SOILS and ROCKS

An International Journal of Geotechnical and Geoenvironmental Engineering

Editor Waldemar Coelho Hachich - University of São Paulo, Brazil
Co-editor Manuel Matos Fernandes - University of Porto, Portugal
Special Issue: In Situ Testing for Ground Characterization
Guest-editors: Roberto Quental Coutinho - Universidade Federal de Pernambuco, Brazil
António Viana da Fonseca - University of Porto, Portugal

Executive Board
Alberto Sayão Ian Schumann Martins
Pontifical Catholic University of Rio de Janeiro, Brazil Federal University of Rio de Janeiro, Brazil
Jorge Almeida e Sousa João Maranha
University of Coimbra, Portugal LNEC, Portugal

Associate Editors
H. Einstein E. Maranha das Neves Harry G. Poulos
MIT, USA Lisbon Technical University, Portugal University of Sidney, Australia
John A. Hudson Nielen van der Merve Niek Rengers
Imperial College, UK University of Pretoria, South Africa ITC, The Netherlands
Kenji Ishihara Paul Marinos Fumio Tatsuoka
University of Tokyo, Japan NTUA, Greece Tokyo University of Science, Japan
Michele Jamiolkowski James K. Mitchell Luiz González de Vallejo
Studio Geotecnico Italiano, Italy Virginia Tech., USA UCM, Spain
Willy A. Lacerda Lars Persson Roger Frank
COPPE/UFRJ, Brazil SGU, Sweden ENPC-Cermes, France

Editorial Board Members

Roberto F. Azevedo Orencio Monje Vilar R. Jonathan Fannin
Federal University of Viçosa, Brazil University of São Paulo at São Carlos, Brazil University of British Columbia, Canada
Milton Kanji Maria Eugenia Boscov Laura Caldeira
University of São Paulo, Brazil University of São Paulo, Brazil LNEC, Portugal
Antonio M.S. Oliveira Vinod Garga António S. Cardoso
University of Guarulhos, Brazil University of Ottawa, Canada University of Porto, Portugal
Omar Y. Bitar Richard J. Bathurst José D. Rodrigues
IPT, Brazil Royal Military College of Canada Consultant, Portugal
Lázaro V. Zuquette Robert Mair António G. Coelho
University of São Paulo, Brazil University of Cambridge, UK Consultant, Portugal
Fabio Taioli Serge Leroueil Luís R. Sousa
University of São Paulo, Brazil University of Laval, Canada University of Porto, Portugal
Tarcisio Celestino Mario Manassero Rui M. Correia
University of São Paulo-SC, Brazil Politécnico di Torino, Italy LNEC, Portugal
Roberto Q. Coutinho Luis Valenzuela João Marcelino
Federal Univ. of Pernambuco, Brazil Consultant, Chile LNEC, Portugal
Nilo C. Consoli Jorge G. Zornberg António C. Mineiro
Federal Univ. Rio Grande do Sul, Brazil University of Texas/Austin, USA University of Lisbon, Portugal
Sandro S. Sandroni Andrew Whittle António P. Cunha
Consultant, Brazil MIT, USA LNEC, Portugal New
Sérgio A.B. Fontoura Pierre Bérest António G. Correia
Pontifical Catholic University, Brazil LCPC, France University of Minho, Portugal
Ennio M. Palmeira Peter Kaiser Carlos D. Gama
University of Brasilia, Brazil Laurentian University, Canada Lisbon Technical University, Portugal
Luciano Décourt He Manchao José V. Lemos
Consultant, Brazil CUMT, China LNEC, Portugal
Faiçal Massad Teruo Nakai Nuno Grossmann
University of São Paulo, Brazil Nagoya Inst. Technology, Japan LNEC, Portugal
Marcus Pacheco Claudio Olalla Luís L. Lemos
University of the State of Rio de Janeiro, Brazil CEDEX, Spain University of Coimbra, Portugal
Paulo Maia Frederick Baynes Ricardo Oliveira
University of Northern Rio de Janeiro, Brazil Baynes Geologic Ltd., Australia COBA, Portugal
Renato Cunha R. Kerry Rowe
University of Brasília, Brazil Queen’s University, Canada
Soils and Rocks publishes papers in English in the broad fields of Geotechnical Engineering, Engineering Geology and Geo-
environmental Engineering. The Journal is published in April, August and December. Subscription price is US$ 90.00 per year. The jour-
nal, with the name “Solos e Rochas”, was first published in 1978 by the Graduate School of Engineering, Federal University of Rio de
Janeiro (COPPE-UFRJ). In 1980 it became the official magazine of the Brazilian Association for Soil Mechanics and Geotechnical Engi-
neering (ABMS), acquiring the national character that had been the intention of its founders. In 1986 it also became the official Journal of
the Brazilian Association for Engineering Geology and the Environment (ABGE) and in 1999 became the Latin American Geotechnical
Journal, following the support of Latin-American representatives gathered for the Pan-American Conference of Guadalajara (1996). In
2007 the journal acquired the status of an international journal under the name of Soils and Rocks, published by the Brazilian Association
for Soil Mechanics and Geotechnical Engineering (ABMS), Brazilian Association for Engineering Geology and the Environment
(ABGE) and Portuguese Geotechnical Society (SPG). In 2010, ABGE decided to publish its own journal and left the partnership.

Soils and Rocks

1978, 1 (1, 2)
1979, 1 (3), 2 (1,2)
1980-1983, 3-6 (1, 2, 3)
1984, 7 (single number)
1985-1987, 8-10 (1, 2, 3)
1988-1990, 11-13 (single number)
1991-1992, 14-15 (1, 2)
1993, 16 (1, 2, 3, 4)
1994-2010, 17-33 (1, 2, 3)
2011, 34 (1, 2, 3, 4)
2012-2013, 35-36 (1, 2, 3)
2014, 37 (1, 2, 3)

ISSN 1980-9743 CDU 624.131.1

 ISSN 1980-9743

SOILS and ROCKS

An International Journal of Geotechnical and Geoenvironmental Engineering
Publication of
ABMS - Brazilian Association for Soil Mechanics and Geotechnical Engineering
SPG - Portuguese Geotechnical Society
Volume 37, N. 3, September-December 2014

Table of Contents

ARTICLES
Examination of the Potential of the Seismic Dilatometer (SDMT) to Estimate In Situ Stiffness
Decay Curves in Various Soil Types
S. Amoroso, P. Monaco, B.M. Lehane, D. Marchetti 177

An Approach to Derive Strength Parameters of Residual Soils from DMT Results

N. Cruz, C. Rodrigues, A. Viana da Fonseca 195

A View of Pressuremeter Testing in North America

J. Benoît, J.A. Howie 211

Penetration Rate Ef on Cone Resistance: Insights From Calibration Chamber and Field Testing
R. Salgado, M. Prezzi 233

Energy Measurement in the Brazilian SPT System

C.M. Santana, F.A.B. Danziger, B.R. Danziger 243

Geotechnical Characterization of Suape Soft Clays, Brazil

R.Q. Coutinho, M.I.M.C.V. Bello 257

On the Characterization and Classification of Bauxite Tailings

F. Schnaid, H.P. Nierwinski, J. Bedin, E. Odebrecht 277
 Articles

Soils and Rocks

v. 37, n. 3
 Examination of the Potential of the Seismic Dilatometer
(SDMT) to Estimate In Situ Stiffness Decay Curves
in Various Soil Types
S. Amoroso, P. Monaco, B.M. Lehane, D. Marchetti

Abstract. This paper illustrates the use of the seismic dilatometer (SDMT) to assess the decay of in-situ stiffness with
strain level in different soil types. The approach adopted in this study relies on the ability of the SDMT to provide routinely
at each test depth both a small strain stiffness (G0 from VS) and a working strain stiffness (constrained modulus MDMT
derived from the usual DMT interpretation). At various test sites, working strain DMT moduli are compared with reference
stiffness decay curves back-figured from (i) the behavior observed under a full-scale test embankment (at Treporti) or
footings (in Texas), (ii) from laboratory tests (at L’Aquila, Fucino plain and Po plain) and (iii) various combinations of in-
situ and laboratory testing techniques (Western Australia). Typical ranges of the shear strains gDMT associated with working
strain DMT moduli are inferred to assist construction of stiffness - strain decay curves for different soil types.
Keywords: seismic dilatometer, in situ stiffness decay curves, working strain stiffness, small strain stiffness.

1. Introduction tube running through the insertion rods, to a control unit on

the surface (Figs. 1a and 1b). The control unit is equipped
Methods for deriving stiffness decay curves (G-g
with pressure gauges, an audio-visual signal, a valve for
curves or similar, G = shear modulus, g = shear strain) from
regulating gas pressure (provided by a tank) and vent
in situ tests have been proposed by various Authors e.g.
valves. The blade is advanced into the ground using com-
Robertson & Ferrera (1993) and Fahey (1998) used the un-
mon field equipment, i.e. penetrometers normally used for
load-reload (u-r) cycles from self-boring pressuremeter
the cone penetration test (CPT) or drill rigs.
tests; Mayne et al. (1999) and Marchetti et al. (2008) em-
ployed the SDMT; Elhakim & Mayne (2003) and Mayne The test starts by inserting the dilatometer into the
(2003) adopted the seismic cone tests (SCPTs) while ground. When the blade has advanced to the desired test
Lehane & Fahey (2004) combined the SCPT and DMT. depth, the penetration is stopped. The operator inflates the
The seismic dilatometer (SDMT) is the combination membrane and takes, in about 30 sec, two readings: the A
of the flat dilatometer (DMT) with an add-on seismic mod- pressure, required to just begin to move the membrane
ule for the measurement of the shear wave velocity VS. The (“lift-off” pressure), and the B pressure, required to expand
approach adopted in this study relies on the ability of the the membrane center of 1.1 mm against the soil. A third
SDMT to provide routinely, at each test depth, both the reading C (“closing pressure”) can also optionally be taken
stiffness at small strains (the small strain shear modulus G0 by slowly deflating the membrane soon after B is reached.
obtained from the shear wave velocity VS as G0 = r VS ) and
2
The blade is then advanced to the next test depth, with a
the stiffness at operative strains (as represented by the con- depth increment of typically 20 cm.
strained modulus MDMT obtained by the usual DMT interpre-
tation). The potential for these two stiffness values to The interpretation proceeds as follows. First the field
provide guidance when selecting the G-g curve of a soil ele- readings are used to derive the DMT intermediate parame-
ment is examined. ters material index ID, horizontal stress index KD, dilato-
meter modulus ED. Then ID, KD, ED are used, by means of
2. Flat Dilatometer Test (DMT) commonly used correlations, to estimate the constrained
The flat dilatometer, introduced by Marchetti (1980), modulus M, the undrained shear strength su, the in situ earth
consists of a steel blade having a thin, expandable, circular pressure coefficient K0 (clays), the overconsolidation ratio
steel membrane mounted on one face. When at rest, the OCR (clays), the friction angle j’ (sands), the bulk unit
membrane is flush with the surrounding flat surface of the weight g. Consolidation and permeability coefficients may
blade. The blade is connected, by an electro-pneumatic be estimated by performing dissipation tests. The

Sara Amoroso, Researcher, Department of Seismology and Tectonophysics, Istituto Nazionale di Geofisica e Vulcanologia, Italy. e-mail: [email protected].
Paola Monaco, Assistant Professor, Department of Civil, Architectural and Environmental Engineering, University of L’Aquila, Italy. e-mail: [email protected].
Barry M. Lehane, Winthrop Professor, School of Civil, Environmental and Mining Engineering, University of Western Australia, Western Australia. e-mail:
[email protected].
Diego Marchetti, Engineer, Studio Prof. Marchetti, Italy. e-mail: [email protected].
Submitted on March 2, 2014; Final Acceptance on December 15, 2014; Discussion open until April 30, 2015.

Soils and Rocks, São Paulo, 37(3): 177-194, September-December, 2014. 177
 Amoroso et al.

Figure 1 - (a) Schematic layout of the flat dilatometer test. (b) Seismic dilatometer equipment. (c) Schematic layout of the seismic
dilatometer test (Marchetti et al., 2001; Marchetti et al., 2008).

C-reading, in sand, approximately equals the equilibrium conditioned. The true-interval test configuration with two
pore pressure. receivers avoids possible inaccuracy in the determination
More detailed information on the DMT equipment, of the “zero time” at the hammer impact, sometimes ob-
test procedure and all the interpretation formulae may be served in the pseudo-interval one-receiver configuration.
found in the comprehensive report by ISSMGE Technical Moreover, the couple of seismograms recorded by the two
Committee TC16 (Marchetti et al., 2001). receivers at a given test depth corresponds to the same ham-
mer blow and not to different blows in sequence, which are
3. Seismic Dilatometer Test (SDMT) not necessarily identical. Hence the repeatability of VS mea-
surements is considerably improved (observed VS repeat-
The seismic dilatometer (SDMT) is a combination of
ability » 1%, i.e. a few m/s). VS measurements are taken
the mechanical flat dilatometer (DMT) with an add-on seis-
mic module for measuring the shear wave velocity VS. First every 0.50 m of depth (while the mechanical DMT readings
introduced by Hepton (1988), the SDMT was subsequently are taken every 0.20 m). Validations of VS measurements by
improved at Georgia Tech, Atlanta, USA (Martin & SDMT by comparison with VS measured by other in situ
Mayne, 1997, 1998; Mayne et al., 1999). A new SDMT seismic tests at various research sites are reported by Mar-
system (Figs. 1b and 1c) has been more recently developed chetti et al. (2008).
in Italy (Marchetti et al., 2008).
The seismic module (Fig. 1b) is a cylindrical element 4.Tentative Method for Deriving in situ G-g
placed above the DMT blade, equipped with two receivers Decay Curves from SDMT
spaced at 0.50 m. The shear wave source, located at ground
surface, is an automatic hammer or a pendulum hammer Marchetti et al. (2008) first proposed the possible use
(» 10 kg) which hits horizontally a steel rectangular plate of the SDMT for deriving in situ elemental soil stiffness
pressed vertically against the soil (by the weight of the variations with strain level (G-g curves or similar). Such
truck) and oriented with its long axis parallel to the axis of curves could be tentatively constructed by fitting “refer-
the receivers, so that they can offer the highest sensitivity to ence typical-shape” laboratory G-g curves through two
the generated shear wave. When a shear wave is generated points, both obtained by SDMT: (1) the initial small strain
at the surface (Fig. 1c), it reaches first the upper receiver, modulus G0 (obtained as G0 = r VS ), and (2) a working
2

then, after a delay, the lower receiver. The seismograms ac- strain modulus GDMT.
quired by the two receivers, amplified and digitized at
depth, are transmitted to a PC at the surface, which deter- To locate the second point on the G-g curve it is nec-
mines the delay. VS is obtained as the ratio between the dif- essary to know, at least approximately, the elemental shear
ference in distance between the source and the two receiv- strain corresponding to GDMT. Indications by Mayne (2001)
ers (S2 - S1) and the delay of the arrival of the impulse from locate the DMT moduli at an intermediate level of strain (g
the first to the second receiver (Dt). » 0.05-0.1%) along the G-g curve. Similarly Ishihara
The determination of the delay from SDMT seis- (2001) classified the DMT within the group of methods of
mograms, normally obtained using a cross-correlation al- measurement of soil deformation characteristics involving
gorithm rather than relying on the first arrival time or an intermediate level of strain (0.01-1%). The above quali-
specific single points in the seismogram, is generally well tative indications are investigated in this paper.

178 Soils and Rocks, São Paulo, 37(3): 177-194, September-December, 2014.
 Examination of the Potential of the Seismic Dilatometer (SDMT) to Estimate In Situ Stiffness Decay Curves in Various Soil Types

As suggested by Marchetti et al. (2008), a working normalized by its small strain value G0 (or E0) derived
strain shear modulus GDMT can be derived from the con- from VS.
strained modulus MDMT provided by the usual DMT inter- 2) The GDMT/G0 (or EDMT/E0) horizontal ordinate line is super-
pretation (Marchetti, 1980, Marchetti et al., 2001). As a imposed to the same-depth experimental stiffness de-
first approximation, by referring to linear elasticity: cay curve, in such a way that the data point ordinate
1 - 2n matches the curve;
G DMT = M DMT (1) 3) The “intersection” of the GDMT/G0 (or EDMT/E0) horizontal
2(1 - n)
ordinate line with the stiffness decay curve provides a
where n = Poisson’s ratio. E.g. assuming a typical drained n shear strain value referred to here as gDMT.
of 0.2 (noting that MDMT is a drained modulus), the working
strain shear modulus may be obtained from Eq. 1 as
5. Stiffness Decay by SDMT at Various Test
GDMT = 0.375 MDMT. It should be noted that correlations be- Sites
tween the DMT parameters (ED and KD) and MDMT proposed 5.1. Treporti, Venice (Italy)
by Marchetti (1980) are based on the assumption that MDMT
represents a reasonable estimate of the “operative” or A full-scale vertically-walled cylindrical test em-
drained working strain modulus (i.e. the modulus that, bankment (40 m diameter, 6.7 m height, applied load
when introduced into the linear elasticity formulae, pro- 106 kPa) was constructed at the site of Treporti, Venice (It-
vides realistic estimates of the settlement of a shallow foun- aly) where ground conditions are typical of the highly het-
dation under working loads). This assumption is supported erogeneous, predominantly silty deposits of the Venice
by the good agreement observed in a large number of well lagoon. Pore pressures, surface settlements, horizontal
documented comparisons between measured and DMT- movements and vertical displacements were monitored
predicted settlements or moduli (see Monaco et al., 2006; continuously and at various depths; see Simonini (2006).
Marchetti et al., 2008). The Treporti test site was investigated extensively by
means of piezocone tests (Gottardi & Tonni, 2004), flat
The use of the SDMT to assess the in situ decay of dilatometer tests (Marchetti et al., 2004), seismic piezo-
stiffness at various test sites is explored in the following cone tests and seismic dilatometer tests (McGillivray &
sections using data obtained in different soil types and Mayne, 2004), continuous coring boreholes and high qual-
where both SDMT data and “reference” stiffness decay ity laboratory tests (Simonini et al., 2006). Significant re-
curves were available. Such stiffness decay curves were: sults of the experimental program at Treporti have already
(a) back-figured from the observed behavior under a full- been published by various research groups.
scale test embankment (Treporti) or footings (Texas), (b) Figure 3 shows the profiles of the DMT parameters at
obtained by laboratory tests (L’Aquila, Fucino plain, Po Treporti, namely the material index ID, the constrained
plain), or (c) reconstructed by the combined use of different modulus MDMT, the undrained shear strength su and the hori-
in situ/laboratory techniques (Western Australia). The pro- zontal stress index KD from DMT 14 at the centre of the em-
cedure adopted in all cases is as follows, and is shown sche- bankment, as well as the profiles of VS obtained from
matically on Fig. 2: SDMT 14 (McGillivray & Mayne, 2004), before starting
1) Using SDMT data obtained at the same depth of each the construction of the embankment (2002).
available reference stiffness decay curve, a working The Treporti embankment research has provided a
strain modulus GDMT (or EDMT) is derived from MDMT and unique opportunity to investigate the decay of soil stiffness
in situ (Monaco et al., 2014). Besides the moduli at the end
of construction, moduli were also back-calculated in the el-
ements on the centerline from local vertical strains ev mea-
sured during construction, under each load increment (from
small to working strains). The stiffness considered in this
section is the Young’s modulus E.
In situ secant Young’s moduli E were back-calculated
at the mid-height of each 1 m soil layer as E = (Dsv - 2 n
Dsr)/ev, assuming vertical and radial stress increments Dsv
and Dsr according to the theory of elasticity, ev obtained
from extensometer data at the centre of the embankment
under each load increment during construction (Marchetti
et al., 2006). Figure 4a shows the moduli corresponding to
the first construction step (H = 0.5 m), to half-bank
Figure 2 - Procedure to derive in situ G-g decay curves from (H = 3.5 m) and to the construction end (H = 6.7 m). In the
SDMT. same figure, the small strain modulus E0, derived from VS

Soils and Rocks, São Paulo, 37(3): 177-194, September-December, 2014. 179
 Amoroso et al.

Figure 3 - Profiles of soil parameters from DMT 14 at the bank center (Marchetti et al., 2004) and VS profiles from SDMT 14
(McGillivray & Mayne, 2004) before embankment construction.

Figure 4 - Variation of (a) secant Young’s modulus E, and (b) corresponding modulus number KE (Eq. 2), back-calculated from local ev
measured at the center under various embankment loads throughout construction (Monaco et al., 2014, with permission from ASCE).

n
measured by SDMT, and the modulus EDMT derived from æ s¢ ö
MDMT are shown for comparative purposes, assuming elas- E = K E pa ç v ÷ (2)
è pa ø
ticity theory and a Poisson’s ratio n = 0.15 for both cases
(hence EDMT = 0.95 MDMT). Figure 4a shows the progressive where KE = modulus number, pa = reference atmospheric
reduction of the back-calculated moduli E under increasing pressure (100 kPa), s’v = current vertical effective stress,
load. Such reduction should reflect the combined effects of and n = exponent, generally varying between 0.5 to 1 and
the increase in stiffness with stress level and the reduction assumed here to equal 0.5, following the observations of
in stiffness with strain level. Cola & Simonini (2002). The variation of the modulus
number KE in Eq. 2 corresponding to E back-calculated un-
In order to separate the two effects, the dependence of der each load increment is represented in Fig. 4b, which
E on current stress level was taken into account, as a first even more clearly shows the decay of stiffness, normalized
approximation, by use of the Janbu’s relation: for the effect of stress level, with increasing strain.

180 Soils and Rocks, São Paulo, 37(3): 177-194, September-December, 2014.
 Examination of the Potential of the Seismic Dilatometer (SDMT) to Estimate In Situ Stiffness Decay Curves in Various Soil Types

In situ decay curves of soil stiffness with strain level ing elasticity theory and normalized by their small strain
(Fig. 5) were reconstructed from the back-calculated values E0 derived from VS. The EDMT moduli were derived
moduli at the mid-height of each 1 m soil layer. To account from the constrained moduli MDMT, using the theory of elas-
for the effect of varying stress level, such in situ curves are ticity, by Eq. 3:
expressed in terms of variation of the ratio KE/KE0, where KE
M DMT (1 + n)(1 - 2n)
and KE0 are respectively the modulus number correspond- E DMT = (3)
ing to E back-calculated for each load increment and to the (1 - n)
initial modulus E0 (KE0 is obtained by Eq. 2 for E = E0 and
assuming n = 0.15, hence EDMT = 0.95 MDMT.
s’v = s’v0). The two sets of curves in Fig. 5 are representa-
tive of two distinct soil layers: (a) the sand layer between 2 The dots in Fig. 5 are the intersection between the in
to 8 m depth, and (b) the low plasticity (plasticity index situ decay curve at a given depth and the horizontal line
PI = 8-12%, Simonini et al., 2006) silt layer between 8 to having as ordinate the ratio KE/KE0 corresponding to EDMT/E0
20 m depth (which contributed most of the observed settle- at the same depth. Such “intersections” provided the values
ment). Note that the initial part of the curves in Fig. 5 at of the associated abscissas, i.e. the vertical strains ev in this
small strains is missing, since the extensometers did not case. The rectangular shaded areas in Figs. 5a and 5b de-
provide reliable measurements of ev less than about 0.01- note, for each soil layer, the range of values of the ratio
0.5%. KE/KE0 corresponding to EDMT/E0 and the associated range of
At Treporti test site, using SDMT results obtained at vertical strains: ev » 0.01 to 0.1% in sand, » 0.3 to 1% in silt
the depth of each back-figured in situ stiffness decay curve (Monaco et al., 2014).
in Fig. 5, Young’s moduli EDMT were derived from MDMT us-
Hence, the ratio GDMT/G0 was calculated by using the
theory of elasticity (Eq. 4), while the corresponding shear
strain gDMT was obtained by Eqs. 5, 6, as introduced by
Atkinson (2000):
E DMT
G DMT = (4)
2(1 + n)

assuming n = 0.15, hence GDMT = 0.43 EDMT.

e s = (1 + n) e v (5)
3
g DMT = es (6)
2

where es = shear strain for the individual soil elements.

The values of the normalized working strain shear
modulus GDMT/G0 range from 0.18 to 0.24 in sand and 0.02 to
0.12 in silt, while the range of values of the shear strain gDMT
are 0.02% to 0.14% in sand, 0.50% to 1.65% in silt.

5.2. Texas A&M University National Geotechnical Ex-

perimentation Site (U.S.A.)
In 1994 a Spread Footing Prediction Symposium was
conducted at the Texas A&M University National Geo-
technical Experimentation Site, as part of the ASCE Geo-
technical Specialty Conference Settlement ’94. Five square
footings, ranging in size from 1 to 3 m, were constructed
and tested to obtain the complete load-settlement curves
Figure 5 - Curves of decay of soil stiffness with vertical strain
back-calculated from local ev measurements (curves labeled “In
(Gibbens & Briaud, 1994a). The test site, composed of me-
situ curves”) in the sand layer 2 to 8 m depth (box a) and in the silt dium dense silty fine sand, was extensively investigated by
layer 8 to 20 m depth (box b). The dots are the intersection be- several in situ tests (SPT, CPTU, DMT, borehole pres-
tween the curve at a given depth and the horizontal line having as suremeter, Cross-Hole, borehole shear test and step blade
ordinate the ratio KE/KE0 corresponding to EDMT/E0 at the same test). Laboratory triaxial and resonant column tests were
depth. Such “intersections” provided the values of the associated executed on reconstituted samples (Gibbens & Briaud,
abscissas ev (Monaco et al., 2014, with permission from ASCE). 1994b). Figure 6 plots the DMT profiles (DMT 1, DMT 2),

Soils and Rocks, São Paulo, 37(3): 177-194, September-December, 2014. 181
 Amoroso et al.

Figure 6 - DMT profiles at Texas A&M University National Geotechnical Experimentation Site (after Gibbens & Briaud, 1994b).

in terms of the material index ID, the constrained modulus observed in situ decay curve indicates that the moduli esti-
M, the friction angle j’ and the horizontal stress index KD. mated from DMT are located in a range of relative displace-
Figure 7 shows the in situ stiffness decay curve recon- ment w/B » 0.25 to 0.45%.
structed by Berardi (1999) based on the observed perfor- Hence, the ratio GDMT/G0 was calculated by using the
mance of the footings. The Young’s modulus E was back- theory of elasticity (Eq. 4), while the corresponding shear
figured from the observed load-settlement curves by use of strain gDMT was obtained by Eqs. 6, 7, as introduced by
a non linear iterative approach. The influence of current Atkinson (2000):
stress level was considered “implicit” in the E values deter-
mined over a limited influence depth, assumed within B and w
ev » (7)
2B (B = footing width). In Fig. 7 the decay of E, normalized 3B
to its initial value E0, is plotted as a function of the relative
displacement w/B% (footing settlement w/ width B). The values of the normalized working strain shear
From the results of two DMTs executed at the Texas modulus GDMT/G0 range from 0.20% to 0.25%, while the
A&M University test site, Young’s moduli EDMT (average range of values of the shear strain gDMT are 0.02 to 0.14% in
values over an influence depth assumed within B and 2B) sand, 0.13 to 0.23% in silt.
were derived from MDMT by Eq. 3, assuming n = 0.2. The ini-
5.3. L’Aquila (Italy)
tial values of E0 over the same depth interval were derived
from VS measured by Cross-Hole via elasticity theory (for Following the destructive April 6, 2009 earthquake
n = 0.2). In Fig. 7 the data points corresponding to EDMT/E0 (moment magnitude Mw = 6.3), the area of L’Aquila was ex-
for each footing size (3 m, 2 m, 1.5 m and 1 m) are superim- tensively investigated by a variety of geotechnical and geo-
posed to the E/E0 - w/B curve reconstructed by Berardi physical testing techniques, involving several working
(1999). The “intersection” of the DMT data points with the groups. Soon after the earthquake site investigations, in-
cluding Down-Hole, surface wave tests and SDMT, were
concentrated at a number of sites selected for the construc-
tion of new temporary houses for the homeless people
(C.A.S.E. Project). Advanced cyclic/dynamic laboratory
tests, including resonant column/torsional shear tests (RC-
CTS) and double sample direct simple shear tests
(DSDSS), were carried out on undisturbed samples from
several C.A.S.E. sites, in medium- to fine-grained soils, by
a network of Italian soil dynamics laboratories. Details and
data are reported in Monaco et al. (2012); Santucci de
Magistris et al. (2013); Monaco et al. (2013). The availabil-
ity of both SDMT and laboratory test results at three
C.A.S.E. sites (Cese di Preturo, Pianola, Roio Piano) per-
mitted some calibration of empirical estimates of non-
linear parameters from SDMT (Amoroso et al., 2012).
Coupled data from SDMT and resonant column/tor-
sional shear tests were also obtained from an extensive
geotechnical investigation performed in the Southern part
Figure 7 - Stiffness decay curve at Texas A&M University Na- of the city centre of L’Aquila for the reconstruction of sev-
tional Geotechnical Experimentation Site (Berardi, 1999) and su- eral damaged buildings (Totani et al., 2012; Amoroso et al.,
perimposed EDMT/E0 data points (Amoroso et al., 2012). 2015).

182 Soils and Rocks, São Paulo, 37(3): 177-194, September-December, 2014.
 Examination of the Potential of the Seismic Dilatometer (SDMT) to Estimate In Situ Stiffness Decay Curves in Various Soil Types

Table 1 reports the values of the shear wave velocity su, the horizontal stress index KD and the shear wave veloc-
VS measured by SDMT, the small strain shear modulus G0 ity VS at the four mentioned sites. In Fig. 9 each GDMT/G0
in situ obtained from VS, the constrained modulus MDMT ob- data point (grey symbols) is superimposed on the corre-
tained from the SDMT at the depth of the samples tested in sponding same-depth laboratory G/G0 curve (RC tests by
the laboratory, the working strain shear modulus GDMT cal- University of Napoli Federico II, DSDSS tests by Univer-
culated using Eq. 1, assuming n = 0.2, and the plasticity sity of Roma La Sapienza). The range of values of the
index PI. The values of the normalized working strain shear strain gDMT resulting from the “intersection” of the
shear modulus GDMT/G0, also reported in Table 1, result GDMT/G0 data points with the laboratory curves (rectangu-
0.10 to 0.23 in silt and clay, 0.37 in silty sand. Figure 8 lar areas in Fig. 9) are gDMT = 0.24 to 0.52% in silt and clay,
plots the SDMT profiles, in terms of the material index ID, gDMT = 0.16% in silty sand; these are also reported in
the constrained modulus M, the undrained shear strength Table 1.

Figure 8 - SDMT profiles at L’Aquila basin: (a) Cese di Preturo, (b) Pianola, (c) Roio Piano, (d) L’Aquila (after Monaco et al., 2012).

Soils and Rocks, São Paulo, 37(3): 177-194, September-December, 2014. 183
 Amoroso et al.

sis of Surface Waves) and laboratory tests (static and

dynamic) were carried out to investigate the homogeneous
lacustrine clay deposit to a depth of 40 m. Resonant col-
umn/torsional shear tests (RC-CTS) were executed on
twelve undisturbed samples recovered from depths ranging
between 3 and 37 m (effective vertical stress between 30 and
250 kPa). Although the data points pertain to a wide range of
consolidation stresses, the results define, within a narrow
band, the strong dependence of the stiffness on the strain
level (Burghignoli et al., 1991). In 2004 the same site in the
Fucino plain was investigated by seismic dilatometer (Mar-
chetti et al., 2008) and the results are illustrated in Fig. 10.
Table 2 reports the values of the shear wave velocity
VS measured by SDMT, the small strain shear modulus G0
in situ obtained from VS, the constrained modulus MDMT ob-
Figure 9 - Laboratory G/G0-g curves and superimposed GDMT/G0 tained by SDMT at the depth of the samples tested in the
data points at L’Aquila (after Amoroso et al., 2012). laboratory, the working strain shear modulus GDMT calcu-
lated by Eq. 1, assuming n = 0.2, and the plasticity index PI.
The values of the normalized working strain shear modulus
GDMT/G0, also reported in Table 2, result 0.04 to 0.13 in clay.
In Fig. 11 each GDMT/G0 data point (grey symbols) is super-
5.4. Fucino plain (Italy) imposed on the corresponding same-depth laboratory G/G0
In 1986 a comprehensive investigation, involving curve (RC tests). The range of values of the shear strain gDMT
static and dynamic loading effects, was carried out in the na- resulting from the “intersection” of the GDMT/G0 data points
tional research site of Fucino, Italy (Burghignoli et al., with the laboratory curves (rectangular areas in Fig. 11) are
1991). In situ tests (SPT, CPT, DMT, self-boring pres- gDMT = 1.10 to 1.70% in clay; these are also reported in
sumeter, vane test, Down-Hole, Cross-Hole, Spectral Analy- Table 2.

Table 1 - L’Aquila - Values of GDMT/G0 obtained from SDMT and corresponding shear strain gDMT determined from the intersection with
the G/G0-g laboratory curves (after Amoroso et al., 2012).

Test site Sample Depth Soil type VS (m/s) G0 MDMT n GDMT GDMT/G0 gDMT (%) PI (%)
(m) (MPa) (MPa) (MPa)
Cese di Preturo S3-C1 4.0-4.8 Silty clay 261 133 67 0.2 25 0.19 0.24 37
Cese di Preturo S3-C3 17.5-18.0 Clayey silt 274 149 39 0.2 15 0.1 0.48 37
Pianola S1-C1 6.0-6.5 Silty sand 303 195 193 0.2 72 0.37 0.16 31
Roio Piano S3-C2 7.0-7.5 Clayey silt 233 105 64 0.2 24 0.23 0.46 19
L’Aquila S1-C1 3.5-4.0 Clayey-sandy silt 344 232 97 0.2 36 0.16 0.52 31

Table 2 - Fucino plain - Values of GDMT/G0 obtained from SDMT and corresponding shear strain gDMT determined from the intersection
with the G/G0-g laboratory curves.

Test site Sample Depth Soil type VS (m/s) G0 (MPa) MDMT n GDMT GDMT/G0 gDMT (%) PI (%)
(m) (MPa) (MPa)
Telespazio - 5.0 Clay 70 14.7 1.4 0.2 0.5 0.04 1.70 30-70
Telespazio - 10.0 Clay 101 15.7 1.8 0.2 0.7 0.04 1.70 30-70
Telespazio - 15.0 Clay 98 17.7 2.2 0.2 0.8 0.05 1.60 30-70
Telespazio - 20.0 Clay 124 16.7 4 0.2 1.5 0.09 1.40 30-70
Telespazio - 25.0 Clay 156 16.7 5.6 0.2 2.1 0.13 1.10 30-70
Telespazio - 30.0 Clay 183 17.7 5.9 0.2 2.2 0.13 1.10 30-70

184 Soils and Rocks, São Paulo, 37(3): 177-194, September-December, 2014.
 Examination of the Potential of the Seismic Dilatometer (SDMT) to Estimate In Situ Stiffness Decay Curves in Various Soil Types

Figure 10 - SDMT profiles at Fucino plain (Marchetti et al., 2008).

(RC-CTS). An additional investigation involving seismic

dilatometer (SDMTs), as illustrated in Fig. 12, as well as
resonant column tests (RC) was carried out by the Working
Group S2-UR4 (2013) and focused only on the area of San
Carlo; see also Romeo et al. (2015). The town of San Carlo
was constructed above the abandoned channel of the Reno
River, and sand is the prevailing lithology in the band near
this paleo-channel. Part of the town was built on the ancient
banks of the Reno River.
The availability of results from both SDMT and labo-
ratory resonant column (RC) tests on undisturbed samples
taken in nearby boreholes in the area of San Carlo permitted
some calibration of empirical estimates of non-linear pa-
rameters from SDMT.
Table 3 reports the values of the shear wave velocity
Figure 11 - Laboratory G/G0-g curve (Burghignoli et al., 1991) VS measured by SDMT, the small strain shear modulus G0
and superimposed GDMT/G0 data points at Fucino plain. in situ obtained from VS, the constrained modulus MDMT ob-
tained from SDMTs performed at the depth of the samples
tested in the laboratory, the working strain shear modulus
5.5. Po plain (Italy) GDMT calculated by Eq. 1, assuming n = 0.2, and the plastic-
The seismic sequence which affected northern Italy in ity index PI. The values of the normalized working strain
May 2012, in particular the two main shocks that occurred shear modulus GDMT/G0 range from 0.07 to 0.10 in silt and
on May 20, 2012 (Mw = 5.8) and May 29, 2012 (Mw = 5.6), clay, and 0.06 to 0.32 in silty sand; see Table 3. In Fig. 13
induced several cases of liquefaction and related ground each GDMT/G0 data point (black and grey symbols) is super-
deformations. imposed on the corresponding same-depth laboratory G/G0
An extensive site investigation program was subse- curve (RC tests). The range of values of the shear strain gDMT
quently planned by the “Liquefaction Working Group” resulting from the “intersection” of the GDMT/G0 data points
promoted by the Emilia Romagna regional government and with the laboratory curves (rectangular areas in Fig. 13) are
by the national Department of Civil Protection, in addition gDMT = 0.32% to 0.47% in silt and clay, gDMT = 0.07 to 0.30%
to the existing soil investigation data base, to characterize in silty sand; see Table 3.
the soils and to define the input data necessary for site seis-
5.6. Western Australia
mic response analyses and for assessment of liquefaction
hazard (Regione Emilia Romagna - Liquefaction Working The G/G0-g decay curves presented in this section
Group, 2012). The available results of this investigation were obtained at five different test sites in Western Austra-
programme, illustrated in various reports and papers (e.g. lia (Shenton Park, Ledge Point, Perth CBD, East Perth,
Facciorusso et al., 2012, Fioravante et al., 2013), include Margaret River). Such curves were constructed based on
borehole logs, results of piezocone/seismic piezocone pen- the results of several in situ tests, including flat/seismic
etration tests (CPTU/SCPTU) and laboratory tests on sam- dilatometer tests (DMT/SDMT), seismic cone penetration
ples, including resonant column/torsional shear tests tests (SCPT), self-boring pressuremeter tests (SBP) and

Soils and Rocks, São Paulo, 37(3): 177-194, September-December, 2014. 185
 Amoroso et al.

