�FRQVLVWV�RI�DVHFRQG�WXEH�ZKLFK�LV�ZHOGHG�WR�WKH�LQWHULRU�ZDOO�RI�WKH�ORZHU�SRUWLRQ�RI�WKH�FRUH�EDUUHO��7KH�RWKHU�W\SH�RIELW�FRQVLVWV�RI�D�KHDY\�WKLFN�ZDOOHG�SLSH�ZKLFK�LV�ZHOGHG�WR�WKH�EDVH�RI�WKH�EDUUHO��6ORWV�DUH�FXW�LQWR�WKHELW�WR�IDFLOLWDWH�WKH�PRYHPHQW�RI�VKRW�WR�WKH�ERWWRP�DQG�WKH�RXWVLGH�RI�WKH�ELW��7KH�WKLFNQHVV�RI�WKH�VKRWELW�PD\�YDU\�IURP�DERXW��WR��FP��WR��LQ��$�FRUH�FDWFKHU�LV�QRW�SURYLGHG��7KH�FRUH�FDQ�EHUHFRYHUHG�E\�D�OLIWLQJ�KRRN�ZKLFK�LV�LQVHUWHG�LQWR�WKH�VDPSOH�WKURXJK�D�KROH�WKDW�KDV�EHHQ�GULOOHG�LQ�WKHFHQWHU�RI�WKH�FRUH��7KH�FRUH�FDQ�DOVR�EH�UHFRYHUHG�E\�XVLQJ�D�VSHFLDO�FRUH�OLIWHU�ZKLFK�KDV�EHHQ�DWWDFKHGWR�WKH�FRUH�EDUUHO��WKH�FRUH�OLIWHU�ZRUNV�VLPLODUO\�WR�D�FRQYHQWLRQDO�FRUH�FDWFKHU��7KH�FRUH�EDUUHO�PD\�DOVRKDYH�SURYLVLRQV�IRU�SODFHPHQW�RI�SRZGHU�FKDUJHV�DQG�FRQGXLW�IRU�EODVWLQJ�ZLUHV�ZKLFK�PD\�EH�QHFHVVDU\WR�VHSDUDWH�WKH�FRUH�IURP�WKH�IRUPDWLRQ�

'XULQJ�GULOOLQJ�RSHUDWLRQV��YHU\�KDUG�VWHHO�VKRW�DUH�FDUULHG�E\�WKH�ZDVK�ZDWHU�WKURXJK�WKH�DQQXOXV�IRUPHGE\�WKH�FRUH�DQG�WKH�FRUH�EDUUHO�WR� WKH�VORWWHG�ELW�� $V�WKH�EDUUHO�LV� URWDWHG��VKRW�LV�ZHGJHG�EHQHDWK�DQGDURXQG�WKH�ELW�DQG�FUXVKHG�LQWR�DEUDVLYH�SDUWLFOHV��6RPH�RI�WKH�VKRW�PD\�EHFRPH�HPEHGGHG�LQ�WKH�ELW�ZKLFK�HQKDQFHV�WKH�FXWWLQJ�DFWLRQ��7KH�UDWH�RI�IHHGLQJ�WKH�VKRW�DQG�WKH�IORZ�RI�ZDWHU�LQ�WKH�ERUHKROH�DUHFULWLFDO�IDFWRUV��,I�WRR�PXFK�VKRW�LV�LQWURGXFHG��WKH�ELW�ZLOO�ULGH�RQ�WKH�VKRW��,I�WRR�OLWWOH�VKRW�LV�XVHG��WKHDGYDQFHPHQW� RI� WKH� ERUHKROH� LV� LQHIILFLHQW�� /LNHZLVH�� WRR�PXFK� ZDWHU� FLUFXODWLRQ� ZLOO� FDUU\� WKH� VKRWDZD\�IURP�WKH�ELW��ZKHUHDV�WRR�OLWWOH�FLUFXODWLRQ�ZLOO�QRW�UHPRYH�WKH�FXWWLQJV�HIIHFWLYHO\��7KH�FXWWLQJV�DUHFDXJKW�E\�WKH�VOXGJH�EDUUHO�ZKLFK�LV�ORFDWHG�DERYH�WKH�FRUHEDUUHO�DV�WKH\�GURS�IURP�VXVSHQVLRQ�

(0��-DQ��

)��

&DVLQJ�PXVW�EH�LQVWDOOHG�LQ�ERUHKROHV�PRUH�WKDQ��P��IW��GHHS�EHIRUH�DQ\RQH�LV�DOORZHG�DFFHVV�WR�WKHKROH��(0��&RUUXJDWHG�VWHHO�SLSH�LV�DQ�HFRQRPLFDO��OLJKWZHLJKW�FDVLQJ�IRU�UHODWLYHO\�VWDEOH�VRLOVDERYH� WKH�ZDWHU� WDEOH�� LQ�GHHS�ERULQJV� RU� LQ� VRIW�PDWHULDOV�� KHDY\� VWHHO� FDVLQJ�PD\�EH� UHTXLUHG�� 7KHERUHKROH�FDQ�EH�ORJJHG�IURP�FXWWLQJV�DV�WKH�KROH�LV�DGYDQFHG�RU�IURP�VDPSOHV�RU�YLVXDO�H[DPLQDWLRQ�RIWKH�ZDOOV�DQG�ERWWRP�RI�WKH�ERUHKROH�DW�UHJXODU�LQWHUYDOV��:LQGRZV�PD\�EH�FXW�LQ�WKH�FDVLQJ�IRU�LQVSHF�WLRQ�� VDPSOLQJ�� RU� WHVWLQJ� RI� WKH� PDWHULDOV� DORQJ� WKH� VLGHZDOOV� RI� WKH� KROH� DV� UHTXLUHG� E\� WKH� WHVWLQJSURJUDP�

$Q�H[SORUDWRU\�WXQQHO�LV�XVXDOO\�UHFWDQJXODU�VKDSHG��PLQLPXP�GLPHQVLRQV�DUH�W\SLFDOO\�RI�WKH�RUGHU�RI�� P� �� IW�� ZLGH� E\� �� P� �� IW�� KLJK�� DOWKRXJK� WKHVH� GLPHQVLRQV� PD\� EH� LQFUHDVHG� WR� PHHW� WKHUHTXLUHPHQWV�RI�SRZHU�H[FDYDWLRQ�HTXLSPHQW��7KH�H[FDYDWLRQ�RI�WXQQHOV��ZKLFK�LV�XVXDOO\�YHU\�VORZ�DQGH[SHQVLYH��PD\�EH�FRQGXFWHG�E\�PXFNLQJ�PDFKLQHV�RU�E\�GULOOLQJ�DQG�EODVWLQJ�� ,I�GULOOLQJ�DQG�EODVWLQJDUH�XVHG�WR�DGYDQFH�WKH�WXQQHO��WKH�GLVWXUEHG�PDWHULDO�FDXVHG�E\�EODVWLQJ�VKRXOG�EH�FDUHIXOO\�UHPRYHG�WRHQVXUH�WKDW�XQGLVWXUEHG�VDPSOHV�DUH�REWDLQHG��7KH�GHVLJQ�RI�WKH�VXSSRUW�V\VWHP�IRU�WKH�WXQQHO�VKRXOG�EHPDGH�E\�D�TXDOLILHG��H[SHULHQFHG�SURIHVVLRQDO�

��6DPSOLQJ�DQG�7HVWLQJ

7KH� IROORZLQJ�SDUDJUDSKV�GHVFULEH�YDULRXV�PHWKRGV�RI� REWDLQLQJ�VRLO� VDPSOHV� IURP�DFFHVVLEOH� H[FDYD�WLRQV��LQFOXGLQJ�WHVW�SLWV��WUHQFKHV��DQG�DFFHVVLEOH�ERULQJV�

D� 8QGLVWXUEHG� VDPSOHV�� 8QGLVWXUEHG� VDPSOHV� DUH� WDNHQ� WR� SUHVHUYH� DV� FORVHO\� DV� SRVVLEOH� WKHLQ�SODFH�GHQVLW\��VWUHVV��DQG�IDEULF�FKDUDFWHULVWLFV�RI�WKH�VRLO��$OWKRXJK�H[FDYDWLQJ�D�FROXPQ�RI�VRLO�PD\UHOLHYH�LQ�VLWX�VWUHVVHV�WR�VRPH�GHJUHH��LW�KDV�EHHQ�GHPRQVWUDWHG�WKDW�KDQG�VDPSOLQJ�RI�FHUWDLQ�VRLOV��VXFKDV� VWLII� DQG� EULWWOH� VRLOV�� SDUWLDOO\� FHPHQWHG� VRLOV�� DQG� VRLOV� FRQWDLQLQJ� FRDUVH� JUDYHO� DQG� FREEOHV�� LVSHUKDSV�WKH�EHVW�DQG�VRPHWLPHV�WKH�RQO\�PHWKRG�IRU�REWDLQLQJ�DQ\�W\SH�RI�UHSUHVHQWDWLYH�VDPSOH��/DUJHEORFN�VDPSOHV�RI�WKHVH�PDWHULDOV�DUH�VXLWDEOH�IRU�FHUWDLQ�ODERUDWRU\�WHVWV��DOWKRXJK�VPDOOHU�VDPSOHV�VKRXOGEH�XVHG�ZKHQHYHU�WKH�VL]H�RI�WKH�VDPSOH�GRHV�QRW�DGYHUVHO\�DIIHFW�WKH�WHVW�UHVXOWV��'XULQJ�KDQGOLQJ�DQGVKLSSLQJ�RI�XQGLVWXUEHG�VDPSOHV��LW�LV�LPSRUWDQW�WR�PLQLPL]H�DOO�VRXUFHV�RI�GLVWXUEDQFH�LQFOXGLQJ�YLEUD�WLRQ��H[FHVVLYH�WHPSHUDWXUH�FKDQJHV��DQG�FKDQJHV�RI�ZDWHU�FRQWHQW�

��&\OLQGHU�ZLWK�DGYDQFHG�WULPPLQJ��%HIRUH�VDPSOLQJ�RSHUDWLRQV�DUH�EHJXQ��SUHSDUH�WKH�VXUIDFH�RIWKH�VRLO�WR�EH�VDPSOHG�DV�GHVFULEHG�LQ�SDUDJUDSK��$IWHU�D�SHGHVWDO�RI�VRLO�KDV�EHHQ�H[FDYDWHG��FHQWHUWKH�FXWWLQJ�HGJH�RI�WKH�VDPSOLQJ�F\OLQGHU�RQ�WRS�RI�WKH�SHGHVWDO��7R�REWDLQ�D�VDPSOH��WULP�WKH�VRLO�IRU�DVKRUW�GLVWDQFH�EHORZ�WKH�FXWWLQJ�HGJH�RI�WKH�F\OLQGHU�DQG�WKHQ�DGYDQFH�WKH�F\OLQGHU�E\�DSSO\LQJ�D�VOLJKWGRZQZDUG�SUHVVXUH�� $OWHUQDWLQJ� WULPPLQJ�DQG�DGYDQFLQJ�RI�WKH�F\OLQGHU�VKRXOG�EH�FRQWLQXHG�XQWLO�WKHWRS� RI� WKH� VDPSOH� H[WHQGV� DSSUR[LPDWHO\� ��PP� �� LQ�� DERYH� WKH� WRS� RI� WKH� F\OLQGHU�� 'XULQJ� WKHWULPPLQJ�DQG�VDPSOLQJ�SURFHGXUH��WKH�VDPSOH�VKRXOG�EH�WULPPHG�DV�FORVHO\�DV�SRVVLEOH�WR�LWV�ILQDO�GLDPH�WHU� ZLWKRXW� DFWXDOO\� FXWWLQJ� LQWR� WKH� LQWHQGHG� VDPSOH�� WKH� ILQDO� FXWWLQJ� RI� WKH� VDPSOH� LV� PDGH� E\� WKHDGYDQFHPHQW� RI� WKH� FXWWLQJ� HGJH� RI� WKH� F\OLQGHU� ZLWKRXW� ZLJJOLQJ� RU� FKDQJH� LQ� GLUHFWLRQ�� :KHQVXIILFLHQW�PDWHULDO�KDV�EHHQ�H[WHQGHG�DERYH� WKH�WRS�RI�WKH�F\OLQGHU��WKH�VDPSOH�VKRXOG�EH�FXW�IURP�WKHSHGHVWDO�RI�VRLO�EHORZ�WKH�ERWWRP�RI�WKH�F\OLQGHU��WULPPHG�IOXVK�DW�ERWK�HQGV�RI�WKH�F\OLQGHU��DQG�VHDOHGIRU�VKLSPHQW�WR�WKH�ODERUDWRU\�

7KH� *(,� VDPSOHU� �)LJXUH� �� LQFRUSRUDWHV� WKH� DGYDQFHG� WULPPLQJ� WHFKQLTXH� IRU� REWDLQLQJ� D� VRLOVDPSOH��7KH�XQLTXH�IHDWXUH�RI�WKH�*(,�GHYLFH�LV�D�WULSRG�KROGHU�WKDW�PLQLPL]HV�ZLJJOLQJ�RU�FKDQJH�RIGLUHFWLRQ�GXULQJ�WKH�DGYDQFHPHQW�RI� WKH� WXEH�� 0DUFXVRQ�DQG�)UDQNOLQ� ��UHSRUWHG� WKDW�YHU\�KLJK�TXDOLW\�VDPSOHV�RI�GHQVH�6DYDQQDK�5LYHU�VDQG�ZHUH�REWDLQHG�E\�XVLQJ�WKH�*(,�VDPSOLQJ�DSSDUDWXV��7KHWHVW� GDWD� LQGLFDWHG� WKDW� DOWKRXJK�RQO\�PRGHVW� GLIIHUHQFHV� LQ� VDPSOH� GHQVLWLHV� H[LVWHG�EHWZHHQ� VDPSOHV

(0��-DQ��

)��

REWDLQHG�ZLWK�WKH�*(,�VDPSOHU�DQG�D�IL[HG�SLVWRQ�VDPSOHU��D�GUDPDWLF�GLIIHUHQFH�LQ�UHVLVWDQFH�WR�F\FOLFORDGLQJ�ZDV�REVHUYHG��0DUFXVRQ�DQG�)UDQNOLQ�FRQFOXGHG�WKH�GLIIHUHQFHV�RI�F\FOLF�VWUHQJWKV�ZHUH�GXH�WREHWWHU�SUHVHUYDWLRQ�RI�WKH�LQ�VLWX�VWUXFWXUH�

��%ORFN�RU�FXEH�VDPSOHV��7R�REWDLQ�D�FXEH�RU�EORFN�VDPSOH��SUHSDUH�WKH�VXUIDFH�RI�WKH�VRLO�WR�EHVDPSOHG� DV� GHVFULEHG� LQ� SDUDJUDSK� �� ([FDYDWH� D� SHGHVWDO� RI� VRLO� WKDW� LV� VOLJKWO\� ODUJHU� WKDQ� WKHGLPHQVLRQV�RI�WKH�ER[�RU�FRQWDLQHU� LQWR�ZKLFK� WKH�VDPSOH� LV� WR�EH�SODFHG�� $�NQLIH�� VKRYHO�� WURZHO��RURWKHU�VXLWDEOH�KDQG�WRROV�VKRXOG�EH�XVHG�WR�FDUHIXOO\�WULP�WKH�VDPSOH�WR�DERXW��PP��LQ��VPDOOHU�WKDQWKH� LQVLGH�GLPHQVLRQV�RI� WKH�ER[�� $V� WKH�VDPSOH� LV� WULPPHG� WR� LWV� ILQDO�GLPHQVLRQV�� FRYHU� WKH� IUHVKO\H[SRVHG�IDFHV�RI�WKH�VDPSOH�ZLWK�FKHHVHFORWK�DQG�SDLQW�ZLWK�PHOWHG�ZD[�WR�SUHYHQW�GU\LQJ�DQG�WR�VXSSRUWWKH� FROXPQ� RI� VRLO�� $IWHU� WKH� EORFN� RI� VRLO� KDV� EHHQ� WULPPHG� EXW� EHIRUH� LW� KDV� EHHQ� FXW� IURP� WKHXQGHUO\LQJ�PDWHULDO��SODFH�DGGLWLRQDO�OD\HUV�RI�FKHHVHFORWK�DQG�ZD[�WR�IRUP�D�PLQLPXP�RI�WKUHH�OD\HUV��DVSUHVHQWHG� LQ�$670�'�� $670�� $��PL[WXUH�RI�SDUDIILQ�DQG�PLFURFU\VWDOOLQH�ZD[� LVEHWWHU�WKDQ�SDUDIILQ�IRU�VHDOLQJ�WKH�VDPSOH��$�VWXUG\�ER[�VKRXOG�EH�FHQWHUHG�RYHU�WKH�VDPSOH�DQG�VHDWHG�/RRVH� VRLO� PD\�EH� OLJKWO\� WDPSHG� DURXQG� WKH� RXWVLGH� RI� WKH� ERWWRP� RI� WKH� ER[� WR� DOLJQ� WKH� ER[�ZLWKUHVSHFW�WR�WKH�VRLO�VDPSOH�DQG�WR�DOORZ�SDFNLQJ�PDWHULDO�VXFK�DV�VW\URIRDP��VDZGXVW��RU�VLPLODU�PDWHULDOWR�EH�SODFHG�LQ�WKH�YRLGV�EHWZHHQ�WKH�ER[�DQG�WKH�VRLO�VDPSOH��+RW�ZD[�VKRXOG�QRW�EH�SRXUHG�RYHU�WKHVDPSOH�� $IWHU�WKH�SDFNLQJ�PDWHULDO�KDV�EHHQ�SODFHG�DURXQG�DQG�RQ�WRS�RI�WKH�VDPSOH�DQG�WKH�WRS�FRYHUIRU�WKH�ER[�KDV�EHHQ�DWWDFKHG��FXW�RU�VKHDU�WKH�EDVH�RI�WKH�VDPSOH�IURP�WKH�SDUHQW�VRLO�DQG�WXUQ�WKH�VDPSOHRYHU�� $IWHU� WKH� VDPSOH�KDV� EHHQ� WULPPHG� WR� DERXW��PP�� LQ�� LQVLGH� WKH�ERWWRP�RI� WKH�ER[�� WKHERWWRP�RI�WKH�VDPSOH�VKRXOG�EH�FRYHUHG�ZLWK�WKUHH�DOWHUQDWLQJ�OD\HUV�RI�FKHHVHFORWK�DQG�ZD[��7KH�VSDFHEHWZHHQ� WKH� ERWWRP�RI� WKH� VDPSOH� DQG� WKH� ERWWRP�RI� WKH� ER[� VKRXOG�EH� ILOOHG�ZLWK�D� VXLWDEOH� SDFNLQJPDWHULDO�EHIRUH�WKH�ERWWRP�FRYHU�LV�DWWDFKHG��7KH�WRS�DQG�ERWWRP�RI�WKH�ER[�VKRXOG�EH�DWWDFKHG�WR� WKHVLGHV�RI�WKH�ER[�E\�SODFLQJ�VFUHZV�LQ�SUHGULOOHG�KROHV��7KH�WRS�DQG�ERWWRP�VKRXOG�QHYHU�EH�DWWDFKHG�WRWKH�VLGHV�RI�WKH�ER[�ZLWK�D�KDPPHU�DQG�QDLOV�EHFDXVH�WKH�YLEUDWLRQV�FDXVHG�E\�KDPPHU�EORZV�PD\�FDXVHVHYHUH�GLVWXUEDQFH�WR� WKH�VDPSOH�� )LJXUH��VKRZV�EORFN�VDPSOHV� LQ�YDULRXV� VWDJHV�RI� WULPPLQJ�DQGVDPSOLQJ�

7LHGHPDQQ� DQG� 6RUHQVHQ� �� VXJJHVWHG� DQ� DOWHUQDWLYH�PHWKRG� IRU� WULPPLQJ� EORFN� VDPSOHV�� 7KH\UHSRUWHG�WKDW�VRLOV�VDPSOHG�VXFFHVVIXOO\�XVLQJ�WKH�FKDLQ�VDZ�PHWKRG�LQFOXGHG�D�ZHDWKHUHG�VKDOH�EHWZHHQOD\HUV�RI�VRXQG�VDQGVWRQH�DQG�D�KLJKO\�VOLFNHQVLGHG��GHVLFFDWHG�IDW�FOD\��WKH\�VWDWHG�WKDW�LW�KDG�QRW�EHHQSRVVLEOH� WR� VDPSOH� HLWKHU� RI� WKHVH� VRLOV� XVLQJ� FRQYHQWLRQDO� KDQG�WULPPLQJ�PHWKRGV�� 7LHGHPDQQ� DQG6RUHQVHQ� DOVR� UHSRUWHG� WKDW� WKH� FKDLQ�VDZ� PHWKRG� ZDV� OHVV� WHGLRXV� DQG� OHVV� WLPH�FRQVXPLQJ� WKDQFRQYHQWLRQDO�KDQG�WULPPLQJ�PHWKRGV��7KH�FKDLQ�VDZ�WHFKQLTXH�RI�WULPPLQJ�VDPSOHV�ZDV�UHSRUWHG�WR�EHWKUHH�WR�IRXU�WLPHV�IDVWHU�WKDQ�FRQYHQWLRQDO�KDQG�WULPPLQJ�WHFKQLTXHV��,W�ZDV�VWDWHG�WKDW�WKH�FKDLQ�VDZZDV� RI� D� VWDQGDUG� GHVLJQ�H[FHSW� WKDW� FDUELGH� WLSV� KDG� EHHQ�EUD]HG� WR� WKH� FXWWLQJ� WHHWK� WR� HQKDQFH� WKHFXWWLQJ�RI�WKH�VRLO�VDPSOH�

%ORFN� VDPSOHV� WR� EH� WHVWHG� DW� WKH� VLWH� VKRXOG� EH� FXW� WR� VL]HV� GLFWDWHG� E\� WKH� LQGLYLGXDO� WHVWV� WR� EHSHUIRUPHG��6DPSOHV�WR�EH�XVHG�IRU�ZDWHU�FRQWHQW�GHWHUPLQDWLRQ�PD\�EH�EURNHQ�IURP�WKH�FRUQHU�RI�ODUJHEORFN� VDPSOHV�� 6DPSOHV� WR� EH� WHVWHG� DW� WKH� VLWH�PD\� EH� FRDWHG� ZLWK� D� WKLQ� EUXVK� FRDWLQJ� RI�ZD[� RUUHLQIRUFHG� ZLWK� FKHHVHFORWK� DQG� ZD[�� DV� QHFHVVDU\�� WR� SUHYHQW� WKH� VDPSOH� IURP� GU\LQJ� RU� WR� SUHYHQWGDPDJH�FDXVHG�E\�H[FHVVLYH�KDQGOLQJ�

�� 3XVK� VDPSOHUV�� 6HYHUDO� KDQG�RSHUDWHG� RSHQ�� RU� SLVWRQ�VDPSOHUV� DUH� DYDLODEOH� IRU� REWDLQLQJXQGLVWXUEHG�VDPSOHV�IURP�WKH�JURXQG�VXUIDFH�DV�ZHOO�DV�IURP�WKH�ZDOOV�DQG�ERWWRP�RI�SLWV�� WUHQFKHV��RUDFFHVVLEOH�ERULQJV�� 7KH�KDQG�RSHUDWHG�RSHQ�VDPSOHU�FRQVLVWV�RI�D�WKLQ�ZDOO� VDPSOLQJ�WXEH�DIIL[HG�WR�DSXVK�URG�DQG�KDQGOH��7KH�SLVWRQ�VDPSOHU�LV�VLPLODU�WR�WKH�RSHQ�VDPSOHU�H[FHSW�D�SLVWRQ�LV�LQFRUSRUDWHGLQWR�WKH�GHVLJQ�RI�WKH�GHYLFH��7KH�SURFHGXUHV�IRU�RSHUDWLQJ�WKHVH�VDPSOHUV�DUH�VLPLODU�WR�WKH�SURFHGXUHV

(0��-DQ��

)��

IRU� RSHQ� VDPSOHUV� RU� SLVWRQ� VDPSOHUV� LQ� URWDU\� GULOOLQJ� RSHUDWLRQV�� DV� GHVFULEHG� LQ�&KDSWHU� �� +DQG�RSHUDWHG�SXVK�VDPSOHUV�PD\�EH�XVHG�WR�REWDLQ�VDPSOHV�LQ�VRIW�WR�PHGLXP�FOD\V��VLOWV��DQG�SHDW�GHSRVLWV�DWGHSWKV�RI��WR��P��WR��IW��RU�PRUH�

E� 'LVWXUEHG� VDPSOHV�� 'LVWXUEHG�VDPSOHV�PD\�EH�REWDLQHG� IURP� WHVW�SLWV�� WUHQFKHV�� RU�DFFHVVLEOHERULQJV�� 'LVWXUEHG��UHSUHVHQWDWLYH�VDPSOHV�RI�VRLO�DUH�VDWLVIDFWRU\�IRU�FHUWDLQ�ODERUDWRU\�WHVWV�LQFOXGLQJFODVVLILFDWLRQ��ZDWHU�FRQWHQW�GHWHUPLQDWLRQ��DQG�SK\VLFDO�SURSHUWLHV�WHVWV��)RU�FHUWDLQ�VRLOV�VXFK�DV�YHU\VRIW� FOD\V� RU� JUDYHOO\� VRLOV�� XQGLVWXUEHG� VDPSOHV�PD\�EH� LPSRVVLEOH� WR�REWDLQ�� 3URYLGHG� WKDW� WKH� XQLWZHLJKW�DQG�PRLVWXUH�FRQWHQW�RI�WKH�VRLO�LQ�SODFH�FDQ�EH�HVWLPDWHG�RU�DUH�NQRZQ��LW�PD\�EH�SHUPLVVLEOH�WRSHUIRUP�FHUWDLQ�ODERUDWRU\�WHVWV�RQ�VSHFLPHQV�UHPROGHG�IURP�VDPSOHV�RI�GLVWXUEHG�PDWHULDO�

7R� VDPSOH� D� SDUWLFXODU� VWUDWXP�� UHPRYH� DOO� ZHDWKHUHG� DQG� PL[HG� VRLO� IURP� WKH� H[SRVHG� IDFH� RI� WKHH[FDYDWLRQ��3ODFH�D�ODUJH�WDUSDXOLQ�RU�VKHHW�RI�SODVWLF�RQ�WKH�ERWWRP�RI�WKH�WHVW�SLW�RU�DFFHVVLEOH�ERULQJ�:LWK�D�NQLIH�RU�VKRYHO��WUHQFK�D�YHUWLFDO�FXW�RI�XQLIRUP�FURVV�VHFWLRQ�DORQJ�WKH�IXOO�OHQJWK�RI�WKH�KRUL]RQRU�VWUDWXP�WR�EH�VDPSOHG��7KH�ZLGWK�DQG�GHSWK�RI�WKH�FXW�VKRXOG�EH�DW�OHDVW�VL[�WLPHV�WKH�GLDPHWHU�RI�WKHODUJHVW�VRLO�SDUWLFOH�VDPSOHG�� &ROOHFW�WKH�VRLO�RQ�WKH�WDUSDXOLQ��$OO�PDWHULDO�H[FDYDWHG�IURP�WKH�WUHQFKVKRXOG�EH�SODFHG� LQ�D�ODUJH�QRQFRUURVLYH�FRQWDLQHU�RU�EDJ�DQG�SUHVHUYHG�DV�D�UHSUHVHQWDWLYH�VDPSOH�IRUWKDW�VWUDWXP��$Q�DOWHUQDWLYH�VDPSOLQJ�SURFHGXUH�FRQVLVWV�RI�REWDLQLQJ�D�FRPSRVLWH�VDPSOH�RI�WZR�RU�PRUHVRLO�VWUDWD��LI�VDPSOHV�IURP�FHUWDLQ�VWUDWD�DUH�RPLWWHG��DQ�H[SODQDWLRQ�PXVW�EH�UHSRUWHG�XQGHU�³5HPDUNV´RQ� WKH� ORJ� IRUP�� 6DPSOHV� REWDLQHG� IRU�GHWHUPLQDWLRQ� RI�ZDWHU�FRQWHQW�PD\�EH�SODFHG� LQ�SLQW� JODVV� RUSODVWLF�MDUV�ZLWK�DLUWLJKW�FRYHUV��WKH�VDPSOH�VKRXOG�ILOO�WKH�FRQWDLQHU�

7R�REWDLQ�VDPSOHV�IURP�TXDUULHV��OHGJHV��RU�ULYHUEDQN�VDQGV�RU�JUDYHOV��XVH�WKH�SURFHGXUHV�IRU�REWDLQLQJGLVWXUEHG� VDPSOHV� ZKLFK� ZHUH� GLVFXVVHG� LQ� WKH� SUHFHGLQJ� SDUDJUDSKV�� &KDQQHO� WKH� IDFH� YHUWLFDOO\� WRREWDLQ� VDPSOHV� UHSUHVHQWDWLYH� RI� WKH� IRUPDWLRQ�� 7DNH� FDUH� WR� HQVXUH� WKDW� RYHUEXUGHQ� RU� ZHDWKHUHGPDWHULDO�LV�QRW�LQFOXGHG�DV�D�SRUWLRQ�RI�WKH�VDPSOH�

��3UHVHUYDWLRQ�RI�6DPSOHV�DQG�7HVW�5HFRUGV

D� 3UHVHUYDWLRQ�� VKLSPHQW�� DQG� VWRUDJH� RI� VDPSOHV�� 8QGLVWXUEHG� VDPSOHV� WR� EH� WHVWHG� LQ� WKHODERUDWRU\�PXVW�EH�SDFNDJHG� WR�SUHYHQW�DQ\�GLVWXUEDQFH� WKDW�ZLOO�DIIHFW� WHVW�UHVXOWV�� %ORFN�VDPSOHV�RUVDPSOHV�REWDLQHG�E\� WKH�WULPPLQJ�DQG�DGYDQFHPHQW� WHFKQLTXH�PXVW�EH�PDUNHG�DQG�VWRUHG�LQ�D�YHUWLFDORULHQWDWLRQ��'LVWXUEHG�VDPSOHV�VKRXOG�EH�SODFHG�LQ�D�EDJ�RU�D�FRUURVLRQ�UHVLVWDQW�FRQWDLQHU�DQG�SUHVHUYHGDV�D�UHSUHVHQWDWLYH�VDPSOH�IRU�WKH�SDUWLFXODU�VWUDWXP�RI�PDWHULDO��,I�D�FRQWDLQHU�LV�XVHG��LGHQWLILFDWLRQ�RIWKH�FRQWHQWV�VKRXOG�EH�PDUNHG�GLUHFWO\�RQ�WKH�H[WHULRU�RI�WKH�FRQWDLQHU��GR�QRW�PDUN�WKH�OLGV�RI�FRQWDLQHUVEHFDXVH� WKH\� PD\� EH� LQDGYHUWHQWO\� LQWHUFKDQJHG�� ,I� WKH� QDWXUDO� ZDWHU� FRQWHQW� RI� WKH� VDPSOH� LV� WR� EHSUHVHUYHG��WKH�FRQWDLQHU�PXVW�EH�ZDWHUSURRI��)RU�VKLSPHQW��HDFK�VDPSOH�VKRXOG�EH�SDFNDJHG�WR�SUHYHQWGDPDJH�� VXFK�DV�H[FHVVLYH�YLEUDWLRQV�� ORVV�RU�PL[LQJ�RI�PDWHULDOV�� WHPSHUDWXUH�H[WUHPHV��RU�FKDQJH�RIZDWHU�FRQWHQW��ZKLFK�FRXOG�DIIHFW�WHVW�UHVXOWV��$GGLWLRQDO�GHWDLOV�UHJDUGLQJ�WKH�SUHVHUYDWLRQ�RI�PDWHULDOVIRU�VKLSPHQW�DQG�VWRUDJH�DUH�SUHVHQWHG�LQ�&KDSWHU��DQG�LQ�$670�'��$670��

E� 5HFRUGV��$OWKRXJK�WKHUH�LV�QR�VLQJOH�SURFHGXUH�IRU�UHFRUGLQJ�WKH�GDWD��WKH�UHFRUG�VKRXOG�UHIOHFWDOO�GHWDLOV�RI�WKH�LQYHVWLJDWLRQ��3HUWLQHQW�GDWD��LQFOXGLQJ�WKH�QDPH�RI�WKH�SURMHFW��MRE�RU�FRQWUDFW�QXPEHU�VDPSOHV� REWDLQHG�� WHVWV� FRQGXFWHG�� HWF�� PXVW� EH� UHFRUGHG� RQ� GDWD� VKHHWV�� 7KH� PHWKRGV� XVHG� IRUH[FDYDWLRQ�DORQJ�ZLWK�D�GHVFULSWLRQ�RI�WKH�HTXLSPHQW��DQ�REVHUYDWLRQ�RI�SURFHGXUHV��DQG�DQ�HYDOXDWLRQ�RIWKH�HIIHFWLYHQHVV�RI�H[FDYDWLRQ�SURFHGXUHV�DUH�QHFHVVDU\�WR�SHUPLW�WKH�HYDOXDWLRQ�RI�WKH�RYHUDOO�SURJUDP�7KH� ORFDWLRQ� RU� SRVLWLRQ� RI� HDFK� ERUHKROH�� WHVW� SLW�� WUHQFK�� VDPSOH�� RU� WHVW� VKRXOG� EH� FOHDUO\� ORFDWHGKRUL]RQWDOO\� DQG� YHUWLFDOO\� ZLWK� UHIHUHQFH� WR� DQ� HVWDEOLVKHG� FRRUGLQDWH� V\VWHP�� GDWXP�� RU� SHUPDQHQWPRQXPHQW�� 7KH�GHSWK�RI�HDFK�PDMRU�FKDQJH�LQ�VRLO�FKDUDFWHU�DQG�D�GHWDLOHG�GHVFULSWLRQ�RI�HDFK�PDMRU

(0��-DQ��

)��

VWUDWXP� VKRXOG� EH� UHFRUGHG�� %H� VXUH� WR� QRWH� VWUDWLILFDWLRQV�� VWUXFWXUDO� DQG� WH[WXUDO� IHDWXUHV�� FRORU�KDUGQHVV��GHQVLW\��JUDLQ�VL]H��SHUFHQW�E\�YROXPH�RI�FREEOHV�DQG�ERXOGHUV��HWF��RI� WKH�VWUDWXP�� ,QFOXGHPHWKRGV�RI�VWDELOL]LQJ�WKH�H[FDYDWLRQ��0DSV�RU�VNHWFKHV�ZLWK�DFFXUDWH�GHVFULSWLRQV�DQG�SKRWRJUDSKV�DUHH[WUHPHO\�KHOSIXO�IRU�GRFXPHQWLQJ�WKH�UHFRUG�RI�WKH�VLWH�LQYHVWLJDWLRQ��(DFK�VRLO�VDPSOH�RU�WHVW�VKRXOG�EHQXPEHUHG�� 7KH� QXPEHU� DQG� W\SH� RI� VDPSOH� FRQWDLQHUV� VKRXOG� DOVR� EH� VKRZQ� RQ� WKH� DSSURSULDWH� GDWDVKHHW�V�� ,I� ILHOG� WHVWV�DUH�SHUIRUPHG��D�GDWD�VKHHW� IRU�HDFK� WHVW�PXVW�EH�SUHSDUHG�JLYLQJ�SHUWLQHQW�GDWDVXFK�DV�ZHLJKW��YROXPH��GHQVLW\��DQG�ZDWHU�FRQWHQW��$OO�GDWD�VKHHWV�VKRXOG�EH�GDWHG�DQG�VLJQHG�E\� WKHFUHZ� FKLHI� RU� WHFKQLFLDQ� SHUIRUPLQJ� WKH� RSHUDWLRQ�� $GGLWLRQDO� JXLGDQFH� IRU� WKH� SUHSDUDWLRQ� RI� ILHOGUHFRUGV�LV�JLYHQ�LQ�&KDSWHU��

��*HQHUDO�6DIHW\�&RQVLGHUDWLRQV

6HYHUDO� VDIHW\� FRQVLGHUDWLRQV� ZLWK� UHVSHFW� WR� WKH� LQVSHFWLRQ� DQG� VDPSOLQJ� RU� WHVWLQJ� RI� IRUPDWLRQVH[SRVHG�E\�H[FDYDWLRQV�IRU�WHVW�SLWV��WUHQFKHV��DQG�DFFHVVLEOH�ERUHKROHV�RU�WXQQHOV�VKRXOG�EH�DGGUHVVHG�$OWKRXJK�WKH�DFFRPSDQ\LQJ�OLVW�GRHV�QRW�DGGUHVV�HYHU\�VLWXDWLRQ��WKH�VXJJHVWLRQV�FDQ�EH�XVHG�DV�JHQHUDOJXLGDQFH�WR�GHYHORS�D�FKHFNOLVW�RI�VDIHW\�FRQVLGHUDWLRQV�IRU�HDFK�VLWH�LQYHVWLJDWLRQ�

3ULRU�WR�FRQGXFWLQJ�DQ\�H[FDYDWLRQ��XQGHUJURXQG�LQVWDOODWLRQV�VXFK�DV�JDV��WHOHSKRQH��ZDWHU��DQGHOHFWULF�OLQHV�PXVW�EH�ORFDWHG�DQG�SODLQO\�VWDNHG�

6KDOORZ��L�H��OHVV�WKDQ��P��IW��WHVW�SLWV�DQG�WUHQFKHV�LQ�VWDEOH�VRLO�FDQ�JHQHUDOO\�EH�H[FDYDWHGZLWKRXW� VXSSRUW� RI� WKH�ZDOOV�� +RZHYHU�� D� VXSSRUW� V\VWHP�� L�H�� VKHHW� SLOLQJ�� EUDFLQJ�� VKRULQJ�DQG�RU�FULEELQJ��RU�VORSLQJ�ZDOOV�LV�UHTXLUHG�IRU�H[FDYDWLRQV�GHHSHU�WKDQ��P��IW��(0��7KH�VXSSRUW�V\VWHP�PXVW�EH�GHVLJQHG�E\�D�SURIHVVLRQDO�HQJLQHHU�H[SHULHQFHG�LQ�WKDW�W\SH�RIZRUN�

%HIRUH�HQWHULQJ�D�WHVW�SLW�RU�WUHQFK��LQVSHFW�WKH�VLGHZDOOV�DQG�LQVWDOO�FULEELQJ�RU�VKRULQJ�RU�VORSHWKH� ZDOO� RI� WKH� H[FDYDWLRQ�� LI� QHFHVVDU\�� 5HPRYH� ORRVH� PDWHULDO� WKDW� FRXOG� IDOO� LQWR� WKHH[FDYDWLRQ�

3URYLGH�ODGGHUV��VWDLUV��RU�UDPSV��DV�QHFHVVDU\��WR�DFFHVV�WKH�SLW�RU�WUHQFK��)RU�ERUHKROHV��D�FDJHRU�ERDWVZDLQ�FKDLU�VKRXOG�EH�XVHG�WR�ORZHU�SHUVRQQHO�LQWR�WKH�KROH��7KH�FKDLU�VKRXOG�KDYH�WZROLQHV��WKH�VHFRQG�OLQH�LV�XVHG�DV�D�VDIHW\�OLQH�

7KH� WHVW�SLW� RU�ERUHKROH� VKRXOG�EH�SURSHUO\�YHQWLODWHG�� ([KDXVW�JDVHV�IURP�HQJLQHV� VKRXOG�EHGLUHFWHG�DZD\�IURP�WKH�DLU�LQWDNH��$�PHDQV�IRU�GHWHFWLQJ�SRLVRQRXV�JDV�VKRXOG�DOVR�EH�SURYLGHG�

*URXQGZDWHU��VXUIDFH�ZDWHU��VKRXOG�QRW�EH�SHUPLWWHG�WR�DFFXPXODWH�LQ�H[FDYDWLRQV��$IWHU�UDLQ�VWRUPV��H[FDYDWLRQV�VKRXOG�EH�LQVSHFWHG�E\�D�TXDOLILHG�SHUVRQ�WR�DVVHVV�WKH�VLGHZDOOV�IRU�SRVVLEOHVOLGHV�RU�FDYH�LQV��VKRULQJ�VKRXOG�EH�DGGHG�RU�FKDQJHG��DV�QHFHVVDU\�

7R�SUHYHQW�D�KD]DUGRXV�ORDGLQJ�FRQGLWLRQ�WKDW�FRXOG�WULJJHU�D�VOLGH��WKH�PDWHULDO�H[FDYDWHG��IURPD�WHVW�SLW�RU�WUHQFK�VKRXOG�EH�SODFHG�DW�D�GLVWDQFH�IURP�WKH�HGJH�RI�WKH�H[FDYDWLRQ�QRW�OHVV�WKDQ��P��IW��RU�WKH�GHSWK�RI�WKH�SLW�RU�WUHQFK��ZKLFKHYHU�LV�JUHDWHU�

/DUJH�GLDPHWHU�ERULQJV�RU�VKDIWV�VKRXOG�EH�FDVHG��,Q�VWDEOH�VRLOV�DERYH�WKH�JURXQGZDWHU�WDEOH�FRUUXJDWHG�SLSH� LV� DQ� HFRQRPLFDO�PHWKRG�� )RU�GHHS�ERULQJV�RU� IRU� ERUHKROHV� LQ� VRIW��XQVWDEOHVRLOV�� WKLFN�ZDOOHG�VWHHO�SLSH�PD\�EH�UHTXLUHG��,QVSHFWLRQ�DQG�VDPSOLQJ�RU�LQ�VLWX�WHVWLQJ�RI�WKHIRUPDWLRQ�PD\�EH�FRQGXFWHG�XVLQJ�KROHV�FXW�LQ�WKH�ZDOO�RI�WKH�SLSH�

(0��-DQ��

)��

7KH�VXSSRUW�V\VWHP�IRU�WKH�ZDOOV�DQG�URRI�RI�D�WXQQHO�VKRXOG�EH�GHVLJQHG�E\�D�SURIHVVLRQDO�HQJL�QHHU�H[SHULHQFHG�LQ�WKDW�W\SH�RI�ZRUN�

)HQFHV��EDUULFDGHV��FRYHUV��RU�ZDUQLQJ� OLJKWV�VKRXOG�EH�SURYLGHG�DURXQG�H[FDYDWLRQV��DV�QHFHV�VDU\��WR�SURWHFW�SHGHVWULDQV��OLYHVWRFN��RU�YHKLFXODU�WUDIILF�

7HPSRUDU\� H[FDYDWLRQV� VKRXOG� EH� EDFNILOOHG� DV� VRRQ� DV� SRVVLEOH� DIWHU� WKH� ZRUN� KDV� EHHQFRPSOHWHG�

(0��-DQ��

)��

7DEOH��$FFHVVLEOH�([FDYDWLRQV��DIWHU�8�6��'HSDUWPHQW�RI�WKH�,QWHULRU��

$FFHVVLEOH�([FDYDWLRQ 3URFHGXUH /LPLWDWLRQV &RPPHQWV

7HVW�SLW ([FDYDWH�D�UHFWDQJXODU�RU�VTXDUH�SLW (FRQRPLFDO�OLPLW�RI�GHSWK�LV 6DPSOHV�IURP�D�WHVW�SLW�DUHE\�KDQG�RU�SRZHU�HTXLSPHQW��0LQL� DERXW��WR��P��WR��IW��RU XVXDOO\�PRUH�H[SHQVLYH�WKDQPXP�GLPHQVLRQV�DUH�RI�WKH�RUGHU�RI WR�WKH�ZDWHU�WDEOH��,I�GHHSHU VDPSOHV�REWDLQHG�IURP�FRQ��E\��P��E\��IW�� WKDQ��P��IW��VXSSRUW�RU YHQWLRQDO�GULOOLQJ�DQG�VDPSOLQJ

VORSH�WKH�ZDOOV�RI�WKH RSHUDWLRQV��6DPSOLQJ�E\�KDQGH[FDYDWLRQ� PD\�EH�WKH�RQO\�PHWKRG�RI

REWDLQLQJ�UHSUHVHQWDWLYH�VDP�SOHV�RI�FHUWDLQ�VRLOV�

7UHQFK ([FDYDWH�D�UHFWDQJXODU�RU�WUDSH]RLGDO 'HSWK�RI�WUHQFK�LV�XVXDOO\�IDLUO\ 3URYLGHV�D�FRQWLQXRXV�WZR��FURVV�VHFWLRQ��WUHQFK�E\�KDQG�RU VKDOORZ��EXW�PD\�EH��WR��P GLPHQVLRQDO�VRLO�SURILOH��7KLVZLWK�SRZHU�HTXLSPHQW��7KH�PLQL� ��WR��IW��RU�WR�WKH�ZDWHU PHWKRG�LV�SHUKDSV�WKH�PRVWPXP�GLPHQVLRQ�RI�WKH�H[FDYDWLRQ WDEOH��,I�GHHSHU�WKDQ��P HFRQRPLFDO�DQG�FRPSUHKHQ�VKRXOG�QRW�EH�OHVV�WKDQ��WR��P�� IW��VXSSRUW�RU�VORSH�WKH VLYH�WHFKQLTXH�IRU�VKDOORZWR��IW��ZLGH��7KH�OHQJWK�PD\�EH ZDOOV�RI�WKH�H[FDYDWLRQ� H[SORUDWLRQV�RI�IRXQGDWLRQ�H[WHQGHG�DV�UHTXLUHG� ERUURZ��RU�DJJUHJDWH�PDWHULDO�

$FFHVVLEOH�ERULQJ 6SHFLDO�SXUSRVH�GULOOLQJ�HTXLSPHQW� $FFHVVLEOH�ERUHKROHV�GHHSHU ,I�SRZHU�HTXLSPHQW�LV�DYDLODEOHVXFK�DV�ODUJH�GLDPHWHU�EXFNHW WKDQ��P��IW��VKRXOG�EH DQG�WKH�DUHD�LV�DFFHVVLEOH�DXJHUV��PD\�EH�XVHG�WR�GULOO�DFFHV� FDVHG�ZLWK�VWHHO�SLSH��+ROHV ODUJH�GLDPHWHU�ERUHKROHV�FDQVLEOH�ERUHKROHV�WR�D�GHSWK�RI�DERXW PD\�EH�FXW�LQWR�WKH�SLSH�WR�SHU� EH�PDGH�PRUH�UDSLGO\�DQG�DW��P��IW��7KH�PLQLPXP�GLDP� PLW�LQVSHFWLRQ�DQG�VDPSOLQJ�RI OHVV�FRVW�WKDQ�H[FDYDWLQJ�WHVWHWHU�LV�DERXW��P��IW��DOWKRXJK�D WKH�VLGHZDOOV�RI�WKH SLWV�E\�KDQG�PHWKRGV�ODUJHU�GLDPHWHU�PD\�EH�UHTXLUHG�IRU H[FDYDWLRQ�DGHTXDWH�ZRUN�VSDFH�

7XQQHO ([FDYDWH�D�UHFWDQJXODU�VKDSHG 7XQQHOLQJ�LV�H[SHQVLYH�DQG 0XVW�SURYLGH�XQGHUJURXQGWXQQHO�E\�KDQG�RU�ZLWK�SRZHU�HTXLS� WKHUHIRUH�VKRXOG�EH�XVHG�RQO\ OLJKWLQJ�DQG�YHQWLODWLRQ�V\VWHP�PHQW��0LQLPXP�GLPHQVLRQV�DUH�RI XQGHU�VSHFLDO�FRQGLWLRQV��7KHWKH�RUGHU�RI��E\��P��E\��IW�� URRI�DQG�ZDOOV�RI�WKH�WXQQHODOWKRXJK�WKH�GLPHQVLRQV�PD\�EH UHTXLUH�D�VXSSRUW�V\VWHP�LQFUHDVHG�ZKHQ�SRZHU�PXFNLQJ�DQGKDXOLQJ�HTXLSPHQW�DUH�XVHG�

(0��-DQ��

)��

)LJXUH��3KRWRJUDSK�RI�WKH�*(,�VDPSOHU�ZKLFK�LQFRUSRUDWHVWKH�DGYDQFHG�WULPPLQJ�WHFKQLTXH�IRU�REWDLQLQJ�D�VRLO�VDPSOH

(0��

��-DQ��

)�� )LJXUH��3KRWRJUDSK�RI�EORFN�VDPSOHV�LQ�YDULRXV�VWDJHV�RI�WULPPLQJ�DQG�VDPSOLQJ

(0��-DQ��

)��

&KDSWHU�)��6DPSOLQJ�IURP�6WRFNSLOHV�DQG�%LQV�7UDQVSRUWDWLRQ�8QLWV��RU�&RQYH\RU�%HOWV

��,QWURGXFWLRQ

Sampling from stockpiles, storage bins, loaded freight cars or trucks, and conveyor belts is unique.Because segregation of the material may occur within the unit, especially for well-graded aggregates,samples should be obtained only if proper sampling techniques and intervals or locations are consideredand employed. The principal objectives which must be considered include obtaining samples that arerepresentative of the mass of material, or obtaining samples to document the variability within the mass,or both. The volume or mass of a representative sample should be large enough not to be affected by thevariability of small units of the bulk material; by contrast, the volume of a random sample should besmall enough such that significant variability within the unit is not masked. With other factors constant,larger samples will tend to be more representative of the total. In most cases, sample disturbance isunimportant.

If significant variability of one or more specific parameters for the respective sampled units is found toexist, regardless of whether samples were obtained for assessment of variability or uniformity of bulkmaterial, a statistical study should be considered as a means for interpreting the test results. A suggestedmethod is described in ASTM E 122-89: “Standard Recommended Practice for Choice of Sample Size toEstimate a Measure of Quality for a Lot or Process” (ASTM 1992c). According to ASTM E 122-89, twoapproaches can be used: (a) determine the number of samples required to meet a prescribed precision, or(b) determine the precision which can be estimated based upon the number of available samples. Basedupon this ASTM specification, an estimate of an average characteristic or parameter of the bulk materialmay be made.

Because of the difficulty of devising a comprehensive sampling plan to obtain a few representativesamples to assess the characteristics of bulk material, a general sampling plan does not exist. Eachsampling plan must be devised to satisfy the requirements of the specific study. The suggestions whichare presented in paragraph 12-2 regarding a sampling plan are intended for guidance only. It is hopedthat these suggestions will stimulate ideas for developing better and more comprehensive plans forsampling specific units of material. Geotechnical personnel are encouraged to use imagination, commonsense, technical knowledge, and experience to develop a plan for sampling the material which will permitthe acquisition of data of a quality necessary to satisfy the specific engineering requirements.

Additional reading materials which are suggested as guidance for developing a plan for obtainingrepresentative samples of materials from stockpiles, bins, transportation units, or conveyor belts includeASTM C 50-86 (ASTM 1992b), C 702-87 (ASTM 1992a), D 75-87 (ASTM 1992a, 1992b, 1993),D 3665-82 (ASTM 1992b), E 105-58 (ASTM, 1992c), E 122-89 (ASTM 1992a), and Roberts et al.(1991).

��6DPSOLQJ�3ODQ

When the contents of stockpiles, storage bins, loaded freight cars or trucks, or conveyor belts aresampled, the laws of chance dictate that a few particles may be unequally distributed among sampleswhich are smaller than the whole unit. However, a properly designed sampling plan will tend tominimize the effects caused by sampling errors. Samples should be taken at random with respect to

(0��-DQ��

)��

location, time, or both, to minimize any bias on behalf of the person obtaining the samples. Samples maybe examined individually to assess the variability of the material or combined to form a representativesample. If power equipment is available, the bulk material should be sampled from its top to its bottom.If power equipment is unavailable, samples should be obtained at several locations or increments of time.Because certain materials tend to segregate as a result of handling, care is necessary to ensure thatsamples do not contain a disproportionate share of material from the top or bottom layers of the unit.ASTM D 3665-82: “Standard Practice for Random Sampling of Construction Materials” (ASTM 1992b)provides additional guidance.

To satisfy the requirements for obtaining samples at random which, by definition, is the product of adefinite and willful effort to produce disorder, several criteria should be considered. All units, i.e., astockpile, storage bin, freight car or truck, or material on a conveyor belt, should be defined by some ruleor number to ensure that randomness is satisfied. Every portion of a unit must have a nonzero chance ofselection with respect to location, time, or both. The probability of selection of a given unit, area, orzone of material must be known. Each sample of material must be weighted in inverse proportion to itsprobability of selection.

Before a good sampling plan can be developed, the problem and objectives of the sampling operationshould be identified. Information about relevant properties, i.e., gradation of the material, percentpassing the U.S. Standard Sieve No. 200 (0.074 mm) sieve, water content of the coarser as compared tothe finer fraction of the material, etc., should be collected. A number of potential plans for sampling thematerial should be evaluated. Costs, difficulties of obtaining samples, types and availability of samplingequipment, and the required number of samples or the desired precision of data, and the represen-tativeness or randomness of samples should be considered. The potential plans should be evaluated, andthe most desirable plan should be selected. Upon the commencement of the sampling operations andagain as the preliminary data are evaluated, the preceding steps should again be reconsidered. Suggestedsampling plans for obtaining representative samples based upon location and/or time increments forspecific engineering purposes follow.

D� /RDGHG� IUHLJKW� FDUV� RU� WUXFNV. For loaded freight cars or trucks, determine the number ofsamples required and estimate the number of freight cars or trucks which will be used to transport thematerial. Establish suitable criteria for sampling the material at all locations within the respectivetransportation units. Use random numbers to determine which transportation units will be sampled andthe location within the respective units in which samples will be obtained. For example, a truck which isloaded with bulk material may be arbitrarily divided into four equal quadrants, as determined by a planview of the truck box. Based upon the proposed sampling plan, use random numbers to determine whichtruck(s) will be sampled; repeat the process to determine which quadrant of material in a specific truckwill be sampled. If power equipment is available, a cross section of material should be obtained for thefull depth of the material. If power equipment is not available, obtain samples from a horizontal crosssection of material at a reasonable depth below the surface of the material. Within practical limitations,sampling of bulk materials should be done in a manner which will prevent disproportionate shares of thetop or bottom layers of material from being obtained. When packaged materials are to be sampled,assume that a stack of bags or containers is analogous to a quadrant of the truck box and that depthcorresponds to a particular container within a specified stack of containers.

E� &RQYH\RU�EHOWV. For conveyor belts, determine the number of samples required and estimate thelength of time needed to transport the material on the conveyor belt. By the use of random numbers,determine the elapsed time when samples are to be obtained. All materials within the cross section of theconveyor belt, including fines, should be carefully sampled. A similar procedure can be used for

(0��-DQ��

)��

sampling a windrow of material; the principal difference is that the time variable for the conveyor beltshould be replaced by the length of the windrow.

F� 6WRUDJH�ELQV. Two options are available for sampling the contents of storage bins. The materialmay be sampled as it is removed from storage bins through chutes, hoppers, or conveyor belts. The otheroption consists of sampling within the confines of the storage bin; samples should be obtained at variouslocations and depths within the material. To obtain samples from a conveyor belt or chute, follow theprocedures for random sampling with respect to time that are given in paragraph 12-2E. If samples areobtained from within the storage bin, follow the guidance for sampling loaded freight cars and trucks. Ifpower equipment is available, samples should be obtained from random depths and locations; the sam-pling plan should ensure that a disproportionate volume (mass) of the top or bottom layers of material isnot obtained. If power equipment is unavailable, obtain samples from a horizontal cross section ofmaterial at a reasonable depth below the surface of the material.

G� 6WRFNSLOHV. To obtain samples of the material in a stockpile, the use of power drilling andsampling equipment is more desirable than obtaining samples by hand. Establish a plan for sampling thecontents of the stockpile at various locations and depths similar to the procedures which were given inthe example for sampling transportation units. By the use of random numbers, select zones of material tobe sampled. If power equipment is unavailable, develop a plan for sampling the material at randomlocations along the periphery of the pile. For example, zones of material located at elevations of 1/3 and2/3 or 1/4, 1/2, and 3/4 of the height of the pile as well as the top of the pile should be sampled. As ageneral rule, do not sample the bottom 1/4 of the stockpile because disproportionate amounts of coarsermaterial may have fallen to the base of the stockpile. Test results should be interpreted cautiously; it ispossible that materials in stockpiles may have segregated.

H� 5RDGZD\V. To obtain record samples for quality control of subbase or base materials forroadways, determine the length of the foundation material and the number of samples required, similar tothe procedures which were suggested for obtaining samples of materials in windrows or on conveyorbelts. The location with respect to the center line of the roadway can be treated as analogous to the depthof material in a transportation unit or stockpile. Select a random number to determine the station alongthe center line of the roadway; repeat the process to determine the location perpendicular to the centerline of the roadway for obtaining the sample.


In general, it is more desirable to use power drilling and sampling equipment than small hand tools toobtain samples of bulk material because a fairly large volume (mass), i.e., 0.01 to 0.1 m (1/3 to 4 ft ) or3 3

more, of material for each sample is often required. Furthermore, the use of power equipment permitssamples to be obtained at relatively great depths. Equipment, such as hollow- or solid-stem augers, drivesamplers fitted with basket retainers, or various types of vibrator samplers affixed to a crane or cherrypicker, has been used to sample bulk materials. These types of drilling and sampling equipment havebeen described in Chapters 3, 5, 6, 7, and 8 and therefore will not be discussed here.

However, if drilling and sampling equipment is not available or cannot be used because of specificconstraints, such as cost-ineffectiveness or inability to access storage bins or stockpiles with the powerequipment, samples can be obtained by hand excavation. The remainder of this chapter presentsguidance for obtaining representative samples of bulk material by hand-sampling techniques.

(0��-DQ��

)��

Methods and techniques for obtaining samples of geotechnical materials which are stored in stockpiles orstorage bins or loaded on freight cars or trucks are suggested in the following paragraphs. Samples maybe taken from loaded freight cars or trucks; from conveyor belts delivering materials to or fromstockpiles, bins, or transportation units; from storage bins at the point of discharge or from an exposedsurface; from exposed surfaces of stockpiles; or from packaged materials.

D� /RDGHG�IUHLJKW�FDUV�RU� WUXFNV. To obtain samples of material from a transportation unit, selectthe zone of material to be sampled, as determined from the sampling plan which was discussed in thepreceding paragraphs. Excavate two trapezoidal-shaped trenches across the segment of the transportationunit to be sampled; the trenches should intersect to form a “cross” at the center of the quadrant, asdetermined by a plan view of the transportation unit. The bottom of the trenches should be level and atleast 0.3 m (1 ft) deep and 0.3 m (1 ft) wide. At five locations along the bottom of these two trenches,obtain a sample by pushing a shovel downward into the material. As an alternative sampling plan,excavate three or more trenches across the unit that will give a reasonable estimate of the characteristicsof the load. At least two shovelfuls of material should be obtained at random locations from the bottomof each trench. Each shovelful of material may be placed in a separate container or combined, dependingupon the requirements of the investigation. The number of increments or the size of each sample can beadjusted accordingly to meet the requirements of the investigation. When bulk materials are sampled,sound judgment is required to ensure that disproportionate shares of segregated materials are notobtained.

E� &RQYH\RU�EHOWV. Three locations can be used to sample the contents of a conveyor belt: the pointof discharge of material onto the conveyor belt, an intermediate location on the conveyor belt, or thepoint of discharge of material from the conveyor belt. To sample at the point of loading or discharge, astream of material can be captured. Care is required to ensure that the sampling device intercepts theentire width of the discharge stream and that material does not overflow the sampling device; theseprecautions are necessary to reduce the potential for segregation of material which could result inmisinterpretation of the test data. If an intermediate point along the conveyor belt is sampled, the fullwidth of flow must be sampled. Insert two templates, shaped as the cross section of the conveyor belt,into the material to define a volume (mass) of material to be sampled. Scoop all material, includingfines, into a suitable container. Samples should not be obtained from the initial or final discharge from astorage facility or transportation unit; this material may be segregated.

F� 6WRUDJH�ELQV. Two methods are available for sampling the contents of storage bins: samples maybe obtained at the point of discharge from the storage facility or from an accessible location, such as thetop of the material stored in the facility. If samples of material are obtained at the point of discharge,follow the procedures which are described in the paragraph for sampling the contents of a conveyor belt.If samples are obtained from an exposed surface of material, such as the top of material in a storage bin,follow the procedures which are described in the paragraph on sampling the contents of transportationunits. The number of increments which are sampled should be adjusted to the size of the storage binand/or to satisfy the requirements of the investigation. Individual samples can be examined to determinethe variation of material within the bin or combined for a representative sample. Use judgment to ensurethat disproportionate shares of segregated materials are not obtained.