Figure 12 - SDMT profiles at Po plain (Working Group S2-UR4, 2013).

Figure 14 shows the SDMT profiles, in terms of the

material index ID, the constrained modulus MDMT, the in-
ferred friction angle j’ or the undrained shear strength su,
the horizontal stress index KD and the shear wave velocity
VS at the three mentioned sites.
The in situ normalized G/G0-g decay curves shown in
Fig. 15 (Shenton Park, silica sand), Fig. 16 (Ledge Point,
calcareous sand) and Fig. 17 (Perth CBD, alluvial silty
clay) were reconstructed by combining the information re-
sulting from SCPT and SBP. In particular:
• the initial part of the curves (g £ 0.001%) was character-
ized by the small strain shear modulus G0 obtained from
VS measured by SCPT (no SDMT data were available at
these sites);
• the non-linear G/G0-g decay at medium to large shear
Figure 13 - Laboratory G/G0-g curves (after Fioravante et al., strains (g ³ 0.01%) was estimated based on SBP data, ac-
2013) and superimposed GDMT/G0 data points at Po plain. cording to the procedure proposed by Jardine (1992);
• the central part of the curves (0.001% > g > 0.01%) was
defined by simply connecting the initial part obtained
from SCPT (G0) and the final part obtained from SBP.
laboratory triaxial tests. Details can be found in Amoroso The working strain shear modulus GDMT was calcu-
(2011), Fahey et al. (2003, 2007), Lehane et al. (2007), lated from MDMT obtained by DMT at the same depths of the
Lehane (2010), Lehane & Fahey (2004), Schneider et al. SCPT and SBP data used to define the G/G0-g curve, by use
(2008), Schneider & Lehane (2010). of Eq. 1, assuming n = 0.2 in sand in silty clay. The values

Table 3 - Po plain - Values of GDMT/G0 obtained from SDMT and corresponding shear strain gDMT determined from the intersection with
the G/G0-g laboratory curves (after Working Group S2-UR4, 2013).

Test site Sample Depth (m) Soil VS G0 MDMT n GDMT GDMT/G0 gDMT PI
type (m/s) (MPa) (MPa) (MPa) (%) (%)
San Carlo S3 CI3 9.5-9.6 Silty sand 181 64 54 0.2 20 0.32 0.07 -
San Carlo S10 CI1 13-13.6 Silty clay 159 46 8 0.2 3 0.07 0.47 49
San Carlo S2 CI2 7.3-7.4 Sandy silt 175 53 14 0.2 5 0.10 0.32 12-17
San Carlo S11 CI1 2.0-2.6 Silty sand 205 75 23 0.2 9 0.11 0.13 -
San Carlo S11 CI2 6.0-6.6 Silty sand 157 42 7 0.2 3 0.06 0.30 -
San Carlo S11 CI3 9.0-9.6 Silty sand 170 53 14 0.2 5 0.10 0.12 -

186 Soils and Rocks, São Paulo, 37(3): 177-194, September-December, 2014.
 Examination of the Potential of the Seismic Dilatometer (SDMT) to Estimate In Situ Stiffness Decay Curves in Various Soil Types

Figure 14 - DMT profiles and VS profiles at different sites in Western Australia: (a) Shenton Park, (b) Ledge Point, (c) Perth CBD, (d)
East Perth, (e) Margaret River (Amoroso, 2011).

of GDMT/G0 range from 0.10 to 0.20 in silica sand, 0.08 to areas in Figs. 15, 16 and 17), also reported in Table 4, are
0.31 in calcareous sand, 0.09 to 0.30 in silty clay; see Table gDMT = 0.04-0.15% in sand and gDMT = 0.23-1.50% in silty
4. The black and grey symbols in Figs. 15, 16 and 17 repre- clay.
sent the position of the GDMT/G0 data points on the corre-
sponding in situ reference G/G0-g decay curves. The range The G/G0-g decay curves shown in Fig. 18 (East
of values of the shear strain gDMT resulting from the “inter- Perth, soft clay) and Fig. 19 (Margaret River, silty clay)
section” with the in situ G/G0-g curves (rectangular shaded were reconstructed by combining the information resulting

Soils and Rocks, São Paulo, 37(3): 177-194, September-December, 2014. 187
 Amoroso et al.

Figure 15 - In situ G/G0-g decay curves and superimposed GDMT/G0 data points at Shenton Park (silica sand), Western Australia (Amo-
roso et al., 2012).

Figure 16 - In situ G/G0-g decay curves and superimposed GDMT/G0

Figure 17 - In situ G/G0-g decay curves and superimposed GDMT/G0
data points at Ledge Point (calcareous sand), Western Australia
data points at Perth CBD (silty clay), Western Australia (after
(Amoroso et al., 2012).
Amoroso et al., 2012).

from in situ SDMT and laboratory triaxial tests. In this the samples tested in the laboratory by use of Eq. 1, assum-
case: ing n = 0.2 at both sites. The values of GDMT/G0 vary from
• the initial part of the curves (g £ 0.001%) was character- 0.04 in soft clay to 0.07 in silty clay; see Table 4. The values
ized by G0 derived from VS measured by SDMT; of the shear strain gDMT resulting from the “intersection” of
• the non-linear G/G0-g decay at medium to large shear the GDMT/G0 data points with the reconstructed reference
strains (g ³ 0.1% at Margaret River, g ³ 0.5% at East G/G0-g decay curves (dot symbols in Figs. 18 and 19) are
Perth) was estimated from triaxial tests according to 5.5% in soft clay and vary from 0.23% to 1.50% in silty
Atkinson (2000); clay; see Table 4.
• the central part of the curves (0.001% > g > 0.5% at East
Perth, 0.001% > g > 0.1% at Margaret River) was defined 6. Discussion
by simply connecting the initial part obtained from
6.1. Summary of results at various test sites
SDMT (G0) and the final part obtained from triaxial tests.
The working strain shear modulus GDMT was calcu- Over the past decades, numerous studies have been
lated from MDMT obtained by SDMT at the same depths of conducted regarding the dynamic soil properties and the

188 Soils and Rocks, São Paulo, 37(3): 177-194, September-December, 2014.
 Examination of the Potential of the Seismic Dilatometer (SDMT) to Estimate In Situ Stiffness Decay Curves in Various Soil Types

Table 4 - Western Australia - Values of GDMT/G0 obtained from SDMT (or DMT + SCPT) and corresponding shear strain gDMT determined
from the intersection with the G/G0 - g reference curves at five test sites (Amoroso et al., 2012).

Test site Sample Depth Soil type VS G0 MDMT n GDMT GDMT/G0 gDMT PI
(m) (m/s) (MPa) (MPa) (MPa) (%) (%)

Shenton Park BH1A 1.3 Silica sand 252 105 42 0.2 16 0.15 0.09 -
Shenton Park BH2A 1.3 Silica sand 252 105 40 0.2 15 0.14 0.07 -
Shenton Park BH2B 2.3 Silica sand 267 118 35 0.2 13 0.11 0.06 -
Shenton Park BH3A 2.3 Silica sand 267 118 33 0.2 12 0.11 0.04 -
Shenton Park BH2C 3.3 Silica sand 280 129 36 0.2 14 0.11 0.15 -
Shenton Park BH3B 3.3 Silica sand 280 129 36 0.2 13 0.10 0.09 -
Shenton Park BH1B 3.3 Silica sand 280 129 35 0.2 13 0.10 0.05 -
Shenton Park BH2D 3.9 Silica sand 282 132 42 0.2 16 0.12 0.07 -
Shenton Park BH1C 4.3 Silica sand 283 132 63 0.2 23 0.17 0.04 -
Shenton Park BH3C 4.6 Silica sand 283 132 72 0.2 27 0.20 0.05 -
Ledge Point BHB 1.3 Calcareous sand 217 78 16 0.2 6 0.08 0.09 -
Ledge Point BHB 3.3 Calcareous sand 361 215 176 0.2 76 0.31 0.06 -
Perth CBD NML4 9.45 Silty clay 334 212 52 0.2 20 0.09 0.25 20
Perth CBD NML4 10.65 Silty clay 373 264 67 0.2 25 0.10 1.45 20
Perth CBD NML4 12.05 Silty clay 388 286 130 0.2 49 0.17 0.45 20
Perth CBD NML4 13.35 Silty clay 319 193 86 0.2 32 0.17 1.05 20
Perth CBD NML4 15.2 Silty clay 324 199 56 0.2 21 0.11 1.5 20
Perth CBD NML4 16.7 Silty clay 260 128 101 0.2 38 0.30 0.23 20
East Perth BH6 15.8-16.0 Soft clay 87 12 1.8 0.2 0.5 0.04 5.5 45-50
Margaret R. BH3 6.0 Silty clay 174 55 13 0.2 4 0.07 1.75 43
Margaret R. BH5 9.0 Silty clay 362 256 68 0.2 20 0.07 0.36 13

Figure 18 - In situ G/G0-g decay curves and superimposed GDMT/G0 Figure 19 - In situ G/G0-g decay curves and superimposed GDMT/G0
data points at East Perth (soft clay), Western Australia (Amoroso data points at Margaret River (silty clay), Western Australia
et al., 2012). (Amoroso et al., 2012).

Soils and Rocks, São Paulo, 37(3): 177-194, September-December, 2014. 189
 Amoroso et al.

parameters affecting them, such as the mean effective con- sumed between 25 and 1600 kPa, and a plasticity index PI
fining pressure, the soil type and the plasticity. Various in- ranging between 0% and 100%. Figure 20 shows that the
vestigators have proposed non linear curves for sands (for curves proposed by Darendeli (2001) including all the other
example Darendeli, 2001; Seed et al., 1986; Iwasaki et al., reference curves.
1978; Kokusho, 1980), clays and silts with different plas- Figure 21 depicts the possible use of the SDMT for
ticity (for example Darendeli 2001; Vucetic & Dobry, calibrating the selection of in situ G/G 0-g decay curves
1991; Sun et al., 1988). Figure 20 summarizes the upper in various soil types. The results obtained at all the test
and lower ranges of these typical curves, obtained for dif- sites previously described were superimposed on the
ferent values of the mean effective confining pressure, as- Darendeli (2001) G/G 0-g stiffness decay curves. The
rectangular shaded areas in Fig. 21 represent the range
of values of the normalized working strain shear modu-
lus G DMT/G 0 determined in different soil types (sand, silt
and clay) and the corresponding shear strain gDMT deter-
mined by the “intersection” procedure. Based on the
available information, the “typical range” of shear
strain associated to the working strain moduli G DMT can
be approximately assumed as: gDMT » 0.01-0.45% in
sand, gDMT » 0.1-1.9% in silt and clay. In soft clay the
values of g DMT > 2% (not shown in Fig. 21) are too high to
attempt an interpolation using a reference stiffness de-
cay curve.
These observations are in agreement with prelimi-
nary literature indications (Mayne, 2001; Ishihara, 2001).
Moreover, the calculated values of the ratio GDMT/G0 -
which could be regarded as the shear modulus decay fac-
tor at working strains - are in line with the trends observed
by Marchetti et al. (2008), who investigated the experi-
mental interrelationship between small strain and work-
ing strain stiffness using SDMT in sand, silt and clay. In
particular, the diagrams of the ratio GDMT/G0 vs. the DMT
horizontal stress index KD (related to OCR) constructed by
Marchetti et al. (2008) using the SDMT results at 34 dif-
ferent sites, in a variety of soil types, indicated that the G
decay in sands is more significant at lower strains than in
silts and clays, and that the decay curves in silts and clays
are very similar.

Figure 20 - Reference G/G0-g decay curves: (a) sands, (b) silts and
clays with plasticity index PI = 0-50%, (c) silts and clays with Figure 21 - Possible use of the SDMT for calibrating the selection
plasticity index PI = 50-100%. of in situ G/G0-g decay curves in various soil types.

190 Soils and Rocks, São Paulo, 37(3): 177-194, September-December, 2014.
 Examination of the Potential of the Seismic Dilatometer (SDMT) to Estimate In Situ Stiffness Decay Curves in Various Soil Types

6.2. Proposed numerical G-g decay curves from SDMT

Several authors (Hardin & Drnevich, 1972; Bellotti et

al., 1989; Byrne et al., 1990; Fahey & Carter, 1993; Fahey,
1998) introduced a hyperbolic model to represent the
non-linear stress-strain behaviour of soil in pressuremeter
tests. In this respect, the SDMT experimental data deter-
mined at all the investigated test sites (Fig. 22) were used to
assist the construction of a hyperbolic stress-strain equation
(Eq. 8):

G 1
= (8)
G0 æ G ö g
1 + çç 0 -1÷÷
è G DMT ø g DMT
Figure 22 - SDMT experimental data used to assist the construc-
tion of a hyperbolic equation.
Thus, the ratio GDMT/G0 obtained from SDMT and the
estimated shear strain gDMT were used to plot the correspond-
The estimated gDMT values for each case history exam-
ing hyperbolic curve at each test site. In the examples
shown in Fig. 23a (Shenton Park, sand) and 23b (Roio Pi- ined are plotted on Fig. 23. It is apparent that gDMT values in
ano, clayey silt), the curves obtained from SDMT, using clays are higher than those in sands; this trend is in keeping
Eq. 8 and the coupled values of GDMT/G0 - gDMT introduced in with that seen on Fig. 20. Combined with a measured
the tables (thick black lines in Figs. 23a and b), evidently GDMT/G0 value from the SDMT, Fig. 23 can be used in com-
provide a reasonable fit to the “measured” stiffness decay bination with Eq. 8 to provide a first order estimate of a
curves. given soil’s elemental G vs g curve. It is noted that hyper-

Figure 23 - Comparison between hyperbolic and “measured” stiffness decay curves at Shenton Park (a) and Roio Piano (b).

Soils and Rocks, São Paulo, 37(3): 177-194, September-December, 2014. 191
 Amoroso et al.

bolic G vs g curves have been seen to be particularly rele- ning and Landscape Exploitation, Springer Interna-
vant for dynamic/cyclic applications. tional Publishing, v. 5:XVIII, p. 1097-1100.
Atkinson, J.H. (2000) Non-linear soil stiffness in routine
7. Conclusions design. Géotechnique, v. 50:5, p. 487-508.
The results presented in this paper support the possi- Bellotti, R.; Ghionna, V.; Jamiolkowski, M.; Robertson,
ble use of the SDMT to assess the decay of in situ stiffness P.K. & Peterson, R.W. (1989) Interpretation of moduli
with strain level and to address the selection of elemental from self-boring pressumeter tests in sand. Géotechni-
G-g curves in various soil types. This potential stems from que, v. 39, p. 269-292.
the ability of the SDMT to provide routinely, at each test Berardi, R. (1999) Non linear elastic approaches in founda-
depth, both a small strain stiffness (G0 from VS) and a work- tion design. Jamiolkowski, M.; Lancellotta R. & Lo
ing strain stiffness GDMT (derived via standard DMT corre- Presti D.C.F. (eds) Pre-Failure Deformation Character-
lations). “Reference typical-shape” laboratory G-g curves istics in Geomaterials. Balkema, Rotterdam, p. 733-
may be tentatively fitted through these two stiffness values. 739.
A significant premise of this approach is that, to locate the Burghignoli, A.; Cavalera, L.; Chieppa, V.; Jamiolkowski,
second point on the G-g curve, it is necessary to know (at M.; Mancuso, C.; Marchetti, S.; Pane, V.; Paoliani, P.;
least approximately) the shear strain gDMT corresponding to Silvestri, F.; Vinale, F. & Vittori, E. (1991) Geotechni-
working strain modulus GDMT. cal characterization of Fucino clay. Proc. X ECSMFE,
Typical ranges of gDMT in different soil types have been Firenze, v. 1, p. 27-40.
inferred from the “intersection” of the SDMT data points Byrne, P.M.; Salgado, F.M. & Howie, J.A. (1990) Rela-
with same-depth reference stiffness decay curves - back- tionship between the unload shear modulus from pres-
figured from the observed field behavior under full-scale sumeter tests and the maximum shear modulus for
loading, or obtained by cyclic/dynamic laboratory tests or sands. Proc. 3rd International Symposium on Pressu-
reconstructed by the combined use of different in situ/labo- meters, ISP3, Oxford, p. 231-241.
ratory techniques - at various test sites. Cola, S. & Simonini, P. (2002) Mechanical behaviour of
Based on the available information, gDMT is typically silty soils of the Venice lagoon as a function of their
about 0.1% in sand, about 0.5 to 1.0% in silt and clay and grading properties. Can. Geotech. J., v. 39:4, p. 879-
greater than 2% in soft clay. The proposed hyperbolic rela- 893.
tionship, together with an estimate of gDMT from Fig. 21, can Darendeli, M.B. (2001) Development of a New Family of
provide a useful first order estimate of a soil’s G-g degrada- Normalized Modulus Reduction and Material Damping
tion curve. Curves. PhD Dissertation, University of Texas.
Elhakim, A.F. & Mayne, P.W. (2003) Derived stress-
Acknowledgments strain-strength of clays from seismic cone tests. Proc.
Special thanks to Prof. Silvano Marchetti for provid- 3rd Int. Symp. Deform. Charact. Geomaterials, Lyon,
ing the initial ideas for this study, and for his precious and v. 1, p. 81-87.
continuous suggestions to support this research. Special Facciorusso, J.; Madiai, C. & Vannucchi, G. (2012) Ris-
thanks also to Prof. Martin Fahey for offering his knowl- posta sismica locale e pericolosità sismica di liquefa-
edge and experience to critically approach the present zione a San Carlo e Mirabello (FE). University of Flor-
study. ence, 3 October 2012 (in Italian),
http://ambiente.regione.emilia-romagna.it/geologia/te
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194 Soils and Rocks, São Paulo, 37(3): 177-194, September-December, 2014.
 An Approach to Derive Strength Parameters
of Residual Soils from DMT Results
N. Cruz, C. Rodrigues, A. Viana da Fonseca

Abstract. Residual soils show a specific mechanical behaviour classified as non-conventional when compared with sedi-
mentary transported soils, since the presence of a cemented matrix plays an important role on their strength and stiffness.
Moreover, suction is frequent in natural profiles, which in residual soils creates several problems on the interpretation of
in-situ test results. These two factors, cementation and suction, are contributing simultaneously as structuring factors. Cor-
relations to deduce strength parameters in Portuguese granitic residual soils by Marchetti Dilatometer were previously es-
tablished under a data base obtained in careful triaxial testing programs executed on “undisturbed” samples. However, the
reference results were affected by sampling disturbance and space variability, and therefore somehow deviated from
in-situ conditions. To solve these problems, a large calibration box was constructed to work with artificially cemented soils
where DMT blades could be pre-installed and pushed-in. Water level, suction and seismic velocities were monitored dur-
ing the experiment and a triaxial program was established in parallel on the same artificially cemented mixtures. As a re-
sult, specific correlations to derive the cohesion intercept value and the angle of shearing resistance in saturated and
unsaturated conditions were developed and subsequently tested in a well characterized experimental site. Herein, the re-
sults of that experimental framework are presented and discussed.
Keywords: residual soils, Portuguese granitic formations, cohesion intercept, angle of shearing resistance, suction, in-situ
characterization, DMT.

1. Introduction organization, that is, its fabric. It should be stressed that due
to the usually low void ratio of these materials typically
Residual soils strength characterization is not an easy there is an increase in volume (positive dilatancy) during
task to estimate from in situ tests, due to its cohesive- shear.
frictional nature (Viana da Fonseca & Coutinho, 2008).
Having two components - friction and cohesion - a strength The most straightforward way to characterize this
will have to be evaluated from laboratory triaxial tests over type of strength is through triaxial tests, but the process has
undisturbed samples, since the evaluation of strength to face the important disadvantage related with sampling
through in situ tests is usually conveyed under pure fric- disturbance (Ferreira et al., 2011), where the partial loss of
tional granular soils, under the bias of angle of shearing re- cementation structure is mostly unavoidable. The referred
sistance (frictional and dilatant components) or under sampling disturbance and the discontinuous information re-
Tresca type shear strength when geomaterials are analysed lated to laboratory tests leave an important role to in-situ
in total stresses, as it is the case of undrained shear strength tests on residual soil characterization for routine analysis,
in clayey soils, or the maximum total shear strength in very especially those that induce small disturbance during in-
hard soils and soft rocks. This will be approximate to the stallation and allow the direct estimation of stress-strain re-
concept of “cohesive” soils, where the strength is mostly a sponse (Viana da Fonseca et al., 2011), such as pressu-
property explicitly non-frictional. remeters (self-boring pressuremeter, SBPT, in a first degree
In the case of residual soils, cohesive strength is re- and, as a fair compromise, Ménard pressuremeter, PMT)
lated with the inter-particular bonding inherited from the and dilatometers (such as Marchetti Flat Dilatometer,
parent rock that provided the cemented structure and with DMT). Seismic tests may give relevant interpretation when
the contribution of suction, when this is present. On the associated to the more simple tools (seismic dilatometer
other hand, the angle of shearing resistance comprises two SDMT, seismic piezocone SCPTu), as they give a refer-
portions, as stated above. One is related with the pure fric- ence value of the small strain shear modulus (G0 = r.Vs2).
tion that is mobilized during the relative movement be- Some important works modelling in-situ tests in residual
tween the particles. The other concerning the resistance that soils have been undergoing, such as the new cavity expan-
is mobilized during this relative movement, required to de- sion model that incorporates the effects of structure and its
stroy the natural inter-particular cementation and its spatial degradation (Mantaras & Schnaid, 2002; Schnaid & Man-

Nuno Bravo de Faria Cruz, PhD, Department of Geology and Geotechnics, MOTA-ENGIL / University of Aveiro, Vila Nova de Gaia, Portugal. e-mail: [email protected].
Carlos Manuel Gonçalves Rodrigues, PhD, Coordinator Professor, Department of Civil Engineering, Polytechnic Institute of Guarda, Guarda, Portugal. e-mail: [email protected].
António Joaquim Pereira Viana da Fonseca, PhD, Associate Professor, Department of Civil Engineering, University of Porto, Porto, Portugal. e-mail: [email protected].
Submitted on March 20, 2014; Final Acceptance on December 15, 2014; Discussion open until April 30, 2015.

Soils and Rocks, São Paulo, 37(3): 195-209, September-December, 2014. 195
 Cruz et al.

taras, 2003), the extension of the cavity expansion theory to The ID parameter is one key parameter for DMT inter-
unsaturated soils (Schnaid & Coutinho, 2005) and the over- pretations, due to its ability to identify soils throughout a
all fitting Self-Boring Pressuremeter pressure-expansion numerical value, which can be easily introduced in specific
curve (Fahey & Randolph, 1984; Viana da Fonseca & formulae for deriving geotechnical parameters. Although ID
Coutinho, 2008; Topa Gomes et al., 2008; Topa Gomes, is not a result of a sieve analysis but just a mechanical be-
2009). Viana da Fonseca (1996) had also highlighted the haviour parameter (a kind of rigidity index) from which soil
utility of plate load tests, by performing series of tests with stratigraphy is deduced (Marchetti, 1997), the numerical re-
different plate sizes allowing the determination of strength sult representing soil types undoubtedly offers a lot of extra
parameters (c’ and f’) by multiple optimization of the re- possibilities to develop constitutive laws to be applied to
sults, although this procedure is time-consuming and the wide ranges of different soils, with particular emphasis to
limitation of involving very superficial horizons makes it Intermediate Geomaterials (IGM).
less attractive. The horizontal stress index (Marchetti, 1980) was de-
fined to be related to the at rest earth pressure coefficient,
2. DMT Tests in Residual Soils K0, and thus its determination is obtained by the effective
lift-off pressure (p0 - u0, where u0 is the equilibrium pore
DMT tests can be seen as a combination of some fea- pressure) normalized by the in-situ effective vertical stress.
tures of both CPT/CPTu and PMT tests with some details The parameter can be regarded as a K0 amplified by pene-
that really make it a very interesting technique available in tration, with normally consolidated (NC) deposits with no
modern geotechnical characterization. The fundamental ageing and/or cementation structure represented by the
advantages of the test are related with the high level of pre- value KD » 2 (in clays) (Marchetti, 1980). Furthermore, the
cision measuring both the pressures and the displacements, typical KD profile is very similar in shape to the OCR profile
the response supported by semi-spherical expansion theo- giving useful information not only about stress history but
ries, the quasi-continuous profiles that provide a reasonable also on the presence of cementation structures (Cruz et al.,
amount of data adequate for statistical analysis, the numeri- 2004a; Cruz 2010). In general the evolution of KD profiles
cal identification of soil type, the deduction of intermediate follows some typical trends, (Marchetti, 1980):
parameters that represent common geotechnical features a) KD profiles tend to follow the classical shape of the OCR
(namely deformability and stress history) and its easy com- profile;
bination with any type of in-situ and laboratory tests. b) Normally-consolidated (NC) soils tend to present values
In its essence, dilatometer is a stainless steel flat blade of KD around 2;
(14 mm thick, 95 mm wide and 220 mm length) with a flex- c) Over-consolidated (OC) soils show values of KD above 2,
ible steel membrane (60 mm in diameter) on one of its decreasing with depth and converging to NC values;
faces. The equipment is pushed (or driven) into the ground, d) Normally consolidated soils affected by cementation or
by means of a CPT rig or similar, and an expansion of the ageing structures show values of KD higher than 2, re-
membrane is conventionally performed every 20 cm depth. maining fairly stable with depth.
At each depth, the penetration is stopped and the membrane The theory of elasticity is used to derive the dila-
is expanded to lift-off the diaphragm (reading A, corre- tometer modulus, ED (Marchetti, 1980), by considering that
sponding to a deflection of 0.05 mm), followed by a deflec- membrane expansion into the surrounding soil can be asso-
tion of 1.10 mm (reading B). After this expansion sequence ciated to the loading of a flexible circular area of an elastic
an additional pressure, designated by “C-reading” (closing half-space, from which the outward movement of the mem-
pressure), may be taken by slowly deflating the membrane brane centre under a normal pressure variation, Dp = p1 - p0,
soon after the B position is reached until the membrane co- can be calculated. Considering the characteristics of the
mes back to the 0.05 mm position (A position). These pres- test, the dilatometer modulus is represented by the equa-
sures must then be corrected by the values DA and DB, tion:
determined by calibration, to take into account the mem- E
brane stiffness and thus converted into the three basic pres- Ed = = 34.7Dp (1)
1 -n 2
sures p0, p1 and p2. Four intermediate parameters are
deduced from these basic test parameters, namely Material where E represents the Young’s modulus and represents the
Index (ID), Dilatometer Modulus (ED), Horizontal Stress In- Poisson’s ratio.
dex (KD) and Pore Pressure Index (UD), having some recog- At last, the pore pressure index, UD, (Lutenegger &
nizable physical meaning and some engineering usefulness Kabir, 1988) is related to pore pressure condition, which is
(Marchetti, 1980), as discussed below. Current geotech- quite similar to Bq of CPTu tests.
nical soil parameters are obtained from these intermediate DMT tests have been mostly used in sedimentary
parameters (and not directly from the basic p0, p1 and p2 pa- soils, where the test has shown his remarkable usefulness in
rameters), independently or combined together, covering a estimating stress history, strength and stiffness characteris-
wide range of possibilities. tics in soft/loose to medium soils. However, the application

196 Soils and Rocks, São Paulo, 37(3): 195-209, September-December, 2014.
 An Approach to Derive Strength Parameters of Residual Soils from DMT Results

of the test to residual soils characterization is still begin- nent of strength related mainly to interparticle cementation
ning, mostly within research programs. In general practice, and/or suction, but also to some contribution to dilatancy.
is rather common to see applying correlations developed For this reason, the concept is usually designated as “vir-
for sedimentary to residual soils characterization, which tual”, vOCR (Viana da Fonseca, 1996), or “apparent” over-
frequently leads to erroneous interpretations. In the case of consolidation, AOCR (Mayne, 2006), since it does not rep-
Portuguese residual sandy soils, the angle of shearing resis- resent a pre-consolidation stress as in the true OCR, but
tance is clearly overestimated because it incorporates the only the strength arising from structural interparticle ce-
cohesive component of strength due to cementation, while mentation. Having in mind that residual soils from Porto
this (cohesive) parcel cannot be calculated since is not con- Granite are mostly sandy silts to silty sands, OCR derived
sidered in sedimentary approaches for the test interpreta- from DMT in granular sedimentary soils (Marchetti &
tions. Since at least two basic parameters (p0 and p1) are Crapps, 1981) was selected as reference parameter for cor-
obtained, DMT offers a good via to separate cohesive from relation with the cohesive intercept in Mohr-Coulomb
friction/dilatancy components. strength criteria. In parallel, the ratio between constrained
Previous research using DMT alone or combined modulus (MDMT) and CPTu corrected tip resistance (qt) was
with CPTu tests in residual soil characterization (Cruz, also studied as an index parameter, because it is also related
1995; Cruz et al., 1997, 2004a, b; Cruz & Viana da Fon- to overconsolidation ratio in sandy soils (Baldi et al., 1988;
seca, 2006a, 2006b) has shown that the test could be effi- Jendeby, 1992) and could work as a control parameter of
ciently used to derive strength parameters of residual soils OCR derived from DMT. Based on a large quantity of
from Porto Granites. Firstly, Cruz et al. (1997) based their in-situ information collected in Porto Granite Formation
hypotheses on two well documented cases (Cruz, 1995; (40 boreholes with regular Standard Penetration Tests SPT,
Viana da Fonseca, 1996) following the proposal from Mar- 36 DMT, 22 CPTu, 4 PMT, 5 Dynamic Probing Super-
chetti (1980) from which KD may be a well adapted index Heavy tests DPSH), specific correlations were proposed to
parameter for detecting cementation and quantify its mag- deduce the effective cohesion intercept from vOCR and
nitude. The results showed that typical profiles were more MDMT/qt. The obtained data clearly demonstrated parallel
or less stable with depth, within 5-7 interval, indicating ce- trends followed by both indexes and a similar good level of
mentation or ageing according to Marchetti’s (1980) initial accuracy of the respective correlations to deduce cohesive
statements. However, the correlation with the values of the component of strength (Cruz et al., 2004a; Cruz & Viana da
cohesive intercept obtained from triaxial testing in undis- Fonseca, 2006a). Since they are independent evaluations,
turbed samples revealed poor sensitivity of the parameter to this convergence seems to confirm the adequacy of the pro-
be used with success. This is certainly related to the fact posed approach.
that KD depends only on p0, which is the parameter more af- The presence of a cemented structure also creates a
fected by the blade penetration, so mostly associated to the serious obstacle to derive angles of shearing resistance
horizontal stress state, more than natural interparticle ce- from in-situ tests (SPT, CPTu, PMT and, of course, DMT)
mentation. when sedimentary soil correlations are used, because they
A second step was attempted by Cruz et al. (2004b) were developed on the principle of a (unique) granular
and Cruz & Viana da Fonseca (2006a), based on the OCR strength (Viana da Fonseca, 1996; Cruz et al., 2004a; Cruz
parameter derived from DMT. In fact, OCR correlates & Viana da Fonseca, 2006a; Viana da Fonseca et al., 2009;
strongly with the range between p0 and p1 and is an amplifi- Cruz, 2010). Resistance in cemented soils is then “as-
cation of KD, thus bringing more sensitivity to small varia- sumed” in the same way as in granular materials, that is
tions of cohesive intercept. Although the concept of over- high values of strength associated to higher values of the
consolidation does not have a meaning in residual soils and angle of shearing resistance (peak value) incorporating the
is very questionable in the case of sandy soils, the presence frictional component of a critical state value, plus dila-
of a naturally cemented structure gives rise to some aspects tancy. In short, cohesive component of strength is “trans-
of the mechanical behaviour, similar to those observed in formed” in an “equivalent” additional value on the angle of
overconsolidated clays, as it is sustained by Leroueil & shearing resistance and once the cohesive intercept is ob-
Vaughan (1990). In short, the behaviour of a cohesive- tained, it is reasonable to expect that it can be used to cor-
frictional soil will show an important variation in the rect the over-estimation of that angle, derived from sedi-
stress-strain behaviour when the cementation bonds start to mentary correlations. Considering the low influence that
break, which will be very similar to the response of over- sampling has on the evaluation of angle of shearing resis-
consolidated soils, although with quite distinct pattern of tance (Viana da Fonseca, 2003), the observed difference
the relative values of void ratios, namely under the classical between calculated jDMT (which represents the global
critical state approaches (Viana da Fonseca et al., 2011). In strength) and jtriaxial (which represents solely the friction
the case of cohesive-frictional materials, the pre-consoli- plus dilatants value) should correlate with the magnitude of
dation stress as defined in sedimentary clays would be di- cohesion, that is with vOCR (Cruz & Viana da Fonseca,
rectly associated to the magnitude of the cohesive compo- 2006a).

Soils and Rocks, São Paulo, 37(3): 195-209, September-December, 2014. 197
 Cruz et al.

Although the proposed correlations were established tions, it was possible to create comparable controlled
with careful triaxial testing programs, the results of refer- conditions, namely in curing times, compaction proce-
ence cohesion were obviously affected in an unknown ex- dures, final unit weights and void ratios. Therefore, the
tent by sampling disturbance and space variability, and sampling problems were avoided and the effects of DMT
therefore the reference values used to define these correla- blade insertion on naturally cemented residual soils could
tions would be deviated from “in-situ” real conditions be reproduced and studied, aiming to correct the empirical
(Cruz et al., 2004a; Cruz, 2010). correlations previously proposed by Cruz et al. (2004b). In
summary, the most relevant issues considered in the prepa-
3. Experimental Framework ration of the experiment were the following:
a) Artificially remoulded samples were used in the present
As a consequence of the effects of sampling on the
experiment avoiding problems associated to sampling
derived correlations referred in the previous section, it be-
damage, by eliminating this dispersion factor;
came fundamental to develop an experimental programme
in controlled conditions that could avoid those effects to b) CemSoil and triaxial samples had the same curing times,
settle more definitive correlations. To do so, a special large void ratios (or unit weights) and cementation levels
dimension container with diverse measuring systems when tested, thus space variability and microfabric
(CemSoil Box) was created in order to work with large arti- differences were tentatively minimized;
ficially cemented samples where DMT blades could be in- c) Since CemSoil samples were prepared in one time with
stalled, remoulded in the same conditions as those that the water being introduced only after curing, then ob-
would be tested in triaxial apparatus. Moreover, it was also served differences in strength above and below water
decided to pre-install blades, aiming to evaluate the static level should be mainly due to suction effects;
penetration influence in the loss of cementation strength, d) The testing sequences in Cemsoil box were controlled by
and the overall effects on stiffness. The whole experience using piezometers, tensiometers and geophones for
(Cruz, 2010) relied on residual soils from Guarda Granitic seismic wave velocities measurements;
Formation, characterized by patterns of behaviour identical e) The experiment was based in DMT measurements both
to those observed in Porto Granite Formation (Viana da in pre-installed and pushed-in blades, which allowed
Fonseca, 1996, 2003), where the previous research (Cruz et to compare the influence of its penetration.
al., 2004a; Cruz & Viana da Fonseca, 2006a) had been per-
formed. The natural spot from where the soil was collected 3.1. Laboratory calibration program
is located in a very well characterized experimental site As previously referred, four different compositions of
(Rodrigues, 2003), investigated by laboratory triaxial tests soil-cement mixtures and one uncemented were prepared to
(within the same ranges of confining stresses and void ra- be tested in CemSoil Box and in an exhaustive laboratory
tios of the present experiment) and in-situ CPTu, PMT and program. This program included uniaxial and diametral
DMT tests. compressive tests performed in saturated and unsaturated
Four different compositions of soil-cement mixtures conditions, as well as isotropically consolidated drained
and one uncemented were prepared to be tested in CemSoil, (CID) triaxial testing at low to medium confining stresses
followed by an exhaustive laboratory program, including (25, 50, 75 and 300 kPa), in saturated conditions. On the
uniaxial, tensile and triaxial testing at low to medium con- whole, the laboratory program included 40 unconfined, di-
fining stresses, performed on samples prepared in the same ametral and triaxial compressive tests. Figure 1 illustrates
conditions of CemSoil. As a consequence of these disposi- some details of triaxial testing system.

Figure 1 - Triaxial testing: a) Artificially cemented sample; b) LVDT installation; c) Test apparatus.

198 Soils and Rocks, São Paulo, 37(3): 195-209, September-December, 2014.
 An Approach to Derive Strength Parameters of Residual Soils from DMT Results

The mixtures were moulded to represent the geo- were covered with a plastic film, in contact with the steel
technical units existing in Porto and Guarda Granites, cor- wall, followed by 15 mm Styrofoam plates in order to cre-
responding to identical ranges of uniaxial and tensile ate a smooth and flexible transition between the soil and the
strengths, both of them used as cementation reference in- external border.
dexes. This indexation was supported by the extensive data Figure 3 shows a plan view and a vertical cross-
collected for Porto Geotechnical Map (COBA, 2003) from section of CemSoil box with the distribution of installed
which a global study on the mechanical degradation with equipment. CemSoil block samples (1.0 x 1.0 x 1.5 m )
3

weathering of Porto Granites was made (Cruz, 2010). were compacted in homogeneous layers of 70-80 mm, aim-
Guarda Granites geotechnical information (Rodrigues, ing to create homogeneous samples, with similar void ra-
2003) was compared and fitted within that data base. tios in CemSoil and triaxial testing, thus creating compara-
Two types of cement have been used, namely SECIL ble conditions. The compaction in CemSoil box was
CIM I/52.5R (Mixtures 1 and 3, corresponding respectively handmade, using a round wood hammer of 40 cm diameter.
to 1% and 2% of cement) and CIMPOR CIM II/B-L 32.5N Considering the main objectives of the experiment,
(Mixtures 2 and 4 corresponding respectively to 2% and two DMT blades were positioned during the compaction
3% of cement). Detailed discussion about this combined processes, one being placed 20 cm above CemSoil base
use can be found in Cruz (2010), but it should be mentioned level and the other 25 cm below the surface upper level of
that the whole research program was based in considering the soil. Furthermore, since residual soils are commonly af-
exactly the same curing time for each pair of samples (labo- fected by suction phenomena, which clearly affect their
ratory and the corresponding CemSoil samples). Compres- strength and stiffness behaviour and mislead the interpreta-
sive and tensile strength were used for indexation, instead tion of in-situ test results, block samples were only partially
the percentage of cement. Therefore, as far as the accuracy saturated to have the chance of studying the influence of
of these index parameters and the similarity of CemSoil and suction on DMT results. For this purpose, two open tube
laboratory samples were ensured, the combination of the PVC piezometers were installed, one located nearby the
both cement types could be considered acceptable. water entry in CemSoil and another in the opposite corner,
which allowed to control the water level and its stabiliza-
3.2. CemSoil box tion during the main experiment. To evaluate the generated
CemSoil box (Fig. 2) is a container (Large box) with suction profile, six tensiometers were placed at different lo-
1.5 m height steel box with a square cross section of 1.0 m ,
2 cations in Cemsoil box. Finally, three pairs of geophones to
with 3 mm thick steel walls, reinforced by metal bars placed evaluate compression (Vp) and shear (Vs) wave velocities
at 1/3 and 2/3 of its height. Each panel was fixed to the adja- were placed vertically and horizontally (Almeida et al.,
cent with a profile of 5 screws (10 mm) with 150 mm of in- 2012), respectively for suction and low energy seismic vi-
fluence radius. Due to the panel-to-panel fixation system, brational wave velocities determinations. Figure 4 illus-
in two of the faces this reinforcement system was in contact trates this monitoring system.
with the wall by a central 7 mm thick H beam (100 x 50 The location and distribution of all these measuring
mm2) placed vertically. This system aimed to reduce hori- tools within CemSoil box was chosen with reference to
zontal displacements during compaction processes. The in- some available published works on the subject, namely
ner surfaces (vertical walls) and bottom surface of the cell those that studied the influence of DMT dimensions by

Figure 2 - CemSoil Box: a) CemSoil sample ready for testing; b) View after testing.

Soils and Rocks, São Paulo, 37(3): 195-209, September-December, 2014. 199
 Cruz et al.

Figure 3 - Vertical cross section and plan view of Cemsoil instrumentation.

Figure 4 - Testing devices: a) Tensiometers b) Geophones.

strain path analysis (Huang, 1989; Finno, 1993; Whittle & the remaining mixtures. In all samples, regular measure-
Aubeny, 1992) or flat cavity expansion analysis (Yu et al., ments of suction pressures and seismic wave velocities
1993; Smith & Houlsby, 1995). Numerical modelling of were obtained during curing periods, before and after the
the penetration phase, using the strain path analysis (Whit- saturation phase, which was concluded two days before
tle & Aubeny, 1992), pointed out some useful indications each test. Finally, at each pre-selected testing day, DMT ex-
about the soil volume that may be influenced by the dila- pansion tests of the first (below water level) and second
tometer insertion, which were considered in accordance. (above water level) installed blades were made. After these
The experiment with DMT in CemSoil box included tests, the second testing sequence with the blade being
pre-installed and pushed-in blades to analyse the effects of pushed-in down to the first blade depth was executed (de-
penetration on the final results. However, pushed-in tests tails in Cruz, 2010). The respective results were then com-
were performed only in the destructured non-cemented pared with triaxial test results in terms of strength and
sample and in Mixture 1 and Mixture 2, since due to its high stiffness parameters, from where the correlations based in
resistance it was impossible to penetrate the equipment in DMT parameters were developed.

200 Soils and Rocks, São Paulo, 37(3): 195-209, September-December, 2014.
 An Approach to Derive Strength Parameters of Residual Soils from DMT Results

4. Discussion of Results
4.1. Laboratory strength evaluation
Table 1 presents a summary of laboratory results ob-
tained both in naturally and artificially cemented samples,
indexed by the NSPT (SPT blow count) ranges found in Porto
and Guarda natural geotechnical units. These ranges were
settled by considering the comparable ranges of uniaxial
and tensile strengths found in Porto Geotechnical Map
(COBA, 2003).
The reference strength parameters (c’, j’) were ob-
tained through CID triaxial testing, following the Mohr-
Coulomb strength criterion, assuming the failure as corre- Figure 5 - Failure envelopes from triaxial tests performed in arti-
sponding to the maximum of the stress ratio q/p’ (where q is ficially cemented soils and natural de-structured soils.
the deviator stress and p’ is the mean effective stress) mobi-
lized during shear. The obtained failure envelopes in the ar-
tificially cemented mixtures and destructured uncemented sults are plotted, namely the uncemented, the weakest
samples are represented in Fig. 5, which clearly shows the (Mix 1) and the strongest cemented (Mix 4) samples, sub-
non-linearity of the envelope, more evident with increasing jected to lower and higher confining stresses (p’0 = 25 kPa
cementation levels. As so, the envelopes deviate from the and p’0 = 300 kPa, respectively). The results show that for
theoretical Mohr-Coulomb model, which assumes linearity the uncemented sample the relationship d;q/p’ is essentially
between normal and shear stresses in the failure plane. linear, showing that the mobilized resistance is eminently
The aforementioned deviation should be understood frictional, while in cemented materials the increment of ef-
as a consequence of complex phenomena that rules the fective confining stress leads to a decreasing dilatancy and
shear strength mobilization in this type of cohesive-fric- generates a higher punctual friction between particles as a
tional materials. In fact, in order to allow the relative move- result of the normal stress increase. Figure 6a reveals that
ment of particles, fabric interlocking creates an extra resis- there is a volume increase in shearing, being the strain lev-
tance during shear that commonly generates a volume els related with maximum stress ratio (q/p’) and maximum
increase (positive dilatancy), as a result of the usually me- dilatancy very close.
dium to low void ratios of these soils. The higher is the in- Another characteristic highlighted by Fig. 6 is that the
terlocking, the higher will be the strength arising from this cementation structure is increasingly degraded with in-
effect. On the other hand, although the ratio between fric- creasing confining stresses. In fact, the stress-dilatancy be-
tion forces that are mobilized in the surface of the particles haviour of Mix 4 (25 kPa) reveals a first part with an in-
and the installed normal forces is linear, the required forces creasing volume reduction up to the coordinates [d = 0.7;
to overcome interlocking vary with the magnitude of nor- q/p’ = 0.9], which might be related with the readjustment to
mal forces, which aggravates the non-linearity of failure the initial conditions of the test. From this point on, the evo-
envelope. Figure 6 gives a closer look of the relationships lution is almost vertical up to the coordinates [d = 0.82;
between dilatancy (d = dev/des, where dev is the increment of q/p’ = 2.1], meaning that dilatancy remains fairly constant
volumetric strain and des is increment of shear strain) and and corresponds to an elastic response of the soil. This sug-
stress ratio, (h =q/p’) for the conventional drained tests. In gests that cementation opposes to the volume increase.
order to simplify the analysis only some of the obtained re- With the stress evolution, the cemented structure starts to

Table 1 - Laboratory test results related with CemSoil samples.

Strength Naturally Destructured Mixture 1 Mixture 2 Mixture 3 Mixture 4

cemented non-cemented
Ranges of NSPT (blows/30 cm) 10-30 - 10-30 30-60 > 60 (ISRM W5)
Uniaxial compressive strength, qu (kPa) 81.3 20.8 72.6 124.9 273.0 312.3
Diametral compressive strength, qd (kPa) 12.3 1.5 7.2 15.3 33.2 39.4
Cohesion, c’ (kPa)* 37.1 0.0 23.8 38.4 63.2 107.7
Angle of shearing resistance, j’ (°)* 34.0 35.0 33.0 34.0 30.0 30.0

*Results obtained in triaxial compression tests in saturated samples, cured in the same conditions of the set of tests, both in laboratory
and in CemSoil box.

Soils and Rocks, São Paulo, 37(3): 195-209, September-December, 2014. 201
 Cruz et al.

Figure 6 - Stress ratio dilation relation for uncemented and cemented samples subject to a confining effective stress of: a) 25 kPa,
b) 300 kPa.

break generating a yield (Second yield, according to Coop viations will certainly be relevant, generating an overesti-
& Willson, 2003) followed by a rapid evolution towards mation of cohesive intercept for high mean stresses and the
maximum dilatancy (close to peak resistance), when gener- overestimation of angles of shearing resistance in the oppo-
alized failure occurs (Gross yield, according to Coop & site situation. However, if the stress field in the character-
Willson, 2003). This means that for the maximum stress ra- ization programme is somewhere close to those of the
tio (assumed as the failure criterion) the strength resulting geotechnical problem under study, then the deviations will
from cementation is already significantly affected. After have small consequences on the final results.
peak strength, there is a decrease on dilatancy rates of evo- On the other hand, the strength contributions differ-
lution that follows the strength decrease towards the critical entiated by cohesion, dilatancy and friction, would be very
state (constant resistance with null dilatancy). The same difficult to get from DMT tests, as in any other geotechnical
sample (Mix 4), when subjected to higher confining tests used in routine analysis. In such case, triaxial and
stresses (300 kPa), shows a smoother pattern of variation DMT results could not be easily compared, since cohesion
with no signs of volume increase, evolving directly to criti- and friction incorporate the dilatancy contributions in the
cal state after generalized bond breakage. This may be re- case of DMT, while in the triaxial case that influence could
lated with the previous partial bond breakage during conso- be identified independently (Viana da Fonseca et al., 2014).
lidation phase and also by the higher stress restraining the As a consequence, and for simplicity, it was assumed to se-
volume increase. Therefore, strain levels related to peak lect comparable situations in the correlations definition,
strength increase with effective confining stress, which will meaning that triaxial testing results were expressed in terms
probably generate higher level of destructuration. The be- of a cohesive and a frictional contribution, which incorpo-
haviour of the less cemented sample (Mix 1) is located rate the influence of dilatancy and the effect of bonding that
within the behaviours of uncemented and more cemented is still present when the maximum strength is mobilized. In
sample (Mix 4). In conclusion, as the cementation level de- other words, the strength parameters obtained by DMT
creases, the stress-dilatancy behaviour approaches linearity tests from the correlations arising from this work can be di-
revealing loss of importance of the cement portion. rectly applied in a Mohr-Coulomb based analysis, without
From the practical point of view, which is at the base losing the distinct contributions of the cohesive and fric-
of the present research, this complex behaviour creates seri- tional/dilatant strength that really will be present in the
ous difficulties to establish a simple way to get mechanical field.
parameters of these residual soils for design. Firstly, be-
cause design of foundations or retaining walls and slope 4.2. DMT test results
stability analysis usually are based on limit equilibrium
4.2.1. Basic and intermediate parameters
models that depend on the Mohr-Coulomb strength crite-
rion, where the dilatancy is not an input parameter. In such From the basic pressures point of view, the compari-
case, to estimate the Mohr-Coulomb strength parameters son of pushed-in and pre-installed blades showed that pene-
(c’, j’) it is necessary to linearize the failure envelope. For tration generates different disturbance consequences in
this purpose, when wide stress fields are considered the de- non-cemented and cemented soils. In fact, in non-cemented

202 Soils and Rocks, São Paulo, 37(3): 195-209, September-December, 2014.
 An Approach to Derive Strength Parameters of Residual Soils from DMT Results

soils the basic DMT parameters (p0 and p1) are higher in the
case of pushed-in tests, revealing a somehow expected ef-
fect of densification around the blade, especially on the
membrane where measurements are made. On the other
hand, in cemented soil mixtures the same insertion proce-
dure reduces the values of pressures monitored during the
tests by local destructuration or interparticle debonding.
Accordingly, under pushed-in conditions, p0 and p1 increase
with cementing level (Fig. 7), confirming the previously
mentioned sensitivity of DMT to cementation (Cruz et al.,
2004a). As a consequence of these trends, the intermediate
parameters ED and KD increase with cementation, while ID Figure 7 - Variation of DMT basic parameters with diametral
remains essentially the same (Cruz, 2010). compressive strength (qd), in pushed-in conditions.
Aiming at an effective control of the experiment with
external reference, DMT tests were also performed in the
same spot of natural residual soils from where the soil was the effect of suction, somehow expected since DMT pres-
collected and remoulded. The obtained results revealed that sures are directly measured.
local DMT basic and intermediate parameters were situated This conclusion is confirmed also by the non-cemen-
between those obtained in Mixtures 1 and 2, which is coher- ted sample results in unsaturated conditions, considering
ent with the results of uniaxial, diametral and triaxial (cohe- that in this case the results should reflect suction alone.
sive) strengths previously presented in Table 1. Data also reveal a decay of KD and ED with increasing ce-
mentation, apart from suction influence, which is explained
4.2.2. The influence of suction on DMT parameters by the clear increase of cohesion intercept, while suction re-
The results obtained in unsaturated conditions re- mains essentially the same. Therefore, these results clearly
vealed an increment of the global strength and stiffness, put in evidence the high sensitivity of DMT to both suction
which must be related to the presence of suction. In fact, and cementation in the cohesive component of strength.
when unsaturated results are normalized in relation to A different behaviour is followed by ID, revealing to
pushed-in saturated values (Fig. 8), here designated by p1*, be mostly independent from saturation levels in cemented
ED*, ID*, KD*, a decrease of the magnitude of each normal- soils, while in non-cemented samples suction influences
ized parameter when approaching the water level is ob- notoriously the magnitude of the parameter. This is in ac-
served suggesting an adequate sensitivity of DMT to detect cordance with recent evidences of such behaviour, pub-

Figure 8 - Normalized (unsaturated/saturated) DMT parameters obtained in pushed-in conditions.

Soils and Rocks, São Paulo, 37(3): 195-209, September-December, 2014. 203
 Cruz et al.

lished in Arroyo et al. (2013). In saturated conditions, the t = c’ + (s - ua) tanj’ + (ua - uw) tanjb (8)
evaluation of soil type was found very accurate when com-
pared with elemental soil classifications based on the per- where ua is the atmospheric pressure, uw is the pore water
centage of clay, silt and sand, while unit weights obtained pressure and jb is the “angle” of increase of cohesion with
through ID and ED (Marchetti & Crapps, 1981) were con- suction (similar to the concept of angle of shearing resist-
firmed by laboratory determinations on good quality ex- ance in its dependence on stress).
tracted samples. Since the homogeneity in the large proto- The term (ua - uw) corresponds to the suction measured
type (CemSoil) was carefully assessed, and differences on tensiometers, while for jb, a 14° reference value was ob-
between triaxial and CemSoil samples were minimized by tained by Topa Gomes (2009) in Porto highly weathered
the careful correspondence in the preparation of both void, granites (W4 to W5) and in the residual soil of ISC’2-
moisture and cementation conditions, the above consider- CEFEUP (Arroyo et al., 2013), which was assumed in this
ations strongly suggest that DMT is adequate to infer the analysis given the similarity of Guarda and Porto granites,
cohesion components arising from suction and cementa- in what concerns to mineralogy, grain size distribution,
tion, even after the blade penetration. plasticity and solids unit weight.
4.2.3. The virtual overconsolidation ratio (vOCR) and Expressing the global cohesion (c’g) results as func-
global cohesion (c’g) tion of vOCR, a specific correlation to derive the global co-
hesive intercept is obtained, as presented in Eq. 9 and in
As previously stated by Cruz et al. (2004a) and Cruz Fig. 9. In this figure, the previous correlation presented by
& Viana da Fonseca (2006a), the DMT key parameter for Cruz et al. (2004a) based on triaxial testing is also repre-
evaluating the cohesive strength is the virtual overconsoli- sented.
dation ratio (vOCR) that represents the order of magnitude
at which the stress-strain behaviour changes, expressed by c’g = 7.716 ln (vOCR) + 2.9639 (9)
the enlargement of yield locus due to cementation structure. It is important to note that the previous correlation
The determination of vOCR follows the same formulations was based on a narrower band of vOCR values and it was
proposed by Marchetti & Crapps (1981) for sedimentary defined as a straight line, while the new data are better rep-
soils, as follows: resented by a logarithmic function. Considering this new
ID < 1.2 (cohesive soils) OCR = (0.5 KD)1.56 (2) approach, the former data were incorporated and a new
1.91
match fundamental function was defined. As it would be
ID > 2 (sandy soils) OCR = (0.67 KD) (3) expected, the effect of sampling processes usually leads to a
1.2 < ID < 2 (mixed soils) OCR = (m KD)
n
(4) reduction of cohesion intercept, with an extent that seems to
be dependent on the most appropriate equipment and con-
where venient procedures. In this case, the differences between
m = 0.5 + 0.17 P (5) correlations lead to a general loss (mainly related to sam-
pling) of around one third (1/3). For future interpretations,
n = 1.56 + 0.35 P (6) the previous correlations were based on statically pushed-
with in 70 mm Shelby tube samples.
Since the parameter jb is not usually available, thus it
P = (ID - 1.2) / 0.8 (7) has to be estimated, it is important to analyse their influence
The considerations presented in the previous sub- on the final results. Taking into account the usual values for
chapter revealed that above the water level the magnitude
of the DMT intermediate parameters is clearly influenced
by suction, and so will be vOCR. Considering the homoge-
neity and similarity of the triaxial and CemSoil samples,
triaxial cohesion intercept can be assumed as representative
of the whole sample moulded in CemSoil. Therefore the in-
crease in the results obtained above the water level should
be interpreted as a consequence of suction. If that is ac-
cepted, a global cohesive component (c’g) due to both
interparticular bonding and suction (when the latter is pres-
ent), should be the reference parameter to correlate with
DMT results.
The suction measurements taken during the CemSoil
experiment make possible evaluating suction contribution
to shear strength, from the third term in the model proposed Figure 9 - Correlations of global cohesion intercept (c’g) as a
by Fredlund et al. (1978): function of vOCR.

204 Soils and Rocks, São Paulo, 37(3): 195-209, September-December, 2014.
 An Approach to Derive Strength Parameters of Residual Soils from DMT Results

this parameter in the studies developed in Porto granite re- jcorr = jdmt - 3.3483 ln (OCR) + 5.4367 (10)
sidual soils, as those reported in Topa Gomes et al. (2008),
and in other international reference works (Futai, 1999), a Using this correction, the CemSoil box (pushed-in
variation of 5° around the considered value was found to be tests) and in-situ test results are compared with the respec-
sufficient. Observed deviations resulting from variations of tive triaxial data, revealing a good reproduction of the ex-
perimental results. Figure 13 shows that CemSoil saturated
jb within 10° and 20° are insignificant, as shown in Fig. 10.
results converge well with triaxial tests, while in-situ data
The evolution of the global cohesion intercept, c’g, in
slightly decrease with depth due to suction effects.
CemSoil and in-situ test results obtained from direct appli-
cation of the proposed correlation is presented in Figs. 11a 4.3. Procedure to evaluate strength parameters
and 11b, respectively. Figure 11a reveals once more the
As a consequence of this calibration work, it was pos-
same trends observed in all other analysed parameters, with
sible to propose a procedure (Fig. 14), to derive strength pa-
in-situ values falling between Mixtures 1 and 2, while the
rameters of Porto and Guarda granitic residual soils from
in-situ profile (Fig. 11b) shows a general decrease of the
DMT data. Its application in other granitic environments
overall cohesion intercept until the water level is reached,
should be verified, although the authors believe that this
remaining fairly constant after that depth with slightly
method may be generalized in other granitic residual sapro-
lower values than those obtained in triaxial testing. It is also
worth to note the convergence with the c’g profile repre-
sented in the same figure, obtained by considering a theo-
retical linear evolution of suction as a function of the
distance from the water level.
4.2.4. Corrected angle of shear resistance
Angles of shearing resistance in these residual soils
can be derived by the approach proposed by Marchetti
(1997) for sedimentary sandy soils, applying a correction
factor that should be function of the result of cohesion inter-
cept or the index DMT parameter used in cohesion correla-
tion (vOCR), as proposed by Cruz et al. (2004a) and Cruz
& Viana da Fonseca (2006a). The correlation for correcting
the angle of shearing resistance, derived from the available
data in the course of this framework, is presented in Fig. 12,
where jdmt represents the angle of shearing resistance ob-
tained from the correlations applied to sedimentary soils
and jref is the reference angle of shearing resistance ob-
tained by triaxial tests on remoulded conditions. As a con-
sequence, the corrected angle of shearing resistance (jcorr)
derived from DMT can be obtained as follows:
Figure 11 - Global cohesion intercept (c’g) results in: a) Cemsoil;
b) In-situ.

Figure 10 - Upper and lower expected limits for the cohesive in- Figure 12 - Correction factor for evaluating angle of shearing re-
tercept (c’g) correlations. sistance.

Soils and Rocks, São Paulo, 37(3): 195-209, September-December, 2014. 205
 Cruz et al.

litic soils. For applications in other residual geomaterials

(as for instance, in lateritic soils) with different genesis or
different mineralogical/chemical compositions, specific
correlations should be calibrated by tentatively using the
same procedure followed in this work.
The procedure to get the parameters from DMT tests
starts with the evaluation of global cohesion through the
correspondent correlation. If the conditions are saturated,
then the result represents both global and true cohesion,
since suction is null. In the case of unsaturated conditions,
the global cohesion incorporates both contributions and so
suction related parameters (ua - uw, j ) are required for re-
b

spective differentiation. An alternative way that may be

helpful, when values of these parameters (measured or esti-
mated) are not available, is to consider the mean value of
cohesion obtained in the first results below water level
(c’(avg below)) as representative of the soil cohesion above water
level. Considering this approach, it becomes possible to
evaluate suction by subtracting the value of c’(avg below) from
the value of the global cohesion (c’g). Finally, the corrected
angles of shearing resistance (jcorr) are obtained by subtract-
ing the correction factor (Fig. 12, in previous sub-section)
Figure 13 - Triaxial and deduced angles of shearing resistance in: to the angles of friction obtained by traditional sedimentary
a) Cemsoil; b) In-situ. approach (jDMT).

Figure 14 - Evaluation of strength parameters in residual soils.

206 Soils and Rocks, São Paulo, 37(3): 195-209, September-December, 2014.
 An Approach to Derive Strength Parameters of Residual Soils from DMT Results

5. Conclusions Acknowledgments
This research was developed under the activities of
In the context of this framework a model to interpret MOTA-ENGIL, namely “Geomechanic Modelling of Re-
DMT results in residual soils from Portuguese granites was sidual Soils, RESOIL, financed by European Community
elaborated, followed by an experiment in controlled condi- (QREN/UE/FEDER), under the activities of CEC (FEUP),
tions to establish adequate correlations with the geotech- PTDC/ECM/099475/2008, financed by the Operational
nical strength parameters, namely the global cohesion Program for Competitive Factors, COMPETE.
intercept (arising from the cementation structure and suc-
tion) and the angles of shearing resistance corresponding to References
a linearized Mohr-Coulomb failure envelope. The obtained
Almeida, F.; Café. L.; Cruz, N. & Rodrigues, C. (2012)
correlations were then applied to DMT tests performed in
Laboratorial S-wave measurements with buried geo-
the IPG experimental site (Rodrigues, 2003; Cruz, 2010)
phones in a large calibration box. Proc. Geotechnical
and the consequent results showed an excellent conver-
and Geophysical Site Characterization ISC’4, v. 2,
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p. 1419-1426.
quate for Porto and Guarda granites.
Arroyo, M.; Amaral, M.F. & Viana da Fonseca, A. (2013)
Previous correlations to obtain strength of the same Isotropic yielding of unsaturated cemented silty sand.
materials (Cruz et al., 2004a; Cruz & Viana da Fonseca, Canadian Geotechnical Journal, v. 50:8, p. 807-819.
2006) were affected by sampling disturbance and space Baldi, G.; Bellotti, R.; Ghionna N. & Jamiolkowski, M.
variability of the triaxial testing that served as reference and (1988) Stiffness of sands from CPT, SPT and DMT - a
did not take into account suction effects on cohesive inter- critical review. Penetration Testing. Institution of Civil
cept. To overcome these uncertainties a dedicated experi- Engineers, British Geotechnical Conference, Birming-
mental facility was planned and realized, consisting of a ham, paper n. 42, p. 299-305.
large dimension prototype (CemSoil box), where artifi- COBA (2003) Porto Geotechnical Map. Work performed
cially cemented soils were moulded with the purpose of ex- by COBA with the collaboration of Faculty of Sciences
ecuting DMT tests with pre-installed and pushed-in blades. of University of Porto. Porto City Hall (in Portuguese).
Specimens for triaxial testing were also prepared following Coop, M.R. & Willson, S.M. (2003) Behavior of hydrocar-
the same moulding process and state conditions. The ob- bon reservoir sands and sandstones. Journal of Geo-
tained results confirmed that DMT parameters are influ- technical and Geoenvironmental Engineering, ASCE,
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parameter a concept similar to overconsolidation ratio, des- Cruz, N. (1995) Evaluation of Geotechnical Parameters by
ignated by “virtual” (vOCR), it was possible to establish DMT Tests. MSc Thesis, Faculty of Science and Tech-
calibrated correlations for deriving a global cohesive inter- nology, University of Coimbra.
cept (c’g) generated by cementation and suction effects. Cruz, N. (2010) Modelling Geomechanics of Residual
Moreover, when suction parameters (jb and ua - uw) are Soils by DMT Tests. PhD Thesis, University of Porto,
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ture is easily obtained by subtracting the suction contribu- Cruz, N.; Viana da Fonseca, A.; Coelho, P. & Lemos, J.
tion, calculated by the third term of Fredlund et al. (1978) (1997) Evaluation of geotechnical parameters by DMT
strength criterion. In cases where there is no information in Portuguese soils. XIV Int. Conf. on Soil Mechanics
about suction, a novel procedure to separate cementation and Foundation Engineering, Hambourg, Germany,
and suction contributions was also proposed. The experi- v. 1, p. 77-80.
ment also proved that angles of shearing resistance could be Cruz, N.; Viana da Fonseca, A. & Neves, E. (2004a) Evalu-
derived with accuracy by the approach proposed by Mar- ation of effective cohesive intercept on residual soils by
nd
chetti (1997) for sedimentary sandy soils, as far as a correc- DMT data. Proc. 2 Int. Site Characterization - ISC’2,
tion factor based on vOCR is used. DMT tests performed in Porto, Portugal, Sept. 2004. Millpress, Rotterdam, v. 2,
the same spot of Guarda Granitic Formation from where the p. 1275-1278.
artificial samples of the main experiment were moulded, Cruz, N.; Figueiredo, S. & Viana da Fonseca, A. (2004b)
showed high convergence with triaxial results, confirming Deriving geotechnical parameters of residual soils from
nd
the adequacy of the correlations developed in this frame- granite by interpreting DMT+CPTU tests. Proc. 2 Int.
work for deriving the in-situ strength parameters. The pre- Site Characterization - ISC’2, Porto, Portugal, v. 2,
sented correlations were tested only in Portuguese granites, p. 1799-1803.
and so its extension to other residual soils with different Cruz, N. & Viana da Fonseca, A. (2006a) Portuguese expe-
genesis or different mineralogic/chemical compositions rience in residual soil characterization by DMT tests.
nd
should be confirmed in the first place. The presented work Proc. 2 Int. Flat Dilatometer Conference, Washington
may represent a path to follow. D.C., v. 1, p. 359-364.

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Cruz, N. & Viana da Fonseca, A. (2006b) Characterization Smith, M.G. & Houlsby, G.T. (1995) Interpretation of
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of stiff residual soils by dynamically push-in DMT. Marchetti’s dilatometer in clay. Proc. 11 European
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Fahey, M. & Randolph, M.F. (1984) Effect of disturbance Topa Gomes, A., Viana da Fonseca, A. & Fahey, M. (2008)
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Fredlund, D.G.; Morgenstern, N.R. & Widger, R.A. (1978) sidual Soil from Granite. Design Criteria for Direct
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reading to help determine stratigraphy”. Proc. ISoPT-1, conventional laboratory tests for challenging geotech-
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nical problems. Keynote Lecture, 5 Int. Symp. on De-
Mantaras, F.M. & Schnaid, F. (2002) Cylindrical cavity ex- formation Characteristics of Geomaterials. IOS Press,
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technique, v. 52:5, p. 337-348.
Viana da Fonseca, A.; Amaral, M.F.; Panico, F. & Rios, S.
Marchetti, S. (1980) In-situ tests by flat dilatometer. J. (2014) Indexation of dynamic and static geomechanical
Geotechnical, Eng. Div. ASCE, v. 106:3, p. 299-321. properties of a cemented aggregate for transportation
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University. Keynote Lecture, v. 1, p. 421-448.
Whittle, A.J. & Aubeny, C.P. (1992) The effects of installa-
Marchetti, S. & Crapps, D.K. (1981) DMT operating man-
tion disturbance on interpretation of in situ tests in clay.
ual. GPE Inc.Gainsville, Florida.
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Mayne, P. W. (2006) Interrelationships of DMT and CPT in
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Yu, H.S.; Carter, J.P. & Booker, J.R. (1993) Analysis of the
Washington, DC, v. 1, p. 231-236.
dilatometer test in undrained clay. Predictive Soil Me-
Rodrigues, C. (2003) Geotechnical Characterization and
chanics. Thomas Telford, London, v. 1, p. 783-795.
Geomechanical Behaviour Analysis of a Saprolite from
Guarda Granites. PhD Thesis, University of Coimbra. List of Symbols
(in Portuguese).
Schnaid, F. & Mantaras, F.M. (2003) Cavity expansion in c’: cohesive intercept in Mohr-Coulomb criterion
cemented materials: structure degradation effects. Géo- c’g: global cohesion due to cementation and suction in
technique, v. 53:9, p. 797-807. Mohr-Coulomb criterion
Schnaid, F. & Coutinho, R.Q. (2005) Pressuremeter tests in CID: triaxial test, isotropically consolidated drained
Brazil (National Report). International Symposium 50 CPT: cone penetration test
Years of Pressuremeters, v. 2, p. 305-318. CPTu: piezocone test

208 Soils and Rocks, São Paulo, 37(3): 195-209, September-December, 2014.
 An Approach to Derive Strength Parameters of Residual Soils from DMT Results

d: rate of dilatancy = de v/de s, where de v is the increment of

p p p
qc: cone tip resistance (CPT/CPTu)
volumetric strain and deps is increment of shear strain qd: diametral compression strength
DMT: Marchettis flat dilatometer test qt: corrected cone tip resistance (CPTu)
DPSH: dynamic probing super-heavy test qu: uniaxial compression strength
ED: dilatometer modulus (DMT) qu*: ratio between unsaturated/saturated values of qu
ED*: ratio between unsaturated/saturated values of ED SCPTu: seismic piezocone test
ID: material index (DMT) SDMT: seismic dilatometer test
ID*: ratio between unsaturated/saturated values of ID SPT: standard penetration test
KD: horizontal stress index (DMT) u, uw: pore water pressure
KD*: ratio between unsaturated/saturated values of KD u0: at rest pore water pressure
NC: normally consolidated soil ua: pore air pressure
NSPT: number of blows to penetrate 30 cm in SPT UD: pore pressure index (DMT)
OC: overconsolidated soil UD*: ratio between unsaturated/saturated values of UD
OCR: overconsolidation ratio vOCR/AOCR: virtual OCR/apparent OCR
p’: mean effective stress VP: compression wave velocity
p0: DMT first pressure reading (lift-off) VS: shear wave velocity
p1: DMT second pressure reading (membrane expansion) z: depth
p1*: ratio between unsaturated/saturated values of p1 j’: effective angle of shearing resistance
p2: DMT third pressure reading (closing pressure) j’DMT: angle of shearing resistance derived from DMT
pa: atmospheric pressure (101.3 kPa) j’ref: reference angle of shearing resistance
PMT: Ménard pressuremeter test jb: suction angle of shearing resistance
q: deviator stress h: stress ratio (q/p’).