G� 6WRFNSLOHV. To sample the contents of a stockpile, select a zone along the periphery of thestockpile at some point away from the bottom of the pile. Climb to a location about 1 m (3 ft) above thezone to be sampled. Shove a form or several boards vertically into the stockpile just above the zone tohelp prevent material from raveling down the side of the stockpile onto the material to be sampled. Afterthe form has been placed, remove material from the surface of the stockpile to a depth of about 0.3 to

(0��-DQ��

)��

0.6 m (1 to 2 ft) perpendicular to the original surface of the stockpile. Obtain a sample by pushing ashovel into the material in a direction which is perpendicular to the original surface of the stockpile.Repeat this process to obtain the required number of samples or the desired volume (mass) of material.For fine aggregates, it may be possible to push or drive small-diameter sampling tubes into the material toobtain samples. If sampling tubes are used, remove the outer layer of material as previously described;then push the sampling tube into the material in a direction perpendicular to the original surface of thestockpile. Samples should be taken at various levels and locations on the stockpile; individual samplesmay be combined for a representative sample or placed in separate containers to evaluate the variabilityof material in the stockpile. As a general rule, do not sample the bottom or exposed surfaces of thestockpile because the coarser and finer particles may have segregated to a greater degree at theselocations.

A power-driven front-end loader may be used to obtain sample(s) provided that care is taken to ensurethat the sample(s) is representative of the contents of the stockpile. If a front-end loader is used, asampling plan should be devised which satisfies all of the requirements which have been identified forhand-sampling methods; the principal difference is merely the volume (mass) of soil obtained by thefront-end loader as compared to hand- sampling methods. According to the data presented in Table 12-1,a volume of material as large as 0.1 m (4 ft ) could be required, depending upon the gradation of3 3

material; this volume of material is negligible when compared to the volume of material which can bemoved in the bucket of a power front-end loader. Hence, the use of the front-end loader for obtainingrepresentative samples of materials from a stockpile may not be as feasible as hand-sampling techniques.

H� 5RDGZD\V. For quality control of subbase or base materials for roadways, use hand-samplingtechniques which are described in this chapter or in Chapter 11. If power drilling equipment is used,follow the methods and procedures which are described in Chapters 5 through 8.

I� 4XDUULHV�DQG�ERUURZ�SLWV. To obtain samples of aggregates from quarries or bank-run sands orgravels, follow the procedures which are discussed in the Chapters 5 through 8 if power-drilling andsampling equipment is used or Chapter 11 if samples are obtained by hand-excavation methods,depending upon the requirements of the investigation. Drill test holes or excavate to determine thelateral and vertical extent of the deposit and its quality. The required depth of the samples will dependon the quantity and character of the material that is needed, the nature and topography of the deposit, andthe value of the material. If a visual examination of the material reveals that a significant variation ofmaterials within the formation exists, a specific plan for sampling the materials, i.e., random locations todefine the uniformity or variability of material or specific locations to define an anomaly, should beconsidered.

��5HTXLUHG�9ROXPH�RI�6DPSOHV

The volume (mass) of each sample of material must be tailored to satisfy the requirements for theinvestigation. The data in Table 12-1 can be used by geotechnical personnel to estimate the weight ofmaterial which is required to conduct a routine sieve analysis. If other tests are planned, the weight ofmaterial should be adjusted accordingly.

(0��-DQ��

)��

��3UHVHUYDWLRQ�RI�6DPSOHV�DQG�7HVW�5HFRUGV

D� 3UHVHUYDWLRQ� RI� VDPSOHV. Samples should be placed in a noncorrosive container or bag andpreserved as a representative sample for the particular zone or stratum of material. If the natural watercontent of the sample is to be preserved, the container must be waterproofed. For shipment, each sampleof material should be packaged to prevent damage, such as loss or mixing of materials, freezing ofaggregates, or change of water content, which could affect test results. Details for preserving andtransporting soil samples are presented in Chapter 13; additional guidance is offered in ASTM D 4220-83(ASTM 1993).

E� 7HVW� UHFRUGV. All pertinent data, including the project name, job or contract number, and thelocation of the respective samples, must be recorded on data sheets. The location of a sample should bereferenced to a permanent control, whenever possible. A detailed description of the method(s) used toobtain each sample should be recorded. Each soil sample should be numbered and identified by visualtechniques which are described in Appendix E; the sample number and a visualdescription of the materialshould be written on the data sheet as well as on a tag attached to the sample container. The type ofsample container should also be noted. If field tests are performed, a data sheet for the various tests mustbe prepared giving all pertinent data which were determined. All data sheets should be dated and signedby the crew chief or technician performing the operation. Other details pertaining to test records arepresented in Chapter 13.

��3UHFDXWLRQV

Caution should be exercised by personnel involved in sampling of material in stockpiles, storage bins,transportation units, or on conveyor belts. In addition to the normal precautions required for working inthe proximity of power equipment, the use of dust-control masks may be needed when sampling bulkmaterials. Personnel are also advised to use caution when sampling the contents of storage bins orstockpiles; these materials may slough without warning. Supervisory and/or safety personnel shouldinspect and approve all techniques and procedures which are used to gain access to a particular zone ofmaterial within a stockpile or storage bin.

(0��-DQ��

)��

7DEOH��0LQLPXP�)LHOG�6DPSOLQJ�0DVVHV��DIWHU�$670�'��

1RPLQDO�6L]H�RI�$JJUHJDWH�� 0LQLPXP�0DVV�RI�6DPSOH��NJ

Fine Aggregate

No. 8 (2.36 mm) 10 (25 lb)

No. 4 (4.75 mm) 10 (25 lb)

Coarse Aggregate

9.5 mm (3/8 in.) 10 (25 lb)

12.5 mm (1/2 in.) 15 (35 lb)

19.0 mm (3/4 in.) 25 (55 lb)

25.0 mm (1 in.) 50 (110 lb)

37.5 mm (1-1/2 in.) 75 (165 lb)

50 mm (2 in.) 100 (220 lb)

63 mm (2-1/2 in.) 125 (275 lb)

75 mm (3 in.) 150 (330 lb)

90 mm (3-1/2 in.) 175 (385 lb)

(0��-DQ��

)��

&KDSWHU�)��+DQGOLQJ�DQG�6WRUDJH�RI�6DPSOHVDQG�6DPSOLQJ�5HFRUGV

��,QWURGXFWLRQ

Frequently, the driller and the inspector are the only people who witness the drilling operations and thematerial brought to the surface. Both must work closely together to identify, preserve, and record anychanges of material and conditions. These records, which include both the preserved soil samples andthe written field logs, provide fundamental facts on which all subsequent conclusions are based, such asthe need for additional exploration or testing, feasibility of the site, cost and method of construction, andevaluation of structure performance. In addition, these records may also be needed to delineateaccurately a change of conditions with the passage of time, to form a part of contract documents, or toserve as a basis for evidence in a court of law.

The inspector is usually assigned the tasks of identifying and labeling the samples, preparing the samplesfor transport and storage, and maintaining a written record of the materials and conditions encountered.Although the inspector's tasks must necessarily be tailored to the specific investigation, this chapterprovides general guidance which can be used by the inspector to ensure that samples are preserved andthat a factual, clear, and complete set of records are obtained. It should be noted that for specificsampling operations, such as undisturbed or disturbed sampling operations on land or nearshore,additional information for handling and storage of samples and sampling records has been reported inChapters 6, 8, 10, 11 and 12.

��+DQGOLQJ�DQG�6WRUDJH

For the purposes of handling and storage, it is suggested in ASTM D 4220-83 (ASTM 1993) that soilsamples can be divided arbitrarily into four groups. Group A samples are obtained for visualclassification purposes only. Group B samples are obtained for water content and classification tests.Bulk samples which are obtained for engineering properties tests, such as strength, deformation, andpermeability tests, on remolded or reconstituted specimens are also classified as Group B samples.Group C samples include intact, naturally formed, or field-compacted samples which are frequentlydescribed as “undisturbed.” Engineering properties tests, similar to those described for Group B soils,can be conducted on these samples. Group D samples are similar to the Group C samples except they arevery fragile or highly sensitive. Laboratory tests, similar to the tests for Group C samples, can beconducted on these samples.

Depending upon the type of sampling device and the intended purpose of the samples, similar proceduresare required for handling and storage of all groups of samples; the principal difference is the degree ofdisturbance which is permitted. Because the emphasis of many sampling operations is directed towardsobtaining high-quality undisturbed samples, i.e., Group C or Group D samples, the guidance which ispresented in this chapter is primarily directed towards undisturbed sampling operations. However, thisinformation is also applicable for Group A or Group B samples, i.e., disturbed samples; the requirementsfor preventing disturbance to the samples, such as shock or vibration, are simply relaxed.

D� 5HPRYDO�RI�VDPSOH�IURP�VDPSOLQJ�GHYLFH. After the sampling device has been withdrawn fromthe borehole, the sampling tube should be disconnected from the sampler without shocks or blows. Thegross length of the sample, which is a good indicator of sample condition, should be determined to the

(0��-DQ��

)��

nearest 3 mm (0.01 ft). If the sample is stored in the sampling tube, a small representative sample fromthe bottom of the sample should be trimmed and placed in a glass jar and sealed. The net length ofsample should be determined to the nearest 3 mm (0.01 ft), and the portion of tube to be sealed should bethoroughly cleaned before the sample is sealed. For open-tube samplers, sludge which has accumulatedon top of the sample should be removed before the length of the sample is determined. For pistonsamplers, any space between the piston and sample, or any movement of the piston or piston rod as theclamp is released should be noted. If water or drilling mud is located between the piston and the sample,note the distance between the piston and sample and the volume of water, if possible.

For samples which are extruded from the sampling tube, the sludge and drilling mud should be cleanedfrom the sampling tube, and the gross length of the sample should be determined before the sample isextruded. After the undisturbed sample has been extruded, the gross length of the sample should againbe measured, a small representative sample should be trimmed from the bottom of the sample and placedin a glass jar and sealed, and the net length of the sample should be determined. To minimize or preventadditional disturbance as the sample is extruded from the sampling tube, the barrel should be heldhorizontally and the sample should be extruded directly onto a half-section tray in the direction that itentered the barrel. A hydraulic-pressure extruder is preferable to a mechanical extruder; a pneumatic-pressure-extruder should not be used. The advantages of extruding the sample from the tube includereusing the sampling tube, avoiding increased adhesion of the sample to the tube with time, minimizingthe potential for corrosion of the metal sampling tube and chemical change on the periphery of thesample as a result of contact with the metal tube, minimizing the potential for migration of pore water byseparating the sample by material type and by removal of seriously disturbed portions of the sample, andrecording more detailed descriptions of soil type and stratigraphy. The disadvantages include theincreased potential of sample disturbance as a result of additional handling and drying of the sample.The costs due to extruding and sealing the samples in other containers could be somewhat higher thancosts for sealing the samples in the sampling tubes.

E� ,GHQWLILFDWLRQ�RI�VRLO. One of the responsibilities of the inspector is to identify the soil type andto note when changes of soil or stratigraphy occur. A record of all major changes in the character of thesoil, including its classification, color, water content, consistency, etc., must be made. Descriptions of thesoil should be based upon the visual examination of samples taken from each stratum and should beconsistent with the procedures in Appendix E. For example, a sample may be described as a dense, tan,wet, uniformly-graded, subrounded, medium sand with occasional clay lenses. Most importantly, beconsistent with the visual descriptions, even if they do not agree with the soils classifications determinedin the laboratory.

If the sample is extruded, the stratigraphy can be based upon a visual examination of the core and theclassification of a representative sample; if the sample is not extruded, the stratigraphy of the samplemust be based upon a description of the soil at the top and bottom of the tube. Changes that occur inzones not sampled can usually be determined by a conscientious, capable geotechnical driller by theaction of the drill rig and bit and changes in the drilling fluid return. When changes are detected, thepenetration of the bit should be stopped, the depth should be determined to the nearest 30 mm (0.1 ft),and a sample should be taken. This step ensures that a sample of each stratum is obtained beforeadditional changes are encountered.

F� /DEHOLQJ� VDPSOHV. As samples are removed from the respective borings, they should benumbered by boring and consecutive order, such as 1, 2, and 3, and by the depth of the respectivesamples. The depth to the top and the bottom of the sample should be recorded to the nearest 30 mm(0.1 ft). Sectioned liners or jar samples should be identified as a subsample, such as 1a, 1b, 1c, 2a, 2b,

(0��-DQ��

)��

and 2c. Care should be exercised to ensure that the correct orientation i.e., top and bottom, of all samplesis maintained and that samples are marked accordingly. Sectioned liners should be marked to permitorientation of segments for examination of stratification or for determination of the strike and dip.

Samples should be identified with tags, labels, or other suitable markings, such as writing on the sampletube with paint or permanent marker or etching the sample tube. Label tags should be marked withnonfading, permanent ink and protected with a coating of wax. For disturbed samples such as bulksamples, a waterproof identification tag should be placed inside the container before it is sealed; thesample identification data should also be marked on the outside of the container. For jar samples, labelsshould be glued to the outside of the container (not the lid). Waterproof, duplicate tags should always beplaced inside the sample container. An example of two types of tags (ENG Forms 1742 and 1743) forlabeling and identifying soil samples are presented in Figure 13-1.

Regardless of the quality or quantity of samples, samples are worthless if inadequate or conflictingidentification and labeling of samples occur. The inspector must ensure that each sample is labeledconsistently with the data in the boring logs. Samples should be identified with the followinginformation:

Project name or number and location.

Sampling date.

Boring number, sample number, depth/elevation.

Soils description.

Gross and net lengths, sample orientation, and method of sampling.

Special instructions, problems, observations, or general remarks.

G� 3UHVHUYDWLRQ�RI�VDPSOHV. To ensure the success of the laboratory testing program, preservationof the inherent conditions of the soil samples is critical. In general, the first step towards preserving thesample is to seal it in a sturdy container. Depending upon the proposed use of the soil sample, asindicated by Groups A through D, suitable containers as well as the method for sealing, shipping, andstoring the containers should be selected which will prevent the loss of soil moisture, prevent differentialmovement between the container and the sample, and minimize the potential for chemical change, asindicated by the presence of rust, mold, or fungus on the periphery of the sample. Several methods aresuggested in the following paragraphs. Ultimately, however, the procedures or requirements forpreserving and/or sealing the soil samples should be defined by a designated responsible person orincluded in the project specifications.

Group A samples, which are obtained for visual classification purposes, can be preserved and transportedin any type of container that meets minimum requirements to prevent sample loss during transport andstorage. Small representative samples can be placed in glass or plastic jars; bulk samples can be stored inheavy-duty plastic bags or in tightly woven, mildew-resistant cloth, canvas, or burlap bags.

Group B samples, which are disturbed samples obtained for water content, classification, or engineeringtests on reconstituted specimens, must be preserved and transported in sealed, moisture-proof containers.Containers must be of sufficient strength to assure against breakage and meet the minimum requirements

(0��-DQ��

)��

of the transporting agency. Suitable containers include plastic bags, glass or plastic jars or buckets, orcarton containers. Buckets, jars, and other carton containers should be sealed with lids withrubber-ringed seals, tape, microcrystalline waxes, etc., or combinations thereof; thin-walled sample tubesor liners should be sealed with expandable packers, caps, tape, waxes, etc.; and bulk samples should besealed in heavy-duty plastic bags or wrapped with alternating layers of cheesecloth and wax.

Group C and Group D samples, which are commonly referred to as undisturbed samples, must beprotected from changes of water content, shock, vibration, temperature extremes, and chemical changes.Undisturbed samples can be preserved in sample tubes or liners or can be extruded, coated with waxand/or cheesecloth and wax, and sealed in sturdy containers, such as wooden boxes, carton containers, orglass or plastic jars or buckets. Before the undisturbed sample is sealed in its container, a smallrepresentative sample of soil should be removed from the bottom of the sample, placed in a wide mouthjar, and sealed with rubber-ringed lids or lids with a coated paper seal. The soil in the jar sample can beused for preliminary examination and laboratory classification tests without breaking the seal of theundisturbed sample.

If the sample is preserved in the sampling tube or liner, the ends of the tube can be sealed using severaldifferent techniques. One of the most common methods consists of mechanically expanding an O-ringwhich has been placed between metal or plastic disks against the inside wall of the sampling tube.Plastic, rubber, or metal caps can be placed over the end of the thin-walled tube or liner and sealed withwaterproof plastic tape, friction tape, duct tape, or wax. Another method consists of placing 25-mm-(1-in.-) thick prewaxed wooden disks or 2-mm- (1/16-in.-) thick metal or plastic disks inside the samplingtube or liner and sealing with wax or caps and tape, or both.

If the sample is extruded from the sampling tube, samples are commonly coated with wax or cheeseclothand wax and placed in sturdy containers. Smaller samples should be painted with several light coats ofwax to minimize penetration of the wax into the voids of the specimen and then dipped into liquid wax toobtain a layer of wax approximately 3 mm (0.1 in.) thick. If a thicker/stronger wax coating is needed toprotect the sample, cheesecloth can be wrapped around the sample before it is dipped into the liquid wax.For larger or more porous or coarse-grained samples, cheesecloth should be placed on the sample beforeit is painted with wax; this procedure will help to prevent wax from migrating into the voids of thesample. After the sample has been placed in a sturdy container, the annulus between the sample and thecontainer should be filled with wax or foam packing material for additional protection for the sample.

An alternative procedure for preserving extruded samples is to place the sample in a carton container andfill the annulus between the sample and the container with wax. If this procedure is used, the waxcoating may not be as tight as for dipped samples. Furthermore, care is necessary to ensure that voids donot exist between the sample and its container after the sample has been sealed. If the annulus is notfilled, the sample is improperly sealed; disturbance could result from a change of water content orstructural damage to the sample, a chemical change or growth of mold or fungus on the periphery of thesample, or corrosion and deterioration of the sample container.

Large, undisturbed block samples should initially be covered with cheesecloth and then painted with oneor two light coats of wax and then covered with at least two additional alternating layers of cheeseclothand wax. After the sample has been placed in a suitable container, such as a wooden box, the annulusshould be filled with wax or other suitable packing material. The top of the box should be attached to thecontainer with screws or hinges and latches; driving nails to attach the top to the box disturbs the samplebecause of shock and vibrations.

(0��-DQ��

)��

A variety of waxes are available for sealing tubes and containers. The most commonly used waxesinclude microcrystalline wax, paraffin, beeswax, ceresine, carnaubawax, or combinations thereof. Formost applications, a combination of waxes, such as a l to 1 mixture of microcrystalline wax and paraffin,should be used for sealing soil samples. To obtain a seal, the temperature of the wax should be limited toabout 10 deg C (18 deg F) above its melting point. If its temperature is too high, the wax will tend topenetrate the pore spaces and cracks of the soil, whereas if its temperature is too low, the wax willcongeal before it has filled the annulus between the sample and the container. Qualitatively, an object,such as a pencil, which is inserted in wax at the proper temperature for coating samples will be coatedwith congealed wax immediately upon its withdrawal; the coating will not bond to the object. However,if the wax is too hot, it will appear clear and bond to the object.

Although wax is commonly used for sealing soil samples, limitations of its use should be recognized.First, the loss of moisture from undisturbed samples is undesirable because the engineering propertiesand, for certain soils, the classification test results change as a result of a change of water content.Unfortunately, wax seals are not impermeable, and soil samples will therefore tend to lose moistureduring prolonged storage. It is sometimes desirable to weigh samples before and after sealing and beforethe tube is opened for laboratory testing. When the sample tubes are opened, the difference of weightsbetween the measurements obtained in the field and after storage, if any, should be reported to designatedresponsible laboratory personnel. Other characteristics of waxes include shrinkage as a result of cooling,increased brittleness in cooler weather, and softening and plastic deformation due to the weight of thesoil sample in warmer weather. Consequently, the wax seals should be inspected at regular intervalsduring storage and deficiencies should be corrected.

Corrosion is dependent upon the type of metal in the tube, the salts in the pore fluid, and perhaps the soilconstituents. It is increased by the presence of air. The most obvious effects of corrosion includeroughness of the walls of the sample tube and adhesion of soil to the sample tube which would increasethe difficulty of extruding the sample and cause additional disturbance to the sample. The less obviouseffect is the potential change of the chemistry of the pore fluid and the influence of this change on theengineering behavior of test specimens. To minimize the potential for chemical change, as inferred bythe presence of corrosion on the sample tube and caps, the tube and the caps for sealing the tube shouldbe made of plastic or noncorrosive metal or coated with a hard, smooth lacquer. The tubes and capsshould be of the same metal or electrically inactive metals to avoid electrolysis. If plastic tubes or capsare used, a plastic material should be used which does not contain constituents, such as heavy metals, thatcould adversely affect the results of a chemical analysis of the soil sample.

H� 7UDQVSRUWLQJ� VDPSOHV. Transporting samples to the laboratory may involve transit by acommercial carrier or by a Government-owned vehicle. As a minimum, the samples should be packed incontainers which satisfy the requirements of the transporting agency, protect the samples fromdisturbance due to shock, vibration, or temperature extremes, and prevent loss of samples due to damageor destruction of the container. The transportation of samples is also subject to regulations establishedby the U.S. Department of Agriculture, Animal and Plant Health Service, Plant Protection andQuarantine Programs, and other federal, state, or local agencies. The length, girth, and weight of thecontainers for packing and shipping the samples should be considered and preplanned to ensure that thenecessary boxes and packaging materials are available. The top of the shipping crate (top of the samples)should be marked “THIS END UP.” Special instructions, descriptions, and labels for containers mayalso be required when radioactive, chemical, toxic, or other contaminated material is transported; theprocedures or requirements should be included in the project specifications or defined by a designatedresponsible person.

(0��-DQ��

)��

Group A and Group B samples can be transported in almost any type of container and by any availablemode of transportation. Samples may be transported without special protection, although it is desirableto pack the samples in shipping containers, such as cardboard or wooden boxes or crates, to meet theminimum requirements of the transporting agency, for ease of handling, and to prevent the loss of sampletags or material.

Group C and Group D samples should be transported under the supervision of personnel from the sam-pling/testing agency whenever possible. As a minimum requirement, samples should be transported inwood, metal, or other type of reusable container that provides cushioning and insulation for each sample.Samples should fit snugly in each container to prevent rolling, bumping, etc., and should be protectedagainst vibration, shock, and temperature extremes. Sawdust, wood shavings, rubber, polystyrene,urethane foam, plastic bubble wrap, or materials of similar resiliency can be used as cushioning material.The cushioning material should completely encase the sample. Special conditions, such as freezing,controlled drainage, and confinement, should be provided as needed. In addition to the precedingrequirements, all modes of transportation, including loading, transporting, and unloading, for Group Dsamples should be supervised by a qualified person.

Undisturbed samples of cohesive soils must be effectively protected from excessive heat, cold, vibration,and/or shock during shipment, since these phenomena may cause serious sample disturbance. Cohesivesamples should be shipped upright with 8 to 15 cm (3 to 6 in.) of cushioning material placed betweensamples and the bottom and sides of the container or transporting vehicle, and at least 5 cm (2 in.) overthe top and between individual samples. This method of packing provides protection from heat in sum-mer and from freezing in winter; however, if samples are in transit more than one day in freezingweather, the vehicle should be stored overnight in a heated building. Samples transported by commercialcarriers should be packed in boxes that can withstand considerable handling. Boxes made of 13- to 19-mm- (1/2- to 3/4-in.-) thick marine plywood normally are satisfactory. About 75 mm (3 in.) ofcushioning material should be placed between the samples and the walls of the box. Examples of reus-able containers are presented in ASTM D 4220-83 (ASTM 1993). Boxes should be marked for carefulhandling; special arrangements should be made with the transportation company to ensure properhandling.

Free-draining cohesionless samples may be frozen in the tube at the field site and kept in a frozen stateuntil laboratory tests are conducted (see paragraph 6-5). However, samples must be thoroughly drainedprior to freezing to prevent disruption of the structure by expansion of water upon freezing. The frozensamples may be transported from the field in insulated containers containing dry ice or in electrically-operated freezers powered by portable generators. Adequate cushioning material must completelysurround each sample prior to shipment.

If samples of cohesionless soil were obtained for the principal purpose of density determinations, thesample tubes should be placed horizontally in a cushioned rack after adequate drainage has occurred.After the samples have been secured to prevent rotation, the “top” of each tube should be marked andthen struck 50 light blows with a rubber hammer, starting at one end of the tube and working toward theother end and then back again. The blows of the hammer cause the sand to consolidate and thus preventlateral movement and possible liquefaction of the material in the tube during transportation. Upon arrivalat the laboratory, the sample tubes can be sawed into sections; the weight (mass) of soil in each section oftube and the volume of the tube can be used to calculate the density of the soil in the tube at the instantthat the sample was recovered.

(0��-DQ��

)��

Before the samples of cohesionless soil obtained for density determination are transported to thelaboratory, a thick pad of cushioning material should be placed between the truck bed and the bottomrack of samples. The longitudinal axis of the sample tube should be oriented perpendicular to thedirection of travel to minimize soil displacement during acceleration or deceleration of the vehicle ordifferential elevation between the front and rear of the truck bed.

I� 6WRUDJH. When samples are received at the laboratory, they should be inventoried, the sealingand marking of each sample should be checked, and the deficiencies should be corrected before they areplaced in an upright position in a storage room. Although it is desirable to test samples as soon aspossible to prevent further disturbance caused by chemical and physical changes, storage of samples issometimes required before testing can be conducted and/or completed. If storage is required, samplesshould be stored in a moist, cool, frost-free environmental room maintained at 100 percent relativehumidity. A temperature between 2 and 4 deg C (35 and 40 deg F) is recommended to preserve the sam-ples, unless frozen, and to prevent the growth of mold and other organisms. Ultraviolet light can be usedto retard the growth of fungus.

When samples are opened for laboratory testing, the seal should be checked and its condition noted. Ifthe weight of the sample has been obtained in the field, the weight in the laboratory should be obtainedfor comparison. After the caps have been removed and the sample tube opened, the exposed sampleshould be checked for migration of water and examined for structural or chemical changes, such asdiscoloration, pitting, cracks, and hard and soft areas. The empty sample container should be inspectedfor corrosion and adhesion of soil as well. Observations should be noted and reported to the responsiblelaboratory personnel.

��:ULWWHQ�5HFRUG

Because the written record, hereinafter referred to as boring logs, provides fundamental facts on whichall subsequent conclusions are based, the necessity of recording the maximum amount of accurateinformation cannot be overemphasized. Although there is no single procedure for recording the data, therecord should reflect all details of the investigation. The location or position of each borehole, test pit, ortrench should be clearly located horizontally and vertically with reference to an established coordinatesystem, datum, or permanent monument. The boring logs should contain information on the materialsencountered, the number and type of samples obtained, the depth and length of the samples, thepercentage of core recovery or recovery ratio, etc. The logs should also indicate the type of equipmentused, such as a drilling bit or auger, whether or not casing was used, the type of drilling fluid, and thesize of the borehole. Conditions to be recorded include the following: the properties of the drilling mud,such as weight, viscosity, and filtration characteristics; difficulties in drilling, such as squeezing orcaving formations; the date, depth, and rate that any water was lost during drilling operations, includingthe addition of drilling mud or water; or the date and depth of seepage or water bearing zones andpiezometric levels in each hole, boring, or pit; and the equilibrium depth of the water table after drillingwas ceased. Maps or sketches with accurate descriptions and photographs are extremely helpful fordocumenting the record of the site investigation.

Because the field logs form the basis for determining the soil profile and contribute to an estimate of thequality of the samples and the in situ conditions, written records should be accurate, clear, concise, andaccount for the full depth of the boring. A standardized notebook system is recommended. Notes,including all observations, should be kept in an organized, orderly manner, and should be recorded on thespot and not from memory at a later time. In general, symbols and abbreviations should not be usedbecause of the potential for confusion and misunderstanding. Furthermore, the use of symbols and

(0��-DQ��

)��

abbreviations increases the difficulty of reading and understanding the boring logs for those not familiarwith the symbols and abbreviations. Figures 13-2 and 13-3 illustrate two forms of boring logs and typicalinformation which must be recorded. An examination of the data which are presented in these figuresreveals that undisturbed sampling operations were recorded on the form given as Figure 13-2, whereasdisturbed sampling operations were recorded on the form given as Figure 13-3. It should be noted thatthese forms may be used interchangeably provided that accurate and concise records are maintained. Thestyle of the form is superfluous as compared to its purpose.

A checklist of data which should be included in the field logs follows:

The name or number of the project and its location.

The names and positions of members of the field party.

Borings and/or test pits or trenches should be located by coordinates and referenced by numbers,letters, or names in a detailed map. The ground surface elevation of each boring or test pit shouldbe referenced to an established datum which cannot be affected by construction operations.Include the date(s) of the start and completion of each boring, test pit or trench, or field test.

Describe the method(s) of advancing the borehole and the methods for stabilizing the borehole,such as the density, viscosity, and filtration characteristics of the drilling mud, or the location ofthe casing. The penetration resistance(s) and the method(s) used to force the sampler into thesoil are useful for estimating the compactness or consistency of soil in situ. A change of stratacan frequently be identified by the rate of penetration or the feel of the boring tools.

Record all major changes of soil strata. Every stratum that is substantially different from theoverlying and underlying strata should be located by depth interval, classified, and described inthe log. The report should include a description of the soil in each stratum. All lenses, layers,pockets, planes of failure, or other irregularities should be located and described, although thinlenses, i.e., less than 5 mm (0.02 ft), of a relatively uniform stratum do not need to be separatelyclassified on the log. At least one sample should be obtained from each stratum.

Record the number of the sample and its depth, preferably to the top and to the bottom of thesample. Include information on the type and diameter of the sample, the inside clearance of thecutting edge, the depth of penetration to the nearest 30 mm (0.1 ft), and the gross and net lengthsof the sample to the nearest 3 mm (0.01 ft). The depth of penetration should include the initialpenetration caused by the weight of the drill rods; the length of the sample should include thedownward movement required to engage the core catcher.

The soil should be described according to the Unified Soil Classification System with definitiveadjectives (see Appendix E). Include its natural color as well as the range of colors for moist todry conditions, its consistency for wet to dry conditions, the grain size and sorting, the structureof the soil mass, the type and degree and type of cementation (if applicable), degree ofweathering, etc.