Soils and Rocks, São Paulo, 37(3): 195-209, September-December, 2014. 209
 A View of Pressuremeter Testing in North America
J. Benoît, J.A. Howie

Abstract. The pressuremeter was introduced to North America by Ménard in 1957. It consists of a cylindrical probe which
is inserted into the ground in a borehole, by self-boring or by pushing, and is expanded against the soil or rock to obtain a
pressure-expansion curve. Interpretation methods based on cavity expansion theory applied to realistic models of soil
behavior allow derivation of in situ lateral stress, stiffness, strength and volume change characteristics of the material being
tested. Since its introduction, the pressuremeter test (PMT) has been a popular topic of research but has not gained wide
acceptance in geotechnical engineering site characterization practice which, in North America, is still dominated by the
Standard Penetration Test (SPT) and more recently by the piezocone (CPTu). Over the same period, the PMT has become
the dominant tool for site investigation and foundation design in France. There, the PMT is used empirically based on a
very large amount of load testing and experience. This paper examines the use of the PMT in North American practice,
discusses its strengths and weaknesses, identifies trends in its use for site characterization and geotechnical design and
identifies possible reasons for its lack of adoption by industry. We conclude that the PMT is not competitive with other
techniques such as the CPTu and SPT for general site characterization where such tests are possible but that the PMT offers
great potential to provide geotechnical design parameters in problematic materials such as hard, very dense or gravelly
soils, residual, saprolitic or lateritic soils, soft and fractured rocks, frozen ground and ice. The PMT also has application in
all soils where high consequences of failure require very detailed analysis and design. We also emphasize the need for
improvements in the education of geotechnical practitioners on the use of the pressuremeter.
Keywords: Ménard, pressuremeter, self-boring, prebored, pressuremeter design.
Recognizing the effects of pre-boring on the parame-
1. Introduction ters obtained and the corresponding necessity of using em-
pirical correlations, French and English research groups
The original concept of the pressuremeter dates back (Baguelin et al., 1972; Wroth & Hughes, 1972) independ-
to Kögler in 1933 who developed a device consisting of a ently developed a self-boring pressuremeter (SBPM) which
rubber bladder clamped at both ends and lowered in a could be inserted into the ground with minimal disturbance.
pre-bored hole. The expansion of the device against the The SBPM probe is similar in testing concept to the pre-
sides of the borehole allowed the determination of the bored pressuremeter except that it is advanced into the
stress-strain characteristics of the soil. Without knowledge ground through a balanced process of pushing while cutting
of Kögler’s work, Ménard (1957) developed a much im- the soil which enters a sharp cutting shoe located at the bot-
proved pressuremeter (PMT), which has been widely used tom of the probe. The cuttings are flushed above the probe
in engineering practice for more than half a century. In spite in the annular space inside the probe body. Results from
of the simplicity of this concept, there are a number of in- SBPM tests have been used primarily to obtain soil parame-
herent problems associated with inserting an instrument in ters such as strength and deformation properties for use in
a pre-bored hole. The pre-drilling of a borehole inevitably conventional design or analytical methods such as finite el-
induces disturbance due to the drilling process and also al- ement analysis. Other types of pressuremeters have been
lows unloading due to pre-boring the hole. When used in introduced, mostly in an effort to increase productivity es-
relatively stiff soils and soft rocks, these problems are eas- pecially offshore. Such techniques include push-in and full
ily overcome, but in soft clays and cohesionless soils such displacement devices. These methods also induce a consis-
as sands, these problems are more difficult to circumvent. tent and repeatable amount of disturbance and conse-
However, under the assumptions that disturbance and stress quently are not as operator dependent.
relief are minimal when using careful borehole preparation
techniques, the cavity expansion measurements and inter- Regardless of the type of probe used or method of
preted results can be used directly in a set of design rules, placement into the ground, once the appropriate depth is
derived empirically but based on theory. The results can reached, a pressuremeter test is conducted as follows. The
also be used indirectly by obtaining soil and rock strength membrane is expanded against the sides of the borehole and
and deformation parameters which can be used in conven- the pressure, displacement and, in some cases, porewater
tional design of geotechnical structures. pressures are monitored and recorded. Either stress or strain

Jean Benoît, Ph.D., Professor, Department of Civil Engineering, University of New Hampshire Kingsbury Hall, Durham, New Hampshire, USA. e-mail: [email protected].
John A. Howie, Ph.D., Associate Professor, Department of Civil Engineering, University of British Columbia, BC, Canada. e-mail: [email protected].
Submitted on March 28, 2014; Final Acceptance on December 15, 2014; Discussion open until April 30, 2015.

Soils and Rocks, São Paulo, 37(3): 211-231, September-December, 2014. 211
 Benoît & Howie

controlled expansion tests may be carried out. Each test

may generally be conducted in 10 to 30 min depending on
the type of material and test procedure.
This paper will review the current use of the pressure-
meter as an in situ testing tool in North America, highlight
its benefits and discuss why its use has been limited com-
pared to other field techniques such as the Standard Pene-
tration Test (SPT) and the Cone Penetration Test (CPT).
While emphasis will be placed on the prebored pressu-
remeter test, other pressuremeter tests will be discussed in
terms of applicability and acceptability to engineering
practice.

2. Background
The prebored pressuremeter as we know it today is
the product of the vision and ingenuity of Louis Ménard
while a student at Ecole Nationale des Ponts et Chaussées
in Paris. As part of his final project, Ménard and his two
colleagues (Gauthier et al., 1954) described the pressu-
remeter shown in Fig. 1, its use, and a theoretical study gov-
erning the interpretation of the test curve. Although the
manuscript was only 20 pages, it covered stresses and dis-
placements around the expanding cylindrical cavity for
cases of cohesive soils, saturated sands and clays, unsatu-
rated soils and inelastic soils followed by numerical exam-
ples for dry and saturated soil. They concluded that the
principal advantage of pressuremeter use was to allow the
study of pressure-deformation characteristics of soils and
that their study was to shed light on the interpretation of
those results. At that stage of their study, they also assumed
that no remolding of soil occurs as a result of borehole prep-
aration. Ménard’s patent application followed and was sub-
mitted in Paris on January 19, 1955. The schematic of his
probe described in his patent application is as previously
shown in Fig. 1.
Following his studies in Paris, he travelled to the USA
Figure 1 - Schematic description of the original pressuremeter
to do a Master’s thesis under Dr. Ralph Peck. His thesis en- (Gauthier et al., 1954).
titled “An Apparatus for Measuring the Strength of Soils in
Place” was completed in 1957 at the University of Illinois.
Ménard recognized that his invention, which he coined the uate the remolding due to the driving of H-piles and decom-
“pressiometer” had competition from other field tools such pression from the excavation for the Island Steel Building.
as the field vane in clays and the standard penetration test in The test labeled 42 was performed 1 m away from the pile
sands. However, he recommended his tool because “A the- while test 44 was done at the same depth but only 0.3 m
oretical interpretation of the curve “strain versus stress” away. The results from the tests indicated a decrease in un-
gives immediately the values of the cohesion, the friction drained strength of about 40% due to the driving of the piles
angle and the modulus of elasticity.” From his work he con- and unloading from the excavation while the modulus of
cluded the following: elasticity varied from 41 kg/cm2 (4 MPa) for the undis-
2
a) The pressiometer is a very precise method of turbed clay compared to only 6 kg/cm (0.6 MPa) for the
subsurface exploration; remolded clay. Through testing at two other sites, Ménard
b) The bearing capacity increases with the was able to demonstrate good agreement between his theo-
modulus of elasticity of the soil. retical derivations and the experimental results.
Part of his research work included testing in various According to Ladanyi (1995), Ménard recognized
soils such as glacial till, fluvial and compacted clays and some limitations in his initial theoretical approach to inter-
sand. Figure 2 shows pressuremeter tests done in Chicago pretation of the test and began to develop empirical rules
clays at shallow depth in an investigation designed to eval- governing the use of the pressuremeter results for founda-

212 Soils and Rocks, São Paulo, 37(3): 211-231, September-December, 2014.
 A View of Pressuremeter Testing in North America

sure-expansion curves which can be interpreted to estimate

material stiffness properties and, in some cases, strength
parameters in carefully prepared boreholes.

Ménard protected his invention from outside influ-

ence for 10 years through patent protection but in 1969 be-
gan to sell and license its use to others (Ladanyi, 1995).
This opened the pressuremeter concept to much research.
In an effort to eliminate the disturbance effects of pre-
boring, the self-boring pressuremeter was developed by re-
search groups in France (Baguelin et al., 1972) and
England (Wroth & Hughes, 1972). Differences exist be-
tween the French system (PAFSOR) and the British system
(CamKoMeter) but the objectives are the same. Insertion of
the probe into the ground occurs using a cutter system lo-
cated inside a cutting or driving shoe to minimize distur-
bance. As the probe is pushed into the ground, the soil
which enters the cutting shoe is cut by the rotating cutter
and flushed to the ground surface through the annular space
inside the probe body. Other systems of advance have been
successfully used, e.g. jetting (Benoît et al., 1995) and have
proved to often be more time-effective in soils. Once the
testing depth is reached, the membrane is expanded against
the sides of the borehole and the pressure, displacements
(or volume) and, in some cases, porewater pressures, are
measured continuously and automatically. The SBPM test
Figure 2 - Pressuremeter tests performed by Ménard in Chicago can be conducted in a stress or strain controlled manner.
clays (Ménard, 1957). Because the SBPM is inserted with minimal disturbance,
the cavity expansion measurements can be analyzed using
tion design. The approach was validated initially by com- basic continuum mechanics of cavity expansion and conse-
parison to full-scale load tests and has been improved and quently engineers need not rely on empirical correlations to
extended by research and practice in the years since, partic- obtain soil parameters for use in foundation design.
ularly in France where it has become the dominant tool for Other types of pressuremeter were introduced in an
site investigation and foundation design. Although the orig- effort to circumvent the requirements to produce a prepared
inal pressuremeter shown in Fig. 1 required a borehole di- hole for testing or to use an often time consuming method
ameter of 140 mm, the second prototype was reduced to of advance in the case of self-boring by using pushing as the
50 mm (Cassan, 2005). A series of improvements and mod- method of insertion. The need for pressuremeter testing off-
ifications in the guard cells’ design and pressurization, shore was the major catalyst for these innovations. One ap-
volume and pressure measurement systems, membrane proach developed was the Push-in Pressuremeter (Reid et
protection, and control unit for conducting and recording al., 1982) which comprised an expansion unit mounted
the test were continuously implemented in an effort to around a tube similar to a sample tube. However, Bandis &
make the pressuremeter a more reliable and accurate test Lacasse (1986) showed that the insertion of this unit caused
method. These changes also allowed the pressuremeter to considerable disturbance and the fact that the probe had to
be used at greater depths and higher pressures. Dimensions be withdrawn from the hole between tests did not offer sig-
of the pressuremeter also evolved to improve on the length nificant improvement in productivity. Another develop-
to diameter ratio. Other groups outside France have also ment aimed at the offshore market was the Cone Pressu-
modified the details of the pressuremeter and the system remeter which was also known as the Full-Displacement
used to measure expansion of the pressuremeter membrane Pressuremeter (Hughes & Robertson, 1985; Withers et al.,
by using various displacement sensors instead of volume 1986). The Pencel Pressuremeter was an adaptation of the
measurements. pavement evaluation tool described by Briaud & Shields
The prebored pressuremeter has been successfully (1979) which was also pushed into place for testing. These
used in hard soils and soft or weak rocks where other in situ tools were based on the concept that it was better to create a
tools cannot penetrate these materials or lack the capacity consistent, repeatable degree of disturbance in the soil adja-
to measure geotechnical parameters in these formations. cent to the expansion unit. An additional advantage of this
Special probes with rugged membranes can acquire pres- method is an increased production rate.

Soils and Rocks, São Paulo, 37(3): 211-231, September-December, 2014. 213
 Benoît & Howie

3. Approaches to Analysis and Interpretation In reality, no probe can be installed without some dis-
of Test Curves turbance of the soil. For example, a 0.5 mm expansion of a
76 mm diameter pressuremeter represents 1.3% cavity
In a report by the ISSMGE Committee TC 16 on strain (Dr/ro where ro is the initial cavity radius and Dr is the
pressuremeter testing in onshore ground investigations, change in radius). With full scale expansion of a typical
Clarke & Gambin (1998) noted that two approaches to in- SBPM test being only 10% cavity strain, small movements
terpretation and use of pressuremeter results had evolved. induced during installation can have a large effect on the
One was based on analytical methods used to derive basic measured expansion curve. For most soils, such a deforma-
soil properties (strength, stiffness etc.) from the test curves tion would lead to the formation of a zone immediately ad-
and the other was based on the development of a set of em- jacent to the pressuremeter that has reached yield. For
pirical design rules based on measurements made in a very saturated fine grained soils, this will be a zone exhibiting
standard way with a standard instrument. They also hinted excess pore pressure and in free-draining soils, will be a
at a strong diversity of opinion between proponents of the zone of volume change. From Fig. 3(b), it can be seen that
two approaches but regarded such differences as healthy. there is the potential for disturbance to cause large stress
changes from the in situ stress even for SBPM testing in rel-
Figure 3 from Clayton et al. (1995) shows schematic atively soft soils. In stiff soils, the potential stress changes
pressuremeter curves obtained using the three principal are very large. Consequently, “lift-off” pressures are unreli-
methods of insertion. The differences are readily seen. For able measures of in situ stress even in a test conducted after
the prebored test, the wall of the test pocket has been un- expert installation of the probe. Much research effort has
loaded by the drilling and will have relaxed inwards. The been expended in an attempt to clarify the effects of such
pressure increase and deflection required to re-establish disturbance on subsequent test curves but the fundamental
contact between the probe and the cavity wall and to exceed problem is that it is not possible to reliably assess from the
the in situ lateral stress to begin expansion will depend on measured test curve the degree of disturbance caused by in-
the material type and properties, the relative diameters of stallation of the probe.
the borehole and the probe, the quality of the drilling and
the expertise of the pressuremeter test field crew in installa- The schematic test curves in Fig. 3 all include un-
tion of the probe. This results in an S-shaped expansion load-reload loops. Palmer (1972) showed that the slope of
curve. For the full displacement probe, since it is pushed the initial part of an ideal expansion curve is twice the shear
into the ground, the initial deformation results in the expan- modulus. To avoid the effects of disturbance on the initial
sion curve starting at a higher stress. In principle, for the part of the expansion curve, unload-reload loops can be in-
self-boring advance, the stresses in situ are theoretically un- terpreted to give the elastic shear modulus of the soil or
changed by the probe insertion and thus the beginning of rock. Such loops are considered to be little affected by dis-
the expansion curve should represent the in situ lateral turbance as is shown in Fig. 3 where the slopes of the un-
stress. load-reload loops are similar in all three cases.

Figure 3 - Schematic differences in stress-strain curves as a result of pressuremeter installation procedures (Clayton et al., 1995).

214 Soils and Rocks, São Paulo, 37(3): 211-231, September-December, 2014.
 A View of Pressuremeter Testing in North America

3.1. Interpretation to derive soil properties The early approaches to pressuremeter interpretation
based on cavity expansion theories used graphical manipu-
The analysis of pressuremeter test results based on
lations of the test curves to derive soil parameters. Table 1
theory requires the following assumptions:
from Yu (2004) gives examples of available methods to in-
• The probe can be installed without disturbing the soil to
terpret fundamental soil parameters from in situ testing. In
be deformed by the test (or in the case of the cone
the initial attempts at interpretation, parameters were
pressuremeter, the degree of disturbance is consistent),
treated separately. The total lateral stress was taken to be
• The assumed soil model is representative of the stress-
the stress at first movement of the membrane (“lift-off”
strain response of the soil being deformed by the pres-
pressure), the shear modulus was derived from unload-
suremeter expansion,
reload loops or from an inferred stress-strain curve and
• Deformation occurs under plane strain conditions.
shear strength was obtained from graphical manipulation of
The analysis is dependent on the type of soil and
the test curve. As noted by Ladanyi (1995), with the advent
whether the cavity expansion is conducted drained or un-
of the PC-age, the whole pressuremeter curve could be ana-
drained. If the test is undertaken in a saturated fine-grained
lyzed using computer-aided modeling. Shuttle & Jefferies
soil and the test is conducted fast enough to prevent drain-
(1995) refer to the process as Iterative Forward Modeling.
age, then the soil will deform at constant volume and all
elements surrounding the probe will have the same stress- The ability to simulate complete pressuremeter curves,
strain behavior. However, if the soil is a free draining gran- both loading and unloading, using realistic soil models has
ular material, the stress-strain curve will no longer be led to attempts to use comparisons between simulated and
unique with radius but rather a function of the stress level. measured pressuremeter curves to obtain estimates of geo-
In other words, near the walls of the cavity the stresses will technical parameters. Both expansion and contraction
be high and hence the shear resistance will be high. Both curves can be modeled. To use the approach, a group of rel-
stresses and strength will decrease with radial distance. evant parameters is selected based on the assumed constitu-
Furthermore, because the volume is allowed to change dur- tive model and is used to predict a theoretical curve. The
ing the test, as the sand shears, the material will expand or parameters are adjusted until good agreement is achieved
dilate depending on its initial stress level and initial density. between the measured and calculated curves. Figure 4(a)
If the material is a rock then the interpretation becomes shows an example of curve fitting for a clay soil from
even more complex because of the tensile strength of the Jefferies (1988) and Fig. 4(b) is an example for sand from
rock, the presence of discontinuities and planes of weak- Roy et al. (2002). Both of these examples are based on
ness and the determination of a suitable failure criterion. SBPM data. However, modeling can also be applied to
In general, from a pressuremeter test, it is possible to prebored or full-displacement pressuremeter test data, pro-
obtain, empirically, theoretically or analytically, the lateral vided the curve-matching focuses on the latter part of the
stress in the ground, the stress-strain behavior, the strength expansion curve or the unloading curve (e.g. Ferreira &
and in some cases the consolidation characteristics. Several Robertson, 1992). Schnaid et al. (2000) suggested that in a
interpretation techniques are available to evaluate these lightly structured granite saprolite, the curve fitting tech-
various parameters. nique applied to the loading curve of a SBPM test provided

Table 1 - Examples of the capabilities of in situ tests for measuring soil properties (Yu, 2004).

Test Measured Properties Selected References

Cone penetration tests Soil profiling; Stress history (OCR); Consolidation Robertson (1986), Wroth (1984), Mayne
(CPT/CPTU) coefficient; In situ state parameter for sand; Un- (1993), Baligh and Levadoux (1986), Teh
drained shear strength; Hydrostatic pore pressure (1987), Been et al. (1987), Yu and Mitchell
(1998), Lunne et al. (1997)
Self-boring pressuremeter Horizontal in situ stress; Shear modulus; Shear Jamiolkowski et al. (1985), Wroth (1982), Gibson
tests (SBPMT) strength; Stress-strain curve; In situ state parameter and Anderson (1961), Hughes et al. (1977),
for sand; Consolidation coefficient; Small strain Palmer (1972), Manassero (1989), Yu (1994,
stiffness 1996, 2000), Clarke et al. (1979), Byrne et al.
(1990), Jardine (1992), Fahey and Carter
(1993), Bolton and Whittle (1999)
Cone pressuremeter tests Horizontal in situ stress; Shear modulus; Shear Houlsby and Withers (1988), Schnaid (1990),
(CPMT) strength; In situ state parameter for sand Yu (1990), Yu et al. (1996)
Flat dilatometer tests Soil profiling; Horizontal in situ stress; Stress his- Marchetti (1980), Mayne and Martin (1998),
(DMT) tory (OCR); Shear strength; In situ state parameter Finno (1993), Huang (1989), Yu (2004)
for sand

Soils and Rocks, São Paulo, 37(3): 211-231, September-December, 2014. 215
 Benoît & Howie

Figure 4 - (a): Example of curve fitting in clay (after Jefferies 1988). (b): Example of curve fitting in sand (Roy et al., 2002).

properties typical of peak shear strength parameters, result in errors in interpreted undrained shear strength of up
whereas those obtained from the unloading portion were to 40%.
more typical of the critical state behavior. It is clear that computer aided modeling provides
great potential for the interpretation of pressuremeter test
This approach has the advantage that parameters are
curves to determine the characteristic behavior of the soil
related to each other and can be checked for consistency
tested. However, the interpretation must be considered to-
with those of soils that are typical of the soil being tested.
gether with other available geotechnical and geological in-
For example, for a linear elastic, perfectly plastic soil, the
formation about the material and requires the application of
parameters assumed would be the total horizontal stress,
engineering judgment based on an appreciation of the fac-
shear modulus (G) and undrained shear strength (su).
tors affecting the results.
Whether the resulting derived soil parameters are typical of
the soil being tested can be assessed. Similarly, the esti- 3.2. Interpretation by Ménard rules
mated total lateral stress and equilibrium pore pressure can
The alternative to interpreting the curves to obtain
be used to derive the coefficient of earth pressure at-rest, Ko.
fundamental properties and the attendant problems arising
This value can be assessed against values typical of soils
from the many uncertainties in both the test curve and the
with similar geological history. As the soil models increase
interpretation is the one followed by Ménard and developed
in complexity, the number of soil parameters that have to be
by his collaborators and successors. A prebored pressu-
adjusted may become large.
remeter test is conducted using a standard probe, installed
Numerical analysis also allows the influence of de- according to restrictive drilling requirements governing the
partures from the ideal case to be assessed. For example, formation of the test pocket, and expanded according to a
Yeung & Carter (1990), Houlsby & Carter (1993) and standard test procedure. The resulting test curves are ana-
Jefferies & Shuttle (1995) discuss the effect of the finite lyzed in a prescribed way and specific parameters are de-
length of the probe on the shear strength and rigidity index rived from them.
derived from approaches based on assumption of an infi- From a conventional pressuremeter expansion, three
nitely long cavity and linear elastic, perfectly plastic soil basic parameters are obtained: the creep pressure pf, the
behavior. These authors show that the effects of the finite Ménard modulus EM and the limit pressure pLM. Figure 5
length should be considered in the interpretation of the shows the analysis procedure from the current interna-
pressuremeter curves and indicate that such effects could tional draft standard, ISO 22476 4, which is used to define

216 Soils and Rocks, São Paulo, 37(3): 211-231, September-December, 2014.
 A View of Pressuremeter Testing in North America

the three main pressuremeter parameters: pf, EM, and pLM. A test where test points are found in the first two
The quality of the test is evaluated using the number of groups only may indicate that the test hole was too large
data points available to define each portion of the expand- while a test with only the last two groups of points is gener-
ing cavity as well as the scatter of the test points. The test ally indicative of the hole being too small or the presence of
curve shown in Fig. 5 is an ideal test. The first part of the swelling ground. This approach has been in existence for
curve is a recompression zone, followed by a quasi-linear decades as previously reported by Kastman (1978) using
zone which transforms to a non-linear third portion as the PMT tests carried out in the USA. Below the test curve is
cavity volume approaches twice its initial volume. The the corrected creep curve resulting from the differences in
test curve has been corrected for pressure and volume volume between the 30 s and 60 s readings from each pres-
losses per standard calibration procedures outlined in the sure increment. This creep curve is used to define the vari-
standard. ous sections of the test. For example, the creep pressure is

Figure 5 - Pressuremeter test curve analysis (ISO/FDIS 22476-4:2009 (E)).

Soils and Rocks, São Paulo, 37(3): 211-231, September-December, 2014. 217
 Benoît & Howie

located between the values p2i and pfi which are estimated influenced by the various parameters and conditions
using a graphical procedure. It has been shown that the including the coefficient of earth pressure at-rest, Ko, the
quality of the test is reflected in the closeness of those two friction angle, soil stiffness, the length to diameter ratio of
values. the pressuremeter probe, the stress path, the disturbance of
The limit pressure is also obtained from the test but the borehole wall and the test expansion strain rate. The
typically using an extrapolation technique. The limit pres- pressuremeter modulus, EM, is more appropriately referred
sure is defined as the pressure required for doubling the ini- to as a modulus of deformation. Gambin et al. (1996) con-
tial borehole cavity. In practice, this pressure is rarely clude that in analyses of deformation based on linear elas-
attained because of the risk of membrane burst at higher ex- ticity where a modulus is required, EM should likely be
pansion. Consequently, the limit pressure is obtained by ex- multiplied by a factor of 5 to 10 if it is going to be used as a
trapolation using a variety of methods. Often the value is Young’s modulus.
obtained visually using the test curve. However, more re- Interpretation of the pressuremeter test is well-
producible methods should be used such as the reciprocal detailed in the standard but is still subject to variability.
method (1/V from ASTM and ISO 22476-4) or the double Reiffsteck (2009) reports that pressuremeter test curves
hyperbolic method. Figure 5 illustrates both techniques. provided to 9 individuals as part of a pile prediction exer-
Finally, the pressuremeter modulus, often referred to cise during the International Symposium on Pressuremeters
as the Ménard modulus, is generally defined as the slope of (ISP5) yielded an acceptable range of pressuremeter modu-
the linear portion of the expansion curve prior to the creep lus and limit pressure. Figure 6 shows the results in terms of
pressure. This pseudo-elastic range is defined by points p1i limit pressure for a total of 42 PMT tests. Reiffsteck states
and p2i in Fig. 5. The modulus obtained using the pressure- that the mean error is in the order of 24% which is consis-
meter test is often quoted as being an elastic modulus equal tent with errors observed with other in situ tests such as the
to Young’s modulus since it is obtained from Eq. 1 which is CPT as reported by Long (2008).
based on the theory of linear elasticity (Gambin et al.,
1996). Because these parameters are obtained by a standard
procedure in all materials, their values can be used in a sim-
é æ V + V2 öù ( p 2 - p1 ) ilar manner to the standard parameters measured in the
E M = 2(1 + n) êVc + ç 1 ÷ú (1)
ë è 2 øû (V2 - V1 ) CPTu (tip, friction and pore pressure), i.e. by comparison
with data from other similar materials, it is possible to make
with Poisson’s ratio n = 0.33, where EM = pressuremeter qualitative assessments of the likely soil characteristics.
modulus and Vc = volume of initial cavity. The parameters can also be used to design foundations by
However, as stated by Gambin et al. (1996), Ménard following strict design rules. From the onset, design rules
recognized that the modulus of the soil was dependent on have been devised in France using the pressuremeter results
the stress path and strain level. It is clear from Gambin et al. directly in the assessment of bearing capacity of shallow
(1996) and Briaud (1992) that the slope of the curve used to foundations, deep foundations including lateral loading,
derive the modulus EM obtained using the pressuremeter is settlement evaluation of shallow and deep foundations as

Figure 6 - Limit pressure from 9 participants on 3 boreholes for a total of 42 tests (Reiffsteck, 2009).

218 Soils and Rocks, São Paulo, 37(3): 211-231, September-December, 2014.
 A View of Pressuremeter Testing in North America

well as a panoply of applications to geotechnical structures shown in Fig. 7 was developed for determining the unit skin
and methods. From the pressuremeter deformation modu- friction, qs. Each curve represents a different pile type and
lus, it is possible to assess settlement of foundations and installation method and was validated using, on average, 30
displacement of laterally loaded piles while with the limit load tests. The values for fsol, equivalent to the normalized
pressure, the bearing capacity can be evaluated for shallow unit frictional resistance, fs, are given in tabular form in the
and deep foundations. These rules are based on theory as standard NF P94-262 as a function of soil type. The unit
well as observations and measurements of numerous in- skin friction, qs, is then determined using fsol multiplied by a
strumented experiments carried out at well documented test soil-structure coefficient which is a function of pile type
sites located in a variety of geological materials. The rules and installation method as well as soil type. The standard
are not described in this paper but can be found in numerous also provides limiting values for qs for each case. The meth-
documents (Briaud, 1992). However, many are in French. ods are straightforward, reliable considering the number of
Work is ongoing to incorporate these design rules into the load tests used in their development, and useful especially
Eurocode which would make them significantly more ac- for cases with similar geological conditions.
cessible.
4. Pressuremeter Testing in North America
The majority of design work in France is done using
the PMT and the well-established design rules. With im- Based on a review of North American literature, it
provements in testing techniques, equipment, additional seems that most pressuremeter testing has been of the
observations and advanced numerical modeling, the rules prebored variety. Early SBPM research was conducted in
are constantly revised to provide more versatile, accurate soils conducive to the installation of the SBPM with mini-
and safe design procedures. Expanding these rules through mal disturbance which are also the soils that are suited to in-
the Eurocode will also lead to improvements. vestigation by other in situ tests such as the SPT, the CPTu,
the field vane and the flat plate dilatometer (DMT). In such
Some examples are provided herein to illustrate the soils, the pressuremeter offers no significant advantages for
efforts undertaken by various French research groups to ad-
vance the Ménard design rules. For example, Bustamante et
al. (2009) in a paper describing pile design using the PMT,
states that the current method is based on 561 pile load tests
on more than 400 piles instrumented to measure skin fric-
tion and end bearing. These piles have been installed using
more than 26 different techniques. They also show that the
PMT is often more versatile than other in situ tests such as
the CPT, the SPT and coring for laboratory testing as
shown in Table 2. The tests were carried out in various ma-
terials including weathered or fragmented rock and ce-
mented or very fine cohesionless formations. Their results
led to improvements in design charts for unit skin friction,
qs, and a simplification of tip bearing factors, kp, for 26 pile
types. The work was further simplified as part of the draft-
ing of the French standard for deep foundations for imple- Figure 7 - Design chart for evaluating the unit skin friction qs from
mentation in Eurocode 7 (AFNOR, 2012; Reiffsteck & pressuremeter test limit pressure (in Reiffsteck & Burlon, 2012;
Burlon, 2012). Using results from 159 load tests, a chart as AFNOR (2012) Standard NF P94-262).

Table 2 - Comparison of in situ test and coring feasibility at 204 sites (Bustamante et al., 2009).
1
Type of test Number of sites as a function of test feasibility
2 3 4
Tests completed Insufficient no. of tests Tests possible but curtailed Tests inadequate
PMT (pLM) 155 Sites (76%) 3 Sites (1.5%) 46 Sites (22.5%) 0 Site (0%)
CPT (qc) 60 Sites (29.4%) 79 Sites (38.7%) 23 Sites (11.3%) 42 Sites (20.6%)
SPT (N) 26 Sites (12.7%) 54 Sites (26.5%) 72 Sites (35.3%) 52 Sites (25.5%)
Coring for laboratory 21 Sites (10.3%) 67 Sites (32.8%) 69 Sites (33.8%) 47 Sites (23.1%)
(c’ and j’)
1 2 3
It is assumed that a PMT or an SPT log includes a test every meter. Throughout the whole pile depth at least. Insufficient No. of tests
(PMT), premature refusal (CPT), excessive blow count (SPT) or sample badly recovered. 4Tests deemed inadequate beforehand due ei-
ther to soil type or to soil resistance.

Soils and Rocks, São Paulo, 37(3): 211-231, September-December, 2014. 219
 Benoît & Howie

geotechnical characterization over these other tests and so testing in rock. Knowledge of the type of soil in which
the other tools dominate. In the research sphere, the PMT each pressuremeter test is to be made is necessary for
has continued to be of great interest. The PMT has also assessment of (1) the method of boring or probe
found use in what Ladanyi (1995) termed “non-standard” placement, or both, (2) the interpretation of the test
materials. He was primarily referring to testing in frozen data, and (3) the reasonableness of the test results.
soils, ice and in soft and hard rock but there has also been It goes on to state that the method does not cover the
considerable testing in other hard-to-investigate soils such self-boring pressuremeter and is limited to the pressure-
as glacial tills, hard clays, residual soils and municipal meter which is inserted into predrilled boreholes or, under
wastes. certain circumstances, is inserted by driving. There is no
current ASTM Standard for versions of the test focused on
4.1. ASTM standards the derivation of basic soil parameters.
The only ASTM standard related to pressuremeter Elsewhere, pressuremeter testing and test interpreta-
testing in North America is ASTM Standard D4719. The tion are provided by the international draft standard ISO
current version was published in 2007 and is concerned 22476-4 prepared by the Technical Committee ISO/TC 182
with prebored pressuremeter testing. The scope of this stan- (Geotechnics, Subcommittee SC 1, and by Technical Com-
dard is summarized in the following excerpts from ASTM: mittee CEN/TC 341, Geotechnical investigation and test-
This test method covers pressuremeter testing ing) which provides a more complete set of procedures. The
of soils. A pressuremeter test is an in situ stress-strain international standard is not limited to using the PMT in
test performed on the wall of a borehole using a cylin- soils only but includes weak rocks. It is interesting to note
drical probe that is expanded radially. To obtain via- that this standard refers to the prebored pressuremeter as
ble test results, disturbance to the borehole wall must the Ménard Pressuremeter Test (MPT). Figure 8 shows a
be minimized. schematic of the MPT.
This test method includes the procedure for The ASTM standard outlines the test procedures as
drilling the borehole, inserting the probe, and con- well as making suggestions on best practices for borehole
ducting pressuremeter tests in both granular and co- preparation based on soil types as shown in Table 3. In Ta-
hesive soils, but does not include high pressure ble 4 are the recommendations from the international stan-

Figure 8 - Schematic of the prebored or Ménard pressuremeter (ISO, 2009).

220 Soils and Rocks, São Paulo, 37(3): 211-231, September-December, 2014.
 A View of Pressuremeter Testing in North America

dard. The international standard also defines the maximum

pushed slotted
Driven vibro-
driven or
time allowed between formation of the test pocket and the

tube

NR
NR
NR

NR
NR

NR
NR
NR

NR
1D
2
actual testing as well as the length of opened borehole per-
mitted between tests to avoid further disturbance of the soil
Rotary percus-

or rock. Table 5 shows these recommendations.

sion

NR
NR

NR
NR

NR
NR
2B

2B

2
2
2
The ASTM specifications were originally developed
using the French standards as a template. The new interna-
tional standard includes contributions from several coun-
Core barrel

tries and users with diverse experiences making the docu-

drilling

NA
NA

NA
NR
NR

NR
NR

NR

NA
1B

2
ment more useable and consistent. The ASTM standard
often lags behind where updates are required only every 7
years and is revised by a smaller pool of users. Using the in-
vibro-driven

ternational standard as a working document for North

Driven or

sampler

NA
NR
NR

NR

NR

NR
American practice would help promote exchange of infor-
NR
2

mation and results that could be used in developing im-

proved methods of insertion, testing and interpretation.
Hand auger with

prepared mud
discharge of

A difference between ASTM and the ISO 22476-4

bottom

NA

NA
NA
NA
1
1

2
1

1
1
1

standards should also be pointed out. The international

committee does not mention the use of unload-reload loops
as part of the Ménard pressuremeter test while ASTM indi-
Hand auger in
the dry

cates that such a loop is acceptable and that the resulting

NA

NA
NA
NR

NR

NR

NA
1

modulus should be clearly identified as an unload-reload

modulus. However, D4719 gives little guidance as to how
such an unload-reload loop should be conducted and inter-
flight auger
Continuous
Table 3 - Guidelines for Selection of Borehole Preparation Methods and Tools (ASTM D4719).

preted. In his Ménard lecture, Briaud (2013) states that he

NR

NR

NR

NR
NA
1B
1B

“would strongly discourage the use of the reload modulus”

1 is first choice; 2 is second choice; NR is not recommended; and NA is nonapplicable.

in the prebored PMT because it is not a “standard modulus”

ing and subse- ing and simulta-
Rotary Drilling Pushed thin wall Pilot hole drill- Pilot hole drill-

neous shaving

and “is not precisely defined”.

NA
NA
NA
B

2B
2
2
1

2
2
2
2

However, one of the most significant benefits of pres-

suremeter testing in soils and rocks is the ability to evaluate
Method is applicable only under certain conditions (see text for details).

a modulus in situ from the resulting stress-strain measure-

quent sampler

ment during expansion of the test cavity and unload-reload

pushing

NA
NR

NR
NR
NR

NA

2B
2
2
1

cycles. As shown in Table 6 from Clarke (1995), the moduli

obtained from pressuremeter tests are quoted several differ-
ent ways, making it difficult to arrive at consistent and per-
tinent use of the pressuremeter moduli in analyses of defor-
sampler

NA
NA
NR

NR
NR
NR

NA

mation. It has been shown that the unload-reload modulus

2B

2B
1
2

appears to be relatively unaffected by the method of inser-

tion since this unloading and reloading is essentially elastic.
prepared mud

However, it is necessary to perform the unload-reload loops

discharge of
with bottom

Pilot hole drilling required beforehand.

carefully to ensure that they can be interpreted reliably. For

NR
2B
1B

1B
1B

1B
1B
1B
1

1
2

example, Wroth (1984) argued that the stress decrement in

Sandy gravel or gravely sands below GWL

an unload-reload loop should be limited to twice the un-

GWL is groundwater level.

drained shear strength in undrained PM tests. In sands, the

Loose and below GWLC
Loose and above GWLC

stress decrement should be limited to approximately 40%

Medium to dense

of the initial effective stress at the start of unloading (Fahey,

Type

Above GWLC
Under GWLC

1991). In addition, the strain increment level associated

Firm to stiff
Stiff to hard

with the modulus needs to be reported since the modulus re-

Dense
Loose

Weathered rock

duces with increasing strain increment level (Clarke,

Soft
Clayey soils

Sandy soils

1995). In drained expansion, the effect of stress level at the

Silty soils

start of unloading also needs to be considered as stiffness

Soil

increases with stress level.

A

D
B

Soils and Rocks, São Paulo, 37(3): 211-231, September-December, 2014. 221
222
Table 4 - Guidelines for pressuremeter probe placement techniques (adapted from ISO, 2009).

Probe placing without soil displacement Probe placing by direct driving

1 < dt/dc£ 1.15 (dt/dc » 0)
Rotary drilling Rotary percussion Tube pushing, driving or Driven slotted tube
vibrodriving
OHD * HA/HAM* CFA CD RP RPM STDTM PT DT VDT DST
Sludge and soft clay S° R° - -$ - -$ R TWT - A$
Soft to firm clayey soils R° R° S$ S$ - A$ ° A° A$ A -
Stiff clayey soils R° S$ ° R R° A$ S° S$ ° - A$ -
Silty soils:
$
- above water table S° R° S S$ ° - A° S° A A A -
$
- below water table A ° S$ ° - A$ ° - A° S5° - - - A$
Loose sandy soils:
- above water table S° R$ ° S A - A° A° -$ - - -
- below water table A$ ° S° - -$ - A° A 5° -$ - - A$+
Medium dense and dense sandy soils R° R° R A° A S° S 5° - A A S$+
$ $ $ $ $
Gravels, cobbles S° -° - - A R° A° A A R+
Cohesive non homogeneous soils S° A° A S$ ° A R° A$ ° A A
(e.g. boulder clay)
Loose non homogeneous soils, other S° A° A A° A S° S$ ° - A A S$+
Benoît & Howie

soils not specified above (e.g. tills,

some alluvial deposits, manmade
soils, treated or untreated fills )
$
Weathered rock, weak rock R° S° S S ° A$ S° S$ ° A$ A$

R Recommended OHD Open hole drilling. PT Pushed tube

S Suited HA OHD performed with a hand auger TWT Thin wall tube, pushed
A Acceptable HAM OHD performed with a hand auger and mud DT Driven tube
- Not suited CFA Continuous flight auger VDT Vibro driven tube
Not covered by this standard CD Core drilling DST Driven slotted tube
dt drilling tool diameter RP Rotary percussion
dc probe outside diameter RPM Rotary percussion with mud
STDTM Slotted tube with inside disintegrating tool and
mud circulation
$
Depending on the actual site conditions and on the evaluation of the operator -
* Rotation speed should not exceed 60rpm and tool diameter not be more than 1.15dc
° Slurry circulation: pressure should not exceed 500kPa and the flow rate 15l/min. The flow can be temporarily interrupted if necessary
+ Pilot hole with possible preboring techniques: DST, RP and RPM

Soils and Rocks, São Paulo, 37(3): 211-231, September-December, 2014.

 A View of Pressuremeter Testing in North America

4.2. Examples of pressuremeter testing erally greater than 50 to 100. The use of the pressuremeter
was well-received as it was easily deployed in the field and
Although Ménard carried out his first pressuremeter far less expensive than full scale load tests. Bearing capac-
tests in the USA, acceptance and utilization of the test has ity and settlement predictions in 35 years of experience
been overall relatively slow compared to other in situ tools have correlated reasonably well. In his paper he discusses
and techniques such as the cone penetration test. Neverthe- two cases. Settlement of a sixty-one story building founded
less, several firms make use of the PMT either as soil test- on drilled piers in “hardpan” was estimated using pressure-
ing services for various clients or directly by geotechnical
consultants for site characterization and design of founda-
tions. The use of the PMT in the USA and Canada appears Table 6 - Terms used to define moduli taken from pressuremeter
to be localized and is highly dependent on historical use and tests (Clarke, 1995).
experience.
Symbol Definition
One of the early uses of the prebored PMT was in the
Chicago area as shown in the original work of Ménard and Gi Initial secant shear modulus
then later in publications by Kastman (1978), Baker (2005) EM Ménard modulus
and Lukas (2010). A paper by Kastman (1978) uses the ra- Gur Secant shear modulus from an unload/reload cycle
tio between the Ménard modulus and the net limit pressure
Gu Secant shear modulus from an unloading curve
EM/pLM as an indicator of test quality (or disturbance) and for
identifying soils. Figure 9 shows results from Kastman Gr Secant shear modulus from a reloading curve
(1978) for a variety of soils tested using the PMT in the Em Secant elastic modulus from an unloading curve
USA using the ratio EM/pLM as a function of the logarithm of Em* Secant elastic modulus from a reloading curve
the pressuremeter modulus. The summary of results clearly
Emo Maximum elastic modulus from an unloading curve
shows a strong linear relationship for each soil type. The ra-
tio was found to be in the range of 8 to 12 for normally con- Ero Maximum elastic modulus from a reloading curve
solidated soils and 12 to 20 for overconsolidated soils. Gn Secant shear modulus measured over strain range n%
Lukas (2010) discusses his experience with the PMT Go Maximum shear modulus
in Chicago clays which are heavily overconsolidated and Gs Equivalent element modulus
cannot be penetrated by the CPT or by sampling with thin
Guro Equivalent shear modulus at the in-situ effective
walled Shelby tubes. Up to the 1970’s, properties were ob-
stress
tained from the SPT where penetration values N were gen-

Table 5 - Maximum continuous drilling or driving stage length before testing (adapted from ISO, 2009).

Soil type Maximum continuous drilling or tube driving stage length (m)
Adapted rotary Rotary percussive Tube pushing, driving
b b c
drilling drilling and vibrodriving
a a
Sludge and soft clay, soft clayey soil 1 - 1
Firm clayey soils 2 2 3
Stiff clayey soils 5 4 4
Silty soils: above ground water table 4 3 3
a a
Silty soils: below water table 2 1 -
Loose sandy soils: above ground water table 3 2 -
a a
Loose sandy soils: below water table 1 1 -
Medium dense and dense sandy soils 5 5 4
Coarse soils: gravels, cobbles 3 5 3
Coarse soils with cohesion 4 5 3
Loose non homogeneous soils, other soils not specified 2 3 2
above (e.g. tills, etc.)
Weathered rock, weak rock 4 5 3
a
: Or the required interval between two successive tests.
b
: Refer to Table C.2 for acceptable techniques.
c
: Not applicable to STDTM technique (see C.2.6.3).

Soils and Rocks, São Paulo, 37(3): 211-231, September-December, 2014. 223
 Benoît & Howie

Figure 9 - Pressuremeter ratio EM/pLM as a function of the pressuremeter modulus EM (Kastman, 1978).

meter data. The estimated movements agreed well with the the PMT. Their approach has been based on local
measurements in the field when the bearing pressures were experience and performance monitoring of other similar
below the creep pressure and the pressuremeter modulus foundations in similar soils. This often leads to com-
was used in settlement calculations. The second case dealt pany-specific empirical relationships.
with bearing capacity of a mat foundation for a high rise to Pressuremeter testing has also been carried out exten-
be founded on the overconsolidated clay. Using the pressu- sively in the Miocene clay in the Richmond, Virginia area
remeter results, the calculated bearing capacity agreed well (Martin & Drahos, 1986). This clay is highly preconsoli-
with that obtained by more conventional approaches to de- dated and hard in consistency. This material is also sensi-
sign when using undrained shear strengths derived from the tive and highly plastic. From their work they developed a
PM test. relationship between the constrained modulus from the re-
Similarly to Lukas (2010), Baker (2005) describes his load portion of their consolidation tests and the pressu-
experience with the pressuremeter in the Chicago area soils remeter modulus, EM. The results shown in Fig. 10 were
as well as in other parts of the world. The PMT has been found to be much different than what was previously pub-
used in Chicago since 1969 and has allowed less conserva- lished by Lukas & DeBussy (1976) for Chicago clays. They
tive design of drilled piers and caissons than is obtained also developed a correlation between the PMT creep pres-
using parameters derived from SPT and unconfined com- sure and the preconsolidation pressure (pc) and recom-
pression tests, increasing allowable pressures by more than mended a conservative estimate of pc could be obtained
50%. From his experiences in highly consolidated glacial from the expression: pc = 0.6 pf.
tills and medium dense to dense deposits, using the pressu-
remeter theory and appropriate PMT results allows reliable Based on the technical literature and geotechnical re-
predictions of settlement magnitudes of deep foundations ports reviewed by the authors, a number of different ver-
under working load. The confidence in reliably predicting sions of the pressuremeter are in use as outlined in Table 7.
settlements has afforded them to be more innovative in By far the most common encountered was the Texam pres-
their designs. Baker suggests that for reliable settlement suremeter. This is a monocellular version of the prebored
predictions, the dead load bearing stress plus the overbur- PM developed by Briaud and his co-workers (Briaud,
den pressure should not exceed the average creep pressure. 1992). There is also a high capacity version of this probe,
However, there are cases where such an approach is not ap- the Probex, designed for testing in rock. According to
plicable, e.g. weakly cemented sandstone. Their settlement Briaud (2005), the Texam was designed:
evaluation is done either using the Ménard rules or elastic “to simplify and make safer (no pressurized gas
theory with an equivalent Young’s modulus derived from bottle) the operation and the repairing of the Ménard

224 Soils and Rocks, São Paulo, 37(3): 211-231, September-December, 2014.
 A View of Pressuremeter Testing in North America

and so cannot be continued to sufficient cavity strain to

achieve a doubling of the cavity volume. Consequently,
Ménard-type limit pressures also have to be obtained by ex-
trapolation for this tool. However, most of the cases involv-
ing this approach to pressuremeter testing were based on
test procedures that did not follow ASTM D4719 and were
analyzed and interpreted using computer aided modelling
(CAM) based on simple constitutive models of soil behav-
ior. The tests were interpreted to obtain the fundamental
properties of the materials tested which were then consid-
ered in conjunction with other geotechnical and geological
information collected by the site characterization.
Jefferies et al. (1987) used CAM and SBPM testing to
determine a profile of effective stress in Beaufort Sea clays.
They argued that the lateral stress profile did not agree with
Figure 10 - Relationship between Constrained Reload Modulus estimates based on overconsolidation ratios obtained from
from consolidation tests and Pressuremeter Modulus (after Martin
consolidation tests and emphasized the importance of field
& Drahos, 1986) (Note: 1 TSF = 95.76 kPa).
testing. A similar recent example of such an approach is
presented in Hoopes & Hughes (2014) in which pressure-
pressuremeter while allowing for more versatility in meter test results were used in the estimation of the in situ
the types of possible PMT tests (e.g.: cyclic tests).” lateral stress profile of glacially over-ridden glaciolacus-
Briaud (1992) stated that comparison testing between trine clay by seeking a pressure during unloading at which
the Texam and the triple cell Ménard probes showed that no expansion or contraction occurred.
the results were comparable provided the length to diame- In a paper on the use of in situ tests for design of
ter ratio (L/D) of the monocell probe exceeded 6. Since drilled shafts in coarse granular deposits, Rabab’ah et al.
then, the Texam probe appears to have become the most (2012) described an ingenious solution developed by Dur-
common version of the probe in published case histories of kee et al. (2007) to the preparation of a test pocket in such
prebored testing. However, the standard GAM model series challenging soil conditions. They drilled an oversized hole
is the preferred tool in Europe and complies with European (127 mm) using a down-hole air hammer and left a casing
standards. The Pencel probe has also been the subject of in place. They then tremie-grouted the hole with a weak
considerable research, particularly in Florida (Cosentino et grout placed through a central tube while withdrawing the
al., 2006; Messaoud & Nouaouria, 2010; Messaoud et al., casing. After a curing period of 2 weeks, they drilled a
2011). At 35 mm diameter, it is much smaller than most 76 mm diameter hole through the grout which left a 20 mm
other probes. A major focus of this work has been the deri- annulus around the wall of the pocket in which the PM was
vation of p-y curves for the design of piles under lateral installed. The cement grout was designed to be brittle and to
loads. fracture early in the expansion of the pressuremeter. The
Some testing has also been done using a Cambridge test pocket preparation sequence is illustrated in Fig. 11. A
style monocell probe installed in a prebored hole which is total of 45 pressuremeter tests carried out in this way using
inflated by gas and has strain feeler arms at 120 degree in- a Cambridge-style monocell probe were considered to be of
tervals at mid-height of the probe. Test curves obtained good to excellent quality and were interpreted to give geo-
with this probe only expand to 10% to 15% cavity strain technical properties of the soil. The interpretation took ac-

Table 7 - Most common pressuremeters encountered in north american document review.

Model Design Method of insertion Method of inflation Method of strain

measurement
Menard Triple cell Prebored Hydraulic Volume
Texam Monocell Prebored Hydraulic Volume
Probex* Monocell Prebored Hydraulic Volume
Cambridge type Monocell Prebored (some self-boring) Gas 3/6 strain arms
Pencel Monocell Driven or pushed Hydraulic Volume
Oyo elastometer 100 Monocell Prebored Gas 2 feeler arms
*High capacity version of Texam.

Soils and Rocks, São Paulo, 37(3): 211-231, September-December, 2014. 225
 Benoît & Howie

Figure 11 - Schematic of drilling procedure in gravelly soils (Af-

ter Durkee et al., 2007).

count of the presence of the grout. Despite the likelihood of

some disturbance of the soil tested, this procedure allowed
some assessment of soil properties which would have oth-
erwise been impossible given the difficulty of drilling and
sampling in such soils.
The pressuremeter continues to be of interest to re-
searchers. Dafni (2013) presents a study of pressuremeter
testing in weak rock using a Cambridge-type monocell in-
strument in which he applies CAM based on representative
constitutive models for rock. A comparison of measured
data and a curve simulated using the Hoek-Brown model
initiated by Yang and Zou (2011) is shown in Fig. 12.
Jacobs (2003) carried out Ménard-style PMTs to study the
use of the pressuremeter for estimating the side shear ca-
pacity of drilled shafts in Florida limestone. An example of
his test results is shown in Fig. 13. The existing approach
Figure 12 - Measured and simulated PMT curves in Weak Rock
was based on laboratory testing of intact rock core and there
(Dafni, 2013).
was interest in determining whether the PMT would give
data more representative of the rock mass. He found that an
empirical design method for side shear capacity by the The situation is complicated by the fact that a range of
Laboratoire Central des Ponts et Chaussées (LCPC) per- instruments and test procedures are in use. The shape of the
formed reasonably well and recommended that it be studied pressuremeter test curve in any soil or rock is affected by
further. He observed that the method required further cali- the insertion method, the geometry of the instrument and by
bration by comparison with load testing before design use details of the test procedures. Consequently, tests carried
in Florida. out with different instruments and procedures will obtain
different test curves in a given material, with the magnitude
5. Discussion of the variation being material-dependent. There is evi-
Pressuremeter testing has not yet attained widespread dence that engineers continue to interpret their test results
acceptance in North American geotechnical engineering using the Ménard rules despite their test data not being ob-
practice. It tends to be seen as being too expensive for rou- tained by instruments and procedures conforming to those
tine practice. A common view of the test is expressed by the rules.
Nevada Department of Transportation as follows: For conventional foundation engineering in sands and
The pressuremeter test is a delicate tool, and finer soils which are normally to moderately overconsoli-
the test is very sensitive to borehole disturbance. The dated, the pressuremeter offers no advantage over faster
data may be difficult to interpret for some soils, but it and more robust in situ tests such as the seismic CPTu and
provides the advantage that due to the large size of DMT except in unusual cases where pressuremeter data can
the pressuremeter cell it is less likely to be adversely provide additional insight. However, the prebored PMT is
affected by gravel in the soil. This test requires a high better-suited than conventional penetration tests or drilling
level of technical expertise to perform, and is time and sampling to the characterization of the mechanical be-
consuming. havior of hard or very dense soils, coarse grained soils, re-

226 Soils and Rocks, São Paulo, 37(3): 211-231, September-December, 2014.
 A View of Pressuremeter Testing in North America

Figure 13 - Example of PMT in Limestone (Jacobs, 2003).

sidual, saprolitic or lateritic soils, soft and fractured rocks, those of the European standard. The major difference is the
frozen ground and ice.. The challenge then becomes to drill option to include an unload-reload loop at some stage of the
a suitable test pocket to allow pressuremeter tests to be car- expansion. The latter guidelines are based on the decades of
ried out successfully. Briaud (2013) emphasizes that this is experience in France of successful use of PMT parameters
“the most important and most difficult step in a quality directly for foundation design. This difference compro-
pressuremeter test”. mises the ability of engineers in North America to benefit
Where pressuremeter testing is carried out, the proce- from that experience.
dures set out in the current version of the ASTM standard One reason for the slow adoption of the PMT in North
on prebored pressuremeter testing are not consistent with America is the lack of familiarity with the test and its inter-

Soils and Rocks, São Paulo, 37(3): 211-231, September-December, 2014. 227
 Benoît & Howie

pretation and use. This can in part be traced to the education other processes of densification, the PM is slower and more
system. Benoît (2013), using a questionnaire distributed to expensive for routine use and cannot compete with more
members of the United States Universities Council on Geo- conventional tests such as the CPTu, DMT or SPT. It does
technical Education and Research (USUCGER), discussed find use in such soils for design problems where the conse-
the status of current pressuremeter activities in the United quences of poor geotechnical performance justify more ex-
States of America. A questionnaire was widely distributed tensive design and analysis. Examples of such uses would
to academics to assess the level and type of activities in re- be in the derivation of p-y curves for the design of laterally
search and teaching. One of the questions asked how much loaded piles and the estimation of stiffness for detailed as-
lecture time was devoted to each in situ test in graduate sessment of differential settlement. Where fundamental
courses. The results from this question are shown in properties are derived from a Cambridge-style approach to
Fig. 14. For the SPT and CPT, 25% of the programs spend PM testing, input parameters for detailed numerical analy-
less than 30 min while another 25% dedicate 1-2 h and sis can be derived.
about 13% cover the material in greater detail, using over 3
The PMT has been used extensively in areas of the
h. For the DMT, PMT and geophysical methods, approxi-
US and Canada where hard or very dense soils are encoun-
mately 40% of the programs spend only 10 to 30 min on
tered such as in glacial tills and heavily overconsolidated
these topics while about 15% of them use an hour or more.
clays, dense/hard residual soils, and very coarse granular
It was somewhat surprising that as much as 20% of the pro-
soils. It has also been used in soft and fractured rock, frozen
grams spend less than 10 min on the FVT, DMT, PMT and
soils and ice and as a tool for quality control of ground im-
geophysical methods.
provement. Where the test has found favor, it has generally
In this survey, the perception was that certain tools been where conventional approaches to site characteriza-
such as the pressuremeter are time consuming and too com- tion yield uncertain or insensitive results (what is the differ-
plex. However, if future and current geotechnical engineers ence in soil parameters between an SPT blow count of 50
are not taught the basic use and interpretation of the various for 1 inch and 100 for 1 inch?). As the methods of interpre-
test methods, opportunities to improve the efficiency and tation have a basis in theory, it is possible to derive mean-
safety of our designs are likely to continue their slow prog- ingful strength and deformation parameters for all materi-
ress and, of course, more sophisticated tests are unlikely. als in which a PMT expansion curve can be obtained. It is
Proper training and understanding of more sophisticated also possible to relate the measured parameters to the ex-
test methods will lead to greater use of field methods such tensive body of experience gained with the use of the PM
as the PMT. for foundation design in Europe and elsewhere.
6. Conclusions In order for the test to gain wider acceptance in engi-
neering practice in North America, the following measures
While the PMT has been available in North America
are required:
since the late 1950’s, it has not achieved wide acceptance in
geotechnical engineering practice. In sandy and finer soils • the teaching of the theory and principles of PM testing at
which have not been subject to heavy overconsolidation or graduate schools must be improved. This will increase

Figure 14 - In Situ tests lecture time in us graduate geotechnical courses (based on 40 respondents) (Benoît, 2013).

228 Soils and Rocks, São Paulo, 37(3): 211-231, September-December, 2014.
 A View of Pressuremeter Testing in North America

th
the likelihood that the PMT will be used appropriately on Pressuremeters, 18 International Conference on
and will result in a positive experience. Soil Mechanics and Geotechnical Engineering, Paris,
• equipment and test procedures should be more strictly France.
standardized so that they produce data that are consistent Benoît, J.; Atwood, M.J.; Findlay, R.C. & Hilliard, B.D.
with the design methods being employed. If the Ménard (1995) Evaluation of jetting insertion for the self-boring
rules are to be invoked, then the test should be carried out pressuremeter. Canadian Geotechnical Journal, v. 32,
according to the Ménard rules, i.e. no unload-reload cy- p. 22-39.
cles. If the Cambridge-type approach is to be used, then Briaud, J.-L. (2013) Ménard Lecture: The pressuremeter
the ASTM D4719 test procedures are inapplicable and th
Test: Expanding its use. Proceedings of the 18 Interna-
alternative equipment and procedures should be fol- tional Conference on Soil Mechanics and Geotechnical
lowed. Engineering, Paris, France, p. 107-126.
• it should be recognized that the PMT is most applicable Briaud, J.-L. (2005) The pre-boring pressuremeter: some
in difficult ground conditions provided a suitable test contributions. Proceedings of the International Sympo-
pocket can be prepared. sium 50 Years of Pressuremeters, Gambin, Magnan and
• more full scale load testing and monitoring of founda- Mestat, Editors, Presses de l’ENPC/LCPC, 22-24 Au-
tions of North American projects are required to verify gust, Paris, France, v. 2, p. 103-124.
and promote the applicability of PM based design meth- Briaud, J.-L. (1992) The Pressuremeter. A.A. Balkema
ods. Publications, Rotterdam, 322 p.
As stated by Casagrande (1966) when dealing with Briaud, J.-L. & Shields, D.H. (1979) A special pressu-
projects and subsurface conditions in Richmond, Virginia, remeter and pressuremeter test for pavement evaluation
an effort had to be made to “collect and evaluate systemati- and design. Geotechnical Testing Journal, v. 2:3,
cally information on the subsoil conditions, and on the de- p. 143-151.
sign and performance of buildings, in Richmond. This
Bustamante, M.; Gambin, M. & Gianeselli, L. (2009) Pile
would eventually lead to a set of relatively simple and reli-
Design at Failure Using the Ménard Pressuremeter: An
able guide rules for the design of building foundations in
Up-Date. French contributions to International Founda-
this city.” The Ménard rules have essentially been derived
tion Congress & Equipment Expo ‘09 Contemporary
and improved following this philosophy. The pressure-
Topics in In Situ Testing, Analysis, and Reliability of
meter is a tool that has been insufficiently used in North
Foundations, ASCE Geotechnical Special Publication
America and, at times, has been used inappropriately. A re-
No. 186, Orlando, Florida, p. 127-134.
vival of the use of the pressuremeter is essential, especially
Casagrande, L. (1966) Subsoils and Foundation Design in
as numerical tools require more sophisticated parameters
Richmond, VA. Journal of the Soil Mechanics and
for analysis.
Foundation Design, SM5, September, p. 109-126.
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Pressuremeter Test in Clay Allowing for Membrane
Shuttle, D.A. & Jefferies, M.G. (1995) A practical Geome- End Effects and Material Non-homogeneity. Pressure-
try Correction for Pressuremeter Tests in Clay. Géo- meters, London, Thomas Telford Limited, p. 199-208.
technique, v. 45:3, p. 549-553. Yu, H.S. (2004) James K. Mitchell Lecture: In Situ Soil
Withers, N.J.; Schaap, K.H.J. & Dalton, J.C.P. (1986) The Testing: from Mechanics to Interpretation. Proceedings
Development of a Full Displacement Pressuremeter. ISC-2 on Geotechnical and Geophysical Site Character-
Proceeding of the Symposium on Pressuremeter and its ization. Millpress, Rotterdam.
Marine Applications, ASTM STP 950, p. 38-56.

Soils and Rocks, São Paulo, 37(3): 211-231, September-December, 2014. 231
 Penetration Rate Effects on Cone Resistance:
Insights From Calibration Chamber and Field Testing
R. Salgado, M. Prezzi

Abstract. Cone penetration in mixed or intermediate soils (soils containing mixtures of sand, silt and clay) is neither fully
drained nor fully undrained at the standard cone penetration rate of 20 mm/s. Considerable research, mainly relying on
centrifuge tests, has been undertaken to quantify the effects of penetration rate (and thus partial drainage) on cone
resistance. In this paper, the effects of penetration rate on cone resistance in saturated clayey soils were investigated by
performing field tests and miniature cone penetration tests in a calibration chamber. The field tests were performed at sites
especially selected to span the range of drainage conditions from fully drained to fully undrained. The calibration chamber
tests, using both conical and flat-tip penetrometers, were performed at different penetration rates in two specimens
prepared by mixing kaolin clay and sand with different mixing ratios and one-dimensionally consolidateding the mixtures.
A correlation between cone resistance and drainage conditions is established based on the cone penetration test results. The
transitions from no drainage to partial drainage and from partial drainage to full drainage are defined as a function of
penetration rate normalized with respect to the penetrometer diameter and the coefficient of consolidation.
Keywords: cone penetration, CPT, penetration rate, mixed soils.

1. Introduction will not work for soil in which penetration at the standard
rate takes place under partially drained conditions.
The cone penetration test (CPT) has become one of Physically, drainage conditions during penetration
the preferred methods of site characterization partly due to are important because, if the penetration rate is sufficiently
its simplicity, partly as a result of the development of cone low for a given clayey soil, the soil ahead and around the
resistance-based correlations for footing design advancing cone partially consolidates during penetration,
(Schmertmann, 1970; Mayne & Poulos, 1999; Lee & thereby developing greater shear strength and stiffness than
Salgado, 2002; Lee et al., 2005; Foye et al., 2006; Lee et it would have under undrained conditions. The closer the
al., 2008; O’Loughlin & Lehane, 2010), pile design (Lee & conditions are to fully drained during penetration, the
Salgado, 1999; Lee et al., 2003; Jardine et al., 2005; Kolk et higher the value of qc. Another physical process that is at
al., 2005; Xu et al., 2008; Seo et al., 2009; Foye et al., play for soils with large clay content for penetration under
2009; Niazi & Mayne, 2013) and liquefaction resistance es- fully undrained conditions is the effect of the rate of loading
timation (Seed & De Alba, 1986; Stark & Olson, 1995; on shear strength due to the “viscosity” (rate dependence of
Salgado et al., 1997; Robertson & Wride, 1998; Carraro et the shear strength) of clayey soils. The higher the penetra-
al., 2003). The apparent simplicity of the CPT, however, tion rate is, the larger the undrained shear strength su (and
hides considerably complex mechanics (Salgado, 2013). therefore qc) is. These two physical processes - drainage
One source of complexity is possible partial drainage dur- and loading rate effects - have opposite effects on qc.
ing cone penetration. A number of studies (Bemben & Myers, 1974; Cam-
The standard rate of penetration in a CPT is panella et al., 1983; Kamp, 1982; Powell & Quarterman,
20 ± 5 mm/s according to ISO 22476-1 and ASTM D 5778. 1988; Rocha Filho & Alencar, 1985; Roy et al., 1982; Tani
This standard penetration rate is specified regardless of soil & Craig, 1995) have considered rate effects in CPT testing
type. Cone penetration at the standard rate is fully drained for both clays and sands. Results of some field cone pene-
for clean sand and fully undrained for pure clay. For soils tration tests and centrifuge test results indicated that cone
consisting of mixtures of silt, sand and clay, cone penetra- resistance increases and excess pore pressure drops as the
tion may take place under partially drained conditions at the penetration rate decreases (Campanella et al., 1983; House
standard penetration rate, depending on the ratios of these et al., 2001; Randolph & Hope, 2004; Rocha Filho &
three broad particle size groups. This means that use of cor- Alencar, 1985; Mahmoodzadeh & Randolph, 2014).
relations developed for sand (in which tests would be The degree of consolidation during penetration de-
drained at standard rates of penetration) or clay (in which pends on the cone penetration rate, cone diameter, and con-
tests would be undrained at standard rates of penetration) solidation coefficient of the soil (Finnie & Randolph, 1994;

Rodrigo Salgado, Ph.D., Professor, Lyles School of Civil Engineering, Purdue University, West Lafayette, IN, USA. e-mail: [email protected].
Monica Prezzi, Ph.D., Professor, Lyles School of Civil Engineering, Purdue University, West Lafayette, IN, USA. e-mail: [email protected].
Submitted on May 30, 2014; Final Acceptance on December 15, 2014; Discussion open until April 30, 2015.

Soils and Rocks, São Paulo, 37(3): 233-242, September-December, 2014. 233
 Salgado & Prezzi

House et al., 2001; Randolph & Hope, 2004; Mahmoodza- was a kaolin clay, while the soil tested by Oliveira et al.
deh & Randolph, 2014). These factors can be used to obtain (2011) was silty mine tailings. The plot shows the ratio of
a normalized penetration rate V: normalized cone resistance (qc,p under drained, partially
vd c drained or undrained conditions divided by the undrained
V= value of cone resistance qc,u) vs. the normalized rate
cv V = vdc/cv of penetration, discussed earlier. The values of
where v = cone penetration rate; dc = cone diameter; and this ratio range between roughly 2.7 and 3.7. The limiting
cv = coefficient of consolidation that would be obtained normalized penetration rate for drained penetration varies
from a one-dimensional consolidation test performed on a in a range of roughly 0.01 to 1, but the limiting normalized
sample with the same fabric orientation as it would have in penetration rate for transitioning from partially to fully un-
the field. As pore pressure is generated during cone pene- drained penetration varies within a much wider range, from
tration, the generated hydraulic gradients in the soil around as little as 1 to over 100.
the cone will determine flow direction. Therefore, normal- In this paper, the effect of rate on cone resistance is
ization with respect with cv is not necessarily correct. Most assessed through a series of CPTs performed using a minia-
results reported in the literature were normalized with re- ture cone in a large calibration chamber and field tests espe-
spect to cv, so this normalization will also be used in the cially designed to investigate rate effects. These experi-
present paper. Conceptually, penetration resistance would ments complement the body of work developed through
vary with rate of penetration, as illustrated in Fig. 1, which centrifuge testing and shed some additional light on the
shows that penetration resistance is highest at low penetra- three research questions posed earlier.
tion rates, when penetration is drained, and then transitions 2. Field Testing
to its lowest value at sufficiently high rates of penetration.
The research questions in connection with this are: Kim et al. (2008) investigated the effects of penetra-
1) Is there a single backbone curve if cone resistance is nor- tion rate on cone resistance at two field test sites in the state
malized in some manner, for all soil types? of Indiana. The advantage of studying rate effects in the
2) For increasing penetration rates, what are the values of field is that the shortcomings of laboratory testing are
normalized penetration rates Vd and Vu at which pene- avoided. The coefficient of consolidation cv was obtained
tration transitions to partially drained and then to fully from consolidation tests performed for two loading stages
undrained penetration? close to the vertical effective stresses of the corresponding
3) If Vu is seen, alternatively, as the rate at which penetra- CPT test layers considered in the field. The values of the
tion resistance stabilizes at its lowest value, how does normalized cone resistance q t / s¢v obtained for the two test
soil viscosity affect its value? sites considered are plotted as a function of log V in Fig. 3.
The centrifuge has been the primary tool used to With the normalization, the values of q t / s¢v drop with in-
study these questions. Figure 2 shows results from a few creasing V until V » 4 and then increase only slightly as V
previous studies (Oliveira et al., 2011; Randolph & Hope, increases further. The effect of the cone penetration rate on
2004; Schneider et al., 2007; Mahmoodzadeh & Randolph, the excess pore pressure measured is shown in the same fig-
2014). The soil tested by Randolph & Hope (2004), Schnei- ure as a function of log V. The excess pore pressure is nor-
der et al. (2007) and Mahmoodzadeh & Randolph (2014)

Figure 1 - Conceptual backbone curve for cone penetration resis- Figure 2 - Backbone curve for CPTs performed in centrifuges
tance vs. rate of penetration. (modified after Oliveira et al., 2011).

234 Soils and Rocks, São Paulo, 37(3): 233-242, September-December, 2014.
 Penetration Rate Effects on Cone Resistance: Insights From Calibration Chamber and Field Testing

Figure 3 - Field results showing (a) cone penetration resistance vs. normalized rate of penetration and (b) backbone curve for CPTs per-
formed in the field.

malized with respect to the maximum value of excess pore range where it is flat to one in which it increases. According
pressure measured in a given soil layer. The transition from to Fig. 3(a) and (b), this transition occurs for V » 10. In the
undrained to partially drained penetration occurs at about range between the minimum qt in Fig. 3 (observed at V » 4)
V = 10. and V » 10, qt would tend to drop because it approaches un-
Since the undrained shear strength su (and thus cone drained conditions but would tend to increase because load-
resistance measured under undrained conditions) depends ing rate effects on the soil shear strength start becoming
on the rate of loading, the value of penetration rate at which significant. From a practical standpoint, if the goal is to de-
penetration transitions from undrained to partially drained termine the value of V at which penetration resistance stops
penetration (which should be based on pore pressure obser- dropping, then the V » 4 read from the qt plot may be of
vations) does not coincide with the point at which the plot greater interest, but penetration may not be fully undrained
of cone resistance vs. penetration rate transitions from a at that value of V.

Soils and Rocks, São Paulo, 37(3): 233-242, September-December, 2014. 235
 Salgado & Prezzi

3. Calibration Chamber Cone Penetration to the transition from partially to fully drained conditions
Tests could be as low as 0.01.
The range of the penetration rate possible in the
3.1. Overview chamber tests, based on equipment limitations, was be-
Calibration chamber tests are useful in the develop- tween 20 mm/s and 0.01 mm/s. In planning the experi-
ment of empirical correlations between soil properties and ments, the target range for normalized penetration rate V
in situ test methods such as the CPT. Homogeneous sam- was 0.01 < V < 30 in order to fully cover the entire range of
ples can be prepared in the calibration chamber, and the drainage conditions. Since the miniature cone diameter is
stress state of the soil sample in the chamber can be con- 11.3 mm and the range of cone velocities is constrained by
trolled. equipment limitations, the variable left to control was cv.
Calibration chamber penetration tests with a minia- 3.3. Coefficient of consolidation and mixing ratios
ture cone were performed at the Korea University Calibra-
tion Chamber Laboratory in Seoul, Korea (see Fig. 4). The A total of 16 flexible-wall permeameter tests were
chamber has an inside diameter of 1.2 m and a height of performed in general accordance with ASTM D 5084: ten
1.0 m. The top plate of the chamber has 9 holes to provide tests with mixtures of Ottawa sand (ASTM C778 Graded)
access for the cone penetrometer. The chamber has a dou- and kaolin clay (10%, 14.5%, 15%, 16.6%, 19%, 21%,
ble-wall system, which permits the simulation of K0 consol- 21.8% 24%, and 29.1% of kaolin clay), and six tests with
idation. mixtures of Jumunjin sand and kaolin clay (16%, 17.5%,
18.5%, 22%, 22.2%, and 25% of kaolin clay). Figure 5
3.2. Normalization of penetration rate and discussion of shows the grain size distribution curves of Ottawa sand,
chamber specimens Jumunjin sand and kaolin clay.
In order to evaluate CPT rate effects in clayey soils, Figure 6 shows the percentage of clay of the soil mix-
cone penetration rates in the calibration chamber tests must tures studied vs. cv in log scale for an isotropic confining
cover the whole range of expected drainage conditions stress of 150 kPa. From this graph, it can be seen that the log
(from undrained to fully drained conditions). The normal- cv has an approximately linear relationship with the clay
ized penetration rate V is useful to accommodate results ob- content of the soil mixtures. Based on the cv values shown
tained from different test conditions, penetrometer sizes, in Fig. 6, values of V were calculated for v = 20 mm/s and
and samples. Results of CPTs performed in the field dis- D = 11.3 mm (the miniature cone diameter). For the target
cussed earlier indicated that the values of V that correspond value of 60 for V (twice as high as the upper limit of 30 sug-
to the transition from fully undrained to partially drained gested in the literature) required to allow fully undrained
conditions were between 4 and 10 (Kim et al., 2008). Re- conditions at a penetration rate of 20 mm/s, a soil with
garding the other end of the range, centrifuge test results cv £ 3.8 x 10-6 m2/s was found to be needed. Based on the
discussed earlier showed that the value of V corresponding flexible-wall test results, a mixing ratio of 25% kaolin clay
-6 2
and 75% Jumunjin sand (cv = 3.45 x 10 m /s) was selected
for the first calibration chamber sample. This sample al-

Figure 4 - Schematic view of the flexible wall calibration cham- Figure 5 - Grain size distribution of Jumunjin sand, Ottawa sand,
ber (Kim et al., 2006). and kaolin clay (modified after Kim et al., 2006).