Note sources of potential disturbance, such as unsuccessful or difficult sampling operations,obstructions or unusual observations, caving or plastic movement of the soil in the borehole, poorsample recovery, and slaking of the soil samples.

(0��-DQ��

)��

Note the groundwater conditions, including the depth to the phreatic surface or the depth atwhich loss or inflow of water occurs. If water loss or inflow occurs, measure the groundwaterlevel, the rate of inflow, the method of control, the number of pumps and the capacity of each,etc.

In some cases, a color photograph may be beneficial. Include a scale and a color card in thephotograph, because the color card will permit a comparison of colors to be made at later date.

��3UHFDXWLRQV

Sampling, preserving, and transporting soil samples may involve contact with hazardous materials,equipment, and operations. This manual does not purport to address the safety problems associated withits use. It is the responsibility of the principals involved in the site investigation to establish appropriatesafety and health practices and to determine the applicability of regulatory limitations. Specialinstructions must accompany any sample of contaminated material. Interstate transportation, storage, anddisposal of soil samples may be subject to regulations established by the U.S. Department of Agricultureand other federal, state, or local agencies.

ER 1110-1-5 describes responsibilities and procedures for identification, shipping, storage, testing, anddisposal of soil samples (whether disturbed or undisturbed) from areas quarantined by the U.S.Department of Agriculture, or from areas outside the continental limits of the United States. Soilsamples taken below a depth of 1.5 m (5 ft) are generally not considered infected and are not subject tohandling and treatment prescribed for regulated soil. Entry clearance is required for all soil samplesimported from foreign countries and from Hawaii, Guam, Puerto Rico, the Virgin Islands, and the CanalZone.

(0��-DQ��

)��

)LJXUH��(1*�)RUPV��DQG��IRU�ODEHOLQJ�DQG�LGHQWLI\LQJ�VRLO�VDPSOHV

(0��-DQ��

)��

)LJXUH��(1*�)RUP��IRU�PDLQWDLQLQJ�D�UHFRUG�RI�GULOOLQJ�DQG�XQGLVWXUEHGVDPSOLQJ�RSHUDWLRQV

(0��-DQ��

)��

)LJXUH��(QJLQHHULQJ�IRUP

�IRU�NHHSLQJ�D�UHFRUG�RI�GLVWXUEHG�VDPSOLQJ�RSHUDWLRQV

(0��-DQ��

)��

&KDSWHU�)��%DFNILOOLQJ�%RUHKROHV�DQG�([FDYDWLRQV

��*HQHUDO�6DIHW\�3UHFDXWLRQV

All open boreholes, test pits or trenches, and accessible borings, including shafts or tunnels, must be cov-ered or provided with suitable barricades, such as fences, covers, or warning lights, to protectpedestrians, livestock or wild animals, or vehicular traffic from accidents (EM 385-1-1). After theexcavations have served their intended purposes, the sites should be restored to their original state asnearly as possible. Boreholes or excavations which are backfilled as a safety precaution may be filledwith random soil. The quality of the backfill material should be sufficient to prevent hazards to personsor animals and should prevent water movement or collapse, particularly when drilling for deepexcavations or tunnels. The soil should be tamped to minimize additional settlement which could resultin an open hole at some later time. If surface casing has been set, the casing may be capped. If anuncased borehole must be reopened at a later time, a pole which is slightly smaller in diameter than theborehole may be inserted into the hole; a crosspiece which has been firmly attached to the upper end ofthe pole will be useful for removal of the pole from the hole as well as marking the location of theborehole and preventing the pole from falling into the hole.

��*URXWLQJ

All boreholes located on the landside and riverside of levees, upstream and downstream of dams andembankments, and in or under proposed structures should be grouted to prevent water from passing fromone stratum to another through the borehole and/or to prevent piping to the surface. The borings shouldbe grouted by injection through a grout pipe inserted to the bottom of the hole which will displace thewater or drilling mud and fill the hole with a continuous column of grout. The grout should contain ben-tonite or some similar swelling material to inhibit shrinkage and ensure a good seal. A grout mixture ofabout 4 to 7 percent bentonite and 93 to 96 percent portland cement is suitable for sealing boreholes.Sand may be added to the grout as filler if the proper mixing and pumping equipment are available.

��&RQFUHWH

Concrete may be used for backfill if a shrinkage inhibitor is added. Concrete should be placed in thebottom of the borehole by the tremie method to prevent segregation of the mixture and to ensure thatwater or drilling mud are displaced and the hole is filled with a continuous column of concrete(CE-1201).

(0��-DQ��

)�$��

$SSHQGL[�)��RI�(0��5HIHUHQFHV�DQG�%LEOLRJUDSK\

$��5HTXLUHG�3XEOLFDWLRQV

(5��Procurement of Diamond Drill Bits and Reaming Shells

(5��Plant Pest Quarantined Areas and Foreign Soil Samples

(5��Use of Air Drilling in Embankments and Their Foundations

(0��Safety and Health Requirements Manual

(0��Geophysical Exploration

(0��Geotechnical Investigations

(0��Bearing Capacity of Soils

(0��Laboratory Soils Testing

&(��Guide Specification for Civil Works Construction, Subsurface Drilling, Sampling and Testing

&(��Guide Specification for Civil Works Construction, Diamond Core Drilling Bits and Reaming Shells

$��5HODWHG�3XEOLFDWLRQV

$FNHU��Acker, W. L., III. 1974. %DVLF�3URFHGXUHV�IRU�6RLO�6DPSOLQJ�DQG�&RUH�'ULOOLQJ, Acker Drill Company,Inc., Scranton, PA.

$PHULFDQ�3HWUROHXP�,QVWLWXWH��American Petroleum Institute. 1983. “API Spec 13A - Specification for Oil-Well Drilling FluidMaterials,” Ninth Edition, Dallas TX.

(0��-DQ��

)�$��

$PHULFDQ�6RFLHW\�IRU�7HVWLQJ�DQG�0DWHULDOV��DAmerican Society for Testing and Materials. 1992a. 1992 $QQXDO� %RRN� RI� $670� 6WDQGDUGV�

9ROXPH��&RQFUHWH�DQG�$JJUHJDWHV, Philadelphia, PA.

$PHULFDQ�6RFLHW\�IRU�7HVWLQJ�DQG�0DWHULDOV��EAmerican Society for Testing and Materials. 1992b. 1992 $QQXDO� %RRN� RI� $670� 6WDQGDUGV�

9ROXPH��5RDG�DQG�3DYLQJ�0DWHULDOV��3DYLQJ�0DQDJHPHQW�7HFKQRORJLHV, Philadelphia, PA.

$PHULFDQ�6RFLHW\�IRU�7HVWLQJ�DQG�0DWHULDOV��FAmerican Society for Testing and Materials. 1992c. 1992 $QQXDO� %RRN� RI� $670� 6WDQGDUGV�

9ROXPH��*HQHUDO�7HVW�0HWKRGV��1RQ�PHWDO��/DERUDWRU\�$SSDUDWXV��6WDWLVWLFDO�0HWKRGV��'XUDELOLW\

RI�1RQ�0HWDOOLLF�0DWHULDOV, Philadelphia, PA.

$PHULFDQ�6RFLHW\�IRU�7HVWLQJ�DQG�0DWHULDOV��American Society for Testing and Materials. 1993. 1993 $QQXDO� %RRN� RI� $670� 6WDQGDUGV�

9ROXPH��6RLO�DQG�5RFN��'LPHQVLRQ�6WRQH��*HRV\QWKHWLFV, Philadelphia, PA.

%HOO��DBell, F. G., Editor. 1987a. “Site Investigation,” by A. C. Meigh, *URXQG�(QJLQHHUV�5HIHUHQFH�%RRN,Butterworth and Company (Publishers), Ltd., London, England, pp 24/1-24/25.

%LVKRS��Bishop, A. W. 1948. “A New Sampling Tool for Use in Cohesionless Sands Below Ground WaterLevel,” *HRWHFKQLTXH, The Institution of Civil Engineers, London, England, Vol 1, pp 125-131.

%URFNHWW�DQG�/DZVRQ��Brockett, Bruce E., and Lawson, Daniel E. 1985. “Prototype Drill for Core Sampling Fine-GrainedPerennially Frozen Ground,” CRREL Report 85-1, U.S. Army Engineer Cold Regions Research andEngineering Laboratory, Hanover, NH.

&OD\WRQ��6LPRQV��DQG�0DWWKHZV��Clayton, C. R. I., Simons, N. E., and Matthews, M. C. 1982. 6LWH� ,QYHVWLJDWLRQ, Halsted Press,New York, NY.

'HFRXUW�HW�DO��Decourt, L., Muromanchi, T., Nixon, I.K., Schertmann, J.H., Thorburn, S., Zolkov, E., 1988. “StandardPenetration Test (SPT): International Reference Test Procedure,” 3HQHWUDWLRQ�7HVWLQJ 1988, J. DeRuiter,Ed., A. A. Balkema, Rotterdam, The Netherlands, pp 3-26.

'LDPRQG�&RUH�'ULOO�0DQXIDFWXUHUV�$VVRFLDWLRQ��,QF��Diamond Core Drill Manufacturers Association, Inc. 1991. “DCDMA Technical Manual”.

'RZGLQJ��Dowding, C. H., Editor. 1979. 6LWH� &KDUDFWHUL]DWLRQ� DQG� ([SORUDWLRQ, American Society of CivilEngineers, New York, NY.

'XQODS��Dunlap, Wayne A. 1980. Personal Communications, Texas A&M University, College Station, TX.

(0��-DQ��

)�$��

*LOEHUW��Gilbert, P. A. 1984. “Investigation of Density Variation in Triaxial Test Specimens of Cohesionless SoilSubjected to Cyclic and Monotonic Loading,” Technical Report GL-84-10, U.S. Army EngineerWaterways Experiment Station, Vicksburg, MS.

*RRGH��Goode, T. B. 1950. “Undisturbed Sand Sampling Below the Water Table,” Bulletin No. 35, U.S. ArmyEngineer Waterways Experiment Station, Vicksburg, MS.

+DUGHU��Harder, Leslie F., Jr. 1993. Personal Communications, California Department of Water Resources,Sacramento, CA.

+DUGHU�DQG�6HHG��Harder, Leslie F., Jr., and Seed, H. Bolton. 1986. “Determination of Penetration Resistance for Coarse-Grained Soils Using the Becker Penetration Test,” EERC Report No. UBC/EERC-86-06, University ofCalifornia, Berkeley, CA.

+RUQ��Horn, H. M. 1979. “North American Experience in Sampling and Laboratory Dynamic Testing,”*HRWHFKQLFDO� 7HVWLQJ� -RXUQDO, American Society for Testing and Materials, Philadelphia, PA., Vol 2,No. 2, pp 84-97.

+YRUVOHY��Hvorslev, M. Juul. 1949. “Subsurface Exploration and Sampling of Soils for Civil EngineeringPurposes,” U.S. Army Engineer Waterways Experiment Station, Vicksburg, MS.

+YRUVOHY�DQG�*RRGH��Hvorslev, M. Juul, and Goode, Thomas B. 1960. “Core Drilling in Frozen Ground,” Technical ReportNo. 3-534, U.S. Army Engineer Waterways Experiment Station, Vicksburg, MS.

,QWHUQDWLRQDO�6RFLHW\�IRU�6RLO�0HFKDQLFV�DQG�)RXQGDWLRQV�(QJLQHHULQJ��International Society for Soil Mechanics and Foundations Engineering. 1966. “Report of theSubcommittee on Problems and Practices of Soil Sampling,” 3URFHHGLQJV� RI� WKH� 6L[WK� ,QWHUQDWLRQDO&RQIHUHQFH� RI� 6RLO� 0HFKDQLFV� DQG� )RXQGDWLRQ� (QJLQHHULQJ, University of Toronto Press, Toronto,Canada, Vol 3, Appendix II, pp 64-71.

.MHOOPDQ��.DOOVWHQLXV��DQG�:DJHU��Kjellman, W., Kallstenius, T., and Wager, O. 1950. “Soil Sampler with Metal Foils,” 5R\DO�6HZGLVK*HRWHFKQLFDO�,QVWLWXWH�3URFHHGLQJV, No. 1, Stockholm, Sweden.

.RYDFV�DQG�6DORPRQH��Kovacs, William D., and Salomone, Lawrence A. 1982. “SPT Hammer Energy Measurement,” -RXUQDORI� WKH�*HRWHFKQLFDO�(QJLQHHULQJ�'LYLVLRQ, American Society of Civil Engineers, New York, NY, Vol108, No. GT4, pp 599-620.

/DQJH��Lange, G. Robert. 1963. “Refrigerated Fluids for Drilling and Coring in Permafrost,” Proceedings of theFirst Permafrost International Conference, Purdue University, NAS-NRC Publication 1287, pp 375-380.

(0��-DQ��

)�$��

/DQJH��DLange, G. Robert. 1973a. “An Investigation of Core Drilling in Perennially Frozen Gravels and Rock,”Technical Report 245, U.S. Army Engineer Cold Regions Research and Engineering Laboratory,Hanover, NH.

/DQJH��ELange, G. Robert. 1973b. “Deep Rotary Core Drilling in Ice,” Technical Report 94, U.S. Army EngineerCold Regions Research and Engineering Laboratory, Hanover, NH.

/RQJ\HDU�&RPSDQ\��Longyear Company. 1981. “Longyear Field Manual - Diamond Tools for Geological Prospecting,Underground Drilling, Grouting, Geothermal Exploration, Hydrological Studies,” Product Literature,Minneapolis, MN.

0DUFXVRQ�DQG�)UDQNOLQ��Marcuson, W. F., and Franklin, A. G. 1979. “State of the Art of Undisturbed Sampling of CohesionlessSoils,” Miscellaneous Paper GL-79-16, U.S. Army Engineer Waterways Experiment Station, Vicksburg,MS.

0DWKHZV��Mathews, A. L. 1959. “Lacquering of Sampling Tubes for Protection Against Corrosion,” TechnicalReport No. 3-514, U.S. Army Engineer Waterways Experiment Station, Vicksburg, MS.

0DWKHZVRQ��Mathewson, Christopher C. 1981. (QJLQHHULQJ� *HRORJ\, Charles E. Merrill Publishing Company,Columbus, OH.

0F*UDZ�+LOO��,QF��McGraw-Hill, Inc. 1992. 0F*UDZ�+LOO� (QF\FORSHGLD� RI� 6FLHQFH� DQG� 7HFKQRORJ\, McGraw-HillPublishing Company, New York, NY, 7th Edition, Vol 4, pp 234-234.

0HOORU��Mellor, Malcolm. 1976. “Mechanics of Cutting and Boring; Part II: Kinematics of Axial RotationMachines,” CRREL Report No. 76-16, U.S. Army Engineer Cold Regions Research and EngineeringLaboratory, Hanover, NH.

0LGGOHEURRNV��Middlebrooks, T. A. 1942. “Fort Peck Slide,” 7UDQVDFWLRQV�RI�WKH�$PHULFDQ�6RFLHW\�RI�&LYLO�(QJLQHHUV,American Society of Civil Engineers, New York, NY, Vol 107, pp 723-764.

1��/��%DURLG�1��/��,QGXVWULHV��,QF�N. L. Baroid/N. L. Industries, Inc., “N. L. Baroid Drilling Fluid Products for Water Well, MineralsExploration and Geotechnical Drilling,” Product Literature, Houston, TX.

1RRUDQ\��Noorany, Iraj. 1989. “Classification of Marine Sediments,” -RXUQDO� RI� *HRWHFKQLFDO� (QJLQHHULQJ,American Society of Civil Engineers, New York, NY, Vol 115, No. 1, pp 23 37.

(0��-DQ��

)�$��

21HLO��O'Neil, F. W., Editor, 1934. “Compressed Air Data, Handbook of Pneumatic Engineering Practice,”4th Edition, &RPSUHVVHG�$LU�0DJD]LQH, Bowling Green Building, New York, NY.

2VWHUEHUJ�DQG�9DUDNVLQ��Osterberg, J. O., and Varaksin, Serge. 1973. “Determination of Relative Density Below GroundwaterTable,” (YDOXDWLRQ� RI� 5HODWLYH�'HQVLW\� DQG� ,WV� 5ROH� LQ�*HRWHFKQLFDO� 3URMHFWV� ,QYROYLQJ�&RKHVLRQOHVV6RLOV, ASTM Special Technical Publication 523, American Society for Testing and Materials,Philadelphia, PA, pp 364-376.

3RXORV��&DVWUR��DQG�)UDQFH��Poulos, Steve J., Castro, Gonzalo, and France, John W. 1985. “Liquefaction Evaluation Procedure,”-RXUQDO�RI�*HRWHFKQLFDO�(QJLQHHULQJ, American Society of Civil Engineers, New York, NY, Vol 111,No. 6, pp 772-792.

5LJJV��Riggs, Charles O. 1986. “North American Standard Penetration Test Practice: An Essay,” 8VH�RI�,Q�6LWX7HVWV� LQ�*HRWHFKQLFDO�(QJLQHHULQJ, Samuel P. Clemence, Ed., Geotechnical Special Publication No. 6,American Society of Civil Engineers, New York, NY, pp 949-967.

5REHUWV�HW�DO��Roberts, Freddy L., Kandhal, Prithvi, S., Brown, E. Ray, Lee, Dah-Yinn, and Kennedy, Thomas W.1991. +RW�0L[�$VSKDOW�0DWHULDOV��0L[WXUH�'HVLJQ��DQG�&RQVWUXFWLRQ, First Edition, NAPA EducationFoundation, Lanham, MD.

6DQJHU��Sanger, Frederick J. 1968. “Ground Freezing in Construction,” -RXUQDO� RI� WKH� 6RLO�0HFKDQLFV� DQG)RXQGDWLRQV� 'LYLVLRQ, American Society of Civil Engineers, New York, NY, Vol 94, No. SM1,pp 131-158.

6FKPHUWPDQQ��Schmertmann, J. H. 1978. “Use the SPT to Measure Dynamic Soil Properties? - Yes, But...!,” '\QDPLF*HRWHFKQLFDO� 7HVWLQJ, ASTM Special Technical Publication 654, American Society for Testing andMaterials, Philadelphia, PA, pp 341-355.

6FKQHLGHU��&KDPHDX��DQG�/HRQDUGV��Schneider, Hans R., Chameau, Jean-Lou, and Leonards, Gerald A. 1989. “Chemical Impregnation ofCohesionless Soils,” *HRWHFKQLFDO� 7HVWLQJ� -RXUQDO, American Society for Testing and Materials,Philadelphia, PA., Vol 12, No. 3, pp 204-210.

6HHG��Seed, H. Bolton. 1979. “Soil Liquefaction and Cyclic Mobility Evaluation for Level Ground DuringEarthquakes,” -RXUQDO�RI�WKH�*HRWHFKQLFDO�(QJLQHHULQJ�'LYLVLRQ, American Society of Civil Engineers,New York, NY, Vol 105, No. GT2, pp 201-255.

(0��-DQ��

)�$��

6HHG��,GULVV��DQG�$UDQJR��Seed, H. Bolton, Idriss, I. M., and Arango, Ignacio. 1983. “Evaluation of Liquefaction Potential UsingField Performance Data,” -RXUQDO�RI�*HRWHFKQLFDO�(QJLQHHULQJ, American Society of Civil Engineers,New York, NY, Vol 109, No. 3, pp 458-482.

6HHG�HW�DO��Seed, H. Bolton, Singh, Sukhmander, Chan, Clarence K., and Vilela, T. F. 1982. “Considerations inUndisturbed Sampling of Sands,” -RXUQDO�RI�WKH�*HRWHFKQLFDO�(QJLQHHULQJ�'LYLVLRQ, American Societyof Civil Engineers, New York, NY, Vol 108, No. GT2, pp 265-283.

6HHG�HW�DO��Seed, H. Bolton, Tokimatsu, K., Harder, L. F., and Chung, Riley M. 1985. “Influence of SPTProcedures in Soil Liquefaction Resistance Evaluations,” -RXUQDO� RI� *HRWHFKQLFDO� (QJLQHHULQJ,American Society of Civil Engineers, New York, NY, Vol 111, No. 12, pp 1425-1445.

6HOOPDQQ�DQG�%URFNHWW��Sellmann, Paul V., and Brockett, Bruce E. 1987. “Bit Design Improves Augers,” 7KH�0LOLWDU\�(QJLQHHU,Alexandria, VA, Vol 79, No. 516, pp 453-454.

6LQJK��6HHG��DQG�&KDQ��Singh, Sukhmander, Seed, H. Bolton, and Chan, Clarence K. 1982. “Undisturbed Sampling of SaturatedSands by Freezing,” -RXUQDO� RI� WKH� *HRWHFKQLFDO� (QJLQHHULQJ� 'LYLVLRQ, American Society of CivilEngineers, New York, NY, Vol 108, No. GT2, pp 247-264.

6PLWK��'XQEDU��DQG�%ULWVFK��Smith, Lawson M., Dunbar, Joseph B., and Britsch, Louis D. 1986. “Geomorphological Investigation ofthe Atchafalaya Basin, Area West, Atchafalaya Delta, and Terrebonne Marsh; Volume I,” U.S. ArmyEngineer Waterways Experiment Station, Vicksburg, MS.

7HU]DJKL�DQG�3HFN��Terzaghi, Karl, and Peck, Ralph B. 1948. 6RLO�0HFKDQLFV� LQ� (QJLQHHULQJ�3UDFWLFH, John Wiley andSons, Inc., New York, NY.

7LHGHPDQQ�DQG�6RUHQVRQ��Tiedemann, Drew A., and Sorenson, Raleigh D. 1983. “Use of a Chain Saw for Obtaining UndisturbedBlock Samples,” *HRWHFKQLFDO� 7HVWLQJ� -RXUQDO, American Society for Testing and Materials,Philadelphia, PA., Vol 6, No. 3, pp 157-159.

7RUUH\��'XQEDU��DQG�3HWHUVRQ��Torrey, Victor H., III, Dunbar, Joseph B., and Peterson, Richard W. 1988. “Retrogressive Failures inSand Deposits of the Mississippi River, Report 1, Field Investigations, Laboratory Studies and Analysisof the Hypothesized Failure Mechanism,” Technical Report GL-88-9, U.S. Army Engineer WaterwaysExperiment Station, Vicksburg, MS.

7V\WRYLFK��Tsytovich, N. A. 1955. “Influence of Freezing Conditions on the Porosity of Water-Saturated Sands,”Vop Geol Azii, U.S.S.R. Academy of Science Press.

(0��-DQ��

)�$��

8HGD��6HOOPDQQ��DQG�$EHOH��Ueda, Herbert, Sellmann, Paul, and Abele, Gunars. 1975. “USA CRREL Snow and Ice TestingEquipment,” Special Report 146, U.S. Army Engineer Cold Regions Research and EngineeringLaboratory, Hanover, NH.

8�6��$UP\��DU.S. Army. 1939a. “Notes on Principles and Applications of Soil Mechanics,” Corps of Engineers,U.S. Engineer Office, Fort Peck, MT.

8�6��$UP\��EU.S. Army. 1939b. “Report on the Slide of a Portion of the Upstream Face of the Fort Peck Dam,”Corps of Engineers, US Engineer Office, Fort Peck, MT.

8�6��$UP\�&RUSV�RI�(QJLQHHUV��U.S. Army Corps of Engineers, Southwestern Division Laboratory. 1959. “Program for CentralProcurement of Diamond Drilling Tools,” Dallas TX.

8�6��$UP\�&RUSV�RI�(QJLQHHUV��.DQVDV�&LW\�'LVWULFW��U.S. Army Corps of Engineers, Kansas City District. 1986. “Evaluation of Embankment and FoundationEarthquake Resistance,” Design Memorandum No 35, Seismic Evaluation, Milford Dam, RepublicanRiver, Kansas, Kansas City, MO.

8�6��$UP\�(QJLQHHU�:DWHUZD\V�([SHULPHQW�6WDWLRQ��U.S. Army Engineer Waterways Experiment Station. 1952. “Density Changes of Sand Caused bySampling and Testing,” Potamology Investigations Report No. 12-1, Vicksburg, MS.

8�6��$UP\�(QJLQHHU�:DWHUZD\V�([SHULPHQW�6WDWLRQ��U.S. Army Engineer Waterways Experiment Station. 1960. “The Unified Soil Classification System,”Technical Memorandum No. 3-357, Vicksburg, MS.

8�6��'HSDUWPHQW�RI�WKH�,QWHULRU��%XUHDX�RI�5HFODPDWLRQ��U.S. Department of the Interior, Bureau of Reclamation. 1974. (DUWK�0DQXDO, 2nd Ed., Washington,D.C.

8�6��'HSDUWPHQW�RI�WKH�,QWHULRU��%XUHDX�RI�5HFODPDWLRQ��U.S. Department of the Interior, Bureau of Reclamation. 1986. “Procedure for Performing Disturbed SoilSampling in Test Pits, Trenches, Accessible Borings, and Tunnels,” USBR 7000-86, Denver, CO.

9DOOHH�DQG�6NU\QHVV��Vallee, R. P., and Skryness, R. S. 1979. “Sampling and In Situ Density of a Saturated Gravel Deposit,”*HRWHFKQLFDO� 7HVWLQJ� -RXUQDO, American Society for Testing and Materials, Philadelphia, PA., Vol 2,No. 3, pp 136-142.

:DOEHUJ��Walberg, Francke C. 1978. “Freezing and Cyclic Triaxial Behavior of Sands,” -RXUQDO� RI� WKH

*HRWHFKQLFDO� (QJLQHHULQJ� 'LYLVLRQ, American Society of Civil Engineers, New York, NY, Vol 104,No. GT5, pp 667-671.

(0��-DQ��

)�$��

:LQWHUNRUQ�DQG�)DQJ��Winterkorn, H. F., and Fang, H. Y., Editors. 1975. “Subsurface Explorations and Sampling” by JohnLowe, III, and Philip F. Zaccheo, )RXQGDWLRQ�(QJLQHHULQJ�+DQGERRN, Van Nostrand Reinhold Company,New York, NY, pp 1-66.

<RVKLPL��+DWDQDND��DQG�2K�RND��Yoshimi, Y., Hatanaka, M., and Oh-oka, H. 1978. “Undisturbed Sampling of Saturated Sands byFreezing,” 6RLOV� DQG� )RXQGDWLRQV, Japanese Society of Soil Mechanics and Foundation Engineering,Tokyo, Japan, Vol 18, No. 3, pp 59-73.

$��%LEOLRJUDSK\

$PHULFDQ�6RFLHW\�IRU�7HVWLQJ�DQG�0DWHULDOV��American Society for Testing and Materials. 1972. 8QGHUZDWHU�6RLO�6DPSOLQJ��7HVWLQJ�DQG�&RQVWUXFWLRQ&RQWURO, ASTM Special Technical Publication 501, Philadelphia, PA.

%HJHPDQQ��Begemann, H. K. S. 1974. “The Delft Continuous Soil Sampler,” %XOOHWLQ� RI� WKH� ,QWHUQDWLRQDO

$VVRFLDWLRQ�RI�(QJLQHHULQJ�*HRORJ\, Laboratoire Central des Ponts et Chaussees, Paris, France, No. 10,pp 35-37.

%HOO��EBell, F. G., Editor. 1987b. “Artificial Freezing of the Ground for Construction Purposes,” by H. L.Jessberger, *URXQG�(QJLQHHUV�5HIHUHQFH�%RRN, Butterworth and Company (Publishers), Ltd., London,England, pp 31/1-31/17.

&DQDGLDQ�*HRWHFKQLFDO�6RFLHW\��Canadian Geotechnical Society. 1985. &DQDGLDQ�)RXQGDWLRQ�(QJLQHHULQJ�0DQXDO, 2nd Ed., Vancouver,British Columbia, Canada.

&KDQH\�DQG�'HPDUV��Chaney, Ronald C., and Demars, K. R., Editors. 1985. 6WUHQJWK� 7HVWLQJ� RI� 0DULQH� 6HGLPHQWV�/DERUDWRU\�DQG�,Q�6LWX�0HDVXUHPHQWV, ASTM Special Technical Publication 883, American Society forTesting and Materials, Philadelphia, PA.

&KDSPDQ��Chapman, Charles F. 1964. 3LORWLQJ�� 6HDPDQVKLS�� DQG� 6PDOO� %RDW� +DQGOLQJ, 1965-66 Edition, TheHearst Corporation, New York, NY.

&KULVWHQVHQ�'LDPLQ�7RROV��,QF�Christensen Diamin Tools, Inc. “An Overview - Drilling with Diamonds,” Product Literature, Salt LakeCity, UT.

'HSDUWPHQW�RI�WKH�1DY\��1DYDO�)DFLOLWLHV�(QJLQHHULQJ�&RPPDQG��Department of the Navy, Naval Facilities Engineering Command. 1982. “Soil Mechanics,” DesignManual NAVFAC DM-7.1, Arlington, VA.

(0��-DQ��

)�$��

'HSDUWPHQWV�RI�WKH�$UP\�DQG�WKH�$LU�)RUFH��Departments of the Army and the Air Force. 1982. “Soils and Geology, Procedures for FoundationDesign of Buildings and Other Structures (Except Hydraulic Structures),” Technical ManualNo. 5-818-1/AFM 88-3, Washington, D.C.

(PULFK��Emrich, W. J. 1971. “Performance Study of Soil Sampler for Deep Penetration Marine Borings,” 6DP�SOLQJ� RI� 6RLO� DQG� 5RFN, ASTM Special Technical Publication 483, American Society for Testing andMaterials, Philadelphia, PA, pp 30 50.

)LQQ��Finn, Fred N. 1972. “Subsurface Soils Exploration,” National Association of County Engineers ActionGuide Series, Vol 16.

*UD\��Gray, George R. 1971. “Plan the Mud Program to Reduce Exploration Cost,” Preprinted by :HVWHUQ0LQHU, Vancouver, British Columbia, Canada.

*UD\��Gray, George R. 1972. “Drilling with Mud - Simple Tests Save Time and Money,” Reprinted fromWater Well Journal.

+DUGHU��Harder, Leslie F., Jr. 1987. “Interpretation of Becker Penetration Tests Performed at Ririe Dam in1986,” Appendix H, “Seismic Stability Evaluation of Ririe Dam and Reservoir Project, Report 1,Construction History and Field and Laboratory Studies, Volume II: Appendixes A-J,” by D. W. Sykora etal. 1991, Technical Report GL-91-22, U.S. Army Engineer Waterways Experiment Station, Vicksburg,MS.

,QWHUQDWLRQDO�6RFLHW\�IRU�6RLO�0HFKDQLFV�DQG�)RXQGDWLRQV�(QJLQHHULQJ��International Society for Soil Mechanics and Foundations Engineering. 1981. ,QWHUQDWLRQDO�0DQXDO�IRUWKH� 6DPSOLQJ� RI� 6RIW� &RKHVLYH� 6RLOV, Sub-Committee on Soil Sampling, Ed., Tokai University Press,Tokyo, Japan.

,VNDQGDU��Iskandar, Iskandar K. 1987. “Ground Freezing Controls Hazardous Waste,” 7KH�0LOLWDU\� (QJLQHHU,Alexandria, VA, Vol 79, No. 516, pp 455-456.

-HZHOO�DQG�.KRUVKLG��Jewell, R. J., and Khorshid, M. S., Editors. 1988. (QJLQHHULQJ� IRU� &DOFDUHRXV� 6HGLPHQWV, A. A.Balkema, Rotterdam, Netherlands, Vol I and II.

/LQJ��Ling, S. C. 1972. “State-Of-The-Art of Marine Soil Mechanics and Foundation Engineering,” TechnicalReport S-72-11, U.S. Army Engineer Waterways Experiment Station, Vicksburg, MS.

0DXUHU��Maurer, William C. 1980. $GYDQFHG�'ULOOLQJ�7HFKQLTXHV, The Petroleum Publishing Company, Tulsa,OK.

(0��-DQ��

)�$��

0LWFKHOO��*X]LNRZVNL��DQG�9LOOHW��Mitchell, James K., Guzikowski, Frank, and Villet, Willem C. B. 1978. “The Measurement of SoilProperties In-Situ,” Lawrence Berkeley Laboratory Report No. LBL-6363, University of California,Berkeley, CA.

3URFWRU��Proctor, R. R. 1933. “Description of Field and Laboratory Methods,” (QJLQHHULQJ� 1HZV�5HFRUG,McGraw-Hill Publishing Company, New York, NY, Vol 111, No. 9, pp 286-289.

5DQG�DQG�0HOORU��Rand, John, and Mellor, Malcolm. 1985. “Ice-Coring Augers for Shallow Depth Sampling,” CRRELReport 85-21, U.S. Army Engineer Cold Regions Research and Engineering Laboratory, Hanover, NH.

5RFNHU��Rocker, Karl Jr., Editor. 1985. “Handbook for Marine Geotechnical Engineering,” U.S. Naval CivilEngineering Laboratory, Port Hueneme, CA, pp 2 1 to 2 28.

6HOOPDQQ�DQG�0HOORU��Sellmann, Paul V., and Mellor, Malcolm. 1986. “Drill Bits for Frozen Fine-Grained Soils,” SpecialReport 86-27, U.S. Army Engineer Cold Regions Research and Engineering Laboratory, Hanover, NH.

6WDQOH\�DQG�6ZLIW��Stanley, Daniel Jean, and Swift, Donald J. P., Editors. 1976. 0DULQH� 6HGLPHQW� 7UDQVSRUW� DQG

(QYLURQPHQWDO�0DQDJHPHQW, John Wiley & Sons, New York, NY.

7H[DV�+LJKZD\�'HSDUWPHQW��7KH�%ULGJH�'LYLVLRQ��Texas Highway Department, The Bridge Division. 1972. “Foundation Exploration and Design Manual,”2nd Ed., Austin, TX.

7KXUPDQ��Thurman, Harold V. 1987. (VVHQWLDOV� RI� 2FHDQRJUDSK\, 2nd Edition, Charles E. Merrill PublishingCompany, Columbus, OH.

8�6��$UP\�&RUSV�RI�(QJLQHHUV��6RXWK�$WODQWLF�'LYLVLRQ��U.S. Army Corps of Engineers, South Atlantic Division. 1985. “Engineering and Design GeotechnicalManual for Surface and Subsurface Investigations,” Division Manual DM 1110-1-1, Atlanta, GA.

8�6��$UP\�(QJLQHHU�:DWHUZD\V�([SHULPHQW�6WDWLRQ��U.S. Army Engineer Waterways Experiment Station. 1982. “Earthwork Construction InspectorsCourse,” PROSPECT Training Course Notes, Vicksburg, MS.

8�6��$UP\�(QJLQHHU�:DWHUZD\V�([SHULPHQW�6WDWLRQ��U.S. Army Engineer Waterways Experiment Station, Coastal Engineering Research Center. 1984.“Shore Protection Manual,” Vol I and II, Vicksburg, MS.

8�6��$UP\�(QJLQHHU�:DWHUZD\V�([SHULPHQW�6WDWLRQ��U.S. Army Engineer Waterways Experiment Station.1986. “Drilling and Sampling for EngineeringPurposes,” PROSPECT Training Course Notes, Vicksburg, MS.

(0��-DQ��

)�$��

8�6��'HSDUWPHQW�RI�WKH�,QWHULRU��%XUHDX�RI�5HFODPDWLRQ��U.S. Department of the Interior, Bureau of Reclamation. 1989. “Procedure for Obtaining UndisturbedBlock Samples by the Hand and Chain Saw Methods,” USBR 7100-89, Denver, CO.

:ULJKW��Wright, Stephen G., Editor. 1983. *HRWHFKQLFDO�3UDFWLFH�LQ�2IIVKRUH�(QJLQHHULQJ, American Society ofCivil Engineers, New York, NY.

(0��-DQ��

References cited in this appendix are included in Appendix A.1

)�'��

$SSHQGL[�)��RI�(0��$UWLILFLDO�*URXQG�)UHH]LQJ�IRU�8QGLVWXUEHG�6DPSOLQJ�RI�&RKHVLRQOHVV�6RLOV

'��,QWURGXFWLRQ

The critical importance of high-quality undisturbed samples of cohesionless soils for earthquake analysisprocedures has been well documented (Horn 1979; Marcuson and Franklin 1979; Poulos, Castro, andFrance 1985; Seed 1979; Singh, Seed, and Chan 1982). Unfortunately, the development of technology1

or methodologies to obtain truly undisturbed samples of sand has been rather elusive. Hvorslev (1949)suggested several methods which included thin-walled, fixed-piston samplers in mud-filled holes;open-drive samplers using compressed air; freezing; and impregnation. Marcuson and Franklin (1979)and the U.S. Army Engineer Waterways Experiment Station (1952) reported studies using thethin-walled, fixed-piston sampler; these studies documented that loose samples were densified and densesamples were loosened. Seed et al. (1982) reported an investigation of the effect of sampling disturbanceon the cyclic strength characteristics of sands; they reported that the Hvorslev fixed-piston samplercaused density changes while advance trimming and sampling techniques caused little change in density,although some disturbance due to stress relief was reported. Other methods have included hand--trimming samples from test pits or shafts. Occasionally, samples obtained by fixed-piston sampling orhand-trimming methods have been frozen after sampling at the site (Torrey, Dunbar, and Peterson 1988;Walberg 1978) in an attempt to preserve the sample. However, studies have consistently demonstratedthat stress relief and/or void ratio changes may have occurred during sampling operations.

More recently, studies have demonstrated that high quality undisturbed samples could be obtained byimpregnation or freezing techniques, although both methods were fairly expensive and difficult to apply.A study using the impregnation technique was reported by Schneider, Chameau, and Leonards (1989).The premiere consideration of this study was the concern that the impregnating material would readilypenetrate the soil, protect the soil structure during sampling operations, and could easily and effectivelybe removed from the specimen at a later date. Singh, Seed, and Chan (1982) reported a laboratoryinvestigation which employed an “in situ” freezing technique. For this study, a large triaxial specimen ofsand which had been subjected to a known stress history was frozen and sampled; the experimental datademonstrated that unidirectional freezing with no impedance of drainage could be used to obtainlaboratory samples which maintained the characteristics of the in situ formation.

Based upon the research by Singh, Seed, and Chan (1982), a methodology, which consists of one-dimensional ground freezing followed by core sampling, should be considered whenever very high-quality undisturbed samples of cohesionless materials are required. The in situ freezing method iscontingent on the requirements that the soil is free draining and that the freeze front advances one-dimensionally; the one-dimensional movement of the freeze front permits drainage away from the frontin response to the change of volume caused by the phase change of water to ice.

'��+LVWRULFDO�'HYHORSPHQW

Ground freezing for construction purposes has been conducted for more than 100 years (Sanger 1968).In situ freezing to obtain undisturbed calyx samples was done at Fort Peck Dam following the upstreamslide of the embankment in 1938 (Middlebrooks 1942; U.S. Army 1939a, 1939b; Hvorslev 1949). Other

(0��-DQ��

)�'��

instances of ground freezing have included operations to obtain in-place densities in sands, gravellysands, and gravels (Osterberg and Varaksin 1973, Vallee and Skryness 1979). For each of these oper-ations, a cylindrical-wall freezing technique was employed. Because one-dimensional freezing was notsatisfied, specimens may have been disturbed as a result of ice expansion.

More recently, Japanese investigators (Yoshimi, Hatanaka, and Oh-oka 1978) reported an in situ radialfreezing technique. The methodology consisted of the use of a single freeze pipe which is subsequentlyused to pull a frozen column of soil from the ground. While the “popsicle” technique satisfied theone-dimensional freezing criteria, it is likely the technique is limited to shallow depths and would not beappropriate for many locations, such as the downstream toe of a dam where the piezometric levels maybe very high. A one-dimensional freezing technique which allows sampling at depths greater than 15 m(50 ft) which should not jeopardize the structural safety of the dam or embankment is presented herein.

'��,Q�6LWX�)UHH]LQJ�DQG�7HVWLQJ�5DWLRQDOH

D� 6LWH�VHOHFWLRQ�DQG�OD\RXW. As previously mentioned, a site must be selected in which the soil isfreedraining; the freeze hole layout must be designed to ensure that the freeze front advances across theprospective sampling area in one dimension without trapping water. Although this in situ freezingprocedure is generally applicable to saturated, relatively clean sands and gravels, it could be used inpartially saturated materials provided that sufficient ice is formed during the freezing process to give thematerial adequate strength (cohesion) to allow coring. The presence of too many fines (silts and clays)could result in impeded drainage, in which the pore water would expand during the phase change to iceand seriously disturb the sand structure, or could cause migration of pore water toward the freeze front,which would result in the formation of ice lenses with subsequent volume change. In either case, Tsytov-ich (1955) and Gilbert (1984) have shown that in sands with free drainage, the porosity remains constantbecause excess water is squeezed out as the freeze front advances.

Provided that a suitable candidate site has been identified, typical examples of a site layout are illustratedin Figures D-1 and D-2. According to the literature, spacings for the holes are typically 0.6 to 0.9 m (2 to3 ft), although Vallee and Skryness (1979) reported a hole spacing of 2.1 m (7 ft). Initially, a coolant,such as a chilled brine, is circulated through vertical freeze holes identified by the symbol “F.” Freezingprogresses radially from each hole and eventually makes closure between the freeze holes to form acontinuous frozen mass, as idealized in the figures. The location of the freeze front can be determined bysymmetry from monitoring the temperature in holes identified by the symbol “T.”

If additional freeze holes are needed to obtain a thick mass of ice around the proposed sampling area,circulation of the coolant in the secondary freeze holes should not begin until freezing of the initial areais completed. Furthermore, the layout of the freeze holes should ensure that freezing will always prog-ress radially outward from the initial freeze zone. If one-dimensional freezing does not occur, disturbanceof the soil in zones between the freeze fronts may occur because of the expansion of groundwater uponfreezing. Additionally, freeze holes and temperature monitoring holes should be located as far aspractical from the sampling area to minimize the disturbance caused by drilling and installation of theholes.

E� &RULQJ� Based upon experience obtained by drilling in frozen soil, coring methods vary with thetype of soil, its temperature, and the degree of saturation of ice in the soil voids, i.e., the ice content(Hvorslev and Goode 1960). Soil strength increases with a decrease of temperature and an increase ofthe ice content, whereas the torsional strength of a core of frozen soil increases with increasing diameter.To obtain good cores and good recovery, a fairly large, e.g., 125- to 150-mm- (5- to 6 in.-) diam double-

(0��-DQ��

)�'��

or triple-tube core barrel with a diamond or tungsten bit is suggested. Because the temperature of theartificially frozen soil can be expected to be only a few degrees below freezing, the drilling fluid willhave to be cooled to prevent the melting of the pore ice during the drilling operations. Cooling of thedrilling fluid can be accomplished by circulating it through a chiller attached to the refrigeration plant.Although the use of air as the drilling fluid is perhaps more desirable from an environment consideration,it is not satisfactory if the ambient air temperature is above freezing. Furthermore, the use of compressedair as a drilling fluid is prohibited for drilling in water-retaining embankments, as outlined byER 1110-2-1807. Consequently, the alternative choices for drilling fluid are ethylene or propylene glycoland diesel fuel, although the potential adverse environmental effects caused by these products must beconsidered.

F� )UR]HQ� FRUH. Immediately after the core has been retrieved from the borehole, it should bemoved to a cold storage facility where it can be identified, logged, and sealed in a container which willprevent sublimation of ice as well as protect the sample when it is transported to and stored at thelaboratory. Once the samples have arrived at the laboratory, further testing can be conducted under morecontrolled conditions and at much colder temperatures. For example, if the grain size of the material issmall enough, samples may be recored to smaller diameter specimens; this operation will tend toeliminate the effects of any disturbance from field coring and/or thawing at the periphery of the fieldsample. After the frozen specimen has been prepared for testing, it can be placed in the triaxial chamberwhere the in situ stresses and pore pressure can be reapplied prior to permitting the specimen to thaw.During the thawing process, the specimen should be continuously monitored to detect any evidence ofdisturbance. After the thawing process is completed and the temperature of the test specimen hasstabilized with the ambient conditions, monotonic or cyclic triaxial tests can be performed to determinethe in situ static or dynamic strength properties, respectively.

'��)UHH]H�3ODQW�6\VWHP

Although there is not a “best” or unique system for conducting the in situ freezing and drilling andsampling operations, the design of a suitable freeze plant system can be accomplished by cooperation ofrefrigeration personnel who are knowledgeable of artificial ground freezing operations and geotechnicalpersonnel who are knowledgeable of the site conditions. In principle, the freeze plant system consists ofthree separate systems. The refrigerator system which is similar to a refrigerator or freezer homeappliance consists of a motor, compressor, condenser, and evaporator. The freeze hole system consists ofa chiller, a reservoir for storage of the chilled drilling fluid, a brine pump, and the pipe for circulating thechilled brine to the freeze holes. The monitoring or data acquisition system includes pressure,temperature, and flow rate sensors.

D� )UHH]H�SODQW. The purpose of the freeze plant is to cool the brine, which is circulated through thefreeze holes, to a temperature much less than 0 deg C (32 deg F) as well as to chill the drilling fluidsufficiently to prevent thawing of the core during drilling operations. During field operations, the brineis cooled in the chiller by the refrigeration system, circulated through the freeze pipes by the brine pump,returned to the refrigeration plant, and recirculated through the chiller; a similar technique is used forcooling the drilling fluid. Considerations for the design of the freeze plant should include: seepage inthe foundation could require a large amount of energy to freeze the formation; and the use of two smallerrefrigeration plants, i.e., one for in situ freezing and one for chilling the drilling fluid, would allow moreflexibility of the field operations as compared to one large plant. From data published in the citedliterature, the refrigerator plants were typically 30 to 60 kilowatts (kw) (100,000 to 200,000 BTU/hr or8.5 to 17.0 tons), although one system was reported as 260 kw (890,000 BTU/hr or 74.0 tons).

(0��-DQ��

)�'��

E� )UHH]H� KROHV� DQG� WHPSHUDWXUH� KROHV. Freeze holes and temperature monitoring holes can bedrilled and constructed identically, except that temperature monitoring holes do not have to be fitted forbrine recirculation. Holes should be drilled slightly larger in diameter than the diameter of the pipes tobe placed in the holes. To ensure the vertical alignment of all holes, which is fairly critical, the kelly canbe plumbed by sighting through a transit. For example, nonvertical freeze holes could result in a pocketor window of unfrozen material within the frozen mass or the intrusion of freeze holes into the desiredsample area. Similarly, the vertical alignment of temperature holes assures that monitored temperaturesare always taken at a constant distance from the freeze pipes.

Upon completion of the drilling, freeze or temperature monitoring pipes, which have been previouslypressure tested for leakage, can be installed in the borehole. Prior to backfilling the annulus between thepipe and the walls of the borehole with granular material, the vertical deviation of each pipe should bemeasured by a suitable device, such as a borehole inclinometer. After the boreholes have beenbackfilled, each freeze pipe can be fitted with valves, insulated supply and return lines, and other equip-ment or gauges which are required for operation of the system. From the literature, the pipes used in thefreeze holes were typically 8 to 10 cm (3 to 4 in.) in diameter while the pipes used in the temperatureholes were either the same diameter or slightly smaller.

F� 0RQLWRULQJ�V\VWHP. To monitor system operations, a variety of instruments is required. Brinepressures and flow rates should be monitored at the pump (supply line) and before the chiller (returnline). The refrigeration plant compressor head pressure and suction pressure should also be monitored.Thermocouples or other suitable temperature monitoring devices should be installed at several locationsalong the coolant supply and return lines, such as immediately ahead of and behind each freeze hole. Astring of thermocouples should be suspended in the brine-filled temperature monitoring pipes at regularintervals, e.g., approximately 1.2- to 1.5-m (4- to 5-ft) intervals, to monitor the cooling and subsequentfreezing of the formation. The thermocouples can be connected to a multiple-switch monitoring box witha digital thermometer. All operations data should be routinely recorded at regular intervals, e.g., every4 hr.

'��8QGLVWXUEHG�6DPSOLQJ�2SHUDWLRQV

D� &RULQJ. Coring can be accomplished using a conventional double- or triple-tube core barrelequipped with a diamond or tungsten bit. The drilling fluid is cooled by circulating it through a heatexchanger connected in parallel to the refrigeration plant; a time of 1 or 2 hr or more may be required toreduce the temperature of the drilling fluid to below freezing before drilling operations can begin.Although drilling operations must be tempered to the site-specific conditions, it is suggested that rapidpenetration of the bit at high revolutions per minute (rpm) will usually produce the best quality samples.Because the frozen ground and drilling fluid temperatures are usually not low enough to prevent thawingof the outermost periphery of the sample during drilling and sampling operations, it is probable thatlower penetration rates will generally result in more thawing at the periphery of the core and conse-quently more erosion of the core by the circulating drill fluid. See Chapter 9 for additional informationon sampling frozen soils.

E��+DQGOLQJ�RI�FRUH. The length of the core run is dependent upon the dimensions of the core barreland may be several feet. As soon as the core is taken from the core barrel, it should be placed in a sturdycradle and carried to a refrigerated van where it can be logged, photographed, and cut into shorterlengths. Cutting of the core can be accomplished by a band saw or a hammer and chisel. The cut coreshould then be wrapped in two or three layers of plastic wrap followed by two or three layers ofaluminum foil and then carefully sealed with strapping tape to prevent sublimation of the ice. After each

(0��-DQ��

)�'��

segment of core has been sealed, it should be placed in a suitable container, such as a section of splitPVC pipe, and secured by strapping tape for transport to the laboratory and subsequent storage. Thesample should then be identified and boring logs should be updated. See Chapter 13 for guidance on thehandling and storage of samples and maintaining sampling records.

'��3UHFDXWLRQV

Because of limited experience of the profession regarding in situ freezing, each investigation must betailored to the site conditions. Therefore, comprehensive guidance and rules governing in situ freezingcannot be established for specific situations. However, several precautions are identified which mayenhance the field operations.

The candidate formation should be free draining and relatively free of silt and clay (lenses)which could result in impeded drainage or migration of water towards the freeze front.Unfortunately, this same characteristic may also cause unanticipated freezing difficulties due tothe large seepage gradients or velocities in the formation.

The freeze hole layout and spacing should be optimized for the foundation conditions. Prior toinstallation, freeze pipes and temperature pipes should be checked for leaks. Care should beexercised to ensure that one-dimensional freezing of the formation occurs. This operation can beenhanced by carefully drilling vertical freeze holes and checking the verticality of the freezepipes prior to backfilling the holes.

The temperature of the brine used in the freeze holes should be monitored at several locationsalong the pipes of the freeze system, such as at the chiller and the return from each hole.Similarly, the temperature of the brine in the temperature holes should be monitored at selecteddepths and at regular time intervals to determine the passage of the freeze front.

The efficiency of the freeze plant operations should be optimized by adjusting the flow rate ofthe brine and the corresponding temperature, or temperature change, to obtain the maximumenergy exchange with the formation. However, care is needed when the method for optimizingthe system efficiency is selected. For example, in an effort to increase the rate of freezing of asand formation at a site in Kansas (U.S. Army Corps of Engineers, Kansas City District 1986),liquid carbon dioxide (CO ) was injected into the brine. Although the temperature of the brine2was reduced 5 to 10 deg C (10 to 20 deg F) by the addition of liquid CO , the highly corrosive2CO and brine mixture resulted in adverse effects on the freezing operations. Pipe scale clogged2the brine chiller and thus caused high pressure losses, damage to brine pump, and excessivemaintenance.

Sampling should be conducted in an area located as far as practical from the freeze holes andtemperature monitoring holes to minimize the disturbance caused by the installation of the in situfreezing system. Drilling and sampling should be accomplished as rapidly as possible tominimize thawing and erosion of the core. Two options are available to enhance quality of thefrozen core. Since the ice content of the frozen core is independent of the artificial freezingtechniques which are employed, the torsional strength can be increased only by decreasing thetemperature of the pore ice or increasing the diameter of the core. A refrigerated van, orcomparable facility, is needed at the site for logging, sealing, and storage of the frozen coresprior to shipment to the laboratory. After the cores have been received at the laboratory, tests

(0��-DQ��

)�'��

should be conducted to determine if the soil has been contaminated by the drilling fluid and theeffect(s) of the contamination on the engineering properties of the soil.

(0��-DQ��

)�'��

)LJXUH�'��/LQHDU�OD\RXW�RI�IUHH]H�KROHV�DQG�WHPSHUDWXUH�KROHV

(0��-DQ��

)�'��

)LJXUH�'��6HPLFLUFXODU�OD\RXW�RI�IUHH]H�KROHV�DQG�WHPSHUDWXUH�KROHV

(0��-DQ��

�5HIHUHQFHV�FLWHG�LQ�WKLV�DSSHQGL[�DUH�LQFOXGHG�LQ�$SSHQGL[�$��

)�(��

$SSHQGL[�)��RI�(0��9LVXDO�,GHQWLILFDWLRQ�RI�6RLO�6DPSOHV

(��)LHOG�,GHQWLILFDWLRQ�7HFKQLTXHV

9LVXDO� LGHQWLILFDWLRQ� WHFKQLTXHV� UHSRUWHG� KHUHLQ� JHQHUDOO\� \LHOG� UHVXOWV� ZKLFK� DUH� FRQVLVWHQW� ZLWK� WKH8QLILHG�6RLO�&ODVVLILFDWLRQ�6\VWHP��$670�'��$670�'��8�6��$UP\�(QJLQHHU:DWHUZD\V� ([SHULPHQW� 6WDWLRQ�� %HFDXVH� WKHVH� WHFKQLTXHV� DUH� SULPDULO\� YLVXDO�� VXEWOH�

GLVFUHSDQFLHV� PD\� H[LVW� EHWZHHQ� WKH� LGHQWLILFDWLRQV� REWDLQHG� LQ� WKH� ILHOG� DQG� WKH� FODVVLILFDWLRQVGHWHUPLQHG�LQ�WKH�ODERUDWRU\��+RZHYHU��WKH�UHVXOWV�DUH�PHDQLQJIXO�SURYLGHG�WKH�LQVSHFWRU�PDNHV�FDUHIXODQG� FRQVLVWHQW� LGHQWLILFDWLRQV�� 6HH� &KDSWHU� �� IRU� GHWDLOV� RQ� KDQGOLQJ� DQG� VWRUDJH� RI� VDPSOHV� DQGPDLQWDLQLQJ�VDPSOLQJ�UHFRUGV�� 7KH�LQVSHFWRUV�HTXLSPHQW�UHTXLUHG�WR�FRQGXFW�WKHVH�WHVWV�LV�OLPLWHG�WR�DSRFNHW�NQLIH��VFDOH��PDJQLI\LQJ�JODVV��DQG�D�VPDOO�FRQWDLQHU�RI�GLOXWHG�K\GURFKORULF�DFLG��7DEOH�(��FDQEH�XVHG�DV�D�FKHFNOLVW�IRU�FRQGXFWLQJ�D�V\VWHPDWLF�YLVXDO�LGHQWLILFDWLRQ�RI�D�VRLO�VDPSOH��LW�LV�DOVR�XVHIXOIRU�ORFDWLQJ�WKH�DSSURSULDWH�WDEOH�DQG�RU�ILJXUH�ZKLFK�GHVFULEH�V��D�WHVW�SURFHGXUH�IRU�YLVXDOO\�LGHQWLI\LQJWKH�VRLO�

(��*UDLQ�6L]H

7KH�LQVSHFWRU�PXVW�ILUVW�GHWHUPLQH�ZKHWKHU�WKH�PDWHULDO�LV�FRDUVH�JUDLQHG�RU�ILQH�JUDLQHG��7R�PDNH�WKLVGHWHUPLQDWLRQ��VSUHDG�D�UHSUHVHQWDWLYH�VDPSOH�RQ�D�IODW�VXUIDFH��'HWHUPLQH�ZKHWKHU�RU�QRW�WKH�SUHGRPL�QDQW�VL]H�IUDFWLRQ�LV�GLVFHUQLEOH�ZLWK�WKH�QDNHG�H\H��&RDUVH�JUDLQHG�VRLOV�YDU\�IURP�SDUWLFOHV�LQ�H[FHVV�RI��PP��LQ��LQ�GLDPHWHU�WR�SDUWLFOHV�MXVW�GLVFHUQLEOH�ZLWK�WKH�XQDLGHG�H\H��VXFK�DV�WDEOH�VDOW�RU�VXJDU�ZKHUHDV� ILQH�JUDLQHG� VRLOV� DUH�PLFURVFRSLF� DQG� VXEPLFURVFRSLF�� 7KH�SUHGRPLQDQW�PDWHULDO� RI� SHDW�RUPXFN�LV�GHFD\LQJ�YHJHWDWLRQ�PDWWHU��7DEOH�(��DQG�)LJXUH�(��PD\�DLG�LQ�GHWHUPLQLQJ�WKH�JUDLQ�VL]H�RIWKH� VRLO� LQ� TXHVWLRQ�� ,I� WKH� SUHGRPLQDQW�PDWHULDO� LV� FRDUVH� JUDLQHG�� IROORZ� WKH� SURFHGXUHV� RXWOLQHG� LQSDUDJUDSK�(��D��LI�WKH�VRLO�LV�ILQH�JUDLQHG��IROORZ�WKH�SURFHGXUHV�RXWOLQHG�LQ�SDUDJUDSK�(��E�

D� &RDUVH�JUDLQHG�VRLOV�

��&RDUVH�IUDFWLRQ��2QFH�WKH�VRLO�KDV�EHHQ�GHWHUPLQHG�WR�EH�FRDUVH�JUDLQHG��IXUWKHU�H[DPLQDWLRQ�LVUHTXLUHG�WR�GHWHUPLQH�WKH�JUDLQ�VL]H�GLVWULEXWLRQ��WKH�JUDLQ�VKDSH��DQG�WKH�GHQVLW\�RI�WKH�LQ�VLWX�GHSRVLW��LIDSSOLFDEOH��7KH�JUDGDWLRQ�RI�FRDUVH�JUDLQHG�VRLOV�FDQ�EH�GHVFULEHG�DV�ZHOO�JUDGHG��SRRUO\�JUDGHG��RU�JDSJUDGHG�

7DEOH�(��DQG�)LJXUH�(��FDQ�EH�XVHG�LQ�VHOHFWLQJ�WKH�DSSURSULDWH�GHVFULSWLYH�WHUPV��6RLO�SDUWLFOHV�FDQDOVR�EH�GHVFULEHG�DFFRUGLQJ�WR�D�FKDUDFWHULVWLF�VKDSH��3DUWLFOH�VKDSH�PD\�YDU\�IURP�DQJXODU�WR�URXQGHG�WRIODW�RU�HORQJDWHG��$SSURSULDWH�GHVFULSWLYH�WHUPV�DUH�OLVWHG�LQ�7DEOH�(��SDUWLFOH�VKDSHV�DUH�LOOXVWUDWHG�LQ)LJXUH� (�� 7KH� GHQVLW\� RI� DQ� LQ� VLWX� GHSRVLW� RI� D� FRDUVH�JUDLQHG� VRLO� LV� DOVR� YDOXDEOH� LQIRUPDWLRQ�5HVXOWV� REWDLQHG�E\�SXVKLQJ�D� UHLQIRUFLQJ� URG� LQWR� D� VXUIDFH� GHSRVLW� RU� IURP� WKH�6WDQGDUG�3HQHWUDWLRQ7HVW�PD\�LQGLFDWH�WKH�GHQVLW\�RI�DQ�LQ�VLWX�GHSRVLW��$SSURSULDWH�GHVFULSWLYH�WHUPV�PD\�EH�VHOHFWHG�IURP7DEOH�(��

��)LQH�IUDFWLRQ��7KH�SODVWLFLW\�FKDUDFWHULVWLFV�RI�WKH�ILQH�IUDFWLRQ�RI�D�FRDUVH�JUDLQHG�PDWHULDO�DOVRQHHG� WR� EH� GHWHUPLQHG�� 7KH� WHVWV� IRU� ILQH�JUDLQHG� VRLOV� �SDUDJUDSK� (��E�� ZKLFK� DUH� GHVFULEHG� LQ

(0��-DQ��

)�(��

7DEOH�(��DQG�LOOXVWUDWHG�LQ�)LJXUHV�(��WKURXJK�(��FDQ�EH�XVHG�WR�FKDUDFWHUL]H�WKH�ILQH�IUDFWLRQ�RI�WKHVRLO�VDPSOH�LQ�TXHVWLRQ�

E� )LQH�JUDLQHG�VRLOV�

��&RDUVH�IUDFWLRQ��7KH�FRDUVH�JUDLQHG�IUDFWLRQ��ZKHUH�DSSOLFDEOH��VKRXOG�EH�GHVFULEHG�LQ�WHUPV�RIWKH�VL]H�RI�WKH�SUHGRPLQDWH�JUDLQ�VL]H�� L�H��VDQG�RU�JUDYHO�� 3DUDJUDSK�(��D��7DEOH�(��DQG�)LJXUH�(��PD\�DLG�LQ�VHOHFWLQJ�DSSURSULDWH�GHVFULSWLYH�WHUPV�

��)LQH�IUDFWLRQ��6HYHUDO� WHVWV�PD\�EH�XVHIXO�LQ�GHWHUPLQLQJ�WKH�SODVWLFLW\�FKDUDFWHULVWLFV�RI�ILQH�JUDLQHG�VRLOV�RU�IUDFWLRQV�WKHUHRI��WKHVH�WHVWV�LQFOXGH�WKH�GLODWDQF\�RU�UHDFWLRQ�WR�VKDNLQJ�WHVW��WKH�GU\�VWUHQJWK�WHVW��DQG�WKHWRXJKQHVV�DQG�SODVWLFLW\�WHVWV��)RU�HDFK�WHVW�� WKH�IUDFWLRQ�ZKLFK�SDVVHV�WKH�1R��8�6��6WDQGDUG�6LHYH�� PP�� LV� XVHG�� WKLV� IUDFWLRQ� FRUUHVSRQGV� WR� WKH� IUDFWLRQ� ZKLFK� LV� UHTXLUHG� IRU� GHWHUPLQDWLRQ� RI$WWHUEHUJ�OLPLWV��)RU�WKH�SXUSRVH�RI�WKH�YLVXDO�WHVWV��KRZHYHU��VFUHHQLQJ�LV�QRW�LPSRUWDQW��WKH�UHPRYDO�RIFRDUVH� SDUWLFOHV� LV� DGHTXDWH�� 7HVWV� WR� GHWHUPLQH� WKH� SODVWLFLW\� FKDUDFWHULVWLFV� RI� WKH� ILQH� IUDFWLRQ� DUHGHVFULEHG�LQ�7DEOH�(��WKH�GLODWDQF\�WHVW�LV�LOOXVWUDWHG�LQ�)LJXUHV�(��WKURXJK�(��WKH�GU\�VWUHQJWK�WHVW�LVSUHVHQWHG� LQ� )LJXUH� (�� DQG� WRXJKQHVV� DQG� SODVWLFLW\� WHVWV� DUH� JLYHQ� LQ� )LJXUHV� (�� DQG� (��UHVSHFWLYHO\�

F��2WKHU�WHVWV��7KH�GLVSHUVLRQ��VHWWOHPHQW�LQ�ZDWHU��WHVW�DQG�WKH�ELWH�WHVW�FDQ�EH�XVHG�WR�GHWHUPLQH�WKHSUHVHQFH�RI�DQG�UHODWLYH�DPRXQWV�RI�VDQG��VLOW��DQG�FOD\��IUDFWLRQV��VHH�7DEOH�(�� 6HYHUDO�RWKHU�WHVWV�VXFK� DV� WKH� RGRU� DQG� WKH� SHDW� WHVWV� IRU� GHWHUPLQLQJ� WKH� SUHVHQFH� RI� RUJDQLF� PDWWHU�� WKH� DFLG� WHVW� IRUGHWHUPLQLQJ� WKH�SUHVHQFH�RI�D�FDOFLXP�FDUERQDWH�FHPHQWLQJ�DJHQW��DQG� WKH�VODNLQJ� WHVW� IRU�GHWHUPLQLQJZKHWKHU�WKH�³URFNOLNH´�PDWHULDO�LV�VKDOH��DUH�OLVWHG�LQ�7DEOH�(��6WUHQJWK�GHVFULSWRUV�RI�D�FOD\�VDPSOH�DUHOLVWHG�LQ�7DEOH�(��

(��6RLO�0RLVWXUH�DQG�&RORU

6RLO�PRLVWXUH�DQG�FRORU�DUH� LPSRUWDQW� LQGLFDWRUV�RI� VRLO�FRQGLWLRQV�� )RU�H[DPSOH��YLVLEOH�RU� IUHH�ZDWHUIURP�D�VRLO�VDPSOH�FDQ�LQIHU�WKH�SUR[LPLW\�RI�D�ZDWHU�WDEOH��7KH�FRORU�RI�D�PRLVW�VRLO�VDPSOH�WHOOV�PXFKDERXW�WKH�PLQHUDOV�DQG�FKHPLFDOV�SUHVHQW�LQ�WKH�VRLO��WKH�GUDLQDJH�FRQGLWLRQV��DQG�WKH�SUHVHQFH�RI�RUJDQLFPDWWHU��6RLO�FRORU�FKDUWV�SUHSDUHG�IRU�WKH�8�6��'HSDUWPHQW�RI�$JULFXOWXUH��86'$��E\�WKH�0XQVHOO�&RORU&RPSDQ\��1HZ�:LQGVRU��1<��DUH�KHOSIXO�IRU�GHVFULELQJ�WKH�FRORU�RI�VRLO�VDPSOHV��6RLO�PRLVWXUHFRQGLWLRQV�RU�ZDWHU�FRQWHQWV�FDQ�EH�GHVFULEHG�IROORZLQJ�WKH�FULWHULD�SUHVHQWHG�LQ�7DEOH�(��7KH�LPSRU�WDQFH�RI�FRORU�IRU�LGHQWLI\LQJ�DQG�FODVVLI\LQJ�PRLVW�ILQH��JUDLQHG�VRLOV�LV�VKRZQ�LQ�7DEOH�(��

(��0DVV�6WUXFWXUH�DQG�0DVV�'HIHFWV�RI�6RLO�)RUPDWLRQV

0DVV� VWUXFWXUH� DQG�PDVV�GHIHFWV� \LHOG�GDWD�DERXW� WKH� JHRWHFKQLFDO� HQJLQHHULQJ� EHKDYLRU�RI� D� VRLO� IRU�PDWLRQ�LQ�TXHVWLRQ��)RU�H[DPSOH��D�YDUYHG�FOD\�ZRXOG�PRVW�OLNHO\�KDYH�GLIIHUHQW�HQJLQHHULQJ�SURSHUWLHVIURP� DQ� KRPRJHQHRXV� GHSRVLW� RI� RQH� RI� WKH� FRQVWLWXHQW� VRLOV�� /LNHZLVH�� VOLFNHQVLGHV� LQGLFDWH� D� FOD\GHSRVLW� KDV� EHHQ� RYHUFRQVROLGDWHG� EHFDXVH� RI� GHVLFFDWLRQ�� VXUFKDUJH� ORDGLQJ�� RU� ERWK�� DQRYHUFRQVROLGDWHG�FOD\�ZRXOG�KDYH�GLIIHUHQW�HQJLQHHULQJ�SURSHUWLHV�IURP�D�QRUPDOO\�FRQVROLGDWHG�GHSRVLWRI�WKH�VDPH�PDWHULDO��'HVFULSWLYH�WHUPV�IRU�PDVV�VWUXFWXUH�DQG�PDVV�GHIHFWV�RI�D�VRLO�IRUPDWLRQ�DUH�SUH�VHQWHG�LQ�7DEOHV�(��DQG�(��UHVSHFWLYHO\�

(0��-DQ��

)�(��

(��'HVFULSWLRQ�RI�6RLOV

$V�SUHVHQWHG� LQ� WKH� IRRWQRWH� LQ�7DEOH�(�� WKH�GHVFULSWLRQ�RI�D�VRLO� VDPSOH� VKRXOG�FRQWDLQ�DSSURSULDWHWHUPV�WR�FKDUDFWHUL]H�WKH�VRLO�W\SH�DQG�JUDLQ�VL]H��LWV�PRLVWXUH�FRQWHQW�DQG�FRORU��DQG�PDVV�VWUXFWXUH�DQGGHIHFWV��&RPPRQO\�XVHG�QDPHV�DQG�GHVFULSWLRQV�IRU�VHOHFWHG�VRLOV�DUH�SUHVHQWHG�LQ�7DEOH�(��

7DEOH�(��2UGHU�RI�'HVFULSWLRQ�IRU�6RLOV

&ULWHULD��7DEOH�1R��)LJXUH�1R�

6RLO�W\SHV�DQG�SDUWLFOH�VL]HV (�� (��&RDUVH�JUDLQHG�VRLOV��'HVFULSWLRQ�RI�JUDGDWLRQ�RI�FRDUVH�JUDLQHG�VRLOV (�� (��'HVFULSWLRQ�RI�JUDLQ�VKDSH�RI�FRDUVH�JUDLQHG�VRLOV (�� (��'HQVLW\�RI�FRDUVH�JUDLQHG�VRLOV (��)LQH�JUDLQHG�VRLOV��)LHOG�LGHQWLILFDWLRQ�SURFHGXUHV�IRU�ILQH�JUDLQHG��VRLOV� (�� (��(��6WUHQJWK�RU�FRQVLVWHQF\�RI�FOD\V (��0RLVWXUH�FRQWHQW (��5ROH�RI�FRORU�IRU�LGHQWLILFDWLRQ�RI�PRLVW�ILQH�JUDLQHG�VRLOV (��7HUPV�IRU�GHVFULELQJ�PDVV�VWUXFWXUH�RI�VRLOV (��7HUPV�IRU�GHVFULELQJ�PDVV�GHIHFWV�LQ�VRLO�VWUXFWXUH (��&RPPRQO\�XVHG�GHVFULSWLYH�VRLO�QDPHV (��

([DPSOH��6DQG��ILQH��VLOW\��WDQ��SRRUO\�JUDGHG��GHQVH��ZHW��VXEURXQGHG��YHU\�IULDEOH�ZLWK�RFFDVLRQDO�FOD\�OHQVHV�

7DEOH�(��6RLO�7\SHV�DQG�3DUWLFOH�6L]HV3ULQFLSDO 'HVFULSWLYH )DPLOLDU6RLO�7\SH 7HUP 6L]H 8�6��6WDQGDUG�6LHYH ([DPSOH

&RDUVH�JUDLQHG &REEOH ��PP�RU�ODUJHU *UHDWHU�WKDQ��LQ� *UDSHIUXLW�RU�RUDQJH��6RLOV

&RDUVH�JUDYHO ��PP�WR��PP ��LQ��WR��LQ� :DOQXW�RU�JUDSH)LQH�JUDYHO ��PP�WR��PP ��LQ��WR�� 3HD&RDUVH�VDQG ��PP�WR��PP ��WR�� 5RFN�VDOW0HGLXP�VDQG ��PP�WR��PP ��WR�� 2SHQLQJV�RI�D�ZLQGRZ�VFUHHQ)LQH�VDQG ��PP�WR��PP ��WR�� 7DEOH�VDOW�RU�VXJDU

)LQH�JUDLQHG 6LOW�RU�FOD\ 0LFURVFRSLF�DQG�� 6RLOV ��VXEPLFURVFRSLF

2UJDQLF 3HDW�RU�PXFN 'HFD\LQJ�YHJHWDEOH�PDWWHU

1RWH��3DUWLFOHV�ZKLFK�DUH�UHWDLQHG�RQ�WKH�1R��8�6��6WDQGDUG�6LHYH��PP��FDQ�MXVW�EH�GLVFHUQHG�ZLWK�WKH�QDNHG�H\H�DW�DGLVWDQFH�RI�DERXW��FP��LQ��

(0��-DQ��

)�(��

7DEOH�(��'HVFULSWLRQ�RI�*UDGDWLRQ�RI�&RDUVH�*UDLQHG�6RLOV

'HVFULSWLYH�7HUP��0HDQLQJ

:HOO�JUDGHG $�JRRG�UHSUHVHQWDWLRQ�RI�DOO�JUDLQ�VL]HV�LV�SUHVHQW

8QLIRUPO\�RU�SRRUO\�JUDGHG $OO�JUDLQV�DUH�DSSUR[LPDWHO\�WKH�VDPH�VL]H

*DS�JUDGHG ,QWHUPHGLDWH�JUDLQ�VL]HV�DUH�DEVHQW

7DEOH�(��'HVFULSWLRQ�RI�*UDLQ�6KDSH�RI�&RDUVH�*UDLQHG�6RLOV

'HVFULSWLYH�7HUP��([DPSOH

$QJXODU ,UUHJXODU�ZLWK�VKDUS�HGJHV�VXFK�DV�IUHVKO\�EURNHQ�URFN

6XEDQJXODU ,UUHJXODU�ZLWK�VPRRWK�HGJHV

6XEURXQGHG ,UUHJXODU�EXW�VPRRWK�DV�D�OXPS�RI�PROGLQJ�FOD\

5RXQGHG 0DUEOH�RU�HJJ�VKDSHG��YHU\�VPRRWK

)ODN\ 6KHHW�RI�SDSHU�RU�IODNH�RI�PLFD

)ODW 5DWLR�RI�ZLGWK�WR�WKLFNQHVV�JUHDWHU�WKDQ��

(ORQJDWHG 5DWLR�RI�OHQJWK�WR�ZLGWK�JUHDWHU�WKDQ��

7DEOH�(��'HQVLW\�RI�&RDUVH�*UDLQHG�6RLOV

'HVFULSWLYH�7HUP��%ORZV�SHU�)RRW ��)LHOG�7HVW��

9HU\�ORRVH /HVV�WKDQ��

/RRVH �� (DVLO\�SHQHWUDWHG�ZLWK�D��PP��LQ��GLDP�UHLQIRUFLQJ�URG��SXVKHG�E\�KDQG

0HGLXP�GHQVH �� (DVLO\�SHQHWUDWHG�ZLWK�D��PP��LQ��GLDP�UHLQIRUFLQJ�URG��GULYHQ�ZLWK�D��NJ��OE��KDPPHU

'HQVH �� 3HQHWUDWHG��P� �� IW��ZLWK� D� ��PP�� LQ�� GLDP� UHLQIRUFLQJURG ��GULYHQ�ZLWK�D��NJ��OE��KDPPHU

9HU\�GHQVH *UHDWHU�WKDQ�� 3HQHWUDWHG�RQO\�D�IHZ�FHQWLPHWHUV�ZLWK�D��PP��LQ��GLDP��UHLQIRUFLQJ�URG�GULYHQ�ZLWK�D��NJ��OE��KDPPHU

�)URP�637��$SSHQGL[�%��7DEOH�%��

��IW� ��P��

(0��

��-DQ��

)�(��

7DEOH�(��)LHOG�,GHQWLILFDWLRQ�3URFHGXUHV�IRU�)LQH�*UDLQHG�6RLOV�

7HVW 7HVW�3URFHGXUHV�DQG�,QWHUSUHWDWLRQ�RI�5HVXOWV'LODWDQF\ 3UHSDUH�D�SDW�RI�PRLVW�VRLO�ZLWK�D�YROXPH�HTXLYDOHQW�WR�D��PP��LQ��FXEH��)LJXUH�(��$GG�ZDWHU��LI�QHFHVVDU\��WR�PDNH�WKH�VRLO�VRIW�EXW�QRW�VWLFN\��L�H��UHDFWLRQ�WR�WKH

³VWLFN\�OLPLW´��3ODFH�WKH�SDW�RI�VRLO�LQ�WKH�RSHQ�SDOP�RI�RQH�KDQG�DQG�VKDNH�KRUL]RQWDOO\��VWULNH�YLJRURXVO\�DJDLQVW�WKH�RWKHU�KDQG�VHYHUDO�WLPHV��,I�WKH�UHDFWLRQ�LV�SRVLWLYH�ZDWHU�DSSHDUV�RQ�WKH�VXUIDFH�RI�WKH�SDW��WKH�FRQVLVWHQF\�RI�WKH�SDW�WKHQ�EHFRPHV�OLYHU\��DQG�WKH�VXUIDFH�RI�WKH�SDW�EHFRPHV�JORVV\��)LJXUH�(��1H[W��VTXHH]H�WKHVDPSOH�EHWZHHQ�WKH�ILQJHUV��)LJXUH�(��7KH�ZDWHU�DQG�JORVV�VKRXOG�GLVDSSHDU�IURP�WKH�VXUIDFH�RI�WKH�SDW��WKH�VRLO�ZLOO�VWLIIHQ�DQG�FUDFN�RU�FUXPEOH��)LJXUH�(��7KHUDSLGLW\�RI�WKH�DSSHDUDQFH�RI�ZDWHU�RQ�WKH�VXUIDFH�RI�WKH�VRLO�GXULQJ�VKDNLQJ�DQG�LWV�GLVDSSHDUDQFH�GXULQJ�VTXHH]LQJ�KHOS�WR�LGHQWLI\�WKH�FKDUDFWHU�RI�WKH�ILQHV�LQ�WKH�VRLO��9HU\�ILQH�FOHDQ�VDQGV�JLYH�WKH�TXLFNHVW�DQG�PRVW�GLVWLQFW�UHDFWLRQ��LQRUJDQLF�VLOWV�JLYH�D�PRGHUDWHO\�TXLFN�UHDFWLRQ��DQG�SODVWLF�FOD\V�KDYH�QR�UHDFWLRQ�

'U\�VWUHQJWK 0ROG�D�SDW�RI�VRLO�WR�WKH�FRQVLVWHQF\�RI�SXWW\��,I�WKH�VRLO�LV�WRR�GU\��DGG�ZDWHU��LI�LW�LV�WRR�VWLFN\��WKH�VSHFLPHQ�VKRXOG�EH�DOORZHG�WR�GU\�E\�HYDSRUDWLRQ��$IWHU�WKH�FRQVLVWHQF\RI�WKH�SDW�LV�FRUUHFW��DOORZ�WKH�SDW�WR�GU\��E\�RYHQ��VXQ��RU�DLU��7HVW�LWV�VWUHQJWK�E\�EUHDNLQJ�DQG�FUXPEOLQJ�EHWZHHQ�WKH�ILQJHUV��)LJXUH�(��7KH�GU\�VWUHQJWK�LQFUHDVHVZLWK�LQFUHDVLQJ�SODVWLFLW\��+LJK�GU\�VWUHQJWK�LV�FKDUDFWHULVWLF�RI�KLJK�SODVWLFLW\�FOD\V��6LOW\�VDQG�DQG�VLOWV�KDYH�RQO\�VOLJKW�GU\�VWUHQJWKV��EXW�FDQ�EH�GLVWLQJXLVKHG�E\�IHHOZKHQ�SRZGHUHG��ILQH�VDQGV�IHHO�JULWW\�ZKHUHDV�VLOWV�IHHO�VPRRWK�OLNH�IORXU��,W�VKRXOG�DOVR�EH�QRWHG�WKDW�VKULQNDJH�FUDFNV�PD\�RFFXU�LQ�KLJK�SODVWLFLW\�FOD\V��7KHUHIRUH�SUHFDXWLRQV�VKRXOG�EH�WDNHQ�WR�GLVWLQJXLVK�EHWZHHQ�D�EUHDN�ZKLFK�PD\�RFFXU�DORQJ�D�VKULQNDJH�FUDFN�RU�D�IUHVK�EUHDN�ZKLFK�LV�WKH�WUXH�GU\�VWUHQJWK�RI�WKH�VRLO�

7RXJKQHVV� $�VSHFLPHQ�RI�VRLO�ZKLFK�LV�DERXW�WKH�VL]H�RI�D��PP��LQ��FXEH�VKRXOG�EH�PROGHG�WR�WKH�FRQVLVWHQF\�RI�SXWW\��DGG�ZDWHU�RU�DOORZ�WR�GU\�DV�QHFHVVDU\��$W�WKH�SURSHUDQG PRLVWXUH�FRQWHQW��UROO�WKH�VRLO�E\�KDQG�RQ�D�VPRRWK�VXUIDFH�RU�EHWZHHQ�WKH�SDOPV�LQWR�D�WKUHDG�DERXW��PP��LQ��GLDP��)LJXUH�(��)ROG�WKH�WKUHDG�RI�VRLO�DQGSODVWLFLW\ UHSHDW�WKH�SURFHGXUH�D�QXPEHU�RI�WLPHV��'XULQJ�WKLV�SURFHGXUH��WKH�ZDWHU�FRQWHQW�RI�WKH�VRLO�LV�JUDGXDOO\�UHGXFHG��$V�GU\LQJ�RFFXUV��WKH�VRLO�EHJLQV�WR�VWLIIHQ�DQG�ILQDOO\

ORVHV�LWV�SODVWLFLW\�DQG�FUXPEOHV�DW�WKH�SODVWLF�OLPLW��$IWHU�WKH�WKUHDG�KDV�FUXPEOHG��WKH�SLHFHV�VKRXOG�EH�OXPSHG�WRJHWKHU�DQG�D�NQHDGLQJ�DFWLRQ�VKRXOG�EH�DSSOLHG�XQWLO�WKHOXPS�FUXPEOHV��)RU�KLJKHU�FOD\�FRQWHQWV��WKUHDGV�DUH�VWLIIHU�DQG�OXPSV�DUH�WRXJKHU�DW�WKH�SODVWLF�OLPLW�WKDQ�IRU�ORZHU�SODVWLFLW\�FOD\V�

$�FRPSOHPHQWDU\�WHVW�LV�WKH�ULEERQ�WHVW��$�UROO�RI�VRLO�DERXW��WR��PP��WR��LQ��GLDP�E\��WR��PP��WR��LQ��ORQJ�VKRXOG�EH�SUHSDUHG�DW�D�PRLVWXUH�FRQWHQWMXVW�EHORZ�WKH�³VWLFN\�OLPLW´��)ODWWHQ�WKH�UROO�RI�VRLO�WR�WKLFNQHVV�RI��WR��PP��WR��LQ��EHWZHHQ�WKH�WKXPE�DQG�IRUHILQJHU��)LJXUH�(��)RU�KLJK�SODVWLFLW\�FOD\V��DULEERQ��WR��FP��WR��LQ��ORQJ�FDQ�EH�IRUPHG��VKRUWHU�OHQJWKV�FRUUHVSRQG�WR�ORZHU�SODVWLFLW\�FOD\V�ZKHUHDV�D�ULEERQ�FDQQRW�EH�IRUPHG�ZKHQ�XVLQJ�QRQ�SODVWLF�VRLOV�

'LVSHUVLRQ 3ODFH�D�IHZ�KXQGUHG�JUDPV�RI�VRLO�LQ�D�MDU�FRQWDLQLQJ�ZDWHU��6KDNH�WKH�MDU�FRQWDLQLQJ�WKH�PL[WXUH�RI�VRLO�DQG�ZDWHU�DQG�WKHQ�DOORZ�WKH�VRLO�WR�VHWWOH��7KH�UDWH�RI�VHWWOLQJWHVW FDQ�EH�XVHG�WR�MXGJH�WKH��VHWWOHPHQW�SUHGRPLQDWH�VRLO�W\SH�V��ZKHUHDV�WKH�WKLFNQHVVHV�RI�WKH�YDULRXV�VRLOV�FDQ�EH�XVHG�WR�MXGJH�WKH�JUDGDWLRQ�RI�WKH�VRLO��6DQGV�VHWWOH

LQ��WR��VHFRQGV��VLOWV�VHWWOH�LQ��WR��PLQXWHV��DQG�FOD\V�PD\�LQ�ZDWHU��UHPDLQ�LQ�VXVSHQVLRQ�RYHUQLJKW��7KH�LQWHUIDFH�EHWZHHQ�ILQH�VDQGV�DQG�VLOWV�RFFXUV�ZKHUHLQGLYLGXDO�JUDLQV�FDQ�QRW�EH�GLVFHUQHG�ZLWK�WKH�XQDLGHG�H\H��7KH�FORXGLQHVV�RI�WKH�ZDWHU�LQGLFDWHV�WKH�UHODWLYH�FOD\�FRQWHQW�

%LWH�WHVW 3ODFH�D�SLQFK�RI�VRLO�EHWZHHQ�WKH�WHHWK�DQG�JULQG�OLJKWO\��)LQH�VDQGV�JUDWH�KDUVKO\�EHWZHHQ�WKH�WHHWK��VLOWV�KDYH�D�JULWW\�IHHOLQJ�EXW�GR�QRW�VWLFN�WR�WKH�WHHWK��FOD\V�WHQG�WRVWLFN�WR�WKH�WHHWK��EXW�GR�QRW�KDYH�D�JULWW\�IHHOLQJ�

2GRU 2UJDQLF�VRLOV�KDYH�D�PXVW\�RGRU�ZKLFK�GLPLQLVKHV�XSRQ�H[SRVXUH�WR�DLU��7KH�RGRU�FDQ�EH�UHYLYHG�E\�KHDWLQJ�D�PRLVW�VDPSOH�RU�E\�H[SRVLQJ�D�IUHVK�VDPSOH�

3HDW 3HDW�KDV�D�ILEURXV�WH[WXUH�DQG�LV�FKDUDFWHUL]HG�E\�SDUWLDOO\�GHFD\HG�VWLFNV��OHDYHV��JUDVV��DQG�RWKHU�YHJHWDWLRQ��$�GLVWLQFW�RUJDQLF�RGRU�LV�FKDUDFWHULVWLF�RI�SHDW��,WV�FRORUJHQHUDOO\�UDQJHV�IURP�GXOO�EURZQ�WR�EODFN�

6KLQH $�PRLVW��KLJKO\�SODVWLF�FOD\�ZLOO�VKLQH�ZKHQ�UXEEHG�ZLWK�D�ILQJHUQDLO�RU�SRFNHWNQLIH�EODGH��D�OHDQ�FOD\�ZLOO�KDYH�D�GXOO�VXUIDFH�

$FLG�WHVW 7KH�SUHVHQFH�RI�FDOFLXP�FDUERQDWH�LQ�D�VRLO�FDQ�EH�GHWHUPLQHG�E\�DGGLQJ�D�IHZ�GURSV�RI�GLOXWH��UDWLR�RI�ZDWHU�WR�DFLG��K\GURFKORULF�DFLG�WR�WKH�VRLO��7KH�UHODWLYH�DPRXQWRI�FDOFLXP�FKORULGH�LQ�WKH�VRLO�FDQ�EH�GHWHUPLQHG�E\�WKH�HIIHUYHVFHQFH��IL]]LQJ�UHDFWLRQ��ZKLFK�RFFXUV��'HJUHHV�RI�UHDFWLRQ�UDQJH�IURP�QRQH�WR�VWURQJ��)RU�VRPH�YHU\�GU\QRQ�FDOFDUHRXV�VRLOV��WKH�LOOXVLRQ�RI�HIIHUYHVFHQFH�DV�WKH�DFLG�LV�DEVRUEHG�E\�WKH�VRLO�FDQ�EH�HOLPLQDWHG�E\�PRLVWHQLQJ�WKH�VRLO�EHIRUH�WKH�DFLG�LV�DSSOLHG�

6ODNLQJ�WHVW &HUWDLQ�VKDOHV�DQG�RWKHU�VRIW�³URFNOLNH´�PDWHULDOV�GLVLQWHJUDWH�XSRQ�GU\LQJ�RU�VRDNLQJ��7KH�WHVW�LV�SHUIRUPHG�E\�SODFLQJ�WKH�VRLO�LQ�WKH�VXQ�RU�RYHQ�WR�GU\�FRPSOHWHO\��$IWHUWKH�VDPSOH�KDV�EHHQ�GULHG��LW�VKRXOG�WKHQ�EH�VRDNHG�LQ�ZDWHU��7KH�GHJUHH�RI�VODNLQJ�VKRXOG�EH�UHSRUWHG�

�7KHVH�WHVWV�PXVW�EH�SHUIRUPHG�RQ�WKH�PLQXV�1R��VLHYH�VL]H��PP��SDUWLFOHV��ZKLFK�LV�WKH�GLYLVLRQ�EHWZHHQ�PHGLXP�DQG�ILQH�VDQG��)RU�ILHOG�FODVVLILFDWLRQ�SXUSRVHV��VFUHHQLQJ�LV�QRW�

LQWHQGHG��VLPSO\�UHPRYH�WKH�FRDUVH�SDUWLFOHV�WKDW�LQWHUIHUH�ZLWK�WKH�WHVWV�

(0��-DQ��

)�(��

7DEOH�(��6WUHQJWK�RU�&RQVLVWHQF\�RI�&OD\V

%ORZV ��8QFRQILQHG�&RPSUHVVLYH�

'HVFULSWLYH� SHU� ��6WUHQJWK��7HUP�� )RRW � N3D�� WVI� )LHOG�7HVW�

9HU\�VRIW �� &RUH��KHLJKW�WZLFH�GLDPHWHU��VDJV�XQGHU�LWV�RZQ�ZHLJKWZKLOH�VWDQGLQJ�RQ�HQG��VTXHH]HV�EHWZHHQ�ILQJHUV�ZKHQILVW�LV�FORVHG

6RIW �� (DVLO\�PROGHG�E\�ILQJHUV

0HGLXP �� 0ROGHG�E\�VWURQJ�SUHVVXUH�RI�ILQJHUV

)LUP �� ,PSULQWHG�YHU\�VOLJKWO\�E\�ILQJHU�SUHVVXUH

9HU\�ILUP �� &DQQRW�EH�LPSULQWHG�ZLWK�ILQJHU�SUHVVXUH��FDQ�EHSHQHWUDWHG�ZLWK�D�SHQFLO

+DUG !�� !�� !�� ,PSULQWHG�RQO\�VOLJKWO\�E\�SHQFLO�SRLQW�)URP�637��$SSHQGL[�%��7DEOH�%��

��IW� ��P��

7DEOH�(��0RLVWXUH�&RQWHQW

(VWLPDWHG�:DWHU&RQGLWLRQ &RQWHQW��SHUFHQW ([DPSOH

'U\ �� $EVHQFH�RI�PRLVWXUH��ZHOO�EHORZ�RSWLPXP�ZDWHU�FRQWHQW�IRU��ILQH�JUDLQHG�VRLOV

0RLVW �� )LQH�JUDLQHG��GDPS��QHDU�RSWLPXP�ZDWHU�FRQWHQW&RDUVH�JUDLQHG��QR�YLVLEOH�ZDWHU

:HW �� )LQH�JUDLQHG��ZHOO�DERYH�RSWLPXP�ZDWHU�FRQWHQW&RDUVH�JUDLQHG��YLVLEOH�ZDWHU

:DWHU�EHDULQJ �� :DWHU�GUDLQV�IUHHO\��EHORZ�ZDWHU�WDEOH

(0��-DQ��

)�(��

7DEOH�(��5ROH�RI�&RORU�IRU�,GHQWLILFDWLRQ�RI�0RLVW�)LQH�*UDLQHG�6RLOV

*HQHUDO�

��'HWHFW�GLIIHUHQW�VRLO�VWUDWD��'HWHFW�VRLO�W\SH�EDVHG�XSRQ�H[SHULHQFH�LQ�ORFDO�DUHD��&RORUV�EHFRPH�OLJKWHU�DV�ZDWHU�FRQWHQW�GHFUHDVHV