236 Soils and Rocks, São Paulo, 37(3): 233-242, September-December, 2014.
 Penetration Rate Effects on Cone Resistance: Insights From Calibration Chamber and Field Testing

Figure 6 - Percentage of clay of soil mixtures vs. cv.

lowed tests at V = 0.033 to V = 66 for D = 11.3 mm and v be- Therefore, the penetration test in each hole was done in two
tween 0.01 mm/s and 20 mm/s. stages with two different penetration rates.
As previously discussed, a V as low as 0.01 was be- 4. Results of Miniature Cone Penetration
lieved to be required to allow penetration under fully
drained conditions. In order to achieve that value of V, the Tests
other chamber specimen was prepared with a mixing ratio 4.1. Penetration tests in specimen P1
-5 2
of 18% clay and 82% Jumunjin sand (cv = 6.9 x 10 m /s).
The value of V for this soil mixture was equal to 0.0016 for Results of tests performed with both the conical and
v = 0.01 mm/s and D = 11.3 mm. flat tips in specimen P1 are presented in Fig. 7. The cone re-
sistance qt is the corrected cone resistance for the pore pres-
3.4. Cone penetration test program sure acting on the shoulder area behind the cone tip. Figure
7(a) shows that qt for v of 20 mm/s and 8 mm/s is almost the
The miniature piezocone penetrometer used in the same, around 0.7 MPa, and the corresponding excess pore
calibration chamber tests has a diameter of 11.3 mm (pro- pressures are 295 kPa and 270 kPa, respectively. These re-
2
jected cone area = 100 mm ), a cone apex angle of 60° and a sults show that, for v of 20 mm/s and 8 mm/s, cone penetra-
net area ratio of 0.62. The miniature cone, which was bor- tion occurred under undrained conditions. The values of qt
rowed from Fugro B.V., Netherlands, is equipped with a started to increase slowly as v decreased from 8 mm/s to
friction sleeve and a porous stone to measure pore pressure 0.25 mm/s. The measured average qt values showed an in-
just behind the tip. All pore pressure measurements should crease of 30% (from 0.7 MPa to 0.91 MPa) for a reduction
be considered to be related to where the porous stone is lo- in v from 8 mm/s to 0.25 mm/s, whereas the pore pressure
cated, so comparison of results across experiments should decreased about 20% for the same change in v. The values
be done carefully. A flat tip was manufactured specially for of qt increased from 0.91 MPa to 3.14 MPa (or about 3.5
the minicone and used to investigate the effect of the tip times) for a change in v from 0.25 mm/s to 0.02 mm/s. For
shape on penetration test results. the same change in v, the excess pore pressure dropped
Minicone penetration tests were performed at nine from 222 kPa to 8 kPa. The decrease in excess pore pres-
different penetration rates, ranging from 20 mm/s to sure to practically zero indicates that the drainage condi-
0.01 mm/s, in the specimen made with 25% kaolin clay and tions changed from partially drained to drained. The values
75% Jumunjin sand by weight (referred to as P1), which of qt and excess pore pressure for v = 0.01 mm/s (for which
had a floating fabric (Carraro et al., 2009, Carraro et al., conditions are also drained) are almost the same as the val-
2003; Salgado et al., 2000). Eight different penetration ues measured for v = 0.02 mm/s.
rates, ranging from 20 mm/s to 0.05 mm/s, were used in the The miniature penetration tests with a flat tip were
tests in the specimen made with 18% kaolin clay and 82% performed to investigate the impact of the shape of the tip
Jumunjin sand (referred to as P2), which has a non-floating on penetration resistance. The results obtained using both a
fabric. The CPTs were performed down to a depth of cone tip and a flat tip under the same conditions provide in-
around 750 mm (out of the 950 mm specimen height). This sights into the relationship between cone resistance and
penetration depth was sufficient to obtain stable cone resis- limit unit pile base resistance. The average values of flat-tip
tance values for more than two different penetration stages. resistance and pore pressures are also presented in Fig. 7.

Soils and Rocks, São Paulo, 37(3): 233-242, September-December, 2014. 237
 Salgado & Prezzi

Figure 7 - Effect of penetration rate on (a) qt and (b) pore pressure u for specimen P1.

The overall flat tip resistances obtained in P1 for the entire tainly was not so for 2 mm/s. The transition from partially
penetration rate range are similar to the corresponding cone drained to fully drained conditions took place for a penetra-
resistances. The transition points indicating change in tion rate of about 0.1 mm/s. The average qt at fully drained
drainage conditions seem to be identical for the two tip conditions was approximately 4 MPa.
shapes.
The shape of the tip influenced the values measured
4.2. Penetration tests in specimen P2 in the penetration tests performed in P2. For v = 20 mm/s,
The penetration tests performed in P2 focused on the resistance of the flat tip was 2.1 MPa, 64% higher than
identifying the transition between partially drained and the cone resistance measured at the same speed. Over the
fully drained conditions. The steady-state values of qt and whole range of penetration rates, the flat tip resistance val-
excess pore pressure vs. penetration rate for specimen P2 ues were higher than the corresponding cone resistance val-
are shown in Fig. 8(a) and Fig. 8(b). While the penetration ues, but this difference reduced as drainage increased.
rate decreased from 20 mm/s to 2 mm/s, the values of qt in- Under fully drained conditions, for v = 0.1 mm/s, the flat tip
creased from 1.28 MPa to 1.65 MPa, and the excess pore resistance was 4.4 MPa, and the cone resistance was
pressure decreased by about 40%. This drop in excess pore 4.0 MPa, a more modest difference, practically justifying
pressure indicates that the penetration was likely not fully an assumption often made for sands that qc » qbL, where qbL
undrained even with the 20 mm/s maximum v, and it cer- is the limit unit base resistance of a pile in sand under the

Figure 8 - Effect of penetration rate on (a) qt and (b) pore pressure u for specimen P2.

238 Soils and Rocks, São Paulo, 37(3): 233-242, September-December, 2014.
 Penetration Rate Effects on Cone Resistance: Insights From Calibration Chamber and Field Testing

same conditions as those under which qc was measured, so tration rate at which qt stabilizes and that at which the
long as the ratio of pile to particle size is sufficiently large excess pore pressure stabilizes can be explained by the su-
(a ratio as low as 20 might be sufficient). Only a small dif- perposition of the two main rate effects. In the penetration
ference in the excess pore pressure measurements was ob- range between V » 1 and V » 10, qt would tend to drop be-
served. cause it approaches partially drained conditions but would
tend to increase because loading rate effects due to viscos-
4.3. Normalized cone resistance vs. normalized penetra- ity effects start taking place. From a practical standpoint, if
tion rates the goal is to determine the value of V at which penetration
The results of the penetration tests in the two different resistance is stable, then the V » 1 read from the qt plot may
specimens can be plotted in terms of the cone resistance be of greater interest. The backbone curves in Fig. 9 (b)
normalized by vertical effective stress and the normalized show the effect of fabric on the normalized cone resistance
penetration rate V. The values of cv used for normalization values. The maximum ratio of qc,p/qc,u for specimen P1,
were calculated using the data obtained from the calibration which has a floating fabric, is about 4.7, while that for spec-
chamber specimen consolidation, which was conducted un- imen P2, which has a non-floating fabric, is about 2.5. This
der perfect 1D conditions, without sidewall resistance. The is likely related to the different distribution of excess pore
measured values of cv are equal to 3.5 x 10-6 m2/s for P1 and pressure developing ahead of the advancing cone, with the
-5 2
3.1 x 10 m /s for P2. specimen with floating fabric experiencing greater excess
The normalized results for P1 and P2 are shown in pore generation [see Fig. 7(b) and Fig. 8(b)], and thus offer-
Fig. 9 as a function of log V. The plots in Fig. 9 (a) suggest ing relatively less resistance to the penetration of the cone
that the cone resistance increases when V drops below ap- under partially drained conditions. These results highlight
proximately 1, with the transition between partially drained the difficulty in assessing partial drainage effects for in situ
and fully drained conditions occurring around V » 0.05. Ac- soils consisting of mixtures of sand, silt and clay, where
cording to the normalized excess pore pressure shown in fabric effects can affect the measured cone resistances.
Fig. 9 (a), the transition from undrained to partially drained The results presented in this paper may be used to ob-
penetration occurs around V » 10, and the transition from tain the limiting values of cv that clayey soils would have to
partially drained to fully drained conditions occurs around have for penetration to take place under drained and un-
V » 0.05. The reason for the discrepancy between the pene- drained conditions for given values of penetration rate and

Figure 9 - Results for specimens P1 and P2: (a) cone resistance normalized with respect to vertical effective stress and excess pore pres-
sure normalized with respect to its maximum observed value vs. normalized penetration rate V and (b) backbone curves (in terms of ratio
of qc at any rate of penetration to qc under undrained conditions) for specimen P1 and P2.

Soils and Rocks, São Paulo, 37(3): 233-242, September-December, 2014. 239
 Salgado & Prezzi

cone diameter. As discussed previously, the drainage con- place limits on achievement of a single backbone curve, as
ditions change from undrained to partially drained at a well as on normalization of rates of penetration with respect
value of V » 10, which corresponds to a cv » 7.1 x 10-5 m2/s to cv. The backbone curves are likely to depend not only on
for the standard cone penetration rate (20 mm/s) and diame- the nature of the soil but also its state (void ratio, effective
ter (35.7 mm). However, because of the offsetting effect of stress state, over-consolidation ratio and fabric), and gener-
rate-dependent shear strength, cone resistance starts to pla- alizations may not be achievable before significant amount
teau for V > 1, which corresponds to a cv » 7.1 x 10-4 m2/s. of testing is done for soils spanning the whole range of par-
Therefore, we can conclude that undrained cone resistance ticle sizes and soil state.
is expected to be measured in CPTs performed with the The lesson to CPT performance and interpretation in
standard cone at the standard rate in soils having cv values practice from research done on this topic so far is clear and
-3 -4 2
less than roughly 10 to 10 m /s. At the other end of the relatively straightforward: the use of the standard 20 mm/s
spectrum, the test results suggest that a value of cv larger should no longer be the norm. Every effort should be made
-2 2 -2 2
than about 1.4 x 10 m /s (or roughly 10 m /s) is necessary to perform CPTs under either fully drained or fully un-
for fully drained conditions to be achieved with a standard drained penetration whenever feasible. The alternative is to
CPT. interpret tests performed under partially drained penetra-
tion, which is still very challenging. In order to avoid pene-
5. Discussion tration under partial drainage and the more challenging
Table 1 summarizes what has been learned so far in interpretation of such tests, CPTs in sand-controlled soils
connection with the dependence of cone resistance on rate should be performed as slowly as possible to guarantee full
of penetration for soils tested so far (kaolinite, clay, sandy drainage, while CPTs in clay-controlled soils should be
clay, silty mine tailings) in the centrifuge, calibration performed as fast as required to ensure fully undrained pen-
chamber and field. Vd is the rate below which penetration is etration.
drained. Vu is the rate above which the cone resistance stabi-
lizes at its lowest value. The value approximates, but not 6. Summary and Conclusions
necessarily coincides with, the rate above which penetra- The main focus of the research presented in this paper
tion is undrained, as discussed previously. It is apparent was to evaluate and quantify the factors affecting the results
from the table that there are differences in the values ob- of cone penetration testing performed at penetration rates
served for the limiting rates between centrifuge on the one leading to drainage conditions ranging from fully drained
hand and chamber and field tests on the other. The centri- to fully undrained. Rate effects and the effects of drainage
fuge test results also appear to suggest that these rates could conditions around the cone tip during penetration were
vary within relative wide ranges. studied. Results from a series of penetration tests per-
The relatively wide ranges observed in centrifuge re- formed in the centrifuge, the calibration chamber and the
sults may be due to fundamental differences in soil behav- field conducted at various penetration rates were presented,
ior as well as details of the penetration boundary-value and the transition from undrained to partially drained and
problem. The centrifuge tests that led to the backbone then to fully drained penetration was investigated in terms
curves in Fig. 2 were performed in a kaolinite sample and a of a normalized penetration rate.
silty soil. A clear difference between clay and silt, both of The ratio of cone resistance measured under drained
which have been used in research on this topic, is that clay to that under undrained conditions observed in the calibra-
develops planes of failure with aligned particles and has a tion chamber tests in clay samples was 2.5 to 4.7. The tran-
residual shear strength less than critical, but silt does not. sition from undrained to partially drained conditions
Differences in fabric between test models also would have occurred for V values approximately equal to 10. For V be-
an effect on the gradients of strength and drainage around tween approximately 10 and 1, cone resistance was fairly
the advancing cone. Spatial variation of rates of loading and stable because of the offsetting effects on shear strength of
degree of consolidation around the advancing cone also loading rate and drainage rate. The transition from partially
drained to fully drained conditions occurred at V » 0.05.
From these limiting V values, it is possible to obtain limit-
Table 1 - Approximate values of the rates at which penetration
transitions from drained to partially drained and partially drained ing values of cv required for fully drained and fully un-
to drained penetration and ratio of drained to undrained penetra- drained penetration for a given cone and penetration rate
tion resistance for the field, chamber and centrifuge testing. for the test soil. For soils like the soil tested in the calibra-
tion chamber tests reported here having cv values less than
-5 2
Key quantities Field Chamber Centrifuge about 7.1 x 10 m /s (V = 10), standard penetration (v = 20
Vd <1 0.05 0.01-1 mm/s and D = 35.7 mm) takes place under undrained condi-
-2 2
tions, whereas for cv values greater than about 1.4 x 10 m /s
Vu 10 1 2-100
(V = 0.05), standard penetration takes place under drained
qc, drained/qc, undrained undefined 2.5-4.7 2.7-3.7 conditions.

240 Soils and Rocks, São Paulo, 37(3): 233-242, September-December, 2014.
 Penetration Rate Effects on Cone Resistance: Insights From Calibration Chamber and Field Testing

The fact that results from centrifuge tests on clay and factor design of driven pipe piles in sands. J. Geotech.
silt are not in agreement and that no agreement can be found Geoenvironmental Eng. v. 135, p. 1-13.
between the centrifuge test results and the calibration Foye, K.C.; Salgado, R.; & Scott, B. (2006) Resistance fac-
chamber test results on clay and a sandy clay tested in the tors for use in shallow foundation LRFD. J. Geotech.
calibration chamber suggests that a single backbone curve Geoenvironmental Eng. v. 132, p. 1208-1218.
that would apply to all soils likely does not exist. Signifi- House, A.R.; Oliveira, J.R.M. ; & Randolph, M.F. (2001)
cant further testing with a variety of soils in a variety of Evaluating the coefficient of consolidation using pene-
conditions is required to advance understanding of penetra- tration tests. Int. J. Phys. Model. Geotech. v. 1, p. 17-26.
tion rate and its relationship to drainage rate. In order to Jardine, F.M.; Chow, F.C.; Overy, R.F.; & Standing, J.R.
avoid the challenges that the limited understanding of this (2005) ICP design methods for driven piles in sands and
relationship presents to interpretation of CPT results, it may clays. Thomas Telford, London, UK.
be advantageous to vary the rate of penetration during a Kamp, W.G.B. Te (1982) The influence of the rate of pene-
test, where possible, to guarantee either full drainage or no tration on the cone resistance “qc” in sand, in: Proceed-
drainage during penetration. ings of the Second European Symposium on Penetra-
tion Testing, ESOPT-II, Amsterdam, p. 627-633.
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242 Soils and Rocks, São Paulo, 37(3): 233-242, September-December, 2014.
 Energy Measurement in the Brazilian SPT System
C.M. Santana, F.A.B. Danziger, B.R. Danziger

Abstract. This paper presents results of the instrumentation of 373 blows from two SPT deployments performed in the
Sarapuí II Test Site, located in Duque de Caxias, Rio de Janeiro. In these blows the hammer drop height, its velocity at
impact, the rate of blows and also the energy transferred to the rod stem have been measured. It is therefore possible to
know the loss of energy for the SPT process (and the corresponding efficiency factors), since the hammer is delivered at
zero velocity up to the time the transmitted energy reaches the rod stem.
Keywords: SPT, energy, efficiency.

1. Introduction where N = measured number of blows, E = energy corre-

sponding to N and E60 = 60% of the international reference
Despite the existing problems associated with the re- energy E*, E* = 474 J.
liability and repeatability of the Standard Penetration Test,
Campanella & Sy (1994) emphasize that the SPT continues Décourt (1989) and Kulhawy & Mayne (1990) have
to be the most used in situ test for foundation design, evalu- summarized the factors affecting the energy transmission
ation of liquefaction potential and compaction control of from the hammer to the rods. According to Décourt (1989),
sands and sandy silts. Many authors associate the wide- the energy entering the rod stem (or enthru energy, Ei) can
spread use of the test to the simplicity of the test procedure, be obtained as
robustness of the equipment and low operational cost (e.g.,
E i = e1 e 2 e 3 E * (2)
Broms & Flodin, 1988; Décourt, 1989).
Some factors influencing the N value obtained from where e1, e2 and e3 are efficiency (or correction) factors. The
SPT have been discussed in several papers (e.g., Fletcher, efficiency factor e1 relates the kinetic energy just before the
1965; Ireland et al., 1970; De Mello, 1971; Serota & Low- impact to the free fall energy and is mainly dependent on
ther, 1973; Kovacs et al., 1977, 1978; Palacios, 1977; the way the hammer is lifted and released. A number of
Schmertmann & Palacios, 1979; Kovacs, 1979, 1980, studies have been carried out on this subject (e.g., Kovacs et
1994; Kovacs & Salomone, 1982; Riggs et al., 1983; Belin- al., 1977, 1978; Kovacs, 1979, 1980; Kovacs & Salomone,
canta, 1985, 1998; Skempton, 1986; Belincanta & Cintra, 1982; Skempton, 1986; Tokimatsu, 1988; Décourt, 1989).
1998; Décourt et al., 1988; Tokimatsu, 1988; Décourt, The factor e2 is associated to the loss of energy due to the
1989; Clayton, 1990; Matsumoto et al., 1992; Morgano & presence of the anvil (e.g., Skempton, 1986; Décourt,
Liang, 1992; Teixeira, 1993; Abou-matar & Goble, 1997; 1989). The efficiency factor e3 is related to the rod length
Aoki & Cintra, 2000; Fujita & Ohno, 2000; Cavalcante, and e3 values smaller than 1 have been proposed (e.g.,
2002; Odebrecht, 2003; Daniel et al., 2005; Youd et al., Schmertmann & Palacios, 1979; Skempton, 1986) to take
2008; Santana et al., 2012). into account the separation between hammer and anvil for
One of these papers, by Schmertmann & Palacios rod lengths smaller than 10 m, due to the upcoming stress
(1979), has shown that the number of blows N varies in- wave. However, recent research (Cavalcante, 2002; Ode-
versely with the energy delivered to the rod stem, to N equal brecht, 2003; Daniel et al., 2005; Odebrecht et al., 2005;
at least 50. After some discussions concerning the need to Danziger et al., 2006) has shown that a number of impacts
standardize and the choice of the proper energy to be used may occur in a single blow, each impact being responsible
as a reference for the N value (e.g., Kovacs & Salomone, for part of the energy delivered to the rod stem. Thus, e3
1982; Robertson et al., 1983; Seed et al., 1985; Skempton, should be taken as 1. The e1, e2 and e3 values are discussed
1986), ISSMFE (1989) has established 60% of the theoreti- below together with the corresponding values obtained
cal free fall energy (or nominal potential energy) as the in-
herein.
ternational reference. Therefore the corresponding N60 is
obtained as The efficiency factors are related to the theoretical (or
nominal) free fall energy, thus they are not the real ones. In-
E
N 60 = N (1) stead, the efficiency factors are influenced by the errors as-
E 60 sociated with the non-use of the real free fall energy during

Christian Matos de Santana, D.Sc., Civil Engineer, Departamento Nacional de Infraestrutura de Transportes, Aracaju, SE, Brazil. e-mail: [email protected].
Fernando Artur Brasil Danziger, D.Sc., Full Professor, COPPE e Escola Politécnica, Universidade Federal do Rio de Janeiro, Rio de Janeiro, RJ, Brazil. e-mail:
[email protected].
Bernadete Ragoni Danziger, D.Sc., Associate Professor, Escola de Engenharia, Universidade Estadual do Rio de Janeiro, Rio de Janeiro, RJ, Brazil. e-mail:
[email protected].
Submitted on June 27, 2014; Final Acceptance on December 15, 2014; Discussion open until April 30, 2015.

Soils and Rocks, São Paulo, 37(3): 243-255, September-December, 2014. 243
 Santana et al.

the test. To the authors’ knowledge, very few studies have been used to record the rod acceleration. The accelerome-
been conducted regarding the potential energy actually ters can be fixed to the rods in diametrically opposite posi-
used in the test (e.g., Riggs et al., 1983; Cavalcante et al., tions and between the force sensors. The data acquisition
2011), the latter only relating to the hand lifted pinweight system transforms the acceleration records into velocity
hammer system regularly used in Brazil. However, a very upon integration with time.
experienced crew performed the SPTs in the study carried
2.2. High speed camera
out by Cavalcante et al. (2011), and the obtained results
cannot be considered typical but rather a benchmark for the A Casio EX-FH20 high speed camera, capable of re-
best results possible to be obtained with this system. cording up to 1000 pictures per second, was used to record
This paper presents research to measure the potential the hammer drop height and impact velocity.
energy of the regular Brazilian system in regular opera- The images recorded by the camera were digitized
tional conditions, i.e. with a crew with regular experience. and analyzed picture by picture in order to enable identifi-
Also, the impact velocity of the hammer has been evalu- cation of the maximum height drop during hammer raise
ated. The blow count rate was also measured, provided that and the moment the hammer hit the anvil. To help deter-
there are recommendations for the rate to be used in lique- mine the hammer position, an Invar ruler is positioned be-
faction analysis (Seed et al., 1985). The energy reaching the side the SPT set. Figure 2 shows the system employed in
rod stem has been measured and used to evaluate the effi- the instrumentation of the SPT.
ciency factors, which have been therefore evaluated based
both on the nominal free fall energy and on the measured 3. Tests Performed
energy. 3.1. Test characteristics
2. Equipment Two SPT deployments have been monitored in Sara-
puí II Test Site, situated at the margin of the Washington
2.1. SPT analyzer Luiz Highway, in the area of the Navy Radio Station in the
The SPT Analyzer measures the energy transmitted to municipality of Duque de Caxias/RJ. Geotechnical charac-
the rod stem, besides other quantities. It is composed of a teristics of the test site have been provided by Jannuzzi
data acquisition unit, instrumented rods and connection ca- (2009, 2013).
bles, as can be seen in Fig. 1. According to Jannuzzi (2009) the soil profile in the
The acquisition data unit has two channels for the region is formed by a very soft clay layer with a typical
force signal and other two for the acceleration signal. Its thickness of 7.5 m to 8.0 m, followed by minor layers of
maximum sample frequency is 20 kHz. The maximum clay, sands and silts and clays once more. The water table is
reading interval is 102.4 ms. at ground level.
Rods 1 m in length have been instrumented, each with The same crew including a chief-operator and three
a pair of force measuring devices and a pair of accelerome- auxiliary-operators were in charge of the two SPT borings.
ters. Electric strain-gauges have been used for monitoring An anvil with a mass of 977 g was used (see Fig. 3). It
the force in the instrumented rods, forming a Wheatstone should be pointed out that although the Brazilian standard
bridge directly fixed to the rods. Piezoelectric accelerome- NBR-6484/2001 states that the anvil should have a mass
ters, with 0.02 g resolution and capacity of 5000 g, have

Figure 1 - SPT analyzer. Figure 2 - System employed in SPT energy monitoring.

244 Soils and Rocks, São Paulo, 37(3): 243-255, September-December, 2014.
 Energy Measurement in the Brazilian SPT System

the usual procedure, with the aid of a mark at the pinweight

hammer.
The rods employed in the tests had an external diame-
ter of 33 mm, 3.2 kg per meter, as recommended in the Bra-
zilian standard NBR-6484/2001.
In the first boring, named Boring 1, 141 blows have
been monitored. The rod stem length (including the sam-
pler) varied from 10.80 to 22.80 m (nominal test depths
varying from 9 to 21 m).
In the second boring, named Boring 2, 232 blows
have been monitored. The rod stem length (including the
sampler) varied from 11.70 to 25.70 m (nominal test depths
varying from 10 to 23 m).
3.2. Instrumentation results
In order to avoid significant loss of image quality, a
rate of 210 pictures per second was used, corresponding to a
maximum resolution of 480 x 360 pixels. The records ob-
Figure 3 - Anvil employed in Sarapuí II SPTs. tained by the high speed camera have been transferred to a
computer, separated picture by picture, and analyzed by
AutoCAD software in a way that it would be possible to de-
ranging from 3.5 kg to 4.5 kg, anvils with a mass of around fine the hammer height during drop by the action of each
1 kg are very often used all over Brazil. Reference must be blow. An Invar ruler acted as a reference.
made to, for example, Skempton 1986, Décourt 1989, The height measured in the picture just before ham-
Belincanta 1998 and Belincanta & Cintra 1998 for the in- mer release is defined as the hammer drop height. The ham-
fluence of the anvil mass on the energy transmitted to the mer impact velocity has been obtained by the analysis of
rod stem. the hammer height picture by picture, since the instant of its
A sisal rope was used for lifting and releasing the release up to the imminence of impact (last picture before
hammer. The pinweight hammer with a wood cushion is hammer contact with the anvil). Thus it has been possible to
shown in Fig. 4. No measurement was made of the hammer adjust a function that describes the relation between the
mass in the present study. However the SPT company in height drop of the hammer and the time, according to Fig. 5.
charge of the tests has informed that the hammer mass is The derivation of the hammer drop height in relation
verified periodically and is equal to 65 kg. Measurements to time, when the height drop tends to zero is the impact ve-
made in previous research (Cavalcante, 2002) indicate that locity.
this information may be considered reliable, and errors in Different polynomial functions of two and three de-
the hammer mass may be generally considered negligible. grees have been tested in various blow counts that produced
The hammer drop height has been visually controlled, as in good agreement. The difference observed in the velocity
during impact selecting one or other polynomial function
has been of very low significance. The option has been then
to try to adjust a second-degree polynomial function in or-
der to simplify the numerical estimation.

Figure 4 - Equipment employed in the tests in Sarapuí II Experi- Figure 5 - Hammer drop height vs. time (obtained during film-
mental Test Site. ing).

Soils and Rocks, São Paulo, 37(3): 243-255, September-December, 2014. 245
 Santana et al.

Cavalcante et al. (2011) used polynomial functions of Due to errors in the SPT Analyzer operation, the rod
fourth degree to describe hammer drop height function with energy in six blows from sequences 6 and 9 from Boring 2
time. has not been monitored. However, the hammer drop height
The hammer acceleration in time is the second deriva- and impact velocity of these blows have been measured.
tive of the hammer drop height in time. In this way, the use Figures 6 and 7 show the frequency distribution of the
of a second-degree polynomial function implies the consid- SPT hammer drop height in borings 1 and 2, respectively.
eration of constant hammer acceleration during the hammer Figures 8 and 9 illustrate the percentage of blows applied in
release. different ranges of hammer drop height in borings 1 and 2,
The hammer acceleration during its release is influ- respectively.
enced by the gravitational force (which is approximately Figures 10 and 11 show the hammer drop height blow
constant) and by friction forces. In this way, the resultant by blow in each sequence from borings 1 and 2, in all avail-
from the friction forces is considered constant during the able cases.
hammer release. Tables 1 and 2 present, for each blow sequence, the
Considering that the second or third degree polyno- following measurements: the number of blow counts for
mial functions did not produce significant change in the ad- 45 cm sampler penetration (N45), the average frequency of
justments, it is reasonable to consider that the friction vs. blow count application, the working shift when the blows
time function, in the analyzed cases, is approximately con- have been applied (see definition below), the nominal depth
stant. of the test and the length of the rod stem, the hammer drop
The average values of hammer drop height (hd), ham- height, the impact velocity and the energies measured, as
mer velocity at impact (vi), potential energy of hammer at well as energy ratios.
release (Ep) and kinetic energy at impact (Ek) in each blow The average frequency of the blows has been calcu-
sequence of borings 1 and 2 are presented in Tables 1 and 2, lated considering the interval from the initial lifting of the
respectively. The potential energy and kinetic energy at im- hammer, in the first blow of each sequence, up to the final
pact have been calculated as: of the hammer impact for the last blow. Figure 12 shows the
hammer drop height vs. the frequency of blows.
Ep = m.g.hd (3)
In order to evaluate the variation in hammer drop
2
Ek = 0.5.m.vi (4) height during the day, the working period of the boring
crew was divided in four shifts, namely: first shift, from 8
where m = hammer mass, considered as 65 kg and g = grav-
and 10 AM; second shift, from 10 to 12 AM; third shift,
ity acceleration, considered as 9.81 m/s2.
from 14 to 16 PM and fourth shift, from 16 to 18 PM. Figure
In the three first blow sequences of Boring 2 no film-
13 shows the corresponding variation.
ing has been carried out. Furthermore, in a significant num-
The energy reaching the rod stem (enthru energy) (Ei)
ber of blows from deployments 1 and 2 (152), it has not
has been calculated from Eq. 5. The values of force (F) and
been possible to determine the impact velocity due to prob-
velocity (v) have been obtained through the measurements
lems with the video. In a smaller number of blows (102)
from the strain-gauges and accelerometers installed on the
video problems prevented the determination of hammer
rods. Tables 1 and 2 present the measured values.
drop height in both deployments.
E i = ò F × v × dt (5)

Figure 6 - Frequency distribution of the hammer drop height Figure 7 - Frequency distribution of the hammer drop height from
from Boring 1. Boring 2.

246 Soils and Rocks, São Paulo, 37(3): 243-255, September-December, 2014.
 Table 1 - Measured values for Boring 1.
2 3 11
Sequence N451 Frequency Shift Depth L hd4 (m) vi7 (m/s) Ep8 (J) Ek9 (J) Ei10 (J) Ep/E* Ek/E* Ei/E* Ek/Ep Ei/Ep Ei/Ek
(Blows/min) (m) (m) 5 6 (e1) (e1*) (e2)
A SD A SD A SD A SD A SD

1 5 32.1 4 9.00 10.80 0.87 0.07 3.83 0.16 554.0 47.5 478.2 40.5 429.6 63.4 1.16 1.00 0.90 0.86 0.78 0.90
2 2 31.3 2 10.00 11.79 0.71 0.07 3.53 - 451.9 41.5 405.7 - 366.7 65.2 0.94 0.85 0.77 0.90 0.81 0.90
3 8 22.8 2 11.00 12.80 0.77 0.06 3.61 0.08 492.8 35.9 423.9 18.6 382.1 27.1 1.03 0.89 0.80 0.86 0.78 0.90
4 15 29.0 3 12.00 13.80 0.87 0.06 4.02 0.15 553.4 37.8 525.8 40.0 493.5 34.3 1.16 1.10 1.03 0.95 0.89 0.94
5 3 - 3 13.00 14.81 0.69 0.05 3.41 0.27 437.4 32.8 380.2 60.7 328.6 41.8 0.91 0.80 0.69 0.87 0.75 0.86
6 4 39.7 3 15.00 16.83 0.67 0.03 3.38 0.03 429.1 20.0 371.6 5.9 318.1 22.7 0.90 0.78 0.67 0.87 0.74 0.86
7 18 27.2 2 19.00 20.68 0.69 0.03 3.67 0.09 441.1 18.4 436.9 21.7 411.4 18.4 0.92 0.91 0.86 0.99 0.93 0.94
8 19 24.0 3 20.00 21.76 0.83 0.06 3.75 0.14 529.4 39.0 458.0 33.5 431.5 18.1 1.11 0.96 0.90 0.87 0.82 0.94
9 26 26.1 4 21.00 22.77 0.86 0.08 3.93 0.18 547.3 47.9 502.9 46.1 447.1 35.4 1.14 1.05 0.93 0.92 0.82 0.89

Soils and Rocks, São Paulo, 37(3): 243-255, September-December, 2014.

10 41 19.4 4 22.00 23.80 0.78 0.05 3.68 0.11 497.8 29.1 441.3 25.5 409.6 22.6 1.04 0.92 0.86 0.89 0.82 0.93
1
N45 = number of blows for 45 cm sampler penetration;
2
Depth = nominal depth of the SPT (m);
3
L = length of the rod stem, including the sampler length (m);
4
hd = SPT hammer drop height;
5
A = average value;
6
SD = standard deviation;
7
vi = SPT hammer impact velocity;
8
Ep = actual potential energy of the SPT hammer at the release moment;
9
Energy Measurement in the Brazilian SPT System

Ek = kinetic energy of the SPT hammer at the imminence of impact;

10
Ei = energy measured just below the anvil;
11 *
E = theoretical potential energy of SPT hammer from Brazilian system (478.2 J).

247
248
Table 2 - Measured values for Boring 2.

Sequence N45 Frequency Shift Depth L hd (m) vi (m/s) Ep (J) Ek (J) Ei (J) Ep/E* Ek/E* Ei/E* Ek/Ep Ei/Ep Ei/Ek
(Blows/min) (m) (m) (e1) (e1*) (e2)
A SD A SD A SD A SD A SD
1 7 - - 10.00 11.70 - - - - - - - - 451.7 29.7 - - 0.94 - - -
2 8 - - 11.00 12.70 - - - - - - - - 449.3 34.2 - - 0.94 - - -
3 5 - - 12.00 14.70 - - - - - - - - 472.2 42.7 - - 0.99 - - -
4 5 27.1 3 13.00 15.70 0.75 0.04 3.69 0.12 477.4 28.2 442.5 29.5 408.1 15.1 1.00 0.93 0.85 0.93 0.85 0.92
5 11 26.6 3 14.00 16.70 0.78 0.06 3.78 0.16 497.9 41.1 466.2 39.2 463.9 31.2 1.04 0.97 0.97 0.94 0.93 0.99
6 9 28.6 4 15.00 17.70 0.85 0.13 3.92 0.27 541.2 80.8 501.8 68.0 551.4 15.0 1.13 1.05 1.15 0.93 - -
7 7 33.3 4 16.00 18.70 0.74 0.05 3.71 0.12 471.2 32.3 448.2 28.1 427.2 19.6 0.99 0.94 0.89 0.95 0.91 0.95
8 15 29.8 1 17.00 19.70 0.78 0.06 3.78 0.16 496.5 39.3 465.1 38.8 445.5 41.7 1.04 0.97 0.93 0.94 0.90 0.96
9 5 25.7 2 18.00 20.70 0.74 0.01 3.64 0.08 470.4 8.8 430.3 18.2 481.8 44.9 0.98 0.90 1.01 0.91 - -
10 16 32.9 2 19.00 21.70 0.80 0.06 3.86 0.14 512.4 39.3 484.9 35.5 465.9 28.4 1.07 1.01 0.97 0.95 0.91 0.96
11 25 28.3 2 20.00 22.70 0.87 0.06 3.98 0.12 553.0 36.5 516.2 32.1 482.2 35.6 1.16 1.08 1.01 0.93 0.87 0.93
12 46 27.6 2 21.00 23.70 0.75 0.07 3.70 0.18 475.8 41.7 446.5 43.3 445.6 42.2 1.00 0.93 0.93 0.94 0.94 1.00
13 51 24.0 3 22.00 24.70 0.72 0.04 3.67 0.11 457.8 22.7 438.9 26.7 441.0 18.1 0.96 0.92 0.92 0.96 0.96 1.00
14 28 20.5 4 23.00 25.70 0.69 0.04 3.57 0.09 440.8 22.8 414.3 21.4 403.5 26.8 0.92 0.87 0.84 0.94 0.92 0.97
Santana et al.

for borings 1 and 2.

ues of energy vs. time.

standard deviation of 9 cm.

3.3. Analysis of the results
of hammer drop height from Boring 2.
of hammer drop height from Boring 1.

The scatter in hammer drop height values was smaller

drop height of the whole data from Boring 1 is 80 cm, with a

Soils and Rocks, São Paulo, 37(3): 243-255, September-December, 2014.

553.0 J, reaching a difference of 25%. The hammer has
69 to 87 cm, with potential energies in the range 440.8-
in Boring 2. The average hammer drop height varied from
standard value) in 64% of the blows. The average hammer
lower than 70 cm (difference higher than 5 cm from the
29%. The hammer has been lifted higher than 80 cm, or
ergy in the range 429.1 - 554.0 J, reaching a difference of
Boring 1 varied from 67 to 87 cm, with actual potential en-
The average hammer drop height of sequences from
actual potential energy (Ep), as a function of the rod length,
Figure 16 illustrates values of Ei normalized by the
measured just below the anvil. Figure 15 shows typical val-
Figure 14 shows typical force and velocity signals
Figure 9 - Percentage of blow counts applied in different ranges
Figure 8 - Percentage of blow counts applied in different ranges
 Energy Measurement in the Brazilian SPT System

Figure 10 - Hammer drop height measured in Boring 1.

Soils and Rocks, São Paulo, 37(3): 243-255, September-December, 2014. 249
 Santana et al.

Figure 11a - Hammer drop height measured in Boring 2 (sequences from 4 to 13).

250 Soils and Rocks, São Paulo, 37(3): 243-255, September-December, 2014.
 Energy Measurement in the Brazilian SPT System

Figure 11b - Hammer drop height measured in Boring 2 (se-

Figure 14 - Typical signals of force and velocity measured just
quence 14).
below the anvil (Blow 21 of Sequence 9, Boring 1).

Figure 12 - Hammer drop height vs. frequency of blows per min-

ute.
Figure 15 - Typical values of energy (just below the anvil) vs.
time (Blow 21 of Sequence 9, Boring 1).

fied (80 and 76 cm, respectively). Two other aspects ob-

served in the tests: i) a variation in the hammer drop height
in the same blow sequence; ii) a variation in the average
hammer drop height from different sequences.
A tendency to increase the hammer drop height with
the advance of the sequence was observed in both borings.
Only in two out of 21 sequences the opposite behavior was
verified. It was hypothesized that the increase in hammer
drop height is caused by the fatigue of the crew, resulting in
less care in the procedure, although the opposite should
seem more probable. The average frequency of the blows
Figure 13 - Hammer drop height vs. shift (first shift, from 8 and was 19.4 and 39.7 blows per minute, in Borings 1 and 2, re-
10 AM; second shift, from 10 to 12 AM; third shift, from 14 to 16 spectively, which is a significant difference. The smaller
PM and fourth shift, from 16 to 18 PM).
frequencies were observed in the longer sequences, with
more than 25 blows, probably also caused by fatigue of the
been lifted to heights greater than 80 cm or lower than crew. The shorter sequences, with five or even fewer blows,
70 cm in 46% of the blows. The average hammer drop presented the higher frequencies. The average frequency of
height is 76 cm, with a standard deviation of 8 cm. blows for all sequences (Borings 1 and 2) was
Therefore, in spite of both borings had been per- 27.8 blows/min with a standard deviation of 4.7 blows/min.
formed by the same crew, using the same equipment and on Many authors (e.g., Kovacs, 1979; Seed et al., 1985;
the same site, under the same conditions, a difference on the Skempton, 1986; Décourt, 1989) discuss the influence of
average hammer drop height in Borings 1 and 2 was veri- the frequency of blows on SPT results.