6RLO�7\SH�

��,QRUJDQLF�VRLOV�KDYH�FOHDQ��EULJKW�FRORUV��OLJKW�JUD\��ROLYH�JUHHQ��EURZQ��UHG��\HOORZ��RU�ZKLWH��2UJDQLF�VRLOV�KDYH�GDUN�RU�GUDE�VKDGHV��GDUN�JUD\��GDUN�EURZQ��RU�DOPRVW�EODFN

3UHVHQFH�RI�&KHPLFDOV�

��,URQ�R[LGHV��UHG��\HOORZ��RU�\HOORZLVK�EURZQ��6LOLFD��FDOFLXP�FDUERQDWH��RU�DOXPLQXP�FRPSRXQGV��ZKLWH�RU�SLQNLVK

'UDLQDJH�&RQGLWLRQV�

��3RRU��JUD\LVK�EOXH�DQG�JUD\�RU�\HOORZ�PRWWOHG�FRORUV

7DEOH�(��7HUPV�IRU�'HVFULELQJ�0DVV�6WUXFWXUH�RI�6RLOV

'HVFULSWLYH�7HUP��'HILQLWLRQ

+RPRJHQHRXV 8QLIRUP�SURSHUWLHV

+HWHURJHQHRXV 0L[WXUHV�RI�VRLO�W\SHV�QRW�LQ�OD\HUV�RU�OHQVHV

6WUDWLILHG $OWHUQDWH�OD\HUV�RI�GLIIHUHQW�VRLOV�RU�FRORUV

/DPLQDWHG 5HSHDWLQJ�DOWHUQDWH�OD\HUV�RI�GLIIHUHQW�VRLOV�RU�FRORUV��WR��PP��WR��LQ��WKLFN

%DQGHG $OWHUQDWH�OD\HUV�LQ�UHVLGXDO�VRLOV

/HQVHG ,QFOXVLRQV�RI�VPDOO�SRFNHWV�RI�GLIIHUHQW�VRLOV

7DEOH�(��7HUPV�IRU�'HVFULELQJ�0DVV�'HIHFWV�LQ�6RLO�6WUXFWXUH

'HVFULSWLYH�7HUP��'HILQLWLRQ

6OLFNHQVLGHV )UDFWXUH�RI�IDLOXUH�SODQHV��SROLVKHG�VXUIDFHV��VHHQ�LQ�VWLII�FOD\V

5RRW�KROHV +ROHV�UHPDLQLQJ�DIWHU�URRWV�KDYH�GHFD\HG

)LVVXUHV &UDFNV�IURP�VKULQNDJH��IURVW��HWF��VSHFLPHQ�EUHDNV�DORQJ�D�GHILQLWH�SODQH�RI�IUDFWXUH

:HDWKHUHG��R[LGL]HG ,UUHJXODU�GLVFRORUDWLRQV

&RQFUHWLRQV $FFXPXODWLRQV�RI�FDUERQDWHV�RU�LURQ�FRPSRXQGV

%ORFN\ &RKHVLYH�VRLO�EURNHQ�LQWR�VPDOO�DQJXODU�OXPSV�ZKLFK�UHVLVW�IXUWKHU�EUHDNGRZQ

(0��

��-DQ��

)�(��

7DEOH�(��&RPPRQO\�8VHG�'HVFULSWLYH�6RLO�1DPHV��&RQWLQXHG�

&RPPRQ�1DPH��'HVFULSWLRQ

$GREH 6RLOV�VXFK�DV�FDOFDUHRXV�VLOWV�DQG�VDQG\�VLOW\�FOD\V�ZKLFK�DUH�IRXQG�LQ�VHPLDULG�UHJLRQV�RI�VRXWKZHVWHUQ�8QLWHG�6WDWHV�DQG�1RUWK�$IULFD�

$OOXYLXP 'HSRVLWV�RI�PXG��VLOW��DQG�RWKHU�PDWHULDO�FRPPRQO\�IRXQG�RQ�WKH�IODW�ODQGV�DORQJ�WKH�ORZHU�FRXUVHV�RI�VWUHDPV�

$UJLOODFHRXV 6RLOV�ZKLFK�DERXQG�LQ�FOD\V�RU�FOD\�OLNH�PDWHULDOV�

%HQWRQLWH $�FOD\�RI�KLJK�SODVWLFLW\�IRUPHG�E\�WKH�GHFRPSRVLWLRQ�RI�YROFDQLF�DVK�

%RXOGHU�FOD\��/� $�QDPH��XVHG�LQ�&DQDGD�DQG�(QJODQG��IRU�JODFLDO�WLOO��

%XFNVKRW��/� &OD\V�RI�VRXWKHUQ�DQG�VRXWKZHVWHUQ�8QLWHG�6WDWHV�ZKLFK�FUDFN�LQWR�VPDOO��KDUG�OXPSV�RI�PRUH�RU�OHVV�XQLIRUP�VL]H�XSRQ�GU\LQJ�

%XOOV�OLYHU��/� 7KH�WHUP�QDPH�XVHG�LQ�VRPH�VHFWLRQV�RI�WKH�8QLWHG�6WDWHV�WR�GHVFULEH�DQ�LQRUJDQLF�VLOW�RI�VOLJKW�SODVWLFLW\��ZKLFK��ZKHQ�VDWXUDWHG��TXDNHV�OLNH�MHOO\�IURPYLEUDWLRQ�RU�VKRFN�

&DOFDUHRXV 6RLOV�ZKLFK�FRQWDLQ�DQ�DSSUHFLDEOH�DPRXQW�RI�FDOFLXP�FDUERQDWH��XVXDOO\�IURP�OLPHVWRQH�

&DOLFKH 7KH�WHUP�ZKLFK�GHVFULEHV�GHSRVLWV�RI�VLOW��FOD\��DQG�VDQG�FHPHQWHG�E\�FDOFLXP�FDUERQDWH�GHSRVLWHG�E\�HYDSRUDWLRQ�RI�JURXQGZDWHU��WKLV�PDWHULDO�LV�IRXQGLQ�)UDQFH��1RUWK�$IULFD��DQG�VRXWKZHVWHUQ�8QLWHG�6WDWHV�

&RTXLQD��/� 0DULQH�VKHOOV�ZKLFK�DUH�KHOG�WRJHWKHU�E\�D�VPDOO�DPRXQW�RI�FDOFLXP�FDUERQDWH�WR�IRUP�D�IDLUO\�KDUG�URFN�

&RUDO &DOFDUHRXV��URFN�OLNH�PDWHULDO�IRUPHG�E\�VHFUHWLRQV�RI�FRUDOV�DQG�FRUDOOLQH�DOJDH�

'LDWRPDFHRXV�HDUWK $�ZKLWH�RU�OLJKW�JUD\��H[WUHPHO\�SRURXV��IULDEOH��VLOLFHRXV�PDWHULDO�GHULYHG�FKLHIO\�IURP�GLDWRP�UHPDLQV�

'LUW\�VDQG��/� $�VOLJKWO\�VLOW\�RU�FOD\H\�VDQG�

'LVLQWHJUDWHG�JUDQLWH *UDQXODU�VRLO�GHULYHG�IURP�GHFRPSRVLWLRQ�DQG�ZHDWKHULQJ�RI�JUDQLWH�URFN�

)DW�FOD\��/� )LQH�FROORLGDO�FOD\�RI�KLJK�SODVWLFLW\�

)XOOHUV�HDUWK +LJKO\�SODVWLF�ZKLWH�WR�EURZQ�FOD\V�RI�VHGLPHQWDU\�RULJLQ�ZKLFK�DUH�XVHG�FRPPHUFLDOO\�WR�DEVRUE�IDWV�DQG�G\HV��

*XPER��/� +LJKO\�SODVWLF�VLOW\�DQG�FOD\H\�VRLOV�ZKLFK�EHFRPH�LPSHUYLRXV��VWLFN\��DQG�VRDS\�RU�ZD[\�ZKHQ�VDWXUDWHG�

+DUGSDQ $�JHQHUDO�WHUP�XVHG�WR�GHVFULEH�D�KDUG��FHPHQWHG�VRLO�OD\HU�ZKLFK�GRHV�QRW�VRIWHQ�ZKHQ�ZHW�

/DWHULWLF�VRLOV 5HVLGXDO�VRLOV��XVXDOO\�UHG�LQ�FRORU��ZKLFK�DUH�IRXQG�LQ�WURSLFDO�UHJLRQV��,Q�WKHLU�QDWXUDO�VWDWH��WKHVH�VRLOV�KDYH�D�JUDQXODU�VWUXFWXUH�ZLWK�ORZ�SODVWLFLW\�DQGH[KLELW�JRRG�GUDLQDJH�FKDUDFWHULVWLFV��ZKHQ�UHPROGHG�LQ�WKH�SUHVHQFH�RI�ZDWHU��WKH\�RIWHQ�EHFRPH�SODVWLF�DQG�FOD\H\�

/HDQ�FOD\ 6LOW\�FOD\V�DQG�FOD\H\�VLOWV�RI�ORZ�WR�PHGLXP�SODVWLFLW\�

��/��UHIHUV�WR�D�QDPH�ZKLFK�LV�XVHG�LQ�ORFDO�DUHDV��RQO\��

(0��

��-DQ��

)�(��

7DEOH�(��&RQFOXGHG�

&RPPRQ�1DPH 'HVFULSWLRQ

/LPHURFN��/� $�VRIW��IULDEOH��FUHDP\�ZKLWH�OLPHVWRQH�IRXQG�LQ�WKH�VRXWKHDVWHUQ�8QLWHG�6WDWHV��LW�FRQVLVWV�RI�PDULQH�UHPDLQV�ZKLFK�KDYH�GLVLQWHJUDWHG�E\�ZHDWKHULQJ�

/RDP $Q�DJULFXOWXUDO�WHUP�XVHG�WR�GHVFULEH�VDQG\�VLOW\�WRSVRLOV�ZKLFK�FRQWDLQ�D�WUDFH�RI�FOD\��DUH�HDVLO\�ZRUNHG��DQG�DUH�SURGXFWLYH�RI�SODQW�OLIH�

/RHVV $�VLOW\�VRLO�RI�HROLDQ�RULJLQ�FKDUDFWHUL]HG�E\�D�ORRVH��SRURXV�VWUXFWXUH��DQG�D�QDWXUDO�YHUWLFDO�VORSH��LW�FRYHUV�H[WHQVLYH�DUHDV�LQ�1RUWK�$PHULFD��(XURSH��DQG$VLD�

0DUO $�VRIW��FDOFDUHRXV�GHSRVLW�PL[HG�ZLWK�FOD\V��VLOWV��DQG�VDQGV��DQG�RIWHQ�FRQWDLQV�VKHOOV�RU�RUJDQLF�UHPDLQV��LW�LV�FRPPRQ�LQ�WKH�*XOI�&RDVW�DUHD�RI�WKH�8QLWHG6WDWHV�

0LFDFHRXV�VRLOV 6RLO�ZKLFK�FRQWDLQV�D�VXIILFLHQW�DPRXQW�RI�PLFD�WR�JLYH�LW�GLVWLQFWLYH�DSSHDUDQFH�DQG�FKDUDFWHULVWLFV�

0XFN��PXG� 9HU\�VRIW��VOLP\�VLOW�ZKLFK�LV�IRXQG�RQ�ODNH�RU�ULYHU�ERWWRPV�

0XVNHJ 3HDW�GHSRVLWV�IRXQG�LQ�QRUWKZHVWHUQ�&DQDGD�DQG�$ODVND�

3HDW )LEURXV��SDUWLDOO\�GHFD\HG�RUJDQLF�PDWWHU�RU�D�VRLO�ZKLFK�FRQWDLQV�D�ODUJH�SURSRUWLRQ�RI�VXFK�PDWHULDOV��LW�LV�H[WUHPHO\�FRPSUHVVLEOH�DQG�LV�IRXQG�LQ�PDQ\�DUHDVRI�WKH�ZRUOG�

5HG�GRJ��/� 7KH�UHVLGXH�IURP�EXUQHG�FRDO�GXPSV�

5RFN�IORXU $�ORZ�SODVWLFLW\��VHGLPHQWDU\�VRLO�FRPSRVHG�RI�VLOW�VL]HG�SDUWLFOHV�ZKLFK�PD\�EHFRPH�TXLFN�DW�KLJK�PRLVWXUH�FRQWHQWV�

6KDOH $�WKLQO\�ODPLQDWHG�URFN�OLNH�PDWHULDO�ZKLFK�KDV�UHVXOWHG�IURP�FRQVROLGDWLRQ�RI�FOD\�XQGHU�H[WUHPH�SUHVVXUH��VRPH�VKDOHV�UHYHUW�WR�FOD\�RQ�H[SRVXUH�WR�DLU�DQGPRLVWXUH�

7DOXV $�IDQ�VKDSHG�DFFXPXODWLRQ�RI�IUDJPHQWV�RI�URFN�WKDW�KDYH�IDOOHQ�QHDU�WKH�EDVH�RI�D�FOLII�RU�VWHHS�PRXQWDLQVLGH�DV�D�UHVXOW�RI�ZHDWKHULQJ�

7RSVRLO 7KH�WRS�IHZ�LQFKHV�RI�VRLO�ZKLFK�FRQWDLQV�FRQVLGHUDEOH�RUJDQLF�PDWWHU�DQG�LV�SURGXFWLYH�RI�SODQW�OLIH�

7XID $�ORRVH��SRURXV�GHSRVLW�RI�FDOFLXP�FDUERQDWH�ZKLFK�XVXDOO\�FRQWDLQV�RUJDQLF�UHPDLQV�

7XII 6WUDWLILHG��FRPSDFWHG�GHSRVLWV�RI�ILQH�PDWHULDOV��VXFK�DV�FHPHQWHG�GXVW�DQG�FLQGHUV��HMHFWHG�IURP�YROFDQRHV��7XIIV�DUH�SUHYDOHQW�LQ�WKH�0HGLWHUUDQHDQ�DUHD�

9DUYHG�FOD\ $�VHGLPHQWDU\�GHSRVLW�ZKLFK�FRQVLVWV�RI�DOWHUQDWH�WKLQ��OHVV�WKDQ��PP��OD\HUV�RI�VLOW�DQG�FOD\�

9ROFDQLF�DVK 8QFHPHQWHG�YROFDQLF�GHEULV�ZKLFK�FRQVLVWV�RI�SDUWLFOHV�OHVV�WKDQ��PP�GLDPHWHU��XSRQ�ZHDWKHULQJ��D�FOD\�RI�KLJK�FRPSUHVVLELOLW\�LV�IRUPHG�

(0��-DQ��

)�(��

D��&RDUVH�JUDYHO

E��)LQH�JUDYHO

)LJXUH�(��3KRWRJUDSKV�RI�VHYHUDO�VRLOV�WR�DLG�LQ�VHOHFWLQJ�WHUPV�IRU�GHVFULELQJ�WKH�JUDLQ�VL]H�RIVRLO��6KHHW��RI��

(0��-DQ��

)�(��

F��&RDUVH�VDQG

G��)LQH�VDQG

)LJXUH�(��6KHHW��RI��

(0��-DQ��

)�(��

H��6LOW�RU�FOD\

)LJXUH�(��6KHHW��RI��

(0��-DQ��

)�(��

D��:HOO�JUDGHG

E��8QLIRUPO\�RU�SRRUO\�JUDGHG

)LJXUH�(��3KRWRJUDSKV�RI�VHYHUDO�VRLOV�WR�DLG�LQ�VHOHFWLQJ�WHUPV�IRU�GHVFULELQJ�WKH�JUDGDWLRQV�RIFRDUVH�JUDLQHG�VRLOV��&RQWLQXHG�

(0��-DQ��

)�(��

F��*DS�JUDGHG

)LJXUH�(��&RQFOXGHG�

(0��-DQ��

)�(��

D��5RXQGHG

E��6XEURXQGHG

)LJXUH�(��3KRWRJUDSKV�RI�VHYHUDO�VRLOV�WR�DLG�LQ�VHOHFWLQJ�WHUPV�IRU�GHVFULELQJ�WKH�JUDLQ�VKDSH�RIFRDUVH�JUDLQHG�VRLOV��&RQWLQXHG�

(0��-DQ��

)�(��

F��6XEDQJXODU

G��$QJXODU

)LJXUH�(��&RQFOXGHG�

(0��-DQ��

)�(��

)LJXUH�(��$SSHDUDQFH�RI�VDPSOH�RI�PRLVW��ILQH�JUDLQHG�VRLO�SULRU�WR�FRQGXFWLQJ�WKH�GLODWDQF\�WHVW

)LJXUH�(��/LYHU\�DSSHDUDQFH�RI�D�VDPSOH�RI�PRLVW��ILQH�JUDLQHG�VRLO�ZKLFK�RFFXUUHG�DV�D�UHVXOW�RIVKDNLQJ�GXULQJ�WKH�GLODWDQF\�WHVW

(0��-DQ��

)�(��

)LJXUH�(��3KRWRJUDSK�RI�D�VDPSOH�RI�D�PRLVW��ILQH�JUDLQHG�VRLO�EHLQJ�VTXHH]HG�GXULQJ�WKHGLODWDQF\�WHVW

(0��-DQ��

)�(��

)LJXUH�(��$�VDPSOH�RI�D�PRLVW��ILQH�JUDLQHG�VRLO�FUDFNLQJ�DQG�FUXPEOLQJ�GXULQJ�WKH�GLODWDQF\�WHVW

(0��-DQ��

)�(��

)LJXUH�(��$�VDPSOH�RI�D�GU\��ILQH�JUDLQHG�VRLO�EHLQJ�EURNHQ�WR�GHWHUPLQH�LWV�GU\�VWUHQJWK

)LJXUH�(��$�VDPSOH�RI�D�PRLVW��ILQH�JUDLQHG�VRLO�EHLQJ�UROOHG�WR�D��PP��LQ��GLDP�WKUHDG�WRGHWHUPLQH�LWV�WRXJKQHVV�DQG�SODVWLFLW\

(0��-DQ��

)�(��

)LJXUH�(��3KRWRJUDSK�RI�D�VDPSOH�RI�D�PRLVW�ILQH�JUDLQHG�VRLO�EHLQJ�IODWWHQHG�WR�D�ULEERQ�DERXW��WR��PP��WR��LQ��WKLFN�WR�GHWHUPLQH�LWVWRXJKQHVV�DQG�SODVWLFLW\

(0��-DQ��

$SSHQGL[�)6RLO�6DPSOLQJ

,Q� DQ� HIIRUW� WR� FRQVROLGDWH� &RUSV� JXLGDQFH� GRFXPHQWV�� (QJLQHHU� 0DQXDO� (0� �� 6RLO

6DPSOLQJ��6HSWHPEHU��KDV�EHHQ�PRGLILHG�DQG�LV�LQFOXGHG�DV�$SSHQGL[�)�RI�WKLV�PDQXDO��

(0��-DQ��

*��

$SSHQGL[�*��$SSHQGL[�%�RI�(0��3HQHWUDWLRQ�5HVLVWDQFH�7HVW�DQG�6DPSOLQJ�ZLWK�D�6SOLW�%DUUHO�6DPSOHU

*��,QWURGXFWLRQ

The method of sampling soil described herein consists of driving a split-barrel sampler to obtain arepresentative, disturbed sample and to simultaneously obtain a measure of the resistance of the subsoilto penetration of a standard sampler. The resistance to penetration is obtained by counting the number ofblows required to drive a steel tube of specified dimensions into the subsoil a specified distance using ahammer of a specified weight (mass). This test is commonly referred to as the Standard Penetration Test(SPT). The soil sample which is obtained as a part of the test can be used for water content determi-nation, soil-type identification purposes, and laboratory tests in which the degree of disturbance of thesample does not adversely affect the results. See Chapters 7 and 8 for additional information onsampling with open tube samplers.

The results of the SPT have been used extensively in many geotechnical exploration projects. TheSPT blowcount, N, is a measure or index of the in-place firmness or denseness of the foundationmaterial. Many local correlations as well as widely published correlations which relate SPT blowcountand the engineering behavior of earthworks and foundations are available. Because the SPT isconsidered to be an index test, blowcount data should be interpreted by experienced engineers only.

In general, the SPT blowcount data are applicable to fairly clean medium-to-coarse sands and finegravels at various water contents and to saturated or nearly saturated cohesive soils. When cohesive soilsare not saturated, the penetration resistance may be misleading of the behavior of the material as afoundation soil. Likewise, the engineering behavior of saturated or nearly saturated silty sands may beunderestimated by the penetration resistance test.

The relative firmness or consistency of cohesive soils or density of cohesionless soils can be esti-mated from the blowcount data which is presented in Table G-1. The bearing capacity of cohesionlessand cohesive soils can also be estimated from the SPT blowcount data. For blowcounts in excess of 25blows, the bearing capacity is excellent. For blowcounts less than 10 blows, the bearing capacity is poor.Hard, saturated cohesive soils and dense to very dense cohesionless soils will support moderately heavy-to heavy loads, whereas very firm cohesive soils and medium dense- to dense cohesionless soils areadequate for most lighter loads.

*��(TXLSPHQW�DQG�7HUPLQRORJ\

A qualitative measurement of the dynamic penetration resistance of soil is obtained by driving asplit-spoon sampler. To be meaningful, the value of penetration resistance must be obtained with stan-dardized equipment and procedures. The following paragraphs describe the standard equipment which isrequired for the SPT and the associated terminology. The description of the equipment and theterminology are generally compatible with ASTM D 1586-84, “Standard Method for Penetration Testand Split-Barrel Sampling of Soils” (ASTM 1993) and the SPT procedure recommended by the1

International Society for Soil Mechanics and Foundation Engineering, “Standard Penetration Test (SPT):International Reference Test Procedure” (Decourt et al. 1988).

(0��-DQ��

*��

D� ,QFUHPHQWDO�EORZFRXQW. ÄN is the number of blows for each 150-mm (6-in.) interval of samplerpenetration for the 0- to 150-mm (0- to 6-in.) interval, for the 150- to 300-mm (6- to 12-in.) interval, andfor the 300- to 450-mm (12- to 18-in.) interval.

E� %ORZFRXQW. N is the blowcount representation, in blows per foot, of the penetration resistance ofthe soil. The SPT N-value equals the sum of the blows of the hammer which are required to drive astandard sampler for the depth interval from 150 to 300 mm (6 to 12 in.) plus the depth interval from 300to 450 mm (12 to 18 in.).

F� 'ULYH�ZHLJKW�DVVHPEO\. The drive weight assembly consists of a hammer, a hammer fall guide,the anvil, and any hammer-drop system.

(1) +DPPHU��The hammer is that portion of the drive weight assembly consisting of a 63.5 ± 1 kg(140 ± 2 lb) impact weight which is successively lifted and dropped to provide the energy thataccomplishes the penetration and sampling. A pinweight hammer, a donut hammer, and a safety hammerhave been used as the drive weight. A schematic diagram of each is given in Figure G-1. The donuthammer and the safety hammer are commercially available.

(2) +DPPHU� IDOO�JXLGH. The hammer fall guide is that part of the drive weight assembly which isused to guide the unimpeded fall of 760 ± 25 mm (30 ± 1.0 in.) of the hammer. Although it is desirablethat the energy of the falling weight is not reduced by friction between the hammer and the hammerguide, the energy from the sliding hammer may be transmitted to the drill string at various efficiencies,depending upon the manufacturer's design. Because of this source of error, the type of equipment usedshould be recorded.

(3) $QYLO. The anvil is that portion of the drive weight assembly through which the hammer energyis transmitted to the drill rods as it is impacted by the falling hammer. The hammer and anvil should bedesigned for steel on steel contact when the hammer is dropped.

(4) +DPPHU�GURS�V\VWHP. The hammer drop system is that portion of the drive weight assembly bywhich the operator accomplishes the lifting and dropping of the hammer to produce the blow. Thecathead and rope system, trip system, or the semiautomatic or automatic hammer drop system may beused provided that the lifting apparatus will not cause penetration of the sampler into the formation whilereengaging and lifting the hammer. Hammers used with the cathead and rope method should have anunimpeded overlift range of at least 100 mm (4 in.). A schematic diagram of an automatic trip for adonut hammer is presented in Figure G-2. For safety reasons, the use of a hammer assembly with aninternal anvil (safety hammer) is encouraged.

(a) &DWKHDG. The cathead is the rotating drum in the cathead and rope lift system. The operatorsuccessively tightens and loosens the rope turns around the drum to lift and drop the hammer.

(b) 1XPEHU�RI�URSH�WXUQV. The number of turns of the rope can be determined as the total contactangle between the rope and the cathead divided by 360 deg. The contact angle begins at a point wherethe rope from the sheave at the top of the derrick makes contact with the cathead and ends at a pointwhere the rope leading from the cathead to the operator's hands ceases to make contact with the cathead.

Two turns of the rope on the cathead is recommended. However, the actual number of turns of ropeon the cathead is approximately 2-1/4 turns for clockwise rotation of the cathead or 1-3/4 turns for

(0��-DQ��

*��

counterclockwise rotation of the cathead. Figure G-3 is a sketch of the rope wrapped on the catheadwhich illustrates the number of turns of the rope.

G� 'ULOOLQJ�HTXLSPHQW. Drilling equipment is used to provide a suitably clean open hole in whichthe sampler can be inserted. The diameter of the borehole should be greater than 56 mm (2.2 in.) and lessthan 162 mm (6.5 in.). The selection of appropriate drilling equipment and performing the drillingoperations using accepted drilling procedures help to ensure that the penetration test is conducted onundisturbed soil.

(1) 'ULOO�URGV. The drill rods are used to transmit the downward force and torque from the drill rig tothe drill bit for drilling the borehole.

(2) 'UDJ�� FKRSSLQJ�� RU� ILVKWDLO� ELWV. These drill bits may be used in conjunction with open-holerotary drilling or casing-advancement drilling methods. To avoid disturbance to the underlying soil,drilling fluid must be discharged through ports on the side of the bits. Bottom discharge of the drillingfluid is not permitted.

(3) 5ROOHU�FRQH�ELWV. Roller cone bits may be used in conjunction with open-hole rotary drilling orcasing- advancement drilling methods. The drilling fluid must be deflected to avoid disturbance to theunderlying soil.

(4) +ROORZ�VWHP�FRQWLQXRXV�IOLJKW�DXJHUV. Hollow-stem augers may be used with or without a centerbit assembly to drill the borehole.

(5) 6ROLG�VWHP�FRQWLQXRXV�IOLJKW�DXJHUV��EXFNHW�DXJHUV��DQG�KDQG�DXJHUV. Solid-stem augers, bucketaugers, or hand-held augers may be used if the soil on the walls of the borehole does not cave onto thesampler or sampling rods during sampling operations.

H� 6DPSOLQJ�HTXLSPHQW. Sampling equipment is used to obtain a soil sample in conjunction with theSPT.

(1) 6DPSOLQJ�URGV. Sampling rods, which are considered to be synonymous with drill rods, are flushjoint steel drilling rods that connect the drive weight assembly to the split-barrel sampler. The samplingrods should have a stiffness (moment of inertia) equal to or greater than the stiffness of an “A” rod; an“A” rod is a steel rod which has an OD of 41 mm (1-5/8 in.) and an ID of 29 mm (1-1/8 in.). Researchhas indicated that drill rods with stiffnesses ranging from “A” to “N” rod sizes will usually have anegligible effect on the SPT blowcount, N, values to depths of at least 30 m (100 ft). However, “N” rodswhich are stiffer than “A” rods are recommended for holes deeper than 15 m (50 ft).

(2) 6SOLW�EDUUHO�VDPSOHU. The split-barrel sampler, which is frequently called a split-spoon sampler,consists of a sampler head, a split-barrel sampling tube, and a driving shoe. A schematic drawing of asplit-barrel sampler is shown in Figure G-4. Before the sampler is used, all components should be cleanand free of nicks and scars made from tools and rocks. Individual components should be replaced orrepaired if they become dented or distorted.

(a) 6DPSOHU�KHDG. The sampler head contains a number of vents of sufficient size which will permitunimpeded flow of air or water from the tube upon entry of the sample. These vents should be equippedwith nonreturn valves which will provide a watertight seal when the sampler is withdrawn from the

(0��-DQ��

*��

borehole. For a typical, commercially available split-spoon sampler, the sampler head contains four ventholes. Each vent hole is usually 13 mm (1/2-in.) diameter.

(b) 6SOLW�EDUUHO�VDPSOLQJ�WXEH. The split-barrel sampling tube is made of hardened steel with smoothinternal and external surfaces. Its dimensions are 51-mm (2-in.) OD by 35-mm (1-3/8-in.) ID. Theminimum length of the tube is 457 mm (18 in.). It should be noted that a split-barrel sampling tube withan ID of 38 mm (1-1/2 in.) may be used provided that the tube contains a liner of 16-gauge (1.5-mm) wallthickness.

(c) 'ULYLQJ�VKRH. The driving shoe is heat-treated, case-hardened steel. It has an OD of 51 mm (2in.) and an ID of 35 mm (1-3/8 in.). Its length is 76 mm (3 in.). The outside of the bottom 19 mm (3/4in.) of the driving shoe should be tapered uniformly inward to the internal bore to form a the cuttingedge.

(3) /LQHUV. Liners can be used provided that a constant ID of 35 mm (1-3/8 in.) is maintained. Theuse of liners should be noted on the boring log or penetration record.

(4) 6DPSOH�UHWDLQHUV. A variety of sample retainers may be used to prevent sample loss during thewithdrawal of the sampler from the borehole. The type of sample retainer should be noted on thepenetration record.