Soils and Rocks, São Paulo, 37(3): 243-255, September-December, 2014. 251
 Santana et al.

Fig. 13, where a similar scatter was observed for all work
shifts.
The average hammer velocity at impact varied from
3.38 to 4.02 m/s (kinetic energy of 371.6 and 525.8 J, re-
spectively) in the sequences from Boring 1, whereas in the
sequences from Boring 2 the average hammer velocity at
impact varied from 3.57 to 3.98 m/s (kinetic energy of
414.3 and 516.2 J, respectively), see Tables 1 and 2. This
variation is a consequence of the inadequate control in the
hammer drop height.
The efficiency factor e1 (Ek/E*), defined by Décourt
(1989), varied in Boring 1 from 0.78 to 1.10 and in Boring 2
from 0.87 to 1.08. These values are greater than those found
by Cavalcante et al. (2011) and varied in a broader range
than those presented by Décourt (1989), see Fig. 17. Values
of e1 greater than 1.00 are explained by the hammer drop
height above the standard value in various sequences.
In order to avoid the influence of the hammer drop
height on the efficiency factors, Santana et al. (2012) pro-
posed the use of an efficiency factor e1*, given by Ek/Ep. The
values of e1* varied from 0.86 to 0.99 in Boring 1 and from
0.91 to 0.96 in Boring 2. These values are greater than those
presented by Décourt (1989) for the manual system and by
Cavalcante et al. (2011), see Fig. 18. As expected, e1* val-
ues have less scatter than e1 values.
The average energy measured just below the anvil, Ei,
varied from 318.1 J (efficiency of 67% in relation to the
theoretical potential energy or nominal energy) to 493.5 J
Figure 16 - Rod length vs. energy just below the anvil normalized
(efficiency of 103%) in Boring 1, whereas in Boring 2 var-
by the actual potential energy (Ei/Ep). ied from 403.5 J (efficiency of 84%) to 551.4 J (efficiency
of 115%). This significant scatter in Ei values is mainly a
consequence of the variation on the hammer drop height,
In fact, the dynamic condition of SPT may generate see Tables 1 and 2.
excess pore water pressures that can influence the soil resis- These results indicate that even SPT performed by the
tance to penetration, even in sands. These excess pore water same boring crew, in similar conditions, can result in N val-
pressures can be influenced by the driving frequencies. ues with distinct significance. When the efficiency of the
Tests submitted to different frequencies can result in differ- energy measured just below the anvil is calculated in rela-
ent N values in the same soil. Seed et al. (1985) showed that tion to the actual potential energy, the range in efficiency is
the N values might be affected by the blow application fre- significantly lower, varying from 74% to 93% in Boring 1
quency, depending on soil characteristics. and from 85% to 96% in Boring 2, see Tables 1 and 2.
Danziger et al. (2009) and Souza et al. (2012a,
2012b) listed different values of the ratio qc/N (where qc is
cone resistance) for loose and dense sands. Unlike the CPT,
where the test is performed in drained conditions in the case
of sands, SPT may generate positive excess pore pressures
in loose sands and negative excess pore pressures in dense
sands. This results in lower qc/N values when tests are car-
ried out in dense sands, and higher qc/N values when tests
are performed in loose sands.
Although not very pronounced, Fig. 12 shows a ten-
dency of more scatter on the hammer drop height with the
increase of the frequency of blows, not only above, but also
below the standard value.
The work shift does not seem to have influenced the Figure 17 - Values of the efficiency factor e1 (adapted from
hammer drop height, as indicated by the data presented in Skempton, 1986, Décourt, 1989 and Cavalcante et al., 2011).

252 Soils and Rocks, São Paulo, 37(3): 243-255, September-December, 2014.
 Energy Measurement in the Brazilian SPT System

corroborated by previous studies (e.g., Cavalcante, 2002;

Odebrecht, 2003; Daniel et al., 2005; Danziger et al., 2008)
indicating that the energy transmitted to the rod stem does
not depend on its length and the e3 factor should be consid-
ered equal to 1.00.

4. Conclusions
The paper presented the instrumentation results of
two SPT deployments performed by the same crew, using
the same procedures and equipment in the Sarapui II Exper-
imental Test Site. The main conclusions are summarized as
Figure 18 - Values of the efficiency factor e1* (adapted from
follows:
Skempton, 1986, Décourt, 1989 and Cavalcante et al., 2011). i) Although both borings had been performed by the same
crew, using the same equipment and on the same site,
under the same conditions, a difference was found in
The efficiency factor e2 (Ei/Ek) varied from 0.86 to the average hammer drop height in Borings 1 and 2 (80
0.94 in Boring 1 and from 0.92 to 1.00 in Boring 2. These and 76 cm, respectively). Two other aspects observed
values are in the range - average line of Décourt (1989) data in the tests: a variation in the hammer drop height in the
and Cavalcante et al. (2011) data -, considering the anvil of same blow sequence; a variation in the average hammer
977 g, see Tables 1 and 2 and Fig. 19. drop height from different sequences.
It is possible that high values of factor e2 are associ- ii) A tendency to increase the hammer drop height as the se-
ated to the downward movement of the rod stem during quence advances was observed in both borings. The
hammer blow, generating an increase in potential energy opposite behavior was verified in only two out of 21
that is transferred to the rods in subsequent hammer im- sequences. It was hypothesized that the increase in
pacts of the same blow. This occurrence, described by hammer drop height is caused by the fatigue of the
Odebrecht (2003), is more relevant in low resistance soils. crew, resulting in the careless of the procedure, al-
The SPT Analyzer is capable of measuring the whole en- though the opposite should seem more probable.
ergy transferred to the rod stem, only if the process occurs iii) The average frequency of blows was 19.4 and 39.7
before 102 ms. However, the kinetic energy is calculated in blows per minute in Borings 1 and 2, respectively. The
relation to the first hammer impact with the anvil, so the e2 smaller frequencies were observed in the longer se-
value can be overestimated should other impacts occur. quences, with more than 25 blows, probably caused by
The results of Ei/Ep as a function of the rod length the fatigue of the crew. The shorter sequences, with
measured in Borings 1 and 2 are presented in Fig. 16. This five or even less blows, presented the higher frequen-
figure illustrates that the energy transferred to the rod stem cies.
is not significantly affected by its length, at least in the iv) A slight trend of higher scatter on the hammer drop
range of lengths analyzed, from 10.80 to 25.70 m. This is height was observed when the rate of blows increased.

Figure 19 - Efficiency factor e2 as a function of the anvil mass (adapted from Décourt, 1989 and Cavalcante et al., 2011).

Soils and Rocks, São Paulo, 37(3): 243-255, September-December, 2014. 253
 Santana et al.

v) The work shift does not seem to have influenced the Thesis, EPUSP, São Paulo State University, São Paulo,
hammer drop height, since a similar scatter was ob- 217 p. (in Portuguese).
served for all work shifts. Belincanta, A. (1998) Evaluation of Factors Affecting the
vi) The efficiency factor e1 (Ek/E*) varied in Boring 1 from Penetration Resistance in SPT. Ph.D. Thesis, EESC,
0.78 to 1.10 and in Boring 2 from 0.87 to 1.08. These São Paulo State University, São Carlos, 141 p. (in Por-
values are higher than those found by Cavalcante et al. tuguese).
(2011) and varied in a broader range than those pre- Belincanta, A. & Cintra, J.C.A. (1998) Factors Affecting
sented by Décourt (1989). Values of e1 greater than SPT: the Brazilian Experience. Solos e Rochas, v. 21:3,
1.00 are explained by the hammer drop height above p. 119-133 (in Portuguese).
the standard value in various sequences. Broms, B.B. & Flodin, N. (1988) History of Soil Penetra-
vii) The values of e1* (Ek/Ep) varied in Boring 1 from 0.86 to tion Testing. Penetration Testing, ISOPT-1. J. De Rui-
0.99 and in Boring 2 from 0.91 to 0.96, in a narrower ter Ed., Orlando, p. 178-186.
range than the e1 values. Campanella, R.G. & Sy, A. (1994) Recent Developments in
viii) The average energy measured just below the anvil, Ei, Energy Calibration of Penetration Tests at UBC. Proc.
varied from 318.1 J (efficiency of 67% in relation to XII Int. Conf. on Soil Mech. Found. Eng., New Delhi,
the theoretical potential energy or nominal energy) to p. 151-156.
493.5 J (efficiency of 103%) in Boring 1, whereas in Cavalcante, E. H. (2002) Theoretical-Experimental Inves-
Boring 2 varied from 403.5 J (efficiency of 84%) to tigation of SPT. Ph.D. Thesis, COPPE, Federal Univer-
551.4 J (efficiency of 115%). The scatter in Ei values is sity of Rio de Janeiro, Rio de Janeiro, 430 p. (in Portu-
mainly due to the variation in the hammer drop height. guese).
The obtained results indicate that even SPT performed Cavalcante, E.H.; Danziger, B.R. & Danziger, F.A.B.
by the same boring crew, in similar conditions, can re- (2011) Measurement of Drop Height and Impact Veloc-
sult in N values with distinct significance. ity in the Brazilian SPT System. Soils and Rocks,
v. 34:3, p. 207-218.
ix) When the efficiency of the energy measured just below
the anvil is calculated in relation to the actual potential Clayton, C.R.I. (1990) SPT Energy Transmission: Theory,
energy, the range in efficiency is significantly lower, Measurement and Significance. Ground Engineering, v.
23:10, p. 35-43.
varying from 74% to 93% in Boring 1 and from 85%
to 96% in Boring 2. Daniel, C.R.; Howie, J.A.; Jackson, R.S. & Walker, B.
(2005) Review of Standard Penetration Test Short Rod
x) The efficiency factor e2 (Ei/Ek) varied in Boring 1 from
Corrections. Journal of Geotechnical and Geoenviron-
0.86 to 0.94 and in Boring 2 from 0.92 to 1.00.
mental Engineering, ASCE, v. 131:4, p. 489-497.
xi) The values of Ei/Ep vs. the rod length indicate that the en-
Danziger, B.R.; Souza, J.M.S. & Danziger, F.A.B. (2009)
ergy transferred to the rod stem is not significantly af-
Comparison of Methods to Predict Mobilized Loads
fected by its length, and the efficiency factor e3 should During SPT in Sand. Proc. Engenharia de Fundações:
be considered as 1.00. Passado Recente e Perspectivas, São Carlos, v. 1,
Acknowledgments p. 65-73 (in Portuguese).
Danziger, F.A.B.; Danziger, B.R. & Cavalcante, E.H.
Roberto Marinho and Max Gomes de Souza, for their (2006) Discussion of Review of Standard Penetration
help in performing instrumented SPTs. Elvyn Marshall, Test Short Rod Corrections, by Chris R. Daniel, John A.
who proofread the paper. Howie, R. Scott Jackson, & Brian Walker. Journal of
Geotechnical and Geoenvironmental Engineering,
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Soils and Rocks, São Paulo, 37(3): 243-255, September-December, 2014. 255
 Geotechnical Characterization of Suape Soft Clays, Brazil
R.Q. Coutinho, M.I.M.C.V. Bello

Abstract. Comprehensive research has been carried out by the Geotechnical Group (GEGEP) of the Federal University of
Pernambuco in the soft clay deposits in Northeastern Brazil near the city of Recife. This paper presents the results of
important geotechnical investigations of soft clays in two areas within the Suape Port and Industrial Complex. The
geotechnical parameters were obtained from laboratory (classification, compressibility and strength) and in situ (SPT,
vane and CPTU) tests, and were compared with regional empirical correlations and proposals presented in literature. The
vane tests were performed to obtain undrained strength and overconsolidation ratio parameters. The classifications for soil
behavior, together with flow characteristics, strength and overconsolidation ratio parameters, were determined by
piezocone tests. The results are compared with results from reference tests, and discussed with results from the literature,
including the results of Recife and other Brazilian clays. This study confirms that parameters can be obtained by means of
in situ tests with correlations suited to the local/regional experience and the importance of having a joint laboratory and in
situ test program. This prediction is fundamental for a proper geotechnical site characterization in studies and engineering
projects.
Keywords: geotechnical parameters, soft clays, laboratory and in situ testing.

1. Introduction ing undrained strength and overconsolidation ratio

parameters. The classifications concerning soil behavior, in
The Suape Port and Industrial Complex is a very addition to flow characteristics, strength and
complete and important industrial center in Northeast Bra- overconsolidation ratio parameters were determined by
zil. The geographical location of Pernambuco State gives piezocone tests. The results were discussed after comparing
Suape Port an international status since it is located on the the laboratory tests and regional and literature results. This
main international shipping routes. Large companies, a study is part of a research program of the Geotechnical Re-
shipyard, refinery and other industries already exist or their search Group (GEGEP) of the Federal University of
facilities are under construction in this area. Pernambuco (UFPE).
The use of field tests to evaluate geotechnical param-
eters of soils has been increasing in recent years. Coutinho 2. Characteristics of the Study Area
(2008) (see also Coutinho et al., 2008) published a study The AE-1 and AE-2 study areas are within the Suape
about the geotechnical parameters obtained from in situ in- Industrial and Port Complex, in the town of Ipojuca, Per-
vestigations for practical projects. The ability to obtain pa- nambuco State, Brazil (Fig. 1). The coastal location is char-
rameters by means of in situ tests with correlations suited to acterized by a complex geology, including low-lying
the local/regional experiment is fundamental for proper plains, with soils featuring reduced load capacities, very
geotechnical site characterization in studies and engineer- soft organic clays, with the presence of peat, roots, shells
ing projects. Soil stratigraphy, compressibility and rate of and fine layers of sand and silt. This soft soil generally has a
consolidation parameters, undrained shear strength (Su) high water and organic content with very low penetration
and the overconsolidation ratio (OCR) of soft clays can be test values (NSPT). Projects included construction of em-
estimated based on an investigation program including in bankments of varying heights (some 17 m) on the subsoil of
situ and laboratory testing (Schnaid, 2009; Mayne, 2007; clays and peat material.
Lunne et al., 1997). The AE-1 study area is part of an access route where a
This paper presents the results of important geo- temporary embankment around 2.0 m in height, has been
technical investigations of soft clays carried out in two ar- built. The AE-2 study area, which includes an important
eas within the Suape Port and Industrial Complex. The project, was divided into five (5) subdivisions, where 20
geotechnical parameters were obtained from laboratory boreholes and 34 undisturbed Shelby samples were taken.
(classification, compressibility and strength) and in situ Geotechnical site characterization included laboratory
(SPT, water content measurement, vane and CPTU) tests, (characterization, oedometer and triaxial) and field (SPT,
and then compared with regional and proposed correlations vane and CPTU) tests. Figures 2 and 3 illustrate typical soil
presented in literature. The vane tests were used for obtain- parameter profiles for SUB-AREA A and C, respectively

Roberto Quental Coutinho, D.Sc., Professor, Departamento de Engenharia Civil, Universidade Federal de Pernambuco, Recife, PE, Brazil. e-mail: [email protected].
Maria Isabela Marques da Cunha V. Bello, D.Sc., Lecturer, Departamento de Engenharia Civil, Universidade Federal de Pernambuco, Caruaru, PE, Brazil. e-mail:
[email protected].
Submitted on April 30, 2014; Final Acceptance on December 15, 2014; Discussion open until April 30, 2015.

Soils and Rocks, São Paulo, 37(3): 257-276, September-December, 2014. 257
 Coutinho & Bello

(AE-2 study area). Figure 4 presents a plasticity chart with

laboratory test results on Suape soft soils, including organic
soils. Results from two other Brazilian soft deposits are also
presented (Recife-PE and Juturnaíba-RJ). Proposed ranges
for inorganic and organic clays and peats are included. Fur-
ther information about the geological and geotechnical
characterization, together with parameters of the Suape
study areas, can be found in Coutinho (2010) and Bello
(2011).
3. Soil Classification Charts
Robertson & Campanella (1983), Robertson et al.
(1986) and Sully et al. (1988) were the first to present
Figure 1 - Location of study areas: Suape, Ipojuca (Coutinho, charts based on piezocone tests that include measurements
2010; Bello, 2011). for cone resistance (qt) corrected for pore pressure (Eq. 1).

Figure 2 - Geotechnical profile of E106 (AE - 2 study area, SUB-AREA A), Suape (Coutinho, 2010; Bello, 2011).

Figure 3 - Geotechnical profile of E121 (AE-2 study area, SUB-AREA C), Suape (Coutinho, 2010; Bello, 2011).

258 Soils and Rocks, São Paulo, 37(3): 257-276, September-December, 2014.
 Geotechnical Characterization of Suape Soft Clays, Brazil

Figure 4 - Plasticity chart-soft soil results: (a) Suape (Bello, 2011); (b) Recife and Juturnaíba (Coutinho et al., 1998).

Robertson et al. (1986) profiled a chart introducing the pore Robertson (2010) suggested updating the charts sup-
pressure ratio, Bq (Eq. 2). This chart indicates 12 possible plied by Robertson et al. (1986), and Robertson (1990). The
zones, or soil categories, obtained by plotting log qt vs. Fr updated charts, which are dimensionless and color coded
paired with sets of log qt vs. Bq. Mayne (2007) shows 25 dif- for improved presentation, define nine (9) SBT zones that
ferent CPT methods for soil classification, including the are consistent.
well-known methods from Begemann (1965), Schmer- Schneider et al. (2008) developed general soil classi-
tmann et al. (1978), and Robertson (1990). fication charts using parametric studies (Fig. 6). The “zo-
nes” in the three charts are exactly the same, but the plots
q t = q c + u 2 (1 - a) (1) are shown in different formats: (1) coordinates log Q - log
where u2 = pore pressure measured at the cone shoulder; Du2/s’vo; (2) coordinates Q - Du2/s’vo; (3) coordinates semi-
a = the ratio between the shoulder area unaffected by the log Q - Du2/s’vo. These formats are best used in cases of: (1)
pore water pressure and the total shoulder area. clays, clayey silts, silts, sandy silts, and sands without nega-
tive penetration pore pressures; (2) sands and transitional
u2 -u0 soils with small negative excess penetration pore pressures,
Bq = (2)
q1 - s v and (3) clay soils with large negative excess penetration
pore pressure.
where Bq = pore pressure ratio; u0 = in-situ pore pressure; Long (2008) (see also Mollé, 2005; Coutinho, 2008)
sv = total vertical overburden stress at the depth z corre- in a special study concluded that the Robertson et al. (1986)
sponding to the readings. and Robertson (1990) charts for soil classification using
CPTU data seem to work well in clays, clayey silts, silty
Robertson (1990) proposed a refinement of the Rob- sands and sands. They may have difficulties in using these
ertson et al. (1986) profiling chart, plotting “normalized charts in organic soils and peat, and in cases of complex
cone resistance”, Qt, against “normalized friction ratio”, Fr stratigraphy.
against pore pressure ratio Bq, and presented a nine-zone Two proposals for soil classification from CPTU
chart (Eqs. 3 and 4 respectively), (Fig. 5). Normalization were utilized in Suape AE-2 study areas:
was proposed to compensate for qc dependency on the over- (a) Robertson (1990) charts:
burden stress, and when analyzing deep CPTU soundings (a.1) Coordinates log Q - Bq
(deeper than 30 m). Profiling charts developed for shal-
(a.2) Coordinates log Q - Fr
lower soundings are not suitable for deeper sites.
(b) Schneider et al. (2008) charts:
q t - sv 0 (b.1) Case 1: Coordinates log Q - log Du2/s’vo
Qt = (3)
s¢v 0 (b.2) Case 3: Coordinates semi log Q - Du2/s’vo
Eleven verticals were analyzed (six verticals in AE-2
fs SUB-AREA A, and five verticals in AE-2 SUB-AREA C).
Fr = ´ 100 (4)
q t - sv 0 Figures 7 and 8 show results of CPTU classification from
boreholes E104 (SUB-AREA A) and E121 (SUB-AREA
where fs = sleeve friction. C), respectively. For each borehole, classification of grain-

Soils and Rocks, São Paulo, 37(3): 257-276, September-December, 2014. 259
 Coutinho & Bello

Figure 5 - Type of soil behavior (Robertson, 1990).

Figure 6 - Proposals for soils classification using CPTU testing for several forms of plotting (Schneider et al., 2008).

size distribution and NSPT values were compared with the OCR and sensitivity (St) values obtained from oedometer
CPTU classification. and vane field tests, respectively. The points indicating clay
soils are situated in bands 3 and 4.
3.1. Robertson (1990) charts results
In the Robertson (1990) chart (log Q - Fr), the points
In the Robertson (1990) chart (log Q - Bq), it was ob- are situated in bands 3 and 4 (clay and silty clay). The Fr
served that the points tend to rise when the overconso- values were greater than 1.0.
lidation ratio (OCR) value increases (Figs. 7 and 8). These The Robertson (1990) charts predict soil behavior,
points are relative to the surface layer, and the layer below and are not directly related to soil classification criteria, us-
the clay layer, where silty and sandy material (bands 5, 6 ing geological descriptions based on grain-size distribu-
and 7) can be found. These results were concordant with tion. It has been verified that the greatest difference

260 Soils and Rocks, São Paulo, 37(3): 257-276, September-December, 2014.
 Geotechnical Characterization of Suape Soft Clays, Brazil

Figure 7 - Comparison between soil classification from grain-size, and piezocone tests - E104 (SUB-AREA A) (Bello, 2011; Bello &
Coutinho, 2012).

between the results of classification from grain-size distri- Therefore, this chart does not show materials with negative
bution and CPTU tests occurs in the mixed soil regions and value of pore-pressure.
in the transition zones between layers of the profile.
It is important to emphasize the care needed when
3.2. Schneider et al. (2008) charts results identifying the points relating to SPT tests. Classification of
layers indicating grain-size distribution can demonstrate
The Schneider et al. (2008) chart - Case 1 (Coordi- differences in the values for NSPT and water content, making
nates log Q - log Du2/s’vo) features coordinates identical to it necessary to divide classification into sub-layers to be
the Robertson (1990) chart, allowing direct comparison of plotted into separate charts.
the results (Figs. 7 and 8). In general, soil classification of Another major concern is the presence of transitional
the study area by the Schneider et al. (2008) chart - Case 1 soils. These soils are characterized as mixtures of different
was in agreement with the classification from Robertson
materials. In the Schneider et al. (2008) charts, these soils
(1990).
can be clearly observed inside the determined boundaries
In the Schneider et al. (2008) chart - Case 3 (Coordi- (Figs. 7 and 8). In general, results from the Schneider et al.
nates semi log Q - Du2/s’vo), the plotted results only took (2008) charts were also satisfactory for the Suape soft soils,
into consideration material with positive pore pressure val- consistent with classification using grain-size distribution
ues, since the horizontal coordinate is a semi-log scale. and NSPT values.

Soils and Rocks, São Paulo, 37(3): 257-276, September-December, 2014. 261
 Coutinho & Bello

Figure 8 - Comparison between soil classification from grain-size, and piezocone tests - E121 (SUB-AREA C) (Bello, 2011; Bello &
Coutinho, 2012).

4. Compressibility Parameters was simplified by two linear parts to obtain the compres-
sion index Cc (Cc1 and Cc2).
Laboratory incremental oedometer tests were per-
formed on soil specimens with a diameter of 87 mm and The quality of samples was evaluated using the pro-
height of 20 mm, using Bishop apparatus, with double posal presented in Coutinho (2007), which represents the
drainage. Loads were doubled for each stage, beginning at Brazilian experiment, based on the proposal of Lunne et al.
5-10 kPa until 640-1280 kPa and then decreased to 10 kPa. (1997). This criterion uses the ratio De/e0 corresponding to
Each stage usually took 24 h. the initial effective vertical stress (s’vo), and can be de-
Typical curves of void ratio vs. effective stress ob- scribed as: OCR = 1-2.5; De/e0 < 0.05; - Very Good to Ex-
tained from oedometer tests are shown in Fig. 9 for the two cellent; De/e0 = 0.05-0.08 - Good to Fair; De/e0 = 0.08-0.14 -
research sites. It can be seen that the “virgin” portion is not Poor; and De/e0 > 0.14 - Very Poor. Some samples in this
linear. This is consistent with findings in many other inves- study showed results with considerable disturbance. In the
tigations (Coutinho, 1976; Coutinho & Lacerda, 1987; study, these curves e (Îv) vs. log p or the compressibility
Mesri & Choi, 1985). In this study, the virgin portion curve parameters were corrected to obtain results equivalent to

262 Soils and Rocks, São Paulo, 37(3): 257-276, September-December, 2014.
 Geotechnical Characterization of Suape Soft Clays, Brazil

Figure 9 - Experimental curve and curve drawn by the proposed corrections on a good-quality sample E109: (a) proposal by Oliveira
(2002); (b) proposal by Schmertmann (1955) (Bello, 2011).

samples of very good to excellent quality. Methodology (Coutinho, 1986; Coutinho & Lacerda, 1987). The water
proposed by Oliveira (2002), Schmertmann (1955), Cou- content w (%), obtained from the SPT testing can be used to
tinho (2007) and Futai (2010) was used and are briefly pre- have the first estimate of Cc.
sented in Coutinho & Bello (2012a). In this paper, the The Cc vs. w (%) correlations (Figs. 10a and b) are
results are in general those effectively corrected or initially quite similar for the deposit, particularly for clay soils. The
of very good quality. Suape clays presenting a smaller inclination: Recife Soft
Figures 2 and 3 show results of the overconsolidation Clay Cc @ 0.0126w (%) and Suape Soft Clay Cc = 0.0097w
ratio (OCR = s’vm/s’vo) and the compressibility parameters: (%) Cc @ 0.01w (%). In general, correlations for clay have
2
compression index Cc (first part) and swell index Cs for two higher correlation coefficients (r ) and lower standard error
sites studied. It can be observed that the deposits have a (lower dispersion) than those for organic soil/peat. Proba-
higher void ratio and very high compressibility. bly for the more difficulty do obtain sample of very good
Statistical correlations (Cc vs. eo and Cc vs. w (%)) for quality.
Suape soft clays have been developed using all data from The organic soft Juturnaíba research site has higher
the corrected laboratory test database. The results of Cc vs. correlation coefficients than Recife and Suape deposits
w are shown in Fig. 10). Results of Juturnaíba organic soils (less dispersion), due to better quality samples. The behav-
(Coutinho, 1986; Coutinho & Lacerda, 1987) are also ior of these clay deposits under one-dimensional consolida-
shown, as are the results from Recife soft clays (Coutinho et tion is strongly affected by sampling disturbance. The gen-
al., 1998); Coutinho (2007); and Juturnaiba organic soils eral equation between Cc and w (%) for Recife and Suape

Figure 10 - Statistical correlations for organic soils and soft/medium clays: (a) Recife and Juturnaíba (Coutinho et al., 1998); (b) Suape
(Bello, 2011).

Soils and Rocks, São Paulo, 37(3): 257-276, September-December, 2014. 263
 Coutinho & Bello

clays is very similar to the equation presented by Bowles Table 1 - Time factor in function of percentage of pore pressure
(1979) for organic silts and clays (Cc = 0.0115w), and is also dissipation (Houlsby & Teh, 1988).
very similar to those presented by Djoenaidi (1985) (see
Kulhawy & Mayne, 1990). Almeida et al. (2008) plotted Cc U (%) Time factor (T*) in relation to the position of the pore
pressure transducer
vs. w values (%) of seven clays from Rio de Janeiro
(Cc = 0.013w), including Juturnaíba-RJ clays from Couti- Face of the cone (u1) Base of the cone (u2)
nho (1986). Koppula (1981) obtained a similar correlation 20 0.014 0.038
(Cc = 0.010w) for the normally densified clays with low 30 0.032 0.078
sensitivity (St < 1.5). In general, it has been found that soft
40 0.063 0.142
clays and soft organic soils Cc = 0.010 to 0.015w (%)
(Coutinho, 2007). 50 0.118 0.245
60 0.226 0.439
5. Coefficient of Consolidation 70 0.463 0.804
The coefficient of consolidation measurement is one 80 1.040 1.600
of the soil properties major challenges for geotechnical en-
gineering. Parameters for the consolidation rate may be as-
The coefficient of consolidation in the vertical direc-
sessed using oedometer (laboratory) and piezocone in situ
tion can be estimated using permeability in the horizontal
tests by measuring the dissipation or decay of pore pressure
and vertical planes from Eq. 7 (Lunne et al., 1997).
through time after penetration ceases (Lunne et al., 1997).
Cs
Field stress and pore-pressures around the piezocone ch ( N . C ) = c h (CPTU) (6)
can be calculated using the strain path method, according to Cc
formulas provided by Baligh & Lavadoux (1986), and kv
Houlsby & Teh (1988). cv ( N . C ) = ch ( N . C ) (7)
hh
Baligh & Lavadoux (1986) concluded that dissipation
is predominantly in a horizontal direction. The dissipation where kh and kv represent horizontal and vertical permeabil-
process can be expressed by a one-dimensional factor of ity, respectively.
time, as in Eq. 5:
In the study area, ch calculations were carried out ac-
*
T R 2
Ir cording to a formula proposed by Houlsby & Teh (1988). In
ch
T* = 2
; ch = (5) each CPTU vertical, ch values were calculated in relation to
R I t the depths of the dissipation tests in both study areas, con-
*
sidering Ir = 50. Figure 11 shows an example of results of
where R: piezocone radius; T : dissipation time; Ir: rigidity pore pressure of dissipation tests, including the procedure
index (G/Su); G: shear modulus. to determine t50%, for the CPTU 120, Sub Area C - AE - 2.
Values of ch were also determined from laboratory trough
Houlsby & Teh (1988) presented the following proce-
radial oedometer tests.
dure to determine ch: (a) calculate the difference between
Figure 12a shows value variation relating to the
pore pressure at the beginning of dissipation, ui, and the hy-
depths from the radial oedometer and piezocone tests for
drostatic pore pressure, uo; (b) calculate the percentage of
the AE-1 study area. In this figure, ch values are also ob-
dissipation u50% = (ui - uo)/2, and use the experimental curve
tained from piezocone tests in the N.C. band estimated
to determine the actual time taken for 50% of the dissipa-
tion to occur, t50%; (c) obtain the T* value in Table 1, and cal-
culate ch by using Eq. 5.
Robertson et al. (1992) propose a direct estimate of ch
from the t50 value using an abacus. This calculation is valid
for Ir values varying between 50 and 500, and for cone areas
2
of 10-15 cm . Values for ch obtained from these procedures
correspond to soil properties in the preconsolidation band,
due to the fact that during penetration, material surrounding
the cone undergoes increased levels of deformation, and in
this state behaves as soil in recompression (Baligh, 1986;
Baligh & Levadoux, 1986). Jamiolkowski et al. (1985) pro-
posed estimating ch in the normal compression band (N.C.)
using Eq. 6. The authors presented experimental values for Figure 11 - Results of pore pressure of dissipation tests, including the
Cs/Cc that varied in the 0.13-0.15 range. procedure to determine t50%, for the CPTU 120, Sub Area C - AE - 2.

264 Soils and Rocks, São Paulo, 37(3): 257-276, September-December, 2014.
 Geotechnical Characterization of Suape Soft Clays, Brazil

Figure 12 - Coefficient of consolidation values,oedometer and piezocone tests, Suape (Coutinho, 2010; Bello, 2011).

-7 2
from in the Jamiolkowski et al. (1985) proposal. The aver- was 1.34 x 10 m /s. In this study, a wide band of ch values
age ch value from piezocone tests in the O.C. band was was measured from oedometer and piezocone tests.
4.40 x 10-6 m2/s.
Leroueil & Hight (2003) evaluated the coefficient of
In general, the average ch values varied in the same or- consolidation determined by piezocone testing, in addition
der of magnitude in both the oedometer (1.15 x 10-7 m2/s) to other methods (Fig. 13). The in situ ch values within the
and piezocone tests (6.16 x 10-7 m2/s), considering ch results normal consolidation range are typically 10 times higher
in the N.C. band. The overall average chnc value was than the values deduced from oedometer test results (using
3.65 x 10-7 m2/s. the Casagrande method). The in situ ch values in the normal
consolidation range are also around two orders of magni-
The variation of ch values relating to the depths of the tude less than values in the over-consolidated range, de-
oedometer and piezocone tests, for the AE-2 study area is duced from in situ observations. The piezocone dissipation
shown in Fig. 12b. The average ch value from piezocone tests appear to be somewhere between the field values ob-
tests in the O.C. band was 4.03 x 10-7 m2/s. The cv values ob- tained for the over-consolidated and the normally consoli-
tained in vertical oedometer tests were converted into ch dated ranges (cv and ch). This figure also shows the range
values according to Eq. 7 (ch = 1.5cv). The average ch values determined for the laboratory and piezocone ch values of
varied from 4.94 x 10-8 m2/s in the oedometer tests to 4.03 x Suape clays. The ranges is situated in the limits shown by
10-7 m2/s in the piezocone tests. The overall average ch value Leroueil & Hight (2003).

Soils and Rocks, São Paulo, 37(3): 257-276, September-December, 2014. 265
 Coutinho & Bello

Figure 13 - Coefficients of consolidation (from Leroueil & High, 2003) and Suape clays results.

factory and consistent with results obtained in Brazilian

soft soils, and with experience reported in international lit-
erature.

6. Undrained and Effective Shear Strength

No single undrained shear strength exists. The in situ
undrained shear strength depends on the failure mode, soil
anisotropy, strain rate and stress history (Lunne et al.,
1997).
The triaxial compression, triaxial extension and sim-
ple shear laboratory tests with consolidation in the isotropic
or anisotropic condition for effective field stress conditions
have been used to obtain undrained strength values in
geotechnical engineering studies and projects.
Undrained strength can be determined in the field by
means of vane and piezocone tests. In order to use in a pro-
ject, the strength obtained in a vane test must be corrected
by Bjerrum’s correction factor (1973). In the piezocone
test, empirical correlations appropriate for the area under
study based on field and laboratory tests should be used.
Figure 14 - Values for the cv, ch and ch/cv relation vs. log s’vc -
Recife and Suape (from Coutinho & Bello, 2008). In the field vane test, undrained strength (Su) can be
determined from maximum torque obtained with the vane
rotation (Eq. 8).
Figure 14 shows results for cv and ch values obtained
0.86Tmax
from oedometer and piezocone tests in the O. C. and N. C. Su = (8)
ranges. The ch (OC range) was much higher (three times as pD 3
much) in the piezocone test in Recife and Suape clays.
where: Tmax is the maximum torque measured during the
Recife soft clays have slightly higher values.
test; D is the vane diameter.
The coefficient of consolidation values obtained from
oedometer and piezocone tests are complementary. The To estimate the value of Su through the piezocone test,
oedometer tests are essential for obtaining appropriate three cone factors are normally used: Nkt, Nke and NDu, load
compressibility parameters. Results concerning the coeffi- capacity, effective tip resistance and pore pressure, respec-
cients of consolidation obtained in the study areas are satis- tively (Lunne et al., 1997). Undrained shear strength is then

266 Soils and Rocks, São Paulo, 37(3): 257-276, September-December, 2014.
 Geotechnical Characterization of Suape Soft Clays, Brazil

defined by Eq. 9. The qt, qe and Du values are determined 6.1. Laboratory - Triaxial UU-C2
from the piezocone tests results. The Nkt, Nke and NDu, factors The undrained strength profiles obtained in labora-
are based on theoretical work or, more often, on empirical tory triaxial UU-C tests for the studied verticals in SUB-
experimental correlations using laboratory or in situ tests AREAS A and C are presented in Figs. 15 and 16. The
(Lune et al., 1997). mean values of Su obtained in the triaxial tests in SUB-
q t - sv0 q t -u2 u2 -u0 AREA A were 10.8 ± 5.4 kPa for the first 2.0 m of depth,
Su = = = (9)
N kt N ke N Du followed by around 7.4 ± 5.0 kPa to 7.0 m in depth. In
SUB-AREA C the mean Su values were 7.8 ± 0.6 kPa
where qt is cone resistance corrected for pore pressure ef- throughout the profile. Some of the results obtained in the
fects; qe is the effective cone resistance; Du is excess pore triaxial UU tests may be influenced by the disturbance of
pressure; svo is total vertical pressure. the sample (see Coutinho & Bellom, 2012a), so it is impor-
tant to compare the results of the triaxial with field vane
tests.