*��$GYDQFLQJ�WKH�%RUHKROH

The borehole may be advanced using equipment and procedures that provide a suitably clean stablehole and assure that the SPT can be performed on essentially undisturbed soil. Methods of advancing theborehole which have been proven to be acceptable include wireline or open-hole rotary drilling,continuous-flight hollow-stem or solid-stem augering, and wash boring methods provided that bottomdischarge bits are not used. Methods which produce unacceptable borings include jetting through anopen-tube sampler followed by sampling when the desired depth is reached, using continuous-flightsolid-stem augers in cohesionless deposits below the water table, drilling into a confined cohesionlessstratum that is under artesian pressure, or advancing the borehole solely by means of previous samplingwith the SPT sampler. The use of a bottom discharge bit is strictly prohibited.

The borehole can be advanced incrementally, alternating with testing and sampling operations.Continuous sampling of the substrata may be conducted, although this could affect the N-values; typicaltesting and sampling intervals are 0.6 to 1.5 m (2 to 5 ft) in homogeneous strata. Additional tests shouldbe conducted at every change of strata. Boreholes can be stabilized using procedures which wereoutlined in paragraph 6-2 for undisturbed sampling operations. If drilling mud is used, the drilling fluidlevel in the borehole should be maintained at or above the groundwater level at all times. Drilling andsampling tools should be withdrawn slowly to prevent disturbance of the soil on the bottom and the wallsof the borehole. If casing is used, the casing should not be advanced below the top of the stratum to besampled.

The diameter of the borehole should be greater than 56 mm (2.2 in.) and less than 162 mm (6.5 in.).A smaller diameter hole may tend to close slightly and bind the drill rods, whereas a larger diameter holemay significantly alter the stresses at the bottom of the borehole. A large-diameter borehole may alsoallow excessive bending of the drill rods, especially for long sections of drill rod. These conditions couldresult in erroneous penetration resistances.

(0��-DQ��

*��

*��6DPSOLQJ�DQG�7HVWLQJ�3URFHGXUH

After the boring has been advanced to the desired sampling depth or elevation and excessive cuttingshave been carefully removed from the bottom of the borehole, the split-spoon sampling apparatus may beassembled and lowered into the borehole. The recommended procedures for conducting the SPT andobtaining a representative sample of soil are presented below.

As the drilling rods are connected to lower the sampler to the bottom of the borehole, inspect eachsampling rod to ensure that it is straight. If the relative deflection of a particular rod is greater thanapproximately 1:1000, it should not be used. Precaution should be taken to ensure that each rod joint issecurely tightened. When the sampling apparatus has been lowered to the bottom of the borehole, securethe drill rods and sampler by the chuck on the drill rig to prevent disturbance of the soil at the bottom ofthe borehole as the hammer drive weight assembly is attached to the sampling rods. Attach the hammerassembly to the top of the drill rods and carefully lower the sampler onto the soil at the bottom of theborehole. Do not allow sampler to drop onto the soil to be sampled. Rest the deadweight of the sampler,sampling rods, and hammer drive weight assembly on the bottom of the boring.

D� 6HDWLQJ�WKH�VSOLW�EDUUHO�VDPSOHU. Compare the depth of the bottom of the borehole to the depthof the bottom of the sampler. If the sampling spoon advances below the bottom of the borehole under thestatic weight of the drill rods plus the weight of the hammer, measure the penetration of the sampler intothe soil and note this information on the boring log. After the initial penetration caused by thedeadweight of the SPT sampling system has occurred, apply one blow of the hammer to seat the sampler.Note this depth on the boring log and drive the sampler as described in paragraph G-4E. If the staticpenetration exceeds 450 mm (18 in.), stop the test and record the blowcount as zero. Remove the rodsand sampler from the boring. Advance the borehole to the next sampling depth, remove the cuttings, andlower the sampler to the bottom of the borehole to begin the next drive.

If the depth of the sampling spoon is less than the depth to which the borehole was advanced, cuttingsmay have settled to the bottom of the hole or the walls of the borehole may have sloughed. Note thedepths of the bottom of the borehole and the sampler on the boring log. If the difference of the depths isless than 76 mm (3 in.), which is the length of the driving shoe, apply one hammer blow to the sampler.Again, compare the depths of the bottom of the borehole to the bottom of the sampler. If the sampler isseated in virgin material at the bottom of the borehole, note the depth on the boring log. If the samplingspoon is not seated in virgin material, apply an additional blow with the hammer. Again, compare thedepths of the bottom of the cleaned borehole to the bottom of the sampler and note these data on theboring log. Repeat the procedure until the sampling spoon is seated in virgin material. When the bottomof the sampling spoon has been embedded in virgin material, apply one blow to seat the sampler; recordthis depth on the boring log, and then drive the sampler according to the procedures which are describedin paragraph G-4E.

If the difference of the depths of the bottom of the borehole and the bottom of the sampler is greaterthan the length of the driving shoe, remove the sampler from the borehole. Clean the cuttings and/orslough material from the hole. Record this operation on the boring log. When the cleaning operation hasbeen completed, lower the sampler into the borehole and compare the depth of the bottom of the samplerto the depth at the bottom of the hole. If the difference of the depths is less than 76 mm (3 in.), seat thesampler as described in the preceding paragraph. If the difference of the depths is greater than 76 mm(3 in.), remove the sampler from the boring and repeat the cleaning procedure.

(0��-DQ��

*��

After the split-barrel sampler has been seated in virgin material, mark the rods in three successive150-mm (6-in.) increments so that the advance of the sampler under the impact of the hammer can beeasily observed for each 150-mm (6-in.) increment of penetration. It should be noted that although thepenetration of the sampler through the cuttings which have settled to the bottom of the borehole is notconsidered to be part of the penetration resistance test, the penetration of the sampler through thismaterial must be considered as the total penetration or drive of the sampler. Care is required to ensurethat the sampler is not overdriven. Overdriving of the sampler, which occurs when the total penetrationof the sampler exceeds the total inside open length of the sampler, will result in erroneous penetrationresistance data.

E� 'ULYLQJ�WKH�VDPSOHU. To drive the sampler, the 63.5-kg (140-lb) hammer is raised 0.76 m (30 in.)above the upper face of the drivehead assembly. The hammer is then allowed to fall freely and strike theface of the drivehead assembly. The procedure is repeated to drive the sampler into the soil.

Methods for raising and dropping the hammer include the automatic, semiautomatic, and trip-hammerdrop systems. The drop of the hammer should be checked to ensure that the hammer falls exactly 0.76 m(30 in.) unimpeded. The desired rate of application of hammer blows is 30 per minute (min). It isassumed for most soils that this rate of application will permit the conditions at the sampling spoon toequilibrate between successive blows of the hammer.

If the cathead and rope method of raising the hammer is employed, a number of conditions should beconsidered and addressed. For each hammer blow, a 0.76-m (30-in.) lift and drop should be used by theoperator. Marks may be placed on the guide rod at 0.74 and 0.76 m (29 and 30 in.) to aid the operator indetermining the point at which the hammer has been raised exactly 0.76 m (30 in.). The operation shouldbe performed rhythmically without holding the rope at the top of the stroke. The desired rate ofapplication of hammer blows is 30 per min. An excessive rate of application of blows could preventequilibrium between blows or could result in a nonstandard drop distance. Two turns of a relatively dry,clean, and unfrayed rope should be used on the cathead. The cathead should be operated at a minimumspeed of 100 revolutions per minute (rpm). It must be essentially free of rust, oil, or grease and have adiameter in the range of 150 to 250 mm (6 to 10 in.). These values should be reported in the boring log.

Count the number of blows for each 150-mm (6-in.) increment of penetration until the sampler haspenetrated 450 mm (18 in.) into the soil at the bottom of the borehole or until refusal has occurred.Refusal is defined as the condition when 50 blows have been applied during any one of three 150-mm(6-in.) increments of drive, a total of 100 blows has been applied to the sampler, or when there is noobserved advance of the sampler during the application of 10 successive blows of the hammer.

Record the number of blows for each 150-mm (6-in.) increment of penetration or fraction thereof. Ifthe sampler is driven less than 0.45 m (18 in.), the number of blows for each partial increment should berecorded. For partial increments, the depth of penetration should be reported to the nearest 25 mm(1 in.). Cite the reason(s) for terminating the test.

It should be noted that the first 150 mm (6 in.) of drive is considered to be a seating drive. The sumof the blows required for the second and third 150-mm (6-in.) increments of penetration is termed the“standard penetration resistance” or the “N value.”

F� :LWKGUDZDO�RI� WKH�VDPSOHU� IURP�WKH�ERUHKROH. For many drilling and sampling operations, thesampler may be withdrawn by pulling the line attached to the hammer. This action will cause thehammer to be raised against the top of the drivehead assembly and lift the entire hammer assembly,

(0��-DQ��

*��

sampling rods, and split-barrel sampler from the bottom of the borehole. If this method of extracting thesampler from the bottom of the borehole is unsuccessful or the sampler is extremely difficult towithdraw, several short, light, upward strokes of the hammer will drive the sampler upward. When thesampler is free, the entire string can be withdrawn from the borehole.

*��)DFWRUV�:KLFK�,QIOXHQFH�3HQHWUDWLRQ�'DWD

Recently conducted research has identified a number of factors which could affect SPT blowcountdata. Although the effects of several of these factors have been investigated and SPT procedures havebeen standardized as a result of the studies, a number of variables have not yet been investigated and/orstandardized. Because the effects of these variables may be quantitatively, and for some casesqualitatively unknown, this discussion is intended to inform the drill rig operator as well as thegeotechnical engineer of potential errors or sources of errors which could affect the SPT blowcount data.If the practitioner is aware of this information, it is believed that some of the uncertainty of the use andinterpretation of SPT data can be minimized.

Because of the uncertainty of the qualitative and/or quantitative effects of many of the variableswhich could influence the SPT blowcount data, it is recommended that standard procedures should befollowed and practiced. All pertinent data with respect to test conditions and equipment should berecorded. If differences of test results are identified for “identical” site conditions during the analysesand interpretation of the data, perhaps the discrepancy or error could be explained by arguments such asthe condition of the equipment, or differences of equipment, procedures, or weather conditions.

D� 6FKPHUWPDQQV�VWXG\. Schmertmann (1978) identified a number of factors which could influencethe SPT blowcount data. These factors included penetration interval, sampling tube design, the numberof turns of rope on the cathead, variations of drop height of the hammer, energy delivered to the samplingspoon, and the in situ effective stress condition. He also estimated the effects of the respective factors onthe magnitude of the potential error on the SPT blowcount data. A brief discussion of the effects of thesevariables on SPT data is presented below.

(1) 3HQHWUDWLRQ�LQWHUYDO. The blowcount data should be recorded for each of three consecutive 150-mm (6-in.) increments of drive of the sampling spoon after the sampling tube has been seated in virginmaterial by one blow of the hammer. The SPT blowcount, N, is the sum of the number of blows for thedepths of penetration from 150 to 300 mm (6 to 12 in.) and 300 to 450 mm (12 to 18 in.). Schmertmannsuggested that the wrong sampling interval, such as 0 to 150 mm (0 to 6 in.) plus 150 to 300 mm (6 to12 in.), could introduce an error of blowcounts, N, on the order of 15 to 30 percent.

(2) 6DPSOLQJ� WXEH� GHVLJQ. The physical dimensions of the split spoon could affect the SPTblowcount. For example, the use of a liner in the sampling tube would cause an increase of theblowcount as compared to the use of the same sampling tube without a liner. Schmertmann estimatedthat the use of a larger diameter sampling tube without a liner could cause a reduction of the penetrationresistance on the order of 10 to 30 percent.

(3) 1XPEHU� RI� WXUQV� RI� URSH� RQ� WKH� FDWKHDG. Rope which is wrapped around the cathead mayseriously impede the fall of the hammer. Consequently, the energy which is delivered to the anvil couldbe significantly less than the theoretical value computed for a free-fall condition. To minimize thepotential differences of SPT blowcount data caused by the friction between the cathead and the rope,only two turns of the rope around the cathead should be used. It should be noted that the actual numberof turns is approximately 1-3/4 for counterclockwise rotation of the cathead or 2-1/4 for clockwise

(0��-DQ��

*��

rotation of the cathead. Schmertmann estimated that the error caused by friction between the rope andthe cathead could increase the blowcount data by as much as 100 percent.

(4) 9DULDWLRQ�RI�GURS�KHLJKW�RI�KDPPHU. With other factors constant, the energy which is deliveredto the anvil by the hammer is proportional to the free-fall distance of the hammer. Therefore, care isnecessary to ensure that the drop of the hammer is constant. The standard procedure specifies that theheight of the drop is 76 cm (30 in.). Schmertmann estimated that the error cause by an incorrect dropdistance was approximately ±10 percent.

(5) (QHUJ\� GHOLYHUHG� WR� VDPSOLQJ� VSRRQ. The length of the drill rods, the section modulus of therods, and the mass of the anvil may affect the energy which is transferred to the drill rods and deliveredto the sampling spoon. Schmertmann suggested that use of a large anvil as compared to a small anvilcould increase the blowcount by as much as 50 percent. With respect to the length of the drill string,Schmertmann estimated that the blowcount could be 50 percent too high for short sections, i.e., less than3 m (10 ft), of drill rods. Likewise, he estimated that an error on the order of about 10 percent could becaused by using an excessively long drill string. Schmertmann based his comparison on a section of drillrod which ranged from 9 to 24 m (30 to 80 ft) in length.

(6) (IIHFWLYH�VWUHVV�FRQGLWLRQ. The SPT blowcount data may be affected by the change of effectivestresses in the sampling zone. The effective stress condition at the bottom of a borehole is dependent onthe diameter of the borehole, the use of drilling mud as compared to casing, or the use of the hollow-stemauger as compared to casing and water. Schmertmann recommended the use of drilling mud in theborehole to minimize the change of effective stresses in the borehole.

E� $670�JXLGDQFH. The American Society for Testing and Materials (1993) published a list offactors which could effect penetration resistance in ASTM D 1586-84. It was reported that the use offaulty equipment, such as a massive or damaged anvil, a rusty cathead, a low-speed cathead, an oldand/or oily rope, or massive and/or poorly lubricated rope sheaves could contribute significantly todifferences of N values obtained between different operators or drill rig systems. ASTM reported thatvariations on the order of 100 percent or more had been observed for different apparatus or drillers foradjacent borings in the same formations. For the sake of comparison of the data, ASTM reported that forthe same driller and sampling apparatus, the coefficient of variation was about 10 percent. To reduce thevariability of blowcount data produced by different drill rigs and operators, ASTM suggested that thehammer energy which was delivered into the drill rods from the sampler should be measured and anadjustment of the blowcount data could be made on the basis of comparative energies.

F� *XLGDQFH� E\� WKH� ,&60)(. The International Committee on Soil Mechanics and FoundationEngineering International Reference Test Procedure for SPT (Decourt et al. 1988) identified severalvariables which could influence the SPT blowcount. Variables included unacceptable disturbance duringpreparation of the borehole, failure to maintain sufficient hydrostatic head in the borehole which couldresult in the flow of soil into the borehole, disturbance caused by overboring or overdriving of casing, theomission of liners which would reduce the penetration resistance, energy transmitted to the rods whichwas dependent on the shape of the hammer and the number of turns of rope on the cathead, and a largesteel drivehead which could increase the penetration resistance because of a decrease of energytransmitted to the rods. Also of interest was the statement that there were “no significant differences inblowcounts or energy transferred for rods weighing 4.33 to 10.03 kg/m” (2.9 to 6.7 lb/ft). In should benoted that rods weighing 4.33 to 10.03 kg/m (2.9 to 6.7 lb/ft) compare to AX and NX rods. One otherimportant statement was also noted: “...the energy input definition has not been proposed because of thelack of experience and the possibility of its becoming part of a 'test' routine rather than the intention

(0��-DQ��

*��

solely for 'equipment' calibration....” Although this statement appears to conflict with the procedurerecommended by ASTM, the decisions regarding the calibration of drilling and sampling equipmentshould be made by the engineer in charge following the official guidance from the Department of theArmy, U.S. Army Corps of Engineers. If official guidance is unavailable, the boring logs should containinformation about the hammer energy and how the energy or efficiency was obtained.

G� 6WXGLHV� UHSRUWHG� E\� RWKHU� UHVHDUFKHUV. Other researchers have identified additional factorswhich could influence penetration resistance. Riggs (1986) identified several factors which could affectSPT N values but were missing in ASTM D 1586-84. The factors included requirements on hammer andanvil dimensions, mass and diameter of the rope sheaves, derrick height, and alignment or configurationof the cathead and crown sheaves. Studies reported by Kovacs and Salomone (1982) indicated thenumber of wraps of rope on the cathead, the drop height, the drill-rig type, hammer type, and operatorcharacteristics influenced the energy delivered to the drill stem.

*��6DPSOLQJ�5HFRUGV�DQG�3UHVHUYDWLRQ�RI�6DPSOHV

After the sampler has been removed from the borehole and detached from the drill rods, the samplingspoon can be disassembled and the soil in the sampling spoon can be examined. If there is soil within thesampler, record the length of the sample recovered or the percent recovery. Describe the soil. Note thelocation of each stratum with respect to the bottom of the sampler barrel. Place a representative portionof each stratum into a waterproof container (jar) without ramming or distorting any apparentstratification. One or more containers may be used, as necessary. Seal each jar to prevent evaporation ofsoil water. Affix a sample label to each container. Include information on the label, such as projectnumber or site, borehole number, sample number and depth, description of the soil, strata changes withinsample, sampler penetration and recovery lengths, number of blows per 150 mm (6 in.) or partialincrement, and date of sampling. Protect the samples from temperature extremes.

All pertinent borehole data, penetration resistance, and sample data must be recorded on a boring logdata sheet similar to the data presented in Figure G-5. The depths at the top or bottom of each 150-mm(6-in.) increment of sampler penetration along with the number of blows required to effect that segmentof penetration should be reported. Clear and accurate information is required for definition of the soilprofile, depths of penetration of the sampler, penetration resistance, and location of the sample. Otherinformation which may contribute to a more accurate estimate of the condition of the samples andphysical properties of the in situ soil should also be noted.

The following information is presented as a checklist of data which should be recorded in the field:

Name and location of the job.

Names of crew.

Type and make of drilling machine.

Weather conditions.

Date and time of start and finish of boring.

Boring number and location. Give station or coordinates, if available.

(0��-DQ��

*��

Surface elevation, if available.

Method of advancing and cleaning the borehole.

Method of keeping the boring open.

Size of casing and depth of cased portion of boring, if used.

Depth to base of casing with respect to depth of sampling.

Equipment and method of driving sampler.

Type of sampler. Include its length and inside diameter. Note if liners or sample retainers wereused.

Size, type, and length of sampling rods.

Type of hammer and release mechanism or method.

Height of free-fall of the hammer.

Depth to bottom of borehole before test, depth of initial penetration, depth of split-barrel samplerafter seating blow(s) have been applied, and depth after each 150-mm (6-in.) increment ofpenetration has occurred.

Penetration resistance (blowcount data) for each 150-mm (6-in.) increment of penetration.

Sample number/depth.

Sample depth: top and bottom.

Sampler penetration and recovery lengths.

Description of soil. Include strata changes within the sample.

Date of sampling.

Obtain complete groundwater information. Include the groundwater level or elevation before thedrilling and sampling operations begin, groundwater level or drilling fluid level at the start ofeach test, depth at which drilling fluid was lost or artesian water pressure was encountered, andtime and date of each annotation. After the drilling and sampling operations have been com-pleted, record the groundwater level in sands at least 30 min after boring was completed; in silts,record groundwater data after 24 hours (hr); in clays, record data after 24 hr and at a later time, ifpossible. If groundwater was not encountered, so indicate.

Record pertinent observations which could assist in the interpretation of data, i.e., stability ofstrata, obstructions, etc.

Record calibration results, where appropriate.

(0��-DQ��

*��

*��,QWHUSUHWDWLRQ�RI�637�%ORZFRXQW�'DWD

Although the purpose of this manual is not to provide guidance for interpretation of SPT data forengineering purposes, the data in Table G-1 can be used by the inspector for describing the in situ soilconditions as determined by the SPT. These data have been referenced throughout the world and havebeen scrutinized by the engineering profession for one-half century. Furthermore, the data in Table G-1are not significantly different from those data in EM 1110-1-1905, which presents the official guidancefor interpretation of SPT blowcount data.

Specifically, EM 1110-1-1905 states that the SPT blowcount, N, should be normalized to anequivalent blowcount, N , which is the effective energy delivered to the drill rod at 60 percent of the60theoretical free-fall energy. The blowcount correction factors are dependent upon the effectiveoverburden pressure, the hammer release mechanism, and the type of hammer, i.e., donut or safety, etc.According to the data in EM 1110-1-1905, the rod energy factor varies from less than 0.8 to slightlygreater than 1.0. It should be noted, however, that a number of researchers have reported that themeasured energy delivered to the rods by SPT hammer/release systems were typically 40 to 55 percent ofthe theoretical free-fall energy; these lower values of energy delivered to the rods by SPThammer/release systems explain the selection of the equivalent blowcount, N , as compared to a higher60value for the energy factor, as inferred by the data in EM 1110-1-1905.

(0��-DQ��

*��

7DEOH�*��6RLO�'HQVLW\�RU�&RQVLVWHQF\�IURP�6WDQGDUG�3HQHWUDWLRQ�7HVW�'DWD��DIWHU�7HU]DJKL�DQG�3HFN��

Cohesive SoilConsistency Blows/foot (0.3048 m) Unconfined Compressive Strength1

Very soft Less than 2 Less than 25 kPa (0.25 tsf).

Soft 2 to 4 25 to 50 kPa (0.25 to 0.5 tsf)

Medium 4 to 8 50 to 100 kPa (0.5 to 1.0 tsf)

Firm 8 to 15 100 to 190 kPa (1.0 to 2.0 tsf)

Very firm 15 to 30 190 to 380 kPa (2.0 to 4.0 tsf)

Hard Greater than 30 Greater than 380 kPa (4.0 tsf)

Cohesionless Soil

Density Blows/foot (0.3048 m)

Very loose Less than 4

Loose 4 to 10

Medium dense 10 to 30

Dense 30 to 50

Very dense Greater than 50

The unconfined compressive strength may be approximated by the pocket penetrometer or the vane shear apparatus.1

(0��

��-DQ��

*�� )LJXUH�*��6FKHPDWLF�GUDZLQJ�RI�WKH�SLQZHLJKW�KDPPHU��WKH�GRQXW�KDPPHU��DQG�WKH�VDIHW\�KDPPHU��DIWHU�5LJJV��

(0��-DQ��

*��

Figure G-2. Schematic drawing of the automatic trip hammer

(0��

��-DQ��

*��

)LJXUH�*��6FKHPDWLF�GUDZLQJ�RI�WKH�QXPEHU�RI�WXUQV�RI�URSH�RQ�WKH�FDWKHDG��IRU�FRXQWHUFORFNZLVH�URWDWLRQ�RI�WKH�FDWKHDG��DQG��WXUQV�IRUFORFNZLVH�URWDWLRQ�RI�WKH�FDWKHDG

(0��

��-DQ��

*��

)LJXUH�*��6FKHPDWLF�GUDZLQJ�RI�WKH�VSOLW�EDUUHO�VDPSOHU

(0��

��-DQ��

*�� )LJXUH�*��/RJ�RI�D�SHQHWUDWLRQ�UHVLVWDQFH�ERULQJ�ZLWK�W\SLFDO�LQIRUPDWLRQ�ZKLFK�PXVW�EH�UHFRUGHG

(0��-DQ��

+��

$SSHQGL[�+��$SSHQGL[�&�RI�(0��3HQHWUDWLRQ�5HVLVWDQFH�7HVWLQJ�ZLWK�WKH�%HFNHU�+DPPHU�'ULOO

+��,QWURGXFWLRQ

The use of the Becker hammer drill as an in situ penetration test for gravelly soils has gained wide-spread acceptance since its use was first reported (Harder and Seed 1986). The Becker Penetration Test1

(BPT) for gravelly soils has become synonymous to the Standard Penetration Test (SPT) for sandy soils.However, the technology on use of the BPT for assessing engineering parameters is still evolving. Theinformation presented herein is not the “how to do” cookbook approach, but rather it is a synopsis of thetest procedures which are currently accepted and used as well as a list of variables that may affect the testresults. Because standard procedures for conducting the BPT do not exist, it is recommended that thegeotechnical engineer and/or the engineering geologist should peruse the literature and communicatewith individuals knowledgeable on the use of the BPT prior to planning and conducting an investigationwith the Becker hammer drill.

+��(TXLSPHQW

The Becker hammer drill was devised specifically for use in sand, gravel, and boulders by BeckerDrilling, LTD., of Canada. The drill utilizes a diesel-powered pile hammer to drive a double-wall casinginto the ground without rotation. The elements of the Becker hammer drill include an air compressor,mud pump, a double- or single-acting diesel-powered hammer, rotary drive unit, hydraulic hoist, casingpuller, mast, and cyclone. The double-wall threaded casing is specially fabricated from two heavy pipeswhich act as one unit. The casing has flush joints and tapered threads for making and breaking the string.Standard casings vary from 14.0- to 23-cm (5.5- to 9.0-in.) OD; the 17-cm- (6.6-in.-) diam casing iscommonly used for the BPT. A toothed bit which is attached to the casing is used to break the material atthe bottom of the borehole.

+��6DPSOLQJ�DQG�7HVWLQJ�3URFHGXUHV

Either an open bit or a plugged bit can be used to drive the casing. The BPT is conducted with aplugged bit, as experience has shown that questionable values of penetration resistance may be obtainedif the open bit is used. To conduct the BPT, the number of hammer blows to drive the casing 0.3 m (1 ft)is counted and recorded. To use the BPT data, the blowcounts are converted to equivalent SPTblowcounts by empirical correlations (Harder and Seed 1986). From the equivalent SPT blowcounts, thepenetration resistance can be correlated to selected geotechnical engineering parameters, such asliquefaction potential (Seed, Idriss, and Arango 1983; Seed et al. 1985).

The open bit is used for obtaining disturbed samples by the reverse circulation technique. Ascompressed air is pumped to the bottom of the hole through the annular space between the two pipes,broken fragments or cuttings are returned to the surface through the center of the casing. At the surface,the return flow is collected by a cyclone or collector buckets. The cuttings can be observed to give anidea of the materials which have been drilled. The sample should be interpreted cautiously, as it is amixture of all soil materials from a given depth interval. If necessary, drilling can be stopped, andsampling can be conducted through the inner barrel using a split-barrel sampler or coring techniques.Procedures for documenting the results of the BPT (including sampling records and preservation ofsamples, if obtained) should follow the procedures which are described in Chapter 13.

(0��-DQ��

+��

+��)DFWRUV�:KLFK�$IIHFW�WKH�%HFNHU�3HQHWUDWLRQ�7HVW

Harder and Seed (1986) initially believed that the bounce chamber pressure was a measure of theenergy which was delivered to the penetrometer (casing). Upon further investigation, they determinedthat BPT blowcounts could not be predicted for different bounce chamber pressures. They determinedthat the energy which was developed was dependent on such factors as the combustion efficiency andconditions of the diesel hammer, atmospheric pressure, and the material response (including density,gradation, and overburden pressure) of the soil being penetrated.

Harder and Seed reported that the combustion efficiency was operator dependent. They reported thatthe operator could vary the throttle on the diesel hammer. They also found that the use of a rotary blowerwhich forced air into the combustion cylinder resulted in a better burn (higher efficiency) of the fuel.Harder and Seed reported that the energy which was produced was dependent on combustion conditions,including fuel quantity and quality and the air mixture and pressure. For example, they suggested thatthe BPT could vary from 14 to 50 or more blows in the same material at the same depth if differentcombustion efficiencies were used. Hence, they concluded that the BPT had to be conducted under stan-dard combustion conditions.

With respect to the effects of different atmospheric pressures, Harder and Seed reported that theenergy which was delivered to the penetrometer (plugged bit) was a function of the pressure in thebounce chamber. For different atmospheric pressures, different bounce chamber pressures will result forthe same hammer energy. Consequently, the measured bounce chamber pressures must be corrected foratmospheric conditions, especially when drilling operations are conducted at different elevations. Toaccount for the effects of atmospheric pressures, Harder and Seed suggested that a ratio of theoreticalimpact kinetic energies for different atmospheric conditions could be used to normalize differences ofdelivered energies.

Harder and Seed also noted that the energy which was developed in the bounce chamber (blowcount)was dependent on the soil being penetrated. For low blowcount materials, the displacement of the casingwas relatively large for each blow; much of the energy from the expanding combustion gases was lost tocasing movement rather than raising the driving ram. As the blowcounts increased, Harder and Seeddetermined that more of the energy in the combustion chamber was transferred to the hammer;consequently, more energy was available to drive the penetrometer. Because of these findings, theysuggested that a family of curves, i.e., site-specific correlations, should be developed for a given drill rigand hammer to account for differences of bounce chamber pressures on BPT blowcount.

+��6XPPDU\

The BPT is a nonstandard test for which technology is evolving. Although BPT data must beadjusted to account for the effects of atmospheric conditions, material response, and overburden, the BPTblowcounts should be obtained using constant combustion conditions to the maximum extent possible.To interpret the test results and to use the penetration data for engineering purposes, Harder and Seedrecommended that the adjusted BPT blowcounts should be converted to equivalent SPT blowcountsusing empirical BPT-SPT correlations. The equivalent SPT blowcounts should then be normalized forthe effects of overburden prior to correlating the equivalent blowcount data to the desired engineeringparameters.

Although the BPT appears to be laden with numerous problems for conducting the test as well asinterpretation of the data, the BPT is one of a very few in situ tests which can be used for assessing the

(0��-DQ��

+��

engineering parameters of gravelly soils. (Geotechnical personnel are reminded that the SPT is usedworldwide as an in situ test for sandy soils, although a number of variables which are discussed inAppendix B may affect the SPT results.) The principal advantage of the Becker hammer drill is that itoffers a rapid and inexpensive method for drilling gravelly and bouldery materials. A principaldisadvantage of the BPT test is that the in situ stress conditions may be altered significantly during thedrilling process. For example, the flow of groundwater into the borehole can disturb the material at thebottom of the boring. Likewise, sand surrounding a boulder at the bottom of the borehole may be suckedinto the casing as the hammer drilling is conducted; the results would be a nonrepresentative sample anda recovery ratio in excess of 100 percent.

Documents

EM 1110-1-1804-Geotechnical Investigations