Figure 15 - Results of triaxial and field vane test - SUB-AREA A, study area AE-2 - Suape (Coutinho & Bello, 2012b).

Figure 16 - Results of triaxial and field vane test - SUB-AREA C, study area AE-2 - Suape (Coutinho & Bello, 2012b).

Soils and Rocks, São Paulo, 37(3): 257-276, September-December, 2014. 267
 Coutinho & Bello

6.2. Vane tests (AE-1) had values of Suvane/s’vo slightly below the curve for
young clays.
The undrained strength profiles obtained in the field
vane tests for the studied verticals are presented in Figs. 15 Figure 18 shows the ratio Suvane/s’vm vs. PI proposed by
and 16. The Suvane results in the verticals of the SUB-AREA Mesri (1975), Coutinho et al. (2000) modified from
A showed a similar trend in behavior, with a mean Suvane Skempton (1957), Larsson (1980) and Mayne & Mitchell
value of 7.5 ± 1.5 kPa to a depth of 2.0 m, and with mean (1988), together with the mean values of various Brazilian
clays, including Recife and Suape AE-2 (SUB-AREAS A
values 11.8 ± 1.1 kPa at a depth of 7.0 m. The E110 vertical
and C). For Recife and Suape clays, the points fall between
presented a high Suvane value at a depth of 4.0 m, possibly due
the Larsson (1980) and Mesri (1975) correlations, forming
to the presence of roots in the soil. Sensitivity had mean
upper and lower limits, respectively. The proposal from
values of around 5. The Su results determined in SUB-
Coutinho et al. (2000) represents satisfactorily clays from
AREA C presented mean Su values of 15.8 ± 3.6 kPa up to
Recife, Juturnaíba-RJ, Sarapuí, RJ and for Suape, PE in-
2.5 m in depth, starting from this point, the Suvane values in-
cluding organic clay from Recife-PE. The s’vm value of the
crease linearly reaching 21.0 kPa at 7.0 m. In general the St
poor quality samples was corrected (see Coutinho & Bello,
presented mean values in the 5-10 range.
2012b; Bello, 2011).
The mean Su values obtained from the field vane test
In order to draw up embankment projects it is neces-
were generally greater than the Su laboratory values. These
sary to use a correction factor according to Bjerrum’s pro-
results are similar to those obtained in Recife soft clays
posal (1973). Considering that the plasticity index results in
(Coutinho, 2007), but in the Suape study the laboratory re-
Suape clays were generally high (values up to 150%), the
sults are more influenced by the sample quality.
correction factor soils have a value of about 0.6.
The values of the ratio Suvane/s’vo vs. PI for soils in the
areas AE-1 and AE-2 (SUB-AREAS A and C) are pre- 6.3. Piezocone tests
sented in Fig. 17. The area AE-1 was divided in two To estimate Su values using the piezocone test, three
stretches of mangrove deposits. experimental parameters were adopted, Nku, Nke and NDu. The
The two deposits of AE-2 (SUB-AREAS A and C) re- value of the experimental parameters was determined by
vealed layers with a similar value range as Suvane/s’vo, situ- the Su values from field vane tests.
ated above the curve proposed by Bjerrum (1973) for Figure 19 shows the Nkt variation of SUB-AREAS A
young clays and around the curve of old clays. The range of and C. In general, it is observed that Nkt varied between 6
the mean Suvane/s’vo values found in the AE-2 study area was and 14 in SUB-AREA A, with a mean value of 10. In
0.45-0.68, much greater than the Recife values (Coutinho et SUB-AREA C, Nkt varied between 5 and 16, with a mean
al., 2000). The PI values obtained in the area under study value of 9. These results show that the two sub-areas have
were also much greater than the PI values obtained in similar Nkt variation ranges with a mean value between 9
Recife. and 10. Figure 20 presents the mean value of Nkt (12 ±1.0)
The mangrove 1 deposit (AE-1) presented values of obtained from Suvane for the Recife research sites. From these
Suvane/s’vo situated above the curve proposed by Bjerrum results, Su for Recife soft clay can be estimated with reason-
(1973) for young clays, while the mangrove 2 deposit able confidence for practical purposes (Coutinho et al.,

Figure 17 - Resistance ratio-Suape, study areas AE-1 and AE-2 - Suvanea/s’vo and PI (Bello, 2011).

268 Soils and Rocks, São Paulo, 37(3): 257-276, September-December, 2014.
 Geotechnical Characterization of Suape Soft Clays, Brazil

Figure 18 - Resistance ratio-Suape, study area AE-2 - (b) Suvane/s’vm and IP (Bello, 2011).

2000). These mean values are about 20-25% greater than

the Nkt results obtained in Suape.
Almeida et al. (2010) found a wide range of Nkt mean
values (3-20) for deposits of very soft soils in Rio de Ja-
neiro. Schnaid (2009) found Nkt values representative of
soft clay deposits in Porto Alegre varying between 8 and
16, with a mean value of 11. In general, it can be observed
that mean values of Brazilian clays vary around 9 to 12
(Coutinho & Schnaid 2010).
According to Lunne et al. (1997) Nkt values tend to in-
crease with an increase in plasticity, decrease with an in-
crease in sensitivity and decrease as Bq increases. Brazilian
clay results confirm that it is recommended to evaluate in
each deposit or at least local experience to obtain represen-
Figure 19 - Nkt values obtained from field vane test: Suape clays tative Nkt values.
study area AE-2 (SUB-AREA A and C).
The variation range of NDu values obtained in the
Suape studies areas was between 6.5 and 10.0, with mean

Figure 20 - Nkt values - field vane test (a) International Club; (b) SESI-Ibura (Oliveira, 2000; Coutinho, et al., 2000).

Soils and Rocks, São Paulo, 37(3): 257-276, September-December, 2014. 269
 Coutinho & Bello

values around 8.0. In general, NDu increases linearly with triaxial drained compression or excursion test (or un-
depth (Bello, 2011; Bello & Coutinho, 2012). In Recife and drained with pore pressure measurements). The effective
Suape clays, NDu values varied between 7.5 and 11.0 with friction angle (f’) can be estimated by in situ testing, such
mean values around 9.5 (Coutinho, 2007, 2008; Coutinho as the piezocone, or by statistical correlation with plasticity
& Schnaid, 2010). La Rochelle et al. (1988) obtained for index (PI) proposed by Bjerrum & Simons (1960). Figure
three Canadian clays NDu values between 7 and 9, using as 22a shows this statistical correlation with results from five
reference Su values from field vane tests, where the over- Brazilian clays, including Recife soft clays. Figure 22b
consolidation ratio values varied between 1.2 and 50. The gives the results of f’ from Suape clays (AE-1 and AE-2)
variation range of the Nke factor values obtained in the obtained by triaxial CIU-C test. There is dispersion in the
Suape study areas was between 4.0 and 9.0 with mean val- results but it is possible to see that the Bjerrum & Simons
ues around 5.0. In general, Nke increases linearly with depth (1960) proposal is also satisfactory for a preliminary esti-
(Bello, 2011; Bello & Coutinho, 2012). mation of f’ for Suape soft clays. A specific Suape clay sta-
Figures 21a and b show the undrained strength pro- tistical correlation is also shown in Fig. 22b.
files of the verticals E102 (SUB-AREA A) and E128
(SUB-AREA C), obtained through the piezocone using 7. Overconsolidation Ratio
mean valves of the experimental parameters and field vane
tests. The Su values derived from Nkt showed agreements The stress history of the soil can be indicated for the
with Su values obtained from the vane tests. The Su values profiles of effective field stress (s’vo), preconsolidation
derived from NDu showed a greater difference in relation to
stress (s’vm) and the overconsolidation ratio (OCR). It con-
Su vane values, because of the difficulty of an accurate Du stitutes an indispensable factor for the analysis of behavior
measurement, including pore pressure negative values. The of clay deposits. Traditionally obtained in oedometer tests,
Su values deriving from Nke, showed the highest degree of OCR can be estimated from field vane (Chandler, 1988)
dispersion, which can be explained by the small effective and piezocone tests (Lunne et al., 1997).
tip resistance value, qe, that was the basis for calculating Nke.
Critical-state soil mechanics, as well as the
6.4. Effective shear strength SHANSEP method showed that normalized undrained
The effective shear strength envelope is usually deter- strength (Su/s’vo) increases with an increase in OCR
mined by laboratory testing, such as, for example, the (Eq. 10).

Figure 21 - Suape clays: Su profile - piezocone and field vane tests. (a) E102 (SUB-AREA A); (b) E128 (SUB-AREA C).

270 Soils and Rocks, São Paulo, 37(3): 257-276, September-December, 2014.
 Geotechnical Characterization of Suape Soft Clays, Brazil

Figure 22 - Relation f’ vs. PI: (a) Brazilian Clays; (b) Area AE-1 (Bello, 2011).

æ Su ö æ S ö æS ö
ç ÷ = çç u ÷ (OCR) m (10) OCR = 22( IP) -0. 48 çç uvane ÷ (13)
ç s¢ ÷ ÷ ÷
è v0 ø O. C. è s¢v 0 ø N. C. è s¢v 0 ø
Lunne et al. (1997) stated that methods to derive OCR
where N.C. and O.C. is the normally consolidated and
from piezocone tests data fall into three main categories: (a)
overconsolidated range, respectively.
methods based on undrained shear strength; (b) methods
based on the shape of the CPTU profile; and (c) methods
Chandler (1988) collected data from vane tests of 19 based directly on piezocone tests data.
clay deposits, enclosed normally consolidated and over-
OCR values can be obtained from CPTU results
consolidated clays with OCR up to 7.5, obtaining m value
equal to 0.95 (Eq. 11). through correlations in functions of Qt, where Qt = (qT - svo)
/s’vo and Du/s’vo (Eqs. 14 to 17).
1
éæ S u ö ù 0. 95 OCR = f (Qt ) (Lunne et al., 1989) (14)
êçç ÷
÷ ú
è s¢v 0 ø O. C. OCR = 0.32(Qt ) (Kulhawy & Mayneunne, 1990) (15)
OCR = ê ú (11)
êæ S ö ú u1 - u 2
êç u ÷ ú OCR = 0.49 + 15
. (Sully et al., 1988) (16)
êëçè s¢v 0 ÷
ø N. C. úû u0

æ Du ö
Tavenas & Leroueil (1987) gathered the data used for OCR = f çç 1 ÷ (Lunne et al., 1989)
÷ (17)
AAS et al. (1986) and Chandler (1988) and plotted them us- è s¢v 0 ø
ing Bjerrum’s curve (1973) as reference. The authors found
the m value equal to 1 (with small dispersions) (Eq. 12). 7.1. Oedometer tests
Figure 23 shows the OCR profiles of SUB-AREAS A
æ S uvane ö and C obtained from conventional oedometer tests. In gen-
ç ÷
ç s¢ ÷ eral, OCRoed. values were greater than 1.0 up to 2.0 m in
è v 0 ø O. C.
OCR = (12) depth and a tendency towards the unit value with depth is
æ Su ö
ç ÷ observed. Poor quality samples had their OCRoed values cor-
ç s¢ ÷
è v 0 ø O. C. rected (see Coutinho & Bello, 2012b; Bello, 2011).

7.2. Vane tests

Mayne & Mitchell (1988) developed a database with
results of field vane and oedometer tests including index To estimate the OCR value using the field vane tests
properties of 96 different clays, in order to define a general performed in the two study areas (AE-1 and AE-2), Chan-
correlation that could be used to estimate OCR values from dler (1988), Tavenas & Leroueil (1987) and Mayne &
field vane tests (Eq. 13). The deposits showed: 1 < OCR < Mitchell (1988) proposals were used. Figure 23a presents
40; 3% < PI < 300%; 1.6 kPa < Suvane < 380 kPa and sensi- the results obtained for the OCR profile of SUB-AREA A,
tivity varying from 2 up to high values. including oedometer tests. The OCR results well differenti-

Soils and Rocks, São Paulo, 37(3): 257-276, September-December, 2014. 271
 Coutinho & Bello

Figure 23 - (a) OCRoed. vs. OCRvane; (b) OCRoed. vs. OCR from Mayne and Mitchell proposal (1988) for Suape.

ated along the depths but with similar trends in behavior are quality samples. These correlations can be useful when no
observed. good quality samples are available and to provide comple-
Figure 24 shows OCR results determined through the mentary results in an investigation.
three proposals compared to OCR results obtained in con-
7.3. Piezocone tests
ventional oedometer tests. Mayne & Mitchell (1988) pro-
posal is the one that comes closest to the laboratory OCR The OCR values were estimated through the CPTU
values for the Suape study areas, always presenting greater test using proposals from: Lunne et al. (1989) and Kulhawy
values, as was the case with Recife clays (Coutinho et al., & Mayne (1990). Results of Recife soft clays are also pre-
2000; Coutinho, 2008). Mayne & Mitchell (1988) proposal sented (Coutinho, 2007). Figure 25a shows OCR profiles
is being adapted for Suape clays (Eq. 11), considering both obtained by the three proposals, together with the OCR re-
Sub-Areas A and C. sults obtained through the oedometer test for SUB-AREAS
A and C. It can be seen that the correlations of Lunne et al.
OCR lab = 0.65 OCR vane (18)
(1989) and Kulhawy & Mayne (1990) show higher
Figure 24b shows the OCR profile obtained in a labo- OCRCPTU values than the OCRlab but with similar behavior
ratory and OCR estimated by the Mayne & Mitchell (1988) trends.
proposal adapted for Suape clays (Eq. 11). A good correla- Coutinho (2007, 2008) showed OCR profile results
tion can be seen between OCRvane and OCRlab values in good from Recife soft clays obtained using oedometer tests and

Figure 24 - Comparison between OCRlab vs. OCRvane, AE-2: (a) SUB-AREA A; (b) SUB-AREA C.

272 Soils and Rocks, São Paulo, 37(3): 257-276, September-December, 2014.
 Geotechnical Characterization of Suape Soft Clays, Brazil

Figure 25 - OCR profile - CPTU and oedometer: E109 (SUB-AREA A) and E128 (SUB-AREA C).

correlations from piezocone (mean values). The Lunne et

al. (1989) and Kulhawy & Mayne (1990) correlations pre-
sented OCRlab values higher than values, particularly if con-
sidering OCR from d24h. The exception is the Lunne et al.
(1989) correlation using Du/s’vo that showed very good re-
sults. The values obtained by the Sully et al. (1988) correla-
tion were slightly higher than those deduced from labora-
tory tests. Table 2 shows the summary of results of the
comparative study and recommended correlations.
Figure 26 shows the study for obtaining the coeffi-
cient of the Kulhawy & Mayne (1990) proposal that is suit- Figure 26 - OCR vs. Qt parameters - Suape clays AE-2.
able for use in Suape clays. The coefficient obtained was
equal to 0.173, almost half the original coefficient (0.32),
and smaller than the value of 0.23 found for Recife clays by obtained the coefficient of 0.153 for Sarapuí- RJ soft clay
Coutinho (2007, 2008). Jannuzi (2009) and Baroni (2010) and Barra da Tijuca deposits, respectively.

Table 2 - OCR Comparative Study - CPTU Correlation - Recife Soft Clays - (Coutinho, 2007, 2008).

In situ correlations Equations Reference t test Experiment Recommended

(Recife) correlation
Lunne et al. (1989) æ Du ö 1.00 ± 0.24 Lunne et al. (1989)
OCR = f çç 1 ÷÷
è sv¢ 0 ø
Lunne et al. (1989) æ q - sv 0 ö Oedometer (s’p for d24h) 1.5 ± 0.23 Du1
OCR = f çç t ÷÷ OCR =
è sv¢ 0 ø sv¢ 0

Kulhawy & Mayne (1990) æ q - sv 0 ö 1.45 ± 0.18 æ q - sv 0 ö

OCR = 0.32 x çç t ÷÷ OCR = 0.23çç t ÷÷
è sv¢ 0 ø è sv¢ 0 ø
Sully et al. (1988) æu -u ö 1.30 ± 0.22
OCR = 0.49 + 1.5çç 1 2 ÷÷
è u0 ø

Soils and Rocks, São Paulo, 37(3): 257-276, September-December, 2014. 273
 Coutinho & Bello

Figure 25b shows the OCR profile obtained in the (1990) proposal to obtain OCR from CPTU adapted to
laboratory and OCR estimated from the Kulhawy & Mayne Suape clays (OCR= 0.173Qt) provided OCRCPTU values with
(1990) proposal adapted for Suape clays (OCR = 0.173Qt). a good correlation with OCRlab values. The corrected coeffi-
A good correlation between OCRCPTU values and OCRlab val- cient (0.173) was almost half the original coefficient (0.32),
ues in good quality samples is observed for Suape Clays. and it was smaller than the value found for Recife clays
This correlation can be useful when there are no good qual- (0.23) and similar for Rio de Janeiro clay (0.153).
ity samples available, and for further research. This study confirms that parameters can be obtained
through in situ tests with correlations suited to local/re-
8. Conclusions gional experiment; and it is also important to have a joint
This paper has provided results of a geotechnical site laboratory and in situ test program. This prediction is fun-
characterization from laboratory and in situ tests performed damental for a proper geotechnical site characterization in
in an important investigation of soft clays in two areas research and engineering projects.
within the Suape Port and Industrial Complex, Brazil.
Soil classification results from the Robertson (1990) Acknowledgments
and Schneider et al. (2008) charts generally agreed with the The authors acknowledge support from specific re-
grain-size distribution and NSPT values. Considering the search projects PRONEX (CNPq/FACEPE); and INCT-
Brazilian experiment and results obtained from the study REAGEO (CNPq); CNPq for the financial support (fellow-
areas, the Robertson (1990) proposal confirmed its effi- ship) in research involving the authors; and Gusmão Engi-
ciency for soil classification from piezocone tests. The neers Associated for the partnership.
Schneider et al. (2008) proposal was adequate for use in
Suape soils; however, it would seem appropriate to carry References
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tragem no Comportamento Tensão-Deformação-Tem- Sully, J.P.; Campanella, R.G. & Robertson, P.K. (1988) In-
po das Argilas Moles. Doctorate Thesis, COPPE/UFRJ terpretation of penetration pore pressure to evaluate
- DEC-UFPE . stress history in clays. Proc. ISOPOT-1, Florida, v. 2,
Ramsey, N. (2002) A calibrated model for the interpreta- p. 993-999.
tion of cone penetration tests (CPTs) in North Sea Qua- Tavenas, F. & Leroueil, S. (1987) State-of-the-Art report:
ternary Soils. Offshore Site Investigation and Laboratory and in situ stress strain-time behaviour of
Geotechnics - Diversity and Sustainability, Society for soft clays. International Symposium on Geotechnical
Underwater Technology, London, p. 341-356. Engineering of Soft Soils, Mexico City, v. 2, p. 3-48.

276 Soils and Rocks, São Paulo, 37(3): 257-276, September-December, 2014.
On the Characterization and Classification of Bauxite Tailings
F. Schnaid, H.P. Nierwinski, J. Bedin, E. Odebrecht

Abstract. Large-scale mining operations generate vast quantities of tailings that are deposited in hydraulic-fill tailing
dams in the form of slurries. Stability of these impoundments require investigation of water table configuration, aquifer
boundaries, site characterization and determination of short and long term properties of tailings. These aspects are
evaluated in this paper from a comprehensive site investigation that comprises both laboratory and field tests from a
bauxite tailing deposit in northern Brazil. The purpose is to enhance the understanding on the mechanical properties of
bauxite tailings in order to select or develop appropriate constitutive models for predicting the behavior of tailings
impoundments. Attention is given to the characterization and classification of silt tailings from the combination of
measurements from independent tests expressed on the basis of the ratio of the elastic stiffness to penetration tip resistance.
Keywords: bauxite tailings, critical state, piezocone, liquefaction.

mental aspects of behavior, as well as the characterization

1. Introduction and classification of bauxite tailings in storage facilities.
Many countries with large mining industry operations
are active in implementing effective environmental legisla-
2. Laboratory Testing Program
tion to ensure sustainable development with minimum eco- An extensive laboratory testing program has been
system degradation. Tailing storage facilities is one subject carried out to study the geotechnical properties and behav-
of major concern, given the potential environmental impact ior of gold, bauxite and zinc (e.g. Bedin et al., 2012;
in discharge areas. The most popular type of embankment Schnaid et al., 2013). Some characteristic features are com-
for tailings dams is the upstream construction where new mon to all silty tailings and are highlighted here from tests
parts of the embankment are built on top of the slurries im- carried out on bauxite. Characterization comprises identifi-
pounded during the previous stage (i.e. the dam crest moves cation of minerals, grain size distribution and microscopy
“upstream” during construction). Although this is a low (Table 1). The material disposed in ponds is predominantly
cost process, the upstream embankment type is a high risk low to non-plastic, silty clay (typically 80% silt, 15% clay
operation, particularly because (a) upstream dams are par- and 5% sand) with an average unit weight of 16 kN/m3 and
ticularly susceptible to liquefaction under seismic ground high specific gravity (2.70 < G < 3.00) reflecting the high
motion and (b) dam stability is endangered if the raising iron content of the tailings. Microscopy reveals well-
rate of the dam is high due to excess pore pressure built rounded as well as angular grains, forming loosely arranged
within the deposit during construction. Since tailings have structure that due to angularity may result in relatively high
different properties compared to natural materials and the drained shear strength.
way of testing tailings material need to be calibrated for Undisturbed samples in silts are typically too difficult
these differences, there is a need for field and laboratory or costly to obtain and, for this reason, reconstituted sam-
studies of physico-mechanical characteristics of tailing ples need to be prepared for laboratory testing. Disturbed
dam deposits. samples were retrieved using a bucket type of sampler
Recent research projects in Brazil comprise compre- which allows samples to be extracted without losing water.
hensive in situ (CPTU, DMT, Vane) and laboratory charac- The moist tamping method has been used to reconstitute
terization (triaxial and oedometer) in active iron ore, gold, specimens at their average in situ density. Samples were
bauxite and zinc residue storages. This includes a decade of prepared by mixing the soil with small amount of water and
consecutive site investigation research all over Brazil, pro- compacting the mixture in a mold, in layers prepared of
viding an opportunity to examine the state of tailings from equal volume lifts to produce homogeneous mixtures (e.g.
the beginning of operations to closure (e.g. Schnaid, 2005; Lade, 1978). The mixture is partially saturated when placed
Bedin et al., 2008; 2012; Schnaid et al., 2013). This paper and the inter-particle suction is utilized to allow high voids
explores some features of this study with focus on funda- ratio to be achieved.

F. Schnaid, Ph.D., Full Professor, Departamento de Engenharia Civil, Universidade Federal do Rio Grande do Sul, Porto Alegre, RS, Brazil. e-mail: [email protected].
H.P. Nierwinski, MSc. Student, Programa de Pós Graduação em Engenharia Civil, Universidade Federal do Rio Grande do Sul, Porto Alegre, RS, Brazil. e-mail:
[email protected].
J. Bedin, D.Sc. Student, Programa de Pós Graduação em Engenharia Civil, Universidade Federal do Rio Grande do Sul, Porto Alegre, RS, Brazil. e-mail:
[email protected].
E. Odebrecht, D.Sc., Associate Professor, Departamento de Engenharia Civil, Universidade do Estado de Santa Catarina, Joinville, SC, Brazil. e-mail:
[email protected].
Submitted on June 19, 2014; Final Acceptance on December 15, 2014; Discussion open until April 30, 2015.

Soils and Rocks, São Paulo, 37(3): 277-284, September-December, 2014. 277
 Schnaid et al.

Table 1 - Bauxite tailings composition. ues higher than 95%. All reported test specimens were
isotropically consolidated from a single initial void ratio to
Element % by weight their desired consolidation pressure before shearing at
Na 14.33 0.1 mm/min under undrained conditions. Results on satu-
Al 16.85 rated samples are presented in Fig. 2, in which deviatoric
stress (s1 - s3) and pore pressures are plotted against axial
Si 12.58
strains. Tests generate considerable excess pore pressure
Ca 2.86 and gentle strain softening. Fifteen percent maximum axial
Ti 6.70 strain was sufficient to establish critical state conditions in
Fe 46.65 these undrained tests, as shown in Fig. 2 using the Cam-
Total 99.96 bridge (p‘ - q) and (e - ln p‘) planes. The isotropic and
oedometric compression lines are presented in the same di-
agram for reference. Results show the idealized behavior of
One dimensional compression and hydraulic conduc- a unique critical state line (CSL) described by parallel ICL
tivity tests have been carried out in specimens reconstituted and CSL (despite the fact that NCL and ICL do not produce
at different void ratios, ranging from 2.6 to 1.4, which cov- a match) The shear strength properties were zero cohesion
ers the maximum and minimum determined in situ values. and effective angle of internal friction angle typically of
The vertical effective stress-void ratio relationship pre- 36°, and the state parameter of the order of 0.08.
sented in Fig. 1 gives a description of the soil compressibil-
ity. The vertical stresses were not sufficiently high to iden- 3. Field characterization
tify the normal compression line (NCL), and an attempt to Field tests are the preferable alternative to assess tail-
fit a straight line to points measured at high stresses give a ing properties and hydrogeologic conditions within the im-
slope l equal to 0.093 to an initial void ratio of 1.7. The hy- poundment. In situ water content, unit weight and specific
draulic conductivity has been determined by constant head gravity in this bauxite tailings are shown in Fig. 3. Typical
tests carried out in the oedometer cells at different vertical profiles from a series of SCPTU are shown in Fig. 4. Mea-
stresses. An average value of 2 x 10-8 m/s was taken as rep- sured cone resistance qt, sleeve friction fs and pore pressure
resentative. u2 are plotted against depth revealing a relatively homoge-
Undrained triaxial tests were performed to evaluate neous profile down to about 16 m. Although the piezocone
the stress-strain-pore pressure response of bauxite tailings. tests were conducted about 10 m away from each other, two
Saturation of soil specimens was accomplished by applica- profiles revealed lenses of granular materials that are not
tion of a back pressure of around 500 kPa to produce B val- taken into consideration in the forgoing analysis. Shear

Figure 1 - Results from oedometer tests.

278 Soils and Rocks, São Paulo, 37(3): 277-284, September-December, 2014.
 On the Characterization and Classification of Bauxite Tailings

Figure 2 - Bauxite critical state conditions.

Figure 3 - In situ water content, unit weight and specific gravity in the bauxite tailing dam.

Soils and Rocks, São Paulo, 37(3): 277-284, September-December, 2014. 279
 Schnaid et al.

Figure 4 - Typical CPTU profiles.

wave velocity measurements show monotonic increase charts designed to describe soil type for engineering appli-
with depth and yield shear modulus in the range of 20 to cations (Douglas & Olsen, 1981; Senneset & Janbu, 1985;
50 MPa. Robertson et al., 1986; Robertson, 1990; Jefferies & Da-
Values of the pore pressure parameter Bq range from vies, 1991). Published CPTU soil classification charts are
0.5 to 0.8 indicating undrained paths during cone penetra- typically constructed from dimensionless ratios such as
tion. High Bq is consistent with the measured hydraulic con- Qt (=(qt - svo)/s‘vo), Bq (=(u - uo)/(qt - svo)) and Fr (=(fs/qt -
ductivity values and the contractive response in shear. svo)x 100%). The original chart by Robertson (1990) pro-
In these site investigations, close attention has been duces very scattered data with soil ranging from sandy-silt
given to a precise determination of the position of the water to clay (Fig. 6).
table at the time of the investigation programme, which The normalized soil behavior index Ic proposed by
changes with time in these recently deposited, under con- Robertson (1990) is shown in the Fig. 7 and indicates/char-
solidation slurries placed over a pervious free drained de- acterizes silty-sand and sandy-silt soils (1.90 < Ic < 2.82).
posit foundation. This is achieved by a close inspection of a An alternative relationship uses the ratio of the elastic
series of dissipation tests obtained by recording the values stiffness to penetration tip resistance (Go/qc), following the
of the pore water pressure with time during a pause in push- concept that a material that is stiffer in deformation may be
ing and whilst the cone penetrometer is held stationary. Al- stronger in strength. An approach developed by Robertson
though dissipation tests are often held for the time that takes (2010) correlating Go/qc and Qt is shown in Fig. 8. In addi-
for 50% consolidation, t50, in tailings a special recommen- tion CPT data can be expressed in the unified plot proposed
dation is made to held the penetrometer stationary for lon- by Shuttle & Cunning (2007) using the Q(1 - Bq)+1 vs. F
ger periods corresponding to a time interval between t90 to space (Fig. 9), where strain softening is a predominantly re-
t100. sponse.
Values of ch and cv can be also estimated from these A similar plot has been suggested by Schnaid et al.
dissipation tests following the analysis proposed by (2004) and Schnaid (2005) in which the the Go/qc ratio is re-
Houlsby & Teh (1988). A summary of values obtained in lated to the normalized dimensionless parameter qc1, de-
the alumina STF is summarized in Fig. 5. Although values fined as:
of ch range between 2 x 10-6 and 8 x 10-5 cm2/s, there is no
distinct variation trend with depth. An average ch value of æq ö p
-6
about 8 x 10 is representative of this alumina tailing de- q c1 = ç c ÷ a (1)
è p a ø s¢v
posit.
where pa is the atmospheric pressure. Results shown in
4. Classification
Fig. 10 define a specific region in the Go/qc vs. qc1 space that
Several attempts have been made to combine the falls outside, above and to the left of the region established
piezocone measurements in order to produce classification for sand. Independent sets of data from gold and zinc high

280 Soils and Rocks, São Paulo, 37(3): 277-284, September-December, 2014.
 On the Characterization and Classification of Bauxite Tailings

Figure 5 - Values of coefficient of consolidation.

Figure 6 - Classification of bauxite tailings on the chart proposed by Robertson (1990).

Soils and Rocks, São Paulo, 37(3): 277-284, September-December, 2014. 281
 Schnaid et al.

Figure 7 - Normalized soil behavior index Ic of bauxite tailings

proposed by Robertson (1990).

Figure 9 - Unified classification chart (Shuttle & Cunning (2007

& 2008)).

representative of compressible materials that may exhibit

strong strain softening (e.g. Schnaid et al., 2013). This
evidence is in accordance to laboratory observations.

5. Conclusion
The purpose of this paper is to study the mechanical
properties of bauxite tailings and to evaluate how the cur-
rent site investigation practice is able to identify factors
related to tailing response and to stability problems of im-
poundments. The hydraulic conductivity of tailings varies
from point to point in a deposit and, for the present study, a
location representative of fine, non-plastic, silt tailings has
been selected. Laboratory tests were carried out on recon-
stituted samples leading to measured coefficient of hydrau-
lic conductivity of the order of 2 x 10-8 m/s, zero cohesion,
friction angle of 36° and state parameter of 0.08. Drained
Figure 8 - Classification of bauxite tailings on the chart proposed shear strength is often higher than that for similar natural
by Robertson and Fear (1995). soils due to high particle angularity.
The piezocone test is the most popular technique used
plasticity slurries have been added to the same plot, falling to characterize tailing impoundments and it successfully
on the very same region established for bauxite tailings. delineated the stratigraphy of bauxite. Predominantly un-
The classification method was then considered to provide drained penetration enabled strength and stiffness to be as-
an adequate representation of the fines influence by sessed with reasonable accuracy. The coefficient of
grouping all materials in a single area that appears to be consolidation of bauxite slurries is in the range shown by

282 Soils and Rocks, São Paulo, 37(3): 277-284, September-December, 2014.
 On the Characterization and Classification of Bauxite Tailings

Figure 10 - Classification of bauxite tailings represented in the Go/qc vs. qc1 space.

natural clays. Undrained strength of these slurries is impor- Lade, R.S. (1978) Preparing test specimens using under-
tant in evaluation of liquefaction behaviour. compaction. Geotechnical Testing Journal, Philadel-
Finally the usefulness of the Go/qc ratio in tailings phia, v. 1:1, p. 16-23.
classification is highlighted, because combination of elastic Robertson. P.K., Campanella, R.G., Gillespie, D. & Greig,
stiffness to ultimate strength provides direct means to iden- J. (1986) Use of piezometer cone data. Proc. ASCE
tify deposits that are highly compressible and may be sus- Specialty Conference, In-Situ’86: Use of In-situ testing
ceptible to liquefaction. in Geotechnical Engineering, Blacksburg, p. 1263-
1280.
Acknowledgments Robertson, P.K. (1990) Soil classification using the cone
The work described in this paper was carried out with penetration test. Canadian Geotechnical Journal,
the support from ALUMAR. The authors are particular v. 27:1, p. 151-158.
grateful to the engineers Leandro Moura Costa Filho for his Robertson, P.K. & Fear, C.E. (1995) Liquefaction of sands
fruitful contribution and collaboration. and its evaluation. Proc. First International Conference
on Earthquake Geotechnical Engineering, keynote lec-
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Bedin, J.; Schnaid, F.; Fonseca, A.J.P.V. & Costa Filho, Schnaid, F. (2005) Geo-characterization and properties of
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L.M. (2012) Gold tailings liquefaction under critical natural soils by in situ tests. Proc. 16 ICSMGE, Osaka,
state soil mechanics. Geotechnique, v. 62, p. 263-267. Millpress, Rotterdam, v. 1, p. 3-45.
Douglas, B.J. & Olsen, R.S. (1981) Soil classification using Schnaid, F.; Lehane, B.M. & Fahey. M. (2004) In situ test
nd
electric cone penetrometer. Proc. ASCE National Con- characterization of unusual geomateriais. Proc. 2 ISC,
vention, St. Louis, p. 209-227. keynote lecture, Porto, Millpress, Rotterdam, v. 1,
Houlsby, G.T. & Teh, C.I. (1988) Analysis of the piezo- p. 49-74.
cone in clay. Proc. International Symposium on Pene- Schnaid, F.; Bedin, J.; Viana da Fonseca, A.J.P. & Costa
tration Test, Rotterdam, Netherlands, v. 1, p. 777-783. Filho, L.M. (2013) Stiffness and strenght governing the
Jefferies, M.G. & Davies, M.O. (1991) Soil classification static liquefaction of tailings. Journal Geotechnical
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Senneset, K. & Janbu, N. (1985) Shear strength parameters Shuttle, D.A. & Cunning, J. (2008) Discussion: Liquefac-
obtained from static cone penetration tests. Proc. Symp. tion Potential of Silts from CPTu. Canadian Geo-
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Technical Publication, STP. 883, p. 41-54.
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284 Soils and Rocks, São Paulo, 37(3): 277-284, September-December, 2014.
 SOILS and ROCKS
An International Journal of Geotechnical and Geoenvironmental Engineering
Publication of
ABMS - Brazilian Association for Soil Mechanics and Geotechnical Engineering
SPG - Portuguese Geotechnical Society
Volume 37, N. 3, September-December 2014
Author index
Albuquerque, P.J.R. 171 Howie, J.A. 211
Alonso, Eduardo E. 3 Janin, J.P. 39
Amoroso, S. 177 Karam, K. 133
Aoki, N. 61 Laister, E. 171
Arêde, A. 133 Lehane, B.M. 177
Bacellar, L.A.P. 51 Mahler, C.F. 133
Barreto, G.W. 61 Mañas, L.M.S. 85
Bastos, R.K.X. 161 Marchetti, D. 177
Bedin, J. 277 Marques, E.A.G. 161
Bello, M.I.M.C.V. 257 Massad, Faiçal 113
Benoît, J. 211 Menezes, J.E.Q. 133
Betim, L.S. 161 Mitchell, J.K. 99
Borgatto, A.V.A. 133 Monaco, P. 177
Boscov, M.E.G. 85 Münnich, K. 133
Camarini, G. 171 Nierwinski, H.P. 277
Carvalho, D. 171 Odebrecht, E. 277
Cintra, J.C.A. 61 Paupério, E. 133
Costa, A. 133 Prezzi, M. 233
Coutinho, R.Q. 257 Ribeiro e Sousa, L. 133
Cruz, N. 195 Rodrigues, C. 195
Danziger, B.R. 243 Salgado, R. 233
Danziger, F.A.B. 243 Santana, C.M. 243
Dias, D. 39 Schnaid, F. 277
Feng, J.L. 73 Sousa, L.R. 73
Ferreira, Q.C.G. 51 van Elk, A.G.P. 85
Fineza, A.G. 161 Viana da Fonseca, A. 133, 195
Guedes, J. 133 Wang, C.G. 73
He, M.C. 73 Webler, A.D. 133
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